Beruflich Dokumente
Kultur Dokumente
June 2009
CONTENTS
1.
INTRODUCTION1
1.1.
1.2.
2.
2.1.
2.2.
2.3.
2.4.
2.5.
3.
3.1.
3.2.
3.3.
4.
4.1.
4.2.
4.3.
5.
5.1.
5.2.
AEL template.52
6.
6.1.
6.2.
7.
7.1.
7.2.
7.3.
7.4.
7.5.
7.6.
7.7.
7.8.
Invoicing.83
8.
1.
1.1.
INTRODUCTION
Purpose of the manual
The purpose of the manual is to assist licensing authorities in performing the atmospheric emission
licence function under the National Environmental Management: Air Quality Act, 2004 (Act No. 39 of
2004) (AQA). The manual seeks to provide licensing authorities with a basis to the processes,
procedures, intergovernmental relationships and key decisions in issuing an Atmospheric Emission
Licence. It is not the purpose of the manual to provide detail of technical or industrial processes which
result in emissions to the atmosphere.
The manual must be read with the following regulatory tools:
1.2.
(a)
(b)
The National Framework for Air Quality Management in the Republic of South Africa;
(c)
(d)
(e)
Section 3 sets out the step-by-step guide in the atmospheric emission licence process.
Section 4 highlights the critical technical decisions in the atmospheric emission licence
process.
Section 5 sets out the guide in drafting a legally robust atmospheric emission licence.
Section 6 sets out the compliance monitoring and enforcement measures that may be
undertaken after an atmospheric emission licence is issued.
Section 7 deals with the atmospheric emission licence processing fee calculator
administration protocol. This section sets out the step-by-step guide in the determination
of the prescribed processing fee.
Section 8 contains the contact details of the Directorate: Air Quality Management
Implementation Support. The function of the Directorate is to assist and provide support
to all licensing authorities when performing the licensing function.
2.
2.1.
Before the promulgation of the AQA, air pollution was regulated in terms of the Atmospheric Pollution
Prevention Act, 1965 (Act No. 45 of 1965) (APPA). The Department of Water and Environmental Affairs
(DWEA) was responsible for administering the APPA. The main aim of APPA was the control of noxious
and offensive gases emitted by industrial processes (through registration certificate), the control of
smoke and wind borne dust pollution, and emissions from diesel vehicles. The Chief Air Pollution
Control Officer (CAPCO) was responsible for the implementation of the APPA.
Under APPA, all industries undertaking scheduled processes were controlled by the CAPCO through
Best Practicable Means (BPM) using permits (known as Registration Certificates). Scheduled
processes, as set out in the Second Schedule to the APPA, are processes which emit noxious or
offensive gases. The APPA approach, with regard to industrial emissions, was largely based on pointsource emission control. Hence, the BPM represents an attempt to restrict emissions while having
regard to local conditions, the prevailing extent of technical knowledge, the available control options,
and the cost of abatement. The decision as to what constitutes the BPM for each individual case was
reached following discussions with the industry. A scheduled process registration certificate was then
issued.
Over the years major shortcomings in the regulation of industrial emissions under APPA were
discovered. In summary the following, among others, is a list of the APPA shortcomings:
APPA was not in line with the Constitution allocation of function between the three spheres of
government when it comes to air pollution control;
APPA largely focuses on point source emission control that does not fully address the
cumulative impacts of air pollution;
As a result, the AQA was promulgated in 2004 signalling a new approach on air quality governance.
2.2.
In the light of the above, the publication in May 2000 of the White Paper on Integrated Pollution and
Waste Management for South Africa A Policy on Pollution Prevention, Waste Minimisation, Impact
Management and Remediation (the IP&WM Policy), marked a turning point for pollution and waste
governance in South Africa. From an air quality perspective, the IP&WM policy effectively sidelined
APPA as it presented a complete paradigm shift from the APPA approach. Consequently, the AQA was
thus developed to reform and update air quality legislation in South Africa. The AQA, amongst its
objectives, is to reflect the overarching sustainable development principles in the National
Environmental Management Act, 1998 (Act No. 107 of 1998) (NEMA).
The AQA was signed by the President and gazetted on 24 February 2005. On 11 September 2005 the
AQA came into force, with the exclusion of sections 21, 22, 36 to 49, 51(1)(f), 51(3), 60 and 61, most of
which deal with the licensing of industrial emissions. The AQA presents a shift from source-based air
pollution control to a receiving environment approach. Key features of the new approach to air quality
governance include:
Sharing of air quality governance responsibilities between national, provincial and local
government;
Various regulatory tools or measures made available to government for implementing and
enforcing air quality management interventions in order to achieve and maintain acceptable
ambient air quality;
With regard to industrial emissions, the AQA replaces the permitting of scheduled processes by
CAPCO with the licensing of listed activities by metropolitan municipalities, district
municipalities and provincial environmental departments.
The list of activities which require licences is more comprehensive than those considered under
APPA and makes provision for fugitive sources. To guide the licensing process, those listed activities
have associated national minimum emission standards for the criteria pollutants. These national
minimum emission standards have been developed with the aim of managing air quality to within
acceptable levels in mind and have also considered the potential for cumulative air pollutant
concentrations occurring due to multiple sources. These emissions standards have also been
developed with best available technology in mind and have involved extensive consultation with
affected and interested parties to ensure that they represent an acceptable and achievable standard for
emissions of criteria pollutants.
2.3.
In order to ensure that there is a seamless transition from the APPA to AQA regarding regulation of
industrial emissions, the DWEA has embarked on a number of transition projects. One of those
projects was the APPA Registration Certificate Review Project. The main aim of the project was to
identify the big polluters and begin the process of reviewing their registration certificates. The review
process had two major objectives, firstly, to convert the registration certificates to have the look and
feel of the atmospheric emission licence and at the same time tightening the conditions of those
permits, secondly, in the process of the review capacitate the licensing authorities.
As a result, when APPA is finally repealed (11 September 2009), the reviewed registration
certificates will be converted and renewed into atmospheric emission licences under AQA. For
those industries which were not part of the APPA Registration Certificate Review Project, the
responsibility to renew such registration certificates to atmospheric emission licences rests with
the relevant industries when the trigger is pulled by 11 September 2009. In this regard, licensing
authorities are urged to familiarise themselves with section 61 of the AQA. This section deals with the
transitional arrangements in respect of registration certificates issued in terms of APPA.
2.4.
Section 32(1) and (2) of the Constitution provides everyone with the right of access to any
information held by the state. The Promotion of Access to Information Act, 2000 (Act No. 2 of 2000)
1
This section is based on the PAIA and the Booklet on how to use the Promotion of Access to Information Act, 2000, produced by the
South African Human Rights Commission.
(PAIA) gives effect to the human right of access to information. One of the aims of PAIA is to enhance
transparency, accountability and effectiveness of government. PAIA is also applicable to public
bodies, which includes national, provincial and local government. Public bodies are legally obliged to
provide any information requested, in terms of PAIA, by a member of the public subject to certain
exceptions.
2.4.1. Type of information that can be requested
There is host of information that the AELA may be requested to provide, for example, minutes of air
quality officers forum meetings; air quality management plan; allocated budget for air quality
governance; emissions inventory; ambient monitoring stations results; list of all listed activities being
undertaken within the AELA jurisdiction; applications for listed activities; atmospheric emission licences
and compliance monitoring inspection reports.
2.4.2. Public bodies structures
(a)
Information officer
The PAIA designates the information officers at the three spheres of government. The information
officer, at national government, is the Director-General of a specific department; at provincial
government, the Director-General in the Premiers Office is the information officer of the whole
province; and at local government the Municipal Manager of a particular municipality is the
information officer. The information officer is the officer to whom a request for access to information has
to be submitted. He or she will then decide whether to grant or refuse access to a record.
(b)
Relevant authority
In terms of PAIA, at national government the relevant authority of a specific department is the
Minister of that department; at provincial government the Member of Executive Council (MEC) of
a particular department is the relevant authority; and at local government the Mayor or Speaker is
the relevant authority. This is authority to whom an appeal lodged by aggrieved person. The internal
appeal process is the process whereby a requester is dissatisfied with the decision of the information
officer or in an instance where his or her request was ignored and no response given within 30 days or
extended period of 30 days.
2.4.3. Process: request for access to information
Step 1
Form A must be completed for a request to the relevant AELA. The form must be submitted to the
information officer together with payment of a request fee in the amount of R35, 00. Please note: a
requester is not obliged to give reason/s why he or she is requesting the information from the AELA.
Step 2
After receipt of the request, the information officer must respond to the request within 30 days. The
information can extend the 30 day period only once for a further 30 days, after written notification
together with reasons for such extension to the requester.
Where the request has been granted, the information officer must indicate to the requester that the
requester has to pay the access fee, if any, for the time spent on search and preparation of the
information, and must state the form in which access will be given.
In a case where information is refused, the information officer must give the requester reasons for
such a refusal and cite the specific section relied upon under the grounds for refusal in terms of
PAIA.
Step 3
Where a request for access is simply ignored or the information officer fails to respond to the
request within 30 days or within the extended period of a further 30 days, such non-response is
deemed to be a refusal.
Where the AELA has a relevant authority in place, the requester can then lodge an internal appeal
with the relevant authority, against the failure to respond by the information officer. The internal
appeal must be lodged with the relevant authority within 60 days from the date upon which the
information officer should have made a decision regarding the request. The requester must
complete Form B to lodge an internal appeal with the relevant authority. However, where the AELA
does not have a relevant authority in place, the requester must make application to court against the
decision of the information officer.
The grounds of appeal against the decision of the information officer are, namely, where the requester
is aggrieved by the decision of the information officer not to release the requested information; the
decision of the information officer to release the information but severing parts thereof to the extent that
the integrity of the information is compromised, in that the information no longer makes sense; the
amount of access fees that the requester would have to pay; the form of access granted; or the
extension of time to deal with the request.
If the requester is dissatisfied with the decision of the relevant authority, or if the relevant authority does
not respond to the internal appeal, the requester can apply to the court in terms of PAIA.
2.4.4. Grounds for refusal of access to information
Despite the legal obligation of AELA to give access to any information requested, the information officer
can in certain circumstances refuse access to certain information. The following are, among others,
grounds for refusal which an information officer of the AELA can rely on to refuse access to
information:
(a) Mandatory protection of commercial information of a third party;
(b) Mandatory protection of certain confidential information, and protection of certain other
confidential information of a third party;
(c) Mandatory protection of research information of third party, and protection of research
information.
