ENVIRONMENTAL, HEALTH

AND SAFETY GUIDELINES

MANUAL
 TABLE OF CONTENTS
Preface
Nusantara Infrastructure Tbk, is pleased to announce that it has formally
established an overarching Health, Safety and Environment (HSE) Department
at the holding group level to manage and oversee HSE the activities of all its
subsidiary business units and their multiple projects to ensure that all are
compliant with the HSE standards of the World Bank Group, the IFC, the
Government of Indonesia and international ‘best practice’.
High standards of HSE compliance has always been an essential part if NI’s
business development but with the business expansion of the past few years
and projected future expansion, it was decided to formalize this vital aspect
under one specialized department. Each business unit has its own dedicated
HSE Committee that reports to the NI HSE Department and is responsible for
ensuring that all projects in its portfolio, be they operational, under
construction or in the planning stages, are fully compliant with the best HSE
principles and guidelines as enshrined in the following World Bank Group and
the International Finance Corporation (IFC) manuals:
• Environmental, Health and Safety General Guidelines
• Environmental, Health and Safety Guidelines for Water and Sanitation
• Environmental, Health and Safety Guidelines for Toll Roads
• Environmental, Health and Safety Approaches for Hydropower Projects
• Environmental, Health and Safety Approaches to Biomass Projects
• Environmental, Health and Safety Guidelines for Ports, Harbours and
Terminals
The NI Health, Safety and Environment (HSE) Manual is derived from the World
Bank Group and IFC EHS guidelines referred to above and constitutes the
‘standard’ for EHS that will be followed by all NI’s Business Units and projects.

PART A Environmental, Health and Safety (EHS) Manual

Environmental, Health and Safety General Guidelines 1
Introduction 1
General approach to the management of EHS Issues at the Facility or Project Level 2
1.0 Environmental 3
1.1 Air Emissions and Ambient Air Quality 3

i
 Applicability and Approach 3
Ambient Air Quality 4
General Approach 4
Projects located in Degraded Airsheds or Ecologically Sensitive areas 5
Point Sources 5
Stack Height 5
Small Combustion Facilities Emissions Guidelines 6
Fugitive Sources 8
Volatile Organic Compounds (VOCs) 8
Particulate Matter (PM) 8
Ozone Depleting Substances (ODS) 9
Mobile Sources – Land-based 9
Greenhouse Gases (GHGs) 9
Monitoring 10
Monitoring of Small Combustion Plant Emissions 11
Annex 1.1.1 – Air Emissions Estimation and Dispersion Modeling
Methods 13
Annex 1.1.2 – Illustrative Point Source Air Emissions Prevention and
Control Technologies 14
Annex 1.1.3 – Good International Industry Practice (GIIP) Stack Height 16
Annex 1.1.4 – Examples of VOC Emissions Controls 16
Annex 1.1.5 – Fugitive PM Emissions Controls

1.2 Energy Conservation 18

Applicability and Approach 18
Energy Management Programs 18
Energy Efficiency 18
Process Heating 19
Heating Load Reduction 19
Heat Distribution Systems 19
Energy Conservation System Efficiency Improvements 20
Process Cooling 20
Load Reduction 21
Energy Conservation 21
Refrigerant Compression Efficiency 23
Refrigeration System Auxilliaries 23
Compressed Air Systems 24
Local Reduction 24
Distribution 24

1.3 Wastewater and Ambient Water Quality 25

Applicability and Approach 25
ii
 General Liquid Effluent Quality 26
Discharge to Surface Water 26
Discharge to Sanitary Sewer Systems 26
Land Application of Treated Effluent 27
Septic Systems 27
Wastewater Management 27
Industrial Wastewater 27
Sanitary Wastewater 29
Emissions from Wastewater Treatment Operations 30
Residuals from Wastewater Treatment Operations 30
Occupational Health an Safety Issues in Wastewater Treatment
Operations 30
Monitoring 30
Annex 1.3.1 – Examples of Industrial Treatment Approaches 32

1.4 Water Conservation 33

Applicability and Approach 33
Water Monitoring and Management 33
Process Water Reuse and Recycling 33
Building Facility Operations 34
Cooling Systems 34
Heating Systems 34

1.5 Hazardous Materials Management 36

Applicability and Approach 36
General Hazardous Materials Management 37
Hazard Assessment 37
Management Actions 37
Release Prevention and Control Planning 38
Occupational Health and Safety 38
Process Knowledge and Documentation 39
Preventive Measures 39
Hazardous Materials Transfer 39
Overfill Protection 39
Reaction, Fire and Explosion Prevention 40
Control Measures 40
Secondary Containment (Liquids) 40
Storage Tank and Piping Leak Detection 41
Underground Storage Tanks (USTs) 41
Management of Major Hazards 42
Management Actions 42
Preventive Measures 43
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 Emergency Preparedness and Response 44
Community Involvement and Awareness 44

1.6 Waste Management 46

Applicability and Approach 46
General Waste Management 47
Waste Prevention 47
Recycling and Reuse 48
Treatment and Disposal 48
Hazardous Waste Management 48
Waste Storage 48
Treatment and Disposal 49
Small Quantities of Hazardous Waste 50
Monitoring 50

1.7 Noise 52
Applicability 52
Prevention and Control 52
Monitoring 53

1.8 Contaminated Land 54

Applicability and Approach 54
Interim Risk Management 56
Detailed Risk Assessment 56
Permanent Risk Reduction Measures 57
Occupational Health and Safety Considerations 59

2.0 Occupational Health and Safety 60

Applicability and Approach 60
2.1 General Facility Design and Operation 61
Integrity of Workplace Structures 61
Severe Weather and Facility Shutdown 61
Workspace and Exit 61
Fire Precautions 62
Lavatories and Showers 62
Potable Water Supply 62
Clean Eating Area 62
Lighting 62
Safe Access 62
First Aid 63
Air Supply 63
Work Environment Temperature 63
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2.2 Communication and Training 63
OHS Training 63
Visitor Orientation 63
New Task Employee and Contractor Training 63
Basic OHS Training 64
Area Signage 64
Labelling of Equipment 64
Communicate Hazard Codes 64

2.3 Physical Hazards 64

Rotating and Moving Equipment 65
Noise 65
Vibration 65
Electrical 66
Eye Hazards 67
Welding/Hot Work 67
Industrial Vehicle Driving and Site Traffic 67
Working Environment Temperature 68
Ergonomics, Repetitive Motion, Manual Handling 68
Working at Heights 68
Illumination 69

2.4 Chemical Hazards 69

Air Quality 70
Fire an Explosions 70
Corrosive, Oxidizing and Reactive Chemicals 71
Asbestos Containing Materials (ACM) 71

2.5 Biological Hazards 71

2.6 Radiological Hazards 73

2.7 Personal Protective Equipment (PPE) 73

2.8 Special Hazard Environments 74

Confined Space 74
Lone and Isolated Workers 75

2.9 Monitoring 75
Accidents and Disease Monitoring 76

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3.0 Community Health and Safety
3.1 Water Quality and Availability 77
Water Quality 77
Water Availability 77

3.2 Structural Safety on Project Infrastructure 78

3.3 Life and Fire Safety (L&FS) 79

Applicability and Approach 79
Specific Requirements for New Buildings 79
L&FS Master Plan Review and Approval 80
Specific Requirements for Existing Buildings 81
Other Hazards 81

3.4 Traffic Safety 81

3.5 Transport of Hazardous Materials 82

General Hazardous Materials Transport 82
Major Transportation Hazards 83

3.6 Disease Prevention 85

Communicable Diseases 85
Vector-Borne Diseases 85

3.7 Emergency Preparedness and Response 86

Communication Systems 86
Emergency Resources 87
Training and Updating 87
Business Continuity and Contingency 88
Applicability and Approach 88

4.0 Construction and Decommissioning 89

4.1 Environment 89
Noise and Vibration 89
Soil Erosion 89
Air Quality 90
Solid Waste 90
Hazardous Materials 91
Wastewater Discharges 91
Contaminated Land 91

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 4.2 Occupational Health and Safety 92
Over-exertion 92
Slips and Falls 92
Work in Heights 92
Struck by Objects 93
Moving Machinery 93
Dust 93
Confined Spaces and Excavations 93
Other Site Hazards 94

4.3 Community Health and Safety 94

General Site Hazards 94
Disease Prevention 94
Traffic Safety 95
References and Additional Sources 96

PART B Environmental, Health and Safety (EHS) Manual

Environmental, Health and Safety Guidelines for Water and Sanitation 1
Introduction 1
Applicability 1
1.0 Industry Specific Impacts and Management 2
1.1 Environment 2
1.1.1 Drinking Water 2
Water Withdrawal 2
Water Treatment 2
Solid Waste 3
Wastewater 3
Hazardous Chemicals 4
Air Emissions 4
Water Distribution 4
Water System Leaks and Loss of Pressure 5
Water Discharges 5
1.1.2 Sanitation 5
Fecal Sludge and Septage Collection 5
Sewerage 6
Domestic Wastewater Discharges 6
Industrial Wastewater Discharges 7
Leaks and Overflows 7
Wastewater and Sludge Treatment Discharge 8

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 Liquid Effluents 9
Solid Waste 9
Air Emissions and Odors 10
Hazardous Chemicals 10

1.2 Occupational Health and Safety 10

Accidents and Injuries 11

Chemical Exposure and Hazardous Atmospheres 11
Pathogens and Vectors 12
Wastewater and Sludge Treatment 13
Land Application 13
Noise 14
1.3 Community Health and Safety 14
1.3.1 Drinking Water 14
Water Intake (Water Supply Protection) 14
Water Treatment 14
Drinking Water Quality and Supply 15
Hazardous Chemicals 15
Water Distribution 15
1.3.2 Sanitation 16
Wastewater and Septage Collection 16
Wastewater and Sludge Treatment 16
Liquid Effluents 16
Air Emissions and Odors 16
Physical Hazards 17
Land Application 17

2.0 Performance Indicators and Industry Benchmarks 18

2.1 Environmental Performance 18

Guidelines 18
Drinking Water 18
Sanitation 18
Environmental Monitoring 18

2.2 Occupational Health and Safety Performance 19

Occupational Health and Safety Guidelines 19
Accident and Fatality Rates 19
Occupational Health and Safety Monitoring 19
3.0 References and Additional Sources 20

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Annex A: General Description of Industry Activities 22
A.1 Drinking Water Supply 22
Water Sources 22
Water Treatment 22
Removal of Suspended Solids 22
Removal of Dissolved Contaminants 24
Disinfection 26
Water Distribution and Storage 27
A.2 Sanitation 28
Sludge Collection 28
Sewerage 28
Wastewater Treatment 29
Primary Treatment 29
Secondary Treatment 30
Tertiary Treatment 32
Disinfection 32
Wastewater Re-use 32
Sludge Treatment and Disposal 33
Sludge Treatment 33
Sludge Disposal and Use 33

PART C Environmental, Health and Safety (EHS) Manual

Environmental, Health and Safety Guidelines for Toll Roads 1
Introduction 1
Applicability 1
1.0 Industry Specific Impacts and Management 2
1.1 Environment 2
Habitat alteration and fragmentation 2
Road Construction 2
Right-of-Way Maintenance 3
Stormwater 4
General Stormwater Management 4
Road Paving 5
Road Deicing 5
Waste 5
Construction Phase 6
Road Resurfacing 6
Miscellaneous Wastes 6

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 Painting Activities 6
Noise 6
Air Emissions 7
Wastewater 7

1.2 Occupational Health and Safety 7

Physical Hazards 8
Moving Equipment and Traffic Safety 8
Elevated and Overhead Work 8
Fall Protection 8
Chemical Hazards 9
Noise 10

1.3 Community Health and Safety 10

Pedestrian Safety 10
Traffic Safety 10
Emergency Preparedness 11

2.0 Performance Indicators and Monitoring 11

2.1 Environment 11
Emissions and Effluent Guidelines 11
Environmental Monitoring 11

2.2 Occupational Health and Safety 11

Occupational Health and Safety Guidelines 11
Accident and Fatality Rates 12
Occupational Health and Safety Monitoring 12

3.0 References and Additional Sources 13

Annex A: General Description of Industry Activities 14

Design and Construction 14

Sub-grade, Sub-base and Base Layers 14
Wearing Layer 14
Asphalt 14
Concrete 15
Pavement Marking 15
Toll Stations 15
Operation and Maintenance 16

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PART D Environmental, Health and Safety (EHS) Manual
Environmental, Health and Safety Guidelines for Hydropower Projects

1. Industry-Specific Impacts and Management 1

1.1 Environment 1
1.1.1 General Principles for Identification and Management of 2
Environmental Risks and Impacts
1.1.2 Watershed Management 3
1.1.3 Habitat Conversion 5
1.1.4 Changes in Instream Flow 5
1.1.5 Connectivity and Fish Entrainment 9
1.1.6 Stream Morphology and Sediment Management 11
1.1.7 General Pollution Prevention and Control and Reservoir 13
Management
1.2 Occupational Health and Safety 21
1.2.1 Construction OHS Aspects 22
1.2.2 Rock Slide and Snow Avalanche Management 25
1.2.3 Operation OHS Aspects 25
1.3 Community Health and Safety 26
1.3.1 Dam Safety and Emergency Preparedness and Response 26
1.3.2 Reservoir and Infrastructure Safety 29
1.3.3 Reservoir Slope Failures 30
1.3.4 General Health Issues 31

2. Performance Indicators and Monitoring 33

2.1 Environment 33
2.1.1 Emissions and Effluent Guidelines 33
2.1.2 Environmental Monitoring 33
2.2 Occupational Health and Safety Performance 36
2.2.1 Occupational Health and Safety Guidelines 36
2.2.2 Accident and Fatality Rates 37
2.2.3 Occupational Health and Safety Monitoring 37

3. References and Additional Resources 39

Annex A: General Description of Industry Activity 47

Annex B: Suggested Aspects of Environmental Impact Assessment of Hydropower 51
Projects
Annex C: Assessment and Provision of Instream Environmental Flows (EFlows) 54
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 Annex D: Glossary

PART E Environmental, Health and Safety (EHS) Manual

Environmental, Health and Safety Guidelines for Biomass Projects

15 ENVIRONMENTAL AND SOCIAL CONSIDERATIONS 155

15.1 Environmental screening of the biomass resource 156

15.1.1 Water 157
15.1.2 Ecosystems and biodiversity 158
15.1.3 Soil and land resources 159
15.1.4 Air 160
15.2 Environmental screening of the biomass-to-energy operation 161

15.3 Socio-economic issues 162

15.4 Greenhouse-gas emission estimates 162

15.4.1 Baseline emissions 168
15.4.2 Upstream emissions 168
15.4.3 Operational emissions 171
15.4.5 Emissions from leakage 171

PART F Environmental, Health and Safety (EHS) Manual

Environmental, Health and Safety Guidelines for Ports, Harbors and
Terminals

INTRODUCTION 1
APPLICABILITY 1

1. Industry-Specific Impacts and Management 2

1.1 Environment 2
1.2 Occupational Health and Safety 19
1.3 Community Health and Safety 21

2. Performance indicators Monitoring 23

2.1 Environment 23
2.2 Occupational Health and Safety 25

3. References 26

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Annex A: General Description of Industry Activities 31

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1
 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: INTRODUCTION
WORLD BANK GROUP

Environmental, Health, and Safety

General Guidelines
Introduction based on the professional opinion of qualified and experienced
persons. When host country regulations differ from the levels and
The Environmental, Health, and Safety (EHS) Guidelines are
measures presented in the EHS Guidelines, projects are expected
technical reference documents with general and industry-specific
to achieve whichever is more stringent. If less stringent levels or
examples of Good International Industry Practice (GIIP) 1. When
measures than those provided in these EHS Guidelines are
one or more members of the World Bank Group are involved in a
appropriate, in view of specific project circumstances, a full and
project, these EHS Guidelines are applied as required by their
detailed justification for any proposed alternatives is needed as part
respective policies and standards. These General EHS Guidelines
of the site-specific environmental assessment. This justification
are designed to be used together with the relevant Industry Sector
should demonstrate that the choice for any alternate performance
EHS Guidelines which provide guidance to users on EHS issues in
levels is protective of human health and the environment.
specific industry sectors. For complex projects, use of multiple
industry-sector guidelines may be necessary. A complete list of The General EHS Guidelines are organized as follows:
industry-sector guidelines can be found at:
1. Environmental 3
www.ifc.org/ifcext/enviro.nsf/Content/EnvironmentalGuidelines 1.1 Air Emissions and Ambient Air Quality 3
1.2 Energy Conservation 17
The EHS Guidelines contain the performance levels and measures 1.3 Wastewater and Ambient Water Quality 24
1.4 Water Conservation 32
that are generally considered to be achievable in new facilities by 1.5 Hazardous Materials Management 35
1.6 Waste Management 45
existing technology at reasonable costs. Application of the EHS 1.7 Noise 51
Guidelines to existing facilities may involve the establishment of 1.8 Contaminated Land 53
2. Occupational Health and Safety 59
site-specific targets, with an appropriate timetable for achieving 2.1 General Facility Design and Operation 60
2.2 Communication and Training 62
them. The applicability of the EHS Guidelines should be tailored to 2.3 Physical Hazards 64
the hazards and risks established for each project on the basis of 2.4 Chemical Hazards 68
2.5 Biological Hazards 70
the results of an environmental assessment2 in which site-specific 2.6 Radiological Hazards 72
2.7 Personal Protective Equipment (PPE) 72
variables, such as host country context, assimilative capacity of the 2.8 Special Hazard Environments 73
environment, and other project factors, are taken into account. The 2.9 Monitoring 74
3. Community Health and Safety 77
applicability of specific technical recommendations should be 3.1 Water Quality and Availability 77
3.2 Structural Safety of Project Infrastructure 78
3.3 Life and Fire Safety (L&FS) 79
3.4 Traffic Safety 82
1 Defined as the exercise of professional skill, diligence, prudence and foresight that 3.5 Transport of Hazardous Materials 82
would be reasonably expected from skilled and experienced professionals engaged 3.6 Disease Prevention 85
in the same type of undertaking under the same or similar circumstances globally. 3.7 Emergency Preparedness and Response 86
The circumstances that skilled and experienced professionals may find when
4. Construction and Decommissioning 89
evaluating the range of pollution prevention and control techniques available to a
project may include, but are not limited to, varying levels of environmental 4.1 Environment 89
degradation and environmental assimilative capacity as well as varying levels of 4.2 Occupational Health & Safety 92
financial and technical feasibility. 4.3 Community Health & Safety 94
2 For IFC, such assessment is carried out consistent with Performance Standard 1, References and Additional Sources* 96
and for the World Bank, with Operational Policy 4.01.

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 Environmental, Health, and Safety Guidelines
GENERAL EHS GUIDELINES: INTRODUCTION
WORLD BANK GROUP

General Approach to the Management people or to the environmental resources on which they
depend.
of EHS Issues at the Facility or Project
Level • Prioritizing risk management strategies with the objective of
achieving an overall reduction of risk to human health and the
Effective management of environmental, health, and safety (EHS)
environment, focusing on the prevention of irreversible and / or
issues entails the inclusion of EHS considerations into corporate-
significant impacts.
and facility-level business processes in an organized, hierarchical
approach that includes the following steps: • Favoring strategies that eliminate the cause of the hazard at
its source, for example, by selecting less hazardous materials
• Identifying EHS project hazards3 and associated risks4 as
or processes that avoid the need for EHS controls.
early as possible in the facility development or project cycle,
including the incorporation of EHS considerations into the site • When impact avoidance is not feasible, incorporating
selection process, product design process, engineering engineering and management controls to reduce or minimize
planning process for capital requests, engineering work the possibility and magnitude of undesired consequences, for
orders, facility modification authorizations, or layout and example, with the application of pollution controls to reduce
process change plans. the levels of emitted contaminants to workers or environments.

• Involving EHS professionals, who have the experience, • Preparing workers and nearby communities to respond to
competence, and training necessary to assess and manage accidents, including providing technical and financial
EHS impacts and risks, and carry out specialized resources to effectively and safely control such events, and
environmental management functions including the restoring workplace and community environments to a safe
preparation of project or activity-specific plans and procedures and healthy condition.
that incorporate the technical recommendations presented in
• Improving EHS performance through a combination of ongoing
this document that are relevant to the project.
monitoring of facility performance and effective accountability.
• Understanding the likelihood and magnitude of EHS risks,
based on:

o The nature of the project activities, such as whether the

project will generate significant quantities of emissions or
effluents, or involve hazardous materials or processes;

o The potential consequences to workers, communities, or

the environment if hazards are not adequately managed,
which may depend on the proximity of project activities to

3 Defined as “threats to humans and what they value” (Kates, et al., 1985).
4 Defined as “quantitative measures of hazard consequences, usually expressed as
conditional probabilities of experiencing harm” (Kates, et. al., 1985)

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 Environmental, Health, and Safety Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
AIR EMISSIONS AND AMBIENT AIR QUALITY
WORLD BANK GROUP

1.0 Environmental
1.1 Air Emissions and Ambient Air Quality
the spatial characteristic of the source including point sources,

Applicability and Approach ...............................................3 fugitive sources, and mobile sources and, further, by process,
Ambient Air Quality ..........................................................4 such as combustion, materials storage, or other industry sector-
General Approach....................................................4
specific processes.
Projects Located in Degraded Airsheds or Ecologically
Sensitive Areas........................................................5
Point Sources ..................................................................5 Where possible, facilities and projects should avoid, minimize, and
Stack Height.............................................................5 control adverse impacts to human health, safety, and the
Small Combustion Facilities Emissions Guidelines ....6
Fugitive Sources ..............................................................8 environment from emissions to air. Where this is not possible, the
Volatile Organic Compounds (VOCs)........................8 generation and release of emissions of any type should be
Particulate Matter (PM).............................................8 managed through a combination of:
Ozone Depleting Substances (ODS) .........................9
Mobile Sources – Land-based ..........................................9
Greenhouse Gases (GHGs).............................................9 • Energy use efficiency
Monitoring......................................................................10 • Process modification
Monitoring of Small Combustion Plants Emissions...11
• Selection of fuels or other materials, the processing of which
may result in less polluting emissions
• Application of emissions control techniques
Applicability and Approach
This guideline applies to facilities or projects that generate The selected prevention and control techniques may include one
emissions to air at any stage of the project life-cycle. It or more methods of treatment depending on:
complements the industry-specific emissions guidance presented
in the Industry Sector Environmental, Health, and Safety (EHS) • Regulatory requirements
Guidelines by providing information about common techniques for • Significance of the source
emissions management that may be applied to a range of industry • Location of the emitting facility relative to other sources
sectors. This guideline provides an approach to the management • Location of sensitive receptors
of significant sources of emissions, including specific guidance for • Existing ambient air quality, and potential for degradation of
assessment and monitoring of impacts. It is also intended to the airshed from a proposed project
provide additional information on approaches to emissions • Technical feasibility and cost effectiveness of the available
management in projects located in areas of poor air quality, where options for prevention, control, and release of emissions
it may be necessary to establish project-specific emissions
standards.

Emissions of air pollutants can occur from a wide variety of

activities during the construction, operation, and decommissioning
phases of a project. These activities can be categorized based on

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 Environmental, Health, and Safety Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
AIR EMISSIONS AND AMBIENT AIR QUALITY
WORLD BANK GROUP

Ambient Air Quality additional, future sustainable development in the same

airshed. 12
General Approach
At facility level, impacts should be estimated through qualitative or
Projects with significant5,6 sources of air emissions, and potential
quantitative assessments by the use of baseline air quality
for significant impacts to ambient air quality, should prevent or
assessments and atmospheric dispersion models to assess
minimize impacts by ensuring that:
potential ground level concentrations. Local atmospheric, climatic,
• Emissions do not result in pollutant concentrations that reach and air quality data should be applied when modeling dispersion,
or exceed relevant ambient quality guidelines and standards9 protection against atmospheric downwash, wakes, or eddy effects
by applying national legislated standards, or in their absence, of the source, nearby13 structures, and terrain features. The
the current WHO Air Quality Guidelines10 (see Table 1.1.1), dispersion model applied should be internationally recognized, or
or other internationally recognized sources11; comparable. Examples of acceptable emission estimation and
• Emissions do not contribute a significant portion to the dispersion modeling approaches for point and fugitive sources are
attainment of relevant ambient air quality guidelines or
standards. As a general rule, this Guideline suggests 25 Table 1.1.1: WHO Ambient Air Quality Guidelines 7,8
percent of the applicable air quality standards to allow
Averaging Guideline value in
Period µg/m3
Sulfur dioxide (SO2) 24-hour 125 (Interim target-1)
50 (Interim target-2)
20 (guideline)
10 minute 500 (guideline)
5 Significant sources of point and fugitive emissions are considered to be general
Nitrogen dioxide (NO2) 1-year 40 (guideline)
1-hour 200 (guideline)
sources which, for example, can contribute a net emissions increase of one or
more of the following pollutants within a given airshed: PM10: 50 tons per year Particulate Matter 1-year 70 (Interim target-1)
(tpy); NOx: 500 tpy; SO2: 500 tpy; or as established through national legislation; PM10 50 (Interim target-2)
and combustion sources with an equivalent heat input of 50 MWth or greater. The 30 (Interim target-3)
significance of emissions of inorganic and organic pollutants should be established 20 (guideline)
on a project-specific basis taking into account toxic and other properties of the
pollutant. 24-hour 150 (Interim target-1)
6 United States Environmental Protection Agency, Prevention of Significant 100 (Interim target-2)
Deterioration of Air Quality, 40 CFR Ch. 1 Part 52.21. Other references for 75 (Interim target-3)
establishing significant emissions include the European Commission. 2000. 50 (guideline)
“Guidance Document for EPER implementation.”
Particulate Matter 1-year 35 (Interim target-1)
http://ec.europa.eu/environment/ippc/eper/index.htm ; and Australian Government.
2004. “National Pollutant Inventory Guide.”
PM2.5 25 (Interim target-2)
http://www.npi.gov.au/handbooks/pubs/npiguide.pdf 15 (Interim target-3)
7 World Health Organization (WHO). Air Quality Guidelines Global Update, 2005. 10 (guideline)
PM 24-hour value is the 99th percentile.
8 Interim targets are provided in recognition of the need for a staged approach to 24-hour 75 (Interim target-1)
50 (Interim target-2)
achieving the recommended guidelines.
9 Ambient air quality standards are ambient air quality levels established and
37.5 (Interim target-3)
25 (guideline)
published through national legislative and regulatory processes, and ambient
Ozone 8-hour daily 160 (Interim target-1)
quality guidelines refer to ambient quality levels primarily developed through
clinical, toxicological, and epidemiological evidence (such as those published by maximum 100 (guideline)
the World Health Organization).
10 Available at World Health Organization (WHO). http://www.who.int/en
12 US EPA Prevention of Significant Deterioration Increments Limits applicable to
11 For example the United States National Ambient Air Quality Standards
non-degraded airsheds.
(NAAQS) (http://www.epa.gov/air/criteria.html) and the relevant European Council
Directives (Council Directive 1999/30/EC of 22 April 1999 / Council Directive
2002/3/EC of February 12 2002).

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 Environmental, Health, and Safety Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
AIR EMISSIONS AND AMBIENT AIR QUALITY
WORLD BANK GROUP

included in Annex 1.1.1. These approaches include screening Point Sources

models for single source evaluations (SCREEN3 or AIRSCREEN), Point sources are discrete, stationary, identifiable sources of
as well as more complex and refined models (AERMOD OR emissions that release pollutants to the atmosphere. They are
ADMS). Model selection is dependent on the complexity and geo- typically located in manufacturing or production plants. Within a
morphology of the project site (e.g. mountainous terrain, urban or given point source, there may be several individual ‘emission
rural area).
points’ that comprise the point source.15

Projects Located in Degraded Airsheds or Point sources are characterized by the release of air pollutants
Ecologically Sensitive Areas typically associated with the combustion of fossil fuels, such as
Facilities or projects located within poor quality airsheds14, and nitrogen oxides (NOx), sulfur dioxide (SO2), carbon monoxide
within or next to areas established as ecologically sensitive (e.g. (CO), and particulate matter (PM), as well as other air pollutants
national parks), should ensure that any increase in pollution levels including certain volatile organic compounds (VOCs) and metals
is as small as feasible, and amounts to a fraction of the applicable that may also be associated with a wide range of industrial
short-term and annual average air quality guidelines or standards activities.
as established in the project-specific environmental assessment.
Emissions from point sources should be avoided and controlled
Suitable mitigation measures may also include the relocation of
according to good international industry practice (GIIP) applicable
significant sources of emissions outside the airshed in question,
to the relevant industry sector, depending on ambient conditions,
use of cleaner fuels or technologies, application of comprehensive
through the combined application of process modifications and
pollution control measures, offset activities at installations
emissions controls, examples of which are provided in Annex
controlled by the project sponsor or other facilities within the same
1.1.2. Additional recommendations regarding stack height and
airshed, and buy-down of emissions within the same airshed.
emissions from small combustion facilities are provided below.

Specific provisions for minimizing emissions and their impacts in

Stack Height
poor air quality or ecologically sensitive airsheds should be
The stack height for all point sources of emissions, whether
established on a project-by-project or industry-specific basis.
‘significant’ or not, should be designed according to GIIP (see
Offset provisions outside the immediate control of the project
Annex 1.1.3) to avoid excessive ground level concentrations due
sponsor or buy-downs should be monitored and enforced by the
to downwash, wakes, and eddy effects, and to ensure reasonable
local agency responsible for granting and monitoring emission
diffusion to minimize impacts. For projects where there are
permits. Such provisions should be in place prior to final
multiple sources of emissions, stack heights should be established
commissioning of the facility / project.
with due consideration to emissions from all other project sources,
both point and fugitive. Non-significant sources of emissions,

13 “Nearby” generally considers an area within a radius of up to 20 times the stack 15 Emission points refer to a specific stack, vent, or other discrete point of pollution

height. release. This term should not be confused with point source, which is a regulatory
14 An airshed should be considered as having poor air quality if nationally distinction from area and mobile sources. The characterization of point sources
into multiple emissions points is useful for allowing more detailed reporting of
legislated air quality standards or WHO Air Quality Guidelines are exceeded emissions information.
significantly.

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including small combustion sources,16 should also use GIIP in

stack design.

Small Combustion Facilities Emissions Guidelines

Small combustion processes are systems designed to deliver
electrical or mechanical power, steam, heat, or any combination of
these, regardless of the fuel type, with a total, rated heat input
capacity of between three Megawatt thermal (MWth) and 50
MWth.

The emissions guidelines in Table 1.1.2 are applicable to small

combustion process installations operating more than 500 hours
per year, and those with an annual capacity utilization of more
than 30 percent. Plants firing a mixture of fuels should compare
emissions performance with these guidelines based on the sum of
the relative contribution of each applied fuel17. Lower emission
values may apply if the proposed facility is located in an
ecologically sensitive airshed, or airshed with poor air quality, in
order to address potential cumulative impacts from the installation
of more than one small combustion plant as part of a distributed
generation project.

16 Small combustion sources are those with a total rated heat input capacity of
50MWth or less.
17 The contribution of a fuel is the percentage of heat input (LHV) provided by this
fuel multiplied by its limit value.

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Table 1.1.2 - Small Combustion Facilities Emissions Guidelines (3MWth – 50MWth) – (in mg/Nm3 or as indicated)
Combustion Technology / Dry Gas, Excess
Particulate Matter (PM) Sulfur Dioxide (SO2) Nitrogen Oxides (NOx)
Fuel O2 Content (%)
Engine
200 (Spark Ignition)
Gas N/A N/A 400 (Dual Fuel) 15
1,600 (Compression Ignition)
1.5 percent Sulfur or up to 3.0 percent Sulfur if
50 or up to 100 if justified by project specific If bore size diameter [mm] < 400: 1460
justified by project specific considerations (e.g.
considerations (e.g. Economic feasibility of (or up to 1,600 if justified to maintain high
Economic feasibility of using lower S content fuel,
Liquid using lower ash content fuel, or adding energy efficiency.) 15
or adding secondary treatment to meet levels of
secondary treatment to meet 50, and
using 1.5 percent Sulfur, and available
available environmental capacity of the site) If bore size diameter [mm] > or = 400: 1,850
environmental capacity of the site)
Turbine
Natural Gas 42 ppm (Electric generation)
N/A N/A 15
=3MWth to < 15MWth 100 ppm (Mechanical drive)
Natural Gas
N/A N/A 25 ppm 15
=15MWth to < 50MWth

0.5 percent Sulfur or lower percent Sulfur (e.g. 0.2

Fuels other than Natural Gas 96 ppm (Electric generation)
N/A percent Sulfur) if commercially available without 15
=3MWth to < 15MWth 150 ppm (Mechanical drive)
significant excess fuel cost

Fuels other than Natural Gas 0.5% S or lower % S (0.2%S) if commercially

N/A 74 ppm 15
=15MWth to < 50MWth available without significant excess fuel cost
Boiler
Gas N/A N/A 320 3
50 or up to 150 if justified by environmental
Liquid 2000 460 3
assessment
50 or up to 150 if justified by environmental
Solid 2000 650 6
assessment
Notes: -N/A/ - no emissions guideline; Higher performance levels than these in the Table should be applicable to facilities located in urban / industrial areas with degraded airsheds or close to ecologically sensitive areas where more
stringent emissions controls may be needed.; MWth is heat input on HHV basis; Solid fuels include biomass; Nm 3 is at one atmosphere pressure, 0°C.; MWth category is to apply to the entire facility consisting of multiple units that are
reasonably considered to be emitted from a common stack except for NOx and PM limits for turbines and boilers. Guidelines values apply to facilities operating more than 500 hours per year with an annual capacity utilization factor of
more than 30 percent.

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• Implementing a leak detection and repair (LDAR) program

Fugitive Sources that controls fugitive emissions by regularly monitoring to
Fugitive source air emissions refer to emissions that are detect leaks, and implementing repairs within a predefined
distributed spatially over a wide area and not confined to a specific time period.18
discharge point. They originate in operations where exhausts are
For VOC emissions associated with handling of chemicals in open
not captured and passed through a stack. Fugitive emissions have
vats and mixing processes, the recommended prevention and
the potential for much greater ground-level impacts per unit than
control techniques include:
stationary source emissions, since they are discharged and
dispersed close to the ground. The two main types of fugitive • Substitution of less volatile substances, such as aqueous
emissions are Volatile Organic Compounds (VOCs) and solvents;
particulate matter (PM). Other contaminants (NOx, SO2 and CO) • Collection of vapors through air extractors and subsequent
are mainly associated with combustion processes, as described treatment of gas stream by removing VOCs with control
above. Projects with potentially significant fugitive sources of devices such as condensers or activated carbon absorption;
emissions should establish the need for ambient quality • Collection of vapors through air extractors and subsequent
assessment and monitoring practices. treatment with destructive control devices such as:
o Catalytic Incinerators: Used to reduce VOCs from
Open burning of solid wastes, whether hazardous or non- process exhaust gases exiting paint spray booths,
hazardous, is not considered good practice and should be ovens, and other process operations
avoided, as the generation of polluting emissions from this type of o Thermal Incinerators: Used to control VOC levels in a
source cannot be controlled effectively. gas stream by passing the stream through a combustion
chamber where the VOCs are burned in air at
Volatile Organic Compounds (VOCs)
temperatures between 700º C to 1,300º C
The most common sources of fugitive VOC emissions are
o Enclosed Oxidizing Flares: Used to convert VOCs into
associated with industrial activities that produce, store, and use
CO2 and H2O by way of direct combustion
VOC-containing liquids or gases where the material is under
pressure, exposed to a lower vapor pressure, or displaced from an • Use of floating roofs on storage tanks to reduce the

enclosed space. Typical sources include equipment leaks, open opportunity for volatilization by eliminating the headspace

vats and mixing tanks, storage tanks, unit operations in present in conventional storage tanks.

wastewater treatment systems, and accidental releases.

Particulate Matter (PM)
Equipment leaks include valves, fittings, and elbows which are
The most common pollutant involved in fugitive emissions is dust
subject to leaks under pressure. The recommended prevention
or particulate matter (PM). This is released during certain
and control techniques for VOC emissions associated with
operations, such as transport and open storage of solid materials,
equipment leaks include:
and from exposed soil surfaces, including unpaved roads.
• Equipment modifications, examples of which are presented in
Annex 1.1.4; 18 For more information, see Leak Detection and Repair Program (LDAR), at:
http://www.ldar.net

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Recommended prevention and control of these emissions sources programs. In the absence of these, the following approach should
include: be considered:

• Use of dust control methods, such as covers, water • Regardless of the size or type of vehicle, fleet owners /
suppression, or increased moisture content for open operators should implement the manufacturer recommended
materials storage piles, or controls, including air extraction engine maintenance programs;
and treatment through a baghouse or cyclone for material • Drivers should be instructed on the benefits of driving
handling sources, such as conveyors and bins; practices that reduce both the risk of accidents and fuel
• Use of water suppression for control of loose materials on consumption, including measured acceleration and driving
paved or unpaved road surfaces. Oil and oil by-products is within safe speed limits;
not a recommended method to control road dust. Examples • Operators with fleets of 120 or more units of heavy duty
of additional control options for unpaved roads include those vehicles (buses and trucks), or 540 or more light duty
summarized in Annex 1.1.5. vehicles21 (cars and light trucks) within an airshed should
consider additional ways to reduce potential impacts
Ozone Depleting Substances (ODS) including:
Several chemicals are classified as ozone depleting substances
o Replacing older vehicles with newer, more fuel efficient
(ODSs) and are scheduled for phase-out under the Montreal
alternatives
Protocol on Substances that Deplete the Ozone Layer.19 No new
o Converting high-use vehicles to cleaner fuels, where
systems or processes should be installed using CFCs, halons,
feasible
1,1,1-trichloroethane, carbon tetrachloride, methyl bromide or
o Installing and maintaining emissions control devices,
HBFCs. HCFCs should only be considered as interim / bridging
such as catalytic converters
alternatives as determined by the host country commitments and o Implementing a regular vehicle maintenance and repair
regulations.20 program

Mobile Sources – Land-based Greenhouse Gases (GHGs)

Similar to other combustion processes, emissions from vehicles Sectors that may have potentially significant emissions of
include CO, NOx, SO2, PM and VOCs. Emissions from on-road greenhouse gases (GHGs)22 include energy, transport, heavy
and off-road vehicles should comply with national or regional industry (e.g. cement production, iron / steel manufacturing,
aluminum smelting, petrochemical industries, petroleum refining,
fertilizer manufacturing), agriculture, forestry and waste
19 Examples include: chlorofluorocarbons (CFCs); halons; 1,1,1-trichloroethane management. GHGs may be generated from direct emissions
(methyl chloroform); carbon tetrachloride; hydrochlorofluorocarbons (HCFCs);
hydrobromofluorocarbons (HBFCs); and methyl bromide. They are currently used
in a variety of applications including: domestic, commercial, and process
refrigeration (CFCs and HCFCs); domestic, commercial, and motor vehicle air 21 The selected fleet size thresholds are assumed to represent potentially
conditioning (CFCs and HCFCs); for manufacturing foam products (CFCs); for significant sources of emissions based on individual vehicles traveling 100,000 km
solvent cleaning applications (CFCs, HCFCs, methyl chloroform, and carbon / yr using average emission factors.
tetrachloride); as aerosol propellants (CFCs); in fire protection systems (halons 22 The six greenhouse gases that form part of the Kyoto Protocol to the United
and HBFCs); and as crop fumigants (methyl bromide). Nations Framework Convention on Climate Change include carbon dioxide (C02);
20 Additional information is available through the Montreal Protocol Secretariat methane (CH4); nitrous oxide (N 2O); hydrofluorocarbons (HFCs); perfluorocarbons
web site available at: http://ozone.unep.org/ (PFCs); and sulfur hexafluoride (SF 6).

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from facilities within the physical project boundary and indirect decisions to be made based on the data and the consequences of
emissions associated with the off-site production of power used by making an incorrect decision, the time and geographic
the project. boundaries, and the quality of data needed to make a correct
decision.25 The air quality monitoring program should consider
Recommendations for reduction and control of greenhouse gases
include: the following elements:

• Carbon financing;23 • Monitoring parameters: The monitoring parameters selected

should reflect the pollutants of concern associated with
• Enhancement of energy efficiency (see section on
project processes. For combustion processes, indicator
‘Energy Conservation’);
parameters typically include the quality of inputs, such as the
• Protection and enhancement of sinks and reservoirs of
sulfur content of fuel.
greenhouse gases;
• Promotion of sustainable forms of agriculture and • Baseline calculations: Before a project is developed, baseline
forestry; air quality monitoring at and in the vicinity of the site should
• Promotion, development and increased use of be undertaken to assess background levels of key pollutants,
renewable forms of energy; in order to differentiate between existing ambient conditions
• Carbon capture and storage technologies;24 and project-related impacts.
• Limitation and / or reduction of methane emissions • Monitoring type and frequency: Data on emissions and
through recovery and use in waste management, as well ambient air quality generated through the monitoring program
as in the production, transport and distribution of energy should be representative of the emissions discharged by the
(coal, oil, and gas). project over time. Examples of time-dependent variations in
the manufacturing process include batch process
Monitoring manufacturing and seasonal process variations. Emissions
Emissions and air quality monitoring programs provide information
from highly variable processes may need to be sampled
that can be used to assess the effectiveness of emissions
more frequently or through composite methods. Emissions
management strategies. A systematic planning process is
monitoring frequency and duration may also range from
recommended to ensure that the data collected are adequate for
continuous for some combustion process operating
their intended purposes (and to avoid collecting unnecessary
parameters or inputs (e.g. the quality of fuel) to less frequent,
data). This process, sometimes referred to as a data quality monthly, quarterly or yearly stack tests.
objectives process, defines the purpose of collecting the data, the
• Monitoring locations: Ambient air quality monitoring may

23 Carbon financing as a carbon emissions reduction strategy may include the host
consists of off-site or fence line monitoring either by the
government-endorsed Clean Development Mechanism or Joint Implementation of project sponsor, the competent government agency, or by
the United Nations Framework Convention on Climate Change.
24 Carbon dioxide capture and storage (CCS) is a process consisting of the collaboration between both. The location of ambient air
separation of CO2 from industrial and energy-related sources; transport to a
storage location; and long-term isolation from the atmosphere, for example in
geological formations, in the ocean, or in mineral carbonates (reaction of CO2 with
metal oxides in silicate minerals to produce stable carbonates). It is the object of 25 See, for example, United States Environmental Protection Agency, Guidance on
intensive research worldwide (Intergovernmental Panel on Climate Change Systematic Planning Using the Data Quality Objectives Process EPA QA/G-4,
(IPCC), Special Report, Carbon Dioxide Capture and Storage (2006). EPA/240/B-06/001 February 2006.

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quality monitoring stations should be established based on o If Annual Stack Emission Testing demonstrates results
the results of scientific methods and mathematical models to consistently and significantly better than the required
estimate potential impact to the receiving airshed from an levels, frequency of Annual Stack Emission Testing can
emissions source taking into consideration such aspects as be reduced from annual to every two or three years.
the location of potentially affected communities and o Emission Monitoring: None
prevailing wind directions.
Boilers with capacities between =20 MWth and < 50 MWth
• Sampling and analysis methods: Monitoring programs should o Annual Stack Emission Testing: SO2, NOx and PM. For
apply national or international methods for sample collection gaseous fuel-fired boilers, only NOx. SO2 can be
and analysis, such as those published by the International calculated based on fuel quality certification (if no SO2
Organization for Standardization,26 the European Committee control equipment is used)

for Standardization,27 or the U.S. Environmental Protection o Emission Monitoring: SO2. Plants with SO2 control

Agency.28 Sampling should be conducted by, or under, the equipment: Continuous. NOx: Continuous monitoring of

supervision of trained individuals. Analysis should be either NOx emissions or indicative NOx emissions using

conducted by entities permitted or certified for this purpose. combustion parameters. PM: Continuous monitoring of

Sampling and analysis Quality Assurance / Quality Control either PM emissions, opacity, or indicative PM

(QA/QC) plans should be applied and documented to ensure emissions using combustion parameters / visual

that data quality is adequate for the intended data use (e.g., monitoring.

method detection limits are below levels of concern). • Additional recommended monitoring approaches for
Monitoring reports should include QA/QC documentation. turbines:
o Annual Stack Emission Testing: NOx and SO2 (NOx
Monitoring of Small Combustion Plants Emissions only for gaseous fuel-fired turbines).
• Additional recommended monitoring approaches for boilers: o If Annual Stack Emission Testing results show

Boilers with capacities between =3 MWth and < 20 MWth: constantly (3 consecutive years) and significantly (e.g.

o Annual Stack Emission Testing: SO2, NOx and PM. For less than 75 percent) better than the required levels,
gaseous fuel-fired boilers, only NOx. SO2 can be frequency of Annual Stack Emission Testing can be
calculated based on fuel quality certification if no SO2 reduced from annual to every two or three years.
control equipment is used. o Emission Monitoring: NOx: Continuous monitoring of
either NOx emissions or indicative NOx emissions using
26 An on-line catalogue of ISO standards relating to the environment, health combustion parameters.SO2: Continuous monitoring if
protection, and safety is available at: SO2 control equipment is used.
http://www.iso.org/iso/en/CatalogueListPage.CatalogueList?ICS1=13&ICS2=&ICS
3=&scopelist=
• Additional recommended monitoring approaches for
27 An on-line catalogue of European Standards is available at:
http://www.cen.eu/catweb/cwen.htm . engines:
28 The National Environmental Methods Index provides a searchable o Annual Stack Emission Testing: NOx ,SO2 and PM (NOx
clearinghouse of U.S. methods and procedures for both regulatory and non-
regulatory monitoring purposes for water, sediment, air and tissues, and is only for gaseous fuel-fired diesel engines).
available at http://www.nemi.gov/.

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o If Annual Stack Emission Testing results show

constantly (3 consecutive years) and significantly (e.g.
less than 75 percent) better than the required levels,
frequency of Annual Stack Emission Testing can be
reduced from annual to every two or three years.
o Emission Monitoring: NOx: Continuous monitoring of
either NOx emissions or indicative NOx emissions using
combustion parameters. SO2: Continuous monitoring if
SO2 control equipment is used. PM: Continuous
monitoring of either PM emissions or indicative PM
emissions using operating parameters.

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Annex 1.1.1 – Air Emissions Estimation and Dispersion

Modeling Methods

The following is a partial list of documents to aid in the estimation

of air emissions from various processes and air dispersion
models:

Australian Emission Estimation Technique Manuals

http://www.npi.gov.au/handbooks/

Atmospheric Emission Inventory Guidebook, UN / ECE / EMEP

and the European Environment Agency
http://www.aeat.co.uk/netcen/airqual/TFEI/unece.htm

Emission factors and emission estimation methods, US EPA

Office of Air Quality Planning & Standards
http://www.epa.gov/ttn/chief

Guidelines on Air Quality Models (Revised), US Environmental

Protection Agency (EPA), 2005
http://www.epa.gov/scram001/guidance/guide/appw_05.pdf

Frequently Asked Questions, Air Quality Modeling and

Assessment Unit (AQMAU), UK Environment Agency
http://www.environment-
agency.gov.uk/subjects/airquality/236092/?version=1&lang=_e

OECD Database on Use and Release of Industrial Chemicals

http://www.olis.oecd.org/ehs/urchem.nsf/

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Annex 1.1.2 – Illustrative Point Source Air Emissions Prevention and Control Technologies

Principal Sources and Issues General Prevention / Process Reduction Gas

Control Options Comments
Modification Approach Efficiency (%) Condition
Particulate Matter (PM)
Main sources are the combustion of fossil Fuel switching (e.g. selection of lower sulfur Fabric Filters 99 - 99.7% Dry gas, temp Applicability depends on flue gas properties including temperature, chemical
fuels and numerous manufacturing processes fuels) or reducing the amount of fine <400F properties, abrasion and load. Typical air to cloth ratio range of 2.0 to 3.5 cfm/ft2
that collect PM through air extraction and particulates added to a process.
ventilation systems. Volcanoes, ocean spray, Achievable outlet concentrations of 23 mg/Nm 3
forest fires and blowing dust (most prevalent
in dry and semiarid climates) contribute to Electrostatic 97 – 99% Varies Precondition gas to remove large particles. Efficiency dependent on resistivity of
background levels. Precipitator (ESP) depending of particle. Achievable outlet concentration of 23 mg/Nm3
particle type

Cyclone 74 – 95% None Most efficient for large particles. Achievable outlet concentrations of 30 - 40
mg/Nm 3

Wet Scrubber 93 – 95% None Wet sludge may be a disposal problem depending on local infrastructure.
Achievable outlet concentrations of 30 - 40 mg/Nm3

Sulfur Dioxide (SO2)

Mainly produced by the combustion of fuels Control system selection is heavily Fuel Switching >90% Alternate fuels may include low sulfur coal, light diesel or natural gas with
such as oil and coal and as a by-product from dependent on the inlet concentration. For consequent reduction in particulate emissions related to sulfur in the fuel. Fuel
some chemical production or wastewater SO2 concentrations in excess of 10%, the cleaning or beneficiation of fuels prior to combustion is another viable option but
treatment processes. stream is passed through an acid plant not may have economic consequences.
only to lower the SO2 emissions but also to
generate high grade sulfur for sale. Levels Sorbent Injection 30% - 70% Calcium or lime is injected into the flue gas and the SO2 is adsorbed onto the
below 10% are not rich enough for this sorbent
process and should therefore utilize
absorption or ‘scrubbing,’ where SO2 Dry Flue Gas 70%-90% Can be regenerable or throwaway.
molecules are captured into a liquid phase Desulfurization
or adsorption, where SO2 molecules are
captured on the surface of a solid Wet Flue Gas >90% Produces gypsum as a by-product
adsorbent. Desulfurization

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Annex 1.1.2: Illustrative Point Source Air Emissions Prevention and Control Technologies (continued)
Oxides of Nitrogen (NOx) Percent Reduction by Fuel Type Comments
Combustion modification
Associated with combustion of fuel. Coal Oil Gas These modifications are capable of reducing NOx emissions by 50
(Illustrative of boilers)
May occur in several forms of nitrogen to 95%. The method of combustion control used depends on the
oxide; namely nitric oxide (NO), Low-excess-air firing 10–30 10–30 10–30 type of boiler and the method of firing fuel.
nitrogen dioxide (NO2) and nitrous
oxide (N2O), which is also a Staged Combustion 20–50 20–50 20–50
greenhouse gas. The term NOx Flue Gas Recirculation N/A 20–50 20–50
serves as a composite between NO
and NO2 and emissions are usually Water/Steam Injection N/A 10–50 N/A.
reported as NOx. Here the NO is
multiplied by the ratio of molecular Low-NOx Burners 30–40 30–40 30–40
weights of NO2 to NO and added to
Flue Gas Treatment Coal Oil Gas
the NO2 emissions. Flue gas treatment is more effective in reducing NOx emissions
than are combustion controls. Techniques can be classified as
Means of reducing NOx emissions are SCR, SNCR, and adsorption. SCR involves the injection of
based on the modification of operating Selective Catalytic Reduction (SCR) 60–90 60–90 60–90 ammonia as a reducing agent to convert NOx to nitrogen in the
conditions such as minimizing the presence of a catalyst in a converter upstream of the air heater.
resident time at peak temperatures, Selective Non-Catalytic Reduction N/A 30–70 30–70 Generally, some ammonia slips through and is part of the
reducing the peak temperatures by (SNCR) emissions. SNCR also involves the injection of ammonia or urea
increasing heat transfer rates or based products without the presence of a catalyst.
minimizing the availability of oxygen.

Note: Compiled by IFC based on inputs from technical experts.

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Annex 1.1.3 - Good International Industry Practice (GIIP) Annex 1.1.4 - Examples of VOC Emissions Controls
Stack Height
(Based on United States 40 CFR, part 51.100 (ii)).

Approximate
HG = H + 1.5L; where Control
Equipment Type Modification
Efficiency
HG = GEP stack height measured from the ground level (%)
elevation at the base of the stack Seal-less design 10029
H = Height of nearby structure(s) above the base of the
stack. Closed-vent system 9030
Pumps
L = Lesser dimension, height (h) or width (w), of nearby Dual mechanical seal
with barrier fluid
structures maintained at a higher 100
“Nearby structures” = Structures within/touching a radius pressure than the
pumped fluid
of 5L but less than 800 m.
Closed-vent system 90

Dual mechanical seal

Compressors with barrier fluid
maintained at a higher 100
Projected width (w)

pressure than the

Stack compressed gas
Closed-vent system Variable31
Pressure Relief Devices
Rupture disk assembly 100

Valves Seal-less design 100

Connectors Weld together 100

1.5*L
HG
Blind, cap, plug, or
Open-ended Lines 100
second valve

h Sampling Connections Closed-loop sampling 100

H
Note: Examples of technologies are provided for illustrative purposes.
The availability and applicability of any particular technology will vary
Maximum 5*L depending on manufacturer specifications.

29 Seal-less equipment can be a large source of emissions in the event of

equipment failure.
30 Actual efficiency of a closed-vent system depends on percentage of vapors
collected and efficiency of control device to which the vapors are routed.
31 Control efficiency of closed vent-systems installed on a pressure relief
device may be lower than other closed-vent systems.

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Annex 1.1.5 - Fugitive PM Emissions Controls

Control
Control Type
Efficiency

Chemical Stabilization 0% - 98%

Hygroscopic salts
60% - 96%
Bitumens/adhesives
Surfactants 0% - 68%

Wet Suppression – Watering 12% - 98%

Speed Reduction 0% - 80%

Traffic Reduction Not quantified

Paving (Asphalt / Concrete) 85% - 99%

Covering with Gravel, Slag, or "Road
30% - 50%
Carpet"
Vacuum Sweeping 0% - 58%

Water Flushing/Broom Sweeping 0% - 96%

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1.2 Energy Conservation

should also evaluate energy conservation opportunities arising
Applicability and Approach .............................................18 from manufacturing process modifications.
Energy Management Programs...............................18
Energy Efficiency....................................................18
Process Heating.............................................................19 Energy Management Programs
Heating Load Reduction .........................................19 Energy management programs should include the following
Heat Distribution Systems.......................................19 elements:
Energy Conversion System Efficiency Improvements20
Process Cooling.............................................................20 • Identification, and regular measurement and reporting of
Load Reduction......................................................21
principal energy flows within a facility at unit process level
Energy Conversion.................................................21
Refrigerant Compression Efficiency ........................23 • Preparation of mass and energy balance;
Refrigeration System Auxiliaries..............................23 • Definition and regular review of energy performance
Compressed Air Systems...............................................24
targets, which are adjusted to account for changes in major
Load reduction .......................................................24
Distribution.............................................................24 influencing factors on energy use
• Regular comparison and monitoring of energy flows with

Applicability and Approach performance targets to identify where action should be

taken to reduce energy use
This guideline applies to facilities or projects that consume
energy in process heating and cooling; process and auxiliary • Regular review of targets, which may include comparison
with benchmark data, to confirm that targets are set at
systems, such as motors, pumps, and fans; compressed air
appropriate levels
systems and heating, ventilation and air conditioning systems
(HVAC); and lighting systems. It complements the industry-
Energy Efficiency
specific emissions guidance presented in the Industry Sector
For any energy-using system, a systematic analysis of energy
Environmental, Health, and Safety (EHS) Guidelines by
efficiency improvements and cost reduction opportunities should
providing information about common techniques for energy
include a hierarchical examination of opportunities to:
conservation that may be applied to a range of industry sectors.

• Demand/Load Side Management by reducing loads on the

Energy management at the facility level should be viewed in the
energy system
context of overall consumption patterns, including those
• Supply Side Management by:
associated with production processes and supporting utilities, as
o Reduce losses in energy distribution
well as overall impacts associated with emissions from power
o Improve energy conversion efficiency
sources. The following section provides guidance on energy
o Exploit energy purchasing opportunities
management with a focus on common utility systems often
o Use lower-carbon fuels
representing technical and financially feasible opportunities for
improvement in energy conservation. However, operations

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
ENERGY CONSERVATION
WORLD BANK GROUP

Common opportunities in each of these areas are summarized • Review opportunities to schedule work flow to limit the
below.32 need for process reheating between stages
• Operate furnaces/ovens at slight positive pressure, and
Process Heating maintain air seals to reduce air in-leakage into the heated
Process heating is vital to many manufacturing processes, system, thereby reducing the energy required to heat
including heating for fluids, calcining, drying, heat treating, metal unnecessary air to system operating temperature
heating, melting, melting agglomeration, curing, and forming33. • Reduce radiant heat losses by sealing structural openings
and keep viewing ports closed when not in use
In process heating systems, a system heat and mass balance
• Where possible, use the system for long runs close to or at
will show how much of the system’s energy input provides true
operating capacity
process heating, and quantify fuel used to satisfy energy losses
• Consider use of high emissivity coatings of high
caused by excessive parasitic loads, distribution, or conversion
temperature insulation, and consequent reduction in
losses. Examination of savings opportunities should be directed
process temperature
by the results of the heat and mass balance, though the
• Near net weight and shape heat designs
following techniques are often valuable and cost-effective.
• Robust Quality assurance on input material
• Robust Scheduled maintenance programs
Heating Load Reduction
• Ensure adequate insulation to reduce heat losses through
Heat Distribution Systems
furnace/oven etc. structure
Heat distribution in process heating applications typically takes
• Recover heat from hot process or exhaust streams to
place through steam, hot water, or thermal fluid systems.
reduce system loads
Losses can be reduced through the following actions:
• In intermittently-heated systems, consider use of low
thermal mass insulation to reduce energy required to heat • Promptly repair distribution system leaks

the system structure to operating temperature • Avoid steam leaks despite a perceived need to get steam

• Control process temperature and other parameters through the turbine. Electricity purchase is usually cheaper

accurately to avoid, for example, overheating or overdrying overall, especially when the cost to treat turbine-quality

• Examine opportunities to use low weight and/or low boiler feed water is included. If the heat-power ratio of the

thermal mass product carriers, such as heated shapers, distribution process is less than that of power systems,

kiln cars etc. opportunities should be considered to increase the ratio; for
example, by using low-pressure steam to drive absorption
cooling systems rather than using electrically-driven vapor-
32 Additional guidance on energy efficiency is available from sources such as
Natural Resources Canada (NRCAN compression systems.
http://oee.nrcan.gc.ca/commercial/financial-assistance/new-
buildings/mnecb.cfm?attr=20); the European Union (EUROPA. • Regularly verify correct operation of steam traps in steam
http://europa.eu.int/scadplus/leg/en/s15004.htm ), and United States Department
of Energy (US DOE, systems, and ensure that traps are not bypassed. Since
http://www.eere.energy.gov/consumer/industry/process.html).
33 US DOE. http://www.eere.energy.gov/consumer/industry/process.html

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 Environmental, Health, and Safety (EHS) Guidelines
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ENERGY CONSERVATION
WORLD BANK GROUP

steam traps typically last approximately 5 years, 20% • Maintain clean heat transfer surfaces; in steam boilers, flue
should be replaced or repaired annually gases should be no more than 20 K above steam
• Insulate distribution system vessels, such as hot wells and temperature)
de-aerators, in steam systems and thermal fluid or hot • In steam boiler systems, use economizers to recover heat
water storage tanks from flue gases to pre-heat boiler feed water or combustion
• Insulate all steam, condensate, hot water and thermal fluid air
distribution pipework, down to and including 1” (25 mm) • Consider reverse osmosis or electrodialysis feed water
diameter pipe, in addition to insulating all hot valves and treatment to minimize the requirement for boiler blowdown
flanges • Adopt automatic (continuous) boiler blowdown
• In steam systems, return condensate to the boiler house • Recover heat from blowdown systems through flash steam
for re-use, since condensate is expensive boiler-quality recovery or feed-water preheat
water and valuable beyond its heat content alone • Do not supply excessive quantities of steam to the de-
• Use flash steam recovery systems to reduce losses due to aerator
evaporation of high-pressure condensate • With fired heaters, consider opportunities to recover heat to
• Consider steam expansion through a back-pressure turbine combustion air through the use of recuperative or
rather than reducing valve stations regenerative burner systems
• Eliminate distribution system losses by adopting point-of- • For systems operating for extended periods (> 6000
use heating systems hours/year), cogeneration of electrical power, heat and /or
cooling can be cost effective
Energy Conversion System Efficiency • Oxy Fuel burners
Improvements
• Oxygen enrichment/injection
The following efficiency opportunities should be examined for
• Use of turbolators in boilers
process furnaces or ovens, and utility systems, such as boilers
• Sizing design and use of multiple boilers for different load
and fluid heaters:
configurations
• Regularly monitor CO, oxygen or CO2 content of flue • Fuel quality control/fuel blending
gases to verify that combustion systems are using the
minimum practical excess air volumes Process Cooling
• Consider combustion automation using oxygen-trim The general methodology outlined above should be applied to
controls process cooling systems. Commonly used and cost-effective
• Minimize the number of boilers or heaters used to meet measures to improve process cooling efficiency are described
loads. It is typically more efficient to run one boiler at 90% below.
of capacity than two at 45%. Minimize the number of
boilers kept at hot–standby
• Use flue dampers to eliminate ventilation losses from hot
boilers held at standby

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
ENERGY CONSERVATION
WORLD BANK GROUP

Load Reduction o Planting trees as thermal shields around buildings

• Ensure adequate insulation to reduce heat gains through o Installing timers and/or thermostats and/or

cooling system structure and to below-ambient temperature enthalpy-based control systems

refrigerant pipes and vessels o Installing ventilation heat recovery systems34

• Control process temperature accurately to avoid

overcooling
Energy Conversion
The efficiency of refrigeration service provision is normally
• Operate cooling tunnels at slight positive pressure and
discussed in terms of Coefficient of Performance (“COP”), which
maintain air seals to reduce air in-leakage into the cooled
is the ratio of cooling duty divided by input power. COP is
system, thus reducing the energy required to cool this
maximized by effective refrigeration system design and
unnecessary air to system operating temperature
increased refrigerant compression efficiency, as well as
• Examine opportunities to pre-cool using heat recovery to a
minimization of the temperature difference through which the
process stream requiring heating, or by using a higher
system works and of auxiliary loads (i.e. those in addition to
temperature cooling utility
compressor power demand) used to operate the refrigeration
• In cold and chill stores, minimize heat gains to the cooled
system.
space by use of air curtains, entrance vestibules, or rapidly
opening/closing doors. Where conveyors carry products System Design
into chilled areas, minimize the area of transfer openings,
• If process temperatures are above ambient for all, or part,
for example, by using strip curtains
of the year, use of ambient cooling systems, such as
• Quantify and minimize “incidental” cooling loads, for
provided by cooling towers or dry air coolers, may be
example, those due to evaporator fans, other machinery,
appropriate, perhaps supplemented by refrigeration in
defrost systems and lighting in cooled spaces, circulation
summer conditions.
fans in cooling tunnels, or secondary refrigerant pumps
• Most refrigeration systems are electric-motor driven vapor
(e.g. chilled water, brines, glycols)
compression systems using positive displacement or
• Do not use refrigeration for auxiliary cooling duties, such as
centrifugal compressors. The remainder of this guideline
compressor cylinder head or oil cooling
relates primarily to vapor-compression systems. However,
• While not a thermal load, ensure there is no gas bypass of
when a cheap or free heat source is available (e.g. waste
the expansion valve since this imposes compressor load
heat from an engine-driven generator—low-pressure steam
while providing little effective cooling
• In the case of air conditioning applications, energy
34 More information on HVAC energy efficiency can be found at the British
efficiency techniques include:
Columbia Building Corporation (Woolliams, 2002.
http://www.greenbuildingsbc.com/new_buildings/pdf_files/greenbuild_strategi
o Placing air intakes and air-conditioning units in cool, es_guide.pdf), NRCAN’s EnerGuide
(http://oee.nrcan.gc.ca/equipment/english/index.cfm?PrintView=N&Text=N)
shaded locations and NRCAN’s Energy Star Programs
(http://oee.nrcan.gc.ca/energystar/english/consumers/heating.cfm?text=N&pri
o Improving building insulation including seals, vents, ntview=N#AC ), and the US Energy Star Program
windows, and doors (http://www.energystar.gov/index.cfm?c=guidelines.download_guidelines).

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
ENERGY CONSERVATION
WORLD BANK GROUP

that has passed through a back-pressure turbine), temperature is indicative of an appropriately sized
absorption refrigeration may be appropriate. evaporator. When cooling liquids, 2K between leaving
• Exploit high cooling temperature range: precooling by liquid and evaporating temperatures can be achieved,
ambient and/or ‘high temperature’ refrigeration before final though a 4K difference is generally indicative of a
cooling can reduce refrigeration capital and running costs. generously-sized evaporator.
High cooling temperature range also provides an • Keep the evaporator clean. When cooling air, ensure
opportunity for countercurrent (cascade) cooling, which correct defrost operation. In liquid cooling, monitor
reduces refrigerant flow needs. refrigerant/process temperature differences and compare
• Keep ‘hot’ and ‘cold’ fluids separate, for example, do not with design expectations to be alert to heat exchanger
mix water leaving the chiller with water returning from contamination by scale or oil.
cooling circuits. • Ensure oil is regularly removed from the evaporator, and
• In low-temperature systems where high temperature that oil additions and removals balance.
differences are inevitable, consider two-stage or compound • Avoid the use of back-pressure valves.
compression, or economized screw compressors, rather • Adjust expansion valves to minimize suction superheat
than single-stage compression. consistent with avoidance of liquid carry-over to
compressors.
Minimizing Temperature Differences
• Ensure that an appropriate refrigerant charge volume is
A vapor-compression refrigeration system raises the present.
temperature of the refrigerant from somewhat below the lowest
process temperature (the evaporating temperature) to provide Reducing Condensing Temperature

process cooling, to a higher temperature (the condensing • Consider whether to use air-cooled or evaporation-based
temperature), somewhat above ambient, to facilitate heat cooling (e.g. evaporative or water cooled condensers and
rejection to the air or cooling water systems. Increasing cooling towers). Air-cooled evaporators usually have
evaporating temperature typically increases compressor cooling higher condensing temperatures, hence higher compressor
capacity without greatly affecting power consumption. Reducing energy use, and auxiliary power consumption, especially in
condensing temperature increases evaporator cooling capacity low humidity climates. If a wet system is used, ensure
and substantially reduces compressor power consumption. adequate treatment to prevent growth of legionella
bacteria.
Elevating Evaporating Temperature
• Whichever basic system is chosen, select a relatively large
• Select a large evaporator to permit relatively low condenser to minimize differences between condensing
temperature differences between process and evaporating and the heat sink temperatures. Condensing temperatures
temperatures. Ensure that energy use of auxiliaries (e.g. with air cooled or evaporative condensers should not be
evaporator fans) does not outweigh compression savings. more than 10K above design ambient condition, and a 4K
In air-cooling applications, a design temperature difference approach in a liquid-cooled condenser is possible.
of 6-10 K between leaving air temperature and evaporating

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 Environmental, Health, and Safety (EHS) Guidelines
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ENERGY CONSERVATION
WORLD BANK GROUP

• Avoid accumulation of non-condensable gases in the Refrigerant Compression Efficiency

condenser system. Consider the installation of refrigerated • Some refrigerant compressors and chillers are more
non-condensable purgers, particularly for systems efficient than others offered for the same duty. Before
operating below atmospheric pressure. purchase, identify the operating conditions under which the
• Keep condensers clean and free from scale. Monitor compressor or chiller is likely to operate for substantial
refrigerant/ambient temperature differences and compare parts of its annual cycle. Check operating efficiency under
with design expectations to be alert to heat exchanger these conditions, and ask for estimates of annual running
contamination. cost. Note that refrigeration and HVAC systems rarely run
• Avoid liquid backup, which restricts heat transfer area in for extended periods at design conditions, which are
condensers. This can be caused by installation errors such deliberately extreme. Operational efficiency under the most
as concentric reducers in horizontal liquid refrigerant pipes, commonly occurring off-design conditions is likely to be
or “up and over” liquid lines leading from condensers. most important.
• In multiple condenser applications, refrigerant liquid lines • Compressors lose efficiency when unloaded. Avoid
should be connected via drop-leg traps to the main liquid operation of multiple compressors at part-load conditions.
refrigerant line to ensure that hot gases flow to all Note that package chillers can gain coefficient of
condensers. performance (COP) when slightly unloaded, as loss of
• Avoid head pressure control to the extent possible. Head compressor efficiency can be outweighed by the benefits of
pressure control maintains condensing temperature at, or reduced condensing and elevated evaporating
near, design levels. It therefore prevents reduction in temperature. However, it is unlikely to be energy efficient
compressor power consumption, which accompanies to operate a single compressor-chiller at less than 50% of
reduced condensing temperature, by restricting condenser capacity.
capacity (usually by switching off the condenser, or cooling • Consider turndown efficiency when specifying chillers.
tower fans, or restricting cooling water flow) under Variable speed control or multiple compressor chillers can
conditions of less severe than design load or ambient be highly efficient at part loads.
temperature conditions. Head pressure is often kept higher • Use of thermal storage systems (e.g., ice storage) can
than necessary to facilitate hot gas defrost or adequate avoid the need for close load-tracking and, hence, can
liquid refrigerant circulation. Use of electronic rather than avoid part-loaded compressor operation.
thermostatic expansion valves, and liquid refrigerant
pumps can permit effective refrigerant circulation at much Refrigeration System Auxiliaries
reduced condensing temperatures. Many refrigeration system auxiliaries (e.g. evaporator fans and
• Site condensers and cooling towers with adequate spacing chilled water pumps) contribute to refrigeration system load, so
so as to prevent recirculation of hot air into the tower. reductions in their energy use have a double benefit. General
energy saving techniques for pumps and fans, listed in the next
section of these guidelines, should be applied to refrigeration
auxiliaries.

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 Environmental, Health, and Safety (EHS) Guidelines
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ENERGY CONSERVATION
WORLD BANK GROUP

Additionally, auxiliary use can be reduced by avoidance of part- o Implement systems for systematic identification and
load operation and in plant selection (e.g. axial fan evaporative repair of leaks
condensers generally use less energy than equivalent o All condensate drain points should be trapped. Do not
centrifugal fan towers). leave drain valves continuously ‘cracked open’
o Train workers never to direct compressed air against
Under extreme off-design conditions, reduction in duty of cooling
their bodies or clothing to dust or cool themselves
system fans and pumps can be worthwhile, usually when the
down.
lowest possible condensing pressure has been achieved.
Distribution
Compressed Air Systems • Monitor pressure losses in filters and replace as
Compressed air is the most commonly found utility service in
appropriate
industry, yet in many compressed air systems, the energy
• Use adequately sized distribution pipework designed to
contained in compressed air delivered to the user is often 10%
minimize pressure losses
or less of energy used in air compression. Savings are often
possible through the following techniques:

Load reduction
• Examine each true user of compressed air to identify the
air volume needed and the pressure at which this should
be delivered.
• Do not mix high volume low pressure and low volume high
pressure loads. Decentralize low volume high-pressure
applications or provide dedicated low-pressure utilities, for
example, by using fans rather than compressed air.
• Review air use reduction opportunities, for example:

o Use air amplifier nozzles rather than simple open-pipe

compressed air jets
o Consider whether compressed air is needed at all
o Where air jets are required intermittently (e.g. to
propel product), consider operating the jet via a
process-related solenoid valve, which opens only
when air is required
o Use manual or automatically operated valves to
isolate air supply to individual machines or zones that
are not in continuous use

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

1.3 Wastewater and Ambient Water Quality

• Understand the quality, quantity, frequency and sources of
Applicability and Approach......................................25 liquid effluents in its installations. This includes knowledge
General Liquid Effluent Quality.......................................26
about the locations, routes and integrity of internal drainage
Discharge to Surface Water....................................26
Discharge to Sanitary Sewer Systems.....................26 systems and discharge points
Land Application of Treated Effluent........................27 • Plan and implement the segregation of liquid effluents
Septic Systems ......................................................27
principally along industrial, utility, sanitary, and stormwater
Wastewater Management...............................................27
Industrial Wastewater .............................................27 categories, in order to limit the volume of water requiring
Sanitary Wastewater ..............................................29 specialized treatment. Characteristics of individual streams
Emissions from Wastewater Treatment Operations .30
may also be used for source segregation.
Residuals from Wastewater Treatment Operations..30
Occupational Health and Safety Issues in Wastewater • Identify opportunities to prevent or reduce wastewater
Treatment Operations.............................................30 pollution through such measures as recycle/reuse within their
Monitoring......................................................................30
facility, input substitution, or process modification (e.g.
change of technology or operating conditions/modes).
Applicability and Approach • Assess compliance of their wastewater discharges with the
This guideline applies to projects that have either direct or indirect applicable: (i) discharge standard (if the wastewater is
discharge of process wastewater, wastewater from utility discharged to a surface water or sewer), and (ii) water quality
operations or stormwater to the environment. These guidelines standard for a specific reuse (e.g. if the wastewater is reused
are also applicable to industrial discharges to sanitary sewers that for irrigation).
discharge to the environment without any treatment. Process
wastewater may include contaminated wastewater from utility Additionally, the generation and discharge of wastewater of any
operations, stormwater, and sanitary sewage. It provides type should be managed through a combination of:
information on common techniques for wastewater management,
• Water use efficiency to reduce the amount of wastewater
water conservation, and reuse that can be applied to a wide range
generation
of industry sectors. This guideline is meant to be complemented
• Process modification, including waste minimization, and
by the industry-specific effluent guidelines presented in the
reducing the use of hazardous materials to reduce the load of
Industry Sector Environmental, Health, and Safety (EHS)
pollutants requiring treatment
Guidelines. Projects with the potential to generate process
• If needed, application of wastewater treatment techniques to
wastewater, sanitary (domestic) sewage, or stormwater should
further reduce the load of contaminants prior to discharge,
incorporate the necessary precautions to avoid, minimize, and
taking into consideration potential impacts of cross-media
control adverse impacts to human health, safety, or the
transfer of contaminants during treatment (e.g., from water to
environment.
air or land)
In the context of their overall ESHS management system, facilities
should:

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 Environmental, Health, and Safety (EHS) Guidelines
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WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

When wastewater treatment is required prior to discharge, the the receiving water into consideration, should also influence the
level of treatment should be based on: acceptable pollution loadings and effluent discharge quality.
Additional considerations that should be included in the setting of
• Whether wastewater is being discharged to a sanitary sewer project-specific performance levels for wastewater effluents
system, or to surface waters include:
• National and local standards as reflected in permit
requirements and sewer system capacity to convey and treat • Process wastewater treatment standards consistent with
wastewater if discharge is to sanitary sewer applicable Industry Sector EHS Guidelines. Projects for
• Assimilative capacity of the receiving water for the load of which there are no industry-specific guidelines should
contaminant being discharged wastewater if discharge is to reference the effluent quality guidelines of an industry sector
surface water with suitably analogous processes and effluents;
• Intended use of the receiving water body (e.g. as a source of • Compliance with national or local standards for sanitary
drinking water, recreation, irrigation, navigation, or other) wastewater discharges or, in their absence, the indicative
• Presence of sensitive receptors (e.g., endangered species) guideline values applicable to sanitary wastewater
or habitats discharges shown in Table 1.3.1 below ;

• Good International Industry Practice (GIIP) for the relevant • Temperature of wastewater prior to discharge does not result
industry sector in an increase greater than 3°C of ambient temperature at
the edge of a scientifically established mixing zone which
General Liquid Effluent Quality takes into account ambient water quality, receiving water use
and assimilative capacity among other considerations.
Discharge to Surface Water
Discharges of process wastewater, sanitary wastewater, Discharge to Sanitary Sewer Systems
wastewater from utility operations or stormwater to surface water Discharges of industrial wastewater, sanitary wastewater,
should not result in contaminant concentrations in excess of local wastewater from utility operations or stormwater into public or
ambient water quality criteria or, in the absence of local criteria, private wastewater treatment systems should:
other sources of ambient water quality.35 Receiving water use36
and assimilative capacity37, taking other sources of discharges to • Meet the pretreatment and monitoring requirements of the
sewer treatment system into which it discharges.

35 An example is the US EPA National Recommended Water Quality Criteria

• Not interfere, directly or indirectly, with the operation and
http://www.epa.gov/waterscience/criteria/wqcriteria.html maintenance of the collection and treatment systems, or
36 Examples of receiving water uses as may be designated by local authorities pose a risk to worker health and safety, or adversely impact
include: drinking water (with some level of treatment), recreation, aquaculture,
irrigation, general aquatic life, ornamental, and navigation. Examples of health-
based guideline values for receiving waters include World Health Organization
(WHO) guidelines for recreational use
(http://www.who.int/water_sanitation_health/dwq/guidelines/en/index.html) the area or region. A seasonally representative baseline assessment of ambient
37 The assimilative capacity of the receiving water body depends on numerous water quality may be required for use with established scientific methods and
mathematical models to estimate potential impact to the receiving water from an
factors including, but not limited to, the total volume of water, flow rate, flushing effluent source.
rate of the water body and the loading of pollutants from other effluent sources in

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 Environmental, Health, and Safety (EHS) Guidelines
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WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

characteristics of residuals from wastewater treatment • Properly designed and installed in accordance with local
operations. regulations and guidance to prevent any hazard to public
• Be discharged into municipal or centralized wastewater health or contamination of land, surface or groundwater.
treatment systems that have adequate capacity to meet local • Well maintained to allow effective operation.
regulatory requirements for treatment of wastewater • Installed in areas with sufficient soil percolation for the design
generated from the project. Pretreatment of wastewater to wastewater loading rate.
meet regulatory requirements before discharge from the • Installed in areas of stable soils that are nearly level, well
project site is required if the municipal or centralized drained, and permeable, with enough separation between the
wastewater treatment system receiving wastewater from the drain field and the groundwater table or other receiving
project does not have adequate capacity to maintain waters.
regulatory compliance.
Wastewater Management
Land Application of Treated Effluent Wastewater management includes water conservation,
The quality of treated process wastewater, wastewater from utility wastewater treatment, stormwater management, and wastewater
operations or stormwater discharged on land, including wetlands, and water quality monitoring.
should be established based on local regulatory requirements. .
Where land is used as part of the treatment system and the Industrial Wastewater
ultimate receptor is surface water, water quality guidelines for Industrial wastewater generated from industrial operations
surface water discharges specific to the industry sector process includes process wastewater, wastewater from utility operations,,
should apply.38 Potential impact on soil, groundwater, and surface runoff from process and materials staging areas, and
water, in the context of protection, conservation and long term miscellaneous activities including wastewater from laboratories,
sustainability of water and land resources should be assessed equipment maintenance shops, etc.. The pollutants in an industrial
when land is used as part of any wastewater treatment system. wastewater may include acids or bases (exhibited as low or high
pH), soluble organic chemicals causing depletion of dissolved
Septic Systems oxygen, suspended solids, nutrients (phosphorus, nitrogen),
Septic systems are commonly used for treatment and disposal of heavy metals (e.g. cadmium, chromium, copper, lead, mercury,
domestic sanitary sewage in areas with no sewerage collection nickel, zinc), cyanide, toxic organic chemicals, oily materials, and
networks, Septic systems should only be used for treatment of volatile materials. , as well as from thermal characteristics of the
sanitary sewage, and unsuitable for industrial wastewater discharge (e.g., elevated temperature). Transfer of pollutants to
treatment. When septic systems are the selected form of another phase, such as air, soil, or the sub-surface, should be
wastewater disposal and treatment, they should be: minimized through process and engineering controls.

38 Additional guidance on water quality considerations for land application is Process Wastewater – – Examples of treatment approaches
available in the WHO Guidelines for the Safe Use of Wastewater, Excreta and
Greywater. Volume 2: Wastewater Use in Agriculture
typically used in the treatment of industrial wastewater are
http://www.who.int/water_sanitation_health/wastewater/gsuweg2/en/index.html summarized in Annex 1.3.1. While the choice of treatment

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 Environmental, Health, and Safety (EHS) Guidelines
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WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

technology is driven by wastewater characteristics, the actual account ambient water quality, receiving water use, potential
performance of this technology depends largely on the adequacy receptors and assimilative capacity among other
of its design, equipment selection, as well as operation and considerations;
maintenance of its installed facilities. Adequate resources are • Minimizing use of antifouling and corrosion inhibiting
required for proper operation and maintenance of a treatment chemicals by ensuring appropriate depth of water intake and
facility, and performance is strongly dependent on the technical use of screens. Least hazardous alternatives should be used
ability and training of its operational staff. One or more treatment with regards to toxicity, biodegradability, bioavailability, and
technologies may be used to achieve the desired discharge bioaccumulation potential. Dose applied should accord with
quality and to maintain consistent compliance with regulatory local regulatory requirements and manufacturer
requirements. The design and operation of the selected recommendations;
wastewater treatment technologies should avoid uncontrolled air • Testing for residual biocides and other pollutants of concern
emissions of volatile chemicals from wastewaters. Residuals from should be conducted to determine the need for dose
industrial wastewater treatment operations should be disposed in adjustments or treatment of cooling water prior to discharge.
compliance with local regulatory requirements, in the absence of
which disposal has to be consistent with protection of public health Stormwater Management - Stormwater includes any surface

and safety, and conservation and long term sustainability of water runoff and flows resulting from precipitation, drainage or other

and land resources. sources. Typically stormwater runoff contains suspended

sediments, metals, petroleum hydrocarbons, Polycyclic Aromatic
Wastewater from Utilities Operations - Utility operations such Hydrocarbons (PAHs), coliform, etc. Rapid runoff, even of
as cooling towers and demineralization systems may result in high uncontaminated stormwater, also degrades the quality of the
rates of water consumption, as well as the potential release of receiving water by eroding stream beds and banks. In order to
high temperature water containing high dissolved solids, residues reduce the need for stormwater treatment, the following principles
of biocides, residues of other cooling system anti-fouling agents, should be applied:
etc. Recommended water management strategies for utility
operations include: • Stormwater should be separated from process and sanitary
wastewater streams in order to reduce the volume of
• Adoption of water conservation opportunities for facility wastewater to be treated prior to discharge
cooling systems as provided in the Water Conservation • Surface runoff from process areas or potential sources of
section below; contamination should be prevented
• Use of heat recovery methods (also energy efficiency • Where this approach is not practical, runoff from process and
improvements) or other cooling methods to reduce the storage areas should be segregated from potentially less
temperature of heated water prior to discharge to ensure the contaminated runoff
discharge water temperature does not result in an increase • Runoff from areas without potential sources of contamination
greater than 3°C of ambient temperature at the edge of a should be minimized (e.g. by minimizing the area of
scientifically established mixing zone which takes into impermeable surfaces) and the peak discharge rate should

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 Environmental, Health, and Safety (EHS) Guidelines
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WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

be reduced (e.g. by using vegetated swales and retention medical infirmaries, water softening etc. may also be discharged
ponds); to the sanitary wastewater treatment system. Recommended
• Where stormwater treatment is deemed necessary to protect sanitary wastewater management strategies include:
the quality of receiving water bodies, priority should be given
to managing and treating the first flush of stormwater runoff • Segregation of wastewater streams to ensure compatibility
with selected treatment option (e.g. septic system which can
where the majority of potential contaminants tend to be
only accept domestic sewage);
present;
• Segregation and pretreatment of oil and grease containing
• When water quality criteria allow, stormwater should be
effluents (e.g. use of a grease trap) prior to discharge into
managed as a resource, either for groundwater recharge or
sewer systems;
for meeting water needs at the facility;
• If sewage from the industrial facility is to be discharged to
• Oil water separators and grease traps should be installed
surface water, treatment to meet national or local standards
and maintained as appropriate at refueling facilities,
for sanitary wastewater discharges or, in their absence, the
workshops, parking areas, fuel storage and containment
indicative guideline values applicable to sanitary wastewater
areas.
discharges shown in Table 1.3.1;
• Sludge from stormwater catchments or collection and
• If sewage from the industrial facility is to be discharged to
treatment systems may contain elevated levels of pollutants
either a septic system, or where land is used as part of the
and should be disposed in compliance with local regulatory
requirements, in the absence of which disposal has to be treatment system, treatment to meet applicable national or
local standards for sanitary wastewater discharges is
consistent with protection of public health and safety, and
required.
conservation and long term sustainability of water and land
resources. • Sludge from sanitary wastewater treatment systems should
be disposed in compliance with local regulatory
Sanitary Wastewater requirements, in the absence of which disposal has to be

Sanitary wastewater from industrial facilities may include effluents consistent with protection of public health and safety, and

from domestic sewage, food service, and laundry facilities serving conservation and long term sustainability of water and land

site employees. Miscellaneous wastewater from laboratories, resources.

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WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

or a non-hazardous waste and managed accordingly as described

Table 1.3.1 Indicative Values for Treated in the Waste Management section of this document.
Sanitary Sewage Discharges a
Pollutants Units Guideline Value Occupational Health and Safety Issues in
pH pH 6 –9 Wastewater Treatment Operations
Wastewater treatment facility operators may be exposed to
BOD mg/l 30
physical, chemical, and biological hazards depending on the
COD mg/l 125
design of the facilities and the types of wastewater effluents
Total nitrogen mg/l 10 managed. Examples of these hazards include the potential for
Total phosphorus mg/l 2 trips and falls into tanks, confined space entries for maintenance

Oil and grease mg/l 10 operations, and inhalation of VOCs, bioaerosols, and methane,
contact with pathogens and vectors, and use of potentially
Total suspended solids mg/l 50
hazardous chemicals, including chlorine, sodium and calcium
Total coliform bacteria MPN b / 100 ml 400a
hypochlorite, and ammonia. Detailed recommendations for the
Notes:
a Not applicable to centralized, municipal, wastewater treatment systems management of occupational health and safety issues are
which are included in EHS Guidelines for Water and Sanitation.
b MPN = Most Probable Number presented in the relevant section of this document. Additional
guidance specifically applicable to wastewater treatment systems
Emissions from Wastewater Treatment Operations is provided in the EHS Guidelines for Water and Sanitation.
Air emissions from wastewater treatment operations may include
hydrogen sulfide, methane, ozone (in the case of ozone Monitoring
disinfection), volatile organic compounds (e.g., chloroform A wastewater and water quality monitoring program with adequate
generated from chlorination activities and other volatile organic resources and management oversight should be developed and
compounds (VOCs) from industrial wastewater), gaseous or implemented to meet the objective(s) of the monitoring program.
volatile chemicals used for disinfection processes (e.g., chlorine The wastewater and water quality monitoring program should
and ammonia), and bioaerosols. Odors from treatment facilities consider the following elements:
can also be a nuisance to workers and the surrounding
community. Recommendations for the management of emissions • Monitoring parameters: The parameters selected for
are presented in the Air Emissions and Ambient Air Quality monitoring should be indicative of the pollutants of concern
section of this document and in the EHS Guidelines for Water and from the process, and should include parameters that are
Sanitation. regulated under compliance requirements;

Residuals from Wastewater Treatment Operations • Monitoring type and frequency: Wastewater monitoring

Sludge from a waste treatment plant needs to be evaluated on a should take into consideration the discharge characteristics

case-by-case basis to establish whether it constitutes a hazardous from the process over time. Monitoring of discharges from
processes with batch manufacturing or seasonal process
variations should take into consideration of time-dependent

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 Environmental, Health, and Safety (EHS) Guidelines
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WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

variations in discharges and, therefore, is more complex than

monitoring of continuous discharges. Effluents from highly
variable processes may need to be sampled more frequently
or through composite methods. Grab samples or, if
automated equipment permits, composite samples may offer
more insight on average concentrations of pollutants over a
24-hour period. Composite samplers may not be appropriate
where analytes of concern are short-lived (e.g., quickly
degraded or volatile).

• Monitoring locations: The monitoring location should be

selected with the objective of providing representative
monitoring data. Effluent sampling stations may be located
at the final discharge, as well as at strategic upstream points
prior to merging of different discharges. Process discharges
should not be diluted prior or after treatment with the
objective of meeting the discharge or ambient water quality
standards.

• Data quality: Monitoring programs should apply

internationally approved methods for sample collection,
preservation and analysis. Sampling should be conducted by
or under the supervision of trained individuals. Analysis
should be conducted by entities permitted or certified for this
purpose. Sampling and Analysis Quality Assurance/Quality
Control (QA/QC) plans should be prepared and,
implemented. QA/QC documentation should be included in
monitoring reports.

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WASTEWATER AND AMBIENT WATER QUALITY
WORLD BANK GROUP

Annex 1.3.1 - Examples of Industrial Wastewater Treatment Approaches

Pollutant/Parameter Control Options / Principle Common End of Pipe Control Technology

pH Chemical, Equalization Acid/Base addition, Flow equalization
Oil and Grease / TPH Phase separation Dissolved Air Floatation, oil water separator, grease trap
TSS - Settleable Settling, Size Exclusion Sedimentation basin, clarifier, centrifuge, screens
Floatation, Filtration - traditional and Dissolved air floatation, Multimedia filter, sand filter, fabric filter,
TSS - Non-Settleable
tangential ultrafiltration, microfiltration
Hi - BOD (> 2 Kg/m3) Biological - Anaerobic Suspended growth, attached growth, hybrid

Lo - BOD (< 2 Kg/m3) Biological - Aerobic, Facultative Suspended growth, attached growth, hybrid
Oxidation, Adsorption, Size
COD - Non-Biodegradable Chemical oxidation, Thermal oxidation, Activated Carbon, Membranes
Exclusion
Metals - Particulate and Coagulation, flocculation,
Flash mix with settling, filtration - traditional and tangential
Soluble precipitation, size exclusion
Coagulation, flocculation, Flash mix with settling, filtration - traditional and tangential, Chemical
Inorganics / Non-metals precipitation, size exclusion, oxidation, Thermal oxidation, Activated Carbon, Reverse Osmosis,
Oxidation, Adsorption Evaporation
Biological - Aerobic, Anaerobic, Biological : Suspended growth, attached growth, hybrid; Chemical
Organics - VOCs and SVOCs
Facultative; Adsorption, Oxidation oxidation, Thermal oxidation, Activated Carbon
Emissions – Odors and Capture – Active or Passive; Biological : Attached growth; Chemical oxidation, Thermal oxidation,
VOCs Biological; Adsorption, Oxidation Activated Carbon
Biological Nutrient Removal, Aerobic/Anoxic biological treatment, chemical hydrolysis and air
Nutrients
Chemical, Physical, Adsorption stripping, chlorination, ion exchange
Biological - Aerobic, Anaerobic,
Color Biological Aerobic, Chemical oxidation, Activated Carbon
Facultative; Adsorption, Oxidation
Temperature Evaporative Cooling Surface Aerators, Flow Equalization
TDS Concentration, Size Exclusion Evaporation, crystallization, Reverse Osmosis

Active Ingredients/Emerging Adsorption, Oxidation, Size Chemical oxidation, Thermal oxidation, Activated Carbon, Ion
Contaminants Exclusion, Concentration Exchange, Reverse Osmosis, Evaporation, Crystallization

Adsorption,Size Exclusion,
Radionuclides Ion Exchange, Reverse Osmosis, Evaporation, Crystallization
Concentration
Pathogens Disinfection, Sterilization Chlorine, Ozone, Peroxide, UV, Thermal
Adsorption, Oxidation, Size Chemical oxidation, Thermal oxidation, Activated Carbon, Evaporation,
Toxicity
Exclusion, Concentration crystallization, Reverse Osmosis

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GENERAL EHS GUIDELINES: ENVIRONMENTAL
WATER CONSERVATION
WORLD BANK GROUP

1.4 Water Conservation

Applicability and Approach .............................................33 Water Monitoring and Management

Water Monitoring and Management................................33
Process Water Reuse and Recycling..............................33 The essential elements of a water management program
Building Facility Operations ............................................34 involve:
Cooling Systems............................................................34
Heating Systems............................................................34
• Identification, regular measurement, and recording of
principal flows within a facility;
Applicability and Approach • Definition and regular review of performance targets, which
Water conservation programs should be implemented are adjusted to account for changes in major factors
commensurate with the magnitude and cost of water use. affecting water use (e.g. industrial production rate);
These programs should promote the continuous reduction in
• Regular comparison of water flows with performance
water consumption and achieve savings in the water
targets to identify where action should be taken to reduce
pumping, treatment and disposal costs. Water conservation
water use.
measures may include water monitoring/management
Water measurement (metering) should emphasize areas of
techniques; process and cooling/heating water recycling, greatest water use. Based on review of metering data,
reuse, and other techniques; and sanitary water conservation ‘unaccounted’ use–indicating major leaks at industrial facilities–
techniques. could be identified.

General recommendations include:

Process Water Reuse and Recycling
• Storm/Rainwater harvesting and use Opportunities for water savings in industrial processes are

• Zero discharge design/Use of treated waste water to be highly industry-specific. However, the following techniques have

included in project design processes all been used successfully, and should be considered in

• Use of localized recirculation systems in conjunction with the development of the metering system

plant/facility/shops (as opposed to centralized described above.

recirculation system), with provision only for makeup

• Washing Machines: Many washing machines use large
water
quantities of hot water. Use can increase as nozzles
• Use of dry process technologies e.g. dry quenching
become enlarged due to repeated cleaning and /or wear.
• Process water system pressure management
Monitor machine water use, compare with specification,
• Project design to have measures for adequate water
and replace nozzles when water and heat use reaches
collection, spill control and leakage control system
levels warranting such work.

• Water reuse: Common water reuse applications include

countercurrent rinsing, for example in multi-stage washing

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WATER CONSERVATION
WORLD BANK GROUP

and rinsing processes, or reusing waste water from one the facility, whether sanitary or including other activities
process for another with less exacting water such as showering or catering
requirements. For example, using bleaching rinse water • Regularly maintain plumbing, and identify and repair leaks
for textile washing, or bottle-washer rinse water for • Shut off water to unused areas
bottle crate washing, or even washing the floor. More • Install self-closing taps, automatic shut-off valves, spray
sophisticated reuse projects requiring treatment of water nozzles, pressure reducing valves, and water conserving
before reuse are also sometimes practical. fixtures (e.g. low flow shower heads, faucets, toilets,

• Water jets/sprays: If processes use water jets or sprays urinals; and spring loaded or sensored faucets)

(e.g. to keep conveyors clean or to cool product) review • Operate dishwashers and laundries on full loads, and only

the accuracy of the spray pattern to prevent when needed

unnecessary water loss. • Install water-saving equipment in lavatories, such as low-

flow toilets
• Flow control optimization: Industrial processes
sometimes require the use of tanks, which are refilled to Cooling Systems
control losses. It is often possible to reduce the rate of
Water conservation opportunities in cooling systems include:
water supply to such tanks, and sometimes to reduce
tank levels to reduce spillage. If the process uses water • Use of closed circuit cooling systems with cooling

cooling sprays, it may be possible to reduce flow while towers rather than once-through cooling systems

maintaining cooling performance. Testing can • Limiting condenser or cooling tower blowdown to the

determine the optimum balance. minimum required to prevent unacceptable

accumulation of dissolved solids
o If hoses are used in cleaning, use flow controls to
• Use of air cooling rather than evaporative cooling,
restrict wasteful water flow
although this may increase electricity use in the
o Consider the use of high pressure, low volume
cooling system
cleaning systems rather than using large volumes
• Use of treated waste water for cooling towers
of water sprayed from hosepipes
• Reusing/recycling cooling tower blowdown
o Using flow timers and limit switches to control
water use
Heating Systems
o Using ‘clean-up’ practices rather than hosing down
Heating systems based on the circulation of low or medium
pressure hot water (which do not consume water) should be
Building Facility Operations
closed. If they do consume water, regular maintenance should
Consumption of building and sanitary water is typically less
be conducted to check for leaks. However, large quantities of
than that used in industrial processes. However, savings can
water may be used by steam systems, and this can be reduced
readily be identified, as outlined below:
by the following measures:
• Compare daily water use per employee to existing
benchmarks taking into consideration the primary use at

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GENERAL EHS GUIDELINES: ENVIRONMENTAL
WATER CONSERVATION
WORLD BANK GROUP

• Repair of steam and condensate leaks, and repair

of all failed steam traps
• Return of condensate to the boilerhouse, and use
of heat exchangers (with condensate return) rather
than direct steam injection where process permits
• Flash steam recovery
• Minimizing boiler blowdown consistent with
maintaining acceptably low dissolved solids in
boiler water. Use of reverse osmosis boiler feed
water treatment substantially reduces the need for
boiler blowdown
• Minimizing deaerator heating

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

1.5 Hazardous Materials Management

When a hazardous material is no longer usable for its original

Applicability and Approach .............................................36 purpose and is intended for disposal, but still has hazardous
General Hazardous Materials Management....................37 properties, it is considered a hazardous waste (see Section 1.4).
Hazard Assessment ...............................................37
Management Actions..............................................37 This guidance is intended to be applied in conjunction with
Release Prevention and Control Planning ............38
Occupational Health and Safety ...........................38 traditional occupational health and safety and emergency
Process Knowledge and Documentation ..............39
preparedness programs which are included in Section 2.0 on
Preventive Measures..............................................39
Hazardous Materials Transfer..............................39 Occupational Health and Safety Management, and Section 3.7 on
Overfill Protection................................................39 Emergency Preparedness and Response. Guidance on the
Reaction, Fire, and Explosion Prevention.............40
Control Measures...................................................40 Transport of Hazardous Materials is provided in Section 3.5.
Secondary Containment (Liquids) ........................40
Storage Tank and Piping Leak Detection..............41 This section is divided into two main subsections:
Underground Storage Tanks (USTs) ....................41
Management of Major Hazards.......................................42
General Hazardous Materials Management: Guidance applicable
Management Actions..............................................42
Preventive Measures..............................................43 to all projects or facilities that handle or store any quantity of
Emergency Preparedness and Response ...............44 hazardous materials.
Community Involvement and Awareness.................44
Management of Major Hazards: Additional guidance for projects or
facilities that store or handle hazardous materials at, or above,
Applicability and Approach threshold quantities39, and thus require special treatment to
These guidelines apply to projects that use, store, or handle any
prevent accidents such as fire, explosions, leaks or spills, and to
quantity of hazardous materials (Hazmats), defined as materials
prepare and respond to emergencies.
that represent a risk to human health, property, or the environment
due to their physical or chemical characteristics. Hazmats can be The overall objective of hazardous materials management is to
classified according to the hazard as explosives; compressed avoid or, when avoidance is not feasible, minimize uncontrolled
gases, including toxic or flammable gases; flammable liquids; releases of hazardous materials or accidents (including explosion
flammable solids; oxidizing substances; toxic materials; and fire) during their production, handling, storage and use. This
radioactive material; and corrosive substances. Guidance on the objective can be achieved by:
transport of hazardous materials is covered in Section 3 of this
document.

39 For examples, threshold quantities should be those established for emergency

planning purposes such as provided in the US Environmental Protection Agency.
Protection of Environment (Title Threshold quantities are provided in the US
Environmental Protection Agency. Protection of Environment (Title 40 CFR Parts
68, 112, and 355).

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 Environmental, Health, and Safety (EHS) Guidelines
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HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

• Establishing hazardous materials management priorities • The types and amounts of hazardous materials present in the
based on hazard analysis of risky operations identified project. This information should be recorded and should
through Social and Environmental Assessment; include a summary table with the following information:
• Where practicable, avoiding or minimizing the use of
o Name and description (e.g. composition of a mixture) of
hazardous materials. For example, non-hazardous materials
the Hazmat
have been found to substitute asbestos in building materials,
o Classification (e.g. code, class or division) of the
PCBs in electrical equipment, persistent organic pollutants
Hazmat
(POPs) in pesticides formulations, and ozone depleting
o Internationally accepted regulatory reporting threshold
substances in refrigeration systems;
quantity or national equivalent40 of the Hazmat
• Preventing uncontrolled releases of hazardous materials to
o Quantity of Hazmat used per month
the environment or uncontrolled reactions that might result in
o Characteristic(s) that make(s) the Hazmat hazardous
fire or explosion;
(e.g. flammability, toxicity)
• Using engineering controls (containment, automatic alarms,
• Analysis of potential spill and release scenarios using
and shut-off systems) commensurate with the nature of
available industry statistics on spills and accidents where
hazard;
available
• Implementing management controls (procedures,
• Analysis of the potential for uncontrolled reactions such as
inspections, communications, training, and drills) to address
fire and explosions
residual risks that have not been prevented or controlled
• Analysis of potential consequences based on the physical-
through engineering measures.
geographical characteristics of the project site, including
aspects such as its distance to settlements, water resources,
General Hazardous Materials Management
and other environmentally sensitive areas
Projects which manufacture, handle, use, or store hazardous
materials should establish management programs that are Hazard assessment should be performed by specialized
commensurate with the potential risks present. The main professionals using internationally-accepted methodologies such
objectives of projects involving hazardous materials should be the as Hazardous Operations Analysis (HAZOP), Failure Mode and
protection of the workforce and the prevention and control of Effects Analysis (FMEA), and Hazard Identification (HAZID).
releases and accidents. These objectives should be addressed
by integrating prevention and control measures, management
actions, and procedures into day-to-day business activities. Management Actions
Potentially applicable elements of a management program include
The management actions to be included in a Hazardous Materials
the following: Management Plan should be commensurate with the level of

Hazard Assessment
The level of risk should be established through an on-going 40 Threshold quantities are provided in the US Environmental Protection Agency.
assessment process based on: Protection of Environment (Title 40 CFR Parts 68, 112, and 355).

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 Environmental, Health, and Safety (EHS) Guidelines
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HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

potential risks associated with the production, handling, storage, external resources for equipment and personnel, if
and use of hazardous materials. necessary, to supplement internal resources
• Description of response activities in the event of a spill,
Release Prevention and Control Planning release, or other chemical emergency including:
Where there is risk of a spill of uncontrolled hazardous materials, o Internal and external notification procedures
facilities should prepare a spill control, prevention, and o Specific responsibilities of individuals or groups
countermeasure plan as a specific component of their Emergency o Decision process for assessing severity of the release,
Preparedness and Response Plan (described in more detail in and determining appropriate actions
Section 3.7). The plan should be tailored to the hazards o Facility evacuation routes
associated with the project, and include: o Post-event activities such as clean-up and disposal,
incident investigation, employee re-entry, and
• Training of operators on release prevention, including drills
restoration of spill response equipment.
specific to hazardous materials as part of emergency
preparedness response training
Occupational Health and Safety
• Implementation of inspection programs to maintain the
The Hazardous Materials Management Plan should address
mechanical integrity and operability of pressure vessels,
applicable, essential elements of occupational health and safety
tanks, piping systems, relief and vent valve systems,
management as described in Section 2.0 on Occupational Health
containment infrastructure, emergency shutdown systems,
and Safety, including:
controls and pumps, and associated process equipment
• Preparation of written Standard Operating Procedures • Job safety analysis to identify specific potential occupational
(SOPs) for filling USTs, ASTs or other containers or hazards and industrial hygiene surveys, as appropriate, to
equipment as well as for transfer operations by personnel monitor and verify chemical exposure levels, and compare
trained in the safe transfer and filling of the hazardous with applicable occupational exposure standards41
material, and in spill prevention and response
• Hazard communication and training programs to prepare
• SOPs for the management of secondary containment workers to recognize and respond to workplace chemical
structures, specifically the removal of any accumulated fluid, hazards. Programs should include aspects of hazard
such as rainfall, to ensure that the intent of the system is not identification, safe operating and materials handling
accidentally or willfully defeated procedures, safe work practices, basic emergency
• Identification of locations of hazardous materials and procedures, and special hazards unique to their jobs.
associated activities on an emergency plan site map
• Documentation of availability of specific personal protective 41 Including: Threshold Limit Value (TLV®) occupational exposure guidelines and
Biological Exposure Indices (BEIs®), American Conference of Governmental
equipment and training needed to respond to an emergency Industrial Hygienists (ACGIH), http://www.acgih.org/TLV/; U.S. National Institute
for Occupational Health and Safety (NIOSH), http://www.cdc.gov/niosh/npg/;
• Documentation of availability of spill response equipment Permissible Exposure Limits (PELs), U.S. Occupational Safety and Health
Administration (OSHA),
sufficient to handle at least initial stages of a spill and a list of http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDARD
S&p_id=9992; Indicative Occupational Exposure Limit Values, European Union,
http://europe.osha.eu.int/good_practice/risks/ds/oel/; and other similar sources.

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 Environmental, Health, and Safety (EHS) Guidelines
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HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

Training should incorporate information from Material Safety Preventive Measures

Data Sheets42 (MSDSs) for hazardous materials being Hazardous Materials Transfer
handled. MSDSs should be readily accessible to employees
Uncontrolled releases of hazardous materials may result from
in their local language.
small cumulative events, or from more significant equipment
• Definition and implementation of permitted maintenance failure associated with events such as manual or mechanical
activities, such as hot work or confined space entries transfer between storage systems or process equipment.
• Provision of suitable personal protection equipment (PPE) Recommended practices to prevent hazardous material releases
(footwear, masks, protective clothing and goggles in from processes include:
appropriate areas), emergency eyewash and shower
• Use of dedicated fittings, pipes, and hoses specific to
stations, ventilation systems, and sanitary facilities
materials in tanks (e.g., all acids use one type of connection,
• Monitoring and record-keeping activities, including audit
all caustics use another), and maintaining procedures to
procedures designed to verify and record the effectiveness of
prevent addition of hazardous materials to incorrect tanks
prevention and control of exposure to occupational hazards,
• Use of transfer equipment that is compatible and suitable for
and maintaining accident and incident investigation reports
the characteristics of the materials transferred and designed
on file for a period of at least five years
to ensure safe transfer

Process Knowledge and Documentation • Regular inspection, maintenance and repair of fittings, pipes

The Hazardous Materials Management Plan should be and hoses

incorporated into, and consistent with, the other elements of the • Provision of secondary containment, drip trays or other
facility ES/OHS MS and include: overflow and drip containment measures, for hazardous
materials containers at connection points or other possible
• Written process safety parameters (i.e., hazards of the
overflow points.
chemical substances, safety equipment specifications, safe
operation ranges for temperature, pressure, and other Overfill Protection
applicable parameters, evaluation of the consequences of
Overfills of vessels and tanks should be prevented as they are
deviations, etc.) among the most common causes of spills resulting in soil and
• Written operating procedures water contamination, and among the easiest to prevent.
• Compliance audit procedures Recommended overfill protection measures include:

• Prepare written procedures for transfer operations that

includes a checklist of measures to follow during filling
operations and the use of filling operators trained in these
procedures
• Installation of gauges on tanks to measure volume inside
42 MSDSs are produced by the manufacturer, but might not be prepared for
• Use of dripless hose connections for vehicle tank and fixed
chemical intermediates that are not distributed in commerce. In these cases,
employers still need to provide workers with equivalent information. connections with storage tanks

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 Environmental, Health, and Safety (EHS) Guidelines
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HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

• Provision of automatic fill shutoff valves on storage tanks to • Prohibition of all sources of ignition from areas near
prevent overfilling flammable storage tanks
• Use of a catch basin around the fill pipe to collect spills
• Use of piping connections with automatic overfill protection Control Measures
(float valve) Secondary Containment (Liquids)
• Pumping less volume than available capacity into the tank or A critical aspect for controlling accidental releases of liquid
vessel by ordering less material than its available capacity hazardous materials during storage and transfer is the provision of
• Provision of overfill or over pressure vents that allow secondary containment. It is not necessary for secondary
controlled release to a capture point containment methods to meet long term material compatibility as
with primary storage and piping, but their design and construction
Reaction, Fire, and Explosion Prevention should hold released materials effectively until they can be
Reactive, flammable, and explosive materials should also be detected and safely recovered. Appropriate secondary
managed to avoid uncontrolled reactions or conditions resulting in containment structures consist of berms, dikes, or walls capable of
fire or explosion. Recommended prevention practices include: containing the larger of 110 percent of the largest tank or 25%
percent of the combined tank volumes in areas with above-ground
• Storage of incompatible materials (acids, bases, flammables,
tanks with a total storage volume equal or greater than 1,000 liters
oxidizers, reactive chemicals) in separate areas, and with
and will be made of impervious, chemically resistant material.
containment facilities separating material storage areas
Secondary containment design should also consider means to
• Provision of material-specific storage for extremely
prevent contact between incompatible materials in the event of a
hazardous or reactive materials
release.
• Use of flame arresting devices on vents from flammable
storage containers Other secondary containment measures that should be applied
• Provision of grounding and lightning protection for tank depending on site-specific conditions include:
farms, transfer stations, and other equipment that handles
• Transfer of hazardous materials from vehicle tanks to storage
flammable materials
in areas with surfaces sufficiently impervious to avoid loss to
• Selection of materials of construction compatible with
the environment and sloped to a collection or a containment
products stored for all parts of storage and delivery systems,
structure not connected to municipal wastewater/stormwater
and avoiding reuse of tanks for different products without
collection system
checking material compatibility
• Where it is not practical to provide permanent, dedicated
• Storage of hazardous materials in an area of the facility
containment structures for transfer operations, one or more
separated from the main production works. Where proximity
alternative forms of spill containment should be provided,
is unavoidable, physical separation should be provided using
such as portable drain covers (which can be deployed for the
structures designed to prevent fire, explosion, spill, and other
duration of the operations), automatic shut-off valves on
emergency situations from affecting facility operations
storm water basins, or shut off valves in drainage or sewer
facilities, combined with oil-water separators

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

• Storage of drummed hazardous materials with a total volume Underground Storage Tanks (USTs)45
equal or greater than 1,000 liters in areas with impervious Although there are many environmental and safety advantages of
surfaces that are sloped or bermed to contain a minimum of underground storage of hazardous materials, including reduced
25 percent of the total storage volume risk of fire or explosion, and lower vapor losses into the
• Provision of secondary containment for components (tanks, atmosphere, leaks of hazardous materials can go undetected for
pipes) of the hazardous material storage system, to the long periods of time with potential for soil and groundwater
extent feasible contamination. Examples of techniques to manage these risks
• Conducting periodic (e.g. daily or weekly) reconciliation of include:
tank contents, and inspection of visible portions of tanks and
• Avoiding use of USTs for storage of highly soluble organic
piping for leaks;
materials
• Use of double-walled, composite, or specially coated storage
• Assessing local soil corrosion potential, and installing and
and piping systems particularly in the use of underground
maintaining cathodic protection (or equivalent rust protection)
storage tanks (USTs) and underground piping. If double-
for steel tanks
walled systems are used, they should provide a means of
• For new installations, installing impermeable liners or
detecting leaks between the two walls.
structures (e.g., concrete vaults) under and around tanks and
lines that direct any leaked product to monitoring ports at the
Storage Tank and Piping Leak Detection
lowest point of the liner or structure
Leak detection may be used in conjunction with secondary
• Monitoring the surface above any tank for indications of soil
containment, particularly in high-risk locations43. Leak detection is
movement
especially important in situations where secondary containment is
• Reconciling tank contents by measuring the volume in store
not feasible or practicable, such as in long pipe runs. Acceptable
with the expected volume, given the stored quantity at last
leak detection methods include:
stocking, and deliveries to and withdrawals from the store
• Use of automatic pressure loss detectors on pressurized or • Testing integrity by volumetric, vacuum, acoustic, tracers, or
long distance piping other means on all tanks at regular intervals
• Use of approved or certified integrity testing methods on • Considering the monitoring groundwater of quality down
piping or tank systems, at regular intervals gradient of locations where multiple USTs are in use
• Considering the use of SCADA 44 if financially feasible • Evaluating the risk of existing UST in newly acquired facilities
to determine if upgrades are required for USTs that will be
continued to be used, including replacement with new
systems or permanent closure of abandoned USTs.
43 High-risk locations are places where the release of product from the storage
system could result in the contamination of drinking water source or those located Ensuring that new USTs are sited away from wells,
in water resource protection areas as designated by local authorities.
44 Supervisory Control and Data Acquisition

45 Additional details on the management of USTs is provided in the EHS

Guidelines for Retail Petroleum Stations.

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

reservoirs and other source water protection areas and the prevention measures (see below) should be conducted at
floodplains, and maintained so as to prevent corrosion. least every three years and should include:
o Preparation of a report of the findings
Management of Major Hazards o Determination and documentation of the appropriate
In addition to the application of the above-referenced guidance on response to each finding
prevention and control of releases of hazardous materials, o Documentation that any deficiency has been corrected
projects involving production, handling, and storage of hazardous
• Incident Investigation: Incidents can provide valuable
materials at or above threshold limits46 should prepare a
information about site hazards and the steps needed to
Hazardous Materials Risk Management Plan, in the context of its
prevent accidental releases. An incident investigation
overall ES/OHS MS, containing all of the elements presented
mechanism should include procedures for:
below.47 The objective of this guidance is the prevention and
o Initiation of the investigation promptly
control of catastrophic releases of toxic, reactive, flammable, or
o Summarizing the investigation in a report
explosive chemicals that may result in toxic, fire, or explosion
o Addressing the report findings and recommendations
hazards.48
o A review of the report with staff and contractors

Management Actions • Employee Participation: A written plan of action should

• Management of Change: These procedures should address: describe an active employee participation program for the

o The technical basis for changes in processes and prevention of accidents.

operations • Contractors: There should be a mechanism for contractor

o The impact of changes on health and safety control which should include a requirement for them to
o Modification to operating procedures develop hazard materials management procedures that meet
o Authorization requirements the requirements of the hazardous materials management
o Employees affected plan. Their procedures should be consistent with those of
o Training needs the contracting company and the contractor workforce should

• Compliance Audit: A compliance audit is a way to evaluate undergo the same training. Additionally, procedures should

compliance with the prevention program requirements for require that contractors are:

each process. A compliance audit covering each element of o Provided with safety performance procedures and safety
and hazard information
o Observe safety practices
46 Threshold quantities should be those established for emergency planning
purposes such as provided in the US Environmental Protection Agency. Protection o Act responsibly
of Environment (Title 40 CFR Parts 300-399 and 700 to 789).
o Have access to appropriate training for their employees
47 For further information and guidance, please refer to International Finance
Corporation (IFC) Hazardous Materials Risk Management Manual. Washington, o Ensure that their employees know process hazards and
D.C. December 2000.
48 The approach to the management of major hazards is largely based on an
applicable emergency actions
approach to Process Safety Management developed by the American Institute of
Chemical Engineers.

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

o Prepare and submit training records for their employees initial startup, normal operations, temporary operations,
to the contracting company emergency shutdown, emergency operations, normal
o Inform their employees about the hazards presented by shutdown, and start-up following a normal or emergency
their work shutdown or major change). These SOPs should include
o Assess trends of repeated similar incidents special considerations for Mazmats used in the process or
o Develop and implement procedures to manage repeated operations (e.g. temperature control to prevent emissions of
similar incidents a volatile hazardous chemical; diversion of gaseous
discharges of hazardous pollutants from the process to a
• Training: Project employees should be provided training on
temporary storage tank in case of emergency).
Hazmat management. The training program should include:
o A list of employees to be trained Other procedures to be developed include impacts of
o Specific training objectives deviations, steps to avoid deviations, prevention of chemical
o Mechanisms to achieve the objectives (i.e., hands-on exposure, exposure control measures, and equipment
workshops, videos, etc.) inspections.
o The means to determine whether the training program is
Mechanical Integrity of process equipment, piping and
effective
instrumentation: Inspection and maintenance procedures
o Training procedures for new hires and refresher courses
should be developed and documented to ensure mechanical
for existing employees
integrity of equipment, piping, and instrumentation and
prevent uncontrolled releases of hazardous materials from
Preventive Measures
the project. These procedures should be included as part of
The purpose of preventive measures is to ensure that safety-
the project SOPs. The specific process components of major
related aspects of the process and equipment are considered,
interest include pressure vessels and storage tanks, piping
limits to be placed on the operations are well known, and
systems, relief and vent systems and devices, emergency
accepted standards and codes are adopted, where they apply.
shutdown systems, controls, and pumps. Recommended
• Process Safety Information: Procedures should be prepared aspects of the inspection and maintenance program include:
for each hazardous materials and include: o Developing inspection and maintenance procedures
o Compilation of Material Safety Data Sheets (MSDS) o Establishing a quality assurance plan for equipment,
o Identification of maximum intended inventories and safe maintenance materials, and spare parts
upper/lower parameters o Conducting employee training on the inspection and
o Documentation of equipment specifications and of maintenance procedures
codes and standards used to design, build and operate o Conducting equipment, piping, and instrumentation
the process inspections and maintenance
o Identifying and correcting identified deficiencies
• Operating Procedures: SOPs should be prepared for each
step of all processes or operations within the project (e.g.

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

o Evaluating the inspection and maintenance results and, incorporated into and consistent with, the facility’s overall ES/OHS
if necessary, updating the inspection and maintenance MS, should be prepared to cover the following:49
procedures
• Planning Coordination: Procedures should be prepared for:
o Reporting the results to management.
o Informing the public and emergency response agencies
o Documenting first aid and emergency medical treatment
• Hot Work Permit: Hot work operations – such as brazing,
o Taking emergency response actions
torch-cutting, grinding, soldering, and welding – are
o Reviewing and updating the emergency response plan
associated with potential health, safety, and property hazards
to reflect changes, and ensuring that employees are
resulting from the fumes, gases, sparks, and hot metal and
informed of such changes
radiant energy produced during hot work. Hot work permit is
required for any operation involving open flames or producing • Emergency Equipment: Procedures should be prepared for
heat and/or sparks. The section of SOPs on hot work should using, inspecting, testing, and maintaining the emergency
include the responsibility for hot work permitting, personal response equipment.
protection equipment (PPE), hot work procedures, personnel
• Training: Employees and contractors should be trained on
training, and recordkeeping.
emergency response procedures.
• Pre-Start Review: Procedures should be prepared to carry
out pre-start reviews when a modification is significant Community Involvement and Awareness
enough to require a change in safety information under the When hazardous materials are in use above threshold quantities,
management of change procedure. The procedures should: the management plan should include a system for community
o Confirm that the new or modified construction and/or awareness, notification and involvement that should be
equipment meet design specifications commensurate with the potential risks identified for the project
o Ensure that procedures for safety, operation, during the hazard assessment studies. This should include
maintenance, and emergency are adequate mechanisms for sharing the results of hazard and risk assessment
o Include a process hazard assessment, and resolve or studies in a timely, understandable and culturally sensitive manner
implement recommendations for new process with potentially affected communities that provides a means for
o Ensure that training for all affected employees is being public feedback. Community involvement activities should include:
conducted
• Availability of general information to the potentially affected
community on the nature and extent of project operations,
Emergency Preparedness and Response
and the prevention and control measures in place to ensure
When handling hazardous materials, procedures and practices
no effects to human health
should be developed allowing for quick and efficient responses to
accidents that could result in human injury or damage to the
49 For a comprehensive treatment of the development of emergency response
environment. An Emergency Preparedness and Response Plan,
plans in conjunction with communities refer to the Awareness and Preparedness
for Emergencies at Local Level (APELL) Guidelines available at:
http://www.uneptie.org/pc/apell/publications/handbooks.html

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
HAZARDOUS MATERIALS MANAGEMENT
WORLD BANK GROUP

• The potential for off-site effects to human health or the

environment following an accident at planned or existing
hazardous installations
• Specific and timely information on appropriate behavior and
safety measures to be adopted in the event of an accident
including practice drills in locations with higher risks
• Access to information necessary to understand the nature of
the possible effect of an accident and an opportunity to
contribute effectively, as appropriate, to decisions concerning
hazardous installations and the development of community
emergency preparedness plans.

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WASTE MANAGEMENT
WORLD BANK GROUP

residual waste from industrial operations, such as boiler slag,

1.6 Waste Management clinker, and fly ash.
Applicability and Approach .............................................46
General Waste Management..........................................47 Hazardous waste shares the properties of a hazardous
Waste Management Planning .................................47 material (e.g. ignitability, corrosivity, reactivity, or toxicity), or
Waste Prevention...................................................47
other physical, chemical, or biological characteristics that
Recycling and Reuse..............................................48
Treatment and Disposal..........................................48 may pose a potential risk to human health or the environment
Hazardous Waste Management......................................48 if improperly managed. Wastes may also be defined as
Waste Storage .......................................................48
“hazardous” by local regulations or international conventions,
Transportation........................................................49
Treatment and Disposal..........................................49 based on the origin of the waste and its inclusion on
Commercial or Government Waste Contractors....49 hazardous waste lists, or based on its characteristics.
Small Quantities of Hazardous Waste ..................50
Monitoring..............................................................50
Sludge from a waste treatment plant, water supply treatment
plant, or air pollution control facility, and other discarded
material, including solid, liquid, semisolid, or contained
Applicability and Approach
gaseous material resulting from industrial operations needs
These guidelines apply to projects that generate, store, or
to be evaluated on a case-by-case basis to establish whether
handle any quantity of waste across a range of industry
it constitutes a hazardous or a non-hazardous waste.
sectors. It is not intended to apply to projects or facilities
where the primary business is the collection, transportation, Facilities that generate and store wastes should practice the
treatment, or disposal of wastes. Specific guidance for these following:
types of facilities is presented in the Environmental Health
• Establishing waste management priorities at the outset
and Safety (EHS) Guidelines for Waste Management
of activities based on an understanding of potential
Facilities.
Environmental, Health, and Safety (EHS) risks and

A waste is any solid, liquid, or contained gaseous material impacts and considering waste generation and its
that is being discarded by disposal, recycling, burning or consequences
incineration. It can be byproduct of a manufacturing process • Establishing a waste management hierarchy that
or an obsolete commercial product that can no longer be considers prevention, reduction, reuse, recovery,
used for intended purpose and requires disposal. recycling, removal and finally disposal of wastes.
• Avoiding or minimizing the generation waste materials,
Solid (non-hazardous) wastes generally include any garbage, as far as practicable
refuse. Examples of such waste include domestic trash and • Where waste generation cannot be avoided but has
garbage; inert construction / demolition materials; refuse, been minimized, recovering and reusing waste
such as metal scrap and empty containers (except those
previously used to contain hazardous materials which should,
in principle, be managed as a hazardous waste); and

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WASTE MANAGEMENT
WORLD BANK GROUP

• Where waste can not be recovered or reused, treating, • Definition of procedures and operational controls for on-
destroying, and disposing of it in an environmentally site storage
sound manner • Definition of options / procedures / operational controls
for treatment and final disposal
General Waste Management
The following guidance applies to the management of non- Waste Prevention
hazardous and hazardous waste. Additional guidance Processes should be designed and operated to prevent, or
specifically applicable to hazardous wastes is presented minimize, the quantities of wastes generated and hazards
below. Waste management should be addressed through a associated with the wastes generated in accordance with the
Waste management system that addresses issues linked to following strategy:
waste minimization, generation, transport, disposal, and
• Substituting raw materials or inputs with less hazardous
monitoring.
or toxic materials, or with those where processing
generates lower waste volumes
Waste Management Planning
• Applying manufacturing process that convert materials
Facilities that generate waste should characterize their waste
efficiently, providing higher product output yields,
according to composition, source, types of wastes produced,
including modification of design of the production
generation rates, or according to local regulatory
process, operating conditions, and process controls50
requirements. Effective planning and implementation of
• Instituting good housekeeping and operating practices,
waste management strategies should include:
including inventory control to reduce the amount of
• Review of new waste sources during planning, siting, waste resulting from materials that are out-of-date, off-
and design activities, including during equipment specification, contaminated, damaged, or excess to
modifications and process alterations, to identify plant needs
expected waste generation, pollution prevention • Instituting procurement measures that recognize
opportunities, and necessary treatment, storage, and opportunities to return usable materials such as
disposal infrastructure containers and which prevents the over ordering of
• Collection of data and information about the process materials
and waste streams in existing facilities, including
• Minimizing hazardous waste generation by
characterization of waste streams by type, quantities, implementing stringent waste segregation to prevent the
and potential use/disposition commingling of non-hazardous and hazardous waste to
• Establishment of priorities based on a risk analysis that be managed
takes into account the potential EHS risks during the
waste cycle and the availability of infrastructure to
manage the waste in an environmentally sound manner
50 Examples of waste prevention strategies include the concept of Lean
• Definition of opportunities for source reduction, as well Manufacturing found at
as reuse and recycling http://www.epa.gov/epaoswer/hazwaste/minimize/lean.htm

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WASTE MANAGEMENT
WORLD BANK GROUP

Recycling and Reuse wastes; properly designed, permitted and operated

In addition to the implementation of waste prevention landfills or incinerators designed for the respective type

strategies, the total amount of waste may be significantly of waste; or other methods known to be effective in the

reduced through the implementation of recycling plans, which safe, final disposal of waste materials such as

should consider the following elements: bioremediation.

• Evaluation of waste production processes and Hazardous Waste Management

identification of potentially recyclable materials
Hazardous wastes should always be segregated from non-
• Identification and recycling of products that can be hazardous wastes. If generation of hazardous waste can not
reintroduced into the manufacturing process or industry
be prevented through the implementation of the above
activity at the site
general waste management practices, its management
• Investigation of external markets for recycling by other should focus on the prevention of harm to health, safety, and
industrial processing operations located in the the environment, according to the following additional
neighborhood or region of the facility (e.g., waste principles:
exchange)
• Understanding potential impacts and risks associated
• Establishing recycling objectives and formal tracking of
with the management of any generated hazardous
waste generation and recycling rates
waste during its complete life cycle
• Providing training and incentives to employees in order
• Ensuring that contractors handling, treating, and
to meet objectives
disposing of hazardous waste are reputable and

Treatment and Disposal legitimate enterprises, licensed by the relevant

If waste materials are still generated after the implementation regulatory agencies and following good international

of feasible waste prevention, reduction, reuse, recovery and industry practice for the waste being handled

recycling measures, waste materials should be treated and • Ensuring compliance with applicable local and

disposed of and all measures should be taken to avoid international regulations51

potential impacts to human health and the environment.

Selected management approaches should be consistent with
Waste Storage
the characteristics of the waste and local regulations, and Hazardous waste should be stored so as to prevent or

may include one or more of the following: control accidental releases to air, soil, and water resources in
area location where:
• On-site or off-site biological, chemical, or physical
treatment of the waste material to render it non-
hazardous prior to final disposal 51 International requirements may include host-country commitments
under the Basel Convention on the Control of Transboundary Movements of
• Treatment or disposal at permitted facilities specially Hazardous Waste and their disposal (http://www.basel.int/) and Rotterdam
Convention on the prior Inform Consent Procedure for Certain Hazardous
designed to receive the waste. Examples include: Chemicals and Pesticides in International Trade (http://www.pic.int/)
composting operations for organic non-hazardous

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WASTE MANAGEMENT
WORLD BANK GROUP

• Waste is stored in a manner that prevents the • Preparing and implementing spill response and
commingling or contact between incompatible wastes, emergency plans to address their accidental release
and allows for inspection between containers to monitor (additional information on Emergency Plans in provided
leaks or spills. Examples include sufficient space in Section 3 of this document)
between incompatibles or physical separation such as • Avoiding underground storage tanks and underground
walls or containment curbs piping of hazardous waste
• Store in closed containers away from direct sunlight,
wind and rain Transportation
• Secondary containment systems should be constructed On-site and Off-site transportation of waste should be
with materials appropriate for the wastes being conducted so as to prevent or minimize spills, releases, and
contained and adequate to prevent loss to the exposures to employees and the public. All waste
environment containers designated for off-site shipment should be

• Secondary containment is included wherever liquid secured and labeled with the contents and associated

wastes are stored in volumes greater than 220 liters. hazards, be properly loaded on the transport vehicles before

The available volume of secondary containment should leaving the site, and be accompanied by a shipping paper
be at least 110 percent of the largest storage container, (i.e., manifest) that describes the load and its associated

or 25 percent of the total storage capacity (whichever is hazards, consistent with the guidance provided in Section 3.4

greater), in that specific location on the Transport of Hazardous Materials.

