Editors

Mukesh Khare, Clement K. Sankat, Gyan S. Shrivastava

& Chintanapalli Venkobachar

Aluminium Smelting
Health, Environmental and
Engineering Perspectives
 Ian Randle Publishers Ltd

Aluminium Smelting
Health, Environmental and
Engineering Perspectives

Editors

Mukesh Khare
Clement K. Sankat
Gyan Shrivastava
Chintanapalli Venkobachar

Faculty of Engineering
University of West Indies
St. Augustine Campus, Trinidad and Tobago
 Dedicated

To

The People of the Caribbean

Especially those in Southern Trinidad

 Contents

List of Contributors

Foreword

Preface

How to use this book

M. Khare

Part I Introduction

1 Bauxite, Alumina, Aluminum and Energy in the Caribbean – A Regional Perspective for

Integration and Industrialization

C.K. Sankat

2 Economics of Aluminum Smelting

C. Pratt

Part II Land Use and Physical Planning

3 The Land Use Planning Perspectives in Relation to Development and Consideration of

Aluminium Smelters

J. Armstrong

4 Integrating Industrial and Coastal Development into the Physical Planning Framework

A. Mohammed
Part III Environmental Concerns of Aluminium Smelting in a Small Island

Developing State

5 Environmental Impacts and Issues for a Small Island Developing State

S. O’Beirne and A. Kansal

6 Pollution Minimization and Treatment in Aluminium Smelting Industry

C. Venkobachar and G. Shrivastava

7 Aluminium Smelting: Environmental Standards, Compliance and Best Practices

C.K. Sankat, M. Khare and J. Agard

Part IV Health and Aluminium Smelting

8 Aluminium Smelting and Health Effects

M. Friesen and L. Fritschi

9 Human Health and Risk Assessment of the Alutrint Project on the La Brea Community in

Trinidad and Tobago

H. Phillips

Part V Ecosystem and Industrial Development

10 Freshwater Ecosystems and Industrial Development in the South-West Peninsula of Trinidad

M. Alkins-Koo

11 Health Hazards to Animals Associated with Aluminium Smelting

J. E. Cooper

12 Plant Diversity in the Western Peninsula of Trinidad and Tobago – Past, Present and Future

Y.S.Baksh-Comeau, S. S. Maharaj, P.L. Comeau and B. Ramlal

Part VI Engineering Perspectives of Industrial Development

13 Oceanographic and Civil engineering aspects of an Offshore Island in Otaheite Bay

E. T. R. Dean, D. Gay, J. Ibrahim and G. Shrivastava

14 Epilogue

M. Khare
 List of contributors

Arun Kansal, Lecturer, University School of Environmental Management, GGS Indraprastha

University, Delhi, India. arun_kansal@yahoo.co.uk

Asad Mohammed, Graduate Programme in Planning & Development, Faculty of Engineering

University of West Indies, St. Augustine Campus, Trinidad and Tobago. amohammd@eng.uwi.tt

Bheshem Ramlal, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. bhramlal@eng.uwi.tt

Chintanapalli. Venkobachar, Faculty of Engineering, University of West Indies, St. Augustine

Campus, Trinidad and Tobago. cvenkobachar@eng.uwi.tt

Clement K. Sankat, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. csankat@eng.uwi.tt

Colin Pratt, Managing Consultant, CRU Strategies, United Kingdom.

Colin.Pratt@crugroup.com

Derek Gay, Faculty of Engineering, University of West Indies, St. Augustine Campus, Trinidad
and Tobago. dgay@eng.uwi.tt

Edward. T. R. Dean, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. rdean@eng.uwi.tt

Gyan Shrivastava, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. gshrivastava@eng.uwi.tt

Harriet Phillips, SENES Consultants Limited, 121 Granton Drive, Unit 12, Richmond Hill,
Ontario, Canada L4B 3N10. hphillips@senes.ca

James Armstrong, Trinidad and Tobago Society for Planners, Trinidad and Tobago

Joanna Ibrahim, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. jibrahim@eng.uwi.tt

John Agard, Department of Life Sciences, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. jagard@fsa.uwi.tt

John E. Cooper, School of Vetenary Sciences, Faculty of Medicine, University of West Indies,
St. Augustine Campus, Trinidad and Tobago. NGAGI@vetaid.net
Lin Fritschi, Western Australia Medical Research Institute, Australia.
fritschi@waimr.uwa.edu.au

Mary Alkins-Koo, Department of Life Sciences, University of West Indies, St. Augustine
Campus, Trinidad and Tobago. Malkins-koo@fsa.uwi.tt

Melissa Friesen, Centre for Occupational and Environmental Health, Centre for Occupational
and Environmental Health, Department of Epidemiology & Preventive Medicine, Monash
University, Australia, e-mail: Melissa.Friesen@med.monash.edu.au

Mukesh Khare, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. kharemukesh@yahoo.co.in.

Paul L. Comeau, Department of Life Sciences, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. Ybaksh-comeau@fsa.uwi.tt

Sean O’Beirne, SE Solutions, South Africa. sobeirne@tiscali.co.za.

Shobha S. Maharaj, Department of Life Sciences, University of West Indies, St. Augustine
Campus, Trinidad and Tobago. excelsa777@yahoo.co.uk

Yasmin S. Baksh-Comeau, Department of Life Sciences, University of West Indies, St.

Augustine Campus, Trinidad and Tobago. Ybaksh-comeau@fsa.uwi.tt
 Foreword

The role of the University of the West Indies in Development

I take this opportunity on this glorious Saturday morning to welcome you warmly to the St.

Augustine Campus of The University of the West Indies. The University of the West Indies is a

multi-campus University serving the people of the Caribbean in fifteen (15) countries. This

University has always been, and will continue to be, absolutely committed to the development

and progress of the countries and people of the region.

Next year the University will mark 60 years of continuous service to the region. Currently,

38,000 students are enrolled at The University of the West Indies.

This Campus of the University of the West Indies was originally the home of the Imperial

College of Tropical Agriculture (ICTA) which built up a reputation as a world centre for cocoa

research and as a pioneer in tropical agriculture. Today it consists of five (5) faculties, several

schools, many more departments and units and a range of centres and institutes and is the largest

campus in UWI in terms of the number of students that it services. The student population of this

campus is now 15,700. Over the last five years the student population has more than doubled.

This unprecedented growth is supportive of the ambitious policy of the Government of Trinidad

and Tobago to achieve a 60% participation rate at the tertiary level by 2011.
As you drove through the Campus, you may have noticed a fair amount of construction taking

place. The construction that you are witnessing is targeted principally towards housing for

students to address the growing demand; learning and teaching spaces to reduce overcrowding

and to improve the teaching and learning environment, and these include auditoria and large

lecture halls. Soon to begin is construction of a building to house laboratories and an appropriate

environment for teaching students in the Sciences.

This Campus has a good mix of students from all five faculties but the St. Augustine Campus

also has the largest percentage and number of students enrolled in Science and Technology-

related subjects among all institutions of higher education in the region, and this includes within

the University of the West Indies system. Over the last several years significant research clusters

have been formed; funding for research has increased dramatically and research and publications

output in some vital areas has been encouraging. We have also had some major breakthroughs in

research. But a University is not only about numbers and buildings; nor is it only about faculties,

departments and programmes. Nor is it only about teaching and learning or attracting the best

students and the best faculty or doing meaningful research. All of these things are important and

essential to a University. But a University is these things and more; a University is a place of

freedom and democracy: where ideas can contend, debate flourish and different points of view

enrich the discourse to facilitate a kind of creative tension. This creative tension at the level of

ideas and perspectives is an important aspect of intellectual life.

It is in this spirit, therefore, that I congratulate Professor Clement Sankat and the Faculty of

Engineering for this particular initiative on aluminum smelting in which my colleagues are
seeking to bring together environmental as well as engineering perspectives. The site for one

aluminum smelter is currently under preparation in this country, and a heated debate has been

ranging about, first of all, whether this country should venture into aluminum smelting at all and

secondly, whether additional smelters should be considered. Communities targeted for the

construction of smelters have become divided; environmental activists and others opposed to

smelters have mounted a resistance campaign, and contending views have been put forward

about industrialization on the one hand and sustainable development on the other.

Sometime ago, in response to the establishment of an anti-smelter camp outside the Southern

gate of the University, the Honorable Prime Minister indicated that the University ought to

provide light rather than heat on the subject of smelters. At that time I publicly expressed my

support for his position on the role of the University as a place of light but I also took the

opportunity to point out that the University must also always be a place for the free expression of

views. I want to reinforce this position as we go more deeply into the Symposium during the

course of today. All presenters must be free to express their views and, at the end of the day, no

matter how heated the discussion, when the smoke clears, we should be able to discern some

light. In other words, it is my hope, that this symposium will add significant value to the debate.

But the University is not only a place of freedom and democracy where contending ideas should

be the norm; it must also be a place of research, of logic, of critical and creative thinking, and of

fresh ideas. And we expect in a University that arguments and perspectives will be evidence-

based and that conclusions will be drawn and recommendations made on the basis of thoughtful,

insightful scrutiny of available information and careful, objective analysis of the facts.
Let me say though, that as important as are the conclusions that you draw and recommendations

that you might make– and perhaps even more important than these – are the penetrating

questions that you might be compelled to ask to distinguish fact from fiction, rumour from reality

and propaganda from truth.

Living as we do on islands, in a tropical climate, with all that we know today about

environmental and ecological issues, with our continuing experience of globalization, and

drawing on development strategies pursued by countries around the world, seeking to understand

the choices that have been made and why – given all of these things – what constitutes the next

generation of questions that we must ask about industrialization, development and sustainability?

This is not an unreasonable question to ask of a University community.

We must never forget that one of the roles of a University is to ask the difficult questions which

might sometimes cause discomfort but which need to be asked nonetheless. We must also not

forget that Universities have a role in challenging orthodoxies, in the refutation of traditionally

held concepts and in the creation of new theory and that, in our contemporary world, given the

pace of change, the abundance of information, the ubiquity of experience on which to draw, the

explosion of knowledge and changes in the production, management and application of

knowledge itself, the University needs to be leading the way in providing guiding light.

Especially in a context of widening gaps between industrialized and developing countries, we

might well ask the question – what is the role of a University such as ours, when we face

challenges in determining the right developmental choices involving issues which so polarize our

country and divide our national community?

I personally find political trends in our country very disturbing and I find the polarization of

views on the basis of political alignment very alarming. A rational discussion on any issue cannot

take place if there is no respect for the facts and if contending views are not taken into account.

The University of the West Indies, therefore, should play a role in bringing rationality to the

debate on whether or not aluminum smelting should be included as part of our industrialization

and development strategy in Trinidad and Tobago and if yes, under what terms and conditions

and taking what critical issues into account. And if not, why not and what are the potential

threats and dangers which the citizens and policy makers cannot afford to ignored.

The University of the West Indies does indeed have a role in providing the facts and in bringing

rationality to the debate on smelters. We have a duty to emancipate ourselves from mental

slavery—to draw on Bob Marley’s popular and impactful song—beginning with the University

of the West Indies itself, hoping to make a difference in the society at large.

The crux of the problem, in terms of the current debate, has to do with environmental, ecological

and health and safety concerns on the one hand and quickening the pace of development with the

prospect for more jobs and better incomes on the other.

As we proceed with industrialization we cannot ignore the fact that Trinidad and Tobago is rich

in ecosystem diversity with unique varieties and species of plant and animal life. We also cannot

afford to ignore the impact of heavy industry on human health.

At the same time there is a huge gap in knowledge, science and technology, research, and in level

and pace of development between us as a medium human development country and other more

developed areas of the world.

It is the tension between these two things—the need to quicken the pace of development on the

one hand and the need to manage development with the required sensitivity to ecological,

environmental and human concerns on the other—that is at the heart of the controversy.

University experts must take both into account as they think through their positions and

recommendations.

Dr. Bhoendradatt Tewarie

Principal and Pro Vice Chancellor
University of West Indies, St. Augustine Campus
Trinidad and Tobago
February, 2007

Preface
Aluminium is a young and modern metal. Aluminium has only been produced on an industrial

scale since 1886 when Hall and Héroult independently discovered how to produce aluminium

through electrolysis. In 1900, annual output of aluminium was one thousand tonnes. By the end

of the twentieth century the annual production had reached 32 million tonnes comprising 24

million tonnes of primary aluminium and 8 million tonnes from recycled metal. This makes

aluminium the world’s second most used metal. A world without aluminium has become

unimaginable. The business traveller, the tourist and the freight company are dependent on

aluminium and the commercial aviation and space industries would never have achieved “lift

off” without aluminium.

The primary aluminium industry is one of the largest industries in the world today and

production is widespread due to its specific applications in aircraft, utensils, scientific and

domestic apparatus, electrical conductors, automotive parts and paints, explosives, water

treatment and fireworks industries. Aluminium smelting involves electrolytic reduction of

alumina (Al2O3) in large carbon lined steel vessels called pots. Pots may be of two types of

technology, Soderberg or Prebake. The Prebake potrooms are the preferred design in modern

smelters due to lower levels of emissions.

The major gaseous emissions in aluminium production besides Carbon dioxide (CO2) are

hydrogen fluoride (HF), sulphur dioxide (SO2), carbon monoxide (CO) and poly aromatic

hydrocarbons (PAHs). Particulate emissions are particulate fluoride, carbon dust, and alumina.

Epidemiological and environmental studies in the smelters have implicated these emissions as

causal agents for cancers and/or respiratory disease as well as degradation of the surrounding
environmental quality. However, the adoption of environmentally friendly based production

philosophy e.g. setting guidelines for effective reduction in the amount of waste; educating

employees about environmental, cleaner and safer work practices; process modification and

waste minimization, best waste management procedures and raising the profile of environmental

issues relating to the smelter’s impact on their surrounding environment. These may help in

removing psychological and physical boundaries between the smelter and the community for

their harmonious coexistence.

In today’s climate of strong environmental awareness, the smelting industries have to maintain

proper balance between environmental and economical factors. This book includes reviews and

analysis of research on environmental, ecological, economical, health and safety concerns of the

aluminium smelting industry that were presented and deliberated upon in symposiums hosted by

the South Trinidad Chamber of Industry & Commerce in 2006 and The Faculty of Engineering,

University of West Indies, St. Augustine, Trinidad and Tobago, in 2007. Leading

researchers/consultants from the University of West Indies, St. Augustine Campus and other

national/international research and academic institutions around the world participated. We have

tried to avoid the sensationalism of placing the book in the context of any ongoing environmental

‘catastrophe’. However, unique circumstances of a contracting natural resource base (especially

land) and justifiable demands for improvements to the standards of living (or rather greater

economic equity) point directly to Trinidad & Tobago as an outlier case for the insular

Caribbean. The fact cannot be ignored that the aluminium smelting industry is one of the

hazardous industries and has potential impacts on the environment, particularly due to air and

solid wastes generation. Indeed, the systematic developmental innovations in the smelting
process as well as the effective and efficient preventive and control technologies have greatly

contributed to reduce the potential environmental problems. It is impossible to say with any

certainty yet whether the alarm has been raised early enough and indeed which alarms are

ringing loudest. Many improvements in aluminium smelting processes and emission controls

have been developed and enacted, given the conflicting needs of the different receptors. In many

cases, the results of such improvements are often used to take environmental exploitation ‘to the

limit’ that the environment will accept, if not beyond.

This book has developed from our efforts in putting together all the contributions from authors of

their excellent overviews of their work and the state – of – the - art in the field of aluminium

smelting process and emission controls. It is aimed at a sustainable industrialization of the

Caribbean region, in particular, Trinidad and Tobago. We hope we have been able to do justice to

the work.

At the outset, we would like to thank the numerous individuals who generously gave their time

and expertise to assist in the review of the chapters in the book. We extend our deepest gratitude

and sincerest thanks to The University of the West Indies, National Energy Corporation, South

Trinidad Chamber of Industry and Commerce and Alutrint Ltd. of Trinidad and Tobago for their

support to this noble venture. Further, we specially thank Prof A. W. Davison, Emeritus

Professor, University of Newcastle Upon Tyne, UK whose thought provoking research on effects

of smelter emissions on plants and animals provided one of the major stimuli for putting these

overviews together. We would also thank our students, Kevin Ramsumair (University of West

Indies, St. Augustine), Neha Mukhi (Harvard University, USA), and Shaily Mahendra
(University of California, Berkeley, USA) for their valuable inputs. We thank Ms. Ella

Granderson, Faculty of Engineering, University of West Indies, St. Augustine who assisted in

many ways during the writing of this book and in her usual cheerful manner. Finally, we thank

Ian Randle, Anna Young and Kim Hoo Fat of Ian Randle Publishers Ltd, Kingston, Jamaica for

bearing with us through the delays and helping out throughout the long process of putting this

book together.

Mukesh Khare, Clement Sankat, and Gyan Shrivastava Chintanapalli Venkobachar

University of West Indies, St. Augustine, Trinidad and Tobago
July, 2007

How to use this book

Mukesh Khare
This book is divided into six parts. We do not anticipate that readers will want (or need) to read it

from cover to cover. Instead, the different topics can be largely understood and followed

separately, in almost any order. Part I provides an introduction with a specific focus on regional

as well as global productivity and economical issues related to aluminium smelting. We have

attempted to cover the pros and cons of Caribbean region’s non-involvement in greater value-

added activities, that is, the aluminium smelting. We have presented these issues in two separate

chapters, but the headings within it should allow simple navigation to the sections that are more

relevant to you.

Part II of the book describes relevant factors and the framework of physical, land use and

industrial planning issues. The chapters present the existing procedures of land use planning in

Trinidad and Tobago and compare with regional perspectives. The inter - sectoral considerations

as to how we make the most judicious use of land and attendant resources, and how such

activities may influence or impact inter-locking objectives of human development, are also

discussed at length. Additionally, the authors have analysed the role of the state in promoting

industrial development and reviewed as to how the state should regulate such activities.

In Part III, the focus moves to environmental concerns of the aluminium smelting process in a

small island developing state. We invited a number of experts to give their viewpoints on

environmental impacts of aluminium smelting process in general, dispersion of aluminium

smelter emissions, pollution minimization and treatment and finally on environmental standards,

compliance and best practices. These chapters bring to light different environmental aspects
needed in a policy or management context considered for establishing an aluminium smelter in

an island state and demonstrate how these needs might be different from those in a pure research

context. This is another way in which a researcher student, a consultant or a decision maker

needs to interface with the real world problems of aluminium smelting industry, and one that is

often forgotten.

Part IV deals with health effects of aluminium smelter emissions. As much as we would have

liked, the coverage here is by no means complete and we acknowledge that there are gaps in the

material here. In part, this is due to some professional confidentiality that had to be maintained.

However, the chapters present an overview of the occupational health and epidemiological

literature on health effects of working in Prebake aluminium smelters along with suggestions as

to how to minimize these effects on the workers. The Human Health and Ecological Risk

Assessment (HHERA) methodology to evaluate the potential health risks on surrounding

population in the immediate area from the pollutants emitted from the aluminium smelting

operations and processes are explained. An assessment of adverse cumulative effects on

ecological receptors has also been included in the chapter. One conclusion that we have come to

is that if you cannot find a specific answer to a health related problem linked to a particular type

of effect, then a look at the literature of respective discipline can often provide answers.

Cross - fertilization of health related studies on aluminium smelters will lead to the development

of stronger breeds of risk assessment models.

In part V, impacts of industrialization on ecosystems and the biota have been discussed in detail.

The authors have presented a comprehensive data-based impact analysis on freshwater

ecosystems terrestrial flora and fauna. Using the information provided in these chapters, you

should be able to construct past, present and future trends in the biodiversity of this region with

the potential effects of industrialization and associated mitigation measures to minimize these

effects of any proposed developmental projects.

Part VI provides specific design details on oceanographic, coastal and geotechnical engineering

aspects of artificial island development and reclamation. The authors have included hard core

oceanographic and civil engineering including environmental and hydraulic issues and design

requirements of such developmental projects. A case study has been presented which describes

the engineering requirements and environmental effects of constructing an aluminium smelter in

an offshore island of Trinidad and Tobago. This part gives comprehensive experimental and

modelling methodologies based on numerical techniques required for developing and reclaiming

an artificial island.
Aluminium’s Contribution to Modern Life

Aluminium Industries in the World

Chapter 1
 Bauxite, Alumina, Aluminum and Energy in the Caribbean– A Regional Perspective for
Integration and Industrialization

Clement K. Sankat

1.1 Trinidad & Tobago’s thrust into aluminium smelting

There has been in the past year an intense national debate on the proposals for the establishment

of two aluminum smelters by the Aluminium company of America (ALCOA) and Alutrint

respectively in Trinidad and Tobago. The debate has centred around three themes viz: (i) the

environment, health and safety impacts of these smelters; (ii) the net benefits to Trinidad and

Tobago on the use of its natural gas to fuel these smelters; and (iii) alternative models for

industrialization and the development of the southern part of Trinidad. At this time, Alutrint,

which is 60% owned by the Government of Trinidad and Tobago and 40% owned by Sural of

Venezuela is set to begin construction of its 125,000 metric tonnes per annum aluminum smelter

with production expected in 2010. The plant will be sited at La Brea in the south of the island

and will utilize an existing deep-water port. Alutrint is also proposing to go into the downstream

manufacture of aluminum, automotive components including wheels. The matter of the larger

ALCOA smelter (341,000 metric tonnes per annum) is yet to be decided upon. Much of the

debate in Trinidad and Tobago has been around national issues, local and community interests.

The matter of aluminum production derived from bauxite and alumina that are both produced in

the Caribbean has received inadequate attention i.e. the regional context of aluminum smelting

and downstream manufacture. This chapter attempts a concise historical overview and the

significance of the bauxite/alumina/aluminum industry in the Caribbean. It assesses the

aspirations of producing countries for the industry’s growth, expansion and deepened forward
and backward linkages. Bauxite, alumina and aluminum industries have been central to the

economies of the Caribbean countries of Jamaica, Guyana and Suriname for nearly 100 years.

Table 1.1 gives an indication of the region’s bauxite production and its global potential.

Table 1.1 Bauxite productions in the Caribbean for 2006 (Source: US Geological Survey,
Mineral Commodity Summaries, 2007)

Country Mine Production * Reserve Base *

Guyana 1,500 900,000
Jamaica 14,900 2,500,000
Suriname 4,800 600,000
Brazil 21,000 2,500,000
Venezuela 6,000 350,000
Australia 61,400 7,900,000
WORLD TOTAL 177,000 32,000,000
* In thousand, metric dry tonnes

1.2 Guyana

In 1916, the Demerara Bauxite Company (DEMBA a subsidiary of ALCOA and later in 1929 an

Aluminum Company of Canada (ALCAN) subsidiary) was formed; Two thousand and thirty-

seven (2037) tonnes of bauxite was first shipped from the then British Guiana in 1917 from

mines around McKenzie, now Linden - a bauxite town situated 65 miles upstream of the

Demerara River. (Suss et al, 2005). On the Berbice River, 160 miles upstream from Kwakwani,

mining began in 1942 through facilities owned by the Reynolds Metal Company of the USA with

bauxite processing facilities at Everton much closer to the Atlantic port facilities. In 1961, with

the opening of DEMBA’s 300,000 tonnes capacity alumina plant, bauxite operations in Guyana

became the most diversified around the world with the production of metallurgical, refractory,

chemical and abrasive grades of bauxite delivered into a global market (Suss et al, 2005). The

low iron content of Guyana’s bauxite (less than 2% by weight) was recognized early and
calcined bauxite for the refractory and abrasive industry was first produced in Linden in 1937

and in 1965 in Berbice. Until relatively recently, there were not large reserves of low iron

bauxite elsewhere and the global refractory bauxite industry was developed essentially on

materials from Guyana (Hinds, 1984).

Auty (1983) noted that in 1964, in the heyday of the industry in Guyana, 29% of the bauxite was

shipped as metal grade bauxite and yielded 10% of total revenue; around 38% was processed as

abrasive and calcined bauxite yielding 33% revenue while the new alumina plant absorbed 1/3 or

the ore and contributed 50% of the revenues. This product mix and value added approach made

Guyana’s operation highly competitive. Product diversification had tripled local revenue

retention per tonne of bauxite mined (1.87 million tonnes in 1964) compared to the export of

metal grade bauxite. However no less than 2/3 of total revenues obtained from these operations

leaked abroad (Auty, 1983) a matter upon which Girvan (1967) also wrote, using the Jamaican

experience.

In 1971 and 1975 respectively, DEMBA and the Reynolds Berbice Mines were nationalized.

The alumina plant was closed in 1982. The industry entered a period of steep decline in 1981

and by 1991 was technically bankrupt. Several attempts at privatization including direct foreign

participation appear not to have been as successful in the industry’s revitalization (NDS

Secretariat, 2000). Pawlek (2006) stated that the Russian producer RusAl (with 90% share

ownership) and the Government of Guyana have agreed to enter a joint venture called the

Bauxite Company of Guyana (BCGI) that will produce around 2 million tonnes per annum of

bauxite, a large part of which will be used to feed RusAl’s Nikolayev alumina refinery in the
Ukraine. Another report (Metals Place, 2007) stated that the acquisition of Omai Bauxite Mining

(which had several bauxite mines in the Linden area of Guyana with proven reserves of 186

million tonnes) from Canadian gold producer Cambior could make the Chongqing based,

privately owned Bosai Minerals Group the world’s largest calcined bauxite producer. Guyana

therefore now appears to be pursuing a strategy based upon stabilized, primary bauxite

production.

1.3 Jamaica

The advent of the second World War, which pushed the demand for aluminum from the North

American aluminum industry and the need for a regularity of supply of bauxite/alumina to feed

this industry, provided the momentum for Jamaica’s emergence as a global bauxite and alumina

producer (Davis, 1989). The three pioneering companies in Jamaica over the period 1930 – 1962

were Aluminum Limited of Canada – later ALCAN, Reynolds Metal Company of USA and

Kaiser Aluminum and Chemical Corporation of the USA. In 1952, the first regular export of

bauxite was begun by Reynolds Jamaica Mines, Ltd. from their port at Ocho Rios on the north

coast of Jamaica (Knoerr, 1952). In 1953, Kaiser Bauxite Company commenced shipments from

the south coast and in that same year Alumina Jamaica Limited, a subsidiary of Aluminum

Limited made its first shipment of alumina from its plant at Kirkvine near Mandeville

(Moorhead, 1961). Within five years of its first export i.e. 1957, Jamaica had become the

world’s largest producer of bauxite and the largest exporter of alumina. Young (1963) discussed

the matter of Jamaica processing most of its bauxite to alumina. He noted that based on rough

values for the year 1962, if Jamaica’s six million tonnes of exported bauxite was converted to
alumina and then exported, this would have realized US$140 million instead of US$410 million.

The hurdles to this value added concept were significant capital investment for new alumina

plant for the island and the potential of crippling import duties of alumina shipped from Jamaica

to US aluminum plants. Young (1963) further raised the question of Jamaica moving from

alumina to aluminum and noted the constraint in the island of the availability of low cost

hydropower as available in Canada and Norway together with the absence of coal and natural

gas. He further stated that the electrolytic smelting of alumina required great quantities of

electrical power at low cost – 8-10 kWh/lb of metal. Hill (1977) noted that high power

requirement for smelting (10.5 kWh/lb of metal for the most efficient plant) dictated the location

of smelters to where cheap power was available. In today’s world, energy concerns extend

beyond cheap power to clean, CO2 free, renewable power sources and hence Guyana and

Suriname’s hydropower attractiveness. Girvan (1967) and later Davis (1989) have discussed at

length nuclear energy as a possible energy source for alumina to aluminum conversion in

Jamaica. Further Davis (1989) has noted, “apart from the activities in bauxite and alumina, the

Government of Jamaica spent a great deal of time during the period (in the 60s) in trying to have

an aluminum smelter in the island”. He concluded however, that the OPEC oil price increases in

the late 70s “marked the end of the road in the pursuit of a domestic aluminum smelter by

Jamaica”. This goal of aluminum production in Jamaica has not yet been realized, but still

worthy of aggressive pursuit.

Jamaica continues to rank today among the world’s largest bauxite and alumina producers

producing 13.4 million tonnes and 3.8 million tonnes of bauxite and alumina respectively in

2003 (Bermudez–Lugo, 2003). The industry accounts for about 50% of Jamaica’s export (IAI,

2005) and is the country’s second largest source of foreign currency. There appears to be growth
in the industry particularly in value added, alumina production with this being driven by the

replacement of the 28 year old government bauxite levy and the creation of incentives for steady

investments in modernizing and expanding bauxite and alumina plant capacity in the country.

1.4 Suriname

In Suriname, ALCOA exported its first bauxite in 1922 from mines along the Cottica River in the

village of Moengo and expanded its plant in 1941 into Paranam to support mining along the

Suriname River (ALCOA, 2007). In 1957, the Suriname Aluminum Company (SURALCO), a

subsidiary of ALCOA was formed. Under the 1958 Brokopondo Agreement, SURALCO was to

build a hydropower plant at Afobaka, an aluminum smelter at Paranam and an alumina refinery,

access roads and bridges, a new 2500-person residential village, etc. These facilities were

constructed over a 7-year period and were officially opened in 1961. The smelter operated with

a capacity of 30,000 tonnes/ yr of aluminum until 1991. Bauxite and alumina production

capacities in 2003 were estimated at 10.0 million tonnes and 1.6 million tonnes, respectively.

In Suriname, the industry also appears on a growth path as a 250,000 tonnes per annum

expansion of the Paranam alumina refinery was completed at the end of 2005 bringing the

refinery’s capacity to over 2.2 million tonnes per annum (Pawlek, 2006). It has been reported

that the aluminum industry in Suriname generated US$350 million annually and accounts for

70% of the country’s export (IAI, 2005). Suriname is also actively pursuing the development of

a new, much larger aluminum smelter to add value to its natural resources – bauxite and energy.
1.5 Discussion

Girvan (1967) in his landmark paper, noted that while bauxite has been an important source of

economic growth for Caribbean producers in the past, its economic contribution relative to its

potential has been low. His argument, still valid today, centred around the value added nature of

the global industry; from bauxite to alumina, to aluminum and to semi-fabrication and

manufacturing. The lack of such integration in the Caribbean and the reasons for this was

addressed and today almost 40 years later, Caribbean producers, despite clear progress in

Jamaica and Suriname in their industries, are still stuck in the first two phases. Further, Girvan

(1967) stated, “one tonne of aluminum semi-fabricated yields in domestic income over 17 times

the domestic income created by mining and drying the bauxite equivalent”. Auty (1983) showed

compelling data for the 60s on the small fraction of total revenue accounted for by bauxite

mining (11.0%) and to a lesser extent alumina refining (12.4%) in comparison to smelting

(31.7%) and aluminum fabrication (52.9%). These values were all derived for a linked US

system for aluminum production fed by Jamaican bauxite. While today’s percentages may be

different and have to be evaluated, the case for forward linkages by Caribbean bauxite producers

and deepening the value added in the Region still stands. Jamaica appears to be expanding in

alumina production and subject to the availability of LNG under favourable terms from countries

in the Region, may yet pursue the development of an aluminum smelter in the island.

Suriname’s industry is also on an expanded path and is pursuing the development of an

aluminum smelter using its own energy supply – hydropower and hydrocarbons. Guyana’s

industry appears at this time in stagnation but is poised to be resuscitated. Despite its long

history in bauxite and alumina together with its hydropower/aluminum potential that have been
spoken of for decades, it is yet on the path of being a primary supplier of bauxite. For this

industry to be globally competitive in the medium term however, value added products of

alumina and aluminum coupled with low cost hydropower must be on the horizon to offset the

higher cost of bauxite production in Guyana. These costs are associated with deep, overburden

to be removed prior to bauxite extraction and with the handling and transportation of bauxite

from remote mines to bauxite plants as well as for the shipment (in carriers of limited size) of the

processed ore from Guyana to export markets.

Trinidad and Tobago has been pursuing for more than 30 years the idea of coupling aluminum

production to its hydrocarbon energy availability. To this must be added Trinidad and Tobago’s

experience and thrust as a leader in the Caribbean in manufacturing and entrepreneurship e.g.

iron and steel, cement, construction materials, petrochemicals, food and beverage, etc.

Engineering and Technology, management and leadership education and training have been

pillars of Trinidad and Tobago’s development. Therefore, the enabling environment for the

manufacture and export of finished aluminum products has been created. Davis (2006) noted

that “in 1974 the industry (bauxite and alumina) took on a Regional perspective when the

governments of Trinidad and Tobago and Guyana announced, with some fanfare, their intention

to undertake a regional alumina, aluminum project with the alumina plant located in Guyana and

the smelter in Trinidad to be fuelled by natural gas”. Jamaica’s Prime Minister asked that

Jamaica be involved. This project has never materialized. Girvan, (1967) wrote on the need for

rationalization and regional collaboration in the industry due to “certain adverse effects of

international ownership on the pricing and use of the Region’s bauxite and complementary

resources.” He urged for the Caribbean’s “participation in the gross value of output, the value
added from processing and the linkages” and wrote on the depletion of natural resources. These

concerns for all of the Region’s natural resources remain, some 40 years later.

Now, Trinidad and Tobago today embarks on building its first Alutrint smelter. Davis (2006) has

stated, “Jamaica has been invited by the Prime Minster of Trinidad and Tobago to participate in

the Alutrint Smelter and in turn Trinidad and Tobago has been invited by the Prime Minster of

Jamaica to take a share of the JAMALCO refinery through the Government’s company

Clarendon Alumina Production (CAP) Ltd. Preliminary discussion has been held with a view to

CAP providing most if not all of the alumina needs of the Alutrint smelter from the JAMALCO

refinery.” This if realized, would therefore be a significant start in regional collaboration in an

industry in which the Caribbean has been playing a leading role for almost 100 years but where

the major value has been added extra-regionally. Auty (1983) reported on the conditions, which

would favour revenue retention in the region from the bauxite industry and noted, “only if

competitively priced bauxite was located alongside competitively priced power in a large

wealthy market wherein lay the locus of both corporate and government head offices, would the

total benefits of the aluminum chain be realized by any Region”. There are conditions which

may be achieved if the industry is developed within a regional context, positioned within the

North, Central and South American marketplace.

1.6 Conclusion

This is therefore a time for national perspectives to yield to the regional imperatives for

Caribbean partnership in the bauxite/alumina/aluminum/energy industry. This approach will

maximize and strengthen the opportunities for natural resource utilisation and the benefits to be

derived through infrastructure and human resource development, deepened processing,

manufacture, exports and wealth creation, all for the peoples of the Region.
 References

1. U. S. Geological Survey. 2007. Mineral Commodity Summaries

2. Suss, A.G., Lapin, A.A., Panov, A.V., B.H. Robeson Benn. 2005. Prospects for processing
Bauxite at Sweetening Stage. In : Light Metals 2005 (Ed. H. Kvanade). The Minerals, Metals
and Materials Society (TMS), Warren dale, P.A.

3. Hinds, S. 1984. Guyana Calcined Bauxite – A profile of recent developments. Industrial

Minerals, 199:59-61

4. Auty, R.M. 1983, Multinational Corporations and Regional Revenue Retention in a vertically
integrated industry: Bauxite/Aluminum in the Caribbean. Regional Studies, 17 (3):111.

5. Girvan, N., 1967. The Caribbean Bauxite Industry. Inst. of Social and Economic Research
(ISER), UWI., Jamaica, pp45.

6. NDS Secretariat, 2000. Chapter 16 – Mining. In: Guyana National Development Strategy
2001-2010. http://www.sdnp.org.gy/nds/

7. Pawlek, R.P. 2006. Bauxite and Alumina Boom 2005/2010. World of Metallurgy: Erzmetall
59(5): 261-271.

8. Metals Place. 2007. Bosai wins bidding for Guyana bauxite mines. Metalsplace.com.

9. Davis, C.E., 1989. Jamaica in the world aluminum industry 1938 – 1971. Jamaica Bauxite
Institute, Kingston, Jamaica, 412p.

10. Knoerr, A.W. 1952. Reynolds Jamaica Bauxite Project. Engineering & Mining Journal,
153(9): 109-111.
11. Moorhead, G.A. 1961. Bauxite Mining. Mine and Quarries Engineering, 27(6): 248-251.

12. Young, B.S. 1963. Jamaica’s bauxite and alumina industries In : Annals of the Association of
American Geographers, p 449-461.

13. Hill, V.G. 1977. Bauxite and the aluminum industry – reserves and technological
alternatives. Materials and Society, 1:135-141.

14. Bermudez-Lugo, O. 2003. The Minerals Industries of the lslands of the Caribbean. In: US
Geological Survey Minerals Yearbook.

15. IAI, 2005. The Aluminum Industry’s Sustainable Development Report, International
Aluminum Institute (IAI), London, 26p.

16. ALCOA. 2007. ALCOA in Suriname: Overview. http://beta.alcoa.com/suriname

17. Davis, C. 2006. Production Integration : The Case for a Regional Aluminum Smelter. In:
Production Integration in CARICOM – from Theory to Action. Ed. D. Benn and K. Hall. Ian
Randle Publisher, Kingston, p. 128-131.
 Chapter 2

Economics of the Aluminium Industry

Colin Pratt

2.1 Background

The modern day aluminium industry dates only from the late nineteenth century, with the

invention of the Hall-Heroult process for the electrolytic smelting of aluminium, and the Bayer

process for the conversion of bauxite into alumina. Previously aluminium had been very costly

to produce and was regarded as a semi precious metal. From such a late start as an industrial

metal, the use of aluminium has grown rapidly, so that it now has the largest tonnage

consumption of all the non-ferrous metals, by a considerable margin. The consumption of

aluminium in 2005 is estimated at 32 million tonnes, compared to copper at 18 million tonnes.

In most years, aluminium is also the largest of the non-ferrous metals by value as well as

tonnage, depending on the ratio of copper to aluminium prices. The aluminium market was

worth about $85bn in 2001. Figure 2.1 shows comparative markets of various metals that show

that the steel market is an order of magnitude larger than aluminium.

 Size and value of the aluminium and other metal
industries
(Logarithmic scale)
10000
Tonnes (mn)
Value ($bn)
1000

100

10

1
Steel Aluminium Copper Zinc Nickel
4

Figure 2.1 Size of the aluminium market (Source: CRU (1), 2006)

2.2 The uses of aluminium

Aluminium is a very broadly used industrial metal, and is therefore not over-exposed to

developments in any one use. Three end use sectors account for about 60% of total demand on a

worldwide basis (CRU (2), 2006). They are construction, transportation and packaging.

Aerospace and defence applications were the original mass market for aluminium and are still

important in some countries, but on an overall global basis the portion of aluminium sold to this

sector is small – less than 5%.

2.2.1 Construction

Aluminium is an excellent construction material for both decorative and functional applications.

It is durable and resists corrosion and can easily be painted and bonded to other materials. It is

easy to fabricate and install due to its lightweight. Aluminium is widely used as a cladding
material for residential and commercial buildings. Aluminium components and other

architectural products are popular in offices and commercial buildings. Doors and windows in

residential and commercial buildings also use aluminium, often in conjunction with other

materials. Aluminium is also used in highway construction for bridge and guardrails and

directional signs. In the advanced industrial countries, demand for aluminium in these

applications is cyclical in nature reflecting the characteristic volatility of the construction sector,

which is disproportionately exposed to changes in monetary policy (CRU(2), 2006). It is also

price sensitive as aluminium competes with alternative materials such as wood, steel and

plastics. In addition, aluminium use can be affected by local architectural traditions; for instance,

regions with a frame construction tradition typically make more use of aluminium than regions

with a brick or stone construction tradition. In the newly industrializing countries, aluminium is

experiencing strong growth trends. For example, a major part of China’s growth in demand can

be traced to the massive construction boom in the coastal and metropolitan regions.

2.2.2 Transport

The lightweight of aluminium in relation to its strength is its major selling point in

transportation. Aluminium is widely used in commercial vehicles where, given overall highway

weight limits, any reduction in vehicle weight translates into additional cargo capacity and,

therefore, income for the operator. The substitution of aluminium for iron and steel is one way to

reduce weight and improve fuel economy without sacrificing performance and interior comfort.

Aluminium companies have made major progress in reducing the cost of auto components made

from aluminium and have been rewarded by steady increases in the average aluminium content
of a vehicle. However, the industry faces a tough uphill struggle to displace steel, which is a

proven material that is itself developing new, reduced weight alloys. Thus, the most likely

scenario is for slow incremental gains in market share rather than a sudden breakthrough.

2.2.3 Packaging

Aluminium is used for both flexible and rigid packaging products that are used by such

industries as food and beverage, pharmaceuticals and tobacco. These markets are less cyclical

than other applications and are thus strategically attractive to aluminium companies. However,

in advanced industrial countries, such markets are mature and aluminium faces competition from

alternative packaging systems including plastics and laminates. Aluminium competes with steel

in metal beverage cans. Aluminium has obtained 100% market share in the US and some other

countries, but in most places the market is shared with steel. However, the economic

attractiveness of aluminium depends on high recycling rates.

2.2.4 Other

Ease of fabrication, lightweight and corrosion resistance are the key features of aluminium use in

consumer goods, which range from garden furniture to sporting equipment. In addition, the heat

transfer characteristics of the metal account for its use in air conditioning and refrigeration

equipment. The use of aluminium in capital goods such as lithographic printing, industrial and

agricultural machinery, irrigation pipe and so forth is typically based on technical considerations.

Aluminium is also widely used in transmission and distribution cable. The competition between
copper and aluminium has stabilized with the former being used largely for interior wiring.

Transmission cable demand is a major growth factor in several developing countries, most

notably China where the power transmission grid is undergoing major expansion (CRU (2),

2006).

What is aluminium used for?

Global semis consumption by end-use, 2005
Machinery & Other
equipment 7%
9%
Transport sector is single
Transport largest market for aluminium
31% semis – representing significant
Consumer proportions of castings, frps
durables and extrusions.
6%
Construction is the next largest
sector for aluminium – and is
very important for extrusion
Electrical
demand.
10%
Virtually all packaging demand
is in the form of sheet, as is of
course, foil stock.
Foil stock
8% Construction
Most wire and cable goes to
the electrical sector.
Packaging 19%
10%

Data: CRU
Total = 44.6m tonnes
6

Figure 2.2 Consumption of aluminium by sector (Source: CRU (2), 2006)

2.3 Growth of the aluminium market

Consumption of aluminium has grown very fast over the past 45 years. In 1960, the total global

consumption of primary aluminium was at 10.1 million tonnes in comparison to 31.9 million

tonnes in 2001. Growth in the demand for primary aluminium was particularly strong in the

beginning of the period with a compound annual growth rate of 9% from 1960 to 1974 (CRU (3),
2006). During this time, the price of copper also played a role in the aluminium market as the

high price caused a substitution from copper to aluminium in certain automotive parts and in

overhead transmission cables.

