New - Aluminium Health, Environmental and Engineering Perspectives

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

& Chintanapalli Venkobachar
Aluminium Smelting
Health, Environmental and
Engineering Perspectives
Ian Randle Publishers Ltd
Aluminium Smelting
Health, Environmental and
Engineering Perspectives
Editors
Mukesh Khare
Clement K. Sankat
Gyan Shrivastava
Chintanapalli Venkobachar
Faculty of Engineering
University of West Indies
St. Augustine Campus, Trinidad and Tobago
Dedicated
To
The People of the Caribbean
Especially those in Southern Trinidad

Contents
List of Contributors
Foreword
Preface
How to use this book
M. Khare
Part I Introduction
1 Bauxite, Alumina, Aluminum and Energy in the Caribbean – A Regional Perspective for
Integration and Industrialization
C.K. Sankat
2 Economics of Aluminum Smelting
C. Pratt
Part II Land Use and Physical Planning
3 The Land Use Planning Perspectives in Relation to Development and Consideration of
Aluminium Smelters
J. Armstrong
4 Integrating Industrial and Coastal Development into the Physical Planning Framework
A. Mohammed
Part III Environmental Concerns of Aluminium Smelting in a Small Island
Developing State
5 Environmental Impacts and Issues for a Small Island Developing State
S. O’Beirne and A. Kansal
6 Pollution Minimization and Treatment in Aluminium Smelting Industry
C. Venkobachar and G. Shrivastava
7 Aluminium Smelting: Environmental Standards, Compliance and Best Practices
C.K. Sankat, M. Khare and J. Agard
Part IV Health and Aluminium Smelting
8 Aluminium Smelting and Health Effects
M. Friesen and L. Fritschi
9 Human Health and Risk Assessment of the Alutrint Project on the La Brea Community in
Trinidad and Tobago
H. Phillips
Part V Ecosystem and Industrial Development
10 Freshwater Ecosystems and Industrial Development in the South-West Peninsula of Trinidad
M. Alkins-Koo
11 Health Hazards to Animals Associated with Aluminium Smelting
J. E. Cooper
12 Plant Diversity in the Western Peninsula of Trinidad and Tobago – Past, Present and Future
Y.S.Baksh-Comeau, S. S. Maharaj, P.L. Comeau and B. Ramlal

Part VI Engineering Perspectives of Industrial Development
13 Oceanographic and Civil engineering aspects of an Offshore Island in Otaheite Bay
E. T. R. Dean, D. Gay, J. Ibrahim and G. Shrivastava
14 Epilogue
M. Khare
List of contributors
Arun Kansal, Lecturer, University School of Environmental Management, GGS Indraprastha

University, Delhi, India. [email protected]
Asad Mohammed, Graduate Programme in Planning & Development, Faculty of Engineering

University of West Indies, St. Augustine Campus, Trinidad and Tobago. [email protected]
Bheshem Ramlal, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. [email protected]
Chintanapalli. Venkobachar, Faculty of Engineering, University of West Indies, St. Augustine

Campus, Trinidad and Tobago. [email protected]
Clement K. Sankat, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Colin Pratt, Managing Consultant, CRU Strategies, United Kingdom.

[email protected]
Derek Gay, Faculty of Engineering, University of West Indies, St. Augustine Campus, Trinidad
and Tobago. [email protected]
Edward. T. R. Dean, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Gyan Shrivastava, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Harriet Phillips, SENES Consultants Limited, 121 Granton Drive, Unit 12, Richmond Hill,
Ontario, Canada L4B 3N10. [email protected]
James Armstrong, Trinidad and Tobago Society for Planners, Trinidad and Tobago
Joanna Ibrahim, Faculty of Engineering, University of West Indies, St. Augustine Campus,
John Agard, Department of Life Sciences, University of West Indies, St. Augustine Campus,
John E. Cooper, School of Vetenary Sciences, Faculty of Medicine, University of West Indies,
St. Augustine Campus, Trinidad and Tobago. [email protected]
Lin Fritschi, Western Australia Medical Research Institute, Australia.
[email protected]
Mary Alkins-Koo, Department of Life Sciences, University of West Indies, St. Augustine
Melissa Friesen, Centre for Occupational and Environmental Health, Centre for Occupational
and Environmental Health, Department of Epidemiology & Preventive Medicine, Monash
University, Australia, e-mail: [email protected]
Mukesh Khare, Faculty of Engineering, University of West Indies, St. Augustine Campus,
Trinidad and Tobago. [email protected].
Paul L. Comeau, Department of Life Sciences, University of West Indies, St. Augustine Campus,
Sean O’Beirne, SE Solutions, South Africa. [email protected].
Shobha S. Maharaj, Department of Life Sciences, University of West Indies, St. Augustine
Yasmin S. Baksh-Comeau, Department of Life Sciences, University of West Indies, St.

Augustine Campus, Trinidad and Tobago. [email protected]
Foreword
The role of the University of the West Indies in Development
I take this opportunity on this glorious Saturday morning to welcome you warmly to the St.
Augustine Campus of The University of the West Indies. The University of the West Indies is a
multi-campus University serving the people of the Caribbean in fifteen (15) countries. This
University has always been, and will continue to be, absolutely committed to the development
and progress of the countries and people of the region.
Next year the University will mark 60 years of continuous service to the region. Currently,
38,000 students are enrolled at The University of the West Indies.
This Campus of the University of the West Indies was originally the home of the Imperial
College of Tropical Agriculture (ICTA) which built up a reputation as a world centre for cocoa
research and as a pioneer in tropical agriculture. Today it consists of five (5) faculties, several
schools, many more departments and units and a range of centres and institutes and is the largest
campus in UWI in terms of the number of students that it services. The student population of this
campus is now 15,700. Over the last five years the student population has more than doubled.
This unprecedented growth is supportive of the ambitious policy of the Government of Trinidad
and Tobago to achieve a 60% participation rate at the tertiary level by 2011.
As you drove through the Campus, you may have noticed a fair amount of construction taking
place. The construction that you are witnessing is targeted principally towards housing for
students to address the growing demand; learning and teaching spaces to reduce overcrowding
and to improve the teaching and learning environment, and these include auditoria and large
lecture halls. Soon to begin is construction of a building to house laboratories and an appropriate
environment for teaching students in the Sciences.
This Campus has a good mix of students from all five faculties but the St. Augustine Campus
also has the largest percentage and number of students enrolled in Science and Technology-
related subjects among all institutions of higher education in the region, and this includes within
the University of the West Indies system. Over the last several years significant research clusters
have been formed; funding for research has increased dramatically and research and publications
output in some vital areas has been encouraging. We have also had some major breakthroughs in
research. But a University is not only about numbers and buildings; nor is it only about faculties,
departments and programmes. Nor is it only about teaching and learning or attracting the best
students and the best faculty or doing meaningful research. All of these things are important and
essential to a University. But a University is these things and more; a University is a place of
freedom and democracy: where ideas can contend, debate flourish and different points of view
enrich the discourse to facilitate a kind of creative tension. This creative tension at the level of
ideas and perspectives is an important aspect of intellectual life.
It is in this spirit, therefore, that I congratulate Professor Clement Sankat and the Faculty of
Engineering for this particular initiative on aluminum smelting in which my colleagues are
seeking to bring together environmental as well as engineering perspectives. The site for one
aluminum smelter is currently under preparation in this country, and a heated debate has been
ranging about, first of all, whether this country should venture into aluminum smelting at all and
secondly, whether additional smelters should be considered. Communities targeted for the
construction of smelters have become divided; environmental activists and others opposed to
smelters have mounted a resistance campaign, and contending views have been put forward
about industrialization on the one hand and sustainable development on the other.
Sometime ago, in response to the establishment of an anti-smelter camp outside the Southern
gate of the University, the Honorable Prime Minister indicated that the University ought to
provide light rather than heat on the subject of smelters. At that time I publicly expressed my
support for his position on the role of the University as a place of light but I also took the
opportunity to point out that the University must also always be a place for the free expression of
views. I want to reinforce this position as we go more deeply into the Symposium during the
course of today. All presenters must be free to express their views and, at the end of the day, no
matter how heated the discussion, when the smoke clears, we should be able to discern some
light. In other words, it is my hope, that this symposium will add significant value to the debate.
But the University is not only a place of freedom and democracy where contending ideas should
be the norm; it must also be a place of research, of logic, of critical and creative thinking, and of
fresh ideas. And we expect in a University that arguments and perspectives will be evidence-
based and that conclusions will be drawn and recommendations made on the basis of thoughtful,
insightful scrutiny of available information and careful, objective analysis of the facts.
Let me say though, that as important as are the conclusions that you draw and recommendations
that you might make– and perhaps even more important than these – are the penetrating
questions that you might be compelled to ask to distinguish fact from fiction, rumour from reality
and propaganda from truth.
Living as we do on islands, in a tropical climate, with all that we know today about
environmental and ecological issues, with our continuing experience of globalization, and
drawing on development strategies pursued by countries around the world, seeking to understand
the choices that have been made and why – given all of these things – what constitutes the next
generation of questions that we must ask about industrialization, development and sustainability?
This is not an unreasonable question to ask of a University community.
We must never forget that one of the roles of a University is to ask the difficult questions which
might sometimes cause discomfort but which need to be asked nonetheless. We must also not
forget that Universities have a role in challenging orthodoxies, in the refutation of traditionally
held concepts and in the creation of new theory and that, in our contemporary world, given the
pace of change, the abundance of information, the ubiquity of experience on which to draw, the
explosion of knowledge and changes in the production, management and application of
knowledge itself, the University needs to be leading the way in providing guiding light.
Especially in a context of widening gaps between industrialized and developing countries, we
might well ask the question – what is the role of a University such as ours, when we face
challenges in determining the right developmental choices involving issues which so polarize our
country and divide our national community?

I personally find political trends in our country very disturbing and I find the polarization of
views on the basis of political alignment very alarming. A rational discussion on any issue cannot
take place if there is no respect for the facts and if contending views are not taken into account.
The University of the West Indies, therefore, should play a role in bringing rationality to the
debate on whether or not aluminum smelting should be included as part of our industrialization
and development strategy in Trinidad and Tobago and if yes, under what terms and conditions
and taking what critical issues into account. And if not, why not and what are the potential
threats and dangers which the citizens and policy makers cannot afford to ignored.
The University of the West Indies does indeed have a role in providing the facts and in bringing
rationality to the debate on smelters. We have a duty to emancipate ourselves from mental
slavery—to draw on Bob Marley’s popular and impactful song—beginning with the University
of the West Indies itself, hoping to make a difference in the society at large.
The crux of the problem, in terms of the current debate, has to do with environmental, ecological
and health and safety concerns on the one hand and quickening the pace of development with the
prospect for more jobs and better incomes on the other.
As we proceed with industrialization we cannot ignore the fact that Trinidad and Tobago is rich
in ecosystem diversity with unique varieties and species of plant and animal life. We also cannot
afford to ignore the impact of heavy industry on human health.

At the same time there is a huge gap in knowledge, science and technology, research, and in level
and pace of development between us as a medium human development country and other more
developed areas of the world.
It is the tension between these two things—the need to quicken the pace of development on the
one hand and the need to manage development with the required sensitivity to ecological,
environmental and human concerns on the other—that is at the heart of the controversy.
University experts must take both into account as they think through their positions and
recommendations.
Dr. Bhoendradatt Tewarie

Principal and Pro Vice Chancellor
University of West Indies, St. Augustine Campus
Trinidad and Tobago
February, 2007
Preface
Aluminium is a young and modern metal. Aluminium has only been produced on an industrial
scale since 1886 when Hall and Héroult independently discovered how to produce aluminium
through electrolysis. In 1900, annual output of aluminium was one thousand tonnes. By the end
of the twentieth century the annual production had reached 32 million tonnes comprising 24
million tonnes of primary aluminium and 8 million tonnes from recycled metal. This makes
aluminium the world’s second most used metal. A world without aluminium has become
unimaginable. The business traveller, the tourist and the freight company are dependent on
aluminium and the commercial aviation and space industries would never have achieved “lift
off” without aluminium.
The primary aluminium industry is one of the largest industries in the world today and
production is widespread due to its specific applications in aircraft, utensils, scientific and
domestic apparatus, electrical conductors, automotive parts and paints, explosives, water
treatment and fireworks industries. Aluminium smelting involves electrolytic reduction of
alumina (Al2O3) in large carbon lined steel vessels called pots. Pots may be of two types of
technology, Soderberg or Prebake. The Prebake potrooms are the preferred design in modern
smelters due to lower levels of emissions.
The major gaseous emissions in aluminium production besides Carbon dioxide (CO2) are
hydrogen fluoride (HF), sulphur dioxide (SO2), carbon monoxide (CO) and poly aromatic
hydrocarbons (PAHs). Particulate emissions are particulate fluoride, carbon dust, and alumina.
Epidemiological and environmental studies in the smelters have implicated these emissions as
causal agents for cancers and/or respiratory disease as well as degradation of the surrounding
environmental quality. However, the adoption of environmentally friendly based production
philosophy e.g. setting guidelines for effective reduction in the amount of waste; educating
employees about environmental, cleaner and safer work practices; process modification and
waste minimization, best waste management procedures and raising the profile of environmental
issues relating to the smelter’s impact on their surrounding environment. These may help in
removing psychological and physical boundaries between the smelter and the community for
their harmonious coexistence.
In today’s climate of strong environmental awareness, the smelting industries have to maintain
proper balance between environmental and economical factors. This book includes reviews and
analysis of research on environmental, ecological, economical, health and safety concerns of the
aluminium smelting industry that were presented and deliberated upon in symposiums hosted by
the South Trinidad Chamber of Industry & Commerce in 2006 and The Faculty of Engineering,
University of West Indies, St. Augustine, Trinidad and Tobago, in 2007. Leading
researchers/consultants from the University of West Indies, St. Augustine Campus and other
national/international research and academic institutions around the world participated. We have
tried to avoid the sensationalism of placing the book in the context of any ongoing environmental
‘catastrophe’. However, unique circumstances of a contracting natural resource base (especially
land) and justifiable demands for improvements to the standards of living (or rather greater
economic equity) point directly to Trinidad & Tobago as an outlier case for the insular
Caribbean. The fact cannot be ignored that the aluminium smelting industry is one of the
hazardous industries and has potential impacts on the environment, particularly due to air and
solid wastes generation. Indeed, the systematic developmental innovations in the smelting
process as well as the effective and efficient preventive and control technologies have greatly
contributed to reduce the potential environmental problems. It is impossible to say with any
certainty yet whether the alarm has been raised early enough and indeed which alarms are
ringing loudest. Many improvements in aluminium smelting processes and emission controls
have been developed and enacted, given the conflicting needs of the different receptors. In many
cases, the results of such improvements are often used to take environmental exploitation ‘to the
limit’ that the environment will accept, if not beyond.
This book has developed from our efforts in putting together all the contributions from authors of
their excellent overviews of their work and the state – of – the - art in the field of aluminium
smelting process and emission controls. It is aimed at a sustainable industrialization of the
Caribbean region, in particular, Trinidad and Tobago. We hope we have been able to do justice to
the work.
At the outset, we would like to thank the numerous individuals who generously gave their time
and expertise to assist in the review of the chapters in the book. We extend our deepest gratitude
and sincerest thanks to The University of the West Indies, National Energy Corporation, South
Trinidad Chamber of Industry and Commerce and Alutrint Ltd. of Trinidad and Tobago for their
support to this noble venture. Further, we specially thank Prof A. W. Davison, Emeritus
Professor, University of Newcastle Upon Tyne, UK whose thought provoking research on effects
of smelter emissions on plants and animals provided one of the major stimuli for putting these
overviews together. We would also thank our students, Kevin Ramsumair (University of West
Indies, St. Augustine), Neha Mukhi (Harvard University, USA), and Shaily Mahendra
(University of California, Berkeley, USA) for their valuable inputs. We thank Ms. Ella
Granderson, Faculty of Engineering, University of West Indies, St. Augustine who assisted in
many ways during the writing of this book and in her usual cheerful manner. Finally, we thank
Ian Randle, Anna Young and Kim Hoo Fat of Ian Randle Publishers Ltd, Kingston, Jamaica for
bearing with us through the delays and helping out throughout the long process of putting this
book together.
Mukesh Khare, Clement Sankat, and Gyan Shrivastava Chintanapalli Venkobachar

University of West Indies, St. Augustine, Trinidad and Tobago
July, 2007
How to use this book
Mukesh Khare
This book is divided into six parts. We do not anticipate that readers will want (or need) to read it
from cover to cover. Instead, the different topics can be largely understood and followed
separately, in almost any order. Part I provides an introduction with a specific focus on regional
as well as global productivity and economical issues related to aluminium smelting. We have
attempted to cover the pros and cons of Caribbean region’s non-involvement in greater value-
added activities, that is, the aluminium smelting. We have presented these issues in two separate
chapters, but the headings within it should allow simple navigation to the sections that are more
relevant to you.
Part II of the book describes relevant factors and the framework of physical, land use and
industrial planning issues. The chapters present the existing procedures of land use planning in
Trinidad and Tobago and compare with regional perspectives. The inter - sectoral considerations
as to how we make the most judicious use of land and attendant resources, and how such
activities may influence or impact inter-locking objectives of human development, are also
discussed at length. Additionally, the authors have analysed the role of the state in promoting
industrial development and reviewed as to how the state should regulate such activities.
In Part III, the focus moves to environmental concerns of the aluminium smelting process in a
small island developing state. We invited a number of experts to give their viewpoints on
environmental impacts of aluminium smelting process in general, dispersion of aluminium
smelter emissions, pollution minimization and treatment and finally on environmental standards,
compliance and best practices. These chapters bring to light different environmental aspects
needed in a policy or management context considered for establishing an aluminium smelter in
an island state and demonstrate how these needs might be different from those in a pure research
context. This is another way in which a researcher student, a consultant or a decision maker
needs to interface with the real world problems of aluminium smelting industry, and one that is
often forgotten.
Part IV deals with health effects of aluminium smelter emissions. As much as we would have
liked, the coverage here is by no means complete and we acknowledge that there are gaps in the
material here. In part, this is due to some professional confidentiality that had to be maintained.
However, the chapters present an overview of the occupational health and epidemiological
literature on health effects of working in Prebake aluminium smelters along with suggestions as
to how to minimize these effects on the workers. The Human Health and Ecological Risk
Assessment (HHERA) methodology to evaluate the potential health risks on surrounding
population in the immediate area from the pollutants emitted from the aluminium smelting
operations and processes are explained. An assessment of adverse cumulative effects on
ecological receptors has also been included in the chapter. One conclusion that we have come to
is that if you cannot find a specific answer to a health related problem linked to a particular type
of effect, then a look at the literature of respective discipline can often provide answers.
Cross - fertilization of health related studies on aluminium smelters will lead to the development
of stronger breeds of risk assessment models.
In part V, impacts of industrialization on ecosystems and the biota have been discussed in detail.
The authors have presented a comprehensive data-based impact analysis on freshwater

ecosystems terrestrial flora and fauna. Using the information provided in these chapters, you
should be able to construct past, present and future trends in the biodiversity of this region with
the potential effects of industrialization and associated mitigation measures to minimize these
effects of any proposed developmental projects.
Part VI provides specific design details on oceanographic, coastal and geotechnical engineering
aspects of artificial island development and reclamation. The authors have included hard core
oceanographic and civil engineering including environmental and hydraulic issues and design
requirements of such developmental projects. A case study has been presented which describes
the engineering requirements and environmental effects of constructing an aluminium smelter in
an offshore island of Trinidad and Tobago. This part gives comprehensive experimental and
modelling methodologies based on numerical techniques required for developing and reclaiming
an artificial island.
Aluminium’s Contribution to Modern Life
Aluminium Industries in the World
Chapter 1
Bauxite, Alumina, Aluminum and Energy in the Caribbean– A Regional Perspective for
Integration and Industrialization
Clement K. Sankat
1.1 Trinidad & Tobago’s thrust into aluminium smelting
There has been in the past year an intense national debate on the proposals for the establishment
of two aluminum smelters by the Aluminium company of America (ALCOA) and Alutrint
respectively in Trinidad and Tobago. The debate has centred around three themes viz: (i) the
environment, health and safety impacts of these smelters; (ii) the net benefits to Trinidad and
Tobago on the use of its natural gas to fuel these smelters; and (iii) alternative models for
industrialization and the development of the southern part of Trinidad. At this time, Alutrint,
which is 60% owned by the Government of Trinidad and Tobago and 40% owned by Sural of
Venezuela is set to begin construction of its 125,000 metric tonnes per annum aluminum smelter
with production expected in 2010. The plant will be sited at La Brea in the south of the island
and will utilize an existing deep-water port. Alutrint is also proposing to go into the downstream
manufacture of aluminum, automotive components including wheels. The matter of the larger
ALCOA smelter (341,000 metric tonnes per annum) is yet to be decided upon. Much of the
debate in Trinidad and Tobago has been around national issues, local and community interests.
The matter of aluminum production derived from bauxite and alumina that are both produced in
the Caribbean has received inadequate attention i.e. the regional context of aluminum smelting
and downstream manufacture. This chapter attempts a concise historical overview and the
significance of the bauxite/alumina/aluminum industry in the Caribbean. It assesses the
aspirations of producing countries for the industry’s growth, expansion and deepened forward
and backward linkages. Bauxite, alumina and aluminum industries have been central to the
economies of the Caribbean countries of Jamaica, Guyana and Suriname for nearly 100 years.
Table 1.1 gives an indication of the region’s bauxite production and its global potential.
Table 1.1 Bauxite productions in the Caribbean for 2006 (Source: US Geological Survey,
Mineral Commodity Summaries, 2007)
Country Mine Production * Reserve Base *

Guyana 1,500 900,000
Jamaica 14,900 2,500,000
Suriname 4,800 600,000
Brazil 21,000 2,500,000
Venezuela 6,000 350,000
Australia 61,400 7,900,000
WORLD TOTAL 177,000 32,000,000
* In thousand, metric dry tonnes
1.2 Guyana
In 1916, the Demerara Bauxite Company (DEMBA a subsidiary of ALCOA and later in 1929 an
Aluminum Company of Canada (ALCAN) subsidiary) was formed; Two thousand and thirty-
seven (2037) tonnes of bauxite was first shipped from the then British Guiana in 1917 from
mines around McKenzie, now Linden - a bauxite town situated 65 miles upstream of the
Demerara River. (Suss et al, 2005). On the Berbice River, 160 miles upstream from Kwakwani,
mining began in 1942 through facilities owned by the Reynolds Metal Company of the USA with
bauxite processing facilities at Everton much closer to the Atlantic port facilities. In 1961, with
the opening of DEMBA’s 300,000 tonnes capacity alumina plant, bauxite operations in Guyana
became the most diversified around the world with the production of metallurgical, refractory,
chemical and abrasive grades of bauxite delivered into a global market (Suss et al, 2005). The
low iron content of Guyana’s bauxite (less than 2% by weight) was recognized early and
calcined bauxite for the refractory and abrasive industry was first produced in Linden in 1937
and in 1965 in Berbice. Until relatively recently, there were not large reserves of low iron
bauxite elsewhere and the global refractory bauxite industry was developed essentially on
materials from Guyana (Hinds, 1984).
Auty (1983) noted that in 1964, in the heyday of the industry in Guyana, 29% of the bauxite was
shipped as metal grade bauxite and yielded 10% of total revenue; around 38% was processed as
abrasive and calcined bauxite yielding 33% revenue while the new alumina plant absorbed 1/3 or
the ore and contributed 50% of the revenues. This product mix and value added approach made
Guyana’s operation highly competitive. Product diversification had tripled local revenue
retention per tonne of bauxite mined (1.87 million tonnes in 1964) compared to the export of
metal grade bauxite. However no less than 2/3 of total revenues obtained from these operations
leaked abroad (Auty, 1983) a matter upon which Girvan (1967) also wrote, using the Jamaican
experience.
In 1971 and 1975 respectively, DEMBA and the Reynolds Berbice Mines were nationalized.
The alumina plant was closed in 1982. The industry entered a period of steep decline in 1981
and by 1991 was technically bankrupt. Several attempts at privatization including direct foreign
participation appear not to have been as successful in the industry’s revitalization (NDS
Secretariat, 2000). Pawlek (2006) stated that the Russian producer RusAl (with 90% share
ownership) and the Government of Guyana have agreed to enter a joint venture called the
Bauxite Company of Guyana (BCGI) that will produce around 2 million tonnes per annum of
bauxite, a large part of which will be used to feed RusAl’s Nikolayev alumina refinery in the
Ukraine. Another report (Metals Place, 2007) stated that the acquisition of Omai Bauxite Mining
(which had several bauxite mines in the Linden area of Guyana with proven reserves of 186
million tonnes) from Canadian gold producer Cambior could make the Chongqing based,
privately owned Bosai Minerals Group the world’s largest calcined bauxite producer. Guyana
therefore now appears to be pursuing a strategy based upon stabilized, primary bauxite
production.
1.3 Jamaica
The advent of the second World War, which pushed the demand for aluminum from the North
American aluminum industry and the need for a regularity of supply of bauxite/alumina to feed
this industry, provided the momentum for Jamaica’s emergence as a global bauxite and alumina
producer (Davis, 1989). The three pioneering companies in Jamaica over the period 1930 – 1962
were Aluminum Limited of Canada – later ALCAN, Reynolds Metal Company of USA and
Kaiser Aluminum and Chemical Corporation of the USA. In 1952, the first regular export of
bauxite was begun by Reynolds Jamaica Mines, Ltd. from their port at Ocho Rios on the north
coast of Jamaica (Knoerr, 1952). In 1953, Kaiser Bauxite Company commenced shipments from
the south coast and in that same year Alumina Jamaica Limited, a subsidiary of Aluminum
Limited made its first shipment of alumina from its plant at Kirkvine near Mandeville
(Moorhead, 1961). Within five years of its first export i.e. 1957, Jamaica had become the
world’s largest producer of bauxite and the largest exporter of alumina. Young (1963) discussed
the matter of Jamaica processing most of its bauxite to alumina. He noted that based on rough
values for the year 1962, if Jamaica’s six million tonnes of exported bauxite was converted to
alumina and then exported, this would have realized US$140 million instead of US$410 million.
The hurdles to this value added concept were significant capital investment for new alumina
plant for the island and the potential of crippling import duties of alumina shipped from Jamaica
to US aluminum plants. Young (1963) further raised the question of Jamaica moving from
alumina to aluminum and noted the constraint in the island of the availability of low cost
hydropower as available in Canada and Norway together with the absence of coal and natural
gas. He further stated that the electrolytic smelting of alumina required great quantities of
electrical power at low cost – 8-10 kWh/lb of metal. Hill (1977) noted that high power
requirement for smelting (10.5 kWh/lb of metal for the most efficient plant) dictated the location
of smelters to where cheap power was available. In today’s world, energy concerns extend
beyond cheap power to clean, CO2 free, renewable power sources and hence Guyana and
Suriname’s hydropower attractiveness. Girvan (1967) and later Davis (1989) have discussed at
length nuclear energy as a possible energy source for alumina to aluminum conversion in
Jamaica. Further Davis (1989) has noted, “apart from the activities in bauxite and alumina, the
Government of Jamaica spent a great deal of time during the period (in the 60s) in trying to have
an aluminum smelter in the island”. He concluded however, that the OPEC oil price increases in
the late 70s “marked the end of the road in the pursuit of a domestic aluminum smelter by
Jamaica”. This goal of aluminum production in Jamaica has not yet been realized, but still
worthy of aggressive pursuit.
Jamaica continues to rank today among the world’s largest bauxite and alumina producers
producing 13.4 million tonnes and 3.8 million tonnes of bauxite and alumina respectively in
2003 (Bermudez–Lugo, 2003). The industry accounts for about 50% of Jamaica’s export (IAI,
2005) and is the country’s second largest source of foreign currency. There appears to be growth
in the industry particularly in value added, alumina production with this being driven by the
replacement of the 28 year old government bauxite levy and the creation of incentives for steady
investments in modernizing and expanding bauxite and alumina plant capacity in the country.
1.4 Suriname
In Suriname, ALCOA exported its first bauxite in 1922 from mines along the Cottica River in the
village of Moengo and expanded its plant in 1941 into Paranam to support mining along the
Suriname River (ALCOA, 2007). In 1957, the Suriname Aluminum Company (SURALCO), a
subsidiary of ALCOA was formed. Under the 1958 Brokopondo Agreement, SURALCO was to
build a hydropower plant at Afobaka, an aluminum smelter at Paranam and an alumina refinery,
access roads and bridges, a new 2500-person residential village, etc. These facilities were
constructed over a 7-year period and were officially opened in 1961. The smelter operated with
a capacity of 30,000 tonnes/ yr of aluminum until 1991. Bauxite and alumina production
capacities in 2003 were estimated at 10.0 million tonnes and 1.6 million tonnes, respectively.
In Suriname, the industry also appears on a growth path as a 250,000 tonnes per annum
expansion of the Paranam alumina refinery was completed at the end of 2005 bringing the
refinery’s capacity to over 2.2 million tonnes per annum (Pawlek, 2006). It has been reported
that the aluminum industry in Suriname generated US$350 million annually and accounts for
70% of the country’s export (IAI, 2005). Suriname is also actively pursuing the development of
a new, much larger aluminum smelter to add value to its natural resources – bauxite and energy.
1.5 Discussion
Girvan (1967) in his landmark paper, noted that while bauxite has been an important source of
economic growth for Caribbean producers in the past, its economic contribution relative to its
potential has been low. His argument, still valid today, centred around the value added nature of
the global industry; from bauxite to alumina, to aluminum and to semi-fabrication and
manufacturing. The lack of such integration in the Caribbean and the reasons for this was
addressed and today almost 40 years later, Caribbean producers, despite clear progress in
Jamaica and Suriname in their industries, are still stuck in the first two phases. Further, Girvan
(1967) stated, “one tonne of aluminum semi-fabricated yields in domestic income over 17 times
the domestic income created by mining and drying the bauxite equivalent”. Auty (1983) showed
compelling data for the 60s on the small fraction of total revenue accounted for by bauxite
mining (11.0%) and to a lesser extent alumina refining (12.4%) in comparison to smelting
(31.7%) and aluminum fabrication (52.9%). These values were all derived for a linked US
system for aluminum production fed by Jamaican bauxite. While today’s percentages may be
different and have to be evaluated, the case for forward linkages by Caribbean bauxite producers
and deepening the value added in the Region still stands. Jamaica appears to be expanding in
alumina production and subject to the availability of LNG under favourable terms from countries
in the Region, may yet pursue the development of an aluminum smelter in the island.
Suriname’s industry is also on an expanded path and is pursuing the development of an
aluminum smelter using its own energy supply – hydropower and hydrocarbons. Guyana’s
industry appears at this time in stagnation but is poised to be resuscitated. Despite its long
history in bauxite and alumina together with its hydropower/aluminum potential that have been
spoken of for decades, it is yet on the path of being a primary supplier of bauxite. For this
industry to be globally competitive in the medium term however, value added products of
alumina and aluminum coupled with low cost hydropower must be on the horizon to offset the
higher cost of bauxite production in Guyana. These costs are associated with deep, overburden
to be removed prior to bauxite extraction and with the handling and transportation of bauxite
from remote mines to bauxite plants as well as for the shipment (in carriers of limited size) of the
processed ore from Guyana to export markets.
Trinidad and Tobago has been pursuing for more than 30 years the idea of coupling aluminum
production to its hydrocarbon energy availability. To this must be added Trinidad and Tobago’s
experience and thrust as a leader in the Caribbean in manufacturing and entrepreneurship e.g.
iron and steel, cement, construction materials, petrochemicals, food and beverage, etc.
Engineering and Technology, management and leadership education and training have been
pillars of Trinidad and Tobago’s development. Therefore, the enabling environment for the
manufacture and export of finished aluminum products has been created. Davis (2006) noted
that “in 1974 the industry (bauxite and alumina) took on a Regional perspective when the
governments of Trinidad and Tobago and Guyana announced, with some fanfare, their intention
to undertake a regional alumina, aluminum project with the alumina plant located in Guyana and
the smelter in Trinidad to be fuelled by natural gas”. Jamaica’s Prime Minister asked that
Jamaica be involved. This project has never materialized. Girvan, (1967) wrote on the need for
rationalization and regional collaboration in the industry due to “certain adverse effects of
international ownership on the pricing and use of the Region’s bauxite and complementary
resources.” He urged for the Caribbean’s “participation in the gross value of output, the value
added from processing and the linkages” and wrote on the depletion of natural resources. These
concerns for all of the Region’s natural resources remain, some 40 years later.
Now, Trinidad and Tobago today embarks on building its first Alutrint smelter. Davis (2006) has
stated, “Jamaica has been invited by the Prime Minster of Trinidad and Tobago to participate in
the Alutrint Smelter and in turn Trinidad and Tobago has been invited by the Prime Minster of
Jamaica to take a share of the JAMALCO refinery through the Government’s company
Clarendon Alumina Production (CAP) Ltd. Preliminary discussion has been held with a view to
CAP providing most if not all of the alumina needs of the Alutrint smelter from the JAMALCO
refinery.” This if realized, would therefore be a significant start in regional collaboration in an
industry in which the Caribbean has been playing a leading role for almost 100 years but where
the major value has been added extra-regionally. Auty (1983) reported on the conditions, which
would favour revenue retention in the region from the bauxite industry and noted, “only if
competitively priced bauxite was located alongside competitively priced power in a large
wealthy market wherein lay the locus of both corporate and government head offices, would the
total benefits of the aluminum chain be realized by any Region”. There are conditions which
may be achieved if the industry is developed within a regional context, positioned within the
North, Central and South American marketplace.
1.6 Conclusion
This is therefore a time for national perspectives to yield to the regional imperatives for
Caribbean partnership in the bauxite/alumina/aluminum/energy industry. This approach will

maximize and strengthen the opportunities for natural resource utilisation and the benefits to be
derived through infrastructure and human resource development, deepened processing,
manufacture, exports and wealth creation, all for the peoples of the Region.
References
1. U. S. Geological Survey. 2007. Mineral Commodity Summaries
2. Suss, A.G., Lapin, A.A., Panov, A.V., B.H. Robeson Benn. 2005. Prospects for processing
Bauxite at Sweetening Stage. In : Light Metals 2005 (Ed. H. Kvanade). The Minerals, Metals
and Materials Society (TMS), Warren dale, P.A.
3. Hinds, S. 1984. Guyana Calcined Bauxite – A profile of recent developments. Industrial

Minerals, 199:59-61
4. Auty, R.M. 1983, Multinational Corporations and Regional Revenue Retention in a vertically
integrated industry: Bauxite/Aluminum in the Caribbean. Regional Studies, 17 (3):111.
5. Girvan, N., 1967. The Caribbean Bauxite Industry. Inst. of Social and Economic Research
(ISER), UWI., Jamaica, pp45.
6. NDS Secretariat, 2000. Chapter 16 – Mining. In: Guyana National Development Strategy
2001-2010. http://www.sdnp.org.gy/nds/
7. Pawlek, R.P. 2006. Bauxite and Alumina Boom 2005/2010. World of Metallurgy: Erzmetall
59(5): 261-271.
8. Metals Place. 2007. Bosai wins bidding for Guyana bauxite mines. Metalsplace.com.
9. Davis, C.E., 1989. Jamaica in the world aluminum industry 1938 – 1971. Jamaica Bauxite
Institute, Kingston, Jamaica, 412p.
10. Knoerr, A.W. 1952. Reynolds Jamaica Bauxite Project. Engineering & Mining Journal,
153(9): 109-111.
11. Moorhead, G.A. 1961. Bauxite Mining. Mine and Quarries Engineering, 27(6): 248-251.
12. Young, B.S. 1963. Jamaica’s bauxite and alumina industries In : Annals of the Association of
American Geographers, p 449-461.
13. Hill, V.G. 1977. Bauxite and the aluminum industry – reserves and technological
alternatives. Materials and Society, 1:135-141.
14. Bermudez-Lugo, O. 2003. The Minerals Industries of the lslands of the Caribbean. In: US
Geological Survey Minerals Yearbook.
15. IAI, 2005. The Aluminum Industry’s Sustainable Development Report, International
Aluminum Institute (IAI), London, 26p.
16. ALCOA. 2007. ALCOA in Suriname: Overview. http://beta.alcoa.com/suriname
17. Davis, C. 2006. Production Integration : The Case for a Regional Aluminum Smelter. In:
Production Integration in CARICOM – from Theory to Action. Ed. D. Benn and K. Hall. Ian
Randle Publisher, Kingston, p. 128-131.
Chapter 2
Economics of the Aluminium Industry
Colin Pratt
2.1 Background
The modern day aluminium industry dates only from the late nineteenth century, with the
invention of the Hall-Heroult process for the electrolytic smelting of aluminium, and the Bayer
process for the conversion of bauxite into alumina. Previously aluminium had been very costly
to produce and was regarded as a semi precious metal. From such a late start as an industrial
metal, the use of aluminium has grown rapidly, so that it now has the largest tonnage
consumption of all the non-ferrous metals, by a considerable margin. The consumption of
aluminium in 2005 is estimated at 32 million tonnes, compared to copper at 18 million tonnes.
In most years, aluminium is also the largest of the non-ferrous metals by value as well as
tonnage, depending on the ratio of copper to aluminium prices. The aluminium market was
worth about $85bn in 2001. Figure 2.1 shows comparative markets of various metals that show
that the steel market is an order of magnitude larger than aluminium.

Size and value of the aluminium and other metal
industries
(Logarithmic scale)
10000
Tonnes (mn)
Value ($bn)
1000
100
10
1
Steel Aluminium Copper Zinc Nickel
4
Figure 2.1 Size of the aluminium market (Source: CRU (1), 2006)
2.2 The uses of aluminium
Aluminium is a very broadly used industrial metal, and is therefore not over-exposed to
developments in any one use. Three end use sectors account for about 60% of total demand on a
worldwide basis (CRU (2), 2006). They are construction, transportation and packaging.
Aerospace and defence applications were the original mass market for aluminium and are still
important in some countries, but on an overall global basis the portion of aluminium sold to this
sector is small – less than 5%.
2.2.1 Construction
Aluminium is an excellent construction material for both decorative and functional applications.
It is durable and resists corrosion and can easily be painted and bonded to other materials. It is
easy to fabricate and install due to its lightweight. Aluminium is widely used as a cladding
material for residential and commercial buildings. Aluminium components and other
architectural products are popular in offices and commercial buildings. Doors and windows in
residential and commercial buildings also use aluminium, often in conjunction with other
materials. Aluminium is also used in highway construction for bridge and guardrails and
directional signs. In the advanced industrial countries, demand for aluminium in these
applications is cyclical in nature reflecting the characteristic volatility of the construction sector,
which is disproportionately exposed to changes in monetary policy (CRU(2), 2006). It is also
price sensitive as aluminium competes with alternative materials such as wood, steel and
plastics. In addition, aluminium use can be affected by local architectural traditions; for instance,
regions with a frame construction tradition typically make more use of aluminium than regions
with a brick or stone construction tradition. In the newly industrializing countries, aluminium is
experiencing strong growth trends. For example, a major part of China’s growth in demand can
be traced to the massive construction boom in the coastal and metropolitan regions.
2.2.2 Transport
The lightweight of aluminium in relation to its strength is its major selling point in
transportation. Aluminium is widely used in commercial vehicles where, given overall highway
weight limits, any reduction in vehicle weight translates into additional cargo capacity and,
therefore, income for the operator. The substitution of aluminium for iron and steel is one way to
reduce weight and improve fuel economy without sacrificing performance and interior comfort.
Aluminium companies have made major progress in reducing the cost of auto components made
from aluminium and have been rewarded by steady increases in the average aluminium content
of a vehicle. However, the industry faces a tough uphill struggle to displace steel, which is a
proven material that is itself developing new, reduced weight alloys. Thus, the most likely
scenario is for slow incremental gains in market share rather than a sudden breakthrough.
2.2.3 Packaging
Aluminium is used for both flexible and rigid packaging products that are used by such
industries as food and beverage, pharmaceuticals and tobacco. These markets are less cyclical
than other applications and are thus strategically attractive to aluminium companies. However,
in advanced industrial countries, such markets are mature and aluminium faces competition from
alternative packaging systems including plastics and laminates. Aluminium competes with steel
in metal beverage cans. Aluminium has obtained 100% market share in the US and some other
countries, but in most places the market is shared with steel. However, the economic
attractiveness of aluminium depends on high recycling rates.
2.2.4 Other
Ease of fabrication, lightweight and corrosion resistance are the key features of aluminium use in
consumer goods, which range from garden furniture to sporting equipment. In addition, the heat
transfer characteristics of the metal account for its use in air conditioning and refrigeration
equipment. The use of aluminium in capital goods such as lithographic printing, industrial and
agricultural machinery, irrigation pipe and so forth is typically based on technical considerations.
Aluminium is also widely used in transmission and distribution cable. The competition between
copper and aluminium has stabilized with the former being used largely for interior wiring.
Transmission cable demand is a major growth factor in several developing countries, most
notably China where the power transmission grid is undergoing major expansion (CRU (2),
2006).
What is aluminium used for?