• Provide adequate ventilation where volatile wastes are

stored.
Treatment and Disposal
In addition to the recommendations for treatment and
Hazardous waste storage activities should also be subject to
disposal applicable to general wastes, the following issues
special management actions, conducted by employees who
specific to hazardous wastes should be considered:
have received specific training in handling and storage of
hazardous wastes: Commercial or Government Waste Contractors
In the absence of qualified commercial or government-owned
• Provision of readily available information on chemical
waste vendors (taking into consideration proximity and
compatibility to employees, including labeling each
transportation requirements), facilities generating waste
container to identify its contents
should consider using:
• Limiting access to hazardous waste storage areas to
employees who have received proper training • Have the technical capability to manage the waste in a

• Clearly identifying (label) and demarcating the area, manner that reduces immediate and future impact to the

including documentation of its location on a facility map environment

or site plan • Have all required permits, certifications, and approvals,

• Conducting periodic inspections of waste storage areas of applicable government authorities

and documenting the findings

APRIL 30, 2007 49

 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WASTE MANAGEMENT
WORLD BANK GROUP

• Have been secured through the use of formal are generated and stored on site, monitoring activities
procurement agreements should include:

In the absence of qualified commercial or government-owned o Inspection of vessels for leaks, drips or other

waste disposal operators (taking into consideration proximity indications of loss

and transportation requirements), project sponsors should o Identification of cracks, corrosion, or damage to

consider using: tanks, protective equipment, or floors

o Verification of locks, emergency valves, and other
• Installing on-site waste treatment or recycling
safety devices for easy operation (lubricating if
processes
required and employing the practice of keeping
• As a final option, constructing facilities that will provide
locks and safety equipment in standby position
for the environmental sound long-term storage of
when the area is not occupied)
wastes on-site (as described elsewhere in the General
o Checking the operability of emergency systems
EHS Guidelines) or at an alternative appropriate
o Documenting results of testing for integrity,
location up until external commercial options become
emissions, or monitoring stations (air, soil vapor, or
available
groundwater)
o Documenting any changes to the storage facility,
Small Quantities of Hazardous Waste
and any significant changes in the quantity of
Hazardous waste materials are frequently generated in small
materials in storage
quantities by many projects through a variety of activities
such as equipment and building maintenance activities. • Regular audits of waste segregation and collection

Examples of these types of wastes include: spent solvents practices

and oily rags, empty paint cans, chemical containers; used • Tracking of waste generation trends by type and amount

lubricating oil; used batteries (such as nickel-cadmium or of waste generated, preferably by facility departments

lead acid); and lighting equipment, such as lamps or lamp • Characterizing waste at the beginning of generation of a

ballasts. These wastes should be managed following the new waste stream, and periodically documenting the

guidance provided in the above sections. characteristics and proper management of the waste,
especially hazardous wastes
Monitoring • Keeping manifests or other records that document the
Monitoring activities associated with the management of amount of waste generated and its destination
hazardous and non-hazardous waste should include: • Periodic auditing of third party treatment, and disposal
services including re-use and recycling facilities when
• Regular visual inspection of all waste storage collection
significant quantities of hazardous wastes are managed
and storage areas for evidence of accidental releases
by third parties. Whenever possible, audits should
and to verify that wastes are properly labeled and
include site visits to the treatment storage and disposal
stored. When significant quantities of hazardous wastes
location

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
WASTE MANAGEMENT
WORLD BANK GROUP

• Regular monitoring of groundwater quality in cases of

Hazardous Waste on site storage and/or pretreatment
and disposal
• Monitoring records for hazardous waste collected,
stored, or shipped should include:
o Name and identification number of the material(s)
composing the hazardous waste
o Physical state (i.e., solid, liquid, gaseous or a
combination of one, or more, of these)
o Quantity (e.g., kilograms or liters, number of
containers)
o Waste shipment tracking documentation to include,
quantity and type, date dispatched, date
transported and date received, record of the
originator, the receiver and the transporter
o Method and date of storing, repacking, treating, or
disposing at the facility, cross-referenced to
specific manifest document numbers applicable to
the hazardous waste
o Location of each hazardous waste within the
facility, and the quantity at each location

APRIL 30, 2007 51

 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
NOISE MANAGEMENT
WORLD BANK GROUP

1.7 Noise barrier. Barriers should be located as close to the

source or to the receptor location to be effective
Applicability • Installing vibration isolation for mechanical equipment
This section addresses impacts of noise beyond the property • Limiting the hours of operation for specific pieces of
boundary of the facilities. Worker exposure to noise is equipment or operations, especially mobile sources
covered in Section 2.0 on Occupational Health and Safety. operating through community areas
• Re-locating noise sources to less sensitive areas to take
Prevention and Control advantage of distance and shielding
Noise prevention and mitigation measures should be applied • Siting permanent facilities away from community areas if
where predicted or measured noise impacts from a project possible
facility or operations exceed the applicable noise level • Taking advantage of the natural topography as a noise
guideline at the most sensitive point of reception.52 The buffer during facility design
preferred method for controlling noise from stationary • Reducing project traffic routing through community
sources is to implement noise control measures at source.53 areas wherever possible
Methods for prevention and control of sources of noise • Planning flight routes, timing and altitude for aircraft
emissions depend on the source and proximity of receptors. (airplane and helicopter) flying over community areas
Noise reduction options that should be considered include: • Developing a mechanism to record and respond to

• Selecting equipment with lower sound power levels complaints

• Installing silencers for fans

• Installing suitable mufflers on engine exhausts and
Noise Level Guidelines
Noise impacts should not exceed the levels presented in
compressor components
Table 1.7.1, or result in a maximum increase in background
• Installing acoustic enclosures for equipment casing
levels of 3 dB at the nearest receptor location off-site.
radiating noise
• Improving the acoustic performance of constructed
buildings, apply sound insulation
• Installing acoustic barriers without gaps and with a
continuous minimum surface density of 10 kg/m2 in
order to minimize the transmission of sound through the

52 A point of reception or receptor may be defined as any point on the

premises occupied by persons where extraneous noise and/or vibration are
received. Examples of receptor locations may include: permanent or
seasonal residences; hotels / motels; schools and daycares; hospitals and
nursing homes; places of worship; and parks and campgrounds.
53 At the design stage of a project, equipment manufacturers should provide
design or construction specifications in the form of “Insertion Loss
Performance” for silencers and mufflers, and “Transmission Loss
Performance” for acoustic enclosures and upgraded building construction.

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
NOISE MANAGEMENT
WORLD BANK GROUP

m to any reflecting surface (e.g., wall). In general, the noise

Table 1.7.1- Noise Level Guidelines 54 level limit is represented by the background or ambient noise
One Hour L Aeq (dBA) levels that would be present in the absence of the facility or
Receptor Daytime Nighttime noise source(s) under investigation.
07:00 - 22:00 22:00 - 07:00
Residential; institutional; 55 45
educational55
Industrial; commercial 70 70

Highly intrusive noises, such as noise from aircraft flyovers

and passing trains, should not be included when establishing
background noise levels.

Monitoring
Noise monitoring56 may be carried out for the purposes of
establishing the existing ambient noise levels in the area of
the proposed or existing facility, or for verifying operational
phase noise levels.

Noise monitoring programs should be designed and

conducted by trained specialists. Typical monitoring periods
should be sufficient for statistical analysis and may last 48
hours with the use of noise monitors that should be capable
of logging data continuously over this time period, or hourly,
or more frequently, as appropriate (or else cover differing
time periods within several days, including weekday and
weekend workdays). The type of acoustic indices recorded
depends on the type of noise being monitored, as
established by a noise expert. Monitors should be located
approximately 1.5 m above the ground and no closer than 3

54 Guidelines values are for noise levels measured out of doors. Source:
Guidelines for Community Noise, World Health Organization (WHO), 1999.
55 For acceptable indoor noise levels for residential, institutional, and
educational settings refer to WHO (1999).
56 Noise monitoring should be carried out using a Type 1 or 2 sound level
meter meeting all appropriate IEC standards.

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 Environmental, Health, and Safety (EHS) Guidelines
GENERAL EHS GUIDELINES: ENVIRONMENTAL
CONTAMINATED LAND
WORLD BANK GROUP

1.8 Contaminated Land

• The liability that it may pose to the polluter/business

Applicability and Approach .............................................54 owners (e.g., cost of remediation, damage of business
Risk Screening ..............................................................55 reputation and/or business-community relations) or
Interim Risk Management ..............................................56
Detailed Risk Assessment..............................................56 affected parties (e.g. workers at the site, nearby property
Permanent Risk Reduction Measures.............................57 owners).
Occupational Health and Safety Considerations..............59
Contamination of land should be avoided by preventing or
controlling the release of hazardous materials, hazardous
Applicability and Approach
wastes, or oil to the environment. When contamination of land is
This section provides a summary of management
suspected or confirmed during any project phase, the cause of
approaches for land contamination due to anthropogenic
the uncontrolled release should be identified and corrected to
releases of hazardous materials, wastes, or oil, including
avoid further releases and associated adverse impacts.
naturally occurring substances. Releases of these materials
may be the result of historic or current site activities, Contaminated lands should be managed to avoid the risk to
including, but not limited to, accidents during their handling human health and ecological receptors. The preferred strategy
and storage, or due to their poor management or disposal. for land decontamination is to reduce the level of contamination
at the site while preventing the human exposure to
Land is considered contaminated when it contains hazardous
contamination.
materials or oil concentrations above background or naturally
occurring levels. To determine whether risk management actions are warranted,
the following assessment approach should be applied to
Contaminated lands may involve surficial soils or subsurface
establish whether the three risk factors of ‘Contaminants’,
soils that, through leaching and transport, may affect
‘Receptors’, and ‘Exposure Pathways’ co-exist, or are likely to
groundwater, surface water, and adjacent sites. Where
co-exist, at the project site under current or possible future land
subsurface contaminant sources include volatile substances,
use:
soil vapor may also become a transport and exposure
medium, and create potential for contaminant infiltration of • Contaminant(s): Presence of hazardous materials, waste,
indoor air spaces of buildings. or oil in any environmental media at potentially hazardous
concentrations
Contaminated land is a concern because of: • Receptor(s): Actual or likely contact of humans, wildlife,
plants, and other living organisms with the contaminants of
• The potential risks to human health and ecology (e.g.
concern
risk of cancer or other human health effects, loss of
• Exposure pathway(s): A combination of the route of
ecology);
migration of the contaminant from its point of release (e.g.,
leaching into potable groundwater) and exposure routes

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(e.g., ingestion, transdermal absorption), which would • Identification of the location of suspected highest level of
allow receptor(s) to come into actual contact with contamination through a combination of visual and
contaminants historical operational information;
• Sampling and testing of the contaminated media (soils or
water) according to established technical methods
applicable to suspected type of contaminant57,58;
• Evaluation of the analytical results against the local and
national contaminated sites regulations. In the absence of
such regulations or environmental standards, other sources
of risk-based standards or guidelines should be consulted
to obtain comprehensive criteria for screening soil
concentrations of pollutants.59
• Verification of the potential human and/or ecological
receptors and exposure pathways relevant to the site in
question
FIGURE 1.8.1: Inter-Relationship of Contaminant The outcome of risk-screening may reveal that there is no
Risk Factors overlap between the three risk-factors as the contaminant levels
identified are below those considered to pose a risk to human
When the three risk factors are considered to be present (in health or the environment. Alternatively, interim or permanent
spite of limited data) under current or foreseeable future
conditions, the following steps should be followed (as
described in the remaining parts of this section):
57 BC MOE. http://www.env.gov.bc.ca/epd/epdpa/contam_sites/guidance

1) Risk screening; 58 Massachusetts Department of Environment.

http://www.mass.gov/dep/cleanup
2) Interim risk management;
59 These may include the USEPA Region 3 Risk-Based Concentrations (RBCs).
3) Detailed quantitative risk assessment; and http://www.epa.gov/reg3hwmd/risk/human/index.htm. These RBCs are
considered acceptable for specific land use and contaminant exposure
4) Permanent risk reduction measures. scenarios as they have been developed by governments using risk assessment
techniques for use as general targets in the site remediation. Separate PRGs
have been developed or adopted for soil, sediment or groundwater, and often a
Risk Screening distinction is made between land uses (as noted earlier) because of the need for
more stringent guidelines for residential and agricultural versus
This step is also known as “problem formulation” for commercial/industrial landuse. The RBC Tables contains Reference Doses
(RfDs) and Cancer Slope Factors (CSFs) for about 400 chemicals. These
environmental risk assessment. Where there is potential toxicity factors have been combined with “standard” exposure scenarios to
calculate RBCs--chemical concentrations corresponding to fixed levels of risk
evidence of contamination at a site, the following steps are (i.e., a Hazard Quotient (HQ) of 1, or lifetime cancer risk of 1E-6, whichever
occurs at a lower concentration) in water, air, fish tissue, and soil for individual
recommended: chemical substances. The primary use of RBCs is for chemical screening during
baseline risk assessment (see EPA Regional Guidance EPA/903/R-93-001,
“Selecting Exposure Routes and Contaminants of Concern by Risk-Based
Screening”). Additional useful soil quality guidelines can also be obtained from
Lijzen et al. 2001.

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risk reduction measures may need to be taken with, or strategies that yield acceptable health risks, while achieving low
without, more detailed risk assessment activities, as level contamination on-site. An assessment of contaminant
described below. risks needs to be considered in the context of current and future
land use, and development scenarios (e.g., residential,
commercial, industrial, and urban parkland or wilderness use).
Interim Risk Management
Interim risk management actions should be implemented at A detailed quantitative risk assessment builds on risk screening
any phase of the project life cycle if the presence of land (problem formulation). It involves first, a detailed site
contamination poses an “imminent hazard”, i.e., representing investigation to identify the scope of contamination.61 Site
an immediate risk to human health and the environment if investigation programs should apply quality assurance/quality
contamination were allowed to continue, even a short period control (QA/QC) measures to ensure that data quality is
of time. Examples of situations considered to involve adequate for the intended data use (e.g., method detection
imminent hazards include, but are not restricted to: limits are below levels of concern). The site investigation in turn
• Presence of an explosive atmosphere caused by should be used to develop a conceptual site model of how and
contaminated land where contaminants exist, how they are transported, and where
• Accessible and excessive contamination for which short- routes of exposure occur to organisms and humans. The risk
term exposure and potency of contaminants could result factors and conceptual site model provide a framework for

in acute toxicity, irreversible long term effects, assessing contaminant risks.

sensitization, or accumulation of persistent
Human or ecological risk assessments facilitate risk
biocumulative and toxic substances
management decisions at contaminated sites. Specific risk
• Concentrations of pollutants at concentrations above the
assessment objectives include:
Risk Based Concentrations (RBCs60) or drinking water
standards in potable water at the point of abstraction • Identifying relevant human and ecological receptors
(e.g., children, adults, fish, wildlife)
Appropriate risk reduction should be implemented as soon as
• Determining if contaminants are present at levels that pose
practicable to remove the condition posing the imminent
potential human health and/or ecological concerns (e.g.,
hazard.
levels above applicable regulatory criteria based on health
or environmental risk considerations)
Detailed Risk Assessment
• Determining how human or ecological receptors are
As an alternative to complying with numerical standards or
exposed to the contaminants (e.g., ingestions of soil,
preliminary remediation goals, and depending on local
dermal contact, inhalation of dust)
regulatory requirements, a detailed site-specific,
environmental risk assessment may be used to develop
61 Examples include processes defined by the American Society of Testing and
Materials (ASTM) Phase II ESA Process; the British Columbia Ministry of
Environment Canada (BC MOE)
60 For example, USEPA Region 3 Risk-Based Concentrations (RBCs). http://www.env.gov.bc.ca/epd/epdpa/contam_sites/guidance); and the
http://www.epa.gov/reg3hwmd/risk/human/index.htm. Massachusetts Department of Environment http://www.mass.gov/dep/cleanup.

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• Identifying the types of adverse effects that might result • Identifying the preferred technologies (including
from exposure to the contaminants (e.g., effect on target engineering controls) needed to implement the conceptual
organ, cancer, impaired growth or reproduction) in the risk reduction measures
absence of regulatory standards • Developing a monitoring plan to ascertain whether risk
• Quantifying the magnitude of health risks to human and reduction measures are effective
ecological receptors based on a quantitative analysis of • Considering the need and appropriateness for institutional
contaminant exposure and toxicity (e.g. calculate controls (e.g. deed restriction, land use restrictions) as part
lifetime cancer risk or ratios of estimated exposure rates of a comprehensive approach
compared to safe exposure rates)
• Determining how current and proposed future land use Permanent Risk Reduction Measures
influence the predicted risks (e.g. change of land use The risk factors and conceptual site model within the
from industrial to residential with more sensitive contaminant risk approach described also provide a basis to
receptors such as children) manage and mitigate environmental contaminant health risks.
• Quantifying the potential environmental and/or human The underlying principle is to reduce, eliminate, or control any or
health risks from off-site contaminant migration (e.g., all of the three risk factors illustrated in Figure 1.8.1. A short list
consider if leaching and groundwater transport, or of examples of risk mitigation strategies is provided below,
surface water transport results in exposure at adjacent although actual strategies should be developed based on site-
lands/receptors) specific conditions, and the practicality of prevailing factors and
• Determining if the risk is likely to remain stable, site constraints. Regardless of the management options
increase, or decrease with time in the absence of any selected, the action plan should include, whenever possible,
remediation (e.g., consider if the contaminant is contaminant source reduction (i.e., net improvement of the site)
reasonably degradable and likely to remain in place, or as part of the overall strategy towards managing health risks at
be transported to other media)62 contaminated sites, as this alone provides for improved
environmental quality.
Addressing these objectives provides a basis to develop and
implement risk reduction measures (e.g., clean-up, on-site Figure 1.8.2 presents a schematic of the inter-relationship of risk
controls) at the site. If such a need exists, the following factors and example strategies to mitigate contaminant health
additional objectives become relevant: risk by modifying the conditions of one or more risk factors to

• Determining where, and in what conceptual manner, risk ultimately reduce contaminant exposure to the receptor. The

reduction measures should be implemented selected approach should take into consideration the technical
and financial feasibility (e.g. operability of a selected technology
given the local availability of technical expertise and equipment
and its associated costs).
62 An example of a simplified quantitative risk assessment method is the
ASTM E1739-95(2002) Standard Guide for Risk-Based Corrective Action Example risk mitigation strategies for contaminant source and
Applied at Petroleum Release Sites and the ASTM E2081-00(2004)e1
Standard Guide for Risk-Based Corrective Action (at chemical release sites). exposure concentrations include:

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• Soil, sediment, and sludge: o Installation (during building construction) of an

o In situ biological treatment (aerobic or anaerobic) impermeable barrier below the building and/or an

o In situ physical/chemical treatment (e.g., soil vapor alternative flow pathway for soil vapor beneath

extraction with off-gas treatment, chemical building foundations (e.g., porous media and

oxidation) ventilation to shunt vapors away from building)

o In situ thermal treatment (e.g., steam injection, 6- Example risk mitigation strategies for receptors include:
phase heating) • Limiting or preventing access to contaminant by receptors
o Ex situ biological treatment (e.g., excavation and (actions targeted at the receptor may include signage with
composting) instructions, fencing, or site security)
o Ex situ physical/chemical treatment (e.g., • Imposing health advisory or prohibiting certain practices
excavation and stabilization) leading to exposure such as fishing, crab trapping, shellfish
o Ex situ thermal treatment (e.g., excavation and collection
thermal desorption or incineration) • Educating receptors (people) to modify behavior in order to
o Containment (e.g. landfill) reduce exposure (e.g., improved work practices, and use of
o Natural attenuation protective clothing and equipment)
o Other treatment processes
Example risk mitigation strategies for exposure pathways
• Groundwater, surface water, and leachate: include:
o In situ biological treatment (aerobic and/or aerobic) • Providing an alternative water supply to replace, for
o In situ physical/chemical treatment (e.g., air example, a contaminated groundwater supply well
sparging, zero-valent iron permeable reactive
• Capping contaminated soil with at least 1m of clean soil to
barrier)
prevent human contact, as well as plant root or small
o Ex situ biological, physical, and or chemical
mammal penetration into contaminated soils
treatment (i.e., groundwater extraction and
• Paving over contaminated soil as an interim measure to
treatment)
negate the pathway of direct contact or dust generation
o Containment (e.g., slurry wall or sheet pile barrier)
and inhalation
o Natural attenuation
• Using an interception trench and pump, and treat
o Other treatment processes technologies to prevent contaminated groundwater from
• Soil vapor intrusion: discharging into fish streams

o Soil vapor extraction to reduce VOC contaminant The above-reference containment measures should also be
source in soil considered for immediate implementation in situations where
o Installation of a sub-slab depressurization system source reduction measures are expected to take time.
to prevent migration of soil vapor into the building
o Creating a positive pressure condition in buildings

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Occupational Health and Safety

Considerations
Investigation and remediation of contaminated lands requires
that workers be mindful of the occupational exposures that
could arise from working in close contact with contaminated
soil or other environmental media (e.g., groundwater,
wastewater, sediments, and soil vapor). Occupational health
and safety precautions should be exercised to minimize
exposure, as described in Section 2 on Occupational Health
and Safety. In addition, workers on contaminated sites
should receive special health and safety training specific to
contaminated site investigation and remediation activities.63

FIGURE 1.8.2: Inter-Relationship of Risk Factors

and Management Options

63 For example, US Occupational Safety and Health Agency (OSHA)

regulations found at 40 CFR 1910.120.
http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STAN
DARDS&p_id=9765

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2.0 Occupational Health and Safety

Applicability and Approach......................................60
2.1 General Facility Design and Operation......................61 Applicability and Approach
Integrity of Workplace Structures..........................61 Employers and supervisors are obliged to implement all
Severe Weather and Facility Shutdown ................61
Workspace and Exit.............................................61 reasonable precautions to protect the health and safety of
Fire Precautions ..................................................62 workers. This section provides guidance and examples of
Lavatories and Showers.......................................62
Potable Water Supply ..........................................62 reasonable precautions to implement in managing principal risks
Clean Eating Area ...............................................62 to occupational health and safety. Although the focus is placed on
Lighting...............................................................62
Safe Access........................................................62 the operational phase of projects, much of the guidance also
First Aid...............................................................63 applies to construction and decommissioning activities.
Air Supply............................................................63
Work Environment Temperature...........................63 Companies should hire contractors that have the technical
2.2 Communication and Training....................................63 capability to manage the occupational health and safety issues of
OHS Training ......................................................63
Visitor Orientation................................................63 their employees, extending the application of the hazard
New Task Employee and Contractor Training.......63 management activities through formal procurement agreements.
Basic OHS Training .............................................64
Area Signage ......................................................64
Labeling of Equipment.........................................64 Preventive and protective measures should be introduced
Communicate Hazard Codes ...............................64 according to the following order of priority:
2.3 Physical Hazards .....................................................64
Rotating and Moving Equipment...........................65
Noise ..................................................................65 • Eliminating the hazard by removing the activity from the work
Vibration..............................................................65
process. Examples include substitution with less hazardous
Electrical .............................................................66
Eye Hazards........................................................67 chemicals, using different manufacturing processes, etc;
Welding / Hot Work..............................................67
Industrial Vehicle Driving and Site Traffic..............67 • Controlling the hazard at its source through use of
Working Environment Temperature......................68
engineering controls. Examples include local exhaust
Ergonomics, Repetitive Motion, Manual Handling.68
Working at Heights ..............................................68 ventilation, isolation rooms, machine guarding, acoustic
Illumination..........................................................69
2.4 Chemical Hazards....................................................69 insulating, etc;
Air Quality ...........................................................70
Fire and Explosions .............................................70 • Minimizing the hazard through design of safe work systems
Corrosive, oxidizing, and reactive chemicals.........71 and administrative or institutional control measures.
Asbestos Containing Materials (ACM)..................71
2.5 Biological Hazards....................................................71 Examples include job rotation, training safe work procedures,
2.6 Radiological Hazards................................................73 lock-out and tag-out, workplace monitoring, limiting exposure
2.7 Personal Protective Equipment (PPE).......................73
2.8 Special Hazard Environments...................................74 or work duration, etc.
Confined Space...................................................74
Lone and Isolated Workers ..................................75 • Providing appropriate personal protective equipment (PPE) in
2.9 Monitoring................................................................75 conjunction with training, use, and maintenance of the PPE.
Accidents and Diseases monitoring......................76
The application of prevention and control measures to
occupational hazards should be based on comprehensive job

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safety or job hazard analyses. The results of these analyses

should be prioritized as part of an action plan based on the Table 2.1.1. Risk Ranking Table to Classify Worker
likelihood and severity of the consequence of exposure to the Scenarios Based on Likelihood and Consequence
identified hazards. An example of a qualitative risk ranking or
Consequences
analysis matrix to help identify priorities is described in Table
2.1.1.
Catas-
Insignificant Minor Moderate Major trophic
Likelihood
2.1 General Facility Design and 1 2 3 4 5
Operation
A. Almost
certain L M E E E
Integrity of Workplace Structures
Permanent and recurrent places of work should be designed and B. Likely
L M H E E
equipped to protect OHS:
C.
L M H E E
• Surfaces, structures and installations should be easy to clean Moderate
and maintain, and not allow for accumulation of hazardous
D. Unlikely
L L M H E
compounds.
• Buildings should be structurally safe, provide appropriate E. Rare
L L M H H
protection against the climate, and have acceptable light and
noise conditions.
Legend
• Fire resistant, noise-absorbing materials should, to the extent E: extreme risk; immediate action required
feasible, be used for cladding on ceilings and walls. H: high risk; senior management attention needed
• Floors should be level, even, and non-skid. M: moderate risk; management responsibility should be specified
• Heavy oscillating, rotating or alternating equipment should be L: low risk; manage by routine procedures
located in dedicated buildings or structurally isolated
sections. Workspace and Exit
• The space provided for each worker, and in total, should be
Severe Weather and Facility Shutdown
adequate for safe execution of all activities, including
• Work place structures should be designed and constructed to
transport and interim storage of materials and products.
withstand the expected elements for the region and have an
• Passages to emergency exits should be unobstructed at all
area designated for safe refuge, if appropriate.
times. Exits should be clearly marked to be visible in total
• Standard Operating Procedures (SOPs) should be developed
darkness. The number and capacity of emergency exits
for project or process shut-down, including an evacuation
should be sufficient for safe and orderly evacuation of the
plan. Drills to practice the procedure and plan should also be
greatest number of people present at any time, and there
undertaken annually.
should be a minimum two exits from any work area.

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• Facilities also should be designed and built taking into Potable Water Supply
account the needs of disabled persons. • Adequate supplies of potable drinking water should be
provided from a fountain with an upward jet or with a sanitary
Fire Precautions means of collecting the water for the purposes of drinking
The workplace should be designed to prevent the start of fires
• Water supplied to areas of food preparation or for the
through the implementation of fire codes applicable to industrial
purpose of personal hygiene (washing or bathing) should
settings. Other essential measures include:
meet drinking water quality standards
• Equipping facilities with fire detectors, alarm systems, and
fire-fighting equipment. The equipment should be maintained Clean Eating Area
in good working order and be readily accessible. It should be • Where there is potential for exposure to substances
adequate for the dimensions and use of the premises, poisonous by ingestion, suitable arrangements are to be
equipment installed, physical and chemical properties of made for provision of clean eating areas where workers are
substances present, and the maximum number of people not exposed to the hazardous or noxious substances
present.
• Provision of manual firefighting equipment that is easily Lighting
accessible and simple to use • Workplaces should, to the degree feasible, receive natural

• Fire and emergency alarm systems that are both audible and light and be supplemented with sufficient artificial illumination

visible to promote workers’ safety and health, and enable safe

equipment operation. Supplemental ‘task lighting’ may be
The IFC Life and Fire Safety Guideline should apply to buildings
required where specific visual acuity requirements should be
accessible to the public (See Section 3.3).
met.
• Emergency lighting of adequate intensity should be installed
Lavatories and Showers
and automatically activated upon failure of the principal
• Adequate lavatory facilities (toilets and washing areas)
artificial light source to ensure safe shut-down, evacuation,
should be provided for the number of people expected to
etc.
work in the facility and allowances made for segregated
facilities, or for indicating whether the toilet facility is “In Use”
Safe Access
or “Vacant”. Toilet facilities should also be provided with
• Passageways for pedestrians and vehicles within and outside
adequate supplies of hot and cold running water, soap, and
buildings should be segregated and provide for easy, safe,
hand drying devices.
and appropriate access
• Where workers may be exposed to substances poisonous by
• Equipment and installations requiring servicing, inspection,
ingestion and skin contamination may occur, facilities for
and/or cleaning should have unobstructed, unrestricted, and
showering and changing into and out of street and work
ready access
clothes should be provided.
• Hand, knee and foot railings should be installed on stairs,
fixed ladders, platforms, permanent and interim floor
openings, loading bays, ramps, etc.

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• Openings should be sealed by gates or removable chains microorganisms. Heating, ventilation and air conditioning
• Covers should, if feasible, be installed to protect against (HVAC) and industrial evaporative cooling systems should be
falling items equipped, maintained and operated so as to prevent growth
• Measures to prevent unauthorized access to dangerous and spreading of disease agents (e.g. Legionnella
areas should be in place pneumophilia) or breeding of vectors (e.g. mosquitoes and
flies) of public health concern.
First Aid
• The employer should ensure that qualified first-aid can be Work Environment Temperature
provided at all times. Appropriately equipped first-aid stations • The temperature in work, rest room and other welfare
should be easily accessible throughout the place of work facilities should, during service hours, be maintained at a

• Eye-wash stations and/or emergency showers should be level appropriate for the purpose of the facility.
provided close to all workstations where immediate flushing
with water is the recommended first-aid response 2.2 Communication and Training
• Where the scale of work or the type of activity being carried
OHS Training
out so requires, dedicated and appropriately equipped first-
• Provisions should be made to provide OHS orientation
aid room(s) should be provided. First aid stations and rooms
training to all new employees to ensure they are apprised of
should be equipped with gloves, gowns, and masks for
the basic site rules of work at / on the site and of personal
protection against direct contact with blood and other body
protection and preventing injury to fellow employees.
fluids
• Training should consist of basic hazard awareness, site-
• Remote sites should have written emergency procedures in
specific hazards, safe work practices, and emergency
place for dealing with cases of trauma or serious illness up to
procedures for fire, evacuation, and natural disaster, as
the point at which patient care can be transferred to an
appropriate. Any site-specific hazard or color coding in use
appropriate medical facility.
should be thoroughly reviewed as part of orientation training.

Air Supply
Visitor Orientation
• Sufficient fresh air should be supplied for indoor and confined
• If visitors to the site can gain access to areas where
work spaces. Factors to be considered in ventilation design
hazardous conditions or substances may be present, a visitor
include physical activity, substances in use, and process-
orientation and control program should be established to
related emissions. Air distribution systems should be
ensure visitors do not enter hazard areas unescorted.
designed so as not to expose workers to draughts
• Mechanical ventilation systems should be maintained in good
New Task Employee and Contractor Training
working order. Point-source exhaust systems required for
• The employer should ensure that workers and contractors,
maintaining a safe ambient environment should have local
prior to commencement of new assignments, have received
indicators of correct functioning.
adequate training and information enabling them to
• Re-circulation of contaminated air is not acceptable. Air inlet
filters should be kept clean and free of dust and

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understand work hazards and to protect their health from • Signage should be in accordance with international
hazardous ambient factors that may be present. standards and be well known to, and easily understood by
The training should adequately cover: workers, visitors and the general public as appropriate.

o Knowledge of materials, equipment, and tools

Labeling of Equipment
o Known hazards in the operations and how they are
controlled • All vessels that may contain substances that are hazardous

o Potential risks to health as a result of chemical or toxicological properties, or

o Precautions to prevent exposure temperature or pressure, should be labeled as to the

o Hygiene requirements contents and hazard, or appropriately color coded.

o Wearing and use of protective equipment and clothing • Similarly, piping systems that contain hazardous substances
o Appropriate response to operation extremes, incidents should be labeled with the direction of flow and contents of
and accidents the pipe, or color coded whenever the pipe passing through a
wall or floor is interrupted by a valve or junction device.
Basic OHS Training
• A basic occupational training program and specialty courses Communicate Hazard Codes
should be provided, as needed, to ensure that workers are • Copies of the hazard coding system should be posted
oriented to the specific hazards of individual work outside the facility at emergency entrance doors and fire
assignments. Training should generally be provided to emergency connection systems where they are likely to
management, supervisors, workers, and occasional visitors come to the attention of emergency services personnel.
to areas of risks and hazards. • Information regarding the types of hazardous materials
• Workers with rescue and first-aid duties should receive stored, handled or used at the facility, including typical
dedicated training so as not to inadvertently aggravate maximum inventories and storage locations, should be
exposures and health hazards to themselves or their co- shared proactively with emergency services and security
workers. Training would include the risks of becoming personnel to expedite emergency response when needed.
infected with blood–borne pathogens through contact with • Representatives of local emergency and security services
bodily fluids and tissue. should be invited to participate in periodic (annual)
• Through appropriate contract specifications and monitoring, orientation tours and site inspections to ensure familiarity
the employer should ensure that service providers, as well as with potential hazards present.
contracted and subcontracted labor, are trained adequately
before assignments begin. 2.3 Physical Hazards
Physical hazards represent potential for accident or injury or
Area Signage illness due to repetitive exposure to mechanical action or work
• Hazardous areas (electrical rooms, compressor rooms, etc), activity. Single exposure to physical hazards may result in a wide
installations, materials, safety measures, and emergency range of injuries, from minor and medical aid only, to disabling,
exits, etc. should be marked appropriately. catastrophic, and/or fatal. Multiple exposures over prolonged

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periods can result in disabling injuries of comparable significance Noise

and consequence. Noise limits for different working environments are provided in
Table 2.3.1.
Rotating and Moving Equipment
Injury or death can occur from being trapped, entangled, or struck • No employee should be exposed to a noise level greater than
85 dB(A) for a duration of more than 8 hours per day without
by machinery parts due to unexpected starting of equipment or
hearing protection. In addition, no unprotected ear should be
unobvious movement during operations. Recommended
exposed to a peak sound pressure level (instantaneous) of
protective measures include:
more than 140 dB(C).
• Designing machines to eliminate trap hazards and ensuring
• The use of hearing protection should be enforced actively
that extremities are kept out of harm’s way under normal
when the equivalent sound level over 8 hours reaches 85
operating conditions. Examples of proper design
dB(A), the peak sound levels reach 140 dB(C), or the
considerations include two-hand operated machines to
average maximum sound level reaches 110dB(A). Hearing
prevent amputations or the availability of emergency stops
protective devices provided should be capable of reducing
dedicated to the machine and placed in strategic locations.
sound levels at the ear to at least 85 dB(A).
Where a machine or equipment has an exposed moving part
• Although hearing protection is preferred for any period of
or exposed pinch point that may endanger the safety of any
noise exposure in excess of 85 dB(A), an equivalent level of
worker, the machine or equipment should be equipped with,
protection can be obtained, but less easily managed, by
and protected by, a guard or other device that prevents
limiting the duration of noise exposure. For every 3 dB(A)
access to the moving part or pinch point. Guards should be
increase in sound levels, the ‘allowed’ exposure period or
designed and installed in conformance with appropriate
duration should be reduced by 50 percent.65
machine safety standards.64
• Prior to the issuance of hearing protective devices as the
• Turning off, disconnecting, isolating, and de-energizing
final control mechanism, use of acoustic insulating materials,
(Locked Out and Tagged Out) machinery with exposed or
isolation of the noise source, and other engineering controls
guarded moving parts, or in which energy can be stored (e.g.
should be investigated and implemented, where feasible
compressed air, electrical components) during servicing or
• Periodic medical hearing checks should be performed on
maintenance, in conformance with a standard such as CSA
workers exposed to high noise levels
Z460 Lockout or equivalent ISO or ANSI standard
• Designing and installing equipment, where feasible, to enable Vibration
routine service, such as lubrication, without removal of the Exposure to hand-arm vibration from equipment such as hand and
guarding devices or mechanisms power tools, or whole-body vibrations from surfaces on which the
worker stands or sits, should be controlled through choice of
equipment, installation of vibration dampening pads or devices,
and limiting the duration of exposure. Limits for vibration and
64 For example: CSA Z432.04 Safe Guarding of Machinery, CSA Z434 Robot
Safety, ISO 11161 Safety of Machinery – Integrated Manufacturing Systems or
ISO 14121 Safety of Machinery – Principals of Risk Management or equivalent
ANSI standard. 65 The American Conference of Governmental Industrial Hygienists (ACGIH), 2006

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action values, (i.e. the level of exposure at which remediation • Marking all energized electrical devices and lines with
should be initiated) are provided by the ACGIH 66. Exposure levels warning signs
should be checked on the basis of daily exposure time and data • Locking out (de-charging and leaving open with a controlled
provided by equipment manufacturers. locking device) and tagging-out (warning sign placed on the
lock) devices during service or maintenance
Electrical • Checking all electrical cords, cables, and hand power tools
Exposed or faulty electrical devices, such as circuit breakers, for frayed or exposed cords and following manufacturer
recommendations for maximum permitted operating voltage

Table 2.3.1. Noise Limits for Various Working of the portable hand tools
Environments • Double insulating / grounding all electrical equipment used in
environments that are, or may become, wet; using equipment
Location Equivalent level Maximum
with ground fault interrupter (GFI) protected circuits
/activity LAeq,8h LAmax,fast
• Protecting power cords and extension cords against damage
Heavy Industry (no from traffic by shielding or suspending above traffic areas
demand for oral 85 dB(A) 110 dB(A)
communication) • Appropriate labeling of service rooms housing high voltage
Light industry equipment (‘electrical hazard’) and where entry is controlled
(decreasing
demand for oral 50-65 dB(A) 110 dB(A) or prohibited (see also Section 3 on Planning, Siting, and
communication)
Design);
Open offices, • Establishing “No Approach” zones around or under high
control rooms,
45-50 dB(A) -
service counters or voltage power lines in conformance with Table 2.3.2
similar
• Rubber tired construction or other vehicles that come into
Individual offices
(no disturbing 40-45 dB(A) - direct contact with, or arcing between, high voltage wires
noise)
may need to be taken out of service for periods of 48 hours
Classrooms, and have the tires replaced to prevent catastrophic tire and
lecture halls 35-40 dB(A) -
wheel assembly failure, potentially causing serious injury or
Hospitals 30-35 dB(A) 40 dB(A) death;
panels, cables, cords and hand tools, can pose a serious risk to • Conducting detailed identification and marking of all buried
workers. Overhead wires can be struck by metal devices, such as electrical wiring prior to any excavation work
poles or ladders, and by vehicles with metal booms. Vehicles or
grounded metal objects brought into close proximity with overhead
wires can result in arcing between the wires and the object,
without actual contact. Recommended actions include:

66 ACGIH, 2005

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• Provisions should be made for persons who have to wear

Table 2.3.2. No Approach Zones for
prescription glasses either through the use overglasses or
High Voltage Power Lines
prescription hardened glasses.
Minimum
Nominal phase-to-phase voltage rating distance
Welding / Hot Work
750 or more volts, but no more than 150,000 volts 3 meters
Welding creates an extremely bright and intense light that may
More than 150,000 volts, but no more than 250,000 4.5 meters seriously injur a worker’s eyesight. In extreme cases, blindness
volts
may result. Additionally, welding may produce noxious fumes to
More than 250,000 volts 6 meters which prolonged exposure can cause serious chronic diseases.
Recommended measures include:

Eye Hazards • Provision of proper eye protection such as welder goggles

Solid particles from a wide variety of industrial operations, and / or and/or a full-face eye shield for all personnel involved in, or
a liquid chemical spray may strike a worker in the eye causing an assisting, welding operations. Additional methods may
eye injury or permanent blindness. Recommended measures include the use of welding barrier screens around the specific
include: work station (a solid piece of light metal, canvas, or plywood
designed to block welding light from others). Devices to
• Use of machine guards or splash shields and/or face and eye
extract and remove noxious fumes at the source may also be
protection devices, such as safety glasses with side shields,
required.
goggles, and/or a full face shield. Specific Safe Operating
• Special hot work and fire prevention precautions and
Procedures (SOPs) may be required for use of sanding and
Standard Operating Procedures (SOPs) should be
grinding tools and/or when working around liquid chemicals.
implemented if welding or hot cutting is undertaken outside
Frequent checks of these types of equipment prior to use to
established welding work stations, including ‘Hot Work
ensure mechanical integrity is also good practice. Machine
Permits, stand-by fire extinguishers, stand-by fire watch, and
and equipment guarding should conform to standards
maintaining the fire watch for up to one hour after welding or
published by organizations such as CSA, ANSI and ISO (see
hot cutting has terminated. Special procedures are required
also Section 2.3 on Rotating and Moving Equipment and 2.7
for hotwork on tanks or vessels that have contained
on Personal Protective Equipment).
flammable materials.
• Moving areas where the discharge of solid fragments, liquid,
or gaseous emissions can reasonably be predicted (e.g.
Industrial Vehicle Driving and Site Traffic
discharge of sparks from a metal cutting station, pressure
Poorly trained or inexperienced industrial vehicle drivers have
relief valve discharge) away from places expected to be
increased risk of accident with other vehicles, pedestrians, and
occupied or transited by workers or visitors. Where machine
equipment. Industrial vehicles and delivery vehicles, as well as
or work fragments could present a hazard to transient
private vehicles on-site, also represent potential collision
workers or passers-by, extra area guarding or proximity
scenarios. Industrial vehicle driving and site traffic safety
restricting systems should be implemented, or PPE required
practices include:
for transients and visitors.

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• Training and licensing industrial vehicle operators in the safe • Use of protective clothing
operation of specialized vehicles such as forklifts, including • Providing easy access to adequate hydration such as
safe loading/unloading, load limits drinking water or electrolyte drinks, and avoiding
• Ensuring drivers undergo medical surveillance consumption of alcoholic beverages
• Ensuring moving equipment with restricted rear visibility is
outfitted with audible back-up alarms Ergonomics, Repetitive Motion, Manual Handling
• Establishing rights-of-way, site speed limits, vehicle Injuries due to ergonomic factors, such as repetitive motion, over-
inspection requirements, operating rules and procedures exertion, and manual handling, take prolonged and repeated
(e.g. prohibiting operation of forklifts with forks in down exposures to develop, and typically require periods of weeks to
position), and control of traffic patterns or direction months for recovery. These OHS problems should be minimized

• Restricting the circulation of delivery and private vehicles to or eliminated to maintain a productive workplace. Controls may

defined routes and areas, giving preference to ‘one-way’ include:

circulation, where appropriate • Facility and workstation design with 5th to 95th percentile
operational and maintenance workers in mind
Working Environment Temperature
• Use of mechanical assists to eliminate or reduce exertions
Exposure to hot or cold working conditions in indoor or outdoor
required to lift materials, hold tools and work objects, and
environments can result temperature stress-related injury or
requiring multi-person lifts if weights exceed thresholds
death. Use of personal protective equipment (PPE) to protect
• Selecting and designing tools that reduce force requirements
against other occupational hazards can accentuate and aggravate
and holding times, and improve postures
heat-related illnesses. Extreme temperatures in permanent work
• Providing user adjustable work stations
environments should be avoided through implementation of
• Incorporating rest and stretch breaks into work processes,
engineering controls and ventilation. Where this is not possible,
and conducting job rotation
such as during short-term outdoor work, temperature-related
• Implementing quality control and maintenance programs that
stress management procedures should be implemented which
reduce unnecessary forces and exertions
include:
• Taking into consideration additional special conditions such
• Monitoring weather forecasts for outdoor work to provide as left handed persons
advance warning of extreme weather and scheduling work
accordingly Working at Heights
• Adjustment of work and rest periods according to Fall prevention and protection measures should be implemented
temperature stress management procedures provided by whenever a worker is exposed to the hazard of falling more than
ACGIH 67, depending on the temperature and workloads two meters; into operating machinery; into water or other liquid;
• Providing temporary shelters to protect against the elements into hazardous substances; or through an opening in a work
during working activities or for use as rest areas surface. Fall prevention / protection measures may also be
warranted on a case-specific basis when there are risks of falling
from lesser heights. Fall prevention may include:
67 ACGIH, 2005

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• Installation of guardrails with mid-rails and toe boards at the supplemented with dedicated work station illumination, as needed.
edge of any fall hazard area The minimum limits for illumination intensity for a range of
• Proper use of ladders and scaffolds by trained employees locations/activities appear in Table 2.3.3.
• Use of fall prevention devices, including safety belt and Controls should include:
lanyard travel limiting devices to prevent access to fall hazard
• Use of energy efficient light sources with minimum heat
area, or fall protection devices such as full body harnesses
emission
used in conjunction with shock absorbing lanyards or self-
• Undertaking measures to eliminate glare / reflections and
retracting inertial fall arrest devices attached to fixed anchor
flickering of lights
point or horizontal life-lines
• Taking precautions to minimize and control optical radiation
• Appropriate training in use, serviceability, and integrity of the
including direct sunlight. Exposure to high intensity UV and
necessary PPE
IR radiation and high intensity visible light should also be
• Inclusion of rescue and/or recovery plans, and equipment to
controlled
respond to workers after an arrested fall
• Controlling laser hazards in accordance with equipment

Illumination specifications, certifications, and recognized safety

Work area light intensity should be adequate for the general standards. The lowest feasible class Laser should be applied

purpose of the location and type of activity, and should be to minimize risks.

2.4 Chemical Hazards

Table 2.3.3. Minimum Limits For Workplace Chemical hazards represent potential for illness or injury due to
Illumination Intensity
single acute exposure or chronic repetitive exposure to toxic,
Location / Activity Light Intensity corrosive, sensitizing or oxidative substances. They also
Emergency light 10 lux represent a risk of uncontrolled reaction, including the risk of fire
and explosion, if incompatible chemicals are inadvertently mixed.
Outdoor non working areas 20 lux
Chemical hazards can most effectively be prevented through a
Simple orientation and temporary visits (machine 50 lux hierarchical approach that includes:
storage, garage, warehouse)
• Replacement of the hazardous substance with a less
Workspace with occasional visual tasks only 100 lux
(corridors, stairways, lobby, elevator, auditorium, etc.) hazardous substitute
• Implementation of engineering and administrative control
Medium precision work (simple assembly, rough 200 lux
machine works, welding, packing, etc.) measures to avoid or minimize the release of hazardous
substances into the work environment keeping the level of
Precision work (reading, moderately difficult 500 lux
assembly, sorting, checking, medium bench and exposure below internationally established or recognized
machine works, etc.), offices. limits

High precision work (difficult assembly, sewing, color 1,000 – 3,000 • Keeping the number of employees exposed, or likely to
inspection, fine sorting etc.) lux become exposed, to a minimum

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• Communicating chemical hazards to workers through • Where ambient air contains several materials that have
labeling and marking according to national and internationally similar effects on the same body organs (additive effects),
recognized requirements and standards, including the taking into account combined exposures using calculations
International Chemical Safety Cards (ICSC), Materials Safety recommended by the ACGIH 69
Data Sheets (MSDS), or equivalent. Any means of written • Where work shifts extend beyond eight (8) hours, calculating
communication should be in an easily understood language adjusted workplace exposure criteria recommended by the
and be readily available to exposed workers and first-aid ACGIH 70
personnel
• Training workers in the use of the available information (such Fire and Explosions
as MSDSs), safe work practices, and appropriate use of PPE Fires and or explosions resulting from ignition of flammable
materials or gases can lead to loss of property as well as possible
Air Quality injury or fatalities to project workers. Prevention and control
Poor air quality due to the release of contaminants into the work strategies include:
place can result in possible respiratory irritation, discomfort, or
• Storing flammables away from ignition sources and oxidizing
illness to workers. Employers should take appropriate measures
materials. Further, flammables storage area should be:
to maintain air quality in the work area. These include:
o Remote from entry and exit points into buildings
• Maintaining levels of contaminant dusts, vapors and gases in o Away from facility ventilation intakes or vents
the work environment at concentrations below those
o Have natural or passive floor and ceiling level ventilation
recommended by the ACGIH 68 as TWA-TLV’s (threshold limit and explosion venting
value)—concentrations to which most workers can be o Use spark-proof fixtures
exposed repeatedly (8 hours/day, 40 hrs/week, week-after- o Be equipped with fire extinguishing devices and self-
week), without sustaining adverse health effects. closing doors, and constructed of materials made to
• Developing and implementing work practices to minimize withstand flame impingement for a moderate period of
release of contaminants into the work environment including: time
o Direct piping of liquid and gaseous materials • Providing bonding and grounding of, and between,
o Minimized handling of dry powdered materials; containers and additional mechanical floor level ventilation if
o Enclosed operations materials are being, or could be, dispensed in the storage
o Local exhaust ventilation at emission / release points area
o Vacuum transfer of dry material rather than mechanical • Where the flammable material is mainly comprised of dust,
or pneumatic conveyance
providing electrical grounding, spark detection, and, if
o Indoor secure storage, and sealed containers rather needed, quenching systems
than loose storage

69 ACGIH, 2005.

68 ACGIH, 2005 70 ACGIH, 2005.

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• Defining and labeling fire hazards areas to warn of special Asbestos Containing Materials (ACM)
rules (e.g. prohibition in use of smoking materials, cellular The use of asbestos containing materials (ACM) should be
phones, or other potential spark generating equipment) avoided in new buildings or as a new material in remodeling or
• Providing specific worker training in handling of flammable renovation activities. Existing facilities with ACM should develop
materials, and in fire prevention or suppression an asbestos management plan which clearly identifies the
locations where the ACM is present, its condition (e.g. whether it
Corrosive, oxidizing, and reactive chemicals is in friable form with the potential to release fibers), procedures
Corrosive, oxidizing, and reactive chemicals present similar for monitoring its condition, procedures to access the locations
hazards and require similar control measures as flammable where ACM is present to avoid damage, and training of staff who
materials. However, the added hazard of these chemicals is that can potentially come into contact with the material to avoid
inadvertent mixing or intermixing may cause serious adverse damage and prevent exposure. The plan should be made
reactions. This can lead to the release of flammable or toxic available to all persons involved in operations and maintenance
materials and gases, and may lead directly to fires and activities. Repair or removal and disposal of existing ACM in
explosions. These types of substances have the additional hazard buildings should only be performed by specially trained
of causing significant personal injury upon direct contact, personnel71 following host country requirements, or in their
regardless of any intermixing issues. The following controls
absence, internationally recognized procedures.72
should be observed in the work environment when handling such
chemicals:
2.5 Biological Hazards
• Corrosive, oxidizing and reactive chemicals should be Biological agents represent potential for illness or injury due to
segregated from flammable materials and from other single acute exposure or chronic repetitive exposure. Biological
chemicals of incompatible class (acids vs. bases, oxidizers hazards can be prevented most effectively by implementing the
vs. reducers, water sensitive vs. water based, etc.), stored in following measures:
ventilated areas and in containers with appropriate
• If the nature of the activity permits, use of any harmful
secondary containment to minimize intermixing during spills
biological agents should be avoided and replaced with an
• Workers who are required to handle corrosive, oxidizing, or
agent that, under normal conditions of use, is not dangerous
reactive chemicals should be provided with specialized
or less dangerous to workers. If use of harmful agents can
training and provided with, and wear, appropriate PPE
not be avoided, precautions should be taken to keep the risk
(gloves, apron, splash suits, face shield or goggles, etc).
of exposure as low as possible and maintained below
• Where corrosive, oxidizing, or reactive chemicals are used,
internationally established and recognized exposure limits.
handled, or stored, qualified first-aid should be ensured at all
times. Appropriately equipped first-aid stations should be
71 Training of specialized personnel and the maintenance and removal methods
easily accessible throughout the place of work, and eye-wash applied should be equivalent to those required under applicable regulations in the
stations and/or emergency showers should be provided close United States and Europe (examples of North American training standards are
available at: http://www.osha.gov/SLTC/asbestos/training.html)
72 Examples include the American Society for Testing and Materials (ASTM) E
to all workstations where the recommended first-aid
1368 - Standard Practice for Visual Inspection of Asbestos Abatement Projects; E
response is immediate flushing with water 2356 - Standard Practice for Comprehensive Building Asbestos Surveys; and E
2394 - Standard Practice for Maintenance, Renovation and Repair of Installed
Asbestos Cement Products.

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• Work processes, engineering, and administrative controls The employer should at all times encourage and enforce the
should be designed, maintained, and operated to avoid or highest level of hygiene and personal protection, especially for
minimize release of biological agents into the working activities employing biological agents of Groups 3 and 4 above.
environment. The number of employees exposed or likely to Work involving agents in Groups 3 and 4 should be restricted only
become exposed should be kept at a minimum. to those persons who have received specific verifiable training in
• The employer should review and assess known and working with and controlling such materials.
suspected presence of biological agents at the place of work
and implement appropriate safety measures, monitoring, Areas used for the handling of Groups 3 and 4 biological agents
training, and training verification programs. should be designed to enable their full segregation and isolation in
• Measures to eliminate and control hazards from known and emergency circumstances, include independent ventilation
suspected biological agents at the place of work should be systems, and be subject to SOPs requiring routine disinfection
designed, implemented and maintained in close co-operation and sterilization of the work surfaces.
with the local health authorities and according to recognized
international standards. HVAC systems serving areas handling Groups 3 and 4 biological
agents should be equipped with High Efficiency Particulate Air
Biological agents should be classified into four groups73: (HEPA) filtration systems. Equipment should readily enable their

• Group 1: Biological agents unlikely to cause human disease, disinfection and sterilization, and maintained and operated so as

and consequently only require controls similar to those to prevent growth and spreading of disease agents, amplification

required for hazardous or reactive chemical substances; of the biological agents, or breeding of vectors e.g. mosquitoes
and flies of public health concern.
• Group 2: Biological agents that can cause human disease
and are thereby likely to require additional controls, but are
unlikely to spread to the community;

• Group 3: Biological agents that can cause severe human

disease, present a serious hazard to workers, and may
present a risk of spreading to the community, for which there
usually is effective prophylaxis or treatment available and are
thereby likely to require extensive additional controls;

• Group 4: Biological agents that can cause severe human

disease, are a serious hazard to workers, and present a high
risk of spreading to the community, for which there is usually
no effective prophylaxis or treatment available and are
thereby likely to require very extensive additional controls.

73 World Health Organization (WHO) Classification of Infective Microorganisms by

Risk Group (2004).

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2.6 Radiological Hazards • In the case of both ionizing and non-ionizing radiation, the
preferred method for controlling exposure is shielding and
Radiation exposure can lead to potential discomfort, injury or
limiting the radiation source. Personal protective equipment
serious illness to workers. Prevention and control strategies
is supplemental only or for emergency use. Personal
include:
protective equipment for near-infrared, visible and ultraviolet
• Places of work involving occupational and/or natural range radiation can include appropriate sun block creams,
exposure to ionizing radiation should be established and with or without appropriate screening clothing.
operated in accordance with recognized international safety
standards and guidelines.74 The acceptable effective dose 2.7 Personal Protective Equipment
limits appear Table 2.6.1. (PPE)
• Exposure to non-ionizing radiation (including static magnetic Personal Protective Equipment (PPE) provides additional
fields; sub-radio frequency magnetic fields; static electric
protection to workers exposed to workplace hazards in
fields; radio frequency and microwave radiation; light and
conjunction with other facility controls and safety systems.
near-infrared radiation; and ultraviolet radiation) should be
controlled to internationally recommended limits75. PPE is considered to be a last resort that is above and beyond the
other facility controls and provides the worker with an extra level
of personal protection. Table 2.7.1 presents general examples of
Table 2.6.1. Acceptable Effective Dose Limits for occupational hazards and types of PPE available for different
Workplace Radiological Hazards
purposes. Recommended measures for use of PPE in the
workplace include:
Apprentices
and
Workers students • Active use of PPE if alternative technologies, work plans or
(min.19 years of (16-18 years procedures cannot eliminate, or sufficiently reduce, a hazard
Exposure age) of age)
or exposure
Five consecutive year average
– effective dose
20 mSv/year • Identification and provision of appropriate PPE that offers
adequate protection to the worker, co-workers, and
Single year exposure
50 mSv/year 6 mSv/year occasional visitors, without incurring unnecessary
– effective dose
inconvenience to the individual
Equivalent dose to the lens of
150 mSv/year 50 mSv/year
the eye • Proper maintenance of PPE, including cleaning when dirty
and replacement when damaged or worn out. Proper use of
Equivalent dose to the
150
extremities (hands, feet) or the 500 mSv/year PPE should be part of the recurrent training programs for
mSv/year
skin
employees

74 International Basic Safety Standard for protection against Ionizing Radiation and
for the Safety of Radiation Sources and its three interrelated Safety Guides.
IAEA. http://www-ns.iaea.org/standards/documents/default.asp?sub=160
75 For example ACGIH (2005) and International Commission for Non-Ionizing
Radiation (ICNIRP).

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• Selection of PPE should be based on the hazard and risk by recognized organizations76.
ranking described earlier in this section, and selected
according to criteria on performance and testing established 2.8 Special Hazard Environments
Special hazard environments are work situations where all of the
previously described hazards may exist under unique or especially
Table 2.7.1. Summary of Recommended Personal
hazardous circumstances. Accordingly, extra precautions or rigor
Protective Equipment
According to Hazard in application of precautions is required.

Objective Workplace Hazards Suggested PPE Confined Space

A confined space is defined as a wholly or partially enclosed
Eye and Flying particles, molten Safety Glasses with side-shields,
face metal, liquid chemicals, protective shades, etc. space not designed or intended for human occupancy and in
protection gases or vapors, light
radiation. which a hazardous atmosphere could develop as a result of the
contents, location or construction of the confined space or due to
Head Falling objects, inadequate Plastic Helmets with top and side
protection height clearance, and impact protection. work done in or around the confined space. A “permit-required”
overhead power cords.
confined space is one that also contains physical or atmospheric
Hearing Noise, ultra-sound. Hearing protectors (ear plugs or hazards that could trap or engulf the person.77
protection ear muffs).

Foot Falling or rolling objects, Safety shoes and boots for Confined spaces can occur in enclosed or open structures or
protection pointed objects. Corrosive protection against moving &
or hot liquids. falling objects, liquids and locations. Serious injury or fatality can result from inadequate
chemicals.
preparation to enter a confined space or in attempting a rescue
Hand Hazardous materials, cuts Gloves made of rubber or from a confined space. Recommended management approaches
protection or lacerations, vibrations, synthetic materials (Neoprene),
extreme temperatures. leather, steel, insulating include:
materials, etc.

Respiratory Dust, fogs, fumes, mists, Facemasks with appropriate • Engineering measures should be implemented to eliminate,
protection gases, smokes, vapors. filters for dust removal and air to the degree feasible, the existence and adverse character
purification (chemicals, mists,
vapors and gases). Single or of confined spaces.
multi-gas personal monitors, if
available. • Permit-required confined spaces should be provided with

Oxygen deficiency Portable or supplied air (fixed

permanent safety measures for venting, monitoring, and
lines). rescue operations, to the extent possible. The area adjoining
On-site rescue equipment.
an access to a confined space should provide ample room
Body/leg Extreme temperatures, Insulating clothing, body suits, for emergency and rescue operations.
protection hazardous materials, aprons etc. of appropriate
biological agents, cutting materials.
and laceration.
76 Examples include the American National Standards Institute (ANSI),
http://www.ansi.org/; National Institute for Occupational Safety and Health76
(NIOSH), http://www.cdc.gov/niosh/homepage.html; Canadian Standards
Association76 (CSA), http://www.csa.ca/Default.asp?language=english; Mine
Safety and Health Administration76 (MSHA), http://www.msha.gov.

77 US OSHA CFR 1910.146

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• Access hatches should accommodate 90% of the worker persons capable of providing aid and assistance, for continuous
population with adjustments for tools and protective clothing. periods exceeding one hour. The worker is therefore at increased
The most current ISO and EN standards should be consulted risk should an accident or injury occur.
for design specifications;
• Where workers may be required to perform work under lone
• Prior to entry into a permit-required confined space: or isolated circumstances, Standard Operating Procedures
o Process or feed lines into the space should be (SOPs) should be developed and implemented to ensure all
disconnected or drained, and blanked and locked-out. PPE and safety measures are in place before the worker
o Mechanical equipment in the space should be starts work. SOPs should establish, at a minimum, verbal
disconnected, de-energized, locked-out, and braced, as contact with the worker at least once every hour, and ensure
appropriate. the worker has a capability for summoning emergency aid.
o The atmosphere within the confined space should be • If the worker is potentially exposed to highly toxic or corrosive
tested to assure the oxygen content is between 19.5 chemicals, emergency eye-wash and shower facilities should
percent and 23 percent, and that the presence of any be equipped with audible and visible alarms to summon aid
flammable gas or vapor does not exceed 25 percent of whenever the eye-wash or shower is activated by the worker
its respective Lower Explosive Limit (LEL). and without intervention by the worker.
o If the atmospheric conditions are not met, the confined
space should be ventilated until the target safe
2.9 Monitoring
atmosphere is achieved, or entry is only to be Occupational health and safety monitoring programs should verify

undertaken with appropriate and additional PPE. the effectiveness of prevention and control strategies. The
selected indicators should be representative of the most
• Safety precautions should include Self Contained Breathing
significant occupational, health, and safety hazards, and the
Apparatus (SCBA), life lines, and safety watch workers
implementation of prevention and control strategies. The
stationed outside the confined space, with rescue and first
occupational health and safety monitoring program should include:
aid equipment readily available.
• Safety inspection, testing and calibration: This should include
• Before workers are required to enter a permit-required
confined space, adequate and appropriate training in regular inspection and testing of all safety features and
hazard control measures focusing on engineering and
confined space hazard control, atmospheric testing, use of
personal protective features, work procedures, places of
the necessary PPE, as well as the serviceability and integrity
work, installations, equipment, and tools used. The
of the PPE should be verified. Further, adequate and
inspection should verify that issued PPE continues to provide
appropriate rescue and / or recovery plans and equipment
should be in place before the worker enters the confined adequate protection and is being worn as required. All

space. instruments installed or used for monitoring and recording of

working environment parameters should be regularly tested
Lone and Isolated Workers and calibrated, and the respective records maintained.

A lone and isolated worker is a worker out of verbal and line of • Surveillance of the working environment: Employers should

sight communication with a supervisor, other workers, or other document compliance using an appropriate combination of

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portable and stationary sampling and monitoring instruments. • The systems and the employer should further enable and
Monitoring and analyses should be conducted according to encourage workers to report to management all:
internationally recognized methods and standards. o Occupational injuries and near misses
Monitoring methodology, locations, frequencies, and o Suspected cases of occupational disease
parameters should be established individually for each o Dangerous occurrences and incidents
project following a review of the hazards. Generally,
• All reported occupational accidents, occupational diseases,
monitoring should be performed during commissioning of
dangerous occurrences, and incidents together with near
facilities or equipment and at the end of the defect and
misses should be investigated with the assistance of a
liability period, and otherwise repeated according to the
person knowledgeable/competent in occupational safety. The
monitoring plan.
investigation should:
• Surveillance of workers health: When extraordinary
o Establish what happened
protective measures are required (for example, against
o Determine the cause of what happened
biological agents Groups 3 and 4, and/or hazardous
o Identify measures necessary to prevent a recurrence
compounds), workers should be provided appropriate and
relevant health surveillance prior to first exposure, and at • Occupational accidents and diseases should, at a minimum,

regular intervals thereafter. The surveillance should, if be classified according to Table 2.10.1. Distinction is made

deemed necessary, be continued after termination of the between fatal and non-fatal injuries. The two main categories

employment. are divided into three sub-categories according to time of

• Training: Training activities for employees and visitors should death or duration of the incapacity to work. The total work

be adequately monitored and documented (curriculum, hours during the specified reporting period should be

duration, and participants). Emergency exercises, including reported to the appropriate regulatory agency.

fire drills, should be documented adequately. Service Table 2.9.1. Occupational Accident Reporting
providers and contractors should be contractually required to
submit to the employer adequate training documentation a. Fatalities b. Non-fatal c. Total time lost
before start of their assignment. (number) injuries non-fatal injuries
(number) 78 (days)
b.1 Less than one
a.1 Immediate
Accidents and Diseases monitoring day

• The employer should establish procedures and systems for a.2 Within a month b.2 Up to 3 days c.1 Category b.2

reporting and recording: b.3 More than 3

a.3 Within a year c.2 Category b.3
days
o Occupational accidents and diseases
o Dangerous occurrences and incidents
These systems should enable workers to report immediately
to their immediate supervisor any situation they believe
presents a serious danger to life or health.

78 The day on which an incident occurs is not included in b.2 and b.3.

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3.0 Community Health and Safety

3.1 Water Quality and Availability ...................................77 impoundment should prevent adverse impacts to the quality and
Water Quality.........................................................77 availability of groundwater and surface water resources.
Water Availability....................................................77
3.2 Structural Safety of Project Infrastructure ..................78
3.3 Life and Fire Safety (L&FS) ......................................79 Water Quality
Applicability and Approach......................................79 Drinking water sources, whether public or private, should at all
Specific Requirements for New Buildings................79
times be protected so that they meet or exceed applicable national
L&FS Master Plan Review and Approval.................80
Specific Requirements for Existing Buildings ...........81 acceptability standards or in their absence the current edition of
Other Hazards........................................................81 WHO Guidelines for Drinking-Water Quality. Air emissions,
3.4 Traffic Safety............................................................81
3.5 Transport of Hazardous Materials .............................82 wastewater effluents, oil and hazardous materials, and wastes
General Hazardous Materials Transport..................82 should be managed according to the guidance provided in the
Major Transportation Hazards.................................83 respective sections of the General EHS Guidelines with the
3.6 Disease Prevention..................................................85
Communicable Diseases........................................85 objective of protecting soil and water resources.
Vector-Borne Diseases...........................................85
Where the project includes the delivery of water to the community
3.7 Emergency Preparedness and Response .................86
Communication Systems ........................................86 or to users of facility infrastructure (such as hotel hosts and
Emergency Resources ...........................................87 hospital patients), where water may be used for drinking, cooking,
Training and Updating ............................................87 washing, and bathing, water quality should comply with national
Business Continuity and Contingency .....................88
Applicability and Approach......................................89 acceptability standards or in their absence the current edition of
with WHO Drinking Water Guidelines. Water quality for more
sensitive well-being-related demands such as water used in health
This section complements the guidance provided in the preceding
care facilities or food production may require more stringent,
environmental and occupational health and safety sections,
industry-specific guidelines or standards, as applicable. Any
specifically addressing some aspects of project activities taking
dependency factors associated with the deliver of water to the
place outside of the traditional project boundaries, but nonetheless
local community should be planned for and managed to ensure
related to the project operations, as may be applicable on a
the sustainability of the water supply by involving the community in
project basis. These issues may arise at any stage of a project life
its management to minimize the dependency in the long-term.
cycle and can have an impact beyond the life of the project.

Water Availability
3.1 Water Quality and Availability The potential effect of groundwater or surface water abstraction
Groundwater and surface water represent essential sources of
for project activities should be properly assessed through a
drinking and irrigation water in developing countries, particularly in
combination of field testing and modeling techniques, accounting
rural areas where piped water supply may be limited or
for seasonal variability and projected changes in demand in the
unavailable and where available resources are collected by the
project area.
consumer with little or no treatment. Project activities involving
wastewater discharges, water extraction, diversion or

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Project activities should not compromise the availability of water project structures should be designed in accordance with
for personal hygiene needs and should take account of potential engineering and design criteria mandated by site-specific
future increases in demand. The overall target should be the risks, including but not limited to seismic activity, slope
availability of 100 liters per person per day although lower levels stability, wind loading, and other dynamic loads
may be used to meet basic health requirements.79 Water volume • Application of locally regulated or internationally recognized
requirements for well-being-related demands such as water use in building codes80 to ensure structures are designed and
health care facilities may need to be higher. constructed in accordance with sound architectural and
engineering practice, including aspects of fire prevention and
3.2 Structural Safety of Project response
Infrastructure • Engineers and architects responsible for designing and
Hazards posed to the public while accessing project facilities may constructing facilities, building, plants and other structures
include: should certify the applicability and appropriateness of the
• Physical trauma associated with failure of building structures structural criteria employed.
• Burns and smoke inhalation from fires International codes, such as those compiled by the International
• Injuries suffered as a consequence of falls or contact with Code Council (ICC) 81, are intended to regulate the design,
heavy equipment construction, and maintenance of a built environment and contain
• Respiratory distress from dust, fumes, or noxious odors detailed guidance on all aspects of building safety, encompassing
• Exposure to hazardous materials methodology, best practices, and documenting compliance.
Reduction of potential hazards is best accomplished during the Depending on the nature of a project, guidance provided in the
design phase when the structural design, layout and site ICC or comparable codes should be followed, as appropriate, with
modifications can be adapted more easily. The following issues respect to:
should be considered and incorporated as appropriate into the
• Existing structures
planning, siting, and design phases of a project:
• Soils and foundations

• Inclusion of buffer strips or other methods of physical • Site grading

separation around project sites to protect the public from • Structural design
major hazards associated with hazardous materials incidents • Specific requirements based on intended use and occupancy
or process failure, as well as nuisance issues related to • Accessibility and means of egress
noise, odors, or other emissions • Types of construction
• Incorporation of siting and safety engineering criteria to • Roof design and construction
prevent failures due to natural risks posed by earthquakes, • Fire-resistant construction
tsunamis, wind, flooding, landslides and fire. To this end, all • Flood-resistant construction

79 World Health Organization (WHO) defines 100 liters/capita/day as the amount

80 ILO-OSH, 2001. http://www.ilo.org/public/english/protection/
required to meet all consumption and hygiene needs. Additional information on
lower service levels and potential impacts on health are described in “Domestic safework/cops/english/download/e000013.pdf
Water Quantity, Service Level and Health” 2003. 81 ICC, 2006.
http://www.who.int/water_sanitation_health/diseases/wsh0302/en/index.html

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• Construction materials codes, local fire department regulations, local legal/insurance

• Interior environment requirements, and in accordance with an internationally accepted
• Mechanical, plumbing and electrical systems life and fire safety (L&FS) standard. The Life Safety Code82, which
• Elevators and conveying systems provides extensive documentation on life and fire safety

• Fire safety systems provisions, is one example of an internationally accepted standard

• Safeguards during construction and may be used to document compliance with the Life and Fire

• Encroachments into public right-of-way Safety objectives outlined in these guidelines. With regard to
these objectives:
Although major design changes may not be feasible during the
operation phase of a project, hazard analysis can be undertaken • Project sponsors’ architects and professional consulting

to identify opportunities to reduce the consequences of a failure or engineers should demonstrate that affected buildings meet

accident. Illustrative management actions, applicable to these life and fire safety objectives.

hazardous materials storage and use, include: • Life and fire safety systems and equipment should be

• Reducing inventories of hazardous materials through designed and installed using appropriate prescriptive

inventory management and process changes to greatly standards and/or performance based design, and sound

reduce or eliminate the potential off-site consequences of a engineering practices.

release • Life and fire safety design criteria for all existing buildings
• Modifying process or storage conditions to reduce the should incorporate all local building codes and fire
potential consequences of an accidental off-site release department regulations.
• Improving shut-down and secondary containment to reduce
These guidelines apply to buildings that are accessible to the
the amount of material escaping from containment and to
public. Examples of such buildings include:
reduce the release duration
• Reducing the probability that releases will occur through • Health and education facilities
improved site operations and control, and through • Hotels, convention centers, and leisure facilities
improvements in maintenance and inspection • Retail and commercial facilities
• Reducing off-site impacts of releases through measures • Airports, other public transport terminals, transfer facilities
intended to contain explosions and fires, alert the public,
provide for evacuation of surrounding areas, establish safety Specific Requirements for New Buildings
zones around a site, and ensure the provision of emergency The nature and extent of life and fire safety systems required will
medical services to the public depend on the building type, structure, construction, occupancy,
and exposures. Sponsors should prepare a Life and Fire Safety
3.3 Life and Fire Safety (L&FS) Master Plan identifying major fire risks, applicable codes,
standards and regulations, and mitigation measures. The Master
Applicability and Approach
82 US NFPA.
All new buildings accessible to the public should be designed, http://www.nfpa.org/catalog/product.asp?category%5Fname=&pid=10106&target%
constructed, and operated in full compliance with local building 5Fpid=10106&src%5Fpid=&link%5Ftype=search

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Plan should be prepared by a suitably qualified professional, and Compartmentation

adequately cover, but not be limited to, the issues addressed Compartmentation involves all measures to prevent or slow the
briefly in the following points. The suitably qualified professional spread of fire and smoke, including:
selected to prepare the Master Plan is responsible for a detailed
• Separations
treatment of the following illustrative, and all other required,
• Fire walls
issues.
• Floors

Fire Prevention • Doors

Fire prevention addresses the identification of fire risks and • Dampers

ignition sources, and measures needed to limit fast fire and smoke • Smoke control systems
development. These issues include:
Fire Suppression and Control
• Fuel load and control of combustibles
Fire suppression and control includes all automatic and manual
• Ignition sources
fire protection installations, such as:
• Interior finish flame spread characteristics
• Automatic sprinkler systems
• Interior finish smoke production characteristics
• Manual portable extinguishers
• Human acts, and housekeeping and maintenance
• Fire hose reels
Means of Egress
Means of Egress includes all design measures that facilitate a
Emergency Response Plan
safe evacuation by residents and/or occupants in case of fire or An Emergency Response Plan is a set of scenario–based

other emergency, such as: procedures to assist staff and emergency response teams during
real life emergency and training exercises. This chapter of the Fire
• Clear, unimpeded escape routes
and Life Safety Master Plan should include an assessment of local
• Accessibility to the impaired/handicapped fire prevention and suppression capabilities.
• Marking and signing
• Emergency lighting Operation and Maintenance
Operation and Maintenance involves preparing schedules for
Detection and Alarm Systems mandatory regular maintenance and testing of life and fire safety
These systems encompass all measures, including features to ensure that mechanical, electrical, and civil structures
communication and public address systems needed to detect a and systems are at all times in conformance with life and fire
fire and alert: safety design criteria and required operational readiness.
• Building staff
• Emergency response teams
L&FS Master Plan Review and Approval
• Occupants • A suitably qualified professional prepares and submits a Life

• Civil defense and Fire Safety (L&FS) Master Plan, including preliminary
drawings and specifications, and certifies that the design

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meets the requirements of these L&FS guidelines. The earthquakes, tsunamis, floods, windstorms, and fires from
findings and recommendations of the review are then used to surrounding areas).
establish the conditions of a Corrective Action Plan and a • All such structures should be designed in accordance with
time frame for implementing the changes. the criteria mandated by situation-, climatic-, and geology-
• The suitably qualified professional conducts a review as part specific location risks (e.g. seismic activity, wind loading, and
of the project completion test at the time of life and fire safety other dynamic loads).
systems testing and commissioning, and certifies that • Structural engineers and architects responsible for facilities,
construction of these systems has been carried out in buildings, plants and structures should certify the applicability
accordance with the accepted design. The findings and and appropriateness of the design criteria employed.
recommendations of the review are used as the basis for • National or regional building regulations typically contain fire
establishing project completion or to establish the conditions safety codes and standards83 or these standards are found in
of a Pre-Completion Corrective Action Plan and a time frame separate Fire Codes.84,85 Generally, such codes and
for implementing the changes. regulations incorporate further compliance requirements with
respect to methodology, practice, testing, and other codes
Specific Requirements for Existing
and standards86. Such nationally referenced material
Buildings
constitutes the acceptable fire life safety code.
• All life and fire safety guideline requirements for new
buildings apply to existing buildings programmed for
3.4 Traffic Safety
renovation. A suitably qualified professional conducts a
Traffic accidents have become one of the most significant causes
complete life and fire safety review of existing buildings
of injuries and fatalities among members of the public worldwide.
slated for renovation. The findings and recommendations of
Traffic safety should be promoted by all project personnel during
the review are used as the basis to establish the scope of
displacement to and from the workplace, and during operation of
work of a Corrective Action Plan and a time frame for
project equipment on private or public roads. Prevention and
implementing the changes.
control of traffic related injuries and fatalities should include the
• If it becomes apparent that life and fire safety conditions are
adoption of safety measures that are protective of project workers
deficient in an existing building that is not part of the project
and of road users, including those who are most vulnerable to
or that has not been programmed for renovation, a life and
road traffic accidents87. Road safety initiatives proportional to the
fire safety review of the building may be conducted by a
scope and nature of project activities should include:
suitably qualified professional. The findings and
recommendations of the review are used as the basis to
establish the scope of work of a Corrective Action Plan and a 83 For example, Australia, Canada, South Africa, United Kingdom
84 Réglementation Incendie [des ERP]
time frame for implementing the changes.
85 USA NFPA, 2006.
86 Prepared by National Institutes and Authorities such as American Society for
Other Hazards Testing and Materials (ASTM), British Standards (BS), German Institute of
Standardization (DIN), and French Standards (NF)
• Facilities, buildings, plants, and structures should be situated 87 Additional information on vulnerable users of public roads in developing
countries is provided by Peden et al., 2004.
to minimize potential risks from forces of nature (e.g.

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• Adoption of best transport safety practices across all aspects • Employing safe traffic control measures, including road signs
of project operations with the goal of preventing traffic and flag persons to warn of dangerous conditions
accidents and minimizing injuries suffered by project
personnel and the public. Measures should include: 3.5 Transport of Hazardous Materials
o Emphasizing safety aspects among drivers
General Hazardous Materials Transport
o Improving driving skills and requiring licensing of drivers
• Projects should have procedures in place that ensure
o Adopting limits for trip duration and arranging driver
compliance with local laws and international requirements
rosters to avoid overtiredness
applicable to the transport of hazardous materials, including:
o Avoiding dangerous routes and times of day to reduce
the risk of accidents o IATA requirements89 for air transport

o Use of speed control devices (governors) on trucks, and o IMDG Code90 sea transport
remote monitoring of driver actions o UN Model Regulations91 of other international standards
as well as local requirements for land transport
• Regular maintenance of vehicles and use of manufacturer
o Host-country commitments under the Basel Convention
approved parts to minimize potentially serious accidents
on the Control of Transboundary Movements of
caused by equipment malfunction or premature failure.
Hazardous Waste and their disposal and Rotterdam
Where the project may contribute to a significant increase in traffic Convention on the prior Inform Consent Procedure for
along existing roads, or where road transport is a significant Certain Hazardous Chemicals and Pesticides in
component of a project, recommended measures include: International Trade, if applicable to the project activities
• Minimizing pedestrian interaction with construction vehicles • The procedures for transportation of hazardous materials
• Collaboration with local communities and responsible (Hazmats) should include:
authorities to improve signage, visibility and overall safety of o Proper labeling of containers, including the identify and
roads, particularly along stretches located near schools or quantity of the contents, hazards, and shipper contact
other locations where children may be present. Collaborating information
with local communities on education about traffic and o Providing a shipping document (e.g. shipping manifest)
pedestrian safety (e.g. school education campaigns)88 that describes the contents of the load and its
• Coordination with emergency responders to ensure that associated hazards in addition to the labeling of the
appropriate first aid is provided in the event of accidents containers. The shipping document should establish a
• Using locally sourced materials, whenever possible, to chain-of-custody using multiple signed copies to show
minimize transport distances. Locating associated facilities that the waste was properly shipped, transported and
such as worker camps close to project sites and arranging received by the recycling or treatment/disposal facility
worker bus transport to minimizing external traffic
89 IATA, 2005. www.iata.org
90 IMO. www.imo.org/safety
88Additional sources of information for implementation of road safety measures is 91 United Nations. Transport of Dangerous Goods - Model Regulations. 14th
available at WHO, 1989, Ross et al., 1991, Tsunokawa and Hoban, 1997, and Revised Edition. Geneva 2005.
OECD, 1999 http://www.unece.org/trans/danger/publi/unrec/rev14/14files_e.html

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o Ensuring that the volume, nature, integrity and • The existing criteria for the safe transportation of hazardous
protection of packaging and containers used for materials, including environmental management systems
transport are appropriate for the type and quantity of used by the company and its contractors
hazardous material and modes of transport involved
This review should cover the management actions, preventive
o Ensuring adequate transport vehicle specifications
measures and emergency response procedures described below.
o Training employees involved in the transportation of
The hazard assessment helps to determine what additional
hazardous materials regarding proper shipping
measures may be required to complete the plan.
procedures and emergency procedures
o Using labeling and placarding (external signs on Management Actions
transport vehicles), as required
• Management of Change: These procedures should address:
o Providing the necessary means for emergency response
o The technical basis for changes in hazardous materials
on call 24 hours/day
offered for transportation, routes and/or procedures
Major Transportation Hazards o The potential impact of changes on health and safety

Guidance related to major transportation hazards should be o Modification required to operating procedures

implemented in addition to measures presented in the preceding o Authorization requirements

section for preventing or minimizing the consequences of o Employees affected

catastrophic releases of hazardous materials, which may result in o Training needs

toxic, fire, explosion, or other hazards during transportation. • Compliance Audit: A compliance audit evaluates compliance
with prevention requirements for each transportation route or
In addition to these aforementioned procedures, projects which
for each hazardous material, as appropriate. A compliance
transport hazardous materials at or above the threshold
audit covering each element of the prevention measures (see
quantities92 should prepare a Hazardous Materials Transportation
below) should be conducted at least every three years. The
Plan containing all of the elements presented below93.
audit program should include:
o Preparation of a report of the findings
Hazard Assessment
o Determination and documentation of the appropriate
The hazard assessment should identify the potential hazard
response to each finding
involved in the transportation of hazardous materials by reviewing:
o Documentation that any deficiency has been corrected.
• The hazard characteristics of the substances identified during
• Incident Investigation: Incidents can provide valuable
the screening stage
information about transportation hazards and the steps
• The history of accidents, both by the company and its
needed to prevent accidental releases. The implementation
contractors, involving hazardous materials transportation
of incident investigation procedures should ensure that:
92 Threshold quantities for the transport of hazardous materials are found in the UN

– Transport of Dangerous Goods – Model Regulations cited above.

o Investigations are initiated promptly
93 For further information and guidance, please refer to International Finance o Summaries of investigations are included in a report
Corporation (IFC) Hazardous Materials Transportation Manual. Washington,
D.C. December 2000. o Report findings and recommendations are addressed

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o Reports are reviewed with staff and contractors Preventive Measures

• Employee Participation: There should be a written plan of The plan should include procedures to implement preventive

action regarding the implementation of active employee measures specific to each hazardous material offered for

participation in the prevention of accidents. transportation, including:

• Classification and segregation of hazardous materials in

• Contractors: The plan should include procedures to ensure
warehouses and transport units
that:
• Packaging and packaging testing
o The contractor is provided with safety performance
• Marking and labeling of packages containing hazardous
procedures and safety and hazard information
materials
o Contractors observe safety practices
• Handling and securing packages containing hazardous
o Verify that the contractor acts responsibly
materials in transport units
The plan should also include additional procedures to ensure • Marking and placarding of transport units
the contractors will: • Documentation (e.g. bills of lading)
o Ensure appropriate training for their employees • Application of special provisions, as appropriate
o Ensure their employees know process hazards and
applicable emergency actions Emergency Preparedness and Response
o Prepare and submit training records It is important to develop procedures and practices for the
o Inform employees about the hazards presented by their handling of hazardous materials that allow for quick and efficient
work responses to accidents that may result in injury or environmental
damage. The sponsor should prepare an Emergency
• Training: Good training programs on operating procedures
Preparedness and Response Plan that should cover:
will provide the employees with the necessary information to
understand how to operate safely and why safe operations • Planning Coordination: This should include procedures for:
are needed. The training program should include: o Informing the public and emergency response agencies
o The list of employees to be trained o Documenting first aid and emergency medical treatment
o Specific training objectives o Taking emergency response actions
o Mechanisms to achieve objectives (i.e. hands-on o Reviewing and updating the emergency response plan
workshops, videos, etc.) to reflect changes and ensuring that the employees are
o Means to determine the effectiveness of the training informed of such changes
program
• Emergency Equipment: The plan should include procedures
o Training procedures for new hires and refresher
for using, inspecting, testing, and maintaining emergency
programs
response equipment.

• Training: Employees should be trained in any relevant

procedures

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3.6 Disease Prevention access to medical treatment, confidentiality and appropriate

care, particularly with respect to migrant workers
Communicable Diseases • Promoting collaboration with local authorities to enhance
Communicable diseases pose a significant public health threat access of workers families and the community to public
worldwide. Health hazards typically associated with large health services and promote immunization
development projects are those relating to poor sanitation and
living conditions, sexual transmission and vector-borne infections. Vector-Borne Diseases
Communicable diseases of most concern during the construction Reducing the impact of vector-borne disease on the long-term
phase due to labor mobility are sexually-transmitted diseases health of workers is best accomplished through implementation of
(STDs), such as HIV/AIDS. Recognizing that no single measure diverse interventions aimed at eliminating the factors that lead to
is likely to be effective in the long term, successful initiatives disease. Project sponsors, in close collaboration with community
typically involve a combination of behavioral and environmental health authorities, can implement an integrated control strategy for
modifications. mosquito and other arthropod-borne diseases that might involve:

• Prevention of larval and adult propagation through sanitary

Recommended interventions at the project level include94:
improvements and elimination of breeding habitats close to
• Providing surveillance and active screening and treatment of human settlements
workers • Elimination of unusable impounded water
• Preventing illness among workers in local communities by: • Increase in water velocity in natural and artificial channels
o Undertaking health awareness and education initiatives, • Considering the application of residual insecticide to
for example, by implementing an information strategy to dormitory walls
reinforce person-to-person counseling addressing • Implementation of integrated vector control programs
systemic factors that can influence individual behavior • Promoting use of repellents, clothing, netting, and other
as well as promoting individual protection, and barriers to prevent insect bites
protecting others from infection, by encouraging condom • Use of chemoprophylaxis drugs by non-immune workers and
use collaborating with public health officials to help eradicate
o Training health workers in disease treatment disease reservoirs
o Conducting immunization programs for workers in local
• Monitoring and treatment of circulating and migrating
communities to improve health and guard against
populations to prevent disease reservoir spread
infection
• Collaboration and exchange of in-kind services with other
o Providing health services control programs in the project area to maximize beneficial
• Providing treatment through standard case management in effects
on-site or community health care facilities. Ensuring ready • Educating project personnel and area residents on risks,
prevention, and available treatment
• Monitoring communities during high-risk seasons to detect
Additional sources of information on disease prevention include IFC, 2006;
94

UNDP, 2000, 2003; Walley et al., 2000; Kindhauser, 2003; Heymann, 2004. and treat cases

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• Distributing appropriate education materials Alarm bells, visual alarms, or other forms of communication
• Following safety guidelines for the storage, transport, and should be used to reliably alert workers to an emergency. Related
distribution of pesticides to minimize the potential for misuse, measures include:
spills, and accidental human exposure
• Testing warning systems at least annually (fire alarms
monthly), and more frequently if required by local regulations,
3.7 Emergency Preparedness and equipment, or other considerations
Response • Installing a back-up system for communications on-site with
An emergency is an unplanned event when a project operation off-site resources, such as fire departments, in the event that
loses control, or could lose control, of a situation that may result in normal communication methods may be inoperable during an
risks to human health, property, or the environment, either within emergency
the facility or in the local community. Emergencies do not
normally include safe work practices for frequent upsets or events Community Notification
that are covered by occupational health and safety. If a local community may be at risk from a potential emergency
arising at the facility, the company should implement
All projects should have an Emergency Preparedness and
communication measures to alert the community, such as:
Response Plan that is commensurate with the risks of the facility
and that includes the following basic elements: • Audible alarms, such as fire bells or sirens

• Administration (policy, purpose, distribution, definitions, etc) • Fan out telephone call lists

• Organization of emergency areas (command centers, • Vehicle mounted speakers

medical stations, etc) • Communicating details of the nature of the emergency

• Roles and responsibilities • Communicating protection options (evacuation, quarantine)

• Communication systems • Providing advise on selecting an appropriate protection

• Emergency response procedures option

• Emergency resources
Media and Agency Relations
• Training and updating
Emergency information should be communicated to the media
• Checklists (role and action list and equipment checklist)
through:
• Business Continuity and Contingency
• A trained, local spokesperson able to interact with relevant
Additional information is provided for key components of the stakeholders, and offer guidance to the company for
emergency plan, as follows below. speaking to the media, government, and other agencies
• Written press releases with accurate information, appropriate
Communication Systems
level of detail for the emergency, and for which accuracy can
Worker notification and communication be guaranteed

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Emergency Resources • Considering the quantity, response time, capability,

limitations, and cost of these resources, for both site-specific
Finance and Emergency Funds emergencies, and community or regional emergencies
• A mechanism should be provided for funding emergency • Considering if external resources are unable to provide
activities. sufficient capacity during a regional emergency and whether
additional resources may need to be maintained on-site
Fire Services
• The company should consider the level of local fire fighting Mutual Aid
capacity and whether equipment is available for use at the Mutual aid agreements decrease administrative confusion and
facility in the event of a major emergency or natural disaster. provide a clear basis for response by mutual aid providers.
If insufficient capacity is available, fire fighting capacity
• Where appropriate, mutual aid agreements should be
should be acquired that may include pumps, water supplies,
maintained with other organizations to allow for sharing of
trucks, and training for personnel.
personnel and specialized equipment.

Medical Services
Contact List
• The company should provide first aid attendants for the
• The company should develop a list of contact information for
facility as well as medical equipment suitable for the
all internal and external resources and personnel. The list
personnel, type of operation, and the degree of treatment
should include the name, description, location, and contact
likely to be required prior to transportation to hospital.
details (telephone, email) for each of the resources, and be
maintained annually.
Availability of Resources
Appropriate measures for managing the availability of resources in
Training and Updating
case of an emergency include:
The emergency preparedness facilities and emergency response
• Maintaining a list of external equipment, personnel, facilities, plans require maintenance, review, and updating to account for
funding, expert knowledge, and materials that may be changes in equipment, personnel, and facilities. Training
required to respond to emergencies. The list should include programs and practice exercises provide for testing systems to
personnel with specialized expertise for spill clean-up, flood ensure an adequate level of emergency preparedness. Programs
control, engineering, water treatment, environmental science, should:
etc., or any of the functions required to adequately respond
• Identify training needs based on the roles and
to the identified emergency
responsibilities, capabilities and requirements of personnel
• Providing personnel who can readily call up resources, as
in an emergency
required
• Develop a training plan to address needs, particularly for fire
• Tracking and managing the costs associated with emergency
fighting, spill response, and evacuation
resources

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• Conduct annual training, at least, and perhaps more frequent

training when the response includes specialized equipment,
procedures, or hazards, or when otherwise mandated
• Provide training exercises to allow personnel the opportunity
to test emergency preparedness, including:
o Desk top exercises with only a few personnel, where the
contact lists are tested and the facilities and
communication assessed
o Response exercises, typically involving drills that allow
for testing of equipment and logistics
o Debrief upon completion of a training exercise to assess
what worked well and what aspects require improvement
o Update the plan, as required, after each exercise. Elements
of the plan subject to significant change (such as contact
lists) should be replaced
o Record training activities and the outcomes of the training

Business Continuity and Contingency

Measures to address business continuity and contingency include:

• Identifying replacement supplies or facilities to allow business

continuity following an emergency. For example, alternate
sources of water, electricity, and fuel are commonly sought.
• Using redundant or duplicate supply systems as part of
facility operations to increase the likelihood of business
continuity.
• Maintaining back-ups of critical information in a secure
location to expedite the return to normal operations following
an emergency.

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4.0 Construction and Decommissioning

planned during periods of the day that will result in least
4.1 Environment.............................................................89
disturbance
Noise and Vibration ................................................89
Soil Erosion............................................................89 • Using noise control devices, such as temporary noise
Air Quality..............................................................90 barriers and deflectors for impact and blasting activities, and
Solid Waste............................................................90 exhaust muffling devices for combustion engines.
Hazardous Materials...............................................91
Wastewater Discharges..........................................91 • Avoiding or minimizing project transportation through
Contaminated Land ................................................91 community areas
4.2 Occupational Health and Safety................................92
4.3 Community Health and Safety ..................................94
General Site Hazards .............................................94
Soil Erosion
Disease Prevention ................................................94 Soil erosion may be caused by exposure of soil surfaces to rain
Traffic Safety..........................................................95 and wind during site clearing, earth moving, and excavation
activities. The mobilization and transport of soil particles may, in
turn, result in sedimentation of surface drainage networks, which
Applicability and Approach
may result in impacts to the quality of natural water systems and
This section provides additional, specific guidance on prevention
ultimately the biological systems that use these waters.
and control of community health and safety impacts that may
Recommended soil erosion and water system management
occur during new project development, at the end of the project
approaches include:
life-cycle, or due to expansion or modification of existing project
facilities. Cross referencing is made to various other sections of
Sediment mobilization and transport
the General EHS Guidelines.
• Reducing or preventing erosion by:

Scheduling to avoid heavy rainfall periods (i.e., during

4.1 Environment{ TC "4.1 o
the dry season) to the extent practical
Environment" \f C \l "2" }
o Contouring and minimizing length and steepness of
Noise and Vibration slopes

During construction and decommissioning activities, noise and o Mulching to stabilize exposed areas

vibration may be caused by the operation of pile drivers, earth o Re-vegetating areas promptly

moving and excavation equipment, concrete mixers, cranes and o Designing channels and ditches for post-construction
the transportation of equipment, materials and people. Some flows
recommended noise reduction and control strategies to consider o Lining steep channel and slopes (e.g. use jute matting)

in areas close to community areas include: • Reducing or preventing off-site sediment transport through

• Planning activities in consultation with local communities so use of settlement ponds, silt fences, and water treatment,

that activities with the greatest potential to generate noise are and modifying or suspending activities during extreme rainfall
and high winds to the extent practical.

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Clean runoff management Air Quality

• Segregating or diverting clean water runoff to prevent it Construction and decommissioning activities may generate
mixing with water containing a high solids content, to emission of fugitive dust caused by a combination of on-site
minimize the volume of water to be treated prior to release excavation and movement of earth materials, contact of
construction machinery with bare soil, and exposure of bare soil
Road design and soil piles to wind. A secondary source of emissions may
• Limiting access road gradients to reduce runoff-induced include exhaust from diesel engines of earth moving equipment,
erosion as well as from open burning of solid waste on-site. Techniques to
• Providing adequate road drainage based on road width, consider for the reduction and control of air emissions from
surface material, compaction, and maintenance construction and decommissioning sites include:

• Minimizing dust from material handling sources, such as

Disturbance to water bodies
conveyors and bins, by using covers and/or control
• Depending on the potential for adverse impacts, installing
equipment (water suppression, bag house, or cyclone)
free-spanning structures (e.g., single span bridges) for road
• Minimizing dust from open area sources, including storage
watercourse crossings
piles, by using control measures such as installing
• Restricting the duration and timing of in-stream activities to
enclosures and covers, and increasing the moisture content
lower low periods, and avoiding periods critical to biological
• Dust suppression techniques should be implemented, such
cycles of valued flora and fauna (e.g., migration, spawning,
as applying water or non-toxic chemicals to minimize dust
etc.)
from vehicle movements
• For in-stream works, using isolation techniques such as
• Selectively removing potential hazardous air pollutants, such
berming or diversion during construction to limit the exposure
as asbestos, from existing infrastructure prior to demolition
of disturbed sediments to moving water
• Managing emissions from mobile sources according to
• Consider using trenchless technology for pipeline crossings
Section 1.1
(e.g., suspended crossings) or installation by directional
• Avoiding open burning of solid (refer to solid waste
drilling
management guidance in Section 1.6)

Structural (slope) stability

Solid Waste
• Providing effective short term measures for slope
Non-hazardous solid waste generated at construction and
stabilization, sediment control and subsidence control until
decommissioning sites includes excess fill materials from grading
long term measures for the operational phase can be
and excavation activities, scrap wood and metals, and small
implemented
concrete spills. Other non-hazardous solid wastes include office,
• Providing adequate drainage systems to minimize and
kitchen, and dormitory wastes when these types of operations are
control infiltration
part of construction project activities. Hazardous solid waste
includes contaminated soils, which could potentially be
encountered on-site due to previous land use activities, or small

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amounts of machinery maintenance materials, such as oily rags, Wastewater Discharges

used oil filters, and used oil, as well as spill cleanup materials from Construction and decommissioning activities may include the
oil and fuel spills. Techniques for preventing and controlling non- generation of sanitary wastewater discharges in varying quantities
hazardous and hazardous construction site solid waste include depending on the number of workers involved. Adequate portable
those already discussed in Section 1.6. or permanent sanitation facilities serving all workers should be
provided at all construction sites. Sanitary wastewater in
Hazardous Materials
construction and other sites should be managed as described in
Construction and decommissioning activities may pose the
Section 1.3.
potential for release of petroleum based products, such as
lubricants, hydraulic fluids, or fuels during their storage, transfer, Contaminated Land
or use in equipment. These materials may also be encountered Land contamination may be encountered in sites under
during decommissioning activities in building components or construction or decommissioning due to known or unknown
industrial process equipment. Techniques for prevention, historical releases of hazardous materials or oil, or due to the
minimization, and control of these impacts include: presence of abandoned infrastructure formerly used to store or
• Providing adequate secondary containment for fuel storage handle these materials, including underground storage tanks.
tanks and for the temporary storage of other fluids such as Actions necessary to manage the risk from contaminated land will
lubricating oils and hydraulic fluids, depend on factors such as the level and location of contamination,

• Using impervious surfaces for refueling areas and other fluid the type and risks of the contaminated media, and the intended

transfer areas land use. However, a basic management strategy should include:

• Training workers on the correct transfer and handling of fuels • Managing contaminated media with the objective of
and chemicals and the response to spills protecting the safety and health of occupants of the site, the
• Providing portable spill containment and cleanup equipment surrounding community, and the environment post
on site and training in the equipment deployment construction or post decommissioning
• Assessing the contents of hazardous materials and • Understanding the historical use of the land with regard to
petroleum-based products in building systems (e.g. PCB the potential presence of hazardous materials or oil prior to
containing electrical equipment, asbestos-containing building initiation of construction or decommissioning activities
materials) and process equipment and removing them prior • Preparing plans and procedures to respond to the discovery
to initiation of decommissioning activities, and managing their of contaminated media to minimize or reduce the risk to
treatment and disposal according to Sections 1.5 and 1.6 on health, safety, and the environment consistent with the
Hazardous Materials and Hazardous Waste Management, approach for Contaminated Land in Section 1.6
respectively • Preparation of a management plan to manage obsolete,
• Assessing the presence of hazardous substances in or on abandoned, hazardous materials or oil consistent with the
building materials (e.g., polychlorinated biphenyls, asbestos- approach to hazardous waste management described in
containing flooring or insulation) and decontaminating or Section 1.6.
properly managing contaminated building materials

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Successful implementation of any management strategy may • Implementing good house-keeping practices, such as the
require identification and cooperation with whoever is responsible sorting and placing loose construction materials or demolition
and liable for the contamination. debris in established areas away from foot paths
• Cleaning up excessive waste debris and liquid spills regularly
4.2 Occupational Health and Safety{ • Locating electrical cords and ropes in common areas and
TC "4.2 Occupational Health and marked corridors
Safety" \f C \l "2" } • Use of slip retardant footwear

Over-exertion Work in Heights

Over-exertion, and ergonomic injuries and illnesses, such as
Falls from elevation associated with working with ladders,
repetitive motion, over-exertion, and manual handling, are among
scaffolding, and partially built or demolished structures are among
the most common causes of injuries in construction and
the most common cause of fatal or permanent disabling injury at
decommissioning sites. Recommendations for their prevention
construction or decommissioning sites. If fall hazards exist, a fall
and control include:
protection plan should be in place which includes one or more of
• Training of workers in lifting and materials handling the following aspects, depending on the nature of the fall hazard95:
techniques in construction and decommissioning projects,
• Training and use of temporary fall prevention devices, such
including the placement of weight limits above which
as rails or other barriers able to support a weight of 200
mechanical assists or two-person lifts are necessary
pounds, when working at heights equal or greater than two
• Planning work site layout to minimize the need for manual
meters or at any height if the risk includes falling into
transfer of heavy loads
operating machinery, into water or other liquid, into
• Selecting tools and designing work stations that reduce force hazardous substances, or through an opening in a work
requirements and holding times, and which promote
surface
improved postures, including, where applicable, user
• Training and use of personal fall arrest systems, such as full
adjustable work stations
body harnesses and energy absorbing lanyards able to
• Implementing administrative controls into work processes,
support 5000 pounds (also described in this section in
such as job rotations and rest or stretch breaks
Working at Heights above), as well as fall rescue procedures
to deal with workers whose fall has been successfully
Slips and Falls
arrested. The tie in point of the fall arresting system should
Slips and falls on the same elevation associated with poor
also be able to support 5000 pounds
housekeeping, such as excessive waste debris, loose construction
• Use of control zones and safety monitoring systems to warn
materials, liquid spills, and uncontrolled use of electrical cords and
workers of their proximity to fall hazard zones, as well as
ropes on the ground, are also among the most frequent cause of
lost time accidents at construction and decommissioning sites.
Recommended methods for the prevention of slips and falls from, 95 Additional information on identification of fall hazards and design of protection
systems can be found in the United States Occupational Health and Safety
or on, the same elevation include: Administration’s (US OSHA) web site:
http://www.osha.gov/SLTC/fallprotection/index.html

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securing, marking, and labeling covers for openings in floors, a turn while moving. Techniques for the prevention and control of
roofs, or walking surfaces these impacts include:

• Planning and segregating the location of vehicle traffic,

Struck By Objects
machine operation, and walking areas, and controlling
Construction and demolition activities may pose significant
vehicle traffic through the use of one-way traffic routes,
hazards related to the potential fall of materials or tools, as well as
establishment of speed limits, and on-site trained flag-people
ejection of solid particles from abrasive or other types of power
wearing high-visibility vests or outer clothing covering to
tools which can result in injury to the head, eyes, and extremities.
direct traffic
Techniques for the prevention and control of these hazards
• Ensuring the visibility of personnel through their use of high
include:
visibility vests when working in or walking through heavy
• Using a designated and restricted waste drop or discharge equipment operating areas, and training of workers to verify
zones, and/or a chute for safe movement of wastes from eye contact with equipment operators before approaching the
upper to lower levels operating vehicle
• Conducting sawing, cutting, grinding, sanding, chipping or • Ensuring moving equipment is outfitted with audible back-up
chiseling with proper guards and anchoring as applicable alarms
• Maintaining clear traffic ways to avoid driving of heavy • Using inspected and well-maintained lifting devices that are
equipment over loose scrap appropriate for the load, such as cranes, and securing loads
• Use of temporary fall protection measures in scaffolds and when lifting them to higher job-site elevations.
out edges of elevated work surfaces, such as hand rails and
toe boards to prevent materials from being dislodged Dust
• Evacuating work areas during blasting operations, and using • Dust suppression techniques should be implemented, such
blast mats or other means of deflection to minimize fly rock or as applying water or non-toxic chemicals to minimize dust
ejection of demolition debris if work is conducted in proximity from vehicle movements
to people or structures • PPE, such as dusk masks, should be used where dust levels
• Wearing appropriate PPE, such as safety glasses with side are excessive
shields, face shields, hard hats, and safety shoes
Confined Spaces and Excavations
Moving Machinery Examples of confined spaces that may be present in construction
Vehicle traffic and use of lifting equipment in the movement of or demolition sites include: silos, vats, hoppers, utility vaults,
machinery and materials on a construction site may pose tanks, sewers, pipes, and access shafts. Ditches and trenches
temporary hazards, such as physical contact, spills, dust, may also be considered a confined space when access or egress
emissions, and noise. Heavy equipment operators have limited is limited. In addition to the guidance provided in Section 2.8 the
fields of view close to their equipment and may not see occupational hazards associated with confined spaces and
pedestrians close to the vehicle. Center-articulated vehicles create excavations in construction and decommissioning sites should be
a significant impact or crush hazard zone on the outboard side of prevented according to the following recommendations:

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• Controlling site-specific factors which may contribute to respirators, clothing/protective suits, gloves and eye
excavation slope instability including, for example, the use of protection
excavation dewatering, side-walls support, and slope
gradient adjustments that eliminate or minimize the risk of
4.3 Community Health and Safety{ TC
collapse, entrapment, or drowning
"4.3 Community Health and Safety" \f
• Providing safe means of access and egress from
C \l "2" }
excavations, such as graded slopes, graded access route, or General Site Hazards
stairs and ladders
Projects should implement risk management strategies to protect
• Avoiding the operation of combustion equipment for
the community from physical, chemical, or other hazards
prolonged periods inside excavations areas where other
associated with sites under construction and decommissioning.
workers are required to enter unless the area is actively
Risks may arise from inadvertent or intentional trespassing,
ventilated
including potential contact with hazardous materials, contaminated
soils and other environmental media, buildings that are vacant or
Other Site Hazards
under construction, or excavations and structures which may pose
Construction and decommissioning sites may pose a risk of
falling and entrapment hazards. Risk management strategies may
exposure to dust, chemicals, hazardous or flammable materials,
include:
and wastes in a combination of liquid, solid, or gaseous forms,
which should be prevented through the implementation of project- • Restricting access to the site, through a combination of

specific plans and other applicable management practices, institutional and administrative controls, with a focus on high

including: risk structures or areas depending on site-specific situations,

including fencing, signage, and communication of risks to the
• Use of specially trained personnel to identify and remove
local community
waste materials from tanks, vessels, processing equipment
• Removing hazardous conditions on construction sites that
or contaminated land as a first step in decommissioning
cannot be controlled affectively with site access restrictions,
activities to allow for safe excavation, construction,
such as covering openings to small confined spaces,
dismantling or demolition
ensuring means of escape for larger openings such as
• Use of specially trained personnel to identify and selectively
trenches or excavations, or locked storage of hazardous
remove potentially hazardous materials in building elements
materials
prior to dismantling or demolition including, for example,
insulation or structural elements containing asbestos and Disease Prevention
Polychlorinated Biphenyls (PCBs), electrical components
Increased incidence of communicable and vector-borne diseases
containing mercury96
attributable to construction activities represents a potentially
• Use of waste-specific PPE based on the results of an serious health threat to project personnel and residents of local
occupational health and safety assessment, including communities. Recommendations for the prevention and control of
communicable and vector-borne diseases also applicable to
96 Additional information on the management and removal of asbestos containing
building materials can be found in ASTM Standard E2356 and E1368

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construction phase activities are provided in Section 3.6 (Disease

Prevention).

Traffic Safety
Construction activities may result in a significant increase in
movement of heavy vehicles for the transport of construction
materials and equipment increasing the risk of traffic-related
accidents and injuries to workers and local communities. The
incidence of road accidents involving project vehicles during
construction should be minimized through a combination of
education and awareness-raising, and the adoption of procedures
described in Section 3.4 (Traffic Safety).

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References and Additional Sources

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Environmental, Health, and Safety Guidelines

for Water and Sanitation

capacity of the environment, and other project factors, are taken

Introduction
into account. The applicability of specific technical
The Environmental, Health, and Safety (EHS) Guidelines are recommendations should be based on the professional opinion
technical reference documents with general and industry- of qualified and experienced persons. When host country
specific examples of Good International Industry Practice regulations differ from the levels and measures presented in the
(GIIP) 1. When one or more members of the World Bank Group EHS Guidelines, projects are expected to achieve whichever is
are involved in a project, these EHS Guidelines are applied as more stringent. If less stringent levels or measures than those
required by their respective policies and standards. These provided in these EHS Guidelines are appropriate, in view of
industry sector EHS guidelines are designed to be used specific project circumstances, a full and detailed justification for
together with the General EHS Guidelines document, which any proposed alternatives is needed as part of the site-specific
provides guidance to users on common EHS issues potentially environmental assessment. This justification should
applicable to all industry sectors. For complex projects, use of demonstrate that the choice for any alternate performance
multiple industry-sector guidelines may be necessary. A levels is protective of human health and the environment.
complete list of industry-sector guidelines can be found at:
www.ifc.org/ifcext/enviro.nsf/Content/EnvironmentalGuidelines Applicability
The EHS Guidelines contain the performance levels and The EHS Guidelines for Water and Sanitation include
measures that are generally considered to be achievable in new information relevant to the operation and maintenance of (i)
facilities by existing technology at reasonable costs. Application potable water treatment and distribution systems, and (ii)
of the EHS Guidelines to existing facilities may involve the collection of sewage in centralized systems (such as piped
establishment of site-specific targets, with an appropriate sewer collection networks) or decentralized systems (such as
timetable for achieving them. septic tanks subsequently serviced by pump trucks) and
treatment of collected sewage at centralized facilities. 2
The applicability of the EHS Guidelines should be tailored to the
hazards and risks established for each project on the basis of This document is organized according to the following sections:
the results of an environmental assessment in which site-
specific variables, such as host country context, assimilative Section 1.0 — Industry-Specific Impacts and Management
Section 2.0 — Performance Indicators and Monitoring
Section 3.0 — References and Additional Sources
1 Defined as the exercise of professional skill, diligence, prudence and foresight Annex A — General Description of Industry Activities
that would be reasonably expected from skilled and experienced professionals
engaged in the same type of undertaking under the same or similar
circumstances globally. The circumstances that skilled and experienced
professionals may find when evaluating the range of pollution prevention and
control techniques available to a project may include, but are not limited to, 2 Pit latrines and other decentralized systems that do not require servicing and
varying levels of environmental degradation and environmental assimilative subsequent treatment of contents at centralized treatment facilities are not
capacity as well as varying levels of financial and technical feasibility. included in the scope of this document.

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1.0 Industry-Specific Impacts • Design structures related to surface water withdrawal,

including dams and water intake structures, to minimize
and Management
impacts on aquatic life. For example:
1.1 Environment o Limit maximum through-screen design intake velocity
to limit entrainment of aquatic organisms
Environmental issues associated with water and sanitation
o Avoid construction of water intake structures in
projects may principally occur during the construction and
sensitive ecosystems. If there are threatened,
operational phases, depending on project- specific
endangered, or other protected species within the
characteristics and components. Recommendations for the
hydraulic zone of influence of the surface water intake,
management of EHS issues associated with construction
ensure reduction of impingement and entrainment of
activities as would typically apply to the construction of civil
fish and shellfish by the installation of technologies
works are provided in the General EHS Guidelines.
such as barrier nets (seasonal or year-round),
screens, and aquatic filter barrier systems
1.1.1 Drinking Water
o Design water containment and diversion structures to
Water Withdrawal allow unimpeded movement of fish and other aquatic
Traditional sources for potable water treatment include surface organisms and to prevent adverse impacts on water
water from lakes, streams, rivers, etc. and groundwater quality
resources. Where surface or groundwater of adequate quality is o Design dam outlet valves with sufficient capacities for
unavailable, other sources of water including seawater, brackish releasing the appropriate environmental flows
water, etc. may be used to produce potable water. Development • Avoid construction of water supply wells and water intake
of water resources often involves balancing competing structures in sensitive ecosystems;
qualitative and quantitative human needs with the rest of the • Evaluate potential adverse effects of groundwater
environment. This is a particularly challenging issue in the withdrawal, including modeling of groundwater level
absence of a clear allocation of water rights which should be changes and resulting impacts to surface water flows,
resolved with the participation of appropriate parties in advance potential land subsidence, contaminant mobilization and
of project design and implementation. saltwater intrusion. Modify extraction rates and locations as
necessary to prevent unacceptable adverse current and
Recommended measures to prevent, minimize, and control
future impacts, considering realistic future increases in
environmental impacts associated with water withdrawal and to
demand.
protect water quality include:

Water Treatment
• Evaluate potential adverse effects of surface water
Environmental issues associated with water treatment include:
withdrawal on the downstream ecosystems and use
appropriate environmental flow assessment3 to determine
• Solid waste
acceptable withdrawal rates;
• Wastewater
3World Bank Water Resources and Environment Technical Note C.1 – • Hazardous chemicals
Environmental Flow Assessment: Concepts and Materials.

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• Air emissions groundwater or surface water (e.g. from nutrient runoff).

• Ecological impacts Balance use of ferric and alum sludges to bind
phosphorous (e.g. from manure application at livestock
Solid Waste operations) without causing aluminum phytotoxicity (from
Solid waste residuals generated by water treatment include alum), iron levels in excess of adulteration levels for metals
process residuals, used filtration membranes, spent media and in fertilizers, or excessively low available phosphorous
miscellaneous wastes. Process residuals primarily consist of levels;
settled suspended solids from source water and chemicals • Potential impact on soil, groundwater, and surface water, in
added in the treatment process, such as lime and coagulants. the context of protection, conservation and long term
Pre-sedimentation, coagulation (e.g. with aluminum hydroxide sustainability of water and land resources, should be
[alum] or ferric hydroxide), lime softening, iron and manganese assessed when land is used as part of any waste or
removal, and slow sand and diatomaceous earth filtration all wastewater treatment system;
produce sludge. Composition of the sludge depends on the • Sludges may require special disposal if the source water
treatment process and the characteristics of the source water, contains elevated levels of toxic metals, such as arsenic,
and may include arsenic and other metals, radionuclides, lime, radionuclides, etc.;
polymers and other organic compounds, microorganisms, etc. • Regenerate activated carbon (e.g. by returning spent
Damaged or exhausted membranes are typically produced from carbon to the supplier).
water treatment systems used for desalination. Spent media
may include filter media (including sand, coal, or diatomaceous Wastewater
earth from filtration plants), ion exchange resins, granular Wastewater from water treatment projects include filter
activated carbon [GAC], etc. backwash, reject streams from membrane filtration processes,
and brine streams from ion exchange or demineralization
Recommended measures to manage solid wastes from water
processes. These waste streams may contain suspended solids
treatment include:
and organics from the raw water, high levels of dissolved solids,
high or low pH, heavy metals, etc.
• Minimize the quantity of solids generated by the water
treatment process through optimizing coagulation
Recommended measures to manage wastewater effluents
processes;
include:
• Dispose of lime sludges by land application if allowed,
limiting application rates to about 20 dry metric tons per • Land application of wastes with high dissolved solids
hectare (9 dry tons per acre) to minimize the potential for concentrations is generally preferred over discharge to
mobilization of metals into plant tissue and groundwater;4 surface water subject to an evaluation of potential impact
• Dispose of ferric and alum sludges by land application, if on soil, groundwater, and surface water resulting from such
allowed and if such application can be shown through application;
modeling and sampling to have no adverse impacts on • Recycle filter backwash into the process if possible;
• Treat and dispose of reject streams, including brine,
4Management of Water Treatment Plant Residuals, Technology Transfer
Handbook,” EPA/625/R-95/008, April 1996. consistent with national and local requirements. Disposal

DECEMBER 10, 2007 3

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WORLD BANK GROUP

options include return to original source (e.g. ocean, for no more than one month, and use equipment
brackish water source, etc.) or discharge to a municipal constructed of corrosion-resistant materials;
sewerage system, evaporation, and underground injection. • Store calcium hypochlorite away from any organic
materials and protect from moisture; fully empty or re-seal
Hazardous Chemicals shipping containers to exclude moisture. Calcium
Water treatment may involve the use of chemicals for hypochlorite can be stored for up to one year;
coagulation, disinfection and water conditioning. In general, • Isolate ammonia storage and feed areas from chlorine and
potential impacts and mitigation measures associated with hypochlorite storage and feed areas;
storage and use of hazardous chemicals are similar to those for • Minimize the amount of chlorination chemicals stored on
other industrial projects and are addressed in the General EHS site while maintaining a sufficient inventory to cover
Guideline. intermittent disruptions in supply;
• Develop and implement a prevention program that includes
Recommended measures to prevent, minimize, and control
identification of potential hazards, written operating
potential environmental impacts associated with the storage,
procedures, training, maintenance, and accident
handling and use of disinfection chemicals in water treatment
investigation procedures;
facilities include: 5,6,7
• Develop and implement a plan for responding to accidental
• For systems that use gas chlorination: releases.
o Install alarm and safety systems, including automatic
shutoff valves, that are automatically activated when a Air Emissions
chlorine release is detected Air emissions from water treatment operations may include

o Install containment and scrubber systems to capture ozone (in the case of ozone disinfection) and gaseous or volatile

and neutralize chlorine should a leak occur chemicals used for disinfection processes (e.g., chlorine and

o Use corrosion-resistant piping, valves, metering ammonia). Measures related to hazardous chemicals discussed

equipment, and any other equipment coming in above will mitigate risks of chlorine and ammonia releases. In

contact with gaseous or liquid chlorine, and keep this addition, specific recommended measures to manage air

equipment free from contaminants, including oil and emissions include installation of an ozone-destroying device at

grease the exhaust of the ozone-reactor (e.g., catalytic oxidation,

o Store chlorine away from all sources of organic thermal oxidation, or GAC).

chemicals, and protect from sunlight, moisture, and

high temperatures Water Distribution
• Store sodium hypochlorite in cool, dry, and dark conditions The most fundamental environmental health issues associated
with distribution networks is the maintenance of adequate
pressure to protect water quality in the system as well as sizing
5 WorkSafeBC, Chlorine Safe Work Practices
http://www.worksafebc.com/publications/health_and_safety/by_topic/assets/pdf/ and adequate maintenance to assure reliable delivery of water
chlorine.pdf.
6 National Drinking Water Clearinghouse Tech Brief: Disinfection, of suitable quality . The most significant environmental issues
http://www.nesc.wvu.edu/ndwc/pdf/OT/TB/TB1_Disinfection.pdf.
7Chlorine Institute, http://www.chlorineinstitute.org/Bookstore/SearchBrowse.cfm
associated with operation of water distribution systems include:

DECEMBER 10, 2007 4

 Environmental, Health, and Safety Guidelines
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• Water system leaks and loss of pressure flushed water, which may be high in suspended solids, residual
• Water discharges chlorine, and other contaminants that can harm surface water
bodies. Recommended measures to prevent, minimize, and
Water System Leaks and Loss of Pressure control impacts from flushing of mains include:
Water system leaks can reduce the pressure of the water
system compromising its integrity and ability to protect water • Discharge the flush water into a municipal sewerage

quality (by allowing contaminated water to leak into the system) system with adequate capacity;

and increasing the demands on the source water supply, the • Discharge the flush water into a separate storm sewer

quantity of chemicals, and the amount of power used for system with storm water management measures such as a

pumping and treatment. Leaks in the distribution system can detention pond, where solids can settle and residual

result from improper installation or maintenance, inadequate chlorine consumed before the water is discharged;

corrosion protection, settlement, stress from traffic and • Minimize erosion during flushing, for example by avoiding

vibrations, frost loads, overloading, and other factors. discharge areas that are susceptible to erosion and

Recommended measures to prevent and minimize water losses spreading the flow to reduce flow velocities.

from the water distribution system include:

1.1.2 Sanitation
• Ensure construction meets applicable standards and
A sanitation system comprises the facilities and services used
industry practices; 8
by households and communities for the safe management of
• Conduct regular inspection and maintenance;
their excreta. 9 A sanitation system collects excreta and creates
• Implement a leak detection and repair program (including
and effective barrier to human contact; transports it to a suitable
records of past leaks and unaccounted- for water to identify
location; stores and/or treats it; and reuses it or returns it to the
potential problem areas);
environment. In addition to excreta, sanitation systems may
• Consider replacing mains with a history of leaks of with a
also carry household wastewater and storm water. 10 Transport,
greater potential for leaks because of their location,
storage, and disposal facilities may also manage wastes from
pressure stresses, and other risk factors.
industries, commercial establishments, and institutions.

Water Discharges
Fecal Sludge and Septage Collection
Water lines may be periodically flushed to remove accumulated
In communities not served by sewerage systems, sanitation
sediments or other impurities that have accumulated in the pipe.
may be based on on-site systems, such as pit latrines, bucket
Flushing is performed by isolating sections of the distribution
latrines or flush toilets connected to septic tanks. While pit and
system and opening flushing valves or, more commonly, fire
bucket latrines must be emptied frequently (typically daily to
hydrants to cause a large volume of flow to pass through the
weekly), solids that accumulate in septic systems (septage)
isolated pipeline and suspend the settled sediment. The major
must also be removed periodically, usually every 2 to 5 years
environmental aspect of water pipe flushing is the discharge of
depending on design and usage to maintain proper function and

8 9 Feces and urine.

See, for example, the Canadian National Guide to Sustainable Municipal
Infrastructure (InfraGuide); and American Water Works Association standards. 10 The excess water from rainfall that does not naturally percolate into the soil.

DECEMBER 10, 2007 5

 Environmental, Health, and Safety Guidelines
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prevent plugging, overflows, and the resulting release of septic include industry and institutions, as well as households.
tank contents. If suitable facilities for storage, handling and
Greywater (water from laundry, kitchen, bath, and other
treatment of fecal sludge are not available, it may be
domestic activities that norma lly does not contain excreta) is
indiscriminately dumped into the environment or used in
sometimes collected and managed separately from sewage.
unhygienic manner in agriculture.
Though greywater is generally less polluted than domestic or
Recommended measures to prevent, minimize, and control industrial wastewater, it may still contain high levels of
releases of septage and other fecal sludge include: pathogenic microorganisms, suspended solids and substances
such as oil, fat, soaps, detergents, and other household
• Promote and facilitate correct septic tank design and chemicals and can have negative impacts on human health as
improvement of septic tank maintenance. Septic tank well as soil and groundwater quality .
design should balance effluent quality and maintenance
needs; 11 The most significant potential environmental impacts associated
• Consider provision of systematic, regular collection of fecal with wastewater collection arise from:
sludge and septic waste;
• Domestic wastewater discharges
• Use appropriate collection vehicles. A combination of
• Industrial wastewater discharges
vacuum tanker trucks and smaller hand-pushed vacuum
• Leaks and overflows
tugs may be needed to service all households;
• Facilitate discharge of fecal sludge and septage at storage
and treatment facilities so that untreated septage is not Domestic Wastewater Discharges
discharged to the environment. Uncontrolled discharge of domestic wastewater, including
sewage and greywater, into aquatic systems can lead to, among
Sewerage other things, microbial and chemical contamination of the
Where population density or local conditions preclude effective receiving water, oxygen depletion, increased turbidity, and
on-site sanitation systems (e.g., septic tanks and drain fields), eutrophication. Wastewater discharge onto streets or open
sewage is typically conveyed via a system of pipes, pumps, and ground can contribute to spread of disease, odors,
other associated infrastructure (sewerage) to a centralized contamination of wells, deterioration of streets, etc. Measures
storage and/or treatment system. Solids and liquids may be to protect the environment as well as public health include:
transported to a centralized location, or sewage solids may be
collected in and periodically removed from on-site interceptor • Provide systems for effective collection and management

tanks (see Septage and Fecal Sludge Collection, above) while of sewage and greywater (separately or combined);

the liquids are transported to a centralized location for storage, • If greywater is managed separate from sewage, implement

treatment, or disposal. Users of the sewerage system may greywater source control measures to avoid use and
discharge of problematic substances, such as oil and
11Examples of key septic system design considerations are presented in the grease, large particles or chemicals.
General EHS Guidelines. More complicated septic tank designs (e.g., three
chambers, added sand filters, etc.) can improve effluent quality, but are usually
more susceptible to clogging and other failures, especially if regular
maintenance is not performed.

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Industrial Wastewater Discharges of the influent to the wastewater treatment facilities;

Industrial users of a sewerage system can discharge industrial • Investigate upstream sources of pollutants causing
wastewaters to the sewer system. Some industrial wastes can treatment plant upsets or interference;
cause fire and explosion hazards in the sewerage system and • Facilitate public reporting of illicit discharges and
treatment facility , disrupt biological and other processes at the connections.
treatment facility or affect worker health and safety ; some waste
components may not be effectively treated, and may be stripped Leaks and Overflows
to the atmosphere, discharged with treated effluent or partition Leaks and overflows from the sewerage system can cause

into treatment plant residuals rendering it potentially hazardous. contamination of soil, groundwater, and surface water.
Depending on the elevation of groundwater, leaks in gravity
Recommended measures to prevent, minimize, and control mains may also allow groundwater into the sewer system,
industrial discharges to the sewerage system include: increasing the volume of wastewater requiring treatment and
potentially causing flooding and treatment bypass. Overflows
• Treatment or pre-treatment to neutralize or remove toxic
occur when the collection system can not manage the volume of
chemicals should ideally take place at the industrial facility
wastewater, for example due to high flows during rain events or
itself, prior to discharge of the effluent to the sewer or water
as the result of power loss, equipment malfunctions, or
body. Consider collaboration with public authorities in the
blockages. The excess flows may contain raw sewage,
implementation of a source control program for industrial
industrial wastewater, and polluted runoff.
and commercial users to ensure that any wastewater
discharged to the sewer system can be effectively Recommended measures to prevent, minimize, and control
treated. 12 Examples of problematic discharges include: leaks and overflows include:
flammable, reactive, explosive, corrosive, or radioactive
substances; noxious or malodorous materials; medical or • Consider the installation of separate sewer systems for

infectious wastes; solid or viscous materials that could domestic wastewater and storm water runoff in the overall

cause obstruction to the flow or operation of the treatment planning and design of new sewerage systems;

plants; toxic substances; non-biodegradable oils; and • When on-site sanitation systems where excreta are mixed

pollutants that could result in the emission of hazardous with water predominate, consider use of small-diameter

gases; sewerage system to collect water effluent from septic

• Collaborate with public authorities in the regular inspection systems or interceptor tanks;

of industrial user facilities and collect samples of • Limit the sewer depth where possible (e.g., by avoiding

wastewater discharges to the sewerage system to ensure routes under streets with heavy traffic). For shallower

compliance with the source control program; sewers, small inspection chambers can be used in lieu of

• Conduct surveillance monitoring at sewer maintenance and manholes;

• Use appropriate locally available materials for sewer
12See, for example Water Environment Federation, Developing Source Control construction. Spun concrete pipes can be appropriate in
Programs for Commercial and Industrial Wastewater, 1996; Federation of
Canadian Municipalities, Wastewater Source Control: A Best Practice by the some circumstances but can suffer corrosion from
National Guide to Sustainable Municipal Infrastructure, March 2003; and U.S.
EPA Model Pretreatment Ordinance EPA 833-B-06-002. hydrogen sulfide if there are blockages and/or insufficient

DECEMBER 10, 2007 7

 Environmental, Health, and Safety Guidelines
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slope; • Review previous sewer maintenance records to help

• Ensure sufficient hydraulic capacity to accommodate peak identify “hot spots” or areas with frequent maintenance
flows and adequate slope in gravity mains to prevent problems and locations of potential system failure, and
buildup of solids and hydrogen sulfide generation; conduct preventative maintenance, rehabilitation, or
• Design manhole covers to withstand anticipated loads and replacement of lines as needed;
ensure that the covers can be readily replace if broken to • When a spill, leak, and/or overflow occurs, keep sewage
minimize entry of garbage and silt into the system; from entering the storm drain system by covering or
• Equip pumping stations with a backup power supply, such blocking storm drain inlets or by containing and diverting
as a diesel generator, to ensure uninterrupted operation the sewage away from open channels and other storm
during power outages, and conduct regular maintenance to drain facilities (using sandbags, inflatable dams, etc.).
minimize service interruptions. Consider redundant pump Remove the sewage using vacuum equipment or use other
capacity in critical areas; measures to divert it back to the sanitary sewer system.
• Establish routine maintenance program, including:
o Development of an inventory of system components, Wastewater and Sludge Treatment and Discharge
with information including age, construction materials, Sewage will normally require treatment before it can be safely
drainage areas served, elevations, etc discharged to the environment. The degree and nature of
o Regular cleaning of grit chambers and sewer lines to wastewater and sludge treatment depends on applicable
remove grease, grit, and other debris that may lead to standards and the planned disposal or use of the liquid effluent
sewer backups. Cleaning should be conducted more and sludge and the application method. The various treatment
frequently for problem areas. Cleaning activities may processes may reduce suspended solids (which can clog rivers,
require removal of tree roots and other identified channels, and drip irrigation pipes); biodegradable organics
obstructions (which are consumed by microorganisms and can result in
o Inspection of the condition of sanitary sewer structures reduced oxygen levels in the receiving water); pathogenic
and identifying areas that need repair or maintenance. bacteria and other disease-causing organisms; and nutrients
Items to note may include cracked/deteriorating pipes; (which stimulate the growth of undesirable algae that, as they
leaking joints or seals at manhole; frequent line die, can result in increased loads of biodegradable organics).
blockages; lines that generally flow at or near
capacity; and suspected infiltration or exfiltration Wastewater discharge and use options include discharge to

o Monitoring of sewer flow to identify potential inflows natural or artificial watercourses or water bodies; discharge to

and outflows treatment ponds or wetlands (including aquiculture); and direct

use in agriculture (e.g., crop irrigation). In all cases, the
• Conduct repairs prioritized based on the nature and
receiving water body use (e.g. navigation, recreation, irrigation,
severity of the problem. Immediate clearing of blockage or
or drinking) needs to be considered together with its assimilative
repair is warranted where an overflow is currently occurring
capacity to establish a site-specific discharge quality that is
or for urgent problems that may cause an imminent
consistent with the most sensitive use.
overflow (e.g. pump station failures, sewer line ruptures, or
sewer line blockages);

DECEMBER 10, 2007 8

 Environmental, Health, and Safety Guidelines
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The most significant environmental impacts related to internationally accepted standards 14 and consistent with
wastewater and sludge treatment, discharge, and use include: effluent water quality goals based on the assimilative
capacity and the most sensitive end use of the receiving
• Liquid effluents water; 15,16
• Solid waste • Consider discharge of treated wastewater to natural or
• Air emissions and odors constructed wetlands, which can buffer the impact f from
• Hazardous chemicals discharge on the aquatic environment, unless the wetland
• Ecological impacts itself would be degraded by the discharge;
• Treat greywater, if collected separately from sewage, to
Liquid Effluents remove organic pollutants and reduce the levels of
Treated wastewater (liquid effluents) may be reused for
suspended solids, pathogenic organisms and other
irrigation or other purposes or disposed subject to regulatory
problematic substances to acceptable levels based on
oversight. If not re-used, treated wastewater can be discharged
applicable national and local regulations. 17 Greywater lines
to the sea; rivers; large surface water bodies; smaller, closed
and point of use stations should be clearly marked to
surface water bodies; and wetlands and lagoons.
prevent accidental use for potable water quality
applications;
Recommended measures to prevent, minimize, and control
• Based on an assessment of risks to human health and the
liquid effluents include:
environment, consider re-use of treated effluent, especially
• Minimize bypass of the treatment system by using separate in areas with limited raw water supplies. Treated
storm water and wastewater systems, if possible, and wastewater quality for land application or other uses should
providing capacity sufficient to treat peak flows; be consistent with the relevant public health-based
• Implement an industrial source control program which guidance from the World Health Organization (WHO) 18 and
includes monitoring and effective regulatory enforcement; applicable national requirements.