After the first oil crisis in 1974, demand slowed dramatically and in the subsequent five-year

period averaged only 2% per annum compound growth rate. There was an absolute decline in

North American demand, which was hit particularly sharply by the oil crisis, and there was a

sharp slowdown in Europe. At this point, the Japanese economy was still outperforming other

industrial economies and aluminium demand in that region grew faster than GDP.

After the second oil crisis in the late 1970s and early 1980s, there was a modest improvement in

demand with acceleration to 2.2% per annum. The decline in North America stopped, but there

was a further erosion of European consumption performance. During this period, much of the

growth that occurred could be attributed to Southeast Asian countries where the “Asian miracle”

was just getting underway, particularly influencing countries like Korea and Taiwan (CRU (3),

2006).

Since the end of the Cold War in 1989, overall world aluminium demand has grown at 10.1% per

annum. A particularly strong performance was turned in by North American markets, which

recovered much of the losses that occurred in the previous decade. The consumption growth rate

in European aluminium market also accelerated and became comparable to the rate of growth of

GDP. The other important feature, of course, was that China achieved double-digit growth rates

and began to become a significant consumer of aluminium. The rest of Southeast Asia also
performed well above average despite a short-term recession toward the end of the 1990s

occasioned by the Asian financial crisis (Fig 2.3).

World primary aluminium consumption: Historical

32000
Growth
30000
China 4.2%/year
28000
26000 CIS & E.Europe
24000 Western world Consumption
0.8%/year
22000
'000 tonnes

20000 3.0%/year
18000 2.4%/year

16000
14000
12000
9.3%/year
10000
8000
6000
4000
2000
0
1950 1954 1958 1962 1966 1970 1974 1978 1982 1986 1990 1994 1998 2002
7

Figure 2.3 Growth Rate of Aluminium (Source: CRU (3), 2006)

Figure 2.4 illustrate the dominance of China in global consumption of aluminium. China has

already overtaken the USA as the largest aluminium market. Over the next decades China, India

and the rest of Asia will assume increasing importance in the world market for aluminium, while

that of Europe, North America and Japan will wane. The growth rate of aluminium consumption

per country depends on its stage of economic growth. The low elasticity in mature countries is

associated with a per capita consumption that is already very high. Relatively low per capita

consumption in countries such as China and India illustrate an enormous potential growth in

demand. For example, per capita consumption is 22kg in the USA, 19kg in Japan, 16kg in

Western Europe, 10.6kg in China, 11.6kg in Brazil and 0.9kg in India (CRU (3), 2006).
 Where is Aluminium Consumed?
China - over one third of global consumption by 2030

2005 2030
North
Other Other
China North America
5% 6%
22% America 14%
23% EU/EEA
China
13%
35%

Japan
4%
India
3%
CIS and
EU/EEA
Other Europe
South & East 22%
5%
Asia
8% CIS and
Latin South & East Latin
Other Europe Japan
America Asia America
5% 8% India
4% 10% 5%
8%

5
Total = 31.9m tonnes Total = 73.7m tonnes

Figure 2.4 Consumption of Aluminium (Source CRU (2), 2006)

2.4 The production of aluminium

Aluminium generally passes through four stages of production before it is manufactured into a

form familiar to the consumer. The first stage is the mining of bauxite; in the second stage,

bauxite is processed into alumina at an alumina refinery. Alumina is an oxide of aluminium

(Al₂O₃), and is a white powder of the consistency of fine sand. Alumina refining is a multi-stage

hydro-metallurgical process. The third stage of production is smelting. An aluminium smelter

converts alumina to aluminium metal by means of an electrolytic process. The final stage of a

smelter is usually the casthouse, where metal is cast into various shapes suitable for further

working.
The last of the four stages of production consists of one of several semi-fabricating operations.

The main ones are rolling, extruding, forging and casting. The first three processes are generally

known as producing "wrought" aluminium, as opposed to "cast" aluminium. The semi-fabricated

wrought or cast products are then further processed in a large variety of different manufacturing

operations.

2.5 The value chain

If we look at the full cost (operating and capital) of producing a tonne of aluminium, about 75%

of the cost is incurred in smelting, 20% in refining the bauxite, and only 5% in bauxite mining

(CRU (3), 2006). If we also split the cost of producing a tonne of aluminium between operating

and capital costs, then capital represents about 40% of the total cost. Aluminium is thus a capital

intensive good, where most of the value is added in smelting. The smelting stage also accounts

for a large degree of the variation in costs between different operations, where the main

differentiator is the cost of power.

The aluminium value chain is in stark contrast to most other non-ferrous metals, where the cost

of mining is a much higher proportion of total costs, and accounts for a high degree of cost

variance. Low ore grades and deep hard rock deposits cause high mining costs in other non-

ferrous metals, which necessitate either underground mining or development of deep open pits.

In this sense, aluminium is closer to iron and steel. What sets aluminium apart from iron and

steel is the high cost of reduction (smelting) for aluminium, so that steel costs and prices are an

order of magnitude lower than aluminium. Finally, it is worth pointing out that the "reference"
price for aluminium is set at the stage of aluminium metal. Other prices in the value chain may

be set by reference to, or in relation to the metal price. The metal price is therefore pivotal in the

value chain. There are several reasons for this. For one, the metal stage of production is the one

with the most homogeneous and commodity-like output. Secondly, the aluminium at the metal

stage is the most tradable, and the most traded in the value chain. Finally, the metal stage of

production is the one, which contributes the highest proportion of value-added in the value chain.

2.6 The growth and location of production

From 1960 to 2005, primary aluminium production grew at an annual rate of 10.5% a year. The

rate for the past 20 years has been somewhat lower at 11.4% (Table 2.1). Between 1973 and

1989, there was a large increase in aluminium production in Australia and South America,

particularly Brazil. Canadian production also increased, but this was more than offset by the

closure of high cost smelters in the United States. In Australia, the energy resource used was

coal. In Brazil and Canada, it was primarily hydroelectric. Western Europe’s share of

production declined during this period as Europe was no longer considered an attractive energy

market outside of some niche opportunities in Scandinavia. However, the biggest adjustment of

all was made by Japan, where the electricity supply system depended to a significant extent on

oil. Japan had just fewer than 9% of world aluminium capacity in 1971. By 1989, only one very

small smelter with capacity of 20,000 tonnes remained. Many Japanese aluminium companies,

particularly those with downstream facilities, had taken equity stakes in new smelter projects

around the world to replace the domestic capacity that was lost (CRU (3), 2006). Since 1989, the

focus of aluminium industry investment has shifted to the Middle East and Southern Africa.
These regions’ share of world production is now just over 10%. Inexpensive coal and under-

utilized hydroelectric energy resources in Southern Africa and plentiful natural gas associated

with oil production in the Middle East have been the main drivers of this trend. Meanwhile,

North America and Western Europe have continued to lose market share, as has the CIS,

although its absolute level of aluminium production has increased since the end of the Cold War

(in sharp contrast with virtually all other industries).

Table 2.1 Primary aluminium production (in 000 tonnes) (Source: CRU (3), 2006)
Country 1960 1980 2005
China 70 350 7,810
Russia NA NA 3,661
Canada 691 1,068 2,901
United States 1,828 4,654 2,481
Australia 12 304 2,252
Brazil 17 261 1,499
Norway 165 662 1,390
South Africa 0 87 850
India 18 185 960
UAE 0 35 722
Germany 169 731 648
Venezuela 0 328 622
Mozambique 0 0 554
Bahrain 0 126 750
France 235 432 440
Spain 29 387 397
United Kingdom 29 374 366
Tajikistan 0 0 380
New Zealand 0 156 351
Netherlands 0 258 334
Others 1,283 5,655 2,548

Total 4,546 16,053 31,916

An interesting feature of the last decade has been the significant increase that has occurred in

Chinese aluminium production. Unlike the rest of the world, where smelter location decisions

have been energy driven, the growth in China is the result of strong domestic demand. Although
China does not possess low cost electric power resources, and in fact, growth is putting extreme

pressure on available supplies, China has had a substantial tariff protection on its domestic

primary aluminium industry, which therefore has received prices substantially higher than those

prevailing elsewhere in the world. However, up to now strong growth, an element of tariff

protection, as well as extremely low labour and capital costs, has allowed the aluminium

smelting industry to respond to strong internal demand conditions by expanding its capacity.

Indeed, China became the largest producing country in 2002.

2.7 Trade patterns

About 60% of primary aluminium is traded internationally. The main metal deficit regions are

Japan, other newly industrialized economies in Europe and the USA. Semi-fabricated aluminium

are traded much less than primary aluminium. The main trade is intra-regional, for example

within the North American Free Trade Area (NAFTA), or within the European Union (EU).

2.8 Pricing of aluminium

Primary aluminium is used as the reference price for aluminium. Upstream and downstream

prices are largely driven by primary. We, therefore, start with an analysis of primary prices. The

history of prices shows a long run falling trend in real prices (Figure 2.5). The rate of decline

over 45 years has been 0.9% a year. The fall in prices can be explained by several factors. There

has been a fall in the real prices of both electricity and alumina over this period. Labour

productivity has improved through automation and economies of scale. Technical progress has
reduced the unit consumption of electricity and raw materials, and the move to larger scale has

increased capital productivity. All these factors have contributed to a reduction in real costs.

The historical price of aluminium 1960-2006 ($2005)

4000

3500

3000

2500
$/tonne

2000

1500
y = 2594.9e-0.0081x
1000

LME price in $2005

500
Expon. (LME price in $2005)

0
1960
1962
1964
1966
1968
1970
1972
1974
1976
1978
1980
1982
1984
1986
1988
1990
1992
1994
1996
1998
2000
2002
2004
2006
23

Figure 2.5 Price of aluminium (Source: CRU (3), 2006)

Apart from the long run trend, the other important aspect of prices is cyclical behaviour. Figure

2.5 illustrates that the aluminium price is subject to pronounced price cycles. Over the period,

1981-2004 nominal 3-month prices averaged $1,468/tonne. However, annual average prices

varied from a low of $1,032/tonne in 1982 to a high of $2,319/tonne in 1981. In the 1990s, the

cycle was less marked, but prices hit a low of $1161/tonne in 1993 and a high of $1,832/tonne in

1991. Between 1996 and 2004, annual average prices were contained in a relatively narrow band

by historical standards of $1,364-1,721/tonne. The years 2005, 2006 and 2007 to date have seen

the biggest breakout from this band since the late 1980s, with the annual average price in 2006

expected to be $2,591/tonne. The main driver of the price cycle is general economic activity,

particularly in the main OECD countries. Periods of high prices are associated with the late

phase of economic booms, for example in the late 1970s, late 1980s and mid 2000s. Lower
prices are associated with recessions, for example in the early 1980s and early 1990s. Although

this is a good generalization, it does not tell the whole story. For example, the long economic

boom of the 1990s, which ended in 2000, failed to produce an appreciable spike in aluminium

prices. This was because of the amount of excess capacity overhanging the market after the early

1990s collapse of consumption in the Former Soviet Union. If the boom had extended into 2001,

we would have experienced a tight aluminium market. Indeed, the resumption of rapid growth

after the 2001 recession has quickly produced a tight market and high prices.

Although the general economic cycle is the main driver of the price cycle, the cycle is worsened

by certain features of aluminium production and consumption. On the supply side, production is

price inelastic as capacity approaches its limit. Thus, when existing capacity approaches full

utilisation, extra production will only be forthcoming after a delay. If the only way to increase

production is to invest in new plant - the delay will be two to three years. This feature explains

the fact that upsurges in aluminium prices can be quite sudden. Thus, as consumption rises

during a boom, supply responds as inventories are used up, and spare capacity is brought online.

However, this process approaches a limit, and, as capacity runs out, prices will increase rapidly.

As supply reaches a limit, the market can only be balanced by a curtailment of demand. This can

happen quite quickly in the aluminium market, since certain applications in construction and

packaging can be substituted in the short term, and so become price elastic at high prices.

Production can also be price inelastic in the short term as prices fall. This is essentially because

of high fixed costs of production. As economic boom fades, in order to force production to fall,

prices may have to fall to the level of smelters' avoidable costs. In the meantime, excess

production accumulates as inventory. Consumption is also relatively price inelastic in the short
term. Thus as producers over-produce and inventories build, the consequent fall in prices does

not induce consumers to buy more aluminium. Indeed, the short-term effect may be perverse -

consumers buy less aluminium as they reduce their own inventories and wait further falls in

price.

Despite the volatility, there are built in stabilizers in the aluminium market. When prices rise

appreciably above their long run trend, several factors will come into play to reverse the

direction. In the short term, demand in some applications is price elastic. Secondly, high prices

increase the supply of scrap and secondary metal. Thirdly, investments in new capacity will

increase supply after two to three years. Certain other investment may bear fruit more quickly,

for example de-bottlenecking or re-opening a mothballed operation. When prices fall below their

long run trend, stabilization can only come about ultimately through a supply correction. The

main long run impact is that producers stop investing in new capacity, with the result that excess

capacity is gradually reduced as consumption grows. This process can take several years, which

explains the long shallow troughs. Supply can also be reduced more quickly if producers shut

down existing capacity. However, this generally does not happen until prices have fallen below

cash production costs. In extremis, supply can be corrected through the permanent closure of old

smelters. This happens rarely. Prior to the closure of Pacific Northwest capacity in the early

2000s (much of which was mothballed rather than dismantled), the last time an appreciable

amount of old capacity closed permanently for market reasons was in the mid-1980s, when

several smelters in the USA and Europe closed.

2.9 Economic features of the aluminium market

Aluminium is a commodity with an international price, determined on the London Metal

Exchange (LME). Suppliers of primary aluminium are thus price takers, and cannot differentiate

their products. Because they are price takers, their success depends largely on their cost position,

and the main differentiator of costs in aluminium production is the cost of power. The economic

rent that accrues to low cost producers of aluminium stems largely from access to a low cost

power supply. This is in contrast to most non-ferrous metals, where economic rent stems mostly

from access to a high quality, high-grade ore body. Again, in contrast to other non-ferrous

metals, the highest proportion of production cost is in the smelting stage, rather than the mining

stage.

Aluminium prices are volatile through the economic cycle. This volatility means price risk is a

key risk faced by any aluminium project. However, the upside of the commodity nature of

aluminium is that production volume can always be monetized – because there is a market of last

resort (the LME) and a market-clearing price. As we move downstream into the semi-

processing stage of aluminium production, there is still price risk – though less so when semis

are priced on an LME plus conversion basis, but there is more volume risk as sales volumes

fluctuate with the business cycle.

2.10 The location of smelters – why Trinidad and Tobago?

The demand growth of aluminium is over 4% a year for the next decade. The growth of demand,

plus the closure of older smelters in Europe and the USA, will give rise to a large requirement for

new smelters to be built. The requirement for new smelting capacity in the next decade averages

over one million tonnes a year, and is equivalent to about four large new potlines every year.

Trinidad and Tobago is seen as an attractive location for a new smelter primarily because of the

availability of low cost electric power, generated from natural gas. Smelters usually seek to

protect this advantage by obtaining power under long-term contract, which gives predictability

over future power prices. For a sustainable long-term advantage, power needs to be not just low

cost to generate, but low opportunity cost for power (i.e. the price of power obtainable in the

market). The Trinidad and Tobago seems to possess the low opportunity cost for power.

Attractive locations for power-intensive industries

12

Figure 2.6 Attractive locations for Aluminium smelters (Source: CRU (1), 2006)

Traditionally aluminium companies have found low cost power in regions as shown in figure 2.6.

Iceland and Canada (hydro-electricity power), Australia, South Africa (low cost coal) and Gulf
region (natural gas). However, gas based power is increasingly attractive because of its relatively

low carbon emissions, and its much lower capital costs than hydro, coal or indeed nuclear power.

Apart from power costs, Trinidad and Tobago has other advantages for locating an aluminium

smelter. Transport costs of alumina – whether from Jamaica, Surinam or Venezuela will be low.

In addition, it is well located to supply aluminium to the USA or Europe, both of which are

already net importers of aluminium and will become increasingly so.

Finally, the interest in smelting in Trinidad has been increased by the current boom in commodity

prices, which has seen 3-month aluminium prices on the LME rise from an average $1428/t in

2003 to $2591/t in 2001. The current boom seems to have greater staying power than previous

ones, due to the economic expansion in China. In addition, supply constraints are appearing in

the raw material supply chain, as well as in the construction and capital goods industries, which

is slowing down the supply response to the current price peak across a range of commodities,

including aluminium.
 References

1. CRU (1). “The Global Aluminium Market: An Overview”, in A Symposium on the Aluminium Industry
in Trinidad & Tobago, Paria Suites Hotel, La Romain, Trinidad and Tobago, 6th December, 2006.

2. CRU (2). ‘The Long Term Outlook for Aluminium’, 2006

3. CRU (3). ‘An Introduction to the Aluminium Industry’, 2006.

 Chapter 3

The Land Use Planning Perspectives in Relation to Development and Consideration of

Aluminium Smelters

James Armstrong

3.1 Introduction

Over the past few months, the country has been consumed with a debilitating debate, largely

objecting to the proposed construction of smelters at Chatham and elsewhere in Trinidad and

Tobago. By extension, this has evolved into pronouncements about industrialization as a path to

sustainable development. These discussions, and indeed others related to major land use

initiatives around the country, did not go unnoticed by the Trinidad and Tobago Society of

Planners (TTSP). The Society therefore enjoins the debate to bring to the fore a number of

planning and development issues worthy of further consideration. This chapter is intended as a

reference to stimulate further thinking and investigation.

3.2 Land use planning

We should also like to comment briefly on the process of land use planning and what this

professional body and discipline might bring to this discussion. Generally, planning is a process,

which seeks to make interventions in an existing situation, or probable course of events, in order

to achieve desirable outcomes based on the objective analysis of relevant information and data –
it is about the management of change which might be brought about as a result of the options

chosen; it is about problem solving. While the term ‘land use’ is still in the lexicon of

professions, in practice the discipline has evolved into a complexity of interdisciplinary and inter

– sectoral considerations about how we make the most judicious use of land and attendant

resources, and how such activities may influence or impact inter-locking objectives of human

development over time – moving people into successively higher levels of social and physical

existence – hence the more recent nomenclature of ‘human settlements planning.’ Owing to the

often complex nature of these functions, the profession, of necessity, must employ, or sometimes

develop tools and techniques to address issues which are specific to stages of development and

locality, while keeping in sight desired outcomes over an extended time-horizon, usually

spanning 20-50 years – a duration which does not always accommodate the immediacy of more

short-sighted goals. Ideally, planning should always be a step ahead of development and clearly

this is not evident in the ongoing discussions.

3.3 Land as a finite resource in Small Island Developing States (SIDS)

Trinidad and Tobago has a combined landmass of 4,582 sq km, with Tobago being the smaller at

300 sq km. Estimates are that about 55 per cent of the land area comprises forest and swamp.

About 30 per cent of the land is classified as agricultural, while about 15 per cent is built-up. On

the surface, it may appear that, within the Caribbean, Trinidad and Tobago is favourably

endowed with land and attendant natural resources. However, various technical reports suggest

that between 40-50 per cent of the land should be retained in forest and vegetation cover in order

to mitigate against soil erosion; to preserve aquifers, and to protect environmentally sensitive
areas and wildlife habitats. Large areas are also prone to flooding and this seems to be

increasing. In recent years, the developmental activities in Trinidad and Tobago have alienated

vast areas. The topography is also not entirely kind with respect to much of the undeveloped

land. The approach to settlements planning and development, while quite noble in intent, seems

fraught with inconsistencies. There is an acute shortage of developable land in the preferred areas

of Trinidad and Tobago, as is the case in many small Island States. Furthermore, it should be

noted that the average population density in Trinidad is 249 persons per sq km. If one were to

calculate the density in respect of the remaining developable land, the figure would be

astonishing. This could be compared with other countries where consideration is being given to

smelter plants, such as Chile with 17 persons per sq km, or Iceland with 2.7 persons per sq km.

The United Nations General Assembly, in its resolution 47/189 of December 1992 decided to

convene a Global Conference on Sustainable Development of SIDS in April of 1991. It is with

some pride that one can recall that Trinidad and Tobago played a most significant role in the

preparatory sessions, as well as the actual proceedings and conclusions of that Conference. The

initiative recognised that, ‘SIDS and islands supporting small communities are a special case for

both environment and development, in that they are ecologically fragile and vulnerable; that their

small size, limited resources, geographic dispersion and isolation from markets, place them at a

disadvantage economically and limit economies of scale, and that for small island developing

States the ocean and coastal environment are of strategic importance and constitute a valuable

development resource’.
This observation is not unlike that noted by our own erstwhile economist, William Demas, in his

discourse on The Economics of Development in Small Countries (Demas, 1965) with special

reference to the Caribbean. Demas (1965) emphasized that self-sustained growth could not be

isolated from the consideration of land size, which implies a lack of varied resources and large

internal markets. Since Demas (1965), many have commented on the peculiarities of

‘islandness.’ Helen Mc Bain (1990) pointedly raised the issue of whether it is possible for the

Caribbean islands to achieve ‘sustained growth in the present period given constraints such as

resource limitations, slow growth in the world economy, and trade protectionism and food aid

policies of developed countries.’ Much of the discussion from this era tended to concentrate on

the limitations of economic yield in relation to landmass, population, limited market access and

external vulnerabilities. It was within the confines of this limited landmass that small islands

eked out an economic existence, striving to rationalize the optimal use of the competing demands

for space, also keeping in mind the perceived disadvantages in the global economy imposed by

land size. We are pleased to also note that a Sustainable Economic Development Unit (SEDU)

was established at these very University 10 years ago and has in circulation a Discussion Brief

on ‘A Sustainable Development Planning Framework for Mega-Projects in Small Places.’ That

Brief clearly points to some of the issues of social, economic and environment costs as

underpinnings for development planning faced by small island economies.

It was not until the early 1980s that significant interest about coastal areas and the marine

environment as a new economic frontier began to emerge and a new body of knowledge

surfaced. One of the most notable initiatives was the Law of the Sea Convention of 1982 which

sought to ensure island States and countries with coastlines extended their jurisdiction over
marine resources within a 200-mile exclusive zone. At the same time, the United Nations

Environment Programme in Nairobi began to formulate a number of initiatives for protection of

the regional seas. A significant initiative with respect to the Caribbean Region was the Seminar

on Sustainable Development of Tourism in the Wider Caribbean held in Mexico in 1991. While

this was initially intended to look at tourism impacts, of necessity it encompassed consideration

of an extensive array of land-based sources of pollution in the Wider Caribbean Region. This

also spawned a number of new concerns about the symbiotic relationship between land and sea,

and the need to protect not only the land from degradation, but also likewise the sea from land-

based activities. The Montreal Declaration on the Protection of the Marine Environment from

Land-Based Activities in 2001 committed the participating 98 countries to national action and

recalled the provisions of ‘Agenda 21’ and the ‘Convention on the Law of the Sea’. The

preamble to the Report on the Global Programme of Action for the Protection of the Marine

Environment from Land-based Activities is worth considering here. It states, “The sustainable

use of coastal and ocean resources is linked to public health, food security, and economic and

social benefits, including cultural values and traditional livelihoods. More importantly, these

elements are understood as decisive elements in the alleviation of poverty. However, coastal and

marine environments are mirrors of activities carried out on land. Activities from industrial and

agricultural production to daily domestic routines all generate impacts that cumulatively affect

the health of these critical ecosystems and ultimately, the very people that live there and depend

on them for sustenance and economic development”.

Land use planners in most developing Island States were now faced with an additional layer of

considerations pertaining not only to the effective planning and use of limited land space and

impacts on the marine environment, but also with a range of socio-economic and environmental
issues for which they were ill equipped and inexperienced. In the Caribbean, Jamaica took the

lead in 1987 with the preparation of a National Environmental Profile which was intended as ‘an

important milestone in assembling a broad information base on Jamaica’s environment,’ and to

also ‘contribute to the on-going dialogue on how best to reconcile the protection and

enhancement of Jamaica’s natural environment with the country’s pressing need for sustained

economic growth and development.’ All the countries of the Organization of Eastern Caribbean

States prepared similar National Environmental Profiles in the early 1990s. It is not clear

whether any similar Profile has been prepared in respect of Trinidad and Tobago, which is the

most industrialized of the CARICOM Group.

Despite the concerns and body of knowledge which emerged about SIDS over the past two

decades, there are significant pressures from political directorates, which, while committing to

the various protocols, are ever mindful of the need to expand the constrained economies. Some

governments therefore often chose to disregard and marginalize land use planning considerations

for the expediency of economic growth, which does not always redound to people centred

development. It is against this backdrop that we as planners see the issues pertaining to smelters

and the role of industrialization in the development process in a small island setting. These are

complex inter-sectoral and interdisciplinary issues, which ought not to be dealt with in a

summary manner and one can only hope that the intervention of planners in the prevailing

discussions will encourage emotions to be tempered with reason.

3.4 The dilemma

Trinidad and Tobago no longer seems to fit into the conventional mould of economies

constrained by land size and resources. There is already a relatively vast offshore petrochemical

economy, which, while keeping the coffers full, does not seem to easily lend itself to

development as may be manifested in the creation of on-shore sustainable communities and

improved livelihoods as espoused in the Vision 2020 Strategic Development Plan. It was

recognised in the 2007 budget presentation that the economy for 2005 grew by 8 per cent and

was projected to show a growth rate of 12 per cent for fiscal 2006; whereas the GDP per capita

stood at US$6,970 in 2001, it is now estimated to be US$13,976, which puts Trinidad and

Tobago ‘among the higher income emerging countries in the world.’

Trinidad and Tobago has happened upon, more than once, good fortunes for which it did not

have to assiduously plan. A major dilemma therefore seems to be how to convert this offshore

wealth in the short to medium term, while at the same time ensuring economic sustainability.

Any state that can boasts of economic fortunes, such as in Trinidad and Tobago, will at times

experience fits of anxiety, knowing that the spotlight of the country, aided by sharply focused

corrective lenses and the Vision 2020 hype, are firmly fixed on the managers of this renewed

wealth. Consequently, it appears that the rationale underpinning development strategies as

pronounced by the Government from time to time are not always clear, as they sometimes come

without warning and consultation, albeit with stated good intentions. These points to a serious

lapse in forward planning, including, quite significantly, the absence of an updated National

Physical Development Plan, which would have taken many of the current issues into

consideration. ‘Development’ is therefore left to varying interpretations and is running ahead of

proper planning, perhaps with irreversible negative consequences.

What we can glean as overarching development objectives at this stage come from the recently

unveiled Vision 2020 Strategic Development Plan. A cursory glance at this document betrays the

fact that a huge amount of work is yet to be done in furthering the exercise. Indeed, it has been

noted that the strategic plan does not chart activities to the last detail but will assist in the

selection of developmental choices from amongst options presented, while detailing cost and

operational planning, as well as developing and forming structures for implementation, will

require additional consideration. The development priorities of the Plan include:

 Developing innovative people

 Nurturing a caring society

 Governing effectively

 Enabling competitive businesses

 Investing in sound infrastructure and environment

The question, which again arises, is the consideration of the trade-offs and best options for the

proposals contained therein – the process of planning. For instance, some sections of that same

document could be used to justify a smelter and rapid industrialization, while other sections

would suggest caution and consideration of alternative paths to development. Furthermore, since

Trinidad and Tobago is quite well endowed, is it a reasonable trade-off to pursue the type of

industrialization perceived given the benefits envisaged?

3.5 The way forward

It is conceivable that the Vision 2020 Strategic Development Plan could serve as a basis for the

way forward. However, the recognition that this Plan is ‘strategic’ and in need of additional

work, must be kept in mind. As noble laureate Caribbean economist Sir Arthur Lewis once noted,

politicians are inclined to economic plans because they allow for all manner of pronouncements

to be made without necessarily committing to anything. Such could be the same with Strategic

Plans, which, even more so than economic development plans, seem to encompass everything

without trade-offs. Land use planning, on the other hand, is governed by legislation and should

eventually become a statutory document, which informs the government, private sector and the

population in general to the likely direction of development, including the consideration of

industrialization as a platform. Consequently, the participation and understanding of those for

whom development is intended would have already been enlisted.

Interestingly, the planning fraternity learnt only quite recently that there is in fact a technical

team preparing a spatial development strategy for Trinidad and Tobago. The TTSP is not a party

to this exercise, although some of its members may be participants. This initiative seems to take

some major responsibilities outside of the jurisdiction of the Town and Country Planning

Division where they rightly belong. Some utterances by way of justification for this initiative are

that the team will focus primarily on major infrastructure projects, perhaps including pathways to

industrialization. Again, as planners we are constrained to make conclusions without adequate

information. Whatever the objective, it appears that this action could only further marginalize the

responsibility of the Division from the development process and planners and the public from

making a meaningful contribution to solving the debacle in which we find ourselves. We should

hasten to add that the central agency responsible for spatial development planning and the
regulation of development – the Town and Country Planning Division – is grossly understaffed

and ineffective in meeting the demands of the complexities of the environment for which it has

responsibility. It appears that as long as this critical institution remains marginalized and weak,

the efforts of any peripheral technical team/s, as well as the aspirations of Vision 2020, cannot be

well served.

3.6 Conclusion

As indicated above, a primary function of planning is problem solving and the definition of

options and objectives, which might address such problems. The initial requirement, therefore, is

an understanding of the issues – what is/are to problem/s? There seems to be a need to properly

define our notion of ‘development’ and ‘developed country status,’ particularly since this is what

is being touted as an aspiration by 2020. A common understanding of this notion should direct us

to established achievements and gaps in this journey and suggest adjustments to our trajectory,

thereby establishing verifiable objectives within definable timeframes – planning. It is very

unlikely that this process would take us directly to ‘smelters’ as benchmark achievements in our

aspirations. The question therefore is not yet about smelters or what type of industrialization, but

rather of development and how such objectives, once defined through consultation and

concurrence, may be manifested.

The Government’s development programme cannot be entirely stymied, as this will lead to

outcries in another form. Therefore, certain projects should be fast-tracked out of necessity, but

this still does not point to smelters. To facilitate such developments, particularly major
infrastructure works, an Interim Planning and Development Task Force, which will immediately

examine all major spatial development initiatives and provide technical advice on options, which

may not prejudice the outcome of more substantive investigations, should be established. Ideally,

this mechanism should be located within the Ministry of Planning and Development, with a

cross-sectoral and inter-disciplinary secretariat. Parallel to this will be the fast tracking of the

National Physical Development Plan which will immediately inform ongoing consideration

which come to the fore. This strategy will help to mitigate against irreversible negative

consequences of ‘development.’

Specifically, some of the issues, which should be subjected to further consideration in respect of

the proposed smelter/s, are as follows:

a. General

• Have we revisited the various Conventions/Protocols to which we are a party?

• Is the community affected appraised of the initiatives and appreciate the costs/

benefits to their locality and the national community? The Alcoa website on the

proposed smelter in Trinidad states that during the 2-year construction period

1,500 – 2,500 jobs will be created. Beyond this 750 – 800 permanent jobs will be

created. Is this a significant number of temporary and permanent jobs? Will the

local and national community benefit from these jobs or will a high percentage go

to foreign workers?

• Are emerging decisions grounded in an understanding of the processes involved?

• Is the process transparent, i.e. does the population have all the information, such

as energy costs and other arrangements?

 • Have the relevant regulatory agencies been consulted as agents of the State?

b. Physical

• What is the sensitivity of the area taking into consideration requirements of the

EMA?

• Is the proposed location the most desirable?

• What is the current use/state and the immediate and surrounding areas i.e. how

close are settlements and what are the potential impacts? (It is reported that

Chatham, for instance, is within three miles of Pt. Fortin and that there are 25,000

persons living within a radius of 10 miles)

• Land suitability and stability - is there a need for site engineering and if so, what

are the costs and implications?

• Groundwater – what are the impacts on supply and quality? The proposed site at

Cap-de-Ville/Chatham is on a major aquifer. Chatham/Granville area houses

water wells and filtration plants, which supply water to all the villages in the

peninsula.

• Pollution such as noise, dust and emissions. What is the baseline and what will be

the impact of a smelter on the environment, health and quality of life in relation to

settlements?

• Possible negative impact on climate change resulting from emissions – carbon

dioxide, fluorides etc.

 • Availability of required infrastructure and energy – smelting is considered to be

the world’s most energy intensive industrial process. Reports are that smelting

uses 1 per cent of all electricity generated globally and 7 per cent of the total

electricity consumed by global industry. Do we really have enough energy to

accommodate smelting?

• Will the development and the related facilities have a negative impact on rates of

erosion or flooding of surrounding areas?

• What is the cumulative impact of the development in terms of the quantum of

industrial development proposed and the implications of the additional impact of

smelter/s in addition to existing development in the south-west of Trinidad and

adjacent areas.

c. Coastal

Land-based developments can often have a negative impact on adjacent marine resources,

e.g. effects on fish and shellfish stocks, hence affects livelihoods of coastal communities

from:

• Sediments

• Nutrients

• Solid waste and marine debris

• Toxic substances

• Organic matter

• Suspended solids
The position of the TTSP is that if smelters are chosen in order to assist in the achievement of

development, it is imperative that all the social, economic and physical/environmental

implications should be considered and ventilated.

 References

1. William G. Demas. 1961. “The Economics of Development in Small Countries: With Special
Reference to the Caribbean”, Mc Gill, Montreal, Queens University Press.

2. Helen Mc Bain. 1990. “The Development Challenge and Strategies for Achieving Sustained
Economic Growth in the Caribbean”, in conf. Public Policy Implications of Sustainable
Development in the Caribbean Region, Jamaica.
 Chapter 4

Integrating Industrial and Coastal Development into the Physical Planning Framework

Asad Mohammed

4.1 Introduction

Large-scale industrial and coastal development has been taking place on an accelerated basis in

Trinidad over the last five years, often directly driven by the policy and programmes of the

government. However, the quantum and type of development appears to be beyond the

institutional capacity of the statutory agencies responsible for regulating physical and coastal

development. In this case study of the establishment of aluminium smelting, the state is both the

promoter and regulator of the development.

This chapter examines the introduction of aluminium smelting both onshore and offshore in

Trinidad and Tobago. The process of developing aluminium smelting in Chatham, Union Estate

and in a possible offshore island in the Otaheite area, by the state agency, the National Energy

Corporation (NEC), is described in relationship to the formal regulatory and approval process for

industrial development. The first issue to be addressed is what should be the role of the state in

promoting industrial development and the second issue reviews how the state should regulate

such activities.
4.2 The changing face of industrial promotion in the developing world

The post world war two periods of the late 1940s and the 1950s was coincident with the

initiation of decolonization in the Third World. In this period, most ex-colonies saw

industrialization as a means of overcoming the debilitating economic effects of monoculture

plantation agriculture or primary resource exploitation. This was certainly the case in Trinidad

and Tobago, at the time the most industrialized island in the West Indies.

It is fair to suggest that in the quest to increase employment and economic wellbeing, long term

physical and environmental impacts were not given much weight. In Trinidad and Tobago,

monetizing of oil and then later natural gas reserves through energy-based industrialization was

perceived as a mechanism to accelerate the development process. This process led to the

broadening of the long established oil refining industry to include other primary processing

industries based upon natural gas. This type of industrialization found its first large scale

manifestation in the Point Lisas industrial estate which included steel, ammonia and urea

production from the 1980’s onwards.

Many post colonial societies with Trinidad and Tobago being no exception also pursued the

development of physical planning, urban and rural development and slum clearance. Very early

in the life of responsible government, which started in 1956, the 1960 Town and Country

Planning Ordinance was passed in Trinidad and Tobago. It was some seven years after

independence in 1969 that the Act was finally proclaimed and implemented (GOTT, 1969). In

1984, a National Physical Development Plan (NPDP) was finally passed in parliament some ten

years after it was required under the Act (GOTT, 1984). The official dialogue around both the
initial Act and the subsequent national plan was that both would be important elements in the

development process of the country.

While environmental concerns in development were initially addressed via the Town and

Country Planning Act, hereafter referred to as Act 35.01, this was changed when a new

Environmental Management Act was passed in 1995 and revised in 2000. Whatever their

shortcoming, these two Acts provided a comprehensive framework to regulate development. A

relevant question is if these two Acts and other relevant statutes provides an adequate or

appropriate framework to regulate industrial and coastal development similar to what is being

proposed with the aluminium smelter industry.

a) Balancing sustainability with economic growth in industrial estates

Industrial estates, or the clustering of industrial activities, began in the early twentieth century.

This was in harmony with the development of statutory town and country planning which began

earlier, in post industrialization nineteenth century Europe. Planning was effected to resolve the

problem of pollution and nuisance in many land use activities by concentrating or clustering

single land uses in one place. This clustering or zoning of similar land uses would facilitate

appropriate guidelines and regulations to minimize their negative impacts and control them in

one place. The industrial estate was thus a large tract of land, sub-divided and developed for the

use of several firms simultaneously, distinguished by its shared infrastructure and the close

proximity of firms (UNEP, 1997).

While single land use zoning has been questioned as a solution to nuisance issues because of the

communication and transportation problems it creates, concentration of heavy industrialization

continues to be the norm up to the present. It has been realized however, that individual

enterprises should not be left to resolve environmental land use and infrastructural problems

individually as they are locked into management interdependencies; the concentration of

industrial activities often magnified pollution and safety problems. The large size of many

industrial estates would have serious implications for habitat, loss of biodiversity and coastal

zone management.

If early industrial management was geared towards control and supervision of tenants with

respect to enforcement of policies and safety rules, land use standards, utility placement, etc, new

industrial estate planning is geared towards promoting industrial management. UNIDO (2007)

has shown that many countries are focusing on sustainable and green industrial estates utilizing

ISO 14001 and EMAS certification. New, sustainable industrialization also includes the

encouragement of corporate environmental policy, clean technologies, green products and

industrial symbiosis involving materials and energy. Estate management authorities are thus

concerned with a range of issues beyond simply managing and serving industrial investments as

in the past. The impact of industrialization is thus considered from conceptual planning to post

construction management. The following is an illustration of the comprehensiveness of this

approach from the Industrial Estate Authority of Thailand (IEAT) from UNIDO (2007). Their

example utilizes the headings of planning, operations and control to match the planning,

implementation and monitoring aspects of industrial estate development.

Planning

 Identify possible sites

 Conducting EIAs

 Selecting sites

 Undertaking pre-planning

 Transportation of goods, material, people

 Designing layout

Operations

 Constructing infrastructure and services

 Operating infrastructure and services

 Designing individual facility sites

 Constructing facilities

 Landscaping sites

Control

 Monitoring materials and media quality

 Enforcing regulations and covenants

 Auditing environment

 Reporting on environmental performance of companies and estate.

4.3 Comparative framework for industrial planning

a) Physical planning
The physical planning framework is geared initially to regulate the spatial framework in which

industrial activities and estates are developed and to asses their impact on surrounding areas.

The relevant legislation, the Town and Country Planning Act, 35.01 defines the meaning of

Development Areas and the 1984 National Physical Development Plan specifies the particular

areas in which particular uses can take place. This has been further refined by the environmental

legislation which looks to minimize the impacts of particular uses on the physical, social and

cultural environments.

On a broader level, the role of Caribbean Governments in industrial planning must include a

range of other interests. The most important one is often to promote economic development and

reduce unemployment. In Jamaica, for instance, the bauxite industry in 2004 generated US$901

million, creating significant linkages in the economy as well as providing quality employment

(Boyne, 2005). From an environmental point of view, the regulatory role of government is often

narrowly defined as regulating negative externalities associated with industries. This may

involve prohibiting industries in certain locations if negative impacts outweigh benefits.

Industrial Policies attempt to address the needs of various sectors and industries. Trinidad and

Tobago’s ‘Industrial Policy 2001-2003’, for instance, recognizes the role of government in

promoting and managing a new regime for science, technology, quality and innovation. At a

regional level, the CARICOM industrial policy attempted to provide for both market and

production integration (ECLAC, 2003). The evolution of industrial policies has led to greater

emphasis being placed on not just aggregate economic growth but on sustainable development,

which involves prudent environmental management and protection. The Jamaica Bauxite

Institute (JBI), for example, a Government agency, is charged with overseeing the development
of the Bauxite industry as well as environmental monitoring of the industry, which is somewhat

similar to the dual role of the NEC in Trinidad and Tobago with respect to natural gas utilization.

Using Trinidad and Tobago, Jamaica and Brazil as examples Table 4.1 shows the comparative

legislative framework governing industrial development. Industries are to be located in industrial

estates to minimize conflict between uses. Industries are also to be grouped by type to control

the negative impact of pollution on the environment. In Jamaica, there is no national plan, and

zoning for various purposes are based upon the publishing of a development order for specific

areas. Planning objectives are also met via building guidelines administered by municipal

authorities in both Trinidad and Tobago and Jamaica. The Brazilian case is much more

sophisticated as they have detailed industrial zoning requirements. For example, they have three

categories of industrial zones, each with there own set of guidelines. These zones are a)

exclusive industrial zones, b) mainly industrial zones and c) mixed use zones. Aluminium

smelting would be covered in the first category.

b) Environmental management

In the area of environmental management, industrial development in Trinidad and Tobago

requires a certificate of environmental clearance (CEC) under the EMA act of 2000 and in most

cases, this will require an EIA. Land use planning decisions remain the purview of the agency

administering the town and country-planning act. The CEC focuses on assessing and minimizing

the impact of the industrial activity on the overall social and physical environment. The

Jamaican requirements are similar and require an approval from the National Environmental

Protection Agency, NEPA (Bennet, 2007). There have been some administrative reforms in

Jamaica, which is intended to enhance coordination between relevant approval agencies, an area
that is still very poor in Trinidad and Tobago. While the Brazil core requirements are similar

they are enhanced by the categorization of types of industrial activities each with its specific

requirements.

Table 4.1 Comparative legislative framework

Trinidad and Tobago

Permitting Authorities Act/Legislation Main Subjects
Planning Agency TCP Act,1969 (Chap 35) Planning and Development
(TCPD)
Ministry of Building Approval
Works/Energy
Environmental EMA Act, 2000 Environmental Impact Assessment
Management Agency EMA Act, S.35(1)/2000 Certificate of Environmental Clearance
EMA Act, S. 50(1), 53(1),57(1), 60(1) Environmental permits and licences
(effluents standard and pollution control
Jamaica

National Environment NRCA Act S.10 (1b)/1991 Environmental Impact Assessment

and Planning Agency TCP Act, 1948 Planning and Development
(NEPA) NRCA Act S.9 (2)/1991 Environmental Permit
NRCA Act S.9 (4)/1991 Environmental Licences(Effluent
discharge)
NRCA Act S. 17 Pollution Control
Parish Councils Building Code Act, 1982 Construction Permit/Buildings Permit
Mines and Geology Mining Act, 1947 and Quarries Act, License to extract minerals,
Division 1983 Rehabilitation of mined areas.
Brazil

SEMA Created in 1973 1. Zoning Standards

2. Planning + Development
11. Environment Standards
(CONAMA) Law 6938/1981 Environmental Impact Statement
Resolution 1/1986 (Federal
Legislation)
Article 10 (Law 6938) Construction Permit
Chap.225 of Constitution (Law 6983) Rehabilitation of mined out areas
IBAMA (Replaced Law 7804/1989 Environmental Quality
SEMA 1989)
Resolution 3/1990 Emission Standard for Pollutants
Resolution 5/1986 National Plan for Air Quality Control
Resolution 9/1990 Operation Licenses
Municipal Authority Construction Permit
c) Public consultation

In Trinidad and Tobago there is little public participation, only limited consultation on

development plans required under the land use planning framework. The environmental review

process under the EMA has a systematic and comprehensive public engagement requirement

under the CEC rules. The Jamaican process is almost as detailed in its requirements to NEPA.