However, PAIA provides for the public interest override clause. It is a clause that states that any of
the above information must be disclosed if the disclosure would be in the public interest. This may
include:
(a) Where it would reveal evidence of a failure to comply with the law;
(b) Where it would reveal a public safety or environmental risk;
(c) Any matter where the public interest clearly outweighs the harm that might be done in disclosing
such a matter.
2.5.
Section 33(1) and (2) of the Constitution provides that everyone has the right to administrative action
that is lawful, reasonable and procedurally fair, and that everyone whose rights have been adversely
affected by administrative action has the right to be given written reasons. Giving effect to the
administrative action right, the Promotion of Administrative Justice Act, 2000 (Act No. 3 of 2000) (PAJA)
was promulgated. PAJA is applicable to administrative actions taken on a daily basis by government
officials. Therefore, licensing authorities decisions regarding the atmospheric emission licence process
are subject to and must comply with the PAJA requirements.
Examples of environmental decisions that must comply with PAJA
The decision to refuse or grant an environmental authorisation is an administrative decision
in that it affects the rights of people and it is mandated by statute.
Other decisions that may constitute administrative actions in terms of PAJA are
The following are administrative decisions that may not be covered by PAJA, namely
decisions that are not final, e.g. preliminary steps in multi-staged decisions, unless those
preliminary steps have serious consequences in themselves;
Procedural fairness;
Lawfulness; and
Reasonableness.
See Evans and others v Llandudno / Hout Bay Transitional Metropolitan Substructure and another 2001 (2) SA 342 (C)
2.5.3. Lawfulness
The air quality officers decision must be lawful. This means that
the decision-maker must be authorised by legislation to make the decision or there must be a
valid delegation to that person to make the decision; and
the decision must give effect to the general purpose of the authorising legislation.3
2.5.4. Reasonableness
The administrative decision must be reasonable or rational. This means that the air quality officers
decision must be reasonable in the prevailing circumstances. Practically, this means that the air quality
officer must
select reasonable means to pursue the identified legislative goal in the light of the facts before
him or her. 4
Substantive fairness
Substantive fairness refers to the reasonableness of the decision. The decision must be
capable of being justified in terms of the documents submitted; the submissions received;
and the relevant statutes and policies in place. In an environmental authorisation there
must be a clear link between the facts; the reasoning; and the outcome, including
conditions set.
In summary, a person who may be adversely affected by an administrative decision must be given
In Corium (Pty) Ltd and others v Myburgh Park Langebaan (Pty) Ltd and others 1995 (3) SA 51 (C), the court held that the
administrator had acted unlawfully in issuing a permit, as the relevant development was repugnant to the objects, purposes and
policies of both the Physical Planning Act and the ECA.
Bato Star Fishing (Pty) Ltd v Minister of Environmental Affairs and Tourism and others2004 (7) BCLR 687 (CC) at pages 713, para
50.
Section 3(2) of PAJA.
It is important for a licensing authority to consider the requirements of section 38(3) of the AQA. This
section provides an alignment between the PAJA requirements and AQA licensing requirements.
An administrator may, in certain circumstances, depart from any of these PAJA minimum requirements,
including in situations of urgency. 6
A person whose rights have been materially and adversely affected by administrative action has 90
days to request written reasons for the action. Reasons must be supplied within 90 days of receipt of a
request.7
Where an administrative action is taken on review, the reviewing court may consider whether:
the administrator acted lawfully (i.e. whether he or she was properly authorized to act);
the action was taken for an ulterior purpose or motive or was taken in bad faith;
the act was rational (i.e. whether there was a rational connection between the decision and the
information before the decision-maker and whether there was a rational connection between the
purpose of the empowering provision and the decision).
All relevant information must be disclosed to the person making representations. A person does not
have to be given everything but must be given sufficient information to present and controvert evidence
in a meaningful way. The person presenting should know the gist or substance of the case that it has
to meet.11
The use of policies and guidelines in making decisions on environmental authorisations
The Supreme Court of Appeal has endorsed the adoption of policy guidelines by state organs to assist
decision makers in the exercise of their discretionary powers. Such guidelines are particularly useful
where the decision is a complex one, requiring a balancing of a range of competing interests or
considerations. However, these policy guidelines must not be applied rigidly and inflexibly, and those
affected by the guidelines should be aware of them. 12
On critical issues where a number of provinces do not have their own guidelines or policies, there may
be a need for national guidelines. If national guidelines are published, they need not be adopted by
provinces that choose to issue their own guidelines. However, unpublished guidelines or draft guidelines
or policies cannot be taken into account in making a decision. 13
Socio-economic conditions and commercial interests
An administrator can take into account socio-economic factors as well as environmental factors. 14
However, no person can bring review proceedings under environmental legislation to protect a
commercial rather than an environmental interest.15
3.
3.1.
Thus, the principle route through which an AEL is issued will be via a joint process, run in association
with an EIA process. The interrelationship between the EIA and AEL processes is set out, in Figure 8, in
the National Framework for Air Quality Management.
11
12
13
14
15
There are two possible routes through which an AEL may be obtained, namely:
AEL process running parallel with the EIA process (joint process); and
3.2.
Section 37 AQA: new process within an existing facility which will result in a listed activity
being carried out;
Section 46(3) AQA: change to emission rates, raw materials which may increase emission
levels of key pollutants for listed activities; and
Section 46(3) AQA: any other changes or amendment of the existing AEL.
For the AEL process, the relevant metropolitan municipality or district municipality is the licensing
authority, except in a situation where the municipality has delegated its licensing function to the
province, the province has intervened in terms of section 139 of the Constitution or where the
municipality is the applicant for an AEL. In such circumstances, the relevant provincial environmental
department is the licensing authority.
For the EIA process, the competent authority is either the DWEA or provincial environmental
department depending on the size and nature of the proposed development. However, regarding
proposed activities around mining areas, the Department of Minerals is the competent authority for such
EIA applications 16.
3.2.3. EIA-AEL procedural relationship
There are three main principles which underpin the relationship between the EIA and AEL processes.
Firstly, the EIA process must proceed and inform the AEL process. This is a logical sequence for
various reasons:
16
In terms of the National Environmental Management Amendment Act, 2008 (Act No. 62 of 2008), the Minister of Minerals and
Energy will be the competent authority for a period of 18 months from the date of commencement of the Amendment Act. Thereafter,
the Minister of Environmental Affairs and Tourism will be competent authority for EIA around mines.
10
The EIA process considers all potential environmental impacts not only the impacts of
atmospheric emissions. As a result, the EIA activity could result in significant impacts (other
than those on the atmosphere) which could result in a negative Record of Decision (RoD) thus
no need to issue an AEL;
The EIA process may require the submission of a Specialist Air Quality Impact Assessment
Study which should provide information on all the various requirements of AQA and will provide
the AELA with all the critical information needed when assessing the AEL application;
The EIA environmental authorisation may contain conditions which may be pertinent to the
AEL; and
The EIA process will require comprehensive opportunities for public participation and input
which will also contribute to the understanding of public concerns and comments on the
atmospheric impacts of the proposed development or activity.
Secondly, there must only be one information gathering process for the two processes. Thus all
information required for the AEL process must be gathered through the EIA process be it technical
information or input from public participation. This will ensure that a duplication of effort is avoided and
also that the information required by the AELA is gathered through the much more comprehensive
process followed under the EIA process. This is particularly the case for public participation.
Thirdly, there should be a joint review of information related to atmospheric impacts by the EIA-CA
and the AELA. This is a recommendation from the National Framework and is one which may
strengthen the effectiveness of the EIA-AEL procedural relationship and may promote good working
inter-governmental relations. Due to the nature of the activity, the legal onus is on the applicant to
ensure that all interested and affected parties are involved in the review and consideration of the
relevant information during the EIA process.
3.2.4
The diagram below describes the interrelationship between the EIA-AEL processes and is taken from
the National Framework for Air Quality Management in South Africa.
11
12
The steps below expand on the diagram in order to provide detailed guidance for the AELA. They focus
on the role of the AELA.
Step 1: Applications
It is the legal responsibility of the applicant to compile and submit two applications:
An EIA application which should be submitted to the relevant EIA-CA, in accordance with the
EIA regulations; and
An AEL application which should be submitted to the relevant AELA, in accordance with the
AQA requirements.
Identify any missing information and request provision of this information by the applicant; and
Identify any information that it may need to check/verify at a later site visit.
The AELA should then discuss its findings with the EIA-CA prior to acknowledging receipt of the
application and/or requesting any outstanding information (this will allow the EIA-CA to note the
additional information required and to keep abreast of any shortfalls in the AEL application process
which may also inform the EIA application).
Upon receipt of additional information requested, the AELA should also forward such information to the
EIA-CA for information.
13
Similarly, if the EIA application is missing information which may relate to the impact on the atmosphere
and would therefore be of use to the AELA, such information, once requested and received by the EIACA should be forwarded to the AELA.
Note: The legislated turnaround timeframes for EIA-CA & AELA to acknowledge receipt of the
application, if the application is in order or reject the application, if it is not in order, is 14 days of
receipt of the application.
Step 4: EIA phase I
This phase includes the basic assessment report, scoping reports, environmental impact assessment
reports, specialist reports and reports on specialised processes and initial public participation.
At this stage, the process follows the initial phase of the EIA process in accordance with the EIA
regulations whereby the applicant carries out the following:
Compilation of scoping reports, Plan of Study for Environmental Impact Report and
identification of required specialised studies;
Review and finalisation of scoping report and plan of study for Environmental Impact Report;
and
Upon receipt of the above, the EIA-CA is expected to inform the AELA that it has received the required
documents and between them, the two authorities should arrange a date / time to review parts of these
documents.
It is recommended that during this initial phase, the AELA should carry out a site visit to verify the
information that has been provided in the AELA and EIA applications, and to be familiar with the site and
the potential air quality issues. Such a site visit may also allow the AELA to represent fully all issues
which relate to the AEL application and to determine whether the applicant have fully captured and
considered all relevant issues and information.
Step 5: Joint consideration of the scoping reports and plan of study
At this stage, the EIA-CA and the AELA should sit together to cooperatively consider the Scoping
Reports and the Plan of Study with a view to determining whether the reports should be accepted (thus
allowing the applicant to proceed to the next phase of the EIA process) or whether amendments to the
reports are required, such as the provision of additional information or verification of information
provided.
