Department of Environmental Affairs

Chief Directorate: Air Quality Management and Climate Change

Atmospheric Emission Licence: Manual for Licensing Authorities

June 2009

DIRECTORATE: AIR QUALITY MANAGEMENT IMPLEMENTATION SUPPORT

Contact
Postal address
Physical address
Telephone

Directorate: Air Quality Management Implementation Support

Private Bag X 447, Pretoria, 0001
Corner Pretorius and Van Der Walt Streets, Fedsure Forum Building, Pretoria
(012) 310 3069

CONTENTS
1.

INTRODUCTION1

1.1.

Purpose of the manual..1

1.2.

Structure of the manual.1

2.

INDUSTRIAL EMISSIONS REGULATORY REGIME.2

2.1.

Regulation under Atmospheric Pollution Prevention Act, 1965..2

2.2.

Regulation under National Environmental Management: Air Quality Act, 2004...2

2.3.

Transition from APPA to AQA..3

2.4.

Promotion of access to information requirements for AELA3

2.5.

Administrative justice requirements for AELA6

3.

STEPS INVOLVED IN ISSUING AN AEL.9

3.1.

Two routes through which an AEL may be granted.9

3.2.

Route 1: Joint EIA/AEL processes10

3.3.

Route 2: AEL process..17

4.

TECHNICAL DECISION POINTS.20

4.1.

Deciding whether to grant a licence or not..21

4.2.

Type of licence to issue..21

4.3.

Technical contents of the AEL21

5.

GUIDE TO THE CONTENTS OF AN AEL AND DRAFTING OF AN AEL25

5.1.

AEL application form25

5.2.

AEL template.52

6.

BEYOND LICENSING: COMPLIANCE MONITORING AND ENFORCEMENT..75

6.1.

Link between issuing of an AEL and compliance monitoring and

enforcement activities.........75

6.2.

Role of EMIs in compliance monitoring and enforcement activities.75

7.

AEL PROCESSING FEE CALCULATOR ADMINISTRATION PROTOCOL76

7.1.

Purpose of the protocol...76

7.2.

Policy objective and legal basis.76

7.3.

AEL processing fee establishment and implementation overview...77

7.4.

AEL processing fee bands and scoring criteria...78

7.5.

Final scoring of the application..83

7.6.

Allocation to processing fee bands83

7.7.

AEL processing fee determination.83

7.8.

Invoicing.83

8.

AIR QUALITY MANAGEMENT IMPLEMENTATION SUPPORT...83

1.
1.1.

INTRODUCTION
Purpose of the manual

The purpose of the manual is to assist licensing authorities in performing the atmospheric emission
licence function under the National Environmental Management: Air Quality Act, 2004 (Act No. 39 of
2004) (AQA). The manual seeks to provide licensing authorities with a basis to the processes,
procedures, intergovernmental relationships and key decisions in issuing an Atmospheric Emission
Licence. It is not the purpose of the manual to provide detail of technical or industrial processes which
result in emissions to the atmosphere.
The manual must be read with the following regulatory tools:

1.2.

(a)

The National Environmental Management: Air Quality Act, 2004;

(b)

The National Framework for Air Quality Management in the Republic of South Africa;

(c)

National Ambient Air Quality Standards;

(d)

Listed Activities and Associated Minimum Emission Standards; and

(e)

Atmospheric Emission Licence Fee Calculator.

Structure of the manual

The manual is divided into the following main sections:

Section 2 provides an overview of the past and current approaches on industrial

emissions regulation. It also provides an insight into the historical approach to the
regulation of emissions in South Africa and the current legislative frameworks and
procedures which guide the process. This section also sets out the legal requirements
for licensing authorities when it comes to affording citizens of the country their right of
access to information, namely, the Promotion of Access to Information Act, 2000 (Act
No. 2 of 2000). The section further sets out the administrative justice legal requirements,
namely, the Promotion of Administrative Justice Act, 2000 (Act No. 3 of 2000).

Section 3 sets out the step-by-step guide in the atmospheric emission licence process.

Section 4 highlights the critical technical decisions in the atmospheric emission licence
process.

Section 5 sets out the guide in drafting a legally robust atmospheric emission licence.

Section 6 sets out the compliance monitoring and enforcement measures that may be
undertaken after an atmospheric emission licence is issued.

Section 7 deals with the atmospheric emission licence processing fee calculator
administration protocol. This section sets out the step-by-step guide in the determination
of the prescribed processing fee.

Section 8 contains the contact details of the Directorate: Air Quality Management
Implementation Support. The function of the Directorate is to assist and provide support
to all licensing authorities when performing the licensing function.

2.

INDUSTRIAL EMISSIONS REGULATORY REGIME

2.1.

Regulation under Atmospheric Pollution Prevention Act, 1965

Before the promulgation of the AQA, air pollution was regulated in terms of the Atmospheric Pollution
Prevention Act, 1965 (Act No. 45 of 1965) (APPA). The Department of Water and Environmental Affairs
(DWEA) was responsible for administering the APPA. The main aim of APPA was the control of noxious
and offensive gases emitted by industrial processes (through registration certificate), the control of
smoke and wind borne dust pollution, and emissions from diesel vehicles. The Chief Air Pollution
Control Officer (CAPCO) was responsible for the implementation of the APPA.
Under APPA, all industries undertaking scheduled processes were controlled by the CAPCO through
Best Practicable Means (BPM) using permits (known as Registration Certificates). Scheduled
processes, as set out in the Second Schedule to the APPA, are processes which emit noxious or
offensive gases. The APPA approach, with regard to industrial emissions, was largely based on pointsource emission control. Hence, the BPM represents an attempt to restrict emissions while having
regard to local conditions, the prevailing extent of technical knowledge, the available control options,
and the cost of abatement. The decision as to what constitutes the BPM for each individual case was
reached following discussions with the industry. A scheduled process registration certificate was then
issued.
Over the years major shortcomings in the regulation of industrial emissions under APPA were
discovered. In summary the following, among others, is a list of the APPA shortcomings:

APPA was not in line with the Constitution allocation of function between the three spheres of
government when it comes to air pollution control;

APPA largely focuses on point source emission control that does not fully address the
cumulative impacts of air pollution;

Lack of transparency in decision-making; and

Inadequate compliance and enforcement mechanisms.