There is a noteworthy limitation on the requirements for public consultation in Brazil

notwithstanding the technical sophistication of industrial regulations.

d) Assessment of comparative regulatory frameworks

In summary, it appears that while the physical planning systems of both Jamaica and Trinidad

and Tobago are anachronistic with respect to industrial regulation their environmental review

process is comparable to Brazil and other comparator countries.

4.4 Case study of planning for the aluminium smelting industry in Trinidad and Tobago

A. The aluminium smelter project

The focus will be on the physical planning regulatory process and the first aspect of the analysis

will deal generally with the planning for the plants in both Chatham and Union Estate by the

National Energy Corporation (NEC) that has been charged with this responsibility. The criteria

for selection of a site for an industrial estate are listed in Table 4.2.
Table 4.2 NEC suitability criteria for industrial estate development

Criteria for selection Extent that criteria have been met

A large contiguous parcel of land with a Large continuous parcel present but no basic
minimum of 400 hectares. infrastructure.
Affordable, guaranteed, reliable bulk utilities No affordable bulk utilities – new electricity
available. plant needed; new pipelines, both for water and
spur pipeline for gas.
Proximity to existing or potential area for deep No proximity to deep water harbour – New
water (harbour). Port with 4km of dredging to get to the deep.
Minimum environmental/social impacts for Not included the long-term cost of coastal
mitigation. damage and remedial works which has so far
not been dealt with.
Minimum occupancy and encumbrances to Community disagrees - relocation cost not
clear. calculated.

Favourable geotechnical properties to Geotechnical – awaiting results of consultant’s

minimize construction costs – fill, foundations
settlement, consolidation
Ease of acquisition or preferably owned by the
State.
Existing Industrial Zoning or Approval
studies.
Yes, but with agricultural lease encumbrances
Not Zoned for industry – but NEC has initiated
a site location study and Local Area Master
Plan Study. This will be discussed in more
detail in part two of this case study.

It can be seen that many of the criteria for industrial estates issued by the NEC have not been met

at the Chatham site and there is a potential indirect cost to the state in excess of US$ 300 million,

estimated by the author, which does not include the potential of coastal damage. Later, it was

announced that the proposed Chatham site for aluminium smelting was shelved and a new site

proposed on an island to be reclaimed off Otaheite, in the South west of the island (Table 4.3).
Table 4.3 NEC planning for Otaheite Island reclamation

2004 Proposed reclamation site identified as an industrial site of 1400 – 2600 hectares

2006 December 24 announced as alternative for Alcoa smelter from Chatham

2007 January 21-a newspaper advertisement detailing a planning process for this site,

culminating in award of tenders in February.

There was no reason to suggest that this site had not been on the radar of the NEC since the date

claimed as it has earlier been identified as a potential reclamation project in 1998. At that time

what was called the “Millennium” project was identified in a similar location but for primarily

urban and commercial uses, certainly not heavy industry. However, this new site raised a set of

additional questions.

 Should the reclamation take place in its proposed configuration at all?

 Should such reclamation be used for industry?

 Is aluminium smelting the appropriate industrial activity?

 What is the status of the regulatory approvals?

Further, there are deficiencies in the process for obtaining environmental clearance for an “off

shore” project in Trinidad and Tobago (Figure 4.1).

 Proposal for Major Offshore Project

Application to State

1. No Clear Regulatory Integrated Jurisdiction for

Coastal Development
2. No Statutes
Adhoc
3. No Plans
Procedures
4. No Policy
5. No Standards

Approval
No Monitoring
Capacity
Constitution

Figure 4.1 Regulatory processes for land reclamations

4.5 The legal planning process of approving industrial development

a) The development control process under the Town and Country Planning Act.

At a national symposium on the proposed aluminium smelting industry (STCIC, 2006), the

Trinidad and Tobago Minister of Energy suggested that two agencies of the state with legal

jurisdiction, the EMA and the T&CPD, would ensure that the national interests were met before

the smelter projects were approved. This assumed that the social and economic interests were

already addressed as those agencies deal predominantly with physical and environmental

concerns. This statement also suggested that one aspect of the state’s action, promotion of the
project, would be adequately counterbalanced by that other state function of regulator. The

working of the environmental review process via the CEC of the EMA is reasonably transparent

if not perfect and up to the time of this presentation appeared to protecting the national interest.

Little is however known of how the other part of the process is working. This is the bad leg of

the approval process and the leg that has been hobbling along with a crutch for some years now.

This is not to suggest that the professionals in the T & CPD have not attempted to carry out their

functions. Instead, it is instructive to examine the functioning of the institution, its powers under

the Act and the support given to it by the state.

b) Development planning for industrialization

The NEC made the application to the T&CPD on behalf of the proposed investor, which is part

of their present functions, and they presented their own criteria for industrial estate planning at

the STCIC symposium, which was earlier described. These are useful criteria to inform an

industrial location decision even though they did not seem to have been met at Chatham.

Because of the potentially high environmental, land use, social and infrastructural cost involved,

these issues should be part of a national industrial planning process by a competent and

hopefully independent regulatory agency. This should be done in a transparent manner because

of the infrastructure and utility cost but also the gains and losses to affected communities.

Halcrow (2000) has presented a strategic review of the NPDP for infrastructural and economic

development in industrial locations in Trinidad and Tobago.

4.6 Conclusions
The planning process helps to decide on the best use of the national land resources and makes

proposals for the development of these resources in a spatially coordinated national framework

integrating the environmental, social, economic and infrastructural need of the society. While the

state does have a responsibility to promote economic development and job creation, this must be

tempered with measures to ensure the sustainability of these endeavours. Not every development

decision can wait until the appropriate plan to guide its implementation has been completed, but

policy making in the context of development planning must be cognizant of the broader national

and public interest. The state has reneged on its responsibility to reform planning legislation to

make it relevant to the needs of the 21st century. It has failed so far to update its development-

planning framework on a timely basis. These actions may result in economic benefit to the

society in the long term; they may also affect in the future the fundamental role of both

government and the planning framework, which is to protect public heath and safety.
 References

1. GOTT, 1969. Town and Country Planning Act, Chapter 35.01

2. GOTT. 1984. National Physical Development Plan of Trinidad and Tobago. vols. I and II.

3. UNEP, 1997. ‘The Environmental Management of Industrial Estates’. UNEP Industrial and

Environment Technical report, No 39, France,

4. UNIDO, 2007. ‘Environmental Guidelines for New Industrial Estates’. UNIDO, Industrial

Development Focal Point. www.un.org/agenda21/nat/info/country/thai/industry.pdf.

5. Boyne, 2005. Bauxite and the Environment: Much Progress Mined.

www.jis.gov.jm/develomemt/html.

6. ECLAC. 2003. Comparative Study of Policies on Technology and Industry in the Caribbean

and their Effects on Development.

7. Bennett, G. 2007. Personal Communication- National Environment and Planning Agency,

Jamaica.

8. The South Trinidad Chamber of Industry and Commerce. 2006. “National Symposium on the

Aluminium Smelting Industry”, Paria Suites, La Romain, Trinidad and Tobago.

9. Halcrow. 2000. National Conceptual Development Plan, Urban Development Company of

Trinidad and Tobago.

 Chapter 5

Primary Aluminium Production: Environmental Impacts and Issues for a Small Island
Developing State

Sean O’Beirne and Arun Kansal

5.1 Introduction

The rapid and growing demand for aluminium (forecast at 5 percent for 2007 to some 35 million

tonnes per annum) equates roughly to the establishment of one large-scale primary aluminium

smelter per annum (www.abareconomics.com). As a result, smelters have proliferated in recent

years with major (although not exclusive) areas of development being southern Africa (Hillside,

Mozal and Coega) and the Middle East (Alba, Dubal, Sohar and Qatar). Further capacity

expansions are in various stages of planning in the Russian Federation and in other parts of the

world. The critical parameter in the decision to establish a smelter is the price of energy, with

energy costs constituting some 40% of the operating costs of the smelter (IAI, 1987). In world

terms, electricity prices are relatively low in both Southern Africa and the Middle East. The

ability to site smelters in close proximity to ports has also been important in the value

proposition of these smelters as they are high material turnover operations, importing the primary

raw material (alumina) and exporting the finished metal.

Due to the low cost of recycling, aluminium is much vaunted as an environmentally friendly

product. While recycling costs are an undisputed benefit, it is important to understand the full

lifecycle environmental burden of the aluminium production process to properly conceptualize

the low cost of recycling the metal. It is also necessary to weigh up the costs and benefits at the

points of production, namely bauxite mining, alumina refining, primary metal production, and

the production of aluminium products, to fully appreciate the environmental consequences of the

metal. The continued need to build smelter capacity has now seen Trinidad and Tobago (T&T)

mooted as a potential location for new, primary aluminium smelter in southern Trinidad

alongside the Gulf of Paria. The development will capitalize on the availability of natural gas as

a relatively cheap energy source for the smelter.

In the course of this paper, an overview is provided of the impacts potentially invoked by

primary aluminium production. The overview is started with a full life-cycle description of the

aluminium production process, from mining through to finished products, thereafter focusing on

the specifics of primary aluminium production. Primary aluminium production is presented

firstly in terms of the process itself and then the associated environmental and social aspects.

This is followed by a description of potential impacts and their significance. The paper is

concluded with a brief presentation on the characteristics of Small Island Development State

(SIDS) and a discussion on the consequences of the smelter within the context of these

characteristics.

5.2 The aluminium life-cycle

In broad terms, there are four key elements to the aluminium life cycle. These are bauxite

mining, refining, primary metal production and production of aluminium products. For the

purposes of this paper only the first three components are described in more detail, because these

are the steps required to produce the metal, and are presented below.
5.2.1 Bauxite mining

Aluminium does not occur naturally as a pure metal, but exists in the form of an oxide within a

number of chemical compounds. Such compounds include bauxite, which is the principal raw

material for primary aluminium production. World bauxite reserves are estimated to be between

55 and 75 billion tonnes, with South America holding some 33 percent, Africa some 27 percent,

Asia some 17 percent and Oceania some 13 percent of these reserves (US Geological Survey,

2006). Bauxite operations are typically open cast mines where the overburden is stripped and the

bauxite excavated from the pit. Alcoa, who plans to establish the smelter in T&T, have a

materials transfer station at Tembladora. This was previously used to ship bauxite and alumina

from Suriname to users of those products in US and Europe. However, since 1983 only alumina

has been shipped (www.alcoa.com).

5.2.2 Alumina refineries

Before the metal can be produced, it is necessary to extract the pure aluminium oxide from the

bauxite and this is the function of an alumina refinery. Typically, refineries are located close to

the bauxite mines because it is obviously more cost effective to ship alumina (as higher value,

lower volume product) than it is to ship bauxite (lower value, higher volume product). Perhaps

the most widely recognised refinery technology is the hydrometallurgical Bayer process and

many refineries in operation today are based on that process with numerous variations depending

on the characteristics of the bauxite.

In a conventional Bayer process, the alumina component of the bauxite ore is dissolved at high

temperature in a circulating sodium hydroxide (caustic soda) liquor stream. The resultant slurry

stream is cooled, impurities and un-dissolved components of the bauxite are settled out and

removed from the liquor, and alumina trihydrate is precipitated at low temperature and then

calcined to aluminium oxide (alumina). The key waste component of refineries is red mud,

which are the impurities and other un-dissolved components of the bauxite. Red mud is disposed

of to red mud dams where efforts are made to recover the water. Modern red mud management

practices are effective in ensuring that the red mud, which is moderately alkaline, does not affect

the environment but past practices have seen red mud discharged from the refinery process into

rivers and the sea.

5.3 Primary aluminium production

5.3.1 Reduction cells

Aluminium smelting is a misnomer because although high temperatures are required, the process

is essentially a chemical reaction. That reaction occurs through an electrolytic process, where

the passage of electricity through the molten material has the effect of reducing the oxide to a

metal. Aluminium smelting takes place in a series of cells or pots, each of which produces about

2.5 tonnes of aluminium a day. The pots have a steel shell, a refractory layer to protect the shell

from the heat and then a carbon lining. The lining forms the cathode for the electrolytic process

(Figure 5.1).
 Pot alumina hopper

Busbar
Point feeder

Pot hoods
Anode(+)

Cathode(-)

Refractory

Current collector
Steel shell bar
Liquid metal

Figure 5.1 Schematic presentation of an aluminium reduction pot

On top of the pot is a superstructure that holds a series of anodes - about 14 anodes per pot.

Finally, the pot contains an electrolytic media or bath, which consists of a mixture of alumina

and cryolite and this completes the circuit. Electricity is passed through the anodes into the bath,

from the bath to the cathode, and from the cathode to the anode of the next pot in series. The

electricity passes from pot to pot through a large aluminium conductor known as a busbar. The

electrolysis results in molten aluminium aggregating at the bottom of the bath mixture from

where it can be siphoned off and cast into billets or ingots. A primary aluminium smelter is

fundamentally an operation of electrolysis in which alumina (aluminium oxide) is converted

(reduced) to metal.

5.3.2 The gas treatment centres

Because various fumes are liberated during electrolysis, most notably fluoride (see later

description of aspects), the pots have hoods that extend from the pot superstructure to the lip of

the pot. The hoods serve to contain these fumes so that they can be extracted and ducted to the
gas treatment centres where the fluoride is removed from the gas stream. In the description of

electrolysis, mention was made of cryolite - sodium aluminium fluoride - as an essential

component of the bath. The amounts of cryolite that must be added to the pots can be

substantially reduced by fluorinating the incoming alumina. This is done by passing the fluoride

containing gas stream from the pots through the incoming fresh alumina. The high surface area

of the alumina adsorbs the fluoride resulting in the dual effect of fluorinating the alumina and,

more importantly, removing the fluoride from the exhaust gases. This happens in large gas

treatment centres (GTCs) that service the potrooms.

5.3.3 Carbon

The remaining components of the smelter are all supplementary to the electrolysis process. Older

technology smelters manufactured the anodes for the pot in situ (Soderberg technology) but

modern smelters use pre-baked anodes where the anodes are manufactured separately, attached

to rodding stems, and then introduced to the pots. Anode manufacture takes place in a carbon

plant where petroleum coke is crushed and mixed with liquid pitch to form an anode paste. The

anode paste is then moulded before being calcined (baked) in large bake furnaces. Because

anode stubs are recycled, provision needs to be made for controlling fluoride emissions from the

bake furnaces and this is done using the same principle as the gas treatment centres, with so-

called fume treatment centres (FTCs) that are used to scrub fluoride from emissions from the

bake furnaces.
5.3.4 Casting

The molten metal is transported in ladles to the casting area, where it is placed in holding or re-

melts furnaces for casting into billets or ingots. Some smelters have extended casting areas

where they may produce additional forms of finished metal product and alloys. The regulation

of power through transformers and rectifiers, the provision of utilities and general support

services and administration are the remaining broad components of the smelter.

5.4 Environmental and social aspects of primary aluminium production

The environmental aspects of a smelter include atmospheric emissions, solid waste, wastewater

discharges, together with socio-economic aspects such as job creation and spending.

5.4.1 Atmospheric emissions

5.4.1.1 Gaseous and particulate fluoride (Fg and Fp)

Fluoride is essential to the electrolysis process and is thus added to the bath in the form of

cryolite (sodium aluminium fluoride) or fluorinated alumina (see earlier description of gas

treatment centres). It is necessary to periodically remove the hoods from the pots (most notable

when changing anodes) and when this happens emissions from the pots are released into the pot

rooms from where they are ventilated to the atmosphere via roof ventilators. Fluoride is thus

emitted to atmosphere via the gas treatment centres (after being scrubbed), the potroom roof

vents and the fume treatment centres. Fluoride is a phyto-toxin and is known to affect vegetation

at concentrations significantly lower than those that could pose a threat to human health.
5.4.1.2 Sulphur dioxide (SO2)

The petroleum coke and pitch that is required for the production of the anodes contains sulphur

in varying quantities. As the anodes are consumed during electrolysis, SO2 is formed. Because

SO2 is one of the gases contained within the pot hoods and ducted to the gas treatment centre, the

gas treatment centres are the principal atmospheric SO2 emission points. SO2 emissions to

atmosphere also occur through the roof vents but to a significantly lesser extent than the GTCs.

Concerns regarding SO2 emissions relate to possible human health effects (both acute and

chronic), as well as acid deposition. Few smelters have any direct form of control of SO2

emissions, and this is typically a function of limiting the sulphur content of the coke, pitch and

fuels used across the plant.

5.4.1.3 Carbon dioxide (CO2)

CO2 is formed during the combustion of fuels (bake furnace and cast house) and during

electrolysis as the anode is consumed and the carbon oxidizes to form CO2. In a similar way to

that described for SO2 the gas treatment centres are the principal emission points for CO2. Other

emission points include the stacks from the re-melt/holding furnaces and the fume treatment

centres. CO2 must usually be considered from the power stations where electricity is generated

for the smelter but is of lesser concern for the proposed T&T smelter, due to the use of natural

gas for power generation. The concern with CO2 is its contribution to an enhanced greenhouse

effect and global warming.

5.4.1.4 Nitrogen dioxide (NO2)

NO2 is formed at a range of sources across the smelter where combustion occurs, including the

re-melt/holding furnaces and the bake furnaces. NO2 is also generated during electrolysis but in

relatively smaller quantities than is generated at the combustion sources. NO 2 may result in

human health effects, acts as a precursor for tropospheric ozone formation and may also result in

acid deposition.

5.4.1.5 Particulate matter (PM)

There are several sources of PM across the smelter and these are associated with both

combustion processes (typically much finer particulates) and dust that is mechanically generated

during raw material (alumina and petroleum coke) handling. PM sources include a number of

dust collector (raw materials handling) stacks and dust from the pots. PM may result in human

heath effects and visibility reduction.

5.4.1.6 Volatile organic compounds (VOCs)

Liquid pitch provides the principal source of VOC emissions. As such, VOCs are emitted from

the paste plant (green paste and anode production) and in the bake furnace during anode baking

operations. Although emitted in relatively small amounts, some VOCs are known carcinogens.

For an aluminium smelter, concerns regarding VOC exposure are more typically occupational,

rather than community.

5.4.1.7 Other atmospheric emissions

In addition to the above, several other air pollutants occur in relatively low quantities. The most

significant of these are per-fluorocarbons (PFCs). Although emitted in small quantities (they are

generated only during anode effects) they have powerful ozone depleting and global warming

properties.

5.5 Wastewater

The major sources of wastewater from an aluminium smelter are the various cooling systems

across the plant. Due to the nature of the cooling systems there is a gradual build up of dissolved

solids in the cooling water, and as a result clean make-up water is added, and water that is high in

dissolved salts discharged or blown down. This blow down water is the major wastewater

stream from the smelter. Additional streams may include wash water and sewage. Although not

directly a wastewater, rainwater that falls on the site can become contaminated with fluoride that

has settled from atmosphere or fluorinated materials that have been spilled on site. In volume

terms, this is a far more significant quantity of wastewater and provision needs to be made for

controlling the discharge of the same to the natural environment, typically through an

impoundment dam that serves to prevent spikes in fluoride concentrations being discharged.

5.5.1 Waste

A variety of solid and liquid wastes is generated during smelter operations. The liquid wastes

include sludges and oils, while the solid waste includes dust, carbon waste, dross, refractory

wastes, and general waste. The two main categories of Hazardous Waste are general fluorinated
waste and spent pot linings (SPL). SPL disposal is generally more complicated than fluorinated

waste, which can be relatively safely land filled.

5.6 Resource use

5.6.1 Electricity

Aluminium smelters are significant users of electricity and dependable and sustainable sources of

electricity are an essential requirement for an aluminium smelter.

5.6.2 Water

As described above aluminium reduction is essentially a dry process, where water is only used

for cooling and to a lesser extent, potable purposes. Compared to other industrial process

aluminium smelters are relatively small users of water.

5.6.3 Fuel

Direct fuel use on an aluminium smelter is limited to the re-melt /holding and bake furnaces.

Gas is the preferred fuel sources for such combustion process because of its cleaner burning

properties and easier handling (negates the risks of spills of other fuel types).

5.7 Potential impacts of primary aluminium smelters

The potential impacts invoked by the environmental and social aspects of primary aluminium

described above are presented in the following section. The aspects and impacts are summarized

and presented schematically in Figure 5.2.

 ASPECTS IMPACTS

Electricity

Indirect impacts
Water
Resources
Alumina

Adverse health effects

Petroluem coke

Pitch

Fluoride Biodiversity loss

Emmissions

Sulphur dioxide

Water resource
Greenhouse gasses degradation

Dust

VOCs Global warming

Blowdown water
Effluent

Stormwater Public nuisance

Hazardous waste

Domestic waste
Waste

Loss of resources

SPL

Spending
Infrastructure
Social

Jobs

Noise
Services
Other

Visual/illumination

Land transformation

Figure 5.2 Listing of environmental and social aspects and associated potential impacts of
primary aluminium production
5.7.1 Air quality related health and ecology impacts

All atmospheric pollutants from a smelter are important in term of potential impacts, but by far

the most notorious is fluoride. As described earlier fluoride is phytotoxic and may cause damage

to vegetation at concentrations significantly lower than those that would affect human health.

Older technology smelters where fluoride emissions were largely uncontrolled were typically

established with a buffer zone of one to two kilometers around the smelter. Significant

vegetation damage would be evident in the buffer zone. Even in modern smelters, which have

dry scrubbing, evidence of vegetation damage within the smelter area can sometimes be found.

However, one of the difficulties in assessing potential effects of fluoride on vegetation is that the

susceptibility of different vegetation types is not always known and certain assumptions need to

be made regarding the likely vegetation response. The issue is not dealt with extensively here.

There are various thresholds that can be used to determine fluoride concentrations at which

damage may be caused to vegetation. These thresholds include an annual average of 1μg/m 3 -

0.4μg/m3 during the growing season (IAI, 1987) and a monthly average limit of 0.8μg/m 3

(Weinstein & Davison, 2004). In addition, Australia and New Zealand specify a range of

averaging periods for general and special land use from 12 hours through to 90 days. These

standards are summarized below in Table 5.1 (CSIR, 2002). In an environmental impact

assessment (EIA) done on aluminium smelters in Southern Africa an approach has been used of

defining 1μg/m3 limit as an ‘industrial’ standard (i.e. apply to industrially zoned land-use) and

0.4μg/m3 as a residential standard. The thresholds presented here are not meant to be definitive

but simply to offer a perspective on limits that prevail and that are likely to be used in assessing

potential impacts on the environment.

Table 5.1 ANZEEC goals for ambient fluoride concentrations in μg/m 3 (Manins et. al., 2001)

Land use 12-hour 24-hour 7-day 30-day 90-day

General 3.7 2.9 1.7 0.84 0.50
Special 1.8 1.5 0.8 0.4 0.25

5.7.2 Predicting ambient pollutant concentrations

Various atmospheric dispersion models have been used in predicting the likely ambient air

pollutant concentrations as a result of emissions from primary aluminium smelters including

Gaussian and Legrangian models. The Buoyant Line and Point Source (BLP) models were

developed specifically for aluminium smelters, to take into account the effects of the plant

structures on micrometeorology. The potlines are typically near one km long and release a

significant heat plume along the length of the pots and both obviously strongly influence airflow

across the potlines. Although there may be differences between the capabilities and accuracy of

the models, within the context of the EIA there is little to choose between them. This is because

in the absence of significant other source of pollutants, the predicted ambient concentrations are

typically well below defined damage thresholds or standards. Examples of the maximum

predicted ambient concentrations are presented in Table 5.2.

5.7.3 Spatial extent of pollution dispersion

In terms of the spatial extent of pollution concentrations, the HF damage thresholds, if exceeded,

are typically exceeded in very close proximity to the source, and thus confined to the plant and

its site boundaries. As indicated in Table 5.2, ambient sulphur dioxide limits are seldom
predicted to be exceeded when emissions are from the smelter alone. Examples of the spatial

distribution of atmosphere pollutants are given in figures 11.3 and 11.4 as isopleth maps, from

the Hillside and Coega smelters in South Africa.

Table 5.2 Maximum predicted ambient concentrations of SO2 and HF for Coega, Mozal and
Sohar smelters.

Maximum predicted concentrations

Emission Coega Mozal Sohar Thresholds
485 000 tpa 510 000 tpa 365 000 tpa
SO2 (μg/m3)
1 hr 345.66 240 649 500
24 hr 38.91 45 167 125
Annual 13.23 24 19 50
HF (μg/m3 )
1 hr 26.44 12 NA 25 (North
Dakota)
24 hr 2.7 2.8 NA 2.9 (New
Zealand)
Annual 0.59 0.6 NA 8.3 (New
York)

tpa- tonnes per annum; NA – not available

5.7.4 Upset conditions

For the most part smelters are relatively steady operations and the atmospheric emissions do not

vary significantly over time. However, there are at least two types of upset conditions that need

to be considered and these relate to commissioning of the pots and bypassing the fume treatment

centre (FTC) on the bake furnaces. During commissioning, the pots are operated for a period of

approximately 14 days without hoods. This means that all emissions are released into the

potrooms and are ventilated to atmosphere via the roof ventilators. This has the effect of a
gradual increase in emissions, and especially in the case of fluoride, emissions that exceed the

emissions that will occur under normal operating circumstances. The second type of upset

condition is the periodic need to bypass the fume treatment centres, either for maintenance

purposes or because of fire risk. Bypassing the FTC is not common but again results in larger

fluoride emissions than prevail under normal operating conditions.

10 km

5 km

0.5 μg/m3
0.4 μg/m3
0.3 μg/m3
0.2 μg/m3

1 2 3 4 km

Figure 5.3 Schematic illustrations of the dispersion patterns of HF from the proposed
Coega smelter in South Africa. A value of 0.4μg/m3 was used as a conservative
damage threshold.
 5 km 10 km

WHO Limit – 50 μg/m3

Harbour
10.0 μg/m3
7.5 μg/m3
Lagoon 5.0 μg/m3
2.5 μg/m3

1 2 3 4 km

Figure 5.4 Schematic illustrations of the dispersion patterns of SO2 from Hillside
smelter in South Africa.

5.7.5 Emission limits

There are few regulatory emission limits specified for smelters around the world and where such

limits exist, they mostly apply to fluoride emissions. Rather than comparing the emission limits,

it is more sensible perhaps to consider the IPPC directive of the European Commission, which

lists best available techniques (BAT) for various industry sectors operating in the European

Union including primary aluminium production. The performance requirements of the IPPC

directive are listed in Table 5.3, which provide a good emissions performance benchmark for any

new smelter.
Table 5.3 Listing of emission limits as defined in the EC’s IPPC directive for primary
aluminium production.

Pollutant Range associated with the use of BAT

Dust 1 - 5 mg/Nm3
Poly-fluorinated < 0.1 anode effects per cell per day
hydrocarbons
HF < 0.2 mg/Nm3
Total fluoride < 0.5 mg/Nm3

5.7.6 Controlling sulphur dioxide emissions

As has been presented there are typically no direct forms of scrubbing of SO2 emissions from

primary aluminium plants. Although modern smelters have highly effective controls of fluoride

emissions, there are typically no such controls for SO2 emissions. There are smelters with SO2

scrubbing and this is affected through wet scrubbing, which is typically used as supplementary

abatement to dry scrubbing. Such wet scrubbing is mainly for SO2 removal but also has the effect

of reducing emissions of fluorides and dust (to a limited extent). The wet scrubbing process is

based on the principle of the pollutants being absorbed and converted by the scrubbing mediums

i.e. seawater or sodium hydroxide or sodium carbonate. The scrubbing medium has to be

refreshed on an ongoing basis. Removal efficiencies SO2 of 80 to over 90% have been reported

for wet scrubbers implying for primary aluminium production SO2 emissions of 25 to 50

mg/Nm3 and loads of 0.6 to 4 kg SO2 per tonne aluminium. Supplementary wet scrubbing will

also further reduce emissions of fluorides and dust and can result in emission levels for total

fluorides of 0.02 to 0.2 kg per tonne aluminium (IPPC, 2001). SO2 emissions control is typically

required only where emissions of SO2 may result in problematic, ambient concentrations.
5.8 Water pollution

As described earlier, smelters do not have significant discharges of wastewater from the

industrial process. Wastewater such as it is, is limited to cooling water blowdown from the

various cooling circuits across the plant. The blowdown has elevated concentrations of dissolved

salts and may be contaminated with oil and grease. Again, this is not a significant wastewater

stream and it can be managed to ensure that there is no significant impact on water resources.

What is typically more difficult to manage is contaminated storm water. Over time, soluble

fluoride accumulates across the site because of deposition from the atmosphere, but more

significantly because of spillages of fluorinated material across the site. Rainwater becomes

contaminated with fluoride as a result and so provision must be made of for the management of

this discharge stream. The World Bank specifies a limit of 20 ppmv in this discharge stream but

stricter limits may prevail, especially if the storm water is discharged into a freshwater or

sensitive marine environment.

The approach to managing this contaminated storm water is typically with an impoundment dam.

The principle of operation of the impoundment dam is that the first flush of rainwater, typically

dissolves the bulk of the fluoride across the site. The impoundment dam thus serves to contain

that first flush, and allow for mixing with the remaining rainwater. In effect, the dam serves

simply to prevent spikes of high fluoride concentrations but provides no direct treatment of the

discharge water. Controlling and limiting spillages of fluorinated material across the smelter site

is a key management requirement for more effectively limiting the fluoride concentrations in

storm water discharge.

5.9 Solid waste impacts

Primary aluminium smelters generate a variety of solid wastes including municipal solid waste,

fluorinated wastes and SPL amongst others. The latter two waste types are hazardous with SPL

being the more challenging waste type to manage. SPL is derived from the periodic need to

replace the lining of the pots, which fails after a certain period (typically about 5 years). The

SPL contains cyanide and as such requires specialist forms of waste disposal. In southern Africa,

and indeed elsewhere in the world, the carbon component of the SPL is separated from the

refractory component, and used as a fuel in especially the iron and steel industry. A smelter thus

has important waste management implications and if waste disposal facilities are inadequate

where the smelter will be established, especially in terms of disposing of hazardous waste, then

this must be seen as an additional potential implication of a smelter. If there are no facilities for

the disposal of SPL then the possibility exist that this would have to be shipped to another

country for safe disposal.

5.10 Global warming

Primary aluminium smelters are significant sources of greenhouse gas emissions. The most

obvious of these is CO2 but smelters also emit perfluorocarbons, which have significant global

warming potential (one kg of CF4 is equivalent to 6500 kg of CO2) and other compounds. Typical

figures for greenhouse gas emissions are 1.7 tonnes of CO2 (from the consumption of the carbon

anodes) and an additional two tonnes of CO2 equivalents from PFC (CF4) emissions. Primary

aluminium smelters are highly energy consumptive and emissions associated with the production

of the energy required for smelters (where fossil fuels are used) are typically of greater
magnitude. Modern smelter technologies (especially AP-35) technology are strongly focused on

improved energy efficiency (more metal per quantity of electricity used) and better controls of

pot processes so as to limit anode effects.

5.11 Society, services and infrastructure

It is not the intention here to detail potential social and socio-economic impacts that could be

associated with the construction and operation of a smelter. However, for the sake of

completeness it is necessary to briefly describe this important potential series of impacts, because

they are of particular relevance in a small and potentially vulnerable society and economy. The

construction of a large-scale primary aluminium smelter is a huge undertaking with the area

affected by construction activities being typically between 100 and 150 hectares (the length of a

potline is approximately 1 km in length). A large workforce is required for the construction of the

smelter, which has a potentially large expatriate component. This large-scale construction force

may invoke a number of impacts on society and services in the construction area. There are also

benefits in terms of local employment, spending and the promotion of local economic activities.

What is important is to ensure that these potential impacts have been assessed in detail and that

there has been proper planning to manage and mitigate the impacts well before the onset of

construction. Amongst other potential issues are:

 Building capacity locally (in individuals and companies) to participate in the work

opportunities that may be available;

 Maximizing local labour employment with due consideration of the negative

impacts of temporary employment,

 Potential influx of work-seekers; and,

  Increased disease risk (notably HIV).

5.12 Small island developing states (SIDS)

Small island countries like T&T have been categorized as SIDS. SIDS are faced with a number

of, and in some instances severe development challenges as a result of their remote and small

island character. SIDS have relatively small land areas and populations but growing

demographic pressure with resultant requirements for economic growth. Many SIDS face severe

energy difficulties because of lack of access to energy resources and the high cost of transporting

these resources to the islands. In this regard, T&T has a significant strategic advantage in their

natural gas reserves. Availability of potentially cheap energy is an important requirement for

growing an industrial base and attractive to especially energy intensive industries such as

primary aluminium production. Energy availability and affordability to the poor is another

important development challenge of many SIDS (UN, 2006).

The small land area also implies a small resource base, which makes SIDS highly dependent on

trade and necessitates open economies. Many SIDS are highly dependant on their agriculture

produce and/or tourism to fuel their economies and struggle to diversify these activities to create

a broader economic base. As such, they are also highly vulnerable to natural disasters, which can

single-handedly cripple a significant component of their economic activities. Most SIDS require

industrial development but few have the necessary infrastructure or resources to attract it. Given

the typically fragile land and marine ecosystems, industrial development also needs to be

pursued in a manner that does not invoke a significant waste and pollution burden. SIDS, more
than any other developing state, need to ensure that whatever development is pursued that it is

sustainable (UN, 2006). .

Finally, but importantly SIDS are especially vulnerable to changes in sea level because of global

warming. Given their size and general relief, small changes in sea level could have major

negative consequences on a SIDS economy. In terms of the circumstances described above it is

also highly problematic for SIDS to adapt to these circumstances as they have limited flexibility

to do so. Diversifying economic activities and sustainable industrial development must be

important elements in developing a higher resilience to the threats invoked by climate change.

5.13 SIDS and primary aluminium production

5.13.1 Biophysical impacts

In what has been presented earlier, it can be seen that smelters are potentially significant sources

of pollution and waste. This includes, but is not limited to, atmospheric emissions of especially

fluoride and sulphur dioxide in terms of localized effects, and CO2 and PFC as important

greenhouse gases. The aluminium production process requires water for cooling purposes only

and so the only form of industrial wastewater discharge is cooling water blow down. However,

rainwater on site can become contaminated with fluoride from atmospheric deposition and from

spillages of fluorinated material. Finally, solid waste from the smelter, notably fluorinated wastes

will require a hazardous waste landfill and spent pot linings will require specialist disposal.

None of these potential impacts are trivial but in general terms they can be managed to the point
that they do not result in significant localized impacts, even for, it is argued, a small island

developing state like T&T.

5.13.2 Socio-economic impacts

Socio-economic impacts could prove to be more severe, with especially the influx of a large

labour force, and the impact of that labour force on infrastructure services and society. Again as a

broad generalization, negative socio-economic impacts are likely to be limited to the

construction phase with mostly positive effects during smelter operations. In addition, for a

SIDS like T&T there are other potential benefits like expanding the industrial base and thus

diversifying economic activities. The smelter is also likely to attract other industries to the area,

if only to provide direct services to the smelter. Primary aluminium production is an important

way of adding value to the energy resource held within a country rather than simply selling that

resource with no value addition. There will also be several hundred permanent and well-paid

jobs, which will increase spending within the local economy and contribute to a higher standard

of living for a number of people on the island.

5.13.3 Who benefits?

So where is the catch? The catch lies in who benefits from the wealth that will be created by the

smelter. In accessing the potential benefits of the smelter, the country will give up two important

items. The first of these is the energy resource that is held by the country and the second is the

carrying capacity of the island that will be taken up by the smelter. It has already been presented

that atmospheric emissions can likely be managed to limit potentially significant impacts, but
those emissions will still present an opportunity cost, in terms of other types of industry. The

question that must be asked is what is the return to the country for giving up the energy resource

and for giving up the carrying capacity? This is a question that cannot be answered here, but it is

presented that this is the fundamental question around which the sustainability of the smelter

must be assessed.

In terms of sustainable development, one of the more vexing questions is how to value a natural

resource, especially a non-renewable resource like natural gas. One approach to doing this is to

view the resource in a financial sense as capital - natural capital rather than financial capital.

People who hold financial capital use it to generate more capital and the argument goes that the

same should hold true for natural capital. The argument continues that if natural capital is

utilized it should generate a return that at the very least retains the capital value of the resource

before it is utilized. Sustainable development is about much more than just ensuring that

environmental impacts are managed and controlled or meeting standards. Sustainable

development is about ensuring that there are sustainable and meaningful returns on the resources

that are given up. Making a real contribution to sustainable development is one of the more

challenging aspects of establishing a primary aluminium smelter. It is presented here that

sustainable development should be the measure of the acceptability of the smelter, not just its

waste and pollution management. It is also important to emphasize that this argument is not

meant to suggest that the development will not necessarily uphold the principles of sustainable

development, simply that there be the measure of its acceptability.

5.14 The way forward

Before a final decision can be made on the smelter, it will be the subject of an EIA. The

intention in this paper has been in no way to pre-empt or prejudge the EIA, but simply to present

some perspectives on the issues that will be presented. It is also important to acknowledge that

there may be specific characteristics of the country that render potential impacts more or less

significant than has been suggested in this paper. All that has been attempted here has been to

highlight the more significant potential impacts, not to provide a comprehensive overview of all

the potential impacts. An important omission from this paper is, for example, the potential

effects of the power station and these will need to be considered in detail as they pertain to the

ecological and social character of T&T, especially in combination with the effects of the smelter.

In going forward a couple of recommendations are offered relative to both the potential smelter

and the EIA.

5.14.1 Prior informed consultation

This is a key element of the International Finance Corporation’s sustainability policy and

suggests simply that prior to a development-taking place that people who will be affected by the

development are well informed and properly consulted (http://www.ifc.org/ifcext/enviro.nsf/

Content/EnvSocStandards). The University of the West Indies, St. Augustine, is commended in

this regard for their initiative in running the symposium on Aluminium Smelting in order to

broaden the understanding that people have of a development of this nature. It is hoped that this

paper has contributed meaningfully to better informing people about the proposed development

and its potential impacts. Effective consultation is a key success factor in environmental
assessment processes and opportunities that are provided for consultation should be used to the

fullest extent possible.

5.14.2 The Environmental Impact Assessment (EIA)

The EIA is an essential part of the development process and provides an ideal mechanism for

better understanding the costs and benefits of the proposed development. EIA in this role is

under pressure globally to move from an essentially compliance-driven approach, to

meaningfully assessing the degree to which developments contribute to or detract from

sustainable development. It is argued here that sustainable development should be the

framework within which the EIA for this development is conducted, and that is the expectation

that stakeholders should take into the process. To assess a development within the context of

sustainable development, it is essential to look very carefully at who benefits from the smelter

and how, especially in return for the resources that will be given up to make the development

feasible.

5.15 Concluding comments

In the course of this chapter an attempt has been made to highlight some of the more important

issues that pertain to the potential environmental impacts of primary aluminium production and

to frame these within the context of a possible smelter being established in T&T. This has been

done by presenting the principles of the process of producing aluminium and associated

environmental aspects and possible impacts. Some of the characteristics of SIDS have also been
presented to highlight important issues and possible vulnerabilities in assessing the merits of

such a development for T&T.

It has been presented that in general terms, and without pre-empting the outcome of the EIA, that

there are many important benefits that would accrue to the island from a development of this

nature. Many of these benefits respond directly to the challenges facing SIDS including growing

and diversifying the economy and providing energy access and security. It has also been

presented that given modern smelter controls, that the environmental and social aspects

associated with a primary aluminium smelter can be managed to ensure that they do not result in

significant impacts on the ecology or of the island and/or its inhabitants. Again, these aspects are

not trivial but they can typically be managed to the point where they are broadly deemed

acceptable.

Finally, it has been presented that possibly the biggest challenge to a development of this nature

is to truly understand how it will contribute to sustainable development. A key issue in this

debate is who benefits and how they benefit from giving up the resources that have attracted this

development in the first place. It is argued strongly that sustainable development principles need

to frame the environmental impact assessment. The challenge the world over is not development

but sustainable development and nowhere is this more acute than for SIDS. The primary

aluminium smelter proposed for T&T could make a significant contribution to that ideal if there

is a fair and equitable share in the wealth that is created by the development.
 References

1. International Aluminium Institute (IAI). 1987. ‘The aluminium industry’s sustainable

development report’, International Aluminium Institute, New Zealand House, London.
www.world-aluminium.org.

2. US Geological survey. Mineral commodity summaries. 2006.

3. Weinstein & Davison. Fluorides in the Environment. CABI Publishing

ISBN0-85199-683-3, 2004.

4. CSIR, ‘Environmental Impact Assessment for the proposed Pechiney smelter within the
Coega Industrial zone, Port Elizabeth, South Africa’. CSIR report, Reference: Env-S-C 2002-
092B, 2002.

5. Manins, P., P. Holper, R. Suppiah, R. Allan, K. Walsh, P. Fraser, T. Beer. Atmosphere Theme
Report, Australia State of the Environment, CSIRO Atmospheric Research, Department of
the Environment and Heritage, Commonwealth of Australia, ISBN 0 643 06746 9, 2001.

6. European Commission, Integrated pollution prevention & control (IPPC) reference

document on best available techniques in the non ferrous metal industries, December 2001.

7. United Nations, Economic & Social Council, and Commission on Sustainable Development,
Integrated Review of the Thematic Cluster of Energy for Sustainable Development, Air
Pollution/Atmospheric and Climate Change in SIDS Report. 2006.
 Chapter 6

Pollution Minimization and Treatment in Aluminium Smelting Industry

Chintanapalli Venkobachar and Gyan Shrivastava

6.1 Background

Pollution prevention and minimization are better options available to the environmental engineer

for the environmental protection as well as for the treatment cost reduction. Attempts to reduce

the volume of wastewater generated by the industries as well as reduction of pollution load from

the industries have benefited both environment and the industry. For example, environmentally

driven process modification in tannery industries in terms of changing the chrome tanning to

vegetable tannin has reduced the heavy metal load on the environment. Aluminium production is

no exception. The waste minimization technologies can also be applied to this industry to obtain

good results of preserving the environment.