Global semis consumption by end-use, 2005
Machinery & Other
equipment 7%
9%
Transport sector is single
Transport largest market for aluminium
31% semis – representing significant
Consumer proportions of castings, frps
durables and extrusions.
6%
Construction is the next largest
sector for aluminium – and is
very important for extrusion
Electrical
demand.
10%
Virtually all packaging demand
is in the form of sheet, as is of
course, foil stock.
Foil stock
8% Construction
Most wire and cable goes to
the electrical sector.
Packaging 19%
10%
Data: CRU
Total = 44.6m tonnes
6
Figure 2.2 Consumption of aluminium by sector (Source: CRU (2), 2006)
2.3 Growth of the aluminium market
Consumption of aluminium has grown very fast over the past 45 years. In 1960, the total global
consumption of primary aluminium was at 10.1 million tonnes in comparison to 31.9 million
tonnes in 2001. Growth in the demand for primary aluminium was particularly strong in the
beginning of the period with a compound annual growth rate of 9% from 1960 to 1974 (CRU (3),
2006). During this time, the price of copper also played a role in the aluminium market as the
high price caused a substitution from copper to aluminium in certain automotive parts and in
overhead transmission cables.
After the first oil crisis in 1974, demand slowed dramatically and in the subsequent five-year
period averaged only 2% per annum compound growth rate. There was an absolute decline in
North American demand, which was hit particularly sharply by the oil crisis, and there was a
sharp slowdown in Europe. At this point, the Japanese economy was still outperforming other
industrial economies and aluminium demand in that region grew faster than GDP.
After the second oil crisis in the late 1970s and early 1980s, there was a modest improvement in
demand with acceleration to 2.2% per annum. The decline in North America stopped, but there
was a further erosion of European consumption performance. During this period, much of the
growth that occurred could be attributed to Southeast Asian countries where the “Asian miracle”
was just getting underway, particularly influencing countries like Korea and Taiwan (CRU (3),
2006).
Since the end of the Cold War in 1989, overall world aluminium demand has grown at 10.1% per
annum. A particularly strong performance was turned in by North American markets, which
recovered much of the losses that occurred in the previous decade. The consumption growth rate
in European aluminium market also accelerated and became comparable to the rate of growth of
GDP. The other important feature, of course, was that China achieved double-digit growth rates
and began to become a significant consumer of aluminium. The rest of Southeast Asia also
performed well above average despite a short-term recession toward the end of the 1990s
occasioned by the Asian financial crisis (Fig 2.3).
World primary aluminium consumption: Historical

32000
Growth
30000
China 4.2%/year
28000
26000 CIS & E.Europe
24000 Western world Consumption
0.8%/year
22000
'000 tonnes
20000 3.0%/year
18000 2.4%/year
16000
14000
12000
9.3%/year
10000
8000
6000
4000
2000
0
1950 1954 1958 1962 1966 1970 1974 1978 1982 1986 1990 1994 1998 2002
7
Figure 2.3 Growth Rate of Aluminium (Source: CRU (3), 2006)
Figure 2.4 illustrate the dominance of China in global consumption of aluminium. China has
already overtaken the USA as the largest aluminium market. Over the next decades China, India
and the rest of Asia will assume increasing importance in the world market for aluminium, while
that of Europe, North America and Japan will wane. The growth rate of aluminium consumption
per country depends on its stage of economic growth. The low elasticity in mature countries is
associated with a per capita consumption that is already very high. Relatively low per capita
consumption in countries such as China and India illustrate an enormous potential growth in
demand. For example, per capita consumption is 22kg in the USA, 19kg in Japan, 16kg in
Western Europe, 10.6kg in China, 11.6kg in Brazil and 0.9kg in India (CRU (3), 2006).
Where is Aluminium Consumed?
China - over one third of global consumption by 2030
2005 2030
North
Other Other
China North America
5% 6%
22% America 14%
23% EU/EEA
China
13%
35%
Japan
4%
India
3%
CIS and
EU/EEA
Other Europe
South & East 22%
5%
Asia
8% CIS and
Latin South & East Latin
Other Europe Japan
America Asia America
5% 8% India
4% 10% 5%
8%
5
Total = 31.9m tonnes Total = 73.7m tonnes
Figure 2.4 Consumption of Aluminium (Source CRU (2), 2006)
2.4 The production of aluminium
Aluminium generally passes through four stages of production before it is manufactured into a
form familiar to the consumer. The first stage is the mining of bauxite; in the second stage,
bauxite is processed into alumina at an alumina refinery. Alumina is an oxide of aluminium
(Al₂O₃), and is a white powder of the consistency of fine sand. Alumina refining is a multi-stage
hydro-metallurgical process. The third stage of production is smelting. An aluminium smelter
converts alumina to aluminium metal by means of an electrolytic process. The final stage of a
smelter is usually the casthouse, where metal is cast into various shapes suitable for further
working.
The last of the four stages of production consists of one of several semi-fabricating operations.
The main ones are rolling, extruding, forging and casting. The first three processes are generally
known as producing "wrought" aluminium, as opposed to "cast" aluminium. The semi-fabricated
wrought or cast products are then further processed in a large variety of different manufacturing
operations.
2.5 The value chain
If we look at the full cost (operating and capital) of producing a tonne of aluminium, about 75%
of the cost is incurred in smelting, 20% in refining the bauxite, and only 5% in bauxite mining
(CRU (3), 2006). If we also split the cost of producing a tonne of aluminium between operating
and capital costs, then capital represents about 40% of the total cost. Aluminium is thus a capital
intensive good, where most of the value is added in smelting. The smelting stage also accounts
for a large degree of the variation in costs between different operations, where the main
differentiator is the cost of power.
The aluminium value chain is in stark contrast to most other non-ferrous metals, where the cost
of mining is a much higher proportion of total costs, and accounts for a high degree of cost
variance. Low ore grades and deep hard rock deposits cause high mining costs in other non-
ferrous metals, which necessitate either underground mining or development of deep open pits.
In this sense, aluminium is closer to iron and steel. What sets aluminium apart from iron and
steel is the high cost of reduction (smelting) for aluminium, so that steel costs and prices are an
order of magnitude lower than aluminium. Finally, it is worth pointing out that the "reference"
price for aluminium is set at the stage of aluminium metal. Other prices in the value chain may
be set by reference to, or in relation to the metal price. The metal price is therefore pivotal in the
value chain. There are several reasons for this. For one, the metal stage of production is the one
with the most homogeneous and commodity-like output. Secondly, the aluminium at the metal
stage is the most tradable, and the most traded in the value chain. Finally, the metal stage of
production is the one, which contributes the highest proportion of value-added in the value chain.
2.6 The growth and location of production
From 1960 to 2005, primary aluminium production grew at an annual rate of 10.5% a year. The
rate for the past 20 years has been somewhat lower at 11.4% (Table 2.1). Between 1973 and
1989, there was a large increase in aluminium production in Australia and South America,
particularly Brazil. Canadian production also increased, but this was more than offset by the
closure of high cost smelters in the United States. In Australia, the energy resource used was
coal. In Brazil and Canada, it was primarily hydroelectric. Western Europe’s share of
production declined during this period as Europe was no longer considered an attractive energy
market outside of some niche opportunities in Scandinavia. However, the biggest adjustment of
all was made by Japan, where the electricity supply system depended to a significant extent on
oil. Japan had just fewer than 9% of world aluminium capacity in 1971. By 1989, only one very
small smelter with capacity of 20,000 tonnes remained. Many Japanese aluminium companies,
particularly those with downstream facilities, had taken equity stakes in new smelter projects
around the world to replace the domestic capacity that was lost (CRU (3), 2006). Since 1989, the
focus of aluminium industry investment has shifted to the Middle East and Southern Africa.
These regions’ share of world production is now just over 10%. Inexpensive coal and under-
utilized hydroelectric energy resources in Southern Africa and plentiful natural gas associated
with oil production in the Middle East have been the main drivers of this trend. Meanwhile,
North America and Western Europe have continued to lose market share, as has the CIS,
although its absolute level of aluminium production has increased since the end of the Cold War
(in sharp contrast with virtually all other industries).
Table 2.1 Primary aluminium production (in 000 tonnes) (Source: CRU (3), 2006)
Country 1960 1980 2005
China 70 350 7,810
Russia NA NA 3,661
Canada 691 1,068 2,901
United States 1,828 4,654 2,481
Australia 12 304 2,252
Brazil 17 261 1,499
Norway 165 662 1,390
South Africa 0 87 850
India 18 185 960
UAE 0 35 722
Germany 169 731 648
Venezuela 0 328 622
Mozambique 0 0 554
Bahrain 0 126 750
France 235 432 440
Spain 29 387 397
United Kingdom 29 374 366
Tajikistan 0 0 380
New Zealand 0 156 351
Netherlands 0 258 334
Others 1,283 5,655 2,548
Total 4,546 16,053 31,916
An interesting feature of the last decade has been the significant increase that has occurred in
Chinese aluminium production. Unlike the rest of the world, where smelter location decisions
have been energy driven, the growth in China is the result of strong domestic demand. Although
China does not possess low cost electric power resources, and in fact, growth is putting extreme
pressure on available supplies, China has had a substantial tariff protection on its domestic
primary aluminium industry, which therefore has received prices substantially higher than those
prevailing elsewhere in the world. However, up to now strong growth, an element of tariff
protection, as well as extremely low labour and capital costs, has allowed the aluminium
smelting industry to respond to strong internal demand conditions by expanding its capacity.
Indeed, China became the largest producing country in 2002.
2.7 Trade patterns
About 60% of primary aluminium is traded internationally. The main metal deficit regions are
Japan, other newly industrialized economies in Europe and the USA. Semi-fabricated aluminium
are traded much less than primary aluminium. The main trade is intra-regional, for example
within the North American Free Trade Area (NAFTA), or within the European Union (EU).
2.8 Pricing of aluminium
Primary aluminium is used as the reference price for aluminium. Upstream and downstream
prices are largely driven by primary. We, therefore, start with an analysis of primary prices. The
history of prices shows a long run falling trend in real prices (Figure 2.5). The rate of decline
over 45 years has been 0.9% a year. The fall in prices can be explained by several factors. There
has been a fall in the real prices of both electricity and alumina over this period. Labour
productivity has improved through automation and economies of scale. Technical progress has
reduced the unit consumption of electricity and raw materials, and the move to larger scale has
increased capital productivity. All these factors have contributed to a reduction in real costs.
The historical price of aluminium 1960-2006 ($2005)
4000
3500
3000
2500
$/tonne
2000
1500
y = 2594.9e-0.0081x
1000
LME price in $2005

500
Expon. (LME price in $2005)
0
1960
1962
1964
1966
1968
1970
1972
1974
1976
1978
1980
1982
1984
1986
1988
1990
1992
1994
1996
1998
2000
2002
2004
2006
23
Figure 2.5 Price of aluminium (Source: CRU (3), 2006)
Apart from the long run trend, the other important aspect of prices is cyclical behaviour. Figure
2.5 illustrates that the aluminium price is subject to pronounced price cycles. Over the period,
1981-2004 nominal 3-month prices averaged $1,468/tonne. However, annual average prices
varied from a low of $1,032/tonne in 1982 to a high of $2,319/tonne in 1981. In the 1990s, the
cycle was less marked, but prices hit a low of $1161/tonne in 1993 and a high of $1,832/tonne in
1991. Between 1996 and 2004, annual average prices were contained in a relatively narrow band
by historical standards of $1,364-1,721/tonne. The years 2005, 2006 and 2007 to date have seen
the biggest breakout from this band since the late 1980s, with the annual average price in 2006
expected to be $2,591/tonne. The main driver of the price cycle is general economic activity,
particularly in the main OECD countries. Periods of high prices are associated with the late
phase of economic booms, for example in the late 1970s, late 1980s and mid 2000s. Lower
prices are associated with recessions, for example in the early 1980s and early 1990s. Although
this is a good generalization, it does not tell the whole story. For example, the long economic
boom of the 1990s, which ended in 2000, failed to produce an appreciable spike in aluminium
prices. This was because of the amount of excess capacity overhanging the market after the early
1990s collapse of consumption in the Former Soviet Union. If the boom had extended into 2001,
we would have experienced a tight aluminium market. Indeed, the resumption of rapid growth
after the 2001 recession has quickly produced a tight market and high prices.
Although the general economic cycle is the main driver of the price cycle, the cycle is worsened
by certain features of aluminium production and consumption. On the supply side, production is
price inelastic as capacity approaches its limit. Thus, when existing capacity approaches full
utilisation, extra production will only be forthcoming after a delay. If the only way to increase
production is to invest in new plant - the delay will be two to three years. This feature explains
the fact that upsurges in aluminium prices can be quite sudden. Thus, as consumption rises
during a boom, supply responds as inventories are used up, and spare capacity is brought online.
However, this process approaches a limit, and, as capacity runs out, prices will increase rapidly.
As supply reaches a limit, the market can only be balanced by a curtailment of demand. This can
happen quite quickly in the aluminium market, since certain applications in construction and
packaging can be substituted in the short term, and so become price elastic at high prices.
Production can also be price inelastic in the short term as prices fall. This is essentially because
of high fixed costs of production. As economic boom fades, in order to force production to fall,
prices may have to fall to the level of smelters' avoidable costs. In the meantime, excess
production accumulates as inventory. Consumption is also relatively price inelastic in the short
term. Thus as producers over-produce and inventories build, the consequent fall in prices does
not induce consumers to buy more aluminium. Indeed, the short-term effect may be perverse -
consumers buy less aluminium as they reduce their own inventories and wait further falls in
price.
Despite the volatility, there are built in stabilizers in the aluminium market. When prices rise
appreciably above their long run trend, several factors will come into play to reverse the
direction. In the short term, demand in some applications is price elastic. Secondly, high prices
increase the supply of scrap and secondary metal. Thirdly, investments in new capacity will
increase supply after two to three years. Certain other investment may bear fruit more quickly,
for example de-bottlenecking or re-opening a mothballed operation. When prices fall below their
long run trend, stabilization can only come about ultimately through a supply correction. The
main long run impact is that producers stop investing in new capacity, with the result that excess
capacity is gradually reduced as consumption grows. This process can take several years, which
explains the long shallow troughs. Supply can also be reduced more quickly if producers shut
down existing capacity. However, this generally does not happen until prices have fallen below
cash production costs. In extremis, supply can be corrected through the permanent closure of old
smelters. This happens rarely. Prior to the closure of Pacific Northwest capacity in the early
2000s (much of which was mothballed rather than dismantled), the last time an appreciable
amount of old capacity closed permanently for market reasons was in the mid-1980s, when
several smelters in the USA and Europe closed.

2.9 Economic features of the aluminium market
Aluminium is a commodity with an international price, determined on the London Metal
Exchange (LME). Suppliers of primary aluminium are thus price takers, and cannot differentiate
their products. Because they are price takers, their success depends largely on their cost position,
and the main differentiator of costs in aluminium production is the cost of power. The economic
rent that accrues to low cost producers of aluminium stems largely from access to a low cost
power supply. This is in contrast to most non-ferrous metals, where economic rent stems mostly
from access to a high quality, high-grade ore body. Again, in contrast to other non-ferrous
metals, the highest proportion of production cost is in the smelting stage, rather than the mining
stage.
Aluminium prices are volatile through the economic cycle. This volatility means price risk is a
key risk faced by any aluminium project. However, the upside of the commodity nature of
aluminium is that production volume can always be monetized – because there is a market of last
resort (the LME) and a market-clearing price. As we move downstream into the semi-
processing stage of aluminium production, there is still price risk – though less so when semis
are priced on an LME plus conversion basis, but there is more volume risk as sales volumes
fluctuate with the business cycle.
2.10 The location of smelters – why Trinidad and Tobago?

The demand growth of aluminium is over 4% a year for the next decade. The growth of demand,
plus the closure of older smelters in Europe and the USA, will give rise to a large requirement for
new smelters to be built. The requirement for new smelting capacity in the next decade averages
over one million tonnes a year, and is equivalent to about four large new potlines every year.
Trinidad and Tobago is seen as an attractive location for a new smelter primarily because of the
availability of low cost electric power, generated from natural gas. Smelters usually seek to
protect this advantage by obtaining power under long-term contract, which gives predictability
over future power prices. For a sustainable long-term advantage, power needs to be not just low
cost to generate, but low opportunity cost for power (i.e. the price of power obtainable in the
market). The Trinidad and Tobago seems to possess the low opportunity cost for power.
Attractive locations for power-intensive industries
12
Figure 2.6 Attractive locations for Aluminium smelters (Source: CRU (1), 2006)
Traditionally aluminium companies have found low cost power in regions as shown in figure 2.6.
Iceland and Canada (hydro-electricity power), Australia, South Africa (low cost coal) and Gulf
region (natural gas). However, gas based power is increasingly attractive because of its relatively
low carbon emissions, and its much lower capital costs than hydro, coal or indeed nuclear power.
Apart from power costs, Trinidad and Tobago has other advantages for locating an aluminium
smelter. Transport costs of alumina – whether from Jamaica, Surinam or Venezuela will be low.
In addition, it is well located to supply aluminium to the USA or Europe, both of which are
already net importers of aluminium and will become increasingly so.
Finally, the interest in smelting in Trinidad has been increased by the current boom in commodity
prices, which has seen 3-month aluminium prices on the LME rise from an average $1428/t in
2003 to $2591/t in 2001. The current boom seems to have greater staying power than previous
ones, due to the economic expansion in China. In addition, supply constraints are appearing in
the raw material supply chain, as well as in the construction and capital goods industries, which
is slowing down the supply response to the current price peak across a range of commodities,
including aluminium.
References
1. CRU (1). “The Global Aluminium Market: An Overview”, in A Symposium on the Aluminium Industry
in Trinidad & Tobago, Paria Suites Hotel, La Romain, Trinidad and Tobago, 6th December, 2006.
2. CRU (2). ‘The Long Term Outlook for Aluminium’, 2006
3. CRU (3). ‘An Introduction to the Aluminium Industry’, 2006.

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

Aluminium Smelters
James Armstrong
3.1 Introduction
Over the past few months, the country has been consumed with a debilitating debate, largely
objecting to the proposed construction of smelters at Chatham and elsewhere in Trinidad and
Tobago. By extension, this has evolved into pronouncements about industrialization as a path to
sustainable development. These discussions, and indeed others related to major land use
initiatives around the country, did not go unnoticed by the Trinidad and Tobago Society of
Planners (TTSP). The Society therefore enjoins the debate to bring to the fore a number of
planning and development issues worthy of further consideration. This chapter is intended as a
reference to stimulate further thinking and investigation.
3.2 Land use planning
We should also like to comment briefly on the process of land use planning and what this
professional body and discipline might bring to this discussion. Generally, planning is a process,
which seeks to make interventions in an existing situation, or probable course of events, in order
to achieve desirable outcomes based on the objective analysis of relevant information and data –
it is about the management of change which might be brought about as a result of the options
chosen; it is about problem solving. While the term ‘land use’ is still in the lexicon of
professions, in practice the discipline has evolved into a complexity of interdisciplinary and inter
– sectoral considerations about how we make the most judicious use of land and attendant
resources, and how such activities may influence or impact inter-locking objectives of human
development over time – moving people into successively higher levels of social and physical
existence – hence the more recent nomenclature of ‘human settlements planning.’ Owing to the
often complex nature of these functions, the profession, of necessity, must employ, or sometimes
develop tools and techniques to address issues which are specific to stages of development and
locality, while keeping in sight desired outcomes over an extended time-horizon, usually
spanning 20-50 years – a duration which does not always accommodate the immediacy of more
short-sighted goals. Ideally, planning should always be a step ahead of development and clearly
this is not evident in the ongoing discussions.
3.3 Land as a finite resource in Small Island Developing States (SIDS)
Trinidad and Tobago has a combined landmass of 4,582 sq km, with Tobago being the smaller at
300 sq km. Estimates are that about 55 per cent of the land area comprises forest and swamp.
About 30 per cent of the land is classified as agricultural, while about 15 per cent is built-up. On
the surface, it may appear that, within the Caribbean, Trinidad and Tobago is favourably
endowed with land and attendant natural resources. However, various technical reports suggest
that between 40-50 per cent of the land should be retained in forest and vegetation cover in order
to mitigate against soil erosion; to preserve aquifers, and to protect environmentally sensitive
areas and wildlife habitats. Large areas are also prone to flooding and this seems to be
increasing. In recent years, the developmental activities in Trinidad and Tobago have alienated
vast areas. The topography is also not entirely kind with respect to much of the undeveloped
land. The approach to settlements planning and development, while quite noble in intent, seems
fraught with inconsistencies. There is an acute shortage of developable land in the preferred areas
of Trinidad and Tobago, as is the case in many small Island States. Furthermore, it should be
noted that the average population density in Trinidad is 249 persons per sq km. If one were to
calculate the density in respect of the remaining developable land, the figure would be
astonishing. This could be compared with other countries where consideration is being given to
smelter plants, such as Chile with 17 persons per sq km, or Iceland with 2.7 persons per sq km.
The United Nations General Assembly, in its resolution 47/189 of December 1992 decided to
convene a Global Conference on Sustainable Development of SIDS in April of 1991. It is with
some pride that one can recall that Trinidad and Tobago played a most significant role in the
preparatory sessions, as well as the actual proceedings and conclusions of that Conference. The
initiative recognised that, ‘SIDS and islands supporting small communities are a special case for
both environment and development, in that they are ecologically fragile and vulnerable; that their
small size, limited resources, geographic dispersion and isolation from markets, place them at a
disadvantage economically and limit economies of scale, and that for small island developing
States the ocean and coastal environment are of strategic importance and constitute a valuable
development resource’.
This observation is not unlike that noted by our own erstwhile economist, William Demas, in his
discourse on The Economics of Development in Small Countries (Demas, 1965) with special
reference to the Caribbean. Demas (1965) emphasized that self-sustained growth could not be
isolated from the consideration of land size, which implies a lack of varied resources and large
internal markets. Since Demas (1965), many have commented on the peculiarities of
‘islandness.’ Helen Mc Bain (1990) pointedly raised the issue of whether it is possible for the
Caribbean islands to achieve ‘sustained growth in the present period given constraints such as
resource limitations, slow growth in the world economy, and trade protectionism and food aid
policies of developed countries.’ Much of the discussion from this era tended to concentrate on
the limitations of economic yield in relation to landmass, population, limited market access and
external vulnerabilities. It was within the confines of this limited landmass that small islands
eked out an economic existence, striving to rationalize the optimal use of the competing demands
for space, also keeping in mind the perceived disadvantages in the global economy imposed by
land size. We are pleased to also note that a Sustainable Economic Development Unit (SEDU)
was established at these very University 10 years ago and has in circulation a Discussion Brief
on ‘A Sustainable Development Planning Framework for Mega-Projects in Small Places.’ That
Brief clearly points to some of the issues of social, economic and environment costs as
underpinnings for development planning faced by small island economies.
It was not until the early 1980s that significant interest about coastal areas and the marine
environment as a new economic frontier began to emerge and a new body of knowledge
surfaced. One of the most notable initiatives was the Law of the Sea Convention of 1982 which
sought to ensure island States and countries with coastlines extended their jurisdiction over
marine resources within a 200-mile exclusive zone. At the same time, the United Nations
Environment Programme in Nairobi began to formulate a number of initiatives for protection of
the regional seas. A significant initiative with respect to the Caribbean Region was the Seminar
on Sustainable Development of Tourism in the Wider Caribbean held in Mexico in 1991. While
this was initially intended to look at tourism impacts, of necessity it encompassed consideration
of an extensive array of land-based sources of pollution in the Wider Caribbean Region. This
also spawned a number of new concerns about the symbiotic relationship between land and sea,
and the need to protect not only the land from degradation, but also likewise the sea from land-
based activities. The Montreal Declaration on the Protection of the Marine Environment from
Land-Based Activities in 2001 committed the participating 98 countries to national action and
recalled the provisions of ‘Agenda 21’ and the ‘Convention on the Law of the Sea’. The
preamble to the Report on the Global Programme of Action for the Protection of the Marine
Environment from Land-based Activities is worth considering here. It states, “The sustainable
use of coastal and ocean resources is linked to public health, food security, and economic and
social benefits, including cultural values and traditional livelihoods. More importantly, these
elements are understood as decisive elements in the alleviation of poverty. However, coastal and
marine environments are mirrors of activities carried out on land. Activities from industrial and
agricultural production to daily domestic routines all generate impacts that cumulatively affect
the health of these critical ecosystems and ultimately, the very people that live there and depend
on them for sustenance and economic development”.
Land use planners in most developing Island States were now faced with an additional layer of
considerations pertaining not only to the effective planning and use of limited land space and
impacts on the marine environment, but also with a range of socio-economic and environmental
issues for which they were ill equipped and inexperienced. In the Caribbean, Jamaica took the
lead in 1987 with the preparation of a National Environmental Profile which was intended as ‘an
important milestone in assembling a broad information base on Jamaica’s environment,’ and to
also ‘contribute to the on-going dialogue on how best to reconcile the protection and
enhancement of Jamaica’s natural environment with the country’s pressing need for sustained
economic growth and development.’ All the countries of the Organization of Eastern Caribbean
States prepared similar National Environmental Profiles in the early 1990s. It is not clear
whether any similar Profile has been prepared in respect of Trinidad and Tobago, which is the
most industrialized of the CARICOM Group.
Despite the concerns and body of knowledge which emerged about SIDS over the past two
decades, there are significant pressures from political directorates, which, while committing to
the various protocols, are ever mindful of the need to expand the constrained economies. Some
governments therefore often chose to disregard and marginalize land use planning considerations
for the expediency of economic growth, which does not always redound to people centred
development. It is against this backdrop that we as planners see the issues pertaining to smelters
and the role of industrialization in the development process in a small island setting. These are
complex inter-sectoral and interdisciplinary issues, which ought not to be dealt with in a
summary manner and one can only hope that the intervention of planners in the prevailing
discussions will encourage emotions to be tempered with reason.
3.4 The dilemma

Trinidad and Tobago no longer seems to fit into the conventional mould of economies
constrained by land size and resources. There is already a relatively vast offshore petrochemical
economy, which, while keeping the coffers full, does not seem to easily lend itself to
development as may be manifested in the creation of on-shore sustainable communities and
improved livelihoods as espoused in the Vision 2020 Strategic Development Plan. It was
recognised in the 2007 budget presentation that the economy for 2005 grew by 8 per cent and
was projected to show a growth rate of 12 per cent for fiscal 2006; whereas the GDP per capita
stood at US$6,970 in 2001, it is now estimated to be US$13,976, which puts Trinidad and
Tobago ‘among the higher income emerging countries in the world.’
Trinidad and Tobago has happened upon, more than once, good fortunes for which it did not
have to assiduously plan. A major dilemma therefore seems to be how to convert this offshore
wealth in the short to medium term, while at the same time ensuring economic sustainability.
Any state that can boasts of economic fortunes, such as in Trinidad and Tobago, will at times
experience fits of anxiety, knowing that the spotlight of the country, aided by sharply focused
corrective lenses and the Vision 2020 hype, are firmly fixed on the managers of this renewed
wealth. Consequently, it appears that the rationale underpinning development strategies as
pronounced by the Government from time to time are not always clear, as they sometimes come
without warning and consultation, albeit with stated good intentions. These points to a serious
lapse in forward planning, including, quite significantly, the absence of an updated National
Physical Development Plan, which would have taken many of the current issues into
consideration. ‘Development’ is therefore left to varying interpretations and is running ahead of
proper planning, perhaps with irreversible negative consequences.

What we can glean as overarching development objectives at this stage come from the recently
unveiled Vision 2020 Strategic Development Plan. A cursory glance at this document betrays the
fact that a huge amount of work is yet to be done in furthering the exercise. Indeed, it has been
noted that the strategic plan does not chart activities to the last detail but will assist in the
selection of developmental choices from amongst options presented, while detailing cost and
operational planning, as well as developing and forming structures for implementation, will
require additional consideration. The development priorities of the Plan include:
 Developing innovative people
 Nurturing a caring society
 Governing effectively
 Enabling competitive businesses
 Investing in sound infrastructure and environment
The question, which again arises, is the consideration of the trade-offs and best options for the
proposals contained therein – the process of planning. For instance, some sections of that same
document could be used to justify a smelter and rapid industrialization, while other sections
would suggest caution and consideration of alternative paths to development. Furthermore, since
Trinidad and Tobago is quite well endowed, is it a reasonable trade-off to pursue the type of
industrialization perceived given the benefits envisaged?
3.5 The way forward

It is conceivable that the Vision 2020 Strategic Development Plan could serve as a basis for the
way forward. However, the recognition that this Plan is ‘strategic’ and in need of additional
work, must be kept in mind. As noble laureate Caribbean economist Sir Arthur Lewis once noted,
politicians are inclined to economic plans because they allow for all manner of pronouncements
to be made without necessarily committing to anything. Such could be the same with Strategic
Plans, which, even more so than economic development plans, seem to encompass everything
without trade-offs. Land use planning, on the other hand, is governed by legislation and should
eventually become a statutory document, which informs the government, private sector and the
population in general to the likely direction of development, including the consideration of
industrialization as a platform. Consequently, the participation and understanding of those for
whom development is intended would have already been enlisted.
Interestingly, the planning fraternity learnt only quite recently that there is in fact a technical
team preparing a spatial development strategy for Trinidad and Tobago. The TTSP is not a party
to this exercise, although some of its members may be participants. This initiative seems to take
some major responsibilities outside of the jurisdiction of the Town and Country Planning
Division where they rightly belong. Some utterances by way of justification for this initiative are
that the team will focus primarily on major infrastructure projects, perhaps including pathways to
industrialization. Again, as planners we are constrained to make conclusions without adequate
information. Whatever the objective, it appears that this action could only further marginalize the
responsibility of the Division from the development process and planners and the public from
making a meaningful contribution to solving the debacle in which we find ourselves. We should
hasten to add that the central agency responsible for spatial development planning and the
regulation of development – the Town and Country Planning Division – is grossly understaffed
and ineffective in meeting the demands of the complexities of the environment for which it has
responsibility. It appears that as long as this critical institution remains marginalized and weak,
the efforts of any peripheral technical team/s, as well as the aspirations of Vision 2020, cannot be
well served.
3.6 Conclusion
As indicated above, a primary function of planning is problem solving and the definition of
options and objectives, which might address such problems. The initial requirement, therefore, is
an understanding of the issues – what is/are to problem/s? There seems to be a need to properly
define our notion of ‘development’ and ‘developed country status,’ particularly since this is what
is being touted as an aspiration by 2020. A common understanding of this notion should direct us
to established achievements and gaps in this journey and suggest adjustments to our trajectory,
thereby establishing verifiable objectives within definable timeframes – planning. It is very
unlikely that this process would take us directly to ‘smelters’ as benchmark achievements in our
aspirations. The question therefore is not yet about smelters or what type of industrialization, but
rather of development and how such objectives, once defined through consultation and
concurrence, may be manifested.
The Government’s development programme cannot be entirely stymied, as this will lead to
outcries in another form. Therefore, certain projects should be fast-tracked out of necessity, but
this still does not point to smelters. To facilitate such developments, particularly major
infrastructure works, an Interim Planning and Development Task Force, which will immediately
examine all major spatial development initiatives and provide technical advice on options, which
may not prejudice the outcome of more substantive investigations, should be established. Ideally,
this mechanism should be located within the Ministry of Planning and Development, with a
cross-sectoral and inter-disciplinary secretariat. Parallel to this will be the fast tracking of the
National Physical Development Plan which will immediately inform ongoing consideration
which come to the fore. This strategy will help to mitigate against irreversible negative
consequences of ‘development.’
Specifically, some of the issues, which should be subjected to further consideration in respect of
the proposed smelter/s, are as follows:
a. General
• Have we revisited the various Conventions/Protocols to which we are a party?
• Is the community affected appraised of the initiatives and appreciate the costs/
benefits to their locality and the national community? The Alcoa website on the
proposed smelter in Trinidad states that during the 2-year construction period
1,500 – 2,500 jobs will be created. Beyond this 750 – 800 permanent jobs will be
created. Is this a significant number of temporary and permanent jobs? Will the
local and national community benefit from these jobs or will a high percentage go
to foreign workers?
• Are emerging decisions grounded in an understanding of the processes involved?
• Is the process transparent, i.e. does the population have all the information, such
as energy costs and other arrangements?

• Have the relevant regulatory agencies been consulted as agents of the State?
b. Physical
• What is the sensitivity of the area taking into consideration requirements of the
EMA?
• Is the proposed location the most desirable?
• What is the current use/state and the immediate and surrounding areas i.e. how
close are settlements and what are the potential impacts? (It is reported that
Chatham, for instance, is within three miles of Pt. Fortin and that there are 25,000
persons living within a radius of 10 miles)
• Land suitability and stability - is there a need for site engineering and if so, what
are the costs and implications?
• Groundwater – what are the impacts on supply and quality? The proposed site at
Cap-de-Ville/Chatham is on a major aquifer. Chatham/Granville area houses
water wells and filtration plants, which supply water to all the villages in the
peninsula.
• Pollution such as noise, dust and emissions. What is the baseline and what will be
the impact of a smelter on the environment, health and quality of life in relation to
settlements?
• Possible negative impact on climate change resulting from emissions – carbon
dioxide, fluorides etc.

• Availability of required infrastructure and energy – smelting is considered to be
the world’s most energy intensive industrial process. Reports are that smelting
uses 1 per cent of all electricity generated globally and 7 per cent of the total
electricity consumed by global industry. Do we really have enough energy to
accommodate smelting?
• Will the development and the related facilities have a negative impact on rates of
erosion or flooding of surrounding areas?
• What is the cumulative impact of the development in terms of the quantum of
industrial development proposed and the implications of the additional impact of
smelter/s in addition to existing development in the south-west of Trinidad and
adjacent areas.
c. Coastal
Land-based developments can often have a negative impact on adjacent marine resources,
e.g. effects on fish and shellfish stocks, hence affects livelihoods of coastal communities
from:
• Sediments
• Nutrients
• Solid waste and marine debris
• Toxic substances
• Organic matter
• Suspended solids
The position of the TTSP is that if smelters are chosen in order to assist in the achievement of
development, it is imperative that all the social, economic and physical/environmental
implications should be considered and ventilated.

References
1. William G. Demas. 1961. “The Economics of Development in Small Countries: With Special
Reference to the Caribbean”, Mc Gill, Montreal, Queens University Press.
2. Helen Mc Bain. 1990. “The Development Challenge and Strategies for Achieving Sustained
Economic Growth in the Caribbean”, in conf. Public Policy Implications of Sustainable
Development in the Caribbean Region, Jamaica.
Chapter 4
Integrating Industrial and Coastal Development into the Physical Planning Framework
Asad Mohammed
4.1 Introduction
Large-scale industrial and coastal development has been taking place on an accelerated basis in
Trinidad over the last five years, often directly driven by the policy and programmes of the
government. However, the quantum and type of development appears to be beyond the
institutional capacity of the statutory agencies responsible for regulating physical and coastal
development. In this case study of the establishment of aluminium smelting, the state is both the
promoter and regulator of the development.
This chapter examines the introduction of aluminium smelting both onshore and offshore in
Trinidad and Tobago. The process of developing aluminium smelting in Chatham, Union Estate
and in a possible offshore island in the Otaheite area, by the state agency, the National Energy
Corporation (NEC), is described in relationship to the formal regulatory and approval process for
industrial development. The first issue to be addressed is what should be the role of the state in
promoting industrial development and the second issue reviews how the state should regulate
such activities.
4.2 The changing face of industrial promotion in the developing world
The post world war two periods of the late 1940s and the 1950s was coincident with the
initiation of decolonization in the Third World. In this period, most ex-colonies saw
industrialization as a means of overcoming the debilitating economic effects of monoculture
plantation agriculture or primary resource exploitation. This was certainly the case in Trinidad
and Tobago, at the time the most industrialized island in the West Indies.
It is fair to suggest that in the quest to increase employment and economic wellbeing, long term
physical and environmental impacts were not given much weight. In Trinidad and Tobago,
monetizing of oil and then later natural gas reserves through energy-based industrialization was
perceived as a mechanism to accelerate the development process. This process led to the
broadening of the long established oil refining industry to include other primary processing
industries based upon natural gas. This type of industrialization found its first large scale
manifestation in the Point Lisas industrial estate which included steel, ammonia and urea
production from the 1980’s onwards.
Many post colonial societies with Trinidad and Tobago being no exception also pursued the
development of physical planning, urban and rural development and slum clearance. Very early
in the life of responsible government, which started in 1956, the 1960 Town and Country
Planning Ordinance was passed in Trinidad and Tobago. It was some seven years after
independence in 1969 that the Act was finally proclaimed and implemented (GOTT, 1969). In
1984, a National Physical Development Plan (NPDP) was finally passed in parliament some ten
years after it was required under the Act (GOTT, 1984). The official dialogue around both the
initial Act and the subsequent national plan was that both would be important elements in the
development process of the country.
While environmental concerns in development were initially addressed via the Town and
Country Planning Act, hereafter referred to as Act 35.01, this was changed when a new
Environmental Management Act was passed in 1995 and revised in 2000. Whatever their
shortcoming, these two Acts provided a comprehensive framework to regulate development. A
relevant question is if these two Acts and other relevant statutes provides an adequate or
appropriate framework to regulate industrial and coastal development similar to what is being
proposed with the aluminium smelter industry.
a) Balancing sustainability with economic growth in industrial estates
Industrial estates, or the clustering of industrial activities, began in the early twentieth century.
This was in harmony with the development of statutory town and country planning which began
earlier, in post industrialization nineteenth century Europe. Planning was effected to resolve the
problem of pollution and nuisance in many land use activities by concentrating or clustering
single land uses in one place. This clustering or zoning of similar land uses would facilitate
appropriate guidelines and regulations to minimize their negative impacts and control them in
one place. The industrial estate was thus a large tract of land, sub-divided and developed for the
use of several firms simultaneously, distinguished by its shared infrastructure and the close
proximity of firms (UNEP, 1997).

While single land use zoning has been questioned as a solution to nuisance issues because of the
communication and transportation problems it creates, concentration of heavy industrialization
continues to be the norm up to the present. It has been realized however, that individual
enterprises should not be left to resolve environmental land use and infrastructural problems
individually as they are locked into management interdependencies; the concentration of
industrial activities often magnified pollution and safety problems. The large size of many
industrial estates would have serious implications for habitat, loss of biodiversity and coastal
zone management.
If early industrial management was geared towards control and supervision of tenants with
respect to enforcement of policies and safety rules, land use standards, utility placement, etc, new
industrial estate planning is geared towards promoting industrial management. UNIDO (2007)
has shown that many countries are focusing on sustainable and green industrial estates utilizing
ISO 14001 and EMAS certification. New, sustainable industrialization also includes the
encouragement of corporate environmental policy, clean technologies, green products and
industrial symbiosis involving materials and energy. Estate management authorities are thus
concerned with a range of issues beyond simply managing and serving industrial investments as
in the past. The impact of industrialization is thus considered from conceptual planning to post
construction management. The following is an illustration of the comprehensiveness of this
approach from the Industrial Estate Authority of Thailand (IEAT) from UNIDO (2007). Their
example utilizes the headings of planning, operations and control to match the planning,
implementation and monitoring aspects of industrial estate development.

Planning
 Identify possible sites
 Conducting EIAs
 Selecting sites
 Undertaking pre-planning
 Transportation of goods, material, people
 Designing layout
Operations
 Constructing infrastructure and services
 Operating infrastructure and services
 Designing individual facility sites
 Constructing facilities
 Landscaping sites
Control
 Monitoring materials and media quality
 Enforcing regulations and covenants
 Auditing environment
 Reporting on environmental performance of companies and estate.
4.3 Comparative framework for industrial planning
a) Physical planning
The physical planning framework is geared initially to regulate the spatial framework in which
industrial activities and estates are developed and to asses their impact on surrounding areas.
The relevant legislation, the Town and Country Planning Act, 35.01 defines the meaning of
Development Areas and the 1984 National Physical Development Plan specifies the particular
areas in which particular uses can take place. This has been further refined by the environmental
legislation which looks to minimize the impacts of particular uses on the physical, social and
cultural environments.
On a broader level, the role of Caribbean Governments in industrial planning must include a
range of other interests. The most important one is often to promote economic development and
reduce unemployment. In Jamaica, for instance, the bauxite industry in 2004 generated US$901
million, creating significant linkages in the economy as well as providing quality employment
(Boyne, 2005). From an environmental point of view, the regulatory role of government is often
narrowly defined as regulating negative externalities associated with industries. This may
involve prohibiting industries in certain locations if negative impacts outweigh benefits.
Industrial Policies attempt to address the needs of various sectors and industries. Trinidad and
Tobago’s ‘Industrial Policy 2001-2003’, for instance, recognizes the role of government in
promoting and managing a new regime for science, technology, quality and innovation. At a
regional level, the CARICOM industrial policy attempted to provide for both market and
production integration (ECLAC, 2003). The evolution of industrial policies has led to greater
emphasis being placed on not just aggregate economic growth but on sustainable development,
which involves prudent environmental management and protection. The Jamaica Bauxite
Institute (JBI), for example, a Government agency, is charged with overseeing the development
of the Bauxite industry as well as environmental monitoring of the industry, which is somewhat
similar to the dual role of the NEC in Trinidad and Tobago with respect to natural gas utilization.
Using Trinidad and Tobago, Jamaica and Brazil as examples Table 4.1 shows the comparative
legislative framework governing industrial development. Industries are to be located in industrial
estates to minimize conflict between uses. Industries are also to be grouped by type to control
the negative impact of pollution on the environment. In Jamaica, there is no national plan, and
zoning for various purposes are based upon the publishing of a development order for specific
areas. Planning objectives are also met via building guidelines administered by municipal
authorities in both Trinidad and Tobago and Jamaica. The Brazilian case is much more
sophisticated as they have detailed industrial zoning requirements. For example, they have three
categories of industrial zones, each with there own set of guidelines. These zones are a)
exclusive industrial zones, b) mainly industrial zones and c) mixed use zones. Aluminium
smelting would be covered in the first category.
b) Environmental management
In the area of environmental management, industrial development in Trinidad and Tobago
requires a certificate of environmental clearance (CEC) under the EMA act of 2000 and in most
cases, this will require an EIA. Land use planning decisions remain the purview of the agency
administering the town and country-planning act. The CEC focuses on assessing and minimizing
the impact of the industrial activity on the overall social and physical environment. The
Jamaican requirements are similar and require an approval from the National Environmental
Protection Agency, NEPA (Bennet, 2007). There have been some administrative reforms in
Jamaica, which is intended to enhance coordination between relevant approval agencies, an area
that is still very poor in Trinidad and Tobago. While the Brazil core requirements are similar
they are enhanced by the categorization of types of industrial activities each with its specific
requirements.
Table 4.1 Comparative legislative framework
Trinidad and Tobago

Permitting Authorities Act/Legislation Main Subjects
Planning Agency TCP Act,1969 (Chap 35) Planning and Development
(TCPD)
Ministry of Building Approval
Works/Energy
Environmental EMA Act, 2000 Environmental Impact Assessment
Management Agency EMA Act, S.35(1)/2000 Certificate of Environmental Clearance
EMA Act, S. 50(1), 53(1),57(1), 60(1) Environmental permits and licences
(effluents standard and pollution control
Jamaica
National Environment NRCA Act S.10 (1b)/1991 Environmental Impact Assessment

and Planning Agency TCP Act, 1948 Planning and Development
(NEPA) NRCA Act S.9 (2)/1991 Environmental Permit
NRCA Act S.9 (4)/1991 Environmental Licences(Effluent
discharge)
NRCA Act S. 17 Pollution Control
Parish Councils Building Code Act, 1982 Construction Permit/Buildings Permit
Mines and Geology Mining Act, 1947 and Quarries Act, License to extract minerals,
Division 1983 Rehabilitation of mined areas.
Brazil
SEMA Created in 1973 1. Zoning Standards

2. Planning + Development
11. Environment Standards
(CONAMA) Law 6938/1981 Environmental Impact Statement
Resolution 1/1986 (Federal
Legislation)
Article 10 (Law 6938) Construction Permit
Chap.225 of Constitution (Law 6983) Rehabilitation of mined out areas
IBAMA (Replaced Law 7804/1989 Environmental Quality
SEMA 1989)
Resolution 3/1990 Emission Standard for Pollutants
Resolution 5/1986 National Plan for Air Quality Control
Resolution 9/1990 Operation Licenses
Municipal Authority Construction Permit
c) Public consultation
In Trinidad and Tobago there is little public participation, only limited consultation on
development plans required under the land use planning framework. The environmental review
process under the EMA has a systematic and comprehensive public engagement requirement
under the CEC rules. The Jamaican process is almost as detailed in its requirements to NEPA.
There is a noteworthy limitation on the requirements for public consultation in Brazil
notwithstanding the technical sophistication of industrial regulations.
d) Assessment of comparative regulatory frameworks
In summary, it appears that while the physical planning systems of both Jamaica and Trinidad
and Tobago are anachronistic with respect to industrial regulation their environmental review
process is comparable to Brazil and other comparator countries.
4.4 Case study of planning for the aluminium smelting industry in Trinidad and Tobago
A. The aluminium smelter project
The focus will be on the physical planning regulatory process and the first aspect of the analysis
will deal generally with the planning for the plants in both Chatham and Union Estate by the
National Energy Corporation (NEC) that has been charged with this responsibility. The criteria
for selection of a site for an industrial estate are listed in Table 4.2.
Table 4.2 NEC suitability criteria for industrial estate development
Criteria for selection Extent that criteria have been met
A large contiguous parcel of land with a Large continuous parcel present but no basic
minimum of 400 hectares. infrastructure.
Affordable, guaranteed, reliable bulk utilities No affordable bulk utilities – new electricity
available. plant needed; new pipelines, both for water and
spur pipeline for gas.
Proximity to existing or potential area for deep No proximity to deep water harbour – New
water (harbour). Port with 4km of dredging to get to the deep.
Minimum environmental/social impacts for Not included the long-term cost of coastal
mitigation. damage and remedial works which has so far
not been dealt with.
Minimum occupancy and encumbrances to Community disagrees - relocation cost not
clear. calculated.
Favourable geotechnical properties to Geotechnical – awaiting results of consultant’s

minimize construction costs – fill, foundations studies.
settlement, consolidation
Ease of acquisition or preferably owned by the Yes, but with agricultural lease encumbrances
State.
Existing Industrial Zoning or Approval Not Zoned for industry – but NEC has initiated
a site location study and Local Area Master
Plan Study. This will be discussed in more
detail in part two of this case study.
It can be seen that many of the criteria for industrial estates issued by the NEC have not been met
at the Chatham site and there is a potential indirect cost to the state in excess of US$ 300 million,
estimated by the author, which does not include the potential of coastal damage. Later, it was
announced that the proposed Chatham site for aluminium smelting was shelved and a new site
proposed on an island to be reclaimed off Otaheite, in the South west of the island (Table 4.3).
Table 4.3 NEC planning for Otaheite Island reclamation
2004 Proposed reclamation site identified as an industrial site of 1400 – 2600 hectares
2006 December 24 announced as alternative for Alcoa smelter from Chatham
2007 January 21-a newspaper advertisement detailing a planning process for this site,
culminating in award of tenders in February.
There was no reason to suggest that this site had not been on the radar of the NEC since the date
claimed as it has earlier been identified as a potential reclamation project in 1998. At that time
what was called the “Millennium” project was identified in a similar location but for primarily
urban and commercial uses, certainly not heavy industry. However, this new site raised a set of
additional questions.
 Should the reclamation take place in its proposed configuration at all?
 Should such reclamation be used for industry?
 Is aluminium smelting the appropriate industrial activity?
 What is the status of the regulatory approvals?
Further, there are deficiencies in the process for obtaining environmental clearance for an “off
shore” project in Trinidad and Tobago (Figure 4.1).