• Collaborate with public officials to select appropriate

treatment technologies, considering factors such as the
Solid Waste
quality and quantity of raw wastewater and its variability;
Solids removed from wastewater collection and treatment
available land area for the treatment facility; and resources
systems may include sludge and solids from cleaning of
for capital expenditures, operation, maintenance, and
repair; availability of skilled operators, operator training, 14 See, for example, U.S. EPA regulations at 40 CFR Part 133 regarding
maintenance personnel, treatment chemicals, and Secondary Treatment, and Council Directive 91/271/EEC of 21 May 1991
Concerning Urban Waste-Water Treatment.
replacement parts; 13 15 See World Health Organization, Linking Technology Choicewith Operation
and Maintenance in the Context of Community Water Supply and Sanitation: A
• Design, construct, operate, and maintain wastewater Reference Document for Planners and Project Staff, 1993.
16 Refer to the section on “Discharge to Surface Water” of the General EHS
treatment facilities and achieve effluent water quality
Guidelines.
consistent with applicable national requirements or 17 Few countries have developed greywater-specific regulations, such as some
North American States (Arizona, New Mexico, California, New Jersey), Australia
(Queensland, New South Wales) or China (Beijing, Tianjin).
18 WHO Guidelines for the Safe Use of Wastewater, Excreta and Greywater
13 See Annex A for a summary of wastewater treatment technologies. (2006).

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 Environmental, Health, and Safety Guidelines
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drainage and sewer collection systems (including seepage bioaerosols (discussed in Section 1.2 below). Odors from
systems), screening solids, and sludge from various unit treatment facilities can also be a nuisance to workers and the
operations used for wastewater treatment. surrounding community.

Recommended strategies for the management of solid wastes Measures related to management of air emissions from drinking
include: water treatment systems, discussed above, are also generally
applicable to wastewater treatment facilities. In addition, the
• Select appropriate sludge treatment technologies, following measures are recommended to prevent, minimize, and
considering, for example, the quantity and sources of control air emissions and odors:
sludge; available resources for capital expenditures,
training, operations and maintenance; availability of skilled • Cover emission points (e.g., aeration basins, clarifiers,
operators, maintenance personnel, etc.; and the desired sludge thickeners, tanks, and channels), and vent
disposal methods or end uses of the treated solids. Sludge emissions to control systems (e.g., compost beds, bio-
treatment technologies are discussed in Annex A; filters, chemical scrubbers, etc.) as needed to reduce odors
• Land application or other beneficial re-use of wastewater and otherwise meet applicable national requirements and
treatment plant residuals should be considered but only internationally accepted guidelines;
based on an assessment of risks to human health and the • Where necessary, consider alternate aeration technologies
environment. Quality of residuals for land application or process configurations to reduce volatilization.
should be consistent with the relevant public health-based
guidance from the World Health Organization (WHO) 19 and
Hazardous Chemicals
applicable national requirements;
Wastewater treatment often includes the use of hazardous
• Processing, disposal and re-use of wastewater treatment
chemicals, such as strong acids and bases for pH control,
plant residuals should be consistent with applicable
chlorine or other compounds used for disinfection, etc.
national requirements or, in their absence, internationally
Environmental impacts and mitigation measures discussed
accepted guidance and standards. 20
above for disinfection in drinking water treatment are also
generally applicable to disinfection in wastewater treatment
Air Emissions and Odors
facilities. Additional guidance on chemicals management is
Air emissions from wastewater treatment operations may
provided in the General EHS Guidelines.
include hydrogen sulfide, methane, ozone (in the case of ozone
disinfection), volatile organic compounds (such as from
1.2 Occupational Health and Safety
industrial discharges), gaseous or volatile chemicals used for
disinfection processes (e.g., chlorine and ammonia), and Occupational health and safety impacts during the construction
and decommissioning of Water and Sanitation facilities are
common to other large industrial projects and are addressed in
19 WHO Guidelines for the Safe Use of Wastewater, Ex creta and Greywater
(2006). the General EHS Guidelines. Occupational health and safety
20 See, for example, U.S. EPA regulations at 40 CFR Part 503—Standards for
the Use or Disposal of Sewage Sludge; Council Directive 91/271/EEC of 21 May impacts associated with the operational phase of water and
1991 Concerning Urban Waste-Water Treatment; and U.S. EPA, Emerging
Technologies for Biosolids Management, 832-R-06-005, September 2006. sanitation projects primarily include the following:

DECEMBER 10, 2007 10

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• Accidents and injuries hazards;

• Chemical exposure • Use proper techniques for trenching and shoring;
• Hazardous Atmosphere • Implement fire and explosion prevention measures in
• Exposure to pathogens and vectors accordance with internationally accepted standards; 22
• Noise • When installing or repairing mains adjacent to roadways,
implement procedures and traffic controls, such as:

Accidents and Injuries o Establishment of work zones so as to separate

Work at water and sanitation facilities is often physically workers from traffic and from equipment as much as

demanding and may involve hazards such as open water, possible

trenches, slippery walkways, working at heights, energized o Reduction of allowed vehicle speeds in work zones;

circuits, and heavy equipment. Work at water and sanitation o Use of high-visibility safety apparel for workers in the

facilities may also involve entry into confined spaces, including vicinity of traffic

manholes, sewers, pipelines, storage tanks, wet wells, o For night work, provision of proper illumination for the

digesters, and pump stations. Methane generated from work space, while controlling glare so as not to blind

anaerobic biodegradation of sewage can lead to fires and workers and passing motorists

explosions. • Locate all underground utilities before digging.

Mitigation measures for accidents and injuries are addressed in Chemical Exposure and Hazardous Atmospheres
the General EHS Guidelines. In addition, the following Water and wastewater treatment involve use of potentially
procedures are recommended to prevent, minimize, and control hazardous chemicals, including strong acids and bases,
accidents and injuries at water and sanitation facilities: chlorine, sodium and calcium hypochlorite, and ammonia.
Water may contain radioactive substances and heavy metals,
• Install railing around all process tanks and pits. Require
which typically accumulate in the water treatment sludge.
use of a life line and personal flotation device (PFD) when
Potential sources of exposure to radionuclides include: pumps
workers are inside the railing, and ensure rescue buoys
and piping where mineral scales accumulate; lagoons, and
and throw bags are readily available;
flocculation and sedimentation tanks where residual sludges
• Use PFDs when working near waterways;
accumulate; filters, pumping stations, and storage tanks where
• Implement a confined spaces entry program that is
scales and sludges accumulate; facilities where filter backwash,
consistent with applicable national requirements and
brines, or other contaminated water accumulates; facilities that
internationally accepted standards. 21 Valves to process
are enclosed (radon); residuals processing or handling areas;
tanks should be locked to prevent accidental flooding
and land disposal or application areas where residuals are
during maintenance;
shoveled, transported, or disposed.
• Use fall protection equipment when working at heights;
• Maintain work areas to minimize slipping and tripping Wastewater may contain potentially hazardous chemicals

21 See, for example, U.S. Occupational Safety and Health Administration 22 See, for example, National Fire Protection Association (NFPA) 820: Standard
regulations at 29 CFR 1910 Subpart J. for Fire Protection in Wastewater Treatment and Collection Facilities.

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depending on the source water quality, drinking water treatment be effectively treated in the wastewater treatment facility
processes, and industries discharging to the sewer, including and reduce the amount of air-strippable hazardous
include chlorinated organic solvents and pesticides, PCBs, compounds entering the system by controlling industrial
polycyclic aromatics, petroleum hydrocarbons, flame retardants, discharges (e.g., by permit or similar system). Analyze
nitrosamines, heavy metals, asbestos, dioxins, and radioactive incoming raw wastewater to identify hazardous
materials. In addition, workers may be exposed to hydrogen constituents;
sulfide, methane, carbon monoxide, chloroform, and other • Ventilate enclosed processing areas and ventilate
chemicals generated during wastewater treatment. Oxygen may equipment, such as pump stations, prior to maintenance.
be displaced or consumed by microorganisms, thus resulting in • Use personal gas detection equipment while working in a
an oxygen deficient environment in areas where wastewater or wastewater facility;
wastewater residues are processed. • Continuously monitor air quality in work areas for
hazardous conditions (e.g. explosive atmosphere, oxygen
Prudent handling and storage of hazardous chemicals, as
deficiency);
described in General EHS Guidelines and in Section 1.1,
• Periodically sample air quality in work areas for hazardous
above, will help to minimize potential risks to workers. In
chemicals. If needed to meet applicable occupational
addition, the following procedures are recommended to prevent,
health national requirements or internationally accepted
minimize, and control chemical exposure at water and sanitation
standards, install engineering controls to limit worker
facilities include:
exposure, for example collection and treatment of off-gases

• Implement a tr aining program for operators who work with from air stripping;

chlorine and ammonia regarding safe handling practices • Prohibit eating, smoking, and drinking except in designated

and emergency response procedures; areas;

• Provide appropriate personal protective equipment • Rotate personnel among the various treatment plant

(including, for example, self- contained breathing operations to reduce inhalation of air-stripped chemicals,

apparatus) and training on its proper use and maintenance. aerosols, and other potentially hazardous materials.

• Prepare escape plans from areas where there might be a

chlorine or ammonia emission; Pathogens and Vectors
• Install safety showers and eye wash stations near the Workers and staff at wastewater and sludge treatment facilities

chlorine and ammonia equipment and other areas where and fields where treated wastewater or sludge is applied, as well

hazardous chemicals are stored or used; as operators of sludge collection vehicles, can be exposed to

• If source water contains radioactive substances, locate the many pathogens contained in sewage. Processing of

water treatment units and water treatment sludge areas as sewage can generate bioaerosols which are suspensions of

far as possible from common areas (e.g., offices); particles in the air consisting partially or wholly of
microorganisms, such as bacteria, viruses, molds, and fungi.
• Conduct radiation surveys at least annually, especially in
These microorganisms can remain suspended in the air for long
areas where radionuclides are removed;
periods of time, retaining viability or infectivity. Workers may
• Limit wastes entering the sewer system to those that can
also be exposed to endotoxins, which are produced within a

DECEMBER 10, 2007 12

 Environmental, Health, and Safety Guidelines
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microorganism and released upon destruction of the cell and particles

which can be carried by airborne dust particles. Vectors for o Using diffused aeration rather than mechanical
sewage pathogens include insects (e.g. flies), rodents (e.g. rats) aeration and using finer bubbles for aeration
and birds (e.g. gulls). 23 o Reducing aeration rate, if possible
o Use of floating covers on the mixed liquor of the
Recommended measures to prevent, minimize, and control
aeration basin
exposure to pathogens and vectors include:
o Suppression of droplets just above the surface, (e.g.
by installing a screen or mesh above the basin);
Wastewater and Sludge Treatment
o Collection of droplets (e.g. by sedimentation,
• Include in safety training program for workers, safe
scrubber, electrostatic precipitator, or fabric filter)
handling and personal hygiene practices to minimize
o Disinfection of airborne particles (e.g., by using
exposure to pathogens and vectors;
ultraviolet lights)
• Use vacuum trucks or tugs for removal of fecal sludge
o Use of submerged effluent collector (such as pipes
instead of manual methods;
with orifices) rather than weirs
• Provide and require use of suitable personal protective
• Avoid handling screenings by hand to prevent needle stick
clothing and equipment to prevent contact with wastewater
injuries;
(e.g., rubber gloves, aprons, boots, etc.). Especially
• Maintain good housekeeping in sewage processing and
provide prompt medical attention and cover any skin
storage areas;
trauma such as cuts and abrasions to prevent infection and
• Advise individuals with asthma, diabetes, or suppressed
use protective clothing and goggles to prevent contact with
immune systems not to work at wastewater treatment
spray and splashes;
facilities, especially composting facilities, facility because of
• Provide areas for workers to shower and change clothes
their greater risk of infection.
before leaving work and provide laundry service for work
clothes. This practice also helps to minimize chemical and
Land Application
radionuclide exposure;
• Consider use of drip irrigation of treated wastewater, which
• Encourage workers at wastewater facilities to wash hands
minimizes worker exposure and the amount of water
frequently;
needed. Avoid use of spray irrigation of treated
• Provide worker immunization (e.g. for Hepatitis B and
wastewater, if possible;
tetanus) and health monitoring, including regular physical
• Provide field workers with personal protective equipment,
examinations;
such as rubber gloves and waterproof shoes;
• Reduce aerosol formation and distribution, for example by:
• Provide access to safe drinking water and sanitation
o Planting trees around the aeration basin to shield the
(including hand washing) facilities;
area from wind and to capture the droplets and
• Provide worker health monitoring, including regular
physical examinations;
23U.S. Environmental Protection Agency, Environmental Regulations and Policy
Control of Pathogens and Vector Attraction in Sewage Sludge (Including • Control vectors and intermediate hosts.
Domestic Septage) Under 40 CRF Part 503, EPA/625/R-92/013, Revised July
2003. http://www.epa.gov/ord/NRMRL/Pubs/1992/625R92013.pdf.

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with the area, and collaborate with public authorities in the

Noise
implementation of management approaches to protect the
High noise levels can be present in the vicinity of operating
source water quality, such as:
machinery and flowing water at water and sanitation facilities.
o Zoning ordinance provisions
Impacts and mitigation measures are similar to those at other
o Facility inspection or hazardous material survey
industrial facilities, and are addressed in the General EHS
program
Guidelines.
o Information to businesses concerning applicable
requirements
1.3 Community Health and Safety
o Environmental permits checklist for new businesses;
Community health and safety impacts during the construction of
o Strategic monitoring within area
water and sanitation projects include some which are common
o Development and implementation of educational
to those of other industry sectors and are therefore discussed in campaigns to promote best management practices
the General EHS Guideline. Community health and safety that reduce the risk of water contamination
impacts associated with operation of water and sanitation o Incorporation of surface water protection into regional
projects are discussed separately below. land use planning
• Evaluate the vulnerability of the water source to disruption
1.3.1 Drinking Water
or natural events, and implement appropriate security
measures as necessary, such as: 25
Water Intake (Water Supply Protection)
o Continuously monitor raw water for surrogate
Both surface water and groundwater supplies can become
parameters (such as pH, conductivity, total organic
contaminated with potentially toxic substances of natural and
carbon [TOC], and toxicity)
anthropogenic origins, including pathogens, toxic metals (e.g.
o Inspect sites at random times
arsenic), anions (e.g. nitrate), and organic compounds. Such
o For reservoirs and lakes, implement a neighborhood
contamination might result from natural sources, actions or
watch program with local park staff and other
releases that are routine (e.g. discharges within permit limits),
community users of the reservoir/lake
accidental (e.g. from a spill), or intentional (e.g. sabotage).
o Equip wellheads with intrusion alarms
Recommended measures to protect the quality of the water
supply include: 24 Water Treatment
The most significant potential community health and safety
• Determine the area that contributes water to the source
impacts associated with water treatment include:
(e.g. watershed of a stream or recharge area for
groundwater), identify potential sources of contamination • Drinking water quality and supply
• Hazardous chemicals
24 Additional information on water resource quality protection is available from
numerous publications on the implementation of the European Union Council
Directive 91/676/EEC concerning the protection of waters against pollution
caused by nitrates from agricultural sources (commonly referred to as the
Nitrates Directive) and Directive 91/271/EEC (Urban Waste Water Treatment) 25See, for example, American Water Works Association Interim Voluntary
available at http://ec.europa.eu/environment/water/water-nitrates/report.html. Security Guidance for Water Utilities, December 9, 2004.

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Drinking Water Quality and Supply Water Distribution

An adequate supply of clean drinking water is critical to The water distribution system is a critical component in delivery
community health and hygiene. Recommended measures of safe potable water. Even if water is effectively treated to
related to water treatment include: remove contaminants and destroy pathogens, waterborne
diseases outbreaks can occur because of deficiencies in the
• Ensure that treatment capacity is adequate to meet
water distribution system. Recommended measures to prevent
anticipated demand;
or minimize potential community health risks associated with the
• Construct, operate and maintain the water treatment facility
water distribution syste m include:
in accordance with national requirements and
internationally accepted standards 26 to meet national water • Construct, operate, and manage the water distribution
quality standards or, in their absence, WHO Guidelines for system in accordance with applicable national
Drinking Water Quality ;27 requirements and internationally accepted standards; 29
• Evaluate the vulnerability of the treatment system and • Construct and maintain the distribution system so that it
implement appropriate security measures, such as: 28 acts as a barrier and prevents external contamination from
o Background checks of employees entering the water system by, for example:
o Perimeter fencing and video surveillance o Inspecting storage facilities regularly, and rehabilitate
o Improve the electrical power feeds to the facilities. or replace storage facilities when needed. This may
Redundant electrical power systems significantly include draining and removing sediments, applying
reduce the vulnerability risk to essential operations rust proofing, and repairing structures
o Ensuring that all installation, repair, replacement, and
Hazardous Chemicals
rehabilitation work conforms to requirements for
Hazardous chemical associated with drinking water treatment
sanitary protection and materials quality
and mitigation measures associated with minimizing potential
o Testing material, soil, and water quality and
impacts to the environment and to workers are discussed in
implementing best practices to prevent corrosion,
Sections 1 and 2, respectively. If a worst- case release scenario
such as cathodic protection
could affect the general public, prepare and implement a release
o Preventing cross- connections with sewerage systems.
prevention program for major hazards as described in the
o Separating water lines and sewer pressure mains
General EHS Guidelines. The prevention program should
(e.g., at least 10 ft apart or in separate trenches, with
include identification of hazards, written operating procedures,
the sewer line at least 18 inches below the water line)
training, maintenance, accident investigation, and an emergency
• Maintain adequate water pressure and flow throughout the
response plan.
system, for example by:
o Implementing a leak detection and repair program

26
(see section 1.1)
See, for example, American Water Works Association Standard G100-05:
Water Treatment Plant Operation and Management. o Reducing residence time in pipes
27 Refer to the WHO website at http://www.who.int for the most recent version of
the Drinking Water Guidelines.
28 See, for example, American Water Works Association Interim Voluntary 29 See, for example, American Water Works Association Standard G200-04:
Security Guidance for Water Utilities, December 9, 2004. Distribution Systems Operation and Management.

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o Maintaining positive residual pressure of at least 20

Wastewater and Septage Collection
pounds per square inch (psi) 30
Collection of sewage and transportation away from residential
o Monitoring hydraulic parameters, such as inflows,
areas, while not alone sufficient to protect public health, is
outflows, and water levels in all storage tanks,
nevertheless generally the most important aspect of sanitation.
discharge flows and pressures for pumps, flows
Therefore, provision of collection services, or ensuring that
and/or pressure for regulating valves, and pressure at
collection services are available, is of primary concern.
critical points, and using system modeling to assess
Effective design and operation of a sewerage system, as
the hydraulic integrity of the system
addressed in Section 1.1, can minimize the potential for
• Prevent introduction of contamination from the distribution
community exposure and health impacts from raw wastewater
system itself, for example by:
and sludge collection, for example by:
o Minimizing microbial growth and biofilm development
(e.g. by ensuring adequate residual disinfection • Preventing sewerage system overflows;
levels). Collect samples from several locations • Preventing buildup of potentially toxic and explosive
throughout the distribution system, including the gasses in the sewer.
farthest point, and test for both free and combined
chlorine residual to ensure that adequate chlorine Wastewater and Sludge Treatment
residual is maintained Potential community health and safety impacts associated with
o Choosing residual disinfectant (e.g. chlorine or wastewater and sludge treatment facilities include:
chloramines) to balance control of pathogens and
formation of potentially hazardous disinfection • Liquid effluents
byproducts 31 • Air emissions and odors
o Using construction materials that do not contribute to • Physical hazards
release undesirable metals and other substance or
interact with residual disinfectants Liquid Effluents
Treated wastewater effluents are typically discharged to surface
1.3.2 Sanitation water or re-used for irrigation or other purposes. In many cases,
direct or indirect human contact with treated wastewater is likely.
Measures to minimize potential community health risks can be
Therefore, adequate wastewater treatment to remove
implemented both in the collection and treatment of wastewater
contaminants and, especially, microorganisms and pathogens,
and sludge.
as described in Section 1.1, is important not only to prevent
adverse environmental impacts, but to protect public health as
30 National Research Council of the National Academies, Drinking Water
Distribution Systems: Assessing and Reducing Risks, The National Academies well.
Press, 2006, p. 9.
31 Chemical disinfectants can react with organic and inorganic precursors to
form potentially harmful byproducts. Disinfection byproducts (DBP) can be Air Emissions and Odors
controlled through DBP precursor control and removal, or through modified
disinfection practice. However, the risks to health from these byproducts at the Odors from wastewater treatment facilities can be a nuisance to
levels at which they occur in drinking-water are extremely small in comparison
with the risk associated with inadequate disinfection. the neighboring community. Bioaerosols can also carry

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disease-causing microorganisms. Furthermore, releases of wastewater include excreta-related pathogens and toxic
hazardous gases, such as chlorine, could adversely affect chemicals that may be present in the wastewater. The following
nearby residents. methods are recommended to protect consumers: 32

Air emission and odor controls are addressed in Sections 1.1 • Treat wastewater and sludge used for land application in a
and 1.2, as well as in the General EHS Guidelines. In addition, manner consistent with WHO Guidelines for the Safe Use
the following measures are recommended to prevent, minimize, of Wastewater, Excreta and Greywater 33 and applicable
and control community exposure to dust and odors from waste national requirements;
management facilities: • Stop irrigation with treated wastewater two weeks prior to
harvesting;
• Provide adequate buffer area, such as trees, or fences,
• Limit irrigation with treated wastewater to crops that are
between processing areas and potential receptors;
cooked before eating;
• Avoid siting facilities near densely populated
• Restrict public access to hydraulic structures carrying
neighborhoods and installations with potentially sensitive
wastewater and to fields irrigated with treated wastewater.
receptors, such as hospitals and schools. Site facilities
downwind from potential receptors, if possible.

Physical Hazards
Visitors and trespassers at wastewater treatment facilities may
be subject to many of the hazards for site workers, described in
Section 1.2. Recommended measures to prevent, minimize, and
control physical hazards to the community include:

• Restrict access to waste management facilities by

implementing security procedures, such as:
o Perimeter fencing of adequate height and suitable
material, with lockable site access gate
o Security cameras at key access points, and security
alarms fitted to buildings and storage areas; and
o Use of a site visitor register
• Light the site where necessary. As this may cause light
nuisance to neighbors, the lighting installations should be
selected to minimize ambient light pollution.

Land Application
32 WHO Guidelines for the Safe Use of Wastewater, Excreta and Greywater
Use of treated wastewater in agriculture can pose public health (2006).
33 WHO Guidelines for the Safe Use of Wastewater, Excreta and Greywater
risks. Hazards associated with crops irrigated with treated
(2006).

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quality goals based on the assimilative capacity and the most

2.0 Performance Indicators and
sensitive end use of the receiving water. 36,37
Industry Benchmarks
Treatment standards usually are either technology standards,
2.1 Environmental Performance
which specify the treatment technologies or processes that must
Guidelines be used to meet water quality objectives, or effluent standards,

Drinking Water which specify the physical, biological, and chemical quality of

Water quality of potable water supply systems should meet the effluent to be produced by the treatment. Effluent standards

nationally legislated drinking water standards or, in their often set limits on allowable concentrations of biochemical

absence, the most recent World Health Organization (WHO) oxygen demand (BOD), chemical oxygen demand (COD), total

Guidelines for Drinking Water Quality 34 throughout the suspended solids (TSS), nitrogen, phosphorous, etc.

distribution network.
Treated Wastewater Re-use and Sludge Management: Treated
wastewater and sludge quality for land application should be
Sanitation
consistent with WHO Guidelines for the Safe Use of
Effluent Guidelines: The choice of sanitation technology and
Wastewater, Excreta and Greywater 38 and applicable national
design of wastewater treatment begin with a determination of
requirements. Potential impact on soil, groundwater, and
the required level and type of treatment. Project- specific effluent
surface water, in the context of protection, conservation and
guidelines for sanitation projects should be established based
long term sustainability of water and land resources should be
on a clear definition of health objectives and a comprehensive
assessed when land is used as part of any wastewater
evaluation of alternatives, considering appropriate treatment
treatment system. Sludge from a waste treatment plant needs to
technologies; quality and quantity of raw wastewater and its
be evaluated on a case-by-case basis to establish whether it
variability; available land area for the treatment facility;
constitutes a hazardous or a non-hazardous waste and
resources for capital expenditures, training, operation,
managed accordingly as described in the Waste Management
maintenance, and repair; and availability of skilled operators,
section of this document.
maintenance personnel, treatment chemicals, and replacement
parts.
Environmental Monitoring
The selected approach should achieve effluent water quality Environmental monitoring programs for this sector should be
consistent with applicable national requirements or implemented to address all activities that have been identified to
internationally accepted standards 35 and with effluent water have potentially significant impacts on the environment, during
normal operations and upset conditions. Environmental
34 The 2006 version of the drinking water guidelines is available at: monitoring activities should be based on direct or indirect
http://www.who.int/water_sanitation_health/dwq/guidelines/en/index.html
35 See, for example, Brazil: Resolucao Conama No. 357, March 17, 2005;
Environmental Pollutants, Part A – Effluents.
European Union: Council Directive 91/271/EEC of 21 May 1991 Concerning 36 See World Health Organization, Linking Technology Choicewith Operation
Urban Wastewater Treatment; United States: Environmental Protection Agency,
and Maintenance in the Context of Community Water Supply and Sanitation: A
40 CFR Part 133 – Secondary Treatment Regulation (7-1-02 Edition); Mexico:
Reference Document for Planners and Project Staff, 1993.
Norma Oficial Mexicana NOM-001-SEMARNAT-1996; China: GB 18918-2002
37 Refer to the section on “Discharge to Surface Water” of the General EHS
Discharge Standard of Pollutants for Municipal Wastewater Treatment Plant;
India: National Standards for Effluents and Emission under Section 25 of the Guidelines.
Environmental (Protection) Act, 1986, General Standards for Discharge of 38 WHO, 2006.

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indicators of emissions, effluents, and resource use applicable Values published by European Union me mber states, 43 or other
to the particular project. simi lar sources.

Monitoring frequency should be sufficient to provide

Accident and Fatality Rates
representative data for the parameter being monitored using
Projects should try to reduce the number of accidents among
internationally recognized standards and procedures. Monitoring
project workers (whether directly employed or subcontracted) to
should be conducted by trained individuals following monitoring
a rate of zero, especially accidents that could result in lost work
and record-keeping procedures and using properly calibrated
time, different levels of disability, or even fatalities. Facility rates
and maintained equipment. Monitoring data should be analyzed
may be benchmarked against the performance of facilities in this
and reviewed at regular intervals and compared with the
sector in developed countries through consultation with
operating standards so that any necessary corrective actions
published sources (e.g. US Bureau of Labor Statistics and UK
can be taken. Additional guidance on applicable sampling and
Health and Safety Executive). 44
analytical methods for emissions and effluents is provided in the
General EHS Guidelines. 39
Occupational Health and Safety Monitoring
The working environment should be monitored for occupational
2.2 Occupational Health and Safety
hazards relevant to the specific project. Monitoring should be
Performance
designed and implemented by credentialed professionals

Occupational Health and Safety Guidelines experienced in water and sanitation as part of an occupational

Occupational health and safety performance should be health and safety monitoring program. Facilities should also

evaluated against internationally published exposure guidelines, maintain a record of occupational accidents and diseases and

of which examples include the Threshold Limit Value (TLV®) dangerous occurrences and accidents. Additional guidance on

occupational exposure guidelines and Biological Exposure occupational health and safety monitoring programs is provided

Indices (BEIs®) published by American Conference of in the General EHS Guidelines.

Governmental Industrial Hygienists (ACGIH), 40 the United

States National Institute for Occupational Health and Safety
(NIOSH),41 Permissible Exposure Limits (PELs) published by
the Occupational Safety and Health Administration of the
United States (OSHA), 42 Indicative Occupational Exposure Limit

39 For additional information of monitoring the performance of water and

sanitation systems consult the World Bank’s Water Quality Management
Technical Note D.1- Water Quality: Assessment and Protection, 2003. Available
at: http://web.worldbank.org/ (Water Resource Management Section;
publications)
40 Available at: http://www.acgih.org/TLV/
41 Available at: http://www.cdc.gov/niosh/npg/
42 Available at: 43 Available at: http://europe.osha.eu.int/good_practice/risks/ds/oel/
http://www.osha.gov/pls/oshaweb/ow adisp.show_document?p_table=STANDAR 44 Available at: http://www.bls.gov/iif/ and
DS&p_id=9992 http://www.hse.gov.uk/statistics/index.htm

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3.0 References and Additional Sources

American Water Works Association. 2004. Interim Voluntary Security Guidance Stockholm Environment Institute. 2004. Ecological Sanitation.
for Water Utilities. December 9, 2004.
Swiss Federal Institute for Env . Science & Technology. 2001. Nam Dinh Urban
American Water Works Association. 2004. Interim Voluntary Security Guidance Development Project Septage Management Study. November 1, 2001.
for Wastewater/Storm water Utilities. December 9, 2004.
Swiss Federal Institute for Env. Science & Technology. 2002. Fecal Sludge
Brown, Nellie J. 1997. Health Hazard Manual: Wastewater Treatment Plant Management in Developing Countries: A planning manual. April 2002.
and Sewer Workers-- Exposure to chemical hazards and biohazards, Cornell
University Chemical Hazard Information Program, Ithaca, NY, December 1, U.S. EPA. 1999. Combined Sewer Overflow O&M Fact Sheet. EPA 832-F-99-
1997. 039. September 1999.

Cairncross and Feachem, 1993. Environmental Health Engineering in the U.S. EPA. 2006. Emerging Technologies for Biosolids Management. 832-R-06-
Tropics, An Introductory Text. (2nd Edition). John Wiley and Sons. 005 September 2006.

Council Directive 91/676/EEC of 12 December 1991 concerning the protection UNEP. 2000. International Source Book on Environmentally Sound
of waters against pollution caused by nitrates from agricultural sources. Technologies for Wastewater and Stormwater Management.

Environmental Protection Agency (EPA), Federal Register / Vol. 66, No. 243, Wagner EG & Lanoix JN. Excreta disposal for rural areas and small
National Pollutant Discharge Elimination System: Regulations Addressing communities. WHO monograph series No. 39. WHO, Geneva. 1958.
Cooling Water Intake Structures for New Facilities, December 18, 2001 pp.
65256 – 65345.
Water Environment Federation. 1996. Developing Source Control Programs for
Commercial and Industrial Wastewater.
European Union Council Directive of 21 May 1991 concerning urban wastewater
treatment (91/271/EEC).
Water Resources And Environment Technical Note D.1 - Water Quality
Management: Assessment and Protection
European Union Council Directive of 3 November 1998 on the quality of water
intended for human consumption (98/83/EC).
Water, Engineering and Development Centre, Loughborough University.
Technical Brief 37: Re-Use of Wastewater. Av ailable at
Federation of Canadian Municipalities. 2003. Infiltration/Inflow http://www.lboro.ac.uk/well/resources/technical-briefs/37-re-use-of-
Control/Reduction for Wastewater Collection Systems: A Best Practice by the wastewater.pdf.
National Guide to Sustainable Municipal Infrastructure (InfraGuide). March 2003.
WHO. 2000. Tools for assessing the O&M status of water supply and sanitation
Federation of Canadian Municipalities. 2004. Assessment and Evaluation of in developing countries. WHO/SDE/WSH/00.3.
Storm and Wastewater Collection Systems: A Best Practice by the National
Guide to Sustainable Municipal Infrastructure (InfraGuide). July 2004.
WHO. 2003. Linking Technology Choice with Operation and Maintenance in
the Context of Community Water Supply and Sanitation: A Reference Document
Heinss and Strauss. 1999. Co-treatment of Faecal Sludge and Wastewater in for Planners and Project Staff.
Tropical Climates. Report EAWAG/SANDEC, P.O. Box 611, CH-8600
Duebendorf, Switzerland, January 1999
WHO. 2006. Guidelines for drinking-water quality [electronic resource]:
incorporating first addendum. Vol. 1, Recommendations. – 3rd ed.
Kayombo et al. Waste Stabilization Ponds and Constructed Wetlands Design
Manual. Available at
http://www.unep.or.jp/Ietc/Publications/Water_Sanitation/ponds_and_wetlands/D WHO. 2006. Guidelines for the Safe Use of Wastewater, Excreta and
esign_Manual.pdf Greywater.

Monangero and Strauss. 2002a. Faecal Sludge Management – Rev iew of WHO. 2003. Domestic Water Quantity, Service Level and Health.
Practices, Problems and Initiatives. Available at WHO/SDE/WSH/03.02.
http://www.sandec.ch/FaecalSludge/Documents/FS_management_(SANDEC_G
HK_2002).pdf Word Bank. 2004. Water Resources Sector Strategy.

Monangero and Strauss. 2002b. Faecal Sludge Treatment. Lecture Notes, IHE World Bank Water Resources and Environment Technical Note C.1 –
Delft, February 14 2002. Environmental Flow Assessment: Concepts and Materials

Morel and Diener. 2006. Greywater Management in Low - and Middle-Income World Bank, Arsenic Contamination of Groundwater in South and East Asian
Countries. Sandec (Water and Sanitation in Developing Countries) at Eawag Countries: Towards a More Effective Operational Response, April 2005
(Swiss Federal Institute of Aquatic Science and Technology) http://siteresources.worldbank.org/INTSAREGTOPWATRES/Resources/Arsenic
VolI_WholeReport.pdf
Peña Varón and Mara. 2004. Waste Stabilization Ponds. IRC International
Water and Sanitation Centre Thematic Overview Papers. World Bank, Water Resources And Environment Technical Note D.2 -

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World Bank, Water Resources And Environment Technical Note D.3- World Bank. 2005. Sanitation and Hygiene at the World Bank: An Analysis of
Current Activities. Water and Sanitation Sector Board Working Note, Paper No.
World Bank, Water Resources and Environment, Technical Note F.1- Water 6, November 2005.
Conservation: Urban Utilities

World Bank, Water Resources and Environment, Technical Note F.3-

World Bank. 2005. Alternative Technologies for Water and Sanitation Supply in
Small Towns. Water and Sanitation Program. April 2005.

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Annex A: General Description of Industry Activities

A.1 Drinking Water Supply but generally has good clarity because of the natural filtering of
groundwater as it passes through porous soil layers. In general,
Access to water of an adequate quality is essential for public
deep groundwater has low concentrations of pathogenic
health and hygiene.45 A drinking water supply system typically
bacteria but may be rich in dissolved solids, especially
includes the following elements:
carbonates and sulfates of calcium and magnesium. The
bacteriological quality of shallow groundwater can be variable
• A water source, such as a river, lake, reservoir, or
depending on the nature of the recharge area. A variety of
groundwater aquifer where water collects, as well as the
soluble materials may be present including potentially toxic
surrounding watershed or recharge area that supplies
metals such as zinc, copper, and arsenic.
water to the source and a means of extracting and
transporting water from the source to a point of treatment.
Surface Water: Surface water quality is highly dependant on the
• A treatment facility for water purification.
source. Upland lakes and reservoirs are typically located in the
• Treated water storage facilities and a distribution system headwaters of river systems upstream of human habitation.
from to deliver treated water from storage to consumption Bacteria and pathogen levels are usually low, but some
(at houses, fire hydrants, industrial use points, etc). bacteria, protozoa or algae will be present. Where uplands are
forested or peaty, humic acids can color the water. Many
Water Sources upland surface water sources have low pH. Rivers, canals, and

Traditional sources for potable water treatment include low-land reservoirs generally have higher bacterial

groundwater resources and surface water. Where surface or concentrations and may also contain algae, suspended solids,

groundwater of adequate quality is unavailable, other sources of and a variety of dissolved constituents.

water including seawater, brackish water, etc. may be used to

Other Water Sources: Other water sources include seawater
produce potable water.46
and brackish water, which contain high concentrations of

Groundwater: Groundwater is recharged from and flows to the dissolved solids, which must be removed to make the water

surface naturally, and provides a long- term reservoir in the suitable for domestic, agricultural, and industrial uses.

natural water cycle, with residence times ranging from days to

millennia. Groundwater quality varies depending on the source, Water Treatment
Treatment required to render water suitable for human
45 Access to water includes the volume of water av ailable as well as the consumption varies depending on the water source, but may
distances and time involved in water collection. The World Health Organization
has defined basic access to water to include a volume of bout 20 liters per include removal of suspended solids, removal of dissolved
capita per day (L/c/d) available at a distance of 100m to 1000m or 5 to 30
minutes total collection time, which is generally sufficient to meet basic materials, and disinfection.
consumption, hand washing, and food preparation needs. Optimal access
includes a volume of 100 L/c/d or more piped directly to the user, which
facilitates laundry and bathing needs in addition to the basic needs. See WHO,
Domestic Water Quantity, Service Level and Health, 2003, Removal of Suspended Solids
WHO/SDE/WSH/03.02.
46 Collection of water by condensing moisture from the air is also possible, but Suspended solids are usually removed by sedimentation and or
practical applications are limited.

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filtration. Coagulation, flocculation, and sedimentation may be turbidity (less than 10 nephelometric turbidity units [NTU]).
used as pretreatment to enhance the effectiveness and Coagulant and filter aids are required for effective virus removal.
minimize the cost of subsequent filtration. Coagulation involves Operation of diatomaceous earth filters generates spent filter
adding chemicals to the water, such as pH buffers and cake.
coagulants, to facilitate subsequent treatment steps. The
Direct filtration systems are similar to conventional systems, but
chemically treated water is sent into a basin where the
omit sedimentation, and some multiple-stage filtration systems
suspended particles can collide and form heavier particles
can eliminate the need for chemical coagulation as well. Direct
called floc. Gentle agitation and appropriate retention times
filtration may include several combinations of treatment
facilitate this process. The velocity of water is then decreased
processes. Dual- and mixed-media filters may be used to
so that suspended material can settle out of the water stream by
effectively process higher influent turbidities. Effective direct
gravity. The floc can also be removed directly during filtration.
Common filtration methods include slow sand filters, filtration performance ranges from 90 to 99 percent for virus
removal and from 10 to 99.99 percent for Giardia removal.
diatomaceous earth filters, and direct filtration systems. Smaller
Direct filtration is most applicable for systems with high quality
water treatment systems might also use membrane and
and seasonally consistent influent supplies. The influent
cartridge filtration systems.
generally should have turbidity of less than 5 to 10 NTU and
A slow sand filter comprises a bed of fine sand approximately 3 color of less than 20 to 30 units.
to 4 feet deep supported by a 1-foot layer of gravel and an
Membrane filtration uses pressure to force water through a thin
underdrain system. Slow sand filters are relatively inexpensive
membrane. Contaminants are retained on the high-pressure
to install, are simple to operate and reliable, and are to achieve
side and frequently must be removed by reversing the flow and
greater than 99.9 percent Giardia cyst removal. However, these
flushing the waste. The membrane technologies are relatively
filters are not suitable for water with high turbidity, and the filter
simple to install and, for groundwater sources that do not need
surface requires maintenance. Extensive land is required due to
pretreatment, the systems require little more than a feed pump,
rates of flow (0.03 to 0.10 gallons per minute per square foot
a cleaning pump, the membrane modules, and holding tanks.
[gal/min/ft2] of filter bed area). Slow sand filters do not require
The operation of membrane systems can be highly automated.
coagulation/flocculation and may not require sedimentation.
Membrane processes can be used for removal of bacteria and
Diatomaceous earth filtration, also known as precoat or other microorganisms, particulate material, and natural organic
diatomite filtration, relies on a layer of diatomaceous earth material. However, membrane efficiency can be reduced by
approximately 1/8-inch thick placed on a septum or filter fouling. Periodic chemical cleaning may be required to remove
element. Septa may be placed in pressure vessels or operated persistent contaminants.
under a vacuum in open vessels. Diatomaceous earth filters are
Cartridge filtration forces water through porous media to remove
simple to operate and are effective in removing cysts, algae,
and asbestos. They have been chosen for projects with limited particles; pore sizes suitable for producing potable water range
from 0.2 to 1.0 µm. Pretreatment with a roughing filter prior to
initial capital, and for emergency or standby capacity to service
cartridge filtration is sometimes necessary to prevent the rapid
large seasonal increases in demand. Diatomaceous filters are
fouling of the cartridges. Cartridge filters may be suitable for
most suitable for water with low bacterial counts and low

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removing microbes and turbidity in small systems. These may make lime softening too complex for small systems that
systems are easy to operate and maintain. Polypropylene use surface water sources. Excessively soft water can cause
cartridges become fouled relatively quickly and must be corrosion in pipes. This corrosion can shorten the service life of
replaced with new units; therefore, cartridge filtration systems pipes and household appliances and can result in toxic
are generally practical only for raw water with low turbidity. materials, such as lead and cadmium, being dissolved in
Although these filter systems are operationally simple, they are drinking water.
not automated and can require relatively large operating
Oxidation can be used to remove metals such as iron and
budgets. The filter media may require periodic cleaning.
manganese by formation of insoluble species that can be then
filtered from the water. Oxidation can also be used to destroy
Removal of Dissolved Contaminants
certain organic contaminants. The most common chemical
Some water sources must be treated to remove dissolved
oxidants used in water treatment include chlorine, chlorine
materials, which are not affected by coagulation and filtration, to
dioxide, potassium permanganate, and ozone. Oxidation using
achieve water of adequate quality. High concentrations of
chlorine or potassium permanganate is frequently applied in
metals such as calcium and magnesium contribute to “hard”
small groundwater systems. The dosing is relatively easy,
water, and resulting scaling problems. Dissolved metals such
requires simple equipment, and is relatively inexpensive.
as iron and manganese can adversely affect the water’s taste
Chlorination is widely used for oxidation of divalent iron and
and cause stains and buildup of metal oxide particles in water
manganese. However, the formation of trihalomethanes (THMs)
tanks and pipelines. Radionuclides, nitrates, and toxic metals,
may be a problem. As an oxidant, potassium permanganate
such as copper and arsenic, can cause health impacts.
(KMnO4) is normally more expensive than chlorine and ozone,
Dissolved organic compounds can also cause adverse aesthetic
but for iron and manganese removal, it has been reported to be
and health impacts. Treatment methods include lime softening,
as efficient and it requires considerably less equipment and
oxidation, ion exchange, reverse osmosis, electrodialysis,
capital investment. The dose of potassium permanganate,
aeration, and activated carbon filtration.
however, must be carefully controlled. Ozone may be used for
Lime softening involves raising the pH of the water to precipitate iron and manganese oxidation, but may not be effective for
calcium carbonate and magnesium hydroxide using lime or oxidation in the presence of humic or fulvic materials. Oxygen
hydrated lime. The resulting precipitate is removed by settling can also be used as an oxidant, provided iron is not complexed
or filtration. Following filtration, the pH is lowered by addition of with humic materials or other large organic molecules. The
carbon dioxide, which is usually generated by on-site fossil fuel presence of other oxidizable species in water hinders oxidation
combustion. In addition to removing calcium and magnesium, of the desired reduced compounds.
lime softening can also remove iron and manganese, heavy
Ion exchange can be used to remove any charged (i.e., ionic)
metals, arsenic, radionuclides (uranium, radium 226, and radium
species from water, but is usually used to remove hardness and
228), and certain organic compounds. Lime softening is best
nitrates. Removal is accomplished through adsorption of
suited to groundwater sources, which have relatively stable
contaminant ions onto a resin exchange medium. Water is
water quality. The combination of variable source water quality
usually pretreated to reduce the suspended solids and total
and the complexity of the chemistry of lime softening generally
dissolved solids (TDS) load to the ion-exchange unit. Ion

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exchange can be used with fluctuating flow rates. Ion exchange being piped offsite. The product water recovery relative to input
waste is highly concentrated and requires careful disposal. Ion water flow is 15 to 50 percent for most seawater desalination
exchange units also are sensitive to the presence of competing plants (i.e., for every 100 gallons of seawater, 15 to 50 gallons
ions. For example, influent with high levels of hardness will of pure water would be produced along with brine water
compete with other cations (positive ions) for space on the containing dissolved solids). The brine and other liquid wastes
exchange medium, and the exchange medium must be from desalination plants may contain all or some of the following
regenerated more frequently. constituents: high salt concentrations, chemicals used during
defouling of plant equipment and pretreatment, and toxic metals
Reverse osmosis (RO) removes contaminants from water using
(which may be present if the discharge water was in contact with
a semi-permeable membrane that permits only water, and not
metallic materials used in construction of the plant facilities).
dissolved ions (such as sodium and chloride), to pass through
Liquid wastes may be discharged directly into the ocean,
its pores. Raw water is subject to a high pressure that forces combined with other discharges (e.g., power plant cooling water
pure water through the membrane, leaving contaminants behind
or sewage treatment plant effluent) before ocean discharge,
in a brine solution. RO can effectively remove nearly all
discharged into a sewer for treatment in a sewage treatment
inorganic contaminants from water. It removes more than 70
plant, or evaporated (with the remaining solids disposed of in a
percent of arsenic (III), arsenic (IV), barium, cadmium,
landfill). Desalination plants also produce a small amount of
chromium (III), chromium (VI), fluoride, lead, mercury, nitrite,
solid waste (e.g., spent pretreatment filters and solid particles
selenium (IV), selenium (VI), and silver, and properly operated
that are filtered out in the pretreatment process).
units can attain up to 96 percent removal rates. RO can also
effectively remove radium, natural organic substances, Electrodialysis uses an electrical charge and a semi-permeable
pesticides, and microbiological contaminants. RO is particularly membrane to remove charged species. The membranes are
effective when used in series; water passing through multiple designed to allow either positively or negatively charged ions to
units can achieve near zero effluent contaminant pass through the membrane; thus ions move from the product
concentrations. RO systems are relatively insensitive to flow and water stream through a membrane to the two reject water
TDS concentration, and therefore are suitable for small syste ms streams. The reject stream is typically 20–90 percent of feed
with a high degree of seasonal fluctuation in water demand. flow. Electrodialysis can remove most dissolved ions, and is
Operational simplicity and automation allow for less operator very effective in removing fluoride and nitrate, and can also
attention and make RO suitable for small system applications. remove barium, cadmium, and selenium. Electrodialysis is
However, RO tends to have high capital and operating costs, relatively insensitive to flow and TDS level, and low effluent
and a high level of pretreatment is required in some cases to concentration possible. These systems tend to have high
prevent fouling. capital and operating costs, and may require a high level of
pretreatment.
Reverse osmosis is also used for desalination of seawater and
other water sources with high quantities of dissolved solids. Aeration (air stripping) can be used to remove volatile
Pure desalination water is usually acidic and corrosive to pipes, compounds and radon from source water. The volatilized
so it typically mixed with other sources of water that are piped contaminants are released to the atmosphere, with or without
onsite or else adjusted for pH, hardness, and alkalinity before treatment. Aeration systems that might be suitable for drinking

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water systems include packed column aeration, diffused also be generated onsite by electrolysis of sodium chloride
aeration, multiple- tray aeration, and mechanical aeration. A solution. Sodium hypochlorite is usually stored in an aqueous
small system might be able to use a simple aerator constructed solution, and diluted before use. Calcium hypochlorite is usually
from relatively common materials instead of a specially stored as a solid that is usually dissolved in water before use.
designed aerator system. The chlorination chemical is usually injected into the water
supply line and a controlled rate. Chlorine reacts with organic
Activated carbon removes contaminants through adsorption,
material naturally present in many water sources to form harmful
primarily a physical process in which dissolved contaminants
chemical by-products, principally trihalomethanes.
adhere to the porous surface of the carbon particles. Activated
carbon removes many organic contaminants as well as taste Chloramine is an effective bactericide that produces lower levels
and odor from water supplies. Organics that are not readily of trihalomethanes than chlorine. Chloramines are generated
adsorbed by activated carbon include alcohols; low molecular on site by injecting chlorine (gaseous solution or sodium
weight aliphatics (including vinyl chloride), ketones, acids, and hypochlorite) into the supply main followed immediately by
aldehydes; sugars and starches; and very high-molecular- injection of ammonia (gaseous solution or as ammonium
weight or colloidal organics. Radon removal by activated hydroxide). Chloramine is a weak disinfectant, and is much less
carbon is not feasible at the treatment plant scale. Activated effective against viruses or protozoa than free chlorine.
carbon is replaced periodically when the surface area is Chloramine is often used as a secondary disinfectant to prevent
saturated and can no longer effectively adsorb contaminants. bacterial re-growth in a distribution system.
However, the adsorption process can be reversed relatively
Ozone, an allotrope of oxygen having 3 atoms to each molecule,
easily, allowing regeneration and re-use of the activated carbon.
is a powerful oxidizing and disinfecting agent. Ozone gas is
unstable and must be generated on site by passing dry air
Disinfection
through a system of high-voltage electrodes. Ozonation requires
Water systems add disinfectants to destroy microorganisms that
a shorter contact time than does chlorine. Ozone does not
can cause disease in humans. The most commonly used
directly produce halogenated organic materials unless a
disinfection agents include chlorine, chloramines, ozone, and
bromide ion is present. A secondary disinfectant, such as
ultraviolet light. Other disinfection methods include chlorine
chloramine, is required because ozone does not maintain an
dioxide, potassium permanganate, and nanofiltration. Primary
adequate residual in water. The capital costs of ozonation
disinfection achieves the desired level of microorganism kill or
systems are relatively high, and operation and maintenance are
inactivation, while secondary disinfection maintains a
relatively complex.
disinfectant residual in the finished water that prevents the re-
growth of microorganisms.
Ultraviolet (UV) radiation is generated by a special lamp. When
it penetrates the cell wall of an organism, the cell’s genetic
Chlorine is very effective for removing almost all microbial
material is disrupted and the cell is unable to reproduce,
pathogens and is appropriate as both a primary and secondary
effectively destroying bacteria and viruses. As with ozone, a
disinfectant. Chlorine can be used in the form of chlorine gas,
secondary disinfectant must be used to prevent re-growth of
sodium hypochlorite, or calcium hypochlorite. Chlorine gas is
microorganisms. UV radiation can be attractive as a primary
usually supplied as a liquid in high-pressure cylinders, and it can

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disinfectant for small systems because it is readily available, it any one section of water distribution main fails or needs repair,
produces no known toxic residuals, it requires short contact that section can be isolated without disrupting all users on the
times, and the equipment is easy to operate and maintain. network. Most water distribution networks include both loop and
However, UV radiation may not inactivate Giardia lamblia or branch components. Decentralized treatment systems, which
Cryptosporidium cysts. UV radiation is unsuitable for water with provide additional treatment near the point of use depending on
high levels of suspended solids, turbidity, color, or soluble the customers needs, have been implemented in trials, and may
organic matter because these materials can react with or absorb be utilized more in the future. Dual distribution systems that
the UV radiation, reducing the disinfection performance. provide separate mains for potable and non-potable water (e.g.,
reclaimed water used for irrigation, fire protection, etc) are used
Water Distribution and Storage in some communities.

Water distribution systems include all of the components Storage tanks and reservoirs are used to provide storage
necessary to carry drinking water from a centralized treatment capacity to meet fluctuations in demand, to provide reserve
plant or well supplies by means of gravity storage feed or pumps supply for fire suppression and other emergency needs, to
through distribution pumping networks to the consumers, stabilize pressures in the distributions system, to increase
including distribution and equalization storage. These systems operating convenience an provide flexibility in pumping, to
consist of pipes, pumps, valves, storage tanks, reservoirs, provide water during source or pump failures, and to blend
meters, fittings, and other hydraulic appurtenances. Distribution different water sources. Elevated tanks are used most
systems are designed and operated to deliver water of quality frequently, but other types of tanks and reservoirs include in-
acceptable for human consumption and of sufficient quantity to ground tanks and open or closed reservoirs.
meet all the needs of the customers. Many distributions also
provide sufficient capacity for non-potable uses, including The water distribution system needs energy in the form of
irrigation, landscaping, and fire suppression. pressure to deliver the treated water. That energy can be
supplied by a pump, by gravity feed from a water source (such
Most water distribution pipes are constructed of ductile iron, pre- as a reservoir or a water tower) at a higher elevation, or, in
stressed concrete, polyvinyl chloride, reinforced plastic, and smaller systems, by compressed air. Valves are used to isolate
steel. In the past, unlined cast iron and asbestos cement pipes sections of the network for maintenance and repair. Control
were also used, and may be important components of existing valves are used to control the flow and pressure in the
systems. distribution system.

Water distribution systems may have a branch or loop network Ideally, the water quality should not change between the time it
topology, or a combination of both. In a branch system, smaller leaves the treatment plant and the time it is consumed.
pipes branch off or larger ones throughout the system such that However, substantial changes can occur to finished water in the
water can take only one pathway from the source to the distribution system as the result of complex physical, chemical,
consumer. A loop system comprises connected pipe loops and biological reactions. For example, tanks sized to provide
throughout the service area such that water can take several adequate supply for fire suppression needs may have low
pathways from the source to the consumer. In a loop system, if turnover rates and low levels of disinfectant residual, leading to

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biofilm growth and other biological changes in the water such as which carry wastewater. Sewerage refers to systems of sewers
nitrification. Design and operation of the distribution system can and includes pump stations, overflows, and other associated
minimize such effects. infrastructure. Most sewers are designed to carry either sewage
or storm water, but many are combined sewers, which carry
A.2 Sanitation both sewage and storm water.

Sanitation systems protect human health and the environment

Sewers may carry wastewater from residential, commercial, and
by isolating, and in some manner treating, sewage waste. For
industrial users, to storage, discharge, or wastewater treatment.
rural areas, on-site sanitation systems, ranging from pit latrines
Because industrial liquid waste may contain a wide range of
to flush toilets and septic systems, are the most common. As
chemicals, solvents, and other contaminants that cannot be
population density increases, more complicated, centralized
effectively removed by the centralized wastewater treatment
collection, storage, and treatment systems are needed.
plant, industries are often required to pre- treat their liquid
wastes prior to discharging to sewer.
Sludge Collection
Design and sizing of sewerage systems considers population
On-site sanitation systems such as bucket latrines and septic
served, commercial and industrial flows, flow peaking
systems require periodic removal of solids for proper
characteristics, and wet weather flows. Besides the projected
functioning. The first stage of proper management of fecal
sewage flow, the size and characteristics of the watershed are
sludge is collection and transport to a storage or treatment
the overriding design considerations for combined sewers.
facility. Collection may be accomplished by manual means
Often, combined sewers can not handle the volume of storm
(e.g., with shovels and buckets), or with mechanical equipment.
water runoff, resulting in combined sewer overflows, which are
Mechanical equipment for septage collection include truck-
typically discharged to surface water with little if any treatment.
mounted vacuum tanks of 3 to 6 m3 capacity and small, hand-
Although separate sewer systems are intended to transport only
pushed vacuum tugs of 350 to 500 L. In houses situated close
sewage, all sewer systems have some degree of inflow and
to a road, the septic tank can be emptied with the large truck
infiltration of surface water and groundwater. Inflow and
and the septage can directly be hauled to the treatment site. If
infiltration are affected by antecedent moisture conditions, which
the house is situated in a narrow lane, a mini-vacuum- tug can
also represent an important design consideration in separate
be used. In that case, an intermediate storage tank (3 to 6 m3)
sewer systems.
can be placed in the closest point accessible by truck, and the
septage is transferred to the tank from the vacuum tug in
A typical method of conveyance used in sewer systems is to
several trips. This storage tank can then transferred to another
transport wastewater by gravity along a downward-sloping pipe
emptying site or to the treatment site. One unit of equipment,
gradient. These sewers, known as conventional gravity sewers,
either large or small, can serve 2 to 3 septic tanks per day or
are designed so that the slope and size of the pipe is adequate
approximately 500 per year.
to maintain flow towards the discharge point without surcharging
manholes or pressurizing the pipe. Conventional gravity sewers
Sewerage are typically used in urban areas with consistently sloping

Sewers are closed conduits, usually circular in cross section, ground because excessively hilly or flat areas result in deep

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excavations and drive up construction costs. Sewage pumping interceptor tank to capture solids. The liquid effluent flows to a
or lift stations may be necessary as a result of the slope holding tank containing a pump and control devices. The
requirements for conventional gravity sewers, which result in a effluent is then pumped and transferred for treatment.
system terminus (i.e., low spot) at the tail of the sewer, where Retrofitting existing septic tanks in areas served by septic
sewage collects and must be pumped or lifted to a collection tank/drain field systems would seem to present an opportunity
system. Pumping and lift stations substantially increase the cost for cost savings, but a large number (often a majority) must be
of the collection system. Manholes associated with replaced or expanded over the life of the system because of
conventional gravity sewers may be a source of inflow and insufficient capacity, deterioration of concrete tanks, or leaks. In
infiltration, increasing the volume of wastewater to be carried, as a GP system, sewage flows to a vault where a grinder pump
well as the size of pipes and lift/pumping stations. grinds the solids and discharges the sewage into a pressurized
pipe system. GP systems do not require a septic tank but may
Alternative wastewater collection systems can be cost effective require more horsepower than STEP systems because of the
for areas where traditional collection systems are too expensive
grinding action. GP systems produce wastewater with higher
to install and operate. For example, pressure sewers are
TSS, which may not be acceptable at a downstream treatment
sometimes used in sparsely populated or suburban areas in
facility.
which conventional collection systems would be expensive.
These systems generally use smaller diameter pipes with a
Wastewater Treatment
slight slope or follow the surface contour of the land, reducing
excavation and construction costs. Pressure sewers differ from Sewage treatment includes physical, chemical, and biological

conventional gravity collection systems because they break processes to remove physical, chemical, and biological

down large solids in the pumping station before they are contaminants. Its objective is to produce treated effluent and a

transported through the collection system. Their watertight solid waste or sludge that is suitable for discharge or reuse back

design and the absence of manholes eliminate extraneous flows into the environment. Typically, sewage treatment involves up

into the system. Thus, alternative sewer systems may be to three stages, called primary, secondary and tertiary (or

preferred in areas that have high groundwater that could seep advanced) treatment.

into the sewer, increasing the amount of wastewater to be

treated. They also protect groundwater sources by keeping Primary Treatment
wastewater in the sewer. The disadvantages of alternative Primary treatment is designed to remove gross, suspended and

sewage systems include increased energy demands, higher floating solids from raw sewage. This stage is sometimes

maintenance requirements, and greater on-lot costs. In areas referred to as mechanical treatment, although chemicals are

with varying terrain and population density, a combination of often used to accelerate the sedimentation process.

sewer types may be appropriate.

Preliminary screening removes large suspended and floating

Two major types of pressure sewer systems are the septic tank objects. After the wastewater has been screened, it may flow

effluent pump (STEP) system and the grinder pump (GP). into a grit chamber where sand, grit, cinders, and small stones

Neither requires any modification to plumbing inside the house. settle to the bottom. Removing the grit and gravel that washes

In STEP systems, wastewater flows into a conventional septic or off streets or land during storms is very important, especially in

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cities with combined sewer systems. Large amounts of grit and biotowers, and rotating biological contactors. In suspended
sand entering a treatment plant can cause serious operating growth processes, the microbial growth is suspended in an
problems, such as excessive wear of pumps and other aerated water mixture where the air (or oxygen) is pumped in, or
equipment, clogging of aeration devices, or taking up capacity in the water is agitated sufficiently to allow oxygen transfer.
tanks that is needed for treatment. The grit and screenings Suspended growth process units include variations of activated
removed by these processes must be periodically collected and sludge, oxidation ditches, and sequencing batch reactors. The
disposed of (e.g., by landfilling or incineration). suspended growth process speeds up the work of aerobic
bacteria and other microorganisms that break down the organic
With the screening completed and the grit removed, wastewater
matter in the sewage by providing a rich aerobic environment
still contains dissolved organic and inorganic constituents along
where the microorganisms suspended in the wastewater can
with suspended solids. Additional suspended solids may be
work more efficiently.
removed by sedimentation or gravity settling, chemical
coagulation, or filtration. The removed solid material is called From the aeration tank, the treated wastewater flows to a
primary sludge. sedimentation tank (secondary clarifier), where the excess
biomass is removed. Some of the biomass is recycled to the
Primary treatment can reduce the BOD of the incoming
head end of the aeration tank, while the remainder is “wasted”
wastewater by 20 – 30 percent and the total suspended solids
from the system. The waste biomass and settled solids are
by 50 – 60 percent. Primary treatment is usually the fir st stage
treated before disposal or reuse as biosolids.
of wastewater treatment. In some cases, treatment plants begin
with primary treatment and add other treatment stages as Activated sludge and related processes can be appropriate
wastewater load grows, as the need for treatment increases, where high removal of organic pollution is required, funds and
and as resources become available. skilled personnel are available for operation and maintenance,
and land is scarce or expensive. The system typically needs
Secondary Treatment some form or primary treatment, such as screening and
Secondary treatment uses biological processes to remove about sedimentation. When properly operated and maintained, the
85 percent of the dissolved organic matter that escapes primary process is generally free of flies and odors. However, most
treatment. Secondary treatment technologies include fixed-film activated sludge processes are more costly to operate than
processes, activated sludge and other suspended growth attached growth processes and a steady energy supply is
processes, extended aeration systems, membrane biological required. The effectiveness of the activated sludge process can
reactors, aerated lagoons, pond and constructed wetland be adversely affected by elevated levels of toxic compounds in
systems, and other forms of treatment that use biological activity wastewater. Therefore, an industrial pretreatment program may
to break down organic matter. be needed to control pollutants from the industrial users that
may pass through or interfere with treatment processes,
In attached growth (or fixed-film) processes, the microbial contaminate sewage sludge, or create hazardous condition in
growth occurs on the surface of stone or plastic media. the sewerage or treatment system such as formation of
Wastewater passes over the media along with air to provide
oxygen. Attached growth process units include trickling filters,

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explosive or toxic gases. 47 or may not use oxygen), and maturation (in which the pond
provides additional treatment in the presence of oxygen and
General considerations for activated sludge process design
sunlight to further reduce pollutants before discharge).
include wastewater characteristics, local environmental
conditions (including temperature), possible presence of Pond and wetland systems are influenced by natural conditions,
inhibitory substances (such as may be present in industrial such as wind, temperature, rainfall, solar radiation, and
effluents), oxygen transfer requirements and reaction kinetics seepage, as well as by physical factors such as surface area,
(retention time in the system). water depth, short- circuiting, pH, toxic materials, and oxygen.
Site-specific problems may include a high groundwater table,
Extended aeration is a variation on the basic activated sludge
flooding, steep topography, and habitat for vectors such as
process that uses a relatively low flow rate and long aeration
mosquitoes.
time. The aerated sewage is formed into a brown floc-like
sludge, which settles out in a separate settling tank. Thus, clear Aerobic waste stabilization ponds are open basins in which
treated effluent is drawn off the top of the settling tank and wastewater is treated in the absence of oxygen. Solids settle to
sludge is drawn off the bottom of the tank. The advantage of this the bottom of the pond, where they are digested. Anaerobic
system is that the sludge is stable and needs no further ponds can be used as a first stage to treat wastewater prior to
treatment except dewatering. However, power demands are secondary treatment in other systems such as facultative ponds
high because of the long period of aeration, thus the system is or constructed wetlands. Anaerobic ponds are normally
generally suitable for small plants. rectangular basins with a depth of at least 3 meters and ideally 4
meters. Sludge must be removed from the ponds periodically
Membrane biological reactors (MBR) or bio-membrane systems
(e.g., by draining and removal as a solid or by a float- mounted
includes a semi-permeable membrane barrier system either
sludge pump). A well-designed anaerobic pond can remove up
submerged or in conjunction with an activated sludge process.
to about 60 percent of BOD and COD in warm conditions.
This technology guarantees removal of all suspended and some
dissolved pollutants. The limitation of MBR systems is directly Facultative ponds are large shallow basins (about 1.5 to 1.8
proportional to nutrient reduction efficiency of the activated meters deep) that facilitate a combination of anaerobic and
sludge process. MBR systems can achieve high effluent quality aerobic processes. Treatment takes place though a
and use little land area. However, the MBR process is combination of physical and biological processes, and can be
sophisticated and the cost of building and operating a MBR is complex. Maturation ponds are similar but smaller, and are
usually higher than conventional wastewater treatment. typically placed in series after facultative ponds. Maturation
ponds are more efficient than most other treatment processes at
Ponds and wetlands are simple and robust wastewater
removing both bacteria and parasitic worm eggs. Facultative
treatment options with low operation and maintenance costs and
and maturation ponds might be considered when sufficient land
demands. Ponds are classified as anaerobic (reactions take
is available, pathogen levels need to be reduced, and/or the
place without oxygen), facultative (in which the processes may inflow may occasionally include large volumes of storm water
runoff.
47 See, for example, U.S. EPA Office of Wastewater Management, Permits
Division, Model Pretreatment Ordinance, January 2007, EPA 833-B-06-002.

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Constructed wetlands are engineered wetland systems that can effluent. Chlorine is the most widely used disinfectant but ozone
treat a variety of waste effluents, including domestic wastewater, and ultraviolet radiation are also frequently used for wastewater
agricultural runoff, storm water, and even industrial effluents. effluent disinfection. However, some environmental authorities
Treatment occurs through a combination of biological and are concerned that chlorine residuals in the effluent can cause
physical processes, including sedimentation, precipitation, adverse impacts. Dechlorination of treated wastewater may be
adsorption, assimilation by the plants, and microbiological appropriate to achieve desired water quality parameters.
activity. The system is designed to flow by gravity, minimizing
the need for pumps and electrical devices. Flow may be either Wastewater Re-Use
vertical or horizontal, and for horizontal flow wetlands, may be Wastewater is increasingly used for agriculture, especially in
either above or below the surface. Most constructed wetlands in areas of water scarcity, population increase, and related
developing countries are of the horizontal sub-surface flow type. demands for food, as wastewater provides a source of both
Above-surface flow is generally avoided because it provides water and nutrients. Wastewater can also be a reliable source
breeding areas for mosquitoes. of water throughout the year.

Constructed wetlands might be used when there is a need for The wastewater is applied to the land and moves through the
higher effluent quality than can be achieved by anaerobic soil where the natural filtering action of the soil along with
treatment alone. Constructed wetland treatment typically microbial activity and plant uptake removes most contaminants.
requires 3 – 5 m2 per person when treating full-strength sewage; Part of the water evaporates or is used by plants. The remainder
the land area requirement can be reduced by preliminary is either collected via drains or wells for surface discharge or
anaerobic treatment. allowed to percolate into the groundwater. Much of the water
and most of the nutrients are used by the plants, while other
Tertiary Treatment pollutants are transferred to the soil by adsorption, where many
The treatment processes used to reduce the BOD of sewage are mineralized or broken down over time by microbial action.
waste are secondary treatment processes. Tertiary treatment is
The wastewater, which is sometimes disinfected before
any practice beyond secondary treatment and is designed to
application, depending on the end use of the crop and the
remove nonbiodegradable organic pollutants and mineral
irrigation method, can be applied to the land by spraying,
nutrients such as nitrogen and phosphorus salts. Tertiary
flooding, drip irrigation, or ridge and furrow irrigation. The
treatment can remove more than 99 percent of impurities from
method selected depends on cost considerations, terrain, and
the wastewater, and is capable or producing effluent of nearly
the type of crops. Drip irrigation systems discharge water
drinking water quality. An example of tertiary treatment is the
through small holes in pipes laid along the ground and,
modification of conventional secondary treatment to remove
therefore, pretreatment to remove suspended solids is
additional phosphorous and nitrogen. Activated carbon filters
necessary for these systems so as not to clog the holes.
are commonly used for tertiary treatment.

Disinfection
Disinfection can be the final step before discharge of the

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conventionally activated sludge processes can be treated

Sludge Treatment and Disposal
aerobically by introducing air, rather than encouraging an

Sludge Treatment oxygen-depleted environment as in anaerobic digestion.

The most common sludge treatment systems include anaerobic Because the aerobic digestion occurs much faster than

digestion and thermophilic anaerobic digestion. anaerobic digestion, the capital costs of aerobic digestion are
lower. However, the operating costs are characteristically much
Anaerobic digesters are large fermentation tanks which are greater for aerobic digestion because of energy costs for
continuously operated under anaerobic conditions. Anaerobic aeration needed to add oxygen to the process.
decomposition could be used for direct treatment of sewage, but
it is economically favorable to treat the waste aerobically. Large- Composting is also an aerobic process that involves mixing the

scale anaerobic digesters are usually used for processing of the wastewater solids with sources of carbon such as sawdust,

sludge produced by primary and secondary treatments. It is also straw or wood chips. In the presence of oxygen, bacteria digest

used for the treatment of industrial effluents which have very both the wastewater solids and the added carbon source and, in

high BOD levels. The mechanisms for mechanical mixing, doing so, produce a large amount of heat.

heating, gas collection, sludge addition and removal of stabilized

sludge are incorporated into the design of large-scale anaerobic Sludge Disposal and Use
digesters. Anaerobic digestion uses a large variety of Following stabilization (e.g. by anaerobic digestion, thermophilic
nonmethanogenic anaerobic bacteria. In the first part of the anaerobic digestion, aerobic digestion, or extended aeration
process, complex organic materials are broken down and in the processes), the sludge can be dewatered and disposed of in a
next step, methane is generated. The final products of landfill or incinerator, or subject to further processing for
anaerobic digestion are approximately 70% methane and 30% beneficial uses. There are concerns about sludge incineration
carbon dioxide, microbial biomass, and a nonbiodegradable because of air pollutants in the emissions, along with the high
residue. Fully digested sludge has little readily biodegradable cost of supplemental fuel, making this a less attractive and less
organic matter. It generally does not have objectionable odors, commonly constructed means of sludge treatment and disposal.
and about 50% of the solids are inorganic. However, incineration may be appropriate if the composition of
the sludge (e.g., because of industrial discharges to the sewer
Thermophilic anaerobic digestion takes place at higher system) precludes other disposal or use option.
temperatures, typically 50 - 70ºC, compared with standard
anaerobic digestion, which most commonly is carried out at bout Both anaerobic and aerobic sludge digestion processes can
20 - 45ºC. Thermophilic anaerobic digestion can be faster, result in the destruction of disease-causing microorganisms and
requiring only about two weeks to complete, compared with 15 parasites to a sufficient level to allow the resulting digested
to 30 days for standard anaerobic digestion. However, solids to be safely applied to land used as a soil amendment
thermophilic digestion is more expensive, requires more energy material (with similar benefits to peat) or used for agriculture as
and is less stable than the mesophilic process. a fertilizer, provided that levels of toxic constituents are
sufficiently low.
Extended aeration secondary treatment systems also serve to
aerobically digest the sewage sludge. In addition, sludge from

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Environmental, Health, and Safety Guidelines

for Toll Roads

Introduction and other project factors, are taken into account. The applicability
of specific technical recommendations should be based on the
The Environmental, Health, and Safety (EHS) Guidelines are professional opinion of qualified and experienced persons. When
technical reference documents with general and industry-specific host country regulations differ from the levels and measures
examples of Good International Industry Practice (GIIP) 1. When presented in the EHS Guidelines, projects are expected to
one or more members of the World Bank Group are involved in a achieve whichever is more stringent. If less stringent levels or
project, these EHS Guidelines are applied as required by their measures than those provided in these EHS Guidelines are
respective policies and standards. These industry sector EHS appropriate, in view of specific project circumstances, a full and
guidelines are designed to be used together with the General detailed justification for any proposed alternatives is needed as
EHS Guidelines document, which provides guidance to users on part of the site-specific environmental assessment. This
common EHS issues potentially applicable to all industry sectors. justification should demonstrate that the choice for any alternate
For complex projects, use of multiple industry-sector guidelines performance levels is protective of human health and the
may be necessary. A complete list of industry-sector guidelines environment.
can be found at:
www.ifc.org/ifcext/enviro.nsf/Content/EnvironmentalGuidelines Applicability
The EHS Guidelines contain the performance levels and The EHS Guidelines for Toll Roads include information relevant
measures that are generally considered to be achievable in new to construction, operation and maintenance of large, sealed road
projects / facilities by existing technology at reasonable costs. projects including associated bridges and overpasses.2 Issues
Application of the EHS Guidelines to existing facilities may associated with the construction and operation of maintenance
involve the establishment of site-specific targets, with an facilities are addressed in the General EHS Guidelines. Issues
appropriate timetable for achieving them. The applicability of the associated with sourcing of construction materials are presented
EHS Guidelines should be tailored to the hazards and risks in the EHS Guidelines for Construction Materials Extraction,
established for each project on the basis of the results of an while those related to vehicle service areas are included in the
environmental assessment in which site-specific variables, such EHS Guidelines for Retail Petroleum. This document is organized
as host country context, assimilative capacity of the environment, according to the following sections:

Section 1.0 — Industry-Specific Impacts and Management

1 Defined as the exercise of professional skill, diligence, prudence and foresight that Section 2.0 — Performance Indicators and Monitoring
would be reasonably expected from skilled and experienced professionals engaged in Section 3.0 — References and Additional Sources
the same type of undertaking under the same or similar circumstances globally. The
circumstances that skilled and experienced professionals may find when evaluating Annex A — General Description of Industry Activities
the range of pollution prevention and control techniques available to a project may
include, but are not limited to, varying levels of environmental degradation and
environmental assimilative capacity as well as varying levels of financial and technical 2Elements of this Guideline document apply to smaller scale and / or unsealed road
feasibility. projects.

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1.0 Industry-Specific Impacts Habitat Alteration and Fragmentation

and Management Disruption of terrestrial and aquatic habitats can occur both

The following section provides a summary of EHS issues during construction of a road and during maintenance of the

associated with road projects, which occur during the right-of-way.

construction and operation phase, along with recommendations

for their management. Recommendations for the management of Road Construction
EHS issues during the decommissioning phase are provided in Construction activities along a road alignment may adversely
the General EHS Guidelines. affect wildlife habitats, depending on the characteristics of
existing vegetation, topographic features, and waterways.
Examples of habitat alteration from these activities include
1.1 Environment
fragmentation of forested habitat; loss of nesting sites of listed
Environmental issues during the construction and operation of rare, threatened, or endangered species and / or high
roads are similar to those of other large infrastructure projects biodiversity / sensitive habitat; disruption of watercourses;
involving significant earth moving and civil works and their creation of barriers to wildlife movement; and visual and auditory
prevention and control recommendations are presented in the disturbance due to the presence of machinery, construction
General EHS Guidelines. These impacts include, among workers, and associated equipment. In addition, sediment and
others, construction site waste generation; soil erosion and erosion from construction activities and stormwater runoff may
sediment control from materials sourcing areas and site increase turbidity of surface waters.
preparation activities; fugitive dust and other emissions (e.g.
Management practices to prevent and control impacts to
from vehicle traffic, land clearing and movement, and materials
terrestrial and aquatic habitats include:
stockpiles); noise from heavy equipment and truck traffic; and
potential hazardous materials and oil spills associated with • Siting roads and support facilities to avoid critical terrestrial
heavy equipment operation and fuelling activities. and aquatic habitat (e.g. old-growth forests, wetlands, and
fish spawning habitat) utilizing existing transport corridors
Environmental issues specific to construction and operation of
whenever possible;
roads include the following:
• Design and construction of wildlife access to avoid or
• Habitat alteration and fragmentation minimize habitat fragmentation, taking into account motorist
• Stormwater safety and the behavior and prevalence of existing species.
• Waste Possible techniques for terrestrial species may include
• Noise wildlife underpasses, overpasses, bridge extensions,
• Air emissions viaducts, enlarged culverts, and fencing. Possible
• Wastewater techniques for aquatic species include bridges, fords, open-
bottom or arch culverts, box and pipe culverts;3

3 Additional information on the design of wildlife crossing and passage

structures is available in “Chapter 3: Designing for Environmental Stewardship in

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• Avoidance or modification of construction activities during safety may, by removing unnecessary amounts of vegetation,
the breeding season and other sensitive seasons or times of result in the continual replacement of successional species and
day to account for potentially negative effects; an increased likelihood of the establishment of invasive species.
• Preventing short and long term impacts to the quality of Management practices to prevent, minimize, and control impacts
aquatic habitats by minimizing clearing and disruption of from rights-of-way maintenance include:
riparian vegetation; providing adequate protection against
• Implementation of integrated vegetation management (IVM).
scour and erosion; and giving consideration to the onset of
o From the edge of the road area to the boundary of the
the rainy season with respect to construction schedules;4
right-of-way, vegetation is structured with smaller
• Minimizing removal of native plant species, and replanting of
plants near the road and larger trees further away to
native plant species in disturbed areas;
provide habitats for a wide variety of plants and
• Exploring opportunities for habitat enhancement through
animals7
such practices as the placement of nesting boxes in rights-
o Planting of native species and removal of invasive
of-way, bat boxes underneath bridges, and reduced mowing
plant species8
to conserve or restore native species;5
o Use of biological, mechanical, and thermal vegetation
• Management of construction site activities as described in
control measures where practical, and avoiding use of
relevant sections of the General EHS Guidelines.
chemical herbicides

Right-of-Way6 Maintenance
An integrated approach to vegetation management may indicate
Regular maintenance of vegetation within road rights-of-way is
that use of herbicides is the preferred approach to control fast-
necessary to avoid interference with vehicle travel and road
growing vegetation within road rights-of-way. In this case, users
maintenance. Unchecked growth of trees and plants can cover
(e.g. road owners or contractors) should take the following
signals and signs, restrict motorist visibility, and fall onto the road
precautions:
and overhead power lines.
• Training of personnel to apply herbicides and ensure that
Regular maintenance of rights-of-way to control vegetation may
personnel have received applicable certifications or
involve the use of mechanical methods (e.g. mowing), manual
methods (e.g. hand pruning), and the use of herbicides.
Vegetation maintenance beyond that which is necessary for
7 Mowing can be used to control growth of ground covers, minimize propagation
of plants in the track area, and prevent the establishment of trees and shrubs in
Construction and Maintenance” of Environmental Stewardship Practices, rights-of-way. Herbicides, in combination with mowing, can control fast-growing
Procedures, and Policies for Highway Construction and Maintenance, National weedy species that have a potential to mature to heights over those permitted
Cooperative Highway Research Program (NCHRP) Project 25-25 (04) and within the right-of-way. Trimming and pruning can be utilized at the boundaries
Evink, G. (2002) of rights-of-way to maintain corridor breadth and prevent the encroachment of
4 Additional information on techniques for the protection of riparian and wetland tree branches. Hand removal or removal of vegetation, while labor intensive, can
areas is provided in Chapter 3 and Chapter 4, NCHRP Project 25-25 (04) and be used in the vicinity of structures, streams, fences, and other obstructions that
Nova Scotia Department of Transportation and Public Works Environmental make the use of machinery difficult or dangerous.
Protection Plan (http://www.gov.ns.ca/tran/enviroservices) 8 Dense, thorny native shrubs can be used to help deter trespassers. Native
5 Examples of additional habitat restoration strategies are presented in Chapter plants can also help to stabilize soils, reducing erosion. Waste from removal of
3 and Chapter 10, NCHRP Project 25-25 (04) invasive species should be disposed of (e.g. by incineration or at a landfill) to
6 Also known as a “wayleave” or “easement” in some countries, but referred to avoid accidental spreading of the weeds to new sites. Invasive species should
as right-of-way for the purposes of these Guidelines. be removed during flowering periods to avoid dispersal of seeds.

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equivalent training where such certifications are not • Contamination of soils, groundwater, or surface water
required;9 resources, due to accidental spills during transfer, mixing,
• Compliance with international restrictions on pesticide use;10 and storage of herbicides, should be prevented by following
• Restriction of herbicide use to those that are manufactured the hazardous materials storage and handling management
under license, and registered / approved by the appropriate practices in the General EHS Guidelines.
authority and in accordance with the Food and Agriculture
Organization’s (FAO) International Code of Conduct on the Stormwater
Distribution and Use of Pesticides;11 Construction or widening of sealed roads increases the amount

• Use only of herbicides that are labeled in accordance with of impermeable surface area, which increases the rate of surface

international standards and norms, such as the FAO water runoff. High stormwater flow rates can lead to stream

Revised Guidelines for Good Labeling Practice for erosion and flooding. Stormwater may be contaminated with oil

Pesticides;12 and grease, metals (e.g. lead, zinc, copper, cadmium, chromium,

• Review of manufacturer’s directions on maximum and nickel), particulate matter and other pollutants released by

recommended dosage or treatment, as well as published vehicles on the roadway, in addition to deicing salts (e.g. sodium

reports on reduced rate of herbicide application without loss chloride and magnesium chloride) and their substitutes (e.g.

of effect,13 and application of the minimum effective dose; calcium magnesium acetate and potassium acetate) from road
maintenance facilities in colder climates. Stormwater may also
• Application of herbicides based on criteria (e.g. field
contain nutrients and herbicides used for management of
observations, weather data, time of treatment, and dosage)
vegetation in the rights-of-way.
and maintenance of a pesticide logbook to record such
information; In addition to the management practices for stormwater during
• Selection of application technologies and practices designed construction and operations presented in the General EHS
to reduce unintentional drift or runoff; Guidelines, practices applicable to roadways include the
• Maintenance and calibration of herbicide application following:14
equipment in accordance with manufacturer’s
recommendations; General Stormwater Management
• Establishment of untreated buffer zones or strips along • Use of stormwater management practices that slow peak
water sources, rivers, streams, ponds, lakes, and ditches to runoff flow, reduce sediment load, and increase infiltration,
help protect water resources; including vegetated swales (planted with salt-resistant
vegetation); filter strips; terracing; check dams; detention
9 Examples of certification schemes are provided by the US EPA Certification of
ponds or basins; infiltration trenches; infiltration basins; and
Pesticide Applicators (40 CFR 171), which categorizes pesticides as either
“unclassified” or “restricted” and requires workers that apply unclassified constructed wetlands;
pesticides to be trained according to the Worker Protection Standard (40 CFR
Part 170) for Agricultural Pesticides. It further requires restricted pesticides to be • Where significant oil and grease is expected, using oil /
applied by or in the presence of a certified pesticide applicator.
10 Stockholm Convention on Persistent Organic Pollutants (2001). water separators in the treatment activities;
11 FAO (2002a)
12 FAO (2002b)
13 Danish Agricultural Advisory Service (DAAS) (2000)

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• Regular inspection and maintenance of permanent erosion • Primary use of mechanical deicing methods (e.g. sweepers
and runoff control features; and plows) complemented by chemical means if necessary;
• Pre-treating of pavement surfaces with anti-icing methods
Road Paving 15 prior to the onset of snow or ice to reduce the need for
• Paving in dry weather to prevent runoff of asphalt or cement subsequent applications and allow for easy removal;
materials; • Selectively applying anti-icing and deicing agents based on
• Use of proper staging techniques to reduce the spillage of expected pavement temperatures and the use of road
paving materials during the repair of potholes and worn weather information systems;
pavement. This may include covering storm drain inlets and • Training employees in the application of anti-icing and
manholes during paving operations; using erosion and deicing agents at optimum rates and times, and routinely
sediment control measures to decrease runoff from repair calibrating deicer application equipment;
sites; and utilizing pollution prevention materials (e.g. drip • Selecting the type of anti-icing and deicing agents based on
pans and absorbent material on paving machines) to limit the location of environmentally sensitive areas and the
leaks and spills of paving materials and fluids; potential impacts of the particular agent;17
• Reducing the amount of water used to control dust, and • Designing roads and bridges to minimize the accumulation
using sweeping practices rather than washing. Collecting of drifting snow on the roadway;18
and returning swept material to aggregate base or disposing • Designing drainage and site reinstatement to minimize
as solid waste, as described in the General EHS impacts of anti-icing and deicing agent runoff to surface
Guidelines; water and vegetation.19
• Avoiding the generation of contaminated runoff from
cleaning of asphalt equipment by substituting diesel with Waste
vegetable oil as a release and cleaning agent; containing Solid waste may be generated during construction and
cleaning products and contaminated asphalt residues; maintenance of roads and associated structures. Significant
scraping before cleaning; and conducting cleaning activities quantities of rock and soil materials may be generated from earth
away from surface water features or drainage structures. moving during construction activities. Solid waste generation
during operation and maintenance activities may include road
Road Deicing resurfacing waste (e.g. removal of the old road surface material);
Colder climates may require the clearing of snow and ice from
road surfaces during winter months. Stormwater management
(2002) and Chapter 8: Winter Operations and Salt, Sand, and Chemical
recommendations in this context include:16 Management of NCHRP Project 25-25 (04)
17 Salts and acetates can create potentially negative consequences to soil and
aquatic environments and should be carefully selected based on site specific
circumstances, such as distance to receiving water bodies and the type of local
14 The adoption of specific recommendations should be based on an aquatic habitat.
identification of environmentally sensitive areas along the transport corridor. 18 Specific design recommendations applicable to roadway and bridge
15 Additional recommendations on paving activities management are presented structures, the use of structural or living fences, and other methods are provided
in “Chapter 5: Pavement Materials and Recycling” of NCHRP Project 25-25 (04) in numerous sources including “Chapter 3: Designing for Environmental
16 Additional recommendations on the management of road de-icing methods Stewardship in Construction and Maintenance” of NCHRP Project 25-25 (04)
provided in “Source Water Protection Practices Bulletin: Managing Highway 19 Specific stormwater management design recommendations for roads are
Deicing to Prevent Contamination of Drinking Water” USEPA 816-F-02-019 available in numerous sources including Chapter 3 of NCHRP Project 25-25 (04)

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road litter, illegally dumped waste, or general solid waste from product should be managed as a hazardous waste as
rest areas; animal carcasses; vegetation waste from right-of-way described in the General EHS Guidelines;
maintenance; and sediment and sludge from stormwater • Collecting animal carcasses in a timely manner and
drainage system maintenance (including sediment traps and oil / disposing through prompt burial or other environmentally
water separation systems). Paint waste may also be generated safe methods;
from road and bridge maintenance (e.g. due to removal of old • Composting of vegetation waste for reuse as a landscaping
paint from road stripping and bridges prior to re-painting). Waste fertilizer;
management strategies include: • Managing sediment and sludge removed from storm
drainage systems maintenance activities as a hazardous or
Construction Phase non-hazardous waste (see General EHS Guidelines) based
• Management of construction site excavation materials on an assessment of its characteristics.
according to the recommendations of the EHS Guidelines
for Construction Materials Extraction and the General
Painting Activities
EHS Guidelines; • Management of all removed paint materials suspected or
confirmed of containing lead as a hazardous waste;
Road Resurfacing • Use of a system to collect paint waste when removing old
• Maximizing the rate of recycling of road resurfacing waste paint containing lead. For a simple scraping operation,
either in the aggregate (e.g. reclaimed asphalt pavement or ground-covering tarps may be sufficient. For a blasting
reclaimed concrete material) or as a base; operation, an enclosure with a negative pressure ventilation
• Incorporating recyclable materials (e.g. glass, scrap tires, system may be necessary;
certain types of slag and ashes) to reduce the volume and • Grinding of removed, old road surface material and re-use in
cost of new asphalt and concrete mixes.20 paving, or stockpiling the reclaim for road bed or other uses.
Old, removed asphalt may contain tar and polycyclic
Miscellaneous Wastes aromatic hydrocarbons and may require management as a
• Collecting road litter or illegally dumped waste and hazardous waste.
managing it according to the recommendations in the
General EHS Guidelines. Provision of bottle and can Noise
recycling and trash disposal receptacles at parking lots to Traffic noise is generated by vehicle engines, emission of
avoid littering along the road; exhaust, aerodynamic sources, and tire / pavement interaction.
• Manage herbicide and paint inventories to avoid having to For vehicle speeds over 90 kilometers per hour (km/h), the noise
dispose of large quantities of unused product. Obsolete from the tire / pavement interaction predominates.21 Traffic noise
can be a significant nuisance and may be loud enough to

20 Additional information on the reuse of reclaimed concrete or asphalt and the 21 The noise level is influenced by the type, volume, and speed of traffic (e.g.
use of recyclable materials in the aggregate is provided in numerous sources one five-axel truck sounds about as loud as 28 cars when traveling at 90 km/hr).
including “Chapter 5: Pavement, Materials, and Recycling” of NCHRP Project US Department of Transportation, Federal Highway Administration. Highway
25-25 (04) Traffic Noise. http://www.fhwa.dot.gov/environment/htnoise.htm .

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interfere with normal conversation22 and can cause stress in Air Emissions
children and raise blood pressure, heart rates, and levels of Air emissions are typically related to dust during construction and
stress hormones.23 Traffic noise levels are reduced by distance, exhaust from vehicles. Management practices for air emissions
terrain, vegetation, and natural and manmade obstacles. include:

Management practices to prevent, minimize, and control noise • Prevention and control of dust emissions during construction
include: and maintenance activities as described in the General EHS

• Consideration of noise impacts during road design to Guidelines;

prevent adverse impacts at nearby properties through the • Operation and maintenance of maintenance vehicle fleets
placement of the road right-of-way and / or through the according to the recommendations in the General EHS
design and implementation of noise control measures Guidelines;
discussed below.24, 25 • Consideration of design options for the reduction of traffic
• Design and implementation of noise control measures may congestion, including:
include the following: o Automated toll charging systems
o Construction of the road below the level of the o Availability of high-occupancy vehicle lanes
surrounding land o Minimizing grade changes, at-grade crossings, and
o Noise barriers along the border of the right-of way (e.g. sharp curves which can promote congestion
earthen mounds, walls, and vegetation)26 o Design of roadway to shed water, and prompt removal
o Insulation of nearby building structures (typically of snow to minimize rolling resistance, as well as to
consisting of window replacements) enhance safety
o Use of road surfaces that generate less pavement / tire o Maintenance of the road surface to preserve surface
noise such as stone-matrix asphalt27 characteristics (e.g. texture and roughness)

Wastewater
Wastewater discharges from maintenance facilities and from rest
22 At a distance of 50 ft, traffic noise ranges from about 70 dBA for cars to 90
areas should be managed according to the recommendations
dBA for heavy trucks.
23 Evans, Gary W. et al. (2001) provided in the General EHS Guidelines, and may include
24 For example, the U.S. Federal Highway administration has established noise
impact criteria, such as L 10 (sound level exceeded 10 percent of the time) = 70
connection to centralized wastewater collection and treatment
dBA for residential land use. A new road project should not cause a significant systems and / or use of properly designed and operated septic
increase in existing noise levels at nearby properties.
25 Traffic noise is generally not perceived as a nuisance for people who live systems.
more than 150 meters from heavily traveled highways or more than 30 to 60
meters from lightly traveled roads.
26 The most effective noise abatement measures include noise barriers and
mounds, which can reduce noise by 5 dBA or more. The cost of noise walls in 1.2 Occupational Health and Safety
the US has been estimated at $1.3 million per mile (NCHRP Project 25-25 (04))
27 Stone-matrix asphalt (SMA) is one of several alternative surfaces that can be
Guidance on the prevention and control of physical, chemical,
used in new roads or as surface treatment in existing roads to provide a quieter
surface. A double-layered porous asphalt construction results in a further and biological hazards common to most projects and facilities is
reduction of traffic noise, from 3 to 4 dBA at 50 km/h up to 5.5 dBA at 100 km/h
compared with regular asphalt and 7 to 12 dBA quieter than concrete presented in the General EHS Guidelines.
pavements (NSW Roads and Traffic Authority (RTA), 2005).

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Occupational health and safety issues associated with the from traffic vehicles, or installation of channeling
construction and operation of roads primarily include the devices(e.g. traffic cones and barrels) to delineate the
following: work zone
o Regulation of traffic flow by warning lights, avoiding the
• Physical hazards
use of flaggers if possible
• Chemical hazards
o Design of the work space to eliminate or decrease
• Noise
blind spots
• Reduction of maximum vehicle speeds in work zones;
Physical Hazards • Training of workers in safety issues related to their activities,
Road construction and maintenance personnel, as well as such as the hazards of working on foot around equipment
landscaping workers maintaining vegetation in the rights-of-way, and vehicles; and safe practices for work at night and in
can be exposed to a variety of physical hazards, principally from other low-visibility conditions, including use of high-visibility
operating machinery and moving vehicles but also working at safety apparel and proper illumination for the work space
elevation on bridges and overpasses. Other physical hazards (while controlling glare so as not to blind workers and
(e.g. exposure to weather elements, noise, work in confined passing motorists).
spaces, trenching, contact with overhead power lines, falls from
machinery or structures, and risk of falling objects) are discussed Elevated and Overhead Work
in the General EHS Guidelines. • The area around which elevated work is taking place should
be barricaded to prevent unauthorized access. Working
Management practices to prevent and control physical hazards
under personnel on elevated structures should be avoided;
include:
• Hoisting and lifting equipment should be rated and properly
maintained, and operators trained in their use. Elevating
Moving Equipment and Traffic Safety
platforms should be maintained and operated according to
• Development of a transportation management plan for road
established safety procedures including use of fall protection
repairs that includes measures to ensure work zone safety
measures (e.g. railings); equipment movement protocols
for construction workers and the traveling public;
(e.g. movement only when the lift is in a retracted position);
• Establishment of work zones to separate workers on foot
repair by qualified individuals; and installation of locks to
from traffic and equipment by:
avoid unauthorized use by untrained individuals;
o Routing of traffic to alternative roads when possible
• Ladders should be used according to pre-established safety
o Closure of lanes and diversion of traffic to the
procedures for proper placement, climbing, standing, as well
remaining lanes if the road is wide enough (e.g.
as the use of extensions.
rerouting of all traffic to one side of a multi-lane
highway) Fall Protection
o Where worker exposure to traffic cannot be completely
• Implementation of a fall protection program that includes
eliminated, use of protective barriers to shield workers training in climbing techniques and use of fall protection

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measures; inspection, maintenance, and replacement of fall • Use of millers and pavers with exhaust ventilation systems
protection equipment; and rescue of fall-arrested workers, and proper maintenance of such systems to maintain worker
among others; exposure to crystalline silica (millers and grinders) and
• Establishment of criteria for use of 100 percent fall protection asphalt fumes (pavers) below applicable occupational
(typically when working over 2 meters above the working exposure levels;
surface, but sometimes extended to 7 meters, depending on • Use of the correct asphalt product for each specific
the activity). The fall protection system should be application, and ensuring application at the correct
appropriate for the structure and necessary movements, temperature to reduce the fuming of bitumen during normal
including ascent, descent, and moving from point to point; handling;
• Installation of fixtures on bridge components to facilitate the • Maintenance of work vehicles and machinery to minimize air
use of fall protection systems; emissions;
• Safety belts should be not less than 16 millimeters (mm) (5/8 • Reduction of engine idling time in construction sites;
inch) two-in-one nylon or material of equivalent strength. • Use of extenders or other means to direct diesel exhaust
Rope safety belts should be replaced before signs of aging away from the operator;
or fraying of fibers become evident; • Ventilation of indoor areas where vehicles or engines are
• When operating power tools at height, workers should use a operated, or use of exhaust extractor hose attachments to
second (backup) safety strap. divert exhaust outside;
• Provision of adequate ventilation in tunnels or other areas
with limited natural air circulation;
Chemical Hazards
• Installation of tollbooth ventilation and air filtration systems;
Chemical hazards in road construction, operations, and
• Use of protective clothing when working with cutbacks (a
maintenance activities may be principally associated with
mixture of asphalt and solvents for the repair of pavement),
exposures to dust during construction and paving activities;
diesel fuel, or other solvents;
exhaust emissions from heavy equipment and motor vehicles
• Use of dustless sanding and blasting equipment and special
during all construction and maintenance activities (including
containment measures for paint removal activities28.
during work in tunnels or in toll collection booths); potentially
Avoiding the use of lead-containing paint and using
hazardous dust generated during bridge paint removal; herbicide
appropriate respiratory protection when removing paints
use during vegetation management; and diesel fuel used as a
(including those containing lead in older installations) or
release and cleaning agent for paving equipment. General
when cutting galvanized steel.
recommendations for hazardous materials management and
chemicals hazard management are provided in the General EHS
Guidelines.

Recommendations specific to road projects include: 28Examples of enclosures used in paint removal activities include total
enclosures with dust collector systems (for abrasive blasting), impermeable
curtains (for wet abrasive blasting), or vacuum equipped power and blasting
tools (Minnesota Pollution Control Agency http://www.pca.state.mn.us/air/lead-
class.html)

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Noise separated from the roadway), and safe crossings (preferably

Construction and maintenance personnel may be potentially over or under the roadway) for pedestrians and bicyclists
exposed to extremely high levels of noise from heavy equipment during construction and operation. Crossing locations should

operation and from working in proximity to vehicular traffic. As take into account community preferences, including those

most of these noise sources cannot be prevented, control related to convenience or personal safety (e.g. the
measures should include the use of personal hearing protection prevalence of crime at potential crossing point locations).
by exposed personnel and implementation of work rotation • Installation of barriers (e.g. fencing, plantings) to deter
programs to reduce cumulative exposure. Additional pedestrian access to the roadway except at designated
recommendations on the management of occupational noise are crossing points;
provided in the General EHS Guidelines. • Installation and maintenance of speed control and traffic
calming devices at pedestrian crossing areas;

1.3 Community Health and Safety • Installation and maintenance of all signs, signals, markings,
and other devices used to regulate traffic, specifically those
Community health and safety issues during the construction of
related to pedestrian facilities or bikeways.29
roads are common to those at most large construction sites, and
are discussed in the General EHS Guidelines. These impacts Traffic Safety
include, among others, dust, noise, and vibration from Collisions and accidents can involve a single or multiple vehicles,
construction vehicle transit, and communicable disease pedestrians or bicyclists, and animals. Many factors contribute to
associated with the influx of temporary construction labor. traffic accidents. Some are associated with the behavior of the
Significant community health and safety issues associated with driver or the quality of the vehicle, while others are linked to the
road projects may also include: road design, or construction and maintenance issues.

• Pedestrian safety Recommendations to prevent, minimize, and control risks to the

community from traffic accidents include:
• Traffic safety
• Emergency preparedness • Installation and maintenance of all signs, signals, markings,
and other devices used to regulate traffic, including posted
Pedestrian Safety speed limits, warnings of sharp turns, or other special road
Pedestrians and bicyclists are at greatest risk of serious injury conditions;30
from collisions with moving vehicles. Children are generally the
• Setting of speed limits appropriate to the road and traffic
most vulnerable due to lack of experience and knowledge of conditions;
traffic related hazards, their behavior while at play, and their small
size making them less visible to motorists. Recommended
29 As required by public agencies with jurisdiction over the project site. In their
pedestrian safety management strategies include the following: absence, project developers and operators should refer to sources from well
developed regulatory frameworks such as the US Code of Federal Regulations
(CFR) Part 655, Subpart F and the Manual on Uniform Traffic Control Devices
for Streets and Highways (MUTCD, 2003)
• Provision of safe corridors along the road alignment and 30 Based on local regulatory requirements or, in their absence, sources such as
construction areas, including tunnels and bridges (e.g. paths the US Code of Federal Regulations (CFR) Part 655, Subpart F and the Manual
on Uniform Traffic Control Devices for Streets and Highways (MUTCD, 2003)

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• Design of roadways to accommodate anticipated traffic 2.0 Performance Indicators and

volume and flow; Monitoring
• Maintenance of the road to prevent mechanical failure of
vehicles due to road conditions; 2.1 Environment
• Construction of roadside rest areas at strategic locations to
minimize driver fatigue; Emissions and Effluent Guidelines
• Installation of measures to reduce collisions between Roads do not typically give rise to significant point source air

animals and vehicles (e.g. use of signs to alert drivers on emissions or effluents. Instead, operators should apply the

road segments where animals frequently cross; construction principles and guidelines described above and in the General

of animal crossing structures; installation of fencing along EHS Guidelines, especially with regard to emissions or effluents

the roadway to direct animals toward crossing structures; from road maintenance facilities.

and use of reflectors along the roadside to deter animal

crossings at night when vehicles are approaching); Environmental Monitoring
• Targeting elimination of at-grade rail crossings; Environmental monitoring programs for this sector should be

• Targeting the use of a real-time warning system with implemented to address all activities that have been identified to
signage to warn drivers of congestion, accidents, adverse have potentially significant impacts on the environment, during
weather or road conditions, and other potential hazards normal operations and upset conditions. Monitoring frequency
ahead. should be sufficient to provide representative data for the
parameter being monitored. Monitoring should be conducted by
Emergency Preparedness trained individuals following monitoring and record-keeping
Emergency situations most commonly associated with road procedures and using properly calibrated and maintained
operations include accidents involving single or multiple vehicles, equipment. Monitoring data should be analyzed and reviewed at
pedestrians, and / or the release of oil or hazardous materials. regular intervals and compared with the operating standards so
Road operators should prepare an emergency preparedness and that any necessary corrective actions can be taken. Additional
response plan in coordination with the local community and local guidance on applicable sampling and analytical methods for
emergency responders to provide timely first aid response in the emissions and effluents is provided in the General EHS
event of accidents and hazardous materials response in the Guidelines.
event of spills.

2.1 Occupational Health and Safety

Occupational Health and Safety Guidelines

Occupational health and safety performance should be
evaluated against internationally published exposure guidelines,
of which examples include the Threshold Limit Value (TLV®)

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occupational exposure guidelines and Biological Exposure guidance on occupational health and safety monitoring programs
Indices (BEIs®) published by American Conference of is provided in the General EHS Guidelines.
Governmental Industrial Hygienists (ACGIH),31 the Pocket
Guide to Chemical Hazards published by the United States
National Institute for Occupational Health and Safety (NIOSH),32
Permissible Exposure Limits (PELs) published by the
Occupational Safety and Health Administration of the United
States (OSHA),33 Indicative Occupational Exposure Limit Values
published by European Union member states,34 or other similar
sources

Accident and Fatality Rates

Projects should try to reduce the number of accidents among
project workers (whether directly employed or subcontracted) to
a rate of zero, especially accidents that could result in lost work
time, different levels of disability, or even fatalities. Facility rates
may be benchmarked against the performance of facilities in this
sector in developed countries through consultation with
published sources (e.g. US Bureau of Labor Statistics and UK
Health and Safety Executive)35.

Occupational Health and Safety Monitoring

The working environment should be occupational hazards
relevant to the specific project. Monitoring should be designed
and implemented by accredited professionals36 as part of an
occupational health and safety monitoring program. Facilities
should also maintain a record of occupational accidents and
diseases and dangerous occurrences and accidents. Additional

31 Available at: http://www.acgih.org/TLV/ and http://www.acgih.org/store/

32 Available at: http://www.cdc.gov/niosh/npg/
33 Available at:

http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDAR
DS&p_id=9992
34 Available at: http://europe.osha.eu.int/good_practice/risks/ds/oel/
35 Available at: http://www.bls.gov/iif/ and

http://www.hse.gov.uk/statistics/index.htm
36 Accredited professionals may include Certified Industrial Hygienists,

Registered Occupational Hygienists, or Certified Safety Professionals or their

equivalent.

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3.0 References and Additional Sources

Austroads, Inc. 2003. Guidelines for Treatment of Stormwater Runoff from the Nova Scotia Department of Transportation and Public Works. Environmental
Road Infrastructure: AP-R232/03. Sydney, NSW: Austroads. Available at Protection Plan (EPP). Available at
http://www.onlinepublications.austroads.com.au/script/details.asp?DocN=AR0000 http://www.gov.ns.ca/tran/enviroservices/govEPP100.asp
047_0904
NSW Roads and Traffic Authority (RTA). 2005. RTA Roadworks QA
California Department of Health Services (CDHS). 2002. Occupational Health Specification. R44 (Ed 3 Rev 6) Earthworks (Cut, Fill, Imported Fill and Imported
Branch, Hazard Evaluation System & Information Service. Diesel Engine Selected Material). Sydney, NSW: RTA. Available at
Exhaust. Oakland, CA: CDHS. Available at http://www.rta.nsw.gov.au/doingbusinesswithus/specifications/roadworks.html
http://www.dhs.ca.gov/ohb/HESIS/diesel.pdf
Reijnen, R., R. Foppen, G. Veenbaas. 1997. Disturbance by traffic of breeding
Danish Agricultural Advisory Service (DAAS). 2000. Manuals of Good Agricultural birds: Evaluation of the effect and considerations in planning and managing road
Practice from Denmark, Estonia, Latvia, and Lithuania. Aarhus: DAAS. Available corridors. Biodiversity and Conservation. Vol. 6: No. 4 (1997), pp. 567-581
at http://www.lr.dk/international/informationsserier/intfbdiv/cgaps.htm
United Nations Environmental Programme (UNEP). Stockholm Convention on
European Commission (EC). 2002. Council Directive 2002/49/EC of the European Persistent Organic Pollutants (POPs). See http://www.pops.int/
Parliament and of the Council of 25 June 2002 relating to the Assessment and
Management of Environmental Noise. Available at United States (US) Code of Federal Regulations (CFR). Title 49 –Transportation.
http://ec.europa.eu/environment/noise/home.htm Part 655—Prevention Of Alcohol Misuse And Prohibited Drug Use In Transit
Operations. Subpart F: Drug and Alcohol Testing Procedures. Available at
EC. 2000. Council Directive 2000/14/EC of the European Parliament and of the http://ecfr.gpoaccess.gov/cgi/t/text/text-
Council of 8 May 2000 on the approximation of the laws of the Member States idx?c=ecfr&sid=3c6ce064410330589cc7b36c68100bcb&rgn=div5&view=text&nod
relating to the noise in environment by equipment for use outdoors. Available at e=49:7.1.1.1.14&idno=49
http://ec.europa.eu/environment/noise/pdf/d0014_en.pdf
US EPA. CFR. Title 40. Pesticide Programs. Subpart E. Part 170. Worker
EC. 1992. Council Directive 92/43/EEC of 21 May 1992 on the conservation of Protection Standard. Available at
natural habitats and of wild fauna and flora. Available at http://eur- http://www.epa.gov/pesticides/safety/workers/PART170.htm
lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31992L0043:EN:HTML
US EPA. CFR. Title 40. Pesticide Programs. Subpart E. Part 171. Certification of
Driscoll, E.D., P.E. Shelley, E.W. Strecker. 1990. Pollutant Loadings and Impacts Pesticide Applicators. Available at
from Highway Stormwater Runoff. Volume I: Design Procedure. United States http://www.access.gpo.gov/nara/cfr/waisidx_05/40cfr171_05.html
(US) Department of Transportation Federal Highway Administration. Publication
No. FHWA-RD-88-006. McLean, VA: FHWA. US Department of Health and Human Services, National Institute for Occupational
Safety and Health (NIOSH). 1997. Engineering Control Guidelines for Hot-Mix
Evans, G.W., P. Lercher, M. Meis, H. Ising, W. W. Kofler. 2001. Community noise Asphalt Pavers. Publication No. 97-105. January 1997. Washington, DC: NIOSH.
exposure and stress in children. Journal of the Acoustical Society of America.
Volume 109, Issue 3, pp. 1023-27 (2001). US Department of Health and Human Services, NIOSH. 2000. Health Effects of
Occupational Exposure to Asphalt. Publication No. 2001-110. Washington, DC:
Evink, G. 2002. National Cooperative Highway Research Program Synthesis 305. NIOSH.
Interaction between roadways and wildlife ecology: A synthesis of highway
practice. Transportation Research Board, Washington D.C. pp.78. US Department of Health and Human Services, NIOSH. 2001. Building Safer
Highway Work Zones: Measures to Prevent Worker Injuries from Vehicles and
Food and Agriculture Organization of the United Nations (FAO). 2002. Equipment. Publication No. 2001-128. Washington, DC: NIOSH.
International Code of Conduct on the Distribution and Use of Pesticides – revised
version. Adopted by the 123rd Session of the FAO Council in November 2002. US Department of Transportation, Federal Highway Administration (FHWA).
Rome, FAO. Available at http://www.fao.org/AG/magazine/mso35C.pdf 2001. Highway Effects on Vehicle Performance. FHWA-RD-00-164. Washington,
DC: FHWA
European Asphalt Pavement Association. 2005. Industry Statement on the
recycling of asphalt mixes and use of waste of asphalt pavements. Brussels: US Department of Transportation, FHWA. Highway Traffic Noise. See
European Asphalt Pavement Association. http://www.fhwa.dot.gov/environment/htnoise.htm.

Laborers’ Health & Safety Fund of North America (LHSFNA), American Road and US Department of Transportation, FHWA. 2003. Manual on Uniform Traffic
Transportation Builders Association (ARTBA), National Asphalt Pavement Control Devices (MUTCD). 2003 Edition, Revision 1. Washington, DC: FHWA.
Association (NAPA), and International Union of Operating Engineers (IUOE). Available at http://mutcd.fhwa.dot.gov/
2004. Roadway Safety. A Road Construction Consortium Training Program. US EPA. 2002. Water Protection Practices Bulletin. Managing Highway Deicing to
Washington, DC. Available at http://wzsafety.tamu.edu/ Prevent Contamination of Drinking Water. US EPA 816F02019. Washington, DC:
National Cooperative Highway Research Program (NCHRP). 2004. Environmental US EPA.
Stewardship Practices, Procedures, and Policies for Highway Construction and US EPA. Certification and Training/Restricted-Use Pesticides. Available at
Maintenance. Project 25-25(4). Available at http://www.epa.gov/oecaagct/tpes.html#Certification%20and%20Training/Restrict
http://trb.org/news/blurb_detail.asp?id=4501 ed-Use%20Pesticides
National Directorate of Roads and Bridges (DNEP) Mozambique. 1998. Field
Manual of Environmental Guidelines for Roadworks in Mozambique.
New South Wales (NSW) Environment Protection Authority (EPA). 1999.
Environmental Criteria for Road Traffic Noise. Sydney, NSW: Australia. Available
at http://www.environment.nsw.gov.au/noise/traffic.htm

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Annex A: General Description of Industry Activities

Road project infrastructure typically includes the rights-of-way, The sub-base layer is designed to evenly spread the load of the
the roadway, junctions, tunnels, bridges, maintenance facilities, pavement and the traffic to the ground below. Both bound and
parking lots, and toll plazas in the case of toll roads. Road unbound materials are used for construction of sub-base.
projects may include provisions for bicycles and pedestrians, Unbound materials consist of aggregates which are loose and do
such as designated bicycle lanes or shared-use paths separated not bind or adhere to neighboring particles when laid and
from the roadway. Some road projects may also involve the compacted. The material is typically crushed stone, slag, or
construction and operation of vehicle service areas. concrete. For bound materials, a binder, usually cement, is
added to bind the aggregates together, thus allowing heavier
Direct land requirements for roads typically range from about 9
loads but also reducing drainage. Crushed stone, slag, and
hectares (ha) per kilometer (km) for two lanes in each direction
building material can be used as components in bound materials.
to 12 ha / km for four lanes in each direction.37 The width of the
rights-of-way may need to be sufficient to include traffic lanes, The base course is the strengthening layer of the pavement. The
shoulders, grass strips, sidewalks and cycle lanes, public utility material used is similar to that of the sub-base, but the size of
facilities, and outer slopes. In hilly terrain, the required right-of- particles is more uniform. Asphalt or concrete can be used as a
way varies considerably as the roadway passes areas that binding medium.
require landscapes to be cut and filled, however tunnels are
often preferred to avoid steep up and down sections on roads. Wearing layer
The wearing course is the top layer of asphalt or concrete. The
Design and Construction top layer needs to be even to provide a smooth ride for cars and
Generally, modern roads are constructed as all-weather roads trucks. Asphalt is the most common material for the wearing
with a hard surface pavement, usually asphalt or concrete. A course. The basic input materials used in asphalt preparation are
paved roadway typically consists of three layers above the sub- hot liquid bitumen and aggregates (e.g. sand and crushed
grade: the sub-base, base course, and wearing course. Each stone).
layer is compacted by a roller before proceeding with the next
course. Asphalt
Hot mix asphalt is a highly technical mixture of strictly specified
Sub-grade, Sub-base, and Base layers materials (e.g. the tolerance for the aggregates is often less than
The sub-grade is earth that has been graded to the desired 5 percent for the shape, size, hardness, and wear index) The
elevation. The soil may need to be amended with stabilizing variety of mix types is practically limitless, depending on its
additives (e.g. lime, portland cement, or fly ash) to provide position in the road structure (e.g. base or wearing course), on
adequate, uniform support to the overlying road structure. its particular function (e.g. intensity of traffic, anti-skid properties,
noise reduction), on climatic conditions (e.g. from freezing to
high temperatures), and on the nature of raw materials locally
available (e.g. limestone or granite quarries, types of bitumen).
37 EEA, 1998.

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Other materials, such as broken asphalt (taken from a road that Concrete
has been ripped up), sulphur, rubber, and foundry sands can be Concrete may be chosen for the wearing course, especially for
added to the basic mix without compromising the final asphalt roads carrying high traffic volume and heavy truck traffic,
quality. principally because of its durability, long life (usually 20 – 30

Asphalts are grouped by their content and the size of stones years), and generally lower maintenance needs compared to

(aggregates). Many types of asphalts have been developed to asphalt paving. Concrete typically generates higher levels of tire

satisfy desired requirements depending on climate conditions, / pavement noise and is more expensive to install than asphalt.

traffic loads, and other specific parameters. Two types of asphalt The sub-grade, sub-base, and base layers supporting concrete
that are common in modern road work are stone mastic asphalt paving are similar to those described above for asphalt paving.
(SMA) and porous asphalt. Because of the rigidity of concrete pavement, loads are spread

SMA consists of a coarse aggregate skeleton bound with mastic over a large area and pressures on the subgrade are relatively

consisting of crushed rock fines, filler, and bitumen. The stone to low. A sub-base may be omitted when constructing concrete

stone contact of the coarse aggregate ensures a very durable roads designed for light traffic. For large road projects, the

matrix that is resistant to age hardening, and capable of high concrete slab is usually laid down by slip-form paving equipment,

resistance to deformation. Consequently, it is resistant to which form and consolidate fresh concrete as they move along

cracking, ravelling, and damage by moisture. the right-of-way. The pavement surface is textured to enhance
wet and dry weather traction. Contraction and expansion joints
Increasing traffic volumes, particularly in countries with wet
are included at regular intervals to relieve stresses and prevent
climates, have led to the development of porous asphalt (PA).
cracking of the concrete slab.
PA consists primarily of gap-graded aggregates bound together
by a polymer modified binder to form a matrix with
Pavement Marking
interconnecting voids through which water can pass.
Pavement striping is used for lane stripes and other pavement
The main difference between SMA and PA is in the percentage markings to guide motorists. Other pavement markers are used
of voids in the mix. PA has a void content of at least 20 percent to supplement traffic signs. Markers may either be surface
compared with 3 to 6 percent for SMA. This higher void content mounted (raised) or placed in recessed slots in the pavement.
means that the PA greatly improves the rate of surface water
Markers are applied using bitumen / epoxy adhesives.
drainage, thereby reducing spray and headlight glare in wet
weather, improving skid resistance, and reducing the tendency
Toll stations
for hydroplaning. PA typically also generates lower tire /
Toll stations may be manually or electronically operated or a
pavement noise than other wearing course materials.
mixture of both. To avoid prolonged stops at the tollgates, the
Asphalt is normally applied within 30-50 km of the mixing plant, roadway expands into a toll plaza with several lanes. The plaza
however transport up to 100 km may be necessary in some design allows for traffic to safely separate and decelerate to the
cases. collection point and then accelerate and merge with the traffic
flow again. Manual collection of tolls is relatively slow, and

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therefore requires more toll booths / lanes than are required for Often, the removed pavement is ground at the job site, mixed
electronic systems to process the same number of vehicles. with beneficiating additives (e.g. virgin aggregate, binder, and /
or softening or rejuvenating agents to improve binder properties),

Operation and Maintenance and then used for re-paving the roadway. Milling and paving of

Operation and maintenance activities are numerous but mainly asphalt roads is often completed in a single pass. Resurfacing of

include road repair, snow and ice removal, bridge maintenance, a concrete roadway entails breaking and removal of the

and vegetation maintenance. concrete, compacting and amending the base material as
necessary, and then re-paving. Removed concrete is usually
Asphalt pavement is susceptible to cracking and other
crushed and recycled as sub-base material.
breakdowns that have to be repaired. Asphalt emulsions are
usually used to fill up small cracks. Cutbacks, which are a Snow / ice removal consists of plowing snow and ice from

mixture of asphalt and petroleum solvents, are not used as bridges, roadways, and shoulders. Wide ditches facilitate storage

frequently because of potential environmental effects of the for plowed snow, which otherwise would be piled along the edge

solvents. Repair tasks include equipment operation, sweeping, of the roadway or require removal. De-icing with chemicals (e.g.

application of asphalt, and compaction rolling. common salt [sodium chloride] or magnesium chloride) is used to
facilitate safe driving. Alternatives to chloride salts include
The most common location for repairs of concrete roadways is at
calcium magnesium acetate and potassium acetate. Spreading
the longitudinal joints, where moisture has the opportunity to
of sand or crushed stone is also used for increasing traffic safety.
enter the pavement system. Repairs are typically conducted by
However, sanding is less effective on highways because the
sawing through and removing the deteriorated concrete. The
sand can be displaced by vehicles traveling at high speeds.38
existing base material is compacted, and additional material
added if necessary. Load transfer is re-established in the Steel bridges are generally painted with a multi-coat paint

patched area by means of reinforcement (e.g. tiebars and system to resist corrosion. In order to keep a high-quality

dowels). The new concrete is textured to match the surface of protection against deterioration, new paint has to be applied

the existing roadway. Diamond grinding is also used to restore regularly. If the old paint is in good condition it can be

surface properties (e.g. reducing bumps and dips and restoring overcoated, otherwise it has to be removed before the new paint

surface roughness). can be applied. Old paints may contain lead.

When the road surface deteriorates to the extent that spot Vegetation in the rights of way requires periodic maintenance to

repairs and surface treatments are not useful, resurfacing is enhance aesthetics and to prevent potential safety hazards (e.g.

necessary. For asphalt pavement, resurfacing is most often reduced visibility, obstruction of signs, and debris in the

accomplished by use of milling machines, which remove the top roadway). Vegetation maintenance typically includes mechanical

layer of pavement. The removed pavement can be transported mowing, trimming, removal of brush, cleanup, and removal of

off site and crushed or otherwise processed to make it useable trees when necessary.

as sub-base or other material.

38 University of New Hampshire, 2001.

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GOOD PRACTICE NOTE

Environmental, Health, and Safety

Approaches for Hydropower Projects

MARCH 2018
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March 2018

Cover: Shutterstock

Photo credits: World Bank Group Photo Collections & Shutterstock

Table of Contents

Acknowledgments iii
Foreword iv
List of Abbreviations and Acronyms v
Introduction vii
1. I ndustry-Specific Impacts and Management 1
1.1 Environment 1
1.1.1 General Principles for Identification and Management of Environmental Risks and Impacts 2
1.1.2 Watershed Management 3
1.1.3 Habitat Conversion 5
1.1.4 Changes in Instream Flow 5
1.1.5 Connectivity and Fish Entrainment 9
1.1.6 Stream Morphology and Sediment Management 11
1.1.7 General Pollution Prevention and Control and Reservoir Management 13
1.2 Occupational Health and Safety 21
1.2.1 Construction OHS Aspects 22
1.2.2 Rock Slide and Snow Avalanche Management 25
1.2.3 Operation OHS Aspects 25
1.3 Community Health and Safety 26
1.3.1 Dam Safety and Emergency Preparedness and Response 26
1.3.2 Reservoir and Infrastructure Safety 29
1.3.3 Reservoir Slope Failures 30
1.3.4 General Health Issues 31
2. Performance Indicators and Monitoring 33
2.1 Environment 33
2.1.1 Emissions and Effluent Guidelines 33
2.1.2 Environmental Monitoring 33

Table of Contents | i
 2.2 Occupational Health and Safety Performance 36
2.2.1 Occupational Health and Safety Guidelines 36
2.2.2 Accident and Fatality Rates 37
2.2.3 Occupational Health and Safety Monitoring 37
3. References and Additional Resources 39

Annex A: G
 eneral Description of Industry Activity 47
Annex B: S
 uggested Aspects of an Environmental Impact Assessment of Hydropower Projects 51
Annex C: A
 ssessment and Provision of Instream Environmental Flows (EFlows) 54
Annex D: Glossary 60

ii | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
Acknowledgments

This IFC Good Practice Note on Environmental, Health, and Safety Approaches for Hydropower Projects (2018) is
part of the Good Practice Series, which provides guidance from the Environment, Social and Governance Sustainability
Advice & Solutions Department of the International Finance Corporation (IFC). The Good Practice Series seeks to share
information about private sector approaches to addressing a range of environmental and social issues that IFC believes
demonstrate one or more elements of good practice in these areas.

The drafting of this document originated many years ago. Since then, many people have contributed to this project.
Although it is impossible to acknowledge all these contributions, we, the authors, would like to mention those whose
assistance was direct and vital to the completion of this work.

This Good Practice Note was prepared by a core team comprised of Alexander Indorf, Pablo Cardinale, and Gael Gregoire
with contributions by Lori Conzo, Conrad Savy, Leanne Alonso, Ekaterina Grigoryeva (all IFC), and Larry Hildebrand
(Golder Associates). The document also significantly benefited from extensive comments provided through an internal
peer review process. The authors wish to thank IFC colleagues, John Graham, Richard Caines, Justin Pooley, Samir
Besirevic, Delphine Arri, and Kate Lazarus for their contributions. We wish to acknowledge our current and former IFC
colleagues Rachel Kyte, Motoko Aizawa, William Bulmer, Morgan Landy, Reidar Kvam, Bilal Rahill, Robin Sandenburgh,
and Jamie Fergusson, for their ongoing support throughout this process.

We also thank our current and former World Bank Group colleagues Mark King, Glenn Morgan, Yves Prevost, Debra
Zanewich, Jack Mozingo, Jean-Michel Devernay, the Regional Safeguards Advisors, the members of the Hydropower
Community of Practice Environmental and Social Expert Group, and the member of the Environmental and Social
Standards “Community Health and Safety” Working Group.

The team that authored this Note is very appreciative of the many valuable and insightful comments and hopes the
reviewers find their input reflected in this first version.

Finally, the team would like to thank the Environment, Social and Governance Department’s Knowledge Management
team, led by Susan Holleran, and especially Amelia Hui Xin Goh and Fiorella Facello, who diligently supported the
development of this Good Practice Note.

Acknowledgments | iii
Foreword

IFC prides itself on contributing to the continuing evolution in environmental and social risk and impact management
practices in the private sector, as reflected in our Policy and Performance Standards (PSs) on Environmental and Social
Sustainability, the World Bank Group (WBG) Environmental, Health, and Safety (EHS) Guidelines, and our regular
publications of good practice guidance.

Hydropower has a well-established role in the energy sector and support for further deve lopment of this energy resource
is very important, especially in developing countries. Hydropower is a vital renewable energy resource and, for many
countries, has the potential to expand access to electricity to large populations. But hydropower development poses
complex challenges and risks. Each hydropower project is unique and presents a complex range of EHS risks, varying
widely depending on many factors.

It is my pleasure to present this IFC Good Practice Note on Environmental, Health, and Safety Approaches for Hydro-
power Projects. This note is intended to be used in conjunction with the EHS General and as relevant other Guidelines
and IFC’s PSs to identify, avoid, mitigate, and manage EHS risks and impacts in hydropower projects. It is not intended
to replace official IFC guidance documents. Instead, it is an effort to capture sector-specific knowledge and experience
gained through the extensive engagement of IFC staff and clients in hydropower development, while offering sector-
specific guidance to help implement EHS-related requirements contained in the PSs.

We hope that the knowledge presented in this publication assists private-sector companies in emerging markets and
guides them in the effective design and implementation of measures to assess and manage EHS risks related to hydro-
power projects and contributes to the sustainable and well-executed development of valuable hydropower resources.