In this communication, pollution minimization technologies available in the primary aluminium

manufacturing industry are examined. In an electrolytic cell containing carbon anode and carbon

coated steel cathode, the alumina (Al2O3) is dissolved in molten cryolite bath and subjected to

low voltage (4-5 V) but to strong current of 15,000 amperes. The reduced metallic aluminium is

produced at the cathode, which is vacuumed siphoned and collected in the steel tank while

oxygen that was produced during the electrolysis of alumina reacts with carbon anode producing

CO2. The modern pre-bake anode technology of electro-winning of aluminium from alumina

had replaced the old Soderberg technology which resulted in reduction of energy input from
17.5MWh/ ton of Al to 14MWh/ton of Al besides significantly reducing the pollution load.

Currently the effort to replace the consumptive carbon pre-bake anode by inert or non-

consumptive non-carbon fuel electrodes would result in 50% reduction in CO 2 production and

40% reduction in power consumption and 25% reduction in the overall cost of aluminium

production. This can also save the anode replacement costs and reduce the emissions during the

pre-baking such as SO2 and VOC. Use of low sulphur containing petroleum coke and pitch in the

manufacture of anode has a potential of reducing the emission of SO 2 and polycyclic aromatic

hydrocarbon (PAH). Further, recycling of fluoride captured from the pot room emission by dry

scrubbers containing alumina in the gas treatment centres to re-fluoridating the incoming

alumina can reduce the total fluoride emission from the pot rooms. The spent lining of the carbon

coated steel cathode consists of spent carbon, fluorides, contaminated refractory, cyanide and

metals which classifies it as a hazardous solid waste and requires a careful handling in the

chemically secured landfill to avoid the ground water contamination. Better practices

implemented in the construction of pot lining are expected to increase its life from 5 years to 10

years. Part of lining carbon can be recycled for relining the new set of pots. Moreover, the metals

from the lining can be recovered by efficient metal adsorption system using bio-sorbents.

The treatment technology include electrostatic precipitators for the capture of particulate

fluorides emitted from pot rooms, online wet and dray scrubbers using activated alumina to

capture gaseous fluorides as well SO2 at the source of production. The residuals emitted from the

stacks can be handled by providing an effective buffer zone. This requires a careful design as

well as maintenance by the industry. The buffer zones should have plant species, which are

sensitive to fluorides and thus can act as bio-indicators to monitor the ambient fluoride
concentration. The particulate fluorides being heavier settles down near the factory and hence

grass gazing should be prohibited. The buffer zone also should have fluoride resistant plants that

assimilate fluoride without the loss of chlorophyll. In fact, a nature park can be created around

the smelter plant and the area required is approximately 2-3 times the size of the actual plant.

The commitment of the industry towards the environment and to the development of the

community and its environs can bring about their coexistence.

6.2 Introduction

Trinidad is the Southernmost Island in the Caribbean. It is located between the Caribbean Sea,

which borders the north coast, the North Atlantic Ocean, which borders the east coast, the Gulf

of Paria, which borders the West Coast, and the Columbus Channel, which borders the South

Coast of Trinidad (Figure 6.1). It is northeast of Venezuela with the geographical co-ordinates of

11o N Latitude and 61o W Longitude. It has a total land area of 5,128 sq km, which is essentially

land with no great water body enclosed in it. It has a coastline of 362 km. Its land cover is mostly

plains with some hills and low mountains (The Northern Range, Central Range and Southern

Range). Its highest land elevation point 940m located at El Cerro del Aripo. Trinidad and Tobago

has a tropical annual rainy season (June to December); however, it is outside usual path of

hurricanes and other tropical storms. It is important to note that Trinidad has a pitch lake, on the

southwestern coast, which is the world's largest natural reservoir of asphalt.

 3

Figure 6.1: Location of proposed aluminium smelters in Trinidad

Trinidad and Tobago is the most advanced and highly developed industrial as well as one of the

wealthiest nations in the Caribbean region. There are wide varieties of industries such as the

Petroleum, natural gas, chemical, food processing, cement, tourism etc. The energy sector

contributes approximately 34% of the country’s GDP. In Trinidad and Tobago, the average daily

crude oil production is around 123,000 barrels. The natural gas production was estimated as 2.9

billion cubic feet per day, an increase of 12.9% from 2003, ranking Trinidad and Tobago as 28 th

largest producer of Oil and Natural gas. The petrochemical sector includes plants producing

methanol, ammonia, urea and liquefied natural gas (LNG). Trinidad and Tobago is ranked as

fifth largest exporter of LNG in the world and the single largest supplier to the U.S.

The present policy of the Government of Trinidad and Tobago is to diversify its industrial base

from the energy industry to material manufacturing. Consequently, it is proposed to construct

two primary aluminium production units popularly called as ‘Aluminium Smelter’. Besides,
polypropylene and other industries are also proposed to be built. However, any developmental

activity should be in harmony with the environment as well as its community. An aerial view of a

typical aluminium smelter is presented in Figure 6.2 These activities are often controversial since

communities are rightly apprehensive of their effects on physical, biological and social

environment. Therefore, it is the responsibility of the developer and regulatory agencies to assure

the community the adverse impacts on their environment are minimized.

21

Fig 6.2 Aerial view of a typical aluminium smelter and buffer zone

This chapter discusses various methodologies to minimize the impacts of primary aluminium

production on the environment by implementing pollution prevention and minimization

technologies within the industry. The possible process modification, use of better quality

chemicals and recycling of waste emissions in the aluminium production are discussed in this

communication. It is essential, therefore, to review the process of manufacture of aluminium in

order to identify the possible steps to minimize pollution. The following is the description of the

process.
6.3 Metallurgy of aluminium production

6.3.1 Bauxite refining: Bayer’s process

Aluminium is one of the most abundant elements on earth (8%) after Oxygen and silicon. The

raw material for the aluminium manufacture is bauxite ore, which is available in tropical and

subtropical climates of Australia, West Africa, Brazil, Jamaica and Guyana in West Indies,

Guinea, and Surinam & Venezuela in South America. Bauxites contain 40-60% alumina,

combined with silica (silicon oxide), iron oxide, and titanium dioxide (USGS, 1996). The bauxite

is first refined to alumina ( Al2O3) or aluminium trihydrate.

In the Bayer process, the alumina is dissolved in hot sodium hydroxide solution and the iron

oxide and other oxides are removed as insoluble "red mud." Aluminium hydroxide is precipitated

from the clarified solution by cooling and seeding with aluminium hydroxide crystals. The

washed precipitate is calcined at up to 1200oC to produce anhydrous alumina. The particle size of

the alumina is about 100 µm and is sent to electrolytic reduction plants. The bauxite ore is

dissolved in caustic soda at high temperatures and is converted in to slurry. During this

operation, huge quantity of red mud is produced as solid waste, which is approximately 33% of

bauxite refined. The caustic soda and lime requirement for tonne of alumina produced is 75 and

45 kg respectively. About 1000 kg of CO2 is produced in this process as well as for the

production of caustic soda and lime employed in this process.

6.3.2 Primary aluminium production

The electro-winning aluminium from alumina is done in an electrolytic reduction cell at very

high temperatures of 9600 C which is generally termed as ‘smelting’. The process is energy

intensive requiring about 13,400 kWh/ ton of Al. Aluminium industry is the largest electric

energy consumer of all industries. This industry consumes nearly 62x109 kWh power annually,

which is equal to 1.6% of all electricity consumed by residential, commercial and industrial

sectors put together in the U.S. (Choate and Greene, 2003). On household power consumption

basis, it is equivalent to seven million households in U.S.

Hall-Heroult (HH) developed the reduction cell for the aluminium production in 1886 and the

basic features remained unchanged though process optimization has occurred over years. The

alumina is reduced to aluminium in the HH cell in the presence of an electrolytic bath whose

principal component of the fused electrolyte is cryolite (Na3 Al F6), although the NaF/AlF3 bath

ratio has been optimized and other bath additions (LiF, CaF2, MgF2) have been made. In

modern HHC alumina is dissolved in molten cryolite in pots, having consumptive pre-bake

anode with a carbon coated steel pot with adequate isolating material as cathode (Fig. 6.3).

Figure 6.3: Diagrammatic representation of a HHC

A strong current of 150,000 amperes with a low voltage of 4-5 volts is passed through the

electrodes to start the anodic and cathodic reactions, thereby causing the reduction of alumina to

metallic aluminium. The Cathode Reduction Reaction is:

2Al2O3 ⇒ 4 Al + 3O2 (Reduction of alumina to metallic aluminium)

In the cathodic reaction, the alumina is reduced to metallic aluminium by release of oxygen,

which reacts with carbon anode. The molten reduced metallic metal is deposited at the bottom of

the pot and is removed by vacuum siphon and stored in a holding furnace before being used to

produce ingots and billets in secondary production. The Anodic Oxidation Reaction is:

O2 + C (anode) ⇒ CO2

The overall reaction is:

2 Al2O3 + 3C ⇒ 4 Al + 3 CO2

The Prebake technology is an environment driven process modification of the old Soderberg

process, which consumed higher energy at a rate of 17.5 MWh /ton of Al as against 14 MWh /ton

of Al of the modern HHC. Each of the HH cells or pots has a battery of 14 consumptive carbon

anodes, which enable the electro-winning about 2.5 of aluminium/d.

During the smelting process a multitude of gases and particulates are produced and these are

removed from the pots by having suction hoods, which extend from the pot superstructure to the

pot. These are then directed to gas treatment stations where the hydrogen fluoride (HF), one of

the major and hazardous gas emitted during the process is adsorbed by the alumina and the

fluoridated alumina is sent to the electrolytic cell.

6.4 Environmental considerations

A plethora of gaseous, particulate, solid and liquid pollutants are produced by the aluminium

production process and some of them are notably global warming green house gases and toxic

wastes which affect the plant, animal and human lives if not managed properly. The waste

products/by, products generated in the HH process that are of environmental concern can be

grouped in to three categories: emissions from electrolysis, carbon anode production and pot-

liner wastes.

6.4.1 Emissions from electrolysis:

The principle component of fused electrolyte, in which alumina is dissolved at high temperatures

for its reduction, is cryolite (sodium aluminium fluoride ,Na3 Al F6).The first category is the

reduction reaction emissions which include CO2 and CO. The carbon emissions from the

reduction can be associated to three sources namely reaction by -products, combustion of carbon

anode and electricity generation and transmission in the life cycle analysis of aluminium

production. Perfluorocarbons emissions as a result of process upset from the reduction cell are

also significant besides production of hydrogen fluoride gas. The carbon and fluoride emissions

from the reduction cell are presented in Tables 6.1 and 6.2 respectively.

Table 6.1: Carbon Emissions from Reduction Cells (Source: Choate and Greene, 2003)
 Type of Source Quantity Kg/Kg of Al Remarks
Emission produced

1.CO2 1. HHC reduction reaction 1.2 CO2 e GWP* =1

2. Carbon anode loss due to its 0.3 CO2 e Based on fuel
Air-combustion.
3. Electricity generation. 3.8 -14.5 CO2 e Hydro-electric
power plant
2.CO HHC: a small quantity of metal is re- Negligible --------
oxidised by CO2.
2 Al + 3 CO2 → Al2 O3 + CO
*GWP- Global Warming Potential

Table 6.2: Fluoride Emissions from Reduction Cells (Anode Effect Emissions)

Quantity
Type of
Source Kg/Kg of Al Remarks
Emission
produced
Perflourocarbon (PFC) HHC: ‘Anode Effect’- Decrease in the concentration of Al 2O3 in
the electrolytic bath triggers reaction between carbon anode and
bath with production of : 2.2 kg CO2 e
1. Tetraflouromethane(CF4)
2. Hexaflouroethane(C2F6)
Hydrogen Flouride HHC: In modern smelters HF is almost completely captured and
(HF) returned for re-fluoridating alumina.

As presented in Table 6.1, the carbon emissions may vary from 5.3 to 16.0 kg CO 2 e /kg of Al

produced based on the pot-liners operating on electricity derived from nuclear, hydro, natural gas

and coal (Choate and Greene, 2003).

The USEPA quotes in Report No. DOE/EIA -0573, (USEPA,2005) annual emissions from Al

production in 2000 in terms of tetraflouromethane (CF4) and hexaflouroethane (C2F6)

respectively were 1,096 and 90 tonnes respectively. The above perflourocarbons along with

hydroflourocarbons (HFC) and sulphur hexafluoride (SF) contributed to 2% total greenhouse gas

emissions in the United States.

6.4.2 Emissions for carbon anode manufacture

In the pre-bake smelters, the carbon anodes are continuously manufactured in carbon plants. The

oxygen produced in the cathodic reaction for each tonne of aluminium manufactured consumes

approximately 400kg of carbon. The carbon plants are comprised of paste plants and furnaces for

baking the carbon and shops for fabricating the carbon rods. The raw materials required for the

manufacture of the carbon anode are petroleum coke (solid residue from petroleum distillation)

and pitch (residue from coal tar distillation)

In the carbon paste plant, the graded fractions of calcined petroleum coke and the recycled anode

butt (anode residue) from the HHC are heated and mixed with molten pitch. This hot mixture is

then compacted into blocks known as green unbaked anodes. These anodes are baked in a

carbon bake furnace at 1000 0C over a period of twenty (20) days. This process fuses the binding

pitch and imparts good thermal and electrical conductivity to the carbon anodes. The aluminium

rods are then attached to the anode with cast iron sealing. The rod suspends the anode in the

HHC to act as an electrical conductor. Sulphur dioxide (SO2) is generated during the baking of

the carbon anode. It is generated via two routes;

1. From the raw materials themselves, they often contain sulphur as an impurity and

2. From the reduction cell due to the consumption of the carbon anode by oxygen.

Polycyclic Aromatic Hydrocarbons (PAH) and Volatile Organic Carbons (VOC) are also

produced from this plant during the green anode and pre-bake anode production processes. The

PAH air emission levels are 0.05 kg/tonne of Al produced for the pre-bake process as against

0.25 kg/tonne of Al for the Soderberg plants which also produces potential carcinogenic
beno(a)pyrine[B(a)P] .However due to intensive efforts, the pre-bake plants are expected to

reduce the PAH levels to 0.01 kg/tonne of Al.

6.4.3 Pot-line cathode wastes

The normal life period of a pot-line cathode is 4- 5 years and at the end of this period, the pot is

rebuilt with new carbon lining. The spent pot materials such as the refractory bricks, unused

carbon contaminated with electrolytic fluoride, cyanide and metals are classified as hazardous

wastes and require careful handling and disposal.

These materials should be disposed in a chemically secured landfill. This landfill should be

designed to retard the transport of contaminants (e.g. fluoride and metals) through the soil-by-

soil fixing and render them incapable of reaching the groundwater. The landfill should be lined

properly with an impermeable layer to arrest the contaminant transport and the leachate

generated should be chemically treated to recover the fluorides and metals contained within it.

6.4.4 Health impacts of emissions

The emissions from the primary aluminium plant have significant impacts on environment and

have significant impacts on environment and health of the people. The Canadian Handbook on

Health Impact Assessment (2005) has developed an excellent matrix on the biophysical

environment as well as the health components. These impacts are presented in Tables 6.3 and 6.4

below. However, it should be noted that these tables were generated for the old Soderberg

process rather than Prebake process .Most of the modern smelters are based on the Prebake

process.

Table 6.3: Aluminium Production: Matrix of Health Impact, Biophysical Environment

 STRESSOR/ Nature of Stressor Impact on Affected Area Control Measures
EXPOSURE Environment
Technological fires, explosions, toxic gases and site, perimeter, and covering, containment,
Disaster spills, floods liquids; destruction vicinity collection
Gas Emissions or F vegetation dieback site, perimeter, and scrubbers, new
Emissions to Air and decalcification vicinity technologies, buffer
in mammals zones
SO2 acute chronic lesions regional (up to 100 scrubbers, non-sulphur
on vegetation km) fuel
CO2 greenhouse effect global none, other than to
modify the
manufacturing process
PAHs (anodes in air pollution local, regional, modification of the
particular) continental process
Liquid Emissions or aluminium toxicity to fish and all pollutants: all pollutants in water:
Emissions to Water aquatic insects receiving collection and treatment
fluorides bioaccumulation in watercourses
aquatic organisms
dissolved organic unhealthy
matter and conditions, reduced
suspended solids visibility
oil and grease unhealthy conditions
PAHs neoplastic and
genotoxic effects
Solid Emissions or used pot linings high toxicity site safe containment
Emissions to Soil dross, grit, etc. unhealthy conditions
Site recovery, recycling
Nuisances noise (fixed and site and perimeter noise abatement berm;
mobile sources) buffer zone
Source: Canadian Handbook on Health Impact Assessment - Volume 4, 2005

Table 6.4 Aluminium Production: Matrix of Health Impacts (Source: Canadian Handbook on Health Impact
Assessment - Vol 4, 2005)
 STRESSOR/ Nature of Effects on Population at Probability Biological/
EXPOSURE Stressor Health Risk of Environmental
Occurrence Monitoring Indicators
Technological fires, respiratory workers and rare morbidity/mortality
Disaster explosions, irritation, immediate reports
spills, asphyxia, vicinity
floods trauma, death
Gas Emissions F eye and skin Workers rare to very fluorides in ambient air
or Emissions irritation, dental rare
to Air fluorosis,
osteoarthritis
SO2 irritation of probably none rare to very SO2 in ambient air
respiratory at the rare
mucosae concentrations
emitted
CO2 climate change Global frequent concentration of
atmospheric CO2
PAHs types of cancer workers and unknown concentration of
(anodes in (lung, bladder) local benzo[a]pyrene and
particular) population other PAHs in ambient
air
Liquid aluminum neurological consumers of unknown aluminum
Emissions or problems water from the concentration in the
Emissions to receiving water
Water watercourse
fluorides none at the Same as above unknown fluoride concentration
concentrations in the water
found
dissolved formation of Same as above very rare to visual inspection or
organic THMs with frequent suspended solids levels
matter and chlorine in in the water
suspended drinking water
solids
oil and unhealthy Unknown very rare visual inspection or
grease conditions oil/grease levels in the
water
PAHs types of cancer consumers of unknown or concentration of
water or very rare various PAHs in the
aquatic water and in wildlife
organisms

STRESSOR/ Nature of Effects on Population at Probability Biological/

EXPOSURE Stressor Health Risk of Environmental
Occurrence Monitoring Indicators
Emissions to used pot high toxicity, primarily very rare accident reports on
Soil linings skin irritation & workers plant incidents
respiratory
dross, grit, irritation of primarily unknown accident reports on
etc. upper workers plant incidents
respiratory tract
Nuisance noise (fixed) sleep quality Vicinity occasional complaints/perception
6.5 Pollution minimization technologies

The aluminium industry is constantly attempting to minimise energy use, minimise the release of

green house gases, prevent the production of toxic emissions and the amount of hazardous solid

wastes generated through its intense research and developmental activities. In this section, some

of the attempts undertaken to develop environmentally driven process modifications are

summarised.

6.5.1 Hall- Heroult Cell

The HHC is a time-tested process used in the electro-winning of aluminium, it utilises a carbon

anode and a cryolite bath .It is possible to make improvements to the process to reduce both the

energy consumed as well as the air emissions. These objectives can be achieved through

improvements in the cell design, the alumina feeding system, the bath composition, the control

system etc. These changes have resulted in a decline in both the energy consumption as well as

the air emissions.

Engineering options such as incorporating a point alumina feeder can improve the dissolution of

alumina in the cryolite thereby minimising the anode effects and thus the emissions of PFC’s will

be greatly reduced. A second option is to apply improved process control practices such that the

cells remain at their optimal condition and consequently less frequent anode effects.

6.5.2 Alternative electrodes in HHC

The carbon coated steel cathode in the HHC can be replaced by a wetted drained cathode; this

will result in an 18%.energy savings. The normal life of the pot is 5-6 years and retrofitting the

cell with this new cathode has to be gradual since it is difficult to change the present

configuration of the pot. The highly reactive carbon anode can be replaced by an inert anode with

a considerable reduction in carbon, PAH and SO2 emissions. It is also easier to retrofit the anode

since the carbon anodes presently have to be replaced every four (4) weeks in the smelters

A brief description of these electrodes is given below:

• Wetted drained cathode – in HHC, the molten aluminium does not wet the carbon lining,

and this results in an unnecessary voltage drop, thus demanding higher energy levels and

decreasing the pot life. Titanium triboride (Ti B3), a wet table cathode material is being

incorporated into the HHC and this results in a decrease in energy consumption, and

associated carbon emission for electricity generation. It also increases the life of the pot

and thus reduces the quantity of spent line cathodic hazardous wastes for disposal.

• HH Inert Anode- in the HHC, the carbon anode is consumed by the oxygen produced at

the cathode during the electrolysis of alumina (Al2O3) with the production of CO2 .There

is, hence, a need for continuous manufacture of carbon anodes and with frequent

replacements. The anode replacement certainly upsets the production and energy

efficiency of the HHC. In order to minimise the generation of CO2, constant efforts are

directed towards the development of a non-consumable anode, preferably a non-carbon

type. Three types of inert anode materials, viz ceramics, cermets and metals are being
 researched. When inert anodes are used in conjunction with a wetted drained cathode, it

is estimated that there is an energy savings of 22% during the reduction of alumina to

aluminium metal. A major environmental advantage of the non-carbon inert anode is the

production of O2, a valuable co-product instead of CO2.

• The inert anode could be retrofitted into existing cells with minimum infra-structural

changes.

• Combination of wetted cathode- inert anode: If the HHC is fitted with the new

combinations of cathode and anode, it is expected that about a 40% reduction in

greenhouse gas emission and a 10% reduction in operating cost can be realised by the

elimination of the carbon anode plant.

6.6 Pollution minimization by alternative smelting processes

Reduction of alumina by carbothermic processes and chloride reduction of kaolinite have been

the subjects of research over the last fifty years. Non-electrolytic carbothermic reduction of

alumina is less energy intensive and hence has a lower potential of emitting the greenhouse gases

besides being less capital intensive. Largely and indigenously available clays and kaolinite can

be used as source of aluminium and may be more attractive as it requires lower energy and

capital costs besides emitting lower quantities of greenhouse gases.

6.6.1 Carbothermic process

Carbothermic reduction of alumina involves the following chemical reactions:

Al2 O3 + 9C 1900
 C
→ 6 CO + Al4 Cl3 (aluminium carbide) 6.1

Al4Cl3 + Al2O3 2000

 C
→ 6 Al + 3 CO 6.2

The carbon (C) for the first reaction comes from carbide slag. This technology requires 37% less

energy (9 KWh/kg Al) than the HHC method (14.3 KWh/kg Al) .This might bring about major

changes in the aluminium industry. It gives the freedom to relocate aluminium smelters from the

regions of inexpensive energy sources to the centres of manufacturing. In fact, a primary mini-

aluminium plant could be set up alongside a secondary aluminium casting operation. This

process can result in a 50% capital cost and 25% electricity cost reductions as well as the

elimination of the manufacture of the carbon anode. Further, the production of high purity CO

and CO2 as co-products will result in a positive environmental impact. The Carbothermic process

also eliminates the negative environmental aspects of HHC, such as, PFC emissions from the

anode effect, hazardous spent pot liners and PAH emissions from the baking of the carbon anode.

6.6.2 Kaolinite reduction

The aluminium is extracted in this process using ubiquitous kaolinite clay instead of bauxite.

Kaolinite is Al2O3 .2SiO2.2 H2O, which is widely available and inexpensive. The chlorination of

kaolinite clay produces no ‘red mud’ and the reaction can occur in steel tanks.

6.7 Minimization technologies for spent pot lining (SPL)

The cathode lining of the pot fails after its continuous use for 3-7 years due to cracking. The SPL

is a refractory material contaminated with carbon, fluorides, cyanide and metals. The following

measures may be adopted to minimise the SPL:

• Best construction practices of the pot lining can increase the useful life of the cathode

from five to ten years.

• Part of the pot lining can be recycled for the lining of new pots.

• Recovery of metals by bioleaching and biosorption process.

• SPL can be used for the manufacture of cement.

6.8 Treatment technologies

The available treatment technologies are:

• Use of electrostatic precipitators to capture particulate fluoride emissions from the pot

rooms.

• Use dry scrubbers having alumina as adsorbent to remove the gaseous fluoride and HF

from the flue gas stream. Recycle the re-fluoridated alumina to HHC.

• Use combination of dry and wet scrubbers to achieve high percent removal of fluorides as

well as SO2.

• Provide a buffer zone to bio-remediate the fluorides and SO2.

6.8.1 Buffer Zone

An aluminium plant is very large and aesthetically unappealing facility. Its infrastructure, which

includes high voltage power lines, roads and material conveyer systems, can certainly disrupt the

urban, forest and agricultural environments having a serious impact of the fragile ecosystem of

the small island state like Trinidad and Tobago. Though definite norms for size of the buffer zone

unavailable, it is the compulsory for the industry to plan a broad buffer around the plant in

anticipation of fluoride, PAH and SO2 emissions. In fact, around the plant, a park should be

developed to show the harmonious coexistence of the community and the industry.

Notwithstanding the economic benefits of the aluminium plants in terms of economic benefits,

jobs etc, their negative impacts on the quality of life cannot be overlooked.

6.9 Conclusion

i. The primary aluminium production unit has an unpleasing appearance and emissions produced

have a potential to cause global warming, and hazardous to humans, animals and the ecosystem.

ii. The Prebake process has considerably reduced the energy consumption, carbon and other

emissions when compared to the old Soderberg process.

iii. The aluminium industry through its continuous and active research and development efforts

has developed number of pollution minimization technologies which when practiced can reduce

the energy consumption and as well as pollutant emissions.

iv. The engineering options like point alumina feeder, improved process control etc. can reduce

the carbon and other emissions from the HHC.

v. Replacement of conventional; dry cathode by wetted drained cathode can reduce energy

consumption as well as the emissions.

vi. Replacement of carbon anode by inert non-carbon anode reduces the carbon, PAH and SO 2

emissions besides the cost reduction. The retrofitting of the anode is rather simple as carbon

anode replacement is practiced in the industry.

vii. One of the alternatives to the electrolytic reduction of aluminium namely Carbothermic

process can result in a 50% and 25% reduction in capital and electricity costs beside eliminating

the anode manufacture and associated emissions .The resultant high quality co- products like CO

and CO2 have commercial value.

viii. The non-bauxite extraction of aluminium by chloride reduction of ubitiquous kaolinite clay

is an attractive alternative with a considerable reduction in emissions.

ix. The spent pot-lining wastes can be reduced by best construction practices and spent carbon

can be recycled with the recovery of heavy metal by bio-sorption.

x. The buffer zone can be used to bio-monitor as well as bio-remediate fluorides, PAH and SO2

which can improve aesthetic appeal of industry by the surrounding natural park.

References
1. Bauxite and Alumina in 1996, USGS Minerals Yearbook, http:// minerals.usgs.gov/minerals
/pubs/commodity/bauxite/0904910.pdf

2. Canadian handbook, Health Impact Assessment. Volume 4 2005, hc-sc.gc.ca/ewh-

semt/alt_formats/hecs-sesc/.../vol_4/hia-Volume_10.pdf

3. Choate W.T. and Greene J.A.S, 2003: A Report entitled U.S. Energy Requirements for
Aluminium “Production: Historical Perspective, Theoretical Limits and New Opportunities”
prepared for U.S. Department of Energy, Energy Efficiency and Renewable Energy.

4. U.S.E.P.A. (2005), “Emission on Greenhouse Gases in the United States, 2005”, Report –
DOE/EIA -573
 Chapter 7

Aluminium Smelting: Environmental Standards, Compliance and Best Practices

Clement Sankat, Mukesh Khare, and John Agard

7.1 Background

This chapter describes the basic background information in developing and formulating the

emission standards for a primary aluminium industry. In addition, the control systems used in

abatement of pollution from the smelting processes along with the compliance guidelines are

also discussed. The paper has targeted specifically the fluoride emission standards with reference

to its effects on humans, plant and animals. A generic methodology stating best practices for

capacity building in addressing environmental issues with guidelines for formulating

environmental standards for an aluminium smelter have also been discussed.

7.2 Introduction

The primary aluminium industry is one of the largest industries in the world today and

production is widespread. Aluminium as the pure metal or in alloys is used to make a range of

products including aircraft, utensils, scientific and domestic apparatus, electrical conductors, and

automotive parts. Aluminium powders are used in paints, explosives, and fireworks.
Primary alumina production is one of the 174 categories of sources listed under hazardous air

polluting sources in EPA-450/3-91-030 as it emits several of the 189 listed hazardous air

pollutants (HAPs) in sufficient quantity.

The paper reviews the most important generic environmental impacts of primary aluminium

smelting industry, the current environmental standards, and compliance. Finally, future directions

for environmental compatibility for this industry are discussed.

7.3 Aluminium production

Aluminium is produced by the Hall-Héroult process, which involves the electrolytic reduction of

alumina (Al2O3) in large carbon lined steel vessels called pots. Hundreds of these pots are housed

in a potroom. In a pot, alumina is partially dissolved in an electrolyte of molten Cryolite

(Na3AlF6) at approximately 9600 C. It is a continuous process that requires large amounts of

direct current electrical power to operate the pots. The major components of a primary

aluminium plant are:

• Shipping and receiving areas for raw materials and finished products;

• One or more pot lines;

• A cast house where the aluminium is reheated and purified, its characteristics are

modified to meet various specifications, and it is cast into solid forms including ingots

and billets, or transported in a molten state;

• Maintenance and repair facilities;

 • An anode paste plant, where coke and pitch are mixed to form anode paste, briquettes, or

green anodes; and

• An anode bake plant (Prebake process only)

Pots may be of two types of technology, Soderberg or Prebake. The Prebake potrooms are the

preferred design in modern smelters because of lower levels of emissions. Figure 7.1 shows a

process flow diagram for a Prebake plant.

Product
Shipping and Receiving

Raw materials

Coke Pitch
Anode Paste Al2O3, Na3AlF6,
Preparation AlF & Fluorospar
Anode

Anode Forming Aluminium

and Baking Production Pot lines

Anode Butts
Anode Butt
Molten Aluminium
Crushing
Molten Aluminium Aluminium Tapping

Secondary operations

Aluminium Fixing Molten Al Aluminium Casting,

& Alloying Rolling, Drawing, etc.

Figure 7.1 Process flow diagram for a Prebake plant (Source: EPA-450/3-86-010)
7.4 Hazardous impacts

Hazards associated with aluminium potrooms are: chemical, physical, ergonomic, and

psychological in nature (Table 7.1)

Table 7.1 The hazards in potrooms (Benke, Abramson and Sim, 1998)

Physical hazards Ergonomic/Psychological

Chemical hazards
Smelter dusts including Burns Lifting
alumina, calcined coke, and Electrocution Posture
refractory materials Electromagnetic fields Shift-work
(Inspirable& Respirable) Falls
Aluminium fluorides Heat
Coal tar pitch volatiles Mobile equipment
(Polycyclic Aromatic Noise
Hydrocarbons (PAHs) Vibration
Carbon monoxide (CO)
Fluoride dusts
Hydrogen fluoride (HF)
Sulphur dioxide (SO2)

The jobs and tasks with highest potential for exposure involve anode changing, metal and bath

tapping, and pot lining, although maintenance workers and crane drivers can also experience

significant exposure to dusts and fumes. Potroom workers are also exposed to physical hazards

such as magnetic fields, noise, radiant energy, and the likelihood of burns from hot metal. Since

the pots in most potrooms operate at currents of 12–300 kilo amperes at 5 volts, exposure to

static magnetic fields may be typically between 0.1 and 10.0 milli Tesla with some extra low

frequency alternating current magnetic fields present. Noise in potrooms can exceed 80 decibels

and is often loudest near the air powered (pneumatic) impact tools (electrically powered tools are

often not used due to the electrical hazards in pot lines) and mobile equipment. Since the pots run

at temperatures of about 9600 C degree centigrade, there is significant potential for heat stress and

burns from hot electrolytic bath and metal to occur. Workers in potrooms in hot climates are
particularly at risk of heat stress since the natural secondary ventilation may not afford sufficient

cooling. Burns from contact with hot metal, bath splashes, or surfaces of pots are major hazards

to workers in most jobs and tasks in the potroom.

7.5 Air emissions

The major gaseous emissions in aluminium production besides carbon dioxide (CO2) are HF gas,

SO2, and CO. Particulate emissions are particulate fluoride, carbon dust, and alumina. The HF

gas is produced by the hydrolysis of fluoride compounds due to adsorbed water, to water of

hydration associated with the alumina, and from hydrogen in the anodes. Particulate fluoride

results from vaporization of fluoride compounds from the molten bath and subsequent

condensation in the cooler zone above the pot. SO2 comes from the sulphur present in the coke

and coal tar pitch binders in the anodes. The transportation and handling of the materials used in

the process, such as alumina, coke, and pitch, are also sources of emissions.

During anode production, in Prebake process, negative pressure created in the flues by the waste

gas fans pulls air through the packing over the anodes into the flues, where it blends with the

products of combustion. Flue gas from the baking furnace contains HF, SO2, CO2, CO, and

hydrocarbons from pitch. Particulate emissions are carbon dust and particulate fluoride. Gaseous

and particulate fluorides are produced from residual bath material in anode butts.

Peak hydrocarbon emission occurs when the firing frame containing the burners and the waste-

gas manifold are moved. At this point, firing of the preheat section commences and green anodes

in the preheat section are exposed to heat for the first time. The temperature of the flue gas will
normally range from 300–450 0F, with lower temperature usually occurring when a fire is moved.

Tables 7.2 and 7.3 show air emission from various segments of smelting.

Table 7.2 Emissions from primary aluminium production processes (USEPA, 1986).

Operation Total particulate Gaseous fluoride Particulate fluoride

kg/ton kg/ton kg/ton
Prebake cell
Uncontrolled 47 12 10
Fugitive 2.5 0.6 0.5
Emission to collector 44.5 11.4 9.5
Multiple cyclones 9.8 11.4 2.1
Dry alumina scrubber 0.9 0.1 0.2
Dry electrostatic precipitator 2.25 0.7 1.7
plus spray tower
Spray tower 8.9 0.7 1.9
Floating-bed scrubber 8.9 0.25 1.9
Coated bag filter dry scrubber 0.9 1.7 0.2
Cross-flow packed bed 13.15 3.25 2.8
Dry plus secondary scrubber 0.35 0.2 0.15
Anode baking furnace
Uncontrolled 1.5 0.45 0.05
Fugitive NA NA NA
Spray tower 0.375 0.02 0.015
Electrostatic precipitator 0.375 0.02 0.015
Dry alumina scrubber 0.03 0.0045 0.001

Table 7.3 Uncontrolled emissions and particle size distribution for roof monitor fugitive
emissions from Prebake aluminium cells (USEPA, 1986).

Particle size Cumulative mass Cumulative emission factor

(µm) (% < Stated size) (kg/ton) Al
15 65 1.62
10 58 1.45
5 43 1.08
2.5 28 0.7
1.25 18 0.46
0.625 13 0.33

7.6 Water pollution

The primary source of wastewater is the wet scrubber used as a control option for SO2 emissions.

With a wet scrubber primary control system, about 3.4 lb/fluorides/ton Al and 0.25 lb total

suspended solids/ton Al are discharged with the wastewater (USEPA, 1996).

7.7 Solid waste

Solid waste generated from control of air emissions in the primary aluminium industry is a direct

result of wet scrubber based air emission control devices and the accompanying wastewater

treatment. Table 7.4 presents solid waste generation rates for various emission control systems in

aluminium production. Spent pot lining is another toxic solid waste generated from the smelter

process.

Table 7.4 Solid waste generation for various fluoride emissions control systems (USEPA, 1996)

Fluoride emission control system Solid waste generation (lb/ton Al)

Primary dry scrubbing 0
Primary wet scrubbing 154
Secondary wet scrubbing 160
Primary wet scrubbing with lime treatment 120
Secondary wet scrubbing with lime treatment 40
Primary wet electrostatic precipitator with lime treatment 150
Primary wet electrostatic precipitator 154

7.8 Emission standards

An aluminium pot will typically emit 20 to 35 kg per tonne of gaseous and particulate fluoride

and roughly an equal amount of particulate matter. US Federal new source performance

standards (NSPS) require emissions of no more than 0.95 kg fluoride per tonne from Prebake

plants with 0.05 kg fluoride per tonne from the anode bake plant (USEPA, 1986). The standard
also requires less than ten per cent opacity. Each cell is equipped with a hooding and manifold

system that captures and conveys emissions to the fume control equipment. The temperature of

the pot exhaust gases entering the control equipment ranges from 150–300 0 F degree Fahrenheit

(Table 7.5).

Table 7.5 Summary of potroom smelter environmental data (USEPA, 1996)

NSPS regulations 0.95 F/tonne Al (Prebake pot)

10% opacity
Exhaust volume per pot 2000 – 5000 cubic feet/minute
Hooding efficiency 95% approximately
HF removal efficiency – dry scrubbers 99%
Minimum required surface area of alumina for 45 m2/g
dry scrubber
Carbon consumption 0.4 – 0.5 lb carbon/lb Al
Capital cost – dry scrubber system $ 35 - $ 50 cubic feet/minute

7.9 Air quality standards for protection of vegetation

Air quality standards to protect vegetation and livestock from fluorides were first introduced in

the USA by individual states (Weinstein & Davison, 2004). Standards for protecting vegetation

are cited in terms of the duration the plants are exposed to a concentration of F (µg F m -3) above,

which there is visible injury. The most sensitive species develop visible injury when exposed to

concentrations above 0.3 µg F m-3 for a long enough periods. The more stringent standards cite

concentrations around 0.2 to 0.4 µg F m-11. The Netherlands has some of the most stringent

standards, currently using a 24-hour target value for fluoride of 0.3 µg F m-3, a 24-hour limit of

2.8 µg F m-3, an annual target value of 0.05 µg F m-3, and a growing season average limit of 0.4

µg F m-11. This may be because several of their economically important crops are very sensitive

to HF but the 24-hour target of 0.3 is excessively low because there is no experimental evidence
to support it. Furthermore, it is difficult to monitor such low exposures effectively (Weinstein &

Davison, 2004).

The World Health Organisation (WHO) has published three different guidelines for fluoride

concentrations. In Environmental Health Criteria, No. 36, 1984, the WHO standard for

protection of vegetation is stated to be 0.2 µg F m -3. It is based on an assessment of the

experimental data on grapes tested in Australia that are available at the time. In the second

edition of the same document, Environmental Health Criteria 227, 2002, the WHO has given the

lowest observable effect levels for leaf necrosis in terrestrial plants at fluoride concentrations of

0.2–0.4 µg/m-3 . In 2000, the WHO has published air quality guidelines for Europe, second

edition that deals mostly with other pollutants but there is one statement about fluoride, ‘It has

been recognized that fluoride levels in ambient air should be less than 1 µg F m-3 to prevent

effects on livestock and plants. These concentrations will also sufficiently protect human health.’

The text does not say who has recognized this or cite any references to support it. Furthermore,

no averaging times are cited (Table 7.6).

Table 7.6 WHO standards

Pollutants Limits
Fluoride 1 µg/m3
POM As low as possible
PM10 30 µg/m3
PM2.5 20 µg/m3
SO2 24 hours- 125 µg/m3
Annual – 50 µg/m3
7.10 Protection of livestock

The standard refers to a maximum long-term (usually one-year) average fluoride concentration in

the diet of 40 mg F kg-1 to protect the most sensitive species i.e. dairy cattle.

7.11 The draft air pollution rules 2007 for Trinidad and Tobago

The Trinidad and Tobago (TT) air pollution standards are currently before the Cabinet of the

country. The relevant law is called the Draft air pollution rules 2007 (Tables 7.7 and 7.8). The

HF standards follow the reasoning in the Ontario HF standard. The TT proposed HF standard for

maximum permissible limit for 24 hours is 1.0 µg/m3 and 0.4µg/m3 for an averaging time of 90

days. These are coincidentally consistent with the WHO proposal based on damage to the

most sensitive plant species. The TT national environmental policy laid in Parliament in the year

2006 states that air pollution standards will be consistent with the recommendations of the WHO.

The TT proposal for HF is not statistically different from the most stringent in the world

proposed by Norway and Ontario or WHO (Appendix A7.1).

 Table 7.7 Second schedule- maximum permissible levels for ambient air for Trinidad & Tobago

No Short-term Long-term
Compound/ substance
Maximum permissible levels Averaging Maximum Averaging time
time permissible
levels
Particulates

1 Total suspended particulates 150 µg/m3 24 hr

(TSP)
2 PM10 75 µg/m3 24 hr 50 µg/m3 1 year
3 PM 2.5 65 µg/m3 24 hr 15 µg/m3 1 year

Non-metallic inorganic pollutants

4 CO 100,000 µg/m3 15 min
60,000 µg/m3 30 min
30,000 µg/m3 1 hr
10,000 µg/m3 8 hr
5 Nitrogen dioxide (NO2) 200 µg/m3 1 hr 40 µg/m3 1 year
6 SO2 500 µg/m3 10 min 50 µg/m3 1 year
125 µg/m3 24 hr
7 Ozone 120 µg/m3 8 hr
8 Sulphuric acid 100 µg/m3 30 min

9 Hydrogen sulphide 30 µg/m3 30 min

10 Ammonia 3,600 µg/m3 30 min
11 HF 1.0 µg/m3 24 hr 0.4 µg/m3 90 days
12 Hydrogen chloride 100 µg/m3 30 min
13 Chlorine and its compounds 300 µg/m3 30 min
14 Asbestos (fibres > 5 µm in 0.04 fibres/cm3 24 hr
length)
15 Asbestos (total) 5 µg/m3 30 min
Metallic pollutants
16 Cadmium and its compounds 5.0 µg/m3 of total cadmium 30 min
in free and combined form
17 Mercury and its compounds 1.5 µg/m3 of total alkyl 30 min
mercury compounds
5.0 µg/m3 of total mercury in
free and combined form 30 min
18 Antimony and its compounds 75 µg/m3 of total antimony 30 min Antimony and 75 µg/m3 of total
in free and combined form its compounds antimony in free
and combined
form
19 Beryllium compounds 0.01 µg/m3 24 hr
20 Lead 10 µg/m3 of total lead in free 30 min 1.5 µg/m3 3 months
and combined form
0.5 µg/m3 1 year
Organic pollutants
21 Biphenyl 60 µg/m3 1 hr
22 Carbon disulfide 330 µg/m3 24 hr
23 Ethyl benzene 1,000 µg/m3 24 hr
24 Formaldehyde 65 µg/m3 24 hr
25 Mercaptan (as Methyl 20 µg/m3 1 hr
Mercaptan)
26 Polychlorinated biphenyls 0.15 µg/m3 24 hr 0.035 µg/m3 1 year

Table 7.8 Third schedule– Stack release limits for Trinidad & Tobago

No. Substance Maximum permissible limits (mg/Nm3)

Particulates
1 Particulate matter 100 mg of particulate matter in each normal cubic
metre of residual gases, (adjusted to a basis of 12%
CO2 for air emissions from fuel-burning equipment, if
required by the specified test method)

Non-metallic inorganic substances

2 SO2 1,000 as SO2
3 Oxides of nitrogen 500 as NO2
4 Carbon monoxide 1,000
5 Sulphuric acid mist or sulphur trioxide 100 as SO3
6 Hydrogen sulphide 15
7 Ammonia 50
8 Fluorine and its compounds 5 as HF; or 5 as total fluoride
9 Acids and acid gases, as hydrogen chloride 10 as hydrogen chloride
10 Chlorine and its compounds 5 as chlorine

Metallic inorganic substances

11 Lead and its compounds 0.5 as lead
12 Antimony and its compounds 5 as antimony
13 Arsenic and its compounds 0.8 as arsenic
14 Cadmium and its compounds 0.05 as cadmium
15 Mercury and its compounds 0.05 as mercury
16 Heavy metals (other) 5 as heavy metals (other)

Organic substances
17 Volatile organic compounds 20 as volatile organic compounds
18 Dioxins 0.2ng TEQ/Nm3
19 Furans 0.2ng TEQ/Nm3

Appendix A7.2 gives interpretation of the above schedules.