Proposal for Major Offshore Project
Application to State
1. No Clear Regulatory Integrated Jurisdiction for

Coastal Development
2. No Statutes
Adhoc
3. No Plans
Procedures
4. No Policy
5. No Standards
Approval
No Monitoring
Capacity
Constitution
Figure 4.1 Regulatory processes for land reclamations
4.5 The legal planning process of approving industrial development
a) The development control process under the Town and Country Planning Act.
At a national symposium on the proposed aluminium smelting industry (STCIC, 2006), the
Trinidad and Tobago Minister of Energy suggested that two agencies of the state with legal
jurisdiction, the EMA and the T&CPD, would ensure that the national interests were met before
the smelter projects were approved. This assumed that the social and economic interests were
already addressed as those agencies deal predominantly with physical and environmental
concerns. This statement also suggested that one aspect of the state’s action, promotion of the
project, would be adequately counterbalanced by that other state function of regulator. The
working of the environmental review process via the CEC of the EMA is reasonably transparent
if not perfect and up to the time of this presentation appeared to protecting the national interest.
Little is however known of how the other part of the process is working. This is the bad leg of
the approval process and the leg that has been hobbling along with a crutch for some years now.
This is not to suggest that the professionals in the T & CPD have not attempted to carry out their
functions. Instead, it is instructive to examine the functioning of the institution, its powers under
the Act and the support given to it by the state.
b) Development planning for industrialization
The NEC made the application to the T&CPD on behalf of the proposed investor, which is part
of their present functions, and they presented their own criteria for industrial estate planning at
the STCIC symposium, which was earlier described. These are useful criteria to inform an
industrial location decision even though they did not seem to have been met at Chatham.
Because of the potentially high environmental, land use, social and infrastructural cost involved,
these issues should be part of a national industrial planning process by a competent and
hopefully independent regulatory agency. This should be done in a transparent manner because
of the infrastructure and utility cost but also the gains and losses to affected communities.
Halcrow (2000) has presented a strategic review of the NPDP for infrastructural and economic
development in industrial locations in Trinidad and Tobago.
4.6 Conclusions
The planning process helps to decide on the best use of the national land resources and makes
proposals for the development of these resources in a spatially coordinated national framework
integrating the environmental, social, economic and infrastructural need of the society. While the
state does have a responsibility to promote economic development and job creation, this must be
tempered with measures to ensure the sustainability of these endeavours. Not every development
decision can wait until the appropriate plan to guide its implementation has been completed, but
policy making in the context of development planning must be cognizant of the broader national
and public interest. The state has reneged on its responsibility to reform planning legislation to
make it relevant to the needs of the 21st century. It has failed so far to update its development-
planning framework on a timely basis. These actions may result in economic benefit to the
society in the long term; they may also affect in the future the fundamental role of both
government and the planning framework, which is to protect public heath and safety.
References
1. GOTT, 1969. Town and Country Planning Act, Chapter 35.01
2. GOTT. 1984. National Physical Development Plan of Trinidad and Tobago. vols. I and II.
3. UNEP, 1997. ‘The Environmental Management of Industrial Estates’. UNEP Industrial and
Environment Technical report, No 39, France,
4. UNIDO, 2007. ‘Environmental Guidelines for New Industrial Estates’. UNIDO, Industrial
Development Focal Point. www.un.org/agenda21/nat/info/country/thai/industry.pdf.
5. Boyne, 2005. Bauxite and the Environment: Much Progress Mined.
www.jis.gov.jm/develomemt/html.
6. ECLAC. 2003. Comparative Study of Policies on Technology and Industry in the Caribbean
and their Effects on Development.
7. Bennett, G. 2007. Personal Communication- National Environment and Planning Agency,
Jamaica.
8. The South Trinidad Chamber of Industry and Commerce. 2006. “National Symposium on the
Aluminium Smelting Industry”, Paria Suites, La Romain, Trinidad and Tobago.
9. Halcrow. 2000. National Conceptual Development Plan, Urban Development Company of
Trinidad and Tobago.

Chapter 5
Primary Aluminium Production: Environmental Impacts and Issues for a Small Island
Developing State
Sean O’Beirne and Arun Kansal
5.1 Introduction
The rapid and growing demand for aluminium (forecast at 5 percent for 2007 to some 35 million
tonnes per annum) equates roughly to the establishment of one large-scale primary aluminium
smelter per annum (www.abareconomics.com). As a result, smelters have proliferated in recent
years with major (although not exclusive) areas of development being southern Africa (Hillside,
Mozal and Coega) and the Middle East (Alba, Dubal, Sohar and Qatar). Further capacity
expansions are in various stages of planning in the Russian Federation and in other parts of the
world. The critical parameter in the decision to establish a smelter is the price of energy, with
energy costs constituting some 40% of the operating costs of the smelter (IAI, 1987). In world
terms, electricity prices are relatively low in both Southern Africa and the Middle East. The
ability to site smelters in close proximity to ports has also been important in the value
proposition of these smelters as they are high material turnover operations, importing the primary
raw material (alumina) and exporting the finished metal.
Due to the low cost of recycling, aluminium is much vaunted as an environmentally friendly
product. While recycling costs are an undisputed benefit, it is important to understand the full
lifecycle environmental burden of the aluminium production process to properly conceptualize

the low cost of recycling the metal. It is also necessary to weigh up the costs and benefits at the
points of production, namely bauxite mining, alumina refining, primary metal production, and
the production of aluminium products, to fully appreciate the environmental consequences of the
metal. The continued need to build smelter capacity has now seen Trinidad and Tobago (T&T)
mooted as a potential location for new, primary aluminium smelter in southern Trinidad
alongside the Gulf of Paria. The development will capitalize on the availability of natural gas as
a relatively cheap energy source for the smelter.
In the course of this paper, an overview is provided of the impacts potentially invoked by
primary aluminium production. The overview is started with a full life-cycle description of the
aluminium production process, from mining through to finished products, thereafter focusing on
the specifics of primary aluminium production. Primary aluminium production is presented
firstly in terms of the process itself and then the associated environmental and social aspects.
This is followed by a description of potential impacts and their significance. The paper is
concluded with a brief presentation on the characteristics of Small Island Development State
(SIDS) and a discussion on the consequences of the smelter within the context of these
characteristics.
5.2 The aluminium life-cycle
In broad terms, there are four key elements to the aluminium life cycle. These are bauxite
mining, refining, primary metal production and production of aluminium products. For the
purposes of this paper only the first three components are described in more detail, because these
are the steps required to produce the metal, and are presented below.
5.2.1 Bauxite mining
Aluminium does not occur naturally as a pure metal, but exists in the form of an oxide within a
number of chemical compounds. Such compounds include bauxite, which is the principal raw
material for primary aluminium production. World bauxite reserves are estimated to be between
55 and 75 billion tonnes, with South America holding some 33 percent, Africa some 27 percent,
Asia some 17 percent and Oceania some 13 percent of these reserves (US Geological Survey,
2006). Bauxite operations are typically open cast mines where the overburden is stripped and the
bauxite excavated from the pit. Alcoa, who plans to establish the smelter in T&T, have a
materials transfer station at Tembladora. This was previously used to ship bauxite and alumina
from Suriname to users of those products in US and Europe. However, since 1983 only alumina
has been shipped (www.alcoa.com).
5.2.2 Alumina refineries
Before the metal can be produced, it is necessary to extract the pure aluminium oxide from the
bauxite and this is the function of an alumina refinery. Typically, refineries are located close to
the bauxite mines because it is obviously more cost effective to ship alumina (as higher value,
lower volume product) than it is to ship bauxite (lower value, higher volume product). Perhaps
the most widely recognised refinery technology is the hydrometallurgical Bayer process and
many refineries in operation today are based on that process with numerous variations depending
on the characteristics of the bauxite.

In a conventional Bayer process, the alumina component of the bauxite ore is dissolved at high
temperature in a circulating sodium hydroxide (caustic soda) liquor stream. The resultant slurry
stream is cooled, impurities and un-dissolved components of the bauxite are settled out and
removed from the liquor, and alumina trihydrate is precipitated at low temperature and then
calcined to aluminium oxide (alumina). The key waste component of refineries is red mud,
which are the impurities and other un-dissolved components of the bauxite. Red mud is disposed
of to red mud dams where efforts are made to recover the water. Modern red mud management
practices are effective in ensuring that the red mud, which is moderately alkaline, does not affect
the environment but past practices have seen red mud discharged from the refinery process into
rivers and the sea.
5.3 Primary aluminium production
5.3.1 Reduction cells
Aluminium smelting is a misnomer because although high temperatures are required, the process
is essentially a chemical reaction. That reaction occurs through an electrolytic process, where
the passage of electricity through the molten material has the effect of reducing the oxide to a
metal. Aluminium smelting takes place in a series of cells or pots, each of which produces about
2.5 tonnes of aluminium a day. The pots have a steel shell, a refractory layer to protect the shell
from the heat and then a carbon lining. The lining forms the cathode for the electrolytic process
(Figure 5.1).
Pot alumina hopper
Busbar
Point feeder
Pot hoods
Anode(+)
Cathode(-)
Refractory
Current collector
Steel shell bar
Liquid metal
Figure 5.1 Schematic presentation of an aluminium reduction pot
On top of the pot is a superstructure that holds a series of anodes - about 14 anodes per pot.
Finally, the pot contains an electrolytic media or bath, which consists of a mixture of alumina
and cryolite and this completes the circuit. Electricity is passed through the anodes into the bath,
from the bath to the cathode, and from the cathode to the anode of the next pot in series. The
electricity passes from pot to pot through a large aluminium conductor known as a busbar. The
electrolysis results in molten aluminium aggregating at the bottom of the bath mixture from
where it can be siphoned off and cast into billets or ingots. A primary aluminium smelter is
fundamentally an operation of electrolysis in which alumina (aluminium oxide) is converted
(reduced) to metal.
5.3.2 The gas treatment centres
Because various fumes are liberated during electrolysis, most notably fluoride (see later
description of aspects), the pots have hoods that extend from the pot superstructure to the lip of
the pot. The hoods serve to contain these fumes so that they can be extracted and ducted to the
gas treatment centres where the fluoride is removed from the gas stream. In the description of
electrolysis, mention was made of cryolite - sodium aluminium fluoride - as an essential
component of the bath. The amounts of cryolite that must be added to the pots can be
substantially reduced by fluorinating the incoming alumina. This is done by passing the fluoride
containing gas stream from the pots through the incoming fresh alumina. The high surface area
of the alumina adsorbs the fluoride resulting in the dual effect of fluorinating the alumina and,
more importantly, removing the fluoride from the exhaust gases. This happens in large gas
treatment centres (GTCs) that service the potrooms.
5.3.3 Carbon
The remaining components of the smelter are all supplementary to the electrolysis process. Older
technology smelters manufactured the anodes for the pot in situ (Soderberg technology) but
modern smelters use pre-baked anodes where the anodes are manufactured separately, attached
to rodding stems, and then introduced to the pots. Anode manufacture takes place in a carbon
plant where petroleum coke is crushed and mixed with liquid pitch to form an anode paste. The
anode paste is then moulded before being calcined (baked) in large bake furnaces. Because
anode stubs are recycled, provision needs to be made for controlling fluoride emissions from the
bake furnaces and this is done using the same principle as the gas treatment centres, with so-
called fume treatment centres (FTCs) that are used to scrub fluoride from emissions from the
bake furnaces.
5.3.4 Casting
The molten metal is transported in ladles to the casting area, where it is placed in holding or re-
melts furnaces for casting into billets or ingots. Some smelters have extended casting areas
where they may produce additional forms of finished metal product and alloys. The regulation
of power through transformers and rectifiers, the provision of utilities and general support
services and administration are the remaining broad components of the smelter.
5.4 Environmental and social aspects of primary aluminium production
The environmental aspects of a smelter include atmospheric emissions, solid waste, wastewater
discharges, together with socio-economic aspects such as job creation and spending.
5.4.1 Atmospheric emissions
5.4.1.1 Gaseous and particulate fluoride (Fg and Fp)
Fluoride is essential to the electrolysis process and is thus added to the bath in the form of
cryolite (sodium aluminium fluoride) or fluorinated alumina (see earlier description of gas
treatment centres). It is necessary to periodically remove the hoods from the pots (most notable
when changing anodes) and when this happens emissions from the pots are released into the pot
rooms from where they are ventilated to the atmosphere via roof ventilators. Fluoride is thus
emitted to atmosphere via the gas treatment centres (after being scrubbed), the potroom roof
vents and the fume treatment centres. Fluoride is a phyto-toxin and is known to affect vegetation
at concentrations significantly lower than those that could pose a threat to human health.
5.4.1.2 Sulphur dioxide (SO2)
The petroleum coke and pitch that is required for the production of the anodes contains sulphur
in varying quantities. As the anodes are consumed during electrolysis, SO2 is formed. Because
SO2 is one of the gases contained within the pot hoods and ducted to the gas treatment centre, the
gas treatment centres are the principal atmospheric SO2 emission points. SO2 emissions to
atmosphere also occur through the roof vents but to a significantly lesser extent than the GTCs.
Concerns regarding SO2 emissions relate to possible human health effects (both acute and
chronic), as well as acid deposition. Few smelters have any direct form of control of SO2
emissions, and this is typically a function of limiting the sulphur content of the coke, pitch and
fuels used across the plant.
5.4.1.3 Carbon dioxide (CO2)
CO2 is formed during the combustion of fuels (bake furnace and cast house) and during
electrolysis as the anode is consumed and the carbon oxidizes to form CO2. In a similar way to
that described for SO2 the gas treatment centres are the principal emission points for CO2. Other
emission points include the stacks from the re-melt/holding furnaces and the fume treatment
centres. CO2 must usually be considered from the power stations where electricity is generated
for the smelter but is of lesser concern for the proposed T&T smelter, due to the use of natural
gas for power generation. The concern with CO2 is its contribution to an enhanced greenhouse
effect and global warming.

5.4.1.4 Nitrogen dioxide (NO2)
NO2 is formed at a range of sources across the smelter where combustion occurs, including the
re-melt/holding furnaces and the bake furnaces. NO2 is also generated during electrolysis but in
relatively smaller quantities than is generated at the combustion sources. NO 2 may result in
human health effects, acts as a precursor for tropospheric ozone formation and may also result in
acid deposition.
5.4.1.5 Particulate matter (PM)
There are several sources of PM across the smelter and these are associated with both
combustion processes (typically much finer particulates) and dust that is mechanically generated
during raw material (alumina and petroleum coke) handling. PM sources include a number of
dust collector (raw materials handling) stacks and dust from the pots. PM may result in human
heath effects and visibility reduction.
5.4.1.6 Volatile organic compounds (VOCs)
Liquid pitch provides the principal source of VOC emissions. As such, VOCs are emitted from
the paste plant (green paste and anode production) and in the bake furnace during anode baking
operations. Although emitted in relatively small amounts, some VOCs are known carcinogens.
For an aluminium smelter, concerns regarding VOC exposure are more typically occupational,
rather than community.

5.4.1.7 Other atmospheric emissions
In addition to the above, several other air pollutants occur in relatively low quantities. The most
significant of these are per-fluorocarbons (PFCs). Although emitted in small quantities (they are
generated only during anode effects) they have powerful ozone depleting and global warming
properties.
5.5 Wastewater
The major sources of wastewater from an aluminium smelter are the various cooling systems
across the plant. Due to the nature of the cooling systems there is a gradual build up of dissolved
solids in the cooling water, and as a result clean make-up water is added, and water that is high in
dissolved salts discharged or blown down. This blow down water is the major wastewater
stream from the smelter. Additional streams may include wash water and sewage. Although not
directly a wastewater, rainwater that falls on the site can become contaminated with fluoride that
has settled from atmosphere or fluorinated materials that have been spilled on site. In volume
terms, this is a far more significant quantity of wastewater and provision needs to be made for
controlling the discharge of the same to the natural environment, typically through an
impoundment dam that serves to prevent spikes in fluoride concentrations being discharged.
5.5.1 Waste
A variety of solid and liquid wastes is generated during smelter operations. The liquid wastes
include sludges and oils, while the solid waste includes dust, carbon waste, dross, refractory
wastes, and general waste. The two main categories of Hazardous Waste are general fluorinated
waste and spent pot linings (SPL). SPL disposal is generally more complicated than fluorinated
waste, which can be relatively safely land filled.
5.6 Resource use
5.6.1 Electricity
Aluminium smelters are significant users of electricity and dependable and sustainable sources of
electricity are an essential requirement for an aluminium smelter.
5.6.2 Water
As described above aluminium reduction is essentially a dry process, where water is only used
for cooling and to a lesser extent, potable purposes. Compared to other industrial process
aluminium smelters are relatively small users of water.
5.6.3 Fuel
Direct fuel use on an aluminium smelter is limited to the re-melt /holding and bake furnaces.
Gas is the preferred fuel sources for such combustion process because of its cleaner burning
properties and easier handling (negates the risks of spills of other fuel types).
5.7 Potential impacts of primary aluminium smelters
The potential impacts invoked by the environmental and social aspects of primary aluminium
described above are presented in the following section. The aspects and impacts are summarized
and presented schematically in Figure 5.2.

ASPECTS IMPACTS
Electricity
Indirect impacts
Water
Resources
Alumina
Adverse health effects

Petroluem coke
Pitch
Fluoride Biodiversity loss

Emmissions
Sulphur dioxide
Water resource
Greenhouse gasses degradation
Dust
VOCs Global warming
Blowdown water
Effluent
Stormwater Public nuisance
Hazardous waste
Domestic waste
Waste
Loss of resources
SPL
Spending
Infrastructure
Social
Jobs
Noise
Services
Other
Visual/illumination
Land transformation
Figure 5.2 Listing of environmental and social aspects and associated potential impacts of
primary aluminium production
5.7.1 Air quality related health and ecology impacts
All atmospheric pollutants from a smelter are important in term of potential impacts, but by far
the most notorious is fluoride. As described earlier fluoride is phytotoxic and may cause damage
to vegetation at concentrations significantly lower than those that would affect human health.
Older technology smelters where fluoride emissions were largely uncontrolled were typically
established with a buffer zone of one to two kilometers around the smelter. Significant
vegetation damage would be evident in the buffer zone. Even in modern smelters, which have
dry scrubbing, evidence of vegetation damage within the smelter area can sometimes be found.
However, one of the difficulties in assessing potential effects of fluoride on vegetation is that the
susceptibility of different vegetation types is not always known and certain assumptions need to
be made regarding the likely vegetation response. The issue is not dealt with extensively here.
There are various thresholds that can be used to determine fluoride concentrations at which
damage may be caused to vegetation. These thresholds include an annual average of 1μg/m 3 -
0.4μg/m3 during the growing season (IAI, 1987) and a monthly average limit of 0.8μg/m 3
(Weinstein & Davison, 2004). In addition, Australia and New Zealand specify a range of
averaging periods for general and special land use from 12 hours through to 90 days. These
standards are summarized below in Table 5.1 (CSIR, 2002). In an environmental impact
assessment (EIA) done on aluminium smelters in Southern Africa an approach has been used of
defining 1μg/m3 limit as an ‘industrial’ standard (i.e. apply to industrially zoned land-use) and
0.4μg/m3 as a residential standard. The thresholds presented here are not meant to be definitive
but simply to offer a perspective on limits that prevail and that are likely to be used in assessing
potential impacts on the environment.

Table 5.1 ANZEEC goals for ambient fluoride concentrations in μg/m 3 (Manins et. al., 2001)
Land use 12-hour 24-hour 7-day 30-day 90-day

General 3.7 2.9 1.7 0.84 0.50
Special 1.8 1.5 0.8 0.4 0.25
5.7.2 Predicting ambient pollutant concentrations
Various atmospheric dispersion models have been used in predicting the likely ambient air
pollutant concentrations as a result of emissions from primary aluminium smelters including
Gaussian and Legrangian models. The Buoyant Line and Point Source (BLP) models were
developed specifically for aluminium smelters, to take into account the effects of the plant
structures on micrometeorology. The potlines are typically near one km long and release a
significant heat plume along the length of the pots and both obviously strongly influence airflow
across the potlines. Although there may be differences between the capabilities and accuracy of
the models, within the context of the EIA there is little to choose between them. This is because
in the absence of significant other source of pollutants, the predicted ambient concentrations are
typically well below defined damage thresholds or standards. Examples of the maximum
predicted ambient concentrations are presented in Table 5.2.
5.7.3 Spatial extent of pollution dispersion
In terms of the spatial extent of pollution concentrations, the HF damage thresholds, if exceeded,
are typically exceeded in very close proximity to the source, and thus confined to the plant and
its site boundaries. As indicated in Table 5.2, ambient sulphur dioxide limits are seldom
predicted to be exceeded when emissions are from the smelter alone. Examples of the spatial
distribution of atmosphere pollutants are given in figures 11.3 and 11.4 as isopleth maps, from
the Hillside and Coega smelters in South Africa.
Table 5.2 Maximum predicted ambient concentrations of SO2 and HF for Coega, Mozal and
Sohar smelters.
Maximum predicted concentrations

Emission Coega Mozal Sohar Thresholds
485 000 tpa 510 000 tpa 365 000 tpa
SO2 (μg/m3)
1 hr 345.66 240 649 500
24 hr 38.91 45 167 125
Annual 13.23 24 19 50
HF (μg/m3 )
1 hr 26.44 12 NA 25 (North
Dakota)
24 hr 2.7 2.8 NA 2.9 (New
Zealand)
Annual 0.59 0.6 NA 8.3 (New
York)
tpa- tonnes per annum; NA – not available
5.7.4 Upset conditions
For the most part smelters are relatively steady operations and the atmospheric emissions do not
vary significantly over time. However, there are at least two types of upset conditions that need
to be considered and these relate to commissioning of the pots and bypassing the fume treatment
centre (FTC) on the bake furnaces. During commissioning, the pots are operated for a period of
approximately 14 days without hoods. This means that all emissions are released into the
potrooms and are ventilated to atmosphere via the roof ventilators. This has the effect of a
gradual increase in emissions, and especially in the case of fluoride, emissions that exceed the
emissions that will occur under normal operating circumstances. The second type of upset
condition is the periodic need to bypass the fume treatment centres, either for maintenance
purposes or because of fire risk. Bypassing the FTC is not common but again results in larger
fluoride emissions than prevail under normal operating conditions.
10 km
5 km
0.5 μg/m3
0.4 μg/m3
0.3 μg/m3
0.2 μg/m3
1 2 3 4 km
Figure 5.3 Schematic illustrations of the dispersion patterns of HF from the proposed
Coega smelter in South Africa. A value of 0.4μg/m3 was used as a conservative
damage threshold.
5 km 10 km
WHO Limit – 50 μg/m3

Harbour
10.0 μg/m3
7.5 μg/m3
Lagoon 5.0 μg/m3
2.5 μg/m3
1 2 3 4 km
Figure 5.4 Schematic illustrations of the dispersion patterns of SO2 from Hillside
smelter in South Africa.
5.7.5 Emission limits
There are few regulatory emission limits specified for smelters around the world and where such
limits exist, they mostly apply to fluoride emissions. Rather than comparing the emission limits,
it is more sensible perhaps to consider the IPPC directive of the European Commission, which
lists best available techniques (BAT) for various industry sectors operating in the European
Union including primary aluminium production. The performance requirements of the IPPC
directive are listed in Table 5.3, which provide a good emissions performance benchmark for any
new smelter.
Table 5.3 Listing of emission limits as defined in the EC’s IPPC directive for primary
aluminium production.
Pollutant Range associated with the use of BAT

Dust 1 - 5 mg/Nm3
Poly-fluorinated < 0.1 anode effects per cell per day
hydrocarbons
HF < 0.2 mg/Nm3
Total fluoride < 0.5 mg/Nm3
5.7.6 Controlling sulphur dioxide emissions
As has been presented there are typically no direct forms of scrubbing of SO2 emissions from
primary aluminium plants. Although modern smelters have highly effective controls of fluoride
emissions, there are typically no such controls for SO2 emissions. There are smelters with SO2
scrubbing and this is affected through wet scrubbing, which is typically used as supplementary
abatement to dry scrubbing. Such wet scrubbing is mainly for SO2 removal but also has the effect
of reducing emissions of fluorides and dust (to a limited extent). The wet scrubbing process is
based on the principle of the pollutants being absorbed and converted by the scrubbing mediums
i.e. seawater or sodium hydroxide or sodium carbonate. The scrubbing medium has to be
refreshed on an ongoing basis. Removal efficiencies SO2 of 80 to over 90% have been reported
for wet scrubbers implying for primary aluminium production SO2 emissions of 25 to 50
mg/Nm3 and loads of 0.6 to 4 kg SO2 per tonne aluminium. Supplementary wet scrubbing will
also further reduce emissions of fluorides and dust and can result in emission levels for total
fluorides of 0.02 to 0.2 kg per tonne aluminium (IPPC, 2001). SO2 emissions control is typically
required only where emissions of SO2 may result in problematic, ambient concentrations.
5.8 Water pollution
As described earlier, smelters do not have significant discharges of wastewater from the
industrial process. Wastewater such as it is, is limited to cooling water blowdown from the
various cooling circuits across the plant. The blowdown has elevated concentrations of dissolved
salts and may be contaminated with oil and grease. Again, this is not a significant wastewater
stream and it can be managed to ensure that there is no significant impact on water resources.
What is typically more difficult to manage is contaminated storm water. Over time, soluble
fluoride accumulates across the site because of deposition from the atmosphere, but more
significantly because of spillages of fluorinated material across the site. Rainwater becomes
contaminated with fluoride as a result and so provision must be made of for the management of
this discharge stream. The World Bank specifies a limit of 20 ppmv in this discharge stream but
stricter limits may prevail, especially if the storm water is discharged into a freshwater or
sensitive marine environment.
The approach to managing this contaminated storm water is typically with an impoundment dam.
The principle of operation of the impoundment dam is that the first flush of rainwater, typically
dissolves the bulk of the fluoride across the site. The impoundment dam thus serves to contain
that first flush, and allow for mixing with the remaining rainwater. In effect, the dam serves
simply to prevent spikes of high fluoride concentrations but provides no direct treatment of the
discharge water. Controlling and limiting spillages of fluorinated material across the smelter site
is a key management requirement for more effectively limiting the fluoride concentrations in
storm water discharge.

5.9 Solid waste impacts
Primary aluminium smelters generate a variety of solid wastes including municipal solid waste,
fluorinated wastes and SPL amongst others. The latter two waste types are hazardous with SPL
being the more challenging waste type to manage. SPL is derived from the periodic need to
replace the lining of the pots, which fails after a certain period (typically about 5 years). The
SPL contains cyanide and as such requires specialist forms of waste disposal. In southern Africa,
and indeed elsewhere in the world, the carbon component of the SPL is separated from the
refractory component, and used as a fuel in especially the iron and steel industry. A smelter thus
has important waste management implications and if waste disposal facilities are inadequate
where the smelter will be established, especially in terms of disposing of hazardous waste, then
this must be seen as an additional potential implication of a smelter. If there are no facilities for
the disposal of SPL then the possibility exist that this would have to be shipped to another
country for safe disposal.
5.10 Global warming
Primary aluminium smelters are significant sources of greenhouse gas emissions. The most
obvious of these is CO2 but smelters also emit perfluorocarbons, which have significant global
warming potential (one kg of CF4 is equivalent to 6500 kg of CO2) and other compounds. Typical
figures for greenhouse gas emissions are 1.7 tonnes of CO2 (from the consumption of the carbon
anodes) and an additional two tonnes of CO2 equivalents from PFC (CF4) emissions. Primary
aluminium smelters are highly energy consumptive and emissions associated with the production
of the energy required for smelters (where fossil fuels are used) are typically of greater
magnitude. Modern smelter technologies (especially AP-35) technology are strongly focused on
improved energy efficiency (more metal per quantity of electricity used) and better controls of
pot processes so as to limit anode effects.
5.11 Society, services and infrastructure
It is not the intention here to detail potential social and socio-economic impacts that could be
associated with the construction and operation of a smelter. However, for the sake of
completeness it is necessary to briefly describe this important potential series of impacts, because
they are of particular relevance in a small and potentially vulnerable society and economy. The
construction of a large-scale primary aluminium smelter is a huge undertaking with the area
affected by construction activities being typically between 100 and 150 hectares (the length of a
potline is approximately 1 km in length). A large workforce is required for the construction of the
smelter, which has a potentially large expatriate component. This large-scale construction force
may invoke a number of impacts on society and services in the construction area. There are also
benefits in terms of local employment, spending and the promotion of local economic activities.
What is important is to ensure that these potential impacts have been assessed in detail and that
there has been proper planning to manage and mitigate the impacts well before the onset of
construction. Amongst other potential issues are:
 Building capacity locally (in individuals and companies) to participate in the work
opportunities that may be available;
 Maximizing local labour employment with due consideration of the negative
impacts of temporary employment,
 Potential influx of work-seekers; and,

 Increased disease risk (notably HIV).
5.12 Small island developing states (SIDS)
Small island countries like T&T have been categorized as SIDS. SIDS are faced with a number
of, and in some instances severe development challenges as a result of their remote and small
island character. SIDS have relatively small land areas and populations but growing
demographic pressure with resultant requirements for economic growth. Many SIDS face severe
energy difficulties because of lack of access to energy resources and the high cost of transporting
these resources to the islands. In this regard, T&T has a significant strategic advantage in their
natural gas reserves. Availability of potentially cheap energy is an important requirement for
growing an industrial base and attractive to especially energy intensive industries such as
primary aluminium production. Energy availability and affordability to the poor is another
important development challenge of many SIDS (UN, 2006).
The small land area also implies a small resource base, which makes SIDS highly dependent on
trade and necessitates open economies. Many SIDS are highly dependant on their agriculture
produce and/or tourism to fuel their economies and struggle to diversify these activities to create
a broader economic base. As such, they are also highly vulnerable to natural disasters, which can
single-handedly cripple a significant component of their economic activities. Most SIDS require
industrial development but few have the necessary infrastructure or resources to attract it. Given
the typically fragile land and marine ecosystems, industrial development also needs to be
pursued in a manner that does not invoke a significant waste and pollution burden. SIDS, more
than any other developing state, need to ensure that whatever development is pursued that it is
sustainable (UN, 2006). .
Finally, but importantly SIDS are especially vulnerable to changes in sea level because of global
warming. Given their size and general relief, small changes in sea level could have major
negative consequences on a SIDS economy. In terms of the circumstances described above it is
also highly problematic for SIDS to adapt to these circumstances as they have limited flexibility
to do so. Diversifying economic activities and sustainable industrial development must be
important elements in developing a higher resilience to the threats invoked by climate change.
5.13 SIDS and primary aluminium production
5.13.1 Biophysical impacts
In what has been presented earlier, it can be seen that smelters are potentially significant sources
of pollution and waste. This includes, but is not limited to, atmospheric emissions of especially
fluoride and sulphur dioxide in terms of localized effects, and CO2 and PFC as important
greenhouse gases. The aluminium production process requires water for cooling purposes only
and so the only form of industrial wastewater discharge is cooling water blow down. However,
rainwater on site can become contaminated with fluoride from atmospheric deposition and from
spillages of fluorinated material. Finally, solid waste from the smelter, notably fluorinated wastes
will require a hazardous waste landfill and spent pot linings will require specialist disposal.
None of these potential impacts are trivial but in general terms they can be managed to the point
that they do not result in significant localized impacts, even for, it is argued, a small island
developing state like T&T.
5.13.2 Socio-economic impacts
Socio-economic impacts could prove to be more severe, with especially the influx of a large
labour force, and the impact of that labour force on infrastructure services and society. Again as a
broad generalization, negative socio-economic impacts are likely to be limited to the
construction phase with mostly positive effects during smelter operations. In addition, for a
SIDS like T&T there are other potential benefits like expanding the industrial base and thus
diversifying economic activities. The smelter is also likely to attract other industries to the area,
if only to provide direct services to the smelter. Primary aluminium production is an important
way of adding value to the energy resource held within a country rather than simply selling that
resource with no value addition. There will also be several hundred permanent and well-paid
jobs, which will increase spending within the local economy and contribute to a higher standard
of living for a number of people on the island.
5.13.3 Who benefits?
So where is the catch? The catch lies in who benefits from the wealth that will be created by the
smelter. In accessing the potential benefits of the smelter, the country will give up two important
items. The first of these is the energy resource that is held by the country and the second is the
carrying capacity of the island that will be taken up by the smelter. It has already been presented
that atmospheric emissions can likely be managed to limit potentially significant impacts, but
those emissions will still present an opportunity cost, in terms of other types of industry. The
question that must be asked is what is the return to the country for giving up the energy resource
and for giving up the carrying capacity? This is a question that cannot be answered here, but it is
presented that this is the fundamental question around which the sustainability of the smelter
must be assessed.
In terms of sustainable development, one of the more vexing questions is how to value a natural
resource, especially a non-renewable resource like natural gas. One approach to doing this is to
view the resource in a financial sense as capital - natural capital rather than financial capital.
People who hold financial capital use it to generate more capital and the argument goes that the
same should hold true for natural capital. The argument continues that if natural capital is
utilized it should generate a return that at the very least retains the capital value of the resource
before it is utilized. Sustainable development is about much more than just ensuring that
environmental impacts are managed and controlled or meeting standards. Sustainable
development is about ensuring that there are sustainable and meaningful returns on the resources
that are given up. Making a real contribution to sustainable development is one of the more
challenging aspects of establishing a primary aluminium smelter. It is presented here that
sustainable development should be the measure of the acceptability of the smelter, not just its
waste and pollution management. It is also important to emphasize that this argument is not
meant to suggest that the development will not necessarily uphold the principles of sustainable
development, simply that there be the measure of its acceptability.

5.14 The way forward
Before a final decision can be made on the smelter, it will be the subject of an EIA. The
intention in this paper has been in no way to pre-empt or prejudge the EIA, but simply to present
some perspectives on the issues that will be presented. It is also important to acknowledge that
there may be specific characteristics of the country that render potential impacts more or less
significant than has been suggested in this paper. All that has been attempted here has been to
highlight the more significant potential impacts, not to provide a comprehensive overview of all
the potential impacts. An important omission from this paper is, for example, the potential
effects of the power station and these will need to be considered in detail as they pertain to the
ecological and social character of T&T, especially in combination with the effects of the smelter.
In going forward a couple of recommendations are offered relative to both the potential smelter
and the EIA.
5.14.1 Prior informed consultation
This is a key element of the International Finance Corporation’s sustainability policy and
suggests simply that prior to a development-taking place that people who will be affected by the
development are well informed and properly consulted (http://www.ifc.org/ifcext/enviro.nsf/
Content/EnvSocStandards). The University of the West Indies, St. Augustine, is commended in
this regard for their initiative in running the symposium on Aluminium Smelting in order to
broaden the understanding that people have of a development of this nature. It is hoped that this
paper has contributed meaningfully to better informing people about the proposed development
and its potential impacts. Effective consultation is a key success factor in environmental
assessment processes and opportunities that are provided for consultation should be used to the
fullest extent possible.
5.14.2 The Environmental Impact Assessment (EIA)
The EIA is an essential part of the development process and provides an ideal mechanism for
better understanding the costs and benefits of the proposed development. EIA in this role is
under pressure globally to move from an essentially compliance-driven approach, to
meaningfully assessing the degree to which developments contribute to or detract from
sustainable development. It is argued here that sustainable development should be the
framework within which the EIA for this development is conducted, and that is the expectation
that stakeholders should take into the process. To assess a development within the context of
sustainable development, it is essential to look very carefully at who benefits from the smelter
and how, especially in return for the resources that will be given up to make the development
feasible.
5.15 Concluding comments
In the course of this chapter an attempt has been made to highlight some of the more important
issues that pertain to the potential environmental impacts of primary aluminium production and
to frame these within the context of a possible smelter being established in T&T. This has been
done by presenting the principles of the process of producing aluminium and associated
environmental aspects and possible impacts. Some of the characteristics of SIDS have also been
presented to highlight important issues and possible vulnerabilities in assessing the merits of
such a development for T&T.
It has been presented that in general terms, and without pre-empting the outcome of the EIA, that
there are many important benefits that would accrue to the island from a development of this
nature. Many of these benefits respond directly to the challenges facing SIDS including growing
and diversifying the economy and providing energy access and security. It has also been
presented that given modern smelter controls, that the environmental and social aspects
associated with a primary aluminium smelter can be managed to ensure that they do not result in
significant impacts on the ecology or of the island and/or its inhabitants. Again, these aspects are
not trivial but they can typically be managed to the point where they are broadly deemed
acceptable.
Finally, it has been presented that possibly the biggest challenge to a development of this nature
is to truly understand how it will contribute to sustainable development. A key issue in this
debate is who benefits and how they benefit from giving up the resources that have attracted this
development in the first place. It is argued strongly that sustainable development principles need
to frame the environmental impact assessment. The challenge the world over is not development
but sustainable development and nowhere is this more acute than for SIDS. The primary
aluminium smelter proposed for T&T could make a significant contribution to that ideal if there
is a fair and equitable share in the wealth that is created by the development.
References
1. International Aluminium Institute (IAI). 1987. ‘The aluminium industry’s sustainable

development report’, International Aluminium Institute, New Zealand House, London.
www.world-aluminium.org.
2. US Geological survey. Mineral commodity summaries. 2006.
3. Weinstein & Davison. Fluorides in the Environment. CABI Publishing

ISBN0-85199-683-3, 2004.
4. CSIR, ‘Environmental Impact Assessment for the proposed Pechiney smelter within the
Coega Industrial zone, Port Elizabeth, South Africa’. CSIR report, Reference: Env-S-C 2002-
092B, 2002.
5. Manins, P., P. Holper, R. Suppiah, R. Allan, K. Walsh, P. Fraser, T. Beer. Atmosphere Theme
Report, Australia State of the Environment, CSIRO Atmospheric Research, Department of
the Environment and Heritage, Commonwealth of Australia, ISBN 0 643 06746 9, 2001.
6. European Commission, Integrated pollution prevention & control (IPPC) reference

document on best available techniques in the non ferrous metal industries, December 2001.
7. United Nations, Economic & Social Council, and Commission on Sustainable Development,
Integrated Review of the Thematic Cluster of Energy for Sustainable Development, Air
Pollution/Atmospheric and Climate Change in SIDS Report. 2006.
Chapter 6
Pollution Minimization and Treatment in Aluminium Smelting Industry
Chintanapalli Venkobachar and Gyan Shrivastava
6.1 Background
Pollution prevention and minimization are better options available to the environmental engineer
for the environmental protection as well as for the treatment cost reduction. Attempts to reduce
the volume of wastewater generated by the industries as well as reduction of pollution load from
the industries have benefited both environment and the industry. For example, environmentally
driven process modification in tannery industries in terms of changing the chrome tanning to
vegetable tannin has reduced the heavy metal load on the environment. Aluminium production is
no exception. The waste minimization technologies can also be applied to this industry to obtain
good results of preserving the environment.
In this communication, pollution minimization technologies available in the primary aluminium
manufacturing industry are examined. In an electrolytic cell containing carbon anode and carbon
coated steel cathode, the alumina (Al2O3) is dissolved in molten cryolite bath and subjected to
low voltage (4-5 V) but to strong current of 15,000 amperes. The reduced metallic aluminium is
produced at the cathode, which is vacuumed siphoned and collected in the steel tank while
oxygen that was produced during the electrolysis of alumina reacts with carbon anode producing
CO2. The modern pre-bake anode technology of electro-winning of aluminium from alumina
had replaced the old Soderberg technology which resulted in reduction of energy input from
17.5MWh/ ton of Al to 14MWh/ton of Al besides significantly reducing the pollution load.
Currently the effort to replace the consumptive carbon pre-bake anode by inert or non-
consumptive non-carbon fuel electrodes would result in 50% reduction in CO 2 production and
40% reduction in power consumption and 25% reduction in the overall cost of aluminium
production. This can also save the anode replacement costs and reduce the emissions during the
pre-baking such as SO2 and VOC. Use of low sulphur containing petroleum coke and pitch in the
manufacture of anode has a potential of reducing the emission of SO 2 and polycyclic aromatic
hydrocarbon (PAH). Further, recycling of fluoride captured from the pot room emission by dry
scrubbers containing alumina in the gas treatment centres to re-fluoridating the incoming
alumina can reduce the total fluoride emission from the pot rooms. The spent lining of the carbon
coated steel cathode consists of spent carbon, fluorides, contaminated refractory, cyanide and
metals which classifies it as a hazardous solid waste and requires a careful handling in the
chemically secured landfill to avoid the ground water contamination. Better practices
implemented in the construction of pot lining are expected to increase its life from 5 years to 10
years. Part of lining carbon can be recycled for relining the new set of pots. Moreover, the metals
from the lining can be recovered by efficient metal adsorption system using bio-sorbents.
The treatment technology include electrostatic precipitators for the capture of particulate
fluorides emitted from pot rooms, online wet and dray scrubbers using activated alumina to
capture gaseous fluorides as well SO2 at the source of production. The residuals emitted from the
stacks can be handled by providing an effective buffer zone. This requires a careful design as
well as maintenance by the industry. The buffer zones should have plant species, which are
sensitive to fluorides and thus can act as bio-indicators to monitor the ambient fluoride
concentration. The particulate fluorides being heavier settles down near the factory and hence
grass gazing should be prohibited. The buffer zone also should have fluoride resistant plants that
assimilate fluoride without the loss of chlorophyll. In fact, a nature park can be created around
the smelter plant and the area required is approximately 2-3 times the size of the actual plant.
The commitment of the industry towards the environment and to the development of the
community and its environs can bring about their coexistence.
6.2 Introduction
Trinidad is the Southernmost Island in the Caribbean. It is located between the Caribbean Sea,
which borders the north coast, the North Atlantic Ocean, which borders the east coast, the Gulf
of Paria, which borders the West Coast, and the Columbus Channel, which borders the South
Coast of Trinidad (Figure 6.1). It is northeast of Venezuela with the geographical co-ordinates of
11o N Latitude and 61o W Longitude. It has a total land area of 5,128 sq km, which is essentially
land with no great water body enclosed in it. It has a coastline of 362 km. Its land cover is mostly
plains with some hills and low mountains (The Northern Range, Central Range and Southern
Range). Its highest land elevation point 940m located at El Cerro del Aripo. Trinidad and Tobago
has a tropical annual rainy season (June to December); however, it is outside usual path of
hurricanes and other tropical storms. It is important to note that Trinidad has a pitch lake, on the
southwestern coast, which is the world's largest natural reservoir of asphalt.