Morgan Landy
Director
Environment, Social, and Governance Sustainability Advice
and Solutions Department, IFC

iv | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
List of Abbreviations and Acronyms

ACGIH American Conference of Governmental Industrial Hygienists

ARD Acid Rock Drainage
ANCOLD Australian National Committee on Large Dams
ARM Adaptive Resource Management
AZE Alliance for Zero Extinction Sites
BEIs Biological Exposure Indices
CIA cumulative impact assessment
CIAM cumulative impacts assessment and management
CDM Clean Development Mechanism
CO carbon monoxide
dBA A-weighted decibels
DO dissolved oxygen
DRIFT Downstream Response to Imposed Flow Transformations
EAP Emergency Action Plan
EFlow environmental flow
EHS Environmental, Health, and Safety
ELOHA Ecological Limits of Hydrologic Alteration
EMF electric and magnetic fields
EMP environmental management plan
ESIA Environmental and Social Impact Assessment
GHz gigahertz
GLOF glacial lake outburst flood
GIIP Good International Industry Practice
GHG greenhouse gas
GPN Good Practice Note
HACCP Hazard Analysis Critical Control Point
H2S hydrogen sulfide
IBA Important Bird Areas
ICNIRP International Commission on Non-Ionizing Radiation Protection
ICOLD International Commission on Large Dams

List of Abbreviations and Acronyms | v

IEEE Institute of Electrical and Electronics Engineers
IFIM Instream Flow Incremental Methodology
IHA International Hydropower Association
IPA Important Plant Areas
IRS indoor residual spraying
IUCN International Union for the Conservation of Nature
NIOSH National Institute for Occupational Health and Safety
OP operational policy
OHS occupational health and safety
OSHA Occupational Safety and Health Administration of the United States
PAG Potentially-Acid-Generating
PEL Permissible Exposure Limits
PHABISM Physical Habitat Simulation System
TDG Total Dissolved Gases
TGP total gas pressure
TLV Threshold Limit Value
TSS total suspended solids
UK EA United Kingdom Environment Agency
UNESCO United Nations Educational, Scientific and Cultural Organization
UNFCCC United Nations Framework Convention on Climate Change
VEC Valued Environmental Component

vi | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
Introduction

This IFC Good Practice Note on Environmental, Health, and Safety Approaches for Hydropower Projects is a technical
reference document with industry-specific examples of Good International Industry Practice (GIIP).1 This publication
applies to environmental, health and safety (EHS) aspects of run-of-river diversion, run-of-river reservoir, storage res-
ervoir, and pumped storage types of facilities (as defined in Annex A). If a hydropower project requires development
of reservoirs, use of such reservoirs for purposes other than hydropower production are not covered in this document.
Because of the EHS complexity of some hydropower projects, users of this publication may also consult the General
EHS Guidelines,2 which provides guidance on common EHS issues potentially applicable to all industry sectors, as
well as sector-specific EHS Guidelines including those for Electric Power Transmission and Distribution, Construction
Materials Extraction, and Toll Roads.

This document is composed of four sections. Section 1 looks at industry-specific impacts and management, while Sec-
tion 2 covers performance indicators and monitoring. Sections 3 and 4 provide additional resources with a reference
list and useful annexes.

 1
Defined as the exercise of professional skill, diligence, prudence, and foresight that would reasonably be expected from skilled and experienced professionals engaged in
the same type of undertaking under the same or similar circumstances globally or regionally. The circumstances that skilled and experienced professionals may find when
evaluating the range of pollution prevention and control techniques available to a project may include, but are not limited to, varying levels of environmental degradation
and environmental assimilative capacity, as well as varying levels of financial and technical feasibility.
 2
The Environmental, Health and Safety (EHS) Guidelines (www.ifc.org/ehsguidelines) contain the performance levels and measures that are generally considered to be
achievable in new facilities using existing technology at reasonable costs. Application of the EHS Guidelines to existing facilities may involve establishing site-specific
targets, based on environmental assessments or environmental audits as appropriate, with an appropriate timetable for achieving them. Users should tailor the applicability
of the EHS Guidelines to the hazards and risks established for each project based on the results of an environmental assessment in which site-specific variables, such as
host country context, assimilative capacity of the environment, and other project factors, are taken into account. The applicability of specific technical recommendations
should be based on the professional opinion of qualified and experienced persons. When host country regulations differ from the levels and measures presented in the EHS
Guidelines, projects are expected to achieve whichever is more stringent. If less stringent levels or measures than those provided in these EHS Guidelines are appropriate,
in view of specific project circumstances, a full and detailed justification for any proposed alternatives is needed as part of the site-specific environmental assessment. This
justification should demonstrate that the choice for any alternate performance levels protects human health and the environment.

Introduction | vii
1. Industry-Specific Impacts and Management

This section summarizes EHS3 issues associated with hydropower activities that may occur during the development,
construction, and operational phases, along with recommendations for their management. The General EHS Guidelines4
provide recommendations for managing EHS issues common to most large industrial and infrastructure activities, includ-
ing those which occur during the construction phase of projects.

1.1 Environment
Potential environmental issues typically associated with hydropower projects depend heavily on the size, type, operating
mode5 and location of the project and may include management of:

• General management of environmental risks and impacts

• Watershed management aspects
• Conversion of aquatic and terrestrial habitats
• Changes in in-stream flows, including water, sediment and aquatic biota flows
• Connectivity and fish entrainment

CLIMATE CHANGE RISKS

Hydropower production will likely be affected by changes in climate. Direct and indirect climate-related adverse
effects may impact a hydropower project during its life-cycle. Increased variability of precipitation as well as
changes in the timing and extent of glacier and snow-cover melting are likely to have substantial impacts on
hydropower production. Droughts and extended dry periods can reduce river flows, deplete reservoirs and
significantly decrease hydropower output, dramatically reducing national energy supplies and leading to short-
ages and blackout periods. Competition for water resources, especially in areas under water stress, will further
constrain hydropower water supply.

These impacts will be more severe when coupled with increased electricity demands and higher peak require-
ments in summers. Furthermore, more intense and frequent heavy rainfall may put greater stress on dams that
were not designed to take account of future climate change and may increase their risk of failure. Facilities may
be at higher risk of being flooded. Increased water sedimentation because of greater runoff may erode turbines
and affect their performance.

While it is becoming more common to perform a Climate Risk Assessment when designing new hydropower
projects, this is not yet a well-established practice. As this is a relatively new and evolving science, there are
no methodologies widely accepted and applied that are considered as the recommended good international
industry practice.

 3
Social impacts—including physical and economic displacement, impacts on indigenous peoples, stakeholder grievances, and so on—not directly related to occupational
and community health and safety are outside of the scope of this document and of the EHS Guidelines in general. However, when one or more members of the World
Bank Group are involved in investments in these sector, social aspects are addressed through application of the World Bank’s Environmental and Social Standards and/
or IFC’s Performance Standards.
 4
Available at www.ifc.org/ehsguidelines.
 5
See Annex A.

1. Industry-Specific Impacts and Management | 1

 • Stream morphology and sediment management
• General pollution prevention and control and reservoir management, which
covers water quality and reservoir erosion, slope stability and sedimentation

1.1.1 General Principles for Identification

and Management of Environmental Risks
and Impacts
The effective anticipation and avoidance, minimization or compensation/offsets
of environmental risks and impacts in hydropower development depend on a
number of key aspects:

• Implementation of a comprehensive screening process that involves detailed

scoping of issues using participatory stakeholder approaches so that envi-
ronmental assessments are targeted to address the substantive issues that
are relevant and considered to be priorities in a specific context.
• Early consideration of the scale and context of the development, including
the size of the hydropower development and the hydropower resources being
developed, the presence of other hydropower developments upstream or
downstream of the development, the conservation and human and biodiver-
sity value of the resource being developed, national or other strategies, and
plans for hydropower and energy development for river basins of concern.
• Early consideration of the potential area of influence of the project, which
may extend far upstream and downstream of the project and will include
the means by which electricity will be evacuated to the national grid or other
users, sources of construction materials, access and site roads, laydown areas
and work camps, and other ancillary facilities and operations.
• Inclusion of strategic considerations into project site selection and evaluation
of project alternatives. Evaluation of project alternatives should consider
relevant technical, economic, financial, environmental and social issues,
risks, and opportunities, including issues of optimization and efficiency in
the use of the hydrologic potential of the river system, as well as cumulative
impacts.6 Examples of site selection alternatives include:
ŊŊ Avoiding impacts to areas with high biodiversity values (such as critical
habitats, International Union for the Conservation of Nature (IUCN)
Protected Area Management Categories,7 United Nations Educational,
Scientific and Cultural Organization (UNESCO) Natural World Heritage
sites, Key Biodiversity Areas,8 High Conservation Value areas identi-
fied using internationally recognized standards, other areas based on
systematic conservation techniques carried out by governmental bodies
and other organizations), areas of high social value (such as culturally
significant), areas of high aesthetic value (such as important landscapes)
as well as avoiding or minimizing physical or economic displacement
of population, displacement of economic activities (such as agricultural
lands) and public health and safety risk, among others;9

 6
International Hydropower Association (IHA) 2010.
 7
Guidelines for Applying Protected Area Management Categories. IUCN. 2008.
 8
For example, these can encompass such areas as Ramsar Sites, Important Bird Areas (IBA), Important Plant Areas (IPA), and Alliance for Zero Extinction Sites (AZE).
 9
IHA 2010.

2 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 ŊŊ Where technically and financially feasible, considering locations that will affect shorter or less biodiverse river
reaches, and which do not require any water storage (that is, run-of-river diversion projects);10
ŊŊ Siting of multiple hydropower projects in rivers in cascades, while preserving other rivers in the same region;11 and
ŊŊ Designing the operating regime to consider biodiversity, ecosystem services,12 community health and safety, river
bed and sediment load dynamics, and other factors.
• Assessment of potential environmental risks and impacts as early as possible in the project life cycle to effectively
apply the mitigation hierarchy and maximize the range of options available to anticipate and avoid, or where
avoidance is not possible, minimize, and, where residual impacts remain, compensate or offset potential negative
impacts (see Annex B for examples of issues that may be considered in this process). The assessment of risks and
impacts should be based on a thorough understanding of the operating principles of potentially applicable hydro-
power technologies, as well as the way the power plant is expected to be constructed, commissioned, and operated
(see Annex A), including an assessment of alternative approaches. Baseline assessments should include seasonally
representative information (such as hydrologic regimes, aquatic, or terrestrial ecology), following internationally
accepted practices for the assessment of environmental impacts.13
• Inclusion of operational flexibility into project design, particularly where there is uncertainty associated with the
extent of baseline information and potential impacts, to provide a wider range of options as part of Adaptive
Resource Management (ARM) strategies. This in turn may imply the inclusion of an appropriate level of uncertainty
into operational and financial modeling.

1.1.2 Watershed Management
Watersheds provide hydropower projects with essential ecosystem services includ-
ing regulation of hydrologic regimes, regulation of stream sediment loads, and “. . . poor environmental
regulation of nutrient inputs into storage reservoirs. In this sense, hydropower
management of
projects directly depend on the maintenance of such services. Although often
beyond the control of hydropower project operators, poor environmental manage- catchment areas by
ment of catchment areas by third parties, such as deforestation or unsustainable third parties, such
agricultural practices, can compromise the operational efficacy of hydropower
projects. The project should consider these aspects during its design phase and as deforestation
when evaluating the project site selection and alternatives. or unsustainable
Hydro-project developers are recommended to address these concerns by exploring agricultural practices,
opportunities to collaborate with private and public-sector institutions, as well can compromise the
as catchment area landowners, in the development of watershed management
programs that aim to reduce soil erosion and reservoir sedimentation rates.14 operational efficacy of
hydropower projects.”
Potential catchment-level management strategies might include:

• Conservation measures to maintain catchment vegetation cover (including

forests);
• Catchment restoration and reforestation;

10
The projects with the greatest environmental impacts are projects on main stems of large rivers that create large storage reservoirs that have the capacity to alter water
releases downstream on daily, weekly, or monthly time scales although, even run-of-river diversion and run-of-river storage projects modify natural river flows and may
have potentially significant impacts to downstream users (Ledec and Quintero, 2003). On the other hand, it must be kept in mind that hydropower schemes in upper sec-
tions of a watershed usually involve longer diversions and therefore have the potential to create long dry/low flow dewatered sections.
11
Many nations have designated specific waterways as “working rivers” and have limited development of hydropower to these systems. This approach has the advantage
of synchronizing power operations on “working rivers” and allows for the maintenance of other rivers in their natural state, “pristine rivers.”
Ecosystem services are the benefits that people, including businesses, derive from ecosystems. See IFC Performance Standard 6: Biodiversity Conservation and Sustainable
12

Management of Living Natural Resources (2012), paragraph 2.

13
Refer to Annex A for a summary of key types of hydropower projects and their principal operating principles and to Annex B for a summary of key aspects that should
be covered in an environmental and social impact assessment for hydropower projects.
14
In catchments where sediments are fine and quickly transported into rivers and streams, watershed management has the greatest likelihood of achieving measurable
reductions in sediment inputs.

1. Industry-Specific Impacts and Management | 3

 • Catchment terracing;
• Upstream check structures;
• Land use changes or crop substitution (such as, cattle ranching or annual crops to fruit trees or timber); and
• Measures to minimize impacts related to road construction, mining, agriculture, or other land uses.

The effectiveness of alternate watershed management measures should be quantified to identify the economically optimal
option taking into account the cost of reservoir and hydropower facility maintenance.

Watersheds also provide local communities and wider populations with essen-
tial ecosystem services, including potable water, industrial water, groundwater “Watersheds also
recharge, water for religious or ceremonial purposes, recreation, dilution of
sanitary and industrial discharges, and flood attenuation. It is essential to gain a
provide local
detailed understanding of these services so that projects can be located, designed, communities and
and operated in such a way that they do not cause unacceptable impacts over
wider populations with
ecosystem services.
essential ecosystem
Recommended approaches to ensure ecosystem services are not unduly com-
services. . . .”
promised include:

• Providing alternative sources of water;

• Assuring provision of adequate environmental flows (EFlows);15
• Modifying operating regimes to ensure timely provision of critical services;
• Watershed management measures;
• Providing fish passages/ladders and supporting fish hatcheries to ensure fishing livelihoods and fish populations
are maintained; and
• Consulting with those who benefit from ecosystem services.

15
EFlows are defined as the quantity, frequency, timing, and quality of water and sediment flows necessary to sustain freshwater and estuarine ecosystems and the human
livelihoods and well-being that depend on these ecosystems.

4 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
1.1.3 Habitat Conversion
“Depending on the
Depending on the type and location of the proposed hydropower project, habitat
degradation and conversion may be significant threats to aquatic and terrestrial type and location
biodiversity. Habitat degradation and conversion may occur as a result of res- of the proposed
ervoir creation, changes in hydrologic flow regime, dewatering river reaches,
interbasin transfer of water, development of access routes and transportation hydropower project,
corridors, construction material extraction, or development of transmission line habitat degradation
corridors. Habitat conversion may also result from temporary construction-related
activities, such as storage/disposal sites, and establishment of temporary work
and conversion may be
camps and permanent structures. The most cost-effective time to consider these significant threats to
threats is early on during the siting and design of project as part of the project’s
aquatic and terrestrial
alternative analysis.
biodiversity.”
Management approaches should consider:

• Habitat conversion in the design of reservoir size and location, in the

development of the operating regime, and in all other decisions regarding design, construction, and operation;
• Environmental and social impacts in selection of transport routes, transmission line corridors, and temporary and
permanent project infrastructure;
• Consultation with key stakeholders (such as government, civil society, and potentially affected communities) to
understand any conflicting land or water use demands and communities’ dependence on natural resources or
conservation requirements that may exist in the area;
• Identification of high biodiversity values regardless of habitat type and level of disturbance;
• Existing threats to biodiversity that could be exacerbated by project-related impacts, especially through indirect
impacts caused by induced access, wildlife poaching, and in-migration;
• Minimization of habitat fragmentation, especially in recognized biological corridors, caused by the creation of the
reservoir, dewatered reaches, and related linear infrastructure;
• Measures to minimize or adjust the size of the reservoir based on the identified high biodiversity (for example,
micro-sitting of access roads, bridges, river-crossings, and temporary work camps);
• In instances where large reservoirs are created, measures to rescue and translocate flora and fauna with significant
conservation value is key, especially during reservoir filling and plant commissioning process; and
• Partnerships with internationally recognized conservation organizations (for example, to develop biodiversity
monitoring and evaluation programs, design and manage offsets, and create local capacity to monitor and main-
tenance programs).

1.1.4 Changes in Instream Flow

Hydropower plants can substantially modify river ecosystems instream from the dam or diversion scheme by changing
water flow (volumes and timing), water quality (such as temperature, turbidity, or chemistry), morphology of the river
channel and floodplains, and hydrologic connections between upstream and downstream and between a river and its
floodplains/river banks.16

By their nature, hydropower projects cause long-term modifications of river hydrology with varying degrees of signifi-
cance depending on the type of hydropower project and river resource.17 In some cases, the impacts of changing flow
regimes can extend beyond rivers to groundwater, estuaries, and even coastal areas.18 The more similar the downstream
flow releases are to natural pre-project conditions in volume, quality, predictability, seasonality, duration, and timing,

16
Krchnak et al. 2009.
17
The causes of changes in river flow can also be broader than just the abstraction or storage of water and the regulation of flow by infrastructure; climate change, upstream
land-use changes due to forestry, agriculture, and urbanization can also significantly affect flows.
18
Hirji and Davis 2009.

1. Industry-Specific Impacts and Management | 5

the less damaging the potential environmental and social impacts are likely to be.19 (See Annex C for more details on
assessment and provision of EFlows and good practice guidance developed by the World Bank Group on this topic.20)

Approaches to establishing EFlow regimes range from near-constant flows based on percentages of annual average
or minimum flows to variable regimes that mimic seasonal patterns although with reduced volumes, to sophisticated
data-intensive models. In general, there must be a detailed understanding of the natural and human resources at risk
(that is, baseline conditions must be understood) to establish an “environmental flow” or “sanitary flow” that avoids
unacceptable impacts. Many countries accept or mandate the adoption of an environmental flow based on 10 percent
or some other percentage of average or minimum annual flows, although this approach is no longer considered to be
good industry practice. The ultimate EFlow regime must be based on site-specific factors that take into consideration
hydrologic, biologic, social, and economic factors.

Recommended measures to minimize impacts associated with changes in hydrologic regimes include the following:

• Project planning activities should include a detailed evaluation of existing flow regimes and upstream and down-
stream water uses in consultation with potentially affected communities. Flow regimes maintained over seasonal
or and even smaller periods (for example, monthly) should be evaluated, not only annual flows. The influence of
existing flow regimes on ecosystem services should also be considered. In instances where the project is planned
above or below a known or potential hydropower or flow regulation facility, the operational parameters of that
facility should be considered, both in terms of its effect on the proposed project and vice versa, as well as potential
cumulative impacts to people and the environment.
• Establish EFlows based on a detailed, site-specific analysis of existing conditions and potential impacts during the
assessment of design and operational project alternatives. As a general approach, determination of EFlows should
focus on the provision of flows, including volumes, timings, and quality to achieve specific objectives. Depending

19
Generally speaking, run-of-river or small reservoir schemes may better mimic natural river flow dynamics and, therefore, are often preferred over large hydropower plants
with large reservoirs. Hydropower generation plants with large reservoirs disrupt—and typically invert—the natural stream hydrograph as they are designed to store water
during the raining/wet/freshet season when the natural river flows would be greater, and therefore the downstream release tend to be less than those that would naturally
occur. Conversely, during the dry or winter season when drought or low flows are naturally expected, hydropower facilities with large storage capacities continue to release
water downstream, typically at higher flows than would be experienced naturally. Plants designed for peaking generation have highly variable downstream releases over
much shorter time periods. Diversion schemes, whether large or small, create “dewatered” segments with reduced water in downstream reaches on a daily, seasonal, or
annual basis, and introduce higher flows in river reaches below the powerhouse.
20
IFC. 2018. Good Practice Handbook on Environmental Flows in Hydropower Projects (forthcoming).

6 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 on the use of the river upstream and downstream of the hydropower facility, these objectives could include the
following:
ŊŊ Maintain instream aquatic and riparian ecosystems with the objective of achieving No Net Loss of biodiversity,
where feasible, in natural habitats or net positive gains in critical habitat. Habitats would include all those
affected, including terrestrial and aquatic and both upstream and downstream. There may be instances when
aquatic or terrestrial offsets may be required to achieve these goals.
ŊŊ Provide ecosystem services to affected communities, including domestic and industrial water, groundwater
recharge, food sources for fish and invertebrates, water for recreation or religious or ceremonial purposes,
opportunities for harvesting fuelwood, grazing, cropping on riverine corridors and floodplains, irrigation, flood
protection, navigation and transportation, dilution of sanitary and industrial discharges, and purification via
removal of wastes through biogeochemical processes.21
ŊŊ Manage safety risks that may be caused by rapid changes in flow levels (that is, potential risk of drowning for
people who use the river for recreation, fishing, washing, sand/gravel, mining, navigation/transportation, or for
other purposes).
• Develop and implement procedures to address potential downstream impacts related to community safety, erosion,
water quality, habitat suitability, temperature, or fish stranding because of short-term changes to downstream flow
patterns from commissioning flow tests22 and from peaking discharge patterns.
• Develop and implement adaptive resource management (ARM) strategies to optimize system performance by moni-
toring to verify predicted project impacts and modifying operations as needed to avoid unacceptable impacts.23

Regulated flows downstream of dams and within diversions may affect instream and bankside habitat availability and
suitability due to alteration of aquatic habitat and biological composition, biological community assemblages, and
associated biodiversity. Habitat inside channels and river deltas suitable for spawning and rearing may be substantially
decreased when flows are reduced or regulated. For rivers dammed above large deltas, the total freshwater area in the
delta can decline considerably, eliminating productive aquatic habitats that are essential for the maintenance of the
riverine and estuarine ecosystems and their productivity.

Furthermore, lower flow can create physical barriers, increase competition that may favor invasive species, and gener-
ally create drought-like conditions that conc entrate aquatic biota in reduced areas and decrease resource availability.24

Hydropower projects may also alter downstream flow and sediment volumes, timing, predictability, and flow change
rates, which, together with temperature, water clarity, and other water quality changes, can alter species composition and
relative abundance, and can disrupt flow-related cues that trigger important fish life history milestones such as migration
or spawning. These changes may benefit some species and have adverse effects on others. The relevance and significance
of these potential impacts depend on the type of ecosystem and species occurring in the project area, and is especially
important for IUCN Red-Listed, endemic, or migratory fish species. Changes in flow, and resultant potential changes in
aquatic and riparian biodiversity, should be understood and accounted for in hydropower design and operation.

Recommended measures to mitigate ecological impacts caused by changes to instream flows include:

• Establish and maintain sufficient flow releases to mitigate adverse impacts and maintain productive ecosystems,
based on an understanding of the natural range of flows in a river and the relationship between stream flow and
all competing water uses in that river. Several internationally accepted methods are available to calculate EFlows,
including hydrologic, hydraulic, habitat simulation, and holistic approaches as well as interactive approaches such
as Downstream Response to Imposed Flow Transformations (DRIFT) and Instream Flow Incremental Methodology

21
Hirji and Davis 2009.
22
Commissioning tests may include load rejection tests, emergency shutdown and start-up procedures; turbine alterations; irregular release; full load, and load increase
testing, among others.
23
The concept of ARM needs to be incorporated into the project design to allow for the potentially needed operational flexibility. There should also be adequate provision
for modifications to hydropower generation because of changes in flow regimes must also be recognized in operational and financial modeling.
24
Anderson et al. 2006.

1. Industry-Specific Impacts and Management | 7

 (IFIM; see Annex C for discussion of methodologies to determine EFlows). These and other methods can be used
independently or collectively to generate instream flow recommendations, if calibrated to the site or area studied. 25,
26
Establishing flow rates based on a percentage of annual average or low hydrological flows is no longer consider
good industry practice. EFlow rates should be based on site-specific characteristics of habitat, riverbed and sedi-
ment load dynamics, biodiversity, and ecosystem services at risk.
• At certain times of the year or during critical fish reproductive cycles, provide additional flows over and above
minimum flow as necessary to protect or facilitate spawning, egg incubation, and migration. These fish flows often
involve providing stable flows during the spawning period and then stable or increasing flows throughout the egg
incubation period to prevent dewatering of eggs. In some rivers, flow releases from dams are increased during the
out-migration period to facilitate transport of young anadromous or adult spawning catadromous species to the
estuary or the ocean. In general, flows that follow natural patterns, even at reduced volumes, are preferred over
a constant flow regime.
• Avoid rapid increases or decreases in flow rates that can adversely affect downstream ecosystems. This is particu-
larly important during plant commissioning and in schemes which operate in peaking mode. In general, fast ramp-
ing rates can result in the stranding of fish and invertebrates or scouring of riverbeds. The use of very short-term
flow reductions prior to the main reduction (conditioning flows) may help to decrease stranding rates. Sudden
flow increases can result in the disruption of spawning activity and the displacement of young fish, fish eggs, and
invertebrates, as well as scouring. In general, the slower the ramping rate, the lesser the impact, but appropriate
site-specific rates should be developed based on local river conditions. Overall, extended ramp-up and ramp-down
periods are preferred over abrupt changes.
• Consider use of re-regulating reservoirs to attenuate rapidly fluctuating flow releases from power stations and
stabilize the downstream flows.
• Prepare a comprehensive water use plan that manages the extent and timing of drawdown to minimize adverse
ecosystem and ecosystem services impacts without significantly compromising hydropower generation operations.
• Consider designs with base-load facilities located downstream of peaking facilities so that the reservoirs of the
downstream facility re-regulate the flows from the peaking plant and provide a more stable or natural flow regime
downstream, or releasing water from storage systems upstream in a coordinated fashion to dampen the effect of
rapid flow releases from the powerhouse.

25
IUCN, 2003; Hirji and Davis, 2009; Estes and Orsborn 1986; Lewis et al. 2004, Jowett 1996; Grecco, 2005.
26
Additional information is also available at the IUCN’s Global Environmental Flows Network: https://www.iucn.org/theme/water/our-work/environmental-flows.

8 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • In areas where ice buildup may occur, consider design and operation solutions such as development of flow release
conditions that permit a quick freeze and prevent frazil and anchor ice formation.27
• Develop a long-term, aquatic, multi-taxa, biodiversity evaluation and monitoring program that includes the benthic,
in-stream and riparian habitats. Baseline data should be collected prior to project-related impacts and monitoring
should continue as part of an adaptive management program.

1.1.5 Connectivity and Fish Entrainment

Construction of dams or certain run-of-river water retention, diversion, and intake “Construction of dams
structures (see Annex A) may physically obstruct upstream and downstream or certain run-of-
movements of fish and other aquatic organisms, causing a loss of connectivity
between upstream and downstream components of the riverine ecosystem. In river water retention,
addition to these man-made physical structures/barriers, reduced flows can also diversion, and intake
generate physical barriers for upstream, downstream, and within-stream lateral
movements depending on the river bed and severity of the reduced flows. These
structures (see
can have significant negative effects on aquatic fauna that require annual or Annex A) may physically
periodic in-river migrations upstream or downstream past the dam to habitats
obstruct upstream and
that are essential for the maintenance of the species or stock. Lower or altered
flows can also impair within-stream lateral connectivity between deeper and downstream movements
shallower areas of the river bed and river banks that may provide distinctive
of fish and other aquatic
habitats that are essential for foraging, breeding, cover, resting, or hiding places
for different mammals, fish, amphibians, reptiles, and invertebrates and may also organisms. . .”
provide core habitat for plant species.

In some cases, recreationally or commercially desirable fish species may concentrate below a dam for feeding or during
attempts to migrate upstream. This situation may result in forming a tailwater fishery, but if not properly regulated,
these fisheries can result in the collapse of some stocks or the extirpation of a species from the river.

Reservoir impoundments may support viable fisheries, often of species not previously found in the flowing river, or not
found in sufficient numbers to support a fishery. Establishment of reservoirs will also lead to changes in species compo-
sition, and often introducing conditions favorable to nonnative species. When this could threaten populations of native
species of conservation concern, monitoring programs should be used to guide development of programs to ensure No
Net Loss of native species, or Net Gain, if necessary.

Entrainment of fish into hydropower facilities can adversely affect fish populations
both upstream and downstream from the dam. Fish entrainment can cause high “Entrainment of fish
mortality rates (up to 20 percent at some facilities). Mortality rates vary among
sites and are influenced by dam height, turbine type, fish species, and fish size. into hydropower
Deep draw-downs of storage reservoirs combined with high-flow releases may facilities can adversely
significantly reduce reservoir-based populations. The downstream migration of
anadromous and catadromous fish species, such as salmon or mountain mullet,
affect fish populations
can suffer significant losses during downstream passage through turbines, par- both upstream and
ticularly in river systems with multiple dams between spawning and foraging.
downstream from
Mitigation options to reduce fish losses at hydropower facilities have been the dam.”
developed for some economically important and ecologically migratory

27
ICOLD 1987; Environment Canada 1989.

1. Industry-Specific Impacts and Management | 9

species, such as salmon, sea trout, eel, and shad. Depending on the presence and type of fish species, 28 the fol-
lowing measures can help mitigate the obstruction to fish movements and the potential consequent destruction
of natural fish stock:

• Identify migratory fish species, whether anadromous, catadromous, and potadromous, that will require passage
past the dam or diversion structure to fulfill their life cycle requirements, and consider fish passage during the site
selection and design stages of the project. Special attention should be paid to regionally or locally important fish
stocks or IUCN Red-listed fish species whose long-term sustainability may depend on upstream or downstream
passage.29
• Research life histories and habitat use of fish species potentially impacted by the hydropower project, particularly
in tropical areas where species diversity and endemism are high, and information is limited.
• Ensure consideration of impacts of water storage (reservoir) and peaking operation on fish populations both
upstream and downstream of the hydropower project in mitigation planning.
• Provide appropriate mechanisms for upstream fish passage, such as fish ladders, mechanical or hydraulic fish lifts,
and trap and transport programs.30
• Use appropriate mechanisms for downstream fish passage, such as increased spill (provided that dissolved gas
concentrations do not become excessive), bypass channel, and trap and transport programs.
• Provide appropriate fish exclusion or guidance devices for both upstream and downstream passage that will prevent
entry of fish into dangerous areas and guide them into bypass facilities. Such fish screens can be a physical mesh
or a behavioral screen that uses a deterrent stimulus (such as electrical barriers, strobe lights, bubble curtains, or
acoustics). These techniques often divert native nonmigratory species as well, but typically have not been specifi-
cally designed to do so.31
• Consider use of “fish friendly” turbine technology or construction of bypass structures to reduce fish mortality and
injury from passage through turbines or over spillways, especially where large-scale downstream fish migrations
occur. Typically, Kaplan turbines are more “fish friendly” than Francis units32 Several manufacturing companies
are starting to offer greater diversity on design of fish friendly turbines (such as Alden turbines33).
• Identify species, life stage, and loss rates of fish34 and replace losses either directly (such as hatcheries or spawning
channels) or indirectly (such as fertilization or stream enhancement).
• Assess critical depths and velocity needed for upstream and downstream movements of indicator species based on
fish swimming abilities to assure availability of such characteristics at key stages of the migration cycles.
• Provide lateral river-flood zone movement connectivity through the physical modification of the river bed, the
creation of downstream wetlands and shallow areas, and through intentional flood or nonregular ecological flow
releases.
• Ensure adequate EFlows within any low-flow segments downstream of the dam to maintain fish habitat and allow
fish to access the fish passage.
• Quantify losses and predict gains in fish populations when required to demonstrate No Net Loss or Net Gains of
biodiversity.35

28
Gough et al. 2012.
29
IHA 2004.
30
For an overview of the general types of fish passes used refer to Larinier and Marmulla, 2003.
31
Turnpenny et al. 1998; Coutant 2001.
32
Cook et al. 2000.
33
A type of turbine using a runner that is designed to reduce blade strike mortality through several modifications (such as reduced number of blades, special blade leading
edge geometries, or slower rotation speed than conventional turbines).
34
See EPRI 1992 and FERC 1995 for a description of entrainment impacts and assessment techniques.
35
For example, to comply with IFC’s Performance Standard 6.

10 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
1.1.6 Stream Morphology and Sediment Management
“The reduction in
Operation of dams and other water diversion and retention structures holds
back suspended sediments and bedload that would naturally replenish down- sediment transport
stream ecosystems. The reduction in sediment transport below a dam can lead to below a dam can lead
“sediment-hungry” rivers, which can cause riverbed deepening and modification
of the hyporheic exchanges (up/downwelling),36 potentially affecting riparian to “sediment-hungry”
vegetation and aquatic habitat and altering hyporheic recharge into side chan- rivers, which can cause
nels, sloughs, and marshes adjacent to the river. Diversion projects can reduce
the amount of sediment transported through the diverted reach which, combined
riverbed deepening
with the scouring effect of water released from discharge works, can threaten and modification of the
the structural integrity of in-stream infrastructure, such as bridge foundations,
hyporheic exchanges
and irrigation channel intakes.
(up/downwelling).”
Sediments that are transported beyond the dam and not flushed out by natural
variation in stream flow can fill the interstitial spaces of gravel and cobble stream
bottoms (armoring), greatly decreasing the spawning areas for many fish species and the habitat for macroinvertebrates.
Rivers with distinctive seasonal flow regimes may experience significant changes in the seasonal transport of sediments,
which in turn can disrupt the natural life cycles of aquatic species.

Recommended measures to mitigate the negative impacts of sediment load changes downstream of hydropower devel-
opments may include:

• Understanding and carefully considering the potential impacts of sediment load modifications on downstream
aquatic habitats, riparian vegetation, civil works built on the stream bed, and stream morphology, including changes
to natural seasonal cycles of sediment transport;37
• Avoiding or minimizing sudden disposal of large volumes of sediment from dredging, silt flushing, or similar occa-
sional activities to remove sediment buildup in reservoirs and diversion structures which can result in the short-
term transport of large volumes of sediment into the downstream river, and can adversely affect the ecosystem by
smothering the river bed;38
• Conducting more frequent flushing or dredging of small reservoirs, de-sanders and sediment traps to prevent sud-
den sediment load modifications in the stream in run-of-river or small reservoir schemes;39
• Releasing periodic flushing flows to prevent armoring of river beds downstream from dams;40
• Using river training works and bank revetments to mitigate the effects of increased scour and river bed erosion
(these works can involve dredging, bed vanes, spur dikes, groynes, barrages, and weirs),41 and where possible,
avoiding the need for engineered works—using them only when less intrusive methods are not feasible;
• For hydropower peaking plants, using re-regulation storages to dampen rapid daily fluctuations that can exacerbate
and accelerate shoreline erosion leading to increased sediment input to the system; and
• Physically modifying sections of the downstream river channel to optimize flows and re-establish a functional
relationship between the revised hydraulic regime, the river channel, and the floodplain.42 As applicable, improve
riparian cover to increase shaded river segments.

36
United Kingdom Environment Agency (UK EA) handbook on hyporheic zone and other references on surface-groundwater interactions con be found at https://www
.gov.uk/government/publications/the-hyporheic-handbook-groundwater-surface-water-interface-and-hyporheic-zone-for-environment-managers
37
Sediment transport models may be required to help predict changes in sediment transport rates.
38
In some cases, the sediment may have a beneficial use for riparian habitat development, to improve marginal soils for agriculture or forestry, or for construction.
39
Smaller reservoirs and ancillary structures can also be flushed and/or dredged as often as every two weeks depending on design and natural sediment load.
40
These high-discharge events mimic small floods and scour fine sediments from the substrate and transport them downstream. These flood events can be provided at
multiyear intervals, depending on the compaction rate of the riverbed and the availability of sufficient flow, and should be designed to minimize disruption of spawning
and other key periods in fish life cycles. Because these minor flood events should be designed to inundate portions of the floodplain, there is a need to ensure that post-dam
development within the floodplain does not preclude use of this technique. In smaller river systems, physical disturbance of the riverbed using mechanical or hydraulic
“rakes” to break up the armor layer and flush out fines can be used.
41
Przedwojski et al. 1995.
42
Ibid.

1. Industry-Specific Impacts and Management | 11

Reservoir Erosion, Slope Stability, and Sedimentation
Accelerated accumulation of sediments in aquatic ecosystems can lead to changes in surface water quality and biodiver-
sity.43 Sedimentation within the reservoir can also decrease generating capacity. Reservoirs can flood soils that were not
previously saturated, changing groundwater levels and the loads on reservoir slopes. This can cause increased sediment
deposition within the reservoir, increased sediment input from denuded shoreline areas, and river-bank failures. Measures
to mitigate impacts associated with erosion and sedimentation in reservoirs include the following:

• Implement a life cycle management approach to sediment management, especially in situations where hydro-
power facilities will be constructed on river systems with high suspended sediment loads or where high volumes
of bedload transport are expected.44 This involves siting, designing, constructing, operating, and maintaining the
infrastructure in a manner that will ensure the project remains viable and sustainable over the planned operational
life of the project.
• Perform reservoir bathymetry at the onset of operations, and continue to monitor it to assess significant modifica-
tions that may need to be managed to assure optimal reservoir functionality and useful life.
• Conduct surveys of soils and geologic conditions at future reservoir margins to identify erosion- and landslide-
prone formations and area, and stabilization of those areas as needed to maximize slope stability and minimize
erosion and landslides (this may require some adjustments to reservoir operating parameters to limit wet-dry cycles
on potentially unstable slopes).
• Implement additional measures as needed to reduce sediment inputs to the reservoir, such as upstream check struc-
tures, by-pass systems, and off-channel storage.45
• If actions to reduce sediment from entering reservoirs are insufficient, use operational management practices to
control or remove sedimentation within reservoirs, especially sediment deposition that affects either crucial struc-
tures or important habitats. Models can be used to evaluate changes in flow and water level that can influence
where sediment is deposited46 and how much sediment is transported through the reservoir.

43
Henley et al. 2000.
44
Palmieri et al. 2003.
45
Upstream check structures involve debris dams that are generally used on high-gradient mountain tributaries where coarse-grained sediments predominate, and slope
failures are common. Reservoir by-pass structures are designed to divert sediment laden flood flows around the main reservoir.
46
The selection of reservoir levels during the flood period has a direct influence on the volume of sediment deposited in the upper, middle and lower portions of the reservoir.
Typically, if reservoir levels are kept high during the flood season, sediment deposition will occur in the river-reservoir interface area at the upper end of the reservoir. At
low reservoir levels, sediment is transported further downstream and deposited nearer the dam in the dead storage zone.

12 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • Give preference, if feasible, to sediment transport methods that use a more natural hydrograph pattern to manage
sediment infilling. These methods typically involve passage of more natural flow volume, which also can provide
beneficial effects to the aquatic ecosystem.
• For larger reservoirs, use the most common methods to manage the inflow of sediments sluicing, flushing, or
density current venting:47
ŊŊ Sluicing involves taking advantage of heavy rains or freshet flow by operating the reservoir at a lower than
normal level and passing a sufficient portion of the flood peak to maintain sediment transport capacity, thus
avoiding further accumulation of sediment in the reservoir. Reservoir filling can then be achieved in the latter
part of the freshet or wet season period when flows are clearer.48
ŊŊ Flushing is similar to sluicing but involves either a complete or partial drawdown of the reservoir water levels
to recreate river-like conditions in the reservoir and mobilize deposited sediments either further downstream in
the reservoir (typically the case with the partial drawdown option) or out of the reservoir (as generally occurs
during a complete drawdown) via low-level gates that have been designed as part of the dam. Sluicing and flush-
ing are often used together, but the effectiveness of both techniques depends on the availability of excess flows
during the freshet or wet season (that is, sufficient flow volumes to provide a period of sediment transport with
sufficient remaining flow to fill the reservoir), the types of sediment (more effective with fine than coarse sedi-
ment), and reservoir morphometry (more effective in relatively shallow, short, and narrow reservoirs).
ŊŊ Density current venting involves selective discharge of deeper, sediment-laden water. When a cold or turbid
inflow encounters clear or warm surface waters of a reservoir, the inflows will often have a greater density and
will descend under the surface waters. This can facilitate the down-reservoir transport of sediment, and in res-
ervoirs where strong density currents occur, the provision of low-level gates at the dam can be used to discharge
this higher density layer of elevated sediment laden water through the dam. Density current venting does not
require lowering of water levels or excess flows.
• Consider mechanical removal of sediments in cases with very high sediment inflows or where flow-assisted sediment
transport options in reservoirs are not feasible. These typically involve dredging, dry excavation, or hydrosuction
removal.49
• Implement operations to address shoreline erosion in reservoirs, such as water management measures (such as
ramp-down rules, constraints on time spent at particular operating levels, operating to maintain the stabilizing
characteristics of existing or planted vegetation); and direct intervention techniques (such as rip-rap, bank protec-
tion works, and planting stabilizing vegetation).50

1.1.7 General Pollution Prevention and Control and Reservoir Management

Construction Environmental Aspects
A main issue associated with construction of hydropower projects is the physical land disturbance that typically involves
the excavation of large quantities of soil and rock, and sometimes the drilling and blasting of tunnels and channels.
Construction activities often entail the construction of temporary workers’ camps, as well as temporary and permanent
site access roads. More specific environmental aspects associated with construction activities of hydropower works
may include:

• Dust: due to earth movement and construction materials extraction activities, as well as construction
vehicle movement on unpaved access roads.
• Noise and vibrations: mainly associated with materials extraction activities, excavation, blasting, materials crush-
ing, stockpiling, and construction vehicle transit.

47
Palmieri et al. 2003 for a detailed description of these methods.
48
Sluicing may also be used for run-of-river reservoirs.
49
Dredging is typically expensive and therefore, is often localized (tactical dredging). Dry excavation involves removal of sediments during periods of low reservoir levels
by using earth moving equipment. Excavation and disposal costs can be high, and this method is usually used only in small impoundments or in debris dams of larger
impoundments. Hydrosuction removal is a variation of traditional dredging that uses the hydraulic head of the dam for dredging. Environmental issues and the potential
costs of mitigation actions related to the downstream discharge of these sediments can be high and need to be considered in the development of this option.
50
IHA 2010.

1. Industry-Specific Impacts and Management | 13

 • Solid waste: in volume, mainly associated with rock waste and removed topsoil-overburden, but also construction
debris, as well as domestic waste from work camps.
• Wastewater discharges: sources may include stormwater runoff from disturbed areas, which is typically high in
suspended sediments, and effluents from worker camp operations.
• Tunneling discharges: tunneling works generate effluents that are typically high in suspended sediments and can
have pH significantly different from receiving surface water bodies (for example, tunneling discharges can be
strongly basic because of alkaline soils or the use of standard cement or “shotcrete” in tunnel grouting activities;
or strongly acidic because of the presence of acid generating rock, termed Acid Rock Drainage or ARD). The
introduction of fine cement particles from cement grouting and shotcreting used to seal the walls of tunnels can
result in extremely high pH in the tunnel effluent and receiving water body. Recommended measures to mitigate
impacts caused by tunneling water discharges include:
ŊŊ Flush the tunnels at specified times of the year to avoid fish migration or spawning periods.
ŊŊ Use well-maintained compensation and sedimentation ponds and booms to control sediments from tunneling
and cement management activities, and to introduce online buffering solutions when required.
ŊŊ Closely monitor pH and suspended solids of tunnel wastewater discharges, as well as in the receiving body of
water 100 meters upstream and downstream of the point of discharge, and have clear procedures to halt tun-
nel discharges or take corrective measures (for example, pH adjustment or routing through a settling pond) if
wastewater or process water discharges are out of specification.

Specific guidance applicable to prevent and control the environmental impacts associated with hydropower construction
activities is available in the General EHS Guidelines (particularly Section 1.3 Wastewater and Ambient Water Quality
and Section 4.0 Construction and Decommissioning)51 and the EHS Guidelines for Construction Materials Extraction.52

Commissioning and Operation Environmental Aspects

The most significant and permanent environmental impacts associated with hydropower development occur during
the process of commissioning and then continue during operations. Commissioning is when the project reservoirs
are filled, resulting in terrestrial habitats being permanently flooded and the flooded reach of the river being con-
verted from a free-flowing environment to a lake. This is also when impacts on downstream river flow regimes start
to occur and when both terrestrial, riparian, and aquatic habitat connectivity is either blocked or impaired. More
general pollution prevention and control aspects associated with commissioning and operations of hydropower may
include the following.

Water Quality
Depending on their type and design characteristics, hydropower projects will
have varying effects on water quality. Except for run-of-river diversion hydro- “Depending on their
power schemes, most hydropower projects include the construction of some type
of reservoir, even if it is just a daily regulation pond with limited storage (see type and design
Annex A). Creation of a reservoir may alter water quality within and downstream characteristics,
of the reservoir compared with the undisturbed upstream river environment.
Together with the changes to the hydrologic regime, changes to water quality hydropower projects
are among the most major aspects associated with hydropower projects, poten- will have varying effects
tially affecting the water reservoir and downstream. Small hydropower projects
that essentially pass available flows typically have the least effects. Projects that
on water quality.”
involve the creation of large reservoirs that flood substantial areas of land and
modify the free-flowing lotic ecosystem into a lentic slow flowing water body
have the greatest effects.

51
See http://www.ifc.org/ehsguidelines
52
Ibid.

14 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
Water quality may be changed depending on the specific characteristics and
operational mode of the hydropower project, the morphology of the affected
river, and the quantity and dynamics of the downstream releases. For instance,
a reduced flow in a riverbed with a wide floodplain will sever habitat connec-
tivity with the former river bank, riparian areas, and side channels, along with
altering sediment transport regimes. These changes in turn can alter turbidity,
water temperatures, and dissolved oxygen, as well as modifying instream and
riparian habitat.

Within the reservoir, the nature and extent of water quality changes are influenced
by a variety of factors: water residence time; bathymetry; climate; presence of
inundated biomass; catchment geomorphic characteristics; the level of industrial,
agriculture, and resource extraction activities; and how the hydropower system
is operated.53 The degree and significance of water quality changes will also be
governed by the nature and use of the water in the impoundment, and down-
stream of the water diversion or dam structure (that is, the presence of ecologi-
cally, economically, or socially significant aquatic species, recreation, irrigation,
and potable water supply, among others. This should be carefully evaluated in
the impact assessment phase of the project based on the collection of seasonally
representative baseline data.

Water Temperature
Water temperature is a key determinant of aquatic habitat productivity and can be
instrumental in providing migration cues for some aquatic species. Reservoirs may
affect water temperature by increasing the surface area of the water body, which
alters the heating and cooling rate of the surface waters. Larger, deeper reservoirs
with longer water retention times may result in thermal stratification, with warmer
waters near the surface (epilimnion) and cooler water at depth (hypolimnion) in
the summer. Dams with deep water (hypolimnetic) outlets produce colder water
temperatures in the downstream river than would have occurred naturally. Con-
versely, near-surface withdrawals can result in warmer downstream conditions.
Therefore, the type of reservoir created, the type of dam outlet structures, and the
operating parameters may substantially alter the downstream temperature regime
and affect fish and other aquatic organisms.

Temperature changes can also occur in smaller reservoirs in tropical areas, in res-
ervoirs with large surface areas but shallow depths, or in instances where several
smaller reservoirs are present in series on a river system.

In diversion schemes, downstream temperature changes can be very significant in

the dewatered river reach between the water diversion scheme and the tailrace,
especially when this river reach is subject to minimum flow release.

Special attention should be given to the potential abrupt daily changes in tempera-
ture associated with facilities that operate for daily or periodic peak generation.
These systems can prevent the reservoir and downstream receiving environment
from ever reaching a steady-state.54

53
ICOLD 1994.
54
Anderson et al. 2006.

1. Industry-Specific Impacts and Management | 15

Recommended measures to mitigate adverse impacts caused by changes in the natural river temperature include the
following:

• Consider sites that allow smaller reservoirs with short water retention times and relatively shallow depths, as
they allow mixing and remain isothermal (similar temperature at surface and at depth). Such reservoirs typically
experience minor changes in water temperature relative to inflows or in comparison to pre-project conditions in
the downstream system.
• Avoid, as much as possible, long dewatered sections of the downstream waterbody that will be subjected to low
flows. This can be achieved through such measures as reducing the distance between the diversion and the power-
house and siting the project so the diversion section receives input from perennial tributaries.
• Include dam design options to mitigate predicted temperature changes for storage reservoirs, such as multi-level
withdrawal structures (to allow withdrawal of water from selected volumes depths and mixing of these waters
to produce a target temperature for downstream releases), temperature curtains (structures deployed within the
reservoir near the dam to reduce the withdrawal of surface waters), or submerged weirs (to reduce the withdrawal
of cooler water at depth).
• Use air injection/diffusers or mechanical systems that move water vertically and mix bottom and surface waters
to minimize temperature stratification (this is, generally practical only in smaller reservoirs).
• Optimize operating parameters to maintain acceptable water temperatures in the reservoir and in downstream
habitats.55

Dissolved Oxygen56
Reduction in dissolved oxygen (DO) levels of aquatic habitats can negatively “Reduction in dissolved
impact overall aquatic habitat composition and productivity in the reservoir and oxygen (DO) levels
downstream. The creation of reservoirs may negatively affect natural stream DO
by reducing the transport rate of water and the degree of mixing between bottom of aquatic habitats
and surface waters and by microbial decomposition of flooded vegetation and can negatively impact
other organic matter that may accumulate in the bottom of the reservoir, con-
suming available oxygen.57 Additionally, the continued decomposition of flooded overall aquatic
biomass under anaerobic conditions may result in the generation and emission habitat composition
of methane and other toxic and corrosive gases, such as hydrogen sulfide (H2S).
This situation can produce foul odors and poor water taste and adversely affect
and productivity in
people and aquatic and terrestrial flora and fauna. the reservoir and

Recommended measures to maintain adequate DO concentrations in the reser-

downstream.”
voir include:

• Designing the project to minimize the area and vegetative biomass to be flooded through siting selection and other
project design modifications that reduce the reservoir footprint;
• Removing readily decomposable vegetation from the proposed impoundment area through a combination of one
or more of the following practices:
ŊŊ Harvesting of merchantable standing timber and removal of logging by-products
ŊŊ Controlled burning of herbaceous vegetation in the hypolimnion
• Timing the clearing of vegetation and reservoir flooding to prevent the establishment of secondary growth vegeta-
tion in cleared areas potentially leading to a greater proportion of flooded biomass than was originally present; and
• Implementing a long-term debris management program for reservoirs that receive substantial inputs of organic
debris from forested upstream catchments (see waste management section in the following pages).

55
A model-based decision support system can be used to predict temperature and incorporate temperature objectives into daily operations.
56
Although dissolved oxygen issues are mainly associated with the creation of storage or run-of-river reservoirs, because of temperature changes they may also occur in
the “dewatered” segment of run-of-river diversion schemes depending on the riverbed morphology of the segment of the river subject to reduced flow releases.
57
Both flooded soils and vegetation can release significant quantities of oxygen-consuming materials and plant nutrients (Gunnison et al 1984).

16 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
The following are recommendations for storage reservoirs:

• Use mechanical methods to mix surface and bottom layers.

• Aerate the hypolimnion during or after initial reservoir filling (typically only feasible in smaller reservoirs).
• In shallow reservoirs, use baffles to direct circulation and ensure adequate water flow-through and mixing.
• Minimize the development of anoxic zones in the reservoir through reservoir operating strategies that limit the
development of anoxic zones in the reservoir and the release of these waters into the downstream river environ-
ment (such as reducing the residence time for hypolimnetic waters by operation of sluice gates), especially where
clearing of biomass is incomplete.58
• Use penstock air injection or diffusion systems to aerate the water before it passes through the turbine, including
installation of surface pumps near the dam intakes that pump oxygenated surface waters down to depths where
it can be drawn into the penstock.
• Operate the sluice or spillway to add surface flows with higher dissolved oxygen levels and add oxygen through
entrainment of air bubbles. Spill volumes should be sufficient to achieve target levels of dissolved oxygen while
avoiding total dissolved gas supersaturation (see Total Dissolved Gases, below).
• Use selective water withdrawal structures to modify the temperature of outflow and allow mixing of waters with
low and high dissolved oxygen.
• Use turbine venting to re-aerate the water released downstream. This can be accomplished at some sites by supply-
ing air to openings in the turbine where the pressure is subatmospheric (turbine venting, auto-venting turbines),
and at other sites by application of blowers or compressors (forced air systems).59
• Aerate the outflows using submerged tailrace diffusers, surface aerators, side stream aerators, or aerating weirs.

Total Dissolved Gases (TDG)60

Elevated total gas pressure (TGP) may result from discharge over dam spillways, entraining air bubbles into the plunge
pool where the higher hydrostatic pressure of the water forces the bubbles into solution causing supersaturation
(that is, more than 100 percent saturation) of gases. Elevated dissolved gas levels can also occasionally result from
air entrained during water releases from low-level dam outlets or from turbines that are operated in synchronous
condense mode (free-spinning turbines to provide reactive power for voltage support to a transmission system). High
levels of TGP can produce gas bubble trauma, a condition in fish caused by the formation of nitrogen bubbles in the
vascular system.61 In addition to siting and design considerations, recommended measures to prevent excessive TGP
include the following:

• Use low-level dam outlets to pass excess water.

• Use spillway structures that direct flows horizontally and eliminate bubbles being carried to depth.
• Use spillway gates to produce the lowest levels of dissolved gas.
• Avoid operation of generators in synchronous condense mode.

Salinity
Dissolved salts can enter a reservoir via river or stream inflows, groundwater, or surface runoff. The geology of the
drained soils mainly determines salinity in reservoirs and salinity tends to become a problem in lowland reservoirs,
largely because of inputs from returned irrigation water.

58
Mathematical water quality models can be used to assist in development of reservoir operating strategies.
59
This technique is a passive system, often requiring only valves and piping to implement, and installation and maintenance costs are relatively small compared to other
alternatives. Disadvantages of this system include (i) absorption of nitrogen from aspirated air bubbles may cause gas supersaturation and adversely affect fish downstream
(see Total Dissolved Gases), and (ii) venting may reduce generating efficiency and capacity.
60
Total dissolved gas (TDG) is a measure of the percent of atmospheric gases that are in solution within the water column and is often expressed as total gas pressure (TGP).
61
Fidler and Miller 1997.

1. Industry-Specific Impacts and Management | 17

In addition to siting and design considerations, the following recommended measures can prevent and control buildup
of salinity:

• Minimize evaporative losses during water storage, which may be significant for reservoirs with a large surface area to
depth ratio,62 for example by holding water in deeper upstream reservoirs during periods of high evaporation rates.
• Use first-flush releases, whereby most of the water containing the highest salt concentrations (typically in the onset
of the rainy season) is passed through the reservoir.
• Minimize saline intrusion, for example, by extracting saline groundwater before it flows into the reservoir.
• Limit addition of salts during domestic and industrial use of water in the catchment area.
• Promote use of irrigation systems and practices that reduce water use and leaching of salts from soil.
• Divert saline irrigation flows away from streams.

Contaminants
The extent to which a reservoir or downstream reaches become contaminated by nuisance or toxic substances depends
upon many factors, including the type and extent of soils flooded, inputs from the surrounding area (particularly in
developed areas), differences in adsorption, absorption, and desorption of substances associated with the substrate
and their transport and deposition through sediments,63 and the potential presence of un-remediated contaminated
sites or other sources of pollutants prior to or during flooding and operations.64 In the reservoir, anaerobic condi-
tions can liberate contaminants, such as sulfides, selenium, ferrous and manganese ions, and organic mercury from
the sediments. These substances can be toxic to aquatic life and water fowl, and may be of concern when the dilution
capacity of the reservoir65 is not sufficient to limit the direct and indirect exposure pathways and consequent detrimen-
tal effects of these and other pollutants on aquatic and riparian ecosystems. Lower volumes typical of dewater river
reaches can often result in increased concentration of contaminants, especially if they are subjected to uncontrolled
wastewater discharges.

Mercury may bioaccumulate in the reservoir food chain, particularly if biomethylation occurs. In reservoirs located in
temperate zones, the accumulation of mercury in fish is often highest following the creation of the reservoir, when the
highest levels of accumulated mercury in the soils and flooded vegetation are released. The release of mercury in reser-
voirs located in temperate regions tends to be exacerbated because of raising and lowering of the reservoir during the
winter, which results in the weight of the ice squeezing the flooded vegetation or soil, particularly peat. Mercury levels
typically decline to natural levels after the reservoir has aged for 10 to 30 years.66 In general, mitigation of contaminants
and their effects can be achieved by minimizing or eliminating the source of the substance or changing the reservoir
conditions to favor less toxic or less mobile forms of the substance. Recommended measures to minimize contaminant
concentrations in reservoirs include the following:

• Identify potentially significant point and nonpoint sources of natural and anthropogenic contaminants within the
reservoir basin full pool, adjacent areas of the catchment basin, and in the dewatered reaches through a land-use
inventory program.67
• Implement remedial actions to prevent or minimize the release of identified contaminants into the aquatic environment.

62
Hydroelectric generation can be a significant water consumer through evaporation and more than climate the key factor is the area flooded per unit of installed capacity.
Mekonnen & Hoekstra (2011) at (http://www.waterfootprint.org/Reports/Mekonnen-Hoekstra-2012-WaterFootprint-Hydroelectricity.pdf) and Mekonnen, M.M. and
Hoekstra, A.Y. (2011) The water footprint of electricity from hydropower, Value of Water Research Report Series No.51, UNESCO-IHE at http://waterfootprint.org/media/
downloads/Report51-WaterFootprintHydropower_1.pdf.
63
ICOLD 1994.
64
Additional contaminant point sources that may contribute contaminants during or following reservoir flooding include abandoned mining operations, industrial sites,
settlements, or their associated infrastructure. Nonpoint sources can include flooded agricultural lands that have been sprayed with pesticides or herbicides.
65
Depends on the contaminant loads and physicochemical characteristics, and volume and water residence of the reservoir.
66
Lucotte et al. 1999.
67
Examples of activities to be identified in this survey include contaminated industrial sites, old mine shafts or pits and tailings deposits from abandoned mine excava-
tions or ore processing, landfills, and sewage collection, transport, and treatment systems or other facilities that may become flooded by creation of the reservoir or may
discharge wastewater along the dewatered reaches of the river.

18 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • To avoid contaminant bleaching or squeezing from flooded vegetation or soil, when contamination is suspected
or known, consider removing contaminated layer of soil and clearing vegetation to the extent feasible prior to
filling of the reservoir.
• Implement methods to prevent stratification of the reservoir to avoid anoxic conditions (see the section on dis-
solved oxygen above).

Nutrients and Minerals

The main sources of nutrients and minerals in a reservoir and downstream reaches derive from river and stream inflows
with loadings that originate from natural and anthropogenic sources, such as human settlements along the reservoir mar-
gins and the downstream floodplain, with potentially increased inputs of agricultural, industrial, and domestic waste.68

The initial flooding of a reservoir often results in a substantial, but temporary, increase in aquatic productivity because
of the decomposition of flooded biomass that releases nutrients (primarily phosphorous and nitrogen) and minerals. In
systems with low productivity, this often results in the formation of productive fisheries within a few years of reservoir
formation. However, these fisheries typically decline or collapse completely after a few years as the nutrients released
from the vegetation naturally decrease as they lack sufficient sources of replenishment, among other factors. In systems
with higher initial productivity, this initial surge in productivity can result in the proliferation of vascular plants or algae,
taste and odor problems, and the depletion of dissolved oxygen.69 Recommended measures to mitigate adverse impacts
caused by excessive nutrients and minerals include the following:

• Use limnological models in the planning stage to predict the nutrient transport and uptake cycles within a proposed
reservoir to identify whether the impoundment will tend toward eutrophic or oligotrophic conditions.
• Minimize eutrophication by, for example, watershed management practices that reduce inputs from soil transport
(erosion) or runoff, reservoir flushing, chemical immobilization of sediment phosphorus, and food web manipulation.70
• Adopt operational methods, such as increased flow-through rates, diffused air systems, surface aeration, paddle-
wheels, hypolimnetic aerators, or propeller-aspirator aerators, which help reverse eutrophication and prevent algal
blooms by duplicating the natural turnover of a water supply.
• Control nuisance growths of invasive algae and aquatic macrophytes to the extent necessary as part of an overall
management strategy that minimizes adverse impacts on the environment and aquatic habitat. Control options
include the following:
ŊŊ Physical barriers to prevent passage and spread of invasive species.
ŊŊ Mechanical removal, such as hand pulling, cutting and harvesting, rototilling, and hydro-raking.71
ŊŊ Dredging to physically remove sediment and associated plants.
ŊŊ Reservoir drawdowns during periods that will kill exposed algae and macrophytes.
ŊŊ Introduction of sterile or noninvasive herbivorous fish species.
ŊŊ Application of herbicides, based on an integrated pest management approach.72

Turbidity
The clarity or transparency of water governs light penetration and, accordingly, the extent of the productive photic zone
where most of the primary productivity occurs. Typically, the reduction in water flow caused by river impoundment
results in reduced turbidity and thus an increase in water clarity in both the reservoir and downstream river. This change

68
ICOLD 1994.
69
This is generally a greater problem in small, shallow reservoirs and in warmer climates, and in severe cases can result in an acceleration of the eutrophication process.
In tropical areas, high water temperatures (greater than 35° C) and thermal energy inputs can result in eutrophication in a very short time, even with low nutrient loading
(ICOLD 1994).
70
Carpenter 2005.
Nonchemical methods of algae control include application of barley straw to the reservoir to control algae growth; fungal decomposition of the straw results in exudates
71

with algistatic properties.

72
Algaecides can be used to rapidly clear a water body when implemented as part of an overall management system, recognizing that the effects are only temporary, and
some algae can become resistant to herbicides if they are used too often.

1. Industry-Specific Impacts and Management | 19

in water clarity can benefit visual predators; however, species adapted to turbid waters may be adversely affected to the
point where they become endangered or extirpated. Conversely, there are also cases where large quantities of very fine
suspended particles either enter the reservoir during high flow periods or are re-suspended during reservoir filling. This
can affect reservoir and river productivity by limiting light penetration and reducing photosynthetic activity and fish
feeding success. Measures to mitigate undesired increases or decreases in water turbidity include the following:

• Reduce reservoir water levels during the rainy or freshet period to allow the initial pulse of first rains or freshet to
pass through the reservoir and thereby increase turbidity and nutrient transfer to the downstream river. Increases in
reservoir turbidity and downstream transport of sediments in other seasons can be achieved through reductions in
reservoir levels and exposure of deposited sediments on the dewatered shoreline to rain and runoff or wave action.
• Use selective withdrawal structures to selectively discharge water of desired turbidity. In instances of undesired
increases in reservoir turbidity, the turbid water is often retained in the reservoir as a discreet horizontal layer.73
• Alter the rate of reservoir filling, particularly if annual filling of the reservoir creates levels of turbidity above
natural levels.
• Install baffles to inhibit wind-induced re-suspension of sediments in shallow reservoirs.

Emissions
Reservoirs, such as natural lakes, emit greenhouse gases because of biochemical processes that take place in organic-
rich sediments or the decomposition of vegetation, as well as other organic matter inflows from the catchment basin.74
Under anoxic hypolimnetic conditions, methane may be produced by the decomposition of impounded organic material
in reservoirs and can be emitted through various pathways that mainly include diffusive and bubbling emissions from
the reservoir surface and degassing in hydropower dam tailrace and diffusive flux downstream of the dam.75 The extent
and rates of methane generation and emissions from reservoirs are the subject of significant scientific debate, ongoing
research, and criticism.76, 77, 78 Significant progress has been made in the development of qualitative predictive tools to
estimate potential greenhouse gas (GHG) emissions from planned reservoirs as well as development of direct reservoir
GHG emissions measurement methodologies.79 However, it is widely accepted that early calculations stating that up to
7 percent of global GHG emission came from reservoirs seem now to reflect a gross overestimation. More recent scientific
evidence indicates that this contribution is probably less than 1 percent.80 Similarly, the initial assumption that methane
represented a significant component of the GHG emissions generated from reservoirs is no longer accepted, as it has
been determined that most of the methane resulting from anoxic bottom organic matter decomposition is re-oxidized
to carbon dioxide as it reaches the reservoir surface.81 Significant methane contribution will only occur when dealing
with anoxic reservoirs, which does not happen often and would imply other and more pressing reservoir management
issues (such as water quality or fish kills). Recommended measures to minimize generation and release of methane and
other greenhouse gas emissions include the following:

• Site reservoirs in areas with low vegetative biomass taking into consideration site-specific potential for biomass
decomposition.82
• Set up watershed management measures to reduce contribution of organic matter from the catchment area.

73
ICOLD 1981.
74
World Commission on Dams 2000.
75
UNESCO, IHA, 2008.
76
For examples of diverging views see Rosa et al., 2004; Rosa et al., 2006; Fernside, 2004; and Fernside, 2006.
77
UNESCO, IHA, 2009.
78
International Rivers Network 2006.
79
Greenhouse Gases from Reservoirs caused by Biochemical Processes, Interim Guidance Note for the World Bank, 2013. This Interim Guidance Note provides a useful
screening logical framework to help EIA practitioners determine when GHG emissions from reservoirs could represent a significant impact.
80
World Bank 2013.
81
Ibid.
82
The United Nations Framework Convention on Climate Change (UNFCCC) Clean Development Mechanism (CDM) Board does not consider hydroelectric power
projects with a power density of less than 4 Watts (W) per square meter (m2) of reservoir surface to be eligible as CDM project activities. This criterion effectively excludes
projects with storage reservoirs from the CDM. An exception to this is hydroelectricity power project reservoirs where it can be demonstrated that the greenhouse gas
(GHG) emissions from the reservoir are negligible (UNFCCC, 2007). The World Bank has presented a revised methodology to the UNFCCC applicable to projects with
power density less than 4 W/m2 that can demonstrate negligible GHG emissions through direct measurement (World Bank 2010).

20 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • As feasible, clear readily decomposable vegetative matter prior to flooding (see section on dissolved oxygen above).
• Avoid anoxic hypolimentic conditions.

Waste Management
During operation of hydropower projects, hazardous wastes may include turbine and transformer oil, and maintenance
materials or chemicals (such as paints, solvents, and abrasives for sand blasting). Nonhazardous wastes may include
office waste, packing materials, and domestic waste from workers and work camps.

In some cases, the operation of hydropower power plants may also generate significant amounts of solid waste from
floating debris removed through screens in the water intake structures. Debris may consist primarily of woody materi-
als such as tree trunks, branches, and leaves, as well as plastic containers or other solid wastes in river systems located
downstream of urban areas.

In addition to guidance pertaining to hazardous and nonhazardous wastes, as well as hazardous materials management
described in the General EHS Guidelines, additional considerations warrant emphasis relative to hydropower dam
sites. Given that wastes generated at hydropower dam sites are in or near water bodies, a key objective should be to
prevent waste releases (either solid, liquid, or leachate) to the surrounding environment, especially surface water and
groundwater. Recommended measures to minimize and manage wastes at hydropower projects include the following:

• Preferably remove nonearthen wastes from the site for treatment and disposal at an off-site facility operating in
accordance with applicable national and local requirements and internationally recognized standards. Organic
wastes removed from intake structure screens should be composted, while inorganic wastes should be either recycled
or managed at an on-site or off-site waste treatment or disposal facility.
• Where off-site removal is impractical, the location, design, and operation of the on-site waste treatment, storage, or
disposal facility should be in accordance with applicable national and local requirements and the EHS Guidelines
for Waste Management Facilities.
• Explore opportunities to work with upstream communities (such as through awareness campaigns) and relevant
government agencies to improve waste management practices and minimize discharges into the river system.

1.2 Occupational Health and Safety

Occupational health and safety (OHS) risks and mitigation measures
during construction, commissioning, operation, and decommissioning of
hydropower plants are, in some cases, similar to those at other large
industrial and infrastructure activities and are addressed in Section 2.0 of
the General EHS Guidelines. In addition, the following health and safety
impacts are of particular concern during construction and operation of
hydropower projects:

• Construction OHS aspects:

ŊŊ Tunneling
ŊŊ Use of explosives
ŊŊ Traffic safety
• Snow avalanche management
• Non-ionizing radiation
• Noise
• Confined spaces and working at height
• Electrical hazards

1. Industry-Specific Impacts and Management | 21

1.2.1 Construction OHS Aspects
“The most significant
The most significant occupational health and safety hazards in hydropower
projects often occur during the construction phase and include aspects such occupational health
as physical hazards from over-exertion, slips and falls, work at height, moving and safety hazards in
machinery, dust, and confined spaces and excavations. These hazards are common
to many civil construction activities and are covered in detail in the General EHS hydropower projects
Guidelines (Section 4.0 Construction and Decommissioning83). The following often occur during the
additional construction hazards and mitigation measures are more specific to
hydropower project construction.
construction phase.”

Tunneling
Construction of certain run-of-river water retention, diversion, and intake structures may include tunnels and other
underground works with potentially significant risks to life and safety because of rock falls or tunnel collapse, poor
air quality, and poor lighting, among others. Many of these hazards are covered in detail in Section 1.2 of the EHS
Guidelines for Mining.84

As a general safety rule, a tagging system should be implemented to account for all persons traveling into the tunneling
works. Additional recommended mitigation measures for tunneling related hazards include the following:

Geotechnical Safety
• Planning, designing, and implementing tunneling activities should be based on an accurate assessment of the geol-
ogy of the area, selecting rock support methodologies in accordance with the risks of rock collapse. Rock types
or segments where potential collapse is present (that is, fractured rock) typically require the use of rock bolts,
shotcrete, and other rock stabilization methods. Highly fractured rock generally needs the use of complete segment
rings installed by tunnel boring machines. Additional levels of safety should be applied in active seismic areas and
those potentially exposed to extreme climatic events. Systematic monitoring and regular review of geotechnical
stability data should be carried out.
• Accurate assessment of worksite safety from rockfall or landslide should be conducted. Particular attention should
be given after heavy rainfall, seismic events, and after blasting activities. Risks should be minimized by appropriate
bench and pit slope design, blast pattern design, rock scaling, protective berms, and minimizing traffic.

Ventilation
• Ventilation and air cooling systems should be appropriate for the workplace activities and be able to maintain
work area temperatures and concentrations of contaminants at safe levels. Ventilation operators and maintenance
personnel should undergo adequate training with respect to such issues as explosive atmospheres, products of
combustion, dust, and diesel fumes.
• Tunneling works should ensure a safe and clean source of air for all areas expected to be occupied by workers.
Recommended management strategies include the following:
ŊŊ Ensure surface ventilation units and associated auxiliary equipment are located and managed to eliminate haz-
ards that could jeopardize ventilation equipment performance or ventilation air quality (for example, emissions
sources and inflammable or explosive materials should not be stored near air intakes).
ŊŊ Operate auxiliary fans to avoid the uncontrolled recirculation of air.
ŊŊ Remove all persons from the tunnel, if the main ventilation system is stopped other than for a brief interruption.
ŊŊ Barricade all areas that are not being ventilated and post warning signs to prevent inadvertent entry.

83
See http://www.ifc.org/ehsguidelines.
84
Ibid.

22 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 ŊŊ Provide personal H2S and carbon dioxide (CO2) detectors and response training wherever these gases may
accumulate.
• As appropriate, thermal conditions should be monitored to identify when heat and cold stress could adversely
affect workers, and protective measures should be implemented. Temperatures should be maintained at levels
reasonable and appropriate for the activities undertaken. Other practices should include heat tolerance screening,
acclimatization, water breaks, and adoption of suitable work-rest regimens.

Dust
• Over and above the risks associated with dust covered in the General EHS Guidelines, dust control should be
fully integrated into tunneling procedures, particularly associated with blasting, drilling, and material transport
and dumping. Minimization of dust is essential to improve visual clarity in an underground setting and improve
workers’ health.

Illumination
• Underground illumination should be adequate for the safe performance of all work functions and the safe move-
ment of workers and equipment.
• Separate and independent emergency light sources should be provided at all places where a hazard could be caused
by a failure of the normal lighting system. The system should turn on automatically, should be adequate to allow
the workers to conduct an emergency shutdown of machinery, and should be tested on a regular basis.
• Underground workers should always have an approved cap lamp in their possession while underground. The peak
luminance should be at least 1500 lux at 1.2 meters from the light source throughout the shift.

1. Industry-Specific Impacts and Management | 23

Use of Explosives
The use of explosives in the hydropower power sector is limited to construction activities, particularly in the develop-
ment of tunneling works for water diversion and transport and in the quarrying of materials. Recommended explosives
management practices include the following:

• Use, handle, and transport explosives in accordance with local and national explosives safety regulations and
internationally accepted standards.85
• Assign certified blasters or explosives experts to conduct blasts.
• Actively manage blasting activities in terms of loading, priming, and firing explosives, drilling near explosives,
misfired shots, and disposal.
• Adopt consistent blasting schedules, minimizing blast-time changes.
• Implement specific warning devices (such as horn signals and flashing lights) and procedures before each blasting
activity to alert all workers and third parties in the surrounding areas (for example surrounding communities).
Warning procedures may need to include traffic limitation along local roadways and railways.
• Conduct specific personnel training on explosives handling and safety management.
• Implement blasting-permit procedures for all personnel involved with explosives (handling, transport, storage,
charging, blasting, and destruction of unused or surplus explosives).
• Ensure that qualified personnel check blasting sites for malfunctions and unexploded blasting agents following
the blast and prior to resumption of work.
• Implement specific audited procedures for all activities related to explosives (handling, transport, storage, charging,
blasting, and destruction of unused or surplus explosives) in accordance with relevant national or local regulations
and internationally recognized fire and safety codes.
• Use qualified security personnel to control transport, storage, and use of explosives on site. Blasting activities may
cause accidental explosions and affect surrounding populated areas. In addition to the prevention and control
measures described above, the following measures are recommended to address risks to nearby communities:
ŊŊ Community awareness and emergency preparedness and response planning should be undertaken, including
control of third-party access to blasting areas.
ŊŊ Vibrations86 caused by blasting have potential community impacts. Monitoring (that is, preconstruction surveys of
buildings, infrastructure, and structures, including photographic and video image recording) should be implemented
to ensure that potential household damages caused by the project activities can be adequately identified and managed.
ŊŊ Blasting should be conducted according to a consistent timetable. If changes to the blasting timetable occur,
nearby communities should be immediately informed of those changes.

Traffic Safety
Hydropower projects may use vehicle fleets for transport of workers and materials, most notably during the construc-
tion phase. Often, hydropower projects are in remote mountainous areas, with precarious road infrastructure; therefore,
road traffic accident and fatalities are a major risk. Road traffic safety concerns and mitigation measures at hydropower
projects are generally similar to those encountered at other large industrial projects and are addressed in the General
EHS Guidelines. Additional recommended measures to minimize potential traffic safety hazards specific to hydropower
projects include the following:87

• Coordinate and control vehicle operation from one central authority during the construction phase.
• Establish procedures and signage, and position traffic safety personnel to achieve separation of light and medium
vehicles from heavy vehicles.

85
For transport, see UN Recommendations on the Transport of Dangerous Goods—Model Regulations. Twentieth revised edition https://www.unece.org/trans/danger/
publi/unrec/rev20/20files_e.html.
86
Ground vibration levels measured in the closest residential areas should not exceed 0.5 to 2.0 inches/second (US Bureau of Mines, RI8507).
87
ICOLD 1992a.

24 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • Equip light and medium vehicles with devices (for example, a pole-mounted flag) to improve their visibility to
other operators.
• Require defensive driving training for all drivers, including contractors and subcontractors.
• Implement traffic safety procedures to coordinate safe transport of workers to and from the workers’ camp.
• Construct and maintain roads, particularly emphasizing major slopes, to ensure slope stability and the safety of
heavy vehicle operation.
• Inform affected communities about potential traffic-related safety risks and issues, such as vibration and dust.
Implement specific measures to ensure pedestrian safety (that is, define crossing areas and speed limits in populated
areas) and use best efforts to avoid heavy traffic during in-and-out school times or during major harvesting events
or cultural or religious festivities and gatherings, as well as monitoring of potential impacts (such as, preconstruc-
tion surveys of buildings, infrastructure, and structures, including photographic and video image recording).

1.2.2 Rock Slide and Snow Avalanche Management

Hydropower dams located in areas that may be subject to rock slides or avalanches should consider the potential safety
implication to workers. Even relatively minor rock or snow slides may present significant hazard to workers, especially
during the construction phase.

Recommended measures to minimize the potential residual risk to workers from rock slides and avalanches include the
following:88

• Consider slide risks during planning and siting of the project.

• Include awareness training in the site safety plan (such as assessment of prevailing rock slide or avalanche condi-
tions, worker safety procedures and equipment, and worker and site management emergency preparedness).
• Restrict construction or maintenance work during seasons when avalanche hazard is present or periods when
freeze-thaw cycles increase the risks of rock slides.
• Identify high risk areas and implement management activities to reduce hazards in the requisite areas.
• Implement avalanche control and construct snow barriers in strategic locations to deter wind-driven accumula-
tions of snow (such as diminution of cornice formation), deter shifting of snow pack, and deflect or absorb the
energy of shifting snow.
• Conduct rock slope stabilization using high scaling, rock bolting, trim blasting, shotcrete and mesh installations.

1.2.3 Operation OHS Aspects

Non-ionizing Radiation
Power plant workers may experience higher exposure to electric and magnetic fields (EMF) than the general public
because of working in proximity to electric power generators, equipment, and connecting high-voltage transmission
lines. Occupational EMF exposure should be prevented or minimized by preparing and implementing an EMF safety
program that includes the following components:

• Identify potential exposure levels in the workplace, including surveys of exposure levels in new projects and the
use of personal monitors during working activities.
• Train workers in the identification of occupational EMF levels and hazards.
• Establish and identify safety zones to differentiate between work areas with expected elevated EMF levels compared
to those acceptable for public exposure and limiting access to properly trained workers.
• Implement action plans to address potential or confirmed exposure levels that exceed reference occupational exposure
levels developed by international organizations such as the International Commission on Non-Ionizing Radiation

88
ICOLD 1992a. The ICNIRP exposure guidelines for Occupational Exposure are listed in Section 2.2 of this Guideline.

1. Industry-Specific Impacts and Management | 25

 Protection (ICNIRP),89 the Institute of Electrical and Electronics Engineers (IEEE). Personal exposure monitoring equip-
ment should be set to warn of exposure levels that are below occupational exposure reference levels (for example, 50
percent). Action plans to address occupational exposure may include limiting exposure time through work rotation,
increasing the distance between the source and the worker, when feasible, or using shielding materials.

The EHS Guidelines for Electric Power Transmission and Distribution Projects provide additional guidance on the
mitigation of non-ionizing radiation.

Noise
Noise sources in operating hydropower power facilities consist mainly of the turbines and generators, which are typically
located in enclosed building structures for protection against the elements, thus significantly attenuating environmen-
tal noise. Recommendations to minimize and control occupational noise exposures are discussed in Section 2.3 of the
General EHS Guidelines. Recommended measures include the following:

• Provide sound-insulated control rooms.

• Identify and mark high noise areas.
• Require that workers always use personal noise protective gear when working in high noise areas (typically areas
with noise levels greater than 85 dBA).

Confined Spaces
Specific areas for confined space entry may include turbines and turbine wells, as well as certain parts of generator
rooms (during maintenance activities). Recommended confined space entry procedures are discussed in Section 2.8 of
the General EHS Guidelines.

Electrical Hazards
Energized equipment and power lines can pose electrical hazards for workers at hydropower power plants. Recommended
measures to prevent, minimize, and control electrical hazards at hydropower power plants are discussed in Section 2.3
of the General EHS Guidelines.

1.3 Community Health and Safety

During plant commissioning, community health and safety are of outmost importance and may set the tone for regular
operation safety culture and procedures, and relationship with the affected communities. The General EHS Guidelines
address potential community health and safety issues and corresponding mitigation measures that are common to many
large industrial and infrastructure projects. Additional community health and safety issues that may be associated with
hydropower projects are described in more detail below.

• Dam safety and emergency preparedness and response

ŊŊ Emergency Planning for ordinary and extraordinary operational releases, as well as dam failure
• Reservoir slope failures
• General health issues
ŊŊ Specific vector control in water reservoirs

1.3.1 Dam Safety and Emergency Preparedness and Response

In hydropower projects with any type of reservoirs, dam failure (including the potential failure of coffer dams during
construction) can lead to extensive downstream flooding with potentially catastrophic consequences, including loss of
life and destruction of property, depending on the characteristics of land use downstream of the dam. This is especially

89
The ICNIRP exposure guidelines for Occupational Exposure are listed in Section 2.2 of this Guideline.

26 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
relevant when dams90 are upstream from significant number of downstream land
and water users. Numerous definitions of dam size are available, each based on “In hydropower projects
different criteria for evaluation.91, 92, 93 The International Commission on Large
with any type of
Dams (ICOLD) World Register94 defines large dams as those higher than 15 meters
from foundation (not from ground surface), or higher than 10 meters but with reservoirs, dam failure
more than 500 meters of crest length, or more than 1 million cubic meters stor-
(including the potential
age capacity, or more than 2,000 cubic meters per second spilling capacity. Many
factors can cause partial or total dam failure, including overtopping because of failure of coffer dams
inadequate spillway design, debris blockage of spillways, or settlement of the dam during construction)
crest. Foundation defects, including settlement and slope instability, can also lead
to dam failures. Seepage can occur around hydraulic structures, such as pipes and can lead to extensive
spillways, through animal burrows, around roots of woody vegetation, and through downstream flooding
cracks in dams, dam appurtenances, and dam foundations. Seepage can speed cor-
rosion of reinforcing steel and promote cracks, as well as erosion in embankment with potentially
dams. These problems can compromise the structural integrity of the dam. Other catastrophic
causes of dam failures include structural failure of the materials used in dam con-
struction and inadequate maintenance. Dam failure can also be caused by seismic consequences. . .”
events or sudden upstream releases of water. In high mountainous regions, dams
may also be threatened by glacial lake outburst floods (GLOFs), a catastrophic
release of water from a glacial lake, triggered by the failure of either a moraine or
ice dam, which retains the water in the glacial lake.

Recommended measures to prevent dam failures include the following:

• Design, operate, and maintain structures according to specifications of ICOLD and Australian National Commit-
tee on Large Dams (ANCOLD), or other internationally recognized standards based on a risk assessment strategy.
Design should consider the specific risks and hazards associated with geotechnical stability or hydraulic failure and
the associated risks to downstream human health and safety, economic assets, and ecosystems. Emergency plans
should be commensurate with the nature of the risk, based on an assessment of potential risks and consequences
of dam failure, including the following: evaluation of the wave front in case of complete dam rupture; mapping of
the flooding areas; training and communication with community and government emergency management enti-
ties; and evacuation plans.
• Even though government entities in many countries monitor structural integrity and foundation migration and
movement, an appropriate independent review of high risk dams95 should be undertaken at the design and con-
struction stages with ongoing monitoring of the physical structure during operation.96 Where structures are located
in areas that are at risk of high seismic loadings, the independent review should include a check on the maximum
design earthquake assumptions and the stability of the structure.
• In the case of high risk dams and impoundments, qualified experts can base their evaluation of safety on specific
risk criteria. Experts can initially refer to national regulations and methodologies. Should such regulations not
be available in the country, existing well-developed methodologies promulgated by authorities in countries with

90
Dam failure statistics show that the likelihood, frequency, and severity of dam failures is greater in smaller structures.
91
Zankhana Shah and M. Dinesh Kumar. 2008.
92
The definition followed by the National Inventory of Dams in the USA, is based on a dam’s storage capacity: large dams have storage capacities greater than 50 acre-
feet (www.coastalatlas.net).
93
The U.S. Fish and Wild Life Service uses a combination of dam height and the maximum water storage capacity classify the size of a dam: 1) small dams are less than 40
feet high or that impound less than 1,000 acre-feet of water; 2) intermediate dams are 40 to 100 feet high or that impound 1,000 to 50,000 acre-feet; and 3) large dams
are more than 100 feet high or that impound more than 50,000 acre-feet (www.fws.gov).
94
http://www.icold-cigb.org/userfiles/files/DAMS/position_paper.pdf.
95
High risk dams are those whose failure could result in loss of life in populated areas (because of wave front and flood peaks) or where significant loss of economic
assets could occur.
96
International Commission on Large Dams (ICOLD) available at: http://www.icold-cigb.net, and Australian National Committee on Large Dams (ANCOLD) available
at: http://www.ancold.org.au/.

1. Industry-Specific Impacts and Management | 27

 mature dam safety programs can be referred to and adapted as necessary to local conditions. In broad terms, risk
assessment criteria can include the following aspects:
ŊŊ Flood design97
ŊŊ Simulated earthquake (maximum credible event)
ŊŊ Properties of construction process and properties of construction materials
ŊŊ Design philosophy
ŊŊ Foundation conditions
ŊŊ Height of dam and volume of materials contained
ŊŊ Quality control during construction
ŊŊ Management capacity of the client and operator
ŊŊ Provisions for financial responsibility and closure
ŊŊ Financial resources for operation and maintenance, including closure when applicable
ŊŊ Population at risk downstream of the dam
ŊŊ Economic value of assets at risk in case of dam failure
• Conduct risk assessment (for example, Failure Mode Effects and Criticality Analysis) to identify conceivable failures,
as well as their probabilities and consequences (Quantitative Risk Assessment), in accordance with internation-
ally accepted practices.98 Through this disciplined approach, dam safety programs can identify the elements of the
physical infrastructure and the operating procedures that need to be routinely inspected, monitored, and adjusted
to achieve the acceptable levels of risk associated within the dam safety program.
• Prepare and follow a dam safety and emergency response management plan that defines the operating procedures
and specifications to protect the physical health and safety of people (residents, workers, and visitors) and their
socioeconomic regime, the physical environment and its ecological habitats, and the integrity of the hydropower
dam and associated project components to ensure sustainable, safe optimal performance.
• Consider the potential for floods caused by outbursts from glacial lakes (GLOFs) when siting and designing hydro-
power projects in glacial fed rivers, taking into account anticipated evolving climatic conditions over the life of
the dam and project. Where a glacial lake exists with potential to create a GLOF hazard, assess feasible options
to drain the lake, divert the flows, or otherwise mitigate the risk.

Emergency Planning for Operational Ordinary and Extraordinary Releases

as Well as Dam Failure
An emergency potential is assumed to exist whenever people live in an area that could be flooded by ordinary or extraordi-
nary operational releases or by the partial or total failure of a dam. An emergency in terms of dam operation is defined as an
impending or actual sudden release of water caused by failure of a dam or other water retaining structure, or the result of an
impending flood condition (including flood conditions due to peaking discharges) when the dam is not in danger of failure.

Some mitigation measures include:

• Continuous education campaigns to sensitize community residents about the risks of drowning in the reservoir,
tailrace or downstream river system. These activities involve information and periodic awareness campaigns to
potentially affected communities, especially delivered at schools, community centers, and the like;
• Construction of compensation dams downstream of the tailrace; and
• Warning signs and alarm or community warning systems along the tailrace or in downstream areas subjected to
sudden water level fluctuation. These alarm systems are especially relevant at the onset of peak generation.

97
In light of the increasing concerns associated with validity and relevance of historical flow and precipitation data to appropriately account for Climate Change impact
on design flows, Climate Risk Assessments are performed more and more frequently when designing new hydropower projects or rehabilitating existing ones. However,
there are no methodologies widely accepted and applied that could be consider as the recommended GIIP.
98
ICOLD 2005.

28 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
For projects with emergency potential, the dam owner (the individual dam
owner or the operating organization) should prepare a dam Emergency Action
Plan (EAP) to identify and define potential emergency conditions at a dam
and downstream area of impact. The dam owner should specify preplanned
actions that should be taken by the dam owner or others to moderate or alle-
viate the problems and minimize loss of life and damage to the environment
and property. The EAP should be developed in conjunction with potentially
affected communities and the competent authorities in charge of emergency
preparedness and response, and widely communicated to all relevant stakehold-
ers. It can vary in complexity and detail depending on the risks involved and
must be tailored to site-specific conditions. In general, the EAP should contain:

• Installation of meteorological stations and development of catchment

retention capacity and flood risks, linked to early warning systems;
• Notification flowchart to show who is to be notified, by whom, and in
what priority;
• Emergency detection, evaluation, and classification that establish proce-
dures for reliable and timely classification of an emergency situation to
ensure appropriate action is taken based on the urgency of the situation;
• Responsibilities for EAP-related tasks that must be made during the devel-
opment of the plan (the EAP must clearly specify the dam owner’s respon-
sibilities to ensure effective, timely action is taken should an emergency
occur at the dam);
• Preparedness actions that are to be taken before any emergency to mod-
erate or alleviate the effects of a dam emergency (such as an operational
spillway release);
• Inundation maps to delineate areas that would be flooded as a result of a
partial or total dam failure or extraordinary releases as a result of extreme
climatic event (these maps greatly facilitate notification by graphically
displaying flooded areas and showing travel times for wave front and
flood peaks at critical locations for various dam failure or extraordinary
release modes); and
• Appendices with information that supports and supplements the material
used in the development and maintenance of the EAP.

1.3.2 Reservoir and Infrastructure Safety

Other hazards associated with hydropower power projects include drown-
ing around the project (because of the new reservoirs) or downstream of the
project (users of the river). A passerby could also drown because of the water
discharging in from the tailrace during normal or emergency events. Other
risks are associated with water diversion structures, water intake structures,
and other project infrastructure (that is, surge shafts). Prevention strategies
that should be evaluated in project design include:

• Education campaigns to sensitize community residents about the risks of

drowning in the reservoir, tailrace, or downstream river system;
• Warning signs along the shore of the reservoir;
• Warning signs and alarm or community warning systems along the tailrace
or in downstream areas subject to sudden water level fluctuations; and
• Access control (fencing) to prevent access into high risk areas.

1. Industry-Specific Impacts and Management | 29

1.3.3 Reservoir Slope Failures
Reservoir slope failures (landslides) need to be considered in the context of their cause (that is, the effect that the res-
ervoir may have in destabilizing and increasing the risk of a slope failure in surrounding reservoir slopes), and their
effect (that is, impact and consequences of landslide to the reservoir itself and on the surrounding community).99 This
consideration should extend to disposal sites for earthen material excavated during the construction process. Changes
in loads on reservoir slope occur during reservoir filling and subsequently during variation in reservoir levels. Reservoir-
induced instability of slopes may result from changes in mechanical properties of native slope material and elevated
groundwater conditions caused by soil saturation condition because of infiltration of reservoir water. Slope failure can
cause total or partial blockage of reservoir, and damage the dam by an impulse wave following slope failure. Notably,
a large impulse wave overtopping a dam can cause catastrophic impacts (including loss of life) to people, communities
and infrastructure situated downstream.100 Slope failures can also affect communities and transportation routes situated
near the reservoir shores.

Mitigation of reservoir slope failures is based on early identification of slope instabilities and consequent siting to avoid
the risk, or implementation methods to improve stability of the slope or release the slope to reduce or eliminate the
instability. Measures to identify and reduce potential slope instability in projects where impact assessment studies have
identified slope instability as a potential risk include the following:101

• Conduct reconnaissance, geotechnical, geomorphological, and hydrogeotechnical studies to map signs of existing
instability, prior to reservoir filling.
• Determine slope movement rates, slope strength, mechanical properties, and groundwater pressures, and conduct
slope failure modeling.
• Establish reservoir operation and water level management height (filling and drawdown limits and rates) to foster
long-term stability per slope failure model predictions (for example, larger freeboard when climatic conditions
favor flooding).
• Design the reservoir water level to avoid or mitigate slope failure.
• Construct strategic drainage features to mitigate hydrological pressures (such as tunnels or shafts).

99
ICOLD 2002.
100
Ibid.
101
Ibid.

30 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • Periodically monitor hydraulic pressures and deformations (and use to validate/update slope failure model).
• Stabilize slopes by (i) modifying slope geometry for load reduction; (ii) incorporating drainage and infiltration
protection (surface and subsurface drainage); (iii) installing retaining structures, and (iv) providing internal slope
reinforcement (such as grouting and anchoring).
• Govern land uses to achieve acceptable risk (for example, Failure Modes Effects and Criticality Assessment and
Management).

1.3.4 General Health Issues

The nature of some hydropower power projects during the construction phase (such as location in remote areas with
long material or product supply chains) requires proactive and sustained interventions to minimize the incidence and
transmission of communicable diseases, particularly those diseases associated with the influx of migrant workers.

Project housing and catering facilities and services should be designed and maintained according to internationally
accepted standards. Workers’ living quarters that are designed and maintained to prevent overcrowding can reduce the
transmission of communicable respiratory diseases, which may transfer to local communities. Catering facilities and
services that are designed, maintained, and operated according to internationally accepted Hazard Analysis Critical
Control Point (HACCP) standards reduce the potential for transmission of food-related illnesses from the project to the
community. Operations should also define and understand the potential effect of HIV/AIDS, and design an appropriate
management response.

Specific Vector Control in Water Reservoirs

Static or slow-moving water conditions can promote disease vectors that would otherwise not thrive in faster flowing
unregulated rivers (such as mosquitoes that cause malaria or snails that cause schistosomiasis). This is especially relevant
in large reservoirs flooded around irregular topographies, resulting in fingering shapes and uneven reservoir perimeter.
The conversion of flowing conditions to static water bodies exacerbates non vector-based diseases (for example, dysen-
tery, cholera, and hepatitis A).102 Regulation of natural seasonal variations in river flows can also promote vectors that
thrive in moving water (such as the tsetse fly that causes trypanosomiasis). Communicable and water-borne diseases are
principally of concern in tropical climates. but they should also be considered in temperate zones (for example, mosquito
and avian-based spread of West Nile virus).

Project sponsors, in close collaboration with community health authorities, should implement an ongoing and integrated
control strategy for mosquito and other arthropod-borne diseases that should generally involve the following:

• Implement an integrated vector control program.

• Create engineering design reviews, including careful scrutiny of roads, water storage and control facilities and
surface water management strategies.
• Collaborate and exchange in-kind services with other control programs in the project area to maximize beneficial
effects, particularly distribution of treated bed nets.
• Develop the “A-B-C-D” program for all project workers, where A = awareness, B = bite control, C = chemopro-
phylaxis for non-immune personnel, and D = diagnosis and treatment.
• Selective use of indoor residual spraying (IRS) for project housing. IRS programs are complex and involve careful
design review, particularly a clear understanding of the local mosquito vectors and their pre-existing resistance to
available insecticides.
• Develop an effective short and long-term monitoring and evaluation program for both workers and potentially
affected communities.

102
Ledec and Quintero 2003.

1. Industry-Specific Impacts and Management | 31

2. Performance Indicators
and Monitoring

2.1 Environment
2.1.1 Emissions and Effluent Guidelines
As described previously in this document, water quality (including aspects
such as water temperature, dissolved oxygen, total dissolved gases, contami-
nants, salinity, nutrients and minerals, and turbidity) should be managed
on a project-specific basis according to the water quality objectives of the
reservoir and the river system.

For infrastructure facilities’ stormwater and sanitary wastewater management,

site-specific discharge levels may be established based on the availability and
conditions in the use of publicly operated sewage collection and treatment
systems or, if discharged directly to surface waters, on the receiving water use
classification. Further details are provided in the General EHS Guidelines.

Potential atmospheric emissions related to the decomposition of flooded

biomass under anaerobic conditions (that is, the generation and emission of
GHGs) should be managed also as previously described in this publication.

2.1.2 Environmental Monitoring
Environmental monitoring programs for this sector should be implemented to
address all activities that have been identified to have potentially significant
impacts on the environment, during construction and operational activities.
Monitoring frequency should be sufficient to provide representative data
for the parameter being monitored. Trained individuals should conduct the
monitoring following science-based methods and record-keeping procedures
and using properly calibrated and maintained equipment. Monitoring data
should be analyzed and reviewed at regular intervals and compared with the
operating standards so that any necessary corrective actions can be taken.

Although there is no standard monitoring program for a hydropower project,

Table 1 outlines examples of environmental monitoring variables whose
applicability should be established through the environmental assessment
process and based on environmental management information needs the
scope and frequency of which will depend on project-specific circumstances.

The General EHS Guidelines provide additional guidance on applicable

sampling and analytical methods for emissions and effluents generated dur-
ing construction or operation.

2. Performance Indicators and Monitoring | 33

Table 1 Typical Environmental Monitoring Aspects for Hydropower Projects

Aspects Monitoring Parameters

Construction-related Issues • Wastewater discharges—Effluents from worker camp sanitary
wastewater
• Stormwater runoff—Total suspended solids (TSS)
• Rock extraction/tunneling discharges—TSS; pH, acid drainage (also
referred to as Acid Rock Drainage (ARD)/metals leaching). Applicability
depending on results of pre-construction ARD/metals leaching testing/
mapping for the presence of Potentially-Acid-Generating (PAG)
materials)
• Solid waste—Rock waste and topsoil storage
• Biodiversity—Aquatic and terrestrial ecology surveys, vegetation
reinstatement (as relevant, aquatic ecology should be assessed upstream
and downstream of effluent discharges during construction)
• Air quality/emissions—Particulate matter at project boundary; black
smoke from construction equipment, visible dust at construction sites
• Noise and vibrations at nearest receptor (include preblasting surveys of
community infrastructure)

Meteorology • Rainfall (watershed/reservoir)

Hydrology/Morphology • Streamflow upstream and downstream (key selected points)

• Water consumption (downstream)
• Stored water volume (reservoirs)
• Flow, velocity, and depth
• Exposed/submerged substrate type

Water Quality • Temperature upstream/downstream (all types of hydropower)

• Dissolved oxygen; TSS; water clarity; phosphates/nitrates, in reservoir
and downstream

Sediment Transport • TSS (upstream and downstream); sediment transport and deposition
(run-of-river and storage); stream morphology; structural risk to in-
stream structures

Instream Infrastructure (bridges and others) • Foundation integrity

Emissions • Carbon dioxide, hydrogen sulfide, and methane in reservoir and

downstream of dam (storage reservoirs)

Aquatic Ecology • Fish and invertebrate species/population size (upstream, downstream;

and in reservoirs)
• Habitat preference by indicator species, considering different life-cycle
stages and natural history characteristics (such as spawning, alevins,
adults, foraging, breeding, or cover)

Terrestrial Ecology • Forestation of upstream/reservoir riparian areas

• Wildlife (species, distribution, numbers)

Land Use • Vegetation cover/land use change in watershed

Community Health • Water-based vectors

Community Safety • Dam structural safety—Construction and post-construction surveys

• Downstream population use of riparian resources

34 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
The project should explore opportunities to develop monitoring programs related to water quality, aquatic, and terrestrial
biodiversity, and river uses that involve the active participation of affected communities and other relevant stakehold-
ers.103 This participation can provide additional validation and legitimacy to the assessment process.

To determine the significance of changes in the river hydrological regime and the adequacy of mitigation or compensa-
tion options implemented, a robust and scientifically rigorous environmental monitoring program must be designed
prior to and during construction to establish an adequate baseline against which the accuracy of impact predictions can
be assessed. Monitoring should continue during and after commissioning of the project until sufficient information has
been obtained to verify project impacts and determine the efficacy of mitigation or compensation measures.

The monitoring protocol should include key indicator species, as well as basic fish assemblies and invertebrate, aquatic
insect, and benthonic assemblies. The spatial scope of the monitoring programs should be sufficiently broad to encompass
the project’s entire area of influence, both upstream and downstream from the hydropower plant, including transmission
lines and other ancillary facilities. The temporal scope of the monitoring program will vary by project, but at a minimum
should be designed to include important seasonal biological-flow cycles. Specific and more frequent monitoring should
be performed when key species, endangered species, or species expected to be particularly sensitive to the altered flow
regime are involved. This is particularly important during commissioning and the first years of operation. The duration
of monitoring should not be established at inception but rather should be based on achieving satisfactory conditions
over an acceptable period of time.

Developers and practitioners must understand and acknowledge that the environmental consequences of hydropower
development and operations cannot be predicted with complete certainty. To be ecologically sustainable, hydropower
projects should develop research activities and use appropriate data analysis techniques to address predictive uncer-
tainties and be prepared to develop further mitigation or compensation measures as may be required in the event of
unforeseen effects. This program of monitoring, evaluation, and adjustment—commonly referred as Adaptive Resource
Management (ARM) strategies or simply adaptive management—should be explicitly integrated into an environmental
management plan (EMP).

103
IFC 2007.

2. Performance Indicators and Monitoring | 35

2.2 Occupational Health and Safety Performance
2.2.1 Occupational Health and Safety Guidelines
Monitoring of occupational health and safety performance should cover all workers, including those of the developer,
contractors, and subcontractors. Reports of performance should provide summary data, as well as data for individual
organizations.

Occupational health and safety performance should be evaluated against internationally published exposure guidelines,
of which examples include the Threshold Limit Value (TLV®) occupational exposure guidelines and Biological Exposure
Indices (BEIs®) published by American Conference of Governmental Industrial Hygienists (ACGIH),104 the Pocket Guide
to Chemical Hazards published by the United States National Institute for Occupational Health and Safety (NIOSH), 105
Permissible Exposure Limits (PELs) published by the Occupational Safety and Health Administration of the United
States (OSHA),106 Indicative Occupational Exposure Limit Values published by European Union member states,107 or
other similar sources.

Additional indicators specifically applicable to electric power sector activities include the ICNIRP exposure limits for
occupational exposure to electric and magnetic fields, listed in the EHS Guidelines for Electric Power Transmission and
Distribution. Additional applicable indicators such as noise, electrical hazards, air quality, or others are presented in
Section 2.0 of the General EHS Guidelines.

104
Available at: http://www.acgih.org/tlv-bei-guidelines/tlv-bei-introduction and http://www.acgih.org/store/
105
Available at: http://www.cdc.gov/niosh/npg/
106
Available at: http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDARDS&p_id=9992
107
Available at: https://osha.europa.eu/en/legislation/directives/commission-directive-2009-161-eu-indicative-occupational-exposure-limit-values

36 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
2.2.2 Accident and Fatality Rates
Projects should try to reduce the number of accidents among project workers (whether directly employed or subcon-
tracted) to a rate of zero, especially accidents that could result in lost work time, different levels of disability, or even
fatalities. Fatality rates may be benchmarked against the performance of fatalities in this sector in developed countries
through consultation with published sources (for example, United States Bureau of Labor Statistics and United Kingdom
Health and Safety Executive).108 There should be a similar target of zero safety impacts on members of communities
adjacent to the development.

2.2.3 Occupational Health and Safety Monitoring

The working environment should be monitored for occupational hazards relevant to the specific project. Accredited pro-
fessionals should design and implement monitoring109 as part of an occupational health and safety monitoring program
with recognition for post-closure long-term health concerns. Facilities should also maintain a record of occupational
accidents and diseases and dangerous occurrences and accidents. The General EHS Guidelines provide additional guid-
ance on occupational health and safety monitoring programs.

108
http://www.bls.gov/iif/ and http://www.hse.gov.uk/statistics/index.htm
109
Accredited professionals may include Certified Industrial Hygienists, Registered Occupational Hygienists, or Certified Safety Professionals or their equivalent.

2. Performance Indicators and Monitoring | 37

3. References and Additional Resources

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40 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
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———. 2010. Hydropower Sustainability Assessment Protocol. International Hydropower

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Ledec, G. and J.D. Quintero. 2003. Good Dams and Bad Dams: Environmental Criteria
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44 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
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scale.” River Research and Applications, 26: 1246–1260.

3. References and Additional Resources  | 45

Annex A: General Description
of Industry Activity

Hydropower Schemes
Hydropower can be generated wherever a flow of water descends Figure A1 (Source: Tennessee Valley Authority
from a higher level to a lower level. The difference between the
two water surface elevations is referred to as head. Head can
exist in nature, for instance, when a stream runs down a steep
hillside or when a sharp change in elevation creates a waterfall
in a river. It can also be created artificially by constructing a weir
or dam, because the weir or dam creates a barrier to water flow,
raising the upstream water level to the desired elevation. Because
of elevation differences, potential energy is stored in the water;
this energy can be exploited by installing turbines and genera-
tors. Water flow moves the turbine blades, forcing the generator
rotator to spin around the stator, and in this way converting the
water’s potential energy to mechanical and then electrical energy.
Figure A1 depicts this concept in a schematic illustration.

Hydropower scheme developments must take into consideration the unique natural conditions, local topography, hydrol-
ogy, and geology characteristics of each development. Each of these conditions can significantly affect the hydropower
facility layout; thus, the layout has to be designed to maximize the use of the available head and stream flow in the most
efficient manner—technically, economically, and financially—and consider as much as possible foreseeable climate-change
factors that could influence the facility’s operational regimes in the long run.

• While each hydropower plant is site specific, it is possible to classify all hydropower plant schemes based on the
following categories110 of installed capacity (P) and water head (H) availability:
ŊŊ Micro (P < 0.1 MW): Micro hydropower projects can supply electricity for an isolated industry, or small remote
community. Usually, micro hydropower plants are stand-alone, that is, they are not connected to the grid, and
they are always run-of-river type. Small water storage tanks are sometimes constructed so that hydro generation
is guaranteed for a minimum period per day, even during low-water flow conditions.
ŊŊ Small (0.1 MW < P < 10 MW): Small hydropower plants usually exploit low discharges. Most small hydropower
plants are run-of-river types that are connected to the power grid.
ŊŊ Medium (10 MW < P < 100 MW): Medium hydropower schemes are either the run-of-river or storage types
and they almost always feed into a grid. Their layout may include a dam to create a head pond.
ŊŊ Large (P > 100 MW): Large hydropower schemes are always connected to a large grid; large hydropower plants
can be run-of-river or storage type.
ŊŊ High head (H > 100 meters), medium head (30 meters < H < 100 meters), or low head (H < 30 meters): Analy-
sis of ICOLD data has shown that the area of land inundated by the reservoir, which can result in the most
significant environmental impacts in terms of deforestation and loss of native flora and fauna, is not related to

110
Opinions vary on the threshold that separates individual categories. The classification in this document is approximate but widely accepted.

Annex A: General Description of Industry Activity  | 47

 the height of the dam, but varies substantially on a site-by-site basis and greatly depends on the topography of
the site and the location of the dam.111
• Purpose of plant structure: There can be single or multipurpose schemes,112 including the following: flood protection;
drought mitigation; irrigation; water supply; and improved condition of the water body, such as raising or keeping
the water level stable, which opens the possibility for tourism, recreational purposes, fishing, navigation, and so on.
• Operation regime: For the purposes of this document, three main types of hydropower projects are described based on
the type of power plant constructed and the operational characteristics of the reservoir created. The volume of water
impounded by the dam, inflow to the reservoir, and the capacity of the associated hydropower plant dictate the water
residence time in the reservoir, which often differentiates the operations of large reservoirs from smaller reservoirs.
ŊŊ Run-of-river schemes generate electricity by immediate use of the inflow. As a result, run-of-river hydropower
power plants are subject to weather and seasonal variations resulting in variable power generation. Most run-
of-river schemes have no storage capacity, or limited storage, which limits peak power operation to a few hours.
ŊŊ Storage schemes are characterized by water impoundment upstream of a dam structure to create a reservoir
in which water is predominantly stored during high-flow periods and consumed for energy production during
low-flow periods. Using stored water for the inflow to generate energy creates some security against natural
fluctuations in water availability caused by weather and seasonal variations. Reservoir size determines the level
of flow regulation.
ŊŊ Pumped storage plants are HPPs that can store water by pumping it from a lower reservoir or a river to a higher
reservoir. Water is pumped during off-peak hours (lower power demand/lower priced supply) by reversing tur-
bine operation to make more water available to generate electricity during peak demand periods. This process
creates efficiencies of up to 80 percent—the energy that is generated can be up to 80 percent of the energy used
to pump water to the high-level reservoir.

Hydropower plants with reservoirs have a greater ability to meet power demand fluctuations, which can be an advantage
over run-of-river diversion plants. Although such facilities are usually operated to meet base-load, depending on the
market and the regulator, the output of hydropower plants with reservoirs can be quickly adjusted to meet peak power
demand on the electrical system. Storage reservoirs can also be used to capture water during wet periods and release the
water during dry periods, providing a more consistent energy supply.

Hydropower Plant Components

“Hydropower plants
Each hydropower scheme layout is site-specific based on prevailing geologi-
cal, topographical, and hydrological conditions. Scheme components vary, but with reservoirs have
typically will include headworks, waterways, and powerhouse. Headworks cre- a greater ability to
ate head and divert water into waterways that convey water to the generating
units. The powerhouse accommodates the turbine-generator unit and auxiliary meet power demand
equipment. A switchyard with a substation may be required to feed generated fluctuations, which can
electricity into the grid.
be an advantage over
Civil Works run-of-river diversion
The civil structures that comprise a hydropower plant scheme can be grouped plants.”
as follows:

• Headworks: Typically, headworks comprise a structure (usually a weir or a dam) to raise the water level to the
desired elevation and a water intake structure to safely divert water from the river course to the waterway. In

111
Zankhana Shah and M. Dinesh Kumar 2008.
For more information, see LeCornu, J., Dams and water management, Report of ICOLD Secretary General to the International Conference on Water and Sustainable
112

Development, Paris, France, 1998.

48 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 addition, headworks are designed to allow flood discharges to pass without risking structural instability, safe
scheme operation, or upstream flooding.
ŊŊ Dams: A dam is a barrier built across a stream or river to obstruct, direct, retard, or store the flow of water. As
a basic element of a hydraulic scheme, a dam is used to create a reservoir and perform the following functions:
store water, ensure sufficient discharge during dry seasons, develop head by raising the water level, and provide
flood protection by accommodating the flood flows and releasing it over a longer period to reduce the damage
downstream the dam.
ŊŊ Weirs: A weir is an overflow structure built across an open channel to raise the upstream water level and/or to
measure the flow of water. Its main purposes are similar to those of a dam and include diverting water, increas-
ing the water level to develop head, and diverting floodwaters safely. Unlike dams, weirs cannot be used for
water storage; they only maintain the upstream water level at the intake. The weir or dam will have a spillway
to allow the discharge of flood flows, which may be a simple overflow structure or a gated structure with a
carefully designed chute to prevent damage under high flow velocities. Weirs will also have an outlet to allow
the pond or reservoir to be emptied or allow flows to be discharged (often for environmental reasons—EFlows)
even when the scheme is not generating. Where fish migration is a concern, fish ladders or passways should be
an integral component of the weir or dam design. Experts should determine final design, which should be species
specific; function for upstream and downstream migration; release adequate water depth, flows, and velocity;
and include intermediate resting check-tanks to avoid exhaustion, as well a guiding structures or mechanism
at both, ladder entrance and exits, to avoid entrapment during downstream migration or fish being sucked in
back into the turbines as soon as they get to the reservoir during their upstream migration.
ŊŊ Intakes: The main function of an intake structure is to divert water into the waterway, which conveys water
flow to the power plant in a controlled manner. Intake structures are usually the most maintenance-intensive
components of hydropower schemes.
• Waterway: The waterway comprises scheme components that convey water from the intake to the powerhouse.
The conveyance layout can include either pressure galleries or pipes or a mixed system of free-surface canals and
pressurized pipes conveys water to powerhouse. The waterway has additional structures to support a properly
functioning hydropower plant scheme; depending on local topographical and geological conditions these structures
include some or all of the following:
ŊŊ Sand trap (grit chamber or desander): The sand trap, typically situated directly downstream of the intake, ensures
that sediment suspended in the water is removed before the water flow passes through the turbine. A sand trap
is usually omitted in large storage schemes because in reservoirs sediment may have time to settle, depending
on water volume. In run-of-river projects, most sediment remains in the water flow up to the turbines, making
a sand trap essential in this type of scheme.
ŊŊ Headrace: The headrace conveys the water safely toward the forebay or the surge tank with minimum head losses
ŊŊ Surge tank (surge chamber): The surge tank controls pressure variations in the penstock and the headrace, thus
eliminating or smoothing water hammer when variations occur because of sudden shutdown of the flow to the
powerhouse. The surge tank also regulates water flow to the turbine by providing necessary retarding head.
ŊŊ Pressure pipe (penstock): The penstock conveys pressurized water from the forebay or surge tank to the tur-
bine. In addition to the pressure caused by static head, the penstock must be able to withstand the pressure rise
caused by the so-called water hammer, that is, the pressure rise that occurs because of rapid turbine shutdown
in emergencies.
• Powerhouse: The powerhouse comprises structures to accommodate electromechanical equipment that converts the
water’s energy, first into mechanical and then into electrical energy. It hosts the turbine, generator, and auxiliary
equipment. Powerhouses can be constructed above or below ground. The layout should allow easy installation of
equipment and easy access for inspections and maintenance. Size depends on the types, dimensions, and number
of units installed. In general, powerhouses have three primary areas.
• Tailrace: Discharges turbine water into a receiving water body such as a river, lake, or ocean.
• Auxiliary structures: These structures protect the hydropower plant scheme from potential risks, such as turbine
abrasion, sediment deposition in the waterways, and riverbed erosion downstream of the headworks.

Annex A: General Description of Industry Activity  | 49

Electromechanical Equipment
Hydro turbines can be grouped according to the head that they exploit to harvest hydropower, and their mode of opera-
tion. Another common classification of hydro turbines is based on their principle of operation—impulse or reaction
type—that describes how the turbine transforms potential water energy into rotational mechanical energy.

• Reaction turbines use the water flow to generate hydrodynamic lift forces that propel the runner blades. The runner
blades are profiled so that pressure differences across them impose lift forces, just as on aircraft wings, which cause
the runner to rotate. Reaction turbines have a runner that always functions within a completely water-filled casing.
Reaction turbines have a diffuser known as a “draft tube” below the runner through which the water discharges.
The draft tube decelerates the water discharge and reduces static pressure below the runner, thereby increasing
effective head. Two main types of reaction turbine are the propeller (with Kaplan variant) and Francis turbines.
• Impulse turbines runners operate in air, driven by a jet (or jets) of water. Three main types of impulse turbine are in
use: the Pelton, the Turgo, and the Crossflow. Turbine choice is based on the principal site characteristics—available
head and flow—including flow variations, that is, if the turbine operates in part-load condition, for example, when
available discharge throughout the year is typically lower than the turbine’s design discharge. Typically, impulse
turbines are more efficient for high heads.

The generator transforms mechanical energy into electrical energy using an excitation system. Typical generator effi-
ciency increases with rated power. For very small units (such as 10 kW) efficiency can be close to 90 percent; for larger
capacities (> 1 MW) efficiency approaches 98 percent.

Grid Connection Facilities

The switchyard is the gateway from the generating unit to the distribution network. Before generated energy is transmit-
ted through the grid, step-up transformers increase the voltage to reduce energy losses in the lines.

50 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
Annex B: Suggested Aspects of an
Environmental Impact Assessment
of Hydropower Projects

An Environmental and Social Impact Assessment (ESIA)113 for new facilities and a combined ESIA and environmental
audit for existing facilities should be carried out early in the project cycle in order to incorporate, to the extent feasible,
the mitigation requirements (including alternative analysis) into the project design of a new or modified hydropower
plant.114

Table B1 provides suggested key elements of the ESIA, the scope of which will depend on project-specific circumstances.

Table B1 Suggested Aspects of an ESIA of New Hydropower Projects114

Assessment of Baseline Conditions • Land use

• Affected communities and stakeholder mapping
• Hydrology and hydro-morphology; historical hydrology dynamics
• Water quality
• Biodiversity values, including aquatic and terrestrial ecological assemblies as well
as ecosystem services
• Upstream and downstream river use
• Fish stocks, fisheries, and livelihoods
• Vector-borne diseases
• Climate change risks or vulnerability

Analysis of Alternatives • Energy demand and supply alternatives

• Siting alternatives (that is, location in river, watershed, or region)
• Project design alternatives (such as type of hydropower project, EFlows, dam
height, inundation area, water intake, and discharge structures)

Assessment of Impacts • Land acquisition, involuntary resettlement, or economic displacement

• Construction impacts (such as borrow materials extraction, spoil use/disposal,
vegetation removal, erosion, construction camps)
• Hydrology/Hydro-morphology changes, sediment transport and increased
erosion potential
• Water quality modifications

(continues)

For more general guidance on ESIA, IFC Guidance Note 1 to IFC Performance Standard 1—Assessment and Management of Environmental and Social Risks and
113

Impacts may be consulted.

114
Rehabilitation and/or Expansion of Existing Facilities: An environmental and social impact assessment of the proposed rehabilitation should be carried out early in the
process of preparing the project in order to allow an opportunity to evaluate alternative rehabilitation options before key design decisions are finalized. The assessment
should include an environmental audit that examines the impacts of the existing facility’s operations on nearby populations and ecosystems, supplemented by an ESIA that
examines the changes in these impacts that would result under alternative specifications for the rehabilitation, and the estimated capital and operating costs associated with
each option. Depending on the scale and nature of the rehabilitation, the audit/environmental and social impacts assessment may be relatively narrow in scope, focusing
on only a small number of specific concerns that would be affected by the project, or it may be as extensive as would be appropriate for the construction of a new facility
at the same site. The assessment may cover aspects applicable to the impacts of the plant under existing operating conditions—including environmental and social legacy
issues—and under alternative scenarios for rehabilitation, including aspects such as potential increase in the reservoir operational levels (area of inundation), changes to
downstream flows (quality, volume, and timing), changes to operational mode, and so on.

Annex B: Suggested Aspects of an Environmental Impact Assessment of Hydropower Projects  | 51

 • Aquatic and terrestrial habitat conversion, including habitat fragmentation/
impaired connectivity
• Changes to ecosystem services
• Upstream and downstream river use changes and effects
• Water needs and uses downstream in terms of average release flow, frequency,
volumes, and timing of the release (that is, appropriate time of day and year to
meet downstream users’ needs such as irrigation or others)
• Fish stocks/fisheries livelihoods (that is, water quality, loss of spawning grounds
and barriers to fish migration)
• Vector-borne diseases (related to the creation of a reservoir with endemic water
related disease)
• Dam safety and emergency preparedness and response
• Associated facilities (that is, access roads and transmission lines)
• Visual impacts
• Effects on cultural resources
• Cumulative Impacts (that is, cumulative effects of hydropower or other
infrastructure developments in the same river, watershed, or region in the
present and in the foreseeable future)—see more details below
• Climate change risks or vulnerability
• Potential health and safety risks to affected communities

Mitigation Measures/Management • Project design modifications

Programs • Stakeholder engagement, such as community and stakeholder engagement plan,
including a Grievance Mechanism
• Land Acquisition, Involuntary Resettlement and Livelihood Restoration
Management Plan
• Construction phase management programs
• Operational phase management programs
• EFlows Management Plan
• Traffic Management Plan
• Sediment Management Plan
• Occupational Health and Safety Plan
• Adaptive Resource Management (ARM) programs
• Emergency Preparedness and Response Plan
• Industrial risk assessment, if relevant
• Basinwide Management Programs

Monitoring Program • Parameters

• Sampling frequency
• Evaluation criteria
• Cost

General Considerations of Cumulative Effects

Project planning may also require inclusion of a cumulative impact assessment (CIA), defined as changes to the social
and physical environment that are caused by an action (that is, any project or activity of human origin) in combination
with other past, present, and future actions.115 In the context of hydropower projects, cumulative impacts assessment
and management (CIAM) are typically expected to do the following:

• Assess cumulative effects of cascading projects located in the same river system.
• Assess effects of other projects over a larger watershed or regional area that may cross jurisdictional boundaries.

115
Hegmann et al. 1999.

52 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • Include effects due to natural perturbations affecting environmental components and human actions.
• Assess effects during a longer period of time into the past and future.
• Consider effects on Valued Environmental and Social Components (VECs)116 resulting from interactions with other
actions, and not just the effects of the single action under review.
• Include other past, existing and future (for example, reasonably foreseeable) projects.
• Evaluate significance in consideration of other than just local, direct effects.

The challenge in developing the CIA is determining the VECs on which to focus the analysis, and how large an area
around the action should be assessed, how long in time, and how to practically assess the often complex interactions
among the actions. The methodology of the CIA should follow internationally recognized good practices, such as the
Canadian Environmental Assessment Agency’s Cumulative Effects Assessment Practitioners’ Guide117 or the IFC proposed
Standard Annotated Terms of References for a Rapid Cumulative Impact Assessment.118

116
VECs are synonymous with sensitive environmental and social receptors. A VEC is any part of the environment or socio-economic context that is considered important
by the proponent, public, scientists and government involved in the assessment process. Importance may be determined on the basis of cultural values or scientific concerns
and refer to sensitive environmental and social receptors that are priorities for assessment in CIA, and could be ecological, social, or cultural values.
117
http://www.ceaa-acee.gc.ca/default.asp?lang=En&n=43952694-1&toc=show
118
IFC 2013.

Annex B: Suggested Aspects of an Environmental Impact Assessment of Hydropower Projects  | 53

Annex C: Assessment and Provision
of Instream Environmental
Flows (EFlows)

EFlows are defined as water flow regime schemes, designed to support desired ecological conditions, ecosystem services,
and/or downstream water uses, from a dam or diversion into downstream reaches of an affected river.119 More recently
the term “EFlows” also refers to sediment and biota flows upstream and downstream in a river. It is widely accepted that
EFlow releases based on a percentage of annual hydrological average flows is typically insufficient to satisfy downstream
ecological processes and human uses, and that downstream releases need to incorporate “variable flow regimes” and
be expressed in terms of magnitude, duration, seasonality, frequency, and predictability.120 Therefore, the use of the so-
called “Tennant method” or “Montana method” for establishing EFlow regimes is not recommended without a robust
analysis that demonstrates the adequacy of the flow regime to support desired conditions and uses.

The feasibility of integrating EFlow needs into hydropower schemes has markedly improved in recent years because of
improvements in dam design, technological advancements in electricity generation and transmission, innovations in dam
operations; and it is now a common good international practice.121, 122 Furthermore, in recent years, there have been
important advances in the science of hydraulic and ecological modeling, which have significantly improved understand-
ing of the relationship between hydro-morphological characteristics (such as velocity, depth, and substrate type) and fish
and invertebrate species survival success (such as species-specific habitat preference curves) and riverbed and sediment
dynamics. To be most successful, these new approaches and capabilities need to be fully considered and integrated into
both regional and local level planning efforts. The loss of ecosystem services can be reduced or avoided by considering
EFlow dynamics and needs at the very earliest stages of project development—which includes consideration at interna-
tional, national, regional, and local scales. The latter is often restricted to a single river system or hydropower scheme.

The determination of EFlow release schemes is essential to sustainable hydropower development and water manage-
ment.123 The scientific assessment of EFlow is needed to understand key baseline sediment loads, socio-ecological condi-
tions, and ecosystem services and assess the extent to which historical sediment, biota, and water flows can be altered
by hydropower development, while at the same time maintaining river integrity and associated social benefits. In the
past two decades, the science of EFlow assessment has progressed considerably. Even so, tradeoffs will always need to
be considered in the decision-making process.

The prevailing scientific opinion is that rather than simply maintaining minimum hydrological flows, a naturally variable
pattern of water flow is needed to support functional and productive river ecosystems. Allocating the finite supply of
water among the often competing users requires information on the relative benefits and costs of different allocations.
While some allocations can be based on quantitative requirements for demands for power or agricultural production
and municipal or industrial uses, the relationships between sediment loads, water quantity and ecosystem protection are

119
Krchnak et al. 2009.
120
The Nature Conservancy at http://www.conservationgateway.org/Files/Pages/framework-monitoring-repo.aspx
121
Brisbane declaration (2007) http://riversymposium.com/about/brisbane-declaration-2007/
122
IHA Sustainability Protocol 2010.
123
Ibid.

54 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
less quantitative. Increasingly, water managers and dam planners are realizing the importance of maintaining adequate
EFlows and other habitat conditions to sustain river health, human uses, and other associated ecosystem services pro-
vided by river reaches located downstream of dams or diversions.

Several methods have been developed to determine adequate flows to be released downstream from hydropower proj-
ects. These methods attempt to identify the components and characteristics of natural flow regimes, as to assess what
flow regimes would need to be maintained to protect downstream human uses and ecological processes. The examples
below should not be considered exhaustive or suitable for all situations.

At a regional planning stage, the Ecological Limits of Hydrologic Alteration (ELOHA)124 framework aims to produce
coarse-scale estimates of EFlow needs applicable to regional water and energy planning. This is a scientifically robust and
flexible framework for assessing and managing EFlows across large regions, when lack of time and resources preclude
evaluating individual rivers or projects. ELOHA systematically translates understanding of the ecological ramifications
of human-induced streamflow alterations from rivers that have been studied to rivers that have not, without requir-
ing detailed site-specific information for each river. Water managers, policy makers, stakeholders, and scientists with
diverse expertise have used ELOHA to accelerate the integration of EFlows into regional water resource planning and
management.125

ELOHA includes five essential steps:

• Build a hydrologic foundation of daily streamflow hydrographs representing at least two conditions—baseline
(pre-development) and present-day—for a single time period for every analysis point within the region.
• Classify river types according to hydrologic and other characteristics.
• Assess flow alteration from baseline conditions at every analysis point.
• Determine flow-ecology relationships that quantify biological responses to different degrees of hydrologic altera-
tion for each river type, based on existing biological and related data and models.
• Propose and implementpolicies to maintain and restore EFlows through a social process involving stakeholders
and water managers informed by the flow-ecology relationships.126

Project specific EFlow assessment methods can generally be classified into either Prescriptive or Interactive methods
as summarized in Table C1.127 The specific types of methodologies, their relative requirements for data collection and
assessment, and the relative confidence in their predictive abilities are summarized in Table C2. Prescriptive methods are
based on general principles and most suited to small, simple, singular use projects, but even in those applications, there
is often a need to validate the relationship between the flow parameter being assessed and river health and productivity.
Interactive approaches are more complex than Prescriptive methods and are illustrated in Table C3 by two representative
approaches—Instream Flow Incremental Methodology (IFIM and associated Physical Habitat Simulation (PHABSIM)
model) and Downstream Response to Imposed Flow Transformations (DRIFT).

Although IFIM requires consideration of all aspects of fish and macro-invertebrate habitats and stream ecology, other
aspects of the environment are often assumed to be unchanged, and flow is often the only variable of interest in some
regulatory contexts. Even when other aspects of aquatic habitat and stream ecology are considered, the flow–habitat
relationship developed with PHABSIM is fundamental to the model output. Once PHABSIM habitat preference and
flow-habitat relationship are determined, IFIM methodology can then be used to propose downstream flow regimes
that would appropriately incorporate all remaining in-stream flow uses, such as water quality, assimilation, navigation,
and recreation, among others.

124
http://conserveonline.org/workspaces/eloha.
125
Ibid.
The scientific basis for ELOHA was published in 2006 by an international group of river scientists (Arthington et al. 2006). Practical guidelines for its application have
126

been developed by consensus of leading international environmental flow experts (Poff et al. 2010).
127
See Davis and Hirji (2003) for a detailed discussion of the various flow assessment methodologies.