7.12 Compliance

The compliance requirements for primary aluminium production industry are as follows

(USEPA, 1996; USEPA, 1980):

i.. The industry shall install, calibrate, maintain, and operate monitoring devices, which can be

used to determine daily the weight of aluminium and anode produced. The weighing devices

shall have an accuracy of ±5 percent over their operating range.

ii. The industry shall maintain a record of daily production rates of aluminium and anodes, raw

material feed rates, and cell or potline voltages.

iii. The industry must conduct a performance test at least once each month, except when

malfunctions prevent representative sampling. The owner or operator shall give the administrator

at least 15 days advance notice of each test. The administrator may require additional testing

under section 114 of the clean air act.

iv. An owner or operator may petition the administrator to establish an alternative testing

requirement that requires testing less frequently than once each month for a primary control

system or an anode bake plant. If the owner or operator shows that emissions from the primary

control system or the anode bake plant have low variability during day-to-day operations, the

administrator may establish such an alternative testing requirement. The alternative testing

requirement shall include a testing schedule and, in the case of a primary control system, the

method to be used to determine primary control system emissions for the purpose of performance

tests.

v. The industry shall determine compliance with the total fluorides and visible emission

standards as follows:
(a) The emission rate (Ep) of total fluorides from potroom groups shall be computed for each run

using the following equation:

Ep= [(Cs Qsd)1+ (Cs Qsd)2]/ (P K) 7.1

where, Ep=emission rate of total fluorides from a potroom group, kg/Mg (lb/ton);

Cs=concentration of total fluorides, mg/dscm; Qsd=volumetric flow rate of effluent gas, dscm/hr;

P=aluminium production rate, mg/hr (ton/hr); K=conversion factor, 106 mg/kg (7,000 gm/lb);

1=subscript for primary control system effluent gas; 2=subscript for secondary control system or

roof monitor effluent gas.

(b) The emission rate (Eb) of total fluorides from anode bake plants shall be computed for each

run using the following equation:

Eb= (Cs Qsd)/ (PeK) 7.2

where, Eb=emission rate of total fluorides, kg/Mg (lb/ton) of aluminium equivalent;

Cs=concentration of total fluorides, mg/dscm (gm/dscf); Qsd=volumetric flow rate of effluent gas,

dscm/hr (dscf/hr); Pe=aluminium equivalent for anode production rate, Mg/hr (ton/hr);

K=conversion factor, 10 6 mg/kg (7,000 gm/lb).

(c) The aluminium production rate (P) shall be determined by dividing 720 hours into the weight

of aluminium tapped from the affected facility during a period of 30 days before and including

the final run of a performance test.

(d) The aluminium equivalent production rate (Pe) for anodes shall be determined as two times

the average weight of anode produced during a representative oven cycle divided by the cycle

time. An owner or operator may establish a multiplication factor other than two by submitting

production records of the amount of aluminum produced and the concurrent weight of anodes

consumed by the potrooms.

7.13 Control systems

Most smelters constructed within the last 20 years use alumina to scrub the gaseous fluoride

emission and the alumina containing fluoride is then fed to the cells. The two types of dry

scrubbing systems in use today differ primarily in the manner in which the potroom gases are

brought into contact with alumina. One system capitalises on the ability of a fluid-bed reactor to

promote intimate mixing between solids and fluids. In this process, potroom gases fluidize a bed

of alumina. In the other system, the alumina is injected into a zone of high gas velocity and

turbulence. Alumina is entrained and turbulent mixing promotes a reaction between HF and

alumina (USEPA, 1973). These dry scrubbing systems are capable of removing over 99 per cent

of the HF gas and particulate matter. The alumina containing HF is then used to make

aluminium. With high recovery of fluorides and their subsequent reuse, consumption of fluoride

has been reduced significantly in smelters with dry scrubbing systems. Because these dry

scrubber systems are so efficient in capturing particulate and gaseous fluorides, the emissions

from their stacks contribute little to overall plant fluoride emission (Rush, Russel and Iverson,

1973).
A few plants still use the older control system consisting of electrostatic precipitators (ESPs) to

collect particulate emissions, followed by spray towers to scrub the gaseous fluoride. A small

amount of particulate matter is also removed in the scrubber. The scrubber effluent is neutralised,

usually by the addition of lime to form calcium fluoride, and the water is recirculated to the

scrubber. Wet scrubber systems have many disadvantages, such as corrosion by HF acid, scaling

and the expenses involved in removing fluoride values from calcium fluoride. The only benefit

of a wet scrubber system is that it removes some of the sulphur oxide in the exhaust -gasses.

In anode production, fabric filters control coke dust from the classifiers and conveying

equipment. Control of hydrocarbon emissions is more difficult. Since the gasses are at relatively

low temperature – 1500 F degree Fahrenheit or less – tar vapours readily condense in the

ductwork and, together with the coke dust cause plugging. Heat trapping the ductwork will help

to minimise the problem, but will not completely prevent it. Gas velocity in the ductwork should

be at least 17 m/s to prevent coke particles from dropping out and cleanout ports in the ductwork

will facilitate cleaning.

Other effective control technology is pre-coat bag filter using coke dust as the pre-coat material,

which not only adsorbs/absorbs the hydrocarbon vapours, but also prevents the tar from blinding

the filter bags. Coke dust can be obtained from coke pneumatic conveying systems, coke

classifiers, and other exhaust streams. The bags are pre-coated by injecting the coke dust into the

ductwork prior to the bag house. Since the gas is relatively cool, the vapours are almost totally

condensed at this stage and exist as finely condensed particles of tar together with a small

amount of vapour. The amount of coke required will depend on the concentration of hydrocarbon
vapours in the gas stream, but in a shaker collector, a minimum thickness of about 1/8 inch of

pre-coat material is necessary for tar absorption and to protect the filter bags from blinding.

Another operating parameter is to provide enough coke dust so as not to exceed 4-5 per cent tar

content on the coke dust. As a rule, tar-removal efficiency will increase with the amount of coke

used since more coke will produce more surfaces, as well as a thicker pre-coat layer for

increased filtration efficiency.

7.13.1 Preventive control technologies

Historically, as environmental problems are identified, suitable control technology is applied or

developed to correct the problems. This is so-called end-of-the-pipe treatment approach.

However, with mounting environmental costs and an increased awareness of the global effects of

pollution, there is an emerging consensus that a broader approach must be taken to address these

problems. Therefore, it is appropriate to mention some of the other steps – long and short range –

that will find wider acceptance as industry takes a more holistic view towards addressing these

environmental issues.

7.13.2 Process control

The use of modern computer control systems has led to improved process control in the

potrooms. For example, computerised process control can reduce emissions by minimising the

anode effect. An anode effect is caused by a deficiency of alumina feed to a pot, resulting in high

cell resistance, high temperature, and higher fluoride emissions. Computer controls, improved

alumina feeders, and process monitoring can help to reduce anode effects.
Other process control items that can affect environmental costs are anode burn-off and premature

pot lining failure. Anode burn-off can be caused by poor quality anodes or a bad connection at

the carbon-anode interface. And the disposal of spent pot lining removed from failed linings is

currently receiving a great deal of attention in the industry.

7.13.3 Choice of control technology

Poor choice of technology is one where a wet system instead of a dry one is chosen because of

lower capital cost, overlooking the high cost of waste treatment. However, solving the major air

emission problems often results in solid and liquid waste problems. The large number of used

filter bags, some of which are impregnated with hydrocarbons from the anode baking operation,

presents one problem, and the tar collection system used on the closed anode furnace generates

tar contaminated with acids.

7.13.4 Equipment operation and maintenance

Poorly maintained pot hooding, fabric filters, and pneumatic conveyors, for instance, can cause

major emissions. In the long run, well-maintained environmental control equipment not only

emits less, but also provides longer service life. Environmental control systems should also be

integrated into the production process and not operated as an appendage.

7.13.5 Process modification, total quality management, and waste minimization

Process modification, if it can be carried out without major expenditures, can be an inexpensive

method for reducing and perhaps even eliminating an emission. To take advantage of process

modification as a control scheme, continuous evaluation of the process and input from operators,

supervisors, and others familiar with the operation are necessary.

The approach of total quality management (TQM) could also be applied to environmental control

to improve the operation of the systems in terms of reliability, cost of operation and maintenance,

and reduction in emissions. This concept, which also embodies a goal of continuous

improvement, is becoming more accepted in developing countries as an industrial management

tool. It is a system that uses quality control tools, such as data gathering and statistical controls,

and applies them in every step of an operation to produce the best-quality product in the most

efficient manner. The terms operation and product are used in the broadest sense and can range

from a highly sophisticated production process to the most mundane task.

Another long-range program of waste minimisation has been shown by many companies to be

quite beneficial in terms of resource conservation, pollution reduction, and good payback. Like

process modification and TQM, waste minimisation is a never-ending program requiring plant

wide support, environmental awareness, and clear definition of the objectives of waste

minimisation.

These approaches are proactive in nature, and in order to succeed, will require some training,

teamwork, and the commitment of an entire organisation. However, they represent a more logical

and integrated management of environmental issues, and in the long run, a combination of these
programs with the best end-of-the-pipe solutions will prove to be less stressful to the

environment and far more cost effective.

7.14 Guidelines for formulating environmental standards

In a country where environmental standards for a particular industry do not exist, the country

may propose appropriate legislation for the protection of the environment. The following

considerations are important for formulation of the standards:

1. Determination of acceptable risks to living being including plants and animals (USEPA

considers cancer and other significant human health impacts).

2. Determination of population of living beings to be protected.

3. Choice of control technology (USEPA uses minimum achievable control technology,

MACT)

4. Economic considerations – to strike the balance between cost and benefits.

5. Legislation for setting standards- it considers existing national legal framework and

identifies necessary legal strategies.

Once it is decided that exposure to an environmental pollutant needs to be prevented or reduced

in order to protect human health and other living beings, the next step is to select appropriate

measures and means to achieve this goal. Exposures can be avoided if the pollutant is prevented

from being released or if it is degraded naturally or treated before it reaches its target. Reduction
or control measures may be taken at various points on the path between the contemplated source

and its target (Figure 7.2).

The source The environment The target

Product
standard Ambient standards

Transformation

Biological/exposure
Process
Dispersion standards
standard

Emission standards Sink

Figure 7.2 Pollutant pathway showing possible points at which standards may be set

Product standards: The residues of raw materials and intermediates, and the product itself, when

in the developmental stage in the laboratory, should be tested for the side effects on targets. In

such a situation, government intervention is needed and government can adopt any or

combination of the approaches viz (i) the government can ban the product ensuring that there
exists at least one environmentally acceptable substitute for that product; (ii) the second

approach could be to label the product with restrictions on the rate of application and other

precautions.

Process standards: Several times, huge quantities of wastes are generated due to inefficient

process technologies and poor operating practices. Control could be employed on such processes

of manufacture and operating practices so as to minimise wastes. The concept of clean

technologies is the outcome of such control mechanism. Limits can be specified on quantities of

waste (solid, liquid and gaseous) generated per unit of product manufactured (also known as

mass based standards) so that industries would employ such cleaner technologies, which

generate wastes within the permissible limits.

Emission standards: Considerable effort in the control of environmental pollutants has been

concentrated in the development of emission limits on industrial discharges to air and effluent

limits to water. Recently, increased attention is being paid to their releases into the soil. The

prescription of number of samples to be tested, measurement methods to be followed and

statistical procedure to be adopted form the integral part of the ‘standard’. These standards are

often developed based on MACT, which is uniform for all countries, if the technical and

economic conditions are essentially same. However, the environmental quality varies with such

factors as the land use, density of population, sources of environmental pollution and the

meteorological and hydrological conditions. Therefore, it seems reasonable that this be taken into

account while adopting the MACT approach.

Ambient/medium related standards: These are formulated with a view to protecting and

maintaining a healthy status of all biotic and abiotic components of the recipient environment,

the concentration of any pollutant should be within a certain limit. An industry may be permitted

to discharge pollutants in such a manner that the ambient concentration of that pollutant never

exceeds the permissible limit. Such environmental quality standards for the similar recipient

should vary according to its geo-climatic location, and the extent of its variability. Hence, the

quality criteria for all types of recipient environment must be defined.

Exposure standards: The exposure standards are commonly set for the work place. The average

daily intake value is the most usual form of exposure standards. It specifies a daily level of

chemical intake that is considered safe over a life time exposure.

Biological standards: These are the standards that relate to concentration of pollutants in

biological fluids and tissues. The advantage with this standard is that it considers the total effect

on the biological subject.

The formulation of the standards, as described above, has several dimensions. The strategies for

formulation of standards, the means and approach to be adopted for each of these and their

limitations are summarised in Figure 7.3.

 Basis Means/Approach Limitations

Product design - Banning the product

- Banning the use for certain purpose Financial implication
- Encouraging Green products

Manufacturing
process technology Limited scope for old Industry
- Introduction of clean technology
- Avoiding spills
Operating practice Discourage clean technology
- Off-site planning

Standards - MACT
Limits on release - Best practicable means Assimilative capacity not

Considered
Medium related - Health criteria/ecological fragility Difficult to implement on
measures
National scale
Biological Concentration of pollutants in tissues Sampling is difficult
standards and blood

Working place Can’t be applied directly

Exposure

Figure 7.3 Dimensions of standards

 References

1. Benke, G., Abramson, M., Sim, M.1998. ‘Exposures in the alumina and primary
aluminium industry: an historical review’. Ann Occup Hyg, no.42:173–89.
2. Rush, D., Russel, J. C., and Iverson, R. E. 1973. ‘Air pollution abatement on primary
aluminium potlines: effectiveness and cost’. J. APCA 23 no.2: 74–87.
3. USEPA. Air pollution control in the primary aluminium industry. EPA-450/33-73-004B,
Singmaster and Bayer, New York, 1973.
4. USEPA. Title 40: Protection of Environment, in Standards of Performance for Primary
Aluminum Reduction Plants, 45 FR 44207, 1980.
5. USEPA, AP-42. Supplement A to Compilation of air pollutant emission factors. vol 1:
Stationary Point and Area sources, 1986.
6. USEPA. Primary aluminium industry- technical support document for proposed MACT
standards, United States Environment Protection Agency, 1996.
7. Weinstein & Davison. Fluorides in the Environment. CABI Publishing
ISBN0-85199-683-3, 2004.
8. WHO. Air Quality Guidelines for particulates and fluorides. Copenhagen, Denmark,
2000.
9. WHO. Environment health criteria no. 310. 1984.
10. WHO. Environment health criteria no. 310. 2002.
 A7.1 Ambient standard concentration limits for fluoride (HF) in different countries (all
concentrations are in µg/m3)
Exposure Trinidad North America Europe Oceania Germany South Japan
Period Second Canada U.S. A Netherlands Norway Australia New Africa
Schedule Zealand
30 min
average
1- hr 2 70
average (Montreal
Urban
Community
12- hr 3.7 3.7 1.8 - 3.7
average (New
South
Wales)
24 - hr 1 0.85 - 1.1 1.2 - 2.8 1 (for 2.9 1.5 - 2.9 26 1
average 2.9 vegetati Human
on) and
25 ( for
human)

7-d 0.5 - 0.55 1.6 - 1.7 - 2 0.8 - 1.7 0.5

average 1.7
30 - d 0.34 - 0.45 0.8 - 0.8 0.4 0.4 - 0.4 - 0.8
average 1.2 0.84
90 – d 0.4 0.4 0.59 0.1 - 0.5
average Victoria
Annual 1 0.4 - 1
average
A7.2 Interpretation of Second and Third Schedule of Draft Air Pollution Rules of
Trinidad and Tobago

1. For the purposes of the second schedule:

(a) A 10-minute mean is a mean calculated every 10 minutes. The 10 minute mean for a

particular substance at a particular location for a particular 10 minutes is the mean of the

levels recorded, at a frequency of not less than once every 10 seconds for that substance

at that location during those 10 minutes.

(b) A 15 - minute mean is a mean calculated every 15 minutes. The 15 minute mean for a

particular substance at a particular location for a particular 10 minutes is the mean of the

levels recorded, at a frequency of not less than once every 10 seconds for that substance

at that location during that 15 minutes.

(c) A 30-minute mean is a mean calculated every 30 minutes. The 30 minute mean for a

particular substance at a particular location for a particular 30 minutes is the mean of the

levels recorded, at a frequency of not less than once every 10 seconds for that substance

at that location during that 30 minutes.

(d) An hourly mean is a mean calculated every hour. The hourly mean for a particular

substance at a particular location for a particular hour is the mean of the levels recorded,

at a frequency of not less than once every 10 seconds for that substance at that location

during that hour.

 (e) A running 8 - hour mean is a mean, which is calculated on an hourly basis yielding one

running 8 - hour mean per hour. The running 8 - hour mean for a particular substance at a

particular location for a particular hour is the mean of the hourly means for that substance

at that location for that hour and the preceding 7 hours.

(f) A 24 - hour mean is a mean calculated every 24 hours. The 24 - hour mean for a

particular substance at a particular location for a particular 24 hour period is the level at

which that substance is recorded as being present in the air at that location on the basis of

a continuous sample taken throughout the period.

(g) An annual mean is a mean, which is calculated on a yearly basis, yielding one annual

mean per calendar year. The annual mean for a particular substance at a particular

location for a particular calendar year is:

(i) in the case of lead, the mean of the daily levels for that year;

(ii) in the case of nitrogen dioxide, the mean of the hourly means for that year;

(iii) in the case of PM10 and PM2.5, the mean of the 24 means for that year.

2. For the purposes of the second and third schedules:

(a) TEQs are calculated values that allow comparisons of the toxicity of different combinations

of dioxins and dioxin-like compounds (a TEQ is a dioxin Toxicity Equivalent, sometimes called
as I-TEQ i.e. International Toxicity Equivalent and is calculated by looking at all toxic dioxins

and furans and measuring them in terms of the most toxic form of dioxin i.e. 2,3,7,8-TCDD). The

two most toxic compounds are the comparison point. For example, a mixture weighing 10g with

a TEQ of 5gm would be as toxic as 5gm of either of those compounds.

In order to calculate a TEQ, a toxic equivalent factor (TEF) is assigned to each member of the

dioxin and dioxin-like compounds category. The TEF is the ratio of the toxicity of one of the

compounds in this category to the toxicity of the two most toxic compounds in the category,

which are each assigned a TEF of 1: 2,3,7,8-tetrachlorodibenzo-p-dioxin (commonly referred to

as dioxin) and 1,2,3,7,8-pentachlorodibenzo-p-dioxin. TEFs that have been established through

international agreements currently range from 1 to 0.0001.

A TEQ is calculated by multiplying the actual grams weight of each dioxin and dioxin-like

compound by its corresponding TEF (e.g., ten gm X 0.1 TEF = one gm TEQ) and then summing

the results. The number that results from this calculation is referred to as grams TEQ.

For example, consider the following 60 gm mixture:

10 gm of compound A, with a TEF of one; 20 gm of compound B with a TEF of 0.5; and 30 gm

of compound C, with a TEF of 0.2.

The TEQ of this mixture would be:

(10gm x 1) + (20gm x 0.5) + (30gm x 0.2) = 26 gm TEQ,

This mixture of 60 gm of various compounds would be as toxic as 26 gm of either of the two

most toxic compounds.

(b) Sampling and analysis to determine compliance with the standards listed in the second and

third schedule shall be in accordance with such methods as are prescribed or approved by the

authority.
 Chapter 8

Health effects of working in a Prebake aluminium smelter

Melissa Friesen, Lin Fritschi

8.1 Introduction

This chapter gives a brief review of the occupational health and epidemiological literature on

health effects of working in Prebake aluminium smelters. First we introduce the types of

aluminium smelting technology and the implications of these methods from a health point of

view. We then review the literature on potroom asthma, cancer, heat exposure, and other chronic

diseases. Lastly, we give suggestions as to how to minimize health effects in the workers in

aluminium smelters.

8.2 Exposures in the aluminium smelter

The main exposures of health interest in a smelter are PAHs, dust, fluorides, sulphur dioxide,

heat, noise, electromagnetic radiation, and some metal oxides (Sim and Benke, 2003). In a

Prebake plant, the PAH release occurs at the anode plant. In this chapter, we will concentrate on

the literature regarding Prebake smelters, which are the dominant technology for new smelters.

Much of the existing research has been done on workers in Söderberg smelters and therefore is

not necessarily relevant to the Prebake smelters. Another complicating factor is that many of the
earlier studies were done when exposures were much higher than they are today and their results

may not be applicable to the lower levels of exposure in modern smelters (Benke et. al., 1998).

8.3 Potroom asthma

Potroom asthma, which is a syndrome of wheeze and chest tightness, which are worse at work,

was first described in some potroom workers in 1936. Studies from Norway, North America and

our own studies from Australia have shown that potroom asthma is a real condition (Kongerud

et. al., 1994; Taiwo et. al., 2006; Fritschi et. al., 1999 and 2003). It probably occurs in 10-20% of

potroom workers and is more likely to occur in smokers. The mechanism of this syndrome is

still not clear, but may involve a hypersensitivity reaction. In most affected workers, removing

them from potroom work seems to resolve the symptoms, although a significant minority may

continue to experience symptoms. If the symptoms of potroom asthma develop, the

recommendation is to remove affected workers from exposure as soon as possible (Kongerud et.

al., 1994).

There is considerable debate about whether fluoride or sulphur dioxide exposure is the causative

factor although most studies seem to suggest that fluoride is the responsible agent (Kongerud et.

al., 1994). Fluoride and sulphur dioxide are difficult to separate out in analyses as they are

released together from the pots. From a practical point of view, prevention of exposure to one

would probably decrease exposure to the other.

8.4 Cancer in smelter workers

In 1984, in 1987, and most recently in 2005, the International Agency for Research in Cancer

classified work in the aluminium industry as a class 1 carcinogen (IARC, 1984 and 1987; Straif

et. al., 2005). This means that, according to the body of evidence at that time, work in this

industry is carcinogenic to humans. This classification was mainly based on the reasonably

consistent findings of increased risk of lung and bladder cancer in workers in the potrooms of

Söderberg smelters.

There are only a few studies of cancer in purely Prebake plants (Carta et. al., 2004; Sim et. al.,

2006; Rønneberg and Andersen, 1995). None of these has found statistically significant

associations between potroom work with lung and bladder cancer. The Norwegian study did find

coal tar exposure associated with an excess incidence of bladder cancer and an excess incidence

of lung cancer with certain long latency time windows, but this association was not consistent

across all time windows considered (Rønneberg and Andersen, 1995). The coal tar exposure in

this smelter was primarily confined to the anode plant (Rønneberg, 1995).

In the studies of Prebake smelters there have been isolated findings of increases in pancreatic,

stomach and kidney cancer but these were not consistent between studies and it is unknown if

these are real associations (Carta et. al., 2004; Sim et. al., 2006; Rønneberg and Andersen,

1995). In the Italian study, pancreatic cancer was associated among workers employed in the

anode plant (Carta et. al., 2004). Excess pancreatic, stomach and kidney cancer has also been

observed in Söderberg smelters, but similarly these findings have not been consistent (Spinelli et.

al., 2006; Romundstad et al., 2000a and 2000c). Further follow-up, with larger numbers of cases

would clarify this issue.

It is well known that PAHs are carcinogenic (Boffetta et. al., 1997; Straif et. al., 2005) and since

exposure to PAHs occurs in Söderberg potrooms and in both Söderberg and Prebake anode plants

PAH exposures are probably the causative agent for lung and bladder cancers. An increased risk

of lung and bladder cancer may have been minimized in Prebake smelters, with their lower levels

of PAH.

8.5 Heat stress

Some work tasks in producing aluminium require hot, physical work. High heat exposure occurs

with work in proximity to the pots in the potrooms, in the anode plant, in the casting department,

and several other smelter areas. Work in aluminium smelters has been found to exceed

recommended occupational exposure limits for heat stress and heat strain measures, in particular

in summer months (Logan et. al., 1999). Acute health effects of heat exposure can include heat

stroke, where the body’s ability to regulate its temperature fails and can result in death.

The long-term effects of chronic high heat exposure are not known. In the Norwegian Prebake

smelter study, kidney cancer was associated with heat stress (Rønneberg and Andersen, 1995).

The authors suggest that this may be a chance finding, but also suggest that chronic dehydration

may lead to prolonged retention of concentrated urine which may increase the dose of

carcinogens in the urinary tract. Increased risk of kidney cancer associated with PAH exposure

has also been observed in a Söderberg aluminium smelter (Spinelli et. al., 2006) but this finding

has been inconsistent across studies of other smelters (Boffetta et. al., 1997). PAHs are a
suspected risk factor for kidney cancer, but since PAH exposure and heat exposure occur together

in Söderberg smelters it is not clear whether chronic heat exposure has an influence.

8.6 Other health outcomes

Chronic diseases other than cancer have not been well studied in the aluminium production

industry. Exposure to fluoride in potrooms has been associated with increased risk of death from

respiratory disease (Romundstad et. al., 2000b and 2000c; Logan et. al., 1999). PAH exposure

has been weakly associated with an excess of death from heart disease (Friesen et. al., 2007;

Theriault et. al., 1988). These findings have been inconsistent among studies and warrant

additional study.

8.7 Protecting workers

In order to protect workers in Prebake smelters the information above would suggest that it is

prudent to decrease exposure to fluoride and sulphur dioxide in order to decrease potroom

asthma, and to decrease exposure to PAHs in order to decrease lung and bladder cancer. There

are a range of mechanisms to do this including use of the Prebake instead of the Söderberg

process. Alternatively, using local exhaust ventilation with wet or dry scrubbing of exhaust in

the anode plant and potrooms; having air-filtered cabins for cranes, potroom vehicles and other

work areas; using mechanical devices with remote operators and enclosure of pitch and carbon

grinding equipment in the anode plant. Work rotation and other work processes should be

examined to keep the time spent in close proximity to the pots as short as possible to minimize
exposure to fluorides and heat. Personal protection equipment including respirators, hearing

protection, and fire retardant clothing and gloves should be used where necessary.

Work in hot environments requires time for acclimatization for new employees and employees

returning after absences. Work/rest regimes and access to cool rooms are essential to allow

workers to recover from high physical demands in hot environments. Fluid and electrolyte

replacement are also important aspects for preventing heat stress and heat stroke.

This review has focused on some of the most widespread exposures within aluminium smelters

and their associated health effects. Many other generic health and safety hazards also exist in

aluminium smelters as in any industrial work site. It is essential for any aluminium smelter to

have an effective occupational and environmental health department to identify, evaluate and

control these hazards.

 References

1. Benke, G., M. Abramson, and M. Sim. 1998. ‘Exposures in the alumina and primary
aluminium industry: an historical review’. Annals of Occupational Hygiene 42:173-89.

2. Carta, P. et al. 2004. ‘Mortality for pancreatic cancer among aluminium smelter workers in
Sardinia, Italy’. G Ital Med Lav Ergon 26:83-9.

3. Friesen, M. C., H. W. Davies, K. Teschke, A. S. Ostry, C. Hertzman, and P. A. Demers. 2007.

‘Impact of the Specificity of the Exposure Metric on Exposure-Response Relationships.’
Epidemiology 18, no. 1: 88-94.

4. Fritschi, L., J. Beach, M. Sim, M. Abramson, G. Benke, A.W. Musk, N. de Klerk, and J.
McNeil. 1999. ‘Respiratory symptoms and lung function in two Prebake aluminium
smelters’. American Journal of Industrial Medicine 35:491-8.

5. Fritschi, L., M. Sim, A. Forbes, M.J. Abramson, G. Benke, A.W. Musk, and N.H. de Klerk.
2003. ‘Respiratory symptoms and lung-function changes with exposure to five substances in
aluminium smelters’. International Archives of Occupational and Environmental Health
76:103-10.

6. International Agency for Research in Cancer. Monographs: ‘Polynuclear Aromatic

Compounds, Part 3’, Industrial Exposures in Aluminium Production, Coal Gasification,
Coke Production, and Iron and Steel Founding, IARC Press, vol 34, 1984.

7. International Agency for Research in Cancer. Monographs: ‘Supplement No. 7 - Overall

Evaluations of Carcinogenicity’, an updating of IARC Monographs, IARC Press, vols. 1 to
42, 1987.
8. Kongerud, J., J. Boe, V. Soyseth, A. Naalsund, and P. Magnus. 1994. ‘Aluminium potroom
asthma: the Norwegian experience’. European Respiratory Journal 7:165-72.

9. Logan, P.W., and T.E. Bernard. 1999. ‘Heat Stress and Strain in an Aluminium Smelter.’ Am
Ind Hyg Assoc J 60:659-65.

10. Romundstad, P., A. Andersen, and T. Haldorsen. 2000a. ‘Cancer Incidence among Workers in
Six Norwegian Aluminum Plants.’ Scand J Work Environ Health 26, no. 6: 461-9.

11. Romundstad, P., A. Andersen, and T. Haldorsen. 2000b. ‘Non-malignant Mortality among
Workers in Six Norwegian Aluminium Plants.’ Scandinavian Journal of Work, Environment
& Health 26, no. 6: 470-5.

12. Romundstad, P., T. Haldorsen, and A. Andersen. 2000c. ‘Cancer Incidence and Cause
Specific Mortality among Workers in Two Norwegian Aluminium Reduction Plants.’ Am J
Ind Med 37, no. 2:175-83.

13. Rønneberg, A. 1995. ‘Mortality and Cancer Morbidity in Workers from an Aluminium
Smelter with Prebaked Carbon Anodes--Part I: Exposure Assessment.’ Occupational and
Environmental Medicine 52, no. 4:242-9.

14. Rønneberg, A., and A. Andersen. 1995. ‘Mortality and Cancer Morbidity in Workers from an
Aluminium Smelter with Prebaked Carbon Anodes--Part II: Cancer Morbidity.’
Occupational and Environmental Medicine 52, no. 4:250-4.

15. Sim, M., and G. Benke. 2003. ‘World at work: hazards and controls in aluminium potrooms’.
Occupational and Environmental Medicine 60:989-92.

16. Sim, M. et al. Health wise cancer and mortality study. Final report, Monash University,
2006.
17. Spinelli, J. J., Paul A. Demers, Nhu D. Le, M.C. Friesen, M.F. Lorenzi, R Fang, and R. P.
Gallagher. 2006. ‘Cancer Risk in Aluminium Reduction Plant Workers (Canada).’ Cancer
Causes & Control 17, no. 7:939-48.

18. Straif, K., R. Baan, Y. Grosse, B. Secretan, F. El Ghissassi, and V. Cogliano. 2005.
‘Carcinogenicity of Polycyclic Aromatic Hydrocarbons.’ The Lancet 6:931-32.

19. Taiwo, O.A., K.D. Sircar, M.D. Slade, L.F. Cantley, S.J. Vegso, P.M. Rabinowitz, M.G.
Fiellin, and M.R. Cullen. 2006. ‘Incidence of asthma among aluminium workers’. Journal
of Occupational and Environmental Medicine 48:275-82.

20. Theriault, G. P., C. G. Tremblay, and B. G. Armstrong. 1988. ‘Risk of Ischemic Heart
Disease among Primary Aluminium Production Workers.’ American Journal of Industrial
Medicine 13, no. 6: 659-66.
 Chapter 9

Human Health and Ecological Risk Assessment of the Proposed Alutrint Project on the La Brea
Community

Harriet A. Phillips

9.1 Background

The ALUTRINT aluminium complex is being developed by the Government of the Republic of

Trinidad and Tobago and SURAL of Venezuela, through a joint venture partnership known as

ALUTRINT Limited.

The proposed aluminium complex site is located on approximately 100 hectares of Union

Industrial Estate (North Site) in LaBrea. The site is bounded to the north by Sobo Village, to the

east by lands belonging to Petrotrin to the south by the Vessigny River and to the west by the

Southern Main Road and Vessigny Village. The map of the site is provided in Figure 9.1

(National Energy Corporation, 2006).

The proposed aluminium complex will consist of an aluminium smelter producing 125,000

metric tonnes a year of molten aluminium, which will be processed in a rod mill and wire and

cable plant. The complex also includes an anode plant (REAL, 2006). Proponents for other

projects located in sections of Union Estate are a power plant and one (1) urea ammonium nitrate

(UAN) plant. They have engaged with the Environmental Management Authority (EMA)

regarding Certificates of Environmental Compliance (CEC) for their proposed locations in the

Union Industrial Estate.

Figure 9.1 Proposed aluminium complex site locations
This paper documents an evaluation of the potential health effects on people residing and/or

working in the immediate area from the substances emitted to the air from the proposed

aluminium complex. In addition, the cumulative effects of the aluminium complex combined

with emissions from the power plant and UAN facility were evaluated. An assessment of

adverse effects on ecological receptors for the cumulative scenario was also undertaken.

9.2 Methodology

The methodology used in assessing human health and ecological risks followed guidelines

outlined by various regulatory agencies including the United States Environmental Protection

Agency, Environment Canada and Health Canada to name a few (USEPA, 1998; Health Canada,

2004). The human health risk assessment is divided into four different steps (see Figure 9.2) as

provided in the various regulatory frameworks (USEPA, 1998; Health Canada, 2004). They are:

• the problem formulation stage, in which the various chemicals of concern, receptors,

exposure pathways, and scenarios are identified;

• the exposure assessment, where predicted exposures are calculated for the various

receptors and chemicals of concern;

• the hazard assessment, in which toxicity reference values for the chemicals of concern are

determined; and,

• the risk characterization stage, where the exposure and hazard assessment steps are

integrated.
 Figure 9.2 Human health risk assessment process

9.3 Problem formulation

The chemicals of concern identified were gaseous air pollutants (hydrogen fluoride (HF), carbon

monoxide (CO), nitrogen oxides (NOX) and sulphur dioxide (SO2)), volatile organic compounds,

polycyclic aromatic hydrocarbons (PAHs), aluminium and fine particulate matter (PM10 and

PM2.5). Hydrogen fluoride, PAHs and aluminium were primarily associated with the emissions

from the proposed aluminium complex. VOCs were only associated with the proposed power
plant and UAN facility and carbon monoxide, nitrogen oxides and sulphur dioxide were

associated with emissions from all three facilities.

9.4 Inputs to the risk assessment

The air dispersion model provided concentrations of the gaseous air pollutants, PM10

concentrations, benzo (a) pyrene concentrations, total PAH concentrations and total VOC

concentrations. However, in the risk assessment process, a breakdown of the PAHs and VOCs

into individual chemicals is needed. In addition, aluminium concentrations were not provided.

Therefore, a number of conservative assumptions were used in the assessment to derive these

values:

– All carcinogenic PAHs assumed to be at the same concentration as

benzo(a)pyrene;

– Individual concentrations of non-carcinogenic PAHs assumed to be the same

concentration as the total PAH concentration;

– Individual VOCs were assumed to be at the same concentration as the total VOC

concentration;

– The PM10 concentration was considered to be representative of the aluminium

concentration

– Hydrogen fluoride concentrations were considered to be representative of

fluorides deposited in soils and taken up into vegetation and animals

9.5 Hazard assessment

Toxicity Reference Values were obtained from various reputable regulatory agencies such as the

World Health Organization (WHO) and the United States Environmental Protection Agency

(USEPA 2006; WHO, 2000 & 2005). Results are expressed in terms of hazard quotients and

cancer risk levels for long-term exposures to chemicals that can deposit in the environment and

be taken up into plants and animals in the food chain and in terms of concentration ratio values

for exposures to gaseous air pollutants.

9.6 Exposure assessment

Figure 9.3 demonstrates the pathways of exposure considered in the human health assessment.

As seen from the figure residents of the La Brea Community are exposed by inhalation of

emissions, ingestion of food (fruits, vegetables and chickens) grown in the La Brea area and by

coming in contact with the soil in the community. Residents drink water from sources that are

unaffected by emissions from the proposed Alutrint complex.

There are no dietary surveys available for Trinidad and Tobago, therefore, North American

dietary data was used (USEPA, 1999). Recognizing the uncertainty in this data, a number of

assumptions were used to ensure that the exposures calculated were not underestimated. For

example:

• All the meat consumption was assumed to be chicken.

• Both the mean and upper bound estimates of intake values from North America were

used in the assessment. In terms of chicken consumption, this translates to a range of

intake of:

Figure 9.3 Pathways of exposure for human health assessment

– 1 chicken per person from their yard every two weeks to 1 and a quarter chickens

per person every week from their yard;

• All of the chicken consumed was assumed to be obtained from study area. This

assumption results in an intake of chicken (meat) from the study area that is 25 times

higher than what considered in North America;

 • All fruit was assumed to be obtained from trees in La Brea area and no fruit was assumed

to be purchased at the market or supermarket. This assumption results in an intake of fruit

from the study area that is 25 times higher than what is considered in North America;

and,

• Twenty five (25) percent of the vegetables eaten were assumed to be grown in the

backyard. This is 3 times higher than what is generally considered in North America.

9.7 Risk characterization

The hazard quotient is defined as the ratio of exposure (intake) to a long-term toxicity reference

value and the concentration ratio is defined as the ratio of the predicted gaseous air pollutant

concentration to a concentration protective of human health.

 mg 
Predicted Exposure  
 kg d 
HazardQuotient =
 mg 
RfD 
 kg d 

Concentration Ratio =
(
Predicted Air Concentration µg / m 3 )
(
Toxicity Re ferenceValue µg / m 3 )

The cancer risk level is calculated by multiplying the predicted exposure (ingestion or inhalation

dose) by the appropriate cancer slope factor (SF), as shown in the following equations:

−1
 mg   mg 
Risk = Predicted Exposure   × SF  
 kg d   kg d 
Concentration ratios below one are not considered significant as background is considered in this

ratio. In general, regulatory agencies concur that a hazard quotient below 0.2 for the air

exposure pathway or an incremental cancer risk level equal to or less than one-in-one hundred

thousand (<1 x 10-5), is not significant (Health Canada, 2004). Risk levels below these regulatory

limits were interpreted as reflecting no significant adverse health effect.

The possibility of short-term (1- hour, 8 - hour and 24 - hour) and long-term (annual) adverse

human health outcomes were assessed based on exposures that would occur from predicted air

concentrations at the maximum concentration location off the site (including the buffer zone),

which was chosen to provide the worst-case scenario. Maximum concentrations in the nearby

communities of Sobo Village, Vessigny Village and Union Village were also used but are not

presented in this paper with the exception of the analysis for particulate matter. Cautious

estimates (i.e. likely over-estimates) of exposure were used in the assessment to ensure that risks

were not underestimated.

9.8 Smelter only scenario

For the purposes of this assessment, short term and long-term health effects related to gaseous air

pollutants were evaluated by a comparison of the predicted concentrations with established

values that were derived based on effects on respiratory health.

In the smelter only scenario, the assessment considered the emissions of the gaseous air

pollutants as well as fine particulate matter from the proposed aluminium complex. Figure 9.4
presents the results which shows that short-term concentration ratios associated with emissions

of CO, NO2, SO2 and HF from the proposed aluminium smelter complex at the location of the

highest predicted concentration are below 1 indicating that no incremental measurable adverse

health outcomes would be expected in sensitive individuals living or working in the La Brea

study area due to emissions from the proposed aluminium smelter complex. Since the

background concentrations of CO, NO2 and SO2 are much lower than those predicted (and non -

existent for HF); the consideration of background in the concentration ratio would not change the

overall results of the smelter only assessment.

Concentration Ratio

1.20
Concentration Ratio

1.00

0.80

0.60

0.40

0.20

0.00
Target CO CO NO2 NO2 SO2 SO2 HF HF HF
1-hour 8-hour 1-hour Annual 10 24-hour 1-hour 24-hour Annual
minute

Hazard

Figure 9.4 Concentration ratios for exposure to gaseous pollutants at the maximum concentration
location – smelter only scenario

Fine particulate matter (PM10 and PM2.5) background concentrations on a 24-hour basis in the La

Brea area are relatively high and are quite variable within the study area therefore the particulate
 assessment provides the concentrations for different locations (Table 9.1). The predicted

incremental fine particulate matter (PM10 and PM2.5) concentrations associated with emissions

from the proposed aluminium smelter complex even with the consideration of background are

below but below health-based criteria set out by the WHO and U.S. EPA; therefore no health

effects related to particulate matter are expected from stack emissions from the proposed

aluminium smelter complex.

Table 9.1 Predicted particulate matter concentrations associated with proposed aluminium
smelter

Maximum
Health Maximum Maximum Maximum Maximum
concentration Background
based concentration concentration concentration concentration
Particulate matter Vessigny concentration
criteria off-site high school Union village Sobo village
village (µg/m3)
(µg/m3) (µg/m3) (µg/m3) (µg/m3) (µg/m3)
(µg/m3)
50
24-hr 0.85 0.71 0.79 0.65 0.66 45
PM10 (WHO)
Annual N/A 0.32 0.24 0.28 0.19 0.04 21
25
(WHO)
24-hr 0.43 0.36 0.40 0.33 0.33 23
35 (U.S.
a
PM2.5 EPA)
15
Annual (U.S. 0.16 0.12 0.14 0.10 0.02 11
EPA)
a
Note: – particulate matter emitted from the stack was assumed to be PM10, PM2.5 values assumed to be 50% of
PM10.

In summary, it is unlikely that adverse short-term or long-term health effects will be experienced

by community residents from emissions from the proposed aluminium smelter because of

exposure to gaseous pollutants.

9.9 Cumulative scenario

The cumulative scenario evaluated the emissions of the gaseous air pollutants as well as

particulate matter from the proposed aluminium complex, the proposed power plant and UAN

facility. In addition, the cumulative effects of PAHs and VOCs associated with the three

proposed facilities at the maximum concentration location were evaluated.