3
Figure 6.1: Location of proposed aluminium smelters in Trinidad
Trinidad and Tobago is the most advanced and highly developed industrial as well as one of the
wealthiest nations in the Caribbean region. There are wide varieties of industries such as the
Petroleum, natural gas, chemical, food processing, cement, tourism etc. The energy sector
contributes approximately 34% of the country’s GDP. In Trinidad and Tobago, the average daily
crude oil production is around 123,000 barrels. The natural gas production was estimated as 2.9
billion cubic feet per day, an increase of 12.9% from 2003, ranking Trinidad and Tobago as 28 th
largest producer of Oil and Natural gas. The petrochemical sector includes plants producing
methanol, ammonia, urea and liquefied natural gas (LNG). Trinidad and Tobago is ranked as
fifth largest exporter of LNG in the world and the single largest supplier to the U.S.
The present policy of the Government of Trinidad and Tobago is to diversify its industrial base
from the energy industry to material manufacturing. Consequently, it is proposed to construct
two primary aluminium production units popularly called as ‘Aluminium Smelter’. Besides,
polypropylene and other industries are also proposed to be built. However, any developmental
activity should be in harmony with the environment as well as its community. An aerial view of a
typical aluminium smelter is presented in Figure 6.2 These activities are often controversial since
communities are rightly apprehensive of their effects on physical, biological and social
environment. Therefore, it is the responsibility of the developer and regulatory agencies to assure
the community the adverse impacts on their environment are minimized.
21
Fig 6.2 Aerial view of a typical aluminium smelter and buffer zone
This chapter discusses various methodologies to minimize the impacts of primary aluminium
production on the environment by implementing pollution prevention and minimization
technologies within the industry. The possible process modification, use of better quality
chemicals and recycling of waste emissions in the aluminium production are discussed in this
communication. It is essential, therefore, to review the process of manufacture of aluminium in
order to identify the possible steps to minimize pollution. The following is the description of the
process.
6.3 Metallurgy of aluminium production
6.3.1 Bauxite refining: Bayer’s process
Aluminium is one of the most abundant elements on earth (8%) after Oxygen and silicon. The
raw material for the aluminium manufacture is bauxite ore, which is available in tropical and
subtropical climates of Australia, West Africa, Brazil, Jamaica and Guyana in West Indies,
Guinea, and Surinam & Venezuela in South America. Bauxites contain 40-60% alumina,
combined with silica (silicon oxide), iron oxide, and titanium dioxide (USGS, 1996). The bauxite
is first refined to alumina ( Al2O3) or aluminium trihydrate.
In the Bayer process, the alumina is dissolved in hot sodium hydroxide solution and the iron
oxide and other oxides are removed as insoluble "red mud." Aluminium hydroxide is precipitated
from the clarified solution by cooling and seeding with aluminium hydroxide crystals. The
washed precipitate is calcined at up to 1200oC to produce anhydrous alumina. The particle size of
the alumina is about 100 µm and is sent to electrolytic reduction plants. The bauxite ore is
dissolved in caustic soda at high temperatures and is converted in to slurry. During this
operation, huge quantity of red mud is produced as solid waste, which is approximately 33% of
bauxite refined. The caustic soda and lime requirement for tonne of alumina produced is 75 and
45 kg respectively. About 1000 kg of CO2 is produced in this process as well as for the
production of caustic soda and lime employed in this process.
6.3.2 Primary aluminium production

The electro-winning aluminium from alumina is done in an electrolytic reduction cell at very
high temperatures of 9600 C which is generally termed as ‘smelting’. The process is energy
intensive requiring about 13,400 kWh/ ton of Al. Aluminium industry is the largest electric
energy consumer of all industries. This industry consumes nearly 62x109 kWh power annually,
which is equal to 1.6% of all electricity consumed by residential, commercial and industrial
sectors put together in the U.S. (Choate and Greene, 2003). On household power consumption
basis, it is equivalent to seven million households in U.S.
Hall-Heroult (HH) developed the reduction cell for the aluminium production in 1886 and the
basic features remained unchanged though process optimization has occurred over years. The
alumina is reduced to aluminium in the HH cell in the presence of an electrolytic bath whose
principal component of the fused electrolyte is cryolite (Na3 Al F6), although the NaF/AlF3 bath
ratio has been optimized and other bath additions (LiF, CaF2, MgF2) have been made. In
modern HHC alumina is dissolved in molten cryolite in pots, having consumptive pre-bake
anode with a carbon coated steel pot with adequate isolating material as cathode (Fig. 6.3).
Figure 6.3: Diagrammatic representation of a HHC

A strong current of 150,000 amperes with a low voltage of 4-5 volts is passed through the
electrodes to start the anodic and cathodic reactions, thereby causing the reduction of alumina to
metallic aluminium. The Cathode Reduction Reaction is:
2Al2O3 ⇒ 4 Al + 3O2 (Reduction of alumina to metallic aluminium)
In the cathodic reaction, the alumina is reduced to metallic aluminium by release of oxygen,
which reacts with carbon anode. The molten reduced metallic metal is deposited at the bottom of
the pot and is removed by vacuum siphon and stored in a holding furnace before being used to
produce ingots and billets in secondary production. The Anodic Oxidation Reaction is:
O2 + C (anode) ⇒ CO2
The overall reaction is:
2 Al2O3 + 3C ⇒ 4 Al + 3 CO2
The Prebake technology is an environment driven process modification of the old Soderberg
process, which consumed higher energy at a rate of 17.5 MWh /ton of Al as against 14 MWh /ton
of Al of the modern HHC. Each of the HH cells or pots has a battery of 14 consumptive carbon
anodes, which enable the electro-winning about 2.5 of aluminium/d.
During the smelting process a multitude of gases and particulates are produced and these are
removed from the pots by having suction hoods, which extend from the pot superstructure to the
pot. These are then directed to gas treatment stations where the hydrogen fluoride (HF), one of
the major and hazardous gas emitted during the process is adsorbed by the alumina and the
fluoridated alumina is sent to the electrolytic cell.

6.4 Environmental considerations
A plethora of gaseous, particulate, solid and liquid pollutants are produced by the aluminium
production process and some of them are notably global warming green house gases and toxic
wastes which affect the plant, animal and human lives if not managed properly. The waste
products/by, products generated in the HH process that are of environmental concern can be
grouped in to three categories: emissions from electrolysis, carbon anode production and pot-
liner wastes.
6.4.1 Emissions from electrolysis:
The principle component of fused electrolyte, in which alumina is dissolved at high temperatures
for its reduction, is cryolite (sodium aluminium fluoride ,Na3 Al F6).The first category is the
reduction reaction emissions which include CO2 and CO. The carbon emissions from the
reduction can be associated to three sources namely reaction by -products, combustion of carbon
anode and electricity generation and transmission in the life cycle analysis of aluminium
production. Perfluorocarbons emissions as a result of process upset from the reduction cell are
also significant besides production of hydrogen fluoride gas. The carbon and fluoride emissions
from the reduction cell are presented in Tables 6.1 and 6.2 respectively.
Table 6.1: Carbon Emissions from Reduction Cells (Source: Choate and Greene, 2003)
Type of Source Quantity Kg/Kg of Al Remarks
Emission produced
1.CO2 1. HHC reduction reaction 1.2 CO2 e GWP* =1

2. Carbon anode loss due to its 0.3 CO2 e Based on fuel
Air-combustion.
3. Electricity generation. 3.8 -14.5 CO2 e Hydro-electric
power plant
2.CO HHC: a small quantity of metal is re- Negligible --------
oxidised by CO2.
2 Al + 3 CO2 → Al2 O3 + CO
*GWP- Global Warming Potential
Table 6.2: Fluoride Emissions from Reduction Cells (Anode Effect Emissions)
Quantity
Type of
Source Kg/Kg of Al Remarks
Emission
produced
Perflourocarbon (PFC) HHC: ‘Anode Effect’- Decrease in the concentration of Al 2O3 in
the electrolytic bath triggers reaction between carbon anode and
bath with production of : 2.2 kg CO2 e
1. Tetraflouromethane(CF4)
2. Hexaflouroethane(C2F6)
Hydrogen Flouride HHC: In modern smelters HF is almost completely captured and
(HF) returned for re-fluoridating alumina.
As presented in Table 6.1, the carbon emissions may vary from 5.3 to 16.0 kg CO 2 e /kg of Al
produced based on the pot-liners operating on electricity derived from nuclear, hydro, natural gas
and coal (Choate and Greene, 2003).
The USEPA quotes in Report No. DOE/EIA -0573, (USEPA,2005) annual emissions from Al
production in 2000 in terms of tetraflouromethane (CF4) and hexaflouroethane (C2F6)
respectively were 1,096 and 90 tonnes respectively. The above perflourocarbons along with
hydroflourocarbons (HFC) and sulphur hexafluoride (SF) contributed to 2% total greenhouse gas
emissions in the United States.

6.4.2 Emissions for carbon anode manufacture
In the pre-bake smelters, the carbon anodes are continuously manufactured in carbon plants. The
oxygen produced in the cathodic reaction for each tonne of aluminium manufactured consumes
approximately 400kg of carbon. The carbon plants are comprised of paste plants and furnaces for
baking the carbon and shops for fabricating the carbon rods. The raw materials required for the
manufacture of the carbon anode are petroleum coke (solid residue from petroleum distillation)
and pitch (residue from coal tar distillation)
In the carbon paste plant, the graded fractions of calcined petroleum coke and the recycled anode
butt (anode residue) from the HHC are heated and mixed with molten pitch. This hot mixture is
then compacted into blocks known as green unbaked anodes. These anodes are baked in a
carbon bake furnace at 1000 0C over a period of twenty (20) days. This process fuses the binding
pitch and imparts good thermal and electrical conductivity to the carbon anodes. The aluminium
rods are then attached to the anode with cast iron sealing. The rod suspends the anode in the
HHC to act as an electrical conductor. Sulphur dioxide (SO2) is generated during the baking of
the carbon anode. It is generated via two routes;
1. From the raw materials themselves, they often contain sulphur as an impurity and
2. From the reduction cell due to the consumption of the carbon anode by oxygen.
Polycyclic Aromatic Hydrocarbons (PAH) and Volatile Organic Carbons (VOC) are also
produced from this plant during the green anode and pre-bake anode production processes. The
PAH air emission levels are 0.05 kg/tonne of Al produced for the pre-bake process as against
0.25 kg/tonne of Al for the Soderberg plants which also produces potential carcinogenic
beno(a)pyrine[B(a)P] .However due to intensive efforts, the pre-bake plants are expected to
reduce the PAH levels to 0.01 kg/tonne of Al.
6.4.3 Pot-line cathode wastes
The normal life period of a pot-line cathode is 4- 5 years and at the end of this period, the pot is
rebuilt with new carbon lining. The spent pot materials such as the refractory bricks, unused
carbon contaminated with electrolytic fluoride, cyanide and metals are classified as hazardous
wastes and require careful handling and disposal.
These materials should be disposed in a chemically secured landfill. This landfill should be
designed to retard the transport of contaminants (e.g. fluoride and metals) through the soil-by-
soil fixing and render them incapable of reaching the groundwater. The landfill should be lined
properly with an impermeable layer to arrest the contaminant transport and the leachate
generated should be chemically treated to recover the fluorides and metals contained within it.
6.4.4 Health impacts of emissions
The emissions from the primary aluminium plant have significant impacts on environment and
have significant impacts on environment and health of the people. The Canadian Handbook on
Health Impact Assessment (2005) has developed an excellent matrix on the biophysical
environment as well as the health components. These impacts are presented in Tables 6.3 and 6.4
below. However, it should be noted that these tables were generated for the old Soderberg
process rather than Prebake process .Most of the modern smelters are based on the Prebake
process.
Table 6.3: Aluminium Production: Matrix of Health Impact, Biophysical Environment

STRESSOR/ Nature of Stressor Impact on Affected Area Control Measures
EXPOSURE Environment
Technological fires, explosions, toxic gases and site, perimeter, and covering, containment,
Disaster spills, floods liquids; destruction vicinity collection
Gas Emissions or F vegetation dieback site, perimeter, and scrubbers, new
Emissions to Air and decalcification vicinity technologies, buffer
in mammals zones
SO2 acute chronic lesions regional (up to 100 scrubbers, non-sulphur
on vegetation km) fuel
CO2 greenhouse effect global none, other than to
modify the
manufacturing process
PAHs (anodes in air pollution local, regional, modification of the
particular) continental process
Liquid Emissions or aluminium toxicity to fish and all pollutants: all pollutants in water:
Emissions to Water aquatic insects receiving collection and treatment
fluorides bioaccumulation in watercourses
aquatic organisms
dissolved organic unhealthy
matter and conditions, reduced
suspended solids visibility
oil and grease unhealthy conditions
PAHs neoplastic and
genotoxic effects
Solid Emissions or used pot linings high toxicity site safe containment
Emissions to Soil dross, grit, etc. unhealthy conditions
Site recovery, recycling
Nuisances noise (fixed and site and perimeter noise abatement berm;
mobile sources) buffer zone
Source: Canadian Handbook on Health Impact Assessment - Volume 4, 2005
Table 6.4 Aluminium Production: Matrix of Health Impacts (Source: Canadian Handbook on Health Impact
Assessment - Vol 4, 2005)
STRESSOR/ Nature of Effects on Population at Probability Biological/
EXPOSURE Stressor Health Risk of Environmental
Occurrence Monitoring Indicators
Technological fires, respiratory workers and rare morbidity/mortality
Disaster explosions, irritation, immediate reports
spills, asphyxia, vicinity
floods trauma, death
Gas Emissions F eye and skin Workers rare to very fluorides in ambient air
or Emissions irritation, dental rare
to Air fluorosis,
osteoarthritis
SO2 irritation of probably none rare to very SO2 in ambient air
respiratory at the rare
mucosae concentrations
emitted
CO2 climate change Global frequent concentration of
atmospheric CO2
PAHs types of cancer workers and unknown concentration of
(anodes in (lung, bladder) local benzo[a]pyrene and
particular) population other PAHs in ambient
air
Liquid aluminum neurological consumers of unknown aluminum
Emissions or problems water from the concentration in the
Emissions to receiving water
Water watercourse
fluorides none at the Same as above unknown fluoride concentration
concentrations in the water
found
dissolved formation of Same as above very rare to visual inspection or
organic THMs with frequent suspended solids levels
matter and chlorine in in the water
suspended drinking water
solids
oil and unhealthy Unknown very rare visual inspection or
grease conditions oil/grease levels in the
water
PAHs types of cancer consumers of unknown or concentration of
water or very rare various PAHs in the
aquatic water and in wildlife
organisms
STRESSOR/ Nature of Effects on Population at Probability Biological/

EXPOSURE Stressor Health Risk of Environmental
Occurrence Monitoring Indicators
Emissions to used pot high toxicity, primarily very rare accident reports on
Soil linings skin irritation & workers plant incidents
respiratory
dross, grit, irritation of primarily unknown accident reports on
etc. upper workers plant incidents
respiratory tract
Nuisance noise (fixed) sleep quality Vicinity occasional complaints/perception
6.5 Pollution minimization technologies
The aluminium industry is constantly attempting to minimise energy use, minimise the release of
green house gases, prevent the production of toxic emissions and the amount of hazardous solid
wastes generated through its intense research and developmental activities. In this section, some
of the attempts undertaken to develop environmentally driven process modifications are
summarised.
6.5.1 Hall- Heroult Cell
The HHC is a time-tested process used in the electro-winning of aluminium, it utilises a carbon
anode and a cryolite bath .It is possible to make improvements to the process to reduce both the
energy consumed as well as the air emissions. These objectives can be achieved through
improvements in the cell design, the alumina feeding system, the bath composition, the control
system etc. These changes have resulted in a decline in both the energy consumption as well as
the air emissions.
Engineering options such as incorporating a point alumina feeder can improve the dissolution of
alumina in the cryolite thereby minimising the anode effects and thus the emissions of PFC’s will
be greatly reduced. A second option is to apply improved process control practices such that the
cells remain at their optimal condition and consequently less frequent anode effects.
6.5.2 Alternative electrodes in HHC

The carbon coated steel cathode in the HHC can be replaced by a wetted drained cathode; this
will result in an 18%.energy savings. The normal life of the pot is 5-6 years and retrofitting the
cell with this new cathode has to be gradual since it is difficult to change the present
configuration of the pot. The highly reactive carbon anode can be replaced by an inert anode with
a considerable reduction in carbon, PAH and SO2 emissions. It is also easier to retrofit the anode
since the carbon anodes presently have to be replaced every four (4) weeks in the smelters
A brief description of these electrodes is given below:
• Wetted drained cathode – in HHC, the molten aluminium does not wet the carbon lining,
and this results in an unnecessary voltage drop, thus demanding higher energy levels and
decreasing the pot life. Titanium triboride (Ti B3), a wet table cathode material is being
incorporated into the HHC and this results in a decrease in energy consumption, and
associated carbon emission for electricity generation. It also increases the life of the pot
and thus reduces the quantity of spent line cathodic hazardous wastes for disposal.
• HH Inert Anode- in the HHC, the carbon anode is consumed by the oxygen produced at
the cathode during the electrolysis of alumina (Al2O3) with the production of CO2 .There
is, hence, a need for continuous manufacture of carbon anodes and with frequent
replacements. The anode replacement certainly upsets the production and energy
efficiency of the HHC. In order to minimise the generation of CO2, constant efforts are
directed towards the development of a non-consumable anode, preferably a non-carbon
type. Three types of inert anode materials, viz ceramics, cermets and metals are being
researched. When inert anodes are used in conjunction with a wetted drained cathode, it
is estimated that there is an energy savings of 22% during the reduction of alumina to
aluminium metal. A major environmental advantage of the non-carbon inert anode is the
production of O2, a valuable co-product instead of CO2.
• The inert anode could be retrofitted into existing cells with minimum infra-structural
changes.
• Combination of wetted cathode- inert anode: If the HHC is fitted with the new
combinations of cathode and anode, it is expected that about a 40% reduction in
greenhouse gas emission and a 10% reduction in operating cost can be realised by the
elimination of the carbon anode plant.
6.6 Pollution minimization by alternative smelting processes
Reduction of alumina by carbothermic processes and chloride reduction of kaolinite have been
the subjects of research over the last fifty years. Non-electrolytic carbothermic reduction of
alumina is less energy intensive and hence has a lower potential of emitting the greenhouse gases
besides being less capital intensive. Largely and indigenously available clays and kaolinite can
be used as source of aluminium and may be more attractive as it requires lower energy and
capital costs besides emitting lower quantities of greenhouse gases.
6.6.1 Carbothermic process

Carbothermic reduction of alumina involves the following chemical reactions:
Al2 O3 + 9C 1900
 C
→ 6 CO + Al4 Cl3 (aluminium carbide) 6.1
Al4Cl3 + Al2O3 2000

 C
→ 6 Al + 3 CO 6.2
The carbon (C) for the first reaction comes from carbide slag. This technology requires 37% less
energy (9 KWh/kg Al) than the HHC method (14.3 KWh/kg Al) .This might bring about major
changes in the aluminium industry. It gives the freedom to relocate aluminium smelters from the
regions of inexpensive energy sources to the centres of manufacturing. In fact, a primary mini-
aluminium plant could be set up alongside a secondary aluminium casting operation. This
process can result in a 50% capital cost and 25% electricity cost reductions as well as the
elimination of the manufacture of the carbon anode. Further, the production of high purity CO
and CO2 as co-products will result in a positive environmental impact. The Carbothermic process
also eliminates the negative environmental aspects of HHC, such as, PFC emissions from the
anode effect, hazardous spent pot liners and PAH emissions from the baking of the carbon anode.
6.6.2 Kaolinite reduction
The aluminium is extracted in this process using ubiquitous kaolinite clay instead of bauxite.
Kaolinite is Al2O3 .2SiO2.2 H2O, which is widely available and inexpensive. The chlorination of
kaolinite clay produces no ‘red mud’ and the reaction can occur in steel tanks.
6.7 Minimization technologies for spent pot lining (SPL)

The cathode lining of the pot fails after its continuous use for 3-7 years due to cracking. The SPL
is a refractory material contaminated with carbon, fluorides, cyanide and metals. The following
measures may be adopted to minimise the SPL:
• Best construction practices of the pot lining can increase the useful life of the cathode
from five to ten years.
• Part of the pot lining can be recycled for the lining of new pots.
• Recovery of metals by bioleaching and biosorption process.
• SPL can be used for the manufacture of cement.
6.8 Treatment technologies
The available treatment technologies are:
• Use of electrostatic precipitators to capture particulate fluoride emissions from the pot
rooms.
• Use dry scrubbers having alumina as adsorbent to remove the gaseous fluoride and HF
from the flue gas stream. Recycle the re-fluoridated alumina to HHC.
• Use combination of dry and wet scrubbers to achieve high percent removal of fluorides as
well as SO2.
• Provide a buffer zone to bio-remediate the fluorides and SO2.
6.8.1 Buffer Zone

An aluminium plant is very large and aesthetically unappealing facility. Its infrastructure, which
includes high voltage power lines, roads and material conveyer systems, can certainly disrupt the
urban, forest and agricultural environments having a serious impact of the fragile ecosystem of
the small island state like Trinidad and Tobago. Though definite norms for size of the buffer zone
unavailable, it is the compulsory for the industry to plan a broad buffer around the plant in
anticipation of fluoride, PAH and SO2 emissions. In fact, around the plant, a park should be
developed to show the harmonious coexistence of the community and the industry.
Notwithstanding the economic benefits of the aluminium plants in terms of economic benefits,
jobs etc, their negative impacts on the quality of life cannot be overlooked.
6.9 Conclusion
i. The primary aluminium production unit has an unpleasing appearance and emissions produced
have a potential to cause global warming, and hazardous to humans, animals and the ecosystem.
ii. The Prebake process has considerably reduced the energy consumption, carbon and other
emissions when compared to the old Soderberg process.
iii. The aluminium industry through its continuous and active research and development efforts
has developed number of pollution minimization technologies which when practiced can reduce
the energy consumption and as well as pollutant emissions.
iv. The engineering options like point alumina feeder, improved process control etc. can reduce
the carbon and other emissions from the HHC.

v. Replacement of conventional; dry cathode by wetted drained cathode can reduce energy
consumption as well as the emissions.
vi. Replacement of carbon anode by inert non-carbon anode reduces the carbon, PAH and SO 2
emissions besides the cost reduction. The retrofitting of the anode is rather simple as carbon
anode replacement is practiced in the industry.
vii. One of the alternatives to the electrolytic reduction of aluminium namely Carbothermic
process can result in a 50% and 25% reduction in capital and electricity costs beside eliminating
the anode manufacture and associated emissions .The resultant high quality co- products like CO
and CO2 have commercial value.
viii. The non-bauxite extraction of aluminium by chloride reduction of ubitiquous kaolinite clay
is an attractive alternative with a considerable reduction in emissions.
ix. The spent pot-lining wastes can be reduced by best construction practices and spent carbon
can be recycled with the recovery of heavy metal by bio-sorption.
x. The buffer zone can be used to bio-monitor as well as bio-remediate fluorides, PAH and SO2
which can improve aesthetic appeal of industry by the surrounding natural park.
References
1. Bauxite and Alumina in 1996, USGS Minerals Yearbook, http:// minerals.usgs.gov/minerals
/pubs/commodity/bauxite/0904910.pdf
2. Canadian handbook, Health Impact Assessment. Volume 4 2005, hc-sc.gc.ca/ewh-

semt/alt_formats/hecs-sesc/.../vol_4/hia-Volume_10.pdf
3. Choate W.T. and Greene J.A.S, 2003: A Report entitled U.S. Energy Requirements for
Aluminium “Production: Historical Perspective, Theoretical Limits and New Opportunities”
prepared for U.S. Department of Energy, Energy Efficiency and Renewable Energy.
4. U.S.E.P.A. (2005), “Emission on Greenhouse Gases in the United States, 2005”, Report –
DOE/EIA -573
Chapter 7
Aluminium Smelting: Environmental Standards, Compliance and Best Practices
Clement Sankat, Mukesh Khare, and John Agard
7.1 Background
This chapter describes the basic background information in developing and formulating the
emission standards for a primary aluminium industry. In addition, the control systems used in
abatement of pollution from the smelting processes along with the compliance guidelines are
also discussed. The paper has targeted specifically the fluoride emission standards with reference
to its effects on humans, plant and animals. A generic methodology stating best practices for
capacity building in addressing environmental issues with guidelines for formulating
environmental standards for an aluminium smelter have also been discussed.
7.2 Introduction
The primary aluminium industry is one of the largest industries in the world today and
production is widespread. Aluminium as the pure metal or in alloys is used to make a range of
products including aircraft, utensils, scientific and domestic apparatus, electrical conductors, and
automotive parts. Aluminium powders are used in paints, explosives, and fireworks.
Primary alumina production is one of the 174 categories of sources listed under hazardous air
polluting sources in EPA-450/3-91-030 as it emits several of the 189 listed hazardous air
pollutants (HAPs) in sufficient quantity.
The paper reviews the most important generic environmental impacts of primary aluminium
smelting industry, the current environmental standards, and compliance. Finally, future directions
for environmental compatibility for this industry are discussed.
7.3 Aluminium production
Aluminium is produced by the Hall-Héroult process, which involves the electrolytic reduction of
alumina (Al2O3) in large carbon lined steel vessels called pots. Hundreds of these pots are housed
in a potroom. In a pot, alumina is partially dissolved in an electrolyte of molten Cryolite
(Na3AlF6) at approximately 9600 C. It is a continuous process that requires large amounts of
direct current electrical power to operate the pots. The major components of a primary
aluminium plant are:
• Shipping and receiving areas for raw materials and finished products;
• One or more pot lines;
• A cast house where the aluminium is reheated and purified, its characteristics are
modified to meet various specifications, and it is cast into solid forms including ingots
and billets, or transported in a molten state;
• Maintenance and repair facilities;

• An anode paste plant, where coke and pitch are mixed to form anode paste, briquettes, or
green anodes; and
• An anode bake plant (Prebake process only)
Pots may be of two types of technology, Soderberg or Prebake. The Prebake potrooms are the
preferred design in modern smelters because of lower levels of emissions. Figure 7.1 shows a
process flow diagram for a Prebake plant.
Product
Shipping and Receiving
Raw materials
Coke Pitch
Anode Paste Al2O3, Na3AlF6,
Preparation AlF & Fluorospar
Anode
Anode Forming Aluminium

and Baking Production Pot lines
Anode Butts
Anode Butt
Molten Aluminium
Crushing
Molten Aluminium Aluminium Tapping
Secondary operations
Aluminium Fixing Molten Al Aluminium Casting,

& Alloying Rolling, Drawing, etc.
Figure 7.1 Process flow diagram for a Prebake plant (Source: EPA-450/3-86-010)
7.4 Hazardous impacts
Hazards associated with aluminium potrooms are: chemical, physical, ergonomic, and
psychological in nature (Table 7.1)
Table 7.1 The hazards in potrooms (Benke, Abramson and Sim, 1998)
Physical hazards Ergonomic/Psychological

Chemical hazards
Smelter dusts including Burns Lifting
alumina, calcined coke, and Electrocution Posture
refractory materials Electromagnetic fields Shift-work
(Inspirable& Respirable) Falls
Aluminium fluorides Heat
Coal tar pitch volatiles Mobile equipment
(Polycyclic Aromatic Noise
Hydrocarbons (PAHs) Vibration
Carbon monoxide (CO)
Fluoride dusts
Hydrogen fluoride (HF)
Sulphur dioxide (SO2)
The jobs and tasks with highest potential for exposure involve anode changing, metal and bath
tapping, and pot lining, although maintenance workers and crane drivers can also experience
significant exposure to dusts and fumes. Potroom workers are also exposed to physical hazards
such as magnetic fields, noise, radiant energy, and the likelihood of burns from hot metal. Since
the pots in most potrooms operate at currents of 12–300 kilo amperes at 5 volts, exposure to
static magnetic fields may be typically between 0.1 and 10.0 milli Tesla with some extra low
frequency alternating current magnetic fields present. Noise in potrooms can exceed 80 decibels
and is often loudest near the air powered (pneumatic) impact tools (electrically powered tools are
often not used due to the electrical hazards in pot lines) and mobile equipment. Since the pots run
at temperatures of about 9600 C degree centigrade, there is significant potential for heat stress and
burns from hot electrolytic bath and metal to occur. Workers in potrooms in hot climates are
particularly at risk of heat stress since the natural secondary ventilation may not afford sufficient
cooling. Burns from contact with hot metal, bath splashes, or surfaces of pots are major hazards
to workers in most jobs and tasks in the potroom.
7.5 Air emissions
The major gaseous emissions in aluminium production besides carbon dioxide (CO2) are HF gas,
SO2, and CO. Particulate emissions are particulate fluoride, carbon dust, and alumina. The HF
gas is produced by the hydrolysis of fluoride compounds due to adsorbed water, to water of
hydration associated with the alumina, and from hydrogen in the anodes. Particulate fluoride
results from vaporization of fluoride compounds from the molten bath and subsequent
condensation in the cooler zone above the pot. SO2 comes from the sulphur present in the coke
and coal tar pitch binders in the anodes. The transportation and handling of the materials used in
the process, such as alumina, coke, and pitch, are also sources of emissions.
During anode production, in Prebake process, negative pressure created in the flues by the waste
gas fans pulls air through the packing over the anodes into the flues, where it blends with the
products of combustion. Flue gas from the baking furnace contains HF, SO2, CO2, CO, and
hydrocarbons from pitch. Particulate emissions are carbon dust and particulate fluoride. Gaseous
and particulate fluorides are produced from residual bath material in anode butts.
Peak hydrocarbon emission occurs when the firing frame containing the burners and the waste-
gas manifold are moved. At this point, firing of the preheat section commences and green anodes
in the preheat section are exposed to heat for the first time. The temperature of the flue gas will
normally range from 300–450 0F, with lower temperature usually occurring when a fire is moved.
Tables 7.2 and 7.3 show air emission from various segments of smelting.
Table 7.2 Emissions from primary aluminium production processes (USEPA, 1986).
Operation Total particulate Gaseous fluoride Particulate fluoride

kg/ton kg/ton kg/ton
Prebake cell
Uncontrolled 47 12 10
Fugitive 2.5 0.6 0.5
Emission to collector 44.5 11.4 9.5
Multiple cyclones 9.8 11.4 2.1
Dry alumina scrubber 0.9 0.1 0.2
Dry electrostatic precipitator 2.25 0.7 1.7
plus spray tower
Spray tower 8.9 0.7 1.9
Floating-bed scrubber 8.9 0.25 1.9
Coated bag filter dry scrubber 0.9 1.7 0.2
Cross-flow packed bed 13.15 3.25 2.8
Dry plus secondary scrubber 0.35 0.2 0.15
Anode baking furnace
Uncontrolled 1.5 0.45 0.05
Fugitive NA NA NA
Spray tower 0.375 0.02 0.015
Electrostatic precipitator 0.375 0.02 0.015
Dry alumina scrubber 0.03 0.0045 0.001
Table 7.3 Uncontrolled emissions and particle size distribution for roof monitor fugitive
emissions from Prebake aluminium cells (USEPA, 1986).
Particle size Cumulative mass Cumulative emission factor

(µm) (% < Stated size) (kg/ton) Al
15 65 1.62
10 58 1.45
5 43 1.08
2.5 28 0.7
1.25 18 0.46
0.625 13 0.33
7.6 Water pollution

The primary source of wastewater is the wet scrubber used as a control option for SO2 emissions.
With a wet scrubber primary control system, about 3.4 lb/fluorides/ton Al and 0.25 lb total
suspended solids/ton Al are discharged with the wastewater (USEPA, 1996).
7.7 Solid waste
Solid waste generated from control of air emissions in the primary aluminium industry is a direct
result of wet scrubber based air emission control devices and the accompanying wastewater
treatment. Table 7.4 presents solid waste generation rates for various emission control systems in
aluminium production. Spent pot lining is another toxic solid waste generated from the smelter
process.
Table 7.4 Solid waste generation for various fluoride emissions control systems (USEPA, 1996)
Fluoride emission control system Solid waste generation (lb/ton Al)

Primary dry scrubbing 0
Primary wet scrubbing 154
Secondary wet scrubbing 160
Primary wet scrubbing with lime treatment 120
Secondary wet scrubbing with lime treatment 40
Primary wet electrostatic precipitator with lime treatment 150
Primary wet electrostatic precipitator 154
7.8 Emission standards
An aluminium pot will typically emit 20 to 35 kg per tonne of gaseous and particulate fluoride
and roughly an equal amount of particulate matter. US Federal new source performance
standards (NSPS) require emissions of no more than 0.95 kg fluoride per tonne from Prebake
plants with 0.05 kg fluoride per tonne from the anode bake plant (USEPA, 1986). The standard
also requires less than ten per cent opacity. Each cell is equipped with a hooding and manifold
system that captures and conveys emissions to the fume control equipment. The temperature of
the pot exhaust gases entering the control equipment ranges from 150–300 0 F degree Fahrenheit
(Table 7.5).
Table 7.5 Summary of potroom smelter environmental data (USEPA, 1996)
NSPS regulations 0.95 F/tonne Al (Prebake pot)

10% opacity
Exhaust volume per pot 2000 – 5000 cubic feet/minute
Hooding efficiency 95% approximately
HF removal efficiency – dry scrubbers 99%
Minimum required surface area of alumina for 45 m2/g
dry scrubber
Carbon consumption 0.4 – 0.5 lb carbon/lb Al
Capital cost – dry scrubber system $ 35 - $ 50 cubic feet/minute
7.9 Air quality standards for protection of vegetation
Air quality standards to protect vegetation and livestock from fluorides were first introduced in
the USA by individual states (Weinstein & Davison, 2004). Standards for protecting vegetation
are cited in terms of the duration the plants are exposed to a concentration of F (µg F m -3) above,
which there is visible injury. The most sensitive species develop visible injury when exposed to
concentrations above 0.3 µg F m-3 for a long enough periods. The more stringent standards cite
concentrations around 0.2 to 0.4 µg F m-11. The Netherlands has some of the most stringent
standards, currently using a 24-hour target value for fluoride of 0.3 µg F m-3, a 24-hour limit of
2.8 µg F m-3, an annual target value of 0.05 µg F m-3, and a growing season average limit of 0.4
µg F m-11. This may be because several of their economically important crops are very sensitive
to HF but the 24-hour target of 0.3 is excessively low because there is no experimental evidence
to support it. Furthermore, it is difficult to monitor such low exposures effectively (Weinstein &
Davison, 2004).
The World Health Organisation (WHO) has published three different guidelines for fluoride
concentrations. In Environmental Health Criteria, No. 36, 1984, the WHO standard for
protection of vegetation is stated to be 0.2 µg F m -3. It is based on an assessment of the
experimental data on grapes tested in Australia that are available at the time. In the second
edition of the same document, Environmental Health Criteria 227, 2002, the WHO has given the
lowest observable effect levels for leaf necrosis in terrestrial plants at fluoride concentrations of
0.2–0.4 µg/m-3 . In 2000, the WHO has published air quality guidelines for Europe, second
edition that deals mostly with other pollutants but there is one statement about fluoride, ‘It has
been recognized that fluoride levels in ambient air should be less than 1 µg F m-3 to prevent
effects on livestock and plants. These concentrations will also sufficiently protect human health.’
The text does not say who has recognized this or cite any references to support it. Furthermore,
no averaging times are cited (Table 7.6).
Table 7.6 WHO standards
Pollutants Limits
Fluoride 1 µg/m3
POM As low as possible
PM10 30 µg/m3
PM2.5 20 µg/m3
SO2 24 hours- 125 µg/m3
Annual – 50 µg/m3
7.10 Protection of livestock
The standard refers to a maximum long-term (usually one-year) average fluoride concentration in
the diet of 40 mg F kg-1 to protect the most sensitive species i.e. dairy cattle.
7.11 The draft air pollution rules 2007 for Trinidad and Tobago
The Trinidad and Tobago (TT) air pollution standards are currently before the Cabinet of the
country. The relevant law is called the Draft air pollution rules 2007 (Tables 7.7 and 7.8). The
HF standards follow the reasoning in the Ontario HF standard. The TT proposed HF standard for
maximum permissible limit for 24 hours is 1.0 µg/m3 and 0.4µg/m3 for an averaging time of 90
days. These are coincidentally consistent with the WHO proposal based on damage to the
most sensitive plant species. The TT national environmental policy laid in Parliament in the year
2006 states that air pollution standards will be consistent with the recommendations of the WHO.
The TT proposal for HF is not statistically different from the most stringent in the world
proposed by Norway and Ontario or WHO (Appendix A7.1).