Annex C: Assessment and Provision of Instream Environmental Flows (EFlows)  | 55

Table C1 Features of Prescriptive and Interactive Methodologies

Prescriptive Interactive
Often provide a single flow regime Provide a range of flow regimes, each linked to a different river condition
to maintain a single objective (river
condition)

Motivate for the inclusion of Explain the consequences of flow manipulations

specific parts of the flow regime

Not conducive to exploring options Conducive to exploring options

Suited for application where Suited for application where the eventual environmental flow is an outcome of
objectives are clear, and the chance negotiations with other users
of conflict is small

Source: Davis and Hirji (2003)

Table C2 Selected Flow Assessment Methods

Approximate Duration
Data and Time of Assessment/Relative
Output/Method Requirements Confidence in Output Level of Experience
Prescriptive

Tennant Moderate to low Two weeks/Low USA/extensive

Wetted perimeter Moderate 2–4 months/Low USA/extensive

Expert panels Moderate to low 1–2 months/Medium South Africa,

Australia/extensive

Holistic Moderate to high 6–18 months/Medium

Interactive

IFIM Very high 2–5 years/High USA, UK/extensive

DRIFT High to very high 1–3 years/High Lesotho, South

Africa/very limited

Source: Davis and Hirji (2003)

56 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
Table C3 Phases of IFIM and DRIFT

PHASES IFIM DRIFT

Problem identification or issues • Identification of interested and • Identification of the main components of
assessment affected parties, their concerns, the project and the interested and affected
information needs and relative parties
influence of power • Identification of the population at risk
• Identification of the broad study • Identification of the broad study area, and
area, and the extent of probable the extent of probable impacts
impacts • Identification of social concerns (local,
national, and international) to be addressed
in the biophysical studies

Two weeks/Low

Study planning Both approaches require:

• Assessment of existing biophysical, social, and economic data, and evaluation of the
need for further data;
• Selection of representative river reaches;
• Design of data collection procedures; and
• Identification of key data collection sites.

Interdisciplinary integration of site selection and data collection avoids overlaps and
gaps, and maximizes the usefulness of the data.

Addition of social considerations in selection of study area and sites, in particular,

compatibility ensured between biophysical data (collected at river sites) and social data
(collected in rural villages)

Study implementation • Collection of hydraulic and biotic • Collection of hydraulic, chemical,

data geomorphological, thermal and biotic data,
• Calibration of habitat model and analyses to develop predictive capacity
on how flow changes will affect each
• Multidisciplinary workshop to compile a
database of biophysical consequences of a
range of flow manipulations

Options analysis Both approaches require:

• Development of environmental flow alternatives or scenarios, each describing a

possible future flow regime and the resulting river condition; and
• Yield analysis of water available for development with each scenario.

• Determination of the direct costs • Determination of the direct costs and

and benefits of the alternatives benefits of each scenario
• Additionally, for each scenario,
determination of the social impacts and
costs to the population at risk of changing
river condition

Problem resolution Both approaches require:

• Assessment of the bigger picture (for example, data on the other costs/benefits of
the water resource development);
• Negotiation with off-stream water users;
• Public participation; and
• Transparent decision-making processes.

Source: Davis and Hirji (2003)

Annex C: Assessment and Provision of Instream Environmental Flows (EFlows)  | 57

The IFIM–PHABSIM method has been criticized for its assumptions and lack of validation. A key assumption is that the
variables measured are important to fish and macro-invertebrate habitat selection and that habitat selection contributes
to survival, such that more high-quality habitat will favor higher survival through a particular life stage, if habitat is a
limiting factor. However, there have been instances where PHABSIM model results have countered empirical data, which
indicates there can be other variables that are as important for habitat selection cues. In these cases, the model can incor-
rectly identify habitat associations and fail to predict the flow regime necessary to produce the desired ecological objectives.

DRIFT is a newer method than IFIM and was developed for use in semi-arid, developing regions, where water-supply
is tenuous, and uncertainties about river-linked ecological and social processes are high.128, 129 Using a basic philosophy
that all major abiotic and biotic components constitute the ecosystem to be managed; and within that, the full spectrum
of flows, and their temporal and spatial variability, constitutes the flows to be managed, DRIFT uses the expertise of
scientists from the biophysical and socio-economic disciplines to combine data and knowledge from all the disciplines
to produce flow-related scenarios for water managers to consider. DRIFT consists of four modules:

• Biophysical module, where the river ecosystem is described and predictive capacity developed on how it would
change with flow changes.
• Socioeconomic module that describes the links between riparian users, the resources they use, and their health.
• Scenario building module, where potential future flows and the impacts of these on the river and the riparian
people are developed.
• Economic module, where compensation and mitigation costs are considered.

In some cases, the DRIFT process is conducted in parallel with other external exercises, such as a macro-economic
assessment of the wider implications of each scenario or a stakeholder consultation process where people other than
subsistence users can indicate the level of acceptability of each scenario.

Although instream flow models provide a logical framework for discussion and may serve as decision-making tools when
preliminary or rapid decisions are needed, in cases where models have not been validated by empirical data, commit-
ments to long-term downstream flow releases may be difficult to implement. Use of model results for decision making
should not preclude adaptive management that incorporates monitoring and alternative proven measures for mitigation
or restoration. All information—not just model results—needs to be considered in the context of what is known when
decisions are made about modifying flow or other aspects of a river system.

Regardless of the flow assessment method selected for use in a specific project, the provision of adequate EFlows are
not the only means of river ecosystem protection or provision of a secure source of water to affected communities. The
effectiveness of EFlows depends on sound management of water quality, watershed management, and stream channel
structure and function. Quantifying an instream flow and defending it requires repeatable methods and documented
relationships between river productivity, ecosystem health, and flows. Most EFlow methods address habitat, an interme-
diate factor between flow and river health (such as fish production). Documenting the relationship between ecosystem
health and EFlows requires multiple assessments of selective productivity indicators under multiple EFlow scenarios,
while other variables remain similar. Other assumptions of any EFlow method require identification and validation.

In recent years, considerable experience has been gained in the integration of EFlows and other environmental and
social considerations into dam design. Structural and operational options that can facilitate integration of EFlows and
environmental and social objectives in hydropower dam developments include:

• Effective EFlow Management Plans that outline procedures to define and implement EFlow regimes, social and
environmental values of concern, key indicators, monitoring programs, and adaptive management criteria
• “Variable flows regime,” that combines the use of low flow, periodic high flow pulse, and controlled flooding in
an integral manner

128
Beilfuss, R. and C. Brown. 2010.
129
King et al. 2003.

58 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
 • Variable outlet and turbine-generator capacities
• Multilevel, selective withdrawal outlet structures
• Re-regulation reservoirs
• Power grid interconnection
• Coordinated operations of cascades of dam
• Flood management in floodplains
• Sediment bypass structures and sediment sluice gates
• Functional fish passage structures designed for both upstream and downstream migration
• Habitat enhancement and river bed modifications

Both single-purpose and multiple-objective hydropower projects should consider the following points when assessing
EFlow considerations:130

• Integrate ecosystem-based objectives that address biodiversity and ecosystem service protection in planning efforts
at all levels of governance and decision-making.
• When considering tradeoffs among alternative planning scenarios, take into account the consequences for
­ecosystem-based benefits.
• Integrate EFlow considerations into the planning and design of hydropower schemes, which will be easier and
more cost effective than modifying or retrofitting the design and operation of existing schemes.
• Consider EFlow needs in every stage of a hydropower development project, including location (or siting) of dams,
dam design, dam and reservoir operations, and reoperation (or changing existing operations).
• Design hydropower schemes with built-in flexibility to accommodate changes in socioeconomic and environmental
values, market conditions, technologies, and climate.

130
Krchnak et al, 2009.

Annex C: Assessment and Provision of Instream Environmental Flows (EFlows)  | 59

Annex D: Glossary

Anadromous Fish: A fish that migrates from salt water up rivers to spawn in fresh water.

Base-load facilities: Electricity production facilities used to meet a continuous energy demand and produce energy at a
constant rate (generally, operating 24 hours per day).

Biodiversity offset: Measurable conservation outcomes, delivered away from the project site, resulting from actions
designed to compensate for significant residual adverse biodiversity impacts arising from project development and per-
sisting after appropriate avoidance, minimization, and restoration measures have been taken at the project site.

Biomethylation: Any bioalkylation reaction in which a methyl group is attached. The biomethylation of toxic elements
in the environment can modify their toxicity.

Cascade: An arrangement of several hydropower schemes on the same river, configured so that the same water generates
electricity in each individual hydropower scheme within the cascade.

Catadromous fish: A fish that migrates from fresh water, down rivers to salt water to spawn.

Channel morphology: Physical characteristics of a water channel (such as, the rate of sedimentation transport).

Critical Habitat: Areas with high biodiversity value, including (i) habitat of significant importance to Critically Endangered
and/or Endangered species, (ii) habitat of significant importance to endemic and/or restricted-range species, (iii) habitat
supporting globally significant concentrations of migratory species and/or congregatory species, (iv) highly threatened
and/or unique ecosystems, and/or (v) areas associated with key evolutionary processes.

Defensive driving: Driving skills that save lives, time, and money, in spite of the conditions around the driver and the
actions of others.

Dewatered reach: Area or section of a water body where water flow/volume is reduced or removed via diversion to
another section.

Diversion: Involves redirection of a body of water that can be used to supply irrigation systems, reservoirs, or hydro-
electric power generation facilities.

Freshet: The flood of a river from heavy rain or melted snow.

Geomorphological delineation: The delineation of homogenous reaches/zones along a river based on a systematic assess-
ment of similarities in geographic location, size, climate, geology, topography, land use and river zonation (slope, channel
types, biotic distributions, and condition).

Groyne: Hydraulic structure built from a bank that interrupts water flow and limits the movement of sediment.

Hydrograph: A graph showing the rate of flow versus time past a specific point in a river, or other channel or conduit
carrying flow.

Hydro-peaking: An operating mode in hydropower generation in which water from the dam is released and power
generated for only part of the day, corresponding to peak demand for power in the system.

60 | Good Practice Note: Environmental, Health, and Safety Approaches for Hydropower Projects
Hydrosuction removal: A variation of traditional dredging that uses the hydraulic head of the dam for dredging. Envi-
ronmental issues and the potential costs of mitigation actions related to the downstream discharge of these sediments
can be high and need to be considered in the development of this option.

Hypolimnion: The lower layer of water in a stratified lake, typically cooler than the water above and relatively stagnant.

Hyporheic: Denoting an area or ecosystem beneath the bed of a river or stream that is saturated with water and that
supports invertebrate fauna that play a role in the larger ecosystem.

Intake: Main entry of water into hydropower system.

Lateral connectivity: Connectivity between a channel with floodplains or other secondary channels around it, which
results in the exchange of water, sediment, organic matter, nutrients, and organisms.

Lentic: Inhabiting or situated in still, fresh water.

Longitudinal connectivity: Connectivity of the entire length of a river or stream.

Lotic: Inhabiting or situated in rapidly moving fresh water.

Modified Habitat: Areas that may contain a large proportion of plant and/or animal species of non-native origin, and/or
where human activity has substantially modified an area’s primary ecological functions and species composition. Modified
habitats may include areas managed for agriculture, forest plantations, reclaimed coastal zones, and reclaimed wetlands.

Natural Habitat: Areas composed of viable assemblages of plant and/or animal species of largely native origin, and/
or where human activity has not essentially modified an area’s primary ecological functions and species composition.

No Net Loss: The point at which project-related impacts on biodiversity are balanced by measures taken to avoid and
minimize the project’s impacts, to undertake on-site restoration and finally to offset significant residual impacts, if any,
on an appropriate geographic scale (such as local, landscape-level, national, and regional).

Potadromous: That requires movement through fresh water systems to complete lifecycle.

Powerhouse: The hydropower structure that houses generators and turbines.

Quantitative Risk Assessment: A determination of the major hazards associated with a project, based on quantitative
estimate of risk (magnitude of the potential loss and probability that the loss will occur) related to a hazard.

Ramping rates: The increase or reduction of electricity production per unit or time. Usually expressed as megawatts per
minute (MW/min).

River training: The structural measures to improve a river and its banks (for example to prevent and mitigate floods).

Scouring: Erosion of a riverbed (vertical scour) or riverbanks (lateral scour) by flowing water.

Shotcrete: Concrete pneumatically projected at high velocity onto a surface.

Tailrace: The channel that carries water away from a dam.

Trapping bedload: Trapping in a reservoir of the sediments that move along the bed of a river by rolling, sliding, and/
or hopping.

Weir: A low wall built across a river to raise the level of water upstream and/or to regulate its flow.

Annex D: Glossary | 61
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Converting Biomass to Energy
A Guide for Developers and Investors

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Converting Biomass to Energy
A Guide for Developers and Investors

2017 June
CONTENTS

Definitions and Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xii

Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

1 Introduction to Biomass-to-Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2 Project Development Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

3 The Biomass Resource . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

4 Securing Biomass Supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

5 Energy Conversion Processes .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

6 Plant Design and Permitting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67

7 Procuring the Biomass Plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

8 Construction and Commissioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

9 Operation and Maintenance of Biomass Plants .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

10 Regulatory Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

11 Commercial Aspects .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

12 Typical Investment and Operation and Maintenance Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

13 Financial and Economic Analyses .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

14 Financing Biomass Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147

15 Environmental and Social Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155

16 Lessons Learned from Biomass Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173

Appendix A: Screening List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177

Appendix B: Characterization of Biomass . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190

Converting Biomass to Energy: A Guide for Developers and Investors iii

LIST OF FIGURES

Figure 2-1:  Main Contracts for a Biomass-to-Energy Project  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Figure 2-2:  Stakeholders of the Biomass Project  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Figure 2-3:  Project Development Stages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Figure 2-4:  Project Implementation Stages  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

Figure 2-5:  Typical Contents of a Pre-Feasibility Study  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Figure 3-1:  Flow Chart of Biomass, from Field to Plant  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Figure 3-2:  Biomass Classification .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Figure 4-1:  Calculation Methodology for Biomass Availability  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

Figure 4-2:  Seasonality of Agricultural Crops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Figure 4-3:  Map of Distance from Biomass Resource to Project Site  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

Figure 5-1:  Overview of Biomass Conversion Technologies and Their Current Development Status . . . . . . . . . . . . . . . . . 33

Figure 5-2:  The Biomass Combustion Plant  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Figure 5-3:  Combustion Process on a Sloping Grate  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

Figure 5-4:  Straw-fired CHP plant: 35 MWe and 50 MJ Per Second of Heat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

Figure 5-5:  Traveling Grate Principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Figure 5-6:  Vibrating Grate  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Figure 5-7:  Step Grate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Figure 5-8:  Principle of BFB and CFB  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

Figure 5-9:  Bubbling Fluidized Bed Boiler  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Figure 5-10:  Evaporator Circulation System, P.K. Nag, Power Plant Engineering .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Figure 5-11:  Typical Water Tube Boiler Arrangement, P.K. Nag, Power Plant Engineering  . . . . . . . . . . . . . . . . . . . . . . . 43

Figure 5-12:  Water-Steam Cycle  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Figure 5-13:  Illustration of a Steam Turbine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44

Figure 5-14:  Principle of a Typical Organic Rankine Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Figure 5-15:  Principle of Connections to an ORC Unit  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

Figure 5-16:  Illustration of Electrical Efficiency as a Function of Cooling Water Temperature . . . . . . . . . . . . . . . . . . . . . 48

Figure 5-17:  Layout of a 1 MWe ORC Unit  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Figure 5-18:  MWe Biomass-driven ORC Unit .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

iv Converting Biomass to Energy: A Guide for Developers and Investors

Figure 5-19: Illustration of the Layout of a Biomass ORC Plant Including Biomass Boiler,
Fuel Silo, and Some Auxiliary Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Figure 5-20:  A 1 MWe Biomass ORC Plant in Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

Figure 5-21:  Illustration of a Multicyclone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Figure 5-22:  Illustration of a Venturi Scrubber  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Figure 5-23:  Detail of an Electrostatic Precipitator  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Figure 5-24:  Baghouse Filter  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

Figure 5-25:  The Waste Hierarchy  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

Figure 5-26:  Cooling Tower from a Mexican Sugar Mill  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

Figure 5-27:  Industrial Cooling Towers for a Power Plant  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

Figure 5-28:  Simplified Typical Electrical Single-line Diagram for a 35 MWe Unit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

Figure 5-29:  Biogas Plant with Integrated Gas Holding Tank Under a Soft Top  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Figure 5-30:  Biogas Production Based on Pig Manure and Slaughterhouse Residues Using a Lagoon Digester . . . . . . . . . . 60

Figure 5-31:  Process Flow of a Simple Biogas Plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

Figure 5-32:  Gas Engine and Generator Unit for Biogas Application  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

Figure 5-33:  Example of Biomass Gasification Power Plant  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Figure 5-34:  Wood Chips, at Different Steps Toward “Black Pellets” .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Figure 5-35:  Sketch of a Pyrolysis Process  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Figure 6-1:  General Layout of Straw-fired Power Plant with Storage Facility Located in Pakistan  . . . . . . . . . . . . . . . . . . 68

Figure 6-2:  PQ-diagram Showing Power Output on the Vertical Axis and Heating Output on the Horizontal Axis  . . . . . . 69

Figure 6-3:  Simplified Design of a Biomass Plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

Figure 6-4:  Firing Diagram of Lisbjerg Biomass Energy Plant in Denmark  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71

Figure 6-5: Conceptual Design for Biomass Power Plant in Southeast Asia

(to give an impression of the possibilities for using process simulation calculations)  . . . . . . . . . . . . . . . . . . . 72

Figure 6-6:  The Environmental and Social Impact Assessment Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74

Figure 6-7:  The Mitigation Process in an Environmental and Social Impact Assessment . . . . . . . . . . . . . . . . . . . . . . . . . 75

Figure 6-8:  Sample Table of Contents for an Environmental and Social Impact Assessment Report  . . . . . . . . . . . . . . . . . 76

Figure 7-1:  Selecting Which FIDIC Contract to Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

Figure 8-1:  Simplified Time Schedule for the Construction Phase of a Biomass Project . . . . . . . . . . . . . . . . . . . . . . . . . . 93

Figure 8-2:  Simplified Risk Register .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

Figure 8-3:  Time Schedule for the Commissioning Phase  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

Figure 11-1:  Commercial Agreements  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

Figure 12-1:  Investment Costs for Plants of Different Sizes and for Different Regions  . . . . . . . . . . . . . . . . . . . . . . . . . 129

Figure 12-2:  Range of Typical Investment Costs (CAPEX), Depending on Plant Size, for Steam Cycle  . . . . . . . . . . . . . . 131

Figure 12-3:  Range of Typical Investment Costs (CAPEX), Depending on Plant Size, for ORC  . . . . . . . . . . . . . . . . . . . 131

Converting Biomass to Energy: A Guide for Developers and Investors v

Figure 12-4:  Range of Typical Investment Costs (CAPEX), Depending on Plant Size, for Biogas  . . . . . . . . . . . . . . . . . . 131

Figure 13-1:  Approach to Financial Analysis  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

Figure 13-2:  Example Illustration of Project Cash Flow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138

Figure 13-3:  Approach to Economic Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141

Figure 14-1:  The Difference Between Corporate Finance and Project Finance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148

Figure 14-2:  Financial Viability  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149

Figure 14-3:  Setup and Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150

Figure 15-1:  Project Emission Reductions  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

vi Converting Biomass to Energy: A Guide for Developers and Investors

LIST OF TABLES

Table A:  Overview of Proven Biomass-to-Energy Technologies and Plant Capacity  . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii

Table B:  Overview of Needed Biomass Quantities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiv

Table C:  Typical Investment Costs, Best Available Techniques (CAPEX)  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

Table 1-1:  Overview of Technologies and Plant Sizes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Table 2-1:  Biomass Amounts and Plant Sizes  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Table 3-1:  Biomass Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

Table 3-2:  Characterization of the Biomass Feedstock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Table 3-3: Sample Questions to Consider When Assessing Constraints

or Risks Associated with Biomass Feedstock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Table 3-4:  Supply Chain Questionnaire  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Table 4-1:  Biomass Amounts and Plant Sizes  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

Table 5-1:  Selection of Technology Based on Biomass  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Table 5-2:  Overview of Technologies and Plant Sizes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Table 5-3:  Steam-cycle Technologies According to Size  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

Table 5-4:  Ash Analysis of Different Types of Biomass  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

Table 6-1:  Environmental and Social Impacts: Construction Phase  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

Table 6-2:  Environmental and Social Impacts: Operational Phase  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

Table 6-3:  Environmental and Social Impacts: Decommissioning Phase  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

Table 7-1:  Types of Contracts .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

Table 7-2:  Warranties and Guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

Table 8-1:  Training Schedule: Phase One  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

Table 8-2:  Training Schedule: Phase Two . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99

Table 9-1:  Examples of Operation and Maintenance Activities  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

Table 9-2:  Examples of Consumables and Wear Parts for a Steam Technology Plant  . . . . . . . . . . . . . . . . . . . . . . . . . . 106

Table 9-3:  Examples of Strategic Spare Parts for a Steam Technology Plant  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

Table 9-4:  Typical Maintenance Issues for a Steam Technology Plant .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

Table 10-1:  Overview of the Renewable Energy Support Policies in Selected Countries, 2015 . . . . . . . . . . . . . . . . . . . . 118

Table 10-2:  Regulatory Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

Table 12-1:  Main CAPEX Groups and Sub-items for a Steam-cycle Plant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129

Converting Biomass to Energy: A Guide for Developers and Investors vii

Table 12-2:  Typical Investment Costs (CAPEX) on a European Basis .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

Table 12-3:  Example of Cost Distribution of the Main CAPEX Items for Biomass Plants . . . . . . . . . . . . . . . . . . . . . . . 130

Table 12-4:  Operation and Maintenance Costs (OPEX) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132

Table 12-5:  Typical Operation and Maintenance Costs (OPEX) on a European Basis  . . . . . . . . . . . . . . . . . . . . . . . . . 133

Table 13-1:  Assumptions for Economic Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141

Table 14-1:  Assumptions for Economic Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153

Table 15-1:  Environmental Aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157

Table 15-2: Overview of Proposed Questions to Screen for Environmental and Social Issues
on Biomass-to-Energy Projects, based on IFC Performance Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164

Table 15-3:  Emissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169

viii Converting Biomass to Energy: A Guide for Developers and Investors

DEFINITIONS AND ABBREVIATIONS

DEFINITIONS:

Project owner The developer of the project, in this case typically the owner of the small or medium industrial plant.
Project developer The project owner or an independent and professional developer of energy projects.
EPC contractor Engineering, Procurement, and Construction (EPC) is a particular form of contracting arrangement used
in some projects. The EPC contractor is responsible for all activities from design, procurement, and
construction to commissioning and handover of the project to the end-user or owner. The EPC contract
is often limited to the electro/mechanical equipment.
Guide The present guide on converting biomass to energy.
Turnkey project A turnkey project is a package solution (including detail design, supply, and construction/erection)
offered as the answer to a buyer’s request for proposal. A turnkey contractor is a company or
consortium that provides this type of package solution.
O&M contract An operation and maintenance (O&M) agreement is a long-term agreement between the project
company and a service contractor for the operation and maintenance of the plant.
Process steam/heat Provision of steam at various steam pressures for industrial processes or heat and/or for district heating.

ABBREVIATIONS:

AC Alternating Current CO2 Carbon Dioxide

ADB Asian Development Bank CPU Central Processing Unit
AfDB African Development Bank DAC Direct Air Cooling
ATEX EU Directive 9/94/EC (Appareils destinés à être DB Design–Build
utilisés en ATmosphères EXplosibles) DBFO Design–Build–Finance–Operate
BAT Best Available Techniques DBOO Design–Build–Own–Operate
BATNEEC Best Available Techniques Not Entailing DC Direct Current
Excessive Cost DCS Distributed Control System
BFB Bubbling Fluidized Bed DMC Dry Matter Content
BIGCC Biomass Integrated Gasification Combined Cycle DSCR Debt Service Coverage Ratio
BM Build Margin EBRD European Bank for Reconstruction
BOP Balance of Plant and Development
BOT Build–Operate–Transfer EHS Environment, Health, and Safety
C Celsius EIA Environmental Impact Assessment
C&I Control and instrumentation EIB European Investment Bank
CAPEX Capital Expenditure (investment costs) EPC Engineering, Procurement, and Contracting
CDM Clean Development Mechanism EPCM Engineering, Procurement, and Construction
CFB Circulating Fluidized Bed Management
CHP Combined Heat and Power ESIA Environmental and Social Impact Assessment

Converting Biomass to Energy: A Guide for Developers and Investors ix

ESMS Environmental and Social Management System MJ Megajoule
ESP Electrostatic Precipitator MW Megawatt
EU European Union MWe Megawatt electrical
FID Final Investment Decision MWh Megawatt hour
FIDIC International Federation of Consulting Engineers MWth Megawatt thermal
FRA Frequency Response Analysis n.a. Not Applicable
GGF Green for Growth Fund NPV Net Present Value
GJ Gigajoule O&M Operation and Maintenance
GNOC Global Nitrous Oxide Calculator OECD Organisation for Economic Co-operation
HMI Human Machine Interface and Development
IDB Inter-American Development Bank OEM Original Equipment Manufacturer
IEA International Energy Agency OM Operation Margin
IFC International Finance Corporation OPEX Operational Expenditure (costs of O&M)
IRENA International Renewable Energy Agency ORC Organic Rankine Cycle
IRR Internal Rate of Return PPA Power Purchase Agreement
IUCN International Union for Conservation of Nature PS Performance Standard
KfW Kreditanstalt für Wiederaufbau R&D Research and Development
(German Development Bank) RfP Request for Proposal
kg Kilogram RCM Reliability Centered Maintenance
kV Kilovolt SIA Social Impact Assessment
kW Kilowatt TEWAC Totally Enclosed Water to Air Cooling
kWh Kilowatt hour Ton Metric Ton (1,000 kg)
LCOE Levelized Cost of Electricity UN United Nations
LCV Lower Calorific Value V Volt
LPG Liquefied Petroleum Gas WACC Weighted Average Cost of Capital
MDF Medium-density Fiberboard

x Converting Biomass to Energy: A Guide for Developers and Investors

FOREWORD

Biomass can become a reliable and renewable local energy source to replace conventional fossil fuels in local industries
and to reduce reliance on overloaded electricity grids. In this perspective, many medium-to-large agricultural, wood
processing, or food processing industries in developing countries and emerging economies are well placed to benefit
from the successful development of biomass-to-energy.

The International Finance Corporation presents this guide as a practical tool for developers of and investors
in biomass-to-energy projects. The target audience is medium-to-large agricultural, food and beverage, or wood
processing companies in developing countries. Most likely, they have a biomass resource on-site in the form
of a byproduct or waste from their core business that may be used for energy production and hence used to replace
existing energy sources.

The development of a biomass-to-energy project requires careful preparation, and it is hoped that this guide will help
project developers and investors prepare successful projects, adopting industry best practices in the development,
construction, operation, and financing of biomass-to-energy projects. To facilitate this, the guide provides reference
knowledge for key types of biomass-to-energy projects on technical, financial, and environmental aspects as well
as issues related to grid access, offtake agreements, biomass availability, sustainability, and the supply chain.

This guide is written mainly for developers and investors in energy production from bio-waste generated from the
agricultural, food and beverage processing, and wood processing sectors in developing countries and emerging
economies. However, much of the technical content is equally relevant to broader applications and is likely to be
helpful to readers who are keen on deepening their understanding of the biomass-to-energy sector.

We hope that you find this guide useful.

Milagros Rivas Saiz

Global Head of Cross-Industry Advisory
International Finance Corporation

Converting Biomass to Energy: A Guide for Developers and Investors xi

ACKNOWLEDGMENTS

This publication was prepared by COWI A/S on behalf of the International Finance Corporation.

The guide’s development was managed by Carsten Glenting and Niels Jakobsen, who also contributed extensively
to the content. COWI colleagues Frederik Møller Laugesen, Meta Reimer Brødsted, Ole Biede, Michael Madsen,
Asger Strange Olesen, Simon Laursen Bager, John Sørensen, Lars Bølling Gardar, and Claus Werner Nielsen provided
valuable input to key sections. Anne-Belinda Bjerre and Wolfgang Stelte of the Danish Technological Institute provided
important input on the biomass characterization. The authors also would like to thank Gunnar Kjær for skillfully
editing the manuscript as well as Maria Seistrup for assistance in layout.

The work was guided by Ahmad Slaibi (IFC), who, together with colleagues Cody Michael Thompson, Paolo
Lombardo, Daniel Shepherd, and Efstratios Tavoulareas, provided important review and comments that helped to
improve the document. The document also benefited from comments from Alexios Pantelias, John Kellenberg, Viera
Feckova, Sergii Nevmyvanyi, and Dragan Obrenovic of IFC as well as Jari Vayrynen of the World Bank.

Finally, this guide has benefited from a wide range of input received from industry, governmental, and
nongovernmental experts.

xii Converting Biomass to Energy: A Guide for Developers and Investors

EXECUTIVE SUMMARY

The International Finance Corporation presents this

guide as a practical tool for developers of and investors in 1. Project development 2. Project implementation
biomass-to-energy projects to help them assess the technical 1.1 Project idea 2.1 Design
and financial feasibility of the different biomass-to-energy 1.2 Pre-feasibility study 2.2 Construction
options available to their businesses and industries. 1.3 Feasibility study 2.3 Commissioning
1.4 Contracts and financing 2.4 Operations
The guide specifically covers modern biomass-to-energy
2.5 Decommissioning
technologies where the biomass is derived as residues from the
agricultural (including livestock and biomass from any crop),
food and beverage processing, and wood processing sectors. A project owner must carefully consider a number of issues
that present potential barriers before proceeding with
The guide discusses three general types of proven development. The most important concerns are:
technologies for producing steam/heat and electricity from
biomass: steam technology (combustion), Organic Rankine • Is biomass available at a guaranteed quality, quantity,
Cycle (ORC) technology, and biogas technology. The and price?
technologies differ by plant capacity and target different • Is a site with proper access and size available at
types of biomass (see Table A). reasonable costs?

The project owner and/or the project developer need to have • Is there sufficient biomass project development
a detailed overview of the various options when initiating a experience and financial strength?
biomass-to-energy project. These options relate to both the • Is financing available at reasonable terms and conditions?
technologies and the actions necessary to take the project
• Is a well-defined market available for the export of
from conceptualization to a successfully completed and
energy (electricity and/or steam/heat), offering long-term
operating biomass project.
secure prices to make the project financially feasible?
The project development and implementation can be broken • Is a grid connection available within a short distance,
down into the following stages: and is connection possible at reasonable terms (in case

Table A: Overview of Proven Biomass-to-Energy Technologies and Plant Capacity*

1–5 MWe 5–10 MWe 10–40 MWe
Technology/Range (4–20 MWth) (20–40 MWth) (40–160 MWth)
Combustion plants using a water/steam boiler ● ● ●
Combustion plants using ORC technology ● ● n.a.

Biogas production with gas engine ● n.a. n.a.

Source: COWI.
*  Steam technology and ORC technology apply to fuels with a moisture content below approximately 60 to 65 percent, whereas biogas technology (anaerobic digestion with
gas engine) applies to fuels with a moisture content above 60 to 65 percent.

Converting Biomass to Energy: A Guide for Developers and Investors xiii

 the project is not developed solely for self-supply of owner of the plant to the contractor(s), listed below in order
electricity and/or heat/steam)? of increasing responsibility for the contractor:

• Is national (and any regional or international) legislation

• Traditional contracts with division of the plant into a
in favor of this type of project, and can planning and
number of partial contracts with separate detailed designs
environmental approval be expected?
• DB (Design–Build) / EPC (Engineering, Procurement,
Furthermore, the project owner should identify and mitigate Construction) / Turnkey contract with one contractor
any potential regulatory risk to the project. The most being responsible for the design and construction for the
common regulatory risks are: entire plant

• DBO (Design–Build–Operate) / BOT (Build–Operate–

• Availability of policy support measures necessary for
Transfer) type contracts where the contractor also
project viability
operates and maintains the plant
• Changes in political priorities that may reduce
• DBFO (Design–Build–Finance–Operate) where the
attractiveness of regulatory regime
contractor takes full responsibility for the provision of a
• Planning and environmental permits are not obtained in biomass-based power plant and is remunerated through
a timely manner. the sale of heat and power.

When initiating a biomass project, the amount, quality, and The decision of the type of contract will depend on the
availability of the biomass is essential for the success of the degree to which the biomass plant is integrated with the
project. This guide includes a characterization of 35 different owner’s existing facilities and the owner’s ability and
types of biomass, including their calorific value (energy willingness to transfer design decisions, operational control,
content of the fuel), biogas potential, chemical composition, and project risks to the contractor.
ash content, and moisture content. The guide also explains
During the construction phase, special attention must be
the elements needed to secure biomass availability, including
given to the time schedule and follow-up on progress, the
supplier agreements, realistic transport distances, and
handling of claims for extra work, the handling of risks
acceptable costs of collection, transport, and storage. It
related to the project, and the environment, health, and
provides the approximate amounts of biomass necessary
safety (EHS) aspects.
for different plant sizes and technologies (based on certain
criteria for calorific value, load profile, etc.) (see Table B).
When the construction of the plant is completed, it is time
for the commissioning phase, which includes training, cold
Once the technology has been chosen and sufficient amounts
testing, hot testing, functional testing, and trial operation.
and quality of biomass are confirmed, procurement and
contracting of the biomass plant becomes relevant. There
A financially viable business case is essential for securing
are several ways of transferring the responsibility from the
financing for any project. To support the business case

Table B: Overview of Needed Biomass Quantities

1–5 MWe 5–10 MWe 10–40 MWe
Technology/Range Minimum input (GJ/day)*
Combustion plants using a water/steam boiler 20 tons/day–100 tons/day 100 tons/day–200 tons/day 200 tons/day–900 tons/day

Combustion plants using ORC technology 50 tons/day–200 tons/day 200 tons/day–500 tons/day n.a.

Biogas production with gas engine 40 tons/day–200 tons/day n.a. n.a.

Source: COWI.

xiv Converting Biomass to Energy: A Guide for Developers and Investors

estimates, this guide provides indicative estimates of the • Reflect the underlying project risks and the identified
capital expenditures (CAPEX) and operational expenditures mitigation measures.
(OPEX) for the different technologies and for different sizes
of plants (see Table C). There are many different ways of securing financing for a
biomass-to-energy project. The most common ways are:
Another important factor when securing financing is
formalizing of the agreements with biomass suppliers and • Own funds (equity)
heat/power buyers. Once the terms of these agreements have • Bank loans (from international commercial banks, local
been established, the project developer will have concrete banks, and development banks or multilateral financing
knowledge of the input and output of the plant. This will institutions)
enable the developer to conduct a realistic financial analysis,
• Investment by technology supplier
which is the basis for a bankable feasibility study to be used
for ensuring financing. • Investment by biomass supplier (could be cooperatives of
farmers or biomass processing companies with significant
Before initiating the search for finance, the project developer bio-waste quantities)
should bear in mind the following:
• Build–Operate–Transfer (a third party takes the
• The process of acquiring finance can be time consuming. responsibility of financing, designing, building
infrastructure, and operating the plant for a fixed period)
• The technical, contractual, and permitting aspects of a
biomass-to-energy project all affect the opportunities for • Private equity funds.
securing financing.
This guide focus primarily on secondary and tertiary
• Project lenders will carefully assess all aspects of the bio-residues, as the social and environmental risks associated
project, with specific attention to the risks involved. with using primary biomass for energy purposes are much
Therefore, attention to detail, risk mitigation, and higher. It is therefore important that the main biomass input is
anticipation of lender concerns are very important. bio-residues to ensure environmental and social sustainability.

When addressing financial institutions, it is a prerequisite The development of a biomass-to-energy project requires
that the project developer be able to present a financial careful preparation. It is hoped that this guide will help project
viable business case. This is important for both small and developers and investors prepare successful projects that adopt
large-scale biomass projects. A financial business case should industry best practices in the development, construction,
be conducted with the following issues in mind: operation, and financing of biomass-to-energy projects, thereby
paving the way for an increase in these projects.
• Be seen from the investor’s perspective

• Be based on market prices (include taxes, tariffs, and

subsidies, but not externalities)

Table C: Typical Investment Costs, Best Available Techniques (CAPEX)

Plant Size (MWe) Steam Cycle CAPEX* ($/kW) ORC CAPEX ($/kW) Biogas CAPEX ($/kW)
1–5 5,000–10,000 3,000–8,000 3,500–6,500

5–10 4,000–8,000 2,000–5,000 n.a.

10–40 3,000–6,000 n.a. n.a.

Sources: Turboden, 2016; Danish Energy Agency and Energinet.dk, 2015; Ea Energianalyse, 2014; IRENA, 2015; COWI.
*  Capital expenditure: European basis, indicative minimum and maximum costs. For other geographical areas, see Figures 12–2, 12–3, and 12–4.

Converting Biomass to Energy: A Guide for Developers and Investors xv

 Source: COWI.

xvi Introduction to Biomass-to-Energy

INTRODUCTION TO BIOMASS-TO-ENERGY
1
Biomass resources are found almost everywhere and can The guide also includes biogas, where organic matter (such
become a reliable and renewable local energy source to as agricultural residues, animal wastes, and food industry
replace fossil fuels. Energy produced from biomass can wastes) is converted into biogas through anaerobic digestion.
reduce reliance on an overloaded electricity grid and can The raw biogas can be combusted to produce electricity and/
replace expensive fuels used in local industries. or steam/heat, or it can be transformed into bio-methane and
used as a substitute for natural gas in internal combustion
The International Finance Corporation (IFC) presents this engines. This guide does not cover biofuel technologies
guide as a practical tool to help developers of and investors such as liquid fuel ethanol and biodiesel intended for use as
in biomass projects assess the technical and financial transport fuel in vehicle engines.
feasibility of the different biomass-to-energy options
available to their businesses and industries. Biomass-to-energy is a sustainable solution that can reduce
greenhouse-gas emissions to the atmosphere, assuming the
The target audience is medium-to-large enterprises for which use of secondary and tertiary biomass to substitute the use
biomass is a byproduct, including, but not limited to, the food of fossil fuels. Agricultural and forest-based industries in
and beverage industry, the wood processing industry, and developing and emerging economies generate a substantial
forestry and agriculture in developing countries. Most likely, amount of biomass residue and waste that could, in
these enterprises already have identified a biomass resource principle, be used for energy production.
as a byproduct or waste from their core business and can use
the energy for captive purposes, with grid sales as a secondary However, the development of a biomass project is complex
goal. The focus here therefore is not on primary biomass and requires careful preparation. The absence in many
sources, except to supplement the on-site biomass. developing countries and emerging economies of high-quality
project documentation that substantiates the technical,
1.1 BACKGROUND financial, and socioeconomic feasibility of biomass projects
is a key barrier for access to funding for these projects.
Solid biomass—including fuel wood, charcoal, agricultural
and forest residues, and animal dung—traditionally has
Against this background, IFC has requested COWI to
been used for energy in rural areas of developing countries,
develop this guide for developers and investors. The guide
alongside traditional technologies such as open fires for
provides reference knowledge for key types of biomass-to-
cooking, kilns, and ovens for small-scale agricultural
energy projects on technical, financial, and environmental
and industrial processing. Often, the use of traditional
aspects as well as issues related to agreements for the sale
biomass-to-energy technologies has been beneficial to local
of steam/heat and electricity and grid access, in addition to
communities, but this approach continues to lead to high
biomass availability, sustainability, and the supply chain.
pollution levels, forest degradation, and deforestation.

The overall objective of this guide is to build competence

The present guide concerns modern biomass-to-energy
among key stakeholders. Improved knowledge of the technical
technologies where electricity and steam/heat are derived
and financial feasibility of the different biomass-to-energy
from the combustion of solid, liquid, and gaseous biomass
technologies available to business and industry may lead to
fuels in high-efficiency and low-emission conversion systems.

Converting Biomass to Energy: A Guide for Developers and Investors 1

 Source: COWI.

an expansion of biomass-to-energy projects in developing Once the available biomass has been assessed, a suitable
countries and emerging economies, as well as elsewhere. technology has to be selected. This guide presents three
general types of technologies to provide the project developer
This guide is written mainly for developers and investors in with the insight to perform an initial project assessment and
energy production from biomass surplus or waste generated development. The three technologies in focus are:
from small, medium, and large-sized firms that operate in
the agricultural, food and beverage processing, and wood • Combustion plants using a water/steam boiler
processing sectors.
• Combustion plants using Organic Rankine Cycle
(ORC) technology
1.2 SCOPE
• Biogas technology using a gas engine.
The scope of this guide is to provide project developers in
developing countries with an approach and methodology This guide furthermore distinguishes between plant sizes,
for developing a biomass project, while at the same time as biomass-to-energy projects are subject to significant
giving them the ability, on an initial level, to assess the economies of scale. The projects are divided into the
quality of their biomass and the corresponding most-suitable following ranges:
technologies.
• Small (1–5 MWe)
To assess the quality of the available biomass, this guide
• Medium (5–10 MWe)
includes a characterization of 35 of the most common types
of biomass available in developing countries. The biomass • Large (10–40 MWe).
included in this guide is primarily waste products from the
Table 1–1 provides an overview of the key technologies and
agricultural and forestry sectors and from industry. The main
the typical plant sizes in which they are applied.
focus is on secondary and tertiary biomass types; primary
biomass is included only as a supplemental energy source, if Technology descriptions in this guide are based on Best
other sources are unavailable. Available Techniques (EU BAT Reference Documents

2 Introduction to Biomass-to-Energy
 Table 1-1: Overview of Technologies and Plant Sizes
1–5 MWe 5–10 MWe 10–40 MWe
Technology/Range (4–20 MWth) (20–40 MWth) (40–160 MWth)
Combustion plants using a water/steam boiler ● ● ●
Combustion plants using ORC technology ● ● n.a.

Biogas production with gas engine ● n.a. n.a.

Source: COWI.

(BREFs) and BAT Conclusions (IPCC, 2015)). International

standard prices as of early 2016 are applied, scaled to the The guide structure:
specific world regions based on their typical relative price Chapter 1: Introduction to Biomass-to-Energy
level differences. Local conditions, specific local context, Chapter 2: Project Development Process
and the market situation at the time of procurement may Chapter 3: Biomass Resources
influence actual procurement prices, so these cost estimates Chapter 4: Securing Biomass Supply
should be used with caution. Chapter 5: Energy Conversion Processes
Chapter 6: Plant Design and Permitting
1.3 GUIDE STRUCTURE Chapter 7: Procuring the Biomass Plant

This guide describes all the necessary steps in the Chapter 8: Construction and Commissioning

development of a biomass-to-energy project. Following this Chapter 9: Operation and Maintenance of

Biomass Plants
introductory chapter, we present an overview of the entire
Chapter 10: Regulatory Framework
project development process, so that project developers
Chapter 11: Commercial Aspects
have an idea of the overall process they are about to enter.
Chapter 12: Typical Investment and Operation and
Next, the guide describes biomass resources and how to
Maintenance Costs
secure biomass supply. This is followed by several in-depth
Chapter 13: Financial and Economic Analysis
chapters covering the technology aspects, plant design, plant
Chapter 14: Financing Biomass Projects
procurement, construction, and operation. After the more
Chapter 15: Environmental and Social Considerations
technical aspects, the guide focus on framework conditions,
Chapter 16: Lessons Learned from Biomass Projects
investment costs, financial and economic analysis, and
Appendix A: Screening List
securing financing. Finally, the guide presents potential
Appendix B: Characterization of Biomass
environmental and social considerations and concludes with
Appendix C: References
a chapter on the lessons learned from implemented biomass-
to-energy projects.

Converting Biomass to Energy: A Guide for Developers and Investors 3

 Source: COWI.

4 The Project Development Process

THE PROJECT DEVELOPMENT PROCESS
2
This chapter presents an overview of the development 2.1.2 ENERGY DEMAND
process from the point of view of both project owners and
A successful biomass project brings together a source of
professional project developers. It begins with the concept of
biomass with an energy demand. This may result in different
a biomass project, describes the complexity of such projects,
plant types and sizes.
presents the stakeholders involved, and discusses the stages
of project development and implementation.
Two types of energy use:
1. Electricity generation and/or heat/steam for in-house
2.1 PROJECT CONCEPT consumption
2.1.1 HOW IS THE PROJECT IDENTIFIED? 2. In-house consumption plus export of electricity/heat/
steam/district heating
A biomass project can provide many advantages, such as:

• Offering a cheaper and more stable energy supply ELECTRICITY GENERATION AND/OR HEAT/STEAM FOR
(electricity, steam, heat) for an industrial process IN-HOUSE CONSUMPTION

• Improving the economy of the industrial business by All industrial plants use electricity for processing, and many
exporting surplus electricity, heat, or steam produced need heat in the form of steam or hot water. If the proper
from biomass residues match exists between available biomass resources and energy
demand at the plant (power and heat), a cogeneration plant
• Providing an environmentally friendly solution to
may be developed. If biomass resources are limited and there
the energy needs of an industry or a local community
is a process demand for steam/heat, it may be preferable to
(district heating or cooling)
design the plant for heat production only. The technology
• Reducing greenhouse-gas emissions by substituting fossil is simpler, operation and maintenance are easier, and the
fuels such as oil, gas, or coal with biomass capital cost is less.

• Reducing a potential industrial or agricultural waste IN-HOUSE CONSUMPTION PLUS EXPORT OF

disposal problem. ELECTRICITY/HEAT/STEAM/DISTRICT HEATING

One or more of these reasons may lead to the idea to When biomass resources exceed the energy demands of the
develop a biomass project. The owner of an industrial industrial plant, this may become a local energy center based
enterprise or a professional project developer may identify on biomass as fuel. The plant may export surplus energy to
an opportunity for a potential biomass project. It will then nearby industries in the form of electricity and heat (steam or
take the combined efforts of a larger group of stakeholders hot water). In cooler climates, biomass also may feed a district
to bring the idea to fruition in the form of a successfully heating system for the surrounding community. This type and
operating project. size of project will demand careful planning, as the technology
is more complicated, the time and cost of the project
development is more demanding, and the risk is greater.

Converting Biomass to Energy: A Guide for Developers and Investors 5

2.1.3 BIOMASS RESOURCE The residues from forestry and agriculture also may be used
as a supplementary fuel source for industrial biomass plants.
Two types of biomass sources:
1. Energy production units using biomass residues from If no suitable industrial facility exists to use the available
industrial production forestry and agricultural residues, a new biomass plant may
2. Energy production units based on available residues be established to supply electricity and/or district heating for
from agricultural crops and forestry wastes a local community.

ENERGY PRODUCTION UNITS USING BIOMASS This is outside the scope of this guide, but many
RESIDUES FROM INDUSTRIAL PRODUCTION considerations and recommendations of this guide are

Industrial facilities may develop energy plants using their relevant and may be useful for that purpose.

own biomass residues. The biomass may consist of, for

2.1.4 IS ENOUGH BIOMASS OF PROPER QUALITY
example, waste from wood processing industries, distillery AVAILABLE?
waste, ethanol production waste (lignin), bagasse from sugar
The most important question to ask is whether sufficient
production, etc.
biomass (at guaranteed long-term quality, quantity,

As a starting point, the biomass plant produces electricity and price) is available from the industrial facility’s own

and/or steam/heat for the industry’s own use, but it may also production, perhaps supplemented by local agricultural or

export excess electricity and/or heat. forestry biomass wastes.

In case of seasonal industrial production, such as a season or Before investing in a biomass plant, the project owner must

campaign at a sugar mill, the energy production plant may be certain that sufficient biomass is available to keep the

be used outside the campaign to export electricity and heat. plant running and to ensure a financially viable project. If

This will require that the plant be designed for off-season the project owner fails to convince the potential investors

operation (typically the turbine needs to be an extraction/ of the project’s financial viability, the project is unlikely to

condensing type instead of a backpressure turbine). obtain financing on reasonable terms.

Supplementary fuels will be needed outside the campaign, Table 2–1 shows the minimum amount of biomass necessary

so it is important to secure that the biomass plant is able to for the project to be technically viable.

operate fully on the two different types of biomass.

ENERGY PRODUCTION UNITS BASED ON AVAILABLE

RESIDUES FROM AGRICULTURAL CROPS AND
FORESTRY WASTES

This option represents projects based on the recovery of

residues from the forestry and agricultural sectors. In this
case, there may not be an existing industrial facility to use
the electricity, steam, or heat produced. An exception could
be an industry owning, for example, fields for sugarcane
production, wheat grain production, oil plantations, or fruit
plantations (mango, pineapple, etc.).

6 The Project Development Process

 Table 2-1: Biomass Amounts and Plant Sizes
1–5 MWe 5–10 MWe 10–40 MWe
Technology/Range Minimum input (GJ/day)*
Combustion plants using a water/steam boiler 20 tons/day–100 tons/day 100 tons/day–200 tons/day 200 tons/day–900 tons/day

Combustion plants using ORC technology 50 tons/day–200 tons/day 200 tons/day–500 tons/day n.a.

Biogas production with gas engine 40 tons/day–200 tons/day n.a. n.a.

Source: COWI.
*  Biomass tonnages at an average caloric value of 10 megajoules per kilogram, assuming 100 percent load.

2.2 MOVING FROM IDEA TO CONCEPT Potential plant sites must be identified if space is limited at
the industrial site or if the project is planned for the use of
The project owner must carefully consider a number of
forestry or agricultural residues. In this respect, the following
issues before proceeding with the development. Aside from
considerations are necessary:
having sufficient biomass of the proper quality, the most
important barriers are listed below.
• What is the cost of suitable and available sites?

Important project barriers: • Are there any restrictions on their use?

1. Is a site with proper access and size available at • Is the potential site large enough for the biomass plant
reasonable cost?
and for the necessary biomass storage area?
2. Does the project owner have sufficient strength to
close the project? • How is the infrastructure of the area? For example,
3. Is financing available at reasonable terms and conditions? connection to grid (if relevant), connection to heat/steam
4. Is a well-defined market available for export of energy customers (if relevant), road/railway access (if relevant),
(electricity and/or steam/heat), offering long-term power supply, sewer connection, raw water supply, etc.
secure prices and making the project feasible?
5. Is a grid connection available within a short distance, • What is the distance from the biomass resource?
and is connection possible at reasonable terms? (This
is not relevant if the project is developed only for • Is sufficient storage space available to accommodate
self-supply of electricity and/or heat/steam.) interruptions in external fuel supply (rainy season,
6. Is national (and any regional or international) legislation blocked roads, etc.)?
in favor of this type of project, and can environmental
approval be expected? PROJECT DEVELOPMENT

The development of a biomass project may take long and be

Additional questions to be considered are also listed below. To
complicated and costly. The success of the project depends
support these considerations, Appendix A provides a screening
entirely on the strength of the project owner/ project
list to be used by project owners and/or project developers.
developer in terms of available time, technical and economical
SITE IDENTIFICATION insight, and access to sufficient funds to develop the project.

The use of biomass residues requires a proper site adjacent IMPORTANT QUESTIONS
to the industrial facility with sufficient space for the storage,
• The development process may require substantial
potential processing, and feeding of the biomass residue.
assistance from specialists with experience in
Additional space must be available for the biomass plant
engineering, architecture, environment, legal issues,
itself and for the residues from the combustion process.
and economy/finance. What can the project owner
If supplementary biomass fuel is needed from outside
do, and when will external assistance be needed from
sources, proper access roads are important.

Converting Biomass to Energy: A Guide for Developers and Investors 7

 consultants and advisers? Are the necessary advisers • Who will pay for the transmission line to the grid
available, and what would be the associated costs at each connection point and for the heat/steam connection?
stage of the project development?
• How is biomass handled and stored at the site?
• What would be the timeline for project development,
• How is backup energy supply secured (in case of plant
and is this realistic in terms of authority approvals, etc.?
breakdown, lack of biomass supply, etc.)?

• Are potential government incentives or subsidies OPERATION AND MAINTENANCE

available within the timeframe of the project?
A biomass plant is a technically complex setup that requires
BIOMASS SOURCING (SUPPLEMENTARY FUEL OR staff with sufficient skills unless operation and maintenance
FORESTRY/AGRICULTURAL PROJECTS) is outsourced to an operation and maintenance operator
• Is sufficient biomass available, and from whom/where? under a long-term contract.

• Is seasonality or the rainy season an obstacle? • Will the plant’s own staff carry out maintenance, or will
• How is the biomass stored until delivery to the plant it be outsourced?
(at the biomass supplier’s place)? • Are staff with required skills locally available to manage
• Who delivers the biomass, and what is the contractual setup? and operate the plant?

• How is the quality of the biomass verified? • Will the plant have a high degree of automation, thus
reducing the need for manpower? (This may require
• What is the price and the payment mechanism (weight,
more highly skilled staff.)
moisture content)?
• Are disposal routes for ashes available?
TECHNICAL ISSUES
LEGISLATION
• Is the biomass waste appropriate as a fuel for energy
production? • Is national (and any regional or international) legislation
in favor of this type of project, and can planning and
• Is potential corrosive behavior of the fuel acceptable for
environmental approvals be expected?
technology providers?
• Does legislation allow such facilities?
• If supplementary biomass fuels are needed, can the
biomass plant operate without limitations on both on-site • What are the local and national emission limits that need
and off-site sourced fuels? (Fuel handling, steam boiler, to be met? What is the associated cost?
and flue gas cleaning are important points to consider.)
FINANCING
• Is it technically and economically feasible to convert the
• Who will be the owner and operator of the project?
biomass waste to electricity/heat?
• Is the project financially viable, and are potential risks
• Is sufficient biomass fuel available, and, if not, are
identified and adequately mitigated?
supplementary fuel sources available, and at what cost
and terms? • Does the project have access to sufficient financing from
internal sources, or will external financing from financial
• Is a connection to the grid possible at the correct voltage
institutions be necessary for implementation?
(if export of power is relevant)?
• Is financing available at acceptable terms and costs?
• Is a connection for the supply of steam and/or heat to
nearby industries or district heating networks accessible
(if export of heat and/or steam)?

8 The Project Development Process

PROJECT ECONOMY These considerations and the approach to take are discussed
in more detail in the following.
• Is the project dependent on external sale of energy? If
yes, is there a market for the sale of electricity, process
2.3 COMPLEXITY OF THE DEVELOPMENT
steam, or heat to outside customers?
PROCESS
• What terms can be obtained for connection to and sale 2.3.1 MEDIUM-SIZED, COMPLEX PROJECTS
of electricity to the grid, including available support
When a biomass project has been identified, more-thorough
mechanisms for renewable energy such as feed-in tariffs,
studies and considerations must be made in order to develop
clean energy certificates, etc.?
the project.
• Is there a tariff for the sale of heat and/or steam?
The development of a biomass project is complex and
• Can the feed-in tariff be guaranteed, and what are the
requires careful preparation with the support and
commercial terms and timeframe?
involvement of several stakeholders. The development
• Is the anticipated project revenue sufficient to generate a of a project, including all necessary permits from the
return on investment commensurate with project risks? environmental authorities, may take as many as one to three

A thorough discussion and assessment of energy demand, years depending on the location, financing, and procurement

biomass resources, site selection, and many of the other process—potentially leading to high project development

issues stated above is crucial in order to continue the costs. It is therefore of utmost importance to know the route

development of a biomass project. to follow and the barriers and constraints that need to be
managed in order to achieve a project that is technically
Some issues may still be left open, but the more important well functioning and financially viable. This section defines
questions must be resolved with a favorable answer if the project the stages and details the requirements for key initial
development shall proceed and the time and money be spent. considerations, studies, and documents.

The size and complexity of a project will guide the Figure 2–1 shows the main agreements for a biomass
development process. Is the proposed project small or large; project. The agreements concern biomass supply, financing,
will it supply energy for a single industry only or will it contractors/consultants, and energy sales—all aspects vital
export to others; will energy be produced as electricity or for a financially sustainable project. If these agreements are
steam/heat, or perhaps energy cogeneration? missing, the project developer faces large risks.

Figure 2-1: Main Contracts for a Biomass-to-Energy Project

Banks
Equity for Authority
providing
project approvals
loans

Loan
Own agreement Own energy
biomass
consumption
on site
Biomass-to-Energy Project
External External heat
Biomass supply
biomass and power
agreement Plant construction
suppliers customers
contracts PPA

O&M contractor Construction and Insurance

Consultants (if outsourced) equipment company
contractors

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 9

Plant procurement may take place in various ways, • Technology (fuel preparation, combustion, energy
recovery and use, etc.)
• As a turnkey/EPC contract
• Staffing (quality of personnel for operation and
• As EPC/turnkey for the electro/mechanical equipment maintenance, etc.)
• In multiple lots with separate contracts (e. g., for the • Energy backup
turbine/generator, steam boiler, etc.).
• Contractors/consultants
Likewise, the civil construction can be split into several
• Project risk evaluation.
contracts. This is discussed in more detail in Chapter 7.
If the owner’s evaluation of the issues listed above is
An operation and maintenance contractor is relevant only favorable and the owner is capable of financing the project
if operation and maintenance are outsourced instead of the from his or her own funds or from local banks, the owner
plant having its own operation and maintenance personnel. may be able to develop and procure the project locally and
complete the project quickly.
External heat and power customers are not relevant if the
biomass plant only produces electricity and/or process steam/ 2.4 STAKEHOLDERS
heat for own-consumption by the industrial plant.
The success of a biomass project often depends on the

2.3.2 SMALL AND LESS-COMPLEX PROJECTS attitude of various stakeholders, including the authorities,
biomass suppliers, energy customers, and local stakeholders
Small plants are often developed to serve a single industry,
(among them nongovernmental organizations and various
producing the quantity and quality of biomass residue to
community groups).
meet the industry’s own energy requirements. The energy
could be in the form of electricity and/or heat (steam). This Figure 2–2 gives an overview of the many different
type of project is usually less complex, less controversial, and stakeholders that may influence or be involved in the
less costly than many larger projects; as such, development development of a biomass project. The text below describes
may proceed more quickly. their different roles.

An example of this is the owner of a small industrial plant who

Figure 2-2: Stakeholders of the Biomass Project
wishes to develop an energy production unit using biomass
as the fuel. The owner has access to the necessary funds for
O&M operator

the development, and biomass fuels of acceptable quality and

sufficient quantity are available in the area. The energy needed
could be in the form of electricity and/or heat (steam). s/
Fin nt
an u lta rs
cin ns is e
g Co adv
The owner should still ensure that the basic requirements for
a successful project are observed with respect to:
Community THE BIOMASS Authorities
PROJECT
• Financing available at acceptable terms
s Ene
tor rgy
• Permits (planning, environment and community trac sale
Con
relations, etc.)
ply

Re
up

s
ss

idu

• Infrastructure (access roads, utilities, etc.)

as

es
om

• Fuel supply (quality, quantity, transport, storage, cost,

Bi

contract terms, etc.)

Source: COWI.

10 The Project Development Process

The Biomass Project represents the proposed scheme and a project. Local citizen groups may support the project
its developer/owner. If the biomass plant is established as but also will be concerned about potential negative
an SPV (Special Purpose Vehicle), the owner becomes a environmental and social impacts. It will be essential
stakeholder as the SPV is an independent legal entity. to consult with communities on their concerns and to
incorporate results of the consultation in the design of the
The stakeholders are presented in alphabetic order below: environmental and social risk and impact mitigation strategy.

Authorities include national bodies that will examine the Project-related traffic could be an important issue to manage
project from a national statutory and planning position as if external biomass is necessary, as many trucks will enter
well as from an environmental and a working environment/ the biomass plant every day. On the other hand, transport
health point of view. Authorities also include local authorities creates job opportunities that may benefit the local economy.
(which may include the municipality) with the mandate
to issue local planning and construction permits, traffic Energy sale represents the necessary agreements with the
regulations, fire certificates, licenses to connect to wastewater buyers of electricity and/or heat/steam.
sewers (and to the electricity grid, if applicable), etc.
Power may be used by the industrial company that owns
Biomass supply represents an agreement (if necessary) with the biomass plant (captive power). Alternatively, it may be
outside biomass suppliers. In the case of a project using sold to another industrial consumer or it may be sold to
waste material produced from the manufacturing process a utility company.
of the owner’s industrial plant, such agreement probably
will not be required. This may, however, be the case if the A power purchase agreement (PPA) with the national or local (as
in-house production of biomass residues is insufficient to may be) power company or agency or with an industrial user/
meet the industrial plant’s need for energy. Biomass supply consumer will stipulate the terms and price for taking and paying
agreements will be required if the project is designed for the for any surplus electricity from the biomass plant. It may include
use of external agricultural or forestry biomass wastes (for a commitment on the part of the biomass plant to produce
example, as supplementary fuel due to seasonal variations of power for a minimum number of hours during the year.
the primary biomass or to achieve economies of scale).
Energy sale also may include the sale of any surplus heat
Consultants/Advisers. In addition to the capabilities of their in the form of hot water or low-pressure steam to adjacent
own organization, the owner may need outside advice and industries or to a district heating/cooling company.
support from consultants within technical, environmental,
Financing. The source of finance for this type of project could
legal, commercial, and financial areas.
be company- or investor-owned funds, but usually it involves
Contractors. At some point, a decision should be made on a financial institution. Lenders are typically international
whether to use a turnkey contractor or to rely on separate commercial banks, local banks, and development banks or
contracts for the process plant and a civil contractor for multilateral financing institutions (for example, IFC). Owner
building and civil construction work. Further contract equity or third-party investors, such as technology suppliers,
breakdown may include, for example, separating the turbine/ also may be an option.
generator and the fuel-handling equipment from the steam
O&M operator. Three options may be relevant. The biomass
generator and the flue gas cleaning. There are variations to
plant may be operated from the industrial plant’s control
these two main options, and all will require a different set of
room or from a control room at the biomass plant with
contract agreements.
its own personnel. Another option is to engage an O&M
Community. Well-managed, early community engagement contractor, who is responsible for operation and maintenance
is an important factor to decide the success or failure of on a long-term contract. A third option is to enter into

Converting Biomass to Energy: A Guide for Developers and Investors 11

 Name and location: Tres Valles, Mexico

Project: Power plant at sugar mill in the province

of Veracruz in Mexico

Description: Grate-fired boiler producing process

steam and electricity for the sugar mill.
Surplus electricity is exported to the
owner (soft drink producer) via the grid.

Boiler data: 65 bar / 510 °C / 250 tons of steam

per hour

Turbine output: 40 MW gross power output + 50 tons

of extraction steam per hour
(28 bar, 392 °C)

Fuel: Sugarcane bagasse

Source: TGM, 2016, www.grupotgm.com.br; COWI A/S, www.cowi.com.

a Design–Build–Own–Operate (DBOO) contract for the PROJECT IMPLEMENTATION

biomass plant. This is a joint, long-term contract with one
2.1 Design
counterpart to design, build, finance, and subsequently
operate and maintain the biomass plant. 2.2 Construction

2.3 Commissioning
Residues represent an agreement with a waste hauling/
disposal contractor to remove and dispose of all residues from 2.4 Operations
the plant in accordance with local and national environmental 2.5 Decommissioning
rules. Disposal of residues also may be included in a biomass
Project development stages 1.1 to 1.4 take the project from
supply agreement or handled by the industry owner.
the conceptual ideas/thoughts until the final investment
There may be opportunities to use the residues as fertilizer, which decision (FID) is taken by the owner. At the end of stage
could provide cost savings and/or an additional revenue stream. 1.4, due diligence is conducted by the financial institutions,
and the financing concept is finalized. Figure 2–3 shows
2.5 OVERVIEW OF PROJECT STAGES the entire route to follow for project development (from
the perspectives of project developers and of banks) and
The development and implementation process for a
highlights the main activities. The development stages are
biomass project can be broken down into development and
described in more detail in Section 2.6.
implementation of the project.

Figure 2–3 shows the “standard procedure” for new

PROJECT DEVELOPMENT (PREPARATION)
projects, especially if external financing is involved. If the
1.1 Project idea project is fully owner-financed, many of the steps may be
1.2 Pre-feasibility study avoided or reduced. This may be the case for many industrial
biomass projects.
1.3 Feasibility study

1.4 Contracts and financing Figure 2–4 shows the entire route to follow for project
implementation, from the perspectives of project developers
and of banks.

12 The Project Development Process

 Figure 2-3: Project Development Stages

BANK PERSPECTIVE DEVELOPER PERSPECTIVE

STAGE 1 1.1 Project idea

• Identification of industrial, forestry or agricultural

biomass residues
• Funding of project development
• Development of outline technical concept
• Assessment of available biomass and related
supply chain

STAGE 2 1.2 Pre-feasibility study

• Assessment of different technical options

• Approximate cost/benefits
• Permitting needs
• Market assessment for biomass feedstock and
sale of produced energy

STAGE 3 1.3 Feasibility study

• Technical and financial evaluation of preferred option

• First contact with • Assessment of environmental and social risks
project developer. • Assessment of financing options
• Initiation of permitting process

STAGE 4 1.4 Contracts and financing

• Permitting
• Lenders’ due diligence • Procurement strategy
• Financing concept • Suppliers selection and contract negotiation
in place • Biomass supply agreements negotiated
• PPA negotiated
• ESIA
• Financing of project

Source: IFC, 2015; COWI.

Implementation stages 2.1 to 2.3 take the project from however, is done at the owner’s own risk, and the contract
financial investment decision to start of operation of the therefore must include a clause concerning pending
biomass plant. The implementation phase is described in approvals. Typically, a design agreement is signed with the
more detail in Section 2.7. EPC contractor allowing the contractor to start the design
but not to order any materials. Reservation of special
It should be noted that mandatory requirements stipulated by materials, such as boiler tubes, may be necessary, and this
the banks (signed power purchase agreement, environmental often involves payment of a reservation fee.
impact assessment in place, etc.) must be met in order to make
the loan agreement effective (financial close).1 Note that a project development and implementation process
may not always follow the simple linear progression as
The owner may decide to start the design stage by signing shown in Figures 2-3 and 2-4.
the prepared contract with the EPC contractor. This,

1 Financial close may be reached when the project is already

under construction or even in operation.

Converting Biomass to Energy: A Guide for Developers and Investors 13

 Figure 2-4: Project Implementation Stages

BANK PERSPECTIVE DEVELOPER PERSPECTIVE

STAGE 5 2.1 Preparation and review of detailed design

• Follow up on contractors detailed design

• Preparation of detailed design for other lots
• Financial close* • Preparation of detailed project
implementation schedule
• Finalization of permitting process
• Contingent PPA signed

STAGE 6 2.2 Construction

• Supervision of construction
• Continued follow up on contractors’ quality
• Review of construction control, commissioning schedule etc.

STAGE 7 2.3 Commissioning

• Follow up on cold and warm testing

• Performance testing and trial run
• Review of commissioning • Preparation of as built design (if required)
• Handing over

STAGE 8 2.4 Operation

• Supervision of operational performance

• Review of operation • Supervision of major maintenance

STAGE 9 2.5 Decommissioning

• Preparation of plans prior to decommissioning

• Review of decommissioning • Supervision of decommissioning

Source: IFC, 2015; COWI.

*  Financial close may be reached when the project is already under construction or even in operation.

2.6 PROJECT DEVELOPMENT The typical pre-feasibility study may cover the following issues:

2.6.1 PROJECT IDEA
• Description of the biomass fuel resource (amount,
An opportunity for a potential biomass project may be characteristics, price, transport, logistic, need for
identified by the owner of an industrial enterprise or by a supplementary fuel, etc.)
professional project developer. This stage is described in
• Barriers for the project
more detail in Section 2.1.
• Potential technical concepts (several concepts may be
2.6.2 PRE-FEASIBILITY STUDY STAGE
identified and briefly assessed)
The pre-feasibility study is the first assessment of the potential
• Calculation of expected energy production (electricity,
project. It is a high-level review of the main aspects of the
steam, heat)
project, and the purpose is to decide if it is worth taking the
project forward and investing further money and time. • Preliminary layout

14 The Project Development Process

 • Possibility to connect to the electrical grid (distance to
grid, voltage level, costs for connection, etc.) Time and Cost Implications
Depending on the size and complexity, the associated costs
• Preliminary assessment of energy sales (PPA, electricity
and the time needed may vary substantially. The authorities
price, heat price, steam price, etc.) normally are not involved in a pre-feasibility study, and it
therefore can be conducted quite quickly, typically in two
• Preliminary assessment of alternative sites (access to site, to six months.
size, connection to grid, sewer, etc.) The associated cost also may vary substantially but
is typically between $20,000 (for a small and less-
• Preliminary assessment of alternative locations complicated project) and $100,000 (for a large and
complicated project).
• Preliminary assessment of environmental and social risks
and impacts
2.6.3 FEASIBILITY STUDY STAGE
• Preliminary assessment of construction costs (CAPEX)
and operating costs (OPEX) If the outcome of the pre-feasibility study is favorable, a
detailed feasibility study will follow. This feasibility study
• Preliminary financial analysis
consists of a significantly more detailed assessment of all
• Preliminary risk assessment aspects of the project. The purpose of the feasibility study
• Preliminary assessment of necessary permitting and licensing is to explore the project in enough detail for the interested
parties and stakeholders to make a commitment to proceed
• Planning and project implementation, including tentative
with its development.
time schedule.

Figure 2–5 shows a typical table of contents for a Financial Institutions involved may require the preparation of a
pre-feasibility study for a biomass project. “bankable feasibility study.” The bankable feasibility study may
include an environmental and social impact assessment (ESIA).
Figure 2-5: Typical Contents of a Pre-Feasibility Study
A well-detailed technical description, rough layout, plant main

1. Introduction
data, etc. are needed in order to estimate the CAPEX/OPEX and

2. Conclusion and recommendations

to conduct, for example, a detailed environmental assessment.

3. Description of the project

Consequently, a conceptual design study is necessary.

4. Expected energy production

CONCEPTUAL DESIGN
5. Power and heat demands

6. Preliminary environmental impact assessment

The conceptual design typically comprises:

7. Assessment of alternative sites

• Definition of fuel characteristics, such as composition
8. Layout
and heating value
9. Civil engineering design

10. Electro-mechanical equipment • Description of applied technology

11. Grid connection
• Evaluation of suitable technologies, including fuel
12. Cost estimation (CAPEX/OPEX)
handling, combustion system, boiler, ash handling
13. Permitting and licensing process
and disposal, flue gas treatment technologies to meet
14. Planning and project implementation
applicable and relevant air emission standards, energy
15. Preliminary financial analysis
recovery system, etc.
16. Preliminary risk analysis

17. Appendices
• Assessment of potential plant location(s) following an
evaluation of technical, environmental, and economic
aspects, and local acceptability
Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 15

 • Initial assessment of capital costs (CAPEX) and • The conceptual design and required investment
operational expenditures (OPEX)
• Secured long-term supply of biomass (volume, heating
• Assessment of potential use of steam and/or heat. Is it value/properties, and price)
possible to use the heat for industrial purposes, perhaps
• Financial and economic analysis including cost-benefit
as steam? Is there a market for district heating/cooling?
calculations, calculations of net present value (NPV)
• Examination of the connections to the electrical grid, and internal rate of return (IRR), and similar analyses
other external offtake customers, water and wastewater (see Chapter 13)
services, etc.
• Overview of current regulatory and policy framework
A preliminary business case, including cash flow for the relevant to the project
project’s depreciation period, can be prepared based on the
• Assessment of potential additional sources of financing,
information collected above and on the budgetary figures for
sensitivity analyses, and risk analyses important to
CAPEX and OPEX.
financing institutions (see Chapter 14)
BANKABLE FEASIBILITY STUDY • Assessment of potential risks to the financial viability
International financial institutions normally require a full of the project and suggestions of mitigation measures
bankable feasibility study to be conducted before financing • Environmental and social impact assessment, including
concepts can be finalized. The following items could be identification of mitigation measures
included in a bankable feasibility study, but the exact scope
• Organization studies of potential O&M service companies
will be determined for each project, since different investors
will have different demands for the study. The basis is the • Procurement plan and identification of potential
data determined under the conceptual design, but normally equipment suppliers and contractors
some items will have to be investigated more thoroughly:
• Implementation plan, including time and financing schedule.

Name and location: Mondi Richards Bay,

Republic of South Africa

Project: The replacement of coal (fossil fuel)

by biomass residues in an existing
co-fired boiler that produces steam
at the Mondi operation

Description: The project activity was designed

to increase the use of self-generated
bark and to enable the introduction
of third-party-generated biomass
residues as feed into a co-fired boiler
for the generation of steam

Boiler data: 83 bar / 483 °C, chain-grate boiler

originally designed for coal

Turbine output: 49 MW + various steam extractions

Fuel: Biomass residues from chipping facilities,

plantagen, and bark

Source: TGM, 2016, www.grupotgm.com.br.

16 The Project Development Process

AUTHORITY PERMITS 2.6.4 CONTRACTS AND FINANCING STAGE

Although the permitting process differs by country, there are The contracts and financing stage takes the project from the
some similarities, and investors normally seek to obtain all feasibility study to FID by the project owner. This involves
important permits before the final investment decision (FID) is moving the project forward on a number of fronts, including
made. At that point in time, detailed design and procurement outline design and selection of contractor(s).
can start unless the owner intends to proceed at her or his
own risk with the planning before FID. This may optimize Selection of contractors can be done several ways via
and reduce the project time schedule (if this is important). public procurement, including competition among qualified
potential bidders, or via a dialogue-based procurement
The following elements are normally part of the process with one or several potential contractors. The
permitting process: outcome of stage 1.4 is typically an EPC contract ready for
signature that allows the project owner to prepare a fairly
• Environmental permit based on the environmental impact accurate investment budget.
assessment prepared as per regulatory requirements
The time needed for procurement is typically 5 to 12 months.
• Planning permission

• Building permit The procurement process is further described in Chapter 7,

and financing is further described in Chapters 13 and 14.
• Power grid connection approval, if relevant

• District heating system, if relevant 2.7 PROJECT IMPLEMENTATION

• Approval for wastewater discharge, if any. 2.7.1 DESIGN STAGE

If the feasibility study indicates that the project is viable, the The key systems and structures will be designed in detail.
next stage of the project can be started. The completion is generally done by one or several
contractors and/or a consultant.
The content of a feasibility study is, in principle, outlined as
the pre-feasibility study shown in Figure 2–5. Considerations concerning the design are outlined in Chapter 6.

2.7.2 CONSTRUCTION STAGE

Time and Cost Implications The physical construction of the project includes follow-up
A full bankable feasibility study, including an environmental on the contractor and site supervision.
and social impact assessment, may take as long as 12 to
18 months, depending mainly on the demands for the
Chapter 8 outlines the construction issues.
assessment by the local authorities.
The associated cost also may vary substantially but 2.7.3 COMMISSIONING AND TESTING STAGE
is typically between $100,000 for a small and less-
complicated project and $300,000 for the bankable The commissioning stage includes a cold and hot test, a
feasibility study.
functional test, a trial run, a performance test, and handing
over to the owner.

Depending on the size and complexity, the associated costs Chapter 8 describes commissioning in more detail.
and the time needed may vary substantially.

Converting Biomass to Energy: A Guide for Developers and Investors 17

 Source: COWI.

18 The Biomass Resource

THE BIOMASS RESOURCE
3
This chapter identifies the most important types of biomass 3.1 TYPICAL BIOMASS RESOURCES AND SUPPLY
residues and waste streams available for bioenergy production CHAINS
globally and provides an overview and introduction to these Figure 3–1 shows the most suitable biomass types (primary,
different sources of feedstock for biomass-to-energy projects. secondary, and tertiary) and their supply chains.

The availability, amount, and type of biomass will determine The figure provides a flow chart for biomass waste and
the types of technologies appropriate for the specific biomass residues available for energy production in developing
project. This approach reflects that a number of generic countries and emerging economies across the globe.
supply chains will dominate for each type of project based on
the availability of biomass and choice of technology. Section This guide focuses on biomass types that are secondary and
3.2 characterizes the relevant feedstock. Section 3.3 presents tertiary outputs from production. Primary biomass sources
the classification of biomass types, and Section 3.4 presents for energy production (that is, dedicated energy crops) are
potential resource constraints and how to identify these. another option that can be economically or environmentally
feasible in some situations; however, they are not the focus
of this guide.

Figure 3-1: Flow Chart of Biomass, from Field to Plant

Primary

Resources
(no previous uses)

Secondary
Harvest
residuals

Secondary
resources T/S/P
LAND OTHER
USERS PROCESSING POWER PLANT
Residuals

Waste
Tertiary
(end-of-life products)
Waste

WASTE

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 19

For each of the typical biomass types, this chapter presents generation. Secondary sources also refer to any byproducts
the following information: from production, such as black liquor from paper production.

• Industry (agriculture, forestry, food production) Tertiary sources refer to end-of-life materials, such as
discarded wood products or household waste and other
• Type (primary, secondary, tertiary)
biological waste.
• Feedstock (wood, agricultural)

• Characteristics (calorific value, biogas potential, 3.2 CHARACTERIZING BIOMASS AND FEEDSTOCK

chemical composition, moisture content) Biomass and feedstocks can be characterized in several
• Energy conversion process applicable (boiler, gasification). ways, including in terms of inherent physical and chemical
properties, such as bulk density and moisture content,
Table 3–1 provides a cross-cutting overview of the different
and in terms of origin and type. For the latter, it is
types of biomass available from primary, secondary, and
important, in order to assess a number of environmental
tertiary sources. Primary sources refer to energy crops harvested
and socioeconomic issues, whether the biomass is primary,
for the purpose of energy generation; no other use of the crop
secondary, or tertiary. Answering a number of questions
is foreseen. These include woody biomass, such as plantation
on sourcing and value chain linkages can help identify the
trees (for example, eucalyptus), and herbaceous biomass, such
biomass type.
as energy grass or grain (for example, for biofuel production).
3.2.1 PHYSICAL AND CHEMICAL CHARACTERISTICS
Secondary crops refer to byproducts used for energy
When the selected biomass resources have been identified,
production. As such, the main crop harvested (for example,
it is relevant to clarify their characteristics. Identifying the
grain for food and feed) is not used for energy generation, but
chemical and physical properties of the selected biomass
any residues (straw, husks, shells) are. Similarly, for woody
resource is essential for assessing the energy output when
biomass, the main crop is not used for energy generation (for
applying different technologies and estimating the associated
example, wood is harvested for use as planks or in paper
investment and O&M costs.
production), while logging byproducts are used for energy

Table 3-1: Biomass Overview

Biomass from Fruits
Woody Biomass Herbaceous Biomass and Seeds Other (Including Mixtures)

Wood fuels Agro-fuels

Primary • Energy forest trees • Energy grass • Energy grain
(Energy crops) • Energy plantation trees • Energy whole cereal

Secondary • Thinning byproducts Crop production byproducts • Animal byproducts

(Byproducts) • Logging byproducts • Horticultural byproducts
• Straw • Stones, shells, husks
• Landscape management
byproducts

• Wood processing industry • Fiber crop processing • Food processing • Bio-sludge

byproducts byproducts industry byproducts
• Slaughter byproducts
• Black liquor

Tertiary • Used wood • Used fiber products • Used products

(End-use materials) of fruits and seeds

Source: COWI.

20 The Biomass Resource

The characterization of the biomass feedstock includes its a thorough characterization of the biomass feedstock,
chemical and physical properties (for example, trading form, including pictures of the biomass and detailed chemical
calorific value, biogas potential, bulk density, ash content, composition (percentage of lignin, cellulose, hemi-cellulose,
and moisture content). Table 3–2 describes and presents and extractives).
these properties for each feedstock. Appendix B provides

Table 3-2: Characterization of the Biomass Feedstock

Most Choice of Net Biogas Potential
Common Energy Calorific (milliliters of Moisture
Trading Conversion Value methane/grams Bulk Density Ash Content Content
No Feedstock Form Technology (MJ/kg) of volatile solids) (kg/m³) (% dry bulk) (%)
1 Coniferous stem wood, chips combustion 19.1 n.a. 330 0.4 30–55
without bark (18.5–19.8) (310–350) (0.3–0.6)
2 Logging residues, chips combustion 18.5–20.5 n.a. 300 3 35–55
coniferous (270–360) (1–10)
3 Wheat straw bales combustion/ 16.6–20.1 240–440 20–40 no data no data
fermentation (loose)
4 Used wood 20–80 combustion 18.6–18.9 n.a. 200 0.5–2 15–30
(postconsumer wood, (chopped) (140–260)
recycled wood,
untreated)
5 Bark, coniferous 110–200 combustion 17.5–20.5 n.a. 240–360 1–5 50–65
(debarking residues) (baled)
6 Delimed broadleaved 560–710 combustion 15.0–19.2 n.a. 220–260 0.3–1.5 10–50
stem wood with bark (pelletized)
7 Poplar hog fuel combustion 18 n.a. 340 1.2 5–15
(17.3–20.9) (320–400) (0.2–2.7)
8 Cereal straw shredded combustion/ 14.8–20.5 245–445 20–40 6.7 15
fermentation (loose) (1.3–13.5) (8–25)
9 Pruning from olive trees chips combustion 16.3 n.a. 250 3.5 25
(16.0–18.5) (220–270) (4.5–5.5) (10–50)
10 Eucalyptus chips combustion 18.5 n.a. 250 1.2 10
(17.0–21.6) (220–260) (0.2–6.1) (5–50)
11 Paulowina bales combustion 18.6 n.a. 250 1.1 10
(18–20) (220–260) (0.5–3.5) (5–30)
12 Willow (Salix) 20–80 combustion 19.8 n.a. 330 1.5 40
(chopped) (19–21) (300–390) (1–3) (35–50)
13 Reed canary grass 110–200 combustion/ 16.6 280–410 150–200 8 15
(baled) fermentation (14.6–17.5) (bales) (3–22) (5–35)
14 Barley straw 560–710 combustion/ 18.9 240–320 20–40 4.5–9 15
(pelletized) fermentation (loose) (5–35)
20-80
(chopped)
110–200
(baled)
560–710
(pelletized)
15 Empty fruit bunch chips combustion/ 11.5–14.5 264 100–200 1.3–13.7 61–72
fermentation
(Continued)

Converting Biomass to Energy: A Guide for Developers and Investors 21

 Table 3-2: Characterization of the Biomass Feedstock (continued)
Most Choice of Net Biogas Potential
Common Energy Calorific (milliliters of Moisture
Trading Conversion Value methane/grams Bulk Density Ash Content Content
No Feedstock Form Technology (MJ/kg) of volatile solids) (kg/m³) (% dry bulk) (%)
16 Bamboo chips combustion 16.9 n.a. 200 7.7 15
(5–30)
17 Sugarcane bagasse chips combustion/ 16.7 72–200 130 (120–160) 9 50
fermentation (15–19.4) (4.5–25) (48–53)
18 Corn cobs chips combustion/ 14 330 160–210 15 8–20
fermentation (1–40)
19 Rice husk bales, fermentation/ 12–16 49 100 17–24 10
chopped combustion (49–495)
20 Rice straw bales fermentation/ 14.5–15.3 280–300 20–40 14–16 10–20
combustion (loose)
20-80
(chopped)
110–200
(baled)
560–710
(pelletized)
21 Switch grass 20–80 fermentation/ 15.7 246 49–266 4.3 8–15
(chopped) combustion (chopped)
22 Chicken manure 110–200 fermentation/ 9–13.5 156–295 230 24 6–22
(baled) combustion
23 Dairy manure 560–710 fermentation/ no data 51–500 depends on 25.2 10–75
(pelletized) combustion moisture
content
24 Swine manure bales, fermentation/ no data 322–449 depends on 27.6 10–85
briquettes combustion moisture
content
25 Palm kernel shells chips combustion 15.6–22.1 n.a. 450 3.2–6.7 no data
26 Banana peel chopped fermentation no data 223–336 depends on 11.4 no data
moisture
content
27 Cassava peels chopped fermentation no data 272–352 depends on 4.5 29–66
moisture
content
28 Tobacco leaves bulk fermentation/ 18 289 depends on 17.2 ~10
combustion (calculated) moisture (dried)
content
29 Tobacco stalk bales fermentation/ 19 163 depends on 2.4 6
combustion moisture (dried)
content
30 Recycled paper 20–80 combustion 12.8 n.a. 431 89.2 5
(chopped) (compacted)
31 Sewage sludge 110–200 fermentation/ no data 12–35 depends on 12–35 55–97
(baled) combustion moisture
content
(Continued)

22 The Biomass Resource

 Table 3-2: Characterization of the Biomass Feedstock (continued)
Most Choice of Net Biogas Potential
Common Energy Calorific (milliliters of Moisture
Trading Conversion Value methane/grams Bulk Density Ash Content Content
No Feedstock Form Technology (MJ/kg) of volatile solids) (kg/m³) (% dry bulk) (%)
32 Residuals from bulk fermentation no data no data depends on no data no data
slaughterhouses moisture
content
33 Residuals from dairies bulk fermentation no data no data depends on no data no data
moisture
content
34 Residuals from bulk fermentation 12–27.8 no data no data no data no data
breweries
35 Palm oil mill effluent bulk fermentation 0.5 no data no data no data no data

Source: See Appendix B.

3.3 BIOMASS TYPE 3.4 BIOMASS POTENTIAL AND BARRIERS

To decide on the type of a given biomass or feedstock, the

key below may be used. It introduces a number of questions, Guidance: “Biomass of Sufficient Quality”
mainly concerning alternative uses of the biomass and • When this guide discusses the importance of biomass of
feedstock, that can help classify this material. All biomass a “sufficient quality,” it is important to remember that
this term depends on the technology chosen.
and feedstock should first be evaluated posing the questions
• The quality of the biomass can be improved through
in Figure 3–2 below.
pretreatment; thus, quality is not a fixed term, but it will
have an effect on CAPEX. An example of this is drying
Figure 3-2: Biomass Classification the biomass.
• Biomass with undesirable qualities, such as a high
ash content, likewise can be bypassed, for example by
Do alternative, economically improving the technology. This also will have an effect
No
Q1 viable options besides landfilling Tertiary on CAPEX.
or otherwise disposing of the
feedstock exist? • If the fuel is very wet, usually above 60 to 65 percent, a
combustion process is out of the question, and biogas is
the relevant option.

The availability of biomass for energy production is affected

Is the feedstock No by different factors on various spatial scales. On a global
Q2 produced and Secondary scale, it is dependent on land availability and productivity.
harvested
Yes exclusively for These features are, in turn, shaped by macro-drivers, such as
energy purposes?
global population, food consumption and diet, yield growth
and potentials, and economic development (Slade et al.,
2011; Bauen and Slade, 2013). On a regional scale, political
and economic factors, such as market accessibility, policy
development, and trade patterns affect the size of the resource.
Primary
Yes Local access is restricted by infrastructure, natural components
such as climate and water availability, and economic aspects,
such as competition for resources and opportunities for
Source: COWI. handling, processing, or storing resources, as well as by general

Converting Biomass to Energy: A Guide for Developers and Investors 23

infrastructural aspects, such as road access, port facilities, residue for which production is seasonally determined (such
railways, and other transport corridors. as where crop harvesting takes place only in the summer), no
residues will be available for the rest of the year.
3.4.1 ASSESSMENT OF POTENTIAL RESOURCE
CONSTRAINTS
Identifying any potential constraints at this stage of the
Further to the technical description of the biomass or project includes assessing the climatic factors (for example,
feedstock, each combination of a supply chain with a biomass precipitation or average temperature) and biogeographical
or feedstock will result in a number of potential constraints factors (for example, biodiversity, water supply, altitude, and
that should be considered. All of the constraints essentially nutrient availability) that influence the production of a given
relate to the question: Can the given biomass feedstock be biomass or feedstock (Table 3-3). Some biomass types will
supplied in sufficient amount and quality and with sufficient thrive only in very specific climates, while others are more
supply stability and reliability? For example, for a crop generalist and can grow in a range of different climates.

Table 3-3: Sample Questions to Consider When Assessing Constraints or Risks Associated with Biomass Feedstock
Factor Typical Questions Aspects to Consider
Water Are sufficient water resources available locally Look up data on water needs and, for example, drought or flooding
to meet any increased water demand because resilience of relevant crops or trees.
of the project?
Many types of bioenergy crops and trees are highly dependent on
Is the water requirement for the project water availability for their growth. If the water resource becomes
sustainable in the long term? scarce, so will the biomass resource.
What impact will the project have on
community water uses?
Climate zone Are weather hazards or adverse climatic Search for a local climate or weather risk assessment and compare it to
conditions present in the project sourcing the production systems on which the project’s supply chain depends.
region that can put the necessary production
Search for a map or digital tool showing growing conditions in the
and supply of biomass at risk, permanently or
sourcing area, chiefly water availability (rainfall and evaporation),
in certain periods?
radiation, and, if relevant, growing degree days. Aspects such as slope
Are the crops, forests, or animals needed for and pests also may be relevant.
the supply of biomass or feedstock suited for
Consider that every crop will have its ideal growing conditions. For
the local climate?
example, crops such as sugar cane do not grow in colder temperate and
boreal regions but primarily in subtropical and tropical regions.
Soil and land Is enough productive land with suitable soil If the sourcing region for the biomass or feedstock is high-intensity
types available to grow the needed biomass? productive land, any major shift in demand for a particular biomass or
feedstock may induce changes in land use.
Can the available land—and its soils—deliver
biomass or feedstock of sufficient and stable In mountainous regions, in regions with much degraded land, and in
quality for the project? areas with waterlogged soils or permafrost, land can be of limited use
and thus can become a constraint.
Is the productive land that will supply biomass
or feedstock for the project in a state and Some crops or trees have specific requirements as concerns soil type.
condition to withstand weather hazards or Consider if the biomass or feedstock have particular issues in this regard.
climate change without significant disruption
of production?
Biodiversity Will the biodiversity of the area be negatively Conflict could arise, for example, in land areas where biodiversity is the
affected by the sourcing of biomass or basis of local income generation, such in national parks that benefit
production of energy? from tourism.
Is the source area for the biomass home to If agricultural production is dependent on rich biodiversity (such as in
endangered or rare, endemic species? low-input, extensive grazing-dependent farming systems), changes in
land management intensity may result in loss of biodiversity, reduced
climate resilience, or erosion, leading to social consequences for farmers.

Source: COWI.

24 The Biomass Resource

Table 3–3 presents some important factors to consider in In the second phase of project development, the developer
relation to feedstock availability and quality. Environmental should perform a pre-feasibility study (see Figure 2–3 in
or socioeconomic concerns related to sourcing of biomass Chapter 2). This includes initiating an investigation of the
should be considered as part of a broader environmental availability of biomass in sufficient amounts and quality.
screening in a feasibility study. Guidance on this can be Table 3–4 presents an overview of the typical questions a
found in Chapter 15. project developer must ask during investigation
of the feedstock.
For the project developer to select the best biomass available,
it is necessary to screen the area with regard to supply chain
aspects, such as whether the right infrastructure, technical
knowledge, and economic opportunities exist in the area.

Table 3-4: Supply Chain Questionnaire

Biomass Growth and
Supply Chain Harvesting Storage Transport Conversion
Harvesting Does the infrastructure exist Does the infrastructure Does the infrastructure Does the infrastructure exist
to enable harvesting exist for storage of the exist for transport of the for conversion of the biomass
of the biomass? biomass? biomass? to the required type?
Technical Does the technical Does the technical Does the technical Does the technical knowledge
knowledge knowledge exist on how to knowledge exist on how knowledge exist on how to exist on how to convert the
harvest the biomass, and is to store the biomass, transport the biomass? biomass to the required type?
the technology (for example, and is storing capacity
machines) available? available?
Economic Is harvesting of the biomass Is storing the biomass Is transporting the biomass Is conversion of the biomass
opportunities economically feasible? economically feasible? economically feasible? to the required type
economically feasible?
Energy Will energy be needed for Will energy be needed for Will energy be needed for Will energy be needed for
harvesting, and is it available storage, and is it available transport, and is it available conversion, and is it available
(at the right cost)? (at the right cost)? (at the right cost)? (at the right cost)?

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 25

 Source: COWI.

26 Securing Biomass Supply

SECURING BIOMASS SUPPLY
4
Establishing a secure biomass supply is a precondition for Mapping the biomass availability therefore is a prerequisite
a successful biomass project. Securing a year-round, stable for securing the technical and financial viability of the
supply of biomass of a sufficient quality depends on both the project, as explained in Chapters 13 and 14.
availability of the biomass and the effectiveness and stability
of the supply chain. This chapter discusses the concepts of For biomass that is available on-site (industrial waste

biomass availability and biomass supply chain and provides products), an important aspect to be assessed is the generation

the tools for analyzing them. of waste products by production process (including possible
seasonal variations, which may be significant).
4.1 ASSESSING BIOMASS AVAILABILITY
When charting off-site biomass resources, the following
This section provides an assessment of the minimum amounts aspects should be investigated:
of biomass needed for a biomass project to be technically
feasible (Table 4-1). The section also discusses security of • Area (in hectares) of the crop or vegetation type where
supply, including supplier risks, seasonal variation, and the the biomass is obtained
possible need for supplementary purchase of other types of
• Annual production of the main product obtained from
biomass residues or wood pellets in case of shortage of supply.
this area (in metric tons “as harvested” for crops, in
4.1.1 MINIMUM SUPPLY OF BIOMASS cubic meters processed for wood logs)

When investing in a biomass plant, a project developer • Yield, in metric tons harvested per hectare (green tons
must be certain that the plant will receive sufficient biomass per hectare) or in cubic meters per hectare for wood
to keep the plant running and keep the project financially • Ratio of residual biomass to main product (a coefficient)
viable. If the developer fails to convince potential investors
• Dry matter content (DMC) in the residual biomass:
of the project’s financial viability, the project is unlikely to
receive financing on reasonable terms.
Moisture content

(
DMC = 1 - ————————————
100
)
4.1.2 AMOUNTS AND QUALITY

A documented constant supply of biomass of sufficient

quantity and quality is vital for realizing a biomass project.

Table 4-1: Biomass Amounts and Plant Sizes

1–5 MWe 5–10 MWe 10–40 MWe
Technology/Range Minimum input (GJ/day)*
Combustion plants using a water/steam boiler 20–100 tons per day 100–200 tons per day 200–900 tons per day

Combustion plants using ORC technology 50–200 tons per day 200–500 tons per day n.a.

Biogas production with gas engine 40–200 tons per day n.a. n.a.

Source: COWI.
*  Biomass tonnages at an average calorific value of 10 megajoules per kilogram assuming 100 percent load.

Converting Biomass to Energy: A Guide for Developers and Investors 27

 • Accessibility coefficient (fraction of the area where 4.1.3 SEASONAL VARIATION
residual biomass produced can be collected)
If the energy production depends on waste or residues from
• Harvest coefficient (fraction of residual biomass agricultural or forestry production, the seasonal variation of
accessible that can be recovered) the primary source of biomass becomes a determining factor
in its availability. It therefore is essential to map the seasonal
• Unused fraction (the part of recoverable biomass that is
variation for the most common crops that deliver secondary
not currently used for other purposes).
or tertiary biomass suitable for energy production.
The answers to these questions will enable more accurate
calculation of the biomass potential available for energy For example, in the case of Mexico, the most common
production. Figure 4–1 illustrates a rough example of the agricultural crops were mapped to identify their seasonal
calculation methodology. variation, and their potential availability for energy
production across the year. Figure 4–2 illustrates that wheat,
Once the biomass potential has been estimated, it is necessary sorghum, and maize/corn are strongly seasonal, while coffee,
to take into account seasonal variations. A biomass plant sugarcane, and rice have partial seasonality.
requires a stable supply of biomass to ensure good capacity
utilization. If the preferred biomass is available only eight This case example illustrates a mapping of agricultural crops
months of the year, supplementary biomass may need to where some crops have a stable output year-around, whereas
be identified and sourced. Section 4.1.3 explains the issues others are subject to seasonal variation. Note that the
related to seasonal variation, and Section 4.1.5 explains seasonality of crops will vary across continents and climate
aspects of supplementary biomass. zones and also is subject to regional conditions.

Figure 4-1: Calculation Methodology for Biomass Availability

Annual Ratio of Biomass

production residual Accessibility Harvest Unused available for
of primary biomass to coefficient coefficient fraction energy
product main product (%) (%) (%) production
(ton) (%) (ton)

Source: COWI.

Calculating the Available Biomass

Amount
Biomass availability is essential for a biomass-based energy Annual production of primary 50,000 tons per year
project. The example below illustrates how to estimate the product (tons) of sugarcane
amounts of biomass available for energy production, based on
residues from primary crop production. Ratio of residual biomass to main 30%
product (%)
Accessibility coefficient (%) 95%

50,000 x 0.30 x 0.95 x 1 x 0.80 = 11,400 Harvest coefficient (%) 100%

Unused fraction (%) 80%

Biomass available for energy 11,400 tons of

production (tons) sugarcane residues
Source: COWI.

28 Securing Biomass Supply

 Figure 4-2: Seasonality of Agricultural Crops

Agricultural crops harvesting pattern (Mexico)

70%

60% Wheat

Sorghum
50%
Maize
Production

40%
Coffee
30%
Sugarcane
20%
Rice
10% Copra
0%
Jan Feb Mar Apr May Jun July Aug Sep Oct Nov Dec

Source: COWI.

If the available biomass has seasonal variability, it is the plant. If a large share of the necessary biomass is located
important to assess whether the available amounts at any far from the plant, significant transport costs must be taken
time during the year are below the optimal and minimum into account. The further the transport distance, the higher
biomass amounts needed for the plant. the risk of delays or lack of supply.

If available biomass amounts drop below the amount needed Thus, the security and costs of supply is linked to the
to secure optimal energy production, it will be necessary distance between the plant and the biomass source.
to supplement with other biomass types. If the available
biomass drops below the minimum amount necessary for Figure 4–3 presents an example of a mapping of the

keeping the plant running, this could constitute a serious risk available biomass and distance from the biomass to plant.

to the project. A reliable supplementary biomass supplier

4.1.5 NEED FOR SUPPLEMENTARY BIOMASS
should then be located before proceeding with project
development, provided that other mitigation options are not A biomass plant may require supplementary biomass for

available. The compatibility of the supplementary biomass several reasons:

with the preferred biomass should be assessed before • Insufficient biomass availability

proceeding with procurement. • Insufficient biomass quality

The risk of seasonality can be mitigated through the • Significant seasonal variation in the biomass stock.

availability of proper storage facilities on-site or locally. If If supplementary biomass is needed for the plant, the
sufficient quality can be stored post-harvest until the biomass developer should commence a mapping of other available
is needed for energy production, seasonality becomes less biomass residues in the region. If no other biomass residues
problematic. However, storage of large quantities of biomass are available, the developer should investigate if any
can be costly, and the need for storage facilities can affect the secondary biomass is available for import, or if suitable
viability of a biomass project. primary biomass is available in the region. As a final
solution, the developer should consider the possibilities
4.1.4 DISTANCE
for imported primary biomass. This, however, could
Besides determining the amounts and availability of the compromise the financial viability of the project, as the price
biomass, it is important to map its location and proximity to for biomass could significantly increase.

Converting Biomass to Energy: A Guide for Developers and Investors 29

 Figure 4-3: Map of Distance from Biomass Resource to Project Site

Source: COWI.

4.1.6 BIOMASS SUPPLY CHAIN • Who will be in charge of transport of the biomass?

When an acceptable supply of biomass has been located, a • What related contractual arrangements are needed?
supply chain should be established. This includes identifying
Storage:
the owners of the biomass, agreeing on prices (which
• What are the requirements for on-site storage (volume,
frequently are assumed to be zero, but this often is not the
safety, dry storage, etc.)?
case), settling supplier contracts, and arranging transport
and storage of the biomass, all within the constraints of When setting up the supply chain, the developer should keep

maintaining a financial viable project. in mind the financial viability of the project. The plant needs
the best-quality biomass possible, at the lowest possible costs.
The project developer should complete the following steps to
secure a stable and reliable biomass supply chain: The contractual agreements must be set up to secure the project
developer a long-term, stable supply of biomass of a certain
Owners of the biomass: quality. The agreements of supply and transport should include
• The owners shall be identified incentives for the counterpart to uphold their part of the
agreement. Chapter 11 goes in-depth into the contractual relations.
• The price of the biomass must be determined

• Contractual arrangements for biomass supply

must be negotiated.
Indicative supply chain costs:
Transport:
• Costs of biomass: $35 per ton
• How will the biomass be collected?
• Costs of storage: $11.5 per ton
• How will the biomass be transported? • Costs of loading: $5 per ton

• What types of trucks/machinery are available and suitable? • Costs of transport by truck: $0.12 per ton per kilometer

30 Securing Biomass Supply

 Biomass with low DMC generally should be procured
Calculation example of the impact of the transport near to the plant or the DMC should be increased
distance
prior to transport (for example, by drying). Note that
To supplement the on-site supply of biomass, the project
the greenhouse-gas emissions profile and the emission
owner will buy 10,000 tons of logging residues. The logging
residues have to be transported 25 kilometers to the reductions achieved by the biomass-to-energy project can
biomass-to-energy plant. be compromised if transport distances are increased.
The cost of transport totals $93,000, or $9.30 per ton.
The transport cost is a little less than 10 percent of the
• Care should be taken that procured biomass is not
operational expenditure (including maintenance). currently used by local communities, whose livelihood,
If the distance were instead 200 kilometers, the total food security, or other social aspects could be put at risk
cost of transport would be $336,000, or $33.60 per ton. In by the use of this biomass. This is a particular concern
this case, the transport cost is around 30 percent of the
operational expenditure (including maintenance). for primary and agriculturally related biomass resources

The cost of transport is not correlated linearly with the

that can be used as food or feed (such as crops or straw).
distance, as there are fixed costs related to the handling of the Procuring significant amounts of a given biomass also
biomass volume. The handling cost for transport is $5 per ton. can affect local markets, increasing prices of the biomass
Source: COWI. and related commodities, which can have an impact on
local livelihoods.
A main risk when seeking to establish a supply chain for
• The impact on the local environment should be taken
biomass projects is that many developing countries lack
into account before procuring biomass. It is essential to
a well-functioning biomass supply market, including the
ensure that procured biomass does not lead to increased
necessary transport, storage, and handling facilities. An
local production through clearing of forested land or
investor planning a biomass project may not be able to find
unsustainable intensification of production.
a reliable supplier who can guarantee a specified amount,
quality, and price for the biomass feedstock for a reasonable In general, procuring primary biomass constitutes larger

length of time (for example, 10 years). social and environmental impacts than the use of secondary
and tertiary feedstocks.
The key issues relate to infrastructure and logistics (collecting,
storing, handling, and delivering biomass), lack of incentives Regardless of the type of feedstock, whether local or

(financial or otherwise), and available low-cost alternatives (for imported, it is important to note that procuring biomass can

example, burning the biomass in the field). Another risk is the have environmental and social risks and impacts that would

absence of enforcement of the agreed contracts. If enforcement is need to be properly assessed and appropriately addressed

not realistic, the risk to the project owner increases significantly. before project implementation.

If primary biomass is chosen as the input for energy

4.2 SOCIAL AND ENVIRONMENTAL
generation, in-depth analysis of the environmental, social,
SUSTAINABILITY ISSUES
and financial consequences should be conducted. The use
of primary biomass for energy production could easily have
When procuring and using biomass for energy generation
the following implications:
projects, numerous social and environmental issues can
• Increase in greenhouse-gas emissions (also compared to
arise. It is important that these concerns are considered the use of coal)
when securing biomass supply. Some of these factors are • Increase in food and/or feed prices, with possible
summarized below, providing a brief introduction to the negative impact on livelihoods
information presented in Chapter 15. • High and fluctuating costs of biomass, compromising the
financial viability of the project
• Transport can result in significant emissions, especially • Significant land conversion
for biomass that contains large amounts of water, • Impact on biodiversity and ecosystem services.
meaning that the dry matter content (DMC) is low.

Converting Biomass to Energy: A Guide for Developers and Investors 31

 Source: COWI.

32 Energy Conversion Processes

ENERGY CONVERSION PROCESSES
5
The conversion of biomass to energy can happen through Due to this aspect, only technologies considered as proven
various processes and by using different technologies. This and commercial are considered in this guide.
guide focuses mainly on proven technologies appropriate for
projects in developing countries. This chapter presents an These technologies are:
analysis of the selected technologies.
• Biomass combustion plant using grate technology
combined with a water/steam boiler
5.1 OVERVIEW OF APPROPRIATE
TECHNOLOGIES • Biomass combustion plant using bubbling fluidized bed
One of the most important aspects for plant owners is (BFB) technology combined with a water/steam boiler
whether the chosen technology is commercial and proven, as • Biomass combustion plant using circulating fluidized bed
this is crucial for securing a reliable and stable production (CFB) technology combined with a water/steam boiler
of electricity and/or heat/steam. The use of proven and
• Biomass combustion plant using Organic Rankine Cycle
commercial technology is also very important for the
(ORC) technology
financial viability and robustness of the project and thus
affects the possibilities for securing financing. • Biogas plants (anaerobic digestion + gas engine).

Figure 5-1: Overview of Biomass Conversion Technologies and Their Current Development Status

R&D Demonstration Early Commercial

Commercial

Combustion
• Biomass combustion plant using grate firing
technology combined with a water/steam boiler
• Biomass combustion plant using bubbling fluidized
bed firing technology combined with a water/steam
boiler
• Biomass combustion plant using circulating
fluidized bed firing technology combined with
a water/steam boiler
• Biomass combustion plant using Organic Rankine
Cycle (ORC) technology

• Biogas plants (anaerobic digestion)

Thermal gasification
• Downdraft
• Updraft
• Fluid bed

Pretreatment
• Torrefaction
• Pyrolysis/hydrothermal upgrading

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 33

Finally, in Section 5.5, some promising emerging Table 5–1 lists selected biomass residues suitable for
technologies are presented briefly. These technologies are: combustion and anaerobic digestion in a biogas plant
(production of biogas to be used in a gas engine), respectively.
• Thermal gasification
The selected technologies are applicable in different plant
• Torrefaction
sizes, and Table 5-2 highlights their relevance in the three
• Pyrolysis/hydrothermal upgrading. approximate size ranges 1–5 MWe, 5–10 MWe, and 10–40
MWe. Note that there is not a sharp distinction between
5.2 TECHNOLOGY SELECTION the groups and that overlaps might occur. Furthermore,
Selection of a preferred technology is complex and requires combustion plants using a water/steam cycle also are
careful consideration of the type of biomass, fuel flexibility, applicable for plant sizes above 40 MWe.
load ramping capability, investment cost, plant size, etc.
However, the very early and most important selection relates 5.3 BIOMASS COMBUSTION PLANT
to the moisture content in the fuel. If the fuel is very wet, A biomass combustion plant consists of a number of more
usually above 60 to 65 percent, the calorific value of the or less standardized systems that can normally be supplied
biomass is too low for combustion and a biogas plant is the by several suppliers. Figure 5–2 shows the different systems
only relevant option, unless drying of the fuel is considered. described in the following sections.

Table 5-1: Selection of Technology Based on Biomass

Biomass Typical Humidity Technology Selection
• Manure from animals
• Organic waste material from food
industries
• Sludge from flotation plants and other > 65% Biogas technology
• Vegetable and fruit waste from agriculture
• Other organic waste materials from
industries
• Wood
• Various straw < 60% Combustion technology
• Rice straw and husk
• Other

Source: COWI.

Table 5-2: Overview of Technologies and Plant Sizes

1–5 MWe 5–10 MWe 10–40 MWe
Range (4–20 MWth) (20–40 MWth) (40–160 MWth)
Combustion plants using a water/steam boiler x x x
(steam technology)
Combustion plants using ORC technology x x n.a.

Biogas technology x n.a. n.a.

Source: COWI.
Note: The biomass combustion plants using a water/steam boiler include three types of technologies: grate, bubbling fluidized bed (BFB), and circulating fluidized bed (CFB).

34 Energy Conversion Processes

 Table 5-3: Steam-cycle Technologies According to Size
Technology 1–5 MWe 5–10 MWe 10–40 MWe
Grate technology x x x
Bubbling fluidized bed (BFB) technology x x
Circulating fluidized bed (CFB) technology x
Source: COWI.

The description follows the flow through the plant, starting 5.3.1 FUEL HANDLING, STORAGE, AND
with the fuel reception, the fuel handling, and the fuel storage PREPARATION
system (called the fuel yard), followed by the combustion Fuel handling, storage, and preparation will differ depending
system (grate, BFB, and CFB systems). Next is the energy on the origins of the biomass fuel (whether it is residue
conversion process, where a boiler converts the energy in the from an industrial process, such as bagasse from sugar
hot combustion flue gases into high-pressure steam, which production; supplementary biomass fuel from a fuel supplier,
finally is transformed into electrical power and process heat. such as wood chips; or locally produced straw/wood).
The steam circuit is closed when the condenser returns the
condensate back to the boiler feed pumps. This is described in In terms of proper fuel handling, the following issues should
Section 5.3.3, and the circuit is shown in Figure 5–13. be considered carefully:

Section 5.3.4 describes the emissions and flue gas cleaning, • Fuel reception, including weighing, general quality
including the types of equipment normally used, such as control, and moisture control
cyclones, baghouse filters, electrostatic precipitators, and
• Storage, including fuel yard management
scrubbers. This is followed by a section on residues and the
ways to handle these. • Potential preparation of the biomass fuel, including
drying, shredding, and grinding.
This technical description of a biomass combustion plants
• Fire risk and strategy, including explosion risk and fire
is followed by two chapters describing electrical and
extinguishing means
distributed control systems (DCS).

Figure 5-2: The Biomass Combustion Plant

Steam
BOILER TURBINE G Power

Proces steam/
ENERGY heat

FLUE GAS
Fuel FUEL YARD COMBUSTION Emission
CLEANING

Ash Ash

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 35

 • Environmental issues, such as dust, fungal spores, noise, FUEL PREPARATION
odor, etc.
For certain applications, it may be necessary or advantageous
• Boiler feeding to prepare the fuel before combustion. This may include:

• Flexibility in handling various fuels.

• Drying
FUEL RECEPTION
• Pelleting
If the biomass fuel originates from the owner’s industrial
• Shredding and/or grinding.
process, a reception control is normally not needed.
Because the moisture content affects the value of biomass as
For external fuel supplies, it is necessary to measure and a fuel, the basis on which the moisture content is measured
register the weight and moisture content of each fuel delivery, must always be mentioned. This is particularly important
as this information forms part of the payment to the fuel because biomass materials exhibit a wide range of moisture
supplier. Weight can be registered on a scale/weigh bridge or content (on a wet basis), ranging from less than 10 percent
in a crane. Registration of moisture content can be done either for cereal grain straw up to 50 to 70 percent for forest
manually with a portable instrument, in a crane with radar residues. Very wet fuels (typically above 60 percent) may be
sensors, or with other online equipment based on microwaves, difficult to combust properly, and drying is therefore needed.
radioactivity, light absorption, etc. Finally, moisture content can This is very costly, however, as additional energy is needed
be detected via manual sampling followed by local laboratory for the drying process (this is typically done with auxiliary
testing, drying the sample for a minimum of 17 hours at 103°C. steam or flue gas).
The weight loss equals the moisture content in the biomass
sample. This test is normally used in small facilities. Pelleting also is an expensive method of fuel preparation and
normally is not needed. Commercial pelleting is used only
Furthermore, a random visual inspection is important, for wood pellets.
especially in the initial period of external biomass supply, in
order to discourage suppliers from trying to deliver a poorer Shredding of fuel may be necessary due to the size or the
quality than agreed in the contract. feeding equipment.

A biomass plant must establish rejection criteria for the Further grinding of the fuel is needed if the boiler requires
fuel supply to be used if fuel deliveries are outside the range fuel in pulverized form. In this case, a hammer mill or similar
agreed in the fuel supply contract. equipment may be needed. Hammer mills however, consumer
large amounts of electricity and require extensive maintenance.
FUEL MANAGEMENT AND STORAGE

An important aspect that greatly influences the investment cost Both shredders and hammer mills are noisy, and necessary
is the storage volume of the fuel yard, especially if covered by a precautions must be taken.
roof/wall. It therefore is important to assess the need for a fuel
FIRE AND EXPLOSION RISK
buffer of up to perhaps two weeks. This depends quite a lot on
the security of supply from the biomass supplier. Cereal grain straw with very low moisture content has a high
potential fire risk, but experience shows that fuels such as
The logistics and management of the large biomass wood chips with a higher moisture content also might cause
quantities necessary is a very important issue that must be a fire. The necessary precautions must be taken to avoid a
considered carefully. serious fire risk with potential for personnel injuries and
production stoppage.

36 Energy Conversion Processes

Typical installations used to protect against fire and
Figure 5-3: Combustion Process on a Sloping Grate
explosion may be sprinkler systems above conveyors and
s
handling/unloading areas, points where the conveyor all
w
m
changes direction, etc. A sprinkler system will require large fro
Fu n
e a tio
pumps and large firewater storage, as the local water system l di
Ra
may be insufficient.

Con
When using very dusty fuels, explosions become a latent

v
ecti
risk. An assessment should be made to evaluate the

n o
explosion risk and how to reduce this risk.

5.3.2 COMBUSTION TECHNOLOGIES

r
Ai
This section describes the three combustion technologies
that are used most commonly for biomass-to-energy plants:
grate (including an introduction to the most common types
of grates), bubbling fluidized bed (BFB), and circulating
fluidized bed (CFB). Source: COWI.

GRATE TECHNOLOGY
primary air should be distributed, divided into sections, so that
Grate-fired combustion in a furnace is often called each part of the grate will receive the air needed for its part of
“fixed-bed” technology. Generally, grate-fired units are the different processes (drying, pyrolysis, char burnout).
suitable for fuels with high moisture, high ash content,
and varying particle sizes, but with a lower limit for fine Secondary air is supplied to the furnace above the grate for
particles. The grate technology is used on biomass-fired burning out volatiles and fuel dust particles.
power plants up to 50 MWe.
Tertiary air can be supplied to the upper furnace, with
The actual type and size of grate and furnace to be selected staged combustion, for reduction of nitrogen oxide
will depend on the biomass type, woody or herbaceous fuels, emissions. The lower part of the furnace can then be
combustion behavior, moisture content, ash melting point, operated with a low stoichiometry.
and particle size.
Secondary air is supplied to the furnace above the grate
For the combustion process, and thus the efficiency of the for the burning out of volatiles and fuel dust particles.
boiler, it is essential that the fuel or fuel mixture is well Tertiary air can be supplied to the upper furnace, with staged
distributed in the fuel bed on the grate. The fuel feeding combustion for reduction of the nitrogen oxide emissions.
system is normally designed to control this. The lower part of the furnace can then be operated with a
low stoichiometry.
In all grate-fired boilers, the same process takes place in and
above the fuel bed: The size and combustion quality of the biomass particles
must be taken into consideration when deciding the type of
• Drying of moisture grate firing. The large particles should have sufficient time to
• Pyrolysis and combustion of volatile matter burn out before the ash is removed at the end of the grate.
The small particles, when released from the fuel bed, can
• Combustion of char particles.
cause a higher amount of fly ash, with unburned particles
Primary air is supplied to the fuel bed from under the grate. and carbon monoxide emissions. The operation control of
Heated primary air will boost the drying of wet fuels. The

Converting Biomass to Energy: A Guide for Developers and Investors 37

the grate (bed layer, grate travel velocity, primary air) should Vibrating grates are used for loose-density biomass fuels
serve to integrate and optimize the combustion process. (loose straw, etc.) but also for blends of fuels with different
densities (straw, wood chips). Different parts of the sloping
A blend of different wood fuels is acceptable, but normally grate are vibrated successively.
a blend of woody fuels with straw-like fuels is not
recommended (except for vibrating grates). Step-fired boilers are equipped with a step-like grate
alternating back and forth to move the fuel through the
The melting temperature of the fuel ash, the ash content, combustion zone. Step firing is used for “difficult” biomass
and the furnace gas temperatures also should be taken into fuels and is commonly used in solid waste incinerators.
consideration. High gas temperatures and low ash melting
temperatures can cause severe slagging in the char burnout zone. TRAVELING GRATE

In a traveling grate-fired boiler unit, the fuel bed is moved

The ideal type and size of grate firing selected should take into
continuously from fuel inlet to ash outlet on a belt with
account the fuel type, size, and energy output (heat, power).
“hinged” cast iron grate bars, attached to chains, and moved
The performance of the industrial biomass unit can thus be
by a drive system. Fuel is supplied to the grate by screw
optimized, ensuring a continuous, trouble-free operation.
conveyors (stokers) to give an evenly distributed fuel layer
on the grate.
The most commonly used grates are:

At the back end of the grate, the bars are cleaned for ash and
• Traveling grate
slag. On the way back, the “loose” bars are cooled by the
• Vibrating grate primary air to the grate.
• Step grate.
The combustion process on the grate is controlled by
In small package boilers (<1 MWe), traveling grates are the height of the bed layer, the grate velocity, and the
used for biomass firing. The fuel should be homogeneous combustion air (primary air) to ensure a complete burnout
to ensure ignition and burnout within a short distance. For of the char without slagging or overheating the grate.
larger capacities (up to 50 MWe), traveling grate boilers are
used for power and heat production. A too-high content of fine fuel particles will increase the
amount of fly ash with uncontrolled burnout.

Figure 5-4: Straw-fired CHP plant: 35 MWe and 50 MJ Blends of different biomass fuels should be evenly distributed
Per Second of Heat across the grate, not leaving openings in the fuel bed layer
that will allow primary air to “leak” directly into the
furnace.

The maintenance cost for this type of grate is normally higher,

as the traveling grate chain requires regular maintenance.

The traveling grate principle is well suited for:

• Wet biomass fuels

• High ash fuels

• Fuels with different sizes.

Source: Babcock & Wilcox Vølund A/S.

38 Energy Conversion Processes

 Figure 5-5: Traveling Grate Principle Figure 5-6: Vibrating Grate

Source: Loo and Koppejan, 2008. Source: COWI.

VIBRATING GRATE A disadvantage with vibrating grates is the high peaks of carbon
monoxide emissions produced during the vibration of the
Vibrating grates are used for various biomass fuels, such as
grate. The maintenance cost for this type of grate is normally
wood chips, loose straw, etc., as this is a cost-effective solution.
considered to be low as there are no moving parts inside the

The grate can consist of one or more sections, each designed combustion chamber that require regular maintenance.

as a membrane wall with air nozzles in the fins. The grate

STEP GRATE
cooling water is integrated with the boiler water/steam system,
and the water cooling protects the grate against overheating. Step grates are commonly used in waste-to-energy incinerators,
but they are also used with difficult biomass fuels. Moving
The grate sections are individually vibrated in cycles and grates are commonly used in small, heat-only biomass
can thus regulate the stages of the combustion process. The boilers (10 to 20 MW fired capacity).
vibration also prevents large slag formations, and the fuel
ash and slag will gradually move down to the ash conveyor. The fuel is fed onto the top of the grate and moves down
the grate as it burns. The step-like cast iron hydraulic
Vibrating grates can also be designed with cast iron grate bars, grates alternate back and forth to push the fuel through
attached to a frame that vibrates on an alternating basis. the combustion zone. At the bottom of the grate, the ash is
dumped into the water-filled ash conveyor.
The primary air is injected from under the grate, and
secondary/tertiary air is supplied to the furnace through The complete grate can consist of more parallel moving grate
nozzles located above the grate. sections (lanes). Each section is cooled with water or air.

Vibrating grates are used especially for straw firing, in which The maintenance cost for this type of grate is normally higher, as
several lines of straw bales are conveyed to the boiler feeding the moving parts of the step grate require regular maintenance.
system. Knives cut the twine, and straw shredders are used
FLUIDIZED BED TECHNOLOGY
to loosen the fuel before feeding the straw onto the grate.
Fluidized bed combustion is used widely for biomass fuels.
Vibrating grates are used in biomass-fired power plant units Two fluidized bed combustion technologies are available:
with a capacity of up to 40 MWe. bubbling fluidized bed (BFB) and circulating fluidized bed
(CFB). Both are proven technologies. BFB boilers are often

Converting Biomass to Energy: A Guide for Developers and Investors 39

 Figure 5-7: Step Grate

Source: Justsen Energiteknik A/S, 2016.

preferred in small-scale applications, with fuels having low a gaseous stream (primary air) passes through a bed of
heating value and high moisture content. CFB boilers are solid particles at a velocity sufficient (above the minimum
normally used in larger applications. fluidization velocity) to overcome the particles’ gravity force.

Both types can be used for a wide range of biomasses and Figure 5-8: Principle of BFB and CFB

are especially suitable for fuels with high moisture content

• fuel
and high ash content. Fluidized bed boilers are used for fuels
• bed material
with a high alkaline content, such as straw.

freeboard freeboard
BUBBLING FLUIDIZED BED (BFB)
secondary secondary
The core of the BFB boiler is the combustion chamber or air air

furnace. It features water-cooled walls and bottom. The bottom bed bed
has a full refractory lining, and the lower portion of the water material material

wall is also refractory lined. The bed is fluidized by means of fuel fuel

an arrangement of nozzles at the bottom of the furnace, which

create turbulence that enhances the mixing of the fuel and its
conversion into char. Solid materials stay mostly in the well- primary air primary air

stirred bed, although small particles will leave the bubbling bed
and be thrown up into the freeboard region.
ash ash
bubbing fluidized circulating fluidized
The bed is usually formed by sand mixed with a small bed combustion bed combustion
quantity of fuel. Fluidization of the solids occurs when Source: COWI.

40 Energy Conversion Processes

Case Story: Biomass Project for the Paper Industry in Pakistan

PROJECT DESCRIPTION
The large paper manufacturer Bulleh Shah Packaging Ltd., in Kasur, near Lahore in
Punjab, Pakistan, has commissioned a new biomass power plant based mainly on wheat
straw, corn stover, and cotton stalks. The new biomass boiler substitutes an existing
fossil fuel-fired boiler, but natural gas/oil is still used for startup and as auxiliary fuel.
The new power plant, commissioned in 2015, is reducing Bulleh Shah’s operating costs
by substituting fuel oil and gas with biomass. The plant contributes to the region’s
economic development, as it uses locally grown biomass residues, available in large
quantities, as fuel. Furthermore, the new biomass-fired plant is reducing the carbon
dioxide emissions.
The integration between the new biomass boiler and the existing power plant has been
thoroughly investigated to find an optimal size of the new boiler together with the
existing steam turbine and the process steam consumption.
Based on the conceptual design, a bankable feasibility study for external financing was
carried out, followed by the overall design, tender specifications, contract negotiations,
and finalizing of the turnkey contract.

APPLIED TECHNOLOGY
The project includes a new biomass boiler, a new flue gas cleaning system, and civil
construction.
The grate-type boiler is equipped with a steam superheater for the turbine, a feed-
water economizer, and an air preheater.
The flue gas from the boiler is cleaned for dust emissions in the baghouse filter, located
prior to the stack.

PLANT PERFORMANCE
The plant capacity is 120 MWth, and the plant generates up to 35 MWe electricity in
addition to process steam for the paper mill.
The capacity of the grate-fired boiler unit is 150 tons of steam per hour, 525oC, 100 bar.

FUEL TYPE AND HANDLING

The plant is designed for a variety of biomass fuels such as wheat straw, corn stover,
cotton stalks, and rice straw and husk.
The power plant includes outdoor fuel storage (bales), shredding facilities (maximum
particle size of 100 millimeters), indoor storage with shredded fuel for automatic
operation during night hours and weekends, and automatic conveying of fuel from
storage to the boiler unit and feeding into the boiler.

Source: COWI.

Limestone might be added to the bed to reduce and remove remaining air is injected through the secondary and tertiary
sulfur and/or chlorine. Coarse bed material is withdrawn air ports above the furnace, enhancing staged combustion.
from the bottom of the bed to maintain high sulfur-capture
capacity and to avoid ash contamination that might cause BFB operation range is between the minimum fluidization

bed agglomeration. velocity and the entrainment velocity at which the bed
particles would be dragged by the passing gas. Since the
Primary air is about 30 percent of the combustion air and combustion chamber is protected with refractory load
varies according to the moisture content of the biomass. The changes, cold start capability is relatively slow compared to
the grate technology.

Converting Biomass to Energy: A Guide for Developers and Investors 41

Combustion temperature is normally between 800°C and
Figure 5-9: Bubbling Fluidized Bed Boiler
950°C, with 850°C as a typical bed temperature.

The maintenance cost for BFB boilers is normally considered

to be high as the refractory in the bed and at the boiler walls
requires regular maintenance and the bed technology requires
a relatively high primary air pressure that is costly. Further
bed material (sand) needs to be added continually, and hence
the ash residue amount is high and generates costs.

CIRCULATING FLUIDIZED BED (CFB)

CFB boilers are normally used in larger applications. A

CFB configuration includes solid separators that isolate the
entrained particles from the flue gas stream and recycle them Source: Foster Wheeler, 2016.

to the lower furnace. The collected particles are returned to

5.3.3 BOILER TECHNOLOGIES
the furnace via the loop seal.
WATER AND STEAM BOILER PLANTS
Fluidizing velocity is higher than in a BFB and can be
This section describes how the boiler converts the energy in
between 4.5 and 6.7 meters per second. The entrainment
the hot flue gas from the combustion into steam/heat. The
velocity is the point that defines the transition from a
section introduces the thermodynamical concept of a steam
BFB to a CFB. The CFB operation range is fixed over that
cycle and presents the main boiler types.
entrainment velocity. Beyond this velocity, the bed material
becomes entrained and the solids are distributed throughout WATER AND STEAM BOILER
the furnace with a gradually decreasing density from the
The purpose of a steam generator or boiler is to generate
bottom to the top of the furnace. A distinction between
steam at a desired rate, temperature, and pressure by
the bed and the freeboard area is no longer possible. A
transferring heat from the combustion of fuel into water,
large fraction of the particles rises up from the bed and is
which is then evaporated into steam. The steam can be used
recirculated by a cyclone. The circulating bed material is
for different applications, such as power generation, district
used for temperature control in the boiler.
heating, industrial processes, or combinations thereof,
depending on the steam pressure/temperature.
CFB boilers are used in large combined heat and power
(CHP) plants or power plants, with a capacity of hundreds
A boiler can be either a fire-tube boiler, where hot flue
of MWe, but they also are applied in small-scale power
gases flow through tubes surrounded by water in a shell, or
generation, using fuels or fuel mixtures that are less reactive
a water-tube boiler, where the water flows through tubes
and require longer residence time for full conversion.
and the hot flue gases flow over the tubes. In high-pressure
applications, such as power generation, it is an advantage
The maintenance costs for CFB boilers are normally
(in terms of metal stress) to have the high-pressure water/
considered to be high as the refractory in the bed and at the
steam inside relatively small-diameter tubes. Hence, the
boiler walls requires regular maintenance. The operation
water tube configuration is preferred. For small hot water
costs for CFB boilers are likewise considered to be high, as
or process steam boilers, the fire tube boiler is often used.
the bed technology requires a relatively high primary air
pressure that is costly. Further, bed material (sand) needs to
Boilers that use a drum and recirculate water for changing
be added continually and hence the ash residue amount is
into steam are called drum boilers.
high and generates costs.

42 Energy Conversion Processes

PROCESS Figure 5–11 shows a schematic of a typical drum boiler
arrangement. The evaporator riser tubes constitute the walls of
The heat transfer from the hot flue gases to the feed water in
the furnace area, mainly absorbing heat by radiation. Finally,
a drum boiler is divided into three sections: an economizer,
the remaining heat from the flue gases is used to preheat the
an evaporator, and superheaters.
combustion air. The flue gases then leave the boiler through the

Feed water pumps pump the feed water into the economizer, flue gas treatment systems to the flue gas stack.

which heats it to saturated water and feeds it into the

WATER-STEAM CYCLE
evaporator. The evaporator consists of a number of down-comer
pipes and riser tubes (membrane wall) in a loop connected to As described in the previous section, a boiler converts the

a header in the bottom of the boiler and a drum in the top of energy from the biomass combustion into high-pressure

the boiler. The saturated water enters the drum, falls through steam. The steam is transformed into electrical power in

the down-comer tubes into the bottom header, and moves a steam turbine, which drives a generator that produces

up through the riser tubes, where it is heated by the hot flue electrical power. After the steam has passed through the

gases and led back into the top of the drum as steam. turbine, it is condensed into water in a condenser and
recycled back to the boiler, where it is heated into steam
In the riser tubes, the saturated water will boil partially and again. The use of a water-steam cycle as described above,
will form bubbles of saturated steam. The saturated steam is including a boiler and a steam turbine, is the most widely
taken from the top of the drum to the primary superheater, spread and commonly used technology to produce electric
while the saturated water repeats the loop (see Figure 5–10). power from a fuel, including biomass.
In the superheaters, the steam is further heated by the hot
flue gases to superheated steam and led to a steam turbine The water-steam cycle also is termed a Rankine Cycle, and

where it is expanded, delivering work to generate power. Figure 5–12 shows this in its most basic form.