From the point of view of the AELA, it must be confident that the reports provide the basis for answering
all the concerns which must be addressed before both the EIA Environmental Authorisation and
AEL can be issued. The specific factors to be taken into account in the AEL process are set out in
section 39 of the AQA and paragraph 5.5.3 of the National Framework. These requirements must
be kept in mind by the AELA throughout its involvement in the EIA process so that it can inform the EIACA if additional information or analysis of the EIA application is required in order to provide the insight
required by the AEL that the applicant has satisfied the AEL requirements in their application. The AELA
14
will also have to raise and check whether these requirements have be complied with, later in the EIA
process once the specialised reports, impact report and management plan have been produced (see
step 7 below).
In addition, at this step the AELA must ensure that the rather obvious step of identifying a Specialist
Air Quality Impact Assessment Report for completion in the next step of the EIA process has been
flagged by the applicant within the Plan of Study and that the proposed contents of this report will
address all the factors the AELA must take into consideration before both the EIA Environmental
Authorisation and AEL can be issued. The National Framework, in paragraph 5.5.3, sets out the key
requirements of the specialist report.
Following the consideration of the reports, the EIA-CA and AELA may require amendments to be made
and once satisfied that these have been carried out, they can accept the reports and notify the applicant
of such decision.
Note: The legislated turnaround timeframes for EIA-CA is 30 days of receipt, to either accept or
reject the scoping report or plan of study.
Step 6: EIA Phase II
At this stage, the applicant proceeds to the second phase of the EIA process. The tasks include:
Prepare specialist studies (including a specialist air quality impact assessment study); and
Once completed, these reports must be submitted to the EIA-CA. The EIA-CA should inform the AELA
that is has received the reports, and as indicated earlier, times and dates for joint consideration of these
reports are agreed. Therefore, as recommended by the National Framework, it would be in the spirit of
co-operative governance for both authorities to jointly review the reports.
Step 7: Joint consideration of the environmental impact assessment report, environmental
management plan and specialists studies
This step is similar in nature to step 5 above, i.e. the EIA-CA and AELA jointly consider the detailed
environmental impact assessment report, environmental management plan and specialist air quality
impact assessment report.
Important for the AEL process is for the AELA to ensure that it is satisfied that the reports and specialist
study under consideration contain all the information required to enable it to fully assess the impact of
the proposed activity to the atmosphere, and that it complies with the requirements contained in section
39 of AQA. Please note: if the AEL feels that, based on the EIA information, it would not issue an AEL
then the EIA should not be granted as there should never be an instance where an EIA is issued but an
AEL is later refused. Thus, the AELA must be satisfied at this point that all the information it needs to
make a decision on the AEL application has been submitted by the applicant.
It is also important for the EIA-CA and AELA to assess whether the specialist air quality impact
assessment report comply with the requirements set out in paragraph 5.5.3 of the National Framework,
and the NEMA EIA regulations.
15
Note: The legislated turnaround timeframes for EIA-CA is 60 days of receipt, to either accept or
reject the environmental impact assessment report, environmental management plan or
specialist studies.
Step 8: Environmental authorisation decision
The EIA-CA, in terms of the NEMA EIA Regulations, has 45 days, after accepting the reports and
studies, to either grant the environmental authorisation in respect of all or part of the activity applied for;
or refuse the environmental authorisation in respect of all or part of the activity.
Step 9: Issuing or refusal of an AEL
In terms of section 40(3) of the AQA, if the step above results in the issuing of an Environmental
Authorisation, then the AELA has 60 days from the date of issue of the Environmental Authorisation to
make a decision in respect of the AEL application.
If an EIA Environmental Authorisation is not granted then the application for the AEL becomes
irrelevant, as the development or activity will not have been given the necessary environmental
authorisation to proceed.
In a situation where the Environmental Authorisation is granted then the AELA can proceed to
consider the AEL application. The AELA has two options:
(a)
(b)
The provisional AEL must, in terms of section 41(2) of the AQA, be issued subject to certain
conditions and requirements as the AELA may determine, and/or as the Minister or MEC has
prescribed for the listed activity of the kind in question. It is the responsibility of the AELA to ensure
that whatever condition or requirement relevant to air quality, which where agreed to during the EIA
process, are included in the provisional AEL.
In terms of section 40(4) of the AQA and in accordance with the administrative justice requirements, the
AELA must, within 30 days, once it has reached a decision on the AEL application:
(a)
Notify the applicant of the decision, and give written reasons if the application was
unsuccessful;
(b)
In a manner determined by the AELA, notify any persons who have objected to the
application; and
(c)
At the request of any person who has objected to the application, give written reasons
for its decision or make public its reasons.
In deciding whether to grant or refuse an application, the AELA must assess the application against
the sections 39 and 40 of the AQA. Section 39 sets out the relevant matters that must be taken into
account by the AELA when considering an application. Section 40 provides a checklist of matters that
must guide the decision of the AELA during the licensing process.
The process through which the application is considered and how the information in the application form
is used in drafting the contents of the AEL is technical in nature, and thus Section 5 of the Manual
provides the technical guidance on the AEL licensing process.
16
3.3.
Renewal of an existing AEL where the renewal does not result in the variation or amendment of
the existing AEL (section 47 of the AQA).
If the application does not comply with the abovementioned requirements and / or contains insufficient
information, the AELA must inform the applicant. Any additional information that the AELA may require
must be requested at this stage. The AELA must indicate in the letter to the applicant that, failure to
comply with the above requirements and / or legal request from the AELA, may result in refusal of the
application.
The suggested turnaround time for AELA to acknowledge receipt and/or requesting any further
information from the applicant is 14 days after the receipt of the application.
Step 3: Notification of the interested person and the public regarding the application for a
transfer
In terms of section 44(4) of the AQA, the applicant is required to take certain steps to bring the
application to the attention of the interested person and the public. Section 44(4)(b) fully sets out the
requirements.
It is important to note that the AELA cannot process the application until such requirements have
been fulfilled. It may be vital for the AELA to insist on the applicant submitting proof regarding
compliance with section 44(4)(b) requirements.
17
Proof whether the application was brought to the attention of interested and affected parties;
When considering an application for a transfer, the AELA is required to take into account whether the
person to whom the licence is to be transferred is a fit and proper person as contemplated in section
49 of the AQA. In determining whether a person is a fit and proper person, the provisions of section 49
are applicable.
Step 5: Decision
If all of the abovementioned requirements are met, the AELA must transfer the AEL to the new owners.
This is implemented by recording the necessary changes and issuing the new owner with an amended
AEL with effect from date of issue.
What happens if the applicant does not meet the fit and proper person test?
Unfortunately, the AQA does not provide clear answers. However, they may be two options available
to the AELA. Firstly, the AELA can refuse the application. The basis of refusing the application can be
the failure of the new owner to meet the requirements of a fit and proper person. However, the AELA
runs the risks of being challenged on the administrative justice requirements. Secondly, the AELA may
approve the application subject to certain strict conditions that the new owner may have to comply with.
This must be additional conditions to the existing licence conditions. The AELA must determine such
additional conditions. Again, if there were objections to the application, the AELA runs the risks of being
challenged on the administrative justice requirements by an interested and/or affected party.
The AELA must weight its options.
The suggested turnaround time to issue an amended AEL is 10 days after the submission of all
required information.
3.3.3.2 Renewal of an existing AEL (section 47 of the AQA)
NOTE: It is important for all AELA to note that the type of application anticipated here are all
applications that are due for renewal after expiry, and those applications in terms of the
transitional arrangements as contemplated in section 61 of the AQA. All holders of provisional
registration certificates / AEL, at the time of the repeal of the APPA, i.e. 11 September 2009, have a
period of two years to apply for a renewal of their licences to AEL. All holders of final registration
certificates, at the time of the repeal of the APPA, i.e. 11 September 2009, have a period of three
years to renew their registration certificates into AEL. Failure by the applicant to comply with
section 61 will result in those licences being invalid after 2 and 3 years respectively.
18
Whether all relevant sections of the application form has been completed; and
Proof that the relevant provincial air quality officer has been notified of the application.
If the application does not comply with any of the abovementioned requirements and/or contains
insufficient information, the AELA must inform the applicant accordingly. Any additional information that
the AELA may require must be requested at this stage. The AELA must indicate in the letter to the
applicant that, failure to comply with the above requirements and / or legal request from the AELA, may
result in the refusal of the application.
The suggested turnaround time for AELA to acknowledge receipt and/or requesting any further
information from the applicant is 14 days after the receipt of the application.
Step 3: Notification of the relevant organs of state, interested persons and the public regarding
the application
In terms of section 38(3) of the AQA, the applicant is required to take certain steps to bring the
application to the attention of the relevant organ of state, interested persons and the public.
It is important to note that the AELA cannot process the application until such requirements have
been fulfilled and that no objections have been received against the application. It may be vital for the
AELA to insist on the applicant submitting proof regarding compliance with section 38(3)(b)
requirements.
Step 4: Consideration of the application
The AELA must proceed to consider the application after the following requirements are complied
with:
-
Proof whether the application was brought to the attention of interested and affected;
If the AELA is satisfied that all the required information has been submitted, then it can proceed to
consider and take a decision on the application.
19
Step 5: Decision
The AELA has two options, namely, (a) to grant an application; or (b) refuse an application.
In terms of section 40(2) of the AQA, any decision of the AELA to grant an application must be
consistent with certain factors. AELA are urged to carefully consider those issues as set out in section
40(2) of the AQA.
It is important for the AELA to note that if they refuse an application for renewal that its decision must
be based on technically sound reasons. Failure to comply with these requirements will result in its
decision being challenged on judicial review. Section 40(2) requirements provide a good basis for such
technical reasons.
The suggested turnaround time to issue a renewed AEL is 60 days after the submission of all
required information.
4.
Within the AEL process there are three key technical decision points where the AELA must
consider all relevant guidance, policies, norms and standards and conditions relevant to the application.
These are:
If the answer is Yes decide what type of license should be issued (provisional or final AEL);
This sequence of decisions is illustrated in the Figure below and detailed guidance on how to make
these decisions is provided in the following sections.
If no follow prescribed
procedures for communicating
and informing applicant of
decision
Decision
Point
No
Yes
Decision
Point
Decision
Point
AEL
20
4.1.