Table 7.7 Second schedule- maximum permissible levels for ambient air for Trinidad & Tobago
No Short-term Long-term
Compound/ substance
Maximum permissible levels Averaging Maximum Averaging time
time permissible
levels
Particulates
1 Total suspended particulates 150 µg/m3 24 hr

(TSP)
2 PM10 75 µg/m3 24 hr 50 µg/m3 1 year
3 PM 2.5 65 µg/m3 24 hr 15 µg/m3 1 year
Non-metallic inorganic pollutants

4 CO 100,000 µg/m3 15 min
60,000 µg/m3 30 min
30,000 µg/m3 1 hr
10,000 µg/m3 8 hr
5 Nitrogen dioxide (NO2) 200 µg/m3 1 hr 40 µg/m3 1 year
6 SO2 500 µg/m3 10 min 50 µg/m3 1 year
125 µg/m3 24 hr
7 Ozone 120 µg/m3 8 hr
8 Sulphuric acid 100 µg/m3 30 min
9 Hydrogen sulphide 30 µg/m3 30 min

10 Ammonia 3,600 µg/m3 30 min
11 HF 1.0 µg/m3 24 hr 0.4 µg/m3 90 days
12 Hydrogen chloride 100 µg/m3 30 min
13 Chlorine and its compounds 300 µg/m3 30 min
14 Asbestos (fibres > 5 µm in 0.04 fibres/cm3 24 hr
length)
15 Asbestos (total) 5 µg/m3 30 min
Metallic pollutants
16 Cadmium and its compounds 5.0 µg/m3 of total cadmium 30 min
in free and combined form
17 Mercury and its compounds 1.5 µg/m3 of total alkyl 30 min
mercury compounds
5.0 µg/m3 of total mercury in
free and combined form 30 min
18 Antimony and its compounds 75 µg/m3 of total antimony 30 min Antimony and 75 µg/m3 of total
in free and combined form its compounds antimony in free
and combined
form
19 Beryllium compounds 0.01 µg/m3 24 hr
20 Lead 10 µg/m3 of total lead in free 30 min 1.5 µg/m3 3 months
and combined form
0.5 µg/m3 1 year
Organic pollutants
21 Biphenyl 60 µg/m3 1 hr
22 Carbon disulfide 330 µg/m3 24 hr
23 Ethyl benzene 1,000 µg/m3 24 hr
24 Formaldehyde 65 µg/m3 24 hr
25 Mercaptan (as Methyl 20 µg/m3 1 hr
Mercaptan)
26 Polychlorinated biphenyls 0.15 µg/m3 24 hr 0.035 µg/m3 1 year
Table 7.8 Third schedule– Stack release limits for Trinidad & Tobago
No. Substance Maximum permissible limits (mg/Nm3)
Particulates
1 Particulate matter 100 mg of particulate matter in each normal cubic
metre of residual gases, (adjusted to a basis of 12%
CO2 for air emissions from fuel-burning equipment, if
required by the specified test method)
Non-metallic inorganic substances

2 SO2 1,000 as SO2
3 Oxides of nitrogen 500 as NO2
4 Carbon monoxide 1,000
5 Sulphuric acid mist or sulphur trioxide 100 as SO3
6 Hydrogen sulphide 15
7 Ammonia 50
8 Fluorine and its compounds 5 as HF; or 5 as total fluoride
9 Acids and acid gases, as hydrogen chloride 10 as hydrogen chloride
10 Chlorine and its compounds 5 as chlorine
Metallic inorganic substances

11 Lead and its compounds 0.5 as lead
12 Antimony and its compounds 5 as antimony
13 Arsenic and its compounds 0.8 as arsenic
14 Cadmium and its compounds 0.05 as cadmium
15 Mercury and its compounds 0.05 as mercury
16 Heavy metals (other) 5 as heavy metals (other)
Organic substances
17 Volatile organic compounds 20 as volatile organic compounds
18 Dioxins 0.2ng TEQ/Nm3
19 Furans 0.2ng TEQ/Nm3
Appendix A7.2 gives interpretation of the above schedules.
7.12 Compliance
The compliance requirements for primary aluminium production industry are as follows
(USEPA, 1996; USEPA, 1980):

i.. The industry shall install, calibrate, maintain, and operate monitoring devices, which can be
used to determine daily the weight of aluminium and anode produced. The weighing devices
shall have an accuracy of ±5 percent over their operating range.
ii. The industry shall maintain a record of daily production rates of aluminium and anodes, raw
material feed rates, and cell or potline voltages.
iii. The industry must conduct a performance test at least once each month, except when
malfunctions prevent representative sampling. The owner or operator shall give the administrator
at least 15 days advance notice of each test. The administrator may require additional testing
under section 114 of the clean air act.
iv. An owner or operator may petition the administrator to establish an alternative testing
requirement that requires testing less frequently than once each month for a primary control
system or an anode bake plant. If the owner or operator shows that emissions from the primary
control system or the anode bake plant have low variability during day-to-day operations, the
administrator may establish such an alternative testing requirement. The alternative testing
requirement shall include a testing schedule and, in the case of a primary control system, the
method to be used to determine primary control system emissions for the purpose of performance
tests.
v. The industry shall determine compliance with the total fluorides and visible emission
standards as follows:
(a) The emission rate (Ep) of total fluorides from potroom groups shall be computed for each run
using the following equation:
Ep= [(Cs Qsd)1+ (Cs Qsd)2]/ (P K) 7.1
where, Ep=emission rate of total fluorides from a potroom group, kg/Mg (lb/ton);
Cs=concentration of total fluorides, mg/dscm; Qsd=volumetric flow rate of effluent gas, dscm/hr;
P=aluminium production rate, mg/hr (ton/hr); K=conversion factor, 106 mg/kg (7,000 gm/lb);
1=subscript for primary control system effluent gas; 2=subscript for secondary control system or
roof monitor effluent gas.
(b) The emission rate (Eb) of total fluorides from anode bake plants shall be computed for each
run using the following equation:
Eb= (Cs Qsd)/ (PeK) 7.2
where, Eb=emission rate of total fluorides, kg/Mg (lb/ton) of aluminium equivalent;
Cs=concentration of total fluorides, mg/dscm (gm/dscf); Qsd=volumetric flow rate of effluent gas,
dscm/hr (dscf/hr); Pe=aluminium equivalent for anode production rate, Mg/hr (ton/hr);
K=conversion factor, 10 6 mg/kg (7,000 gm/lb).
(c) The aluminium production rate (P) shall be determined by dividing 720 hours into the weight
of aluminium tapped from the affected facility during a period of 30 days before and including
the final run of a performance test.

(d) The aluminium equivalent production rate (Pe) for anodes shall be determined as two times
the average weight of anode produced during a representative oven cycle divided by the cycle
time. An owner or operator may establish a multiplication factor other than two by submitting
production records of the amount of aluminum produced and the concurrent weight of anodes
consumed by the potrooms.
7.13 Control systems
Most smelters constructed within the last 20 years use alumina to scrub the gaseous fluoride
emission and the alumina containing fluoride is then fed to the cells. The two types of dry
scrubbing systems in use today differ primarily in the manner in which the potroom gases are
brought into contact with alumina. One system capitalises on the ability of a fluid-bed reactor to
promote intimate mixing between solids and fluids. In this process, potroom gases fluidize a bed
of alumina. In the other system, the alumina is injected into a zone of high gas velocity and
turbulence. Alumina is entrained and turbulent mixing promotes a reaction between HF and
alumina (USEPA, 1973). These dry scrubbing systems are capable of removing over 99 per cent
of the HF gas and particulate matter. The alumina containing HF is then used to make
aluminium. With high recovery of fluorides and their subsequent reuse, consumption of fluoride
has been reduced significantly in smelters with dry scrubbing systems. Because these dry
scrubber systems are so efficient in capturing particulate and gaseous fluorides, the emissions
from their stacks contribute little to overall plant fluoride emission (Rush, Russel and Iverson,
1973).
A few plants still use the older control system consisting of electrostatic precipitators (ESPs) to
collect particulate emissions, followed by spray towers to scrub the gaseous fluoride. A small
amount of particulate matter is also removed in the scrubber. The scrubber effluent is neutralised,
usually by the addition of lime to form calcium fluoride, and the water is recirculated to the
scrubber. Wet scrubber systems have many disadvantages, such as corrosion by HF acid, scaling
and the expenses involved in removing fluoride values from calcium fluoride. The only benefit
of a wet scrubber system is that it removes some of the sulphur oxide in the exhaust -gasses.
In anode production, fabric filters control coke dust from the classifiers and conveying
equipment. Control of hydrocarbon emissions is more difficult. Since the gasses are at relatively
low temperature – 1500 F degree Fahrenheit or less – tar vapours readily condense in the
ductwork and, together with the coke dust cause plugging. Heat trapping the ductwork will help
to minimise the problem, but will not completely prevent it. Gas velocity in the ductwork should
be at least 17 m/s to prevent coke particles from dropping out and cleanout ports in the ductwork
will facilitate cleaning.
Other effective control technology is pre-coat bag filter using coke dust as the pre-coat material,
which not only adsorbs/absorbs the hydrocarbon vapours, but also prevents the tar from blinding
the filter bags. Coke dust can be obtained from coke pneumatic conveying systems, coke
classifiers, and other exhaust streams. The bags are pre-coated by injecting the coke dust into the
ductwork prior to the bag house. Since the gas is relatively cool, the vapours are almost totally
condensed at this stage and exist as finely condensed particles of tar together with a small
amount of vapour. The amount of coke required will depend on the concentration of hydrocarbon
vapours in the gas stream, but in a shaker collector, a minimum thickness of about 1/8 inch of
pre-coat material is necessary for tar absorption and to protect the filter bags from blinding.
Another operating parameter is to provide enough coke dust so as not to exceed 4-5 per cent tar
content on the coke dust. As a rule, tar-removal efficiency will increase with the amount of coke
used since more coke will produce more surfaces, as well as a thicker pre-coat layer for
increased filtration efficiency.
7.13.1 Preventive control technologies
Historically, as environmental problems are identified, suitable control technology is applied or
developed to correct the problems. This is so-called end-of-the-pipe treatment approach.
However, with mounting environmental costs and an increased awareness of the global effects of
pollution, there is an emerging consensus that a broader approach must be taken to address these
problems. Therefore, it is appropriate to mention some of the other steps – long and short range –
that will find wider acceptance as industry takes a more holistic view towards addressing these
environmental issues.
7.13.2 Process control
The use of modern computer control systems has led to improved process control in the
potrooms. For example, computerised process control can reduce emissions by minimising the
anode effect. An anode effect is caused by a deficiency of alumina feed to a pot, resulting in high
cell resistance, high temperature, and higher fluoride emissions. Computer controls, improved
alumina feeders, and process monitoring can help to reduce anode effects.
Other process control items that can affect environmental costs are anode burn-off and premature
pot lining failure. Anode burn-off can be caused by poor quality anodes or a bad connection at
the carbon-anode interface. And the disposal of spent pot lining removed from failed linings is
currently receiving a great deal of attention in the industry.
7.13.3 Choice of control technology
Poor choice of technology is one where a wet system instead of a dry one is chosen because of
lower capital cost, overlooking the high cost of waste treatment. However, solving the major air
emission problems often results in solid and liquid waste problems. The large number of used
filter bags, some of which are impregnated with hydrocarbons from the anode baking operation,
presents one problem, and the tar collection system used on the closed anode furnace generates
tar contaminated with acids.
7.13.4 Equipment operation and maintenance
Poorly maintained pot hooding, fabric filters, and pneumatic conveyors, for instance, can cause
major emissions. In the long run, well-maintained environmental control equipment not only
emits less, but also provides longer service life. Environmental control systems should also be
integrated into the production process and not operated as an appendage.
7.13.5 Process modification, total quality management, and waste minimization

Process modification, if it can be carried out without major expenditures, can be an inexpensive
method for reducing and perhaps even eliminating an emission. To take advantage of process
modification as a control scheme, continuous evaluation of the process and input from operators,
supervisors, and others familiar with the operation are necessary.
The approach of total quality management (TQM) could also be applied to environmental control
to improve the operation of the systems in terms of reliability, cost of operation and maintenance,
and reduction in emissions. This concept, which also embodies a goal of continuous
improvement, is becoming more accepted in developing countries as an industrial management
tool. It is a system that uses quality control tools, such as data gathering and statistical controls,
and applies them in every step of an operation to produce the best-quality product in the most
efficient manner. The terms operation and product are used in the broadest sense and can range
from a highly sophisticated production process to the most mundane task.
Another long-range program of waste minimisation has been shown by many companies to be
quite beneficial in terms of resource conservation, pollution reduction, and good payback. Like
process modification and TQM, waste minimisation is a never-ending program requiring plant
wide support, environmental awareness, and clear definition of the objectives of waste
minimisation.
These approaches are proactive in nature, and in order to succeed, will require some training,
teamwork, and the commitment of an entire organisation. However, they represent a more logical
and integrated management of environmental issues, and in the long run, a combination of these
programs with the best end-of-the-pipe solutions will prove to be less stressful to the
environment and far more cost effective.
7.14 Guidelines for formulating environmental standards
In a country where environmental standards for a particular industry do not exist, the country
may propose appropriate legislation for the protection of the environment. The following
considerations are important for formulation of the standards:
1. Determination of acceptable risks to living being including plants and animals (USEPA
considers cancer and other significant human health impacts).
2. Determination of population of living beings to be protected.
3. Choice of control technology (USEPA uses minimum achievable control technology,
MACT)
4. Economic considerations – to strike the balance between cost and benefits.
5. Legislation for setting standards- it considers existing national legal framework and
identifies necessary legal strategies.
Once it is decided that exposure to an environmental pollutant needs to be prevented or reduced
in order to protect human health and other living beings, the next step is to select appropriate
measures and means to achieve this goal. Exposures can be avoided if the pollutant is prevented
from being released or if it is degraded naturally or treated before it reaches its target. Reduction
or control measures may be taken at various points on the path between the contemplated source
and its target (Figure 7.2).
The source The environment The target
Product
standard Ambient standards
Transformation
Biological/exposure
Process
Dispersion standards
standard
Emission standards Sink
Figure 7.2 Pollutant pathway showing possible points at which standards may be set
Product standards: The residues of raw materials and intermediates, and the product itself, when
in the developmental stage in the laboratory, should be tested for the side effects on targets. In
such a situation, government intervention is needed and government can adopt any or
combination of the approaches viz (i) the government can ban the product ensuring that there
exists at least one environmentally acceptable substitute for that product; (ii) the second
approach could be to label the product with restrictions on the rate of application and other
precautions.
Process standards: Several times, huge quantities of wastes are generated due to inefficient
process technologies and poor operating practices. Control could be employed on such processes
of manufacture and operating practices so as to minimise wastes. The concept of clean
technologies is the outcome of such control mechanism. Limits can be specified on quantities of
waste (solid, liquid and gaseous) generated per unit of product manufactured (also known as
mass based standards) so that industries would employ such cleaner technologies, which
generate wastes within the permissible limits.
Emission standards: Considerable effort in the control of environmental pollutants has been
concentrated in the development of emission limits on industrial discharges to air and effluent
limits to water. Recently, increased attention is being paid to their releases into the soil. The
prescription of number of samples to be tested, measurement methods to be followed and
statistical procedure to be adopted form the integral part of the ‘standard’. These standards are
often developed based on MACT, which is uniform for all countries, if the technical and
economic conditions are essentially same. However, the environmental quality varies with such
factors as the land use, density of population, sources of environmental pollution and the
meteorological and hydrological conditions. Therefore, it seems reasonable that this be taken into
account while adopting the MACT approach.

Ambient/medium related standards: These are formulated with a view to protecting and
maintaining a healthy status of all biotic and abiotic components of the recipient environment,
the concentration of any pollutant should be within a certain limit. An industry may be permitted
to discharge pollutants in such a manner that the ambient concentration of that pollutant never
exceeds the permissible limit. Such environmental quality standards for the similar recipient
should vary according to its geo-climatic location, and the extent of its variability. Hence, the
quality criteria for all types of recipient environment must be defined.
Exposure standards: The exposure standards are commonly set for the work place. The average
daily intake value is the most usual form of exposure standards. It specifies a daily level of
chemical intake that is considered safe over a life time exposure.
Biological standards: These are the standards that relate to concentration of pollutants in
biological fluids and tissues. The advantage with this standard is that it considers the total effect
on the biological subject.
The formulation of the standards, as described above, has several dimensions. The strategies for
formulation of standards, the means and approach to be adopted for each of these and their
limitations are summarised in Figure 7.3.

Basis Means/Approach Limitations
Product design - Banning the product

- Banning the use for certain purpose Financial implication
- Encouraging Green products
Manufacturing
process technology Limited scope for old Industry
- Introduction of clean technology
- Avoiding spills
Operating practice Discourage clean technology
- Off-site planning
Standards - MACT
Limits on release - Best practicable means Assimilative capacity not
Considered
Medium related - Health criteria/ecological fragility Difficult to implement on
measures
National scale
Biological Concentration of pollutants in tissues Sampling is difficult
standards and blood
Working place Can’t be applied directly

Exposure
Figure 7.3 Dimensions of standards

References
1. Benke, G., Abramson, M., Sim, M.1998. ‘Exposures in the alumina and primary
aluminium industry: an historical review’. Ann Occup Hyg, no.42:173–89.
2. Rush, D., Russel, J. C., and Iverson, R. E. 1973. ‘Air pollution abatement on primary
aluminium potlines: effectiveness and cost’. J. APCA 23 no.2: 74–87.
3. USEPA. Air pollution control in the primary aluminium industry. EPA-450/33-73-004B,
Singmaster and Bayer, New York, 1973.
4. USEPA. Title 40: Protection of Environment, in Standards of Performance for Primary
Aluminum Reduction Plants, 45 FR 44207, 1980.
5. USEPA, AP-42. Supplement A to Compilation of air pollutant emission factors. vol 1:
Stationary Point and Area sources, 1986.
6. USEPA. Primary aluminium industry- technical support document for proposed MACT
standards, United States Environment Protection Agency, 1996.
7. Weinstein & Davison. Fluorides in the Environment. CABI Publishing
ISBN0-85199-683-3, 2004.
8. WHO. Air Quality Guidelines for particulates and fluorides. Copenhagen, Denmark,
2000.
9. WHO. Environment health criteria no. 310. 1984.
10. WHO. Environment health criteria no. 310. 2002.
A7.1 Ambient standard concentration limits for fluoride (HF) in different countries (all
concentrations are in µg/m3)
Exposure Trinidad North America Europe Oceania Germany South Japan
Period Second Canada U.S. A Netherlands Norway Australia New Africa
Schedule Zealand
30 min
average
1- hr 2 70
average (Montreal
Urban
Community
12- hr 3.7 3.7 1.8 - 3.7
average (New
South
Wales)
24 - hr 1 0.85 - 1.1 1.2 - 2.8 1 (for 2.9 1.5 - 2.9 26 1
average 2.9 vegetati Human
on) and
25 ( for
human)
7-d 0.5 - 0.55 1.6 - 1.7 - 2 0.8 - 1.7 0.5

average 1.7
30 - d 0.34 - 0.45 0.8 - 0.8 0.4 0.4 - 0.4 - 0.8
average 1.2 0.84
90 – d 0.4 0.4 0.59 0.1 - 0.5
average Victoria
Annual 1 0.4 - 1
average
A7.2 Interpretation of Second and Third Schedule of Draft Air Pollution Rules of
Trinidad and Tobago
1. For the purposes of the second schedule:
(a) A 10-minute mean is a mean calculated every 10 minutes. The 10 minute mean for a
particular substance at a particular location for a particular 10 minutes is the mean of the
levels recorded, at a frequency of not less than once every 10 seconds for that substance
at that location during those 10 minutes.
(b) A 15 - minute mean is a mean calculated every 15 minutes. The 15 minute mean for a
at that location during that 15 minutes.
(c) A 30-minute mean is a mean calculated every 30 minutes. The 30 minute mean for a
at that location during that 30 minutes.
(d) An hourly mean is a mean calculated every hour. The hourly mean for a particular
substance at a particular location for a particular hour is the mean of the levels recorded,
at a frequency of not less than once every 10 seconds for that substance at that location
during that hour.

(e) A running 8 - hour mean is a mean, which is calculated on an hourly basis yielding one
running 8 - hour mean per hour. The running 8 - hour mean for a particular substance at a
particular location for a particular hour is the mean of the hourly means for that substance
at that location for that hour and the preceding 7 hours.
(f) A 24 - hour mean is a mean calculated every 24 hours. The 24 - hour mean for a
particular substance at a particular location for a particular 24 hour period is the level at
which that substance is recorded as being present in the air at that location on the basis of
a continuous sample taken throughout the period.
(g) An annual mean is a mean, which is calculated on a yearly basis, yielding one annual
mean per calendar year. The annual mean for a particular substance at a particular
location for a particular calendar year is:
(i) in the case of lead, the mean of the daily levels for that year;
(ii) in the case of nitrogen dioxide, the mean of the hourly means for that year;
(iii) in the case of PM10 and PM2.5, the mean of the 24 means for that year.
2. For the purposes of the second and third schedules:
(a) TEQs are calculated values that allow comparisons of the toxicity of different combinations
of dioxins and dioxin-like compounds (a TEQ is a dioxin Toxicity Equivalent, sometimes called
as I-TEQ i.e. International Toxicity Equivalent and is calculated by looking at all toxic dioxins
and furans and measuring them in terms of the most toxic form of dioxin i.e. 2,3,7,8-TCDD). The
two most toxic compounds are the comparison point. For example, a mixture weighing 10g with
a TEQ of 5gm would be as toxic as 5gm of either of those compounds.
In order to calculate a TEQ, a toxic equivalent factor (TEF) is assigned to each member of the
dioxin and dioxin-like compounds category. The TEF is the ratio of the toxicity of one of the
compounds in this category to the toxicity of the two most toxic compounds in the category,
which are each assigned a TEF of 1: 2,3,7,8-tetrachlorodibenzo-p-dioxin (commonly referred to
as dioxin) and 1,2,3,7,8-pentachlorodibenzo-p-dioxin. TEFs that have been established through
international agreements currently range from 1 to 0.0001.
A TEQ is calculated by multiplying the actual grams weight of each dioxin and dioxin-like
compound by its corresponding TEF (e.g., ten gm X 0.1 TEF = one gm TEQ) and then summing
the results. The number that results from this calculation is referred to as grams TEQ.
For example, consider the following 60 gm mixture:
10 gm of compound A, with a TEF of one; 20 gm of compound B with a TEF of 0.5; and 30 gm
of compound C, with a TEF of 0.2.
The TEQ of this mixture would be:
(10gm x 1) + (20gm x 0.5) + (30gm x 0.2) = 26 gm TEQ,

This mixture of 60 gm of various compounds would be as toxic as 26 gm of either of the two
most toxic compounds.
(b) Sampling and analysis to determine compliance with the standards listed in the second and
third schedule shall be in accordance with such methods as are prescribed or approved by the
authority.
Chapter 8
Health effects of working in a Prebake aluminium smelter
Melissa Friesen, Lin Fritschi
8.1 Introduction
This chapter gives a brief review of the occupational health and epidemiological literature on
health effects of working in Prebake aluminium smelters. First we introduce the types of
aluminium smelting technology and the implications of these methods from a health point of
view. We then review the literature on potroom asthma, cancer, heat exposure, and other chronic
diseases. Lastly, we give suggestions as to how to minimize health effects in the workers in
aluminium smelters.
8.2 Exposures in the aluminium smelter
The main exposures of health interest in a smelter are PAHs, dust, fluorides, sulphur dioxide,
heat, noise, electromagnetic radiation, and some metal oxides (Sim and Benke, 2003). In a
Prebake plant, the PAH release occurs at the anode plant. In this chapter, we will concentrate on
the literature regarding Prebake smelters, which are the dominant technology for new smelters.
Much of the existing research has been done on workers in Söderberg smelters and therefore is
not necessarily relevant to the Prebake smelters. Another complicating factor is that many of the
earlier studies were done when exposures were much higher than they are today and their results
may not be applicable to the lower levels of exposure in modern smelters (Benke et. al., 1998).
8.3 Potroom asthma
Potroom asthma, which is a syndrome of wheeze and chest tightness, which are worse at work,
was first described in some potroom workers in 1936. Studies from Norway, North America and
our own studies from Australia have shown that potroom asthma is a real condition (Kongerud
et. al., 1994; Taiwo et. al., 2006; Fritschi et. al., 1999 and 2003). It probably occurs in 10-20% of
potroom workers and is more likely to occur in smokers. The mechanism of this syndrome is
still not clear, but may involve a hypersensitivity reaction. In most affected workers, removing
them from potroom work seems to resolve the symptoms, although a significant minority may
continue to experience symptoms. If the symptoms of potroom asthma develop, the
recommendation is to remove affected workers from exposure as soon as possible (Kongerud et.
al., 1994).
There is considerable debate about whether fluoride or sulphur dioxide exposure is the causative
factor although most studies seem to suggest that fluoride is the responsible agent (Kongerud et.
al., 1994). Fluoride and sulphur dioxide are difficult to separate out in analyses as they are
released together from the pots. From a practical point of view, prevention of exposure to one
would probably decrease exposure to the other.
8.4 Cancer in smelter workers

In 1984, in 1987, and most recently in 2005, the International Agency for Research in Cancer
classified work in the aluminium industry as a class 1 carcinogen (IARC, 1984 and 1987; Straif
et. al., 2005). This means that, according to the body of evidence at that time, work in this
industry is carcinogenic to humans. This classification was mainly based on the reasonably
consistent findings of increased risk of lung and bladder cancer in workers in the potrooms of
Söderberg smelters.
There are only a few studies of cancer in purely Prebake plants (Carta et. al., 2004; Sim et. al.,
2006; Rønneberg and Andersen, 1995). None of these has found statistically significant
associations between potroom work with lung and bladder cancer. The Norwegian study did find
coal tar exposure associated with an excess incidence of bladder cancer and an excess incidence
of lung cancer with certain long latency time windows, but this association was not consistent
across all time windows considered (Rønneberg and Andersen, 1995). The coal tar exposure in
this smelter was primarily confined to the anode plant (Rønneberg, 1995).
In the studies of Prebake smelters there have been isolated findings of increases in pancreatic,
stomach and kidney cancer but these were not consistent between studies and it is unknown if
these are real associations (Carta et. al., 2004; Sim et. al., 2006; Rønneberg and Andersen,
1995). In the Italian study, pancreatic cancer was associated among workers employed in the
anode plant (Carta et. al., 2004). Excess pancreatic, stomach and kidney cancer has also been
observed in Söderberg smelters, but similarly these findings have not been consistent (Spinelli et.
al., 2006; Romundstad et al., 2000a and 2000c). Further follow-up, with larger numbers of cases
would clarify this issue.

It is well known that PAHs are carcinogenic (Boffetta et. al., 1997; Straif et. al., 2005) and since
exposure to PAHs occurs in Söderberg potrooms and in both Söderberg and Prebake anode plants
PAH exposures are probably the causative agent for lung and bladder cancers. An increased risk
of lung and bladder cancer may have been minimized in Prebake smelters, with their lower levels
of PAH.
8.5 Heat stress
Some work tasks in producing aluminium require hot, physical work. High heat exposure occurs
with work in proximity to the pots in the potrooms, in the anode plant, in the casting department,
and several other smelter areas. Work in aluminium smelters has been found to exceed
recommended occupational exposure limits for heat stress and heat strain measures, in particular
in summer months (Logan et. al., 1999). Acute health effects of heat exposure can include heat
stroke, where the body’s ability to regulate its temperature fails and can result in death.
The long-term effects of chronic high heat exposure are not known. In the Norwegian Prebake
smelter study, kidney cancer was associated with heat stress (Rønneberg and Andersen, 1995).
The authors suggest that this may be a chance finding, but also suggest that chronic dehydration
may lead to prolonged retention of concentrated urine which may increase the dose of
carcinogens in the urinary tract. Increased risk of kidney cancer associated with PAH exposure
has also been observed in a Söderberg aluminium smelter (Spinelli et. al., 2006) but this finding
has been inconsistent across studies of other smelters (Boffetta et. al., 1997). PAHs are a
suspected risk factor for kidney cancer, but since PAH exposure and heat exposure occur together
in Söderberg smelters it is not clear whether chronic heat exposure has an influence.
8.6 Other health outcomes
Chronic diseases other than cancer have not been well studied in the aluminium production
industry. Exposure to fluoride in potrooms has been associated with increased risk of death from
respiratory disease (Romundstad et. al., 2000b and 2000c; Logan et. al., 1999). PAH exposure
has been weakly associated with an excess of death from heart disease (Friesen et. al., 2007;
Theriault et. al., 1988). These findings have been inconsistent among studies and warrant
additional study.
8.7 Protecting workers
In order to protect workers in Prebake smelters the information above would suggest that it is
prudent to decrease exposure to fluoride and sulphur dioxide in order to decrease potroom
asthma, and to decrease exposure to PAHs in order to decrease lung and bladder cancer. There
are a range of mechanisms to do this including use of the Prebake instead of the Söderberg
process. Alternatively, using local exhaust ventilation with wet or dry scrubbing of exhaust in
the anode plant and potrooms; having air-filtered cabins for cranes, potroom vehicles and other
work areas; using mechanical devices with remote operators and enclosure of pitch and carbon
grinding equipment in the anode plant. Work rotation and other work processes should be
examined to keep the time spent in close proximity to the pots as short as possible to minimize
exposure to fluorides and heat. Personal protection equipment including respirators, hearing
protection, and fire retardant clothing and gloves should be used where necessary.
Work in hot environments requires time for acclimatization for new employees and employees
returning after absences. Work/rest regimes and access to cool rooms are essential to allow
workers to recover from high physical demands in hot environments. Fluid and electrolyte
replacement are also important aspects for preventing heat stress and heat stroke.
This review has focused on some of the most widespread exposures within aluminium smelters
and their associated health effects. Many other generic health and safety hazards also exist in
aluminium smelters as in any industrial work site. It is essential for any aluminium smelter to
have an effective occupational and environmental health department to identify, evaluate and
control these hazards.

References
1. Benke, G., M. Abramson, and M. Sim. 1998. ‘Exposures in the alumina and primary
aluminium industry: an historical review’. Annals of Occupational Hygiene 42:173-89.
2. Carta, P. et al. 2004. ‘Mortality for pancreatic cancer among aluminium smelter workers in
Sardinia, Italy’. G Ital Med Lav Ergon 26:83-9.
3. Friesen, M. C., H. W. Davies, K. Teschke, A. S. Ostry, C. Hertzman, and P. A. Demers. 2007.

‘Impact of the Specificity of the Exposure Metric on Exposure-Response Relationships.’
Epidemiology 18, no. 1: 88-94.
4. Fritschi, L., J. Beach, M. Sim, M. Abramson, G. Benke, A.W. Musk, N. de Klerk, and J.
McNeil. 1999. ‘Respiratory symptoms and lung function in two Prebake aluminium
smelters’. American Journal of Industrial Medicine 35:491-8.
5. Fritschi, L., M. Sim, A. Forbes, M.J. Abramson, G. Benke, A.W. Musk, and N.H. de Klerk.
2003. ‘Respiratory symptoms and lung-function changes with exposure to five substances in
aluminium smelters’. International Archives of Occupational and Environmental Health
76:103-10.
6. International Agency for Research in Cancer. Monographs: ‘Polynuclear Aromatic

Compounds, Part 3’, Industrial Exposures in Aluminium Production, Coal Gasification,
Coke Production, and Iron and Steel Founding, IARC Press, vol 34, 1984.
7. International Agency for Research in Cancer. Monographs: ‘Supplement No. 7 - Overall

Evaluations of Carcinogenicity’, an updating of IARC Monographs, IARC Press, vols. 1 to
42, 1987.
8. Kongerud, J., J. Boe, V. Soyseth, A. Naalsund, and P. Magnus. 1994. ‘Aluminium potroom
asthma: the Norwegian experience’. European Respiratory Journal 7:165-72.
9. Logan, P.W., and T.E. Bernard. 1999. ‘Heat Stress and Strain in an Aluminium Smelter.’ Am
Ind Hyg Assoc J 60:659-65.
10. Romundstad, P., A. Andersen, and T. Haldorsen. 2000a. ‘Cancer Incidence among Workers in
Six Norwegian Aluminum Plants.’ Scand J Work Environ Health 26, no. 6: 461-9.
11. Romundstad, P., A. Andersen, and T. Haldorsen. 2000b. ‘Non-malignant Mortality among
Workers in Six Norwegian Aluminium Plants.’ Scandinavian Journal of Work, Environment
& Health 26, no. 6: 470-5.
12. Romundstad, P., T. Haldorsen, and A. Andersen. 2000c. ‘Cancer Incidence and Cause
Specific Mortality among Workers in Two Norwegian Aluminium Reduction Plants.’ Am J
Ind Med 37, no. 2:175-83.
13. Rønneberg, A. 1995. ‘Mortality and Cancer Morbidity in Workers from an Aluminium
Smelter with Prebaked Carbon Anodes--Part I: Exposure Assessment.’ Occupational and
Environmental Medicine 52, no. 4:242-9.
14. Rønneberg, A., and A. Andersen. 1995. ‘Mortality and Cancer Morbidity in Workers from an
Aluminium Smelter with Prebaked Carbon Anodes--Part II: Cancer Morbidity.’
Occupational and Environmental Medicine 52, no. 4:250-4.
15. Sim, M., and G. Benke. 2003. ‘World at work: hazards and controls in aluminium potrooms’.
Occupational and Environmental Medicine 60:989-92.
16. Sim, M. et al. Health wise cancer and mortality study. Final report, Monash University,
2006.
17. Spinelli, J. J., Paul A. Demers, Nhu D. Le, M.C. Friesen, M.F. Lorenzi, R Fang, and R. P.
Gallagher. 2006. ‘Cancer Risk in Aluminium Reduction Plant Workers (Canada).’ Cancer
Causes & Control 17, no. 7:939-48.
18. Straif, K., R. Baan, Y. Grosse, B. Secretan, F. El Ghissassi, and V. Cogliano. 2005.
‘Carcinogenicity of Polycyclic Aromatic Hydrocarbons.’ The Lancet 6:931-32.
19. Taiwo, O.A., K.D. Sircar, M.D. Slade, L.F. Cantley, S.J. Vegso, P.M. Rabinowitz, M.G.
Fiellin, and M.R. Cullen. 2006. ‘Incidence of asthma among aluminium workers’. Journal
of Occupational and Environmental Medicine 48:275-82.
20. Theriault, G. P., C. G. Tremblay, and B. G. Armstrong. 1988. ‘Risk of Ischemic Heart
Disease among Primary Aluminium Production Workers.’ American Journal of Industrial
Medicine 13, no. 6: 659-66.
Chapter 9
Human Health and Ecological Risk Assessment of the Proposed Alutrint Project on the La Brea
Community
Harriet A. Phillips
9.1 Background
The ALUTRINT aluminium complex is being developed by the Government of the Republic of
Trinidad and Tobago and SURAL of Venezuela, through a joint venture partnership known as
ALUTRINT Limited.
The proposed aluminium complex site is located on approximately 100 hectares of Union
Industrial Estate (North Site) in LaBrea. The site is bounded to the north by Sobo Village, to the
east by lands belonging to Petrotrin to the south by the Vessigny River and to the west by the
Southern Main Road and Vessigny Village. The map of the site is provided in Figure 9.1
(National Energy Corporation, 2006).
The proposed aluminium complex will consist of an aluminium smelter producing 125,000
metric tonnes a year of molten aluminium, which will be processed in a rod mill and wire and
cable plant. The complex also includes an anode plant (REAL, 2006). Proponents for other
projects located in sections of Union Estate are a power plant and one (1) urea ammonium nitrate
(UAN) plant. They have engaged with the Environmental Management Authority (EMA)
regarding Certificates of Environmental Compliance (CEC) for their proposed locations in the
Union Industrial Estate.

Figure 9.1 Proposed aluminium complex site locations
This paper documents an evaluation of the potential health effects on people residing and/or
working in the immediate area from the substances emitted to the air from the proposed
aluminium complex. In addition, the cumulative effects of the aluminium complex combined
with emissions from the power plant and UAN facility were evaluated. An assessment of
adverse effects on ecological receptors for the cumulative scenario was also undertaken.
9.2 Methodology
The methodology used in assessing human health and ecological risks followed guidelines
outlined by various regulatory agencies including the United States Environmental Protection
Agency, Environment Canada and Health Canada to name a few (USEPA, 1998; Health Canada,
2004). The human health risk assessment is divided into four different steps (see Figure 9.2) as
provided in the various regulatory frameworks (USEPA, 1998; Health Canada, 2004). They are:
• the problem formulation stage, in which the various chemicals of concern, receptors,
exposure pathways, and scenarios are identified;
• the exposure assessment, where predicted exposures are calculated for the various
receptors and chemicals of concern;
• the hazard assessment, in which toxicity reference values for the chemicals of concern are
determined; and,
• the risk characterization stage, where the exposure and hazard assessment steps are
integrated.
Figure 9.2 Human health risk assessment process
9.3 Problem formulation
The chemicals of concern identified were gaseous air pollutants (hydrogen fluoride (HF), carbon
monoxide (CO), nitrogen oxides (NOX) and sulphur dioxide (SO2)), volatile organic compounds,
polycyclic aromatic hydrocarbons (PAHs), aluminium and fine particulate matter (PM10 and
PM2.5). Hydrogen fluoride, PAHs and aluminium were primarily associated with the emissions
from the proposed aluminium complex. VOCs were only associated with the proposed power
plant and UAN facility and carbon monoxide, nitrogen oxides and sulphur dioxide were
associated with emissions from all three facilities.
9.4 Inputs to the risk assessment
The air dispersion model provided concentrations of the gaseous air pollutants, PM10
concentrations, benzo (a) pyrene concentrations, total PAH concentrations and total VOC
concentrations. However, in the risk assessment process, a breakdown of the PAHs and VOCs
into individual chemicals is needed. In addition, aluminium concentrations were not provided.
Therefore, a number of conservative assumptions were used in the assessment to derive these
values:
– All carcinogenic PAHs assumed to be at the same concentration as
benzo(a)pyrene;
– Individual concentrations of non-carcinogenic PAHs assumed to be the same
concentration as the total PAH concentration;
– Individual VOCs were assumed to be at the same concentration as the total VOC
concentration;
– The PM10 concentration was considered to be representative of the aluminium
concentration
– Hydrogen fluoride concentrations were considered to be representative of
fluorides deposited in soils and taken up into vegetation and animals

9.5 Hazard assessment
Toxicity Reference Values were obtained from various reputable regulatory agencies such as the
World Health Organization (WHO) and the United States Environmental Protection Agency
(USEPA 2006; WHO, 2000 & 2005). Results are expressed in terms of hazard quotients and
cancer risk levels for long-term exposures to chemicals that can deposit in the environment and
be taken up into plants and animals in the food chain and in terms of concentration ratio values
for exposures to gaseous air pollutants.
9.6 Exposure assessment
Figure 9.3 demonstrates the pathways of exposure considered in the human health assessment.
As seen from the figure residents of the La Brea Community are exposed by inhalation of
emissions, ingestion of food (fruits, vegetables and chickens) grown in the La Brea area and by
coming in contact with the soil in the community. Residents drink water from sources that are
unaffected by emissions from the proposed Alutrint complex.
There are no dietary surveys available for Trinidad and Tobago, therefore, North American
dietary data was used (USEPA, 1999). Recognizing the uncertainty in this data, a number of
assumptions were used to ensure that the exposures calculated were not underestimated. For
example:
• All the meat consumption was assumed to be chicken.

• Both the mean and upper bound estimates of intake values from North America were
used in the assessment. In terms of chicken consumption, this translates to a range of
intake of:
Figure 9.3 Pathways of exposure for human health assessment
– 1 chicken per person from their yard every two weeks to 1 and a quarter chickens
per person every week from their yard;
• All of the chicken consumed was assumed to be obtained from study area. This
assumption results in an intake of chicken (meat) from the study area that is 25 times
higher than what considered in North America;

• All fruit was assumed to be obtained from trees in La Brea area and no fruit was assumed
to be purchased at the market or supermarket. This assumption results in an intake of fruit
from the study area that is 25 times higher than what is considered in North America;
and,
• Twenty five (25) percent of the vegetables eaten were assumed to be grown in the
backyard. This is 3 times higher than what is generally considered in North America.
9.7 Risk characterization
The hazard quotient is defined as the ratio of exposure (intake) to a long-term toxicity reference
value and the concentration ratio is defined as the ratio of the predicted gaseous air pollutant
concentration to a concentration protective of human health.
 mg 
Predicted Exposure  
 kg d 
HazardQuotient =
 mg 
RfD 
 kg d 
Concentration Ratio =
(
Predicted Air Concentration µg / m 3 )
(
Toxicity Re ferenceValue µg / m 3 )
The cancer risk level is calculated by multiplying the predicted exposure (ingestion or inhalation
dose) by the appropriate cancer slope factor (SF), as shown in the following equations:
−1
 mg   mg 
Risk = Predicted Exposure   × SF  
 kg d   kg d 
Concentration ratios below one are not considered significant as background is considered in this
ratio. In general, regulatory agencies concur that a hazard quotient below 0.2 for the air
exposure pathway or an incremental cancer risk level equal to or less than one-in-one hundred
thousand (<1 x 10-5), is not significant (Health Canada, 2004). Risk levels below these regulatory
limits were interpreted as reflecting no significant adverse health effect.
The possibility of short-term (1- hour, 8 - hour and 24 - hour) and long-term (annual) adverse
human health outcomes were assessed based on exposures that would occur from predicted air
concentrations at the maximum concentration location off the site (including the buffer zone),
which was chosen to provide the worst-case scenario. Maximum concentrations in the nearby
communities of Sobo Village, Vessigny Village and Union Village were also used but are not
presented in this paper with the exception of the analysis for particulate matter. Cautious
estimates (i.e. likely over-estimates) of exposure were used in the assessment to ensure that risks
were not underestimated.
9.8 Smelter only scenario
For the purposes of this assessment, short term and long-term health effects related to gaseous air
pollutants were evaluated by a comparison of the predicted concentrations with established
values that were derived based on effects on respiratory health.
In the smelter only scenario, the assessment considered the emissions of the gaseous air
pollutants as well as fine particulate matter from the proposed aluminium complex. Figure 9.4
presents the results which shows that short-term concentration ratios associated with emissions
of CO, NO2, SO2 and HF from the proposed aluminium smelter complex at the location of the
highest predicted concentration are below 1 indicating that no incremental measurable adverse
health outcomes would be expected in sensitive individuals living or working in the La Brea
study area due to emissions from the proposed aluminium smelter complex. Since the
background concentrations of CO, NO2 and SO2 are much lower than those predicted (and non -
existent for HF); the consideration of background in the concentration ratio would not change the
overall results of the smelter only assessment.
Concentration Ratio
1.20
Concentration Ratio
1.00
0.80
0.60
0.40
0.20
0.00
Target CO CO NO2 NO2 SO2 SO2 HF HF HF
1-hour 8-hour 1-hour Annual 10 24-hour 1-hour 24-hour Annual
minute
Hazard
Figure 9.4 Concentration ratios for exposure to gaseous pollutants at the maximum concentration
location – smelter only scenario
Fine particulate matter (PM10 and PM2.5) background concentrations on a 24-hour basis in the La
Brea area are relatively high and are quite variable within the study area therefore the particulate
assessment provides the concentrations for different locations (Table 9.1). The predicted
incremental fine particulate matter (PM10 and PM2.5) concentrations associated with emissions
from the proposed aluminium smelter complex even with the consideration of background are
below but below health-based criteria set out by the WHO and U.S. EPA; therefore no health
effects related to particulate matter are expected from stack emissions from the proposed
aluminium smelter complex.
Table 9.1 Predicted particulate matter concentrations associated with proposed aluminium
smelter
Maximum
Health Maximum Maximum Maximum Maximum
concentration Background
based concentration concentration concentration concentration
Particulate matter Vessigny concentration
criteria off-site high school Union village Sobo village
village (µg/m3)
(µg/m3) (µg/m3) (µg/m3) (µg/m3) (µg/m3)
(µg/m3)
50
24-hr 0.85 0.71 0.79 0.65 0.66 45
PM10 (WHO)
Annual N/A 0.32 0.24 0.28 0.19 0.04 21
25
(WHO)
24-hr 0.43 0.36 0.40 0.33 0.33 23
35 (U.S.
a
PM2.5 EPA)
15
Annual (U.S. 0.16 0.12 0.14 0.10 0.02 11
EPA)
a
Note: – particulate matter emitted from the stack was assumed to be PM10, PM2.5 values assumed to be 50% of
PM10.
In summary, it is unlikely that adverse short-term or long-term health effects will be experienced
by community residents from emissions from the proposed aluminium smelter because of
exposure to gaseous pollutants.