Steps 1–2: The heat released from combustion of the fuel is

Figure 5-10: Evaporator Circulation System, P.K. Nag, used to evaporate water to steam in the boiler. The steam is
Power Plant Engineering superheated to a temperature above the boiling point.

To superheater
Figure 5-11: Typical Water Tube Boiler Arrangement,
P.K. Nag, Power Plant Engineering

Saturated From economizer

steam
Saturated
water Heat
Drum
Down-
Riser tube
comer

Heat

Header Heat

Source: COWI. Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 43

 Figure 5-12: Water-Steam Cycle

1 2
BOILER

Heat input
TURBINE Power
PUMP

CONDENSER
4 3

Heat output

Source: COWI.

Steps 2–3: The steam flows through the turbine, expanding where it is again pumped to the boiler for steam production.
along the way, and thus transfers mechanical energy to the The pump used for this purpose is termed the feed water
rotating turbine shaft. The turbine shaft drives a generator, pump and is usually a multi-stage pump suitable for
which produces the electrical power. Figure 5–13 shows an handling large pressure heads.
example of a steam turbine.
ELECTRICAL EFFICIENCY
Steps 3–4: When the steam exits the turbine, it is left with an The electrical efficiency of the cycle is highly dependent on
amount of residual heat that cannot be used for electricity the steam temperature and the condensing temperature. The
production in the turbine. This heat has to be removed, and efficiency will increase with higher steam temperature and
the steam is condensed in order to be recirculated into the lower condensing temperature. Higher steam temperatures
boiler. This happens in a heat-exchanging condenser that require the use of more expensive steel alloys in the boiler
transfers the residual heat to cooling water, either from a and steam pipes.
natural source such as river or sea water or to air coolers.
COMBINED HEAT AND POWER (CHP) PLANT
Steps 4–1: The condensed steam (water) is then pumped
For a combined heat and power (CHP) plant, where heat in
from the condenser to a reservoir or feed water tank, from
the form of steam or hot water can be used, it is most often
the heat output from the condenser that is used. The amount
Figure 5-13: Illustration of a Steam Turbine
of heat that can be recovered from the condenser is normally
about 40 to 60 percent of the energy from the fuel. Often,
the heat is in the form of water at a temperature between
70°C and 100°C or low-pressure process steam. Higher
temperatures can be obtained; however, this will have a
negative effect on the electrical power production.

HEAT-ONLY BOILER

There are many cases where there is a need for heat (steam
or hot water) without a demand for power production.
Source: COWI, 2016. For plants up to around 30 to 40 MWth, a large number

44 Energy Conversion Processes

 Case Story: Biomass Project for the Furniture Production and Palm Oil Industries in Malaysia

PROJECT DESCRIPTION
Bentong Biomass Plant is a privately owned energy plant located in Pahang, Malaysia, a
region where many industries using natural resources are gathered.
The plant is fired with waste products from nearby industries, thereby making use of
waste products for energy production. Two types of fuel are used: wood chips and
empty fruit bunches. The wood chips are left over from furniture production that takes
place at a nearby plant. The empty fruit bunches are residues from palm oil production,
after the palm oil has been extracted.
Both waste products are pretreated upon arrival at the Bentong plant. Both fuel types
are shredded to obtain a homogenous size, which enables smoother operation of the
plant and the combustion process.
Bentong Biomass Plant produces steam, which is sold to a nearby paper factory 24
hours a day, 7 days a week. A multiyear agreement between Bentong Biomass Plant and
the paper factory has secured the biomass plant a guaranteed price for steam, while
securing the paper factory a guaranteed rate of supplied steam.
The plant is shut down for maintenance one to three times per year for one to three
weeks at a time. However, in some years, no maintenance has been required at all. The
plant was commissioned in 2007 and is staffed by three shifts of six operators each.
The plant was built by a Malaysian contractor specializing in biomass plants and using
combustion technology from a Danish boiler supplier.

APPLIED TECHNOLOGY
Boiler capacity and parameters:
• 32 tons of steam flow per hour
• 29 bar / 218°C
Typical costs for biomass plants fired by empty fruit bunches:
Fuel cost: 72–80 Malaysian ringgit per ton of fuel
• 
(including transportation, pretreatment)
• Operation and maintenance cost: 240 Malaysian ringgit per MWh.

PLANT PERFORMANCE
The project includes the entire plant as well as pretreatment for waste. The drum-type
steam boiler, fired from the grate, is equipped with steam superheaters.
The vibrating grate is designed as water-cooled membrane wall panels and is connected
to the boiler by means of flexible pipes. The vibrating movement of the grate is provided
by two vibration drives, and the intervals for vibration can be set according to fuel quality.

IMPORTANT LESSONS LEARNED

The plant was originally designed with air spout fuel feeding. Due to variations in fuel
quality, however, the feeding system was subsequently changed to screw feeding, a
more robust feeding system.

Source: Babcock & Wilcox Vølund A/S, www.volund.dk.

of suppliers offer standardized boilers that can operate in delivering tailor-made biomass boiler plants that can
on the most common types of biomass. Larger plants, or meet special requirements for a certain flow, pressure, or
plants with special requirements (e.g., in relation to steam temperature for the process heat.
parameters) will need a tailor-made boiler to be designed
for the actual case. Many boiler suppliers are specialized

Converting Biomass to Energy: A Guide for Developers and Investors 45

RETROFIT OF EXISTING FOSSIL FUEL BOILERS ash removal. A BFB-type boiler may be able to handle fuels
with moisture content up to 50 to 60 percent. However, an
In some cases, it can be interesting to investigate the
increase in flue gas flow may reduce the boiler capacity or
possibilities for a complete or partial conversion of fossil
require changes of the flue gas path and the fans.
fuel-fired boilers to burn biomass fuels.

The technical considerations for a conversion project will

Both the technical options and the economic viability of such
also include:
projects will be very specific for the individual case. There
are a number of examples of conversion projects for various
• New installations for fuel handling and storage
boiler types, including:
• New installations or modifications of filters
• Coal-fired grate boilers converted to biomass grate for particle removal

• Coal-fired pulverized fuel boilers converted to biomass BFB. • New installations or modification of ash handling.

• Natural gas/ liquefied petroleum gas (LPG)/ light oil-fired Boilers designed for natural gas, LPG, or light fuel oil may
boilers converted to biogas. be converted to use biogas from a nearby new biogas plant.
Such conversions will require change of burners and possibly
A number of projects are under development, mainly in
combustion air systems. All the biomass fuels mentioned
Europe and the United States, for the conversion of large
have relatively low contents of sulfur and ash, so the flue gas
utility-size, coal-fired power stations up to 600 to 800 MWe,
path often will require no or only small changes.
mainly by substituting coal with wood pellets.
5.3.4 ORC TECHNOLOGY
These projects demonstrate that technical solutions can be
PRINCIPLE OF ORC
found, but they are outside the scope of this guide.
The Organic Rankine Cycle (ORC) is, as the name implies,
Many small to midsize coal-fired utility and industrial a technology based on the Rankine Cycle, which is the basic
boilers, up to about 200 MWth, exist around the world. The thermodynamic cycle also used in the conventional water-
majority of these boilers are either grate-fired boilers (the steam cycle, as shown in Figure 5–14. The working fluid in
smaller sizes) or pulverized fuel-fired boilers (the larger). ORC is an organic, high-molecular-mass fluid. This fluid has
Converting such plants from coal to biomass fuels can use a liquid-vapor phase change (or boiling point) occurring at
locally available fuels and reduce greenhouse-gas emissions. a lower temperature than for water-steam. ORC can be used
A conversion also may be a way to reduce sulfur emissions to convert thermal energy from a relatively low-temperature
as an alternative to installing a desulfurization system. heat source to electricity. Typical heat sources are industrial
waste heat, geothermal heat, and heat from a relatively
Converting a relatively small grate-fired boiler from coal to
simple biomass combustion system.
biomass will require modifications to the stoker system in
order to handle the larger volume of fuel. Preferably, the new Typically, the temperature of the heat input to an ORC cycle
biomass fuel should have a relatively low moisture content, is up to 300°C to 350°C, compared to the 500°C to 600°C
thus avoiding a capacity reduction due to larger flue gas steam temperature often applied in water-steam cycles.
flow. In addition, the fuel should not be of a high alkaline The efficiency of the heat to electricity conversion depends
type (such as straw) due to risks of fouling and corrosion of thermodynamically on the heat source temperature. ORC
heating surfaces. therefore will have a theoretically lower efficiency than a
water-steam cycle operating at higher temperatures.
For a typical pulverized fuel-fired boiler (up to 200 MWth),
an option may be to replace the original boiler bottom with Because design temperatures and pressures applied in an ORC
a new BFB-type bottom, including air nozzles and bottom unit are lower than in a typical water-steam plant, the costs

46 Energy Conversion Processes

 Figure 5-14: Principle of a Typical Organic Rankine Cycle

l
Oi
al The plant uses the hot-temperature
m
er
Th 3 Turbine thermal oil to preheat and vaporize a
4 suitable organic working fluid in the
Electric power evaporator (8→3→4). The thermal oil is
cooled in the evaporator and returned to
Temperature

5 the boiler or other heat source for

8 Generator
reheating. The organic fluid vapor powers
4 5
the turbine (4→5), which is directly
coupled to the electric generator through
Thermal Oil 3
an elastic coupling. The exhaust vapor
8 flows through the regenerator (5→9)
9 Evaporator Regenerator
where it heats the organic liquid (2→8).
2
6 The vapor is condensed in the condenser
9
r (cooled by the cooling water flow)
Wate Water (9→6→1). The organic fluid liquid is finally
6
Entropy pumped (1→2) to the regenerator and
then to the evaporator, thus completing
2 1
Condenser the sequence of operations in the
closed-loop circuit.
Pump

Sources: COWI; Turboden, 2016.

of components can be reduced by using less costly materials, by the operating staff, and therefore may reduce the direct
smaller wall thicknesses, and comparatively simple designs. O&M costs.

This will improve the economic feasibility for smaller plants The basic ORC thermodynamic cycle and the coupling of
compared to water-steam plants. Generally, the lower the main components are illustrated in Figure 5–15. The
temperatures and pressures in an ORC plant also simplifies core ORC unit must be connected to the high-temperature
operation and maintenance and reduces the skills needed heat source, the low-temperature heat sink, and the

Figure 5-15: Principle of Connections to an ORC Unit

Electric power output

District heating

Drying

Low temperature*
Biomass-powered boiler thermal oil loop
Refrigeration
(pruning of
branches,
marcs, husk, High temperature*
wood chips, thermal oil loop
saw dust, bark Heat sink

Source: Turboden, 2016.

*  Turboden ORC units can be also fed with saturated vapor or superheated water.

Converting Biomass to Energy: A Guide for Developers and Investors 47

electrical grid. Figure 5–15 illustrates the principle of ORC plants can also be configured as combined heat and
these connections. power plants, where the energy not converted to electric
power is used for district heating or as industrial process
A closed-circuit thermal oil heat transfer system is often used heat. A CHP plant will have a lower electrical efficiency
to transfer the driving heat from the combustion unit (for than a power-only plant, because the temperatures needed
example, a biomass combusting boiler or waste heat source) for heat application generally will be higher than the
to the ORC unit. These systems use a special oil-based temperatures in cooling circuits. The combined efficiency
thermal fluid as the heat carrier. The main advantage of these (electricity plus heat) will, however, be much higher for a
systems is that they can be designed and operated at much CHP plant than for a power-only plant. Overall efficiencies
lower pressures than needed for a water-steam based system. can be more than 90 percent if all low-temperature heat
However, extreme care is needed in the design and operation from the ORC unit can be made useful.
of thermal oil systems, as the fluids normally are combustible
and leaks may cause a fire. Although CHP projects have a higher CAPEX, CHP projects
usually have a stronger and more robust economy due to
The energy converted to electricity via the turbo-generator income streams from sale of both power and heat.
must be transferred to the electrical grid or to an industrial
consumer, as for any other electricity-generating plant. ORC PLANT CONFIGURATIONS AND LAYOUT

ORC plants are available in unit sizes from a few hundred

The energy not converted to electricity must be transferred
kWe up to 10–15 MWe. For smaller plants, the core ORC
from the ORC condenser to a low-temperature heat sink.
unit is typically a factory-assembled unit, simplifying the
For a plant designed for the sole production of electric
on-site installation and commissioning. Larger plants are
power, the heat is transferred to a cooling water system or
typically partly factory-assembled and transported to the
to a dry or wet cooling tower. The electrical efficiency of an
construction site in modules, requiring final connection and
ORC plant will depend on the temperature of the cooling
testing on-site. Figures 5–17 and 5–18 show examples of the
system, as illustrated in Figure 5–16.
layout of ORC units.

Figure 5-16: Illustration of Electrical Efficiency as a Function of Cooling Water Temperature

26% GROSS PERFORMANCE OF THE

Design Point TURBODEN HRS MODULES AT
24% VARIOUS CONDENSATION
Gross electric efficiency

WATER TEMPERATURES
22% Value of gross electrical
efficiency calculated as
20% the ratio of electric power
output at generator terminals
18% to the thermalpower input
to the ORC at the
design point
16%

14%

15 20 25 30 35 40 45 50 55 60 65
Water outlet temperature from condenser (oC)

Source: Turboden, 2016.

48 Energy Conversion Processes

Figure 5-17: Layout of a 1 MWe ORC Unit Figure 5-18: MWe Biomass-driven ORC Unit

Source: Turboden, 2016. Source: Turboden, 2016.

A biomass-to-energy ORC plant includes a number of • Internal electricity supply and control system
sections and systems, for example:
• Electrical grid connection

• The core ORC unit • Civil works and buildings.

• Biomass fuel reception, storage, and handling The core ORC module may represent only 20 to 30 percent
of the total investment cost (CAPEX) for a complete biomass
• Biomass boiler with flue gas cleaning and ash handling
plant. During project development, it is very important to
• Thermal oil heat transfer system focus on all necessary parts of the complete plant.

• Cooling water system and/or low-temperature heat

recovery system

Figure 5-19: Illustration of the Layout of a Biomass ORC Plant Including Biomass Boiler, Fuel Silo,
and Some Auxiliary Systems

Source: Exergy, 2016.

Converting Biomass to Energy: A Guide for Developers and Investors 49

5.3.5 EMISSIONS AND FLUE GAS CLEANING Figure 5-20: A 1 MWe Biomass ORC Plant in Italy
This section describes the different measures available
for reducing emissions from the combustion of biomass.
The emissions can be reduced by either primary measures
(combustion process integrated measures) or secondary
measures (post-combustion cleaning).

PRIMARY MEASURES

The primary measures improve the combustion process

and minimize the production of pollutants. A combustion
temperature above 850°C for at least 1.5 seconds secures a
complete combustion; lower temperatures or lower residence
time increase the emissions of complex hydrocarbons (tars),
carbon monoxide, etc.

Source: Turboden, 2016.

If the combustion air is preheated and the moisture content
in the fuel is less than 50 to 60 percent, an adequate Measures to enhance the combustion process are
combustion temperature can normally be reached. summarized below:

Emission of nitrogen oxides is due either to the nitrogen • Fuel quality: uniform size and (low) moisture content
content in the fuel or to the formation of thermal nitrogen
• Staged combustion: to reduce fuel nitrogen oxide formation
oxide (that is, oxidation of atmospheric nitrogen gas).
Oxidation of nitrogen gas is only a problem at combustion • Combustion temperature >850°C; >1.5 seconds to secure
temperatures above 1,400°C, and it therefore presents little complete burnout
problem in biomass-fired boilers, where the combustion
• Adequate control system: to adapt to changes in load and
temperatures range from about 900°C to about 1,200°C.
fuel quality.

The nitrogen content in biomass covers a wide range from SECONDARY MEASURES
12 percent in hardwood to 2 percent or more in some
Secondary measures are flue gas treatment systems placed
agricultural waste products, which potentially can lead to
between the combustion zone and the stack to remove
very high nitrogen oxide emissions. These emissions can be
unwanted pollutants. Depending on the boiler and the
reduced by staged combustion, where the initial combustion
biomass fuel, nitrogen oxides, carbon monoxide, hydrogen
is sub-stoichiometric, whereby the fuel nitrogen is converted
chloride, sulfur dioxide, volatile organic compounds, and
to nitrogen gas. Excess secondary air is subsequently
particulates could pose a problem.
added to secure complete burnout of carbon monoxide,
hydrocarbons, etc.
For biomass-fired boilers, dust or particulate removal is the most
frequent and important process. Systems for dust removal are:
Inappropriate boiler operation may cause large emissions,
so the plant should preferably be equipped with a control
• Multicyclones
system that automatically adjusts the air/fuel ratio, both at
steady operation and during load changes. • (Venturi) scrubbers

• Electrostatic precipitators
Uniform size and moisture content of the biomass fuel parts
also will improve the combustion process. • Baghouse filters.

50 Energy Conversion Processes

MULTICYCLONE SCRUBBERS

A multicyclone is a battery consisting of 8 to 16 or more single Several types of wet scrubbers can be used for particulate
cyclones (see Figure 5–21). In cyclones, particles are separated removal. Among the most efficient are the venturi scrubbers
by centrifugal forces. Multicyclones are simple and can resist (see Figure 5–22). A venturi scrubber consists of three
high temperatures, but they are less efficient for small particles. sections: a converging section, a throat section, and a
They are often used for upstream pretreatment. diverging section. The inlet gas stream enters the converging
section, and, as the area decreases, the gas velocity increases.

Case Story: Biomass Project for the Wood Processing Industry in Turkey

PROJECT DESCRIPTION
Kastamonu Entegre is a large integrated company specialized in the production of
wood-based panels (particle board and MDF). In its facility in Gebze (in northwestern
Turkey), the company burns wood residues from its own production in order to use the
heat, mainly for thermal-oil presses and dryers.
Because the company had a surplus of both biomass and thermal capacity in the
existing boilers, it decided to install an ORC unit in order to produce electricity. The
plant startup occurred in 2014.

APPLIED TECHNOLOGY
The company decided to install a Turboden 10-CHP unit, which produces both
electricity and hot water at 90°C.
The input of the unit is hot oil at about 300°C (about 5.5 MWh thermal). The oil circuit
was already present in the facility (used mainly for the presses), so the company
installed a three-way valve to redirect part of the flow to ORC heat exchangers.

PLANT PERFORMANCE
Outputs of the ORC unit:
• Electricity totaling 955 kWh electrical at nominal conditions.
• Thermal power totaling about 4.5 MWh thermal in the form of hot water
at 90°C. The hot water is integrated in the production system and used to
heat the buildings and dryers.

OUTCOME OF THE PROJECT

The ORC project at the MDF board producer in Gebze, Turkey, is an interesting
example of the realization of opportunities for integrating ORC technology with the
particle board and MDF manufacturing industry. Low-price biomass fuel is available,
combined with a need for both thermal energy and electrical power for the production
processes.
Thermal energy is used in the process for:
• Low-pressure steam for fiber preparation
• Hot gases for hot fiber drying in direct contact dryers
• Thermal oil for hot process and other heat consumers.
Electrical power is used for:
• Hammer mill
• Sawmill
• Hot compression of the presses
• Auxiliaries.
Source: Turboden, 2016.

Converting Biomass to Energy: A Guide for Developers and Investors 51

 Figure 5-21: Illustration of a Multicyclone Figure 5-22: Illustration of a Venturi Scrubber

Source: Cburnett, Wikipedia, 2016. Source: Wikipedia, 2016.

Liquid is introduced either at the throat or at the entrance to the gas stream. This is usually accomplished by knocking
the converging section. them loose from the plates, allowing the collected layer of
particles to slide down into a hopper from which they are
The inlet gas, forced to move at very high velocities in the evacuated. Some ESPs remove the particles by intermittent or
small throat section, shears the liquid from the scrubber continuous washing with water.
walls, producing an enormous number of very tiny droplets.
The efficiency of an ESP depends primarily on particle size
Particle and gas removal occur in the diverging section as the distribution and resistivity of the dust particles.
inlet gas stream mixes with the fog of tiny liquid droplets.
The inlet stream then exits through the diverging section, The electrical force to move the particles out of the gas
where it is forced to slow down. stream depends on the number of electric charges per mass

ELECTROSTATIC PRECIPITATORS
Figure 5-23: Detail of an Electrostatic Precipitator
An electrostatic precipitator (ESP) (see Figure 5–23) is a
particle control device that uses electrical forces to move the
particles out of the flue gas stream and onto collector plates.

In the ESP, the particles are given an electrical charge by

forcing them to pass through a corona, a region in which
gaseous ions flow. The electrical field that forces the charged
particles to the walls comes from electrodes maintained at
high voltage in the center of the flow lane.

Once the particles are collected on the plates, they must be

removed from the plates without re-entraining them into Source: Egmason, Wikipedia, 2016.

52 Energy Conversion Processes

unit. For small particles (<1 micron), removal efficiency
Figure 5-24: Baghouse Filter
is rather poor as the available space (on each particle) for
electron charges is limited. An ESP is therefore mediocre for
aerosol particles, although better than a multicyclone.

The resistivity of the dust particles should be neither too

low nor too high. If the resistivity is too low, the particles
lose their charges when they hit the collecting plate and will
re-entrain back into the gas stream. If the resistivity is too
high, the particles will not be charged at all and therefore
will not be affected by the electric field.

BAGHOUSE FILTERS

A baghouse filter (see Figure 5–24) contains bags of textiles

or membrane-coated textiles through which the flue gas
passes and leaves a layer of dust to accumulate on the filter
media surface. When sufficient pressure drop is reached, the
cleaning process begins.
Source: emis.vito.be.

Cleaning can take place while the bag house is online

of the superheaters and on a sufficient temperature window, it
(filtering) or is offline (in isolation). When the compartment
is realistic to achieve a 30 to 50 percent reduction in nitrogen
is clean, normal filtering resumes.
oxides. The superheaters often are located in the desired
temperature window, and this will spoil the option of using
The cleaning cycle can be either mechanical shaking, reverse
non-selective catalytic reduction.
air, or jet pulses of compressed air. In all cases, the collected
dust cake will crack and fall into the hopper below, from
The selective catalytic reduction process takes place at a
which it is evacuated.
catalyst surface at 320°C to 380°C, a temperature range
often reached just before the economizer, but the potassium
Baghouse filters are very efficient at removing all particle sizes,
content in biomass poses a serious risk for fast degradation
and operation is reliable when the flue gas is dry and the particles
of the selective catalytic reduction catalyst.
are non-sticking. However, the baghouse filter is sensitive to
the risk of fire caused by sparks in the flue gas stream.
Secondary measures for nitrogen oxide removal are CAPEX

EMISSION OF GASEOUS SUBSTANCES and OPEX intensive and should be implemented only if
deemed necessary by legislation and by the Environmental
Most emissions (carbon dioxide, nitrogen oxides, tars,
and Social Impact Assessment outcomes / consideration of
volatile organic compounds, etc.) are best handled by
potential sensitive receptors / degraded airshed.
primary measures; however, in some cases, nitrogen oxides
need to be reduced by secondary measures. 5.3.6 RESIDUES AND THEIR HANDLING

All extraction of biomass from the forests and fields removes

In principle, both selective and non-selective catalytic
nutrients and acid-buffering capacity from the soil.
reduction systems based on ammonia can be used. The
non-selective process takes place in the boiler at temperatures
During combustion of biomass fuel, nutrients and acid-
between 850°C and 950°C. Due to the high temperature,
buffering substances are concentrated in the ash. This makes
most of the ammonia ends up as nitrogen gas, and therefore a
the ash suitable as a compensatory fertilizer to replace the
high excess of ammonia is needed. Depending on the location

Converting Biomass to Energy: A Guide for Developers and Investors 53

lost nutrients and acid-buffering capacity in forest soil. Only for example, cadmium, lead, or zinc. Ash analysis therefore
nitrogen is missing, as it is eliminated with the flue gases. should be carried out to ensure that ash recycling complies
with local regulations.
The amount of ash depends on the biomass type and the
amount of residual soil attached to the fuel. Hardwood In addition to its probable heavy metal content, biomass
logs produce the lowest amount of ash, whereas byproducts ash has a very high pH. The option to recycle ash therefore
from annual crops (such as straw and corn stover) collected should be dependent on the sustainable conditioning of the
directly from the fields have the highest amount. The typical soil. Ash recycling should not result in an uncontrolled pH
amounts are between 1 percent and 4 percent of the dry fuel. shock, hence the biomass ash could be stored (for example,
for a season) to allow atmospheric carbon dioxide to react
THE WASTE HIERARCHY
and neutralize the ash.
Ash from biomass combustion should be treated according
to the waste hierarchy (see Figure 5–25). In relation to ash, If recycling of ash is impractical for either environmental
there are three relevant options: reduce, recycle, or landfill. or economic reasons, the ash may be disposed of at an
approved landfill.
Ash production can be reduced to some extent by using
clean logs for wood chip production, etc., and by storing The macro constituents (the valuable ones are primarily
the biomass fuel on paved ground. However, a limited manganese, magnesium, potassium, phosphorus, and sulfur)
production of biomass ash is unavoidable; the primary goal in a number of biomass ashes are summarized in Table 5–4.
therefore will be to recycle the ash to prevent depletion of
Ash collected from a biomass plant should preferably be
minerals in the fields and forests.
separated into bottom ash from the boiler and fly ash from
The biomass ash preferably should be returned to the same the filter. This will enable the owner to apply for recycling of
type of field/forest that the fuel came from, and approximately the bottom ash, whereas the fly ash with most of the heavy
in the same amount. A rule of thumb is to limit the amount of metals of the fuel may be landfilled. If permitted by the local
ash to less than 3 tons per hectare. authorities, the fly ash also may be recycled, resulting in a
much lower cost.
In addition to the macro constituents, biomass ash—especially
5.3.7 COOLING PRINCIPLES
from annual crops—could contain high concentrations of,
There are four methods for cooling the residual heat in
Figure 5-25: The Waste Hierarchy the condensed steam from the turbine condenser. These
cooling principles should be regarded as an alternative or
supplement to recovering the residual heat for industrial use.
The four methods are:
Reduce

• Natural convection cooling towers

Reuse
• Dry coolers
Sustainability Recycle
• Wet/dry coolers
Recovery
• Wet coolers.

Landfill NATURAL CONVECTION COOLING TOWERS

Natural convection cooling towers are a type of cooling

tower that is well known from nuclear power stations, where
Source: COWI. cooling water flows over grates (or similar), and heat is

54 Energy Conversion Processes

 Table 5-4: Ash Analysis of Different Types of Biomass

Magnesium

Phosphorus
Manganese
Aluminum

Potassium
Iron Oxide

Pentoxide
Titanium
Chlorine

Calcium

Trioxide
Sodium
Dioxide

Dioxide
Silicon

Sulfur
Oxide

Oxide

Oxide

Oxide

Oxide
Fuel
Wood pellets No data 4.30 1.30 1.50 5.90 8.50 55.90 0.60 16.80 0.10 3.90 1.03
Sunflower pellets No data 2.90 0.60 0.80 0.10 21.60 21.60 0.24 22.80 0.10 15.20 14.00
Walnut shell 0.1 23.10 2.40 1.50 No data 13.40 16.60 1.00 31.80 0.10 6.30 2.20
Almond shell 0.2 23.50 2.70 2.80 No data 5.20 10.50 1.60 48.50 0.10 4.50 0.80
Olive husk 0.2 32.70 8.40 6.30 No data 4.20 14.50 26.20 4.30 0.30 2.50 0.60
Hazelnut shell 0.10 33.70 3.10 3.80 No data 7.90 15.40 1.30 30.40 0.10 3.20 1.10
Red oak wood 0.80 49.00 9.50 8.50 No data 1.10 17.50 0.50 9.50 No data 1.80 2.60
Wheat straw 3.60 48.00 3.50 0.50 No data 1.80 3.70 14.50 20.00 No data 3.50 1.90
Beech bark No data 12.40 0.12 1.10 No data 11.50 68.20 0.90 2.60 0.10 2.30 0.80
Tamarak bark No data 7.77 8.94 3.83 No data 9.04 53.50 3.40 5.64 0.11 5.00 2.77
Switch grass No data 66.25 2.22 1.36 No data 4.71 10.21 0.58 9.64 0.28 3.92 0.83
Rice straw No data 77.20 0.55 0.50 No data 2.71 2.46 1.79 12.59 0.04 0.98 1.18
Olive kernel No data 67.70 20.30 0.05 No data 0.05 0.50 11.20 0.15 0.05 No data No data
Source: Saidur et al., 2011.

transferred to an upward airstream through direct contact. the cooling tower. This steam can, depending on the cooling
Such a cooling tower would, for a 400 MW turbine, have a circuit solution, contain some bacteria and chemicals.
100-meter diameter and a height of 150 meters. A specific
WET/DRY COOLERS
problem for this type of cooling is the accumulation of
unwanted elements such as E. coli bacteria in the cooling Wet/dry coolers are a combination of the wet and dry cooler
water. The natural convection cooling towers are not normally concepts. Primary cooling is done in direct contact with
found in the range of power plants relevant for this guide. the air flow, but afterward the air is heated by hot cooling
water. This allows the air to leave the tower without visible
DRY COOLERS
evidence of steam and thus with less risk of spreading
Dry coolers have no direct contact between the cooling air bacteria and chemicals.
and the water to be cooled. The water transfers its heat to a
conducting wall, where air is flowing on the opposite side. In Examples of forced (not natural) convection cooling towers
theory, no evaporation happens from the condenser cooling are shown in Figures 5–26 and 5–27.
water, and the accumulation of unwanted elements in the
5.3.8 ELECTRICAL SYSTEMS
cooling water is therefore limited. Due to the absence of
water, there is no plume from the cooling process. For a 1–40 MWe biomass fuel unit, the main power
distribution voltage level is typically given by the turbine
WET COOLERS generator terminal voltage, for example 10-kilovolt

Wet coolers, as opposed to dry coolers, have direct contact alternating current (AC).

between the cooling air flow and the condenser cooling

Most consumers, however, are connected to 400-volt AC and
water; however, instead of natural convection, the air flows
230-volt AC power distribution switchboards, and therefore
through the cooler driven by a fan. A certain amount of
several distribution transformers must be used to convert
cooling water will evaporate, and steam can be seen above
from 10-kilovolt AC to 400/230-volt AC. With very large

Converting Biomass to Energy: A Guide for Developers and Investors 55

 Figure 5-26: Cooling Tower from a Mexican Sugar Mill

Source: COWI.

Figure 5-27: Industrial Cooling Towers for a Power Plant

Source: Cenk Endustri, Wikipedia, 2016.

56 Energy Conversion Processes

consumers, it may be beneficial to add an additional voltage project until handover and commercial operation, where it is
level of 700-volt AC or even to connect them to the main in an “as-built” version.
power distribution.
Figure 5–28 shows a simplified typical electrical single-line
In general, almost all motors in the plant will be supplied diagram for a 35 MWe unit. No consumers are shown
via variable frequency drives because of energy efficiency on the diagram except two large motors supplied by
requirements. variable speed drives. Almost all motors in the plant will
be supplied via variable frequency drives because of energy
In addition to the AC power systems, direct current (DC) efficiency requirements.
power systems are required for critical and uninterruptable
services. The DC power systems are, during normal 5.3.9 DCS
operation, supplied by the AC systems via rectifiers. When Distributed control system (DCS) automation for a 1–40
a failure occurs in the AC systems, the DC systems are MWe biomass fuel unit typically consists of a control system
powered by batteries. Typical consumers are digital control for fuel handling, a control system for the steam turbine
systems, protection and shutdown systems, fire detection, and generator, a control system for the boiler, and control
emergency lights, etc. Critical pumps and fans also can be systems for auxiliary systems such as cooling water, ash
supplied by the DC systems during a power failure, but the removal, etc. It is preferred that most, and if possible all, of
power demand must be relatively small. the control systems mentioned are in a common DCS.

The electrical main distribution single-line diagram is a key Supervision and operation is made from a common control
element when describing and visualizing the concepts and room with human machine interface for all control systems,
the design of the electrical systems. Therefore, a preliminary and preferable mainly from a common DCS.
single-line diagram should be constructed at the earliest
possible stage of the project. The single-line diagram is then Hardware (input-output modules, CPU units, interface
maintained and developed continuously throughout the modules, switches, relays, power supply, etc.) must be built

Figure 5-28: Simplified Typical Electrical Single-line Diagram for a 35 MWe Unit

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 57

into cubicles or cabinets with sufficient and suitable cooling kilovolts. In some cases, in the upper power range, it may
and placed in rooms with sufficient cooling. Cooling of even be beneficial or required to connect the unit to the
rooms for electrical and DCS equipment must protect against power transmission systems, which are voltage levels above
dust and moisture condensation by a small overpressure. 100 kilovolts.
Moisture condensation must be moved away safely to avoid
contact with electronic and electric equipment. At an early stage of the project, it is necessary to obtain close
contact and dialogue with the local grid company. Knowing
Dependent on local regulation, a 1–40 MWe biomass fuel the maximum electrical power output, the grid company
unit may require monitoring of the flue gas and its content of will be able to locate a point of connection in the existing
nitrogen oxides, dust, and maybe other contents. networks or to advise if new networks are required to
absorb the power production.
In addition to a DCS system and other control systems,
DCS automation for a 1–40 MWe biomass plant includes The grid company’s grid connection requirements should be
instrumentation, control valves, dampers, motors, and other analyzed closely, as they often impose design requirements
electrical equipment. All are electrically connected to the for the steam turbine, the boiler, and the protection and
DCS and the motor control center. Equipment and cables are control systems. The design of auxiliary systems for the
exposed to different environments and must be able to resist turbine generator, for example the excitation system and the
negative impacts such as ultraviolet radiation, rodents that relay protection systems, also often are influenced by the
eat cables, heavy rainfall during monsoon periods, etc. requirements given by the grid company.

If the plant location is far from the airport or other traffic, Finally, the requirements from the grid company regarding
a remote connection for the supplier to access the DCS and grid code compliance documentation and testing should not be
other major control systems is necessary. A remote connection underestimated. Generally, a grid connection permit is obtained
enables the DCS supplier to access the DCS system, to assist by proving compliance by both calculations and simulations
during maintenance, and to prepare any major overhaul of the supported by capability testing during commissioning.
DCS. However, a remote connection makes the plant vulnerable
to attack via the Internet and therefore must include firewalls 5.4 BIOGAS PLANT
and other measures to protect against Internet attack. 5.4.1 BIOMASS AS FEEDSTOCK FOR BIOGAS PLANTS

The fuel handling area might be categorized as an ATEX A biogas plant is based on biological processes, and it

area. Therefore, cable trays and other electrical installations therefore is necessary that the organic feedstock be more or

must be designed to avoid the collection of biomass dust and less ready for biological degradation by bacteria.

becoming a source for explosions and fire. Additionally, fire

Several kinds of organic material may be used in a biogas plant:
detection in the fuel handling area is necessary. Protection
systems and interlocks must be made such that they cannot
• Manure from animals
easily be overruled.
• Leftover organic material from food-producing industries
5.3.10 GRID CONNECTION
• Sludge from flotation plants and other types of sludge
The turbine generators used for 1–40 MWe biomass fuel
• Vegetables and fruit from agriculture
units are typically designed for a terminal voltage of around
10 kilovolts. In the lower power range, it may be possible to • Plant material from different types of production, such as
make a connection directly to the local power distribution the potato and seed handling industries, etc.
networks. In the upper power range, there typically will be
a need for a dedicated unit step-up transformer connecting Manure from animals: Manure from cows, pigs, chickens,

the unit to the power distribution networks of 20 to 100 and other animals is suitable biomass for production of

58 Energy Conversion Processes

biogas in a digester. However, because this biomass has Other types of biomass also may be used in a biogas plant,
already passed through the animals’ digestive systems, the but these products most likely will fall into one of the five
biogas potential is not very high. Normally, this biomass groups described above.
does not need any pretreatment before being pumped into
the biogas plant. For efficient operation, different biomass types should be
mixed before being pumped into the biogas plant.
Leftover organic material from food producing industries:
GAS POTENTIAL FROM DIFFERENT BIOMASS TYPES
Biomass from food producing industries such as dairies,
slaughterhouses, fishing industries, and the starch producing The biogas potential is not the same from all biomass types.
industry is considered very good for the production of In general, animal manure has the lowest gas potential, and
biogas. It is rich in sugars, proteins, and fat, and the biogas agricultural crops have the highest biogas potential, since
potential is high. Normally, this biomass does not need any these products are very rich in starch (see Appendix B).
pretreatment before being pumped into the biogas plant.
5.4.2 PROCESS FLOW OF A BIOGAS PLANT
Sludge from flotation plants and other types of sludge: Biogas is a product from an anaerobic (no oxygen) biological
Sludge from flotation plants is considered a very good process in a biogas plant. Several groups of bacteria produce
biomass for biogas production. Flotation plants are normally biogas from organic biomass. The biogas plant should provide
used at slaughterhouses, and the sludge is rich in fat and the bacteria with optimal conditions, meaning an anaerobic
proteins, which gives it a very high biogas potential. This atmosphere and a temperature of around 37°C or 55°C,
biomass does not need any pretreatment before being depending on the process chosen. These conditions exist in the
pumped into the biogas plant. biogas reactor, which is the heart of the biogas plant.

Vegetables and fruit from agriculture: Products from Mesophilic operation requires a digester temperature
agriculture may be used for biogas production but should be of 37°C, while thermophilic operation takes place at a
limited to residues that cannot be used as food for humans temperature of 55°C.
and animals. The products normally are corn, sugar beets,
grain, fruit, etc. This biomass needs pretreatment before The biomass is usually delivered to the biogas plant in
being pumped into the biogas plant. It is necessary to cut trucks. The biomass is collected in storage tanks, where
these products into pieces and to grind them into a pulp, or,
in the case of corn, to make compost that can be stored until Figure 5-29: Biogas Plant with Integrated Gas Holding
it should be used. The pretreated products are pumped into Tank Under a Soft Top

the biogas plant.

Plant material from different types of production: Plant

material may be grass, straw from grain, and fibers from
sugar cane, palm, and other plants. This biomass needs
pretreatment before it can be used in a biogas plant. It will
be sufficient to grind the grass into a pulp. Because straw
and fibers contain cellulose, which is difficult for the bacteria
to use, this material must first be cut into small pieces and
then heated or mechanically treated in a mill, extruder, or
similar. This will open the cellulose to the bacteria in the
digester. This type of biomass is difficult and demanding to
handle before biogas production can begin.
Source: Okologi, 2016.

Converting Biomass to Energy: A Guide for Developers and Investors 59

 Figure 5-30: Biogas Production Based on Pig Manure and Slaughterhouse Residues Using a Lagoon Digester

Source: COWI.

different biomass types are mixed into a homogeneous mass. sludge, and to reduce the formation of floating substances on
A mixer is installed in the storage tank, which is normally top of the sludge.
constructed from concrete.
Biogas is collected from the top of the biogas reactor. It is
The unloading area should be indoors, since several biomass accumulated in a gas tank from where the gas is burned in
types will produce odors. Ventilation and cleaning of the air a CHP unit. The CHP unit produces electricity and heat. In
may be necessary. case of failures or during maintenance of the CHP unit, the
biogas is flared for safety reasons.
From the storage tank, the biomass is pumped to the biogas
reactor. The feeding of the reactor should be as stable and Safety valves are installed on top of the biogas tank to avoid
continuous as possible. It is common to feed the digester damage to the tank if the gas pressure is too high or if a
with 1/24th of the daily biomass charge each hour. vacuum is created in the reactor. A heating system is installed
to maintain a constant temperature in the reactor.
The biogas reactor can be a closed tank made from steel or
concrete, or it could be a covered lagoon. However, lagoon The size of the biogas reactor depends on the biomass.
digesters are less effective than biogas reactors built from Most biomass types require a retention time of 20 to 22
steel or concrete. days at mesophilic operation, but for biomass such as straw,
agricultural crops, etc., a retention time of 40 to 50 days is
Very small units may be made from fiberglass. The biogas needed for full gas production. At thermophilic operation,
reactor normally is insulated, since it is important to the retention time can by reduced by some 40 percent due to
maintain a very stable temperature inside the reactor. A faster degradation at the higher temperature.
mixer is installed to ensure efficient mixing of bacteria and
biomass, to ensure that produced gas is liberated from the

60 Energy Conversion Processes

The degasified biomass (sludge) is taken out of the biogas A gas engine is connected to a generator that produces
reactor and stored until the sludge is transported to farmland electricity. A general rule is that some 42 percent of the
or other places for use or disposal. energy in the biogas is used to produce electricity. Heat from
the cooling water system can be used at temperatures up to
Figure 5–31 shows a simple flow chart for a biogas plant. around 100° C. Heat from the exhaust gas can potentially be
recovered at temperatures up to around 300° C via a thermal
In some developing countries, a very simple biogas concept is
oil system. Some 47 percent of the energy in the biogas can
used, where the biomass is stored in a big tank covered with a
be used as heat. The remaining part of the energy in the
soft top. There is no mixing and no regulation of temperature.
biogas cannot be recovered and is lost, mainly through the
These digesters produce biogas but are not very efficient.
exhaust gas stack.
USE OF A BIOGAS–CHP UNIT WITH GAS ENGINE
The CHP unit normally is connected to the public grid, and
Biogas normally contains 60 to 65 percent methane gas. The the electricity is sold to the electricity company.
rest is mainly carbon dioxide.
5.4.3 SAFETY AND ENVIRONMENTAL ISSUES
Before the gas can be stored and used, it is cooled to remove SAFETY
water from condensation and is cleaned for, for example,
Since the biogas tank is a closed unit, and since biogas is
sulfur. The biogas normally is used in a CHP unit equipped
produced continuously, gas pressure will always exist in
with a gas-fired internal combustion engine. Heat is
the tank. Due to gas consumption, however, this pressure
recovered from the engine’s cooling water system and from
will normally be low. In case of blockage of the gas pipe,
the exhaust gas.
the pressure will increase. When the pressure gets too high,

Figure 5-31: Process Flow of a Simple Biogas Plant

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 61

 biogas plant, the methane gas is collected and burned in a CHP
Figure 5-32: Gas Engine and Generator Unit
for Biogas Application unit, and methane pollution of the atmosphere will be reduced.

LOCATION OF BIOGAS PLANTS

Biomass is transported to the biogas plant in trucks, and

residues are removed. This traffic should be considered when
planning a new biogas plant.

There may be odor problems during unloading of the

biomass, and it therefore is recommended to locate the
biogas plant away from residential areas.

Source: Jenbacher, 2016.

5.5 EMERGING TECHNOLOGIES

As mentioned at the beginning of this chapter, the focus of

a safety valve will open to reduce the pressure. In case of
this guide is well-known and proven technologies. However,
under-pressure, another safety valve will open to level the
this section describes three emerging technologies that might
pressure and to prevent damage to the tank.
be relevant in the near future, even though they currently are
not proven and available on fully commercial terms. These
The biogas is explosive, and safety during working
technologies are:
operations must be very high. Open fires, smoking, and
mechanical sparks are not accepted near the biogas tank.
• Thermal gasification
As of July 2003, organizations in the European Union must
follow ATEX directives to protect employees from explosion • Torrefaction
risk in areas with an explosive atmosphere. • Pyrolysis/hydrothermal upgrading.

The ATEX directive operates with three zones; zone 0 inside 5.5.1 GASIFICATION
the digester; zone 1 on top of the digester; and zone 2, which
Gasification (see Figure 5–33) is a thermochemical process
is normally a three-meter zone around the digester.
in which biomass is transformed into fuel gas, a mixture of
several combustible gases. Gasification is a highly versatile
There are two ATEX directives: one for the manufacturer
process, because virtually any dry biomass feedstock can be
and one for the user of the equipment. It is highly
converted to fuel gas. If wet biomass is supplied to the plant,
recommended to follow these directives, including for
it requires pretreatment and drying. The heat to drive the
projects outside Europe. According to the ATEX directive,
process comes from partial combustion of the biomass by
the mechanical equipment and electronic devices must be
supplying a limited amount of air.
protected against sparks, and people working in an ATEX
area must follow special safety rules.
The gas generated can, in principle, be used to produce
ENVIRONMENTAL CONSIDERATIONS electricity directly in engines or by using gas turbines at higher
efficiency than via a steam cycle, particularly in small-scale
From an environmental point of view, there are benefits from
plants (<5 MWe to 10 MWe).
using biogas plants. After treatment in a biogas plant, odor
problems from, for example, manure will be reduced, and the At larger scales (>30 MWe), gasification-based systems can
nutrients in the sludge will be more ready for the plants to use. be coupled with a gas turbine with heat recovery and a steam
When sludge is stored for some time, methane gas will form turbine (combined cycle), thus offering improved efficiency.
and will pollute the atmosphere. When manure is treated in a

62 Energy Conversion Processes

 Figure 5-33: Example of Biomass Gasification Power Plant

Ceramic
Candle
Filter
Clean
Fuel Gas
To Steam
To cleanup
and stack Cycle
Gasifier Ash
Drye Gas
r Air Turbine
Wet Biomass
Dry
Biomass
Boost
Compressor
To Dryers Flue Gas
HRSG
To Stack BFW
HRSG

LP IP HP
Steam
Condensed Cycle

Source: Craig and Mann, 1996.

Combined-cycle technology based on natural gas is proven 30 percent higher energy density than conventional wood
in many plants, but the efficiency and reliability of biomass- pellets. The nickname for the pellets is “black pellets.”
to-gasification still needs to be established. Several projects
based on advanced concepts such as biomass-integrated In addition to the higher energy density, the torrefied
gasification combined cycle (BIGCC) (see Section 5.5.3 and biomass has properties closer to those of coal and can
Figure 5–35) are in the pipeline in northern Europe, the be handled, stored, and processed in existing coal plants
United States, Japan, and India, but it is not yet clear what without any modification. The first large-scale torrefaction
the future holds for large-scale biomass gasification for plants, with capacities of 35 to 60 kilotons per year, have
power generation. been demonstrated, but the economics of the process remain
somewhat uncertain.
Figure 5–33 provides an example of a biomass gasification power
plant from the U.S. National Renewable Energy Laboratory. Potentially higher costs per unit of delivered energy for torrefied
biomass compared to wood pellets could be offset through
5.5.2 TORREFACTION reductions in capital and operating costs in the combustion plant.
In the torrefaction process (see Figure 5–34), biomass
One of the critical research and development issues to
(currently mainly wood) is heated to between 200°C and
address is the feedstock flexibility of the process, since this
300°C in the absence of oxygen and is turned into char.
would greatly enhance the feedstock base and the role of
The torrefaction process is similar to conventional charcoal torrefaction in mobilizing scattered biomass resources such
production, with the important difference that more volatiles as agricultural residues.
remain in the biomass feedstock. The torrefied wood is
typically pelletized and has a higher bulk density and 25 to

Converting Biomass to Energy: A Guide for Developers and Investors 63

 Figure 5-34: Wood Chips, at Different Steps Toward “Black Pellets”

STEP 1 STEP 2 STEP 3 STEP 4

Unprocessed wood Dried wood chips Torrefied wood Final wood pellets
chips

Wood chips are Wood chips are dried The wood chips are The torrefied wood
collected and stored, before they undergo heated using micro is milled and made
so they can be used torrefaction process wave technology into pellets that
as biomass within a rotating produce up to 10%
drum reactor, creating to 20% more energy
a charcoallike than untreated ones
substance

Source: IZES, 2016; COWI.

5.5.3 PYROLYSIS/HYDROTHERMAL UPGRADING Figure 5-35: Sketch of a Pyrolysis Process

In this pyrolysis process (see Figure 5–35), biomass is heated

to temperatures between 400°C and 600°C in the absence of Organic Fuel gas
Biomass Biomass Vapour
oxygen. The process produces solid charcoal, liquid pyrolysis Oil
Fast Condensor
oil (also referred to as bio-oil), and a product gas. The exact Pyrolysis T~40oC Pyrolysis Liquid
T~500oC
fraction of each component depends on the temperature and
Sand & Sand
the residence time. char

Pyrolysis oil has about twice the energy density of wood Air Char Flue Gas
pellets, which could make it particularly attractive for long- Combustor
T~550oC
distance transport. So far, however, the technology is in Ash

demonstration phase for this application.

Challenging technical issues include the quality of the Source: COWI.

pyrolysis oil (such as relatively high oxygen content) and its

long-term stability, as well as the economics of its production
and use. Pyrolysis oil could be used in heat and/or power
generation units, or upgraded to transport fuel. Research also
is under way to explore the possibility of mixing pyrolysis oil
with conventional crude oil for use in oil refineries.

64 Energy Conversion Processes

Case Story: Biomass Project for Sale to the Grid in Armenia

PROJECT DESCRIPTION
Armenia has few natural resources but has inherited serious ecological problems from
the Soviet era. The country is highly dependent on imports of energy supplies, mainly
from Russia. Five Armenian plants produce electricity: two thermal power plants (using
gas from Russia), a nuclear power plant (using nuclear fuel from Russia), and two
hydropower plants (using local water sources).
Lusakert Pedigree Poultry Plant (LPPP) houses on average 2.5 million animals. The
manure from the poultry is collected and spread into a system of five anaerobic
throughflow stabilization lagoons where the manure settles. Greenhouse gases are
produced from the manure.
LPPP is located in Nor Geghi village, 24 kilometers from Yerevan in the Kotayk Region.
The objective of the Lusakert Biogas Project is to reduce water pollution, secure an
improved and reliable power supply, produce heat, produce fertilizer, and reduce climate-
altering emissions, thereby facilitating future sustainable economic growth in Armenia.

APPLIED TECHNOLOGY
The total investment cost for the Lusakert Biogas Project is around €3 million. Training
of both management and staff was included in the project.
All equipment is installed in containers. The manure is diluted with some 150 cubic meters
of water per day to obtain a dry solid content of 10 to 11 percent before it is pumped to the
digester. The manure is heated in the heat exchanger before it reaches the digester. The
digester is operated mesophilic at 380°C, and the hydraulic retention time is 20 days.

PLANT PERFORMANCE
Some 24,000 kilograms of manure from digested sewage sludge are produced per day, and
the digester is loaded with 250 cubic meters of manure per day. Daily production of 15,000
kilograms of dry solid digested manure is expected. The digested manure is used as fertilizer.
The gas is used to produce electricity and heat. The emission savings are some 26,370
tons of carbon dioxide-equivalent per year, based on the estimated yearly gas production.
The biogas is burned in a CHP unit to produce electricity and heat. The biogas production
is 5,500 normal cubic meters of methane per day. The plant produces some 6.3 MWh of
electricity per year and some 4.8 MWh of heat per year.

OUTCOME OF THE PROJECT

The project is a success, based on the following achievements:
• Significant reduction in the production of greenhouse gases
• Stable green electricity production
• Heat for the digester and to heat the production houses
• Fertilizer for a fruit plantation
• Significant reduction in pollution of the recipient water.
Other beneficiaries of the project include the plant workers and others who benefit from
the improved environmental situation around the lagoons at the plant. Furthermore, the
drinking water below the lagoons will not be affected by pollution from manure leaking
to the groundwater.

IMPORTANT LESSONS LEARNED

• It is important to secure a stable delivery of biomass to the digester.
• It is advised to prepare the project for alternative biomass types.
• Training should be sufficient to ensure optimized operation of the plant.
Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 65

 Source: COWI.

66 Plant Design and Permitting

PLANT DESIGN AND PERMITTING
6
6.1 PLANT DESIGN Any biomass residues that are considered for use should
be analyzed for, at a minimum, net heating value, moisture
Designing a biomass plant that produces heat and power
content, ash content, and ash composition.
is a complex process that requires considerable technical
experience and knowledge.
Depending on the type of biomass considered, certain
combustion technologies can be excluded. Very wet fuel may
Any biomass project begins with a demand or a wish —
require special machinery for feeding into the combustion
whether a demand for electricity, for process steam or heat,
chamber and also may require pretreatment to save costs
or simply for the disposal of available biomass residues from
on firing equipment.
an industrial process or from forestry or agriculture. Or, it
could be a desire to save money or to increase fuel supply
Biomass sourcing is very important. If the biomass is a
security by substituting an existing fossil fuel-based energy
residue from production at the same site, this includes only
production facility with a new biomass-fired plant. The
storage and fuel preparation at the site, but if the main
demand or wish will have to be transformed into a rough
biomass or the supplementary biomass comes from outside
technical concept and a preliminary plant design, including:
the site, sourcing becomes an important issue that will
influence the plant design.
• Fuel type and sourcing

• Site location and general layout Biomass has a relative low net heating value and low density;
so large volumes will need to be handled. One issue is whether
• Plant size and main design data
all storage and preparation of the fuel should take place at
• Technology selection. the plant site, or whether decentralized receiving stations for

The following sections describe these main considerations biomass collection, baling, and storage should be established.

in more detail.
6.1.2 SITE LOCATION AND GENERAL LAYOUT
SOURCING
6.1.1 FUEL TYPE AND SOURCING
Usually, the biomass plant will be situated next to an
The fuel type normally will be some kind of biomass residue or
industrial plant that can use the electricity, steam, or heat,
waste generated by a local agricultural or forest-based industry.
or where the biomass residue is produced.

In case additional biomass sourced from off-site is needed,

Even so, the specific location should be considered, taking
factors such as availability and similarity to the primary
into account consumers for electricity and steam/heat, access
biomass residue should determine the type of supplementary
roads for the biomass, and storage conditions.
biomass. This includes physical appearance (bales or not
bales, etc.), heating value, moisture content, ash content, and
Figure 6–1 shows an example of a layout for a plant using
ash composition. Ensuring similarity will reduce costs by
biomass in the form of straw. Typically, the biomass storage
enabling the use of the same storage, handling, and transport
and handling require most of the space, and, in this case, the
facilities for all types of biomass.
storage on-site contains biomass for two weeks of normal

Converting Biomass to Energy: A Guide for Developers and Investors 67

 Figure 6-1: General Layout of Straw-fired Power Plant with Storage Facility Located in Pakistan

Source: COWI.

operation. On-site fuel storage is traditionally designed for It is necessary to consider the cooling conditions on-site. A
1 to 14 days of capacity. fully condensing turbine produces significant amounts of
excess heat that must be removed either by water cooling
6.1.3 PLANT SIZE AND MAIN DESIGN DATA
(such as with river or ocean water) or by air cooling with
Several factors determine the optimal plant size: natural convection towers or forced convection towers,
which occupy significant amounts of space. Effective cooling
• Demand for electricity, process steam, or heat also is important because it greatly improves the process
• Amount of biomass residue available efficiency, whereas limitations in access to cooling water may
restrict the plant design.
• Site conditions (available space)

• Grid connection possibilities Figure 6–2 is an example of a PQ-diagram for a power

plant. It shows power output on the vertical axis and heating
• Regulatory restrictions
output on the horizontal axis. The area within the lines
• Economics including investment requirements, O&M is the possible operation area. The thick line to the right
costs, and price of energy sold. corresponds to maximum boiler load, while the thick line on
the left corresponds to minimum boiler load.
DEMAND FOR ELECTRICITY, STEAM, OR HEAT

The project may be driven by a demand for electricity, steam, When planning a biomass plant, the PQ-diagram can be used
or heat. This could be a new demand or a wish to substitute to verify that the required operation modes (required power
existing gas-, oil-, or coal-fired units. The electricity output and required heat output) are within the possible
generation could be used in an industrial production facility, operation area.
with any surplus going to the grid. If the industry also needs
The thick line below shows the operation line when there
process steam or perhaps heating, this may be the basis for
is only heat generated; the operation line is below zero
cogeneration of electricity and steam. If only process steam
because there is no power production, only power for
or heat is needed, this can be produced without a turbine
own-consumption.
and thus without electricity production.

68 Plant Design and Permitting

 The biomass residue may be supplemented with additional
Figure 6-2: PQ-diagram Showing Power Output on the
Vertical Axis and Heating Output on the Horizontal Axis biomass if this is needed to meet the energy demand or if the
biomass residue is only available seasonally. To reduce costs, it
35 is important to identify a supplementary biomass type that is
(89MJ/s 29 MW) able to use the same storage, handling, and transport facilities.
30

25 Specific requirements for the size or efficiency of the plant

Electricity (MW)

20
may cause significant variations in the required technology.
Flexibility requirements may rely on the possibility to bypass
15
parts of the process equipment; high efficiency may require
10 drier fuel and more-complex firing equipment (including

5 drying facilities) or more advanced fuel preparation

equipment (such as hammer mills), and large combustion
0
requirements may require multiple boilers.
-5
0 20 40 60 80 100 120 SITE CONDITIONS, AVAILABLE SPACE
Heating (MJ/s)
The maximum plant size may be determined by the area
Minnimum Boiler Load Maximum Boiler Load
available. If the plant is to be placed inside an existing
Own-Consumption Possible Operation Area building, this may restrict the size of the plant. If an outdoor
Source: IZES, 2016; COWI. site has been identified for the plant, the size of the available
area or authority requirements also may present restrictions.

AMOUNT OF BIOMASS RESIDUE AVAILABLE

For biomass plants, the fuel storage and handling facilities will
When the amount of biomass residue from a specific likely require the largest space, as illustrated in Figure 6–1.
agricultural or forestry-based industry is the determining
factor, the approximate plant size, expressed as electrical Large amounts of biomass placed in the open may result in
output for a steam-based power plant in full condensing significant amounts of dust or smell, and covered storage
mode, can be calculated from the equation: therefore is often preferred.

0.278 x M x Hu x e
P = ———————————— A thorough fuel supply-chain management is advisable in
To
order to secure just-in-time delivery to the site. Unless the
Where fuel storage is very large, biomass stores often hold enough
P = Plant size (MWe) fuel for less than one week of operation.
M= Mass flow (as received) (tons/year)
Hu = Net heating valuer (as received ) (MJ/kg) GRID CONNECTION
To = Yearly operation time (hours)
The plant may be situated in a rural location with unstable
e = Efficiency of the plant
or overloaded grid conditions. In this case, it is essential
Example based on an optimised medium sized that the plant is able to operate in island mode, and it is
straw-fired plant:
important that the grid can handle the amount of electricity
M= 50,000 ton/year
that is exported to the grid from the biomass plant.
Hu = 14 MJ/kg
To = 6,000 h/year equivalent full load hours REGULATORY RESTRICTIONS
e = 38%
The plant size may be restricted by local regulatory demands.
0.278 50,000 14 0.38
x x x Often, different rules apply for different plant sizes, or
P = ————————————————— = 12.3 MWe
6,000

Converting Biomass to Energy: A Guide for Developers and Investors 69

different access to subsidies applies for different plant sizes, Although every biomass project is unique in terms of
but this is very dependent on the local regulations. biomass residue, location, and surroundings, costs may be
kept down if off-the-shelf and proven equipment is used
Also, restrictions on access to cooling water, etc., can wherever possible.
influence the decision regarding plant size.
A potential supplier can assist with more precise estimates
ECONOMICS
regarding costs, sizes, and the relationship between electrical
Economics—including investment requirements, operation output and steam output. On this basis, a firing diagram,
and maintenance costs, and the price of energy sold—will as shown in Figure 6–4, can be made. The firing diagram
also determine the design. The economics of biomass plants shows the relationship between fuel mass flow and the firing
is described in more detail in Chapter 12. rate in megajoules (MJ) per second. The mass flow design
limit for the boiler and the moisture level of the fuel together
6.1.4 TECHNOLOGY SELECTION
determine the limits for maintaining full boiler load. The
The technology selection (see Table 5–2) can be used to design limit for heat input determines the maximum fuel
determine the appropriate technology. feeding rate at fuel moistures below the maximum moisture
level. Using standard boiler plant sizes will usually be
Based on the preliminary indications about fuel type, site, cheaper than tailormade plants.
plant size, and technology, contact can be made with a
potential supplier in order to get a first rough estimate of the If required for business case calculations, the process can
CAPEX costs. For this supplier approach to be successful, a be described and optimized in more detail, using a process
certain level of technical knowledge is required. If this is not simulation tool.
available in-house, assistance from external experts will be
helpful. If rigid decisions on technology are made at an early Process simulation calculations can determine the output in
stage, prior to contact with a potential supplier or an adviser, terms of electricity and steam/district heating from a given
this may cause significant financial losses later in the project. input. Figure 6–5 shows an example of a process simulation.
This can be used in business case calculations in order to
Figure 6–3 shows a simplified biomass plant design. optimize a plant configuration. Often, several iterations
between process simulations and business calculations will

Figure 6-3: Simplified Design of a Biomass Plant

Steam
BOILER TURBINE G Power

Proces steam/
ENERGY heat

FLUE GAS
Fuel FUEL YARD COMBUSTION Emission
CLEANING

Ash Ash

Source: COWI.

70 Plant Design and Permitting

 Figure 6-4: Firing Diagram of Lisbjerg Biomass Energy Plant in Denmark

Figure 6-4: Firing Diagram of Lisbjerg Biomass Energy Plant in Denmark

170

160

150

140

130
Maximum thermal load
120
Maximum continuous thermal load (MCTL)
110
Fuel input [MW]

100

90

80

70

Minimum mechanical load at MCTL

60

Maximum mechanical load

50 Minimum thermal load

Nominal mechanical load

Minimum mechanical load

40

30

20

10

0
0 5 10 15 20 25 30 35 40 45 50
Fuel input [ton/h]

Source: COWI.

be required. Process simulations tools can determine optimal required by local and/or national authorities according to
mechanical design of the plant hardware in terms of tube applicable laws and regulations. The majority of these must
banks design, turbine stage design, heat exchanger design, etc. be obtained prior to the actual construction phase, while
some are needed before start of operation. The majority
For example, a requirements-to-turndown ratio larger than of the documents issued by authorities will contain terms,
1:3 (that is, operation at loads less than 30 percent load for clauses, and conditions regulating the construction and
the biomass plant due to large variations in consumption of operation of the biomass plant.
industrial heat) must be identified at an early stage and prior
to final design of the biomass plant. Some of these official documents are business-related
permits, while others are sector-specific. Sector-specific
6.2 PERMITTING documents typically include: environmental and social
6.2.1 INTRODUCTION impact assessment, wastewater discharge permit, building
construction permit, planning permits (at the local,
This section describes the specific permits and authorizations
municipal, and/or provincial levels), licenses for electrical
necessary for establishing a new biomass plant, from the
grid connection, and dispensations from natural and cultural
start of planning to the decommissioning of the plant.
conservation clauses, etc.
Chapter 15 provides a more general description of the
environmental and social issues for biomass plants from a Environmental permits normally will apply if the installation
lifecycle perspective. exceeds a specified capacity threshold given in the permitting
regulation of the country. The requirements and procedures
The owner of installations, such as biomass power plants,
related to the obtaining of the required documentation are
should obtain a number of authorizations, dispensations,
highly country-specific. In some countries, several or even a
permits, licenses, approvals, and other documentation

Converting Biomass to Energy: A Guide for Developers and Investors 71

 Figure 6-5: Conceptual Design for Biomass Power Plant in Southeast Asia (to give an impression of the possibilities
for using process simulation calculations)
ata C
THERMOFLEX Version 24,1 Revision: May 5, 2015 COWI A/S COWI A/S Industry & Energy (Thermal Power) t/h kcal/kg

Converted SteamPro file 2527 01-15-2015 19:55:59 C:\Users\HP_G6\Desktop\Mass-heat balance\485 C 68 bar single air heat-dry air cooled.stp

BELO/COWI
May 12, 2015
Conversion file from SteamPro
HPT
Ambient temperature 40 C
Ambient RH 60 %
Ambient wet bulb temperature 32,56 C 11530 kW
Gross power 11530 kW
G1
Plant auxiliary 1140,5 kW
Net power 10389 kW 70,73 p 72,12 p
286,5 T
386,7 T
Net fuel input(HHV) 11823 kcal/s 46,95 m 46,95 m 67 p 51,54 p 3,079 p Steam quality
70,73 p 489,7 T 458,8 T
Net electric efficiency(HHV) 20,99 % 38 35 38 386,7 T 48,4 m 47,27 m
149 T
42,56 m 0,9231
46,95 m

CS1 CS2
649,4 T 803,9 T 945,8 T 0,228 p
62,52 T
73,56 p 42,74 m
39 134,3 T 3,079 p
72,12 p
1,452 m 72,12 p 149 T
286,5 T 34
35 286,5 T 4,708 m
9,39 m Fan
46,95 m
CEV

34
326,3 kW
72,12 p
261,5 T 37 72,12 p
36 261,5 T
9,484 m
37
47,42 m
502 T

72,12 p
261,5 T
36
ECO1

47,42 m
40
73,56 p
134,3 T 13,97 kW
47,42 m 225,6 T 25 T
13,06 m

O2%
3,337 % 0,8437 p
1,078 p ASY Excess steam 147,3 T
150 T 1,095 m
37,96 m GSC

2,932 p
40 T 147,4 T
1,079 p 37,96 m 4,708 m
187,5 T 183 T 183 T 45,78 T
83,25 m 83,25 m 83,25 m 37,96 m
67,58 kW

126,9 kW 47,17 T
32,34 m 1) Units maintained from original file 73,56 p
40
134,3 T 5,22 p
47,17 T 2) Rotary air heater kept in place => 47,42 m 39 76,52 T
32,34 m actually tubular airheater 208,3 kW 44,16 m

40 T
32,34 m

71,28 kW

1657 05-13-2015 16:56:43 file= C:\Users\belo\Documents\LTL Holding\LTL Holding SteamPro conversion.tfx Complete cycle

Source: COWI.

single authority will manage all approvals/licenses. In other • Permits from cultural heritage authority
countries, several institutions are involved at the national,
• Procedures specific to renewable energy production
regional, and local levels.
• Permits for the construction phase.
As the entire process related to obtaining documents can be
The entire authority approval process includes several
time consuming and costly, investors must be fully aware of
steps, which vary among countries due to different national
all requirements before making investments.
standards, conditions, and requirements. Variations may occur
due to the location and size of the project, but they also may
Different approvals/licenses at the general level include:
relate to how the project fits into the national legal framework.

• General documentation related to business operation

Obtaining the necessary permits and licenses may be a time-
• Investment license, if applicable consuming exercise, but it also can be a valuable process. As

• License to import equipment, if applicable part of the work in obtaining, for example, an environmental
permit, environmental risks and impacts are identified.
• Approvals from local authorities for the right
to conduct business When subsequently identifying the appropriate preventive
• Land-use right and mitigation measures, the risks and impacts will be

72 Plant Design and Permitting

effectively managed in due time by changing the project and 6.2.2 THE PLANNING PHASE
thus reducing or eliminating risks and negative impacts. CONCEPTUAL DESIGN STUDY
With use of the right approach and tools, the authorization
The first step is the preparation of a conceptual design study
process ultimately may have a positive effect on the project.
that will include the technical description of the proposed
The early preparation and implementation of a detailed project and all boundaries and interfaces such as grid
plan for the statutory process will ensure that the necessary connection, residues, waste deliveries, etc.
documents are in place in due time before the next phase of
The result of the conceptual study will be the most
the project begins.
important input to the screening and scoping phases of the
Assessments of the project impacts and the subsequent environmental and social impact assessment (ESIA). Based
introduction of mitigation measures also may produce on this, the competent authority decides if a full ESIA is
an economic advantage for the project because it will be required for the project and defines the details and scope of
implemented according to sustainable principles and in the content of this report.
harmony with the existing natural environment and with the
ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT
existing land-use plan, without any serious conflicts of interests.
Environmental and social impact assessment is a requirement
An early and initial stage of consultations with the found in most countries for large industrial projects
authorities, statutory bodies, and other relevant stakeholders (including biomass combustion plants and biogas plants).
is therefore advisable. The identification and assessment of environmental and

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 73

social risks and impacts (usually carried out through the Baseline studies may include:
preparation of an assessment) also is a general requirement
under IFC Performance Standards, the Equator Principles, and • Review of the institutional and legal framework
standards applied by other international financial institutions. • Biophysical and socioeconomic baseline surveys, including:

• Terrestrial fauna
Figure 6–6 provides an overview of the ESIA process. It defines
the key guiding principles and processes that apply to all impact • Terrestrial flora
assessments, drawing on best practices. • Hydrology and aquatic ecology

• Soil and seismic survey

The ESIA process starts by registration of the project with the
authorities. Registration may be on a standard template but • Marine ecological surveys
will require a brief description of the planned project, in order • Meteorology
to decide if a full ESIA is required. The authorities will do a
• Measuring of ambient dust levels
screening of the project to decide the category of assessment.
• Measuring of ambient air quality
In the scoping phase, the significant environmental and social • Air modeling
aspects that should be included in the ESIA are selected. The
• Measuring of ambient noise levels
scoping is generally based on current knowledge, but it also
may require baseline studies of selected aspects. • Measuring of ambient vibration levels

• Noise modeling

Figure 6-6: The Environmental and Social Impact Assessment Process

Source: COWI/ERM.

74 Plant Design and Permitting

 • Socioeconomic survey, including: • Identifying and determining the significance of impacts

• Demographic characteristics • Design of mitigation measures

• Land use, cover/pattern • Analysis of project alternatives
• Land tenure
• Preparation of environmental and social management
• Housing and settlements and monitoring plans
• Social and physical infrastructure, for example • Public consultations.
education, health, transportation, health services,
energy sources, water sources It is an iterative process, where certain elements of the project
may be modified (for example, filters, treatment plants, noise
• Livelihoods/economic activities, including fisheries
and maritime users attenuation, etc.) until the project complies with acceptable
limits. This process is illustrated in Figure 6–7.
• Employment and income

• Livestock The ESIA should be subject to public consultations as

• Gender and HIV/AIDS issues required by IFC Performance Standards and local legislation,
and comments and suggestions for improving the project
• Public health and nutrition
should be assessed and included if relevant.
• Culture and traditions

• Ethnic and community coherence The Environmental and Social Management Plan will include
procedures and organizations to ensure that the project is
• Planned development activities/development plans
built and operated the way it is intended and described in
• Agriculture the ESIA, and that the environmental and social effects are
• Vulnerable and disadvantaged/marginalized groups monitored and reported as required. The Environmental and

• Social strengths (for example, community service Social Management Plan can provide details on operational
organizations, savings and credit groups, public instructions for contractors and operators.
institutions, and agencies)
Finally, the ESIA report (including the Environmental
• Archaeological survey
Management Plan) should receive final approval from the
• Land-use survey relevant authorities. The next page shows a sample table of
contents for a biomass ESIA, based on COWI experience.
• Fisheries survey and mapping

• Stakeholder identification and public consultation. Figure 6-7: The Mitigation Process in an Environmental
and Social Impact Assessment
In the scoping phase, relevant technological alternatives and
alternative locations will be selected, so they can be assessed
in parallel with the project in the ESIA. As part of the scoping
phase, it might be advantageous to hold a scoping workshop
that includes the project owner and the main stakeholders.

The scoping report will define the Terms of Reference

for the ESIA study.

The ESIA includes the following steps:

• Detailed baseline study

Source: COWI/ERM.

Converting Biomass to Energy: A Guide for Developers and Investors 75

 Figure 6-8: Sample Table of Contents for an Environmental and Social Impact Assessment Report

0. NON-TECHNICAL SUMMARY 5.3 Impacts of excavations

1. INTRODUCTION 5.4 Impacts from leakage of oil/fuel contamination

1.1 Background of soil and groundwater

1.2 List of consultants 5.5 Impacts from construction waste

1.3 Study area for the ESIA (including a map) 5.6 Impacts of excess rainfall (roads, surface runoff)

2. LEGAL FRAMEWORK FOR ESIA STUDIES 5.7 Impacts on employment

2.1 National legislation and procedures for ESIA 5.8 Conclusions

studies in country 6. POTENTIAL NEGATIVE/POSITIVE IMPACTS ON

2.2 International legislation related to THE ENVIRONMENTAL AND SOCIAL CONDITIONS

biomass-to-energy IN THE OPERATION PHASE

3. DESCRIPTION OF THE PROJECT 6.1 Introduction (potential permanent impacts)

3.1 Introduction 6.2 Impacts on terrestrial flora, animals, and birds

3.2 Current energy source 6.3 Impacts on groundwater

3.3 Conceptual study for the new 6.4 Impacts on surface water

biomass-to-energy plant 6.5 Impacts on air quality

3.4 Design and plant data 6.6 Impact on noise levels

3.5 Visualizations 6.7 Impact on consumption of raw materials

3.6 Alternatives (including zero-alternative) and solid waste

4. DESCRIPTION OF BASELINE 6.8 Impact on sociocultural and socioeconomic

conditions, including health
4.1 Introduction
6.9 Summary of impacts and conclusions
4.2 Meteorology (available data on wind, temperature, rainfall)
7. MITIGATION MEASURES
4.3 Land use
7.1 Control of noise and dust (during construction)
4.4 Topography, landscape, habitats, vegetation,
and soil types 7.2 Mitigation of ground water impacts

4.5 Terrestrial fauna and birds 7.3 Mitigation of air impacts

4.6 Groundwater 7.4 Mitigation of noise impacts

4.7 Hydrology 7.5 Mitigation of raw material consumption

and solid waste
4.8 Surface water
7.6 Mitigation of soil and groundwater impacts
4.9 Air quality
7.7 Mitigation of sociocultural, socioeconomic,
4.10 Noise
and health conditions
4.11 Protected areas
8. ENVIRONMENTAL MANAGEMENT PLAN
4.12 Cultural and archaeological assets
8.1 Strategy for environmental management
4.13 Sociocultural and socioeconomic conditions,
8.2 Roles and responsibilities
Including health conditions
8.3 Organization for implementation of the plan
4.14 Conclusions
8.4 Monitoring during construction phase
5. POTENTIAL IMPACTS ON THE ENVIRONMENTAL AND
SOCIAL CONDITIONS IN THE CONSTRUCTION PHASE 8.5 Actions on exceedance and actions on emergencies

5.1 Introduction (potential temporary impacts) 8.6 Monitoring in the operation period

5.2 Impacts of noise and dust from traffic 9. REFERENCES

Source: COWI.

76 Plant Design and Permitting

6.2.3 THE CONSTRUCTION PHASE example, include mitigation of noise and dust, use of
specific fuels (natural gas or electricity) for engines,
Environmental impacts from actual construction of the
requirements for sorting and disposal of construction
facility are classified as “temporary” since these activities are
waste and handling of rainfall on the construction site, as
limited in time. The environment normally recovers when the
well as handling of stormwater runoff.
activities cease. One of the principal objectives of the ESIA is
to contribute to the definition of the construction methods so • A construction or building permit normally will be
that the impacts are kept to a minimum and do not develop required prior to the onset of the construction of the
into permanent impacts. plant. The building permit will include an assessment
of fire hazards and fire protection and mitigation.
ENVIRONMENTAL IMPACTS DURING THE
Implementation of the conditions in the building permit
CONSTRUCTION PHASE
will ensure that the buildings adhere to all technical
The important social and environmental impacts during requirements for the buildings, as well as handling of
construction are shown in Table 6–1. stormwater runoff.

• A civil aviation security permit stating that any stacks or

Table 6-1: Environmental and Social Impacts:
power transmission lines to be built by the project will
Construction Phase
not interfere with flight routes.
Impact
Air • Dust from soil handling and excavation • A permit for land use (physical planning/zoning
• Emissions from engines regulations) or approved local planning document.
(trucks, excavators, generators, etc.)
Noise • Noise from machinery and materials 6.2.4 THE OPERATIONAL PHASE
transport
Impacts during the operational phase of the project are
Land/Soil • Disposal of construction waste
classified as “permanent.” They represent the permanent
Surface water/ • Leakage of oil/fuel features of the project, such as new infrastructure locations
Groundwater (contamination of soil and groundwater)
and waste handling facilities. In this case, the objective of
• Handling of excess rainfall
the ESIA is to interact with the designers to ensure that the
(roads, surface runoff)
impacts are at an acceptable low level, if necessary through
Employment • Employment effect of the project
construction the implementation of preventive and mitigating measures.
Land • Impact on habitats from clearing the area
conversion for plant construction Impacts will be considered under both normal operational

Source: COWI.
conditions and in the case of emergencies.

ENVIRONMENTAL IMPACTS IN THE OPERATIONAL PHASE

PERMITS NECESSARY FOR THE CONSTRUCTION PHASE In the operational phase, particular attention will be paid
both to the negative impacts and to the environmental
These may include:
enhancement by the project. Environmental enhancements

• Before excavations are started, it normally will be include fewer environmental impacts from solid waste

necessary to obtain a cultural heritage authority permit landfills, combined with energy production that is climate

stating that the land parcel is free of archaeological/ friendly and that substitutes fossil fuels. The project may

cultural heritage sites and objects. ensure effective use of solid waste that otherwise would
create environmental problems.
• Permits for the environmental impacts and nuisances
during construction are normally specified in an ESIA Examples of social and environmental impacts identified as
permit based on the ESIA report. Conditions may, for important to biomass incineration and that should be the

Converting Biomass to Energy: A Guide for Developers and Investors 77

focus of the ESIA report and the environmental permit for the World Bank Group (2007) Environmental, Health and
the operation are shown in Table 6–2. In specific cases, other Safety General Guidelines and the World Bank Group (2008)
impacts may be necessary to assess and include in the permit. Environmental, Health, and Safety Guidelines for Thermal
See the section on ESIA. Power Plants are a key reference document.

Table 6-2: Environmental and Social Impacts: The necessary environmental permits and other permits for
Operational Phase the operational phase may include:
Impact
Air • Gaseous emissions • ESIA approval, including approval of an environmental
(combustion plant stack emissions) management plan regulating and monitoring all
• Odor significant impacts as described in the assessment report
(biomass reception areas, stack from plant)
• Noise • Permits to operate each installation with conditions on
(and vibration) (pretreatment, internal noise and vibrations, air emissions, odor, stack heights,
transport, plant)
mitigation of risks (for example, from ammonia storage
Land/Soil • Habitat changes
or heavy oil storage), disposal of solid waste, protection
(impact on vegetation and animals)
of soil and groundwater, and discharge of rain water
• Disposal of residues
(fly ash) from the project area
Surface water/ • Wastewater from discharge of wastewater • Permit for discharge of wastewater to public sewer or
Groundwater from flue gas condenser and surface water
from the installation to surface water bodies, with clauses and conditions on

Socioeconomic • Traffic to and from the plant water quantities and concentrations of pollutants (for
and health
• Visual amenity example, from flue gas condensate)
conditions
• Employment effects of the plant • Permit for water use or water extraction
• Health effects on neighboring areas
• Energy permit or other authorization from the energy
• Taking of valuable farmland
authority confirming that the project conforms with the
Source: COWI. national energy strategy/power development plan (in
some countries)

ENVIRONMENTAL PERMITS AND OTHER PERMITS FOR • Permit for grid connection for electricity producers.
OPERATION
When pressurized equipment is erected for the first time, an
The ESIA will, in some countries, constitute the sole inspector normally will carry out a control inspection on the
and sufficient foundation on which the issuing of the equipment to ensure that proper documentation exists for
environmental permit is based, while in other countries, the production of the pressurized equipment and its safety
a separate application for an environmental approval devices, before the permit for start of operation can be issued.
may be necessary according to standard forms. In many
countries, BAT (Best Available Techniques) or BATNEEC Different authorities may handle the individual permits, but
(Best Available Techniques Not Entailing Excessive sometimes the competent authority coordinates them.
Cost) requirements will be essential for obtaining the
6.2.5 THE DECOMMISSIONING PHASE
environmental permits as well as complying with local
emission limit values and standards (for example, the The decommissioning phase of the project is a temporary

European Union’s BAT conclusions for Large Combustion phase similar to the construction phase, but the

Plants and Waste Incineration Plants, which sets binding environmental impacts from the decommissioning may

limit values for EU countries but also is applied as guiding be more permanent. The plant may have caused soil

principles in many countries outside the EU). Further to this, and groundwater pollution that needs to be cleaned

78 Plant Design and Permitting

up over a long period, and the building waste from the 6.2.6 IFC PERFORMANCE STANDARDS
decommissioning project may be hazardous waste that has
IFC Performance Standards on Environmental and Social
to be disposed of safely in landfills or by incineration.
Sustainability2 provide IFC clients3 with guidance on how to
ENVIRONMENTAL IMPACTS IN THE DECOMMISSIONING identify environmental and social risks and impacts. They
PHASE are designed to help avoid, mitigate, and manage risks and
impacts as a way of doing business in a sustainable way,
During the decommissioning phase, particular attention
including stakeholder engagement and disclosure obligations
is paid to the negative impacts that might follow. Thus,
of the client in relation to project-level activities.
the project owner should pay specific attention to the
environmental issues presented in Table 6–3.
In connection with its direct investments (including project and
corporate finance provided through financial intermediaries),
In the decommissioning phase, the following permits
IFC requires its clients to apply the Performance Standards to
may be necessary:
manage environmental and social risks and impacts so that
• A permit from national authorities to decommission development opportunities are enhanced.
the installation and remove it from the grid
The IFC Performance Standards have become globally
• A permit for handling and disposal of building waste recognized good practice in dealing with environmental
• A building/construction permit for the and social risk management, and many other financial
decommissioning work. institutions have aligned with them.

The eight Performance Standards establish standards that the

Table 6-3: Environmental and Social Impacts:
client is to meet throughout the life of an investment by IFC:
Decommissioning Phase
Impact
Performance Standard 1: Assessment and Management of
Air • Dust from soil handling and reclamation
Environmental and Social Risks and Impacts
of land
• Emission from engines Performance Standard 2: Labor and Working Conditions
(trucks, excavators, generators, etc.)
Performance Standard 3: Resource Efficiency and Pollution
Noise • Noise from machinery
and materials transport Prevention
Land/Soil • Disposal of building waste
Performance Standard 4: Community Health, Safety, and Security
Surface water/ • Leakage from oil/fuel
Performance Standard 5: Land Acquisition and Involuntary
Groundwater (contamination of soil and groundwater)
Resettlement
• Handling of excess rainfall
(roads, surface runoff)
Performance Standard 6: Biodiversity Conservation and
Employment • Employment effect of project
Sustainable Management of Living Natural Resources
decommissioning

Source: COWI.
Performance Standard 7: Indigenous Peoples

Performance Standard 8: Cultural Heritage

2 Available at: http://www.ifc.org/wps/wcm/connect/topics_ext_

content/ifc_external_corporate_site/ifc+sustainability/our+
approach/risk+management/performance+standards
/environmental+and+social+performance+standards+and+
guidance+notes.

3 The party responsible for implementing and operating the

project that is being financed (or the recipient of the financing,
depending on the project structure and type of financing).

Converting Biomass to Energy: A Guide for Developers and Investors 79

Where environmental or social risks and impacts are employment creation and income generation should be
identified, the client is required to manage them through accompanied by protection of the fundamental rights of
its Environmental and Social Management System (ESMS) workers. The objectives are:
consistent with Performance Standard 1. Performance
Standard 1 applies to all projects that have environmental and • To promote the fair treatment, non-discrimination, and
social risks and impacts. Depending on project circumstances, equal opportunity of workers.
other Performance Standards may apply as well. • To establish, maintain, and improve the worker-
management relationship.
In addition to meeting the requirements under the
Performance Standards, clients must comply with applicable • To promote compliance with national employment and
national law, including those laws implementing host labor laws.
country obligations under international law. When host • To protect workers, including vulnerable categories of
country regulations differ from the levels and measures workers such as children, migrant workers, workers
presented in the Environmental, Health, and Safety engaged by third parties, and workers in the client’s
Guidelines, projects are expected to achieve whichever is supply chain.
more stringent.
• To promote safe and healthy working conditions, and the
Performance Standard 1—Assessment and Management of health of workers.
Environmental and Social Risks and Impacts—underscores the • To avoid the use of forced labor.
importance of managing environmental and social performance
Performance Standard 3—Resource Efficiency and Pollution
throughout the life of a project. The objectives are:
Prevention—recognizes that increased economic activity and
• To identify and evaluate environmental and social risks urbanization often generate increased levels of pollution
and impacts of the project. to air, water, and land, and consume finite resources in a
manner that may threaten people and the environment at the
• To adopt a mitigation hierarchy to anticipate and avoid,
local, regional, and global levels. The objectives are:
or where avoidance is not possible, minimize, and, where
residual impacts remain, compensate/offset for risks • To avoid or minimize adverse impacts on human health
and impacts to workers, Affected Communities, and the and the environment by avoiding or minimizing pollution
environment. from project activities.
• To promote improved environmental and social • To promote more sustainable use of resources, including
performance of clients through the effective use of energy and water.
management systems.
• To reduce project-related greenhouse-gas emissions.
• To ensure that grievances from Affected Communities
Performance Standard 4—Community Health, Safety, and
and external communications from other stakeholders
Security—recognizes that project activities, equipment, and
are responded to and managed appropriately.
infrastructure can increase community exposure to risks and
• To promote and provide means for adequate engagement impacts. The objectives are:
with Affected Communities throughout the project cycle
on issues that could potentially affect them and to ensure • To anticipate and avoid adverse impacts on the health
that relevant environmental and social information is and safety of the Affected Community during the project
disclosed and disseminated. life from both routine and non-routine circumstances.

Performance Standard 2—Labor and Working Conditions— • To ensure that the safeguarding of personnel and
recognizes that the pursuit of economic growth through property is carried out in accordance with relevant

80 Plant Design and Permitting

 human rights principles and in a manner that avoids or • To ensure that the development process fosters full respect
minimizes risks to the Affected Communities. for the human rights, dignity, aspirations, culture, and
natural resource-based livelihoods of Indigenous Peoples.
Performance Standard 5—Land Acquisition and Involuntary
Resettlement—recognizes that project-related land acquisition • To anticipate and avoid adverse impacts of projects
and restrictions on land use can have adverse impacts on on communities of Indigenous Peoples, or when
communities and persons that use this land. The objectives are: avoidance is not possible, to minimize and/or
compensate for such impacts.
• To avoid, and when avoidance is not possible, minimize
• To promote sustainable development benefits and
displacement by exploring alternative project designs.
opportunities for Indigenous Peoples in a culturally
• To avoid forced eviction. appropriate manner.
• To anticipate and avoid, or where avoidance is not • To establish and maintain an ongoing relationship based
possible, minimize adverse social and economic impacts on Informed Consultation and Participation (ICP) with
from land acquisition or restrictions on land use by: 1) the Indigenous Peoples affected by a project throughout
providing compensation for loss of assets at replacement the project’s lifecycle.
cost; and 2) ensuring that resettlement activities are
• To ensure the Free, Prior, and Informed Consent (FPIC)
implemented with appropriate disclosure of information,
of the Affected Communities of Indigenous Peoples when
consultation, and the informed participation of those
the circumstances described in this Performance Standard
who are affected.
are present.
• To improve, or restore, the livelihoods and standards of
• To respect and preserve the culture, knowledge, and
living of displaced persons.
practices of Indigenous Peoples.
• To improve living conditions among physically displaced
Performance Standard 8—Cultural Heritage—recognizes
persons through the provision of adequate housing with
the importance of cultural heritage for current and future
security of tenure at resettlement sites.
generations. The objectives are:
Performance Standard 6—Biodiversity Conservation and
Sustainable Management of Living Natural Resources— • To protect cultural heritage from the adverse impacts of
recognizes that protecting and conserving biodiversity, project activities and support its preservation.
maintaining ecosystem services, and sustainably managing
• To promote the equitable sharing of benefits from the use
living natural resources are fundamental to sustainable
of cultural heritage.
development. The objectives are:

• To protect and conserve biodiversity.

• To maintain the benefits from ecosystem services.

• To promote the sustainable management of living natural

resources through the adoption of practices that integrate
conservation needs and development priorities.

Performance Standard 7—Indigenous Peoples—recognizes

that Indigenous Peoples, as social groups with identities that
are distinct from mainstream groups in national societies, are
often among the most marginalized and vulnerable segments
of the population. The objectives are:

Converting Biomass to Energy: A Guide for Developers and Investors 81

 Source: COWI.

82 Procuring the Biomass Plant

PROCURING THE BIOMASS PLANT
7
The procurement process can be structured in many ways, and • Self-finance (the cash flow and reserves of the owner)
it is of utmost importance to discuss and decide the procurement
• On-balance sheet debt (from banks or a mother company)
strategy at an early stage in the project, as this can influence
many other choices to be taken. The procurement strategy also is • Supplier credits and leasing solutions under traditional
crucial to investors, as it outlines who takes the design risks, the contracts, DB and DBO
interface risks, and the risks associated with final price and time. • Off-balance sheet financing through an SPV (Special
Purpose Vehicle) under a DBFO (mainly for larger facilities).
7.1 THE PROCUREMENT STRATEGY
For small and medium companies, supplier finance may
Procurement and contracting of biomass plants may come offer better terms than the financing obtainable in the local
in the form of a variety of models that reflect the increasing financial market. To keep competitive pressure on suppliers,
transfer of responsibility from the owner to the contractor(s): the possibility of supplier finance may be included as an
evaluation parameter when requesting supplier costings or
• Traditional contracts, with division of the plant
tendering technology/equipment packages. This will enable
into a number of partial contracts with separate
all suppliers to compete on equal terms and will ensure the
detailed designs
owner a good overview of the available supplier finance
• DB (Design–Build) / EPC (Engineering, Procurement, options and terms. For further information on financing,
Construction) / Turnkey contract, with one contractor see Chapter 15.
being responsible for the design and construction
for the entire plant 7.2 TYPE OF CONTRACTS

• DBO (Design–Build–Operate) / BOT (Build–Operate– The most common approaches worldwide are traditional
Transfer) type contracts, where the contractor also contracts that divide the plant into a number of partial
operates and maintains the plant contracts with separate detailed designs and a DB / EPC4 /
turnkey contract with one contractor being responsible for
• DBFO (Design–Build–Finance–Operate), where the
the design and construction of the entire plant.
contractor takes full responsibility for the provision
of a biomass-based power plant and is remunerated
In Table 7–1 below, we compare the two different
through the provision of heat and power.
approaches, also including an approach based on EPC
The decision on the type of contract will depend on the degree principles, but having a few EPC-like contracts.
to which the biomass plant is integrated with the owner’s
existing facilities and on the owner’s ability and willingness to
transfer design decisions, operational control, and project risks
4 EPC stands for Engineering, Procurement, and Construction
to the contractor. and is a prominent form of contracting agreement in the
construction industry. The engineering and construction
The procurement and contracting approaches are, to some contractor will carry out the detailed engineering design of the
project, procure all the equipment and materials necessary,
extent, linked to the available financing sources that typically and then construct to deliver a functioning facility or asset to
reflect one of the following: its clients. Companies that deliver EPC projects are commonly
referred to as EPC contractors.

Converting Biomass to Energy: A Guide for Developers and Investors 83

 Table 7-1: Types of Contracts
Multiple EPC Contractors
EPC/Turnkey (for example, Many
(one contract) 2–4 contracts) Contractors
The owner does not wish to be involved in the day-to-day progress Yes No No
monitoring of the work, provided that the end result meets the
performance criteria that have been specified.
The owner wishes a high degree of certainty that the agreed Yes Yes No
contract price and time will not be exceeded.
The owner is willing to pay more for the construction of the project Yes Yes No
in return for the contractor bearing the extra risks associated with
enhanced certainty of final price and time.
The owner wants a high degree of involvement, for example in the No No Yes
choice of subcontractors and in the detailed design.

Source: COWI.

• The first approach is an EPC/turnkey contract with one be supervised, applying principles similar to those used for
contractor responsible for the entire plant construction, individual contractors.
including mechanical, electrical, and civil works.
DBO and especially DBFO contracts may be more complex
• The second approach is also based on EPC principles
and require careful considerations involving financial
but divides the plant into two to four EPC contracts,
experts. A contract involving operation and maintenance
for example an electro/mechanical EPC and a civil
requires a certain length, typically five to seven years
construction EPC. The electro/mechanical contract
or more. If the owner is uncertain about operation and
may be further split into, for example, fuel handling
maintenance, an alternative to DBO or DBFO may be a
equipment and energy plant, dependent on the specific
traditional setup with partial contracts or EPC/turnkey,
project and the owner’s wishes.
but engaging the contractor as operation supervisor for a
• The third approach is to divide the plant into a number certain period of time after handover/takeover, for example
of partial contracts and to prepare separate detailed for six months to two years. In this period, the contractor’s
design for some of these, such as civil construction. supervisor will assist and train the owner’s own operation
and maintenance staff. This solution is especially useful
The use of multiple contractors places the responsibility of
in situations where it is difficult to engage sufficient well-
interface management, coordination, and risk allocation
skilled/trained personnel.
between the contractors with the owner or the owner’s
engineer. This critical coordination task requires a very
Alternatively, the owner can enter a DBO or DBFO contract
experienced engineer, because coordination and supervision
but negotiate an optional right to take over the operation
responsibility begins with the study and planning phase
and maintenance of the biomass plant after two and four
and continues until and beyond plant commissioning. An
years. If, after two years’ operation, the owner has mobilized
alternative solution is to assign an EPCM (Engineering,
sufficient and skilled staff, the owner can exercise the right
Procurement, and Construction Management) contractor5
to take over the operation and maintenance obligations.
that has overall responsibility, including for plant
This alternative, however, may introduce discussions about
engineering. In such a case, the developer would have less
the maintenance standard at the time of takeover of the
direct coordination, but the EPCM contractor would have to
operation and maintenance obligation.

5 A general contractor (main contractor) is responsible for the

day-to-day oversight of a construction site, the management of All in all, the coordination of many contracts for one
vendors and trades, and the communication of information to biomass plant has a cost, and it seems reasonable to take a
all parties throughout the course of a project.

84 Procuring the Biomass Plant

premium for taking risks. Owners or developers of biomass plays a role as the employer’s representative to ensure
plants must carefully evaluate the add-on to the contract that the contract is carried out properly.6
price for moving from a setup with the plant divided into
Figure 7–1 provides a guide to the choice of contract.
many contracts to an EPC type of contract. If the add-on
to the contract price is evaluated as too large, the owner or The FIDIC Silver Book pertains to EPC and turnkey projects
developer may, to minimize the CAPEX, choose the setup and is generally applicable to biomass-to-energy projects.
with the plant divided into multiple contracts. The Silver Book is a template for a lump-sum contract and
assigns most risks to the contractor, offering greater certainty
7.3 FORM OF CONTRACT to the owner concerning project cost and completion date.
A wide range of standard contract forms are available Using this type of contract, the owner is typically not
worldwide, but most of them are national or regional involved in the day-to-day progress of the work, provided
standards. These may be used, but the disadvantage that the end result meets the performance criteria that have
might be that international contractors do not know these been specified.
specific standard contracts and might be reluctant to use
The advantage of the EPC/turnkey contract is the higher
them. Typically, international contractors will require
degree of certainty that the agreed contract price and time
internationally accepted standard contracts.
will not be exceeded. The parties concerned (for example,
Standard contract templates are available from sources sponsors, lenders, and the owner) are willing to see that the
such as the FIDIC (International Federation of Consulting contractor is paid more for the project construction in return
Engineers), the ICE (Institution of Civil Engineers), and the for the contractor bearing the extra risks for meeting the
JCT (Joint Contracts Tribunal). agreed price and time.

The standard forms from the FIDIC are widely used for If the procurement is split into two or more contracts
international procurement in the energy sector. The FIDIC typically the Yellow or the Red Book is used. The Gold Book
contracts are written in formal legal English and are pertains to DBO projects.
drafted based on common law background. They have
The individual clauses of the FIDIC standard contracts are of
been developed over decades and are well respected among
general nature. Amendments and supplements (as mentioned
owners, contractors, and investors.
below) are needed and should turn the standard contract
FIDIC publishes standard conditions of contract, such as for: into a bespoke and project-specific contract form:

• Conditions of contract for EPC/Turnkey projects (also • Working language

called “The Silver Book”). • Applicable law and ruling language
• Conditions of contract for construction for building and • Place of arbitration
engineering works designed by the employer (also called
• Liability
“The Red Book”).
• Liquidated damages
• Conditions of contract for plant and DB for electrical
and mechanical plants for building and engineering • Delay damages.
works designed by the contractor (also called “The
More information on the FIDIC standard contracts can be
Yellow Book”).
found at www.fidic.org.
• All FIDIC standard conditions of contract form a
contract between a client/employer and a contractor. The 6 FIDIC offers a special contract for the employment of the
consulting engineer is not a party to these contracts but engineer—Client/Consultant Model Services Agreement (2006
White Book).

Converting Biomass to Energy: A Guide for Developers and Investors 85

 Figure 7-1: Selecting Which FIDIC Contract to Use

Source: FIDIC.

7.4 TENDERING PROCEDURE During the project development phase, potential contractors

also may use budgetary proposals.
The tendering procedure may use a national or regional public
procurement system. Alternatively, direct contact with selected 7.4.1 PUBLIC PROCUREMENT
contractors may be used if allowed under national law. The
If a public procurement system is used, it is recommended to
public procurement system offers the advantage of coming
use prequalification of potential suppliers. In this approach,
in contact with all potential bidders. It is recommended to
only experienced, financially sound, and capable contractors
conduct a market sounding prior to the tendering procedure
should be selected for the bidding process.
to gain an overview of potential bidders, their applied
technologies, and their attitude to the various contract forms.
The prequalification should specify relevant selection
The market sounding may include the following questions:
criteria, such as financial strength and technical capacity,
with references from similar projects.
• Does the supplier offer technology that is suitable and
proven for the specific project?
It is recommended that the tender specification be ready at
• Does the supplier have experience with the biomass fuel the time of prequalification and that the evaluation criteria
to be used? are presented.

• Does the supplier have reference plants of the same size?

Having selected typically three to five bidders, the tender
• Does the supplier offer sufficient financial strength? specification is issued. The bidders typically will need around
three months to prepare an EPC/turnkey proposal. The
• Does the supplier possess the necessary capability—
contract will be awarded to the successful bidder according
that is, know-how and technical capacity (technicians,
to the award criteria described and applying the evaluation
workers, workshop facility, etc.)
model and methods adopted and announced.
• Does the supplier have a local service setup?

86 Procuring the Biomass Plant

7.4.2 NON-PUBLIC PROCUREMENT 10 to 20 pages) defining the most important issues such as
scope of supply, limits of supply, performance requirements,
Investors for mid-size projects are likely to be private
guarantees, time schedule, and commercial issues. The first
companies operating, for example, plantations and/or
proposal from the invited bidders can be a budget proposal.
processing facilities. Typically, one or more bidders are
Based on this budget proposal and a first round of meetings,
invited to submit a bid, usually based on a simple tender
the owner or project developer calls for a final budget
specification stating the overall requirements of the supply.
proposal. Based on this, the preferred bidder can be selected,
Following an evaluation of the budgetary bids received,
and, during the final negotiations, detailed requirements are
all details must be discussed with the preferred bidder and
developed in the contract. This approach, however, is only
incorporated in the draft contract.
possible in non-public procurement.

When applying a private (non-public) procurement system, it

is still possible to use a similar approach with prequalification 7.5 CONTRACTS
and tendering based on a detailed tender specification. It is 7.5.1 WARRANTIES AND GUARANTEES
important that the tendering procedure be competitive and
It is of utmost importance to specify and agree upon the
transparent, also if not procured under public procurement.
performance of the biomass plant. Sufficient time must be
spent and the necessary technical expertise must be involved
The owner also may choose to enter an agreement with one
to define a solid contractual base, including general warranty,
selected contractor on an exclusive basis, which shall come into
performance guarantees, availability guarantee, etc.
force if the contractor meets the requirements and a target price
that is favorable to the financial model of the owner. The upside
Table 7–2 presents important figures to agree upon for an
for the owner is that the selected contractor is willing to take on
EPC/turnkey contract.
some of the costs for development of the biomass project, and
the time schedule is minimized as much as possible. However, Non-compliance with the guarantees is normally subject to
the owner reduces the influence on the quality of materials and payment of penalties or liquidated damages, which must be
components of the biomass plant, as the contractor requires stated in the contract.
more freedom during the subcontracting phase. This alternative
also lacks the competition among two or more bidders, giving If contracts involve, for example, a boiler or a turbine contract,
the lowest possible price. more detailed guarantees must be agreed, such as steam flow,
steam temperature, steam pressure, etc. Furthermore, it is
7.4.3 REQUEST FOR PROPOSAL
important to include an interface list, specifying all important
The Request for Proposal (RfP) is closely linked to the technical data within the supply limits between contracts on,
pre-feasibility and feasibility analyses in order to use the for example, the boiler or turbine, such as location, media,
appropriate information collected and agreed upon during design, and operational data.
these initial project stages.
7.5.2 ENVIRONMENTAL PERFORMANCE
The RfP can be structured in many ways that are highly Environmental performance data typically include:
dependent on the procurement strategy. Public procurement
usually requires more comprehensive and detailed • Emissions to air (for example, nitrogen oxides
specifications, whereas non-public procurement among a few or carbon dioxide)
invited bidders may use less-detailed specifications.
• Emissions to soil (for example, leakages or
landfilling of residues)
The RfP requirements can eventually be developed in detail
during the period from tendering until final contract. This • Emissions to water (for example, wastewater)
replaces a comprehensive RfP with a “light” version (maybe
• Noise (for example, from machinery).

Converting Biomass to Energy: A Guide for Developers and Investors 87

 Table 7-2: Warranties and Guarantees
Unit Remarks
General warranty years Typically, two years from takeover.

Availability % • Typically measured in the first two years of operation. A lower figure might be
agreed in the first year, since this is where operational problems are solved.
• Experienced contractors should comply with at least 92 percent availability,
allowing for both planned and unplanned outages.
Continuous operating time hours • Without stop for mechanical cleaning.
• Experienced contractors should comply with around 8,000 hours.
Gross electrical output MW

Net electrical output MW

Steam or heat export kg/s If applicable, steam parameters must be stated as well (temperature, pressure).

Consumption of various kg/s Lime, makeup water, lye, ammonia water/urea, etc.
consumables
Production of bottom ash kg/h May be difficult to specify, as it depends on the fuel and should only be implemented
if deemed necessary for the owner.
Production of fly ash kg/h May be difficult to specify, as it depends on the fuel and should only be implemented
if deemed necessary for the owner.
TOC (total organic carbon) % Unburned in the bottom ash. This figure shows whether the combustion process
is operating well.

Source: COWI.

These requirements are mandatory and are normally 7.5.3 TIME SCHEDULE AND MILESTONES
specified in the environmental permit, and they consequently
Although an EPC/turnkey contract places the entire
are not subject to discussion. Therefore, they are absolute
responsibility on the contractor, it is highly recommended to
and usually are not subject to liquidated damages, but if the
include a time schedule showing the important milestones of
environmental requirements are not met, handover to the
the project, such as start of erection, pressure test, start of hot
owner should not be accepted.
commissioning (first fire), first synchronization to electrical
grid, start of trial run, performance test, and handover.
Local/regional standards and guidelines on environmental
performance may apply, but a few international guidelines
To keep pressure on the contractor, these milestones might
should be mentioned. Key guidance documents include the
either be penalized or payments are subject to postponement
World Bank Group (2007) Environmental, Health, and Safety
if the milestones are not met. This will (partly) compensate
General Guidelines (3–50 MWth) and the World Bank Group
the owner from the delayed startup.
(2008) Environmental, Health, and Safety Guidelines for
Thermal Power Plants (>50 MWth). Further to this, the EU 7.5.4 COMMISSIONING
has formulated various directives (e. g., the Large Combustion
It is important to describe the intended commissioning
Directive) as well as BAT Reference Documents (BREFs) and
program, including the owner’s right to approve the project
BAT Conclusions (e. g., for Large Combustion Plants) that
moving to the next stage—for example, is the contractor
also may be relevant outside Europe (IPCC, 2015).
ready to commence trial run (trial operation)?

It also should be carefully considered if the plant should be

Details about commissioning can be found in Chapter 8.
designed/prepared for stricter environmental requirements
expected in the future. A later upgrade may be more
expensive and may require outage for a long period of time.

88 Procuring the Biomass Plant

Case Story: Biomass Project for the Textile Industry in Honduras

PROJECT DESCRIPTION
Gildan is a leading Canadian multinational company that manufactures high-quality
basic clothing, with production facilities in the Dominican Republic and Honduras.
Its industrial activity requires a high saturated steam flow. This used to be produced
by heavy oil boilers, which drove the company to face high energy costs and resulted
in a larger carbon footprint.
In the Rio Nance plant in Honduras, Gildan produces 150 tons per hour of vapor using
six boilers of 25 tons per hour each.

APPLIED TECHNOLOGY
From 2009 to 2013, the company installed six steam boilers with 16 bar(g) design
pressure and a two-pass vertical economizer. Each boiler line is equipped with primary
and secondary combustion air systems for both combustion zones, respectively. The
system has a water-cooled moving step grate with a total area of 21.2 square meters,
which is divided into three sections.
For flue gas cleaning, each boiler system has a double multicyclone, with 72 cyclones
each made in a special execution with hatches for cleaning. A modulating control
system ensures that all parameters are automatically adjusted according to the current
load of the boiler and that the system therefore operates continuously in the range
of 40 to 100 percent.

PLANT PERFORMANCE
• Average biomass cost: $55 per ton Average LCV: 2.2 MWh per ton
• Price for biomass energy: $25 per MWh
• Average heavy oil cost (at the time of construction of the plant): $2.2 per gallon
• LCV for 1 gallon of heavy oil: 44 kWh per gallon
• Price for fossil energy: $50 per MWh
• Boiler efficiency: 87 percent.

FUEL TYPE AND HANDLING

A mixture of different types of biomass are used as fuel, including waste from the
plant’s own processes, African palm byproducts, king grass from energy crops, and
wood sawdust. The biomass composition for the project is: 40 percent empty fruit
bunches from African palm), 40 percent wood, and 20 percent king grass bagasse
(an energy crop).
A silo with a capacity of 3,000 cubic meters was built. Two semiautomatic cranes
collect biomass from the silo and deliver the biofuel to the boiler hoppers.

DEVELOPMENT / INVESTMENT COST

The total contract amount was €15 million, not including the civil works.

LESSONS LEARNED
Gildan saved considerable money from switching to biomass. In the period 2010–2013,
all of the steam produced by heavy oil combustion was replaced with “green” steam
produced by biomass combustion, allowing Gildan to greatly reduce its energy invoices
and to massively reduce its carbon footprint.

Source: LSolé s.a., 2016, www.lsole.com; Justsen Energiteknik A/S, 2016, www.justsen. dk.

Converting Biomass to Energy: A Guide for Developers and Investors 89

 Source: COWI.

90 Construction and Commissioning

CONSTRUCTION AND COMMISSIONING
8
8.1 CONSTRUCTION • Fly ash transport and storage

The split of responsibilities between the owner and the • Turbine/generator

contractor for the construction and commissioning phase is
• Condensate
dependent on the type of contract adopted for the biomass
plant (that is, multiple contracts, DB/EPC, DBO, or DBFO; • Makeup water

see Section 6.1). However, the tasks to be performed during • Chemical dosing
the construction and commissioning phase are the same
• Compressed air
regardless if they are done by the contractor or by the owner.
• Soot-blower system
The construction of a biomass plant is a complex process
• Control and instrumentation
that requires both extensive technical experience and
knowledge and considerable experience and knowledge in • Electricity and power distribution
planning and management. Successful construction of a
• Grid connection
biomass plant requires project management in accordance
with general construction project management best practice. • Connection to steam or district heating

• Workshop
A biomass plant is a complex construction, and for a typical
steam-based power plant, the following part systems should • Cooling

be considered: The most visible activity in the construction phase is the

actual construction of the biomass plant where all the
• Fuel reception station
mechanical, electrical, and control and instrumentation
• Fuel yard (C&I) components are being erected and installed. This is
normally the job of a turnkey EPC contractor, alternatively
• Fuel shredding
with a multiple contract approach employing two to four
• Fuel storage main contractors depending on the chosen contract strategy.

• Fuel transport
However, to make sure that this happens in the most
• Boiler feeding optimal way, the owner should be actively involved in

• Combustion the construction phase regardless of the contract strategy,

whether it is a full turnkey EPC contract or a multiple-
• Boiler
contract approach.
• Flue gas cleaning
Even smaller 1 to 5 MWe projects and biogas plants require
• Emission monitoring
a construction site organization to plan and coordinate the
• Chimney activities on-site on a daily basis.

• Bottom ash transport and storage

Converting Biomass to Energy: A Guide for Developers and Investors 91

For an EPC contract, the contractor will coordinate and carry • Interdependencies among tasks
out many of the following disciplines. For a multiple-contract
• Person responsible for the task
project, the owner or the owner’s representative has to
coordinate the activities on site. For EPC projects, the owner • Project critical path

(or the owner’s representative) also should get involved in all • Actual progress against planned progress.
disciplines to closely monitor the progress of the work.
A planner should be dedicated to this task and should follow

The layout of the construction site should be planned at up on progress on a daily basis.

an early date before construction actually begins on-site.

The time schedule should be divided into groups of activities.
Often, the area available for staff facilities, a temporary
For a biomass plant, these include:
storage yard for materials, a pre-fabrication area, etc.,
will be limited, and thus the layout of the construction site
• Civil construction
must be planned well in advance. In addition, access to
bathroom, bathing, and catering facilities, and connection • Mechanical installations

to utilities (water, electricity, etc.) may be limited during • Fuel handling

the construction phase, and this must be taken into
• Boiler
consideration in the planning.
• Turbine
Planning and coordination during the construction phase
• Environmental plants
include the following disciplines:
• Balance of plant
• Scheduling
• Electrical installations
• Roles and responsibilities
• C&I installations.
• Risk, stakeholder, and quality management
Each task should be divided into detailed activities, making
• Environment, health, and safety management it possible to carefully plan and to follow up. Planning is

• Cost management. crucial in order to identify the influence that each activity
has on another and to identify which activities of the
8.1.1 SCHEDULING construction phase are critical. These activities should be

An overall time schedule with tasks, duration, milestones, given special attention, but if other activities are delayed, the

and interdependence among tasks is developed during critical path could change and thus require a shift in focus.

the design phase.

During the construction phase, changes and amendments

During the construction phase, this time schedule must be much to the time schedule are made, and new revisions of the

more detailed, down to a level where ongoing activities must be time schedule must be issued. It is crucial for a successful

identified each day. A comprehensive time schedule is crucial, construction phase that all involved parties receive any new

and it is highly recommended that professional software revision of the time schedule.

(Primavera, MS Project, or similar) is used for this task.

A simplified example of a construction phase time schedule

At a minimum, the schedule should include the is shown in Figure 8–1. In reality, a time schedule for a

following components: biomass construction project can contain maybe 2,000 or

3,000 lines with different activities.
• Tasks and duration with specified start and end dates
Compared to scheduling for conventional construction
• Milestones and key dates
projects, transportation, storage, and handling of biomass

92 Construction and Commissioning

 Figure 8-1: Simplified Time Schedule for the Construction Phase of a Biomass Project

Source: COWI.

require special attention in the schedule. The facilities for The owner’s construction site organization should, at a
transportation, storage, and handling of biomass are more minimum, include:
complex than facilities for conventional fuels, and this must
be reflected in the schedule. • Construction site manager

• Environment, health, and safety manager

The construction of the other parts of a biomass plant is
similar to the construction activities in conventional power • Civil construction supervisor

plant projects. • Mechanical supervisor

In the time schedule, each task should be broken down into • Electrical supervisor

activities with short duration (a few days or a week). This • C&I supervisor
allows careful monitoring of the progress of the activity and
• Planner
permits prompt corrective actions to be taken.
• Quality manager
Milestones are incorporated in the contract, and they are
• Secretary and archiving.
connected to contractual obligations, advanced payments, or
penalties. Milestones should be monitored very carefully to The owner’s construction site organization refers to the
assure on-time completion. owner and should be independent of the contractors on
site. In addition, the contractor will have his or her own
8.1.2 ROLES AND RESPONSIBILITIES
construction site organization in place, and the two parties
A construction site organization should be in place should work together.
to plan and coordinate the activities on-site on a daily
basis during construction. The owner’s company is usually engaged in other types of
business, different from biomass plant construction and
For smaller projects or for projects with only one EPC operation, and the owner probably will not have qualified
contractor, several of the roles listed below may be carried personnel for this type of task in his or her organization.
by the same person, but all roles must be covered. Therefore, the owner should hire external experts independent
of the contractor to represent his or her interests.

Converting Biomass to Energy: A Guide for Developers and Investors 93

The responsibility of the construction site organization includes: Special attention to the risks of fire, explosion, boiler quality
(welding, etc.), delays, and claim management are important
• Coordination of activities on-site items in the risk register during the construction phase.
• Ensuring that all activities are carried out in a safe way
The risks of fire and explosion are more serious for biomass
• Daily follow-up on the contractor’s installation plants than for conventional energy plants. Biomass dust is
regarding the technical disciplines: civil, mechanical, easier to ignite than coal dust, and the explosion coefficient
electrical, and C&I for biomass is much higher than for coal. The risks can
• Follow-up on the construction time schedule. be mitigated with careful design of the fuel handling and
transportation system and by specifying cleaning instructions
8.1.3 RISK, STAKEHOLDER, AND QUALITY in the operation instructions.
MANAGEMENT

A project risk register should list all risks associated with the As with conventional energy projects, is it important that
project, such as approvals from authorities, time schedule, quality management ensures that the boiler welding meets
costs, and quality. the relevant standards, and it is essential to carefully
follow up on quality reviews. In the contract with the
Each risk should be evaluated in terms of probability and contractors, the owner’s requirements for quality and quality
consequence. The probability and the consequence should each management should be specified.
be evaluated separately, for example with a score from one to
five. The two scores are multiplied, and the risks are ranked The requirements regarding quality should include:
according to this score, directing focus on the most severe risks.
• Contractor’s quality management system
The register should note the mitigation strategy to reduce each • Sub-suppliers’ quality management systems
risk, the deadline for mitigation, and who is responsible for
• Quality assurance
acting on the risk, as shown in Figure 8–2. The risk register
should be updated frequently, perhaps on a monthly basis. • Quality control

• Document requirements.
Stakeholder communication and management should be
performed right from the project start, but when the project The construction phase is always the most hectic phase of project
enters the construction phase, it becomes more visible and execution, with many activities taking place simultaneously and
may attract new stakeholders. It therefore is important to with many workers on-site. It therefore is important to handle
identify all potential stakeholders before construction begins the risks for delays and additional claims from the contractors in
and to develop a plan for interacting with each stakeholder a professional way. One way to do so is to acknowledge the risks
and updating them about project progress. and to describe how to mitigate them in the risk register.

Figure 8-2: Simplified Risk Register

Identification of Risk Risk Evaluation Risk Handling

ID No. Risk Potential ID Date Frequency Consequence Risk Mitigation Mitigation Responsible Last
Description Effect Level Method Status Party Updated

Source: COWI.

94 Construction and Commissioning

Risks associated with safety are described in Section 8.1.4. Environmental, Health, and Safety Guidelines for Thermal
Power Plants also will be relevant.
8.1.4 ENVIRONMENT, HEALTH, AND SAFETY
MANAGEMENT 8.1.5 COST MANAGEMENT
During the construction phase, environment, health, and The biomass plant generates no revenue until it is up and
safety (EHS) management should have the highest priority. running. During the construction phase, there are only payments
Construction sites in general are dangerous working places, to be made to the contractors and to the owners’ own personnel.
and this also is the case for biomass plant construction sites
(independent of size). Safety must come first in all decisions In the contracts with the contractors, a payment schedule is
at the construction site. an important element. Normally, the payments are divided
into a number of installments, often linked to measurable
The owner should specify in a document his or her milestones. It therefore is essential to closely follow up on
requirements for EHS together with the general site the progress of the construction site activities.
conditions. This document should be known and followed
by everybody engaged at the construction site. It also is important to manage carefully any extra work that
will appear during the construction phase. No matter how
A risk register with a focus on EHS issues should be created, carefully the planning has been done, it is normal that not all
similar to the project risk register described in Section 8.1.3. activities have been foreseen. Therefore, a contingency sum of
The EHS risk register should be updated regularly, at least 10 to 20 percent is often added to the budget. It is important,
on a weekly basis. however, to manage carefully this amount. The pressure on
the time schedule will be highest during the construction
All personnel with access to the construction site (including
phase, and therefore the tendency to accept extra costs will be
the owner, the contractor, and any subcontractor) should
open in order to keep up with the time schedule.
be instructed in safety issues specific for the actual site. This
information should, at a minimum, include: In brief, “extra work” is any activity not defined in the
contract, or any activity that is defined in the contract but
• Alarms
whose volume or size exceeds the originally planned activity.
• Meeting points One way to manage extras is that all extra work should be
agreed in writing before it is executed.
• Requirements for personnel protection.

The requirements for personnel protection should include 8.2 COMMISSIONING

demands for using safety helmets, safety shoes, etc., as well
When all equipment has been erected, the project goes from
as the standards for fall prevention, scaffolding, hoists, etc.
construction phase to commissioning phase. During the

As part of the EHS activities, a 15 to 30 minute toolbox commissioning phase, it is important to test all equipment in

meeting should be held every morning during the a systematic way.

construction phase. At the toolbox meeting, all parties

Before the commissioning can begin, certain documentation
involved at the site should go through the day’s activities on
requirements should be met in order to plan and conduct the
the site, with a focus on dangerous activities and on areas
commissioning in a systematic and safe way. This requires a
where multiple parties work at the same time.
well-prepared commissioning plan.

Local EHS directives should always be followed. In addition,

The commissioning phase should demonstrate that the
the recommendations in the IFC Environmental, Health,
installations erected during the construction phase are complete
and Safety General Guidelines should be observed, and, for
and comply with the requirements as specified in the contracts.
biomass plants, the majority of the good practice in the IFC

Converting Biomass to Energy: A Guide for Developers and Investors 95

 Source: COWI.

As for any other energy project, the commissioning phase the plant should be measured over a defined period, typically
for a biomass plant project includes a cold test, a hot test, a during the subsequent guarantee period.
functional test, a trial run, a performance test, and handing
over to the owner. In addition, it is also during the commissioning phase that the
operating staff should be trained, and the operators should
During the cold test, all signals—from the individual become confident with the equipment so that they are able to
components to the control system—are tested to ensure that run and maintain the plant during operation in the future.
they are connected correctly. During the hot test, the plant
actually starts to operate on the main fuel, and all controls The commissioning phase includes, at a minimum, the following:
and regulations are trimmed and optimized.
• Planning
When the cold and hot tests are finalized, the contractor • Roles and responsibilities
must demonstrate that the plant can operate and perform as
• Training
it was supposed to do. This is called the functional test.
• Cold testing
When the functional test is approved by the owner, the trial
• Hot testing
run can start. The purpose of the trial run is to demonstrate
that the plant can operate safely and reliably for an extended • Functional test and trial operation
period, for example 720 hours.
• Performance test and availability

After or during the trial run, the performance or demonstration • Handover documentation.
test can take place, and the performance and availability of

96 Construction and Commissioning

8.2.1 PLANNING • EHS manager

As in the construction phase, a well-planned, detailed time • Mechanical supervisor

schedule is important in the commissioning phase to identify
• Electrical supervisor
the activities for each day. A comprehensive time schedule
is crucial, and it is highly recommended that professional • C&I supervisor

software be used for this task. • Planner

A planner should be dedicated to this task and should follow • Quality manager

up on progress on a daily basis. • Secretary and archiving.

The time schedule should be divided into phases of cold testing, This commissioning organization should refer to the owner

hot testing, and performance testing and trial operation. and be independent from the contractors on-site.

Each task should be divided into detailed activities that makes If qualified people are not available within the owner’s

it possible to carefully plan and follow up on progress. organization, consultants independent of the contractor
should be hired to protect the interest of the owner. It is,
In the time schedule, each task should be broken down into however, important that the owner’s personnel get involved
activities with short duration (one to two days). This allows and participate in the operation of the biomass plant during
for careful monitoring of the progress of each activity and the commissioning phase, as they shall operate the plant
permits prompt corrective actions to be taken. after takeover.

A simplified example of a commissioning phase schedule is The responsibility of the commissioning organization includes:
shown in Figure 8–3.
• Coordination of activities on-site
8.2.2 ROLES AND RESPONSIBILITIES
• Ensuring that all testing is carried out in a safe way
During the commissioning phase, a commissioning site
• Daily follow-up on the contractor’s testing
organization should plan and coordinate the activities on-site
on a daily basis. • Follow-up on the commissioning time schedule.

For smaller projects, one person may carry out several of 8.2.3 TRAINING
the roles listed below, but the commissioning organization During the commissioning phase, the owner’s operation
should include, at a minimum: and maintenance personnel should become more and more
familiar with the plant and get increasingly involved in the
• Commissioning manager
operation of the plant.

Figure 8-3: Time Schedule for the Commissioning Phase

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 97

This should be done in two ways:
Table 8-1: Training Schedule: Phase One

Training during cold test and hot test

• Within the contractor’s scope of supply, the contractor
At a minimum, the theoretical part of the training
should arrange dedicated training sessions for all
should contain:
systems, both for the operational personnel and for the
• A study of the process flow diagram (PFD)
maintenance personnel. • A study of all pipe and instrumentation diagrams (PID)

• During commissioning testing, the owner’s operational • A study of the general layout of the plant
• A study of the functional descriptions of all systems,
personnel should work closely together with the including auxiliary systems
contractor’s testing personnel. • A study of all main equipment such as boiler, flue gas
treatment, fuel handling, air preheater, pumps, fans, valves, etc.
For a biomass plant, this could include training prior to cold • A study of operations and maintenance manuals, including
startup and shutdown
testing, during cold and hot testing, and during test operation.
• A study of safety procedures and plans
• Questions and discussions
The contractor should present a training plan to the owner
At a minimum, the practical part of the training should contain:
for approval, for example three months prior to the start of
• Identification of all main equipment
cold testing and covering all parts of the training program. • A practical study of all main equipment
• Participation in the commissioning if requested by the owner
Training sessions should be based on drawings and on • Special training on all main equipment from the equipment
operating and maintenance instructions delivered by the manufacturer

contractor, and the training should be arranged in such a • A study of the maintenance plan/schedule
• A study of the lubrication plan/schedule
way that during the training sessions each trainee will have
• A study of preventive maintenance procedures
to execute all actions related to the upcoming tasks.
• Questions and discussions

Training should cover the function of the actual machinery Source: COWI.

and the function of the control and instrumentation devices

related to the machinery. After the training program is
For a biogas plant, the staff that will operate the wastewater
complete, the operating personnel must possess all the
treatment plant should receive special training for this. As a
necessary skills for the complete and safe operation of the
minimum, the training should include maintenance and repair
plant under all conditions.
of equipment, service check for oil etc., safety during handling
TRAINING PRIOR TO COLD TESTING of biogas, firefighting, basic knowledge of the biological
processes in the anaerobic digester and in the aerobic process
If the future operation and maintenance personnel are
tank, optimization of the operation of the plant, and analyses
unfamiliar with the new biomass plant, training may be
of the quality of the wastewater discharged.
arranged at an existing reference plant elsewhere.
8.2.4 COLD TESTING
In addition, before the DCS factory acceptance test, the supplier
should provide training in the use of and programming of Cold testing is the phase where the contractor tests that

the DCS system, enabling the owners’ programmers to make all signals—from the individual components to the control

changes in the DCS program by themselves. system—are connected correctly.

In addition, training should be arranged during cold and Cold testing includes testing of all individual components (valves,

hot testing and during test operation, as shown in pumps, fans, motors, etc.) and of the individual systems.

Tables 8–1 and 8–2.

98 Construction and Commissioning

 In the hot testing, the plant actually starts to operate on the
Table 8-2: Training Schedule: Phase Two
main fuel, and all controls and regulations are trimmed.
Training during test operation
At a minimum, the theoretical part of the training should
The hot commissioning should include complete:
contain:
• A study of all control-loop diagrams, control logic, control
sequences, etc. • Startup of all motors
• A study of Interlock diagrams
• Startup of all systems
• A study of alarm lists
• A study of safety procedures • Tuning of all parameters of control systems
• A study of normal operation procedures
• Operation of the plant until the test run
• A study of startup and shutdown procedures
• A study of normal operating parameters, set points • Participation in the performance test.
limitations, etc.
At a minimum, the practical part of the training should contain: The hot testing should be carried out by the owner’s
• A study and operation of the distributed control system personnel, but under the supervision and at the responsibility
(DCS) program covering all systems
of the contractor.
• Training in DCS operation (for example, making trend curves,
adjusting controller settings, printing, saving, etc.)
8.2.6 FUNCTIONAL TEST AND TRIAL RUN
• Participation in the commissioning if requested by the owner
• Startup, normal operation, and shutdown of all parts When the cold and hot tests are finalized, the contractor
of the plant
must demonstrate that the plant can operate and perform as
• Training in safety procedures
defined in the contract. This is called the functional testing.
• Troubleshooting

Source: COWI. During the functional (acceptance) test, the function of the
whole plant is tested in all operation modes: startup, stop,
The cold commissioning should include complete:
load variations, etc. The test should prove that all design
specifications are met.
• Cable check and test

• Signal test When the owner has approved the functional test, the trial run
can begin. The purpose of the trial run is to demonstrate that
• Instrument test
the plant can operate safely and reliably for an extended period.
• Motor test This period is normally 30 days, equivalent to 720 hours.
• Equipment test
During the trial run, the plant should be able to operate
• DCS test at any load specified by the owner. The test run should
• Test and adjustment of frequency converters, soft starters, demonstrate proper functionality and readiness for
circuit breakers, motor protection units, relays, etc. commercial operation of the entire plant.

It is the responsibility of the contractor to carry out the cold Minor adjustments and fine-tuning of components may be
testing, but it is useful for the owner’s staff to be involved in accepted during the trial run if they do not interfere with the
the testing and to carefully follow up on the testing in order operation of the plant.
to get to know the biomass plant as much as possible.
If the plant is not able to run at the specified load, the
8.2.5 HOT TESTING trial run must be cancelled. The contractor must make the
necessary repairs and adjustments, and the trial run must be
When the cold testing has been finished successfully, the hot
restarted and completely repeated.
testing can begin.

Converting Biomass to Energy: A Guide for Developers and Investors 99

 Source: COWI.

8.2.7 PERFORMANCE TEST AND AVAILABILITY The contract should specify the conditions under which the
performance test should take place. In reality, it usually is
During the trial run or within the guarantee period, the
not possible to achieve exactly the specified conditions. It
performance of the plant should be tested in a performance
therefore is important that the contract includes correction
test, which could be according to international standards.
curves for the variable conditions.