The precursor to this decision will have been determined through the joint EIA/AEL process. The
principle is as follows:
If an EIA Environmental Authorisation is granted, then the AEL will be granted (unless there
has been a serious flaw in the EIA process which has overlooked significant atmospheric
impacts which are then raised later in the AEL process);
If an EIA Environmental Authorisation is refused, then an AEL will not be issued; and
Continuous non-compliance with existing AEL conditions where the application for renewal
of an existing licence may be refused. Such a decision will be based on the findings of the
compliance monitoring and inspection reports.
4.2.
Final AEL.
A provisional AEL is issued to a new activity (not in existence yet) and will be converted later into final
AEL when the commissioned facility has been in full compliance with the conditions and requirements of
the provisional AEL for a period of at least 6 months.
The final AEL includes specific conditions to be complied with within a specific timeframe. The AEL, in
terms of the National Framework, is valid for a period of 5 years.
4.3.
4.3.1.
This is the crux of an AEL that involves specific sequence of thought and consideration of technical
documents and information. Thus, there are two important legal documents that must be considered
when setting emission standards in an AEL:
Listed Activities and national minimum emission standards (section 21 notice in terms of
AQA); and
The AEL is a key regulatory tool for managing the ambient air quality in a particular area. Thus, when
setting emission standards for an activity, it is important to understand the levels of the pollutants in the
ambient air and national ambient air quality standards. Therefore, it is important to understand the
potential impact of the existing and/or potential emissions from the applicants activity on the ambient
standards and how these relate to other potential sources in the area.
21
Emission Standards
For criteria pollutants
Figure: Setting emission standards for an AEL must consider both the national minimum
emission standards for the criteria pollutant concerned plus ambient levels, national ambient air
quality standards for the criteria pollutant concerned.
In summary, where ambient concentrations of a particular criteria pollutant exceed the national ambient
air quality standard an acceptable intervention on the part of the AELA will be the review of AELs in
the area, with the main aim of revising the emission standards for the problematic polluters and to make
those stricter, and strict enforcement of the AEL conditions.
With this context in mind, there are a series of technical decision-making steps the AELA must follow
when setting emission standards for certain criteria pollutants:
Step 1: Refer to the Listed Activities and Associated National Minimum Emission Standards
(Section 21 Notice). This is a legal document that has the force of law.
From the section 21 notice, the AELA must identify the relevant activity and the emission standards for
each criteria pollutant relevant to the activity being considered and note any other conditions associated
with such pollutants.
This is the starting point in the emission standards setting decision and these standards can now be
technically examined within the context of ambient air conditions and standards.
The section 21 notice is arranged by listed activity and for each activity outlines:
22
Transitional and other special arrangements. This includes specific requirements for certain listed
activities.
The figure below provides an example of a section 21 notice and the annotations indicate the
information to be used in setting emission standards within the AEL.
1. Category of Listed Activity
Number:
Category Title
Metallurgical Industry
2. Listed Activity
Being an activity which results in atmospheric emissions and which the Minister reasonably believes have or
may have a significant detrimental effect on the environment, including heath, social conditions, economic
conditions, ecological conditions or cultural heritage as contemplated in section 21(1)(a) of the Act
Number:
4.17
Category Title
Description
Size:
All installations
Common Name
Chemical Symbol
New Plant
Existing
Plan
Particulate Matter
Not applicable
50
50
Sulphur Dioxide
SO2
400
400
Chlorine
Cl2
50
50
Nitrogen Oxides
Nox
300
500
Hydrogen Chloride
HCl
30
30
Total Fluorides
HF
30
30
Requirement
Application
23
From date of
publication
Include this information
as conditions and to set
compliance timeframes.
Step 2(a): Are there any provincial emission standards which have been set for the criteria pollutant
under consideration that are stricter than the national standards?
If so these should be used and taken forward into the next step of the process.
If not then the national standards are applicable.
Step 2(b): Are there any local emission standards which have been set for the criteria pollutant under
consideration that are stricter than the national and provincial standards?
If so these should be used and taken forward into the next step of the process.
If not then the national standards are applicable.
Step 3: With all the relevant information for the listed activity/key pollutants to hand collate all
relevant ambient air quality documentation and extract information related to the existing ambient
concentrations and any standards which have been set for these pollutants.
These documents should include:
If the activity is undertaken at a declared priority area, then the AELA must consider the
objectives of the gazetted Air Quality Management Plan in relation to the AEL;
If the AEL application is for a review AEL, an Atmospheric Impact Report should be requested
from the applicant by the AELA and should include all the prescribed legal requirements in
terms of section 30 of the AQA; and
Step 4: For each listed activity and there are criteria pollutants to be regulated - compare
emission standards with ambient information to determine the permissible emission standards
for the AEL in question.
The key decision to make is whether the emission standards is adequate in the context of the
ambient concentrations of the criteria pollutants, or whether these concentrations and the likely
cumulative impact of the applicants emissions warrant strict permissible emission standards.
4.3.2.
The section 21 notice provides for the compliance timeframes for the national minimum emission
standards for all the listed activities. Where the AEL incorporate the section 21 notice national emission
standards, the compliance timeframes as set out in the section 21 notice must be recorded in the AEL.
4.3.3.
Specific conditions
Specific conditions relevant to the listed activity in question may be included in the AEL, taking guidance
from the section 21 notice. These conditions typically include monitoring and reporting requirements.
24
5.
The purpose of this section is to provide a practical exercise to draft an AEL, based on the information
submitted by the applicant in the application form. As a result, this section includes copies of the AEL
templates and set of comments to explain:
The reason for this information and how it will be used by the AELA; and
5.1.
The AEL application form must be completed by the applicant and submitted to the AELA. All supporting
information required in the application form must be provided by the applicant. The information in the
application form is then used by the AELA to draft the AEL as set out in Section 5.2.
Please note: All comments and examples are provided in blue and aims to explain the information
required and what it means.
25
This page must be completed and signed by the highest on-site authorising person.
Name of Enterprise:
Declaration of accuracy of information provided:
Application for an atmospheric emission licence / provisional atmospheric emission licence as
envisaged in chapter 5 of the National Environmental Management: Air Quality Act, 2004 (Act No. 39 of
2004).
I,
, declare that the information provided
in this application or attached to the application is, to the best of my knowledge, in all respects factually
true and correct. I am aware that the supply of false or misleading information in the application form is
a criminal offence in terms of section 51(1)(f) of the Act.
Signed at
on this
SIGNATURE
CAPACITY OF SIGNATORY
26
day of
Please complete all sections. Mark with an X in spaces where applicable. If the space provided
is insufficient, the required information may be submitted in the form of a memorandum. Attach
required maps and sketches. Graphics must be clear, labelled and, where applicable, should
include a true north arrow and scale.
1.
TYPE OF APPLICATION
Application for:
New application: means an application, in terms of section 37 of the Act, for an entirely new facility to be
constructed;
Renewal application: means an application, in terms of section 47 of the Act, to renew the RC / AEL that has
expired. This type of application also caters for the applications to be lodged during the transitional arrangement
period (section 61: transitional arrangements in respect of registration certificates issued in terms of the APPA);
Transfer application: means an application, in terms of section 44 of the Act, to transfer an existing AEL to new
owners;
Review application: means an application, in terms of section 45 of the Act, to review an existing AEL. This type
of application is mostly as a result of either an increase in production or change in releases i.e. change in control
equipment.
New Application
Transfer Application
Renewal Application
Review Application
Current Atmospheric Emission Licence Number (if List of all current Registration Certificate numbers held
applicable):
by the applicant i.e. 1131/1; 464/1; 464/2; 464/3
27
2.
ENTERPRISE INFORMATION
Entity Name:
Trading as:
28
3.
3.1.
Coordinates (UTM) of
Approximate Center of
Operations:
North-south:
East-west:
Extent (km):
e.g.: 0.516 km
e.g.: 1445m
Province:
e.g.: Gauteng
District/Metropolitan
Municipality:
Local Municipality:
3.2.
Provide a description of the surrounding land use within a 5 km radius, specifically noting the names and
proximity of residential and commercial areas in relation to the site of the works.
The industry is to provide a general description of the land use surrounding the facility.
E.g. the residential area of Pudimo is located approximately 2 km to the north of Company X facility with
commercial farming to the south about 500m away. Company X falls within an industrial site with Company Z
and Company Y located directly east and west of the site, respectively.
Attach map(s), satellite image(s) and/or aerial photograph(s) detailing location of premises in relation to
surrounding community.
The maps should preferably be in both electronic format and hard copy format showing the entire site with the
areas surrounding the site, thus a regional map / aerial photo.
29
4.
NATURE OF PROCESS
4.1.
Process Description
Please provide a detailed description of the entire production process including reference to the overall balance
sheet of inputs, outputs and emissions at the site of the works.
This is a process description to enable the AEL to understand exactly the entire process at the site entail and
where sources of atmospheric emissions might be.
4.2.
Listed Activities
List all Listed Activities, as published in terms of section 21 of the National Environmental Management: Air
Quality Act, 2004 (Act No. 39 of 2004), proposed to be conducted at the premises in terms of this application:
This section talks to section 21 notice. The applicant must indicate here the activities, as listed in the section 21
notice, which it would like undertake. These are activities that are not currently being carried out at the facility.
The section must contain the activities that the applicant is applying for to undertake. Examples are included
below.
Listed
Activity
Number
i.e. 1.1
Combustion installations
i.e. 4.3
Metallurgical industry
i.e. 5.3
Cement production
Despite the repeal of the Atmospheric Pollution Prevention Act, 1965 (Act No. 45 of 1965), list all Scheduled
Process(es), as was or were set out in the Second Schedule of the repealed Atmospheric Pollution Prevention
Act, 1965, currently conducted at the premises:
APPA
Registration
Certificate
Number
Date of
Registration
Certificate
Scheduled
Process Number
1131/1
03/04/1997
464/1
16/03/1992
30
464/2
15/04/1998
55
Galvanizing Processes
30
4.3.
Unit Processes
List all unit processes associated with the listed activities in operation at the premises by the atmospheric
emission licence holder, highlighting unit processes proposed in respect of this application:
This means either a continuous process occurring non-stop or a batch process reflecting an intermittent process
(i.e. not continuous). Examples included in the table below.
Unit Process
Batch or
Continuous
Process
Chemical Recovery
Continuous
Boilers
Continuous
Batch
Flaring
Batch
4.4.
Hours of Operation
Provide the hours of operation of all unit processes associated with the listed activity / ies in operation at the
premises by the Atmospheric Emission Licence Holder, highlighting processes proposed in respect of this
application: Examples included in the table below. Note that even though the process might be a batch process
the plant is available 24-hours per day.