9.9 Cumulative scenario
The cumulative scenario evaluated the emissions of the gaseous air pollutants as well as
particulate matter from the proposed aluminium complex, the proposed power plant and UAN
facility. In addition, the cumulative effects of PAHs and VOCs associated with the three
proposed facilities at the maximum concentration location were evaluated.
The concentration ratios associated with cumulative exposure to NO2 are below a value of one
for all locations in the study area (see Figure 9.5). The proposed power plant and UAN facility
account for about 65% of the NO2 concentration. Concentration ratios for CO, SO2 and HF are
also below a value of one. Therefore, it is unlikely that adverse health effects will occur in the
La Brea community for cumulative exposure to emissions from the three proposed facilities.
Concentration Ratio
1.2
Co ncentrat ion Rat io
0.8
0.6
0.4
0.2
0
Target CO CO NO2 NO2 SO2 SO2 HF HF HF
1-hour 8-hour 1-hour Annual 10 24-hour 1-hour 24-hour Annual
minute
Haz ar d
Figure 9.5 Concentration ratios for exposure to gaseous pollutants at the maximum concentration
location – cumulative scenario
When background is considered, the cumulative 24-hour PM10 and annual concentrations are
predicted to be below the WHO health-based criteria (see Table 9.2). Comparison to the U.S.
EPA criteria indicates that the cumulative 24-hour PM2.5 concentration is also below the health-
based value of 35µg/m3 and on an annual basis is also below the health-based value (15µg/m3).
Table 9.2 Predicted particulate matter concentrations associated with cumulative scenario
Maximum concentration (µg/m3) Health
based
Particulate matter High Vessigny Union Sobo criteria
school village village village (µg/m3)
Background 44.8 13.1 20.5 8.5
Predicted 2.2 3.2 22.6 0.91
24-hour 50 (WHO)
Total Cumulative
Value 47.0 16.4 43.1 9.4
PM10
Background 21.2 6.2 9.7 4.0
Predicted 0.46 0.49 1.8 0.058
Annual N/A
Total Cumulative
Value 21.7 6.7 11.5 4.1
Background 22.4 6.6 10.3 4.2
25 (WHO)
24-hour
Predicted 1.1 1.6 11.3 0.45 35
Total Cumulative (USEPA)
23.5 8.2 21.6 4.7
PM2.5a Value
Background 10.6 3.1 4.9 2.0
Predicted 0.23 0.25 0.88 0.029 15
Annual
Total Cumulative (USEPA)
Value 10.8 3.3 5.7 2.04
Note: a particulate matter emitted from the stack was assumed to be PM10, PM2.5 values assumed to be 50%
of PM10.
The cancer risk values for long-term exposure to carcinogenic PAHs (from the smelter) and
VOCs (From the power plant and UAN facility) are all below a risk level of one-in-one-hundred
thousand (1 x 10-5) and are therefore considered insignificant as seen in Figure 9.6.
Additionally, hazard quotient values (predicted exposure dose ÷ chronic toxicity reference value)
for non-carcinogenic PAHs and VOCs as well as aluminium and fluoride are well below a
benchmark value of 0.2 as shown in Figure 9.7. It should be noted that the VOC exposure is
related to the proposed power plant and UAN facility and not the aluminium complex.
Risk Level
1.20E-05
1.00E-05
Risk Level
8.00E-06
6.00E-06
4.00E-06
2.00E-06
0.00E+00
Target PAH VOC
Hazard
Figure 9.6 Risk values for exposure to carcinogenic chemicals of concern at the maximum
concentration location – cumulative scenario
Hazard Quotient
0.25
0.2
Quotient
0.15
0.1
0.05
0
Target Al F PAH VOC
Haz ar d
Figure 9.7 Hazard quotient values for exposure to non-carcinogenic chemicals of concern at the
maximum concentration location – cumulative scenario
Therefore, it was concluded that no measurable adverse health effects would be expected to
occur near the proposed aluminium smelter complex, proposed power plant and UAN facility
due to exposures to gaseous pollutants as well as PAHs and VOCs.
9.10 Ecological assessment
An ecological risk assessment was performed for representative ecological receptors (e.g.,
vegetation and wild animals) to cover a range of possible exposure scenarios.
9.11 Problem formulation
The assessment considered five terrestrial animals (agouti, armadillo, mouse opossum,
mongoose and tayra) and three bird species (sandpiper, short-tailed hawk and osprey) as shown
in Figure 9.8 (IMA, 2003). These receptors were selected to cover a wide range of diet types
(e.g. plant eaters, insect eaters and carnivores).
Figure 9.9, provides a schematic representation of the pathways of exposure. Some of the
ecological receptors were assumed to be exposed on the Vessigny River to the south of the site.
The ecological risk assessment evaluated the cumulative exposure scenario for gaseous
pollutants as well as exposure to aluminium, fluoride and benzo (a) pyrene in emissions mainly
associated with the proposed aluminium complex and exposure to VOCs such as benzene,
toluene, ethylbenzene, xylenes, acrolein and formaldehyde associated with the proposed power
plant and UAN facility.

Figure 9.8 Ecological receptors used in the assessment
Figure 9.9 Exposure pathways evaluated in the risk assessment

9.12 Dose-response assessment
Toxicity reference values, based on no observable adverse effects levels (NOAELs) only exist
for a few of the identified chemicals found in emissions from the three facilities; this adds to the
uncertainty in the assessment (Sample et al., 1996). However, the predicted concentrations of
these chemicals in soil (10-3 to 10-11 mg/kg) and water (1 x 10-4 to 1.6 x 10-9 mg/L) after 30 years
of deposition are small and thus they will not be measurable. Therefore, this uncertainty does
not change the overall findings of the assessment.
9.13 Risk characterization
Potential adverse effects of gaseous air pollutants (NOx, HF and SO2) on vegetation were
considered in the assessment. The maximum 24-hour and annual concentrations of SO2
(including background), NOx (including background) and HF resulted in screening index values
(defined as air concentration/phytotoxic reference concentration) below phytotoxicity levels in
vegetation (WHO, 2000) as shown in Figure 11.10. This indicated that no potential adverse
effects will occur in vegetation from exposure to gaseous pollutants (SO2, NOx and HF) in the
vicinity of the proposed aluminium smelter complex and the proposed power plant and UAN
facility.
The pathways portion of the ecological assessment showed that the predicted incremental
concentrations of aluminium, fluoride, benzo(a)pyrene, benzene, toluene, ethylbenzene, xylenes,
acrolein and formaldehyde resulted in exposure values in the ecological receptors that were
orders of magnitude below the ecological toxicity reference values where no adverse effects are
observed. In fact, if all the screening index values (defined as the exposure/ ecological toxicity
reference value) for a given ecological receptor were summed, the resulting screening index
value would be below a value of 0.1 (see Figure 9.11). If the evaluated chemicals were used as
surrogates for the chemicals that were not qualitatively assessed, then the exposures would also
be within the same order of magnitude. Therefore, the results of the ecological risk assessment
demonstrate that it is unlikely that any ecological receptors will experience adverse effects from
the operation of the proposed aluminium smelter complex and the proposed power plant and
UAN facility.
Scree ning Index - Phyt ot oxicity
1.2
Scree ning In dex
0.8
0.6
0.4
0.2
0
Target NOx NOx SO2 SO2 HF HF
24-hour Annual 24-hour Annual 24-hour Annual
Ha zar d
Figure 9.10 Screening index values for gaseous pollutants – cumulative scenario
Screening Index
0.12
Screening Index
0.1
0.08
0.06
0.04
0.02
k
um
o
e
ti
et
y
er
a
aw
il l
os
ou
re
yr
rg
ip
ad
ss
sp
Ta
go
H
Ag
dp
Ta
po
m
O
d
on
n
Ar
ile
O
Sa
M
ta
se
rt-
ou
o
Sh
M
Animals an d Bi rds
Figure 9.11 Total screening index values for ecological receptors – cumulative scenario
9.14 Certainty of results
An evaluation of the uncertainties in various measurements and methods used in the risk
assessment indicated that the risks have been over-estimated because of the assumptions made
about exposure (which were generally cautious). The results of this uncertainty analysis support
the overall conclusion that no measurable adverse effects would occur in the human or ecological
community in the La Brea study area.
9.15 Conclusion
In summary, predicted concentrations of gaseous air pollutants, aluminium, PAHs, VOCs and
fine particulate matter from the proposed facilities (aluminium smelter complex, power plant and
UAN facility) will add to existing air quality levels. However, the risk assessment demonstrated
that these changes in air quality levels and consequently in levels in soil, water and vegetation
will not result in adverse effects in humans or ecological receptors in the La Brea area.
In accordance with best practices, ambient air monitoring should be implemented in the study
area when all the facilities are operational to ensure that gaseous air pollutants and particulate
matter do not exceed health-based limits.

References
1. Health Canada 2004. Federal Contaminated Site Risk Assessment in Canada. Part 1:
Guidance on Human Health Preliminary Quantitative Risk Assessment (PQRA).
Environmental Health Assessment Services. Cat. No.: H46-2/04-367E.
2. Institute of Marine Affairs (IMA) 2003. Environmental Impact Assessment for the
Establishment of an Industrial Estate at Union Estate, La Brea (Phase 2), Southwestern
Trinidad. Prepared for The National Gas Company of Trinidad and Tobago Limited (NGC)
and The National Energy Corporation of Trinidad and Tobago Limited (NEC). December.
3. National Energy Corporation 2006. Map provided by manager for Union Estate.
4. Rapid Environmental Assessments Limited (REAL) 2006. Environmental Impact Assessment

for a Proposed Aluminum Smelter Complex to be Sited at Main Site North, Union Industrial
Estate, La Brea. Prepared for Alutrint Ltd. By Rapid Environmental Assessments (2003)
Limited in association with Komex Europe Limited, Foster Solutions for Sustainable
Ecosystem Development, SENES Consultants Limited and Earth Tech. January.
5. Sample, B.E., D.M. Opresko and G.W. Suter II 1996. Toxicological Benchmarks for Wildlife:
1996 Revision. June. Appendix D.
6. United States Environmental Protection Agency (U.S. EPA) 1998. Human Health Risk
Assessment Protocol for Hazardous Waste Combustion Facilities. EPA Region 6, Office of
Solid Waste, July.
7. United States Environmental Protection Agency (U.S. EPA) 1999. Exposure Factors
Handbook. Office of Research and Development. EPA/600/C-99/001. February.
8. United States Environmental Protection Agency (U.S. EPA) 2006. Integrated Risk
Information System – IRIS. Accessed at: http://www.epa.gov/iris/
9. World Health Organization (WHO) 2000. Chapter 10: Effects of sulfur dioxide on vegetation:
critical levels and Chapter 11: Effects of nitrogen containing air pollutants: critical levels.
From Air Quality Guidelines for Europe. WHO Regional Publications, European Series No.
91.
10. World Health Organization (WHO) 2005. Air Quality Guidelines Global Update.
EUR/05/5046029
Chapter 10
Freshwater ecosystems and industrial development: A case study in the southwest peninsula of
Trinidad
Mary Alkins-Koo
10.1 Background
Trinidad and Tobago’s freshwater ecosystems are defined as being of local importance in terms
of biological distinctiveness, endangered in term of conservation status and a priority area for
conservation at the regional scale. Freshwater ecosystems of the southwest peninsula include
intermittent streams, swamp forest and coastal wetlands. The streams are highly seasonal and
general features include low flow rates, clay substrates, high organic matter inputs, naturally high
levels of iron, slight acidity, low alkalinity, high-suspended solids, dark colour, low dissolved
oxygen and high phosphate concentrations. Such conditions increase the vulnerability of these
streams to waste discharges and disturbance.
The biota of the southwest peninsula is strongly influenced by the nearby South American
mainland. There are several new species records for Trinidad and species with restricted
distributions. The biodiversity of fish is particularly high. The environmental conditions support
unique freshwater communities that contrast with streams elsewhere in Trinidad and Tobago.
Highly seasonal conditions influence population sizes and viability of fish, create high habitat
diversity, and high biological productivity. It is concluded that the aquatic fauna of the southwest
peninsula is unique and of significant biological value and the impacts of any proposed
development need to be assessed carefully.
Mitigation methods to minimize the effects of any proposed development on the freshwater
ecosystems include watershed level management, development of specific norms and ranges of
acceptable deviation for environmental conditions and careful design of biomonitoring
assessment techniques. Relocation and transplantation methods are not considered to be
appropriate for most of the freshwater fauna likely to be impacted and conservation of unique
and representative ecosystems is recommended. Further study is needed to assess the value of
ecosystem functions and the nature of the socioeconomic systems and well-being of the people
dependent on these ecosystems.
10.2 Introduction
Rivers, lakes and other inland wetland ecosystems provide a wide range of services that
contribute strongly to human well-being and poverty alleviation at a global scale (Millennium
Ecosystem Assessment, 2005). Major services include the provision of fish for food and
renewable freshwater supplies. Other services provided by freshwater ecosystems include water
purification and detoxification of wastes, climate regulation, mitigation of climate change, flood
regulation, cultural services, and recreational opportunities including tourism. Taken together, the
sum of the marketed and non-marketed economic benefits of unconverted wetlands is often
larger than that of converted wetlands (Millennium Ecosystem Assessment, 2005). Resource
competition and conflicts for freshwater and inland wetlands are growing, becoming regional
and global in scale (Revenga et al., 2000) and thankfully have resulted in national and regional
cooperation more than direct conflict (UNESCO-WWAP, 2003). Supplies of freshwater in small
islands are particularly threatened when coupled with climate variability and change (UNESCO-
WWAP, 2006).
Conservation of freshwater ecosystems and their biodiversity has been the focus of regional
assessments recently (e.g. Olson et al., 1998; Pringle and Scatena, 1999; Pringle et al., 2000)
since along with their terrestrial counterparts, aquatic ecosystems have been increasingly placed
under pressures to provide renewable resources while being exposed to the ravages of poor
planning and pollution. In a classification of freshwater systems in Latin America and the
Caribbean, Olson et al. (1998) identified 9 major freshwater habitat types, 42 Ecoregion
complexes and 117 freshwater ecoregions. Trinidad and Tobago’s freshwater ecosystems were
classified in the Venezuelan Coast / Trinidad ecoregion and were defined as being of local
importance in terms of biological distinctiveness, but endangered in term of conservation status.
Olson et al. (1998) concluded that they are a priority area for conservation at the regional scale.
Trinidad and Tobago are adequately endowed with freshwater resources but significant threats to
the quality and quantity of those resources are apparent (WRA, 2001). Surface waters provide
about three-quarters of the total volume of water supplied for domestic, industrial / commercial
and irrigation purposes in Trinidad and Tobago (EMA, 1998). In addition to water resource
supply, local freshwater ecosystems serve a variety of functions and values ranging from
hydrological (floodplain water storage and flood protection), ecological (biodiversity support and
conservation), economic (recreation in the form of the ever popular ‘river lime’) and social /
cultural / technological values (e.g. religious rituals such as the annual Hindu festival Ganga
Dharaa). One often-unrecognized value includes the extensive international research on

freshwater fish particularly in rivers of the Northern Range (Alkins-Koo et al., 2004; Northern
Range Assessment, 2005).
Surface water ecosystems in Trinidad and Tobago include riverine environments, which range
from small upper course torrents to deep slow-moving lowland streams and rivers. They may be
temporary, intermittent or permanent; clear water with gravel substrates or turbid clay-bottomed
ditches. Recent research indicates that there are 3 discernable ecoregions in Trinidad and
Tobago’s rivers based on substrate and discharge characteristics: (1) Tobago; (2) north and north-
east Trinidad; and (3) central and south Trinidad (Maharaj and Alkins-Koo, in prep.). This is
consistent with background features of topography and geology. Only recently have detailed
studies been conducted on the biodiversity of local freshwater invertebrate faunas; much remains
to be discovered about the aquatic flora (Alkins-Koo et al., 2004). However, freshwater faunas
are generally diverse and reflect our favourable geographical position as continental islands close
to sources of biodiversity on the South American mainland.
10.3 Freshwater ecosystems of the southwest peninsula
The freshwater ecosystems are considered in terms of their habitats, conditions and biodiversity.
They are unique aquatic habitats in comparison with those found in north and central Trinidad
and are representative of lowland conditions in Trinidad.
Streams on the southwest peninsula range from tiny intermittent ditches to relatively large deep
channels in swamp forest habitat bordered with huge swamp bloodwood trees and the thorny
palm Bactris. The lower reaches of individual streams may be brackish estuaries emerging
directly onto sand beaches or may flow into coastal wetlands such as Los Blanquizales Lagoon.
Brackish marshes and swamps are found at Fullerton and the seaward edge of Los Blanquizales
Lagoon and may be dominated by sedges, the golden-backed fern, Acrostichum, or mangrove.
Accelerated habitat degradation by fire and land conversion to settlement and agriculture has
taken place in the catchments of the southwest peninsula over the last 20 years. Prior to this the
peninsula was generally covered with coconut and cocoa plantations, small homestead plots,
some dairy pasture and fairly extensive natural seasonal evergreen forest. Two streams at
Chatham, the Carlisle and Quarahoon Rivers flow southwards to the Columbus Channel through
a mixture of such habitats. Other similar streams in south Trinidad such as Erin and Moruga
Rivers are disturbed quite extensively by other activities including oil pollution. The streams of
Chatham south can still be considered among the least disturbed freshwater habitats of this type
in southern Trinidad.
10.4 Hydrological and physicochemical features
The intermittent or temporary streams in this area are fed largely by seasonal rainfall and flow
only in the rainy season whereas in the dry season they either form isolated pools or dry up
completely. General features of such streams have consequences for alteration of land cover and
replacement with industrial activities. Detailed data are derived from studies on the Carlisle and
Quarahoon rivers (Alkins, 1987).
The flat or undulating low topography resulted in low discharge rates between 0 and 0.53 m 3s-1
and therefore a low potential for dilution of wastes. As a result of low current velocities, stream
substrates were fine-grained and comprised of 23 to 47 per cent clay and 41 to 73 per cent fine
and coarse sand. Carbon content of sediments ranged from 0.4 to 2.6 per cent due to high levels
of organic matter inputs from surrounding terrestrial ecosystems.
Turbidity was generally high (up to 548 Formazin units) due to high levels of fine particulate
inorganic and organic matter. Such particulate matter increases the potential for adsorption of
contaminants. Biological Oxygen Demand (BOD) measures were moderately high (BOD 7 up to
8.3 mg l-1). Naturally high levels of iron in surface and ground waters up to 11 mg l-1 were
recorded in this area. Depending upon conditions, iron occurs as flocculent ferric deposits or as
dissolved toxic ferrous ions. Similar levels have been recorded in rivers draining into the Nariva
Swamp (Bacon et al., 1979) and are typical of tropical waters influenced by weathered ferric
soils (Payne, 1986).
In comparison with streams in other parts of Trinidad and Tobago, the Carlisle and Quarahoon
rivers had waters of slight acidity (5.39 - 7.57 pH units), low total alkalinity or buffering capacity
(17 - 154 mg l-l CaCO3), high total solids (up to 940 mg l-1), dark humic colour (up to 1500
Hazen units), low dissolved oxygen (DO, averaging between 45 and 75% saturation), and high
phosphate concentrations (up to 0.5 mg l-1) (Alkins, 1987).
Another site that has been extensively sampled for organisms in the southwest peninsula (B1/71
on the Southern Main Road) is a channel within swamp forest (Kenny, 1995). It has been
explored relatively recently and conditions are similar in many respects to those in the Carlisle
and Quarahoon rivers: low DO, pH, and alkalinity; moderately high BOD, and high total
phosphates (Maharaj and Alkins-Koo, in prep.)

Some conditions such as dissolved oxygen are already at the physiological extreme for
organisms which are adapted to survive in these circumstances (Alkins-Koo, 1990; 2000).
Therefore even slight alteration due to human influences may result in alteration of stream
communities and ecosystem function.
Other considerations with respect to industrial or other development include assessment of the
volume of runoff or potential liquid waste discharges relative to baseline flow and seasonal
variation of such flow; the impact of additional sediment loading and dissolved constituents to
water with high total solids; the impact of sewage or greywater input into waters with naturally
high BOD and low DO; the impact of addition of any acidifying substances via atmospheric
deposition (e.g. SO2) or liquid effluents into waters of naturally low pH and low buffering
capacity. Acidification may also cause mobilisation of nutrients and heavy metals so it’s impact
on already high phosphate and dissolved iron concentrations, the seasonal dynamics of these
components, and potential toxicity due to increased concentrations of ferrous iron need to be
considered in any assessment of the potential effects of atmospheric and liquid waste discharges.
10.5 Bio - geographical context of the southwest peninsula
The southwest peninsula is separated by a distance of only 12 km from the South American
mainland by the shallow Columbus Channel. South America is a major centre of global
biological diversity and Trinidad shares a large number of species in common with the mainland
by being a nearby continental island (Kenny, 2000).

The Columbus Channel experiences low salinity conditions in the rainy season when large
mainland rivers such as the Orinoco River flood. They also wash floating ‘islands’ of debris and
associated plants and animals onto the south and east coasts of Trinidad (Alkins and De Souza,
1984).
Records of species new to Trinidad have been made in the past for even such large animals as
capybara and tapir (Kenny, 1995). A large freshwater mata mata turtle, Chelys fimbriata, was
found on the Chatham (south) beach by villagers. It bore barnacles on its shell indicating a
lengthy stay in brackish water and it is very likely to have originated from a large river on the
mainland as there are few if any breeding populations of this species locally (Alkins and De
Souza, 1984).
10.6 Unique freshwater habitats and biodiversity
Highly seasonal intermittent and temporary aquatic habitats such as those of the Chatham
drainages are biologically important for a number of reasons including being important to global
biodiversity (Williams, 2006). In his recent review of the biology of temporary waters, D.D.
Williams specifically and extensively highlights the intermittent streams studied at Chatham in
terms of composition and diversity of fish and invertebrate fauna (Williams, 2006) based on
Alkins-Koo (1990). To attribute such importance to the biodiversity of the Chatham area in a
book that reviews the global status of this habitat type is significant.
The aquatic habitat at bridge B1/71 on the Southern Main Road, a slow-flowing stream in swamp
forest habitat, has been sampled for decades by many previous researchers and has long been
held as a unique site for collection of restricted or specialised aquatic species such as the guabine
Erythrinus erythrinus and the Suriname Toad, Pipa pipa (Kenny, 1995). Biodiversity of fish is
particularly high with 19 species being recorded from the Carlisle and Quarahoon Rivers
(Alkins-Koo, 1990) out of a total of about 40 true freshwater species reported for Trinidad and
Tobago. A detailed inventory of one group of aquatic insects, the water bugs (Nieser and Alkins-
Koo, 1991) has unearthed several new records from the peninsula (Table 10.1) and it is expected
that surveys of any other group e.g. Ephemeroptera (mayflies), will show a similar trend.
Some freshwater fish species are restricted in distribution due to localised colonisation and
development of populations in the south and southwest of Trinidad, e.g. the silver tetra fish
Moenkhausia bondi, the guabine Erythrinus erythrinus, the silver hatchet fish Gasteropelecus
sternicla and Gephyrocharax valencia (Alkins-Koo, 1990; Kenny, 1995; Phillip, 1998). Four
species of frogs are also recorded only from the southwest peninsula, namely Leptodactylus
nesiotus, Leptodactylus macrosternum, Hyla minuscula and Adenomera hylaedactyla (Murphy,
1997). One species of mayfly (Ephemeroptera) and at least six water bugs (aquatic Hemiptera)
are also of restricted status or new records for Trinidad. A detailed listing of restricted species
and new records for the peninsula is provided in Table 10.1. In addition, the southwest peninsula
was highlighted in Michalski (1988) as ‘an extraordinary place to collect’ Odonata (dragonflies
and damselflies) because several species that are unusual or difficult to find elsewhere in
Trinidad are found commonly in this location.
Recent research on the rivers of T&T has identified central and southern streams as being distinct
from those in north Trinidad or Tobago (Maharaj and Alkins-Koo, in prep.). In particular, the
environmental conditions that exist in the streams of the southwest peninsula such as sluggish
flow, clay sediments, fringing vegetation and high detritus inputs, support unique communities
dominated by water bugs, beetles, midges, snails and worms (Alkins-Koo, 1990). In contrast
streams elsewhere e.g. Northern and Central Ranges, are fast-flowing and have boulder or cobble
substrates that support a very different community dominated by mayflies and caddisflies, among
others (e.g. Hynes, 1971). The reason for such differences relates primarily to contrasts in
substrate types, current velocity and dissolved oxygen levels. Many of the aquatic species found
in the
Table 10.1 List of freshwater biota recorded from southwest peninsula, which have restricted
distribution ranges and/or are new records for Trinidad.
Species Status Reference
Amphibia
Leptodactylus nesiotus Recorded only for Icacos Swamp (type Murphy 1997
locality)
Leptodactylus. Recorded only for Icacos Swamp, Southern Murphy 1997
macrosternum Main Road
Hyla minuscula Recorded only for Bonasse Murphy 1997
Adenomera hylaedactyla Recorded only for Bonasse, Siparia, Cedros Murphy 1997
Teleostei
Brycon siebenthalae New record, Carlisle River, Chatham Alkins and De Souza 1984; Alkins
1987; Alkins-Koo 1990
Triportheus elongatus New record, Los Blanquizales Lagoon and Alkins and De Souza 1984; Sturm
Quarahoon River, Chatham and De Souza 1984; Alkins 1987;
Alkins-Koo 1990
Gasteropelecus sternicla Recorded only for Carlisle River, Chatham Alkins 1987; Alkins-Koo 1990;
and 2 rivers west of Nariva Swamp where it Phillip 1998
may have been introduced
Moenkhausia bondi Recorded only from Carlisle River, Chatham Alkins 1987; Alkins-Koo 1990;
and Erin River Kenny 1995
Erythrinus erythrinus Recorded only for B1/71 on Southern Main Alkins-Koo 1990; Kenny 1995;
Road and Quarahoon River, Chatham Phillip 1998
Insecta: Ephemeroptera
Miroculis (M.) ?fittkaui New record; Carlisle River, Chatham Alkins 1987; Alkins-Koo 1990
Insecta: Hemiptera
Curicta carinata Recorded only for Carlisle River, Chatham Nieser and Alkins-Koo 1991
and Moruga; possibly Nariva Swamp
Buenoa amnigenus New record, Carlisle River, Chatham Nieser and Alkins-Koo 1991
Buenoa rostra New record, Carlisle River, Chatham Nieser and Alkins-Koo 1991
Hydrometra comata Rare, Carlisle River, Chatham Nieser and Alkins-Koo 1991
Hydrometra guianana New record, Carlisle River, Chatham Nieser and Alkins-Koo 1991
southwest peninsula are air-breathing e.g. beetles, bugs and even fish as compared with the gill-
breathing species of the Northern Range. These communities bear strong resemblances to
lowland floodplain habitats on the South American mainland (Alkins-Koo, 1990).
The seasonally variable hydrological and physicochemical conditions in these streams are critical
for maintenance of populations of these organisms. It has been shown (e.g. Alkins-Koo, 2000)
that seasonal changes in flow and physicochemical conditions influence reproductive cycles and
juvenile success and therefore population sizes and viability of fish in these streams. Marked
seasonality of conditions also creates high habitat diversity, i.e. flowing waters in the rainy
season and isolated pools in the dry. Each time of the year favours different biological
communities, e.g. dry season pools are rich in dense plankton not found at other times (Alkins,
1987; Alkins-Koo, 1990). These streams also have high biological productivity primarily due to
large inputs of detritus and nutrients from terrestrial sources and alternating dry/wet cycles that
enhance mineralization of nutrients.
It can be concluded that the aquatic fauna of the southwest peninsula is unique and of significant
biological value. In a highly variable and extreme habitat such as this, the impacts of any
proposed development need to be assessed carefully if viable biological communities are to be
maintained. This is particularly important given the diversity and significance of the fish and
invertebrate fauna.
10.7 Mitigation measures and assessment of impacts on freshwater ecosystems
One solution that is often proposed for the protection of biota from the habitat destruction
associated with land cover change is removal and transplantation of organisms elsewhere. This is
of dubious value as resource needs may not be met easily in other similar environments. It
assumes that the novel environments into which the organisms are introduced are not already
saturated with existing populations. Many larger organisms also need extensive support to be
introduced into alternative environments because of their complex behaviours for finding food or
suitable shelter, or integrating with resident populations, e.g. primates. Relocation cannot be
applied to the aquatic organisms described here such as fish and invertebrates for reasons given
above as well as the difficulty of transplanting much smaller rarer species with complex life
cycles, e.g. insects. In addition similar habitats to which they might be transplanted may not be
available elsewhere or may also be under threat from human impacts e.g. Erin river which is
severely affected by oil pollution (Phillip, 1998). Therefore the net result of extensive habitat
destruction or degradation that may affect the freshwater ecosystems of the southwest peninsula
will be extirpation of unique species and loss of unique environments for Trinidad and Tobago.
It is therefore necessary in this context to protect habitats, biological communities and self-
sustaining ecosystems that are representative of this geographic area in order to avoid extirpation
of restricted species and loss of unique environments. Suitable areas should be defined based on
the locations of a range of representative and unique environments plus sufficient buffer zones to
prevent external influences. Comments below on using a watershed approach should be applied
here for defining suitable buffer zones since maintenance of natural hydrological features of the
habitats require using natural hydrological units for management. In addition large conservation
units are more effectively protected and are less subject to disturbance and edge effects (Noss
and Cooperrider, 1994).
Aquatic ecosystems and their biota are also intimately interrelated with the surrounding
terrestrial environments (Hynes, 1975). Sensitive invertebrates respond negatively to increased
catchment’s imperviousness (Walsh et al., 2007) and food webs are affected by catchment’s
deforestation (England and Rosemond, 2004). In general, disturbance to the watershed will affect
stream ecosystems in some way. In order to conserve or manage aquatic ecosystems, it is now
the standard approach to manage activities at the watershed level and consider process within the
atmospheric, land cover, soil, land surface, and substratum components (FAO, 1995).
Therefore holistic watershed level planning is necessary and must consider existing and proposed
land use, including riparian cover; physical modifications of channels; direct and indirect
alteration of flow regime; non-point sources of wastes (surface and groundwater); point sources
of waste discharges; and even atmospheric deposition of substances.
Assessment of the impacts of waste discharges and non-point source pollution is normally
accomplished using key physicochemical parameters and a ‘normal’ range of values based on
expert judgement and that expected from ‘pristine’ habitats. As discussed previously,
environmental conditions in these aquatic habitats is very different from that obtaining in other
parts of Trinidad such as Northern Range rivers, and specific norms and ranges of acceptable
deviation would have to be developed (Maharaj and Alkins-Koo, in prep.).
Methods of bioassessment or biological monitoring which evaluate degree of habitat degradation
commonly use certain summary criteria based on the composition of the biological communities.
In stream ecosystems, pollution tolerance metrics using benthic macroinvertebrates may be
applied routinely, e.g. Biological Monitoring Working Party (BMWP) or Average Score Per
Taxon (ASPT) scores from the UK (Maharaj and Alkins-Koo, in prep.). A comparison of sites
from the Carlisle river (southwest peninsula) and Guanapo river (Northern Range) which both
have minimal levels of human impact give ASPT metric scores of 11.1 and 10.1 respectively.
The ASPT score ranges from one (most polluted) to 10 (least polluted). The lower score of the
Carlisle river is attributable to the predominance of air-breathing insects (water bugs and beetles)
and those tolerant of low DO conditions (midges and worms) as they are associated with
organically enriched waters whether natural or anthropogenic in origin. The natural differences
in biological communities from the southwest peninsula as compared with those elsewhere in
Trinidad and Tobago require that the methods for impact assessment will have to be carefully
designed. In addition, Maharaj and Alkins-Koo (in prep.) note that only one tolerance metric, the
ASPT score, can reliably assess stream degradation using macroinvertebrate communities in the
south and central ecoregion of Trinidad.
10.8 The roles of freshwater ecosystems
Streams and rivers perform a range of vital functions for humans and for the biosphere’s
functioning. These include provision of food, freshwater, fuel, hydropower and fibre,
biochemical and genetic materials for human survival. Regulating and supporting functions
include climate regulation (source of and sink for greenhouse gases; influence local and regional
temperature, precipitation, and other climatic processes); water regulation (hydrological flows,
groundwater recharge / discharge); water purification and waste treatment retention, recovery,
and removal of excess nutrients and other pollutants; erosion regulation (retention of soils and
sediments); natural hazard regulation (flood control, storm protection); habitat for pollinators and
biodiversity support; soil formation (sediment retention and accumulation of organic matter); and
nutrient cycling (storage, recycling, processing, and acquisition of nutrients).
Direct services to humans include satisfying cultural aspects of our lives such as spiritual and
inspirational needs (source of inspiration; many religions attach spiritual and religious values to
aspects of wetland ecosystems); recreational opportunities for a variety of activities including
tourism; fulfilling aesthetic needs (many people find beauty or aesthetic value in aspects of
wetland ecosystems); educational opportunities for formal and informal education, training and
research (Alkins-Koo et al., 2004; Millennium Ecosystem Assessment, 2005).
In particular services such as water purification, maintenance of biodiversity and watershed
protection never enter the market and have no price tag in order to fully assess trade-offs with
alternative uses (Revenga et al., 2000). The full value of the freshwater ecosystems in the
southwest peninsula remains largely uninvestigated.
The socioeconomic systems and well-being of the people who are dependent on the water
resources, aquatic biodiversity and other services provided by rivers in the southwest peninsula
need to be explored fully. Based on such information, there must be careful deliberation to
identify the costs of loss of these ecosystem functions in comparison with any potential gain
from degradation or destruction of these habitats and replacement with industrial or other
development.
In the absence of such detailed information and bases for establishing a coherent plan for
managing the freshwater systems in the southwest peninsula, there is sufficient statement of
general principles for approaching this task in the Draft revised National Environmental Policy
(EMA, 2005), the Draft National Water Resources Management Policy (GORTT, 2002) and the
National Biodiversity Strategy and Action Plan (EMA, undated) that reflect the justification and
proposed action to ensure sustainable management of these environments.

References
1. Alkins, M.E.H. 1987. ‘Seasonality and fish reproduction in an intermittent stream’. PhD
thesis, U.W.I., St Augustine.
2. ――― and G. De Souza. 1984. ‘Two new freshwater fish records for Trinidad and some
comments on the zoogeography of the southern peninsula’. Living World 1983/84: 8-12.
3. Alkins-Koo, M. 1990. ‘The aquatic fauna of two intermittent streams in the southwestern
peninsula, Trinidad’. Living World 1989/90: 36-42.
4. ――― 2000. ‘Reproductive timing of fishes in a tropical intermittent stream’.

Environmental Biology of Fishes 57: 49-66.
5. ―――, F. Lucas, L. Maharaj, S. Maharaj, D. Phillip, W. Rostant and S. Surujdeo-Maharaj.

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assessment of rivers in Trinidad and Tobago’. Caribbean Environmental Forum-2, Port of
Spain, 2004 May 31-June 04.
6. Bacon, P.R., E. Jaikaransingh and G. Seeberan. 1979. ‘Notes on some freshwater molluscs
from Nariva Swamp, Trinidad’. Living World 1978/79: 14-15.
7. Bacon, P.R., J.S. Kenny, M.E. Alkins, S.N. Mootoosingh, E.K. Ramcharan, and G.S.B.
Seeberan. 1979. ‘Studies on the Biological Resources of Nariva Swamp, Trinidad’.
Occasional Paper 4, Zoology Department, U.W.I., St Augustine.
8. EMA. Undated. National Biodiversity Strategy and Action Plan for Trinidad and Tobago.
Environmental Management Authority, Port of Spain.
9. EMA.1998. State of the Environment Report 19910. Environmental Management Authority,

Port of Spain.
10. EMA. 2005. Revised National Environmental Policy. Environmental Management Authority,
Port of Spain.
11. England, L.E. and A.D. Rosemond. 2004. ‘Small reductions in forest cover weaken
terrestrial-aquatic linkages in headwater streams’. Freshwater Biology 49: 721-734.
12. FAO. 1995. Land and water integration and river basin management. Proceedings of an
FAO informal workshop, Rome, Italy, 31 January - 2 February 1993. Available at
http://www.fao.org/docrep/V5400E/v5400e00.HTM.
13. GORTT. 2002. Draft National Water Resources Management Policy. Ministry of Public
Utilities and the Environment, Water Resources Unit.
14. Hynes, H.B.N. 1971. ‘Zonation of the invertebrate fauna in a West Indian stream’.
Hydrobiologia 38(1): 1-10.
15. ――― 1975. ‘The stream and its valley’. Verh. Int. Verein. Limnol. 19: 1-15.
16. Kenny, J.S. 1995. Views from the Bridge. A memoir on the freshwater fishes of Trinidad. J.S.
Kenny, Maracas, St Joseph, Trinidad.
17. ――― 2000.Views from the Ridge. Prospect Press.
18. Maharaj, L.D. In prep. ‘Bioassessment approaches using benthic macroinvertebrates in the
streams of Trinidad and Tobago’. Ph.D. thesis, University of the West Indies, St Augustine.
19. ――― and M. Alkins-Koo. In prep. Use of benthic macroinvertebrates to assess

anthropogenic impacts in the rivers of Trinidad and Tobago. EMA Technical Report.
20. Michalski, J. 1988. A Catalogue and Guide to the Dragonflies of Trinidad (Order Odonata).
Occasional Paper 6, Zoology Department, U.W.I., St Augustine.
21. Millennium Ecosystem Assessment. 2005. Ecosystems and Human Well-Being: Wetlands and
Water Synthesis. World Resources Institute, Washington DC.
22. Murphy, J.C. 1997. Amphibians and Reptiles of Trinidad and Tobago. Krieger Publ.,
Malabar, FL.
23. Nieser, N. and M. Alkins-Koo. 1991. The Water Bugs of Trinidad and Tobago. Occasional
Paper 9, Zoology Department, U.W.I., St Augustine.
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biodiversity. Island Press, Washington DC.
26. Olson, D., Dinerstein, E., Canevari, P., Davidson, I., Castro, G., Morisset, V., Abell, R., and
Toledo, E.; eds. 1998. Freshwater biodiversity of Latin America and the Caribbean: A
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27. Payne, A.I. 1986. The Ecology of Tropical Lakes and Rivers. John Wiley and Sons,
Chichester.
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PhD thesis, University of St Andrews.
29. Pringle, C.M. and Scatena, F.N. 1999. ‘Aquatic ecosystem deterioration in Latin America and
the Caribbean’. pp. 104-113, in L.U. Hatch and M.E. Swisher, eds. Managed ecosystems: the
Mesoamerican experience. Oxford University Press, NY.
30. ―――, Scatena, F.N., Paaby-Hansen, P. and Nunez-Ferrera, M. 2000. ‘River conservation in
Latin America and the Caribbean’. pp. 41-77, in P.J. Boon, B.R. Davies and G.E. Petts, eds.
Global perspectives on River conservation: Science, policy and practice. J. Wiley and Sons,
London.
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Global Ecosystems: Freshwater Systems. World Resources Institute, Washington DC.
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fish from Trinidad’. Copeia 1984(1): 262-263.
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Trinidad.
Chapter 11
Health Hazards to Animals Associated with Aluminium Smelting
John E. Cooper
11.1 Background
The possible effects of aluminium production (“smelting”) on vertebrate and invertebrate
animals appears not to have been studied in depth. Such research is important as animal health is
an important component of ecosystem health, disturbances to which can have adverse effects on
humans, other animals, plants and habitat.
During the course of aluminium production animals may be affected a) directly by the element
(aluminium) itself or aluminium compounds b) directly by other chemicals (e.g. hydrogen
fluoride) and products (including waste) or c) indirectly by such activities as construction of
buildings, installation of drainage/sewerage and the clearing of vegetation.
It appears that aluminium smelting, even using modern techniques, has the potential to damage
both domesticated and wild animals. There would be merit in using invertebrates, fish,
amphibians, reptiles, birds and mammals as environmental sentinels. This would necessitate
regularly capturing and monitoring such species. Properly formulated protocols are essential and
an interdisciplinary approach to the monitoring studies is advisable.

11.2 Introduction
The nomenclature, “aluminum” was the name proposed for the element by Sir Humphrey Davy
in 1808, (Lide, 2003). “Aluminium” remained the international spelling for nearly 100 years
until, it is alleged, the typographical error in an American advertisement introduced the word
“aluminum” – now used routinely in the USA and some others.
Alum was used as an astringent and as a mordant in dyeing by both the Greeks and the Romans
and continued to be employed in medical and veterinary work for many centuries (Blood and
Studdert, 1988). It therefore has been closely associated with humans and livestock for well over
two thousand years.
Although modern aluminium production is essentially an electrolytic process, I shall refer to it as
“smelting” in this chapter. I shall discuss the possible relevance of aluminium smelting to the
health of animals. I shall interpret “animals” in its broad, correct, sense of both vertebrate and
invertebrate species. I shall refer to wild animals as well as to domesticated, as both might be
influenced by aluminium smelting and because many diverse species could possibly serve as
useful sentinels in environmental impact studies. I am also using the term “health” rather than
“disease”: the former, which is a positive concept, can increasingly be quantified and the
assessment of health is the aim of most modern medical and veterinary programmes rather than
the mere eradication of disease (Cooper, 2007).

A key part of my argument is to urge that the possible effects of aluminium smelting on animals
should not be studied in isolation but must form part of a broader programme of monitoring
“ecosystem health” (Rapport et. al., 1998). This concept implies an integrated approach, as
below:
Animal Health
↑↓
Human ← ECOSYSTEM → Plant

Health → HEALTH ← Health
↓↑
Environmental
Health
It will be clear from this diagram that clinical or subclinical disease in animals can - a) influence
the overall health of an ecosystem; b) be affected by other changes within it. The complexity
and subtleties of the interactions between the different components of ecosystem health means
that meticulous “forensic” methods may need to be employed in investigations (Cooper and
Cooper, 2007).
11.3 Possible effects of aluminium smelting on animals
Any effects of an aluminium production plant on animals can be divided into three categories:-
a) the direct effects of the element (aluminium) itself or aluminium compounds
b) the direct effects of other chemicals and by-products, including waste

c) the indirect effects of activities associated with the development of the production plant,
such as construction of buildings, installation of drainage and sewerage and the clearing
of vegetation.
Each of the above will be discussed briefly.
a) Direct effects of aluminium and its compounds
Studies on laboratory animals, especially rodents, over many years, have confirmed that
aluminium itself, and some aluminium-based compounds, can be directly toxic to mammals,
affecting mainly the nervous system, lungs, liver and reproductive system. (Clayton et. al. 1992;
Gonzales et. al. 2004; Mićić et. al. 2003). Such changes are usually, but not necessarily,
associated with very high intake and/or prolonged administration. Toxicological studies are still
needed, especially testing lower levels of exposure, in a wider range of species.
In everyday veterinary work, aluminium is not considered – nor, indeed, listed – as an important
cause of poisoning in domesticated animals. This is in marked contradistinction to certain other
elements, such as lead, arsenic and molybdenum. In most veterinary toxicology textbooks
aluminium does not even feature in the index. In contrast, it has appeared in texts on
therapeutics because veterinarians have for long used aluminium-based compounds for the
treatment of animals. Thus, for example, the use of alum to treat diseases of animals and as an
antidote to lead-poisoning featured in editions of one standard veterinary textbook (Greig and
Boddie, 1948) for many decades.