The performance test should prove that the performance

The guarantees for electrical output, steam/district heating
guarantees in the contract are met.
flow quality, and electricity consumption are usually

This typically will include: associated with penalties, while the guarantees for emissions
and noise are guarantees that should meet authority
• Electrical output / boiler efficiency regulations. If these guarantees are not met, the contractor
has to modify the installation until the required guaranteed
• Steam or district heating flow quality
values are met.
• Electricity in-house consumption
In addition to the guarantees listed above, availability should
• Startup times
be guaranteed in the contract. Availability is normally
• Load variation times determined over the guarantee period (typically two years or

• Emissions 15,000 hours of operation).

• Noise.

100 Construction and Commissioning

The availability A is defined as:

Tactual
A = ———————————
(Tt - Tp) x 100%

Where
Tactual = Actual number of hours per year in which
the equipment has been in operation
or has been ready for operation
Tt = 8,760 hours
Tp = Number of hours of planned outage per year
(normally one to three weeks)

For a biogas plant, performance tests should be made after

a month with stable operation. The specified guarantees
should be verified and documented. The tests should
be repeated after one year of operation and before the
guarantee expires.

8.2.8 HANDOVER DOCUMENTATION

The handover documentation consists of updated as-built

documentation including:

• Drawings

• Descriptions

• Operation and maintenance manual

• Certificates and declaration of conformity

• Shortage list.

All this documentation must be delivered before final

payments are made. It is important that the as-built
documentation is updated with any changes to the original
design that may have been implemented during the design,
construction, and commissioning phases.

Converting Biomass to Energy: A Guide for Developers and Investors 101

 Source: COWI.

102 Operation and Maintenance of Biomass Plants

OPERATION AND MAINTENANCE OF BIOMASS PLANTS
9
The profitable operating life of a biomass plant could be This chapter focuses on plants with steam boilers and steam
20 to 40 years depending on the fuel, operational profile turbines. However, most of the general considerations and
(number of starts, stops, and operating hours), and systematics for planning operation and maintenance also can
maintenance history. Major overhauls or rehabilitation of be applied to ORC and biogas plants. Section 9.4 describes
key systems and components may take place during the the special issues related to ORC and biogas.
operating period.
9.1 PLANT ORGANIZATION AND STAFFING
Operation and maintenance of a biomass plant is, in some
9.1.1 OPERATION
respects, more complex and requires a larger staff than
a conventional oil- or gas-fired plant, which may be the Plant operation includes a number of tasks and

alternative to a biomass plant. responsibilities, such as:

The low heating value and low bulk density of biomass • Scheduling of power and heat production and fuel supply

compared to fossil fuels require equipment for handling • Operating and monitoring all functions of the energy-
of large tonnages and storage space for volumes of fuel producing plant and equipment
feedstock. The fuel handling systems will be exposed to wear
• Operation of fuel reception and handling, including
and tear during normal operation, which requires regular
weight measuring and quality control (moisture content
maintenance. Some fuels, especially with high contents of
and presence of stones, metal pieces, and oversize
alkaline and chloride, also may cause corrosion problems
particles or elements)
in the fuel handling systems and in the boiler and the ash
handling systems. The use of high-pressure steam boiler, • Operation and handling of systems for bottom ash, fly
turbine/generator, and flue gas cleaning equipment calls for ash, and other byproducts
easy access to specialized technical competence, either within
• Supervising plant operation, including scheduled “walk
the operational staff or available at short notice.
through” on each shift

The development and construction of a biomass plant is a • Planning and ordering of necessary maintenance work
large investment. Therefore, maintaining a high efficiency and securing plant before start of work.
is key to securing the optimum benefits of the investment.
Likewise, a high availability and reliable production of The project development phase will show whether

electricity and heat (for CHP plants) is crucial for the cooperating with a host or nearby industrial complex is

economic outcome of the plant. Finally, compliance with feasible. A biomass plant can, to some extent, be designed

environmental and other authority requirements is necessary for monitoring and control of operation from a remote

to match the license to operate. All of these concerns call for control facility, for example during nights and weekends.

a strong focus on operation and maintenance in all planning The plant can be designed to go into a safe mode/condition if

and operational phases. a critical alarm occurs, but it will normally require presence
of operating staff during startup. Critical delivery of process

Converting Biomass to Energy: A Guide for Developers and Investors 103

 Source: http://jfe-project.blogspot.dk/.

steam or heat to an industry should be taken into account • Plant design

when contemplating unmanned operation.
• Degree of plant automation

An option may be to contract all or part of the operation • The need for a 24/7 presence of a dedicated shift staff
and maintenance work to a specialized O&M service versus the possible cooperation or integration with
company or to the EPC contractor. O&M contracts are other industrial operations
typically made for a five-to-seven-year period.
• The operation and maintenance strategy; on the one
extreme, the owner does everything; on the other
Section 12.3.1 presents generic cost estimates for operation
extreme, substantial work (both for scheduled and
of a biomass plant.
unscheduled outages) is outsourced.
9.1.2 STAFF
The staff should have the necessary skills and education. It
The typical operation and maintenance staff at a plant may will be beneficial if the future plant staff can participate in
vary in size from 3 to 5 people for a 1 to 5 MWe plant to up plant construction, commissioning, and testing. This will
to 20 to 40 people for a 20 to 40 MWe plant. The size of the generate a good knowledge and understanding of the plant
on-site operation and maintenance staff and organization before the start of commercial operation.
will depend largely on:
9.2 MAINTENANCE PLANNING
• Plant size
Various methodologies can be applied for maintenance planning.
• Fuel type The following outlines the most commonly used approaches.

104 Operation and Maintenance of Biomass Plants

9.2.1 SCHEDULED (PREVENTIVE) MAINTENANCE 9.2.2 RELIABILITY CENTERED MAINTENANCE (RCM)

Preventive maintenance aims to achieve fewer and shorter RCM aims at providing appropriate and just-in-time
outages by following routine procedures on a regular maintenance to prevent forced outages and avoid
schedule based on elapsed time or metering. unnecessary maintenance.

The major advantage of scheduled maintenance is that it facilitates The analysis and planning of a RCM system can be time
budgeting, prevents major problems, and reduces forced outages. consuming and may require additional monitoring. An
The downside is that strict reliance on scheduled maintenance analysis will identify the systems and equipment that are
can be time consuming and expensive if maintenance is most critical for plant availability and reliability, and these
performed without regard to the actual equipment condition. should deserve priority attention/focus.

Suppliers’ maintenance manuals and recommendations Table 9–1 below provides examples of operation and
should be the starting point for planning preventive maintenance activities.
maintenance schedules and procedures.

Table 9-1: Examples of Operation and Maintenance Activities

Main Plant Item Systems/Types Activity Typical Planning Method
Fuel storage and Front loaders, trucks Fueling When needed
handling
Change of lubrication oil Scheduled
Change of tires Condition based
Cranes, conveyors Change of lubricating wires, belts Scheduled
Change of rollers, bearings Condition based, scheduled testing
Boiler Firing system/burners, ash Change of wear parts for grate, burners, Condition based, scheduled testing
systems air nozzles, refractory, ash handling
Flue gas cleaning Bag house, scrubbers, Change of / supplying of chemicals When needed/scheduled
removal of nitrogen oxides
Change of filters Condition based, scheduled testing
Servicing of pumps, valves Condition based, scheduled testing
Turbine Lubrication and hydraulic Annual maintenance Scheduled
system components
Minor overhaul Condition based on recommendation
Major overhaul Condition based on recommendation
Electrical Basic electrical components Change of cables, fuses When needed
systems
Overhaul of generator Condition based on recommendation
Overhaul of transformers Condition based on recommendation
Change of motors Condition based
Controls and Standard instrumentation Calibration of thermocouples, Scheduled
instrumentation pressure gauges
Change of instruments Condition based
Balance of plant Piping and auxiliary system Supplying of chemicals When needed or scheduled
(BOP) components
Change of filters Condition based, scheduled testing
Servicing of pumps, valves Condition based, scheduled testing
Buildings Standard building materials Painting, repair of roofs and walls Condition based

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 105

9.2.3 CONDITION-BASED MAINTENANCE 9.2.4 COMBINATION OF MAINTENANCE PLANNING
METHODS
Condition-based maintenance also aims to provide
appropriate and just-in-time maintenance to prevent In most cases, the practical approach preferred is a

forced outages and avoid unnecessary maintenance. combination of condition-based, reliability-centered, and

Various methods are available for assessment of equipment preventive maintenance. The maintenance history and

conditions, including the following: as-found equipment condition should be documented and
readily available.
• Monitoring and recording process and equipment
parameters such as temperatures, pressures, flows, electrical The combination of this information with regular condition

currents, online analysis of flue gas, vibrations, etc. measurements will form the basis for failure analyses and
a decision to shorten or lengthen the equipment suppliers’
• Scheduled chemical analysis of, for example, fuel, ash,
recommendations.
water and steam, lubrication oils, and transformer oils
9.2.5 PERFORMANCE MONITORING, EVALUATION,
• Scheduled tests supplemented by sporadic tests when
AND OPTIMIZATION
problems are suspected of, for example, control valves,
The value of fuels and the sales price for electric power
safety valves, other control and protection equipment
and heat produced (for CHP plants) represent the major
• Scheduled specialized tests supplemented by sporadic economic elements during the operational life of a plant.
tests when problems are suspected, using, for example, It therefore is very important to maintain the expected
ultrasound (pipe wall thickness), infrared scanning, efficiency and capacity of the plant. Performance monitoring
vibrations analysis, noise analysis, etc. covers various activities and procedures to achieve this goal.
The authority permit or license may require the periodic
A record of operation and availability during the first two
performance of some of these tests. Table 9–2 below
years of operation will typically be the basis for approval of
provides examples of consumables and wear parts for a
supplier guaranties.
steam technology plant.

Table 9-2: Examples of Consumables and Wear Parts for a Steam Technology Plant
Main Plant Item Systems/Types Examples
Fuel storage and handling Front loaders, trucks Fuel, lubrication oil, tires
Cranes, conveyors Lubricants, wires, chains, belts, rollers, bearings
Boiler Firing system/burners, ash systems Wear parts for grate, burners, air nozzles,
refractory, ash handling
Flue gas cleaning Bag house, scrubbers, removal of nitrogen oxides Chemicals, filters, gaskets, valves

Turbine Lubrication and hydraulic system components Lubrication oil, hydraulic liquid, filters,
gaskets, valves
Electrical systems Basic electrical components Cables, switches, fuses
Generator brushes, gaskets
Controls and instrumentation Standard instrumentation Temperature transmitters, pressure transmitters,
cables, connectors
Balance of plant (BOP) Piping and auxiliary system components Chemicals, filters, gaskets, valves

Buildings Standard building materials Roof and wall elements, paint

Source: COWI.

106 Operation and Maintenance of Biomass Plants

It is recommended that an annual efficiency test of the plant optimal spare parts inventory will minimize costs and maximize
be performed. The plant should operate as close as possible availability, and will reduce unplanned forced outages.
to one or more predefined operating points during the test,
which will normally last one day. These tests often are also A start supply of spare parts typically will be provided by

the basis for process guarantees from suppliers. the DB/EPC contractor or by the individual suppliers as part
of the investment contracts.
The test results compare the actual plant performance to
design specifications and guarantees. Process calculation As a rule, consumables and frequently replaced parts should

tools can be used to adapt the test results to actual test either be in stock or available on short notice from local

conditions such as ambient temperature. suppliers. Using standard and locally available components
can reduce the capital bound in spares stock. A selected
For larger plants, online systems are often installed for number of critical strategic parts with long delivery time
continuous performance monitoring. (such as the impeller for a pump) should be ordered together
with the plant. The extent of this depends on the technology
9.2.6 DOCUMENTATION AND OPERATIONS AND
applied and on the local market conditions.
MAINTENANCE MANUALS

Comprehensive and well-structured documentation and Installation of excess capacity for critical equipment or
O&M manuals are essential for reliable and efficient functions should be considered during the design of a plant.
operation and maintenance. The tender specification should As an example, the installation of 3 x 50 percent pump
define the structure, quality, timing, and extent of the capacity may be considered as an alternative to 1 x 100
equipment suppliers’ documentation. percent or 2 x 50 percent. A further option could be to have
a complete spare unit (for example, a complete pump unit)
Documentation should include: in stock, enabling a quick change to recover full operational
capacity (see Table 9–3).
• General description of plant and functional description
of individual systems Costs for spare parts will be very dependent on the plant
• Drawings of layout and diagrams with a clear tag type and geographical location. Costs of consumables and
number system for systems and components wear parts are included in the estimates for operation and
maintenance (OPEX) costs shown in Section 12.3.1. Costs
• Operation manuals for each system
of initial supply of strategic spare parts should be considered
• Detailed description of all major equipment and part of CAPEX, whereas replacement of used spare parts
components with precise and understandable is considered part of OPEX. For some parts, it can be an
maintenance manuals option to refurbish used parts and to keep these in stock for
future maintenance work.
• Performance data and technical guarantees with
correction curves for variations in preconditions, such as
ambient temperature.

Clear procedure instructions from plant management to

operators and maintenance staff are essential for a safe
working environment.

9.2.7 SPARE PARTS

Efficient operation and maintenance also must include an

efficient system for managing spare parts. It should be in line
with the overall maintenance strategy and system selected. An

Converting Biomass to Energy: A Guide for Developers and Investors 107

 Table 9-3: Examples of Strategic Spare Parts for a Steam Technology Plant
Main Plant Item Strategic Spare Parts, Examples
Fuel storage and handling Crane grab, cable wires, bearings
Conveyor belts, rollers, chains
Boiler Special components for grate, burners, air nozzles, refractory, fans, compensators and valves
Small stock of pipes for evaporator and superheaters
Flue gas cleaning Special components for reactors, pumps, piping, filter elements

Turbine Valve seats, spindles, bushings, gaskets

Bearing components or complete
Coupling components or complete
Electrical systems Special components for transformers, switchgear, generator

Controls and instrumentation Input/output and interface modules, CPUs, server hard discs, special instrumentation

Balance of plant (BOP) Special components for heat exchangers, pumps, valves

Buildings Special building components

Source: COWI.

9.3 TYPICAL MAINTENANCE FOR THE MAIN 9.3.1 HANDLING AND STORAGE OF FUEL, FLY ASH,
SYSTEMS AND COMPONENTS AND BOTTOM ASH

Table 9–4 describes some typical maintenance issues for a The handling systems for fuels, fly ash, bottom ash, and other
steam-producing power plant. residues and byproducts include cranes, conveyors, bulldozers,
silos, etc. These systems and equipment will be exposed to
wear and tear during normal operation, and require regular
maintenance such as lubrication and replacement of wear
parts. Corrosion also can give rise to problems, especially if

Table 9-4: Typical Maintenance Issues for a Steam Technology Plant

Main Plant Item Typical Maintenance Issues
Fuel storage and handling Wear parts to be serviced and exchanged
Corrosion issues possible
Boiler Cleaning of heat transfer surfaces
High and low temperature corrosion
Flue gas cleaning Maintenance of exchange of filter elements
Monitoring and service of systems for removal of nitrogen oxides
Turbine Maintenance of stop and control valves
Cleaning of condenser
Minor and major overhauls
Electrical systems Testing and service of generator
Scheduled testing of transformers and switchgear
Controls and instrumentation Calibration of instrumentation
Testing of DCS system and special instrumentation
Balance of plant (BOP) Service of critical auxiliary systems

Source: COWI.

108 Operation and Maintenance of Biomass Plants

the choice of materials and/or corrosion protection has not of times during the normal lifetime of a plant. Pressure
been considered from the start. drop and particle concentration in the flue gas should be
monitored and recorded in order to optimize operation
9.3.2 BOILER
and planning of maintenance. The time between changes
Cleaning of heat transfer surfaces for deposits of ash and of filter bags will depend strongly on the design, the ash
slag is a normal part of the daily operation and maintenance. composition, and operational factors.
Boilers are often equipped with soot blowers that can be
operated online. However, depending on the fuel composition For plants with either selective or non-selective catalytic
and the boiler design, it may be necessary to perform reduction systems for the removal of nitrogen oxides, it is
additional cleaning when the boiler is out of operation. very important to monitor emissions and the consumption
of ammonia, urea, or similar substances. A change in
Fuels with a high alkaline content in the ash (such as straw) temperature or injection profile can lead to increased
are prone to creating slag deposits in the boiler furnace. emissions and in the slippage to the ambient environment
Alkaline and chlorine may cause high-temperature corrosion of media for nitrogen oxide removal. For selective catalytic
in the furnace and in superheaters and low-temperature reduction units, the catalyst must be partly or completely
corrosion in the cold end of the boiler. replaced after some years, depending on the ash composition
and operating conditions.
Planning of eventual renewal of, for example, superheaters
should be included in the design and layout of the boiler. 9.3.4 TURBINE INCLUDING CONDENSER/COOLING
SYSTEM
Inspection and servicing of the main mechanical equipment The two most common causes for reduced turbine efficiency
and auxiliary equipment such as grates, fans, and pumps are and capacity are fouling of heat transfer surfaces in condensers
normally included in scheduled maintenance programs. and air ingress through leaks in components operating
below atmospheric pressure. Monitoring the performance of
Over the years, corrosion and erosion may reduce the wall
condenser systems therefore is very important in order to take
thickness of boiler tubes to a point where boiler leaks occur
necessary action in time. Actual maintenance and repairs will
frequently. If this happens, an analysis may indicate if ad hoc
differ with the type of condensers: water cooled, cooling tower,
repairs are sufficient or if parts of the boiler should be replaced.
or direct/indirect air cooled.

High-temperature parts of the boiler operating above

Scheduled (for example, annual) maintenance of the turbine
approximately 400°C will undergo material changes due to
includes inspection and possible repair of the turbine
creep. Boilers are normally designed for 200,000 hours of
auxiliary systems, including lubrication oil and hydraulic
operation. When approximately half of the design lifetime
control system. Special attention should focus on the key
is used, a systematic inspection of material condition should
components of the turbine control and safety system, stop
be initiated. This is particularly the case for thick wall
and control valves, overspeed protection, etc. Endoscopic
components, steam drums, and live steam pipelines.
inspection for cracks, fouling, and erosion also can be
9.3.3 FLUE GAS CLEANING included, supplemented by visual inspection where possible.

Depending on emission requirements, flue gas cleaning may Most original equipment manufacturers (OEMs) recommend
comprise filters, scrubbers, and possibly systems for the “minor overhauls” to be performed every 25,000 operating
removal of nitrogen oxides. hours or three to four years (whatever comes first). Some
suppliers calculate equivalent operating hours taking into
Filters such as electrostatic precipitators and bag houses
account the number of start/stops and trips. A “minor
must be cleaned regularly using online systems as part of
overhaul” normally includes opening and inspection of
normal operation. Filter bags must be renewed a number

Converting Biomass to Energy: A Guide for Developers and Investors 109

bearings and turbine valves in addition to the service TRANSFORMERS
prescribed under the annual maintenance.
Scheduled tests and maintenance of dry and oil transformers
include cleaning of transformers and their surroundings, test
A “major overhaul” is often recommended every 50,000
of instrumentation, and protection relay. The maintenance
hours or six to eight years (whatever comes first). A major
plan should follow the supplier’s instructions, including
overhaul includes opening of the turbine housing and removal
auxiliary equipment for the transformer (for example, the
of all inner components for cleaning, inspection, and repair
cooling system).
of possible damages. The scope also includes the services
under the minor overhaul. Seals and wear parts are inspected
It is recommended that scheduled oil and gas analyses be
and refurbished or renewed if necessary. Finally, clutches and
performed during the lifetime of the transformers. Records
alignment will be checked before commissioning.
of the analysis should be kept. Changes in analyses will
9.3.5 ELECTRICAL SYSTEMS provide an indication of upcoming failure.

GENERATOR
As a supplement, further measurements may be carried
In the range of 2 MW to 40 MW of electrical power, the out, such as frequency response analysis (FRA). FRA is an
turbine generators for a typical biomass plant are dominated effective method of evaluating the mechanical integrity of the
by air-cooled three-phase synchronous generators with core, winding, and fixings in the transformers. FRA may be
brushless excitation systems. The cooling can be either direct carried out on both oil and dry transformers.
air cooling (DAC) or totally enclosed water to air cooling
(TEWAC). Between the steam turbine (high-speed side) and Generally, the supplier’s assessment of the transformers
the generator (low-speed side), a reduction gearbox matches should be invited when progressed aging causes increased
the speeds. failure rates during the operation and maintenance period.

SWITCHGEAR
Scheduled overhauls recommended by OEMs generally
require an annual visual inspection of the generator interior Operation and maintenance of the switchgear should follow
and exterior. Endoscopes are useful for visual inspections the supplier’s recommendations. The supplier will normally
inside the generator, requiring only covers to be removed. have a test-and-service program for both the mechanical and
electrical components of the supplier’s equipment.
Minor overhauls and major overhauls typically are
performed every 25,000 and 50,000 operating hours, 9.4.6 CONTROL AND INSTRUMENTATION (PLANT
CONTROL SYSTEM)
respectively, for the turbine. A minor overhaul typically
includes opening and inspection of, for example, bearings, The control and instrumentation (C&I) system consists
excitation systems, coolers, and gearbox. of all of the plant’s instrumentation plus the distributed
control system (DCS). The instrumentation includes the
A major overhaul includes removal of the generator rotor. measurements of temperatures, pressures, flows, positions,
When the generator rotor is removed, access is given for a etc. More specialized measurements such as flue gas
thorough inspection and testing of the stator and rotor. The analyzers also may be included.
focus areas are windings and iron cores.
The DCS includes input and output modules and communication
Even though the generators are maintained according to modules. These provide the necessary interface between the
the OEM recommendations, experience shows that in order DCS and field instrumentation and devices, central processing
to reduce unplanned outages, it is important to carry out unit (CPU) modules, communication network, servers and
systematic condition-based maintenance. Modern online workstations, and human machine interface (HMI) with
monitoring systems are recommended for this.

110 Operation and Maintenance of Biomass Plants

monitors and keyboards in the central control room, and 9.4 ORGANIC RANKINE CYCLE (ORC) AND
possibly at other locations. BIOGAS PLANTS

This chapter focuses on plants with steam boilers and steam

Instrumentation should be checked and calibrated as part of
turbines. However, most of the general considerations and
a scheduled routine, describing time intervals and procedures
systematics for planning operation and maintenance also can
for each measurement. The basic routines normally will be
be applied to ORC and biogas plants. This section describes
performed by on-site personnel or contractors available on
the special issues related to ORC and biogas.
short notice. Special instrumentation may require the
call-in of specialists. 9.4.1 ORC PLANT

A biomass-based ORC plant will consist of a biomass-fired

The DCS system may include continuous monitoring of
boiler delivering heat to the ORC unit via a thermal oil
system components and provide diagnostic views that help
circuit. It thus includes the same main systems as a steam-
preventive maintenance. However, the DCS should be subject
based plant, for example biomass fuel handling and storage,
to a scheduled (for example, annual) inspection to check
a boiler with furnace, a flue gas system with cleaning and
CPU and bus-load, capacity of data storage media, and
stack, ash handling, etc.
components with limited lifetime, etc.

Operation and maintenance of a biomass ORC plant

Functional safety systems, which are part of the plant
therefore will include the same basic operations and
protection, should be maintained and tested in accordance
activities as described above for a steam plant. However, the
with relevant standards and authority requirements.
types of boilers are smaller and more simple than a typical
The basic instrumentation often will have a technical life steam boiler, and ORC plants also are designed for much
similar to the main process and mechanical equipment. lower pressures and temperatures than steam plants and are
However, parts of the DCS system may have a shorter usually built with a high degree of automation.
practical life due to changes in technology and availability of
ORC plants often are designed and built in prefabricated
spare parts. Exchange of HMI systems may be expected after
modules, which require less assembly work on site compared
10 to 15 years, and renewal of the automation level of DCS
to steam plants.
(input and output modules, communication modules, CPU
modules, etc.) after 15 to 20 years.
This generally reduces the necessary human power for
9.3.7 BALANCE OF PLANT (BOP) operation and maintenance. Often, the maintenance of the
fuel and boiler-related systems can be performed by staff or
Balance of plant consists of a number of supporting auxiliary
contractors available locally.
systems, for example cooling water, water supply and
makeup, water conditioning, compressed air, firefighting However, maintenance of the core ORC unit, its
systems, etc. These systems may be considered as secondary, components, and the handling of the working fluid will
but some are highly critical for operation, safety, and plant require expert skills and special spare parts that are
availability. Therefore, an analysis of each system should be often available only from the OEM. It therefore can be
made in order to decide an appropriate maintenance strategy. advantageous to have a contractual agreement with the
OEM supplier for some years.
Depending on potential integration and cooperation with
a nearby industrial installation, the plant also may include 9.4.2 BIOGAS PLANT
facilities for administration offices and staff facilities.
The investment in a biogas plant is rather high, so yearly
depreciation is high. In addition, there are many types of
operation costs such as biomass transport and pretreatment,

Converting Biomass to Energy: A Guide for Developers and Investors 111

process heat, cost of chemicals, and costs of cleaning the gas Most biogas plants operate fully automatically, and several
for, for example, sulfur. safety devices are installed to avoid explosions and accidents.
However, there is still a need for people to observe the
The only revenue is from the sale of biogas (or produced processes and to ensure that all process units are operating.
electricity and heat). The sales price depends on the market
price for natural gas, and it therefore is essential to operate The digester does not require any manual labor for its operation.
the plant optimally to obtain the maximum biogas output Biomass is mixed in the storage tanks and is automatically
from the biomass. pumped into the digester. Following gasification, the biomass
residues are automatically emptied from the digester, and the gas
A biogas plant depends on a stable and sufficient supply is collected in the top of the digesters.
of biomass of a quality that will enable optimal production
of biogas. MAINTENANCE

The biomass used may contain sand and other solid

The feedstock for a biogas plant consists mainly of manure,
particles, which will influence the operation of pumps, pipes,
plant material, and industrial residues mixed with water into
mixers, valves, tanks, heat exchangers, etc. Pumps and
a slurry that can be transported by heavy-duty pumps and
mixers require frequent maintenance since the equipment is
metered into the digester. This slurry is very different from
subject to wear.
the solid fuels normally used in boilers.

It is normal to have a strategic stock of the most used spare

It often will be necessary to supplement the biomass with some
parts for pumps, etc., at the plant.
slaughterhouse offal in order to keep the gasification process
going, when the quality of the biomass feedstock is poor. Normally, it is possible for the staff on-site to replace
damaged parts in pumps and to perform daily maintenance.
OPERATION
In case of major repairs, experts will be required, or the
The operation of a biogas plant comprises the following equipment must be shipped to specialized workshops.
tasks needed for safe and optimal production of biogas:
On-site staff will be able to perform routine cleaning,
• Receiving biomass and storing it in storage tanks maintenance, and calibration of standard measuring sensors
• Mixing the different kinds of biomass to extract the and equipment. However, some flow meters can be critical
maximum energy from the biomass and so-specialized that expert companies are needed for their
calibration and maintenance.
• Pretreating the biomass to optimize the gas production

• Testing the suppliers’ biomass samples for gas potential The gas engine generator converting the biogas to electricity
and dry solid content in order to control contractual issues and heat normally will be a more or less standard unit, not
very different from other stationary internal combustion
• Cleaning the areas where spills may occur
engines. Based on some basic training and OEM-supplied
• Routinely checking and calibrating the sensors manuals and schedules, the on-site staff will be able to
perform routine monitoring and maintenance work, such as
• Inspecting the top of the digester daily
control and change of lubrication oil, control, and simple
• Investigating potential access to new types or suppliers maintenance of cooling water circuit, etc. Larger overhauls
of biomass. and complicated repairs normally should be contracted to
The plant management should update or prepare new specialized companies.
contracts with biomass suppliers.

112 Operation and Maintenance of Biomass Plants

STAFF

The staff at a biogas plant is limited to three to six persons,

depending on the plant size. Since operation is fully
automatic, the plant is only manned between 6 a.m. and 6
p.m. On weekends, there is normally no staff, but the alarm
system will call for support if there is a breakdown or other
irregularities at the biogas plant.

The staff consist of a plant manager and operators. At

large biogas plants, a process specialist may be employed to
supervise the mixing of biomass types, optimization of the
operation, etc.

OPERATION AND MAINTENANCE MANUALS

Each plant should have a set of operation and maintenance

manuals. These are the basis for maintenance of the plant
since they include information on each component at the
plant, such as the pumping capacity, power demand, when
oil shall be changed, which type of oil is needed, etc.

Converting Biomass to Energy: A Guide for Developers and Investors 113

 Source: COWI.

114 Regulatory Framework

REGULATORY FRAMEWORK
10
Energy generation from on-site available biomass residues RENEWABLE ENERGY TARGETS
can be cost competitive with fossil fuels today. However, if
Most countries have established an official commitment or goal
the biomass resource needs to be purchased and transported
to achieve a certain amount of renewable energy by a future
to the production site, the cost difference between biomass
date. These targets often define a certain share of renewable
and fossil fuels may be too big to allow for cost-competitive
energy in total energy supply (for example, 20 percent
bioenergy generation. Many countries therefore are adopting
renewable energy by 2020 in Australia and the European
a favorable policy framework to promote the sustainable use
Union), rather than referring to specific technologies.
of bioenergy for heat and power generation.
RENEWABLE ENERGY MANDATES/OBLIGATIONS
This chapter outlines and exemplifies how sector-specific
Some countries have requirements for consumers, suppliers,
regulatory frameworks may affect biomass-to-energy projects.
or generators to meet a minimum target for renewable
energy in their energy mix (such as a percentage of total
10.1 PROMOTION OF RENEWABLE ENERGY
energy consumption). Mandates can, for example, be in the
The most-used policies to promote renewable energy include:7 form of obligations that require the installation of renewable
energy production capacity, renewable energy purchase
ABOLITION OF FOSSIL FUEL SUBSIDIES
requirements, or requirements for blending specified shares
Fossil fuel subsidies, which in many cases encourage a wasteful of biofuels (biodiesel or bioethanol) into transport fuel.
use of energy, are being scaled back in many countries. Many
countries (such as Ghana, Indonesia, Mexico and Egypt) FEED-IN POLICIES
have abolished or reduced fossil fuel subsidies over the last Feed-in policies typically guarantee renewable generators a
decade, whereas a number of mainly energy-producing specified price per kilowatt-hour of electricity/heat that is fed
countries retain national fossil fuel subsidies. The abolition into the grid over a fixed period. The price level may depend
of subsidized fossil fuel-based energy for industry contributes on the specific technology and size of the conversion plants.
positively to biomass project viability. The feed-in policies may structure the payment as a guaranteed
minimum price (a feed-in tariff) or as a payment on top of the
INTRODUCTION OF CARBON PRICING
market-based wholesale electricity price (a feed-in premium).
One way to level the playing field for biomass-based energy The feed-in policies are often combined with regulations by
is to price the environmental impacts of fossil fuel through which renewable energy generators are ensured priority rights
the introduction of a price for carbon dioxide emissions. to interconnect and sell power to the grid.
This may be through a carbon tax (such as those introduced
in Australia, China, Denmark, Finland, India, Mexico, South RENEWABLE ENERGY CERTIFICATES
Africa, and Sweden) or through an emission trading scheme A renewable energy certificate is awarded to certify the
(such as those in California, China, the European Union, generation of one unit of renewable energy (typically 1
India, New Zealand, and the Republic of Korea). MWh of electricity but also, less commonly, of heat). The
certificates then can be traded on a separate market and
7 For further information, see: IEA, 2011a; IEA,2012; IEA, sold to industries or large consumers or retailers that need
2011b.

Converting Biomass to Energy: A Guide for Developers and Investors 115

to meet their own renewable energy obligations. They also of net metering (where on-site generators typically receive
may be sold to consumers who desire to purchase renewable credit at the level of the retail electricity price) or net billing
energy voluntarily. (where they typically receive credit for excess power at a rate
that is lower than the retail electricity price).
RENEWABLE ENERGY TENDERS
FLEXIBILITY PREMIUM
Some countries conduct competitive tenders or auctions
for renewable energy capacity, in which project developers Bioenergy can play a role in balancing a rising share of
propose establishing a certain energy capacity based on a variable renewable electricity within a grid system such as
specified renewable energy source at a certain price. Bids wind and solar energy. Some large-scale biomass plants
may be evaluated on both lowest price and non-price factors, are able to react to predictable demand changes and thus
and the tenders typically are combined with long-term power provide very important flexibility to the power system. This
purchase agreements. is the case for biogas and bio-methane that are converted in
open-cycle gas plants. They can respond quickly to short-
TAX INCENTIVES OR CREDITS
term demand peaks in the power system. However, for solid
Tax incentives for renewable energy are fiscal incentives biomass plants, corrosion and fouling caused by ramping
that improve the viability of a renewable energy generation production up and down will imply additional investments
project through reduction on the tax obligation of the or higher operation and maintenance costs. For such biomass
project developer, investor, or owner. This may be in the plants to be available as a dispatchable, flexible electricity
form of a production tax credit (where the investor or source, these additional costs will need to be compensated
owner of a qualifying renewable energy production facility through a flexibility premium (such as that applied under the
receives a tax credit based on the amount of renewable German Renewable Energy Sources Act).
energy generated by the facility) or an investment tax credit
SUPPORT FOR BIOMASS SUPPLY CHAIN DEVELOPMENT
(which allows investments in renewable energy to be fully or
partially credited in the tax accounts). In addition to policy measures addressing the generation part
of the supply chain, some countries are addressing upstream
INVESTMENT GRANTS
investments in feedstock cultivation and biomass refining
Investment grants are financial support mechanisms through the integration of bioenergy and biofuel projects in
whereby governments provide direct assistance to reduce their agricultural and rural development strategies. This can
the investment costs associated with a specific project. increase the potential for symbioses between investments
The support can be in the form of grants or loans to aid in bioenergy and those in agricultural production and can
the development or deployment of renewable energy enhance the overall benefits for rural economies.
technologies. These mechanisms are particularly valuable
for projects that are perceived to have considerable 10.2 SALE OF ENERGY TO THE GRID
investment risks (for example, because they are the first of
To enhance the use of bioenergy, the available supporting
their kind in the country).
policy measures may need to offset the cost difference

NET METERING / NET BILLING between conventional coal and biomass and to encourage
investments in refurbishing of existing assets and
Companies with on-site electricity generation may have
dedicated biomass plants. This is often done through some
periods of excess generation that is sold to the grid and
combination of feed-in tariffs, renewable energy certificates,
periods where they are dependent on purchasing energy
and renewable energy tenders (Box 10-1).
from the grid. In such cases, a regulated arrangement will be
useful in which they can receive credits for excess generation The specific regulatory framework (for renewable energy in
to be offset against their consumption at other times. general and for biomass-to-energy in particular) that is in place
Depending on the individual country, this may be in the form in the country and sometimes region where a project is located

116 Regulatory Framework

Box 10-1: Calculating Biomass-to-Energy Versus Existing Use of Coal

Before investing in the retrofitting of a coal power plant to accommodate co-firing with biomass, it is essential to clarify the
financial viability of such an investment. The following calculations provide an indicative estimate of the costs per MWh
related to co-firing compared to business as usual. It becomes clear that the investment is financially viable only if there are
financial incentives such as a carbon dioxide tax and clean energy certificates (CEC).
The business-as-usual scenario is electricity generation based on coal firing. This scenario applies no additional CAPEX or OPEX,
and thus the price per MWh consists only of the costs of coal and the related tax on carbon dioxide emissions for comparison
purposes.
The scenario of co-firing with biomass adds a few elements to the equation. First, there is the price of the biomass, including
collection and transport. Then, there is the additional CAPEX and OPEX due to the retrofitting of the power plant. Finally,
there is the CEC incentive, which is intended to outweigh the additional costs of using biomass for energy generation.

Assumptions $/MWh Assumptions

Average biomass price (assuming 50% 18 Depreciation 10 years
coconut husk and 50% sugarcane trash)
Electrical efficiency 40%
Coal price 11
Carbon dioxide emissions 94.6 kg/GJ
CAPEX (including depreciation) 3
OPEX (percentage of investment) 2%
OPEX 0.5
CEC 10
Carbon dioxide emission tax 0.2

25.0

20.0

15.0 Total

Taxes
10.0 CEC
USD/MWh

OPEX
5.0
CAPEX

Input price
0
Breakdown of Total costs Total costs
biomass costs of biomass of coal
-5.0

-10.0

-15.0

Without the CEC, the co-firing solution is significantly more expensive than the business-as-usual scenario. However, including
the CEC, the total cost of the co-firing solution becomes lower than the business-as-usual scenario, indicating that, subject
to the assumptions, a co-firing solution is financially viable and a sound investment.
Therefore, project developers should, at an early stage of the project development process, seek to identify and understand
the specific regulatory framework in place for biomass-to-energy in their country and region.

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 117

will often become an important determinant of a project’s countries and emerging economies have comprehensive
financial viability. Box 10–1 shows the impact of a combination regulatory support regimes in place.
of a carbon dioxide tax and renewable energy certificates on the
viability of a coal-to-biomass conversion project. In this context, firm economic support measures, such as a
price for carbon dioxide, feed-in tariffs, renewable energy
As shown in Box 10–1, a biomass-to-energy retrofit project certificates, and renewable energy tenders will have a more
selling excess electricity to the grid cannot always compete direct impact on project financial viability than softer
based on a direct comparison with the cost of fossil fuel. But policies such as renewable energy targets.
when the supportive measures of the regulatory framework
are taken adequately into account, it may be quite attractive. 10.3 REGULATORY RISKS AND THEIR
MITIGATION
Table 10–1 provides an overview of the renewable energy
Table 10–2 presents the key regulatory risks (and
support policies in selected developing countries and
opportunities) faced by biomass-to-energy projects and
emerging economies (2015 data). Note that many developing
suggests strategies for their mitigation.

Table 10-1: Overview of the Renewable Energy Support Policies in Selected Countries, 2015
Renewable
Renewable Price for Energy Renewable Renewable Tax
Energy Carbon Feed-in Mandates/ Net Metering/ Energy Energy Investment Incentives
Country Targets Dioxide Tariffs Obligations Net Billing Certificates Tenders Grants or Credits
Argentina ✓ ✓ ✓ ✓ ✓ ✓
Brazil ✓ ✓ ✓ ✓ ✓ ✓
China ✓ ✓ ✓ ✓ ✓ ✓ ✓
Colombia ✓ ✓ ✓ ✓ ✓
Ghana ✓ ✓ ✓ ✓ ✓ ✓
India ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
Indonesia ✓ ✓ ✓ ✓ ✓ ✓
Mexico ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
Nepal ✓ ✓ ✓ ✓ ✓ ✓
Nigeria ✓ ✓ ✓ ✓ ✓
Pakistan ✓ ✓ ✓ ✓ ✓ ✓ ✓
Peru ✓ ✓ ✓ ✓ ✓ ✓
South Africa ✓ ✓ ✓ ✓ ✓ ✓
Sri Lanka ✓ ✓ ✓ ✓ ✓ ✓
Turkey ✓ ✓ ✓ ✓
Uganda ✓ ✓ ✓ ✓ ✓
Vietnam ✓ ✓ ✓ ✓ ✓ ✓
Source: REN21, 2015.

118 Regulatory Framework

Table 10-2: Regulatory Risks
Regulatory Risk Strategy for Mitigation
Availability of policy support measures necessary Seek early engagement with relevant authorities in relation to eligibility,
for project viability process, and terms for policy support measures.
Key points to consider are:
• Is the country/region generally supportive of renewable energy?
• Are there support mechanisms in place (most importantly feed-in tariffs,
but also renewable energy certificates, taxes on carbon dioxide, renewable
energy tenders, renewable energy mandates/obligations, investment
grants, or tax incentives)?
• Are policies limited in time, and what are the procedures for benefiting?
Changes in political priorities that may reduce The best insurance against adverse changes in the regulatory regime (such as
attractiveness of regulatory regime a reduction in or abolition of feed-in tariffs) is to seek contractual security on
regulatory regime aspects that are essential to project viability at the time of the
investment decision.
Planning permits are not obtained in a timely and Seek early engagement with relevant authorities on process and documentation
transparent manner need.
National support for projects and engagement with international donors also
may help ensure transparency of permitting procedures.
Environmental impact assessment process Seek early engagement with relevant authorities and key stakeholders (including
is smooth and predictable nongovernmental organizations and local communities) on the project’s
environmental and social aspects and on how to mitigate any adverse effects.

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 119

 Source: COWI.

120 Commercial Aspects

COMMERCIAL ASPECTS
11
This chapter focuses on the contractual framework for Figure 11–1 illustrates the structure of a biomass-to-energy
biomass and the sale of excess power or steam/heat. project and the commercial contracts/agreements that are
This is important for biomass-to-energy projects that are necessary to ensure a stable supply of biomass and access to
dependent on an external biomass supply to supplement a market for energy produced, but not used, by the project
on-site waste from the production process or where the owner. These commercial contracts/agreements are the
project is dependent on the external sale of produced energy biomass supply agreements, the power purchase agreement,
(beyond the direct substitution of energy used in the on-site potential steam/heat agreements, and the bio-residue
production process). disposal agreement.

Formalizing the agreements with suppliers and offtakers 11.1 BIOMASS SUPPLY AGREEMENTS
is essential for ensuring a robust financially viable project.
A biomass supply agreement is essential for ensuring a
Once the key terms have been established, the project
viable biomass-to-energy project, if the necessary biomass
developer will have concrete knowledge of the input and
is not owned by the project owner. If the supply of biomass
output of the plant. This will enable the developer to
fails, the whole operation of the plant stalls, with severe
conduct a realistic financial analysis, which is the basis for a
financial consequences to follow. The agreement is entered
bankable feasibility study to be used for ensuring financing.
between the biomass-to-energy project and one or more
Chapter 14 goes in-depth on the requirements for obtaining
financing, but a robust business case is definitely the key.

Figure 11-1: Commercial Agreements

Banks
Equity for Authority
providing
project approvals
loans

Loan
Own agreement Own energy
biomass
consumption
on site
Biomass-to-Energy Project
External External heat
Biomass supply
biomass and power
agreement Plant construction
suppliers customers
contracts PPA

O&M contractor Construction and Insurance

Consultants (if outsourced) equipment company
contractors

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 121

external biomass suppliers. The most important factors to Key elements of a PPA include the following:
incorporate in a biomass supply agreement are the following:
• Required quality of the power (frequency, voltage,
• Quantity of biomass (tons per day, delivered on-site) and planned outage)
what happens if the supplier does not supply biomass in
• Quantities of capacity and energy sold (MWh per year)
accordance with the agreement
• Price of electricity output (dollars per MWh) and available
• Quality of biomass (typically weight and moisture
capacity (if the project is perceived as baseload), the price
content), how quality is determined, and what happens if
may reflect special feed-in tariffs for renewable energy and
the specifications are not met
renewable energy credits (see Section 10.2)
• Price of biomass (dollars per ton) and how the price
• Flexibility for producer to make third-party sales (if
varies with quality parameters
allowed by the purchaser)
• Place of delivery (ideally on site)
• Compensation to producer in case of production
• Rejection criteria and consequences of late delivery. limitations (by purchaser or transmission system
operator) due to constraints in transmission system
Besides being self-sufficient in biomass supply, the preferable
situation would be to have one stable biomass supplier, so • Compensation to purchaser in case of delays in
the owner has only one agreement to manage. The chosen completion of project or underperformance of delivery
biomass supplier will then be responsible for subcontracting (may include sanctions or liquidated damages for
with other suppliers, collecting and transporting the projects being perceived as baseload)
biomass, and delivering the agreed amounts of biomass at
• Timeframe of the agreement (typically five years or more)
the agreed quality and price.
• Dispatching rules, including potential restrictions.
The example in Box 11–1 outlines the structure and the most
Further to this, the infrastructure cost of transmission and
common aspects of a biomass supply agreement.8
connection to the nearest suitable grid-access point should be
estimated and agreed. For projects where the prime purpose is
11.2 POWER PURCHASE AGREEMENTS
energy production for own use and only residual energy is sold
When a biomass-to-energy project generates power beyond to the grid, the cost of the transmission line and connection
the owner’s energy needs, a power purchase agreement (PPA) costs typically will have to be funded by the project.
can be entered into between the biomass-to-energy project
acting as an independent power producer and a purchaser of For biomass projects that are dependent on the sale of
power (often a state-owned electricity utility). electricity to third parties, negotiating an acceptable PPA
is a key step in the project development, and the PPA
The PPA is a long-term agreement that lays down key therefore should not be entered into without the advice of
commercial provisions for energy prices and sales quantities experienced legal counsel. The PPA is a mandatory part of
during a given period. Such agreement provides both the the documentation to reach a financing agreement.
project owner and the energy purchaser with a level of
security and stability, by eliminating otherwise unknown The example in Box 11–2 outlines a typical structure of a
market factors. This allows the biomass project to secure a PPA. PPAs for grid tie-in of renewable energy sources are
revenue stream that can provide comfort to lenders. often regional or national standard documents developed by
(or on behalf of) the transmission system operator.9
8 Examples of bulk fuels supply agreements are available at:
http://ppp.worldbank. org/public-private-partnership/sector/
energy/energy-power-agreements/bulk-fuel-sup- ply-agreements 9 Examples of PPAs are available at
and http://www.carbontrust.com/resources/guides/renewable- https://ppp.worldbank.org/public-private-partnership/sector/
energy-technologies/bio-mass-heating-tools-and-guidance. energy/energy-power-agreements/power-purchase-agreements

122 Commercial Aspects

Box 11-1: Example of the Structure of a Biomass Supply Agreement

Contract between [SUPPLIER] and [END USER] for the supply of solid biomass to [SITE]
1. Purpose
The supplier agrees to supply to the end user, and the end user agrees to purchase from the supplier, biomass to the
specifications, in the quantities, for the period, at the price, and on the terms and conditions set out below.
2. Duration of contract
This contract is for a period of [XX MONTHS/YEARS] and will commence on [DATE] and end on [DATE].
3. Quantity
The minimum monthly quantity of biomass supplied during the defined contract will be [XX] cubic meters [OR XX TONS].
In case of a shortfall in the biomass available to the supplier, the supplier shall be responsible for [SOURCING FROM THIRD
PARTIES/PAYING COMPENSATION].
4. Source and delivery
The biomass will be derived from the following sources: [insert as appropriate].
Biomass will be supplied in [BAGGED/BALED/LOOSE] form and delivered to the end user by a suitable vehicle for delivery
into the end user’s fuel store.
5. Quality and specifications
Regulating key quality parameters such as, for example, moisture content.
The target moisture content on a wet basis shall be [XX%] by weight based on the [relevant standards] but in any event shall
not exceed [YY%]. In case of delivered biomass not meeting the minimum specifications as determined through sampling,
the supplier shall be responsible for [COMPENSATION].
6. Weights, sampling, analysis
The end user may at any time send representative samples of biomass for evaluation, analysis, testing, and approval.
All samples must meet the specification.
7. Price
The price for biomass delivered into the fuel store of the end user will be based upon the following tariff up until [DATE] $ [XX]
per cubic meter of biomass; [OR: $ XX PER TON OF BIOMASS]. For biomass complying with minimum specifications but with a
moisture content above [ZZ%] the price shall be [ADJUSTED PRICE].
8. Invoices, billing, payment
The supplier will invoice the end user on a monthly basis. This will be based upon the number of loads recorded (by weight or
volume) and will be assessed on the XX day of each month.
9. Insurance
The supplier will have adequate public liability insurance for handling and transport of the specified quantities of biomass. The
responsibility for insuring the end user against the economic consequences of a possible inability of the supplier to meet the
contractual obligations shall be with [END-USER/SUPPLIER]. Irrespective of this, the supplier shall in case of default of the
obligations under this contract pay the end user a penalty defined as [definition of penalty upon default].
10. Event of dispute
11. Termination
12. Force majeure
13. Representation
14. Governing law and jurisdiction

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 123

 Box 11-2: Example of the Structure of a Power Purchase Agreement

PPA between [PRODUCER] and [PURCHASER] for the supply of power from [FACILITY]
• Purpose • Contract administration and notices
• Facility description • Dispute resolution
• Interconnection facilities and metering • Force majeure
• Obligation to sell and purchase energy output • Representations and warranties
• Payment for energy output • Insurance and indemnity
• Supporting regulatory framework • Regulatory jurisdiction and compliance
(feed-in tariff, purchase obligations, etc.)
• Assignment and other transfer restrictions
• Billing and payment
• Confidential information
• Operation and maintenance
• Miscellaneous
• Default and termination

Source: COWI.

11.3 STEAM/HEAT SUPPLY AGREEMENT If treated properly, bio-residues from the energy production
may have the same qualities as a fertilizer.11 In some
For biomass projects with excess production of steam/heat
situations, the bio-residues might be of such high quality that
(hot water), sales to a nearby industry may supplement the
the project owner will be able to obtain a price for them.
project revenues. A steam/heat supply agreement defines the
However, in most cases, the local farmers will be willing
key commercial terms concerning steam/heat prices and sale
to collect the bio-residues free of charge. Thus, the project
quantities during a given period and provides both the project
owner will gain by saving both transport and disposal of the
owner and energy purchaser with a level of security and stability.
residues from the energy generation.

The heat supply agreement should include and define the

This disposal of the bio-residues shall be formalized to
following elements:
ensure that the project owner will not face an unexpected

• Steam/heat parameters (temperature/pressure) and capacity/storage issue or any extra disposal costs if the

maximum variations regular users find another supplier. The project owner may
be forced to commit to many user agreements, to meet
• Quantities of heat sold (MWh per year)
production demand.
• Price of heat (dollars per MWh)
The bio-residue disposal agreement should specify
• Responsibility for investment costs for the heat transfer
the following:
infrastructure between the heat supplier and the heat user

• Timeframe of the agreement (years). • Quantities of the bio-residue (tons per day)

Box 11–3 outlines the structure and the most common • Quality of the bio-residue (nutrient value)

aspects of a heat supply agreement.10 • Price (or cost of disposal) of the bio-residue (dollars per ton).

11.4 BIO-RESIDUE DISPOSAL AGREEMENT

The ash residues from the combustion process, or the

de-gassed bio-slurry from biogas production, must somehow 11 For ash residues, this is the case for bottom ash, whereas fly ash
be disposed of. will contain substances that may require it to be managed as
waste. For further discussion of ash utilization, see:
http://www.ieabcc.nl/publications/ash_utilization_kema.pdf and
10 A template heat supply agreement can be found at: http://www.biomassenergycentre.org.uk/pls/portal/docs/page/
https://www.carbontrust.com/media/74612/revised_contract_ practical/ using%20biomass%20fuels/emissions/ash/ash%20
for_supply_of_heat_energy.doc. laymans%20re- port_english.pdf.

124 Commercial Aspects

Box 11-3: Example of the Structure of a Heat Supply Agreement

Agreement between [SUPPLIER] and [HEAT USER] for the supply of heat energy derived from biomass
1. Purpose
The supplier agrees to supply to the end user, and the end user agrees to purchase from the supplier, heat energy generated
from biomass to the specifications, for the period, at the price, and on the terms and conditions set out below.
2. Duration of contract
This agreement is for a period of [XX YEARS] and will commence on [DATE] and end on [DATE].
3. Facility description
The heat supply facilities of the supplier, the heat using facilities of the [HEAT USER], and the interconnecting facilities between
them are described in [SCHEDULE].
4. Interconnection facilities and metering
Investment in and subsequent operation and maintenance of the interconnection between the boiler and the heat user is the
responsibility of [SUPPLIER/HEAT USER].
The installation and effective operation of an appropriate heat meter to record heat output from the boiler is the responsibility
of [SUPPLIER/HEAT USER].
5. Quantity of heat
The minimum heat purchase during the defined contract period will be [AMOUNT] megawatt hours (MWh) per [UNIT OF TIME]
(the minimum total offtake).
6. Obligation to sell and purchase heat
The supplier is required to sell heat energy based on the predicted annual demand and at the tariff specified in the contract,
unless [SPECIFIC CONDITIONS].
The heat user is required to purchase heat energy based on the predicted annual demand and at the tariff specified in the
contract, unless [SPECIFIC CONDITIONS].
7. Price for heat delivered
The price for heat delivered to the end user will be based upon the following tariff(s): $ [XX] per MWh per unit of heat used
within the minimum total purchase and $ [YY] per MWh per unit of heat used above the minimum total purchase.
8. Billing and payment
The supplier will invoice the heat user on a monthly basis on the [XX] day of each month based upon the tariff structure and the
measured heat consumption.
9. Insurance and indemnity
The supplier will indemnify the heat user against any damage to the heat user’s facilities caused by the supplier or his agents
within a total maximum of [MAX. INDEMNITY]. The supplier will have public liability insurance of [INSURANCE AMOUNT].
10. Event of dispute
11. Default and termination
12. Force majeure
13. Representations and warranties
14. Governing law and jurisdiction

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 125

 Source: COWI.

126 Typical Investment and Operation and Maintenance Costs

TYPICAL INVESTMENT AND OPERATION AND
MAINTENANCE COSTS 12
The aim of this chapter is to provide an indication of INTEGRATION/SYNERGIES WITH OTHER INDUSTRIES
capital costs (CAPEX) and operation and maintenance
One of the most important issues to consider is the possible
costs (OPEX) for a biomass-to-energy plant and to compare
integration or joint operation with a host or nearby industry,
alternatives. These cost indications are intended to assist
which may supply the fuel and/or be the primary customer
project developers and investors with the initial assessment
for the produced electricity or heat. The integration also
of a candidate project in order to decide at an early stage
may include operational and maintenance staff and facilities,
whether to proceed with the project. Actual costs will
such as the control room, workshops, management,
depend strongly on several factors, and a more detailed and
administration, staff rooms, etc.
precise analysis of cost structure and cost level should be
made at a project-specific level. Such cost analysis should be FUEL HANDLING AND STORAGE FACILITIES ON-SITE
performed during the pre-feasibility and feasibility phases, as
If residual products or waste from an industrial operation
detailed in Chapter 2.
are the partial or main source of fuel for the biomass plant,
some facilities for handling, storage, and pretreatment will
This chapter presents the factors influencing the investment
probably already be available.
costs for a project, along with generalized CAPEX and OPEX
estimates for the main technology groups described in Chapter 5: GREENFIELD OR EXISTING SITE

• Steam cycle If the plant is to be built on an existing site, some

infrastructure may already be in place, such as roads, harbor,
• ORC
water supply, sewage water system, grid connection, etc.
• Biogas plant.
CAPTIVE POWER CONSIDERATIONS
The estimates presented use cost estimates published by the
In this context, the access to energy produced from biomass
International Renewable Energy Agency (IRENA, 2015)
residues may reduce the need for reliance on potentially
and cost estimates made by COWI based on other available
unstable local electricity grids or the need for heat and
open-data sources and a number of specific projects.
power production based on expensive imported fossil fuels.

12.1 FACTORS INFLUENCING INVESTMENT COSTS 12.1.2 PLANT-SPECIFIC ISSUES

A large number of factors determine the level of investment cost A number of issues related to the specific plant must be analyzed
(CAPEX) for a biomass plant. These factors can be roughly during the pre-feasibility and feasibility phases of the project in
categorized as: site specific, plant specific, and local conditions. order to establish a good investment estimate. The main issues to
consider during the project development phase are:
12.1.1 SITE-SPECIFIC ISSUES

There will always be site-specific issues that must be PLANT SIZE

considered during the project development. For a biomass For plants of similar type and location, the specific costs
plant, these include: will generally decrease with increasing plant capacity due to
economies of scale.

Converting Biomass to Energy: A Guide for Developers and Investors 127

FUEL TYPE AUTHORITY REQUIREMENTS

Homogeneous fuel with high density and small needs for Authority requirements with regard to planning procedures
pretreatment requires a lower investment. The need for covered and environmental issues (for example, emissions and water
storage, pretreatment, and mixing will increase investment. supply) are important cost factors. They also can be of great
importance for the project time schedule.
TECHNOLOGY

Boiler type and the choice of steam cycle or ORC must Figure 12–1 shows investment costs for plants of different sizes
be made based primarily on the type and amount of fuels and for different regions. For some of the data points, the applied
available. Fuel type also will influence the choice of flue gas technology is indicated. Note that the Asian projects are mainly
cleaning equipment. Chinese. Furthermore, authority requirements for, for example,
the environment may vary among countries and regions.
COOLING OF CONDENSER
There is a substantial difference in the specific investment
Access to cooling water may reduce investment and
costs among regions, with Asia having the lowest costs and
operation and maintenance costs compared to the use of
Europe having the highest costs. Differences in the costs of
cooling towers or air-cooled condensers.
local labor and materials are among the main determining
COMBINED HEAT AND POWER PRODUCTION (CHP) factors. However, there also is a general difference in
complexity, efficiency, and quality of the plants.
Back-pressure turbines delivering all exhaust steam as a
heat source for industrial process will reduce the need for INVESTORS HAVE A CHOICE OF DIFFERENT
cooling towers or air coolers compared to condensing plants APPROACHES:
designed for electric power production only. Adding steam
• Use local contractors for design and manufacture and
extraction for supply of industrial process heat or district
installation of equipment
heat may add investment costs compared to a condensing
plant for power production only. • Use local contractors for manufacture and installation,
but use design based on license and/or consultancy from
DEGREE OF AUTOMATION OECD countries; investors from OECD countries often
The degree of automation should be balanced with the salary choose this option when investing in other regions.
and skills of local operators. • Use design and EPC or main contractors from OECD
countries with, for example, Asian contractors as
REQUIREMENTS FOR EFFICIENCY
subcontractors for specific equipment (mostly used for
Requirements for maximizing the net electrical output of projects within OECD countries).
the biomass plant for a fixed amount of fuel will result in a
higher CAPEX. 12.2 INVESTMENT COST (CAPEX) ELEMENTS

12.1.3 ISSUES REGARDING LOCAL CONDITIONS This section presents the CAPEX elements and sizes across
the three main technology types: steam-cycle, ORC, and
Investment costs are very dependent on conditions, which
biogas plants.
vary among countries and regions, including:

LOCAL MARKET FOR CONTRACTORS AND EQUIPMENT The project development phases will clarify the project definition
SUPPLIERS and enable the preparation of a more detailed investment budget
with a breakdown of costs into the actual components.
The price of equipment and availability of qualified
contractors and equipment suppliers and skilled workers
Publicly available investment data from IRENA and similar
differ across countries and regions.
sources are most often presented on a highly aggregated level.

128 Typical Investment and Operation and Maintenance Costs

 Figure 12-1: Investment Costs for Plants of Different Sizes and for Different Regions

Source: IRENA, 2015.

Investment data also may be unclear regarding the CAPEX ESTIMATES ACROSS TECHNOLOGIES
technology, actual cost elements included, and country or
Table 12–2 presents typical CAPEX estimates for plants
geographical situation of the projects presented.
differing across technologies and size. These data are
12.2.1 CAPEX COST ESTIMATES collected by COWI based on experience from a number of

Table 12–1 presents the main CAPEX groups and sub-items

for a typical biomass plant. The table only shows investment Table 12-1: Main CAPEX Groups and Sub-items for a
Steam-cycle Plant
elements “inside the fence” of the plant site.
Main Item Sub-item

Other project-specific elements that are not included in the Project development Design and engineering

following cost estimates are: Supervision

Environmental assessment
• Site purchase Administration

• Fuel collection and logistics for delivery to plant site Storage and handling of fuel Fuel handling equipment
and residual products
Pretreatment of fuel
• Transmission lines and other grid connection outside
Storage for fuel and ash
plant site
Main process equipment Boiler
• Pipelines for heat delivery outside the plant site Flue gas cleaning
(steam or district heating) Turbine
Electrical systems
• Costs of financing.
Controls and instrumentation
These additional costs should always be included in the
Balance of plant (BOP)
financial analysis, as explained in Chapter 13, but they are
Civil works Buildings
excluded here to enable comparability between cost estimates.
Roads on-site

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 129

 Table 12-2: Typical Investment Costs (CAPEX) on a European Basis
Plant Size (MWe) Steam Cycle CAPEX ($/kW) ORC CAPEX ($/kW) Biogas CAPEX ($/kW)
1–5 5,000–10,000 3,000–8,000 3,500–6,500

5–10 4,000–8,000 2,000–5,000 n.a.

10–40 3,000–6,000 n.a. n.a.

Sources: Turboden, 2016; Danish Energy Agency and Energinet.dk, 2015; Ea Energianalyse, 2014; IRENA, 2015; COWI.

mainly European projects and on information from dialogue the plant and the geography. The highest CAPEX costs are
with various contractors and suppliers. found in the European Union, the United States, and South
Africa. China and India have a typical CAPEX of one-third
COST DISTRIBUTION OF CAPEX
of the EU prices, whereas the remaining countries (rest of the
Table 12–3 shows an estimate of how the main investment world) lies in between.
costs are distributed on the main CAPEX items. The
estimates are based on experience from a number of 12.3 OPERATION AND MAINTENANCE COSTS
European projects. (OPEX)

The operational and maintenance expenditures for a biomass

Figures 12–2, 12–3, and 12–4 show a model calculation
plant across the three technology types may be divided into
illustrating how typical investment costs vary with the size of
four subcategories:

Table 12-3: Example of Cost Distribution of the Main CAPEX Items for Biomass Plants
Steam Cycle ORC Biogas
Main Item Sub-item (% of CAPEX) (% of CAPEX) (% of CAPEX)
Project development Design and engineering 10 10 10
Supervision
Environmental assessment
Administration
Storage and handling of fuel and residual Fuel handling equipment 7 10 20
products
Pretreatment of fuel
Storage for fuel and ash 3
Main process equipment Boiler 15 20
Biogas process plant 30
Flue gas cleaning 5
Turbine/generator 15
ORC module 20
Engine/generator 15
Electrical systems 7
Controls and instrumentation 3
Balance of plant (BOP) 15 20 10
Civil works Buildings 20 20 15
Roads on site

Source: COWI.

130 Typical Investment and Operation and Maintenance Costs

Figure 12-2: Range of Typical Investment Costs (CAPEX), Depending on Plant Size, for Steam Cycle

Sources: Danish Energy Agency and Energinet.dk, 2015; Ea Energianalyse, 2014; IRENA, 2015; COWI.

Figure 12-3: Range of Typical Investment Costs (CAPEX), Depending on Plant Size, for ORC

Sources: Turboden, 2016; Danish Energy Agency and Energinet.dk, 2015; Ea Energianalyse, 2014; IRENA, 2014; COWI.

Figure 12-4: Range of Typical Investment Costs (CAPEX), Depending on Plant Size, for Biogas

Sources: Turboden, 2016; Danish Energy Agency and Energinet.dk, 2015; Ea Energianalyse, 2014; IRENA, 2015; COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 131

VARIABLE OPERATIONAL COSTS The costs described above do not include:

These are costs related to consumables, electricity consumption,

• Financing costs
disposal of residues, etc. that are directly linked to the amount
of fuel used and the amount of energy produced. • Costs of fuel purchase.

Typical insurance costs may amount to approximately

VARIABLE MAINTENANCE COSTS
1 percent of CAPEX per year. However, they can vary
These are costs related to the maintenance of process considerably with local conditions and requirements from
equipment, such as fuel handling, boiler, turbine/generator, financing institutions.
flue gas treatment, etc. They depend, to a certain extent, on
the amount of fuel used and the amount of energy produced. 12.3.1 OPERATION AND MAINTENANCE COST
ESTIMATES
The costs may be averaged over the plant lifetime, but, in Unfortunately, the available data often merge fixed and variable
practice, costs will vary from one year to the other. The operation and maintenance costs into one number, thus rendering
annual maintenance cost has substantial variations over the a breakdown between fixed and variable costs impossible.
plant life. During the first few years, some of the equipment
will still have to be repaired, or even exchanged under the Table 12–4 shows data collected by IRENA for plants based
contractor’s guarantee. During the plant life, some years on various types of plants with steam boilers and turbines, as
will show considerable maintenance costs for major repairs well as for biogas plants.
or equipment refurbishment, but compensated by less-than-
average costs in other years. Fixed operation and maintenance costs of larger plants can
be expected to be lower per kilowatt due to economies of
These costs do not include the salary, etc., for the plant’s scale, especially for labor.
in-house maintenance personnel, which is usually accounted
for together with the plant’s other staff. A large plant will Table 12–5 presents typical OPEX estimates for different

normally have in-house staff with the skills to deal with all or biomass-to-energy technologies and sizes. These data were

most day-to-day maintenance requirements. A smaller plant collected by COWI based on experience from a number of

typically will have less in-house capabilities and therefore will mainly European projects and on information from dialogue

depend more on outside contractors and service companies. with various contractors and suppliers.

FIXED OPERATIONAL COSTS

These costs are related to operational costs independent

Table 12-4: Operation and Maintenance Costs (OPEX)
of the amount of fuel used and the amount of energy
Fixed O&M per Year Variable O&M
produced, for example, salaries, insurance costs, electricity
(% of CAPEX) (2014 $/MWh)
consumption for lighting, ventilation and other consumption
Stoker/BFB/CFB 3.2 4–5
linked to non-process equipment. boilers
Biogas 2.1–3.2 4.4
FIXED MAINTENANCE COSTS
2.3–7
These costs are related to maintenance of non-process
Sources: Turboden, 2016; Danish Energy Agency and Energinet.dk, 2015;
equipment, which needs to be maintained independently of Ea Energianalyse, 2014; IRENA, 2015; COWI.

the amount of fuel used and the amount of energy produced,

such as buildings and roads.

132 Typical Investment and Operation and Maintenance Costs

Source: http://jfe-project.blogspot.dk/.

Table 12-5: Typical Operation and Maintenance Costs (OPEX) on a European Basis

Plant Size OPEX Fixed Costs per Year OPEX Variable Costs
Plant Technology (MWe) (% of CAPEX) ($/MWh)
Steam boiler and turbine 1–5 3–6% 3–7
5–10 3–6% 3–7
10–40 3–6% 3–7
ORC 1–5 2–3% 5–10
5–10 1.5–2% 5–10
Biogas 1–5 Included in variable costs 20–40
5–10

Sources: Turboden, 2016; Danish Energy Agency and Energinet.dk, 2015; Ea Energianalyse, 2014; IRENA, 2015; COWI.

Name and location: Mahachi Green Power Plant, Thailand

Project: Power plant using coconut residues in

the Samut Sakhon province in Thailand

Description: Grate-fired boiler with high efficiency

(90 percent) producing electricity for
the grid.

Boiler data: 92 bar / 537 °C / 40 tons of steam

per hour

Turbine output: 9.9 MW gross power output

Fuel: Coconut residues

(husk, shell, bunch, frond, leaves, trunk)

Source: DP Clean Tech Group, www.dpcleantech.com.

Converting Biomass to Energy: A Guide for Developers and Investors 133

 Source: COWI.

134 Financial and Economic Analyses

FINANCIAL AND ECONOMIC ANALYSES
13
The decision to implement a biomass project follows An economic analysis evaluates a project’s impact on society
an assessment of the viability of the project in terms of by valuating its costs and benefits to the overall economy. An
technological, organizational, environmental, economic, and economic analysis compares a baseline scenario, without the
financial aspects. Once a project has been analyzed in the project, to a scenario where the project is implemented, assessing
areas mentioned above, the project developer can commence the effects, including quantifying externalities (such as social or
the construction phase. environmental effects) in monetary terms. If the net benefit of a
project is positive, then the project will have an overall positive
Financial analyses and economic analyses are both essential effect on society, despite the results of the financial analysis.
approaches when assessing a biomass project. Both analyses
provide the ability to compare different technical and financing The shaded box below summarizes the difference between a
solutions from both an investor perspective and a regulator financial and an economic analysis. Projects with large benefits
(society) perspective. A financial and economic analysis should to society (for example, reduction in greenhouse-gas emissions
always include a comparison to a “business-as-usual” scenario. through the use of secondary or tertiary biomass instead of coal
or oil) will most likely have a better economic result compared
to the financial result. Projects using primary biomass for energy
Business as usual
production may cause an increase in greenhouse-gas emissions or
A business-as-usual scenario could contain the following
elements: cause a rise in food prices. They may result in a positive financial
• Current costs of energy, either market price for business case, but might have a negative economic business case.
electricity and heat or cost of own-production based
on coal, oil, or gas Additional information on financial and economic analyses
• Stability of current energy supply can be found in the World Bank publication Economic
• Current costs and other issues related to biomass Analysis of Investment Operations: Analytical Tools and
residue storage and disposal
• Planned reinvestment costs in existing plant.
Financial analysis:
• Investor’s perspective
A financial analysis assesses the financial viability of a • Based on market prices
project by evaluating the costs and benefits of the project • Including taxes, tariffs, subsidies, etc.
from the investor’s perspective. • Does not include externalities
• Important for both small- and large-scale biomass projects
One main indicator for a biomass project to be a financially
Economic analysis:
sound investment is a return on the investments equal to or
• Society’s economic perspective
higher than the investor’s weighted average cost of capital
(WACC). Other financial indicators are the net present • Applies economic prices excluding taxes, tariffs, subsidies,
etc. to reflect the value of the project to society
value (NPV), the internal rate of return (IRR), the economic
• Externalities (positive and negative) are included and
levelized cost of electricity (LCOE), the debt service coverage quantified in monetary terms (such as reduction in
ratio (DSCR), and the payback period, all of which are greenhouse-gas emissions, if applying secondary biomass)
explained and processed in this chapter.

Converting Biomass to Energy: A Guide for Developers and Investors 135

Practical Applications and in the Asian Development Bank
publication Guidelines for the Economic Analysis of Projects. Economies of scale for biomass projects:
There are significant economies of scale, varying across
When assessing financial and economic analyses, there are technologies, when comparing small and large biomass-
to-energy plants. It is important to be aware of this when
specific basic aspects that are essential for ensuring a viable
conducting financial and economic feasibility analyses. The
project. If these aspects are in place when initiating the project, marginal costs of producing one kilowatt hour decrease
the probability of a successful project will increase significantly. as the capacity of the plant increases, as illustrated in the
graph below of steam-cycle plants. This is also described in
detail in Chapter 12.
The key elements to ensure that the biomass project is
financially sustainable are:

• A secure and stable supply of quality biomass feedstock

is available.

• There is easy access to a stable market for the produced

electricity and/or heat.

• Available biomass volumes are sufficient to justify the

technology and scale of operation.
Source: Danish Energy Agency and Energinet.dk, 2015; Ea Energianalyse,
2014; IRENA, 2015; COWI.
• Biomass is available as process residues (at zero or low
Hence, subject to availability of sufficient volumes of
costs) or the cost of collecting, transporting, and storing biomass and demand for the produced energy, a larger
biomass can be financed by the project. plant will, all other things equal, be more cost efficient.

• Cost of pretreatment can be financed by the project.

A financial analysis of a biomass project will include a range
• Access to financing is at affordable rates and acceptable terms.
of indicators in order to allow developers, lenders, investors,
and relevant government bodies to assess the project’s
The economic analysis adds a few important aspects for
financial viability.
a sustainable project, in addition to those mentioned
in the financial analysis. The key elements to ensure an
An investor considers a project to be a viable investment
economically viable biomass project are:
if the internal rate of return is higher than the weighted
average cost of capital. Investors will have access to
• The biomass applied for the energy production has no
capital at a cost (hurdle rate of return); the return from the
current alternative use that will cause social impact if
investment of that capital must be enough to meet these
removed (for example, as food, feed, or fuel).
costs. Furthermore, the investment should generate a profit,
• The biomass supply is based mainly on residual biomass compensating the risk levels of the project.
(secondary and tertiary biomasses), in order to realize
climate and environmental benefits.
Risks related to the financial viability of biomass projects:
13.1 FINANCIAL ANALYSIS OF BIOMASS PROJECTS • Unstable supply of biomass
• Insufficient quality of biomass
A financial analysis estimates the overall financial viability
• Poor market access for end products
of a project from an investor’s perspective. This section
describes general key assumptions for a financial analysis, • No access to finance at competitive terms (for example,
due to an inexperienced finance market that is unfamiliar
the theoretical methodology, results, and outputs, along with with investments in biomass projects)
practical examples. • Need for collection, transport, and pretreatment of
biomass feedstock.

136 Financial and Economic Analyses

13.1.1 METHODOLOGY AND KEY ASSUMPTIONS A project is considered a viable investment if the internal
rate of return (IRR) is higher than the weighted average cost
The methodology used in a financial analysis applies a series
of capital (WACC). This is explained further in the following
of assumptions relating to the biomass-to-energy sector.
section regarding the financial results/outputs.
This section presents the sector-specific methodology and
the assumptions and explains their origin and importance. It REVENUE
is important to perform a sensitivity analysis on all crucial
The financial analysis must consider the market demand for
assumptions of the analysis, as explained in Section 13.3.
the products, how tariff regimes function for each product,

The overall approach to a financial analysis is to compare the and how this will affect the cash flow. The revenue consists of

costs of the project to the expected revenue over the project the sale of one or more of the following production outputs,

lifespan, including the costs of financing and taxes/subsidies. depending on whether the plant is on-grid or off-grid:

Figure 13–1 illustrates the approach to a financial analysis.

On-grid:

Figure 13–2 illustrates investment costs, operation and

• Electricity
maintenance costs, biomass purchase, and sales of heat
and power. • Heat

WACC • Gas

The return of a project shall be compared to the alternative • Potentially bio-residue used as fertilizer.

return, given that the money is invested elsewhere. Therefore,

Off-grid:
the appropriate discount rate for a financial assessment
is the weighted average cost of capital, often referred to
• Savings from avoided fuel costs (coal, oil, or gas)
as the WACC.
• Potentially bio-residue used as fertilizer.
The WACC is calculated using the following formula:
The amount and price of each of these production outputs
is crucial to the financial viability of the project. Attention
WACC = Share of Equity x Cost of Equity also should be paid to the potential difference in tariff and
+ Share of Debt x After-tax Cost of Debt subsidy regimes, as these may differ depending on whether
the plant is on-grid or off-grid.
where the corporate tax shield is deducted from the cost of debt.
COST OF BIOMASS SUPPLY

The discount rate of the project is very important, as it Biomass is the main production input. This is why a
affects the present value of future costs and benefits. stable and secure supply of quality biomass is essential for
obtaining a reliable financial analysis result.

Figure 13-1: Approach to Financial Analysis

Revenues
from Cost of
CAPEX OPEX Net value
energy financing
production

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 137

 Figure 13-2: Example Illustration of Project Cash Flow

Source: COWI.

A main assumption of this guide is that the biomass used for including property, industrial buildings, equipment, and
energy production is residue from either forestry, agriculture, machinery. Table 12–3 shows an estimate of how the main
or the food processing industry. If the biomass currently investment costs are distributed on the main CAPEX items.
has no alternative use, the costs of applying it for energy The estimates are based on experience from a number of
production will amount to the following cost components: European projects.

• Cost of collection A capital expenditure must be capitalized. This requires the

owner to spread the cost of the expenditure (the fixed cost)
• Cost of transport
over the useful life of the asset.
• Cost of pretreatment (drying)
ECONOMIC LIFESPAN
• Cost of storage.
The average lifespan of a biomass-to-energy plan is assumed
If the biomass has an alternative use, it will generate a price, to be 20 to 30 years, which also is the length of the financial
in addition to the aspects mentioned above. A project with analysis. It is important to include the residual value of the
access to otherwise unused biomass of sufficient quality energy plant if a shorter analysis period is selected.
therefore has a more promising project economy than a
13.1.2 RESULTS AND OUTPUTS
project that is forced to purchase and import its biomass.
A financial analysis presents the project’s financial viability
The supply of secondary or tertiary biomass also depends from the investor or lender’s perspective over the project
on factors related to production of the primary biomass lifetime, based on the assumptions presented above. To
product. Residues from crop production are sensitive to evaluate a project’s financial viability, the analysis presents
weather, climate, and seasonal variations. Other types of the project’s balance sheet and cash flow, based on the
biomass, such as residues from dairies or manure from CAPEX and OPEX. Furthermore, the analysis should clearly
livestock, are much less prone to seasonal variations. present the underlying assumptions such as the WACC and
lifetime, and report results such as the net present value, the
CAPITAL EXPENDITURES
internal rate of return, the debt service coverage ratio, and
A financial analysis defines the capital expenditures as the the payback period.
total investment costs needed to procure the biomass plant,

138 Financial and Economic Analyses

The investor or lender will determine the project’s financial The higher this ratio is, the lower the risk of the lender. To
performance, based on the following financial ratios: be confident that the investor or project owner can repay
his debt, financial institutions (lenders) will demand that the
NPV: The net present value is a measure of profitability used DSCR is larger than one (1) by a certain margin.
in corporate budgeting to assess a given project’s potential
return on investment. The NPV is the difference between Payback period: This is the period necessary to earn back the
the present value of cash inflows and the present value of initial capital investments. The shorter the payback period,
cash outflows. Due to the value of time, the NPV takes into the stronger the financial viability of the project.
account the discount rate (here the WACC) over the lifetime
of the project, thus presenting the annual cash flows in Net Operating Income
———————————————-
present values. Total Debt Service

The interest rate applied for calculating the NPV is the

The case example in Box 13–1 presents the methodology
WACC. The NPV is calculated using the following formula:
approach and the results of a financial analysis.

NPV (i,N) = ∑—(1———–—

t=0
Ct

+ i) t
13.2 ECONOMIC ANALYSIS OF BIOMASS-TO-
ENERGY PROJECTS
Where A financial analysis does not cover all costs and benefits from
i = Financial discount rate (WACC) a biomass project. This section elaborates the economic effect
t = Time
to society from biomass projects and provides investors and
Ct = Net cash flow at time t
authorities with the necessary welfare economic perspective
N = Total number of time periods
before final approval and implementation.

A NPV of zero (0) implies that the return on the investment

An economic analysis is usually conducted based on
equals the WACC. Therefore, a negative NPV can be found
a request from the public authorities (for example, in
for a project with a positive return, but where this return is
connection with an investment grant request), to provide
lower than the investor’s required return.
knowledge about the impacts that the project will have
on society. The importance of this type of analysis varies
IRR: The internal rate of return is a measure used for
significantly with the project size.
assessing the profitability of potential investments. The
internal rate of return is the discount rate that makes the net
• Smaller biomass projects in developing countries,
present value of all cash flows equal to zero.
decoupled from the national grid, will have mainly a
local economic impact. The social and environmental
LCOE: The economic levelized cost of electricity is an
impacts also are of local scale.
economic assessment of the cost of the energy-generating
system including all the costs over its lifetime: initial • Larger biomass projects, connected to national energy
investment, operation and maintenance, cost of biomass, grids, will have a bigger economic impact on society as
cost of capital. The LCOE is calculated as the NPV of all a whole. The larger amounts of biomass applied in the
costs divided by the NPV of electricity generation, and is the project, the larger the environmental and potentially
price per unit of energy that causes the project to break even. social impact.

An economic analysis estimates the net benefit of the

DSCR: The debt service coverage ratio is the ratio of cash
project by incorporating all benefits and costs, including
available for debt servicing to interest, principal, and lease
external effects, which are quantified and expressed in
payments. The DSCR is a measurement of an entity’s ability
monetary terms. The following section elaborates the general
to earn enough cash to cover its debt payments.

Converting Biomass to Energy: A Guide for Developers and Investors 139

 Box 13-1: Example Case of Financial Analysis (Fictional Data)

A cooperation of farmers in Kenya produces 15,000 tons of corn residuals and 30,000 tons of wood residuals per year.
This case exemplifies the financial analysis of an investment in a medium-scale conversion plant with a grate boiler.
Assumptions
Transport costs are not included in the analysis.
Electricity is sold at $0.20 per kWh, whereas the process heat is used at a local industry, saving them $0.06 per kWh.
The plant constructed has an annual capacity of 50,000 tons of biomass and an energy production capacity of 120,000
gigajoules (output).
The project is financed with equal parts of debt and equity raised by the cooperation of farmers. The debt has an interest rate
of 12 percent, a 1 percent financing fee, and a maturity of 10 years. The required return on equity is assumed to be 15 percent.
Results
The financial result of the project is a net present value of $77 million with an internal rate of return of 28 percent.
The simple payback period of the project is slightly more than five years.
The energy conversion reduces the carbon dioxide emission from other energy production, corresponding to 65,000 tons
of carbon dioxide.

Calculation of LCOE
The NPV of the total costs of the project
amount to $120 million and a discounted
electricity output of 283 million kWh. The
LCOE where the project NPV breaks even is
therefore $0.018 per kWh of electricity.

Source: COWI.

assumptions of an economic analysis and draws parallels to as these costs do not add to economic productivity and are
the financial analysis. A case example illustrates a practical merely transactional.
application of an economic analysis.

13.2.1 METHODOLOGY AND KEY ASSUMPTIONS

Typical benchmarks for key financial parameters in
Table 13-1 presents the overall assumptions for an biomass projects:

economic analysis. Internal rate of return on the project: > 10 percent

Net present value of the project: > 0 percent, dependent on
As mentioned, an economic analysis estimates the net benefit the risks related to the project

of a project to society, meaning quantifying effects occurring Payback period: < 10 years

locally, nationally, and globally over the project’s entire Debt service coverage ratio: 1.2 to 1.5

lifecycle. It evaluates the effect of the project using economic The above-mentioned estimates are generalized results
and will differ across borders and project-specific
opportunity costs or shadow prices.
conditions. Domestic benchmarks for these criteria often
depend on the economy’s underlying interest rate, country
When performing an economic analysis, the financial costs risk, and general level of economic development and are
are not included and neither are taxes, tariffs, subsidies, etc., subject to changes over time.

140 Financial and Economic Analyses

 the local area at all. The potential positive and negative local
Table 13-1: Assumptions for Economic Analysis
effects of a biomass project are as follows:
Scope Assumptions
Analysis perspective State and/or national and community
perspective
Benefits:

Evaluation method Economic life of project, including

• A possible increase in income for local farmers as a result
decommissioning of local demand for biomass
Adjustment for Exclude inflationary effects; price changes
• A local source of stable energy from the biomass plant
inflation different from inflation can be included
(escalation)
• The creation of local jobs (either at the plant or in the
Project input Project inputs valued, using their
agricultural sector)
valuation economic opportunity costs, derived by
excluding taxes, tariffs, subsidies, etc. • Possible infrastructure improvements, such as grid
Discount rate Economic discount rate; real rate of connection or improved roads for biomass transport.
return (excluding inflation) that could
be expected if money were invested in
another project Costs:

Interest paid for Not included (financial cost) • Negative environmental effects due to emissions from plant
borrowed funds
during construction
• Social effects should be carefully considered. If the
biomass to be used for energy production is currently
Source: COWI.
used by locals for human consumption, animal
consumption, or income generation, removing the
The appropriate discount rate when performing an economic
biomass may cause social problems.
analysis is the rate of return of the entire economy, that is,
the national opportunity cost of capital. In comparison, PUBLIC ECONOMIC BENEFITS AND COSTS
the WACC applied in the financial analysis is only relevant
Biomass projects may have an impact on the macroeconomy,
to a specific investor, as the WACC calculation is based on
and can provide several other macroeconomic benefits, such as:
a single investor’s cost of equity and debt. The economic
discount rate is typically lower than the WACC.
Benefits:
• A stable energy supply
After identifying the costs and benefits at both the local and
national levels, the net benefits are estimated to assess the • Fewer subsidies for fossil fuels in public budget
project economic viability, as illustrated in Figure 13–3.
• Improved opportunities for industrial production, and
LOCAL ECONOMIC BENEFITS AND COSTS thereby job generation, due to the stable energy supply

A biomass project potentially can have important impacts • National increased security of energy supply, making the
on the local economy, or it might function without affecting country less dependent on import of foreign energy

Figure 13-3: Approach to Economic Analysis

Revenues
External Investment External
from Net benefits
benefits to costs and costs to
energy to society
society O&M costs society
production

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 141

 • Reduction of greenhouse-gas emissions, as energy from presents the project’s net present value based on the
bio-waste implies less emissions compared to alternative estimated costs and benefits to society
fossil-based energy sources
Furthermore, the analysis should clearly present the
• More environmental benefits from reducing alternative
underlying assumptions such as the national discount rate
fossil fuel-based electricity generation
and project lifetime and report results such as the net present
• Reduced health costs and better overall air quality from value, the internal rate of return, and the cost/benefit ratio.
pollution externalities. The case example in Box 13–2 presents the methodology and
results of an economic analysis.
Costs:
• No negative environmental effects, unless primary As in the financial analysis, a project’s viability can be
biomass is used for energy generation. This would assessed using the following indicators:
undermine the sustainability of the project, causing
an overall global increase in greenhouse-gas emissions. • Economic net present value

• Negative economic effects: Capital expenditures and • Economic levelized cost of electricity
operation and maintenance costs, potential risk posed • Economic internal rate of return (the economic IRR
by foreign currency exposure to exchange rate volatility. should be compared to the economic discount rate,
not to the WACC as in the financial analysis)
13.2.2 RESULT AND OUTPUTS
• Economic cost/benefit ratio: The ratio should be larger
An economic analysis presents the project’s viability from
than one (1), indicating that the project’s benefits
society’s perspective over the project lifetime and given a
outweigh the costs.
series of assumptions, as presented in the previous section.
To evaluate a project’s economic viability, the analysis

Box 13-2: Example Case of Economic Analysis (Fictional Data)

A cooperation of farmers in Kenya produces 15,000 tons of corn residuals and 30,000 tons of wood residuals per year. This case
exemplifies the economic analysis of an investment in a medium-scale conversion plant with a grate boiler.

Assumptions
Value Over
Transport costs are not included in the analysis. Project Lifetime
Amounts (million dollars)
Electricity is sold at $0.20 per kWh, whereas
the process heat is used at a local industry, Investment costs 73.4
saving them $0.06 per kWh. The constructed
Operation and 44.7
plant has an annual capacity of 50,000 tons
maintenance costs
of biomass and an energy production capacity
of 120,000 GJ (output). Revenues from electricity 92.1
generation
The carbon dioxide quota price is $3.2 per ton.
Revenues from heat 66.1
The value of a job is equivalent to $10 per day. generation
Results Greenhouse-gas 167,000 tons 3.2
The net benefit of the project is an NPV emission reductions
of $45.2 million. (carbon dioxide-
equivalent)
Creation of local jobs 25 field workers 1.9
Net benefits 45.2

Source: COWI.

142 Financial and Economic Analyses

 Source: COWI.

13.3 SENSITIVITY ANALYSIS Typical parameters exposed to sensitivity analyses

are the following:
A sensitivity analysis assesses the impacts of risks by varying
each risk parameter while all other variables remain constant.
• The investment costs
This approach will enable changes in the results of the
financial or economic analysis, indicating the importance of • The tariff levels (in case of feed-in to the grid without

specific risk parameters. Usually, the effects of input parameter a fixed-price power purchase agreement); these are

variations are observed through the following indicators: usually uncertain in the long term, as they are subject
to political decisions
• The internal rate of return
• The supply and price of biomass. The entire production
• The net present value of energy is based on the assumption that biomass is
available at a reasonable price. The biomass production
• The debt service coverage ratio.

Converting Biomass to Energy: A Guide for Developers and Investors 143

 depends on the weather and on the general development the economic analysis includes the overall costs and benefits
of the agricultural sector. to society, including the value of external effects.

• The electricity prices are important factors for the

Financial analysis uses the following parameters for
viability of the project, and they are formed by a
reporting the results:
fluctuating market. The electricity price is important
for the expected energy revenue. • Net present value

• Financial internal rate of return

13.4 CONCLUSION
• Financial levelized cost of electricity
The financial analysis assesses the project’s viability from
an investor’s perspective; the economic analysis assesses the • Debt service coverage ratio
viability from society’s point of view. The financial analysis
• Simple payback period.
includes the costs and benefits on a company level, whereas

Box 13-3: Example of a Sensitivity Analysis

The sensitivity analysis indicates that the project is relatively robust in response to small changes in the selected parameters.
However, if the project cannot connect to the electricity grid, a significant reduction in revenue would result.

1,000

500

Basis
High cost of biomass
0 High discount rate
NPV, millions

High investment cost

High O&M cost
Low cost of biomass
-500
Low discount rate
Low investment cost
Low O&M cost
-1000

-1500
40 MWe

Common pitfalls and issues to anticipate: Issues to consider when applying for financing
• Underestimating the time it takes to locate and secure • Factors affecting project cash flow (energy prices,
financing for the project security of biomass supply, costs of residual disposal,
technological risks, stability of regulatory regime
• Underestimating the importance of supplier agreements
including feed-in-tariffs)
and power purchase agreements when applying for
financing • Factors affecting asset values (increased stability of
primary production from enterprise, reduced risks of
• Assuming that the biomass is free. Once external suppliers
technological obsolescence, reduced pollution and
learn about the project, their bio-waste will gain a value.
environmental liabilities).

144 Financial and Economic Analyses

The results of the economic analysis are usually reported
through the following parameters:

• Net present value

• Economic internal rate of return

• Economic cost/benefit ratio

• Sensitivity analysis that presents the robustness

of results through variations in the input parameter.

Converting Biomass to Energy: A Guide for Developers and Investors 145

 Source: COWI.

146 Financing Biomass Projects

FINANCING BIOMASS PROJECTS
14
In the initial phases of a biomass project, the main activities of biomass-to-energy projects that should be considered
of the project developer relate to concept identification and before approaching a potential source of finance include:
technical prefeasibility studies, as illustrated in Figure 2–3.
However, when reaching phase 1.3 (Feasibility Study) of • A stable and sufficient supply of sufficient quality
project development, the developer will have to identify biomass is available within a reasonable distance.
sources of finance and initiate contact with them. The technical • The project is based on own-use of generated heat and
complexity of a project can often absorb much of the initial power or has easy access to grid connection or a large
focus of the project developer, but the difficulties of assuring the local user.
necessary financing should not be underestimated.
• The proposed technology is proven and suitable in the
The purpose of this chapter is to provide inspiration for the local circumstances.
project developer on how to identify and secure finance for • Capital costs and operation and management costs
his or her biomass project. are estimated.

Before initiating the search for finance, the project developer • The project lifespan allows for recovery of the

should bear in mind the following: investment.

• Environmental/social considerations are identified

• The process of acquiring finance can be time consuming.
and adequately mitigated.
• The technical, contractual, and permitting aspects
of a biomass project all affect the opportunities 14.2 TYPES OF FINANCING
for securing financing.
Each biomass-to-energy project is unique, but generally, a
• Project lenders will carefully assess all aspects of the project developer can choose to finance the project through
project, with specific attention to the risks involved. either corporate financing or project financing (Figure 14-1).
Therefore, attention to detail, risk mitigation, and The difference between corporate and project financing is
anticipation of lender concerns are very important. presented below, along with key issues to consider when
selecting a financing structure.
14.1 GENERAL FINANCING CONSIDERATIONS
• Corporate finance by sponsor: A sponsor or financial
A project developer is usually required to raise a significant
institution offers financing to corporations that will
amount of finance to realize a biomass-to-energy project. It
implement the biomass project and assume responsibility
is important to evaluate the available financing options early
for debt servicing, interest, and capital repayments. The
in the process, so that the project as a whole is structured
financial institution will evaluate the financial viability
accordingly. When applying for finance, the project developer
and the risks associated with the entire corporation, not
should have anticipated the concerns of the lenders, so the
only those aspects associated with the biomass project.
project structure and elements appear to be financial viable
The assets and cash flow of the entire corporation are
and robust, with low risks for the lender. Key characteristics
the lender’s main security for the loan (“full recourse”).

Converting Biomass to Energy: A Guide for Developers and Investors 147

 Figure 14-1: The Difference Between Corporate Finance and Project Finance

BIOMASS-TO-ENERGY PROJECT FINANCING

PROJECT FINANCE CORPORATE FINANCE

Cash Flow Projection

Is known before disbursement Less relevant

Control & Monitoring of Cash Flow

Very close Can be performed if needed

Collateral

The Biomass-to-Energy Project Non-project related collateral

Control over Collateral

Very close Not so tight

Leverage to Sponsor in case of multiple Biomass-to-Energy Projects

Enables multiple lending as only project Limited to sponsor’s other

assets are used as guarantee assets and wealth

Type of Financing

Non-recourse Recourse

Credit Risk

On Biomass-to-Energy Projects On sponsor’s other businesses’

cash flow (easy to estimate) cash flow (hard to estimate)

Start-up Financing

Yes No

Sources: IFC, 2015; COWI.

This approach requires a strong balance sheet and no interest rates. If the project developer is a large corporation
competition for CAPEX for other purposes. with solid financing, it may be able to get much lower rates
by accepting corporate finance than standalone project
• Project finance by investor(s): The focus of the financial
financing. These differences in rates could make a large
institution here is the viability of the specific biomass-
difference in the project’s financial viability.
to-energy project, because the project will rely mainly
on project-generated cash flow to cover the borrower’s
Selecting an appropriate source for financing biomass-
obligations (non-recourse or “limited recourse”). Under
to-energy projects is dependent on the project’s financial
this scheme, project assets will serve as collateral to
robustness and viability, the project size, and the project
reduce lender risks.
risks. Figure 14–2 illustrates how project size and financial
The difference between corporate and project finance is viability relate to the choice of financing.
furthermore expressed through a possible difference in

148 Financing Biomass Projects

 Figure 14-2: Financial Viability

High

Project Project Public finance may

financing financing be the only option
possible may be possible
with enhancement
Capital
investment
May be too large for
concessions and too small for
Corporate
cost-effective credit enhancement
financing
possible
Concessionary/grant finance may
be available
Low
High Financial viability Low

Source: IFC, 2015.

Besides financial institutions, other external investors may be could be providing capital, while assuring their long-term
an option for the project developer. The following presents commitment to supplying high-quality biomass.
the three most common external investors:
• Build–Operate–Transfer (BOT): A Build–Operate–
Transfer contract transfers the task of designing, building
• Investment by technology supplier: Technology suppliers
infrastructure, financing, and operating the plant for
have an incentive to promote the use of their technology.
a fixed period (for example, 20 years) to a third party
Therefore, they sometimes are willing to provide the
(BOT contractor). During the contract period, the BOT
necessary capital/loans to the developers.
contractor will collect all project-generated revenue,
• Investment by biomass suppliers: The suppliers of which should be sufficient to provide a reasonable
biomass have an interest in promoting the project. They

Box 14-1: Sources of Financing

There are many different ways of securing financing for a biomass project. The most common ways are described below, along
with a brief assessment.
Own Equity: Must be able to ensure a reasonable return on investment, but also should take into account the overall benefits
• 
to the owner (for example, the use of biomass from existing production).
Bank loans: International commercial banks, local banks, and development banks or multilateral financing institutions (for
• 
example, IFC, KfW, EBRD, ADB, AfDB, IDB, EIB, Green for Growth Fund). Financing through commercial banks often entails
high interest rates, whereas development banks may offer interest rates that are more favorable.
Investment by technology supplier: As the technology supplier has interests in seeing the project development succeed,
• 
the technology supplier may be willing to offer loans at interest rates lower than the banks can offer.
Investment by biomass supplier: Biomass suppliers could typically be cooperatives of farmers or biomass processing companies
• 
with significant bio-waste amounts. The chance of being able to sell their bio-waste provides an incentive for the suppliers to
contribute to the success of the project, for example by providing capital as investments or loans at reasonable rates.
Build–Operate–Transfer: In a Build–Operate–Transfer framework, a third party (BOT contractor) takes responsibility for
• 
financing, designing, building infrastructure, and operating the plant for a fixed period.
Private equity funds: Capital for private equity is raised from retail and institutional investors, and can, for example, be used
• 
to fund new technologies. The majority of private equity funds consist of institutional investors and accredited investors,
who can commit large sums of money for long periods of time.

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 149

 profit and justify the risks assumed. When the concession 14.2.1 KEY PLAYERS
agreement ends, the BOT contractor transfers the biomass
It is important for the project developer to have the full
plant back to the owner without further remuneration.
overview of the different stakeholders and their contractual
• A project developer should not underestimate the relations. The following section explains the role of the
difficulty of raising finance on reasonable terms for a different stakeholders in the financing structure.
biomass-to-energy project, especially project developers
with no previous experience from similar projects or with Figure 14–3 presents the key project players, the finance
limited resources. structure, and the most necessary contracts essential for a
reliable project, and thus a prerequisite for obtaining loans
• Developers who find that they have a potentially viable
from financial institutions.
project, but one that they will not be able to exploit
with their own resources, could consider co-developing When securing finance for the project, the project developer
the project with a stronger partner that is better able must be able to present a financially solid project. Figure 14–3
to raise the required finance. illustrates the organizational setup and the corresponding
agreements necessary to present a solid project case.

Figure 14-3: Setup and Agreements

Banks
External Equity for
providing
investors project
loans

Dividents and Return on Principal

interest investment and interest

Financing
contract

Own Capital Capital Capital

Own energy
biomass
consumption
on site
Biomass-to-Energy Project
External External heat
Biomass supply
biomass and power
agreement
suppliers O&M customers
contract PPA
Consultant Plant
contract construction
contracts

O&M contractor Insurance

Consultants (if outsourced) EPC contractor
company

Sub
contractors

Equipment Civil
supplier constractor

Source: COWI.

150 Financing Biomass Projects

• The project owner: The majority stakeholder is usually electricity to the national grid under feed-in tariff
the main sponsor who is leading the project. For schemes, which guarantee a fixed price. The consumer’s
biomass-to-energy projects, private investors often are creditworthiness is crucial for the financial robustness
the sponsors. of the project.

• Banks: The source of finance for this type of project is • Biomass suppliers: The supplier of biomass can be the
normally a financial institution. Lenders are typically project owner, who has available bio-waste to use as
international commercial banks, local banks, and free fuel for energy production. Alternatively, it could
development banks or multilateral financing institutions be external biomass suppliers (such as cooperatives of
(IFC, KfW, EBRD, ADB, AfDB, IDB, EIB, GGF, farmers in the region or the local biomass processing
among others). industry) who have excess bio-waste that they are
willing to sell.
• Energy consumers: The energy consumer is usually a
national or regional power utility. The energy also could • Contractors: During the project construction phase,
be sold directly to a local end-user under a bilateral contractors and equipment suppliers are the primary
agreement, or used for own-consumption by the project focus of the project developer. The contractors are
owner. Typically, biomass-to-energy plants will sell

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 151

 responsible for delivering a fully functional plant 14.4 CONCLUSION
to the project developer within the agreed time.
Finding and acquiring finance for a biomass project is a
• Operating company: If the project company will not complex procedure, which requires professional handling of
be responsible for the operation and maintenance the following factors:
of the plant, an agreement with an operating company
must be undertaken. The operating company could, • Identifying the appropriate financing approach
for example, be the owner, the EPC contractor, • Identifying the key players
or a third party.
• Identifying and mitigating the project risks (biomass
• Insurance company: Insurance is essential both during availability and energy market security).
construction and in the operation phase, covering:
The most common sources of financing are:
• Construction phase—construction risks (for
example, accidents, delays), environmental,
• Bank loans, from international commercial banks, local
social, and political risks.
banks, and development banks or multilateral financing
• Operation phase—operation and maintenance institutions (for example, IFC, KfW, EBRD, ADB, AfDB,
risks (operational failures), environmental and
IDB, EIB, GGF).
political risks, late or non-payment from energy
customers, and transfer risks. • Investment by technology suppliers, who have an
incentive to promote the use of their technology and thus
Based on the risk information presented above, the
might be willing to provide the necessary capital/loans to
importance of risk mitigation becomes clear. The following
the developers
section describes different risk mitigation measures for a
biomass-to-energy project. • Investment by biomass suppliers, who have an interest in
promoting the project. They could be providing capital,
14.3 MITIGATING RISK while assuring their long-term commitment to supplying
high-quality biomass.
The risks related to a biomass-to-energy project should, as
best as possible, be mitigated, both to reduce the risks of the • Build–Operate–Transfer. In a BOT contract, a third party
project company and to demonstrate to financial institutions (BOT contractor) takes the task of designing, building
that the project is financially robust. Because financial infrastructure, financing, and operating the plant for a
institutions are risk-adverse, unmitigated risks will decrease fixed period.
the attractiveness of the project to lenders. If project risks
• Private equity funds, where a group of investors makes
are too high, external financing might not be feasible.
combined investments in a biomass-to-energy project.

If risks are mitigated, the lender’s required interest rate

should be lower than if the risks remained unattended.
Mitigation measures vary depending on the type of
risk. Therefore, financial modeling, including sensitivity
analysis, should be performed to reveal the effects of the
risks identified. Early engagement with potential financing
partners will facilitate the later access to finance, as it
may identify issues that are better addressed upfront in
the project design. Table 14–1 presents the key risks for
a biomass-to-energy project as well as suggestions for
mitigation measures.

152 Financing Biomass Projects

Table 14-1: Assumptions for Economic Analysis
Risk Mitigation Strategy
Biomass availability The project company should own the biomass resource, thereby controlling the supply, or
biomass supply contracts with external suppliers should be in place.
Energy offtake security If the project company cannot utilize the power, a power purchase agreement with, for
example, a power utility company, should be in place.
Construction costs To mitigate the risks of exceeding the planned construction costs, a high-quality feasibility
study should be conducted in advance, as illustrated in Figure 2–3 in Chapter 2.
Operational performance To ensure that the plant operates as expected, the project developer should choose a
proven technology and reliable suppliers under best-practice contracts.
Financial viability To ensure financial viability, the security of biomass supply at a known and reasonable
price must be in place, as should the security of energy sale at a known and reasonable
price. A way to secure a fixed price for the energy is via feed-in tariffs.
General political risk The risks of shifting political focus could be reduced by partial risk guarantees.
Sector-specific regulatory risks Government endorsement of biomass-to-energy projects has great importance if the
projects’ financial viability depends on, for example, subsidies or feed-in tariffs. The
government may eventually change the regulation retroactively, thus affecting signed
power purchase agreements. The developer should assess the sustainability of the
regulatory framework and the energy customer’s ability to pay.
Environmental and social risks To avoid environmental and social risks, international best practice should be adopted,
and these aspects should be covered in a high-quality feasibility study.

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 153

 Source: COWI.

154 Environmental and Social Considerations

ENVIRONMENTAL AND SOCIAL CONSIDERATIONS
15
This chapter introduces and provides a methodology for Biomass provides an alternative to fossil fuels, and biomass-
screening and assessing environmental and social (E&S) risks to-energy projects often are implemented at least in part due
and impacts. Guidance on this topic also can be found in IFC to possible greenhouse-gas benefits. However, a number of
Performance Standard 1 on Assessment and Management social and environmental issues should be examined when
of Environmental and Social Risks and Impacts (IFC, 2012) biomass is considered as a source for energy generation,
(see Section 6.2.6) and in Performance Standards 2 through and their negative and positive consequences on affected
8 (and the associated Guidance Notes), which are an communities and other stakeholders should be assessed.
integral part of IFC’s Sustainability Framework and define
developers' responsibilities for managing their environmental The use of biomass for energy generation can impact the local
and social risks. environment, for example by affecting air quality, biodiversity,
habitats and ecosystems, and water quantity and quality, and
This chapter guides the reader through the screening of E&S by changing the local use of land. Social impacts also may arise,
issues that potentially could arise from a biomass-to-energy notably by affecting local community livelihoods (for example,
plant, and therefore is a resource for developing all the access to and use of land and resources), food security, and
required E&S assessments. economic parameters such as employment and poverty.
Box 15–1 presents a brief example of such potential impacts.

Box 15-1: Examples of Environmental and Social Impacts of Biomass Projects

A biomass plant project is developed to use agricultural residues, such as straw, for electricity production. This could have
a number of environmental impacts, such as:
• Air quality: Emissions from combustion of bio-residues can lead to air pollution.
Nutrients: Removal of residues from the agricultural ecosystem can lead to depletion of nutrients in soil if the ashes are
• 
not returned to the soil.
Biodiversity: If demand for residues increase beyond supply, new agricultural areas can be created from conversion of,
• 
for example, wetlands, shrub land, or forest, which can negatively impact biodiversity.
Water: Both water quality and quantity can be affected, for example by discharge of wastewater or increased use of
• 
groundwater for production of biomass.
Land: If only secondary resources are used, local impacts on land are probably small. However, if other users already utilize
• 
the feedstocks, environmental consequences could arise if these users pursue other feedstocks.

A number of social consequences also can arise from the development of biomass plants, such as:
• Employment: The bioenergy plant can generate employment in the region.
• Economy: The plant can benefit the local economy.
Food security: Depending on existing uses of the feedstock, potential food security issues can arise if food or feed crops
• 
are used for energy generation.

While not exhaustive, this list provides a brief overview of potential impacts and shows that a number of these
(positive and negative impacts) should be considered when developing biomass projects.

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 155

The scale, timing, and magnitude of these impacts are always 15.1 ENVIRONMENTAL SCREENING OF THE
context specific and highly dependent on the local conditions BIOMASS RESOURCE
and the type of biomass. As a starting point, however, The process of identifying, prospecting, and procuring
one can assume that biomass projects relying on primary biomass entails a number of environmental issues that
resources (for example, biomass harvested for energy should be screened for. Some of these are off-site relative
purposes, such as round wood or food crops) often result in to the plant and take place in the project area of influence,
more severe environmental and social impacts. including fields, forests, or watercourses that are supplying
or will supply biomass to the project. Table 15–1 gives an
This section provides an overview of environmental and
overview by providing a number of guiding questions to
social risks and impacts that can arise from the use of
help in identifying potential issues for further investigation.
biomass for energy. The section covers:
The screening should take into consideration a number
• Water
of biogeographical and climatic aspects, although these
• Biodiversity will differ depending on the type of biomass or feedstock
(primary, secondary, or tertiary). Once the types of biomass
• Soil and land
involved are identified, each biomass type should be screened
• Air quality on its own using the table.
• Food security
The questions are structured around four main topics: water,
• Community development biodiversity, soil and land, and air. After using the table to
• Energy security and access identify potential issues based on the type of biomass and
relevant topics, the subsequent sections of the guidelines
• Gender
are aimed at guiding further investigations. Each question
• Employment, wages, and income provides examples of potential issues and mitigation actions.
The purpose of the topic-based screening is to sort out issues
• Greenhouse gases.

Tools Available and Reporting

Seeking co-financing for a biomass project from international financial institutions such as IFC will require an Environmental
and Social Impact Assessment (ESIA). The ESIA assesses the potential environmental and social risks and impacts that are likely
to arise from the activities of the project. The ESIA is the framework for screening and understanding environmental and social
aspects of the project.
Some tools already exist for project developers who are interested in gaining further information on a framework for
environmental and social screening. These tools include guidance for project developers on the typical environmental and social
issues pertaining to biomass projects and on the process of assessing them and identifying mitigation measures.
Relevant policies and tools:
IFC Performance Standards: Environmental and Social Performance Standards and Guidance Notes define IFC clients’
• 
responsibilities for managing their environmental and social risks. Available at: http://www.ifc.org/wps/wcm/connect/Topics_
Ext_Content/IFC_External_Corporate_Site/IFC+Sustainability/Our+Approach/Risk+Management/Performance+Standards/.
Equator Principles: A risk management framework, currently adopted by 83 financial institutions in 36 countries, covering 70
• 
percent of international project finance debt in emerging markets. The principles are used to determine, assess, and manage
environmental and social risk in projects, primarily intended to provide a minimum standard for due diligence to support
responsible decision making. Available at: http://www.equator-principles.com.
Bioenergy Decision Support Tool: Planning Strategically and Assessing Risks in Investment Choices, developed by UN-Energy,
• 
the UN Food and Agriculture Organization, and the UN Environment Programme.
Available at: http://www.bioenergydecisiontool.org.
RASLRES Bioenergy Tool, developed by the EU European Regional Development Fund. Available at: http://www. raslres.eu/.
• 
Note that this tool is developed for the Nordic region and is mainly applicable in similar settings.

156 Environmental and Social Considerations

that should be assessed in detail as part of the Environmental 15.1.1 WATER
and Social Impact Assessment (ESIA).
With unsustainable use of water remaining a threat to
environment and human development alike, the use of water
The issues for consideration given below are not exhaustive
for bioenergy projects must be sustainable and must not
and may not be relevant in all projects. As indicated, they
compromise water quality and quantity.
should serve as guidance during the phase of preliminary
screening of environmental issues.

Table 15-1: Environmental Aspects

Primary Secondary Tertiary
Questions Concerning Environmental Aspects Feedstock Feedstock Feedstock
Water Will the use of water for bioenergy production or conversion of feedstock impact
water availability or security of supply in the watershed?
● ● ●
Will the use of water for bioenergy production or conversion of feedstock affect
water quality, use, or discharge?
● ● ●
Will the use of water for bioenergy production or conversion of feedstock change
stream or river flows and water availability for downstream users?
● ● ●
Ecosystems Will the biomass project affect rare or threatened species? ● n.a. n.a.
and
Will the biomass project affect threatened ecosystems or habitats, for example
biodiversity
through degradation, conversion, loss, or fragmentation?
● ● n.a.

Will the biomass project lead to introduction of non-endemic and/or invasive species? ● ● n.a.

Will the biomass project affect or change ecosystem services

in the area, including:
• Provisioning (for example, food, wood)
● ● ●
• Regulating (for example, protection against flood, droughts)
• Supporting (for example, water purification, cycling of nutrients,
primary production)
Will the biomass project affect or change cultural sites
(for example, religious services, recreation and tourism, education)
● ● ●
Soil and Will the biomass project lead to the conversion of land uses, such as the conversion
land from forest to agricultural land, to meet demand for the bioenergy feedstock ● n.a. n.a.
resources selected for this project?
Will the anticipated changes in land management, use, or intensity that are needed
to produce biomass or feedstock for the project affect neighboring or more distant ● ● n.a.
lands or landowners?

Will bioenergy production affect soil quality or lead to degradation of soil and land? ● ● ●
Is artificial fertilizer and/or manure needed to grow the feedstock in sufficient
quality and quantity? If so, their use, and discharge to the land and water, should be ● ● n.a.
monitored in order to avoid negative environmental effects.
Air Will production, conversion, or transport of the feedstock cause emissions of
chemical air pollutants, such as nitrogen oxides, particulate matter, sulfur oxides, ● ● ●
ozone, aerosols, soot, or volatile organic compounds?
Will production, conversion, or transport of the feedstock cause emission of physical
air pollutants, such as smell and odorous emissions, thermal heat, or radiation?
● ● ●
Will production, conversion, or transport of the feedstock cause emission
of biological air pollutants, such as pollen, fungi, or bacteria?
● ● ●

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 157

 • Will the use of water for biomass production or
feedstock conversion affect water availability or security Mitigation Measures for Impacts on Water
of supply in the watershed? Water impacts generally concern quantity and quality, and
mitigation measures should be taken to minimize impacts
• If additional or new irrigation is needed to produce the on both aspects. These can be incorporated throughout the
bioenergy crop, a local water balance should quantify supply chain, from production of biomass to conversion and
how the project impacts local water resources. utilization.
Production stage
• If biomass or feedstock producers that are connected
to local water distribution networks plan to increase Some crops consume significant amounts of water, and
thus selection of bioenergy feedstock should be matched
their water use, the impact on security on water
to geoclimatic conditions (for example, available water
supply may be substantial and should be assessed.
resources and rainfall patterns). Lack of water also can
be mitigated by more efficient irrigation if this is needed
• Will the use of water for production of biomass or
(for example, drip irrigation) or by harvesting rainwater.
conversion of feedstock affect water quality? Minimizing fertilizer and pesticide use can mitigate
impacts on water quality, which can be complemented by
• Consider, for example, if production of the crop
practicing mixed production systems (for example, double
drives changes in land management, clearing of land, cropping). Finally, excess irrigation can lead to the runoff
or removal of trees. If so, there may be a risk of of salts, fertilizers, and pesticides and can pollute surface
loss of topsoil through erosion, which could end up waters, and thus should be monitored closely.
having an impact on streams and rivers. Conversion stage
In many cases, substantial amounts of water are needed to
• If additional or new fertilizers or pesticides are convert the feedstock to bioenergy; as such, the decision
to be used, this may have implications for water on the end product used should take into account water
quality. Consider both groundwater and surface availability. At the plant, cleaner production technologies
water resources. should be considered, such as plant water recycling or on-site
physical, chemical, and biological treatment of wastewater.
Finally, natural systems for wastewater treatment, such as
• If the biomass or feedstock producer will use
the construction of wetlands, can be considered.
additional or new water resources because of the Sources: UNEP, 2009; UNEP et al., 2011; UNEPa, n.d.
project, the capacity and quality of local water
treatment systems should be evaluated and taken
into account in the design. non-living environment interacting as a functional unit.”
Ecosystem services are the benefits that humans obtain
• Will the use of water for biomass production or from ecosystems. Such ecosystem services, including water
feedstock conversion change water flows and water purification, pollination, food, and protection against floods
availability for downstream users? and droughts, are important for humans, human livelihoods,
• If any streams, pipes, or reservoirs are impacted and development. The expansion of agriculture or the use of
or changed because of biomass or feedstock natural resources for bioenergy can risk compromising some
production, this could affect local water supply. of these services, and the impact on these services must be
considered when developing biomass projects.
If the answer to any of the above questions is “yes” (also
summarized in Table 15–1) one or more issues of concern Similarly, development of bioenergy can have adverse impacts
will need further investigation and assessment. on biodiversity by causing habitat loss, fragmentation of
areas, and loss of species. Biodiversity not only has value
15.1.2 ECOSYSTEMS AND BIODIVERSITY
as a provider of services to humankind (for example, food,
An ecosystem consists of all living things—from plants medicine, religious), but also has value in itself. Furthermore,
and animals to microscopic organisms—that share an diverse, connected, and well-functioning habitats are most
environment. The Convention on Biological Diversity resilient against external threats such as climate change
defines “ecosystem” as a “dynamic complex of plant, or pollution. Therefore, it is important that the impact on
animal and micro-organism communities and their

158 Environmental and Social Considerations

biodiversity from the development of bioenergy is assessed, • If land is cleared for cultivation, there is a risk
and, as needed, prevented or mitigated and minimized. that ecosystems or habitats can be lost or
fragmented, which can have adverse impacts
• Will the biomass project affect rare or threatened species? on species in those regions.

• The risk to any rare or threatened species should • Intensification of production, loss of nutrients,
be assessed. This is particularly critical if natural or excessive pollution can lead to degradation of
habitats (forests, wetlands, etc.) are modified or if natural habitats surrounding the project area.
production is intensified on currently farmed areas.
• Will the biomass project lead to the introduction of non-
At the global level, rare or threatened species are
native and/or invasive species?
listed on the IUCN Red List of Threatened Species,
which can be accessed at: http://www.iucnredlist.org. • The risk of invasive species should be considered in
Consideration of regional-level lists of threatened those situations where non-native flora (such as a
species should also be included in the assessment. new energy crop) is introduced to the region.

• Will the biomass project affect threatened ecosystems or • Will the biomass project affect or change ecosystem
habitats, for example through degradation, conversion, services in the area?
loss, or fragmentation? • Ecosystem services comprise a host of different
services, and modifications to natural landscapes
generally put one or more of these at risk.
Mitigation Measures for Impacts on Biodiversity It is therefore necessary to assess for impact
Biomass projects can affect biodiversity and ecosystem on ecosystems.
services in numerous ways.
• Care should be taken that ecosystem services that
Production stage provide vital services to the region are not put at
Primary biomass sources, and to some extent secondary risk (for example, protection against flood or water
biomass sources, can greatly affect biodiversity and purification performed by mangrove forests).
ecosystem services through the conversion of natural
areas to agriculture. Therefore, such conversion should be • Ecosystem services are often not part of the formal
avoided to minimize risk of biodiversity loss. This includes economy (that is, the value provided by these services
avoiding any significant impact on rare, unique, endemic, or is not valued in economic terms), but they provide
geographically restricted species or habitats, and minimizing
important functions for the local region and the
overall impact on the area by reducing the size of area
impacted or by focusing site activities in less-sensitive areas. affected communities. Care therefore should be taken
Impact over time also can be reduced by preserving and to ensure free, prior, and informed consultation and
maintaining buffer zones of local vegetation, while loss of participation by the affected communities.
ecosystem services can be compensated by considering
the use of stakeholder engagement approaches to help It also should be ensured that those ecosystems that are of
identify locally preferred or important services. Finally, special importance to cultural services (such as religious
valuing the key ecosystem services in the affected area can
help to safeguard them, even if this is merely a screening areas or tourism) are not compromised, as this would affect
and accounting exercise without any actual transfer of the livelihood of local stakeholders.
money. Nutrient leakage and the use of pesticides, fertilizers,
and other chemicals should be appropriately managed to
If the answer to any of the above questions is “yes,” one
avoid negative impacts on flora and fauna, as should using
genetically modified organisms (GMOs) and introducing or more issues of concern will need further data collection
feedstocks that can be considered invasive species, as these and assessment.
can pose a threat to biodiversity and ecosystem services; any
use of these should be closely followed.
15.1.3 SOIL AND LAND RESOURCES
Conversion stage
Land use denotes the use of land for a particular purpose,
Correct treatment of effluents (through physical, chemical,
and biological treatment) can minimize impact on the local such as infrastructure, agriculture, or forest. Because land
environment and biodiversity. is a scarce resource, its use becomes important for social,
Source: UNEPb, n.d.
environmental, and economic reasons. Sustainable use of

Converting Biomass to Energy: A Guide for Developers and Investors 159

productive areas is important for food production and • Will anticipated changes in the land management, the
for the delivery of a range of ecosystem services, such as use of the land, or intensified use of the land to produce
purification of water, carbon storage, protection against biomass or feedstock for the project affect neighboring or
erosion, and as habitat for plants and animals. more distant areas or landowners (for example, if current
production shifts to other lands)?
Given population and economic growth, additional food,
• If the project entails increased demand for a primary or
energy, and resources will be needed in the coming decades,
secondary biomass in the host region, landowners may
making sustainable and intensive use of land resources shift from food or feed crops, resulting in decreasing
necessary. Therefore, use of feedstocks for bioenergy supply of these. This may lead to the conversion of
generation should take into account impacts on land. new land elsewhere to supplement the lost production.
In such cases, due care should be taken, and impacts
• Will the biomass project lead to the conversion of land on supply and demand in the region should be subject
uses, for example, the conversion from wetlands and/ to further analysis.

or forest to agricultural land, to meet demand for the • Will production of biomass affect the soil quality or lead
bioenergy feedstock selected for the project? to degradation of soil and land?
• If the project involves a call for suppliers in the local • Consider if the provision of biomass for the project
area, landowners may be enticed to change land entails changes in land management, for example,
use, for example by clearing shrub land or forests increased tillage or the use of heavy machinery. This
to make way for a plantation or other productive may impact the soil, possibly resulting in degradation.
land. In such cases, there could be risk of loss of
• When secondary biomass resources are used, soil
biodiversity and carbon.
degradation and loss of nutrients can occur if ash
• The sourcing of primary or secondary biomass or and other residues are not returned to the soil.
feedstock may cause a risk of land conversion. For
• If the project is linked to the production of cattle or
waste-based systems, this risk should be minimal.
other grazing animals, additional demand may lead
to farmers increasing the number of animals. This,
in turn, can lead to overgrazing, which in some areas
Mitigation Measures for Impacts on Soil and can cause erosion, and, in other areas, can start
Land Resources desertification processes.
Similar to agricultural production, biomass feedstock for
bioenergy production, whether primary or secondary, can • Are artificial fertilizers or pesticides needed in order to
lead to soil degradation if soils are not managed properly. grow the feedstock in sufficient quality and quantity?
Furthermore, effluents from conversion of biomass
feedstock can lead to pollution of the soil resource. • The use of fertilizers or pesticides may negatively
impact soil and water quality, soil productivity, and
Production stage
soil biodiversity.
Mitigation measures include no-till practices, use of cover
crops to avoid erosion and build soil organic matter, and If the answer to any of the above questions is “yes,” one
growth of different crops and use of manure or fertilizer to
or more issues of concern will need further data collection
ensure nutrient levels in soils and avoid depletion. Similarly,
planting of riparian buffer zones can minimize erosion and and assessment.
nutrient leakage to water bodies. No-till practices and
irrigation can help maintain soil moisture. Excess use of 15.1.4 AIR
pesticides, herbicides, and other chemicals can lead to soil,
groundwater, and surface water pollution. Clean air is important for humans, animals, and the
Conversion stage environment, and air pollution is detrimental for health
Adequate treatment of water effluents can minimize and food production, among others. Care therefore should
impact on soil resources, and waste disposal should not be taken to avoid air pollution from the production or
take place outside dedicated facilities.
conversion of feedstock for bioenergy production. Air
Source: UNEP et al., 2011; UNEPc, n.d.
pollution can be biological (pollen, fungi), physical (smell,

160 Environmental and Social Considerations

thermal, radiative), and chemical (ozone, nitrogen oxides, • If the feedstock is biological waste or if the digested
sulfur oxides) and could result from plant emissions and remains from biogas production are used on fields
changes of management practices (such as intensification) on as fertilizer, there may be risk of spread of bacteria
and pollutants.
agricultural land or in forests.
• If the feedstock is biological waste, then transport,
• Will production, conversion, or transport of the treatment, and storage must be organized so that
feedstock cause emissions of air pollutants, such as the risk of spreading bacteria is minimized.

nitrogen oxides, particulate matter, sulfur oxides, ozone, • Some agricultural systems, mostly where livestock
aerosols, soot, or volatile organic compounds? are involved, can spread spores, which in rare cases
may cause health risks if concentrations are high.
• Use of heavy machines or some types of trucks
for transport of biomass or feedstock (or other If the answer to any of the above questions is “yes,” one
necessary inputs) may result in pollutant emission. or more issues of concern will need further data collection
• Burning of field residues or waste at the biomass and assessment.
production site may lead to pollutant emission.
15.2 ENVIRONMENTAL SCREENING OF THE
• Will production, conversion, or transport of the
BIOMASS-TO-ENERGY OPERATION
feedstock cause emission of smell and odorous emissions,
thermal heat, or radiation? Environmental issues related to the operation of the biomass
plant itself, include, but are not limited to:
• If the feedstock for the project is manure, chicken
litter, or waste from food industry treatment, storage
• Odor
and transport of the feedstock may lead to nuisance
or pollution if not handled well. • Air pollutant (e.g., nitrogen oxides, sulfur oxides,
• Will production, conversion, or transport of the particulate matter) emissions from the stack
feedstock cause emission of biological air pollutants, • Wastewater and odor from storage of biomass
such as pollen, fungi, or bacteria?
• Wastewater from flue gas condensing

• Disposal of waste

Mitigation Measures for Impacts on Air Quality • Noise emission

Growth and subsequent conversion or combustion of
biomass feedstocks can have adverse impacts on air quality • Operational hazards (for example, risk of fire).
and should be minimized.
While sourcing of biomass rarely involves permitting, the
Production stage
building and operation of the biomass-to-energy installation
Spreading of manure can lead to odorous emissions and
usually does. Storage of feedstocks, and the entire supply
should be kept to a minimum of time over the year.
chain for a biological waste-based energy system, may
Conversion stage
also require permits that often relate to the environmental
Use of efficient trucks and minimization of transport
distances can reduce impacts. The facility should be fitted impact of the installation. Permits presume regulatory
with adequate abatement systems to ensure reduction compliance and are the basis for giving the license to
and removal of, for example, nitrogen oxides, sulfur oxides,
operate at all. Therefore, the screening and documentation
and other pollutants, as well as particles (particulate
matter) from air emissions. Combustion of some biomass of environmental issues should be an integrated part of the
feedstocks can lead to significant local pollution, such as permitting process.
soot particles and carbon monoxide. Efficient plants will
minimize these risks. Storage, transport, and treatment
should use adequate facilities to minimize the spread of
bacteria.
Source: UNEP, 2009.

Converting Biomass to Energy: A Guide for Developers and Investors 161

15.3 SOCIOECONOMIC ISSUES • Central government authorities and ministries

Alongside environmental issues, the development of a • Representatives of regions, local governments, and
biomass project may entail social risks and impacts, regulatory bodies
especially on local communities affected by the project. This
• Nongovernmental organizations, including conservation
can include impacts on livelihoods, cultural heritage, access
organizations
to or ownership of land, and access to natural resources. It
may also require consideration of gender issues; child labor • Labor organizations, trade organizations, farmers

and vulnerable groups; and food security, especially in those groups, and community-based organizations

areas where food insecurity is endemic. Finally, it can include • Private sector, research agencies, universities, and
impacts on the economic well-being of the affected parties, consulting firms
including employment opportunities, income, and wealth.
• Financing institutions, small-scale finance providers,

In summary, issues to be examined include: and insurance companies

• Religious and cultural organizations.

• Food security

• Land acquisition, titling, and tenure

Guidance on SIAs
• Access to assets and natural resources A number of guidance and policy documents as well as
performance standards on social impact assessment
• Community health and safety (SIA) could be consulted before deciding if and how
to conduct an SIA. These include, for example, the
• Energy security and access International Association for Impact Assessment’s (IAIA)
2015 guidance document for SIA (IAIA, 2015), as well as
• Gender and vulnerable groups IFC’s Performance Standards on Environmental and Social
Sustainability (IFC, 2012).
• Labor issues, labor rights, employment, wages,
and income.

The following stepwise approach to a preliminary screening An example of guiding E&S questions can be seen on the
will allow the project developer to identify the resulting following pages in Table 15–2.
socioeconomic effects of sourcing the particular biomass
resource and constructing the plant. 15.4 GREENHOUSE-GAS EMISSION ESTIMATES

Estimation of greenhouse-gas benefits of a biomass-to-

The project developer should systematically screen for
energy project is based on existing IFC guidelines, as shown
socioeconomic issues linked to the type of biomass concerned
below, and is complemented, where relevant, with existing
(primary, secondary, tertiary), as the socioeconomic impacts
methodologies. These include the United Nations Framework
may vary depending on the feedstock type.
Convention on Climate Change Clean Development

Section 6.2 (Permitting) also includes a list of E&S issues Mechanism, the Intergovernmental Panel on Climate Change

specific to the site and the installation. Good Practice Guidance on Greenhouse Gas Reporting, and
the European Union Renewable Energy Directive (RED)
Adequate engagement with affected communities throughout methodology, as well as related tools, such as BioGrace-II.
the project cycle on issues that could potentially affect
them and to ensure that relevant environmental and social Following the approach in IFC Definitions and Metrics for

information is disclosed and disseminated should be actively Climate-Related Activities (June 2013), greenhouse-gas

sought and implemented by the project proponent. In emission reductions are calculated from a baseline scenario

addition to affected communities, a preliminary list of other (that is, the scenario that would take place had the biomass

potential stakeholders includes: project not been implemented). Figure 15–1 illustrates this.

162 Environmental and Social Considerations

 Figure 15-1: Project Emission Reductionsa

CO2 emissions
Increase in

Leakage

Pre-project phase Baseline emissions

tCO2e

∆Upstream
CO2 emissions

∆Downstream
Decrease in

∆Operational

Project emissions

Source: IFC, 2013.

a  The emission reductions are calculated from a baseline, which signify the emissions in the absence of the biomass project. The emissions are calculated as differences,
∆ (reductions or increases), in upstream, downstream, and operational emissions, between the baseline scenario and the biomass project, and any emissions resulting from
leakage. The total emissions reductions are given in tons of carbon dioxide-equivalent per MJ. Figure based on IFC (2013

As a general rule, all greenhouse-gas emission sources that 1. Upstream emissions

change due to the biomass project should be calculated,
2. Operational emissions
although those that are negligible can be excluded from the
calculation. The default calculation will be based on the 3. Downstream emissions

following steps: 4. Leakage.