The concentration ratios associated with cumulative exposure to NO2 are below a value of one

for all locations in the study area (see Figure 9.5). The proposed power plant and UAN facility

account for about 65% of the NO2 concentration. Concentration ratios for CO, SO2 and HF are

also below a value of one. Therefore, it is unlikely that adverse health effects will occur in the

La Brea community for cumulative exposure to emissions from the three proposed facilities.

Concentration Ratio

1.2
Co ncentrat ion Rat io

0.8

0.6

0.4

0.2

0
Target CO CO NO2 NO2 SO2 SO2 HF HF HF
1-hour 8-hour 1-hour Annual 10 24-hour 1-hour 24-hour Annual
minute

Haz ar d

Figure 9.5 Concentration ratios for exposure to gaseous pollutants at the maximum concentration
location – cumulative scenario
When background is considered, the cumulative 24-hour PM10 and annual concentrations are

predicted to be below the WHO health-based criteria (see Table 9.2). Comparison to the U.S.

EPA criteria indicates that the cumulative 24-hour PM2.5 concentration is also below the health-

based value of 35µg/m3 and on an annual basis is also below the health-based value (15µg/m3).

Table 9.2 Predicted particulate matter concentrations associated with cumulative scenario
Maximum concentration (µg/m3) Health
based
Particulate matter High Vessigny Union Sobo criteria
school village village village (µg/m3)
Background 44.8 13.1 20.5 8.5
Predicted 2.2 3.2 22.6 0.91
24-hour 50 (WHO)
Total Cumulative
Value 47.0 16.4 43.1 9.4
PM10
Background 21.2 6.2 9.7 4.0
Predicted 0.46 0.49 1.8 0.058
Annual N/A
Total Cumulative
Value 21.7 6.7 11.5 4.1
Background 22.4 6.6 10.3 4.2
25 (WHO)
24-hour
Predicted 1.1 1.6 11.3 0.45 35
Total Cumulative (USEPA)
23.5 8.2 21.6 4.7
PM2.5a Value
Background 10.6 3.1 4.9 2.0
Predicted 0.23 0.25 0.88 0.029 15
Annual
Total Cumulative (USEPA)
Value 10.8 3.3 5.7 2.04
Note: a particulate matter emitted from the stack was assumed to be PM10, PM2.5 values assumed to be 50%
of PM10.

The cancer risk values for long-term exposure to carcinogenic PAHs (from the smelter) and

VOCs (From the power plant and UAN facility) are all below a risk level of one-in-one-hundred

thousand (1 x 10-5) and are therefore considered insignificant as seen in Figure 9.6.

Additionally, hazard quotient values (predicted exposure dose ÷ chronic toxicity reference value)

for non-carcinogenic PAHs and VOCs as well as aluminium and fluoride are well below a
benchmark value of 0.2 as shown in Figure 9.7. It should be noted that the VOC exposure is

related to the proposed power plant and UAN facility and not the aluminium complex.

Risk Level

1.20E-05

1.00E-05
Risk Level

8.00E-06

6.00E-06

4.00E-06

2.00E-06

0.00E+00
Target PAH VOC

Hazard

Figure 9.6 Risk values for exposure to carcinogenic chemicals of concern at the maximum
concentration location – cumulative scenario

Hazard Quotient

0.25

0.2
Quotient

0.15

0.1

0.05

0
Target Al F PAH VOC

Haz ar d

Figure 9.7 Hazard quotient values for exposure to non-carcinogenic chemicals of concern at the
maximum concentration location – cumulative scenario
Therefore, it was concluded that no measurable adverse health effects would be expected to

occur near the proposed aluminium smelter complex, proposed power plant and UAN facility

due to exposures to gaseous pollutants as well as PAHs and VOCs.

9.10 Ecological assessment

An ecological risk assessment was performed for representative ecological receptors (e.g.,

vegetation and wild animals) to cover a range of possible exposure scenarios.

9.11 Problem formulation

The assessment considered five terrestrial animals (agouti, armadillo, mouse opossum,

mongoose and tayra) and three bird species (sandpiper, short-tailed hawk and osprey) as shown

in Figure 9.8 (IMA, 2003). These receptors were selected to cover a wide range of diet types

(e.g. plant eaters, insect eaters and carnivores).

Figure 9.9, provides a schematic representation of the pathways of exposure. Some of the

ecological receptors were assumed to be exposed on the Vessigny River to the south of the site.

The ecological risk assessment evaluated the cumulative exposure scenario for gaseous

pollutants as well as exposure to aluminium, fluoride and benzo (a) pyrene in emissions mainly

associated with the proposed aluminium complex and exposure to VOCs such as benzene,

toluene, ethylbenzene, xylenes, acrolein and formaldehyde associated with the proposed power

plant and UAN facility.

 Figure 9.8 Ecological receptors used in the assessment

Figure 9.9 Exposure pathways evaluated in the risk assessment

9.12 Dose-response assessment

Toxicity reference values, based on no observable adverse effects levels (NOAELs) only exist

for a few of the identified chemicals found in emissions from the three facilities; this adds to the

uncertainty in the assessment (Sample et al., 1996). However, the predicted concentrations of

these chemicals in soil (10-3 to 10-11 mg/kg) and water (1 x 10-4 to 1.6 x 10-9 mg/L) after 30 years

of deposition are small and thus they will not be measurable. Therefore, this uncertainty does

not change the overall findings of the assessment.

9.13 Risk characterization

Potential adverse effects of gaseous air pollutants (NOx, HF and SO2) on vegetation were

considered in the assessment. The maximum 24-hour and annual concentrations of SO2

(including background), NOx (including background) and HF resulted in screening index values

(defined as air concentration/phytotoxic reference concentration) below phytotoxicity levels in

vegetation (WHO, 2000) as shown in Figure 11.10. This indicated that no potential adverse

effects will occur in vegetation from exposure to gaseous pollutants (SO2, NOx and HF) in the

vicinity of the proposed aluminium smelter complex and the proposed power plant and UAN

facility.

The pathways portion of the ecological assessment showed that the predicted incremental

concentrations of aluminium, fluoride, benzo(a)pyrene, benzene, toluene, ethylbenzene, xylenes,

acrolein and formaldehyde resulted in exposure values in the ecological receptors that were
orders of magnitude below the ecological toxicity reference values where no adverse effects are

observed. In fact, if all the screening index values (defined as the exposure/ ecological toxicity

reference value) for a given ecological receptor were summed, the resulting screening index

value would be below a value of 0.1 (see Figure 9.11). If the evaluated chemicals were used as

surrogates for the chemicals that were not qualitatively assessed, then the exposures would also

be within the same order of magnitude. Therefore, the results of the ecological risk assessment

demonstrate that it is unlikely that any ecological receptors will experience adverse effects from

the operation of the proposed aluminium smelter complex and the proposed power plant and

UAN facility.

Scree ning Index - Phyt ot oxicity

1.2
Scree ning In dex

0.8

0.6

0.4

0.2

0
Target NOx NOx SO2 SO2 HF HF
24-hour Annual 24-hour Annual 24-hour Annual

Ha zar d

Figure 9.10 Screening index values for gaseous pollutants – cumulative scenario
 Screening Index

0.12
Screening Index
0.1

0.08

0.06

0.04

0.02

k
um
o

e
ti
et

y
er
a

aw
il l

os
ou

re
yr
rg

ip
ad

ss

sp
Ta
go

H
Ag

dp
Ta

po
m

O
d
on

n
Ar

ile
O

Sa
M

ta
se

rt-
ou

o
Sh
M
Animals an d Bi rds

Figure 9.11 Total screening index values for ecological receptors – cumulative scenario

9.14 Certainty of results

An evaluation of the uncertainties in various measurements and methods used in the risk

assessment indicated that the risks have been over-estimated because of the assumptions made

about exposure (which were generally cautious). The results of this uncertainty analysis support

the overall conclusion that no measurable adverse effects would occur in the human or ecological

community in the La Brea study area.

9.15 Conclusion

In summary, predicted concentrations of gaseous air pollutants, aluminium, PAHs, VOCs and

fine particulate matter from the proposed facilities (aluminium smelter complex, power plant and
UAN facility) will add to existing air quality levels. However, the risk assessment demonstrated

that these changes in air quality levels and consequently in levels in soil, water and vegetation

will not result in adverse effects in humans or ecological receptors in the La Brea area.

In accordance with best practices, ambient air monitoring should be implemented in the study

area when all the facilities are operational to ensure that gaseous air pollutants and particulate

matter do not exceed health-based limits.

 References

1. Health Canada 2004. Federal Contaminated Site Risk Assessment in Canada. Part 1:
Guidance on Human Health Preliminary Quantitative Risk Assessment (PQRA).
Environmental Health Assessment Services. Cat. No.: H46-2/04-367E.

2. Institute of Marine Affairs (IMA) 2003. Environmental Impact Assessment for the
Establishment of an Industrial Estate at Union Estate, La Brea (Phase 2), Southwestern
Trinidad. Prepared for The National Gas Company of Trinidad and Tobago Limited (NGC)
and The National Energy Corporation of Trinidad and Tobago Limited (NEC). December.

3. National Energy Corporation 2006. Map provided by manager for Union Estate.

4. Rapid Environmental Assessments Limited (REAL) 2006. Environmental Impact Assessment

for a Proposed Aluminum Smelter Complex to be Sited at Main Site North, Union Industrial
Estate, La Brea. Prepared for Alutrint Ltd. By Rapid Environmental Assessments (2003)
Limited in association with Komex Europe Limited, Foster Solutions for Sustainable
Ecosystem Development, SENES Consultants Limited and Earth Tech. January.

5. Sample, B.E., D.M. Opresko and G.W. Suter II 1996. Toxicological Benchmarks for Wildlife:
1996 Revision. June. Appendix D.

6. United States Environmental Protection Agency (U.S. EPA) 1998. Human Health Risk
Assessment Protocol for Hazardous Waste Combustion Facilities. EPA Region 6, Office of
Solid Waste, July.
7. United States Environmental Protection Agency (U.S. EPA) 1999. Exposure Factors
Handbook. Office of Research and Development. EPA/600/C-99/001. February.

8. United States Environmental Protection Agency (U.S. EPA) 2006. Integrated Risk
Information System – IRIS. Accessed at: http://www.epa.gov/iris/

9. World Health Organization (WHO) 2000. Chapter 10: Effects of sulfur dioxide on vegetation:
critical levels and Chapter 11: Effects of nitrogen containing air pollutants: critical levels.
From Air Quality Guidelines for Europe. WHO Regional Publications, European Series No.
91.

10. World Health Organization (WHO) 2005. Air Quality Guidelines Global Update.
EUR/05/5046029
 Chapter 10

Freshwater ecosystems and industrial development: A case study in the southwest peninsula of
Trinidad

Mary Alkins-Koo

10.1 Background

Trinidad and Tobago’s freshwater ecosystems are defined as being of local importance in terms

of biological distinctiveness, endangered in term of conservation status and a priority area for

conservation at the regional scale. Freshwater ecosystems of the southwest peninsula include

intermittent streams, swamp forest and coastal wetlands. The streams are highly seasonal and

general features include low flow rates, clay substrates, high organic matter inputs, naturally high

levels of iron, slight acidity, low alkalinity, high-suspended solids, dark colour, low dissolved

oxygen and high phosphate concentrations. Such conditions increase the vulnerability of these

streams to waste discharges and disturbance.

The biota of the southwest peninsula is strongly influenced by the nearby South American

mainland. There are several new species records for Trinidad and species with restricted

distributions. The biodiversity of fish is particularly high. The environmental conditions support

unique freshwater communities that contrast with streams elsewhere in Trinidad and Tobago.

Highly seasonal conditions influence population sizes and viability of fish, create high habitat

diversity, and high biological productivity. It is concluded that the aquatic fauna of the southwest
peninsula is unique and of significant biological value and the impacts of any proposed

development need to be assessed carefully.

Mitigation methods to minimize the effects of any proposed development on the freshwater

ecosystems include watershed level management, development of specific norms and ranges of

acceptable deviation for environmental conditions and careful design of biomonitoring

assessment techniques. Relocation and transplantation methods are not considered to be

appropriate for most of the freshwater fauna likely to be impacted and conservation of unique

and representative ecosystems is recommended. Further study is needed to assess the value of

ecosystem functions and the nature of the socioeconomic systems and well-being of the people

dependent on these ecosystems.

10.2 Introduction

Rivers, lakes and other inland wetland ecosystems provide a wide range of services that

contribute strongly to human well-being and poverty alleviation at a global scale (Millennium

Ecosystem Assessment, 2005). Major services include the provision of fish for food and

renewable freshwater supplies. Other services provided by freshwater ecosystems include water

purification and detoxification of wastes, climate regulation, mitigation of climate change, flood

regulation, cultural services, and recreational opportunities including tourism. Taken together, the

sum of the marketed and non-marketed economic benefits of unconverted wetlands is often

larger than that of converted wetlands (Millennium Ecosystem Assessment, 2005). Resource

competition and conflicts for freshwater and inland wetlands are growing, becoming regional

and global in scale (Revenga et al., 2000) and thankfully have resulted in national and regional
cooperation more than direct conflict (UNESCO-WWAP, 2003). Supplies of freshwater in small

islands are particularly threatened when coupled with climate variability and change (UNESCO-

WWAP, 2006).

Conservation of freshwater ecosystems and their biodiversity has been the focus of regional

assessments recently (e.g. Olson et al., 1998; Pringle and Scatena, 1999; Pringle et al., 2000)

since along with their terrestrial counterparts, aquatic ecosystems have been increasingly placed

under pressures to provide renewable resources while being exposed to the ravages of poor

planning and pollution. In a classification of freshwater systems in Latin America and the

Caribbean, Olson et al. (1998) identified 9 major freshwater habitat types, 42 Ecoregion

complexes and 117 freshwater ecoregions. Trinidad and Tobago’s freshwater ecosystems were

classified in the Venezuelan Coast / Trinidad ecoregion and were defined as being of local

importance in terms of biological distinctiveness, but endangered in term of conservation status.

Olson et al. (1998) concluded that they are a priority area for conservation at the regional scale.

Trinidad and Tobago are adequately endowed with freshwater resources but significant threats to

the quality and quantity of those resources are apparent (WRA, 2001). Surface waters provide

about three-quarters of the total volume of water supplied for domestic, industrial / commercial

and irrigation purposes in Trinidad and Tobago (EMA, 1998). In addition to water resource

supply, local freshwater ecosystems serve a variety of functions and values ranging from

hydrological (floodplain water storage and flood protection), ecological (biodiversity support and

conservation), economic (recreation in the form of the ever popular ‘river lime’) and social /

cultural / technological values (e.g. religious rituals such as the annual Hindu festival Ganga

Dharaa). One often-unrecognized value includes the extensive international research on

freshwater fish particularly in rivers of the Northern Range (Alkins-Koo et al., 2004; Northern

Range Assessment, 2005).

Surface water ecosystems in Trinidad and Tobago include riverine environments, which range

from small upper course torrents to deep slow-moving lowland streams and rivers. They may be

temporary, intermittent or permanent; clear water with gravel substrates or turbid clay-bottomed

ditches. Recent research indicates that there are 3 discernable ecoregions in Trinidad and

Tobago’s rivers based on substrate and discharge characteristics: (1) Tobago; (2) north and north-

east Trinidad; and (3) central and south Trinidad (Maharaj and Alkins-Koo, in prep.). This is

consistent with background features of topography and geology. Only recently have detailed

studies been conducted on the biodiversity of local freshwater invertebrate faunas; much remains

to be discovered about the aquatic flora (Alkins-Koo et al., 2004). However, freshwater faunas

are generally diverse and reflect our favourable geographical position as continental islands close

to sources of biodiversity on the South American mainland.

10.3 Freshwater ecosystems of the southwest peninsula

The freshwater ecosystems are considered in terms of their habitats, conditions and biodiversity.

They are unique aquatic habitats in comparison with those found in north and central Trinidad

and are representative of lowland conditions in Trinidad.

Streams on the southwest peninsula range from tiny intermittent ditches to relatively large deep

channels in swamp forest habitat bordered with huge swamp bloodwood trees and the thorny

palm Bactris. The lower reaches of individual streams may be brackish estuaries emerging
directly onto sand beaches or may flow into coastal wetlands such as Los Blanquizales Lagoon.

Brackish marshes and swamps are found at Fullerton and the seaward edge of Los Blanquizales

Lagoon and may be dominated by sedges, the golden-backed fern, Acrostichum, or mangrove.

Accelerated habitat degradation by fire and land conversion to settlement and agriculture has

taken place in the catchments of the southwest peninsula over the last 20 years. Prior to this the

peninsula was generally covered with coconut and cocoa plantations, small homestead plots,

some dairy pasture and fairly extensive natural seasonal evergreen forest. Two streams at

Chatham, the Carlisle and Quarahoon Rivers flow southwards to the Columbus Channel through

a mixture of such habitats. Other similar streams in south Trinidad such as Erin and Moruga

Rivers are disturbed quite extensively by other activities including oil pollution. The streams of

Chatham south can still be considered among the least disturbed freshwater habitats of this type

in southern Trinidad.

10.4 Hydrological and physicochemical features

The intermittent or temporary streams in this area are fed largely by seasonal rainfall and flow

only in the rainy season whereas in the dry season they either form isolated pools or dry up

completely. General features of such streams have consequences for alteration of land cover and

replacement with industrial activities. Detailed data are derived from studies on the Carlisle and

Quarahoon rivers (Alkins, 1987).

The flat or undulating low topography resulted in low discharge rates between 0 and 0.53 m 3s-1

and therefore a low potential for dilution of wastes. As a result of low current velocities, stream
substrates were fine-grained and comprised of 23 to 47 per cent clay and 41 to 73 per cent fine

and coarse sand. Carbon content of sediments ranged from 0.4 to 2.6 per cent due to high levels

of organic matter inputs from surrounding terrestrial ecosystems.

Turbidity was generally high (up to 548 Formazin units) due to high levels of fine particulate

inorganic and organic matter. Such particulate matter increases the potential for adsorption of

contaminants. Biological Oxygen Demand (BOD) measures were moderately high (BOD 7 up to

8.3 mg l-1). Naturally high levels of iron in surface and ground waters up to 11 mg l-1 were

recorded in this area. Depending upon conditions, iron occurs as flocculent ferric deposits or as

dissolved toxic ferrous ions. Similar levels have been recorded in rivers draining into the Nariva

Swamp (Bacon et al., 1979) and are typical of tropical waters influenced by weathered ferric

soils (Payne, 1986).

In comparison with streams in other parts of Trinidad and Tobago, the Carlisle and Quarahoon

rivers had waters of slight acidity (5.39 - 7.57 pH units), low total alkalinity or buffering capacity

(17 - 154 mg l-l CaCO3), high total solids (up to 940 mg l-1), dark humic colour (up to 1500

Hazen units), low dissolved oxygen (DO, averaging between 45 and 75% saturation), and high

phosphate concentrations (up to 0.5 mg l-1) (Alkins, 1987).

Another site that has been extensively sampled for organisms in the southwest peninsula (B1/71

on the Southern Main Road) is a channel within swamp forest (Kenny, 1995). It has been

explored relatively recently and conditions are similar in many respects to those in the Carlisle

and Quarahoon rivers: low DO, pH, and alkalinity; moderately high BOD, and high total

phosphates (Maharaj and Alkins-Koo, in prep.)

Some conditions such as dissolved oxygen are already at the physiological extreme for

organisms which are adapted to survive in these circumstances (Alkins-Koo, 1990; 2000).

Therefore even slight alteration due to human influences may result in alteration of stream

communities and ecosystem function.

Other considerations with respect to industrial or other development include assessment of the

volume of runoff or potential liquid waste discharges relative to baseline flow and seasonal

variation of such flow; the impact of additional sediment loading and dissolved constituents to

water with high total solids; the impact of sewage or greywater input into waters with naturally

high BOD and low DO; the impact of addition of any acidifying substances via atmospheric

deposition (e.g. SO2) or liquid effluents into waters of naturally low pH and low buffering

capacity. Acidification may also cause mobilisation of nutrients and heavy metals so it’s impact

on already high phosphate and dissolved iron concentrations, the seasonal dynamics of these

components, and potential toxicity due to increased concentrations of ferrous iron need to be

considered in any assessment of the potential effects of atmospheric and liquid waste discharges.

10.5 Bio - geographical context of the southwest peninsula

The southwest peninsula is separated by a distance of only 12 km from the South American

mainland by the shallow Columbus Channel. South America is a major centre of global

biological diversity and Trinidad shares a large number of species in common with the mainland

by being a nearby continental island (Kenny, 2000).

The Columbus Channel experiences low salinity conditions in the rainy season when large

mainland rivers such as the Orinoco River flood. They also wash floating ‘islands’ of debris and

associated plants and animals onto the south and east coasts of Trinidad (Alkins and De Souza,

1984).

Records of species new to Trinidad have been made in the past for even such large animals as

capybara and tapir (Kenny, 1995). A large freshwater mata mata turtle, Chelys fimbriata, was

found on the Chatham (south) beach by villagers. It bore barnacles on its shell indicating a

lengthy stay in brackish water and it is very likely to have originated from a large river on the

mainland as there are few if any breeding populations of this species locally (Alkins and De

Souza, 1984).

10.6 Unique freshwater habitats and biodiversity

Highly seasonal intermittent and temporary aquatic habitats such as those of the Chatham

drainages are biologically important for a number of reasons including being important to global

biodiversity (Williams, 2006). In his recent review of the biology of temporary waters, D.D.

Williams specifically and extensively highlights the intermittent streams studied at Chatham in

terms of composition and diversity of fish and invertebrate fauna (Williams, 2006) based on

Alkins-Koo (1990). To attribute such importance to the biodiversity of the Chatham area in a

book that reviews the global status of this habitat type is significant.

The aquatic habitat at bridge B1/71 on the Southern Main Road, a slow-flowing stream in swamp

forest habitat, has been sampled for decades by many previous researchers and has long been
held as a unique site for collection of restricted or specialised aquatic species such as the guabine

Erythrinus erythrinus and the Suriname Toad, Pipa pipa (Kenny, 1995). Biodiversity of fish is

particularly high with 19 species being recorded from the Carlisle and Quarahoon Rivers

(Alkins-Koo, 1990) out of a total of about 40 true freshwater species reported for Trinidad and

Tobago. A detailed inventory of one group of aquatic insects, the water bugs (Nieser and Alkins-

Koo, 1991) has unearthed several new records from the peninsula (Table 10.1) and it is expected

that surveys of any other group e.g. Ephemeroptera (mayflies), will show a similar trend.

Some freshwater fish species are restricted in distribution due to localised colonisation and

development of populations in the south and southwest of Trinidad, e.g. the silver tetra fish

Moenkhausia bondi, the guabine Erythrinus erythrinus, the silver hatchet fish Gasteropelecus

sternicla and Gephyrocharax valencia (Alkins-Koo, 1990; Kenny, 1995; Phillip, 1998). Four

species of frogs are also recorded only from the southwest peninsula, namely Leptodactylus

nesiotus, Leptodactylus macrosternum, Hyla minuscula and Adenomera hylaedactyla (Murphy,

1997). One species of mayfly (Ephemeroptera) and at least six water bugs (aquatic Hemiptera)

are also of restricted status or new records for Trinidad. A detailed listing of restricted species

and new records for the peninsula is provided in Table 10.1. In addition, the southwest peninsula

was highlighted in Michalski (1988) as ‘an extraordinary place to collect’ Odonata (dragonflies

and damselflies) because several species that are unusual or difficult to find elsewhere in

Trinidad are found commonly in this location.

Recent research on the rivers of T&T has identified central and southern streams as being distinct

from those in north Trinidad or Tobago (Maharaj and Alkins-Koo, in prep.). In particular, the

environmental conditions that exist in the streams of the southwest peninsula such as sluggish

flow, clay sediments, fringing vegetation and high detritus inputs, support unique communities
dominated by water bugs, beetles, midges, snails and worms (Alkins-Koo, 1990). In contrast

streams elsewhere e.g. Northern and Central Ranges, are fast-flowing and have boulder or cobble

substrates that support a very different community dominated by mayflies and caddisflies, among

others (e.g. Hynes, 1971). The reason for such differences relates primarily to contrasts in

substrate types, current velocity and dissolved oxygen levels. Many of the aquatic species found

in the

Table 10.1 List of freshwater biota recorded from southwest peninsula, which have restricted
distribution ranges and/or are new records for Trinidad.
Species Status Reference
Amphibia
Leptodactylus nesiotus Recorded only for Icacos Swamp (type Murphy 1997
locality)
Leptodactylus. Recorded only for Icacos Swamp, Southern Murphy 1997
macrosternum Main Road
Hyla minuscula Recorded only for Bonasse Murphy 1997
Adenomera hylaedactyla Recorded only for Bonasse, Siparia, Cedros Murphy 1997
Teleostei
Brycon siebenthalae New record, Carlisle River, Chatham Alkins and De Souza 1984; Alkins
1987; Alkins-Koo 1990
Triportheus elongatus New record, Los Blanquizales Lagoon and Alkins and De Souza 1984; Sturm
Quarahoon River, Chatham and De Souza 1984; Alkins 1987;
Alkins-Koo 1990
Gasteropelecus sternicla Recorded only for Carlisle River, Chatham Alkins 1987; Alkins-Koo 1990;
and 2 rivers west of Nariva Swamp where it Phillip 1998
may have been introduced
Moenkhausia bondi Recorded only from Carlisle River, Chatham Alkins 1987; Alkins-Koo 1990;
and Erin River Kenny 1995
Erythrinus erythrinus Recorded only for B1/71 on Southern Main Alkins-Koo 1990; Kenny 1995;
Road and Quarahoon River, Chatham Phillip 1998

Insecta: Ephemeroptera
Miroculis (M.) ?fittkaui New record; Carlisle River, Chatham Alkins 1987; Alkins-Koo 1990
Insecta: Hemiptera
Curicta carinata Recorded only for Carlisle River, Chatham Nieser and Alkins-Koo 1991
and Moruga; possibly Nariva Swamp
Buenoa amnigenus New record, Carlisle River, Chatham Nieser and Alkins-Koo 1991
Buenoa rostra New record, Carlisle River, Chatham Nieser and Alkins-Koo 1991
Hydrometra comata Rare, Carlisle River, Chatham Nieser and Alkins-Koo 1991
Hydrometra guianana New record, Carlisle River, Chatham Nieser and Alkins-Koo 1991
southwest peninsula are air-breathing e.g. beetles, bugs and even fish as compared with the gill-

breathing species of the Northern Range. These communities bear strong resemblances to

lowland floodplain habitats on the South American mainland (Alkins-Koo, 1990).

The seasonally variable hydrological and physicochemical conditions in these streams are critical

for maintenance of populations of these organisms. It has been shown (e.g. Alkins-Koo, 2000)

that seasonal changes in flow and physicochemical conditions influence reproductive cycles and

juvenile success and therefore population sizes and viability of fish in these streams. Marked

seasonality of conditions also creates high habitat diversity, i.e. flowing waters in the rainy

season and isolated pools in the dry. Each time of the year favours different biological

communities, e.g. dry season pools are rich in dense plankton not found at other times (Alkins,

1987; Alkins-Koo, 1990). These streams also have high biological productivity primarily due to

large inputs of detritus and nutrients from terrestrial sources and alternating dry/wet cycles that

enhance mineralization of nutrients.

It can be concluded that the aquatic fauna of the southwest peninsula is unique and of significant

biological value. In a highly variable and extreme habitat such as this, the impacts of any

proposed development need to be assessed carefully if viable biological communities are to be

maintained. This is particularly important given the diversity and significance of the fish and

invertebrate fauna.
10.7 Mitigation measures and assessment of impacts on freshwater ecosystems

One solution that is often proposed for the protection of biota from the habitat destruction

associated with land cover change is removal and transplantation of organisms elsewhere. This is

of dubious value as resource needs may not be met easily in other similar environments. It

assumes that the novel environments into which the organisms are introduced are not already

saturated with existing populations. Many larger organisms also need extensive support to be

introduced into alternative environments because of their complex behaviours for finding food or

suitable shelter, or integrating with resident populations, e.g. primates. Relocation cannot be

applied to the aquatic organisms described here such as fish and invertebrates for reasons given

above as well as the difficulty of transplanting much smaller rarer species with complex life

cycles, e.g. insects. In addition similar habitats to which they might be transplanted may not be

available elsewhere or may also be under threat from human impacts e.g. Erin river which is

severely affected by oil pollution (Phillip, 1998). Therefore the net result of extensive habitat

destruction or degradation that may affect the freshwater ecosystems of the southwest peninsula

will be extirpation of unique species and loss of unique environments for Trinidad and Tobago.

It is therefore necessary in this context to protect habitats, biological communities and self-

sustaining ecosystems that are representative of this geographic area in order to avoid extirpation

of restricted species and loss of unique environments. Suitable areas should be defined based on

the locations of a range of representative and unique environments plus sufficient buffer zones to

prevent external influences. Comments below on using a watershed approach should be applied

here for defining suitable buffer zones since maintenance of natural hydrological features of the

habitats require using natural hydrological units for management. In addition large conservation
units are more effectively protected and are less subject to disturbance and edge effects (Noss

and Cooperrider, 1994).

Aquatic ecosystems and their biota are also intimately interrelated with the surrounding

terrestrial environments (Hynes, 1975). Sensitive invertebrates respond negatively to increased

catchment’s imperviousness (Walsh et al., 2007) and food webs are affected by catchment’s

deforestation (England and Rosemond, 2004). In general, disturbance to the watershed will affect

stream ecosystems in some way. In order to conserve or manage aquatic ecosystems, it is now

the standard approach to manage activities at the watershed level and consider process within the

atmospheric, land cover, soil, land surface, and substratum components (FAO, 1995).

Therefore holistic watershed level planning is necessary and must consider existing and proposed

land use, including riparian cover; physical modifications of channels; direct and indirect

alteration of flow regime; non-point sources of wastes (surface and groundwater); point sources

of waste discharges; and even atmospheric deposition of substances.

Assessment of the impacts of waste discharges and non-point source pollution is normally

accomplished using key physicochemical parameters and a ‘normal’ range of values based on

expert judgement and that expected from ‘pristine’ habitats. As discussed previously,

environmental conditions in these aquatic habitats is very different from that obtaining in other

parts of Trinidad such as Northern Range rivers, and specific norms and ranges of acceptable

deviation would have to be developed (Maharaj and Alkins-Koo, in prep.).

Methods of bioassessment or biological monitoring which evaluate degree of habitat degradation

commonly use certain summary criteria based on the composition of the biological communities.
In stream ecosystems, pollution tolerance metrics using benthic macroinvertebrates may be

applied routinely, e.g. Biological Monitoring Working Party (BMWP) or Average Score Per

Taxon (ASPT) scores from the UK (Maharaj and Alkins-Koo, in prep.). A comparison of sites

from the Carlisle river (southwest peninsula) and Guanapo river (Northern Range) which both

have minimal levels of human impact give ASPT metric scores of 11.1 and 10.1 respectively.

The ASPT score ranges from one (most polluted) to 10 (least polluted). The lower score of the

Carlisle river is attributable to the predominance of air-breathing insects (water bugs and beetles)

and those tolerant of low DO conditions (midges and worms) as they are associated with

organically enriched waters whether natural or anthropogenic in origin. The natural differences

in biological communities from the southwest peninsula as compared with those elsewhere in

Trinidad and Tobago require that the methods for impact assessment will have to be carefully

designed. In addition, Maharaj and Alkins-Koo (in prep.) note that only one tolerance metric, the

ASPT score, can reliably assess stream degradation using macroinvertebrate communities in the

south and central ecoregion of Trinidad.

10.8 The roles of freshwater ecosystems

Streams and rivers perform a range of vital functions for humans and for the biosphere’s

functioning. These include provision of food, freshwater, fuel, hydropower and fibre,

biochemical and genetic materials for human survival. Regulating and supporting functions

include climate regulation (source of and sink for greenhouse gases; influence local and regional

temperature, precipitation, and other climatic processes); water regulation (hydrological flows,

groundwater recharge / discharge); water purification and waste treatment retention, recovery,

and removal of excess nutrients and other pollutants; erosion regulation (retention of soils and
sediments); natural hazard regulation (flood control, storm protection); habitat for pollinators and

biodiversity support; soil formation (sediment retention and accumulation of organic matter); and

nutrient cycling (storage, recycling, processing, and acquisition of nutrients).

Direct services to humans include satisfying cultural aspects of our lives such as spiritual and

inspirational needs (source of inspiration; many religions attach spiritual and religious values to

aspects of wetland ecosystems); recreational opportunities for a variety of activities including

tourism; fulfilling aesthetic needs (many people find beauty or aesthetic value in aspects of

wetland ecosystems); educational opportunities for formal and informal education, training and

research (Alkins-Koo et al., 2004; Millennium Ecosystem Assessment, 2005).

In particular services such as water purification, maintenance of biodiversity and watershed

protection never enter the market and have no price tag in order to fully assess trade-offs with

alternative uses (Revenga et al., 2000). The full value of the freshwater ecosystems in the

southwest peninsula remains largely uninvestigated.

The socioeconomic systems and well-being of the people who are dependent on the water

resources, aquatic biodiversity and other services provided by rivers in the southwest peninsula

need to be explored fully. Based on such information, there must be careful deliberation to

identify the costs of loss of these ecosystem functions in comparison with any potential gain

from degradation or destruction of these habitats and replacement with industrial or other

development.
In the absence of such detailed information and bases for establishing a coherent plan for

managing the freshwater systems in the southwest peninsula, there is sufficient statement of

general principles for approaching this task in the Draft revised National Environmental Policy

(EMA, 2005), the Draft National Water Resources Management Policy (GORTT, 2002) and the

National Biodiversity Strategy and Action Plan (EMA, undated) that reflect the justification and

proposed action to ensure sustainable management of these environments.

 References

1. Alkins, M.E.H. 1987. ‘Seasonality and fish reproduction in an intermittent stream’. PhD
thesis, U.W.I., St Augustine.

2. ――― and G. De Souza. 1984. ‘Two new freshwater fish records for Trinidad and some
comments on the zoogeography of the southern peninsula’. Living World 1983/84: 8-12.

3. Alkins-Koo, M. 1990. ‘The aquatic fauna of two intermittent streams in the southwestern
peninsula, Trinidad’. Living World 1989/90: 36-42.

4. ――― 2000. ‘Reproductive timing of fishes in a tropical intermittent stream’.

Environmental Biology of Fishes 57: 49-66.

5. ―――, F. Lucas, L. Maharaj, S. Maharaj, D. Phillip, W. Rostant and S. Surujdeo-Maharaj.

2004. ‘Water Resources and Aquatic Biodiversity Conservation: A role for ecological
assessment of rivers in Trinidad and Tobago’. Caribbean Environmental Forum-2, Port of
Spain, 2004 May 31-June 04.

6. Bacon, P.R., E. Jaikaransingh and G. Seeberan. 1979. ‘Notes on some freshwater molluscs
from Nariva Swamp, Trinidad’. Living World 1978/79: 14-15.

7. Bacon, P.R., J.S. Kenny, M.E. Alkins, S.N. Mootoosingh, E.K. Ramcharan, and G.S.B.
Seeberan. 1979. ‘Studies on the Biological Resources of Nariva Swamp, Trinidad’.
Occasional Paper 4, Zoology Department, U.W.I., St Augustine.

8. EMA. Undated. National Biodiversity Strategy and Action Plan for Trinidad and Tobago.
Environmental Management Authority, Port of Spain.

9. EMA.1998. State of the Environment Report 19910. Environmental Management Authority,

Port of Spain.
10. EMA. 2005. Revised National Environmental Policy. Environmental Management Authority,
Port of Spain.

11. England, L.E. and A.D. Rosemond. 2004. ‘Small reductions in forest cover weaken
terrestrial-aquatic linkages in headwater streams’. Freshwater Biology 49: 721-734.

12. FAO. 1995. Land and water integration and river basin management. Proceedings of an
FAO informal workshop, Rome, Italy, 31 January - 2 February 1993. Available at
http://www.fao.org/docrep/V5400E/v5400e00.HTM.

13. GORTT. 2002. Draft National Water Resources Management Policy. Ministry of Public
Utilities and the Environment, Water Resources Unit.

14. Hynes, H.B.N. 1971. ‘Zonation of the invertebrate fauna in a West Indian stream’.
Hydrobiologia 38(1): 1-10.

15. ――― 1975. ‘The stream and its valley’. Verh. Int. Verein. Limnol. 19: 1-15.

16. Kenny, J.S. 1995. Views from the Bridge. A memoir on the freshwater fishes of Trinidad. J.S.
Kenny, Maracas, St Joseph, Trinidad.

17. ――― 2000.Views from the Ridge. Prospect Press.

18. Maharaj, L.D. In prep. ‘Bioassessment approaches using benthic macroinvertebrates in the
streams of Trinidad and Tobago’. Ph.D. thesis, University of the West Indies, St Augustine.

19. ――― and M. Alkins-Koo. In prep. Use of benthic macroinvertebrates to assess

anthropogenic impacts in the rivers of Trinidad and Tobago. EMA Technical Report.

20. Michalski, J. 1988. A Catalogue and Guide to the Dragonflies of Trinidad (Order Odonata).
Occasional Paper 6, Zoology Department, U.W.I., St Augustine.
21. Millennium Ecosystem Assessment. 2005. Ecosystems and Human Well-Being: Wetlands and
Water Synthesis. World Resources Institute, Washington DC.

22. Murphy, J.C. 1997. Amphibians and Reptiles of Trinidad and Tobago. Krieger Publ.,
Malabar, FL.

23. Nieser, N. and M. Alkins-Koo. 1991. The Water Bugs of Trinidad and Tobago. Occasional
Paper 9, Zoology Department, U.W.I., St Augustine.

24. Northern Range Assessment. 2005. Report of an assessment of the Northern Range, Trinidad
and Tobago: People and the Northern Range. State of the Environment Report 2004,
Environmental Management Authority of Trinidad and Tobago.

25. Noss, R.F. and A.Y. Cooperrider. 1994. Saving Nature‘s Legacy: Protecting and restoring
biodiversity. Island Press, Washington DC.

26. Olson, D., Dinerstein, E., Canevari, P., Davidson, I., Castro, G., Morisset, V., Abell, R., and
Toledo, E.; eds. 1998. Freshwater biodiversity of Latin America and the Caribbean: A
conservation assessment. Biodiversity Support Program, Washington DC.
http://www.worldwildlife.org/bsp/publications/search.cfm?pubno=49

27. Payne, A.I. 1986. The Ecology of Tropical Lakes and Rivers. John Wiley and Sons,
Chichester.

28. Phillip, D.A.T. 1998. ‘Biodiversity of freshwater fishes of Trinidad and Tobago, West Indies’.
PhD thesis, University of St Andrews.

29. Pringle, C.M. and Scatena, F.N. 1999. ‘Aquatic ecosystem deterioration in Latin America and
the Caribbean’. pp. 104-113, in L.U. Hatch and M.E. Swisher, eds. Managed ecosystems: the
Mesoamerican experience. Oxford University Press, NY.
30. ―――, Scatena, F.N., Paaby-Hansen, P. and Nunez-Ferrera, M. 2000. ‘River conservation in
Latin America and the Caribbean’. pp. 41-77, in P.J. Boon, B.R. Davies and G.E. Petts, eds.
Global perspectives on River conservation: Science, policy and practice. J. Wiley and Sons,
London.

31. Revenga, C., J. Brunner, N. Henninger, K. Kassem, and R. Payne. 2000. Pilot Analysis of
Global Ecosystems: Freshwater Systems. World Resources Institute, Washington DC.

32. Sturm, M.G.deL. and G. De Souza. 1984. ‘Triportheus elongatus: a new record of a characid
fish from Trinidad’. Copeia 1984(1): 262-263.

33. UNESCO-WWAP. 2003. Water for People, Water for Life. Executive summary of World
Water Development Report. UNESCO / Berghahn Books.

34. ――― 2006. Water: A Shared Responsibility. The UN World Water Development Report 2.
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35. Walsh, C.J., K.A. Waller, J. Gehling, and R. MacNally. 2007. ‘Riverine invertebrate
assemblages are degraded more by catchment urbanisation than by riparian deforestation’.
Freshwater Biology 52: 574-587.

36. Williams, D.D. 2006. The Biology of Temporary Waters. Oxford University Press.

37. WRA. 2001. Water Resources Assessment Report 1988/98. Water Resources Agency,
Trinidad.
 Chapter 11

Health Hazards to Animals Associated with Aluminium Smelting

John E. Cooper

11.1 Background

The possible effects of aluminium production (“smelting”) on vertebrate and invertebrate

animals appears not to have been studied in depth. Such research is important as animal health is

an important component of ecosystem health, disturbances to which can have adverse effects on

humans, other animals, plants and habitat.

During the course of aluminium production animals may be affected a) directly by the element

(aluminium) itself or aluminium compounds b) directly by other chemicals (e.g. hydrogen

fluoride) and products (including waste) or c) indirectly by such activities as construction of

buildings, installation of drainage/sewerage and the clearing of vegetation.

It appears that aluminium smelting, even using modern techniques, has the potential to damage

both domesticated and wild animals. There would be merit in using invertebrates, fish,

amphibians, reptiles, birds and mammals as environmental sentinels. This would necessitate

regularly capturing and monitoring such species. Properly formulated protocols are essential and

an interdisciplinary approach to the monitoring studies is advisable.

11.2 Introduction

The nomenclature, “aluminum” was the name proposed for the element by Sir Humphrey Davy

in 1808, (Lide, 2003). “Aluminium” remained the international spelling for nearly 100 years

until, it is alleged, the typographical error in an American advertisement introduced the word

“aluminum” – now used routinely in the USA and some others.

Alum was used as an astringent and as a mordant in dyeing by both the Greeks and the Romans

and continued to be employed in medical and veterinary work for many centuries (Blood and

Studdert, 1988). It therefore has been closely associated with humans and livestock for well over

two thousand years.

Although modern aluminium production is essentially an electrolytic process, I shall refer to it as

“smelting” in this chapter. I shall discuss the possible relevance of aluminium smelting to the

health of animals. I shall interpret “animals” in its broad, correct, sense of both vertebrate and

invertebrate species. I shall refer to wild animals as well as to domesticated, as both might be

influenced by aluminium smelting and because many diverse species could possibly serve as

useful sentinels in environmental impact studies. I am also using the term “health” rather than

“disease”: the former, which is a positive concept, can increasingly be quantified and the

assessment of health is the aim of most modern medical and veterinary programmes rather than

the mere eradication of disease (Cooper, 2007).