As far as I can ascertain, acute or chronic poisoning due to aluminium or one of its compounds
has never been diagnosed in an animal during over ten years of routine clinical and post-mortem
work at the UWI School of Veterinary Medicine.
The veterinarians are aware that aluminium can be toxic to animals. They also recognize that
increased intake (ingestion) of aluminium by certain domestic species can have more subtle
effects – for example, on calcium metabolism. Our understanding of the latter in horses stems
from the work on ponies in the USA in the 1980s (Schryver et. al. 1986).
Uncomplicated aluminium poisoning in domesticated animals appears to be rare. There are
anecdotal reports linking the metal with deaths but these do not provide conclusive evidence, nor
is it usually clear whether aluminium alone or other factors might have been involved. For
example, in the 1990s in County Limerick, Ireland, unexplained deaths in cattle were attributed
by some to the close proximity of three smelters (Cleary, 1995; Fahy, 2001). Not only were
mortality and morbidity of cattle reported but farmers’ families were said to have “recurring skin
problems”. The Irish Environmental Protection Agency could not implicate aluminium as such
but a rise in sulphur dioxide and in sulphur was reported in plants, soil and water. Fluoride was
at the top of its range but this is a natural feature of some soils in County Limerick.
There are also assertions that aluminium may have adverse effects on wildlife. The evidence is
again often anecdotal or circumstantial and does not differentiate the effects of aluminium itself
from those of other by-products of smelting. For example, it has been alleged that Beluga
whales (Delphinapterus leucas) can be immunocompromised as a result of exposure to
aluminium smelters (De Guise et. al. 1998; Wagermann et. al. 1990). In Europe, pathological
changes have been studied in deer living near aluminium plants (Kierdorf and Kierdorf, 2000
Vikoren et. al. 1996); but the skeleton lesions detected appeared to be due to the products of the
process, especially fluorides, rather than exposure to the element or its compounds.
It is important to remember that even though aluminium may not kill an animal, it could have
chronic effects on organ function – as reported in birds, for instance (Scheuhammer, 1987) - or
interact with other factors to cause an altered immune response, as mentioned briefly above.
These changes in turn could lead to increased susceptibility to infectious or non-infectious
disease. The concept that disorders associated with aluminium production may be multifactorial
is important.
b) Direct effects of other chemicals and by-products
Aluminium production based on the electrolytic reduction of alumina (A1203) results in the
production of gases (CO2, HF, SO2 and CO) and particulate emissions (fluoride, carbon, alumina).
Some of these can affect animals.
The best-known example relates to gaseous or particulate fluorides. These were significant by-
products of smelting in the past when less refined methods were used. Fluorosis, usually
characterized in mammals by lameness, fractures and dental disease, is well recognised in
veterinary medicine (Jones et. al. 1997). It can in turn affect milk and meat production.
However, it must always be remembered that fluorosis occurs in animals (including humans) not
just because of exposure to industrial effluent but because some soils and rocks contain high
“natural” fluoride.
Despite some work (Sparling and Lowe, 1996), there remains a paucity of published information
on the affects of fluorides and other gaseous or particulate emissions on most non-mammalian
species (birds, reptiles, amphibians, fish and invertebrates). This is a regrettable deficiency as
some of these animals may prove to be especially sensitive to small doses or exhibit effects that
would make them valuable sentinels and research models. The lethal effect on some
invertebrates and fish based products and fluorides are often well documented but more subtle
effects on physiology and health are less well understood. Studies are also needed on the extent
to which fluorides and other by-products of aluminium production might become concentrated in
different taxa as they pass through the food chain. Chronic fluorosis is well recognized in guinea
pigs (Cavia porcellus) where it causes a disease known as “slobbers” (Atkinson and Hard, 1966).
Other hystricomorph rodents, (some of which are native to Trinidad) might prove to be equally
or more sensitive to fluorides and other by-products, thus enhancing their value as environmental
indicators.
c) Indirect effects
These can be divided into a) toxic, and b) non-toxic. The former is exemplified by the well-
recognised adverse effects of aluminium and some aluminium-based products on plant growth
(Wheeler et. al. 1992), including DNA damage (Meriga et. al. 2004) – which may in turn cause
morbidity (ill-health) or mortality (death) in animals.

Less well defined are “non-toxic” factors. The construction of a smelter involves habitat
damage. This may lead to an increase in marginal grazing by livestock, which in turn can result
in their exposure to toxic plants or arthropods (e.g. ticks) that may then cause or transmit disease.
Habitat changes can have particularly profound effects on wildlife: for instance, the draining of
wetlands to make way for industrial development may extirpate species of fish, amphibians or
aquatic invertebrates.
11.4 Conclusions and discussion
It is clear that aluminium smelting, even using modern techniques, has the potential to cause
adverse effects in domestic and wild animals (Shore et. al. 1985: Shupe et. al. 1984). The
proposed siting of aluminium smelters in Trinidad and Tobago has evoked much argument and
disagreement. Many of the concerns have been aired in the popular media (Spence, 2006); until
the hosting, by the University of West Indies (UWI), of the 2007 Symposium, scientific analysis
and debate have been very limited.
The message of this presentation is, therefore, as follows. In any discussion, in any studies,
concerning the pros and cons of aluminium production, animals – both domesticated and wild -
must form part of the equation. We should be considering using animals in order to obtain
scientific information. By this I do not necessarily mean dosing them (this is still important but
many of the relevant toxicological data are already established and substantiated) but studying
them. Animals have for long been well-recognized environmental sentinels for specific toxic
substances (the canary in the coalmine is the best historical example). Anyone who doubts this
assertion and the role that different species can play should read the (appropriately named)
Canary Database, available on the internet, – “Animals as Sentinels of Human Environmental
Health Hazards”.
Surveillance of animals can provide valuable scientific formation that is relevant to other species
and to their habitats. Domesticated animals are generally good sentinels for Homo sapiens
because they live in close proximity with humans and share their lifestyle. They also yield
products that can be easily harvested and analysed – milk, eggs, feathers, meat and hides, for
example. Wild free-living, animals, on the other hand, are often more reliable sentinels for
monitoring ecosystems because these animals are not confined in terms of space (they roam
freely) and they usually feed on natural vegetation, invertebrates and other animals. Some wild
animals are likely to prove to better sentinels than others – as illustrated by the work of Vikoren
et. al. (1996). He proposed that roe deer are a better biomonitor of fluoride exposure than are
other cervids because of their more sedentary behaviour.
The veterinary profession has a role to play in studies on the possible effects of aluminium
production plants. Working in collaboration with ecologists and other colleagues, veterinarians
can not only examine and provide important information on live and dead animals and their
tissues but also help to formulate and implement meaningful, long-term, studies. Such an
interdisciplinary approach is essential if reliable scientific data on this important and often
contentious matter are to be obtained.

References
1. Atkinson, F.F. and Hard, G.C. 1996. “Chronic fluorosis in the guinea-pig”. Nature 211: 429-
430.
2. Blood, D.C. and Studdert, V.P. Bailliere’s Comprehensive Veterinary Dictionary. Baillière
Tindall, London, 1988.
3. Clayton, R.M., Sedowofia, S.K., Rankin, J.M. and Manning, A. 1992. “Long-term effects of
aluminium on the fetal mouse brain”. Life Science 51:1921-1928.
4. Cleary, C. ‘Agencies move to unravel mystery of animal deaths’. The Irish Times, April 15
1995.
5. Cooper, J.E. 2007. Birds of Prey: Health & Diseases. Blackwell, Oxford.
6. Cooper, J.E. and Cooper, M.E. 2007. Introduction to Veterinary and Comparative Forensic
Medicine. Blackwell, Oxford.
7. De Guise, S. Martineau, D., Béland, P. and Fournier, M. 1998. “Effects of in vitro exposure of
beluga whale leukocytes to selected organochlorines”. Journal of Toxicological and Environ
mental Health 55: 479-493.
8. Fahy, D. ‘No evidence” that environment had caused ill health’. The Irish Times, August 10,
2001.
9. Gonzales, M. A., Roma, M.G., Bernal, C.A., Alvarez, M de L. and Carillo, M.C. 2004.
“Biliary secretory function in rats chronically intoxicated with aluminum”. Toxicological
Sciences 79, no. 1:189-195.
10. Greig, J.R. and Boddie, G.F. 1948. Hoare’s Veterinary Materia Medica and Therapeutics. 6th
edn. Baillière, Tindall and Cox, London.
11. Jones, T.C. Hunt, R.D. and King, N.W. 1997. Veterinary Pathology. Williams & Wilkins,
Baltimore.
12. Kierdorf, U. and Kierdorf, H. 2000. “Comparative analysis of dental fluorosis in roe deer
(Capreolus capreolus) and red deer (Cervus elaphus): interdental variation and species
differences”. Journal of Zoology 250: 87-93.
13. Lide, D.R. 2003. CRC Handbook of Chemistry and Physics. CRC Press, Boca Raton and
London.
14. Meriga, B., Reddy, B.K., Rao, K.R., Reddy, L.A. and Kishor, P.B.K. 2004. “Aluminium-
induced production of oxygen radicals, lipid peroxidation and DNA damage in seedlings of
rice (Oryza sativa)”. Journal of Plant Physiology 161, no. 1:63-68.
15. Mićić, D.V., Petronigević, N.D. and Vucetić, S.S. 2003. “Superoxide dismutase activity in
the Mongolian gerbil brain after acute poisoning with aluminum”. Journal of Alzheimen’s
Disease 5, no. 1:49-56.
16. Rapport, D., Costanza, R., Epstein, P.R., Gudet, C. and Levins, R. 1998. Ecosystem Health.
Blackwell Science, Oxford.
17. Scheuhammer A.M. 1987. “The chronic toxicity of aluminium, cadmium, mercury, and lead
in birds: a review”. Environmental Pollution 46, no. 4:263-295.
18. Schryver, H.F. Mills, D.L., Soderholm, L.V., Williams, J. and Hintz, H.F. 1986. “Metabolism
of some essential mineral in ponies fed high levels of aluminium”. Cornell Veterinarian 76,
no. 4:354-360
19. Shore, D. et. al. 1985. “Aluminum –fluoride complexes: preclinical studies”. Journal of
Environmental, Pathologic and Toxicologic Oncology 6:9-13.
20. Shupe, J.L., Olsen, A.E. Peterson, H.B. 1984. “Fluoride toxicosis in wild ungulates”.
Journal of the American Veterinary Medical Association 185:1295 – 1300.
21. Sparling, D.W. and Lowe, T.P. 1996. “Environmental hazards of aluminum to plants
invertebrates, Fish and wildlife”. Reviews Environmental Contamination and Toxicology
145:1-127.
22. Spence, J. ‘Unanswered smelter questions’. The Daily Express, December 28, 2006.
23. Vikoren, T., Stuve, G. and Froslie, A. 1996. “Fluoride exposure to cervids inhabiting areas
adjacent to aluminum smelters in Norway. I. Residue levels”. Journal of wildlife Diseases
32, no. 2:169-180.
24. Wagemann, R., Stewart, R.E.A., Beland,, P. and Desjardins, C. 1990. ‘Heavy metals and
selenium in tissues of beluga whales, Delphinapterus leucas, from the Canadian Arctic and
the St. Lawrence estuary’. In Advances in Research on the Beluga Whale, Delphinapterus
leucas. Ed. Smith, T.G., St. Aubin, D.J. and Geraci, J.R., Canadian Bulletin of Fisheries and
Aquatic Sciences 224, 191-206.
25. Wheeler, D.M., Edmeades, D.C., Christie, R.A. and Gardner, R. 1992. “Effect of Aluminium
on the growth of 34 plant species: a summary of results obtained in low ionic strength
solution culture”. Plant and Soil 146, no. 1-2:61-66.
Chapter 12
Plant Diversity in the South-west Peninsula: Past, Present and Future
Yasmin S. Baksh-Comeau, Shobha. S. Maharaj, Paul L. Comeau and Bheshem Ramlal
12.1 Introduction
Biological diversity encompasses all levels of natural variation from the molecular and genetic
level to the species level (Huston, 1996). The south-west peninsula of Trinidad represents a
small area of plant diversity which contributes common, rare and endemic species to the overall
mosaic of plant communities found on the island. Trinidad is a good example of a continental
island with the south-west peninsula only 16km from Venezuela (Fig. 12.1). This close
proximity provides a natural gateway for the arrival of new species from the mainland, such as,
Heliconia marginata (Griggs) Pittier which was found in Los Blanquizales Lagoon in 1966 and
is considered by Aitkin, to have become established in Trinidad by means of Orinoco floods. It
is widespread in the lowlands of Venezuela (Simmonds, 1967). On the other hand, the recent
separation of Trinidad from the South American continent, 10,000 years or less, accounts for the
very low endemism on the island in general and in particular on the peninsula. Within this
peninsula of approximately 145 km2 a range of vegetation communities have persisted with
varying degrees of disturbance. Further, the introduction of plantation crops such as coconut
(Cocos nucifera), cocoa (Theobroma cacao) and to a lesser extent rubber (Hevea brasiliensis)
and ‘brazil’ or ‘paradise nut’ (Lecythis zabucajo) have been at the expense of the natural forest.
However, sustainable development which balances the management of the natural forest and the
introduction of economic activities such as eco-tourism, agro-forestry and bee keeping should be
encouraged. The revitalization of former coconut plantations for producing traditional products
and /or diversifying into new ones with new technologies and modern machinery should be a
priority.
#
Port of Spain
United States Chaguanas
#
San Fernando#
#
South West La Brea
Cuba # Point Fortin
Mexico Peninsula
Jamaica
Honduras
Nicaragua
Trinidad and Tobago
Venezuela
Guyana
Fig. 12.1 Location map of South-West Peninsula (Ramlal, 2007)
12.2 Geology and soils
An overview of the geology and soils of the south-west peninsula shows that the area consists of
sedimentary deposits (mainly sands and clays) dating from the middle Miocene to the end of the
Pliocene (17 to 1.8 million years before present). The freely drained sandy soils that are derived
from the parent material are very poor in nutrients. Recent alluvial deposits dating back to
10,000 years are found in the swamps (between Icacos and Fullerton) and the Los Blanquizales
Lagoon. These waterlogged deposits are rich in organic nutrients.

The south-west peninsula is geologically active with mud volcanoes (sedimentary volcanism) at
the Columbus and L’Envieuse estates and at Islote Point (Fig.12.2). These sites are associated
with the Siparia-Ortoire Syncline and the Southern Anticline, the latter trends offshore between
the Erin group of mud volcanoes in the east and the Columbus group in the west. These extrude
mud, predominantly low density clays, that flow toward the surface primarily through tectonic
movement and secondly to gas (methane) and liquids (brine) under pressure.
The south-west peninsula is being actively eroding along the south coast by the strong currents
of the Columbus Channel which flow westward into the Gulf of Paria while on the north coast of
the peninsula sediment accretion is extending the shoreline (Marshall, 1934).
Fig. 12.2 Islote Point Mud volcano (P.L. Comeau 1995)
12.3 Vegetation
The vegetation of the south-west peninsula of Trinidad during the early 20th century consisted
predominantly of a Carapa-Eschweilera-Maximiliana (now Attalea) (Crappo-Guatecare-
Cocorite) association, which was interspersed with pockets of Mora excelsa within the interior
and Trichilia-Brosimum (Acurel-Moussara), Herbaceous swamp (Fig.12.3) and Mangrove along

the coastline (Fig.12.4). Today, much of these vegetation types have been replaced by a myriad
anthropogenic activities ranging from industry to the replacement of natural vegetation with
plantations of the exotic species Caribbean pine (Pinus caribaea).
Fig. 12.3 Herbaceous swamp in the foreground (S. S. Maharaj 2007)

N
W E
Vegetation
Herbaceous Swamp
Mangrove
Mixed Crappo-Guatecare (Evergreen Forest)
Mora (Evergreen Forest)
Palm Swamp
Figure 12.4 Vegetation Map of South-west Peninsula, 1946 (Beard, 1946)
The dominance and zonation of the Carapa-Eschweilera-Maximiliana within this region is, as is
the case with most of the associations elsewhere within the island, a result of the availability of
moisture, be it in the form of rainfall or soil moisture (Marshall, 1939). Carapa-Eschweilera-
Maximiliana is the response of the vegetation to a combination of free drainage and partially
impeded drainage, and hence poorer, less fertile soils (Beard, 1946) with relatively lower rainfall
levels (Marshall, 1939).
The dry nature of this area has made it predisposed to fires, indeed, from as early as 1912 large,
destructive fires have been recorded (Marshall, 1939; Beard, 1946). Beard (1946) however
believed that during these earlier times, such fires were naturally induced and not a result of
Amerindian shifting cultivation – as the area was too dry and shifting cultivation in such areas
would simply imperil any crops planted. Today, however, many of these fires are started within
the holdings of private landowners and are easily spread to forested areas, again due to the
relatively desiccant nature of the land (Atkinson personal communication).

Large-scale human activity within the peninsula has been documented from as early as 1914,
during which substantial areas were cleared for petroleum exploration. Today large areas of
forest continue to be cleared, not only for the needs of the petroleum industry but also for
agriculture. Caribbean pine and coconut plantations (which occupy over 3,600 hectares), and
most recently the aluminium smelting industry have exacerbated the problem. Indeed, it is not
just the Carapa-Eschweilera-Maximiliana forests that have been depleted, the pockets of
herbaceous swamps and mangroves that occur along the coastline continue to be destroyed and
filled to make way for houses and agriculture (Fig.12.5 & 12.6).
W E
Vegetation
Evergreen Seasonal Forest
Herbaceous Swamp
Mangrove W oodland
Non-Natural Vegetation/Non State Lands
Palm Forest
Second Growth and Clearings
Savanna
0 2000 4000 Meters
Fig. 12.5 Vegetation Map of the South-west Peninsula, 2001 (USGS, 2001)
Gulf of Paria
N
Irois Bay
W E
Point Rouge Cap-De-Ville
S
Granville Bay
Roads
Buildings Cedros Point
Granville
0 2000 4000 Meters
Esperanza Bay
St. Marie Point

Cedros Bay Bamboo Chatham
ui zal es Lagoon
Los Gallos Point Bl anq
Bonasse L os
Fullerton
Columbus Bay Erin Bay
Islote Bay
Corral Point
Punta del Arena
Quemada Point
Icacos Point
Fig. 12.6 Map showing development in South-west Peninsula (USGS, 2001).
The open shelter wood system, which is a timber extraction practice of the Forestry Division of
Trinidad and Tobago, has been a significant contributor to the disturbance of the remaining
natural vegetation in this area. Over the last forty years, over-exploitation of the harvestable tree
species, as well as, failure to ensure that there was a replacement (same species) sapling within
200 m of the tree to be harvested, have resulted in highly disturbed forests within which the
floristic composition has been greatly altered. Additionally, Caribbean pine saplings have been
planted within the forests with the expectation that these would have soon been out-competed by
native tree saplings, with the latter becoming dominant with continued growth. However, the
frequent fires within this region were not anticipated, such that, both the native trees and
Caribbean pine seedlings succumb to the frequent fires, while the pyrophytic adaptation of the
mature Caribbean pine trees allowed them to survive. The result has been ageing stands of
Caribbean pine at the expense of native tree species recruitment. Caribbean pine plantations
have also been responsible for the complete destruction of eight out of the ten areas of natural
savannas, which were once found within the southern watershed. Today two savannas are all that
remain to represent the Erin savannas and should be retained as examples of savanna vegetation
(Atkinson, 2007).
The problem of agricultural squatting where substantial areas within the forest interior (to avoid
detection) have been cleared in order to grow crops such as watermelons required the clearing of
corridors (make-shift roads) through the forest which created further fragmentation. The result
has been, and continues to be a landscape where very little undisturbed natural vegetation
remains. Instead, it is being replaced by a predominance of ‘lastro’ (fast growing pioneer species)
and fragments of disturbed natural vegetation, the floristic composition of which has, in many
cases, been greatly altered (Figure 12.7).
Fires Destruction/filling of wetlands

Dry climate Housing
Spread from private lands Agriculture
Agricultural squatting
Sometimes large expanses Plantations
of forest cleared to plant crops Coconut (ca. 3600ha)
Fragmentation DISTURBANCE Rubber
Brazil nut
Cocoa
Monoculture
Natural forest felled and replaced
with Caribbean Pine monoculture
Mora
Fires
Over-harvesting
Open Shelterwood system
Haphazard – seedling not always
within 200m of parent tree for
Clearing of forest for industry
recruitment
e. g. Petroleum exploration
Quota often exceeded
Fig. 12.7 Factors causing disturbance in the SW Peninsula

However, there have been some encouraging developments. Within recent years, there has been
an initiative by the Forestry Division of the Government of the Republic of Trinidad and Tobago
(GORTT) to discontinue the planting of Caribbean pine in many areas, focusing instead on
native timber species. The Morne L’Enfer Forest Reserve which was destroyed extensively by
fire in the 1980s has been left on its own to regenerate without any replanting or interference.
The National Gas Company (NGC) in collaboration with the Forestry Division has, over the last
year, begun to replant native timber species in an effort to re-afforest the area that was cleared
when this company installed a pipeline from Point-Fortin to Guayaguayare, a distance of about
72 km. The limited area of forest where Mora excelsa trees can still be found in the south-west
peninsula is now managed with a policy of no felling of Mora (Atkinson, 2007).
12.4 Flora
Plant collecting and documentation on the South-western peninsula has been mostly sporadic or
focused on specific habitats such as, mud volcanoes, swamps, the coastal zones; or on different
taxa, for example, palms and ferns; or life forms, such as trees and epiphytes. Botanical
explorations in the area have been carried out from as early as 1842 which is evident from plant
specimens preserved at the National Herbarium of Trinidad and Tobago and in other herbaria in
Europe and North America. Further, it is possible that Fernando G. de Oviedo of Spain (1526)
will have reported earlier botanical records from this area, of which we are unaware, according
to documentations of plant life in Trinidad.
The sources of data for the compilation of a flora checklist, for purposes of this study,
incorporated herbarium specimens deposited in local and international herbaria, the published
Flora of Trinidad and Tobago (Williams, R.O. et al., 1928-1992) and unpublished species lists
(Adams & Baksh-Comeau, 2007). This has resulted in 432 species of vascular plants in eighty-
four (84) families and 303 genera (A12.1). However, this is by no means an exhaustive list of
plants as some very rare plants, common weeds, popular ornamentals and crop plants may have
been excluded because of collectors’ bias focusing on specific groups or habitats dominated by
indigenous species. Nevertheless, the checklist represents a range of native plants spanning from
the common ‘bull’ grass Panicum maximum or the widespread tree Cecropia peltata or ‘bois
canot’ to the rare ferns Trichomanes diversifrons and Asplenium cuneatum, and endemics. The
representation by a single specimen of each of the following species, Prionostemma asperum
collected by William Purdie in 1847; Triumfetta rhomboide without collector or date and
Sorghastrum setosum collected by W.E. Broadway in 1915 from Cedros and Chatham have not
been recorded or recollected since that time in the area or elsewhere in Trinidad. This is
significant from a biodiversity perspective. Another twenty-one species are regarded as rare
based on collections of less than three herbarium specimens, with collecting dates spanning from
1842-1935 and distribution outside of the area to less than three other sites. Among these rare
species are three trees which have been identified as Protium heptaphyllum, Protium tenuifolium
and Sloanea parviflora with the first collected in 1915 and the last two in 1910. Therefore, the
status of all of these rare plants needs to be reassessed.
Recent studies of the native palms have recorded a total of twenty-one species for Trinidad of
which thirteen species are found in the study area including Astrocaryum aculeatum which is
confined to the South-west peninsula and considered to be threatened owing to its restricted
distribution. It is also associated with anthropogenic habitats and probably a relict of former
Amerindian settlements (Comeau et. al., 2003).
It is not surprising that only sixty-five species or 21.5% of native ferns recorded for the islands
survive in this area. Sixteen species are epiphytic, a reflection of the dry conditions which
prevail. The other forty-six species are common terrestrial, shade loving or weedy species.
Three of the twelve species of tree ferns recorded for the islands are commonly found along
streams and the understorey of the forest where the availability of water is critical for sexual
reproduction of the gametophyte generation.
In general, the families Orchidaceae, Araceae and Bromeliaceae are mainly epiphytic. However,
epiphytes are poorly represented in the south-west peninsula. This seemingly impoverish show
of epiphytes may be a combination of factors including under or over collecting, drier climatic
conditions and the ongoing degradation of the natural forest where trees are essential for the
physical support and microclimate they provide (Huston, 1996). In the case of orchids 190
species have been recorded but only twenty-one species have been reported in the south-west,
including the much sought after species of Oncidium X haematochilum, Oncidium lanceanum
and Oncidium ampliatum, which were originally from the area and brought into cultivation by
orchid fanciers. Three species of bromeliads, Aechmea aquilega, Bromelia plumieri and
Tillandsia flexuosa, are particularly common around mud volcano sites. The aroids occupy more
diverse habitats with Pistia stratiotes, a freshwater floating aquatic, and Montrichardia
arborescens forming erect stands along river margins, while in the forest are the scandent
epiphytes Anthurium pentaphyllum and Monstera dubia and the medium to large terrestrial herb
Dracontium foecundum.
Furthermore, the area is home to five endemic species; the fern Pteris inaequalis, the flowering
plants Piper aequale var. ovalifolium and Acalypha grisebachiana which are also found
elsewhere on the island but the sedge Rhynchospora ierensis and the climber Aristolochia boosii
(Panter, 1981), described as a new species in 1981, are known to occur naturally only in the
south-western peninsula.
To summarise, the checklist accounts for eighty-seven species of trees, seventy-six species of
shrubs, 200 species of herbs, forty-one species of climbers and twenty-eight species of epiphytes.
The ferns, grasses and sedges are the major contributors to the herbaceous flora in the area.
Likewise, the climbers, shrubs and trees play a very important role in maintaining the integrity of
the different forest ecosystems and the interdependence of other organisms for their survival.
They have provided the traditional folk healers with medicines and the commercial logger with
valuable timber in the past. In the case of the former, a good example is Quassia amara or
‘bitter wood’ which occurs naturally only in the south-west peninsula. It is used in Brazil as a
source of bitters, vermifuge and poison in flypaper (Mabberley, 1987) but remains under utilized
locally.
More research is definitely needed to discover or rediscover the important economic and
medicinal uses of plants that have persisted over time in a changing environment like the one
found in the southwestern peninsula. Such information may justify implementing a greater
degree of protection for the area than currently exists.
12.5 The future
It has been established by several studies including Kenny (2002), de Verteuil (2000), and Kenny
(1995) that the south coast of this peninsula is being eroded at a rate of 10.3m per year. Because
of ‘the strong and sustained westerly flow in the Columbus Channel, the coastline is under
erosional pressure, compounded by the nature of the mostly unconsolidated sediments to be
found along the coastline’ (EMA, 1996). For example, on a recent visit (February 2007) to
Cedros, the lighthouse at Corral Point was no longer standing there, having been completely
washed away (Fig. 12.8).
Fig. 12.8 Corral Point showing extensive coastal erosion (S. S. Maharaj, 2007)
An effective means of controlling and perhaps even decreasing this rate of erosion is the re-
establishment of coastal mangrove ecosystems. The multitude of aerial and stilt roots from
Rhizophora mangle serve as an effective barrier between land and sea where sediments and
organic debris accumulate, allowing for further colonization of other mangrove species further
inland, such as Avicennia germinans and Laguncularia racemosa. Eventually these species
develop and spread creating a buffer zone that protects the coastline from erosion. Of the three
mangrove species found in our coastal swamps, Avicennia has the greatest tolerance for salt. In
the natural order of things, it grows farther inland than Rhizophora where tidal flushing is
infrequent occurring mainly during neap tides. Mangrove ecosystems also provide nurseries for
juvenile fish and the potential for several lucrative trades such as oyster farming, the making of
high quality charcoal for export, medicines, tannins and other dyes (Hawthorne et. al. 2004;
Morton, 1994).
The management policies of the Forestry Division will ultimately determine the future survival
and quality of the remaining natural forests within this peninsula. Discontinuation of the
planting of Caribbean pine together with the harvesting of existing stands would be an effective
step towards the preservation of the remaining pockets of natural vegetation types such as the
Erin savannas. These measures would also have far-reaching effects in conserving the floristic
composition within the remaining forested areas.
The coconut palm according to Burkill (1966) is one of Nature’s greatest gifts to man. It is one
of the few plants where people throughout the tropics have utilized just about every single part.
The number of products develop from the fruit alone include drinks, oil, medicine, fibre, mats,
fuel, utensils, while the leaves and trunk provide brooms, thatch and timber. It would seem
prudent to rehabilitate the coconut plantations in the area as the demand for its products at least
on the domestic market is increasing. The roadside sale of coconut ‘water’ is a booming trade
both locally and regionally. According to a recent report from the FAO
(http://intranet.fao.org/offsiteframe.jsp?uu=http://www.fao.org/WAICENT/FAOINFO/AGRICULT/Defaul
t.htm), the growing popularity of coconut ‘water’ as a ‘sports drink’ could compete in the world's
US$10 billion market for ‘sports beverages.’ Table 12.1 provides a comparison of the nutritional
value of coconut ‘water’ and sports drink.
Table 12.1 Comparison of coconut water and sports drink (Source: FAO, 2007)
Coconut water
Parameters Sports drink
in mg/100 ml
Carbohydrates 2 100 5 800
Calcium 60 1
Phosphorus 10 9
Sodium 11.8 411.8
Potassium 2.1 8
Magnesium 10 3
Over the past eighteen months, a DARWIN-funded research initiative between the University of
the West Indies, Oxford University, UK and the Forestry Division, Ministry of Public Utilities
and the Environment, has been in progress to develop a Biodiversity Monitoring System for
management and conservation purposes. A detailed botanical inventory is in progress throughout
Trinidad and Tobago, which seeks to document the biodiversity and distribution of vascular
plants in an effort to address existing gaps in our knowledge resulting from changes in floral
composition over the last fifty years. The data that has been collected to date from extant natural
forest within this peninsula suggest unique structural formations, which require further
investigation in order to develop a modern, well-informed management plan for conservation
and protection of the area.

Acknowledgements
We would like to thank Prof. C. Sankat, Dean of the Faculty of Engineering, St. Augustine,
U.W.I for inviting us to participate in the Symposium on “Aluminum smelting: Environmental
and Engineering perspectives” where this paper was presented. We are also indebted to our
colleagues Dr. Paul Shaw for assisting with the photographs and Mr. Jaumark Pierre for locating
the herbarium specimens and assisting with data entry in the preparation of the flora database for
the area.
References
1. Adams, C.D. and Baksh-Comeau, Y.S. 2007. Revision of the Vascular Flora of Trinidad and
Tobago (unpublished).
2. Atkinson, M. 2007. Forester 1, Forestry Division of Trinidad and Tobago. Personal

Communication.
3. Beard, J.S. 1946. The Natural Vegetation of Trinidad. Oxford University Press.
4. Burkill, I.H. A Dictionary of the Economic Products of the Malay Peninsula. 2nd ed. Kuala
Lumpur: Min. Agric. and Co-operatives, 1966.
5. Comeau, P.L., Comeau, Y.S. & Johnson, W. 2003. The Palm Book of Trinidad and Tobago,
including the Lesser Antilles. The International Palm Society.
6. De Verteuil, A. 2000. Great Estates of Trinidad. The Litho Press, Trinidad.
7. Hawthorne, W. D., Jules, W., Marcel, G. 2004. Caribbean Spice Island Plants. Oxford
Forestry Institute.
8. Huston, M.A. 1996. Biological Diversity: The coexistence of species on changing landscapes.
Cambridge University Press.
9. Kenny, J. S. 2002. ‘The changing coastline of the Cedros Peninsula, Trinidad’. Living World
J. Trinidad and Tobago Field Naturalists Club. p. 1-7
10. Kenny, J.S. 1995. ‘Views from the Bridge’. Julian S. Kenny, Maracas, St. Joseph. 98pp.
11. Mabberley, D. J. The Plant-Book. A portable dictionary of the higher plants. Cambridge
University Press, 1987.
12. Marshall, R.C. 1939. Silviculture of the trees of Trinidad and Tobago, British West Indies.
Oxford University Press.
13. Morton, J.F. 1994. ‘Can the red mangrove provide food, feed and fertilizer’? Econ. Bot.
19:133-123.
14. Oviedo, G. F. de 1526. The natural History of the West Indies. Translated and Ed.by Sterling,
A. Stoudemire, Univ. N. Carolina, Chapel Hill, NC.
15. Panter, J.A.. 1981. ‘Notes on Aristolochia from Trinidad and the description of A. boosii’.
Kew Bull. 36, no. 2:231-233.
16. Simmonds, N.W. 1967. Flora of Trinidad and Tobago. Ministry of Agriculture, Industry and
Commerce Trinidad and Tobago. 3-91.
17. EMA.1996. Trinidad and Tobago: State of the Environment Report.
18. USGS. 2001. Caribbean Vegetation Mapping Project.

http://edcsnw11.cr.usgs.gov/ip/tnc/products/report.
19. Williams, R.O. et al. 1928-1992. Flora of Trinidad and Tobago Vol. 1-11. Government
Printery, Trinidad, Trinidad and Tobago
A12.1: Checklist of the vascular plants on the South–West peninsula of Trinidad
ACANTHACEAE LEGUMINOSAE (CAESALPINIOIDEAE)
Mendoncia hoffmannseggiana (Nees) Nees in DC. Entada polystachya (L.) DC.
Ruellia tuberosa L. Mimosa pudica L.
AGAVACEAE Pentaclethra macroloba (Willd.) Kuntze
Furcraea hexapetala (Jacq.) Urb. LEGUMINOSAE (PAPILIONOIDEAE)
AIZOACEAE Abrus precatorius L.
Sesuvium portulacastrum (L.) L. Aeschynomene sensitiva Sw.
ALISMATACEAE Clathrotropis brachypetala (Tul.) Kleinhoonte
Sagittaria guayanensis Kunth Crotalaria pilosa Mill.
AMARANTHACEAE Dalbergia ecastaphyllum Taub.
Achyranthes aspera L. Desmodium cajanifolium (Kunth) DC.
Alternanthera brasiliana (L.) Kuntze Desmodium distortum (Aubl.) J.F.Macbr.
Alternanthera tenella Colla Indigofera suffruticosa Mill.
Amaranthus australis (A.Gray) J.D.Sauer Muellera frutescens (Aubl.) Standl.
Amaranthus dubius Mart. Ormosia monosperma (Sw.) Urb.
Blutaparon vermiculare (L.) Mears Pterocarpus officinalis Jacq.
Chamissoa altissima (Jacq.) Kunth Pterocarpus rohrii Vahl.
Cyathula prostrata (L.)Blume Rhynchosia minima (L.) DC.
Iresine diffusa Humb. & Bonpl. Ex Willd. Sophora tomentosa L.
ANACARDIACEAE Tephrosia purpurea (L.) Pers.
Spondias mombin L. Tephrosia senna Kunth
ANNONACEAE Vigna vexillata (L.) A.Rich.
Annona glabra L. Zornia reticulata Sm.
Cymbopetalum brasiliense (Vell.) Benth.ex Baill. LEMNACEAE
Rollinia exsucca ( DC ex Dunal) A.DC. Lemna aequinoctialis Welw.
APOCYNACEAE Spirodela polyrrhiza (L.) Schleid.
Condylocarpon intermedium Müll.Arg. MALPIGHIACEAE
Mandevilla symphitocarpa (G.Mey.) Woodson Mascagnia sinemariensis (Aubl.) Griseb.
Tabernaemontana cymosa Jacq. Spachea elegans (G.Mey.) A.Juss.
AQUIFOLIACEAE Stigmaphyllon ciliatum (Lam.) A.Juss.
Ilex guianensis (Aubl.) Kuntze Heteropterys leona (Cav.) Exell.
ARACEAE MALVACEAE
Anthurium pentaphyllum (Aubl.) G. Don Hibiscus bifurcatus Cav.
Dracontium foecundum Hook.f. Malachra fasciata Jacq.
Monstera dubia (Kunth) Engl. & K. Krause Sida cordifolia L.
Montrichardia arborescens (L.) Schott Sida glomerata Cav.
Pistia stratiotes L. Sida linifolia Juss.
Spathiphyllum cannifolium (Dryand.) Schott Urena sinuata L.
CAPPARACEAE MARANTACEAE
Capparis flexuosa (L.) L. Calathea altissima (Poepp. & Endl.) Körn.
CECROPIACEAE Calathea lutea (Aubl) Schult.
Cecropia peltata L. Calathea sciuroides Petersen
CELASTRACEAE Thalia trichocalyx Gagnep.
Prionostemma asperum (Lam.) Miers. MELASTOMATACEAE
CERATOPHYLLACEAE Acisanthera uniflora (Vahl) Gleason
Ceratophyllum submersum Miconia mirabilis (Aubl.) L.O.Williams
subsp. submersum var echinatum (A. Gray) Wilmot-Dear
CHRYSOBALANACEAE Miconia albicans (Sw.) Triana.
Chrysobalanus icaco L. Miconia nervosa (Sm.) Triana.
Hirtella triandra Sw. Miconia prasina (Sw.)DC.
CLUSIACEAE Miconia rubiginosa (Bonpl.) DC.
Clusia palmicida Rich. ex Planch. & Triana Mouriri guianensis Aub.
COMBRETACEAE MELIACEAE
Conocarpus erectus L. Carapa guianansis Aubl.
Terminalia dichotoma G.Mey Cedrela odorata L.
Terminalia lucida Hoffmanns. Ex Martius MORACEAE
Terminalia rufipes var. glabrata (D.R.Hunt) Faden & D.R.Hunt Maclura tinctoria (L.) D.Don ex Steud.
COMMELINACEAE Ficus amazonica (Miq.) Miq.
Murdannia nudiflora (L.) Brenan Ficus guianensis Desv. ex Ham.
COMPOSITAE Ficus nymphaefolia Mill.
Baccharis trinervis Pers. Ficus trigonata L.
Calea solidaginea Kunth MYOPORACEAE
Conyza canadensis (L.) Cronquist Bontia daphnoides L.
Cosmos sulphureus Cav. MYRSINACEAE
Chromolaena odorata (L.) R.M.King & H.Rob. Myrsine guianensis (Aubl.) Kuntze
Pluchea carolinensis (Jacq.) G.Don MYRTACEAE
Cyanthillium cinereum (L.) H.Rob. Calycolpus goetheanus (Mart.ex DC.)O.Berg
Vernonia scorpioides (Lam.) Pers. Myrcia splendens (Sw.)DC.
Sphagneticola trilobata (L.) Pruski Psidium guajava L.
Tilesia baccata (L.) Pruski NYCTAGINACEAE
CONVOLVULACEAE Pisonia salicifolia Heimerl
Aniseia cernua Moric. OLACACEAE
Ipomoea alba L. Ximenia americana L.
Ipomoea aquatica Forssk. ORCHIDACEAE
Ipomoea imperati (Vahl) Griseb. Aspasia variegata Lindl.
Ipomoea mauritiana Jacq. Brassia caudata (L.) Lindl.
Chapter 13
Oceanographic and civil engineering aspects of an offshore island in Otaheite Bay
Edward. T. R. Dean, Derek. Gay, Joanna Ibrahim and Gyan. S. Shrivastava
13.1 Background
This paper outlines some of the main oceanographic and civil engineering (coastal,
environmental, hydraulic and geotechnical) issues related to the proposed construction of an
offshore island at Oropouche Bank in Otaheite Bay in the Gulf of Paria for building an
aluminium smelter and other heavy industries.
13.2 Introduction
Offshore islands have been constructed in different parts of the world for creating sites for
airports (e.g. Hong Kong), oil & gas facilities (e.g. Alaska) and for residential and commercial
purposes (e.g. Netherlands). Indeed, offshore artificial islands have a long history in many parts
of the world. In ancient Scotland, loch-dwelling families built small artificial island homes now
called crannogs (www.crannog.co.uk). The city of Tenochtitlan, the Aztec predecessor of
Mexico City that was home to 250,000 people when the Spaniards arrived, stood on a small
natural island in Lake Texcoco that was surrounded by countless artificial islands called
Chinamitl (http://en.wikipedia.org). Much of the modern country of the Netherlands consists of
land reclaimed from the sea and protected by coastal dykes.

Kansai airport was constructed on an artificial island off Kobe, Japan. This island is about 4km
long and 1.2km wide, or just under half the size of the proposed island in Otaheite Bay.
Compensation was paid to fishermen for partial loss of business. Engineers predicted the island
would settle 5 m. In fact, due to clays deep beneath the seabed, the island has already settled 9m,
and is still sinking (Waugh, 2004). This led to a major research into the geotechnical processes of
primary and secondary consolidation (Mimura and Yang, 2003).
Hong Kong airport was constructed on reclaimed land around two small islands (Figure 13.1). Its
area is about ¾ of the area of the proposed Oropouche Island. It took six years to build and cost
US$ 20 billion (including airport structures). It was voted as one of the top 10 construction
achievements of the 20th century (Marsden and Whiteman, 1999). The other winners included the
Panama Canal, the Anglo-French Channel Tunnel, the Empire State Building, and New York's
World Trade Centre. More recently, the Palm islands offshore Dubai have been described as the
eighth wonder of the world, and the most exciting construction project ever (www.thepalm.ae). A
series of islands is being built, each in the shape of a palm tree in plan view. Each island provides
many miles of new beach, with residential property, marinas, shopping malls, sports facilities,
and clubs. The engineered shorelines support a variety of marine life.