Each of the steps of the value chain is associated with

emission of greenhouse gases. Therefore, the total emissions
of the project are equal to:

Project Emissions = Upstream Emissions

+ Operational Emissions
+ Downstream Emissions
+ Leakage

The total greenhouse-gas emission reduction achieved

because of the biomass project are equal to:

Greenhouse-gas reduction = Baseline Emissions

- Project Emissions
= ∆Upstream Emissions
+ ∆Operational Emissions
+ ∆Down-stream Emissions
+ Leakage

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 163

 Table 15-2: Overview of Proposed Questions to Screen for Environmental and Social Issues on Biomass-to-Energy
Projects, based on IFC Performance Standards
Assessment and Management of Environmental and Social Risks and Impacts (PS1)
Introduction PS1 underscores the importance of identifying environmental and social risks and impacts, and managing
these according to an Environmental and Social Management System (ESMS) throughout the lifetime of a project.
ESMS entails a methodological approach to managing environmental and social risks and impacts
in a structured way on an ongoing basis.
Objectives • To identify and evaluate environmental and social risks and impacts of the project.
• To adopt a mitigation hierarchy to anticipate and avoid, or where avoidance is not possible, minimize and, where
residual impacts remain, compensate/offset for risks and impacts to workers, affected communities,
and the environment.
• To promote improved environmental and social performance of clients through the effective use of management
systems.
• To ensure that grievances from affected communities and external communications from other stakeholders are
responded to and managed appropriately.
• To promote and provide means for adequate engagement with affected communities throughout the project
cycle on issues that could potentially affect them and to ensure that relevant environmental and social
information is disclosed and disseminated.
Requirements • Conduct, if necessary in coordination with government agencies, a process of environmental and social
assessment, and establish and maintain an ESMS appropriate to the nature and scale of the project and
commensurate with the level of its environmental and social risks and impacts.
• The ESMS will incorporate the following elements:
• Policy
• Identification of risks and impacts
• Management programs
• Organizational capacity and competency
• Emergency preparedness and response
• Stakeholder engagement
• Monitoring and review.
Questions • Has a process for identifying the environmental and social risks and impacts of the project been established and
measures to ensure its implementation and maintenance enacted?
• Have all relevant stakeholders been identified and consulted in relation to project development? This includes
local, national, and international organizations that are likely to have an interest in the project.
• Have stakeholder expectations been clarified? Have areas where accidents and emergency situations may occur
been identified? Is there an emergency preparedness and response system/plan?
• Does the project negatively affect local communities in the project’s area of influence?
• How will potential conflicts be resolved? Is there a grievance redressal mechanism?
• Could the project cause migration or otherwise displace people?
Labor and Working Conditions (PS2)
Introduction PS2 recognizes that the pursuit of economic growth through employment creation and income generation should
be accompanied by protection of the fundamental rights of workers.
Objectives • To promote the fair treatment, non-discrimination, and equal opportunity of workers.
• To establish, maintain, and improve the worker-management relationship.
• To promote compliance with national employment and labor laws
• To protect workers, including vulnerable categories of workers such as children, migrant workers, workers
engaged by third parties, and workers in the client’s supply chain.
• To promote safe and healthy working conditions, and the health of workers.
• To avoid the use of forced labor.
Requirements • Implement policies and procedures relating to Working Conditions and Management of Worker Relationship,
Protection of the Work Force, Occupational Health and Safety, and Supply Chain considerations, including Terms
of Employment, Workers’ Organizations, Non-Discrimination and Equal Opportunity, Child and Forced Labor.

164 Environmental and Social Considerations

Table 15-2: Overview of Proposed Questions to Screen for Environmental and Social Issues on Biomass-to-Energy
Projects, based on IFC Performance Standards (continued)
Labor and Working Conditions (PS2) (continued)
Questions • Have human resources policies and procedures been adopted and implemented?
• Is there freedom of association and do collective bargaining agreements exist and have these been respected?
• Could potential risks to worker rights arise due to the project?
• Have an appropriate engagement process and a grievance mechanism been implemented?
• Is there an occupational health and safety management system in place?
Resource Efficiency and Pollution Prevention (PS3)
Introduction PS3 recognizes that increased economic activity often generates increased levels of pollution to air, water, and land
and consumes finite resources in a manner that may threaten people and the environment at the local, regional,
and global levels.
Objectives • To avoid or minimize adverse impacts on human health and the environment by avoiding or minimizing pollution
from project activities.
• To promote more sustainable use of resources, including energy and water.
• To reduce project-related greenhouse-gas emissions.
Requirements • Consider ambient conditions and apply technically and financially feasible resource efficiency and pollution
prevention principles and techniques that are best suited to avoid, or where avoidance is not possible, minimize
adverse impacts on human health and the environment
• The principles and techniques applied during the project lifecycle will be tailored to the hazards and risks
associated with the nature of the project and consistent with good international industry practice.
Questions • Could the project development or activities necessary to support the project impact water use, electricity
consumption, sewage, and other services?
• Have alternatives and technically and financially feasible and cost-effective options to reduce project-related
greenhouse-gas emissions during the design and operation of the project been considered?
• Have direct emissions from within the physical project boundary, as well as indirect emissions associated with
the off-site production of energy used by the project, been quantified?
• Have measures that avoid or reduce water usage been implemented, so that the project’s water consumption
does not have significant adverse impacts on the local environment, including affected communities?
• Have measures to avoid the release of air pollutants and wastewater or, when avoidance is not feasible,
minimization and/or control of the intensity and mass flow of their release, been implemented?
• Have measures or technical installations to avoid the generation of hazardous and non-hazardous waste
materials been implemented?
• Has an integrated pest management approach, including the use of chemical pesticides, been formulated and
implemented? (Relevant only to projects using primary feedstock).
Community Health, Safety, and Security (PS4)
Introduction PS4 recognizes that project activities, equipment, and infrastructure can increase community exposure to risks
and impacts.
Objectives • To anticipate and avoid adverse impacts on the health and safety of the affected community during the project
life from both routine and non-routine circumstances.
• To ensure that the safeguarding of personnel and property is carried out in accordance with relevant human
rights principles and in a manner that avoids or minimizes risks to the affected communities.
Requirements • Evaluate the risks and impacts to the health and safety of the affected communities during the project lifecycle
and establish preventive and control measures consistent with good international industry practice.
(continued)

Converting Biomass to Energy: A Guide for Developers and Investors 165

 Table 15-2: Overview of Proposed Questions to Screen for Environmental and Social Issues on Biomass-to-Energy
Projects, based on IFC Performance Standards (continued)
Community Health, Safety, and Security (PS4) (continued)
Questions • Could the project negatively affect community social or human capital?
• Could production of the feedstock in question adversely affect local production of or access to food?
• Could utilization of the feedstock in question restrict or limit access to energy by local communities
and stakeholders?
• Could the project adversely affect women and girls?
• Could the project negatively affect disadvantaged and vulnerable groups?
• Could the use of the feedstock in question negatively affect local agricultural markets, and what are the impacts
of these changes?
• Will the use of the feedstock in question cause local food prices to increase?
• Could the use of the feedstock in question negatively affect poverty in the local area?
• Has the use of hazardous materials and substances been avoided or minimized to the extent possible?
• Could the impact of the biomass-to-energy project on local ecosystem services result in adverse health and
safety risks and impacts to Affected Communities?
• Has the community exposure to water-borne, water-based, water-related, and vector-borne diseases and
communicable diseases been avoided or minimized to the extent possible?
• Have preparations to respond effectively to emergency situations been made and procedures established?
• Could the project negatively affect economic growth in the region?
• Could the development of the project or the use of the feedstock in question negatively affect employment
in the region?
Land Acquisition and Involuntary Resettlement (PS5)
Introduction PS5 recognizes that project-related land acquisition and restrictions on land use can have adverse impacts on
communities and persons that use this land. PS5 does not apply to resettlement resulting from voluntary land
transactions (i.e., market transactions in which the seller is not obliged to sell and the buyer cannot resort to
expropriation or other compulsory procedures sanctioned by the legal system of the host country if negotiations fail).
Objectives • To avoid, and when avoidance is not possible, minimize displacement by exploring alternative project designs.
• To avoid forced eviction.
• To anticipate and avoid, or where avoidance is not possible, minimize adverse social and economic impacts
from land acquisition or restrictions on land use by 1) providing compensation for loss of assets at replacement
cost and 2) ensuring that resettlement activities are implemented with appropriate disclosure of information,
consultation, and the informed participation of those affected.
• To improve, or restore, the livelihoods and standards of living of displaced persons.
• To improve living conditions among physically displaced persons through the provision of adequate housing
with security of tenure at resettlement sites.
Requirements • Consider aspects related to Compensation and Benefits for Displaced Persons, Community Engagement, Grievance
Mechanism, Resettlement and Livelihood Restoration Planning and Implementation, and Displacement.
Questions • Can feasible, alternative project designs avoid or minimize physical and/or economic displacement, and have
these been considered?
• Are there risks of resettlement and use of land by stakeholders or affected communities due to project development?
• If so, has a Resettlement Action Plan that covers, at a minimum, the applicable requirements of this Performance
Standard, been developed?
• How is the impact on project-displaced persons monitored?
• Could access to or use of land by local stakeholders be affected by the use of the feedstock?
• Has ownership of land resources in the area from where biomass feedstock is procured been assessed?
• Could the project negatively affect access to or use of land by local stakeholders?
• Has a grievance mechanism consistent with Performance Standard 1 been established?

166 Environmental and Social Considerations

Table 15-2: Overview of Proposed Questions to Screen for Environmental and Social Issues on Biomass-to-Energy
Projects, based on IFC Performance Standards (continued)
Biodiversity Conservation and Sustainable Management of Living Natural Resources (PS6)
Introduction PS6 recognizes that protecting and conserving biodiversity, maintaining ecosystem services, and sustainably
managing living natural resources are fundamental to sustainable development.
Objectives • To protect and conserve biodiversity.
• To maintain the benefits from ecosystem services.
• To promote the sustainable management of living natural resources through the adoption of practices that
integrate conservation needs and development priorities.
Requirements • Consider direct and indirect project-related impacts on biodiversity and ecosystem services and identify any
significant residual impacts
• Avoid impacts on biodiversity and ecosystem services. When avoidance of impacts is not possible, measures to
minimize impacts and restore biodiversity and ecosystem services should be implemented.
• If the project involves the utilization of primary biomass resources, certain requirements exist. These are specified
in paragraphs 26 through 30 of PS6. Further, if a project relies on purchasing primary production that is known to
be produced in regions where there is a risk of significant conversion of natural and/or critical habitats, systems and
verification practices will be adopted as part of the client’s ESMS to evaluate its primary suppliers.
Questions • Could the project directly or indirectly significantly convert or degrade natural habitats or ecosystems?
• Have relevant threats to biodiversity and ecosystem services, including habitat loss, degradation and
fragmentation, invasive alien species, overexploitation, hydrological changes, nutrient loading, and pollution,
been considered?
• Have the values (economic and otherwise) attached to biodiversity and ecosystem services by affected
communities and other stakeholders been taken into account?
• Have mitigation measures been designed to achieve no net loss of biodiversity and ecosystem services?
• Are there any critical habitats within the area, which the project will affect? Critical habitat areas and/or areas
with high biodiversity value, including: 1) habitat of significant importance to critically endangered and/or
endangered species; 2) habitat of significant importance to endemic and/or restricted-range species; 3) habitat
supporting globally significant concentrations of migratory species and/or congregatory species; 4) highly
threatened and/or unique ecosystems; and/or 5) areas associated with key evolutionary processes. If so, PS6
outlines a number of considerations that must be adhered to.
• Could the project intentionally or accidentally introduce alien, or non-native, species of flora and fauna into areas
where they are not normally found?
• If the project utilizes primary resources, has land-based agribusiness and forestry projects been located on
unforested land or land already converted?
Indigenous Peoples (PS7)
Introduction PS7 recognizes that Indigenous Peoples, as social groups with identities that are distinct from mainstream groups
in national societies, are often among the most marginalized and vulnerable segments of the population. The fol-
lowing section only applies of Indigenous Peoples are among the Affected Communities.
Objectives • To ensure that the development process fosters full respect for the human rights, dignity, aspirations, culture,
and natural resource-based livelihoods of Indigenous Peoples.
• To anticipate and avoid adverse impacts of projects on communities of Indigenous Peoples, or when avoidance is
not possible, to minimize and/or compensate for such impacts.
• To promote sustainable development benefits and opportunities for Indigenous Peoples in a culturally
appropriate manner.
• To establish and maintain an ongoing relationship based on Informed Consultation and Participation (ICP) with
the Indigenous Peoples affected by a project throughout the project’s lifecycle.
• To ensure the free, prior, and informed consent (FPIC) of the affected communities of Indigenous Peoples when
the circumstances described in this Performance Standard are present.
• To respect and preserve the culture, knowledge, and practices of Indigenous Peoples.
Requirements • Avoid adverse impacts on Indigenous Peoples and ensure participation and consent.
• If the project is located on, or seeks to commercially develop natural resources on lands traditionally owned by, or
under the customary use of, Indigenous Peoples, and adverse impacts can be expected, specific requirements apply.
(continued)

Converting Biomass to Energy: A Guide for Developers and Investors 167

 Table 15-2: Overview of Proposed Questions to Screen for Environmental and Social Issues on Biomass-to-Energy
Projects, based on IFC Performance Standards (continued)
Indigenous Peoples (PS7) (continued)
Questions • Have all communities of Indigenous Peoples within the project area of influence who may be affected by the
project been identified?
• Where adverse impacts are unavoidable, have measures to minimize, restore, and/or compensate for these
impacts in a culturally appropriate manner commensurate with the nature and scale of such impacts and
the vulnerability of the affected communities of Indigenous Peoples been implemented?
• Has an engagement process with the affected communities of Indigenous Peoples (as required in PS1)
been undertaken?
• Are there circumstances requiring Free, Prior, and Informed Consent of the Affected Communities
of Indigenous Peoples?
• Have feasible, alternative project designs to avoid the relocation of Indigenous Peoples from communally held
lands and natural resources subject to traditional ownership or under customary use been considered?
Cultural Heritage (PS8)
Introduction PS8 recognizes the importance of cultural heritage for current and future generations.
Objectives • To protect cultural heritage from the adverse impacts of project activities and support its preservation.
• To promote the equitable sharing of benefits from the use of cultural heritage.
Requirements • To protect Cultural Heritage in Project Design and Execution.
Questions • Could the project negatively affect community cultural capital?
• By ensuring that internationally recognized practices for the protection, field-based study, and documentation
of cultural heritage are implemented, has cultural heritage been identified and protected?
• If the project site contains cultural heritage, have measures been taken to ensure continued access to
the cultural site?

Source: IFC, 2012.

15.4.1 BASELINE EMISSIONS 1. A country grid emission factor for electricity, calculated

using the approach of the United Nations Framework
The approach applied by IFC for calculating baseline
Convention on Climate Change Clean Development
emissions follows that of the international financial
Mechanism, which is no more than two years old and
institution Approach to GHG Assessment in the Renewable
has been validated by a third party.
Energy Sector, where a default greenhouse-gas emission
factor for the electricity sector in the country is calculated as: 2. A transparent, project-specific study.

For non-grid connected energy, the baseline is calculated using

Electricity Factor = [0.50 x Operating Margin] the combustion factor for the fossil fuel (for example, diesel
+ [0.50 x Build Margin] oil) that is used to generate electricity or heat and that will be
displaced following the installation of the biomass project.
The Operating Margin (OM) is the average carbon
15.4.2 UPSTREAM EMISSIONS
dioxide emission per unit of electricity generated (tons of
carbon dioxide per MWh) in the area, as published by the The calculation approach applicable for upstream emissions
International Energy Agency (IEA). The Build Margin (BM) depends on the source of feedstock used for the biomass project.
is carbon dioxide emission per unit of electricity generated
For tertiary feedstock (waste biomass), upstream
(tons of carbon dioxide per MWh) using the most efficient
greenhouse-gas emissions associated with production of the
fossil fuel electricity generation available in the country
feedstock can generally be excluded.
(according to the IEA) (IFC, 2013).

For primary and secondary feedstock (non-waste biomass),

If such calculation cannot be performed, either of the
upstream greenhouse-gas emissions associated with
following two approaches can be used instead:

168 Environmental and Social Considerations

production, land use, and harvest of biomass need to be or shrub lands, or wetlands are used for feedstock. The loss
included in the calculation. of carbon from conversion of land will have to be performed
using either of these methodologies (in order of preference):
PRODUCTION EMISSIONS

For primary and secondary feedstock, the emissions resulting 1. Calculation using a common, acknowledged tool (for

from the use of mineral fertilizer and manure will have to be example, CDM methodology, BioGrace-II, or EX-ACT)

calculated using the Global Nitrous Oxide Calculator (GNOC). 12

2. Use of figure (tons of carbon per hectare) for a
given region, soil type, and biome given in Winrock
In order to calculate the emissions of nitrous oxide, the
International or Woods Hole Research Center databases
information to be entered into the GNOC is given
in Table 15–3. 3. Use of figure (tons of carbon per hectare) for a given region,
soil type, and biome published in peer-reviewed literature
LAND-USE EMISSIONS
4. Use of figure (tons of carbon per hectare) for a given
For secondary and tertiary feedstocks, calculation of region, soil type, and biome published in official
land-use emissions (resulting from direct and indirect reports and publications (by, for example, IFC, EU,
land-use change) are not performed. national governments).

For primary feedstock, the emissions resulting from land-use

change must be included if forested areas, natural grasslands

12 Available at http://gnoc.jrc.ec.europa.eu/

Table 15-3: Emissions
Information to Be Entered into GNOC Aspects to Consider
Place Search for the location (such as Indonesia) or Most locations are available in the calculator. If the given region
enter the coordinates of the crop production (x, y). is not available, the country should be used.
Crop Select the appropriate crop from the dropdown If the selected feedstock is not available, calculation will have
list. The list of crops to choose from includes: to be performed using either of these methodologies
Barley, Cassava, Coconut, Cotton, Maize, Oil Palm (in order of preference):
Fruit, Rape Seed, Rye, Safflower Seed, Sorghum, • Using IPCC Tier 1 Calculation method, using, for example,
Soy Bean, Sugar Beet, Sugar Cane, Sunflower BioGrace-II tool.
Seed, Triticale, and Wheat. • Calculating a value in GNOC using a different crop.
• Using a number given in peer-reviewed literature.
• Estimating a value, using other means of calculation.
Soil type Select whether the soil is organic or mineral. The definition of organic soil is given in GNOC. Consult this if
soil type is unknown. If the soil type cannot be defined using
the information in GNOC, select the soil most prevalent in the
region. If this is also unknown, select mineral soil.
Irrigation Select whether the crop is irrigated or not (yes/no). Please select “yes” if the crop is irrigated (except drip irrigation),
for which no nitrogen leaching is assumed (IPCC, 2006).
Fresh yield Enter the fresh yield (in kilograms per hectare) Coconut yield has to be given as yield of “husked coconut in shell”
[KILOGRAMS PER HECTARE]. See GNOC for further information.
Mineral fertilizer Enter the amount of mineral fertilizer applied Annual amount of synthetic nitrogen fertilizer applied to the
(in kilograms of nitrogen per hectare) field (in kilograms of nitrogen per hectare).
Manure Enter the amount of manure applied Annual amount of managed animal manure applied to the
(in kilograms of nitrogen per hectare) field [IN KILOGRAMS OF NITROGEN PER HECTARE]. See
GNOC for further information.

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 169

The total emission resulting from change of land will have to This includes energy used by harvesting equipment and for
be annualized over the life of the project: compaction or processing of biomass.

C For those feedstock types where significant processing is

tC Total emissions ( ——)
(
ha x year )
Annual emmissions ——————— =————————————ha ———
Project lifetime (year) required (for example, for the production of wood pellets)
or where handling takes place (for example, wood chipping
or baling of straw), emissions from these activities must be
The calculated figure (tons of carbon per hectare per year)
included. If these activities take place on-site, they can be
must be added to the yearly emissions (upstream emissions)
calculated under operational emissions, if energy use is part
resulting from the project.
of the total operation.

HARVEST, PROCESSING, AND STORING OF BIOMASS

If these emissions take place separately from the generation
Any emissions resulting from harvest of biomass must be of energy, the emissions must be calculated using a validated
included for primary and secondary feedstock sources. tool or methodology, for example BioGrace-II or CDM

Source: COWI.

170 Environmental and Social Considerations

methodologies. Emissions resulting from the storage of associated with the baseline scenario, these should be
feedstock (for example, leakage of methane from stored calculated and included.
manure) must also be included in the calculation.
For biomass operations, where significant waste products
TRANSPORT OF BIOMASS occur (for example, digested remains from biogas
For all three feedstock types (primary, secondary, tertiary), production), those emissions resulting from transport
emissions resulting from the transport of the feedstock and disposal of these waste products must be included in
must be included in the calculation. This includes emissions the calculation. Similarly, emissions resulting from any
resulting from transport by truck, freight train, and bulk downstream operations related to the biomass-to-energy
carrier. Transport must be given in kilometers and the project also should be included.
total emissions resulting from this (in kilograms of carbon
15.4.5 EMISSIONS FROM LEAKAGE
dioxide-equivalent per kilometer) must be added to the total
upstream emissions. Leakage are those emissions resulting from activities beyond
the project boundary, for example by causing increases
15.4.3 OPERATIONAL EMISSIONS in greenhouse-gas emissions from an activity not directly
Operational emissions include emissions associated with related to the biomass project, or by displacing a source of
on-site processes and activities on the biomass plant and greenhouse-gas emissions off-site.
emissions associated with (on-site or off-site) pretreatment
Leakage is particularly relevant in those situations where
of the feedstock (for example, wood pellet production).
the feedstock has other uses within the region. For example,
This includes any mobile or stationary fuel combustion
straw can be used for local combustion or as feedstock for
(for example, for power or heating), as well as electricity
animals, and the use of the feedstock for energy generation
purchased from the grid. Other relevant emission sources
in the biomass project risks forcing the current users of the
include onsite land use, waste, wastewater, and cooling and
feedstock to find alternatives for their current activities (such
refrigeration, if applicable.
as importing feed instead of using straw). In situations where
15.4.4 DOWNSTREAM EMISSIONS this takes place, the emissions resulting from displacement of
current activities should be attributed to the biomass project.
Downstream emissions are generally excluded from the
calculation. However, in those situations where downstream
emissions are larger than those downstream emissions

Converting Biomass to Energy: A Guide for Developers and Investors 171

 Source: COWI.

172 Lessons Learned from Biomass Projects

LESSONS LEARNED FROM BIOMASS PROJECTS
16
This chapter presents key learnings and international best important to have agreed standardized connection terms
practice based on experience from the implementation of and a suitable grid connection point within a short
representative biomass projects. Because the variety and distance. Heat-only production (process steam and/or
complexity of biomass projects is huge, not all learnings hot water) may be the easier and right solution
apply to all type of projects. for many industries.

• Does the project owner have sufficient strength and

16.1 IMPORTANT CONSIDERATIONS WHEN
access to finance to bring the project to completion?
INITIATING A BIOMASS PROJECT
For small and medium companies in countries where
The following illustrates typical initial considerations that the financial markets are unfamiliar with biomass
any project owner or developer must ask when initiating a projects, own funds (equity), funds from a parent
biomass project. Experience shows that a “no” to one or company, or supplier finance may provide financing
more of the following questions may stop or substantially at better terms and conditions.
delay a project.
• Is a suitable-sized site for the biomass plant identified?
• Is sufficient biomass available at a uniform quality? A site in close proximity to the industrial consumer
Sufficient quantities of biomass residues owned by the of steam/heat and to the source of biomass should be
developer on-site is a less risky source than off-site identified. The site must have an adequate size for the
biomass from third parties. However, if the available plant, including infrastructure such as roads, unloading
on-site biomass is insufficient, the developer should seek facilities, etc. Additional land should be made available
additional sources of biomass off-site within a reasonable during the construction phase, but temporary land often
distance of the intended plant and investigate whether the can be rented from neighbors.
cost for the biomass fuel and its transport is competitive.
16.2 THE LOW-HANGING FRUIT IN BIOMASS
For projects depending on biomass supplied by a third PROJECTS
party, the ability to enter into long-term supply agreements
• Biomass processing industries or biomass producing
with few and credible counterparts is the key to success.
companies, with biomass byproducts and residues, a
• Is the biomass fuel suitable for combustion without major demand for process energy, and/or proximity to an
risks? Some biomass fuels, such as sugarcane residues, external energy consumer, may have a good basis for a
straw, and sorghum, can have very corrosive properties, biomass-to-energy project. Many successful projects exist
and it therefore is important to ensure the application of a within industries such as pulp and paper, wood, palm oil,
suitable technology and equipment quality. sugar, olives, coconuts, instant coffee, etc.

• Is there a well-defined market for the power and/ • Substitution of expensive fossil fuels with biomass
or heat produced? The ability to substitute in-house, residues may be beneficial for some industries and
fossil fuel-based energy with biomass may provide an enhances their competitiveness.
easier business case than reliance on the sale of heat
• The use of local biomass as a fuel eliminates or reduces
and power to third-party customers or to the national
the reliance on a stable fossil fuel supply. At the same
grid. If power sale to the grid is envisioned, it will be

Converting Biomass to Energy: A Guide for Developers and Investors 173

 time, local production of energy is a catalyzer for the local to identify a secondary biomass supply at an early stage
economy in terms of extra jobs in the fuel supply chain. of the project.

• In-house production of electricity and steam/heat from TECHNOLOGY SELECTION AND DESIGN
biomass may be a more reliable energy source than
• If the moisture content in the fuel is above 60 to 65
unstable external supplies, and production interruptions
percent, anaerobic digestion may be the choice of
at the enterprise may be avoided.
technology. For drier biomass wastes, a combustion
technology will be more suitable.
16.3 IMPORTANT LESSONS LEARNED
BIOMASS AVAILABILITY AND SUPPLY CHAIN • Proven technologies are essential, but in order to reduce
capital costs, a local low-cost supplier may supply the
• The most important question to ask is whether sufficient
technology in cooperation with an international, reliable,
biomass residue of the proper quality is available from the
and experienced supplier who is responsible for the
industrial facility’s own production, perhaps supplemented
process design.
by local agricultural or forestry biomass wastes.
• The intended fuels will determine the combustion
• For fuels sourced off-site, biomass must be secured by
technology to use, but they also must be evaluated in
long-term contracts. The contracts must contain all
terms of suitability for handling and storage at the
relevant issues for the fuel supply, including quality
site. The fuel sizing and content of potential corrosive
requirements such as moisture range, sizing, and absence
elements will influence the selection of boiler technology
of foreign elements. In addition, the contract should
and materials in the boiler parts. It must be verified
specify all commercial aspects such as price terms,
that internationally proven equipment suppliers can
penalties, rejection right, and other conditions. The
accept the chosen type of biomass and that acceptable
establishment of a stable and reliable supply chain for off-
warranties can be guaranteed. Selection of unproven
site fuels is one of the most critical and difficult aspects of
technology or unexperienced suppliers may easily lead to
the biomass project and requires careful analysis.
delays, operational problems, and budget overruns.
• When the energy production depends on agricultural or
• If power production and export to the grid is foreseen,
forestry production residues, the seasonal variation of
it is important at an early stage to check that a grid
biomass production becomes a determining factor for its
connection is possible at the right voltage and within
availability (for example, delivery problems during the
close proximity. It also should be determined who should
rainy season). It therefore is essential to map the seasonal
erect and finance the connection. It is important to
variation for the most common crops that deliver the
check emission limitations at an early stage, as this may
secondary or tertiary biomass for energy production.
influence the choice of technology, especially in the flue
Furthermore, storage facilities may be established on-site
gas cleaning system.
at the plant or off-site at the premises of the biomass
suppliers if storage is needed due to production or • Fuel flexibility is important in case of a lack of supply
seasonal variations. In all cases, the on-site storage of the intended biomass fuel.
capacity must be determined and approved. Typically, • Handling and disposal and/or reuse of residues
storage capacity at the biomass plant site of a minimum (bottom ash and fly/boiler/flue gas cleaning ash)
of three to four days is needed. must be assessed carefully, as this can substantially
• It is important to consider biomass flexibility, in terms of influence the project economy.
supply, delivery, storage, preparation, and feeding. Better • Island operation (off-grid operation) is an important
flexibility with alternative biomass types may increase feature in many developing countries with daily dispatch
the industry’s operating time and availability if there is a of the electrical grid. Requirements for island-mode
shortage of the preferred fuel. In any case, it is important

174 Lessons Learned from Biomass Projects

 operation must be part of the technical description in the determine the progress to the next stage. Improper
tender specification/contract. planning and incorrect selection of technology is likely
to lead to delays, operational problems, and budget
CONVERSION OF EXISTING BOILERS TO PARTIAL OR
overruns. Assistance to the owners from experts in
FULL BIOMASS COMBUSTION
planning and technical issues is recommended.
• If conversion of existing boilers is foreseen, the
• The development process will require substantial
involvement of the boiler supplier at an early stage is
assistance from specialists with experience in engineering,
very important. The original equipment supplier is best
architecture, environment, legal issues, and economics/
suited to determine potential consequences of converting
finance. No project will receive financing if the early
the existing boiler to the selected biomass fuel.
development work is lacking in quality and scope.
• Careful consideration should be given to whether a
• It is important to check whether national (and any
conversion of the existing technology is the best long-
regional or international) legislation is in favor of
term solution compared to a new plant.
this type of project and that environmental approval
COMMERCIAL AND FINANCIAL VIABILITY OF PROJECTS can be expected. Time needed to prepare and obtain
an environmental impact assessment and gain
• The key driver of financial viability of biomass projects
environmental approval is often underestimated, and this
is a stable, low-cost supply of biomass in sufficient
may jeopardize the time schedule.
quantity and quality.
• A proper site investigation is highly recommended.
• If export of energy is anticipated, access to a market
Detection of underground obstructions, the need for
with acceptable prices for the heat and power produced
piling, archaeological issues, etc. may cause delays that
is crucial. Sale of both electricity and steam/heat should
should be identified and addressed.
improve the financial viability of the project, otherwise
only in-house consumption should be assumed. It • Availability of cooling water for the steam cycle
is important to check whether the feed-in tariff is (condensing of the steam) will increase plant efficiency
guaranteed and for how long. and benefit the business case.

• Sale of process heat/steam to nearby industries or as PROCUREMENT

district heating also may improve the financial viability
• It is crucial that owners do not sign contracts without
of the project.
assistance from advisers who are experienced in
• Access to finance at competitive terms is important. For technical and legal aspects. Contracts often lack
smaller projects in countries with less developed financial sufficient stipulations and regulations on issues such
sectors, supplier finance may be a more competitive as performance guarantees, liquidated damages, delay
solution than bank finance. damages, testing regime, how to remedy defects, etc.
• As a rule of thumb, biomass combustion projects • Development of a detailed technical specification as part
typically face capital costs between $1 million per MWe of the contract is important. This includes topics such as
(as in China and India) and $3 million to $3.5 million the scope of supply, limits of supply, main design values
per MWe (as in Europe and North America). of equipment, etc.

PROJECT DEVELOPMENT • It is important to base the tendering on internationally

well-known contract specifications in order to attract
• Development of a biomass project should progress in
the best suppliers for larger projects in anticipation of
well-defined stages, such as the pre-feasibility study,
international competition.
feasibility study, planning applications, procurement, etc.
For each stage completed, a go or no-go decision should

Converting Biomass to Energy: A Guide for Developers and Investors 175

 • The contract document should include proper functional engage the equipment supplier’s supervisor for a period of
and performance testing schemes, and these should be one to two years in order to assist the owner’s staff during
verified and documented during plant commissioning. the time of first operation. The operation and maintenance
also may be outsourced to an operation and maintenance
• Contractual guarantee requirements linked to liquidated
operator on a long-term contract.
and delay damages should secure the timely delivery of a
well-performing power plant. • Training of staff must be planned in due time during
construction (for example by the technology provider
• Availability and continuous operating time without
and the consultant). Training at similar facilities should
manual cleaning stops must be demonstrated during the
be considered as an alternative.
first year of operation. Agreements on this aspect must be
part of the contract. • Maintenance according to the equipment supplier’s
instructions throughout the project life is crucial in order
OPERATION AND MAINTENANCE
to maintain the plant’s availability.
• A biomass plant is a technically complex setup that requires
staff with sufficient skills. A good and sound solution is to

176 Lessons Learned from Biomass Projects

APPENDICES

APPENDIX A Biomass-to-Energy Screening List

Project Information Unit Input
Project name
Client/owner
City
State/province
Country
Type of industry
Type of project
• Steam technology
• ORC technology
• Biogas technology
General Questions
Are employees with required skills readily available to manage yes/no
and run the plant?
Is national (and any regional or international) legislation in
favor of this type of project, and can environmental approval be
expected? Does legislation allow such facilities?
Residual Biomass Fuel Data
Is the biomass waste appropriate as fuel for energy production?
Type of biomass
Is a potential corrosive behavior of the fuel acceptable by
technology providers?
Annual amount tons
Calorific value MJ/kg
Moisture content %
Other characteristics (particle size, etc.)
Is the rainy season an obstacle if using forestry or agricultural
biomass residues?
(continued)

Converting Biomass to Energy: A Guide for Developers and Investors 177

 APPENDIX A Biomass-to-Energy Screening List (continued)
Supplementary Biomass Fuel Data
Type of biomass
Is a potential corrosive behavior of the fuel acceptable by
technology providers?
Calorific value MJ/kg
Moisture content %
Other characteristics (particle size, etc.)
Logistics (delivery by truck, etc.)
Cost of fuel $/ton
Is the rainy season an obstacle?
Energy Supply Data (to Industry)
Requested power output MW
Requested heat output MW
Data heat output bar/°C
Requested steam output tons/hour
Data steam output bar/°C
Constant supply yes/no
Operating time hours/year
Electrical Grid
Is a well-defined market for export of energy (electricity and/ yes/no
or steam/heat) available with long-term secured prices, making
the project feasible?
Distance to electric grid connection point Km
Voltage level Volt
Who would pay for the transmission line to the connection point?
External Heat/Steam Customers
Possible heat supply MW
Data heat output bar/°C
Possible steam supply tons/hour
Data steam output bar/°C
What is the distance? meters
Who would pay for the connection?
Site Information
Site available at the industry? yes/no
Size of the site m²

178 Biomass-to-Energy Screening List

APPENDIX A Biomass-to-Energy Screening List (continued)
Environmental Requirements
Air emission limits
• Dust mg/Nm³
• Carbon dioxide mg/Nm³
• Nitrogen oxides mg/Nm³
• Sulfur oxides mg/Nm³
• Hydrogen chloride mg/Nm³
Others
Cooling
Is seawater cooling possible (sea, river)?
Is water available for cooling tower? yes/no
Financing/Economy
Who will be the owner and operator of the project?
Is financing available at reasonable terms and costs? yes/no
What is the feed-in tariff? $/MWh
Can the feed-in tariff be guaranteed, and for how long a time?
Are potential government incentives (for example, renewable
energy certificates) available?
What is the requested payback time of the project? years

Source: COWI.

Converting Biomass to Energy: A Guide for Developers and Investors 179

 APPENDIX B Characterization of Biomass

Number 1 2 3

Feedstock Coniferous stem wood, Logging residues, coniferous Wheat straw

without bark

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

Most Common Trading Form chips chips bales

Conversion Technology combustion combustion combustion / fermentation

Net Calorific Value (MJ/kg) 19.1 (18.5–20.5) 18.5–20.5 16.6–20.1

Biogas Potential (Milliliters of not relevant not relevant 240–440

methane / grams of volatile solids)

Bulk Density (kg/m³) 300 (270–360) 300 (270–360) 20–40 (loose)

20–80 (chopped)
110–200 (baled)
560–710 (pelletized)

Elementary Carbon 50 (48–52) 50 (48–52) 48 (41–50)

Analysis
(w% dry) Hydrogen 6.1 (5.7–6.2) 6.1 (5.7–6.2) 5.5 (5.4–6.5)

Oxygen 40 (38–44) 40 (38–44) 39 (36–45)

Chemical Composition

Lignocellulosic Hemicellulose 25–25 25–25 23–30

Constituents
(w% dry) Cellulose 40–45 40–45 34–38

Lignin 24–33 24–33 16–21

Ash Content (% dry bulk) 3 (1–10) 3 (1–10) 2–10

Volatile Matter (% dry bulk) 86 (80–90) 84–86 77 (75–81)

Moisture Content 30–55 35–55 10–30

(Traded Form) (w–%)

180 Characterization of Biomass

 4 5 6 7

Used wood (post consummer Bark, coniferous Broadleaved stem wood Poplar
wood, recycled wood, untreated) (debarking residues) with bark

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

hog fuel shredded chips chips

combustion combustion combustion combustion

18.6–18.9 17.5–20.5 15.0–19.2 18 (17.3–20.9)

not relevant not relevant not relevant not relevant

200 (140–260) 240–360 220–260 340 (320–400)

49–52 50 (48–55) 42.6–52.0 49.7 (44.8–52.0)

5.9–6.4 5.9 (5.5–6.4) 5.7–6.4 6.0 (5.6–6.3)

38–44 38 (34–42) 41.4–51.1 43.9 (41.6–48.6)

25–30 10–15 21–32 25.3 (12.7–39.8)

40–45 20–30 28–49 44.4 (35.2–50.8)

20–30 10–25 30–32 22.9 (15.5–31.9)

0.5–2 1–5 0.3–1.5 1.2 (0.2–2.7)

84–86 70–80 83.1 (75.6–85.8) 82.6 (71.8–87.5)

15–30 50–65 10–50 4.8–15

(continued)

Converting Biomass to Energy: A Guide for Developers and Investors 181

 APPENDIX B Characterization of Biomass (continued)

Number 8 9 10

Feedstock Cereal straw Pruning from olive trees Eucalyptus

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

Most Common Trading Form bales chips chips

Conversion Technology combustion / fermentation combustion combustion

Net Calorific Value (MJ/kg) 14.8–20.5 16.3 (16.0–18.5) 18.5 (17.0–21.6)

Biogas Potential (Milliliters of 245–445 not relevant not relevant

methane / grams of volatile solids)

Bulk Density (kg/m³) 20–40 (loose) 250 (220–270) 250 (220–260)

20–80 (chopped)
110–200 (baled)
560–710 (pelletized)

Elementary Carbon 48.9 (43.7–52.6) 40.7 (39.0–45.0) 50.3 (46.2–55.2)

Analysis
(w% dry) Hydrogen 5.9 (3.2–6.6) 5.7 (5.0–6.0) 6.2 (4.9–6.9)

Oxygen 43.9 (39.4–50.1) 41.0 (40.0–42.0) 43.3 (38.2–47.7)

Chemical Composition

Lignocellulosic Hemicellulose 25.0 (7.2–39.1 11.5 (10.0–12.0) 25.3 (8.4–43.5)

Constituents
(w% dry) Cellulose 37.0 (14.8–51.5) 48.5 (47.5–49.5) 43.0 (8.8–57.5)

Lignin 17.5 (5.0–30.0) 30.5 (29.5–31.5) 23.2 (9.37)

Ash Content (% dry bulk) 6.7 (1.3–13.5) 30.5 (29.5–31.5) 1.2 (0.2–6.1)

Volatile Matter (% dry bulk) 81 (73–87) 76.2 (75.2–80.5) 83.4 (77.5–93.6)

Moisture Content 15 (8–25) 25 (10–50) 10 (5–50)

(Traded Form) (w–%)

182 Characterization of Biomass

 11 12 13 14

Paulownia Willow (Salix) Reed canary grass Barley straw

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

chips chips Bales chopped bales

combustion combustion combustion / fermentation combustion / fermentation

18.6 (18–20) 19.8 (19 – 21) 16.6 (14.6–17.5) 18.9

not relevant not relevant 280–410 240–320

250 (220–260) 330 (300–390) 150–200 (bales) 20–40 (loose)

20–80 chopped)
110–200 (baled)
560–710 (pelletized)

49.5 (47.9–50.0) 49 (47.1–50.3) 45.3 (44–48) 45.4 (39.9–47.5)

6.4 (5.8–6.7) 6 (5.8–6.2) 5.6 (5.2–6.2) 5.6 (5.3–5.9)

43.8 (43.2–45.0) 43 (41.3–45.3) 41.2 (38–44) 42.1 (41.2–43.8)

19.6 (19–25) 27 (23–32) 22–25 24–29

41.6 (40–49) 41.0 (38–45) 38–46 31–34

22 (21–23) 25 (23–29) 18–21 14–15

1.1 (0.5–3.5) 1.5 (1–3) 8 (3–22) 4.5–9

82.0 (81.5–84.0) 82 (81–86) 77 (74–81) 82.4

10 (5–30) 40 (35–50) 15 (5–35) 15 (5–35)

(continued)

Converting Biomass to Energy: A Guide for Developers and Investors 183

 APPENDIX B Characterization of Biomass (continued)

Number 15 16 17

Feedstock Empty fruit bunch Bamboo Sugarcane bagasse

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

Most Common Trading Form bales briquettes chips chopped

Conversion Technology combustion / fermentation combustion fermentation / combustion

Net Calorific Value (MJ/kg) 11.5–14.5 16.9 16.7 (15–19.4)

Biogas Potential (Milliliters of 264 not relevant 72–200

methane / grams of volatile solids)

Bulk Density (kg/m³) 100–200 200 130 (120–160)

Elementary Carbon 43.8–54.7 46.7–52.0 46

Analysis
(w% dry) Hydrogen 4.4–7.4 5.1–5.6 5.7

Oxygen 38.2–47.8 37.8–42.5 39.2

Chemical Composition

Lignocellulosic Hemicellulose 20.6–33.5 19.5 24.5 (24–32)

Constituents
(w% dry) Cellulose 23.7–65.0 49.3 35.2 (32–44)

Lignin 14.1–30.45 22.4 22.2 (19–24)

Ash Content (% dry bulk) 1.3–13.7 7.7 9 (4.5–25)

Volatile Matter (% dry bulk) 72–75 74.2 76.1–85.6

Moisture Content 61–72 15 (5–30) 50 (48–53)

(Traded Form) (w–%)

184 Characterization of Biomass

 18 19 20 21

Corn cobs Rice husk Rice straw Switch grass

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

chopped bulk bales bales

fermentation / combustion fermentation / combustion fermentation / combustion fermentation / combustion

14 12–16 14.5–15.3 15.7

330 49 (49–495) 280–300 246

160–210 100 20–40 (loose) 49–266 chopped)

20–80 (chopped)
110–200 (baled)
560–710 (pelletized)

47.1 37–44 38.4 (36–42) 43.6

5.8 4.8–5.6 5.2 (4.6–5.3) 6.4

40 33–49 36–43 44.8

31–33 29.3 33.5 31.7

40–44 34.4 44.3 43.1

16–18 19.2 20.4 11.3

15 (1–40) 17–24 14–16 4.3

87.4 61.8–74.3 65.5 87.4

8–20 10 10–20 8–15

(continued)

Converting Biomass to Energy: A Guide for Developers and Investors 185

 APPENDIX B Characterization of Biomass (continued)

Number 22 23 24

Feedstock Chicken manure Dairy manure Swine manure

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

Most Common Trading Form bulk / pellets bulk / pellets bulk / pellets

Conversion Technology fermentation / combustion fermentation / combustion fermentation / combustion

Net Calorific Value (MJ/kg) 9–13.5 no data no data

Biogas Potential (Milliliters of 156–295 51–500 322–449

methane / grams of volatile solids)

Bulk Density (kg/m³) 230 depending on depending on

moisture content moisture content

Elementary Carbon 35.9 37.6 34.8

Analysis
(w% dry) Hydrogen 5.1 5.1 4.7

Oxygen 30.5 28.9 30.3

Chemical Composition

Lignocellulosic Hemicellulose 23.2 15.2 27.7

Constituents
(w% dry) Cellulose 20 19.5 11.3

Lignin 1.6 17.4 4.3

Ash Content (% dry bulk) 24 25.2 27.6

Volatile Matter (% dry bulk) 19.5 28.8 no data

Moisture Content 6–22 10–75 10–85

(Traded Form) (w–%)

186 Characterization of Biomass

 25 26 27 28

Palm kernel shells (PKS) Banana peel Cassava peels Tobacco leaves

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

bulk bulk bulk bulk

combustion fermentation fermentation fermentation / combustion

15.6–22.1 no data no data 17.97

not relevant 223–336 272–352 289 (calculated)

450 no data depending on depending on

moisture content moisture content

44.5–52.4 no data 39.96 41.2

5.2–6.3 no data 3.98 4.9

37.3–49.7 no data no data 33.9

22.7 14.8 37.0 34.4

20.8 13.2 37.9 36.3

50.1 14 7.5 12.1

3.2–6.7 11.4 4.5 17.2

76.3–82.5 no data 95.5 82.8

no data no data 28.5–66.3 ~10 (dried)

(continued)

Converting Biomass to Energy: A Guide for Developers and Investors 187

 APPENDIX B Characterization of Biomass (continued)

Number 29 30 31

Feedstock Tobacco stalk Recycled paper Sewage sludge

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

Most Common Trading Form bulk bulk bulk

Conversion Technology fermentation / combustion combustion fermentation / combustion

Net Calorific Value (MJ/kg) 19.02 12.77 7–15

Biogas Potential (Milliliters of 163 not relevant 249–464

methane / grams of volatile solids)

Bulk Density (kg/m³) depending on 431 (compacted) depending on

moisture content moisture content

Elementary Carbon 49.3 52.3 28.0–45.0

Analysis
(w% dry) Hydrogen 5.6 7.2 4.0–6.2

Oxygen 42.8 40.2 2.4–43.5

Chemical Composition

Lignocellulosic Hemicellulose 28.2 11.0 no data

Constituents
(w% dry) Cellulose 42.4 68.4 no data

Lignin 27.0 11.4 no data

Ash Content (% dry bulk) 2.4 89.2 12–34.6

Volatile Matter (% dry bulk) 97.6 10.8 65.4–88

Moisture Content 6 (dried) 5 55–96.5

(Traded Form) (w–%)

Sources: Lemus et al. (2013), Saidur et al. (2011), McKendry (2002), Kandel et al. (2013), Dubrovskis, Vilis, et al. (2012), Kim, Tae Hoon, et al. (2014),
Kim, Sang–Hyoun, et al. (2013), Teh et al. (2010), Chang (2014), Papadopoulos (2004), Batalha et al. (2011), Rabelo et al. (2011), Rezende et al. (2011),
Vivekanand et al. (2014), Pointner et al. (2014), Kaliyan & Morey (2014), Wang (2011), Mullen et al. (2012), Chandra et al. (2012), Li et al. (2013),
Armesto (2002), Lam et al. (2008), Oliveira et al. (2012), Tiquia et al. (2002), McMullen et al. (2005), Otero et al. (2011), Husain et al. (2002), Kim et al. (2010),
Okafor (1988), Kelly–Yong et al. (2007), Sharma et al. (1988), Tovar et al. (2015), Thomsen et al. (2014), Liu et al. (2015), Vounatsos et al. (2012), WRAP (2009),
Francou et al. (2008), Cabbai et al. (2013), Caporgno et al. (2015), Jhosane Pages–Diaz et al. (2014), Göblös et al. (2008), Demirel et al. (2005),
Kafle and Hun Kim (2013), Costa et al (2013), Lee (2010), Zupan i and Grilc (Not available), Thiago Rocha dos Santos Mathias et al. (2014), Adela et al. (2014),
Ahmed et al. (2015).

188 Biomass-to-Energy Screening List

 32 33 34 35

Residuals from slaughterhouse Residuals from dairies Residuals from breweries Palm oil mill effluent (POME)
(brewery grain waste—BGW)

Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP. Source: DTI & Biowaste4SP.

bulk bulk bulk no data

fermentation fermentation fermentation no data

no data no data no data 0.47

no data no data no data no data

no data no data no data not relevant

no data no data no data not relevant

no data no data no data not relevant

no data no data no data no data

no data no data no data no data

no data no data no data no data

no data no data no data no data

no data no data no data 0.47

no data no data no data not relevant

no data no data no data no data

Converting Biomass to Energy: A Guide for Developers and Investors 189

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 ENVIRONMENTAL, HEALTH, AND SAFETY GUIDELINES
PORTS, HARBORS, AND TERMINALS
February 2, 2017

ENVIRONMENTAL, HEALTH, AND SAFETY GUIDELINES FOR

PORTS, HARBORS, AND TERMINALS
INTRODUCTION
1. The Environmental, Health, and Safety (EHS) Guidelines are technical reference documents with
general and industry-specific examples of Good International Industry Practice (GIIP).1 When one or more
members of the World Bank Group are involved in a project, these EHS Guidelines are applied as required
by their respective policies and standards. These industry sector EHS guidelines are designed to be used
together with the General EHS Guidelines document, which provides guidance to users on common EHS
issues potentially applicable to all industry sectors. For complex projects, use of multiple industry sector
guidelines may be necessary. A complete list of industry sector guidelines can be found at
www.ifc.org/ehsguidelines.

2. The EHS Guidelines contain the performance levels and measures that are generally considered to
be achievable in new facilities by existing technology at reasonable costs. Application of the EHS Guidelines
to existing facilities may involve the establishment of site-specific targets, with an appropriate timetable for
achieving them.

3. The applicability of the EHS Guidelines should be tailored to the hazards and risks established for
each project on the basis of the results of an environmental assessment in which site-specific variables,
such as host country context, assimilative capacity of the environment, and other project factors, are taken
into account. The applicability of specific technical recommendations should be based on the professional
opinion of qualified and experienced persons.

4. When host country regulations differ from the levels and measures presented in the EHS Guidelines,
projects are expected to achieve whichever is more stringent. If less stringent levels or measures than those
provided in these EHS Guidelines are appropriate, in view of specific project circumstances, a full and
detailed justification for any proposed alternatives is needed as part of the site-specific environmental
assessment. This justification should demonstrate that the choice for any alternate performance levels is
protective of human health and the environment.

APPLICABILITY
5. The EHS Guidelines for Ports, Harbors, and Terminals are applicable to marine and freshwater ports,
harbors, and terminals for cargo and passengers. Shipping (including repair and maintenance of ships),
fuel terminals, and railways are addressed in the EHS Guidelines for Shipping; Crude Oil and Petroleum
Product Terminals; and Railways, respectively. Annex A provides a summary of industry sector activities.

                                                            
1 Defined as the exercise of professional skill, diligence, prudence and foresight that would be reasonably expected
from skilled and experienced professionals engaged in the same type of undertaking under the same or similar
circumstances globally. The circumstances that skilled and experienced professionals may find when evaluating the
range of pollution prevention and control techniques available to a project may include, but are not limited to, varying
levels of environmental degradation and environmental assimilative capacity as well as varying levels of financial and
technical feasibility.

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This document is organized in the following manner:

1. Industry-Specific Impacts and Management ............................................................................. 2

1.1 Environment ............................................................................................................................. 2 
1.2 Occupational Health and Safety ............................................................................................ 19 
1.3 Community Health and Safety ............................................................................................... 21
2. Performance Indicators Monitoring ......................................................................................... 23
2.1 Environment ........................................................................................................................... 23 
2.2 Occupational Health and Safety ............................................................................................ 25
3. References ................................................................................................................................. 26
Annex A. General Description of Industry Activities ................................................................... 31

1. INDUSTRY-SPECIFIC IMPACTS AND MANAGEMENT

6. The following section provides a summary of EHS issues primarily associated with port and terminal
construction and operations, along with recommendations for their management as part of a comprehensive
environmental and social management system for a given project. Recommendations for the management
of EHS issues common to most large industrial and infrastructure projects, including siting and cumulative
impact considerations, are provided in the General EHS Guidelines. Sites for ports, harbors and terminals
should be selected through a systematic, documented environmental assessment process that includes
rigorous consideration of siting and alternatives, their direct and indirect environmental and social impacts,
and consultation with affected communities. Appropriate site selection may avoid and/or minimize EHS and
social impacts associated with ports, harbors, and terminals.

1.1 Environment
7. Environmental issues in port and terminal construction and operation primarily include the following:

 Terrestrial and aquatic habitat alteration and biodiversity

 Climate change resilience
 Water quality
 Air emissions
 Waste management
 Hazardous materials and oil management
 Noise and vibration (including underwater)

1.1.1 Terrestrial and Aquatic Habitat Alteration and Biodiversity

8. Construction and operation of new port and terminal facilities, or the expansion of existing facilities,
involves the reclamation, clearing and paving (or compacting) of land for loading/unloading zones, bulk
dry/liquid and containerized cargo storage areas, fuel depots, buildings, and roads; the alteration of coast
lines for construction of breakwaters, shipyards, dockyards, wharves, piers, and vessel berths; and the
transformation of the seabed to establish vessel basins (including areas for vessel turning) and navigation
channels through dredging. These activities and related infrastructure, in addition to typical port operational

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activities, may result in alteration of terrestrial, freshwater, brackish and marine habitats, with impacts to
flora and fauna and related biodiversity. Examples of habitat alteration and biodiversity impacts from these
activities may include the alteration and/or fragmentation of areas of high biodiversity value; the modification
of coastal processes, watercourses and hydrology with impacts to sedimentation rates and patterns and
coastal erosion (as discussed further below); the alteration of aquatic habitat, including the physical
removal/suspension of seabed sediments or covering of the seabed through dredging and disposal
activities;2 and adverse impacts to terrestrial, freshwater, and marine species, including loss of habitat and
sites of importance for the conservation.

9. Potential impacts to shoreline vegetation, wetlands, coral reefs, fisheries, bird life, and other sensitive
aquatic and near-shore habitats during port construction and operation should be fully assessed and the
results incorporated into the project’s siting3 and design decisions to avoid, minimize, and offset adverse
impacts to areas of high terrestrial and aquatic biodiversity value or those areas required for the survival of
critically endangered or endangered flora and fauna. The port design should take into account the amount
and type of dredging, blasting and reclamation required and their potential interference with natural or
critical habitats. While these Guidelines do not address stand-alone land reclamation projects, the
development of port, harbor, and terminal projects may involve extensive land reclamation in proximity to
sensitive ecosystems. The scope of land reclamation activities, and the assessment and management of
associated environmental impacts, should be incorporated into the project’s design.4 Additional guidance
on the avoidance or minimization of impacts to habitats during design and construction activities is
presented in the General EHS Guidelines.

Coastal Processes and Seabed and Coastal Geomorphology

10. Coastal zones are subject to natural coastal processes including marine and freshwater processes
(as related to waves, tides, temperature, and salinity) and atmospheric processes (as related to winds,
precipitation, and temperature), Dynamic coastal processes such as coastal land erosion, transportation of

                                                            
2 Construction of some water-side structures (e.g., piers and breakwaters) and disposal of new layers of sediment may
also create new habitats for aquatic organisms.
3 Site selection is critical to avoiding and minimizing potential adverse impacts on terrestrial and aquatic habitat

alteration and impacts on biodiversity. Site selection should include a review of areas of importance for terrestrial and
aquatic species. For example, in marine habitats, this may include fish, marine mammals, and sea turtles (e.g., feeding,
breeding, calving, and spawning areas) or other habitats, such as juvenile/nursery habitats, shellfish beds, reefs, or
sea grass and kelp beds. Siting should also include a review of productive fishing areas. Consultation with relevant
national and/or international conservation organizations may also inform site selection. Additional resources for port
site selection issues and master planning are available in Environmental Best Practice: Port Development: An Analysis
of International Best Practices (2013), http://www.environment.gov.au/system/files/resources/fd1b67e7-5f9e-4903-
9d8d-45cafb5232cd/files/gbr-ports-environmental-standards.pdf.
4 Additional good international practices for the assessment and management of significant land reclamation are

available in OSPAR Commission (2008): Assessment of the Environmental Impacts of Land Reclamation,
http://qsr2010.ospar.org/media/assessments/p00368_Land_Reclamation.pdf. Additional guidance for land reclamation
in proximity to sensitive ecosystems, such as coral reefs, is available in International Association of Drilling Contractors
(IADC) (2007) Environmental Monitoring and Management of Reclamations Works Close to Sensitive Habitats,
https://www.iadc-dredging.com/ul/cms/terraetaqua/document/1/7/6/176/176/1/article-environmental-monitoring-and-
management-of-reclamations-works-close-to-sensitive-habitats-terra-et-aqua-108-1.pdf.
 

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sediment by waves and tides, and currents and deposition of transported sediment, contribute to the
physical shape and features of coastal zones, and coastal zone ecology.5

11. The construction and operation of port and terminal facilities such as piers and breakwaters6 can lead
to changes in coastal processes resulting in alterations to seabed and coastal geomorphology due to the
effects of these structures on water currents, wave patterns, and water levels. Resultant impacts could
include adverse changes to land erosion, sediment transport and deposition, and coastal inundation
profiles; impacts to the safety of navigation and berthing activities at the port, or to adjacent infrastructure
such as jetties, water intakes and outfalls; impacts to ecosystem services (for example commercial activities
such as aquaculture); and adverse impacts to water quality and aquatic and terrestrial habitats during
construction activities and/or over longer periods of time during operations, depending on site
characteristics.

12. As part of the design and siting of port facilities, surveys, assessment and modeling of metocean,
hydrological, sedimentological and coastal geomorphological conditions should be carried out together with
an identification of potential adverse impacts on coastal processes such as erosion and accretion, from the
placement of new physical structures. Design, siting considerations and coastal protection measures (e.g.,
beach nourishment, sand bypassing, groynes, seawalls, coastal revegetation, etc.) should be considered
to minimize adverse impacts from these structures. As part of a coastal processes monitoring and
management plan, projects should conduct a risk assessment of littoral sediment transport, shoreline
morphology and erosion patterns and trends, and coastal inundation profiles; define monitoring
requirements (e.g., beach profiling, satellite imagery/remote sensing); and identify action triggers.

1.1.2 Climate Change Resilience

13. Port and terminal facilities are vulnerable to the direct and indirect impacts of climate change. For
example, in addition to potential changes in water levels and inundation risks resulting from alterations to
coastal processes and seabed/coastal geomorphology caused by port infrastructure development, a port
operation may in future be exposed to more damaging storms or a higher mean sea level than has
historically been the case as a result of climate change, which may impact the viability of port operations.
Critical port and vessel related activities (in particular ship movement and mooring, loading and uploading,
and dredging activities) and the port’s supply chain infrastructure (road and rail movement, intermodal hubs)
may be vulnerable to risks related to climate variability such as increased intensity of rainfall, flash floods,
heatwaves, storms and storms surge, and high wind speeds.

14. Given these risks, projected future climate change-related impacts and the development of adaptation
measures to enhance resilience should be assessed in the design phase of new port projects (and
significant port expansions), to allow for the identification, analysis, and evaluation of climate change

                                                            
5 Further information on coastal process and geomorphology is available in Davidson-Arnott (2010) An Introduction to
Coastal Processes and Geomorphology.
6 Other port-related infrastructure or port operational activities can also lead to changes in coastal processes

geomorphology, such as shoreline regularization, channel/basin dredging, outfall or intake structures, shoreline
management structures, reclamation works, among others.
 

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February 2, 2017

vulnerabilities and risks as part of the consideration of project alternatives, design, and siting.9,10 In addition,
changing climate conditions should be evaluated on a regular basis during the operational phase of port
projects. Design and operational issues for consideration as part of climate change adaptation planning
include:

 Design port-related infrastructure (e.g., buildings, quays, berths, bridges, foundations, slopes,
embankments, breakwaters, storm water drainage) to increase climate resiliency in the context of
changing sea levels, and more extreme weather events;
 Select or replace cargo handling, storage, transport equipment (e.g., considering crane stability,
enclosing material stockpile bays, location of electrical equipment, corrosion protection) and
review cargo transport routes (e.g., avoiding flood prone areas, improving on-site drainage
systems and maintenance) to increase climate resiliency in the context of changing climate
conditions and events (e.g., increased lightning, precipitation, floods, wind speeds, temperatures);
 Assess the contribution of port construction and operation to incremental climate change impacts
on habitats of high biodiversity value and rare, threatened or endangered species found in the
vicinity of the port; identify opportunities to improve the adaptive capacity of such species and
habitats.

1.1.3 Water Quality

15. Construction and operations of ports, harbors and terminals can have a significant impact on water
quality.11 Construction activities (such as clearing of vegetation, capital dredging, reclamation, paving, and
construction of buildings), and operational activities (such as maintenance dredging, ship maintenance, and
ship effluent disposal) can result in increased turbidity via suspension of sediment in the water column. In
addition, the introduction of pollutants can have adverse impacts on aquatic flora and fauna (including
benthic communities), and human health, for example excessive nutrient loading leading to eutrophication,
oxygen depletion, and toxic algal blooms.

                                                            
9 Information regarding the assessment of climate change impacts and adaptation guidelines in relation to ports and

harbors can be found in Enhancing the Resilience of Seaports to a Changing Climate (2012). In particular, the report
section “Adaptation Guidelines” provides a risk management framework, and an overview of opportunities to build
adaptive capacity in ports, https://www.nccarf.edu.au/publications/enhancing-resilience-seaports-synthesis-and-
implications.
10 IFC: Climate Risk and Business–Ports (2011)

http://www.ifc.org/wps/wcm/connect/869dd2804aa7aed79efbde9e0dc67fc6/ClimateRisk_Ports_Colombia_ExecSum
mary.pdf?MOD=AJPERES.
11 As discussed in section 1.1.1, above, alterations to coastal processes from the construction and operation of port

infrastructure can adversely impact water quality. For example, altered flushing regimes (due to changes in shoreline
or bathymetric profiles) can affect volume, frequency, and duration of flow of water that enters or exits the waterways,
and therefore affect industrial outfall discharges or coastal riverine discharges. As discussed in the section on coastal
processes, consideration of possible impacts to water quality, and related management measures, for sources
proximate to port developments should be considered during the design and siting of port facilities.
 

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PORTS, HARBORS, AND TERMINALS
February 2, 2017

Dredged Materials Management12

16. Construction dredging (also known as “capital” dredging),13 maintenance dredging,14 and dredged
material disposal may impact habitats and pose a significant hazard to human health and the environment,
particularly from the re-suspension and/or deposition of sediments. Dredging and disposal of dredged
material may lead to impacts on water quality from increased turbidity and from release of contaminants to
the water column due to re-suspension of sediments and/or changes of certain chemical compounds in the
dredged materials when exposed to different level of oxygenation. In addition, marine or freshwater disposal
of dredged material may result in the smothering of benthic habitats, reduced light penetration impacting
light sensitive organisms, and impacts on seagrass beds, algae and coral reefs from suspended sediment
plumes. Careful consideration should also be given to sediments that have been contaminated by historical
deposition and accumulation of hazardous substances, whether due to on-site or off-site activities.15

17. Projects should conduct a risk assessment for dredging activities as part of the development of a
Dredging Management Plan. The Dredging Management Plan should be tailored to the project and should
define the dredging methodology; identify and assess dredged materials disposal options and sites;
characterize the chemical and physical composition and behavior of the sediments to be dredged;
characterize the environmental baseline where the port, harbor, and/or terminal (and disposal area) will be
located; define the area of influence with identification, assessment and modeling of sensitive ecological
receptors (usually through sediment plume propagation modeling); define mitigation measures to address
adverse impacts (for example on aquatic habitat, biodiversity, and water quality), and relevant

                                                            
12 For signatory countries, the disposal of dredging material is governed by the International Maritime Organization

(IMO), London Convention on Prevention of Marine Pollution by Dumping of Wastes and Other Matter (and its 1996
Protocol), http://www.imo.org/en/OurWork/Environment/LCLP/Pages/default.aspx.
http://www.imo.org/en/OurWork/Environment/LCLP/Documents/PROTOCOLAmended2006.pdf.
13 Numerous reference documents on dredging best practices have been developed by industry associations and

regulatory bodies, including the London Convention/Protocol’s Waste Assessment Guidelines under the London
Convention and Protocol: (2014 edition),
http://www.imo.org/en/OurWork/Environment/LCLP/Publications/wag/Pages/default.aspx. Additional guidance on
dredging management practices can be found in PIANC (2009) Report 100: Dredging Management Practices for the
Environment, http://www.pianc.org/2872231668.php, and PIANC (2010) Report 108: Dredging and Port Construction
around Coral Reefs, http://www.pianc.org/2872231775.php; An overview and guide to environmental issues of dredging
is provided in GHD (2013). Environmental Best Practice: Port Development: An Analysis of International Best Practices,
http://www.environment.gov.au/system/files/resources/fd1b67e7-5f9e-4903-9d8d-45cafb5232cd/files/gbr-ports-
environmental-standards.pdf
14 Maintenance dredging typically involves similar techniques and environmental impacts to capital dredging; however,

maintenance dredging typically involves lower volumes and takes place in areas that have already been dredged.
Contamination of dredged materials is generally higher in maintenance dredging than in capital dredging, especially for
greenfield port projects. In some instances, maintenance dredging can be avoided through use of alternative techniques
to mobilize sediments and prevent them from resettling into dredged areas. For example, some ports use water jet
techniques to mobilize sediments in lieu of dredging, thus minimizing impacts to benthic habitats and impacts
associated with dredged material disposal. However, such techniques are only appropriate in receiving environments
where the benefits outweigh the impacts of resuspension of sediments.
15 Hazardous materials that may accumulate in sediments typically include heavy metals and persistent organic

pollutants from urban surface or agricultural runoff or from industrial activities.

 

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environmental monitoring parameters and indicators. The following recommendations should be adopted
to avoid, minimize, or control impacts from dredged materials, as part of a Dredging Management Plan.16

Dredge Planning Activities

18. Dredging should be based on an assessment of the need for new infrastructure components or port
navigation access to create or maintain safe navigations channels, turning basins, and berths/docks, or, for
environmental reasons, including the removal or capping of contaminated materials to reduce risks to
human health and the environment.

19. Areas of high biodiversity value and/or areas used by aquatic life for feeding and breeding and as
migration routes should be identified.

20. The timing of dredging activities should consider seasonal factors such as migration periods (e.g., of
marine mammals, fish, birds and turtles); breeding and growing seasons (e.g., for marine flora such as
eelgrass, coral spawning, turtle nesting); timing of feeding and periods of reduced ecosystem resilience
(e.g., after extreme weather events).

21. Prior to initiation of dredging activities, materials should be sampled and characterized for their
physical, chemical, biological, and engineering properties to inform the evaluation of dredged materials
behavior once re-suspended, and to inform their reuse or final disposal. In addition, ecotoxicological risk
analysis of sample materials should be conducted to assess risks to representative organisms in the area
of influence. The number, distribution, frequency, and depth of sampling stations should be representative
of the area to be dredged, the amount of material to be dredged, and the variability in horizontal and vertical
distribution of potential contaminants.17,18,19

22. The planning activities should consider modeling20 of conditions expected during dredging operations
to evaluate short- and long-term effects of dredging, especially in case of contaminated sediments. Near-

                                                            
16 The environmental risk depends on the concentration and type of hazardous substances, the dredging method, the

intended reuse or disposal option, and the potential exposure of humans and living organisms during the dredged
materials management cycle. Therefore, dredging activities should be conducted based on a careful assessment of
potential impacts and in consultation with experts.
17 Additional information on dredge materials characterization methods is provided in the IMO (2014), Guidelines on

the Assessment of Dredged Material,

http://www.imo.org/en/OurWork/Environment/LCLP/Publications/wag/Pages/default.aspx; and the OSPAR Guidelines
for the Management of Dredged Material at Sea (Agreement 2014 – 06), http://www.ospar.org/documents?d=34060.
18 The IMO (2005) document Guidelines for Sampling and Analyses of Dredged Material Intended for Disposal at Sea

includes guidance on the number of separate sampling stations required to ensure representative analysis. IMO
publication number I537E.
19 Where a country is a signatory to the London Convention on the Prevention of Marine Pollution by Dumping of

Wastes and Other Matter (1972), and the updated version in the London Protocol (1996), national permitting regimes
for the management of dredged material are often informed by the Convention/Protocol’s IMO (2014), Guidelines on
the Assessment of Dredged Material.
http://www.imo.org/en/OurWork/Environment/LCLP/Publications/wag/Pages/default.aspx.
20 Key considerations and guidance on the use of modeling is available in Sun C, Shimizu K, and Symonds G. (2016)

Numerical Modeling of Dredge Plumes: A Review, Western Australia Marine Science Institution.
 

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field modeling should be carried out to simulate water column suspended solids and contaminant
concentrations in the vicinity of the dredge; far-field modeling may be required to assess environmental
impacts at sensitive receptors identified in the area of influence of the dredging operations. Assessment of
dredge induced suspended solids should be based on concentration-time exposure simulation results at
identified sensitive aquatic receptors. 

Dredging Techniques

23. Several dredging methods21 are commonly used depending on the depth of the sediments, and to
address site specific environmental concerns. Excavation and dredging methods should be selected to
minimize suspension of sediments, minimize destruction of benthic habitat, increase the accuracy of the
operation (to minimize impacts to areas adjacent to dredging zones), and maintain the density of the
dredged material, especially if the dredge area includes contaminated materials.

24. Consideration should be given to: the rate of removal of material, as slower dredging speeds may
reduce impacts; limiting the speed of the cutter head to reduce the amount of material entering the water
column; changing dredging schedules based on tide, wind, and background/natural turbidity to minimize
effects due to increases in turbidity levels; avoiding “overflow” dredging by transporting the dredge/barge
to the disposal zone once the hopper is at capacity.22

25. Additional techniques and equipment to minimize adverse impacts on aquatic life from dredging and
the re-suspension of sediments, include (where practicable) barriers/sheet piles, silt or bubble
curtains/screens, and contained sediment transport systems (e.g., pipeline placement).

26. Inspection and monitoring (such as feedback or adaptive monitoring) of dredging activities should be
conducted regularly to evaluate the impact of operations, the effectiveness of mitigation measures, and the
need for technical adjustments to avoid and minimize impacts to identified sensitive aquatic receptors. The
frequency of monitoring should be determined based on site specific considerations. Additional information
on monitoring approaches and parameters is available in Section 2 of this Guideline.

Reuse and Disposal of Dredged Material

27. Since much sediment contamination originates from land use practices in the surrounding watershed,
port managers should make efforts to engage with national and local authorities, as well as with facility
owners and operators in the watershed, to reduce sources of key contaminants. This may involve informing
the authorities of the difficulties involved in the disposal of dredged material; actively participating in
watershed protection programs sponsored by local or state agencies or in surface water discharge

                                                            
http://www.wamsi.org.au/sites/wamsi.org.au/files/files/Numerical%20modelling%20of%20dredge%20plumes_Review
_WAMSI%20DSN%20Report%203_1_3_Sun%20et_al%202016_FINAL.pdf
21 Examples of dredging methods include grab, backhoe, trailing suction hopper, cutter suction and water injection

dredgers.
22 While these techniques may reduce environmental impacts of dredging, they may also prolong the overall period of

dredging activities, which may introduce other environmental concerns. As such, a balance of these considerations is
needed as part of the dredging plans.
 

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permitting efforts, if any, for sources in the port’s watershed; and actively participating in zoning
procedures.23,24

28. Consideration should be given to a hierarchy of management options, including: (i) avoidance or
minimization or dredging; (ii) the maximization of beneficial re-use options for uncontaminated dredged
material, such as for wetland creation or enhancements, habitat restoration, land reclamation, or creation
of public access and recreational facilities, among other beneficial uses; and (iii) when beneficial re-use
options have been maximized to the extent practicable and especially in case of contaminated dredged
materials, use of a comparative risk assessment to determine which final disposal option is optimal,
including confined land-based disposal (e.g., in a confined disposal facility or landfill), and/or confined
aquatic disposal (e.g., confinement in the aquatic environment beneath a cap of clean sediment), and/or
use of open sea disposal.

29. The comparative risk assessment should weigh each option in the context of relevant criteria, which
typically include: human health risks (e.g., resulting from consumption of contaminated fish); environmental
impacts and ecological risks (e.g., sediment toxicity and concentration-time exposure considerations
affecting benthic production and biodiversity); safety hazards (e.g., the potential for navigation accidents
because navigable depths are not maintained in channels or at disposal sites); economic/financial
feasibility; exclusion of future uses (e.g., adverse impacts on nearby fisheries or recreational areas); and,
where applicable, transboundary considerations (e.g., sediment plume dispersion into international waters).

30. Treatment of contaminated dredged materials (e.g., using physical, chemical, and biological methods)
should be evaluated as part of each management option to reduce/control impacts to human health and
the environment based on the characterization of dredged materials and the comparative risk assessment.
Treatment of dewatering liquids may be required to remove contaminants prior to discharge. Site-specific
discharge quality standards should be considered depending on the type and toxicity of the effluents and
the discharge location.

31. Selection of suitable land-based sites for the beneficial use of uncontaminated dredged materials, or
the final disposal of contaminated dredged materials, should consider the waste management guidance for
non-hazardous and hazardous waste in the General EHS Guidelines.

32. Offshore disposal site evaluation should include the assessment and modeling of the impacts of the
candidate disposal site, to ensure to the extent practical that the deposit of dredged material does not
interfere with or devalue commercial and recreational uses of the aquatic environment, nor produce adverse
impacts on sensitive aquatic ecosystems, species and habitats. Sea disposal site selection should therefore
consider the size/capacity of the site relative to the disposal volumes; include comprehensive baseline data
on the physical, biological, and chemical characteristics of the water column and seabed; identify ecological
sensitivities; identify the location of amenities and other uses of the sea (e.g., fishing areas, navigation

                                                            
23 Based on recommendations of the American Association of Port Authorities (1998). Environmental Management

Handbook.
24 See the International Maritime Organization (IMO), London Convention on Prevention of Marine Pollution by Dumping

of Wastes and Other Matter (and its 1996 Protocol) and the Guidelines on the Assessment of Dredged Material (IMO
2014), http://www.imo.org/en/OurWork/Environment/LCLP/Publications/wag/Pages/default.aspx.
 

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routes/channels, etc.); and assess cumulative impacts if the proposed location is used by other operators
for disposal purposes.25,26

33. Use of lateral containment in open water disposal should be considered. Use of borrow pits or dikes
reduces the spread of sediments and effects on benthic habitat and organisms.

34. Use of submerged discharges should be considered for hydraulic disposal of dredged material,
especially when accurate placement is required to minimize the movement of discharged materials outside
the disposal zone, or when contaminated materials are to be placed and potentially capped as part of
confined disposal.

35. Where confined disposal facilities, either near-shore or on land, are used for disposal of contaminated
dredged material, the confined disposal facilities should include liners or other hydraulic containment design
options to prevent leaching of contaminants into adjacent surface or groundwater bodies. Capping of
sediment containments with clean materials should be considered. Level bottom capping or a combination
of borrow pits and dikes with capping reduces the underwater spread of contaminated material.

Wastewater (Port Sewage, Stormwater, and Ship Wastewater)

36. Liquid effluents associated with land-based activities in ports and terminals (such as construction
activities, vehicle maintenance and washing, fuel and material storage and transfer, etc.) include
stormwater, wash water and sewage. Ship-generated effluents include sewage, ballast water27 (e.g., from
oil tankers), bilge water, and vessel-cleaning wastewater. Wash water from land- and sea-based activities
may contain oily residues. Ship sewage and wastewater contains high levels of BOD, total suspended
solids, and coliform bacteria, and typically low pH levels (due to chlorination). Bilge water may contain

                                                            
25 The London Convention/Protocol’s Guidelines on the Assessment of Dredged Material (IMO 2014), includes
information on typical site selection baseline data that should be considered in the selection of disposal sites at sea,
including: the nature of the seabed, i.e., its depth, topography, geochemical and geological characteristics, its biological
composition and activity, and prior disposal activities affecting the area; the physical nature of the water column,
including temperature, possible existence of vertical stratification, tides, surface and bottom currents, wind and wave
characteristics, suspended matter, and variability in these processes due to storms or seasonal patterns; and the
chemical and biological nature of the water column, including pH, salinity, dissolved oxygen at the surface and bottom,
chemical and biochemical oxygen demand, nutrients and their various forms, and primary productivity,
http://www.imo.org/en/OurWork/Environment/LCLP/Publications/wag/Pages/default.aspx.
26 Other uses such as areas of special importance for conservation and scientific purpose; prior disposal activities in

the area; renewable energy sites such as offshore wind farms and wave and tidal stream devices; engineering uses of
the seafloor such as undersea cables and pipelines; seabed mineral extraction areas (e.g., aggregate, oil, gas etc.);
shipping lanes; marine archaeological interests such as shipwrecks; beaches and other areas used for recreational
purposes; areas of natural beauty or significant cultural or historical importance; and intake sites for industrial uses
such as cooling, desalination and aquaculture. Additional information on sea disposal site selection can be found in the
London Convention/Protocol’s Guidelines on the Assessment of Dredged Material (IMO 2014),
http://www.imo.org/en/OurWork/Environment/LCLP/Publications/wag/Pages/default.aspx.
27 See International Convention for the Control and Management of Ships' Ballast Water and Sediments (as adopted

in February, 2004, with entry into force in September, 2017),

http://www.imo.org/en/About/Conventions/ListOfConventions/Pages/International-Convention-for-the-Control-and-
Management-of-Ships'-Ballast-Water-and-Sediments-(BWM).aspx.
 

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elevated levels of BOD, COD, dissolved solids, oil, and other chemicals that accumulate as a result of
routine operations.

37. Stormwater and sewage from port facilities should be managed according to the recommendations
provided in the General EHS Guidelines. Additional recommendations specific to stormwater and
wastewater from port facilities include the following:

 Avoid installing storm drainage catch basins that discharge directly into surface waters;
 Install filter mechanisms (e.g., draining swabs, filter berms, drainage inlet protection, sediment
traps and sediment basins) to prevent sediment and particulates from reaching the surface water;
 Install oil/grit or oil/water separators in all runoff collection areas;
 Regularly maintain oil/water separators and trapping catch basins; and
 Manage recovered, contaminated solids or liquids in accordance with the general and hazardous
waste guidance in the General EHS Guidelines.

38. Port operators should provide collection, storage, and transfer and/or treatment services, and facilities
of sufficient capacity and type for all wastewater generated by vessels at the port in accordance with
MARPOL and national regulations, includingthe following:28

 Oily waste and wastewater should be collected in barges, vehicles, or central collection systems
and storage tanks.29 The capacity of oily waste collection should be established based on
applicable MARPOL provisions.30
 Wastewater with noxious chemicals from bulk tank cleaning should be collected through
appropriate on-site or off-site treatment prior to discharge. Incompatible substances should not be
mixed in the collection system. Treatment methods should be established based on the effluent
characteristics.31
 Ports should provide ship operators with details on the pertaining ballast water management
requirements, including the availability, location, and capacities of reception facilities, as well as
with information on local areas and situations where ballast water uptake should be avoided.32

                                                            
28 Consistent with the International Maritime Organization (IMO) Comprehensive Manual on Port Reception Facilities
(2016), and (IMO 1973) International Convention for the Prevention of Pollution from Ships of 1973, modified by its
Protocol in 1978 (MARPOL 73/78), http://www.imo.org/en/Publications/Pages/Home.aspx
29 Possible oily waste streams which a port receiving facility may need to accept include dirty ballast water, tank washing

slops, oily mixtures containing chemicals, scale and sludge from tanker cleaning, oily bilge water, and sludge from fuel
oil purifiers. See IMO (2004) MEPC.3/Circ.4/Add.1 Facilities in Ports for the Reception of Oily Wastes from Ships.
http://www.mardep.gov.hk/en/msnote/pdf/msin0513anx2.pdf.
30 See Annex I, Chapter II, Regulation 12 of IMO (1973) MARPOL 73/78,
http://www.imo.org/en/Publications/Pages/Home.aspx
31 According to Annex II, Regulation 7 of IMO (1973) MARPOL 73/78, cargo hoses and piping systems receiving

noxious liquid substances cannot be drained back into the ship, http://www.imo.org/en/Publications/Pages/Home.aspx
32 Additional information is provided in the International Convention for the Control and Management of Ships Ballast

Water & Sediments (2004) and the International Maritime Organization (IMO) Guidelines for the Control and
Management of Ships’ Ballast Water to Minimize the Transfer of Harmful Aquatic Organisms and Pathogens (1997),
http://globallast.imo.org/wp-content/uploads/2015/01/Resolution-A.868_20_english.pdf
 

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 Port facilities that conduct cleaning or repair of ballast tanks should be equipped with adequate
reception facilities able to prevent the introduction of invasive species. Treatment technologies
may include those applied to other effluents accepted in port reception facilities or more specific
methods such as filtration, sterilization (e.g., using ozone or ultraviolet light), or chemical treatment
(e.g., biocides).33
 Sewage from ships should be collected and treated on-site or off-site according to the
recommendations provided in the General EHS Guidelines.

39. Smaller vessels used for harbor services should be equipped with recycling or chemical toilets, or
holding tanks, that can be discharged to appropriate onshore transfer/treatment facilities.

1.1.4 Air Emissions

40. Air emissions are generated from land- and sea-based sources during port and terminal activities.
During the construction phase, land-based activities may result in combustion emissions from the use of
vehicles, equipment, and engines (such as trucks, excavators, barge-moving tugs, etc.) to undertake
dredging, excavating, paving, material transport, and building construction activities.

41. During operations of ports and terminals, combustion exhaust emissions result mainly from diesel
engines used for the propulsion of ships, and ship-based auxiliary engines and boilers for power generation.
In addition, combustion exhaust emissions are generated from land-based activities involving the use of
vehicles, cargo handling equipment, and other engines and boilers.

42. Other sources of air emissions include volatile organic compound (VOC) emissions from fuel storage
tanks and fuel transfer activities, in addition to dust emissions from construction and operational phase
activities (e.g., storage and handling of dry bulk cargo and vehicle traffic on unpaved roads).

43. Recommendations for the management of air emissions resulting from typical construction activities
can be found in the General EHS Guidelines. Recommendations specific to the management of air
emissions resulting from the operation and maintenance of ships used for the transport of bulk cargo and
goods can found in the EHS Guidelines for Shipping.

Air Emissions from Combustion Sources34

44. The primary emissions from combustion exhaust sources are sulfur dioxide (SO2), nitrogen oxides
(NOX), carbon monoxide (CO), particulate matter (PM), and greenhouse gases such as carbon dioxide
(CO2). Depending on the fuel type and quality, other substances such as heavy metals, unburned
hydrocarbons and other VOCs may be emitted in smaller quantities, but may have a significant influence
on the environment due to their toxicity and/or persistence.
                                                            
33 Additional information on ballast water treatment designed to avoid release of harmful aquatic organisms is provided
by the Global Ballast Water Management Program’s Technical Guidelines, http://globallast.imo.org/the-bwmc-and-its-
guidelines/.
34 Further information on managing combustion related air emissions in port facilities can be found in the International

Association of Ports and Harbors Toolbox for Port Clean Air Programs, http://wpci.iaphworldports.org/iaphtoolbox/;
and http://wpci.iaphworldports.org/iaphtoolbox/DRAFT%20IAPH%20TOOL%20BOX%20priority%20pol.pdf.
 

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45. Recommended air emissions management strategies relevant to port and terminal operations include:

 Application of air quality management procedures (including for GHG emissions) for ship
operations while in port areas, such as:35
o Validate ship engine performance documentation and certification to ensure compliance
with combustion emissions specifications (including NOx, SOx, and PM), within the limits
established by international regulations,36 and as noted in the EHS Guidelines for
Shipping.
o Require use of low-sulfur fuels in port, if feasible, or as required by international
regulations.37
o When practical and without affecting the safety of vessel navigation, use reduced ship
propulsion power in port access areas.
o For appropriately configured vessels, including port tugs during idling periods, use shore-
based power in port where it is available.
 Application of air quality management procedures to avoid, minimize, and control combustion
emissions, including GHG emissions, related to land-based port activities, including:
o Where practicable, design port layouts and facilities to minimize travel distances and
transfer points, for example from ships’ off-loading and on-loading facilities to storage
areas, and to avoid/minimize re-storage and re-shuffling of cargo.
o Where practicable, upgrade land vehicle and equipment fleets with low emission vehicles,
including use of alternative energy sources, and fuels/fuel mixtures (e.g., vehicle and
equipment fleets powered by electricity or compressed natural gas, hybrid locomotives,
etc.).
o Maintain cargo transfer equipment (e.g., cranes, forklifts, and trucks) in good working
condition to reduce air emissions.
o Encourage reduced engine idling during on- and off-loading activities.

                                                            
35 While the port authority may not always have direct control over the operation of vessels and tenant operations in
the port, it can establish regulations for use of the port facilities and stipulate conditions in tenant rental and lease
agreements. The port operator can also establish financial incentives, such as tariffs, to influence the behavior of
vessels and tenants at the port.
36 NOx, SOx, and PM emissions from ships are regulated under Annex VI (as revised in October, 2008), Chapter III,

Regulation 13 (for NOx), and Regulations 14 (for SOx and Particulate Matter) of IMO (1973) MARPOL 73/78,
http://www.imo.org/en/Publications/Pages/Home.aspx; in addition to information at:
http://www.imo.org/en/OurWork/Environment/PollutionPrevention/AirPollution/Pages/Air-Pollution.aspx.
37 Sulfur content of fuel oil used by ships is regulated under Annex VI (as revised in October, 2008), Chapter III,

Regulations 14 and 18 of IMO (1973) MARPOL 73/78, http://www.imo.org/en/Publications/Pages/Home.aspx ; in

addition to information at: http://www.imo.org/en/OurWork/Environment/PollutionPrevention/AirPollution/Pages/Air-
Pollution.aspx
 

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Volatile Organic Compounds

46. VOC emissions from fuel and cargo storage, and transfer activities should be minimized through vapor
recovery systems38 for fuel storage, loading/offloading, and fueling activities, the use of floating top storage
tanks, and the adoption of management practices such as limiting or eliminating loading/unloading activities
during poor air quality conditions and implementing tank and piping leak detection and repair programs,
among others. Additional prevention and control recommendations for VOC emissions applicable to fuel
storage and handling are provided in the General EHS Guidelines and the EHS Guidelines for Crude Oil
and Petroleum Product Terminals.39

Dust

47. Fugitive dust emissions are generated during port and terminal construction activities, such as
excavation and bulldozing; movement of fill and materials by front end loaders, excavators and trucks; and
the re-suspension of dust from equipment and vehicle movement on port roadways. Dust prevention and
control recommendations applicable to construction and operational phase activities are provided in the
General EHS Guidelines.40

48. Recommended equipment and techniques to manage fugitive dust associated with dry bulk materials
storage and handling facilities in ports and terminals include:

 Cover storage and handling areas, where practicable (e.g., store pulverized coal and pet-coke in
silos);
 Install dust suppression mechanisms (e.g., water spray);
 Use telescoping arms and chutes to minimize free fall of materials and eliminate the need for
slingers;
 Regularly sweep docks and handling areas, truck and rail storage areas, and paved roadway
surfaces, and use vacuum collectors at dust-generating activities;
 Use slurry transport, pneumatic or continuous screw conveyors, and covering other types of
conveyors;
 Minimize dry cargo pile heights and contain piles with perimeter walls and/or wind break fencing;
 Remove materials from the bottom of piles to minimize dust re-suspension;

                                                            
38 See (IMO (1973) MARPOL 73/78 Annex VI Regulation 15 on VOCs,
http://www.imo.org/en/Publications/Pages/Home.aspx; in addition to information at:
http://www.imo.org/en/OurWork/Environment/PollutionPrevention/AirPollution/Pages/Air-Pollution.aspx and IMO
(1992) MSC/Circ.585 Standards for Vapor Control Systems,
https://www.transportstyrelsen.se/globalassets/global/sjofart/dokument/imo_dokument/msc/msc_circ_585.pdf.
39 Additional VOC emissions management strategies are also presented in the European Union (EU) Best Available

Technique Reference Document (BREF) on Emissions from Storage (July 2006),

http://eippcb.jrc.ec.europa.eu/reference/; See also the EU VOC Directive 1999/13/EC with 2005/33/EC amendments,
http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:31999L0013 and IMO (2009) MEPC.1/Circ. 680 focused
on development of VOC management plans,
http://www.imo.org/en/OurWork/Environment/PollutionPrevention/AirPollution/Documents/Circ-680.pdf.
40 Additional dust management strategies are presented in the EU Best Available Technique Reference Document

(BREF) for Emissions from Storage (2006), http://eippcb.jrc.ec.europa.eu/reference/.

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 Ensure that hatches are covered when material handling is not being conducted; and
 Cover transport vehicles.

1.1.5 Waste Management

49. The type and amount of solid and liquid wastes associated with port operations may vary significantly
depending on the nature of port operations and the types of ships serviced. Wastes originating at the port
may include inert solid waste from cargo packaging and from administrative offices, as well as hazardous
or potentially hazardous waste associated with vehicle maintenance operations, such as paint, scrap metal,
used lubricating oils and engine degreasing solvents. Wastes originating from ships may include oily sludge
(addressed above under “Wastewater”), inert materials such as food packaging, and food waste. Guidance
applicable to port generated wastes, whether hazardous or non-hazardous, is discussed in the General
EHS Guidelines. Specific pollution prevention, minimization, and control recommendations for ship-
generated wastes received by port facilities are outlined below.

General Waste Reception

50. Port facilities should provide adequate means of receiving and managing effluents and wastes to meet
the needs of the port and those of visiting ships that the port is designed to service.41 The provision of waste
reception facilities should be developed in coordination with the local governments according to their
commitments to the MARPOL Convention42 as port states. Port waste reception facilities should provide
adequate capacity to receive port- and ship-generated wastes, including appropriately sized and located
receptacles, and the capacity to deal with seasonal fluctuations.43

Ship Wastes

 Information should be available for ship captains to identify solid waste reception facilities and
acceptable handling procedures at ports;
 Discharge of solid waste from vessels should be prohibited while in port in accordance with
MARPOL and national regulations;
 A collection and disposal system should be developed for ship-generated garbage for ships
alongside and at anchor, consistent with the International Maritime Organization (IMO)
Comprehensive Manual on Port Reception Facilities. Closable skips should be provided at the
berths, and towed or self-propelled barges fitted with skips should be used to collect garbage from
ships at anchor; and

                                                            
41 Since ships are responsible for the costs associated with the management of their waste streams, these services
should be provided within the context of a balanced fee structure that allows for the recovery of these costs while not
fostering illegal disposal at sea (EU Directive 2000/59/EC Port Reception Facilities for Ship-generated waste and cargo
residues, http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32000L0059:EN:HTML; and amending
2002/84/EC amending Directives on maritime safety and the prevention of pollution from ships, http://eur-
lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32002L0084.
42 IMO (1973) MARPOL 73/78, http://www.imo.org/en/Publications/Pages/Home.aspx

43 IMO Comprehensive Manual on Port Reception Facilities (2016).

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 Food waste from ships delivered to the port should be managed according to applicable local
regulations intended to protect human and animal health.44 Local requirements may include
rendering, incineration, or landfilling of food waste and mixed waste containing food waste.

1.1.6 Hazardous Materials and Oil Management

51. Hazardous materials at ports typically include large volumes of hazardous cargo, as well as oil, fuels,
solvents, lubricants and other hazardous substances used in port activities including vessel, vehicle,
equipment and grounds maintenance. Spills may occur due to accidents (e.g., collisions, groundings, fires),
equipment failure (e.g., pipelines, hoses, flanges), or improper operating procedures during cargo transfer
or fueling, and involve crude oils, refined products or residual fuels, liquid substances, and substances in
packaged form. General hazardous materials management is addressed in the General EHS Guidelines.
Additional recommended prevention, minimization, and control techniques specific to ports are listed below.

Spill Prevention

52. Oil and chemical-handling facilities in ports should be located with consideration of natural drainage
systems and the presence of environmentally-sensitive areas/receptors (e.g., mangroves, corals,
aquaculture projects, and beaches, etc.). Siting of these facilities should include provisions for physical
separation/distance to avoid and minimize adverse impacts.

53. Hazardous materials storage and handling facilities should be constructed away from traffic zones and
should include protective mechanisms (e.g., reinforced posts, concrete barriers, etc.) to protect storage
areas from vehicle accidents. Covered and ventilated temporary storage areas should be designed to
facilitate collection of potentially hazardous leaks and spills, including the use of sloped surfaces to direct
spill flows, and the use of catch basins with valve systems to allow spills and releases to enter a dead-end
sump from which spilled materials can be pumped/recovered. Where hydraulic equipment is used over or
adjacent to water or other sensitive receptors, biodegradable45 hydraulic oils should be used.

54. Ports should include secondary containment for above ground liquid storage tanks and tanker truck
loading and unloading areas.

55. Fueling areas should be equipped with containment basins in areas with a high risk of accidental
releases of oil or hazardous materials (e.g., fueling or fuel transfer locations). Fuel dispensing equipment
should be equipped with “breakaway” hose connections that provide emergency shutdown of flow should
the fueling connection be broken by movement. Fueling equipment should be inspected prior to fueling
activities to ensure all components are in satisfactory condition.

                                                            
44 Countries have specific regulatory requirements for the disposal of food catering waste originating from international

ship arrivals. The objective of most of these regulations is to prevent the spread of communicable diseases across
borders.
45 Biodegradability is defined in the OECD (2006) Guidelines for the Testing of Chemicals, Section 3. Part 1: Principles

and Strategies Related to the Testing of Degradation of Organic Chemicals, http://www.oecd-

ilibrary.org/environment/oecd-guidelines-for-the-testing-of-chemicals-section-3-degradation-and-
accumulation_2074577x

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Spill Control Planning

56. Port operators should prepare a spill prevention, control, and countermeasure plan consistent with the
IMO Manual on Oil Pollution Section II—Contingency Planning, which:

 Identifies areas within the port zone and nearby vicinity that are sensitive to spills and releases of
hazardous materials and locations of any water intakes (e.g., cooling water for shore-based
industries);
 Outlines responsibilities for managing spills, releases, and other pollution incidents, including
reporting and alerting mechanisms to ensure any spillage is reported promptly to the Port
Authorities;
 Includes provision of specialized oil spill response equipment (e.g., containment booms, recovery
devices, and oil recovery or dispersant application vessels, etc.); and
 Includes regular training schedules and simulated spill incident and response exercises for
response personnel in spill alert and reporting procedures, the deployment of spill control
equipment, and the emergency care/treatment of people and animals impacted by the spill.

Dangerous Goods Handling

57. Ports should implement systems for the proper screening, acceptance, and transport of dangerous
cargo based on local and international standards and regulations,46 including the following elements:

 Requiring and validating Dangerous Goods Manifests for hazardous materials whether in transit,
loading or unloading to and from ships, including proper shipping (technical) name, hazard class,
United Nations number, and packing group;47
 Training of Port Authority staff in relevant aspects of dangerous goods management, including
screening, acceptance, and handling/transfer/storage of dangerous goods at the port; and
 Establishment of segregated and access-controlled storage areas for dangerous goods with
emergency response procedures and equipment to ensure collection and/or containment of
accidental releases.

1.1.7 Noise and Vibration (Including Underwater)

Terrestrial Noise

58. Noise and vibration may be generated during land-based port and terminal construction activities,
such as blasting, piling, dredging, reclamation, and construction of breakwaters and access/internal roads.
Excessive noise may also result from typical port operations include cargo handling, vehicular traffic, and
                                                            
46 Examples of additional requirements may include host country commitments under the Basel Convention on the
Control of Transboundary Movements of Hazardous Waste and their Disposal (UNEP 1992) (http://www.basel.int/) and
Rotterdam Convention on the Prior Inform Consent Procedure for Certain Hazardous Chemicals and Pesticides in
International Trade (UNEP 1989) (http://www.pic.int/).
47 According to the IMO International Convention for the Safety of Life at Sea (SOLAS) Chapter VII: Carriage of

Dangerous Goods (1974) and International Maritime Dangerous Goods (IMDG) Code (2004),
http://www.imo.org/en/Publications/IMDGCode/Pages/Default.aspx.

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loading/unloading of containers and ships. Excessive noise should be avoided or minimized during
construction and operation of ports to prevent harmful exposure to workers, nearby communities, and
sensitive, terrestrial environmental receptors, including wildlife.

59. Guidance on noise management, setbacks and acceptable noise levels can be found in the General
EHS Guidelines. Management measures to prevent, minimize, and control terrestrial noise sources in port
facilities include:

 Establishing noise deflection walls;

 Paving and leveling the terminal area;
 Replacing forklifts and reach-stackers with gantry cranes with rubber tires;
 Substituting diesel engines with electric power;
 Reducing noise from warning bells; and
 Insulating machinery.

Underwater Noise and Vibration

60. High underwater noise and vibration levels may be generated from several sources, including offshore
pile driving, dredging, and ship traffic, during ports’ construction and operational phases. Noise from these
activities may adversely impact aquatic habitats and the health and behaviors of aquatic life, including fish,
marine mammals, and sea turtles. Environmental parameters that determine underwater sound
propagation are site-specific, and aquatic species can be impacted differently depending on their sensitivity
to underwater sound frequencies. Assessments should be conducted to (i) identify where and/or when
underwater noise has the potential to impact aquatic life significantly and (ii) to identify appropriate
mitigation measures.

61. Measures to prevent, minimize, and control underwater noise from offshore pile driving and dredging
during construction and operational phases of ports and terminals include:48

 Coordinating and scheduling offshore piling and dredging activities to avoid or minimize the
presence of sensitive aquatic species, for example by respecting migratory patterns and
calving/breeding seasons;
 Employing observers during offshore piling and dredging activities to detect the presence of
sensitive aquatic species, and allow for these species to vacate the area;
 Using soft-start/slow ramp-up during pile driving and dredging activities to allow time for sensitive
aquatic species to vacate the area; and
 Implementing noise mitigation techniques for offshore pile driving, including bubble curtains, pile
caps, and cofferdams (where practicable) to absorb/scatter pile driving energy.
                                                            
48 Additional information on underwater noise management can be found in Environmental Best Practice: Port
Development: An Analysis of International Best Practices (2013),
http://www.environment.gov.au/system/files/resources/fd1b67e7-5f9e-4903-9d8d-45cafb5232cd/files/gbr-ports-
environmental-standards.pdf; California Department of Transport, Technical Guidance for Assessment and Mitigation
of the Hydro-Acoustic Effects of Pile Driving on Fish (2009),
http://www.dot.ca.gov/hq/env/bio/files/Guidance_Manual_2_09.pdf.

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62. While underwater noise from ships in the vicinity of ports is primarily related to ship and propeller
design, a possible mitigation measure to minimize underwater noise related to ship operation includes the
establishment of low power propulsion zones near ports. This may also improve air emissions, occupational
safety, and avoid ship strikes with marine megafauna.

1.2 Occupational Health and Safety

63. Occupational health and safety issues during the construction and decommissioning of ports are
common to those of most large infrastructure and industrial facilities, and their prevention and control is
discussed in the General EHS Guidelines. These issues include, among others, exposure to dust and
hazardous materials that may be present in construction materials and demolition waste (e.g., asbestos),
hazardous materials in other building components (e.g., PCB and mercury in electrical equipment), and
physical hazards associated with the use of heavy equipment, or the use of explosives.

64. Specific occupational health and safety issues relevant to port operations primarily include the
following:

 Physical hazards;
 Chemical hazards;
 Confined spaces;
 Exposure to organic and inorganic dust; and
 Exposure to noise.

1.2.1 General Approach

65. Port operation activities should be conducted in accordance with applicable international regulations
and standards, including:

 International Labour Organization (ILO) Code of Practice for Safety and Health in Ports (2005);
 General Conference of the International ILO Convention concerning Occupational Safety and
Health in Dock Work, C-152, (1979);
 General Conference of the ILO Recommendation concerning Occupational Safety and Health in
Dock Work, R-160;
 IMO Code of Practice for Solid Bulk Cargo (BC Code);
 International Code for the Construction and Equipment of Ships carrying Dangerous Chemicals
in Bulk (IBC Code);
 International Code for the Safe Carriage of Grain in Bulk (International Grain Code);
 Code of Practice for the Safe Loading and Unloading of Bulk Carriers (BLU Code); and
 International Maritime Dangerous Goods Code (IMDG Code).

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1.2.2 Physical Hazards

66. The main sources of physical hazards at ports are associated with cargo handling and the use of
related equipment, machinery, and vehicles. General recommendations for managing physical hazards are
addressed in the General EHS Guidelines. Additional prevention, minimization, and control techniques
specific to ports and the implementation of applicable recommendations from the above-referenced
international codes of practice, include the following:49

 Separate people from areas of vehicle traffic and make vehicle passageways one-way, to the
extent practical;
 Design materials handling operations to allow for a simple, linear layout and reduce the need for
multiple transfer points, which can increase the potential for accidents/injuries;
 To the extent practical, locate access and transit routes to avoid situations where suspended loads
pass overhead;
 Construct the surface of port areas to be of adequate strength to support the heaviest expected
loads. The surface should be level or only slightly sloped; free from holes, cracks, depressions,
unnecessary curbs, or other raised objects; continuous; and skid resistant;
 Consider, when determining the method by which the goods are stacked, the maximum
permissible loadings of quays or floors; the shape and mechanical strength of the goods and
containers (including allowable stacking mass and stack height); the natural angle of repose of
bulk material; and the possible effects of high winds;
 Provide safe access arrangements suitable for the size and type of vessels calling at port facilities,
such as guard rails and/or properly secured safety nets between ships and the adjacent quay;
 Install and use guarding arrangements (e.g., rails, etc.) for weatherdeck and 'tween-deck’
hatchways when open;
 Avoid placing cargo on, or allowing passage of vehicles over, any hatch cover that is not of
adequate strength for that purpose;
 As far as is reasonably practicable, prevent workers from working in the part of a hold where a
trimming machine or grab is operational;
 Minimize the risk of free fall of materials by installing telescoping arm loaders and conveyors;
inspect all slings before use;
 Equip lifting appliances with means of emergency escape from the driver's cabin and a safe means
for the removal of an injured or ill driver; and
 Inspect disposable pallets and similar reusable devices before use and avoid re-use of such
devices if the integrity of the device has been weakened or otherwise compromised.

1.2.3 Chemical Hazards

67. Port workers may be exposed to chemical hazards, especially if their work entails direct contact with
fuels or chemicals (including pesticides and fumigants), or depending on the nature of bulk and packaged

                                                            
49 The listed recommendations are largely based on the International Labour Organization (ILO) Code of Practice for

Safety and Health in Ports (2005).

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products transferred in port activities. Work with fuels may present a risk of exposure to VOC via inhalation
or skin contact during normal use or in the case of spills. Fuels, flammable liquid cargo, and combustible
dust (e.g. from grain or coal) may also present a risk of fire and explosions. Recommended measures to
prevent, minimize, and control risk of exposure to chemical hazards are provided in the General EHS
Guidelines.

1.2.4 Confined Spaces

68. As in any industry sector, confined space hazards can be potentially fatal. The potential for accidents
among port workers varies among port facilities and activities: confined space hazards may arise in ship
cargo holds, silos, sewage tanks, and water tanks. Port operators should implement confined space entry
procedures as described in the General EHS Guidelines. With specific reference to access to cargo holds,
confined space entry programs should include procedures that prevent or minimize the use of combustion
equipment, including fueling activities, in the interior of cargo holds and in spaces that do not provide an
alternative means of egress.

1.2.5 Dust

69. Potential exposure to fine particulates is associated with handling dry cargo (depending on type of
cargo handled, e.g., china clay, grain, and coal) and from roads. Occupational health and safety impacts
associated with nuisance dust in ports are similar to those for other industries, and their prevention and
control are discussed in the General EHS Guidelines. Specific recommendations for prevention,
minimization, and control of dust generation are identified in this document under “Air Emissions.”

1.2.6 Noise

70. Noise sources in ports may include cargo handling, vehicular traffic, and loading/unloading containers
and ships. Occupational exposures should be managed as described in the General EHS Guidelines.

1.3 Community Health and Safety

71. Community health and safety issues during the construction of ports are common to those of most
large infrastructure or industrial facilities, and are discussed in the General EHS Guidelines. These
impacts include, among others, dust, noise, and vibration from construction vehicle transit, and
communicable diseases associated with the influx of temporary construction labor. The following
operational phase issues are specific to ports and discussed below:

 Port marine safety;

 Port security; and
 Visual impacts.

1.3.1 Port Marine Safety

72. Port operators have certain key responsibilities for the safe operation of ships, ranging from passenger
safety to the safe access and maneuvering of chemicals and oil transporting ships inside the harbor and
port areas. Port operators should therefore implement a Safety Management System (SMS) able to

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effectively identify and correct unsafe conditions. The SMS should be informed by initial risk and hazard
assessments, and should include consideration of alterations to coastal processes and seabed and coastal
geomorphology that may impact navigational and vessel berthing activities, as discussed in section 1.1.1.
The SMS should be adapted as needed based on regular operational hazard assessments of port
activities.50

73. The Safety Management System should include procedures to regulate the safe movement of vessels
within the harbor (including pilotage procedures, port control and vessel traffic services, navigational aids,
and hydrography surveys), protect the general public and communities from dangers arising from offshore
activities at the harbor, and prevent events that may result in injury to workers and the public, including
fishers and recreational users. The Safety Management System should also include comprehensive
emergency preparedness and response plans that provide a coordinated response based on government,
port authority, port users, and community resources required to manage the nature and severity of the
emergency event.51

1.3.2 Port Security

74. Port operators should have a clear understanding of their responsibilities, including international legal
and technical obligations to provide security to passengers, crews, and personnel in port. In accordance
with applicable international legal requirements, port security arrangements (e.g., access control) may be
established through the completion of a Port Facility Security Assessment of port operations followed by
the appointment of a Port Facility Security Officer and the preparation of a Port Facility Security Plan,
depending on the outcome of the risk assessment.52

1.3.3 Visual Impacts

75. Permanent and temporary installations and ships can make visual changes to the landscape. One of
the most significant changes attributable to ports is nighttime illumination, depending on the proximity of
the port and associated bulk storage facilities to sensitive land uses such as residential or tourist areas,
Excessive illumination may also result in changes to invertebrate flight paths and settlement/breeding
patterns.53 Visual impacts, including excessive background illumination, should be prevented during the
port planning process or managed during operations through the installation of natural visual barriers such
as vegetation or light shades, as applicable. The location and color of bulk storage facilities also should be
selected with consideration of visual impacts.

                                                            
50 Additional guidance on Safety Management System (SMS) approaches is available from Ports Australia (2016) The
Australian Port Marine Safety Guidelines, http://www.portsaustralia.com.au/assets/Publications/Port-Marine-Safety-
Management-Guidelines-Low-Res.pdf; and the Port of London Authority (2016) Marine Safety Management System
Manual, https://pla.co.uk/assets/smsmanual-issue20-july2016.pdf
51 Port security arrangements should follow IMO requirements and guidelines applicable to ports of the International

Ship and Port Facility Security Code and Solas Amendments 2002 (2003).
52 Port security arrangements should follow IMO requirements and guidelines applicable to ports of the International

Ship and Port Facility Security Code and Solas Amendments 2002 (2003).
53 Lights may attract prey (e.g., insects), which in turn attracts predators. Guidance on anti-collision lighting is provided

in the EHS Guidelines for Wind Energy, http://www.ifc.org/ehsguidelines.

 

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2. PERFORMANCE INDICATORS MONITORING

2.1 Environment

2.1.1 Emissions and Effluent Guidelines

76. A port is different from a traditional industry since it has few point-source effluent streams (such as
wastewater and stormwater) and thus it is difficult to continuously monitor most emissions and effluents.
Sanitary wastewater, contaminated drainage and stormwater discharge quality is addressed in the General
EHS Guidelines.54 

77. Combustion source emissions guidelines associated with systems designed to deliver electrical or
mechanical power, steam, heat, or any combination of these, regardless of the fuel type, with a total, rated
thermal heat input capacity of between three Megawatt (MWth) and 50 MWth are addressed in the General
EHS Guidelines. Larger power source emissions are addressed in the EHS Guidelines for Thermal
Power. Guidance on ambient considerations based on the total load of emissions is provided in the General
EHS Guidelines. 

2.1.2 Environmental Monitoring

78. Environmental monitoring programs for this sector should be implemented to address all activities that
have been identified to have potentially significant impacts on the environment, during construction and
normal operations and upset conditions. Environmental monitoring activities should be based on direct or
indirect indicators of emissions, effluents, and resource use applicable to a particular project. 

79. Monitoring of water and sediment quality during construction and operational activities of ports and
terminals (in particular dredging and disposal activities) should generally include the monitoring parameters
listed in Table 1 as part of a feedback (also known as ‘adaptive’) monitoring program.55 The selection of
parameters should be based on local site considerations and the objectives of the monitoring program,
including local water quality issues and water uses of interest. 

80. Monitoring frequency should be sufficient to provide representative data for the parameter being
monitored. Monitoring should be conducted by trained individuals following monitoring and record-keeping
procedures and using properly calibrated and maintained equipment. Monitoring data should be analyzed
and reviewed at regular intervals and compared with the operating standards so that any necessary
corrective actions can be taken. Additional guidance on applicable sampling and analytical methods for
emissions and effluents is provided in the General EHS Guidelines.

                                                            
54 For guidance on effluent treatment levels applicable to tank barge or ocean/sea tanker cleaning operations, refer to

US EPA 40 CFR 442.30 (Subpart C) Tank Barges and Ocean/Sea Tankers Transporting Chemical and Petroleum
Cargoes (2000), http://www.ecfr.gov/cgi-bin/ECFR?page=browse
55 Additional guidance on monitoring is available in CEDA (2016) Environmental Monitoring Procedures,

http://www.dredging.org/media/ceda/org/documents/resources/cedaonline/2015-02-ceda_informationpaper-
environmental_monitoring_procedures.pdf; and PIANC (2010) Report 108: Dredging and Port Construction Around
Coral Reefs, http://www.pianc.org/2872231775.php.

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TABLE 1: WATER AND SEDIMENT QUALITY MONITORING PARAMETERSa

Dissolved oxygen
Temperature
pH
Turbidity
Secchi disk transparency
Conductivity/Salinity
Condition of biological communities
Total suspended solids (TSS)
Chlorophyll
Total phosphorus
Filterable reactive phosphate
Total nitrogen
Oxides of nitrogen
Ammonia
Toxics: Metals and metalloids; non-metallic organics; organic alcohols; chlorinated alkanes and
alkenes; anilines; aromatic hydrocarbons (including phenols and xylenols); organic sulfur
compounds; phthalates; organochlorine and organophosphorus pesticides; herbicides and
fungicides
Sediment (metals and metalloids; organometallics; organics)b
Other site-specific parameters, as relevantc

a
Parameters adapted from CCME (2006) The Canadian-Wide Framework for Water Quality Monitoring (Table
3, Page 16, http://www.ccme.ca/files/Resources/water/water_quality/wqm_framework_1.0_e_web.pdf; The
Canadian Water Quality Guidelines for the Protection of Aquatic Life (CCME 1991-2015), http://st-
ts.ccme.ca/en/index.html?chems=all&chapters=1; The Canadian Sediment Quality Guidelines for the
Protection of Aquatic Life (CCME 1997-2015), available at: http://st-
ts.ccme.ca/en/index.html?chems=all&chapters=3); and The Australian and New Zealand Guidelines for Fresh
and Marine Water Quality (Chapter 3 Aquatic Ecosystems,
http://www.environment.gov.au/system/files/resources/53cda9ea-7ec2-49d4-af29-d1dde09e96ef/files/nwqms-
guidelines-4-vol1.pdf.
b
Further guidance is available from The OSPAR Guidelines for the Management of Dredged Material at Sea
(Agreement 2014 – 06), in particular, the sections on ‘Action Lists’ and ‘Levels for Dredged Materials’,
www.ospar.org/documents?d=34060, and the London Convention / Protocol’s Guidelines on the Assessment
of Dredged Material (IMO 2014),
http://www.imo.org/en/OurWork/Environment/LCLP/Publications/wag/Pages/default.aspx.
c
Additional good practice information related to water and sediment quality monitoring is available from The
Canadian Council of Ministers Environmental Quality Guidelines (CCME 2003), http://ceqg-
rcqe.ccme.ca/en/index.html; and Guidance on the Site-Specific Application of Water Quality Guidelines in
Canada: Procedures for Deriving Numerical Water Quality Objectives (CCME 2003), http://ceqg-
rcqe.ccme.ca/download/en/221.

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81. Additional recommended monitoring approaches include the European Sea Ports Organization’s
(ESPO) Self Diagnosis Methodology that ports can use to audit their environmental strengths and
weaknesses (ESPO 2015). ESPO recommends that ports carry out the assessment annually. 

2.2 Occupational Health and Safety

2.2.1 Occupational Health and Safety Guidelines

82. Occupational health and safety performance should be evaluated against internationally published
exposure guidelines, examples of which include the Threshold Limit Value (TLV®) occupational exposure
guidelines and Biological Exposure Indices (BEIs®) published by American Conference of Governmental
Industrial Hygienists (ACGIH),56 the Pocket Guide to Chemical Hazards published by the United States
National Institute for Occupational Health and Safety (NIOSH),57 Permissible Exposure Limits (PELs)
published by the Occupational Safety and Health Administration of the United States (OSHA),58 Indicative
Occupational Exposure Limit Values published by European Union member states,59 or other similar
sources.

2.2.2 Accident and Fatality Rates

83. Projects should try to reduce the number of accidents among project workers (whether directly
employed or subcontracted) to a rate of zero, especially accidents that could result in lost work time,
different levels of disability, or even fatalities. Facility rates may be benchmarked against the performance
of facilities in this sector in developed countries through consultation with published sources (e.g., US
Bureau of Labor Statistics and UK Health and Safety Executive).60

2.2.3 Occupational Health and Safety Monitoring

84. The working environment should be monitored for occupational hazards relevant to the specific
project. Monitoring should be designed and implemented by accredited professionals61 as part of an
occupational health and safety monitoring program. Facilities should also maintain a record of occupational
accidents and diseases and dangerous occurrences and accidents. Additional guidance on occupational
health and safety monitoring programs is provided in the General EHS Guidelines.

                                                            
56 http://www.acgih.org/tlv-bei-guidelines/policies-procedures-presentations/overview and http://www.acgih.org/store/
57 http://www.cdc.gov/niosh/npg/
58 http://www.osha.gov/pls/oshaweb/owadisp.show_document?p_table=STANDARDS&p_id=9992.

59 https://osha.europa.eu/en/legislation/directives/exposure-to-chemical-agents-and-chemical-safety/osh-related-

aspects/council-directive-91-414-eec.
60 http://www.bls.gov/iif/ and http://www.hse.gov.uk/statistics/index.htm.

61 Accredited professionals may include Certified Industrial Hygienists, Registered Occupational Hygienists, or Certified

Safety Professionals or their equivalent.

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3. REFERENCES
American Association of Port Authorities. 1998. Environmental Management Handbook. Alexandria, VA:
AAPA.

Australian and New Zealand Environment and Conservation Council. 2000. Australian and New Zealand
Guidelines for Fresh and Marine Water Quality. Canberra: ANZECC.
http://www.environment.gov.au/system/files/resources/53cda9ea-7ec2-49d4-af29-
d1dde09e96ef/files/nwqms-guidelines-4-vol1.pdf

California Department of Transport. 2009. Technical Guidance for Assessment and Mitigation of the Hydro-
Acoustic Effects of Pile Driving on Fish. Sacramento: California DOT.
http://www.dot.ca.gov/hq/env/bio/files/Guidance_Manual_2_09.pdf

Canadian Council of Ministers of the Environment (CCME). 2006. A Canada-wide Framework for Water
Quality Monitoring. Ottawa: CCME.
http://www.ccme.ca/files/Resources/water/water_quality/wqm_framework_1.0_e_web.pdf

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ANNEX A. GENERAL DESCRIPTION OF INDUSTRY ACTIVITIES

85. A harbor is a stretch of water where vessels can anchor or secure to buoys or alongside wharves to
obtain protection (by natural or artificial features) from storms and rough water. A port is a commercial
harbor or commercial part of a harbor with terminals, quays, wharves, enclosed docks, and facilities for
transferring cargo from shore–to-vessel or vessel-to-shore. This includes onshore facilities and structures
for receiving, handling, storing, consolidating, and loading or delivering waterborne shipments or
passengers. Ports may include terminals, which generally serve a specific function, such as for containers,
bulk shipments of cement, iron ore, grain, etc., and these terminals maybe be operated by a third party.
Ports also may provide ship support facilities and services, including waste management and effluent
discharge facilities, maintenance of vehicles and equipment, painting and other vessel maintenance.  

86. Ports are located either in marine and estuarine zones or on rivers or lakes at inland sites far from the
sea, and may range in size from small harbors accommodating pleasure craft to large international ports
covering several miles of waterfront.62 Most ports are controlled by government-owned port authorities and
are governed by national and local legislation tailored to meet the needs of each port. Under these laws
and regulations, the port authority is responsible for administering ports and coastal waters and safe
navigation of vessels within its jurisdiction.

87. Port ownership and operation typically falls into three categories:

 “Operating” ports, where the port authority itself conducts the majority of activities;
 “Landlord” ports, where the port provides basic services and infrastructure while tenants conduct
the majority of activities; and
 “Combination” ports, where the port authority may operate some activities and tenants operate
other activities.

88. Operating ports are directly responsible for managing components of their operations that may affect
the environment. While landlord ports generally do not have direct control over the activities of their tenants,
they have a significant stake in tenants’ activities and the impact of those activities on the environment. 

A.1 Onshore Construction

89. Onshore construction typically includes site preparation and development, the removal of any existing
vegetation, and the grading and excavation of soils for the installation of structural foundations and site
utilities that are typical of industrial development projects. Port development may include construction of
new infrastructure and/or rehabilitation of existing infrastructure, such as piers and buildings. Onshore
facilities typically include: 

 Cargo storage and handling facilities, including crane tracks and bridges for loading/unloading
cargo; pipelines, roads, railway lines and other areas for cargo distribution, storage and stacking
areas; above-ground and underground storage tanks; warehouses; and silos;

                                                            
62 An example is the Port of Los Angeles, which comprises 7500 acres, 43 miles of waterfront, and 26 cargo terminals.

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 Facilities for embarking/disembarking passengers, such as parking areas and administration

buildings;
 Vessel support facilities, such as those used to store and supply water, power, food and oil/used
oil;
 Drainage networks (e.g., for stormwater);
 Waste management and effluent treatment and discharge systems, such as for
wastewater/sewage, oil contaminated wastewater, and ballast water;
 Port administration buildings;
 Equipment maintenance and repair facilities, such as vehicle maintenance bays; and
 Flood defenses such as gates and dikes in ports exposed to high water and flood risks.

A.2 Waterside Construction

90. Waterside facilities include berthing facilities, such as harbor basins, approaches, access channels,
locks, harbor dams, and breakwaters; cargo handling and ferry facilities, including goods transfer quays
and piers, shoreline protection; and landing bridges, shipbuilding berths, fitting quays/wharfs, and dry
docks. Offshore construction activities specific to ports include preparing the waterside, including
construction/capital dredging (and disposal of dredged material); excavation and blasting; and filling and
other work related to the construction of quays, piers, harbor basins, access channels, dams, breakwaters,
and dry docks.

Dredging and Disposal of Dredged Material

91. Capital dredging for new ports includes the excavation of sediments to increase depth of berths and
navigation channels for access by larger vessels. Sediments, even in new port developments, may contain
contaminants. Much of this contamination originates from land-use practices in the adjacent watershed and
is transported by rivers and surface runoff to lakes, bays, and the sea, where certain contaminants, such
as polychlorinated biphenyls (PCBs), polycyclic aromatic hydrocarbons (PAHs), metals, and pesticides,
tend to concentrate in the sediments.

92. In areas affected by sedimentation from rivers, estuaries, and land runoff, sediments are usually
deposited over a period of time. Therefore, concentrations of contaminants can vary substantially over a
vertical profile of the dredge cut. Typically, the upper layer is organic-rich and fine-grained, and is the most
contaminated. The deeper materials are typically coarse-grained or hard-pan materials that are less
contaminated. However, historical contamination, such as from previous shipyards and spills, can result in
contamination even in these materials. Material dredged from channels or outer harbor areas tend to be
relatively coarse-grained and uncontaminated, although the nature of the materials is a function of the
historical activities within the region. Sediment quality can be assessed by sampling and testing.

93. The re-suspension of sediment during dredging or excavation processes may be reduced by selecting
an appropriate dredging method:

 Grab or clamshell dredgers collect sediments in a crane-mounted bucket, helping to keep material
consolidated (e.g., lower water content);

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 Bucket dredgers pick up sediment by mechanical means, often with many buckets attached to a
wheel or chain;
 Backhoe dredgers are shore-based or “pontoon mounted” diggers used in shallow waters and
confined spaces;
 Trailing suction hopper dredgers are typically used for maintenance dredging in coastal areas.
Sediments from the seabed are pumped through trailing drag-heads into a reception tank
(hopper); and/or
 Water injection dredgers are used for maintenance dredging in coastal areas and rivers,
particularly in muddy areas and in areas with sandy ripples on the bottom. Water injection
dredgers inject water in a small jet under low pressure into the seabed to bring up sediment in
suspension as a turbidity current that flows downslope before being moved by a second burst of
water from the dredger, or carried away by sea currents.

94. Non-contaminated, dredged materials can usually be disposed of in open waters or used to counter
shoreline erosion, for beach nourishment, or as fill materials, although a license from national authorities is
typically required to discharge dredged material. Contaminated sediments are generally placed in confined
disposal sites located either on land or in the water.

Excavation/Blasting and Disposal of Crushed Material

95. Installation of pier columns, piles and other underwater foundations, and construction of harbor basins
and access channels, may require excavation of sediment and underlying material. Soft material can be
excavated using conventional means, however, excavation of hard materials often involves blasting.
Foundations can penetrate natural low-permeability layers and facilitate vertical migration of saline water
and contaminants. As with dredging, these construction activities also cause turbidity and generate crushed
material and other debris requiring disposal. The use of explosives usually releases nitrogen and blasted
material into the water. Other contaminants, including metals and petroleum products, may also be released
from sediments. Uncontaminated materials can be disposed of in open water, or used to construct
breakwaters and other features, or for land reclamation. Contaminated material may need to be placed in
a confined disposal facility.

Construction of Piers, Breakwaters, Bulkheads, and Other Structures

96. Piers, wharves, and similar structures create the ship berths and provide the platforms for waterside
cargo handling. These structures are typically constructed of concrete, steel, or lumber treated with
chromated copper arsenate (CCA) or creosote as a preservative. Preservatives can leach from treated
lumber, and the use of CCA-treated lumber is being phased out due to toxicity concerns. Filled structures,
such as breakwaters, are crucial elements of port design and constitute sizable areas of artificial shoreline
that are often projected into a bay, harbor, or estuary. Rubble mound breakwaters are commonly used and
constructed by dumping rocks or debris of various size distributions from dump trucks, barges, or from fall
pipes by barges.

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A.3 Onshore Operations

97. Land-based operations at ports include cargo handling; fuel and chemical storage and handling;
passenger embarking and disembarking; ship support services; waste and wastewater management;
vehicle and equipment maintenance; and buildings and grounds maintenance.

Cargo Handling

98. Cargo handling includes unloading, storage/stacking, and loading dry and liquid cargo. Cargo typically
includes containers, dry bulk, liquid bulk, and general cargo. Cargo handling includes use of vehicular traffic
such as harbor vessels, trucks, buses, and trains and on-dock cranes, terminal trucks, and track cranes.
Bulk cargo may be transferred using cranes with grab buckets and front-end loaders, or pneumatic
continuous ship loaders and unloaders, or belt conveyors.

Chemical and Petroleum Storage and Handling

99. Hazardous cargo, such as oil, liquefied gas, pesticides, and industrial chemicals, may require specific
handling facilities or areas within the port, including separation from other cargo by cofferdam, void space,
cargo pump room, or empty tanks. Pipe systems are required for handling bulk fuels and liquid chemicals.
Hazardous cargo may be released through leaks and spill during transfer and storage, contaminating soil,
surface water, or groundwater. Volatile organic chemicals may also evaporate and be released to the air.

Embarking/Disembarking Passengers

100. Passenger terminals may be required within the port area for embarking and disembarking
passengers, including provision of parking facilities and temporary holding areas.

Ship Support Services

101. A port may offer ship support services such as solid waste and wastewater collection, electricity
supply, fuels, and fresh water. The port or a separate company located within the port area may offer ship
fuels, and fuel may be supplied by bunker boats. Fresh water may also be offered and pumped onboard
ships.

Waste and Wastewater

102. Port operations generate and manage their own waste and wastewater. Solid waste may be generated
from property upkeep and administrative operations, while wastewater may originate from storm drainage
and from domestic wastewater and sewage. However, the most significant sources of wastes and
wastewater are ships, and government-owned port authorities are often responsible for providing receiving
facilities for these and other waste streams. The following sections summarize the types of ship-generated
wastes that must be managed in these shore-based facilities.

Solid Waste

103. Waste materials generated on vessels and at ports include plastic, paper, glass, metal, and food
wastes. Hazardous wastes generated on vessels and by maintenance activities include waste oil, batteries,

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paints, solvents, and pesticides. Ports typically manage collection and storage of hazardous and non-
hazardous wastes, with transportation, treatment, and disposal managed by third parties. The port may
provide reception facilities for waste such as containers, general-use skips, and bins.

Water Effluents

104. Water effluents generated by ships include sewage, tank cleaning water, bilge water, and ballast
water. Water effluents are typically collected and transported using trucks or pipes within the port area.
Ports may collect and treat the wastewater using on-site wastewater treatment systems before discharging
to surface water, or municipal sewage treatment plants.

A.4 Waterside Operations

Ship Berthing

105. Ships may enter and leave the port under their own power or assisted by tugboats. While berthed in
the harbor, vessels need an ongoing source of power for cargo handling, climate control, communications,
and other daily operations. Power can be supplied by the ships’ engines or by shore-based utilities. Most
vessels are powered by diesel internal combustion engines, although some vessels may be powered by
boilers and steam engines/turbines. Air emissions from vessels consist primarily of particulate matter,
carbon monoxide, sulfur dioxide, and nitrogen oxides from propulsion and auxiliary boilers and engines.
Coal-fired boilers generate a large quantity of particulate matter. Heavy particulate matter emissions are
also generated when carbon deposits are blown from coal- and oil-fired boilers.

Maintenance Dredging

106. Maintenance dredging involves the routine removal of siltation material and sediment in harbor basins
and access channels. This activity is important to maintain depths and widths and ensure safe access for
the ships as well as efficient navigation depth in the neighborhoods and dock gates to ensure access to
basins and dry docks. Maintenance dredging may take place continuously or once every few years,
depending on the port.

Vessel Repair and Maintenance

107. Vessel repair and maintenance, including repainting, is often conducted in a dry dock. Chemical
stripping agents used for paint removal commonly contain methylene chloride, although less hazardous
alternatives, such as dibasic esters, semi-aqueous terpene-based products, aqueous solutions of caustic
soda, and detergent-based strippers, are available. Abrasive blasting may also be used to remove old paint.
Steel shot is most often used as a blasting agent, although plastic shot may be used. Paint is usually applied
by spray or by hand. Anti-fouling paints used on hulls are solvent-based, containing heavy metals or
organometallic biocides to minimize growth of marine organisms on ships’ hulls. Water-based paints are
generally used on areas of the vessel that are not immersed in water. Other repair work may include sheet
metal work and metal finishing, among others. Wastes produced from vessel repairs and maintenance
include oils, oil emulsifiers, paints, solvents, detergents, bleach, dissolved heavy metals, antifouling paint
scrapings, and sandblasting waste. In the case of metal finishing operations, wastewater may also contain
cyanide, heavy metal sludge, and corrosive acids and alkalis.

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