A key part of my argument is to urge that the possible effects of aluminium smelting on animals

should not be studied in isolation but must form part of a broader programme of monitoring

“ecosystem health” (Rapport et. al., 1998). This concept implies an integrated approach, as

below:

Animal Health
↑↓

Human ← ECOSYSTEM → Plant

Health → HEALTH ← Health

↓↑
Environmental
Health

It will be clear from this diagram that clinical or subclinical disease in animals can - a) influence

the overall health of an ecosystem; b) be affected by other changes within it. The complexity

and subtleties of the interactions between the different components of ecosystem health means

that meticulous “forensic” methods may need to be employed in investigations (Cooper and

Cooper, 2007).

11.3 Possible effects of aluminium smelting on animals

Any effects of an aluminium production plant on animals can be divided into three categories:-

a) the direct effects of the element (aluminium) itself or aluminium compounds

b) the direct effects of other chemicals and by-products, including waste

 c) the indirect effects of activities associated with the development of the production plant,

such as construction of buildings, installation of drainage and sewerage and the clearing

of vegetation.

Each of the above will be discussed briefly.

a) Direct effects of aluminium and its compounds

Studies on laboratory animals, especially rodents, over many years, have confirmed that

aluminium itself, and some aluminium-based compounds, can be directly toxic to mammals,

affecting mainly the nervous system, lungs, liver and reproductive system. (Clayton et. al. 1992;

Gonzales et. al. 2004; Mićić et. al. 2003). Such changes are usually, but not necessarily,

associated with very high intake and/or prolonged administration. Toxicological studies are still

needed, especially testing lower levels of exposure, in a wider range of species.

In everyday veterinary work, aluminium is not considered – nor, indeed, listed – as an important

cause of poisoning in domesticated animals. This is in marked contradistinction to certain other

elements, such as lead, arsenic and molybdenum. In most veterinary toxicology textbooks

aluminium does not even feature in the index. In contrast, it has appeared in texts on

therapeutics because veterinarians have for long used aluminium-based compounds for the

treatment of animals. Thus, for example, the use of alum to treat diseases of animals and as an

antidote to lead-poisoning featured in editions of one standard veterinary textbook (Greig and

Boddie, 1948) for many decades.

As far as I can ascertain, acute or chronic poisoning due to aluminium or one of its compounds

has never been diagnosed in an animal during over ten years of routine clinical and post-mortem

work at the UWI School of Veterinary Medicine.

The veterinarians are aware that aluminium can be toxic to animals. They also recognize that

increased intake (ingestion) of aluminium by certain domestic species can have more subtle

effects – for example, on calcium metabolism. Our understanding of the latter in horses stems

from the work on ponies in the USA in the 1980s (Schryver et. al. 1986).

Uncomplicated aluminium poisoning in domesticated animals appears to be rare. There are

anecdotal reports linking the metal with deaths but these do not provide conclusive evidence, nor

is it usually clear whether aluminium alone or other factors might have been involved. For

example, in the 1990s in County Limerick, Ireland, unexplained deaths in cattle were attributed

by some to the close proximity of three smelters (Cleary, 1995; Fahy, 2001). Not only were

mortality and morbidity of cattle reported but farmers’ families were said to have “recurring skin

problems”. The Irish Environmental Protection Agency could not implicate aluminium as such

but a rise in sulphur dioxide and in sulphur was reported in plants, soil and water. Fluoride was

at the top of its range but this is a natural feature of some soils in County Limerick.

There are also assertions that aluminium may have adverse effects on wildlife. The evidence is

again often anecdotal or circumstantial and does not differentiate the effects of aluminium itself

from those of other by-products of smelting. For example, it has been alleged that Beluga
whales (Delphinapterus leucas) can be immunocompromised as a result of exposure to

aluminium smelters (De Guise et. al. 1998; Wagermann et. al. 1990). In Europe, pathological

changes have been studied in deer living near aluminium plants (Kierdorf and Kierdorf, 2000

Vikoren et. al. 1996); but the skeleton lesions detected appeared to be due to the products of the

process, especially fluorides, rather than exposure to the element or its compounds.

It is important to remember that even though aluminium may not kill an animal, it could have

chronic effects on organ function – as reported in birds, for instance (Scheuhammer, 1987) - or

interact with other factors to cause an altered immune response, as mentioned briefly above.

These changes in turn could lead to increased susceptibility to infectious or non-infectious

disease. The concept that disorders associated with aluminium production may be multifactorial

is important.

b) Direct effects of other chemicals and by-products

Aluminium production based on the electrolytic reduction of alumina (A1203) results in the

production of gases (CO2, HF, SO2 and CO) and particulate emissions (fluoride, carbon, alumina).

Some of these can affect animals.

The best-known example relates to gaseous or particulate fluorides. These were significant by-

products of smelting in the past when less refined methods were used. Fluorosis, usually

characterized in mammals by lameness, fractures and dental disease, is well recognised in

veterinary medicine (Jones et. al. 1997). It can in turn affect milk and meat production.
However, it must always be remembered that fluorosis occurs in animals (including humans) not

just because of exposure to industrial effluent but because some soils and rocks contain high

“natural” fluoride.

Despite some work (Sparling and Lowe, 1996), there remains a paucity of published information

on the affects of fluorides and other gaseous or particulate emissions on most non-mammalian

species (birds, reptiles, amphibians, fish and invertebrates). This is a regrettable deficiency as

some of these animals may prove to be especially sensitive to small doses or exhibit effects that

would make them valuable sentinels and research models. The lethal effect on some

invertebrates and fish based products and fluorides are often well documented but more subtle

effects on physiology and health are less well understood. Studies are also needed on the extent

to which fluorides and other by-products of aluminium production might become concentrated in

different taxa as they pass through the food chain. Chronic fluorosis is well recognized in guinea

pigs (Cavia porcellus) where it causes a disease known as “slobbers” (Atkinson and Hard, 1966).

Other hystricomorph rodents, (some of which are native to Trinidad) might prove to be equally

or more sensitive to fluorides and other by-products, thus enhancing their value as environmental

indicators.

c) Indirect effects

These can be divided into a) toxic, and b) non-toxic. The former is exemplified by the well-

recognised adverse effects of aluminium and some aluminium-based products on plant growth

(Wheeler et. al. 1992), including DNA damage (Meriga et. al. 2004) – which may in turn cause

morbidity (ill-health) or mortality (death) in animals.

Less well defined are “non-toxic” factors. The construction of a smelter involves habitat

damage. This may lead to an increase in marginal grazing by livestock, which in turn can result

in their exposure to toxic plants or arthropods (e.g. ticks) that may then cause or transmit disease.

Habitat changes can have particularly profound effects on wildlife: for instance, the draining of

wetlands to make way for industrial development may extirpate species of fish, amphibians or

aquatic invertebrates.

11.4 Conclusions and discussion

It is clear that aluminium smelting, even using modern techniques, has the potential to cause

adverse effects in domestic and wild animals (Shore et. al. 1985: Shupe et. al. 1984). The

proposed siting of aluminium smelters in Trinidad and Tobago has evoked much argument and

disagreement. Many of the concerns have been aired in the popular media (Spence, 2006); until

the hosting, by the University of West Indies (UWI), of the 2007 Symposium, scientific analysis

and debate have been very limited.

The message of this presentation is, therefore, as follows. In any discussion, in any studies,

concerning the pros and cons of aluminium production, animals – both domesticated and wild -

must form part of the equation. We should be considering using animals in order to obtain

scientific information. By this I do not necessarily mean dosing them (this is still important but

many of the relevant toxicological data are already established and substantiated) but studying

them. Animals have for long been well-recognized environmental sentinels for specific toxic
substances (the canary in the coalmine is the best historical example). Anyone who doubts this

assertion and the role that different species can play should read the (appropriately named)

Canary Database, available on the internet, – “Animals as Sentinels of Human Environmental

Health Hazards”.

Surveillance of animals can provide valuable scientific formation that is relevant to other species

and to their habitats. Domesticated animals are generally good sentinels for Homo sapiens

because they live in close proximity with humans and share their lifestyle. They also yield

products that can be easily harvested and analysed – milk, eggs, feathers, meat and hides, for

example. Wild free-living, animals, on the other hand, are often more reliable sentinels for

monitoring ecosystems because these animals are not confined in terms of space (they roam

freely) and they usually feed on natural vegetation, invertebrates and other animals. Some wild

animals are likely to prove to better sentinels than others – as illustrated by the work of Vikoren

et. al. (1996). He proposed that roe deer are a better biomonitor of fluoride exposure than are

other cervids because of their more sedentary behaviour.

The veterinary profession has a role to play in studies on the possible effects of aluminium

production plants. Working in collaboration with ecologists and other colleagues, veterinarians

can not only examine and provide important information on live and dead animals and their

tissues but also help to formulate and implement meaningful, long-term, studies. Such an

interdisciplinary approach is essential if reliable scientific data on this important and often

contentious matter are to be obtained.

 References

1. Atkinson, F.F. and Hard, G.C. 1996. “Chronic fluorosis in the guinea-pig”. Nature 211: 429-
430.

2. Blood, D.C. and Studdert, V.P. Bailliere’s Comprehensive Veterinary Dictionary. Baillière
Tindall, London, 1988.

3. Clayton, R.M., Sedowofia, S.K., Rankin, J.M. and Manning, A. 1992. “Long-term effects of
aluminium on the fetal mouse brain”. Life Science 51:1921-1928.

4. Cleary, C. ‘Agencies move to unravel mystery of animal deaths’. The Irish Times, April 15
1995.

5. Cooper, J.E. 2007. Birds of Prey: Health & Diseases. Blackwell, Oxford.

6. Cooper, J.E. and Cooper, M.E. 2007. Introduction to Veterinary and Comparative Forensic
Medicine. Blackwell, Oxford.

7. De Guise, S. Martineau, D., Béland, P. and Fournier, M. 1998. “Effects of in vitro exposure of
beluga whale leukocytes to selected organochlorines”. Journal of Toxicological and Environ
mental Health 55: 479-493.

8. Fahy, D. ‘No evidence” that environment had caused ill health’. The Irish Times, August 10,
2001.

9. Gonzales, M. A., Roma, M.G., Bernal, C.A., Alvarez, M de L. and Carillo, M.C. 2004.
“Biliary secretory function in rats chronically intoxicated with aluminum”. Toxicological
Sciences 79, no. 1:189-195.
10. Greig, J.R. and Boddie, G.F. 1948. Hoare’s Veterinary Materia Medica and Therapeutics. 6th
edn. Baillière, Tindall and Cox, London.

11. Jones, T.C. Hunt, R.D. and King, N.W. 1997. Veterinary Pathology. Williams & Wilkins,
Baltimore.

12. Kierdorf, U. and Kierdorf, H. 2000. “Comparative analysis of dental fluorosis in roe deer
(Capreolus capreolus) and red deer (Cervus elaphus): interdental variation and species
differences”. Journal of Zoology 250: 87-93.

13. Lide, D.R. 2003. CRC Handbook of Chemistry and Physics. CRC Press, Boca Raton and
London.

14. Meriga, B., Reddy, B.K., Rao, K.R., Reddy, L.A. and Kishor, P.B.K. 2004. “Aluminium-
induced production of oxygen radicals, lipid peroxidation and DNA damage in seedlings of
rice (Oryza sativa)”. Journal of Plant Physiology 161, no. 1:63-68.

15. Mićić, D.V., Petronigević, N.D. and Vucetić, S.S. 2003. “Superoxide dismutase activity in
the Mongolian gerbil brain after acute poisoning with aluminum”. Journal of Alzheimen’s
Disease 5, no. 1:49-56.

16. Rapport, D., Costanza, R., Epstein, P.R., Gudet, C. and Levins, R. 1998. Ecosystem Health.
Blackwell Science, Oxford.

17. Scheuhammer A.M. 1987. “The chronic toxicity of aluminium, cadmium, mercury, and lead
in birds: a review”. Environmental Pollution 46, no. 4:263-295.

18. Schryver, H.F. Mills, D.L., Soderholm, L.V., Williams, J. and Hintz, H.F. 1986. “Metabolism
of some essential mineral in ponies fed high levels of aluminium”. Cornell Veterinarian 76,
no. 4:354-360
19. Shore, D. et. al. 1985. “Aluminum –fluoride complexes: preclinical studies”. Journal of
Environmental, Pathologic and Toxicologic Oncology 6:9-13.

20. Shupe, J.L., Olsen, A.E. Peterson, H.B. 1984. “Fluoride toxicosis in wild ungulates”.
Journal of the American Veterinary Medical Association 185:1295 – 1300.

21. Sparling, D.W. and Lowe, T.P. 1996. “Environmental hazards of aluminum to plants
invertebrates, Fish and wildlife”. Reviews Environmental Contamination and Toxicology
145:1-127.

22. Spence, J. ‘Unanswered smelter questions’. The Daily Express, December 28, 2006.

23. Vikoren, T., Stuve, G. and Froslie, A. 1996. “Fluoride exposure to cervids inhabiting areas
adjacent to aluminum smelters in Norway. I. Residue levels”. Journal of wildlife Diseases
32, no. 2:169-180.

24. Wagemann, R., Stewart, R.E.A., Beland,, P. and Desjardins, C. 1990. ‘Heavy metals and
selenium in tissues of beluga whales, Delphinapterus leucas, from the Canadian Arctic and
the St. Lawrence estuary’. In Advances in Research on the Beluga Whale, Delphinapterus
leucas. Ed. Smith, T.G., St. Aubin, D.J. and Geraci, J.R., Canadian Bulletin of Fisheries and
Aquatic Sciences 224, 191-206.

25. Wheeler, D.M., Edmeades, D.C., Christie, R.A. and Gardner, R. 1992. “Effect of Aluminium
on the growth of 34 plant species: a summary of results obtained in low ionic strength
solution culture”. Plant and Soil 146, no. 1-2:61-66.
 Chapter 12

Plant Diversity in the South-west Peninsula: Past, Present and Future

Yasmin S. Baksh-Comeau, Shobha. S. Maharaj, Paul L. Comeau and Bheshem Ramlal

12.1 Introduction

Biological diversity encompasses all levels of natural variation from the molecular and genetic

level to the species level (Huston, 1996). The south-west peninsula of Trinidad represents a

small area of plant diversity which contributes common, rare and endemic species to the overall

mosaic of plant communities found on the island. Trinidad is a good example of a continental

island with the south-west peninsula only 16km from Venezuela (Fig. 12.1). This close

proximity provides a natural gateway for the arrival of new species from the mainland, such as,

Heliconia marginata (Griggs) Pittier which was found in Los Blanquizales Lagoon in 1966 and

is considered by Aitkin, to have become established in Trinidad by means of Orinoco floods. It

is widespread in the lowlands of Venezuela (Simmonds, 1967). On the other hand, the recent

separation of Trinidad from the South American continent, 10,000 years or less, accounts for the

very low endemism on the island in general and in particular on the peninsula. Within this

peninsula of approximately 145 km2 a range of vegetation communities have persisted with

varying degrees of disturbance. Further, the introduction of plantation crops such as coconut

(Cocos nucifera), cocoa (Theobroma cacao) and to a lesser extent rubber (Hevea brasiliensis)

and ‘brazil’ or ‘paradise nut’ (Lecythis zabucajo) have been at the expense of the natural forest.

However, sustainable development which balances the management of the natural forest and the
introduction of economic activities such as eco-tourism, agro-forestry and bee keeping should be

encouraged. The revitalization of former coconut plantations for producing traditional products

and /or diversifying into new ones with new technologies and modern machinery should be a

priority.

#
Port of Spain
United States Chaguanas
#

San Fernando#
#
South West La Brea
Cuba # Point Fortin
Mexico Peninsula

Jamaica

Honduras

Nicaragua

Trinidad and Tobago

Venezuela

Guyana

Fig. 12.1 Location map of South-West Peninsula (Ramlal, 2007)

12.2 Geology and soils

An overview of the geology and soils of the south-west peninsula shows that the area consists of

sedimentary deposits (mainly sands and clays) dating from the middle Miocene to the end of the

Pliocene (17 to 1.8 million years before present). The freely drained sandy soils that are derived

from the parent material are very poor in nutrients. Recent alluvial deposits dating back to

10,000 years are found in the swamps (between Icacos and Fullerton) and the Los Blanquizales

Lagoon. These waterlogged deposits are rich in organic nutrients.

The south-west peninsula is geologically active with mud volcanoes (sedimentary volcanism) at

the Columbus and L’Envieuse estates and at Islote Point (Fig.12.2). These sites are associated

with the Siparia-Ortoire Syncline and the Southern Anticline, the latter trends offshore between

the Erin group of mud volcanoes in the east and the Columbus group in the west. These extrude

mud, predominantly low density clays, that flow toward the surface primarily through tectonic

movement and secondly to gas (methane) and liquids (brine) under pressure.

The south-west peninsula is being actively eroding along the south coast by the strong currents

of the Columbus Channel which flow westward into the Gulf of Paria while on the north coast of

the peninsula sediment accretion is extending the shoreline (Marshall, 1934).

Fig. 12.2 Islote Point Mud volcano (P.L. Comeau 1995)

12.3 Vegetation

The vegetation of the south-west peninsula of Trinidad during the early 20th century consisted

predominantly of a Carapa-Eschweilera-Maximiliana (now Attalea) (Crappo-Guatecare-

Cocorite) association, which was interspersed with pockets of Mora excelsa within the interior

and Trichilia-Brosimum (Acurel-Moussara), Herbaceous swamp (Fig.12.3) and Mangrove along

the coastline (Fig.12.4). Today, much of these vegetation types have been replaced by a myriad

anthropogenic activities ranging from industry to the replacement of natural vegetation with

plantations of the exotic species Caribbean pine (Pinus caribaea).

Fig. 12.3 Herbaceous swamp in the foreground (S. S. Maharaj 2007)

 N

W E

Vegetation
Herbaceous Swamp
Mangrove
Mixed Crappo-Guatecare (Evergreen Forest)
Mora (Evergreen Forest)
Palm Swamp

Figure 12.4 Vegetation Map of South-west Peninsula, 1946 (Beard, 1946)

The dominance and zonation of the Carapa-Eschweilera-Maximiliana within this region is, as is

the case with most of the associations elsewhere within the island, a result of the availability of

moisture, be it in the form of rainfall or soil moisture (Marshall, 1939). Carapa-Eschweilera-

Maximiliana is the response of the vegetation to a combination of free drainage and partially

impeded drainage, and hence poorer, less fertile soils (Beard, 1946) with relatively lower rainfall

levels (Marshall, 1939).

The dry nature of this area has made it predisposed to fires, indeed, from as early as 1912 large,

destructive fires have been recorded (Marshall, 1939; Beard, 1946). Beard (1946) however

believed that during these earlier times, such fires were naturally induced and not a result of

Amerindian shifting cultivation – as the area was too dry and shifting cultivation in such areas

would simply imperil any crops planted. Today, however, many of these fires are started within

the holdings of private landowners and are easily spread to forested areas, again due to the

relatively desiccant nature of the land (Atkinson personal communication).

Large-scale human activity within the peninsula has been documented from as early as 1914,

during which substantial areas were cleared for petroleum exploration. Today large areas of

forest continue to be cleared, not only for the needs of the petroleum industry but also for

agriculture. Caribbean pine and coconut plantations (which occupy over 3,600 hectares), and

most recently the aluminium smelting industry have exacerbated the problem. Indeed, it is not

just the Carapa-Eschweilera-Maximiliana forests that have been depleted, the pockets of

herbaceous swamps and mangroves that occur along the coastline continue to be destroyed and

filled to make way for houses and agriculture (Fig.12.5 & 12.6).

W E

Vegetation
Evergreen Seasonal Forest
Herbaceous Swamp
Mangrove W oodland
Non-Natural Vegetation/Non State Lands
Palm Forest
Second Growth and Clearings
Savanna

0 2000 4000 Meters

Fig. 12.5 Vegetation Map of the South-west Peninsula, 2001 (USGS, 2001)
 Gulf of Paria

N
Irois Bay
W E
Point Rouge Cap-De-Ville
S
Granville Bay
Roads
Buildings Cedros Point
Granville
0 2000 4000 Meters
Esperanza Bay

St. Marie Point

Cedros Bay Bamboo Chatham
ui zal es Lagoon
Los Gallos Point Bl anq
Bonasse L os
Fullerton
Columbus Bay Erin Bay
Islote Bay

Corral Point

Punta del Arena

Quemada Point
Icacos Point

Fig. 12.6 Map showing development in South-west Peninsula (USGS, 2001).

The open shelter wood system, which is a timber extraction practice of the Forestry Division of

Trinidad and Tobago, has been a significant contributor to the disturbance of the remaining

natural vegetation in this area. Over the last forty years, over-exploitation of the harvestable tree

species, as well as, failure to ensure that there was a replacement (same species) sapling within

200 m of the tree to be harvested, have resulted in highly disturbed forests within which the

floristic composition has been greatly altered. Additionally, Caribbean pine saplings have been

planted within the forests with the expectation that these would have soon been out-competed by

native tree saplings, with the latter becoming dominant with continued growth. However, the

frequent fires within this region were not anticipated, such that, both the native trees and

Caribbean pine seedlings succumb to the frequent fires, while the pyrophytic adaptation of the

mature Caribbean pine trees allowed them to survive. The result has been ageing stands of

Caribbean pine at the expense of native tree species recruitment. Caribbean pine plantations

have also been responsible for the complete destruction of eight out of the ten areas of natural

savannas, which were once found within the southern watershed. Today two savannas are all that
 remain to represent the Erin savannas and should be retained as examples of savanna vegetation

(Atkinson, 2007).

The problem of agricultural squatting where substantial areas within the forest interior (to avoid

detection) have been cleared in order to grow crops such as watermelons required the clearing of

corridors (make-shift roads) through the forest which created further fragmentation. The result

has been, and continues to be a landscape where very little undisturbed natural vegetation

remains. Instead, it is being replaced by a predominance of ‘lastro’ (fast growing pioneer species)

and fragments of disturbed natural vegetation, the floristic composition of which has, in many

cases, been greatly altered (Figure 12.7).

Fires Destruction/filling of wetlands

Dry climate Housing
Spread from private lands Agriculture

Agricultural squatting
Sometimes large expanses Plantations
of forest cleared to plant crops Coconut (ca. 3600ha)
Fragmentation DISTURBANCE Rubber
Brazil nut
Cocoa
Monoculture
Natural forest felled and replaced
with Caribbean Pine monoculture
Mora
Fires
Over-harvesting
Open Shelterwood system
Haphazard – seedling not always
within 200m of parent tree for
Clearing of forest for industry
recruitment
e. g. Petroleum exploration
Quota often exceeded

Fig. 12.7 Factors causing disturbance in the SW Peninsula

However, there have been some encouraging developments. Within recent years, there has been

an initiative by the Forestry Division of the Government of the Republic of Trinidad and Tobago

(GORTT) to discontinue the planting of Caribbean pine in many areas, focusing instead on

native timber species. The Morne L’Enfer Forest Reserve which was destroyed extensively by

fire in the 1980s has been left on its own to regenerate without any replanting or interference.

The National Gas Company (NGC) in collaboration with the Forestry Division has, over the last

year, begun to replant native timber species in an effort to re-afforest the area that was cleared

when this company installed a pipeline from Point-Fortin to Guayaguayare, a distance of about

72 km. The limited area of forest where Mora excelsa trees can still be found in the south-west

peninsula is now managed with a policy of no felling of Mora (Atkinson, 2007).

12.4 Flora

Plant collecting and documentation on the South-western peninsula has been mostly sporadic or

focused on specific habitats such as, mud volcanoes, swamps, the coastal zones; or on different

taxa, for example, palms and ferns; or life forms, such as trees and epiphytes. Botanical

explorations in the area have been carried out from as early as 1842 which is evident from plant

specimens preserved at the National Herbarium of Trinidad and Tobago and in other herbaria in

Europe and North America. Further, it is possible that Fernando G. de Oviedo of Spain (1526)

will have reported earlier botanical records from this area, of which we are unaware, according

to documentations of plant life in Trinidad.

The sources of data for the compilation of a flora checklist, for purposes of this study,

incorporated herbarium specimens deposited in local and international herbaria, the published
Flora of Trinidad and Tobago (Williams, R.O. et al., 1928-1992) and unpublished species lists

(Adams & Baksh-Comeau, 2007). This has resulted in 432 species of vascular plants in eighty-

four (84) families and 303 genera (A12.1). However, this is by no means an exhaustive list of

plants as some very rare plants, common weeds, popular ornamentals and crop plants may have

been excluded because of collectors’ bias focusing on specific groups or habitats dominated by

indigenous species. Nevertheless, the checklist represents a range of native plants spanning from

the common ‘bull’ grass Panicum maximum or the widespread tree Cecropia peltata or ‘bois

canot’ to the rare ferns Trichomanes diversifrons and Asplenium cuneatum, and endemics. The

representation by a single specimen of each of the following species, Prionostemma asperum

collected by William Purdie in 1847; Triumfetta rhomboide without collector or date and

Sorghastrum setosum collected by W.E. Broadway in 1915 from Cedros and Chatham have not

been recorded or recollected since that time in the area or elsewhere in Trinidad. This is

significant from a biodiversity perspective. Another twenty-one species are regarded as rare

based on collections of less than three herbarium specimens, with collecting dates spanning from

1842-1935 and distribution outside of the area to less than three other sites. Among these rare

species are three trees which have been identified as Protium heptaphyllum, Protium tenuifolium

and Sloanea parviflora with the first collected in 1915 and the last two in 1910. Therefore, the

status of all of these rare plants needs to be reassessed.

Recent studies of the native palms have recorded a total of twenty-one species for Trinidad of

which thirteen species are found in the study area including Astrocaryum aculeatum which is

confined to the South-west peninsula and considered to be threatened owing to its restricted
distribution. It is also associated with anthropogenic habitats and probably a relict of former

Amerindian settlements (Comeau et. al., 2003).

It is not surprising that only sixty-five species or 21.5% of native ferns recorded for the islands

survive in this area. Sixteen species are epiphytic, a reflection of the dry conditions which

prevail. The other forty-six species are common terrestrial, shade loving or weedy species.

Three of the twelve species of tree ferns recorded for the islands are commonly found along

streams and the understorey of the forest where the availability of water is critical for sexual

reproduction of the gametophyte generation.

In general, the families Orchidaceae, Araceae and Bromeliaceae are mainly epiphytic. However,

epiphytes are poorly represented in the south-west peninsula. This seemingly impoverish show

of epiphytes may be a combination of factors including under or over collecting, drier climatic

conditions and the ongoing degradation of the natural forest where trees are essential for the

physical support and microclimate they provide (Huston, 1996). In the case of orchids 190

species have been recorded but only twenty-one species have been reported in the south-west,

including the much sought after species of Oncidium X haematochilum, Oncidium lanceanum

and Oncidium ampliatum, which were originally from the area and brought into cultivation by

orchid fanciers. Three species of bromeliads, Aechmea aquilega, Bromelia plumieri and

Tillandsia flexuosa, are particularly common around mud volcano sites. The aroids occupy more

diverse habitats with Pistia stratiotes, a freshwater floating aquatic, and Montrichardia

arborescens forming erect stands along river margins, while in the forest are the scandent
epiphytes Anthurium pentaphyllum and Monstera dubia and the medium to large terrestrial herb

Dracontium foecundum.

Furthermore, the area is home to five endemic species; the fern Pteris inaequalis, the flowering

plants Piper aequale var. ovalifolium and Acalypha grisebachiana which are also found

elsewhere on the island but the sedge Rhynchospora ierensis and the climber Aristolochia boosii

(Panter, 1981), described as a new species in 1981, are known to occur naturally only in the

south-western peninsula.

To summarise, the checklist accounts for eighty-seven species of trees, seventy-six species of

shrubs, 200 species of herbs, forty-one species of climbers and twenty-eight species of epiphytes.

The ferns, grasses and sedges are the major contributors to the herbaceous flora in the area.

Likewise, the climbers, shrubs and trees play a very important role in maintaining the integrity of

the different forest ecosystems and the interdependence of other organisms for their survival.

They have provided the traditional folk healers with medicines and the commercial logger with

valuable timber in the past. In the case of the former, a good example is Quassia amara or

‘bitter wood’ which occurs naturally only in the south-west peninsula. It is used in Brazil as a

source of bitters, vermifuge and poison in flypaper (Mabberley, 1987) but remains under utilized

locally.

More research is definitely needed to discover or rediscover the important economic and

medicinal uses of plants that have persisted over time in a changing environment like the one
found in the southwestern peninsula. Such information may justify implementing a greater

degree of protection for the area than currently exists.

12.5 The future

It has been established by several studies including Kenny (2002), de Verteuil (2000), and Kenny

(1995) that the south coast of this peninsula is being eroded at a rate of 10.3m per year. Because

of ‘the strong and sustained westerly flow in the Columbus Channel, the coastline is under

erosional pressure, compounded by the nature of the mostly unconsolidated sediments to be

found along the coastline’ (EMA, 1996). For example, on a recent visit (February 2007) to

Cedros, the lighthouse at Corral Point was no longer standing there, having been completely

washed away (Fig. 12.8).

Fig. 12.8 Corral Point showing extensive coastal erosion (S. S. Maharaj, 2007)

An effective means of controlling and perhaps even decreasing this rate of erosion is the re-

establishment of coastal mangrove ecosystems. The multitude of aerial and stilt roots from

Rhizophora mangle serve as an effective barrier between land and sea where sediments and
organic debris accumulate, allowing for further colonization of other mangrove species further

inland, such as Avicennia germinans and Laguncularia racemosa. Eventually these species

develop and spread creating a buffer zone that protects the coastline from erosion. Of the three

mangrove species found in our coastal swamps, Avicennia has the greatest tolerance for salt. In

the natural order of things, it grows farther inland than Rhizophora where tidal flushing is

infrequent occurring mainly during neap tides. Mangrove ecosystems also provide nurseries for

juvenile fish and the potential for several lucrative trades such as oyster farming, the making of

high quality charcoal for export, medicines, tannins and other dyes (Hawthorne et. al. 2004;

Morton, 1994).

The management policies of the Forestry Division will ultimately determine the future survival

and quality of the remaining natural forests within this peninsula. Discontinuation of the

planting of Caribbean pine together with the harvesting of existing stands would be an effective

step towards the preservation of the remaining pockets of natural vegetation types such as the

Erin savannas. These measures would also have far-reaching effects in conserving the floristic

composition within the remaining forested areas.

The coconut palm according to Burkill (1966) is one of Nature’s greatest gifts to man. It is one

of the few plants where people throughout the tropics have utilized just about every single part.

The number of products develop from the fruit alone include drinks, oil, medicine, fibre, mats,

fuel, utensils, while the leaves and trunk provide brooms, thatch and timber. It would seem

prudent to rehabilitate the coconut plantations in the area as the demand for its products at least

on the domestic market is increasing. The roadside sale of coconut ‘water’ is a booming trade
both locally and regionally. According to a recent report from the FAO

(http://intranet.fao.org/offsiteframe.jsp?uu=http://www.fao.org/WAICENT/FAOINFO/AGRICULT/Defaul

t.htm), the growing popularity of coconut ‘water’ as a ‘sports drink’ could compete in the world's

US$10 billion market for ‘sports beverages.’ Table 12.1 provides a comparison of the nutritional

value of coconut ‘water’ and sports drink.

Table 12.1 Comparison of coconut water and sports drink (Source: FAO, 2007)

Coconut water
Parameters Sports drink
in mg/100 ml
Carbohydrates 2 100 5 800
Calcium 60 1
Phosphorus 10 9
Sodium 11.8 411.8
Potassium 2.1 8
Magnesium 10 3

Over the past eighteen months, a DARWIN-funded research initiative between the University of

the West Indies, Oxford University, UK and the Forestry Division, Ministry of Public Utilities

and the Environment, has been in progress to develop a Biodiversity Monitoring System for

management and conservation purposes. A detailed botanical inventory is in progress throughout

Trinidad and Tobago, which seeks to document the biodiversity and distribution of vascular

plants in an effort to address existing gaps in our knowledge resulting from changes in floral

composition over the last fifty years. The data that has been collected to date from extant natural

forest within this peninsula suggest unique structural formations, which require further

investigation in order to develop a modern, well-informed management plan for conservation

and protection of the area.

Acknowledgements

We would like to thank Prof. C. Sankat, Dean of the Faculty of Engineering, St. Augustine,

U.W.I for inviting us to participate in the Symposium on “Aluminum smelting: Environmental

and Engineering perspectives” where this paper was presented. We are also indebted to our

colleagues Dr. Paul Shaw for assisting with the photographs and Mr. Jaumark Pierre for locating

the herbarium specimens and assisting with data entry in the preparation of the flora database for

the area.
 References

1. Adams, C.D. and Baksh-Comeau, Y.S. 2007. Revision of the Vascular Flora of Trinidad and
Tobago (unpublished).

2. Atkinson, M. 2007. Forester 1, Forestry Division of Trinidad and Tobago. Personal

Communication.

3. Beard, J.S. 1946. The Natural Vegetation of Trinidad. Oxford University Press.

4. Burkill, I.H. A Dictionary of the Economic Products of the Malay Peninsula. 2nd ed. Kuala
Lumpur: Min. Agric. and Co-operatives, 1966.

5. Comeau, P.L., Comeau, Y.S. & Johnson, W. 2003. The Palm Book of Trinidad and Tobago,
including the Lesser Antilles. The International Palm Society.

6. De Verteuil, A. 2000. Great Estates of Trinidad. The Litho Press, Trinidad.

7. Hawthorne, W. D., Jules, W., Marcel, G. 2004. Caribbean Spice Island Plants. Oxford
Forestry Institute.

8. Huston, M.A. 1996. Biological Diversity: The coexistence of species on changing landscapes.
Cambridge University Press.

9. Kenny, J. S. 2002. ‘The changing coastline of the Cedros Peninsula, Trinidad’. Living World
J. Trinidad and Tobago Field Naturalists Club. p. 1-7

10. Kenny, J.S. 1995. ‘Views from the Bridge’. Julian S. Kenny, Maracas, St. Joseph. 98pp.
11. Mabberley, D. J. The Plant-Book. A portable dictionary of the higher plants. Cambridge
University Press, 1987.

12. Marshall, R.C. 1939. Silviculture of the trees of Trinidad and Tobago, British West Indies.
Oxford University Press.

13. Morton, J.F. 1994. ‘Can the red mangrove provide food, feed and fertilizer’? Econ. Bot.
19:133-123.

14. Oviedo, G. F. de 1526. The natural History of the West Indies. Translated and Ed.by Sterling,
A. Stoudemire, Univ. N. Carolina, Chapel Hill, NC.

15. Panter, J.A.. 1981. ‘Notes on Aristolochia from Trinidad and the description of A. boosii’.
Kew Bull. 36, no. 2:231-233.

16. Simmonds, N.W. 1967. Flora of Trinidad and Tobago. Ministry of Agriculture, Industry and
Commerce Trinidad and Tobago. 3-91.

17. EMA.1996. Trinidad and Tobago: State of the Environment Report.

18. USGS. 2001. Caribbean Vegetation Mapping Project.

http://edcsnw11.cr.usgs.gov/ip/tnc/products/report.

19. Williams, R.O. et al. 1928-1992. Flora of Trinidad and Tobago Vol. 1-11. Government
Printery, Trinidad, Trinidad and Tobago
A12.1: Checklist of the vascular plants on the South–West peninsula of Trinidad
ACANTHACEAE LEGUMINOSAE (CAESALPINIOIDEAE)
Mendoncia hoffmannseggiana (Nees) Nees in DC. Entada polystachya (L.) DC.
Ruellia tuberosa L. Mimosa pudica L.
AGAVACEAE Pentaclethra macroloba (Willd.) Kuntze
Furcraea hexapetala (Jacq.) Urb. LEGUMINOSAE (PAPILIONOIDEAE)
AIZOACEAE Abrus precatorius L.
Sesuvium portulacastrum (L.) L. Aeschynomene sensitiva Sw.
ALISMATACEAE Clathrotropis brachypetala (Tul.) Kleinhoonte
Sagittaria guayanensis Kunth Crotalaria pilosa Mill.
AMARANTHACEAE Dalbergia ecastaphyllum Taub.
Achyranthes aspera L. Desmodium cajanifolium (Kunth) DC.
Alternanthera brasiliana (L.) Kuntze Desmodium distortum (Aubl.) J.F.Macbr.
Alternanthera tenella Colla Indigofera suffruticosa Mill.
Amaranthus australis (A.Gray) J.D.Sauer Muellera frutescens (Aubl.) Standl.
Amaranthus dubius Mart. Ormosia monosperma (Sw.) Urb.
Blutaparon vermiculare (L.) Mears Pterocarpus officinalis Jacq.
Chamissoa altissima (Jacq.) Kunth Pterocarpus rohrii Vahl.
Cyathula prostrata (L.)Blume Rhynchosia minima (L.) DC.
Iresine diffusa Humb. & Bonpl. Ex Willd. Sophora tomentosa L.
ANACARDIACEAE Tephrosia purpurea (L.) Pers.
Spondias mombin L. Tephrosia senna Kunth
ANNONACEAE Vigna vexillata (L.) A.Rich.
Annona glabra L. Zornia reticulata Sm.
Cymbopetalum brasiliense (Vell.) Benth.ex Baill. LEMNACEAE
Rollinia exsucca ( DC ex Dunal) A.DC. Lemna aequinoctialis Welw.
APOCYNACEAE Spirodela polyrrhiza (L.) Schleid.
Condylocarpon intermedium Müll.Arg. MALPIGHIACEAE
Mandevilla symphitocarpa (G.Mey.) Woodson Mascagnia sinemariensis (Aubl.) Griseb.
Tabernaemontana cymosa Jacq. Spachea elegans (G.Mey.) A.Juss.
AQUIFOLIACEAE Stigmaphyllon ciliatum (Lam.) A.Juss.
Ilex guianensis (Aubl.) Kuntze Heteropterys leona (Cav.) Exell.
ARACEAE MALVACEAE
Anthurium pentaphyllum (Aubl.) G. Don Hibiscus bifurcatus Cav.
Dracontium foecundum Hook.f. Malachra fasciata Jacq.
Monstera dubia (Kunth) Engl. & K. Krause Sida cordifolia L.
Montrichardia arborescens (L.) Schott Sida glomerata Cav.
Pistia stratiotes L. Sida linifolia Juss.
Spathiphyllum cannifolium (Dryand.) Schott Urena sinuata L.
CAPPARACEAE MARANTACEAE
Capparis flexuosa (L.) L. Calathea altissima (Poepp. & Endl.) Körn.
CECROPIACEAE Calathea lutea (Aubl) Schult.
Cecropia peltata L. Calathea sciuroides Petersen
CELASTRACEAE Thalia trichocalyx Gagnep.
Prionostemma asperum (Lam.) Miers. MELASTOMATACEAE
CERATOPHYLLACEAE Acisanthera uniflora (Vahl) Gleason
Ceratophyllum submersum Miconia mirabilis (Aubl.) L.O.Williams
subsp. submersum var echinatum (A. Gray) Wilmot-Dear
CHRYSOBALANACEAE Miconia albicans (Sw.) Triana.
Chrysobalanus icaco L. Miconia nervosa (Sm.) Triana.
Hirtella triandra Sw. Miconia prasina (Sw.)DC.
CLUSIACEAE Miconia rubiginosa (Bonpl.) DC.
Clusia palmicida Rich. ex Planch. & Triana Mouriri guianensis Aub.
COMBRETACEAE MELIACEAE
Conocarpus erectus L. Carapa guianansis Aubl.
Terminalia dichotoma G.Mey Cedrela odorata L.
Terminalia lucida Hoffmanns. Ex Martius MORACEAE
Terminalia rufipes var. glabrata (D.R.Hunt) Faden & D.R.Hunt Maclura tinctoria (L.) D.Don ex Steud.
COMMELINACEAE Ficus amazonica (Miq.) Miq.
Murdannia nudiflora (L.) Brenan Ficus guianensis Desv. ex Ham.
COMPOSITAE Ficus nymphaefolia Mill.
Baccharis trinervis Pers. Ficus trigonata L.
Calea solidaginea Kunth MYOPORACEAE
Conyza canadensis (L.) Cronquist Bontia daphnoides L.
Cosmos sulphureus Cav. MYRSINACEAE
Chromolaena odorata (L.) R.M.King & H.Rob. Myrsine guianensis (Aubl.) Kuntze
Pluchea carolinensis (Jacq.) G.Don MYRTACEAE
Cyanthillium cinereum (L.) H.Rob. Calycolpus goetheanus (Mart.ex DC.)O.Berg
Vernonia scorpioides (Lam.) Pers. Myrcia splendens (Sw.)DC.
Sphagneticola trilobata (L.) Pruski Psidium guajava L.
Tilesia baccata (L.) Pruski NYCTAGINACEAE
CONVOLVULACEAE Pisonia salicifolia Heimerl
Aniseia cernua Moric. OLACACEAE
Ipomoea alba L. Ximenia americana L.
Ipomoea aquatica Forssk. ORCHIDACEAE
Ipomoea imperati (Vahl) Griseb. Aspasia variegata Lindl.
Ipomoea mauritiana Jacq. Brassia caudata (L.) Lindl.
 Chapter 13

Oceanographic and civil engineering aspects of an offshore island in Otaheite Bay

Edward. T. R. Dean, Derek. Gay, Joanna Ibrahim and Gyan. S. Shrivastava

13.1 Background

This paper outlines some of the main oceanographic and civil engineering (coastal,

environmental, hydraulic and geotechnical) issues related to the proposed construction of an

offshore island at Oropouche Bank in Otaheite Bay in the Gulf of Paria for building an

aluminium smelter and other heavy industries.

13.2 Introduction

Offshore islands have been constructed in different parts of the world for creating sites for

airports (e.g. Hong Kong), oil & gas facilities (e.g. Alaska) and for residential and commercial

purposes (e.g. Netherlands). Indeed, offshore artificial islands have a long history in many parts

of the world. In ancient Scotland, loch-dwelling families built small artificial island homes now

called crannogs (www.crannog.co.uk). The city of Tenochtitlan, the Aztec predecessor of

Mexico City that was home to 250,000 people when the Spaniards arrived, stood on a small

natural island in Lake Texcoco that was surrounded by countless artificial islands called

Chinamitl (http://en.wikipedia.org). Much of the modern country of the Netherlands consists of

land reclaimed from the sea and protected by coastal dykes.

Kansai airport was constructed on an artificial island off Kobe, Japan. This island is about 4km

long and 1.2km wide, or just under half the size of the proposed island in Otaheite Bay.

Compensation was paid to fishermen for partial loss of business. Engineers predicted the island

would settle 5 m. In fact, due to clays deep beneath the seabed, the island has already settled 9m,

and is still sinking (Waugh, 2004). This led to a major research into the geotechnical processes of

primary and secondary consolidation (Mimura and Yang, 2003).