Figure 13.1 Artificial island supporting Hong Kong airport
Recently, the National Energy Corporation (NEC) of Trinidad & Tobago (T&T) proposed the
construction of an offshore island in the Gulf of Paria (Figures 13.2 and 13.3, Plate 13.1) for
locating, inter alia, an Aluminium Smelter. The objective of this paper is to provide, against the
foregoing background, a clear and objective perspective on the oceanographic, geo-technical and
coastal engineering issues relating to the construction of an offshore island in Otaheite Bay.
Figure13.2 Location map

Plate 13.1 Aerial View of Otaheite Bay
Figure 13.3 Schematic of the proposed offshore island at the Oropouche bank (Otaheite Bay)
13.3 Oceanographic setting
The Oropouche Bank is located along the south west coast of Trinidad between the towns of San
Fernando and La Brea (Figure 13.2), within the confines of Otaheite Bay. The Gulf of Paria is
generally protected from the high-energy regimes associated with open coastlines such as the
east coast which is ocean facing to the North Atlantic. Effectively the Gulf of Paria may be
considered as a “Sheltered Coast” (National Academies of Science, 2006).
The typical physical conditions associated with sheltered coasts are as follows:
• Relatively low velocity tidal currents
• mid to low energy wave climates associated with a limited fetch (distance from shore to
shore), which
• promote the formation of ecological complexes (i.e. mangroves, marshes and mudflats)
that often characterize habitats on sheltered coasts and are generally not found on open
coasts
For sheltered coasts, high-energy waves seldom occur. Instead, the primary drivers of sediment
mobilization may include strong currents, storm events, large boat wakes or river surges. Overall,
sheltered coasts describe a much greater diversity of conditions than found on open coasts and
require more site-specific approaches for effective management of development. Plate 13.1
shows an aerial view of Otaheite Bay and the surrounding area providing following facts:
• Otaheite Bay is surrounded by natural wetland, and is an important fishing area for
Trinidad
• Discolouration of water shows active sediment transport in the nearshore areas and it
defines the shape of the Oropouche bank. Otaheite bay and the Oropouche bank is in
close proximity to the town of La Brea which is in the foreground and is currently an
active shipping port and fabrication site for Petrotrin.

• There is an extensive area of mangrove which fringes the coastline around Otaheite
Bay and includes the Gordineau river and South Oropouche lagoon. The South
Oropouche (Gordineau) Swamp is the third largest natural wetland in Trinidad and is
host to the Scarlet Ibis amongst 36 other bird species. These wetlands serve as a
protective function for the coastline. They protect against storm surge, flooding,
erosion and tsunamis (although very rare), and in the other hand they filter sediments,
nutrients and other pollutants before they reach the sea. They provide a habitat for
avifauna and endangered wildlife and are important economically as the nutrients and
nursery grounds for many species of edible fish, crustaceans and filter feeders.
13.3.1 Physical characteristics of the Oropouche Bank
The Oropouche Bank extends approximately 10.5 km offshore and covers approximately 2600
hectares. It is a natural accumulation of sandy, silty clays and water depths over the 2600-hectare
bank as a whole are of the order of 3m or less on average. For the 1400-hectare area of the
planned island, the average water depth is a little greater than 3m. The Oropouche bank is
considered an important source of natural sediment for the beaches along the west and southwest
beaches, namely Station Beach to the right of La Brea, and Guapo Bay between Point Fortin and
La Brea not withstanding the beaches between La Brea and San Fernando.
In order to determine the impacts of any engineering works in the sea, one has to understand the
physical oceanography pertaining for that site. This will facilitate our understanding of the
current, wave and sediment transport regime, which will directly affect the surrounding coastline
and beaches.
Figures 13.4 and 13.5 describe the mean circulation characteristics for the Gulf of Paria (Van
Andel and Postma, 1954). In our region, there is a mean circulation towards the south west.
Previous studies conducted by the Institute of Marine Affairs (IMA) (1993, 1994, 1999) to the
south west of the Oropouche bank also show that currents in this area are tidally dominated,
flowing towards the south west during flood and towards the north east during ebb, but with a
strong residual flow towards the south west especially during spring tides (Coastal Dynamics,
2003). Current velocities in this region range from 0.1ms–1 to 0.5ms–1 from the shore to 20m
offshore respectively. Notably currents in this region are on average between 0.2ms–1 – 0.3ms–1
and are more than capable of transporting sediment in suspension. The wave direction is
predominantly from the north east and north and occasionally west. The winds can change
depending on the localized storms in the Gulf. Wave heights are on the order between 0.1 – 1m
on average, but during storms these waves can reach elevated heights >1m. Tidal range at
maximum springs is 1.4m according to Point Fortin tide tables. The tides are mixed semi diurnal
i.e. tides are two times a day, and the range and period over flood and ebb are not equal over the
24 hours.
Figure 13.4 Hydrodynamic circulation pattern (wet season)

Figure 13.5 Hydrodynamic circulation pattern (dry Season)
13.3.2 The Proposed reclamation project
The Oropouche Bank in Otaheite Bay has been ear marked as a suitable site possibly because of
its shallow depth, (1- 5m) for reclaiming the bank and constructing an artificial island, that will
be used to locate gas-based and other industries. The island will be joined to the mainland to
facilitate access and road links by a 100m wide causeway (Figure 13.3). The causeway is located
in the proximity of Mosquito Creek and the Gordineau River South Oropouche Lagoon system.
We understand that the reclamation site will cover 1400 hectares of the bank and will be located
about 11.5km from the existing shoreline.
The western limit of the proposed reclamation naturally deepens to >20m within 0.5km offshore,
and is suitable for locating a port, suitable for accommodating the post Panamax ships. It is
suggested that a deep-water channel be dredged deeper than 12.8m, which is the current port
facility at Point Lisas.
13.3.3 Possible impacts of the proposed project
In order to assess the potential positive and negative impacts, the project is split up into three
main areas:
• The construction of the artificial island and land reclamation, including the impact of
removing material from another source
• Dredging of a shipping lane
• Construction of the causeway on the shore.
13.4 The construction of the artificial island and dredged shipping lane
13.4.1 Positive impacts
The positive impacts of the proposed reclamation are as follows:
• The average depth of around 3m makes the site a suitable location for an artificial island
• A large, 1400 hectares contiguous parcel for multi-purpose industrial use.
• Significant socio-economic benefits
• Marine industrial site to meet demands of the energy industry.
• Suitable site for a deep water port and facilities to support Post Panamax ships.
13.4.2 Negative impacts
The negative environmental impacts are related to the effects to the natural circulation patterns
caused by the artificial island on:
• Sediment transport pathways – The artificial island will alter significantly the natural
direction of currents in Otaheite Bay.
• Reclaiming the Oropouche bank and dredging a channel will seriously degrade the
amount of natural sediment available to sustain the west and southwest beaches.
Could lead to degradation especially during storm events, because there is a reduced
supply of natural sand to the beaches, which then could result in accelerated coastal
erosion.
• The soil that will be needed to create the artificial island has been estimated to be
greater than 70 million cubic meters of material. The source of this material is yet to
be determined, but there could be a significant negative environmental impact on the
area where this material will be sourced. For example, if the material is sourced from
the seabed, the deepened bed after dredging could act as a sink for future sediment
deposition. In addition, the removal of so much material from the seabed will also
adversely affect the ecology and possibly the coastal morphology if located near to
coastal beaches. In summary, sourcing the material from the sea will have its own
environmental impact issues separate to the reclamation of the island at Otaheite bay.
• The artificial island will diffract waves around the island and will re-direct wave
focusing on the coastline and therefore alter the wave energy translation to the
shoreline. This could result in alteration to the erosion and depositional characteristics
of the beaches, namely the coastal morphology and may lead in places to accelerated
rates of coastal erosion, where the focus of wave energy is high.
• Impact to the natural mangrove structures and the degradation of the wetland ecology
and the associated impacts to fisheries in Otaheite Bay.
However, much of the development that has taken place in Trinidad and Tobago involves land
created by reclamation projects, some requiring fill or other disturbance of wetlands. The
economic prosperity and social well-being of a significant percentage of the population is
heavily dependent upon the health and productivity of the coastal and marine resources of the
country. Tourism and Fisheries make significant contributions to the economy through
employment and incomes, the latter contributing in addition to the supply of food.
13.5 The construction of the causeway
The possible impacts of the construction of the causeway are as follows:
• Positive: Provides a link from the coast to the offshore reclamation for transport
purposes.
• Negative: Loss of Wetland, natural mangrove. Mosquito Creek and South Oropouche
(Gordineau) Swamp.
• Negative: Causeway will interfere with longshore transport of sediment along coast
• Negative: Emergency response and planning must consider only one access to site
The negative environmental impacts of constructing the causeway may be viewed in the context
of both terrestrial impacts and coastal morphological impacts.
13.6 Terrestrial impacts
Loss of Habitat from land reclamation activities and loss of mangrove due to the construction of
the causeway will adversely affect the fisheries resources and marine life in the area, by
interfering with spawning areas and nursery grounds for the fish we eat in Trinidad.
13.7 Coastal morphological impacts
Longshore transport in the surf zone is thought of as the result of waves stirring sediment into
suspension then subsequent transportation by a steady current along the coast (Figure 13.6). Such
a longshore current most commonly occurs when waves approach the shore obliquely and drive a
current along the shore in the surf zone. Convergences or divergences of this transport, for
example, on the up-drift and down-drift sides of a jetty, cause accretion or erosion respectively.
This is one of the primary mechanisms for shoreline erosion. Moreover, the construction of the
causeway, depending on the structure, could act like a groyne on the beach and therefore would
interfere with the longshore transport of sediment along the coast (Figure 13.7). This interference
would cause a build up of sediment on one side depending on the net transport direction and will
cause a deficit of sediment on the down drift side of the structure, which if unaided would
severely reduce the amount of sediment reaching down drift side and therefore cause beach
erosion and subsequent loss of beach.

Figure 13.6 Schematic to describe the processes of lognshore sediment transport on a beach
Figure 13.7 Interference in the longshore current
13.8 Fate & transport of contaminants
Figure 13.8 shows the bathymetry of the Gulf of Paria which considerably influences the
hydrodynamic conditions created, inter alia, by the residual current driven flow initiated by the
Guianas, which is largely responsible for flushing and deposition in the Gulf of Paria.
Specifically, the results of a numerical simulation of the fate and transport of a conservative
(decay constant = 0) contaminant emanating from a point source located at the proposed offshore
island are shown in Figures 13.9, 13.10, 13.11 and 13.12 for the average wet season
hydrodynamic conditions in the Gulf of Paria. The numerical simulation is based on a finite
element formulation of the depth averaged Advection Dispersion Equation. From the
aforementioned results, it may be noted that the dominant fate (dispersion/dilution) of

contaminant is in the middle of the Gulf of Paria. It is also important to note that the advected
contaminants along the west coast reach a quasi-steady state concentration due to shallow depths
and low velocities.
Figure 13.8 Bathymetry of Gulf of Paria
Figure 13.9 Fate and transport of a conservative contaminant (day 1)


13.9 Geotechnical issues
13.9.1 Objective
Geotechnical Engineering is concerned with soils, foundations and earthworks. It has two main
parts. One is foundation engineering, which addresses constructability, strength, durability,
deformations, and eventual fate of structures made of, on, or in soil (Terzaghi et al, 1996; Das,
2004). This includes foundations of buildings, roads, bridges, and coastal and offshore
foundations including artificial islands. The second part is environmental geotechnics, which
includes groundwater contamination and flow, aquifers, landfills, cleanup, tailings and
impoundment dams, and derelict land (Sarsby, 2000).
The objective of the present section of this paper is to discuss some generic issues associated
with the geotechnical engineering of artificial islands and reclamations, and to make some
observations that pertain directly to the proposed construction of an artificial island at Oropouche
Bank, Otaheite Bay.
13.9.2 Geotechnical design and management
To facilitate the development of an island at Oropouche Bank, geotechnical design and
management would be needed from the outset. In essence, there are two geotechnical design
tasks. One is the design of the island itself. The second is the design of the foundations for the
structures that will be placed on the island. A considerable amount of information will be needed
for these tasks, including

• Metocean data
• Borrow source data
• Geophysical and geotechnical site investigation data
• Seismic hazard assessment data
Environmental baseline surveys [EBS's] of the borrow area and the proposed island area may
conveniently be carried out at the same time as the geophysical or geotechnical surveys. The
same companies generally offer all of these survey services. EBS's include collection of water
samples and seabed samples, transport to an onshore laboratory, and measurements of water
quality, seabed soil types and flora and fauna on and in the upper few inches of seabed.
Geotechnical standards include ASTM (2006), British Standards 1377, 5930, 6031, and 8004,
EN1997 Eurocode 7, and PCTTS 5911. Trinidad is subject to strong earthquakes
(www.uwiseismic.com). The island must be designed to withstand these as well as wind, wave,
current, tide, and storm surges. Geotechnical seismic design is described in Kramer (1996) and
Day (2002). For good predictions of bearing capacity, stability, and long term settlement, modern
finite element codes may be helpful (Potts, 2003) and constitutive modeling techniques
(Yamamuro and Kaliakin, 2005; Dean, 2007).
At an early stage, soil quality standards should be developed for the constructed island, covering
target strength and deformation parameters. Verification systems should be put in place. Seismic
design conditions for the island will need to be established. Groundwater contamination control
standards could be highly desirable. These activities will enable the second group of designers to
start their work in good time, confident of the foundation properties that will be provided once
the island is completed.

13.9.3 Setting the level of the island
One of the most important and early design decisions is the decision about what height to make
the surface of the island above the surrounding water. If the island is not high enough, it will
flood regularly, due to adverse combinations of high tides and storm surges. It seems unlikely
that flooding will be acceptable at Oropouche, due to the nature of the planned industries, and the
possibility of scour and pollution when the receding waters flow into the surrounding sea.
However, if the island is too high, the volume of material needed to construct it will be too much,
and the cost will be excessive.
The island designer will therefore need to assess the highest storm surge expected over the
design lifetime of the island. Account will need to be taken of the possible coincidence of storm
surge and high tide, and the additional effects of wave heights. Anecdotal data can usefully
supplement other information, and part of the process of acquiring data for Otaheite Bay could
involve asking long-term residents of the area for help, based on their memories of major storms
in the past. Additionally, weather and oceanographic monitoring could be initiated now.
Estimates can also be made using computer models. The models would need to take account of
effects of the proposed island itself.
13.9.4 Site investigation
Site investigation is required to determine the types of soils that exist beneath the seabed, and to
determine their properties to be able to make predictions for bearing capacity and settlement
(Wroth and Houlsby, 1985; Jamiolkowski et al, 1991). Moreover, certain soils can be
problematic, including corals and carbonate sands (Al-Shafei, 1999) and expansive clays
(Ramana, 1993; Al-Rawas and Goosen, 2006).
There is no guarantee that the soils beneath one end of the island will necessarily be the same as
the soils beneath the middle of the island, or at the other end of the island. A marine geophysical
survey would be highly useful to assess variability, as well as to identify potential submarine
geohazards. A deep geotechnical site investigation will also be needed. A schematic is shown in
Figure 13.13a. It can be done from a ship, or a barge, or a small jackup (ISMFGE, 2005). Much
of the technology and expertise required to do this is available in Trinidad.
Drill ship or jackup
Sea level
Seabed
Sub-bottom soils strata
(not to scale)
Figure 13.13a Site investigation: geophysical, geotechnical, and other
When a structure such as a building is built, its weight transfers stresses into the ground. The
stresses spread out, and have less effect for deeper soil layers. A rule of thumb is that the depth of
a site investigation should be at least as much as will ensure that the additional stresses due to
constructed works will be less than 5% of the in-situ vertical effective stress at the maximum
depth of investigation (Das, 2004). On this basis, borehole depths would be needed according to
the following table, depending on the height of the island above mean sea level. The
recommended depths shown in the table are calculated on the following assumptions (i) the mean
water depth at the proposed location is 3m, (ii) submerged unit weight of fill and existing seabed
materials will be 9 kN/m3 (iii) bulk unit weight of fill will be 19 kNm3 (iv) average stress due to
weight of buildings is 20 kN/m2 over entire island area.
Height of island above mean sea Recommended minimum depth

level for deep boreholes
1m 150 m
2m 190 m
3m 230 m
4m 270 m
5m 310 m
Four or five deep boreholes may be needed to get a preliminary idea of the deep foundation
conditions. Additional boreholes, including many shallower boreholes, would be decided on the
basis of the preliminary investigation, taking account of planned construction on the island.
Many shallower boreholes would also be needed along the shoreline of the proposed island, for
geotechnical design of a seawall. Boreholes may also be needed to the North of the island, for
assessment of seabed slope stability. In-situ tests will need to be conducted within the boreholes,
including cone penetration tests to assess the in-situ geotechnical properties. Many soil samples
will need to be recovered from all depths in the boreholes, and tested in a laboratory. Laboratory
tests would include classification and index tests, chemical tests, strength tests, expansivity and
consolidation tests, and resonant column and cyclic tests for seismic foundation design (Kramer,
1996; Hunt, 2005; Head, 2006).

The proposed causeway linking the island to shore is also a large construction project in its own
right. Boreholes will be needed along its length, and beneath the proposed landfall works.
13.9.5 Island construction – seawall
The first main step in the construction of a large island is normally to construct a seawall
(Herbich, 2000a). This is illustrated schematically in Figure 13.13b. One way to construct the
wall is to make many large concrete boxes or caissons. The caissons are floated out from the
onshore construction yard, and then sunk in a line to build up the wall. A seawall can
alternatively consist of concrete blocks, or can be made using sheet piles. At Kansai airport, the
seawall is 11 km long. It took a year and a half to build (Waugh, 2004).

Seawall
Sea level
Seabed
(not to scale)
Figure 13.13b Seawall construction

Geotechnical considerations for seawalls include the bearing capacity of the soils that support the
wall, the short and long-term settlements of the foundation soils, the ability of the walls to resist
lateral loading from the earth they will later retain, and from the sea, and the overall slope
stability of the combination of wall and island foreshore.
13.9.6 Island construction – filling
The next main stage of construction is to place soil into the space enclosed by a seawall. This is
likely to be a major part of the construction cost, and take a major part of the construction time.
It is illustrated schematically in Figure 13.13c. The soil is brought from a somewhere else, called
a "borrow source". It would typically be dredged from a nearby area, and then either dumped
directly from a barge, or piped onto the island as the island gradually takes shape (Herbich,
2000b). The volume of dredged material that will be needed can be calculated by multiplying the
area of the proposed reclamation, 1400 hectares, by the sum of the following two numbers:
(1) the average water depth over the proposed reclamation area.
(2) the height of the main surface area of the island above the average water depth.
Dredger-spreader ship
Sea level
Seabed
(not to scale)
Figure 13.13c Filling the island

The average water depth over the proposed reclamation area is about 3m. If we add the design
height of the island above mean water level, then multiply the result by the proposed island's
area of 1400 hectares (14 million square metres), we will get the volume of fill needed to
construct the island. Results, which are tabulated below, are calculated on the following
assumptions (i) the mean water depth at the proposed location is 3m, (ii) no dredged material is
wasted. It may also be noted that compaction of the fill and settlement of the underlying strata
have not been considered in these calculations. These effects will add to the required dredge
volume.
Height of island above mean sea Estimated volume of fill
level required, (m3)
1m 56 million
2m 70 million
3m 84 million
4m 98 million
5m 112 million
By comparison, 178 million m3 of fill was needed for Kansai airport, and 350 million m3 for
Hong Kong airport (Stive, 2005). Estimates of timescales for dredging and placing these
volumes of fill would be provided by dredging contractors once a height is decided, a source of
fill material is found, and an assessment of world-wide plant availability is made.
Not every soil is suitable for island construction. A search may be needed to find a suitable
borrow source well in advance of construction. Much of the geophysical and geotechnical
technology to do this search is available from the same companies that provide offshore site
investigation services. The removal of material from the borrow source can have major
environmental impacts, including impacts for sediment transport and beach morphology. An
additional impact assessment will be needed for this.
13.9.7 Island construction – consolidation and compaction
The final, as-placed fill material can have variable engineering properties. It may be loose and
weak in places, but dense and strong elsewhere. It may contain air voids, which can give the
material a misleading, temporary cohesive strength that will disappear over time as the air slowly
dissolves in the water that remains in the soil. Sandy hydraulic fill is prone to liquefaction
(Sladen et al, 1985). Clayey hydraulic fill is often either very soft, or else composed of clay
blocks interspersed with large holes or voids that are filled with water (Yang and Tan, 2005;
Chung et al, 2006). For these reasons, the soil fill must be compacted before it can be used for
the foundations of industrial or other structures on the island. As the fill is placed, consolidation
will start in the underlying clays, potentially leading to large settlements. This may need to be
accelerated by sand drains or other means.
Compaction may be started during the filling operations, or afterwards. The first fill material is
poured underwater, and this material needs to be compacted as well as the final fill layers above
the water line. Das (2004) and Moseley and Kirsch (2004) have summarized some methods e.g.
rolling, compaction by vibrations, compaction pile driving, explosive compaction, or preloading
(Figure 13.13d). Compaction is a major work in terms of time as well as cost. All compaction
options can have significant environmental effects such as noise, and this will need to be
considered in the environmental impact assessment of island construction operations.
Sea level
Seabed
(not to scale)
Figure 13.13d Compacting the fill
13.10 Final construction and long-term issues

While the island is being built, the causeway connection to shore will also need to be
constructed, Figure 13.13e. Early completion of the causeway will provide access to machinery
for compaction and for construction materials and equipment. As and when compaction is
completed over part of the island, it will be possible to start the construction of road, services,
and industrial and other structures on that part (Figure 13.13f). Two issues may dominate the
long-term geotechnical engineering characteristics of the island. One is settlement. Experience at
Kansai airport demonstrates that, if an island is built on deep clay deposits, primary and
secondary consolidation settlements can be very large. A major objective of the site investigation
and early design work for the proposed island would involve the estimation of long term
settlements for the Oropouche site, and the development of methods of settlement control.
Continued monitoring of geotechnical processes for the island may be needed. The second issue
is likely to be groundwater quality control. Another earlier chapter describes the use of an
impoundment dam to control spikes in contaminants released from an aluminium smelter plant.
There might also be other sources of accidental or deliberate spillages into groundwater. Over
time, and with rainfall, the island's groundwater may flow laterally, passing under or through the
seawall and into the sea, taking contaminants with it. A decision on tolerable groundwater
pollution levels may be needed and monitoring systems to verify that these levels are not
exceeded.
Gap with bridge Approach
100m wide structure
across
causeway (?)
Figure 13.13e Causeway construction
Industrial plant, shops,

factories, offices, roads,
etc
Sea level
Seabed
(not to scale)
Figure 13.13f Building construction and operations
13.11 Conclusion
This paper briefly considered oceanographic, coastal, and geotechnical engineering aspects of
the proposed development at Oropouche Bank, Otaheite Bay. Some major considerations have
been pointed out in all three of these subject areas. Statements and opinions recorded here are
preliminary in nature. More studies are needed in all three areas.
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Chapter 14
Epilogue
Mukesh Khare
14.1 What we have learned?
The task now is to highlight what we have learned. Are there ways in which the complexity of
the environmental and engineering perspectives in aluminium smelting process can be
understood, and if so what are the tools that may be used to evaluate them? A plethora of issues
in this book suggests that aluminium smelting has potential environmental impacts. There are
many important benefits that may accrue to the island from a development of this nature. Many
of these benefits respond directly to the challenges facing SIDS including growing and
diversifying their economics and providing energy access and security. The key issue in this
debate is who benefits and how they benefit if an aluminium-smelting industry is established.
The challenge the world over is for sustainable development and nowhere is this more acute than
for SIDS. What we are looking at is how best to represent the environment and ‘best’ will depend
on why is it we want to represent the environment at all. In the same ways that artistic
representations of the environment customise it the way we would like to look at than a simple
photographic reproduction, so too do our environmental and engineering principles described in
this book that have produced formal frameworks ensuring minimization of the environmental
and social impacts associated with primary aluminium smelters. Only by an iterative testing of
the principles of sustainable management associated with aluminium smelting – confronting
them with as wide a range of different datasets and simulations as possible – can we hope to
learn more and provide synthesis of our understanding in which we can have a high degree of
confidence in explaining the viability of aluminium smelter development in Trinidad and
Tobago. In this chapter, we provide an overview of some of the ways in which this process might
happen and related limitations, drawn on the preceding chapters of the book.
As noted by Sankat in Chapter 1, integration of industrial processes in aluminium production in
the Caribbean region is the utmost need for its social and economic growth.
Instead of merely bauxite for export, aluminium and semi-fabricated and fabricated aluminium
products must be manufactured. There are also concerns about the absence of ‘linkage’
industries such as caustic soda, (used in alumina process) and shipping. In 1965, Professor H.
Dudley Huggins, of the University of West Indies, in his book, “Aluminium in Changing
Communities” also argued among other things, for more alumina processing at the expense of
bauxite mining. Huggins (1965) has argued that Caribbean community produces 58 per cent of
world’s Bauxite but manufactures only 12 per cent of its alumina. However, North America and
the United Kingdom economic ‘community’ manufactures over 75 per cent of world’s output of
alumina and 80 per cent of aluminium. The study has succeeded in painting a picture of the
world - wide ramifications of the aluminium industry and in doing so emphasized the
interdependence of the elements in the world economy in a way that economic geographers may
find absorbing (see also Davis, 2006). The chapter has placed great emphasis on the integration
of the industry via regional collaboration to enable the Caribbean region to become a major
exporter of alumina, primary aluminium and semi-fabricated products. This would give a major
boost to the Caribbean Community – it would generate a significant expansion in economic
activities.
Pratt (chapter 2) has stated that the aluminium industry has three different businesses, with
different sources of competitive advantage. These businesses are, first, resource driven,
consisting of mining of Bauxite-Alumina and their smelting; second, process driven, containing
rolling and extruding processes; and third, customer driven, mainly the ‘downstream’ value –
added products. The study has analysed the current situation and outlook for the global
aluminium and metallurgical alumina markets, and assessed the impact of corporate activity on
the integrated and third party market. One of the factors, Pratt has pointed out, affecting the cost
– benefit market of aluminium smelter is its location. Aluminium smelting is a power – intensive
industry and so the most attractive location would be where cheap and abundance power is
available. Binczewski (2002) has also described how devastating suddenness of the energy crisis
in the western United States in 2000–2001 led to the shutdown and dismantling of one of the
world’s largest aluminum reduction facilities of its time, the Kaiser aluminum smelter. Thus,
Trinidad and Tobago becomes an attractive ‘power island’ due to availability of energy resources
and power supply at competitive cost; well placed for alumina supplies from Jamaica, Suriname
and Venezuela; well placed to export to North America and Europe, both of which have
increasing import requirements; and stable business environment.
There is sufficient commonality across the global perspectives of aluminium production
(chapter 1) and associated economics (chapter 2) that is carried out within traditional
disciplinary boundaries to discuss issues and overcome the limitations posed by such myopia.
However, an efficient designed and planned integration coupling production and smelting
technology, manufacturing industry and economics may help us to communicate across these
same boundaries reaching optimal conclusions in different contexts and thus ensuring the
sustainable development of the state and the region.
Chapters 3 and 4 (Part II) have analytically described the issues on land use planning and
integrated coastal and physical planning relevant to SIDS environment. Collaborative land
development planning processes that build trust among the stakeholders and results in projects
that are specifically designed to improve their surrounding neighborhoods are preferred. When a
neighborhood group concerned about a proposed project sets up a collaborative process
specifically to improve trust with the developer and city officials, all stakeholders are generally
willing to participate and explore new ideas. This do-it-yourself process reduces confrontation
and results in these benefits:
• Community-enhancing features are added to proposed projects.
• Neighborhoods adjacent to the proposed project gain an improved sense of safety and
community.
• As stakeholder trust improves, the permitting process becomes less aggravating, more
efficient, and with less litigation.
Besides, the planning process helps to decide on the best use of the national land resources and
make proposals for the development of these resources in a spatially coordinated national
framework integrating the environmental, social, economic and infrastructural need of the
society. Therefore, land use planning should eventually become a statutory document, which
informs the government, private sector and the population in general to the likely direction of
development, including the consideration of industrialization as a platform.

In chapter 5 (Part III), the author has explained an overview of the impacts potentially invoked
by primary aluminium production. The overview is started with a full life-cycle description of
the aluminium production process, from mining through to finished products, thereafter
focussing on the specifics of primary aluminium production firstly in terms of the process itself
and then the associated environmental and social aspects. The chapter has pointedly discussed
the consequences of the development of the smelter within the context of SIDS. The catch lies in
who benefits from the wealth that will be created by the aluminium smelter. In accessing the
potential benefits of the smelter, the pendulum rotates between two entities, one, the energy
resource that is held by the country and second, the carrying capacity of the island that will be
taken up by the aluminium smelter. It represents assessment of the sustainability of the smelter.
Making a real contribution to sustainable development is one of the more challenging aspects of
establishing a primary aluminium smelter. The author has stated that sustainable development
should be the measure of the acceptability of the smelter, not just its waste and pollution
management. In terms of sustainable development, one of the more vexing questions is how to
value a natural resource, especially a non-renewable resource like natural gas. The chapter argues
strongly that sustainable development principles need to frame the EIA. It has also been
presented that given modern smelter controls, the environmental and social aspects associated
with a primary aluminium smelter can be managed to ensure that they do not result in significant
impacts on the ecology or the island and/or its inhabitants. To give an example, the Aldoga
aluminium smelter in Australia is establishing a world-class ‘greenfield’ aluminium smelter using
environmentally responsible and state – of – the - art technology to produce 420,000 tonnes of
aluminium per year for Australia’s export markets, generating $45 billion in export income over
the 30-year life of the project. The Ecologically Sustainable Development Plan of the Aldoga
smelter aims at working with Australian industries and universities on research and development
in areas of energy efficiency, greenhouse issues, renewable energy, smelting technologies and
agri – forestry (see http://www.aldoga.com/). Besides, the International Aluminium Institute
(IAI) is monitoring and reporting on a number of widely used sustainable development indicators
such as energy use, greenhouse gas emissions and safety performance. The institute sees
sustainable development, as a tool for satisfying stakeholder concerns and measuring business
performance (IAI, 1987).
The basic premise of pollution prevention is minimizing or preventing generation of wastes at
the waste generating source. This is often accomplished through process or raw material changes.
Also an element of waste minimization is beneficially reusing or recycling materials that would
otherwise be wastes. All materials taken from the environment eventually find their way back
into the environment and into the biosphere. Basic elements of proper waste management are
described in detail by the authors pertaining to aluminium smelting in chapter 6. Among the
pollutants produced in aluminium smelting process, fluorides (particulate and gaseous), the
perfluorocarbons (PFCs) in form of CF4 and C2F6 which have greenhouse gas warming potential
of 6,500 and 9,200 times that of CO2 (IAI, 1987) and SPL are most important pollutants.
However, during last decade the use of modern control equipment with efficient gas collection
and wet/dry scrubbing systems have reduced fluoride and sulphurous anhydride by 45% and
59%, respectively (IAI, 1987). Fluoride control systems are operated as closed loop systems with
no residual wastes. Worldwide estimates show that the improvements in industrial processes in
the primary aluminium industry has reduced the total PFC emissions to the atmosphere by about
39% as CO2 equivalent emissions, amounting to 34 million tonnes of CO2 (IAI, 1987). Further,
Mansfield et al (2002) have described how the ‘Alcoa Portland SPL Process’ have converted
10,000 tonnes of hazardous SPL into non - hazardous useful products.
The maximum achievable control technology (MACT) reduces the emissions through application
of measures, processes, methods, systems or techniques including, but not limited to: (i) reducing
the volume of, or eliminating emissions of, such pollutants through process changes, substitution
of materials, or other modifications, (ii) enclosing systems or processes to eliminate emissions,
(iii) collecting, capturing, or treating such pollutants when released from a process, stack, storage
or fugitive emissions point, (iv) design, equipment, work practice, or operational standards, as
described in Chapter 7.
The authors provide basic background information used in the development of MACT standards
for the primary aluminum industry. The compliance requirements for the aluminium smelting
industry have also been explained along with guidelines of formulating environmental standards.
It is worthwhile to emphasize here that for hazardous industries like aluminium smelters,
formulation and implementation of ‘emission standards’ as MACT standards are much more
effective in sustaining the environmental quality than any other standards types.
The authors have described occupational health and epidemiological literature on human health
effects of working in Prebake aluminium smelters in Chapter 8. Rønneberg et. al. (1999) and
Abramson et. al. (1989) have implicated the exposure of Coal tar pitch volatiles (CTPV), PAHs,
Fluorides (gas and particle) and other alumina and calcined coke dusts as causal agents for
excess cancers and/or respiratory disease in the primary aluminium industry. Typically, in many
of the jobs and tasks, the worker can be simultaneously exposed to all of these dusts and fumes.
But it depends on the stage of the smelting process and task as to the ‘mix’ of concentrations of
the various exposures. Personal Protective Equipment (PPE) and Local Exhaust Ventilation
(LEV) are effective control measures that can be implemented in modern aluminium smelters to
protect the workers (Sim and Benke, 2003). Similarly, through the use of modern
communications, consensus, and teamwork, the author (Chapter 9) has outlined the
methodology used in the Human Health and Ecological Risk Assessment (HHERA) from the
substances emitted to the air from the proposed aluminium complex in Trinidad and Tobago on
people residing and/or working in the immediate area surrounding the proposed smelter. The
conceptual site model (Exponent, 2005) for identifying chemical sources, complete exposure
pathways, and potential receptors on which to focus the risk assessment describes the physical
characteristics of the ecosystem, and identify potential exposure pathways and receptors. The
risk assessment methodology uses site-specific assessment endpoints that address chemical-
specific potential adverse effects to local populations and communities of plants and animals
(U.S.EPA 1999).
Miller (1992) and Wilson (1994) have defined impact on the environment as I = PAT, i.e. the
effect of population x affluence x technology. The population (P), the affluence (A) and the
technology (T) affect the processes and mechanisms, which maintain the biological diversity
(Figure 14.1).
Figure 14.1 The relationship between human activity and biodiversity impacts
Source: http://redpath-museum.mcgill.ca/Qbp/11.Conservation/impacts.htm
The problems of overpopulation, over consumption, development and industrialization are
intertwined and the causes are not singular and straightforward. Therefore, the question arises -
is it better to protect individual species or to protect ecosystems and habitats? The answer is to
conserve the variety of ecosystems that have permitted this diversity to emerge and survive
(http://www.cciw.ca/eman/intro.html). Additionally, in the present scenario of global climate
change, ecological systems are not as benign or as predictable as we would like to believe and
this applies to the smaller scale of local ecosystems as well e.g. the ecosystem of Trinidad and
Tobago. In such circumstances, there lies the need for identification of the issues we do not have
enough information on, creative problem-solving approaches and sound informed planning as
outlined in Figure 14.1. The authors, in Chapters 10, 11, and 12 have analysed these issues in
depth and discussed mitigation measures to minimise the effects of any proposed development
on the freshwater ecosystems, plant biodiversity and animal habitats particularly with reference
to SIDS environment for Trinidad and Tobago.
Chapter 13 focuses on Oceanographic and Civil Engineering aspects of artificial island
development - a distinct alternative for its use as an industrial estate and a power generating
facility. In both the American and Canadian Beaufort Sea, over 20 artificial islands have been
built in depths ranging from a shallow (~ 2 m) to a maximum of 30 m (Hans, 1985). The type
and feasibility of island construction depends on three major parameters – environmental,
demographical, and political (Zadikoff, 1985). The environmental parameters mainly include the
location and purpose of the island (e.g. shallow or deep, and requirements for constructing the
berm); geotechnical aspects (e.g. availability of filler material and the stability of foundation and
slope); and wave and current refraction aspects (e.g. ensuring the peripheral stabilities of the
island depending upon the filler material used). C. Fitzpatrick
(http://2100.org/w_oceancitieslegal.html) has reported to deploy a safety zone (diameter < 500
m) to ensure peripheral stability of the artificial islands against direct wave attack and also for
navigational purposes in the territorial waters (Figure 14.2).
Figure 14.2 Safety zone in artificial island

14.2 Pointers for future direction
What should be apparent from the different contributions in this book is that the aluminium
industry’s main sustainability challenges are natural resource extraction, habitat impacts, energy
use, health and emissions and waste disposal. Full life cycle study of the metal is required to
define its positive and negative impacts on the global environment.
Production of primary aluminium requires significant energy and the industry has a long
tradition of self - improvement in this area. The average energy consumption and subsequent
emissions per tonne of production have fallen by 70% over the past hundred years, due to
research and continuing process developments. In the 1950's on average around the world it took
about 21 kWh (kilowatt-hours) to make a kilogram of aluminium from alumina. In 1999 it took
one of the newest smelters just 13 kWh, a decrease of nearly 40%. More than 55 per cent of the
world's primary aluminium is produced using hydro-electric power which is clean, CO2 free and
renewable.
Water use will be an important consideration in the full life cycle studies. Water is used in the
aluminium industry for cooling in certain processes and sanitary purposes. The effluents
generated from the sanitary services of the smelter may be treated and used to water the green
area within the smelter boundaries. On rainy days the treated liquid effluents that cannot be re-
used for watering the green areas, may be accumulated in an artificial pond for watering the
surrounding forested area known as the ‘buffer zone’.

Over the last decade, the damage from fluoride emissions to surrounding flora and fauna has
largely been eliminated due to prevalent use of modern and efficient fluoride control devices in
pot rooms. Hence the reduction in PFC compound emissions to the atmosphere. The Surveys
show that smelters in the developing world are performing as well if not better than some plants
in Europe or North America (IAI, 1987). The aluminium industry also helps in reducing the
green house gas emissions from the transport sector with its contribution to lightweight and
improved performance of vehicles etc through aluminum usage.
Anything made of aluminium can be recycled repeatedly using only about 5% of the energy
required for primary production and generating only 5% of the greenhouse gas emissions. The
recycling of aluminium saves energy, conserves natural resources, reduces the use of city
landfills and provides added revenue for recyclers. It is good news for the environment and good
for the economy too.
However, there is safety and health related risks involved in all the process steps in an aluminium
smelter. It is therefore necessary to identify systematically all the hazards, have standards of
good practice, committed management and systems for a structured follow up in all the different
phases. The aluminium smelters must have the broad-based support of the community, as
expressed through consultative structures. There should be comprehensive benchmarking data on
the overall performance of smelters with an award to the best performers; such information acts
as a driving force for continuous improvement in smelting industries. For 2000, the best
performing smelters were in India and Brazil and the best performing alumina refinery was in
India (IAI, 1987).

Concluding the discussions, the aluminium smelters must adopt a two-tiered approach, which
involves organising workshops to share experience and good practice amongst other smelting
companies. In this way the small to medium size as well as the big aluminium smelter companies
can be made aware of the international importance of sustainable development and of the need to
make it part of their own management and operating philosophy.

References
1. Abramson M, Wlodarczyk J, Saunders N, et al. 1989. ‘Does aluminium smelting cause lung
disease?’ Am Rev Respir Dis, 139:1042–47.
2. Binczewski, G. J. 2002. ‘The Energy Crisis and the Aluminum Industry: Can We Learn from
History?’ J. of Minerals, Metals and Material Society (JOM), TMS online,
http://www.tms.org/pubs/journals/JOM/0202/Binczewski-0202.html.
3. Davis. C. 2006. “Production Integration. The case for a Regional Aluminium Smelter”. In
Production Integration in CARICOM, ed. Dennis Benn and Ken Hall. Kingston: Ian Randle
Publishers.
4. Exponent. 2005. ‘Ecological Risk Assessment for Use of Wet Scrubbers at Alcoa Fjarðaál
Aluminum Plant in Reyðarfjörður, Fjarðabyggð, Iceland’, Doc. no. BE02664.001 0105 0905
NG08, prepared for Alcoa, 6603 West Broad Street
Richmond, VA 23230. http://www.alcoa.com/iceland/ic/pdf/2006_04_vidauki_9_en.pdf.
5. Hans, Jahns 0. ‘Offshore Outlook: The American Arctic’, (lecture, Mechanical Engineering
Department, Florida Institute of Technology, FL, May 1985).
6. Huggins, H. D. 1965. Aluminium in Changing Communities. Andre Deutsch in association

with Institute of Social and Economic Research, the University of West Indies. London.
7. International Aluminium Institute. 1987. ‘The aluminium industry’s sustainable

development report’, International Aluminium Institute, New Zealand House, London.
www.world-aluminium.org.
8. Ken Mansfield, Gavin Swayn and Jim Harpley. 2002. ‘The spent pot lining treatment and
Fluoride recycling project’, Portland Aluminium, Private Box 1, Portland, Victoria 3305,
Australia. [email protected].
9. Miller, R.R.; J.D. Williams & J.E. Williams. 1989. ‘Extinctions of North American fishes
during the past century’, Fisheries, 14: 22-38.
10. Rønneberg A, Landmark F. 1999. ‘Epidemiologic evidence of cancer in aluminium reduction

plant workers’, Am J Ind Med, 22:573–90.
11. Sim, M. and G. Benke. 2003. ‘World at work: Hazards and controls in aluminium potrooms’,
Occup Environ Med, 60:989–992.
12. U.S. EPA. 1999. ‘Issuance of final guidance: Ecological risk assessment and risk
management principles for Superfund sites’, OSWER directive 9285.28P, U.S.
Environmental Protection Agency, office of Solid Waste and Emergency Response,
Washington, DC.
13. Wilson, E.O. 1994. ‘Only humans can halt the worst wave of extinctions since the dinosaurs
died’, Essay found on-line at the Alberta Special Places.
http://www.afternet.com/~teal/index.html.
14. Zadikoff, G. 1985. ‘Artificial Islands: A Distinct Alternative’, Oceans 17:1056-1061.

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Editors

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

The People of the Caribbean

Especially those in Southern Trinidad

How to use this book

Integration and Industrialization

2 Economics of Aluminum Smelting

Part II Land Use and Physical Planning

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

5 Environmental Impacts and Issues for a Small Island Developing State

S. O’Beirne and A. Kansal

6 Pollution Minimization and Treatment in Aluminium Smelting Industry

C. Venkobachar and G. Shrivastava

7 Aluminium Smelting: Environmental Standards, Compliance and Best Practices

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

Part IV Health and Aluminium Smelting

8 Aluminium Smelting and Health Effects

M. Friesen and L. Fritschi

Trinidad and Tobago

Part V Ecosystem and Industrial Development

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

11 Health Hazards to Animals Associated with Aluminium Smelting

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

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

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

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

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

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

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

Sean O’Beirne, SE Solutions, South Africa. [email protected].

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

The role of the University of the West Indies in Development

and progress of the countries and people of the region.

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

environment for teaching students in the Sciences.

ideas and perspectives is an important aspect of intellectual life.

and propaganda from truth.

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

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

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

country and divide our national community?

prospect for more jobs and better incomes on the other.

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

developed areas of the world.

Dr. Bhoendradatt Tewarie

off” without aluminium.

treatment and fireworks industries. Aluminium smelting involves electrolytic reduction of

smelters due to lower levels of emissions.

their harmonious coexistence.

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

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

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

Mukesh Khare, Clement Sankat, and Gyan Shrivastava Chintanapalli Venkobachar

How to use this book

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

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

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

of stronger breeds of risk assessment models.