Unit Process / Plant
Operating Hours
01h00-24h00
365 days
Boilers
01h00-24h00
361days
01h00-24h00
365 days
4.5.
Attach the following for the entire operation being undertaken at the site of the works:
Simplified block diagram with the name of each unit process in a block; showing links between all unit
processes or blocks. An example for a paper mill is included below:
31
Process flow chart(s) clearly indicating inputs, outputs and emissions at the site of works, including points of
potential fugitive emissions and emergency releases. An example for a paper mill is included:
32
33
Site layout diagram (plan view and to scale) indicating location of unit processes, plants, buildings, stacks,
stockpiles and roads (include true north arrow and scale). This must be preferably in electronic and hard
copy format indicating the site with all the processes, stacks, roads, stockpile areas, crushing
locations, bag houses, ESPs etc. on the map.
NB: Indicate clearly on the above graphics the listed activity or activities applied for in this application.
Alternatively, provide additional graphics for the listed activity or activities applied for.
5.
Provide production and by-production rates, raw material information and emissions information.
5.1.
This requires a list of all raw materials used at a site and the quantities over a specific period. An
example is provided in the table below.
Raw Material Type
Maximum
Permitted
Consumption Rate
(Volume)
Design
Consumption Rate
(Volume)
16 060
21 855
20 278
Tons/month
Total Ore
197 100
153 537
134 928.2
Tons/month
Silica
10 kg/ton
922.3368
855.7901
Tons/month
Dolomite
16 060
10253.39
18 326.66
Tons/month
5.2.
Actual
Consumption
Rate (Volume)
Units
(quantity/period)
Production Rates
This requires a list of all products resulting from the on-site processes used at a site and the quantities
over a specific period. Products refer to any product resulting from a process. Thus, even if the product
is directly fed into another process, it is still listed under products (viz. if Coke is produced at a site and
used in the blast furnaces at the same site, it is a product. If coke is imported from another place to be
used in the blast furnaces it will fall under raw materials). An example from an Iron and Steel Plant is
provided in the table below.
Maximum
Production
Capacity Permitted
(Volume)
Design Production
Capacity (Volume)
Actual Production
Capacity (Volume)
Units
(quantity/period)
Metallurgical Coke
Metallurgical Coke
Metallurgical Coke
Metallurgical Coke
Metallurgical
Coke
Production Name
Blast Furnaces
Molten iron
3 600
4 200
34
3 454
tons/day
This requires a list of all by-products resulting from the on-site processes and the quantities over a
specific period. By-product is a side product resulting from a process but not the main objective of that
process. An example from an Iron and Steel Plant is provided in the table below.
Maximum
Production
Capacity Permitted
(Volume)
By-Product Name
Design
Production
Capacity
(Volume)
Actual Production
Capacity (Volume)
Units
(quantity/period)
None specified
5 693
Tons/month
Tar Sludge
None specified
90
Tons/month
Coke Breeze
None specified
2 723
Tons/month
None specified
2 582
Tons/month
None specified
1 131
Tons/month
None specified
1 224
Tons/month
Granulated Slag
None specified
63 602
Tons/month
Slag
None specified
8 220
Tons/month
Coke Breeze
None specified
6 770
Tons/month
Blast Furnace
5.3.
This includes all energy sources utilised on-site, including energy purchased and off-gas from processes
used within the facility.
Energy
Source
Sulphur
Content of
Fuel (%) (if
applicable)
Ash Content
of Fuel (%) (if
applicable)
Maximum
Permitted
Consumption
Rate
(Volume)
Design
Consumption
Rate
(Volume)
Actual
Consumption
Rate (Volume)
Units
(quantity
/period)
Electricity
purchased
from Eskom,
Works 11kV
N/A
N/A
None
Specified
N/A
1702300
MWH/YR
Natural Gas
15 ppm (max)
N/A
None
Specified
5430000
GJ/Year
COG
Consumed
(After
cleaning)
1.5 mg/Nm3
N/A
None
Specified
9542000
GJ/YR
COG Flared
1.5 mg/Nm3
N/A
None
Specified
2021000
GJ/YR
35
5.4.
5.4.1.
Point sources mean a single identifiable source at a fixed location from where pollutants may be discharged to atmosphere, i.e. a stack or chimney.
Unique
Stack
ID
Source
Name
Latitude
(decimal
degrees)
Longitude
(decimal
degrees)
Height of
Release
Above
Ground (m)
Height
Above
Nearby
Building (m)
Diameter at
Stack Tip /
Vent Exit
(m)
Actual Gas
Exit
Temperature
(C)
Actual Gas
Volumetric
Flow (m/hr)
B1
Boilers 1, 2
&3
E28o2635
S26o1225
61.0
36.0
4.00
171.0
235242
5.2
B2
Boilers 4, 5
&6
E28o2634
S26o1223
45.7
20.7
1.98
358.5
53206
4.8
36
5.4.2.
Continuous emissions are routine emissions thus non-stop processes. The emissions reflects the conditions when everything is working correctly thus under normal operating
conditions. Therefore the highest hourly and highest daily concentrations can differ (see explanations in table). Annual averages take the average of all measured/calculated
emissions over a year.
Routine but intermittent emissions are processes that run throughout the year but only for a certain periods per day (i.e. batch processes that run every 3 hours for example).
Emergency only this includes accidental emissions, leakages, control technology outages etc.
As Per
5.4.1
Code
Pollutant
Name
Emission
Hours
(e.g. 07h00
17h00)
Type of
Emission
(Continuous /
routine but
intermittent /
emergency
only)
(mg/Nm)
(mg/Am)
(g/s)
(mg/Nm)
(mg/Am)
(tons/day)
(mg/Nm)
(mg/Am)
(tpa)
1519.4
32
50
1314.9
369
50
258.3
129526
24 hours
Continuous
48
80
554
80
194058
24 hours
Continuous
B1
PM
50
B2
SO2
80
37
5.4.3.
Industry must provide information on emission monitoring requirements as set out in currently held atmospheric emission licence(s) (as applicable) for existing operations at the
site of works.
As per 5.4.1 ID
Sampling Frequency
38
Sampling Duration
Measured Parameters
5.4.4.
Industry is required to provide the methods used in determining the emission rates. Thus, if an engineering calculation or emission factor was used the methodology should be
referenced. This is to provide the AELA with an insight into the credibility of the data. If recognised international methods are used to collect the samples these should be
reflected. An example is provided below.
As Per 5.4.1
Code
B1
39
5.4.5.
Area and line sources refer to all non-point sources (i.e. sources releasing atmospheric emissions from a non-identifiable point or fixed location). Area sources include sources
such as storage piles, tailings dams, waste/discard dumps, crushing and screening activities, tipping points (loading and unloading of material), scraping and grading etc.
Line sources include sources such as roads (paved and unpaved), vents on building rooftops.
Unique
Area
Source
ID
Source Name
Coke SP
Electric Arc
Furnace Roof
Emissions
Road to storage
area
RTV1
Road 1
Source Description
Latitude
(decimal
degrees) of
SW corner
270 43 32
Longitude
(decimal
degrees) of
SW corner
Height of
Release
Above
Ground (m)
Length of
Area (m)
Width of
Area (m)
Angle of Rotation
from True North
()
300 00 09
Ground level
770
250
10
303854
55 m
162
14
90
303854
Ground level
55
10
294913
40
5.4.6.
The maximum hourly release rate and maximum daily rate can differ if a source is only operational for a couple of hours per day (i.e. vehicles on plant roads). Also the plant
might only be operational for 6 days per week.
Continuous emissions will be for non-stop sources i.e. any activities that occur continuously for 24 hours a day. Emissions from rooftop vents for example can be
intermittent for emissions are only released during furnace tapping.
As per 5.4.5
ID
Pollutant Name
Maximum Daily
Release Rate
(tons/day)
Average Annual
Release Rate
(tons/annum)
Emission Hours
(e.g. 07h00 17h00)
Particulates (TSP)
0.025
9.16
0.0056
2.06
RTV1
Particulates
1.08
Road 1
Particulates
0.0005
Coke SP
Type of Emission
(Continuous /
intermittent)
Wind Dependent
(yes/no)
Intermittent
Yes
394.2
Intermittent
No
0.182
07h00 07h00
Intermittent
No
41
5.4.7.
Provide information on management and mitigation measures specified in currently held Atmospheric Emission Licences (as applicable) for existing operations at the site of the
works.
An example is provided below.
As per 5.4.5
ID
Compliance to
Specific
Measures
(Yes/No)
Timeframe for
Implementation of
Specific Measures
Method of Monitoring
Measure Effectiveness
Contingency Measure
Yes
3 months
RTV1
Yes
5 years
No visible fumes
emanating from the vents
Road 1
No
3 months
Coke SP
42
none
5.4.8.
Similar to point source emissions, the method of quantifying the area and line source emissions should be provided viz. US.EPA AP42 for Unpaved roads.
As per 5.4.5
ID
Coke SP
RTV1
Road 1
US.EPA AP42 emission factors for Paved Roads 2003. All roads calculated based on type of vehicles, weight of vehicles, traffic and silt content of
roads. Silt content was measured on the main plant road as 8.4 g/m.
43
5.4.9.
Attach site layout diagram(s) (plan view and to scale, include true north arrow and scale) indicating:
location of point and area sources listed with unique stack ID and unique area ID, respectively, specified.
Indicate clearly on the above graphics the listed activity or activities applied for in this application. Alternatively, provide additional graphics for the listed activity or activities
applied for.
44
6.
6.1.
Provide information on appliances and measures implemented to prevent air pollution for the entire operation at the site of the works, highlighting information for process(es)
proposed in respect of this application.
This includes all control equipment in place at the sources reported in Table 6.4.1 and 6.4.2. Examples are provided below.
Appliances
Associated Appliance / Appliance
Unique Stack Process
Type /
ID
Equipment Description
Number
B1
09789
Electrostatic 1025
1983
Precipitators
Lurgi Type
1990
1999
FFP
1996
2001
Design
Capacity
Permitted
Minimum
Control
Efficiency
(%)
99.6%
Electrostatic
precipitators
B2
12345
Fabric Filter
Bags
1030
1976
AbbFlakt
Design for
Optipulse
50 mg/Sm3.
Pulse jet
23100
Fabric Filter
PPS/PI bags
Bags.
45
99.9%
Permitted
Minimum
Utilisation
(%)
6.2.
List potential start up, maintenance, shut down, upset conditions and associated responses related to the operations at the site of the works, highlight possible releases and
responses for the proposed listed activity or activities in respect of the current application.