Hong Kong airport was constructed on reclaimed land around two small islands (Figure 13.1). Its

area is about ¾ of the area of the proposed Oropouche Island. It took six years to build and cost

US$ 20 billion (including airport structures). It was voted as one of the top 10 construction

achievements of the 20th century (Marsden and Whiteman, 1999). The other winners included the

Panama Canal, the Anglo-French Channel Tunnel, the Empire State Building, and New York's

World Trade Centre. More recently, the Palm islands offshore Dubai have been described as the

eighth wonder of the world, and the most exciting construction project ever (www.thepalm.ae). A

series of islands is being built, each in the shape of a palm tree in plan view. Each island provides

many miles of new beach, with residential property, marinas, shopping malls, sports facilities,

and clubs. The engineered shorelines support a variety of marine life.

 Figure 13.1 Artificial island supporting Hong Kong airport

Recently, the National Energy Corporation (NEC) of Trinidad & Tobago (T&T) proposed the

construction of an offshore island in the Gulf of Paria (Figures 13.2 and 13.3, Plate 13.1) for

locating, inter alia, an Aluminium Smelter. The objective of this paper is to provide, against the

foregoing background, a clear and objective perspective on the oceanographic, geo-technical and

coastal engineering issues relating to the construction of an offshore island in Otaheite Bay.

Figure13.2 Location map

 Plate 13.1 Aerial View of Otaheite Bay

Figure 13.3 Schematic of the proposed offshore island at the Oropouche bank (Otaheite Bay)

13.3 Oceanographic setting

The Oropouche Bank is located along the south west coast of Trinidad between the towns of San

Fernando and La Brea (Figure 13.2), within the confines of Otaheite Bay. The Gulf of Paria is

generally protected from the high-energy regimes associated with open coastlines such as the
east coast which is ocean facing to the North Atlantic. Effectively the Gulf of Paria may be

considered as a “Sheltered Coast” (National Academies of Science, 2006).

The typical physical conditions associated with sheltered coasts are as follows:

• Relatively low velocity tidal currents

• mid to low energy wave climates associated with a limited fetch (distance from shore to

shore), which

• promote the formation of ecological complexes (i.e. mangroves, marshes and mudflats)

that often characterize habitats on sheltered coasts and are generally not found on open

coasts

For sheltered coasts, high-energy waves seldom occur. Instead, the primary drivers of sediment

mobilization may include strong currents, storm events, large boat wakes or river surges. Overall,

sheltered coasts describe a much greater diversity of conditions than found on open coasts and

require more site-specific approaches for effective management of development. Plate 13.1

shows an aerial view of Otaheite Bay and the surrounding area providing following facts:

• Otaheite Bay is surrounded by natural wetland, and is an important fishing area for

Trinidad

• Discolouration of water shows active sediment transport in the nearshore areas and it

defines the shape of the Oropouche bank. Otaheite bay and the Oropouche bank is in

close proximity to the town of La Brea which is in the foreground and is currently an

active shipping port and fabrication site for Petrotrin.

 • There is an extensive area of mangrove which fringes the coastline around Otaheite

Bay and includes the Gordineau river and South Oropouche lagoon. The South

Oropouche (Gordineau) Swamp is the third largest natural wetland in Trinidad and is

host to the Scarlet Ibis amongst 36 other bird species. These wetlands serve as a

protective function for the coastline. They protect against storm surge, flooding,

erosion and tsunamis (although very rare), and in the other hand they filter sediments,

nutrients and other pollutants before they reach the sea. They provide a habitat for

avifauna and endangered wildlife and are important economically as the nutrients and

nursery grounds for many species of edible fish, crustaceans and filter feeders.

13.3.1 Physical characteristics of the Oropouche Bank

The Oropouche Bank extends approximately 10.5 km offshore and covers approximately 2600

hectares. It is a natural accumulation of sandy, silty clays and water depths over the 2600-hectare

bank as a whole are of the order of 3m or less on average. For the 1400-hectare area of the

planned island, the average water depth is a little greater than 3m. The Oropouche bank is

considered an important source of natural sediment for the beaches along the west and southwest

beaches, namely Station Beach to the right of La Brea, and Guapo Bay between Point Fortin and

La Brea not withstanding the beaches between La Brea and San Fernando.

In order to determine the impacts of any engineering works in the sea, one has to understand the

physical oceanography pertaining for that site. This will facilitate our understanding of the

current, wave and sediment transport regime, which will directly affect the surrounding coastline

and beaches.
Figures 13.4 and 13.5 describe the mean circulation characteristics for the Gulf of Paria (Van

Andel and Postma, 1954). In our region, there is a mean circulation towards the south west.

Previous studies conducted by the Institute of Marine Affairs (IMA) (1993, 1994, 1999) to the

south west of the Oropouche bank also show that currents in this area are tidally dominated,

flowing towards the south west during flood and towards the north east during ebb, but with a

strong residual flow towards the south west especially during spring tides (Coastal Dynamics,

2003). Current velocities in this region range from 0.1ms–1 to 0.5ms–1 from the shore to 20m

offshore respectively. Notably currents in this region are on average between 0.2ms–1 – 0.3ms–1

and are more than capable of transporting sediment in suspension. The wave direction is

predominantly from the north east and north and occasionally west. The winds can change

depending on the localized storms in the Gulf. Wave heights are on the order between 0.1 – 1m

on average, but during storms these waves can reach elevated heights >1m. Tidal range at

maximum springs is 1.4m according to Point Fortin tide tables. The tides are mixed semi diurnal

i.e. tides are two times a day, and the range and period over flood and ebb are not equal over the

24 hours.

Figure 13.4 Hydrodynamic circulation pattern (wet season)

 Figure 13.5 Hydrodynamic circulation pattern (dry Season)

13.3.2 The Proposed reclamation project

The Oropouche Bank in Otaheite Bay has been ear marked as a suitable site possibly because of

its shallow depth, (1- 5m) for reclaiming the bank and constructing an artificial island, that will

be used to locate gas-based and other industries. The island will be joined to the mainland to

facilitate access and road links by a 100m wide causeway (Figure 13.3). The causeway is located

in the proximity of Mosquito Creek and the Gordineau River South Oropouche Lagoon system.

We understand that the reclamation site will cover 1400 hectares of the bank and will be located

about 11.5km from the existing shoreline.

The western limit of the proposed reclamation naturally deepens to >20m within 0.5km offshore,

and is suitable for locating a port, suitable for accommodating the post Panamax ships. It is
suggested that a deep-water channel be dredged deeper than 12.8m, which is the current port

facility at Point Lisas.

13.3.3 Possible impacts of the proposed project

In order to assess the potential positive and negative impacts, the project is split up into three

main areas:

• The construction of the artificial island and land reclamation, including the impact of

removing material from another source

• Dredging of a shipping lane

• Construction of the causeway on the shore.

13.4 The construction of the artificial island and dredged shipping lane

13.4.1 Positive impacts

The positive impacts of the proposed reclamation are as follows:

• The average depth of around 3m makes the site a suitable location for an artificial island

• A large, 1400 hectares contiguous parcel for multi-purpose industrial use.

• Significant socio-economic benefits

• Marine industrial site to meet demands of the energy industry.

• Suitable site for a deep water port and facilities to support Post Panamax ships.
13.4.2 Negative impacts

The negative environmental impacts are related to the effects to the natural circulation patterns

caused by the artificial island on:

• Sediment transport pathways – The artificial island will alter significantly the natural

direction of currents in Otaheite Bay.

• Reclaiming the Oropouche bank and dredging a channel will seriously degrade the

amount of natural sediment available to sustain the west and southwest beaches.

Could lead to degradation especially during storm events, because there is a reduced

supply of natural sand to the beaches, which then could result in accelerated coastal

erosion.

• The soil that will be needed to create the artificial island has been estimated to be

greater than 70 million cubic meters of material. The source of this material is yet to

be determined, but there could be a significant negative environmental impact on the

area where this material will be sourced. For example, if the material is sourced from

the seabed, the deepened bed after dredging could act as a sink for future sediment

deposition. In addition, the removal of so much material from the seabed will also

adversely affect the ecology and possibly the coastal morphology if located near to

coastal beaches. In summary, sourcing the material from the sea will have its own

environmental impact issues separate to the reclamation of the island at Otaheite bay.

• The artificial island will diffract waves around the island and will re-direct wave

focusing on the coastline and therefore alter the wave energy translation to the

shoreline. This could result in alteration to the erosion and depositional characteristics
 of the beaches, namely the coastal morphology and may lead in places to accelerated

rates of coastal erosion, where the focus of wave energy is high.

• Impact to the natural mangrove structures and the degradation of the wetland ecology

and the associated impacts to fisheries in Otaheite Bay.

However, much of the development that has taken place in Trinidad and Tobago involves land

created by reclamation projects, some requiring fill or other disturbance of wetlands. The

economic prosperity and social well-being of a significant percentage of the population is

heavily dependent upon the health and productivity of the coastal and marine resources of the

country. Tourism and Fisheries make significant contributions to the economy through

employment and incomes, the latter contributing in addition to the supply of food.

13.5 The construction of the causeway

The possible impacts of the construction of the causeway are as follows:

• Positive: Provides a link from the coast to the offshore reclamation for transport

purposes.

• Negative: Loss of Wetland, natural mangrove. Mosquito Creek and South Oropouche

(Gordineau) Swamp.

• Negative: Causeway will interfere with longshore transport of sediment along coast

• Negative: Emergency response and planning must consider only one access to site
The negative environmental impacts of constructing the causeway may be viewed in the context

of both terrestrial impacts and coastal morphological impacts.

13.6 Terrestrial impacts

Loss of Habitat from land reclamation activities and loss of mangrove due to the construction of

the causeway will adversely affect the fisheries resources and marine life in the area, by

interfering with spawning areas and nursery grounds for the fish we eat in Trinidad.

13.7 Coastal morphological impacts

Longshore transport in the surf zone is thought of as the result of waves stirring sediment into

suspension then subsequent transportation by a steady current along the coast (Figure 13.6). Such

a longshore current most commonly occurs when waves approach the shore obliquely and drive a

current along the shore in the surf zone. Convergences or divergences of this transport, for

example, on the up-drift and down-drift sides of a jetty, cause accretion or erosion respectively.

This is one of the primary mechanisms for shoreline erosion. Moreover, the construction of the

causeway, depending on the structure, could act like a groyne on the beach and therefore would

interfere with the longshore transport of sediment along the coast (Figure 13.7). This interference

would cause a build up of sediment on one side depending on the net transport direction and will

cause a deficit of sediment on the down drift side of the structure, which if unaided would

severely reduce the amount of sediment reaching down drift side and therefore cause beach

erosion and subsequent loss of beach.

 Figure 13.6 Schematic to describe the processes of lognshore sediment transport on a beach

Figure 13.7 Interference in the longshore current

13.8 Fate & transport of contaminants

Figure 13.8 shows the bathymetry of the Gulf of Paria which considerably influences the

hydrodynamic conditions created, inter alia, by the residual current driven flow initiated by the

Guianas, which is largely responsible for flushing and deposition in the Gulf of Paria.

Specifically, the results of a numerical simulation of the fate and transport of a conservative

(decay constant = 0) contaminant emanating from a point source located at the proposed offshore

island are shown in Figures 13.9, 13.10, 13.11 and 13.12 for the average wet season

hydrodynamic conditions in the Gulf of Paria. The numerical simulation is based on a finite

element formulation of the depth averaged Advection Dispersion Equation. From the

aforementioned results, it may be noted that the dominant fate (dispersion/dilution) of

contaminant is in the middle of the Gulf of Paria. It is also important to note that the advected

contaminants along the west coast reach a quasi-steady state concentration due to shallow depths

and low velocities.

Figure 13.8 Bathymetry of Gulf of Paria

Figure 13.9 Fate and transport of a conservative contaminant (day 1)

Figure 13.10 Fate and transport of a conservative contaminant (day 2)

Figure 13.11 Fate and transport of a conservative contaminant (day 3)

Figure 13.12 Fate and transport of a conservative contaminant (day 4)

13.9 Geotechnical issues

13.9.1 Objective

Geotechnical Engineering is concerned with soils, foundations and earthworks. It has two main

parts. One is foundation engineering, which addresses constructability, strength, durability,

deformations, and eventual fate of structures made of, on, or in soil (Terzaghi et al, 1996; Das,

2004). This includes foundations of buildings, roads, bridges, and coastal and offshore

foundations including artificial islands. The second part is environmental geotechnics, which

includes groundwater contamination and flow, aquifers, landfills, cleanup, tailings and

impoundment dams, and derelict land (Sarsby, 2000).

The objective of the present section of this paper is to discuss some generic issues associated

with the geotechnical engineering of artificial islands and reclamations, and to make some

observations that pertain directly to the proposed construction of an artificial island at Oropouche

Bank, Otaheite Bay.

13.9.2 Geotechnical design and management

To facilitate the development of an island at Oropouche Bank, geotechnical design and

management would be needed from the outset. In essence, there are two geotechnical design

tasks. One is the design of the island itself. The second is the design of the foundations for the

structures that will be placed on the island. A considerable amount of information will be needed

for these tasks, including

 • Metocean data

• Borrow source data

• Geophysical and geotechnical site investigation data

• Seismic hazard assessment data

Environmental baseline surveys [EBS's] of the borrow area and the proposed island area may

conveniently be carried out at the same time as the geophysical or geotechnical surveys. The

same companies generally offer all of these survey services. EBS's include collection of water

samples and seabed samples, transport to an onshore laboratory, and measurements of water

quality, seabed soil types and flora and fauna on and in the upper few inches of seabed.

Geotechnical standards include ASTM (2006), British Standards 1377, 5930, 6031, and 8004,

EN1997 Eurocode 7, and PCTTS 5911. Trinidad is subject to strong earthquakes

(www.uwiseismic.com). The island must be designed to withstand these as well as wind, wave,

current, tide, and storm surges. Geotechnical seismic design is described in Kramer (1996) and

Day (2002). For good predictions of bearing capacity, stability, and long term settlement, modern

finite element codes may be helpful (Potts, 2003) and constitutive modeling techniques

(Yamamuro and Kaliakin, 2005; Dean, 2007).

At an early stage, soil quality standards should be developed for the constructed island, covering

target strength and deformation parameters. Verification systems should be put in place. Seismic

design conditions for the island will need to be established. Groundwater contamination control

standards could be highly desirable. These activities will enable the second group of designers to

start their work in good time, confident of the foundation properties that will be provided once

the island is completed.

13.9.3 Setting the level of the island

One of the most important and early design decisions is the decision about what height to make

the surface of the island above the surrounding water. If the island is not high enough, it will

flood regularly, due to adverse combinations of high tides and storm surges. It seems unlikely

that flooding will be acceptable at Oropouche, due to the nature of the planned industries, and the

possibility of scour and pollution when the receding waters flow into the surrounding sea.

However, if the island is too high, the volume of material needed to construct it will be too much,

and the cost will be excessive.

The island designer will therefore need to assess the highest storm surge expected over the

design lifetime of the island. Account will need to be taken of the possible coincidence of storm

surge and high tide, and the additional effects of wave heights. Anecdotal data can usefully

supplement other information, and part of the process of acquiring data for Otaheite Bay could

involve asking long-term residents of the area for help, based on their memories of major storms

in the past. Additionally, weather and oceanographic monitoring could be initiated now.

Estimates can also be made using computer models. The models would need to take account of

effects of the proposed island itself.

13.9.4 Site investigation

Site investigation is required to determine the types of soils that exist beneath the seabed, and to

determine their properties to be able to make predictions for bearing capacity and settlement

(Wroth and Houlsby, 1985; Jamiolkowski et al, 1991). Moreover, certain soils can be
problematic, including corals and carbonate sands (Al-Shafei, 1999) and expansive clays

(Ramana, 1993; Al-Rawas and Goosen, 2006).

There is no guarantee that the soils beneath one end of the island will necessarily be the same as

the soils beneath the middle of the island, or at the other end of the island. A marine geophysical

survey would be highly useful to assess variability, as well as to identify potential submarine

geohazards. A deep geotechnical site investigation will also be needed. A schematic is shown in

Figure 13.13a. It can be done from a ship, or a barge, or a small jackup (ISMFGE, 2005). Much

of the technology and expertise required to do this is available in Trinidad.

Drill ship or jackup

Sea level

Seabed

Sub-bottom soils strata

(not to scale)

Figure 13.13a Site investigation: geophysical, geotechnical, and other

When a structure such as a building is built, its weight transfers stresses into the ground. The

stresses spread out, and have less effect for deeper soil layers. A rule of thumb is that the depth of

a site investigation should be at least as much as will ensure that the additional stresses due to

constructed works will be less than 5% of the in-situ vertical effective stress at the maximum

depth of investigation (Das, 2004). On this basis, borehole depths would be needed according to

the following table, depending on the height of the island above mean sea level. The
recommended depths shown in the table are calculated on the following assumptions (i) the mean

water depth at the proposed location is 3m, (ii) submerged unit weight of fill and existing seabed

materials will be 9 kN/m3 (iii) bulk unit weight of fill will be 19 kNm3 (iv) average stress due to

weight of buildings is 20 kN/m2 over entire island area.

Height of island above mean sea Recommended minimum depth

level for deep boreholes

1m 150 m

2m 190 m

3m 230 m

4m 270 m

5m 310 m

Four or five deep boreholes may be needed to get a preliminary idea of the deep foundation

conditions. Additional boreholes, including many shallower boreholes, would be decided on the

basis of the preliminary investigation, taking account of planned construction on the island.

Many shallower boreholes would also be needed along the shoreline of the proposed island, for

geotechnical design of a seawall. Boreholes may also be needed to the North of the island, for

assessment of seabed slope stability. In-situ tests will need to be conducted within the boreholes,

including cone penetration tests to assess the in-situ geotechnical properties. Many soil samples

will need to be recovered from all depths in the boreholes, and tested in a laboratory. Laboratory

tests would include classification and index tests, chemical tests, strength tests, expansivity and

consolidation tests, and resonant column and cyclic tests for seismic foundation design (Kramer,

1996; Hunt, 2005; Head, 2006).

The proposed causeway linking the island to shore is also a large construction project in its own

right. Boreholes will be needed along its length, and beneath the proposed landfall works.

13.9.5 Island construction – seawall

The first main step in the construction of a large island is normally to construct a seawall

(Herbich, 2000a). This is illustrated schematically in Figure 13.13b. One way to construct the

wall is to make many large concrete boxes or caissons. The caissons are floated out from the

onshore construction yard, and then sunk in a line to build up the wall. A seawall can

alternatively consist of concrete blocks, or can be made using sheet piles. At Kansai airport, the

seawall is 11 km long. It took a year and a half to build (Waugh, 2004).

Seawall

Sea level

Seabed

Sub-bottom soils strata

(not to scale)

Figure 13.13b Seawall construction

Geotechnical considerations for seawalls include the bearing capacity of the soils that support the

wall, the short and long-term settlements of the foundation soils, the ability of the walls to resist

lateral loading from the earth they will later retain, and from the sea, and the overall slope

stability of the combination of wall and island foreshore.

13.9.6 Island construction – filling

The next main stage of construction is to place soil into the space enclosed by a seawall. This is

likely to be a major part of the construction cost, and take a major part of the construction time.

It is illustrated schematically in Figure 13.13c. The soil is brought from a somewhere else, called

a "borrow source". It would typically be dredged from a nearby area, and then either dumped

directly from a barge, or piped onto the island as the island gradually takes shape (Herbich,

2000b). The volume of dredged material that will be needed can be calculated by multiplying the

area of the proposed reclamation, 1400 hectares, by the sum of the following two numbers:
(1) the average water depth over the proposed reclamation area.

(2) the height of the main surface area of the island above the average water depth.

Dredger-spreader ship

Sea level

Seabed

Sub-bottom soils strata

(not to scale)

Figure 13.13c Filling the island

The average water depth over the proposed reclamation area is about 3m. If we add the design

height of the island above mean water level, then multiply the result by the proposed island's

area of 1400 hectares (14 million square metres), we will get the volume of fill needed to

construct the island. Results, which are tabulated below, are calculated on the following

assumptions (i) the mean water depth at the proposed location is 3m, (ii) no dredged material is

wasted. It may also be noted that compaction of the fill and settlement of the underlying strata

have not been considered in these calculations. These effects will add to the required dredge

volume.
 Height of island above mean sea Estimated volume of fill
level required, (m3)

1m 56 million

2m 70 million

3m 84 million

4m 98 million

5m 112 million

By comparison, 178 million m3 of fill was needed for Kansai airport, and 350 million m3 for

Hong Kong airport (Stive, 2005). Estimates of timescales for dredging and placing these

volumes of fill would be provided by dredging contractors once a height is decided, a source of

fill material is found, and an assessment of world-wide plant availability is made.

Not every soil is suitable for island construction. A search may be needed to find a suitable

borrow source well in advance of construction. Much of the geophysical and geotechnical

technology to do this search is available from the same companies that provide offshore site

investigation services. The removal of material from the borrow source can have major

environmental impacts, including impacts for sediment transport and beach morphology. An

additional impact assessment will be needed for this.

13.9.7 Island construction – consolidation and compaction

The final, as-placed fill material can have variable engineering properties. It may be loose and

weak in places, but dense and strong elsewhere. It may contain air voids, which can give the

material a misleading, temporary cohesive strength that will disappear over time as the air slowly

dissolves in the water that remains in the soil. Sandy hydraulic fill is prone to liquefaction
(Sladen et al, 1985). Clayey hydraulic fill is often either very soft, or else composed of clay

blocks interspersed with large holes or voids that are filled with water (Yang and Tan, 2005;

Chung et al, 2006). For these reasons, the soil fill must be compacted before it can be used for

the foundations of industrial or other structures on the island. As the fill is placed, consolidation

will start in the underlying clays, potentially leading to large settlements. This may need to be

accelerated by sand drains or other means.

Compaction may be started during the filling operations, or afterwards. The first fill material is

poured underwater, and this material needs to be compacted as well as the final fill layers above

the water line. Das (2004) and Moseley and Kirsch (2004) have summarized some methods e.g.

rolling, compaction by vibrations, compaction pile driving, explosive compaction, or preloading

(Figure 13.13d). Compaction is a major work in terms of time as well as cost. All compaction

options can have significant environmental effects such as noise, and this will need to be

considered in the environmental impact assessment of island construction operations.

Sea level

Seabed

Sub-bottom soils strata

(not to scale)

Figure 13.13d Compacting the fill

13.10 Final construction and long-term issues

While the island is being built, the causeway connection to shore will also need to be

constructed, Figure 13.13e. Early completion of the causeway will provide access to machinery

for compaction and for construction materials and equipment. As and when compaction is

completed over part of the island, it will be possible to start the construction of road, services,

and industrial and other structures on that part (Figure 13.13f). Two issues may dominate the

long-term geotechnical engineering characteristics of the island. One is settlement. Experience at

Kansai airport demonstrates that, if an island is built on deep clay deposits, primary and

secondary consolidation settlements can be very large. A major objective of the site investigation

and early design work for the proposed island would involve the estimation of long term

settlements for the Oropouche site, and the development of methods of settlement control.

Continued monitoring of geotechnical processes for the island may be needed. The second issue

is likely to be groundwater quality control. Another earlier chapter describes the use of an

impoundment dam to control spikes in contaminants released from an aluminium smelter plant.

There might also be other sources of accidental or deliberate spillages into groundwater. Over

time, and with rainfall, the island's groundwater may flow laterally, passing under or through the

seawall and into the sea, taking contaminants with it. A decision on tolerable groundwater

pollution levels may be needed and monitoring systems to verify that these levels are not

exceeded.
 Gap with bridge Approach
100m wide structure
across
causeway (?)

Figure 13.13e Causeway construction

Industrial plant, shops,

factories, offices, roads,
etc

Sea level

Seabed

Sub-bottom soils strata

(not to scale)

Figure 13.13f Building construction and operations

13.11 Conclusion

This paper briefly considered oceanographic, coastal, and geotechnical engineering aspects of

the proposed development at Oropouche Bank, Otaheite Bay. Some major considerations have
been pointed out in all three of these subject areas. Statements and opinions recorded here are

preliminary in nature. More studies are needed in all three areas.

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 Chapter 14

Epilogue

Mukesh Khare

14.1 What we have learned?

The task now is to highlight what we have learned. Are there ways in which the complexity of

the environmental and engineering perspectives in aluminium smelting process can be

understood, and if so what are the tools that may be used to evaluate them? A plethora of issues

in this book suggests that aluminium smelting has potential environmental impacts. There are

many important benefits that may accrue to the island from a development of this nature. Many

of these benefits respond directly to the challenges facing SIDS including growing and

diversifying their economics and providing energy access and security. The key issue in this

debate is who benefits and how they benefit if an aluminium-smelting industry is established.

The challenge the world over is for sustainable development and nowhere is this more acute than

for SIDS. What we are looking at is how best to represent the environment and ‘best’ will depend

on why is it we want to represent the environment at all. In the same ways that artistic

representations of the environment customise it the way we would like to look at than a simple

photographic reproduction, so too do our environmental and engineering principles described in

this book that have produced formal frameworks ensuring minimization of the environmental

and social impacts associated with primary aluminium smelters. Only by an iterative testing of

the principles of sustainable management associated with aluminium smelting – confronting

them with as wide a range of different datasets and simulations as possible – can we hope to
learn more and provide synthesis of our understanding in which we can have a high degree of

confidence in explaining the viability of aluminium smelter development in Trinidad and

Tobago. In this chapter, we provide an overview of some of the ways in which this process might

happen and related limitations, drawn on the preceding chapters of the book.

As noted by Sankat in Chapter 1, integration of industrial processes in aluminium production in

the Caribbean region is the utmost need for its social and economic growth.

Instead of merely bauxite for export, aluminium and semi-fabricated and fabricated aluminium

products must be manufactured. There are also concerns about the absence of ‘linkage’

industries such as caustic soda, (used in alumina process) and shipping. In 1965, Professor H.

Dudley Huggins, of the University of West Indies, in his book, “Aluminium in Changing

Communities” also argued among other things, for more alumina processing at the expense of

bauxite mining. Huggins (1965) has argued that Caribbean community produces 58 per cent of

world’s Bauxite but manufactures only 12 per cent of its alumina. However, North America and

the United Kingdom economic ‘community’ manufactures over 75 per cent of world’s output of

alumina and 80 per cent of aluminium. The study has succeeded in painting a picture of the

world - wide ramifications of the aluminium industry and in doing so emphasized the

interdependence of the elements in the world economy in a way that economic geographers may

find absorbing (see also Davis, 2006). The chapter has placed great emphasis on the integration

of the industry via regional collaboration to enable the Caribbean region to become a major

exporter of alumina, primary aluminium and semi-fabricated products. This would give a major

boost to the Caribbean Community – it would generate a significant expansion in economic

activities.
Pratt (chapter 2) has stated that the aluminium industry has three different businesses, with

different sources of competitive advantage. These businesses are, first, resource driven,

consisting of mining of Bauxite-Alumina and their smelting; second, process driven, containing

rolling and extruding processes; and third, customer driven, mainly the ‘downstream’ value –

added products. The study has analysed the current situation and outlook for the global

aluminium and metallurgical alumina markets, and assessed the impact of corporate activity on

the integrated and third party market. One of the factors, Pratt has pointed out, affecting the cost

– benefit market of aluminium smelter is its location. Aluminium smelting is a power – intensive

industry and so the most attractive location would be where cheap and abundance power is

available. Binczewski (2002) has also described how devastating suddenness of the energy crisis

in the western United States in 2000–2001 led to the shutdown and dismantling of one of the

world’s largest aluminum reduction facilities of its time, the Kaiser aluminum smelter. Thus,

Trinidad and Tobago becomes an attractive ‘power island’ due to availability of energy resources

and power supply at competitive cost; well placed for alumina supplies from Jamaica, Suriname

and Venezuela; well placed to export to North America and Europe, both of which have

increasing import requirements; and stable business environment.

There is sufficient commonality across the global perspectives of aluminium production

(chapter 1) and associated economics (chapter 2) that is carried out within traditional

disciplinary boundaries to discuss issues and overcome the limitations posed by such myopia.

However, an efficient designed and planned integration coupling production and smelting

technology, manufacturing industry and economics may help us to communicate across these
same boundaries reaching optimal conclusions in different contexts and thus ensuring the

sustainable development of the state and the region.

Chapters 3 and 4 (Part II) have analytically described the issues on land use planning and

integrated coastal and physical planning relevant to SIDS environment. Collaborative land

development planning processes that build trust among the stakeholders and results in projects

that are specifically designed to improve their surrounding neighborhoods are preferred. When a

neighborhood group concerned about a proposed project sets up a collaborative process

specifically to improve trust with the developer and city officials, all stakeholders are generally

willing to participate and explore new ideas. This do-it-yourself process reduces confrontation

and results in these benefits:

• Community-enhancing features are added to proposed projects.

• Neighborhoods adjacent to the proposed project gain an improved sense of safety and

community.

• As stakeholder trust improves, the permitting process becomes less aggravating, more

efficient, and with less litigation.

Besides, the planning process helps to decide on the best use of the national land resources and

make proposals for the development of these resources in a spatially coordinated national

framework integrating the environmental, social, economic and infrastructural need of the

society. Therefore, land use planning should eventually become a statutory document, which

informs the government, private sector and the population in general to the likely direction of

development, including the consideration of industrialization as a platform.

In chapter 5 (Part III), the author has explained an overview of the impacts potentially invoked

by primary aluminium production. The overview is started with a full life-cycle description of

the aluminium production process, from mining through to finished products, thereafter

focussing on the specifics of primary aluminium production firstly in terms of the process itself

and then the associated environmental and social aspects. The chapter has pointedly discussed

the consequences of the development of the smelter within the context of SIDS. The catch lies in

who benefits from the wealth that will be created by the aluminium smelter. In accessing the

potential benefits of the smelter, the pendulum rotates between two entities, one, the energy

resource that is held by the country and second, the carrying capacity of the island that will be

taken up by the aluminium smelter. It represents assessment of the sustainability of the smelter.

Making a real contribution to sustainable development is one of the more challenging aspects of

establishing a primary aluminium smelter. The author has stated that sustainable development

should be the measure of the acceptability of the smelter, not just its waste and pollution

management. In terms of sustainable development, one of the more vexing questions is how to

value a natural resource, especially a non-renewable resource like natural gas. The chapter argues

strongly that sustainable development principles need to frame the EIA. It has also been

presented that given modern smelter controls, the environmental and social aspects associated

with a primary aluminium smelter can be managed to ensure that they do not result in significant

impacts on the ecology or the island and/or its inhabitants. To give an example, the Aldoga

aluminium smelter in Australia is establishing a world-class ‘greenfield’ aluminium smelter using

environmentally responsible and state – of – the - art technology to produce 420,000 tonnes of

aluminium per year for Australia’s export markets, generating $45 billion in export income over
the 30-year life of the project. The Ecologically Sustainable Development Plan of the Aldoga

smelter aims at working with Australian industries and universities on research and development

in areas of energy efficiency, greenhouse issues, renewable energy, smelting technologies and

agri – forestry (see http://www.aldoga.com/). Besides, the International Aluminium Institute

(IAI) is monitoring and reporting on a number of widely used sustainable development indicators

such as energy use, greenhouse gas emissions and safety performance. The institute sees

sustainable development, as a tool for satisfying stakeholder concerns and measuring business

performance (IAI, 1987).

The basic premise of pollution prevention is minimizing or preventing generation of wastes at

the waste generating source. This is often accomplished through process or raw material changes.

Also an element of waste minimization is beneficially reusing or recycling materials that would

otherwise be wastes. All materials taken from the environment eventually find their way back

into the environment and into the biosphere. Basic elements of proper waste management are

described in detail by the authors pertaining to aluminium smelting in chapter 6. Among the

pollutants produced in aluminium smelting process, fluorides (particulate and gaseous), the

perfluorocarbons (PFCs) in form of CF4 and C2F6 which have greenhouse gas warming potential

of 6,500 and 9,200 times that of CO2 (IAI, 1987) and SPL are most important pollutants.

However, during last decade the use of modern control equipment with efficient gas collection

and wet/dry scrubbing systems have reduced fluoride and sulphurous anhydride by 45% and

59%, respectively (IAI, 1987). Fluoride control systems are operated as closed loop systems with

no residual wastes. Worldwide estimates show that the improvements in industrial processes in

the primary aluminium industry has reduced the total PFC emissions to the atmosphere by about
39% as CO2 equivalent emissions, amounting to 34 million tonnes of CO2 (IAI, 1987). Further,

Mansfield et al (2002) have described how the ‘Alcoa Portland SPL Process’ have converted

10,000 tonnes of hazardous SPL into non - hazardous useful products.

The maximum achievable control technology (MACT) reduces the emissions through application

of measures, processes, methods, systems or techniques including, but not limited to: (i) reducing

the volume of, or eliminating emissions of, such pollutants through process changes, substitution

of materials, or other modifications, (ii) enclosing systems or processes to eliminate emissions,

(iii) collecting, capturing, or treating such pollutants when released from a process, stack, storage

or fugitive emissions point, (iv) design, equipment, work practice, or operational standards, as

described in Chapter 7.

The authors provide basic background information used in the development of MACT standards

for the primary aluminum industry. The compliance requirements for the aluminium smelting

industry have also been explained along with guidelines of formulating environmental standards.

It is worthwhile to emphasize here that for hazardous industries like aluminium smelters,

formulation and implementation of ‘emission standards’ as MACT standards are much more

effective in sustaining the environmental quality than any other standards types.

The authors have described occupational health and epidemiological literature on human health

effects of working in Prebake aluminium smelters in Chapter 8. Rønneberg et. al. (1999) and

Abramson et. al. (1989) have implicated the exposure of Coal tar pitch volatiles (CTPV), PAHs,

Fluorides (gas and particle) and other alumina and calcined coke dusts as causal agents for
excess cancers and/or respiratory disease in the primary aluminium industry. Typically, in many

of the jobs and tasks, the worker can be simultaneously exposed to all of these dusts and fumes.

But it depends on the stage of the smelting process and task as to the ‘mix’ of concentrations of

the various exposures. Personal Protective Equipment (PPE) and Local Exhaust Ventilation

(LEV) are effective control measures that can be implemented in modern aluminium smelters to

protect the workers (Sim and Benke, 2003). Similarly, through the use of modern

communications, consensus, and teamwork, the author (Chapter 9) has outlined the

methodology used in the Human Health and Ecological Risk Assessment (HHERA) from the

substances emitted to the air from the proposed aluminium complex in Trinidad and Tobago on

people residing and/or working in the immediate area surrounding the proposed smelter. The

conceptual site model (Exponent, 2005) for identifying chemical sources, complete exposure

pathways, and potential receptors on which to focus the risk assessment describes the physical

characteristics of the ecosystem, and identify potential exposure pathways and receptors. The

risk assessment methodology uses site-specific assessment endpoints that address chemical-

specific potential adverse effects to local populations and communities of plants and animals

(U.S.EPA 1999).

Miller (1992) and Wilson (1994) have defined impact on the environment as I = PAT, i.e. the

effect of population x affluence x technology. The population (P), the affluence (A) and the

technology (T) affect the processes and mechanisms, which maintain the biological diversity

(Figure 14.1).
 Figure 14.1 The relationship between human activity and biodiversity impacts
Source: http://redpath-museum.mcgill.ca/Qbp/11.Conservation/impacts.htm

The problems of overpopulation, over consumption, development and industrialization are

intertwined and the causes are not singular and straightforward. Therefore, the question arises -

is it better to protect individual species or to protect ecosystems and habitats? The answer is to

conserve the variety of ecosystems that have permitted this diversity to emerge and survive

(http://www.cciw.ca/eman/intro.html). Additionally, in the present scenario of global climate

change, ecological systems are not as benign or as predictable as we would like to believe and

this applies to the smaller scale of local ecosystems as well e.g. the ecosystem of Trinidad and

Tobago. In such circumstances, there lies the need for identification of the issues we do not have

enough information on, creative problem-solving approaches and sound informed planning as

outlined in Figure 14.1. The authors, in Chapters 10, 11, and 12 have analysed these issues in

depth and discussed mitigation measures to minimise the effects of any proposed development
on the freshwater ecosystems, plant biodiversity and animal habitats particularly with reference

to SIDS environment for Trinidad and Tobago.

Chapter 13 focuses on Oceanographic and Civil Engineering aspects of artificial island

development - a distinct alternative for its use as an industrial estate and a power generating

facility. In both the American and Canadian Beaufort Sea, over 20 artificial islands have been

built in depths ranging from a shallow (~ 2 m) to a maximum of 30 m (Hans, 1985). The type

and feasibility of island construction depends on three major parameters – environmental,

demographical, and political (Zadikoff, 1985). The environmental parameters mainly include the

location and purpose of the island (e.g. shallow or deep, and requirements for constructing the

berm); geotechnical aspects (e.g. availability of filler material and the stability of foundation and

slope); and wave and current refraction aspects (e.g. ensuring the peripheral stabilities of the

island depending upon the filler material used). C. Fitzpatrick

(http://2100.org/w_oceancitieslegal.html) has reported to deploy a safety zone (diameter < 500

m) to ensure peripheral stability of the artificial islands against direct wave attack and also for

navigational purposes in the territorial waters (Figure 14.2).

Figure 14.2 Safety zone in artificial island

14.2 Pointers for future direction

What should be apparent from the different contributions in this book is that the aluminium

industry’s main sustainability challenges are natural resource extraction, habitat impacts, energy

use, health and emissions and waste disposal. Full life cycle study of the metal is required to

define its positive and negative impacts on the global environment.

Production of primary aluminium requires significant energy and the industry has a long

tradition of self - improvement in this area. The average energy consumption and subsequent

emissions per tonne of production have fallen by 70% over the past hundred years, due to

research and continuing process developments. In the 1950's on average around the world it took

about 21 kWh (kilowatt-hours) to make a kilogram of aluminium from alumina. In 1999 it took

one of the newest smelters just 13 kWh, a decrease of nearly 40%. More than 55 per cent of the

world's primary aluminium is produced using hydro-electric power which is clean, CO2 free and

renewable.

Water use will be an important consideration in the full life cycle studies. Water is used in the

aluminium industry for cooling in certain processes and sanitary purposes. The effluents

generated from the sanitary services of the smelter may be treated and used to water the green

area within the smelter boundaries. On rainy days the treated liquid effluents that cannot be re-

used for watering the green areas, may be accumulated in an artificial pond for watering the

surrounding forested area known as the ‘buffer zone’.

Over the last decade, the damage from fluoride emissions to surrounding flora and fauna has

largely been eliminated due to prevalent use of modern and efficient fluoride control devices in

pot rooms. Hence the reduction in PFC compound emissions to the atmosphere. The Surveys

show that smelters in the developing world are performing as well if not better than some plants

in Europe or North America (IAI, 1987). The aluminium industry also helps in reducing the

green house gas emissions from the transport sector with its contribution to lightweight and

improved performance of vehicles etc through aluminum usage.

Anything made of aluminium can be recycled repeatedly using only about 5% of the energy

required for primary production and generating only 5% of the greenhouse gas emissions. The

recycling of aluminium saves energy, conserves natural resources, reduces the use of city

landfills and provides added revenue for recyclers. It is good news for the environment and good

for the economy too.

However, there is safety and health related risks involved in all the process steps in an aluminium

smelter. It is therefore necessary to identify systematically all the hazards, have standards of

good practice, committed management and systems for a structured follow up in all the different

phases. The aluminium smelters must have the broad-based support of the community, as

expressed through consultative structures. There should be comprehensive benchmarking data on

the overall performance of smelters with an award to the best performers; such information acts

as a driving force for continuous improvement in smelting industries. For 2000, the best

performing smelters were in India and Brazil and the best performing alumina refinery was in

India (IAI, 1987).

Concluding the discussions, the aluminium smelters must adopt a two-tiered approach, which

involves organising workshops to share experience and good practice amongst other smelting

companies. In this way the small to medium size as well as the big aluminium smelter companies

can be made aware of the international importance of sustainable development and of the need to

make it part of their own management and operating philosophy.

 References

1. Abramson M, Wlodarczyk J, Saunders N, et al. 1989. ‘Does aluminium smelting cause lung
disease?’ Am Rev Respir Dis, 139:1042–47.

2. Binczewski, G. J. 2002. ‘The Energy Crisis and the Aluminum Industry: Can We Learn from
History?’ J. of Minerals, Metals and Material Society (JOM), TMS online,
http://www.tms.org/pubs/journals/JOM/0202/Binczewski-0202.html.

3. Davis. C. 2006. “Production Integration. The case for a Regional Aluminium Smelter”. In
Production Integration in CARICOM, ed. Dennis Benn and Ken Hall. Kingston: Ian Randle
Publishers.

4. Exponent. 2005. ‘Ecological Risk Assessment for Use of Wet Scrubbers at Alcoa Fjarðaál
Aluminum Plant in Reyðarfjörður, Fjarðabyggð, Iceland’, Doc. no. BE02664.001 0105 0905
NG08, prepared for Alcoa, 6603 West Broad Street
Richmond, VA 23230. http://www.alcoa.com/iceland/ic/pdf/2006_04_vidauki_9_en.pdf.

5. Hans, Jahns 0. ‘Offshore Outlook: The American Arctic’, (lecture, Mechanical Engineering
Department, Florida Institute of Technology, FL, May 1985).

6. Huggins, H. D. 1965. Aluminium in Changing Communities. Andre Deutsch in association

with Institute of Social and Economic Research, the University of West Indies. London.

7. International Aluminium Institute. 1987. ‘The aluminium industry’s sustainable

 development report’, International Aluminium Institute, New Zealand House, London.
www.world-aluminium.org.

8. Ken Mansfield, Gavin Swayn and Jim Harpley. 2002. ‘The spent pot lining treatment and
Fluoride recycling project’, Portland Aluminium, Private Box 1, Portland, Victoria 3305,
Australia. ken.mansfield@alcoa.com.au.

9. Miller, R.R.; J.D. Williams & J.E. Williams. 1989. ‘Extinctions of North American fishes
during the past century’, Fisheries, 14: 22-38.

10. Rønneberg A, Landmark F. 1999. ‘Epidemiologic evidence of cancer in aluminium reduction

plant workers’, Am J Ind Med, 22:573–90.

11. Sim, M. and G. Benke. 2003. ‘World at work: Hazards and controls in aluminium potrooms’,
Occup Environ Med, 60:989–992.

12. U.S. EPA. 1999. ‘Issuance of final guidance: Ecological risk assessment and risk
management principles for Superfund sites’, OSWER directive 9285.28P, U.S.
Environmental Protection Agency, office of Solid Waste and Emergency Response,
Washington, DC.

13. Wilson, E.O. 1994. ‘Only humans can halt the worst wave of extinctions since the dinosaurs
died’, Essay found on-line at the Alberta Special Places.
http://www.afternet.com/~teal/index.html.

14. Zadikoff, G. 1985. ‘Artificial Islands: A Distinct Alternative’, Oceans 17:1056-1061.