This section requires the applicant to indicate to the AELA which unit processes will be shut down for maintenance, for how long, the type of pollutant that will emitted during
that period and the back up plans they have in place to minimise air pollution. This information will assist the AELA to include the necessary conditions in the AEL.
Unit Process
Pollutant(s) Released
46
6.3.
Atmospheric Emission Licence holders are required to establish an Environmental Management System (EMS) that gives effect to the principle of continuous improvement.
The EMS must as a minimum provide for the actions listed below. Specify dates by which the following actions have been / will be taken for the entire operation at the site of
the works:
Item
Action
47
6.4.
List activities to improve energy utilisation and efficiency which are currently implemented at the site of works, highlighting proposed measures to be implemented in respect of
the proposed listed activity or activities.
Energy Conservation
Measure
Date Implemented / to be
Implemented
Target
48
6.5.
List cleaner production measures which are currently implemented at the site of works, highlighting proposed measures to be implemented in respect of the proposed listed
activity or activities.
Cleaner Production
Measure
Date Implemented / to be
Implemented
Target
49
6.6.
6.6.1.
Complaints Register
If atmospheric emission licence(s) are currently held, summarise instances of non-compliance with the conditions of such atmospheric emission licence(s) which have occurred
over the past two years:
Unique Stack ID
Steel plant
Pollutant Released
Dust
Emission Limit
Exceeded
120 mg/Nm
50
Measures Implemented to
Prevent Recurrence
ESP repaired
7.
DISPOSAL OF WASTE AND EFFLUENTS ARISING FROM AIR POLLUTION MITIGATION MEASURES
Provide the following information for any waste and effluent arising from any air pollution mitigation measures that are currently in place at the site of the works:
Unique Stack or Area ID
(As per 5.4.1 or 5.4.5 above)
Boilers
Copeland
Scrubber water
Hazardous Components
Present
Method of Disposal
Water reused in the system
Licence Status
(Provisional or Final)
Boilers
Copeland
Provide information on any waste and effluent which will arise from air pollution mitigation measures proposed for implementation for the listed activity or activities dealt with in
this application:
Unique Stack or Area ID
(As per 5.4.1 or 5.4.5 above)
Hazardous Components
Present
51
Method of Disposal
Licence Status
(Provisional or Final)
5.2.
AEL Template
The AEL is to be drafted by the AELA based on the information supplied by the applicant in the AEL
Application Form as provided in the previous section. Even though most of the information is exactly the
same it is important that the AELA understands the information and is comfortable with the level of detail
provided.
The AELA can as ask the applicant for additional information or to clarify certain information as provided
in the Application Form where necessary.
The AEL Template includes many of the sections contained in the AEL Application Form with the main
difference being the sections pertaining to the AEL specific conditions. The AEL template provided in
this section is of a fictional power station. Please note: All examples are provided in blue.
52
This Atmospheric Emission Licence issued to Energy for Africa (Pty) Ltd in terms of section 41(1)(a) of the
National Environmental Management: Air Quality Act, 2004 (Act No. 39 of 2004) (the Act), in respect of Listed
Activity No. 1.1. The Atmospheric Emission Licence has been issued on the basis of information provided in the
companys application dated 28 February 2008 and information that became available during processing of the
application.
The Atmospheric Emission Licence is valid until 31 March 2013.
The reason issuance of the current licence is renewal.
The Atmospheric Emission Licence is issued subject to the conditions and requirements set out below which form
part of the Atmospheric Emission Licence and which are binding on the holder of the Atmospheric Emission
Licence (the holder).
1.
AEL 1025/1
Final
31 March 2011
53
2.
Enterprise Name
Trading as:
Enterprise
Registration
Number 2000/018327/02
(Registration Numbers if Joint Venture)
Registered Address
Postal Address
(012) 555-1396
Industry Sector
Power Generation
Telephone Number
Fax Number
Email Address
089 325-6699
54
3.
3.1.
Physical Address
Premises
of
the
Property Registration Number (Surveyor- Include number as provided in the application form
General Code)
Coordinates (Latitude, Longitude) of Latitude: 233720S
Approximate Center of Operations
Longitude: 283350E
(Decimal Degrees)
Extent (km)
1 349,0638 ha
1017 m.a.ms.l
Province
Limpopo Province
Local Municipality
Not Applicable
3.2.
A coal mine is located directly east and south east of the power stations with commercial mixed farming on the
land to the north, the east and the south. A game farm is located to the east with the town of Lephalale
approximately 20 km to the west. On the farm there are homesteads and farm houses with a lodge on the game
farm.
55
56
4.
GENERAL CONDITIONS
4.1.
The holder of the atmospheric emission licence must ensure that all unit processes and apparatus used for the
purpose of undertaking the listed activity in question, and all appliances and mitigation measures for preventing or
reducing atmospheric emissions, are at all times properly maintained and operated.
No building, plant or site of works used by the licence holder shall be materially extended, altered or added to the
listed activity without the prior approval of the licensing authority.
Any changes in processes or production increases, by the licence holder, will require prior approval by the
licensing authority.
Any changes to the type and quantities of input materials and products, or to production equipment and treatment
facilities will require prior written approval by the licensing authority.
The licence holder must, in writing, inform the licensing authority of any change of ownership of the enterprise.
The licensing authority must be informed within 30 (thirty) days after the change of ownership.
The licence holder must immediately on cessation or decommissioning of the listed activity inform, in writing,
inform the licensing authority.
4.2.
The holder of the licence must, when undertaking the listed activity, adhere to the duty of care obligations as set
out in section 28 of the National Environmental Management Act, 1997 (Act No. 107 of 1998) (NEMA).
The licence holder must undertake the necessary measures to minimise or contain the atmospheric emissions.
The measures are set out in section 28(3) of the NEMA.
Failure to comply with the above condition is a breach of the duty of care, and the licence holder will be subject to
the sanctions set out in section 28 of the NEMA.
4.3.
Measurement, calculation and/or sampling and analysis shall be carried out in accordance with any nationally or
internationally acceptable standard. A different method may be acceptable to the licensing authority as long as it
has been consulted and agreed to the satisfactory documentation necessary in confirming the equivalent test
reliability, quality and equivalence of analyses.
The licence holder is responsible for quality assurance of methods and performance. Where the holder of the
licence uses external laboratories for sampling or analysis, accredited laboratories and service shall be used
whenever possible.
The licence holder is responsible for ensuring compliance with the conditions of this licence by any person acting
on his, her or its behalf, including but not limited to, an employee, agent, sub-contractor or person rendering a
service to the holder of the licence.
The licence does not relieve the licence holder to comply with any other statutory requirements that may be
applicable to the carrying on of the listed activity.
A copy of the licence must, at all times, be kept at the premises where the listed activity is undertaken. The
licence must be made available to the environmental management inspector representing the licensing authority
who requests to see it.
The licence holder must inform, in writing, the licensing authority of any change of its details including the name
of the emission control officer, postal address and/or telephonic details.
57
4.4.
The licence holder must comply with the obligations as set out in Chapter 5 of the Act.
The principles and legal requirements as set out in section 2 of the NEMA are also applicable to the atmospheric
emission licence.
4.5.
The licence holder must, for the period of validity of the licence, pay the processing fee annually to the licensing
authority. The processing fee must, for the period of validity of the licence, be paid at the end of November each
year.
5.
NATURE OF PROCESS
5.1.
Process Description
Waterberg Power Station has a contract with Grootgeluk Mine to supply the station with 10 million tons of coal per
annum. All the coal is conveyed to the power station coal scathes and stored in coal bunkers. Coal is then
conveyed to the mills where it is milled to pulverised fuel which is used for combustion in the boiler. The
combustion in the boiler heats water to superheated steam which drives the turbines. The turbines again drive the
generator which generates 600MW of electricity, of which 25MW is used internally and 575MW is sent out to the
national transmission network. The station uses coal and water as primary energy sources, generates electricity
and produces ash in a solid waste state, as well as fly ash of which 99% gets collected in electrostatic
precipitators. The ash slurry is pumped to the ash dams. The remaining dust is emitted via the smoke stacks as
particulate emissions.
5.2.
Listed Activities
List of all Listed Activities, as published in terms of Section 21 of the AQA, authorised to be undertaken at the
premises by the licence holder:
Listed
Activity
Number
Combustion
Installations
1.1
5.3.
Category of
Listed
Activity
Unit Processes
List of all unit processes associated with the listed activities to be undertaken at the site of work.
Unit Process
Boilers 1 6
Batch or Continuous
Process
Continuous process
Continuous process
58
Continuous process
Hours of Operation
Provide the hours of operation of all unit processes associated with the listed activities to be undertaken at the
site of work. Please note that even though the process might be a batch process the plant is available 24 hours
per day.
Unit Process
Operating Hours
Boiler 1
24 Hours
365 days
Boiler 2
24 Hours
365 days
Boiler 3
24 Hours
365 days
Boiler 4
24 Hours
365 days
Boiler 5
24 Hours
365 days
Boiler 6
24 Hours
365 days
59
5.5.
Simplified block diagram with the name of each unit process showing links between all unit
processes or blocks
60
(b)
Process flow chart indicating inputs, outputs and emissions at the site of works,
including points of potential fugitive emissions and emergency releases.
WATER
AIR
COAL
BOILER
Flue
Gas
Ash
STEAM
HIGH
PRESSURE
TURBINE
STEAM
REHEATING
GENERATOR
LOW
PRESSURE
TURBINE
COOLING TOWER
CONDENSER
COOLING
WATER
COOLING
TOWER
61
(c)
Site layout diagram indicating location of unit processes, plants, buildings, stacks, stockpiles
and roads
62
SPECIFIC CONDITIONS
6.
6.1.
2 928 759
Units (quantity/period)
ton/annum
(3 units)
6 627 551
litres/annum
(2007)
(3 units)
6.2.
496
Units (quantity/period)
Ml/annum
Production Rates
Regulated Products
Product Name
Energy
Units
(quantity/period)
tons/day
Non-regulated Products
Product / By-Product Name
Units
(quantity/period)
Tar Sludge
5 693
tons/month
Ash (2007)
761 477
tons/annum
Slag
8 220
tons/annum
63
6.3.
Energy Source
Coal (2007)
Units
(quantity/period)
ton/annum
64
Fuel Characteristics
(%)
1.9 %
6.4.
6.4.1.
Point
Source
Code
Source Name
Latitude
(decimal
degrees)
Longitude
(decimal
degrees)
South
East
Height of
Release
Above
Ground
(m)
Height
Above
Nearby
Building
(m)
Diameter
at Stack
Tip /
Vent Exit
(m)
Actual Gas
Exit
Temperature
(C)
Actual Gas
Volumetric
Flow
(m/hr)
Actual
Gas Exit
Velocity
(m/s)
Emission
Hours
Type of
Emission
(Continuou
s / Batch)
North
Stack
23.6335 S
28.5678 E
152
85.5
4.17
140
3 665 262
19. 57
24Hrs
Continuous
South
Stack
South Smoke
Stack
23.3252 S
28.5432 E
152
85.5
4.17
140
3 665 262
19. 57
24Hrs
Continuous
6.4.2.
Area
Source
Code
Source Name
Source Description
Latitude
(decimal
degrees) of
SW corner
Longitude
(decimal
degrees) of
SW corner
Height of
Release
Above
Ground (m)
Length of
Area (m)
Width of
Area (m)
Emission
Hours
Type of
Emission
(Continuous
/
intermittent)
CS
Coal stockyard
Coal fines/dust
24.4655 S
28. 2975 E
0-15
550
130
24Hrs
Intermittent
CSTP
Coal Staithes
(transfer points)
Coal fines/dust
23.4575 S
28. 2511 E
15
250
14
24Hrs
Intermittent
CCB
Coal conveyors to
bunkers in station
Coal fines/dust
23. 6355 S
28. 7500 E
10
330
24Hrs
Intermittent
BB
Bunkers
Coal fines/dust
23. 225 S
28. 3335 E
330
24Hrs
Intermittent
65
7.
7.1.
Associated
Source
Appliance
Code
/ Process
Equipment
Number
Appliances
Appliance
Serial
Number
Appliance
Appliance
Product
Type /
Manufacture Name and
Description
Date
Model
Commission
Date
Date of
Significant
Modification
/ Upgrade
Technology
Type
North
Stack
123456
Electrostatic
Precipitator
1986
Lurgi ESP
1990
None
ESP
South
Stack
789011
Electrostatic
Precipitator
1976
Lodge
Cottrell
ESP
1980
2006
ESP
7.2.
Design
Capacity
Permitted
Minimum
Control
Efficiency
(%)
Permitted
Minimum
Utilisation
(%)
<50mg/Sm
99.6%
99.6%
<50mg/Sm
98%
98%
Point Source Maximum Permissible Emission Rates (Under Normal Working Conditions)
This is an AELA decision based on the Section 21 notice (National listed activities and minimum emission standards). This document will provide the necessary
base and guidance on the applicable emission standards for that activity, compliance timeframes for new and existing plants, reporting requirements, acceptable
measurement methods, frequency of monitoring and other special arrangements.
Point
Source
Code
North
Stack
Pollutant
Name
Maximum Permissible
Release Rate
(mg/Nm)
Date to be
Achieved By
Average Period
(Instantaneous, Hourly,
Daily, Monthly,
Annually)
Maximum Gas
Volumetric Flow
(m/hr)
Permitted Emission
Hours
Permitted Duration
of Emissions
Particulates 75
11/09/2010
Daily
3 665 262
19. 57
24 Hours
Continuous
CO
100
11/09/2010
Hourly
3 665 262
19. 57
24 Hours
Continuous
SO2
2000
11/09/2010
Hourly
3 665 262
19. 57
24 Hours
Continuous
66
NOx
South
Stack
800
11/09/2010
Hourly
3 665 262
19. 57
24 Hours
Continuous
Particulates 75
11/09/2010
Daily
3 665 262
19.57
24 Hours
Continuous
CO
100
11/09/2010
Hourly
3 665 262
19. 57
24 Hours
Continuous
SO2
2000
11/09/2010
Hourly
3 665 262
19. 57
24 Hours
Continuous
NOx
800
11/09/2010
Hourly
3 665 262
19. 57
24 Hours
Continuous
7.3.
Point Source Maximum Permissible Emission Rates (Under Start Up, Maintenance and Shut-Down Conditions)
This is an AELA decision based on the Section 21 notice (National listed activities and minimum emission standards). This document will provide the necessary
base and guidance on the applicable emission standards for that activity, compliance timeframes for new and existing plants, reporting requirements, acceptable
measurement methods, frequency of monitoring and other special arrangements.
Point
Source
Code
North
Stack
Pollutant
Name
Maximum Permissible
Release Rate
(mg/Nm)
Date to be
Achieved By
Average Period
(Instantaneous, Hourly,
Daily, Monthly,
Annually)
Maximum Gas
Volumetric Flow
(m/hr)
Permitted Emission
Hours
Permitted Duration
of Emissions
Particulates 85
11/09/2010
Daily
3 665 262
19. 57
Intermittent
CO
11/09/2010
Hourly
3 665 262
19. 57
Intermittent
150
67
South
Stack
SO2
2500
11/09/2010
Hourly
3 665 262
19. 57
NOx
900
11/09/2010
Hourly
3 665 262
19. 57
Particulates 85
11/09/2010
Daily
3 665 262
19.57
CO
150
11/09/2010
Hourly
3 665 262
19. 57
SO2
2500
11/09/2010
Hourly
3 665 262
19. 57
NOx
900
11/09/2010
Hourly
3 665 262
19. 57
68
7.4.
This is an AELA decision based on the Section 21 notice (National listed activities and minimum emission standards). This document will provide the necessary
base and guidance on the applicable emission standards for that activity, compliance timeframes for new and existing plants, reporting requirements, acceptable
measurement methods, frequency of monitoring and other special arrangements.
Point
Source
Code
Emission Sampling /
Monitoring Method
Sampling
Frequency
Sampling
Duration
Parameters to be Measured
Parameters to be
Reported
Reporting Frequency
North Stack
Gaseous monitors
Continuous
24 Hours
Damage to or failure of
monitoring equipment.
North Stack
Continuous
24 Hours
Dust
Damage to or failure of
monitoring equipment.
North Stack
Continuous
24 Hours
Damage to or failure of
monitoring equipment.
South Stack
Gaseous monitors
Continuous
24 Hours
Damage to or failure of
monitoring equipment.
South Stack
Continuous
24 Hours
Dust
Damage to or failure of
monitoring equipment.
South Stack
24 Hours
Damage to or failure of
monitoring equipment.
69
7.5.
This is another AELA important decision. The authority must apply its mind with regard to the practical measures that may undertaken by the applicant to mitigate
dust from stockpiles, gravel roads and other fugitives. The applicant in the application form may have suggested measures. It is important for AELA to do its won
research to determine whether what is suggested by the applicant is enough or practically achievable. Therefore, the starting point should be the suggested
measures by the applicant in the application and build from there.
Area
Source
Code
Description of Specific
Measures
Required
Control
Efficiency (%)
Timeframe for
Achieving Required
Control Efficiency
Method of Monitoring
Measures
Effectiveness
Contingency Measures
MM
98
BPFF
99
BBA
99
BEF
98
70
SSP
99
AD
98
7.6.
The licence holder shall evaluate its activities to improve energy utilisation and efficiency.
Energy Conservation
Measure
Implementation Date
Target
Water Consumption is
calculated daily in order to
determine the losses and to
prevent such going forward.
71
7.7.
Implementation Date
01 January 2011
Target
To be determined
72
7.8.
Complaints Register
The licence holder must maintain a complaints register at its premises, and such register must be made available
for inspections. The complaints register must include the following information on the complainant, namely, the
name, physical address, telephone number, date and the time when the complain was registered. The register
should also provide space for noise, dust and offensive odours complaints.
Furthermore, the licence holder is to investigate and report to the licencing authority in a summarised format on
the total number of complaints logged and indicate the number of complaints attributable to it. The licensing
authority must also be provided with a copy of the complaints register. The record of a complaint must be kept for
at least 5 (five) years after the complaint was made.
Monthly Reporting
The licence holder must record and report any non-compliance with permitted emission standards to the licensing
authority. Any non-compliance must be reported to the licensing authority on a monthly basis, and must be
reported within 15 (fifteen) days of the reporting month end. The non-compliance must be reported in the
following format:
(a)
(b)
(c)
(d)
Calculation of impacts/emissions associated with the non-compliance incidents and dispersion modelling
of pollutants, where applicable;
(e)
(f)
Annual Reporting
The licence holder must complete and submit to the licensing authority an annual report. The report must include
information for the year under review. The report must be submitted to the licensing authority not later than 60
(sixty) days after the end of each reporting period. The annual report must include, amongst others, the following
items:
(a) Pollutant emissions trend;
(b) Compliance audit report(s);
(c) Major upgrades projects (i.e. abatement equipment or process equipment); and
(d) Greenhouse gas emissions.
The holder of the licence must keep a copy of the annual report for a period of at least 5 (five) years.
73
7.9.
This is another decision by the AELA and can include additional information that is required, where the
information provided is not adequate, where the quantification methods were unclear, where information
was not provided etc. This can also include feasibility studies and other investigations that the AELA
deems necessary to bring the industry in line with best practices in that particular industry sector.
Example is provided below:
Investigation
Purpose
Completion Date
8.
MITIGATION
The disposal of any waste and effluent arising from any air pollution mitigation measure must comply with the
applicable regulations and requirements of the relevant authorities.
Source Code / Name
Waste /
Effluent Type
Hazardous
Components
Present
Method of
Disposal
Permit Status
Ash
Alkaline dust
containing heavy
metal trace
elements, as well
as silica and
quartz.
Combined with
recycled water
and sent to on
site ash dam.
Ashing water
Effluent alkaline
water containing
heavy metal trace
elements, as well
as silica and
quartz.
Recycled water
used to quench
and sluice ash in
ash pipelines to
ash dam.
Application made to
DWAF to register and
license effluent water
use and storage 4th
September 2006.
9.
Failure to comply with any of the licence and relevant statutory conditions and/or requirements is an offence, and
licence holder, if convicted, will be subjected to those penalties as set out in section 52 of the AQA.
74
6.
6.1.
One of the most important concepts to understand about governance in general, is that it involves a
cycle of steps. For example, governance does not end with the issuing of a licence, but has to be
followed by compliance monitoring and enforcement activities. If a licence is issued without any
follow-up, namely compliance monitoring and enforcement, it will have little impact on the regulated
community. In the same vein, affected communities and individuals will have no faith in the
environmental regulatory regime.
It is important to emphasise that in order to ensure that the regulation of emissions is carried out to its
desired level of impact, there also needs to be communication between the steps of licensing,
monitoring compliance and enforcement. Lessons learned or findings from compliance monitoring
and enforcement activities should be fed back to the process of issuing an AEL in order to help the
AELA to improve the quality of the revised AEL. In particular, feedback from these activities can assist in
ensuring that an AEL is drafted in a manner that makes it easier to monitor compliance and enforce thus improving its overall effectiveness.
This means that the Air Quality Practitioners, responsible for drafting and issuing AEL, within the
AELA should establish and maintain good working relations with the Environmental Management
Inspectors (EMIs), who are legally responsible for compliance monitoring and enforcement actions.
Practically, there should be joint meetings every month to discuss issues of concern, joint
compliance monitoring site inspections and joint enforcement action initiatives. It is also a good
idea to have a standard operating procedure.
6.2.
In terms of the NEMA, the AQA is regarded as one of the specific environmental management acts
(SEMAs). Hence, the NEMA provides that all SEMAs are enforced by EMIs. NEMA requires the
designation of EMIs after they have undergone training to that effect. The legal mandates, functions and
general powers of EMIs are set out in Part-2 of NEMA. As result, the AQA as a SEMA falls within the
legal mandate of the EMIs to monitor compliance and to undertake enforcement activities. Therefore,
the AEL issued by the AELA are enforced by the EMIs.
Practically, the AELA must ensure that EMIs are designated and/or appointed within its administrations.
Depending on the complexity of the activities within the AELA jurisdiction, the AELA must determine the
number of EMIs to be designated and/or appointed. Importantly, the AELA must ensure that the EMIs
within their jurisdiction are designated to monitor compliance and enforce the AQA.
75
7.
7.1.
The administration of listed activities through the AEL licensing function established in the AQA will be
costly to government. The imposition of an AEL Processing Fee represents a just and efficient
mechanism for recuperating these administrative costs from polluters. Chapter 5 of the AQA
provides the legal basis for the AEL Processing Fee system. The administrative process described in
this administration protocol should be read with Chapter 5 of the AQA and AEL Processing Fee
Calculator Regulations. The processing fee is intended to cover the costs of the AEL application
process and the associated ongoing administrative costs related to the licence. It is, therefore,
important for the administrative fees system to be fair, uniform, and consistent across the
country. This will strengthen governments credibility in the area of air quality governance and will
also assist industries in planning ahead.
The administration protocol sets out:
7.2.
An overview of the policy objectives, legal basis and administrative processes for
implementing the AEL Processing Fee System; and
A guide on the use of the AEL Processing Fee Calculator by the AELA in determining
the processing fee.
An environmental burden on society (external costs), then the polluter should compensate the
Republic and society for these costs.
The management and effective implementation of the AQA will impose significant costs on government.
Some, but not all, of these costs arise due to the management requirements for licensed activities and
the AEL processing fee system is aimed at recovering this portion of the costs directly related to the
administration of licensed activities. This administration includes those activities required for the
evaluation of AEL applications and the ongoing compliance monitoring and AEL management
activities.
7.2.2. Legal basis
The legal basis for the AEL processing fee stems from the AQA. Specifically:
There is precedence for the licensing processing fee in South Africa. The fee is akin to the
basic/administrative charge (or Tier 1) under the Waste Discharge Charge System (WDCS) of the
76
Department of Water Affairs and Forestry17. The basic charge is, according to DWAF, intended to cover
the administrative costs of the system, which include water quality monitoring, the management of
financial systems and customer relations.
The objectives of the AEL Processing Fee are similar.
The National Treasury has also established a clear policy framework for the use of user charges (fees)
and environmental taxes and the AEL processing fee is in line with this policy framework.
7.3.
The implementation of the AEL processing fee system requires the establishment of the processing fee
framework by the DWEA and the administration of this by licensing authorities.
7.3.1. National requirements
The AEL processing fee framework established by the DWEA consists of:
Processing fee bands: each applicant will be scored and allocated to one of five processing
fee bands;
Scoring criteria and guidelines: criteria and guidelines for scoring these criteria will be
reviewed on an annual basis. This includes the weighting of the banding scores and criteria;
Associated parameters: the determination of the processing fees requires some additional
parameters that may change from time to time. E.g. the interest rate used to determine the
annual payments for the processing fee; and
AEL processing fee calculator: spreadsheet calculator for use in scoring applicants by the
licensing authorities.
17
Scoring of applications - the receipt of applications for licensing activities and the scoring of
these applications as per the criteria set out in the AEL processing fee calculator. Licensing
authorities must apply their minds in applying the criteria in scoring the applications.
Allocation to bands - the allocation of the scored applications to a processing fee band. This is
largely automatic once the scoring has been conducted but licensing authorities will need to
apply their minds to the score and ensure that the applicant has been scored fairly.
Processing fee determination - the actual determination of the processing fee. Again, this is
largely automatic but the licensing authority will need to apply its mind to the final processing
fee levied and ensure that due care was taken in arriving at the AEL processing fee.
Invoicing applications - the licensing authority will then prepare and issue an invoice for the
applicant.
Republic of South Africa, Department of Water Affairs and Forestry, 2003: Water Quality Management
Series. Sub-Series No. MS11. Towards a Strategy for a Waste Discharge Charge System . First Edition.
Pretoria.
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7.4.
Annual invoicing - the licensing authority will invoice the applicant on an annual basis for the
fees payable for the licence. This will require record-keeping of payments due for each licence
holder.
Receipt of revenue - the licensing authority will ensure that invoices are paid by the applicant.
It is important to note that licensing authorities should include the annual payment of the
processing fees as a licence condition. This approach is fully aligned with the AQA, specifically
section 51(1)(e) of AQA which makes it an offence for licence holders who contravenes or fails
to comply with a condition or requirement of an atmospheric emission licence.
AEL processing fee bands and scoring criteria
Each licence application will be allocated to one of five bands for the purposes of processing fee
determination. The band in which the applicant falls will directly determine the scale of processing fee to
be levied. The criteria in the section below are those to be used to determine the band of licence
applications.
Each criterion can be scored on a scale ranging from 1-5 in all cases except one where a 1-3 scale is
used. Guidance is provided to licensing authorities on how to choose which score an applicant should
be given for each criterion. There is still some measure of judgement that licensing authorities will need
to use in scoring applications but the guidelines ensures that there is a high degree of consistency
across the Republic.
The DWEA is responsible for reviewing the criteria; scoring guidelines; and the weighting of the criteria
on an annual basis. This process allows for feedback from the licensing authorities and improvement of
the banding process. Although care will be taken to not make too dramatic changes to the process as
this will cause confusion amongst regulated communities and may lead to unequal treatment of the
regulated community depending on the timing of their applications. As a result, the amendment of any
criteria, scoring guidelines and banding will be fully aligned with any possible amendments to section 21
national listing of activities and associated minimum emission standards.
7.4.1. Description of processing fee bands
The descriptions of the applicable processing fee bands are set out in Table 1 below. It should be noted
that the final band score of an applicant is determined by the combination of a number of criteria, each
with their own weighting (i.e. contribution to the final score).
Table 1: AEL Processing Fee Bands
APPLICATION
BANDS
DESCRIPTION
BAND 1
Simple and routine application with low ongoing compliance monitoring responsibilities.
BAND 2
BAND 3
BAND 4
BAND 5
Very high complex application with high workload and frequent compliance monitoring
responsibilities.
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The bands have been evenly distributed along a range from 0 - 100 as shown below.
Table 2: AEL Processing Fee Band Sizes
APPLICATION BANDS
BAND SIZE
BAND 1
19
BAND 2
20
39
BAND 3
40
59
BAND 4
60
79
BAND 5
80
100
Criteria A
Score
weight
Criteria B
Score
weight
Criteria C
Score
weight
Criteria D
Score
weight
Criteria E
Score
weight
Total
Score
LICENSE
FEE BAND
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INDICATOR
SCORING GUIDELINES
SCORE
Minor
10%
Small
25%
Medium
50%
Large
75%
Very large
100%
INDICATOR
SCORING GUIDELINES
SCORE
Routine
10%
Straightforward
20%
Medium
50%
Complex
More than two units, more than two processes or listed activities
75%
Extremely Complex
100%
80
INDICATOR
SCORING GUIDELINES
SCORE
Micro Enterprise
0%
10%
30%
Medium Enterprise
80%
Large Enterprise
100%
Small Enterprise
INDICATOR
SCORING GUIDELINES
SCORE
10%
25%
50%
100%
7.4.2.5. Risk
The risk that the listed activity poses to the surrounding communities and the environment is not a direct
measure of the costs of licence application administration since a risky activity can also be a simple one.
However, the more risky an activity the greater the duty of care imposed on the licensing authority, and
therefore the greater the time and resources required to ensure that a suitable is developed. Also, the
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more risky an activity the greater the required compliance monitoring and inspection frequency and level
of detail which will increase the costs to the licensing authority.
INDICATOR
SCORING GUIDELINES
SCORE
10%
25%
50%
75%
100%
INDICATOR
SCORING GUIDELINES
SCORE
Acceptable
10%
Potentially poor
50%
Poor
100%
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INDICATOR
SCORING GUIDELINES
SCORE
5%
15%
50%
75%
100%
7.5.
Once the licensing authority has scored the application using the criteria and guidelines set out above,
the Processing Fee Calculator will automatically allocate the application a final score. However, the
licensing authorities must apply their minds to the score and ensure that the applicant has been scored
fairly.
7.6.
The allocation of the scored applicant to a processing fee band is a largely automatic once the scoring
has been conducted. However, the licensing authorities must apply their minds to the score and ensure
that the applicant has been scored fairly.
7.7.
Again, the actual determination of the AEL processing fee is automatic once the final score has been
determined. The licensing authorities must, however, apply its mind in the final processing fee levied
and ensure that due care was taken in arriving at the processing fee.
7.8.
Invoicing
After the determination of the processing fee, the licensing authorities must prepare and issue an
invoice for the applicant. The Processing Fee Calculator automatically prepares an invoice but the
licensing authorities must ensure that the correct details of the applicant are captured as well as the
processing fee levied.
8.
The national department in preparation for the official hand over of the AEL Licensing Function to the
relevant AELA, on 11 September 2009, have established a dedicated Directorate: Air Quality
Management Implementation Support. The purpose of this directorate is to assist and support all AELA
when performing the AEL Licensing Function. The staff can be contacted on (012) 310 3069.
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