As a result, the AQA was promulgated in 2004 signalling a new approach on air quality governance.
2.2.

Regulation under AQA

In the light of the above, the publication in May 2000 of the White Paper on Integrated Pollution and
Waste Management for South Africa A Policy on Pollution Prevention, Waste Minimisation, Impact
Management and Remediation (the IP&WM Policy), marked a turning point for pollution and waste
governance in South Africa. From an air quality perspective, the IP&WM policy effectively sidelined
APPA as it presented a complete paradigm shift from the APPA approach. Consequently, the AQA was
thus developed to reform and update air quality legislation in South Africa. The AQA, amongst its
objectives, is to reflect the overarching sustainable development principles in the National
Environmental Management Act, 1998 (Act No. 107 of 1998) (NEMA).
The AQA was signed by the President and gazetted on 24 February 2005. On 11 September 2005 the
AQA came into force, with the exclusion of sections 21, 22, 36 to 49, 51(1)(f), 51(3), 60 and 61, most of
which deal with the licensing of industrial emissions. The AQA presents a shift from source-based air
pollution control to a receiving environment approach. Key features of the new approach to air quality
governance include:

Sharing of air quality governance responsibilities between national, provincial and local
government;

Establishment of ambient air quality standards;

Air quality management planning and reporting by all spheres of government;

Various regulatory tools or measures made available to government for implementing and
enforcing air quality management interventions in order to achieve and maintain acceptable
ambient air quality;

Promotion of cost-optimised mitigation and management measures; and

Access to information and public consultation.

With regard to industrial emissions, the AQA replaces the permitting of scheduled processes by
CAPCO with the licensing of listed activities by metropolitan municipalities, district
municipalities and provincial environmental departments.
The list of activities which require licences is more comprehensive than those considered under
APPA and makes provision for fugitive sources. To guide the licensing process, those listed activities
have associated national minimum emission standards for the criteria pollutants. These national
minimum emission standards have been developed with the aim of managing air quality to within
acceptable levels in mind and have also considered the potential for cumulative air pollutant
concentrations occurring due to multiple sources. These emissions standards have also been
developed with best available technology in mind and have involved extensive consultation with
affected and interested parties to ensure that they represent an acceptable and achievable standard for
emissions of criteria pollutants.
2.3.

Transition from APPA to AQA

In order to ensure that there is a seamless transition from the APPA to AQA regarding regulation of
industrial emissions, the DWEA has embarked on a number of transition projects. One of those
projects was the APPA Registration Certificate Review Project. The main aim of the project was to
identify the big polluters and begin the process of reviewing their registration certificates. The review
process had two major objectives, firstly, to convert the registration certificates to have the look and
feel of the atmospheric emission licence and at the same time tightening the conditions of those
permits, secondly, in the process of the review capacitate the licensing authorities.
As a result, when APPA is finally repealed (11 September 2009), the reviewed registration
certificates will be converted and renewed into atmospheric emission licences under AQA. For
those industries which were not part of the APPA Registration Certificate Review Project, the
responsibility to renew such registration certificates to atmospheric emission licences rests with
the relevant industries when the trigger is pulled by 11 September 2009. In this regard, licensing
authorities are urged to familiarise themselves with section 61 of the AQA. This section deals with the
transitional arrangements in respect of registration certificates issued in terms of APPA.
2.4.

Promotion of access to information requirements for AELA1

Section 32(1) and (2) of the Constitution provides everyone with the right of access to any
information held by the state. The Promotion of Access to Information Act, 2000 (Act No. 2 of 2000)
1

This section is based on the PAIA and the Booklet on how to use the Promotion of Access to Information Act, 2000, produced by the
South African Human Rights Commission.

(PAIA) gives effect to the human right of access to information. One of the aims of PAIA is to enhance
transparency, accountability and effectiveness of government. PAIA is also applicable to public
bodies, which includes national, provincial and local government. Public bodies are legally obliged to
provide any information requested, in terms of PAIA, by a member of the public subject to certain
exceptions.
2.4.1. Type of information that can be requested
There is host of information that the AELA may be requested to provide, for example, minutes of air
quality officers forum meetings; air quality management plan; allocated budget for air quality
governance; emissions inventory; ambient monitoring stations results; list of all listed activities being
undertaken within the AELA jurisdiction; applications for listed activities; atmospheric emission licences
and compliance monitoring inspection reports.
2.4.2. Public bodies structures
(a)

Information officer

The PAIA designates the information officers at the three spheres of government. The information
officer, at national government, is the Director-General of a specific department; at provincial
government, the Director-General in the Premiers Office is the information officer of the whole
province; and at local government the Municipal Manager of a particular municipality is the
information officer. The information officer is the officer to whom a request for access to information has
to be submitted. He or she will then decide whether to grant or refuse access to a record.
(b)

Relevant authority

In terms of PAIA, at national government the relevant authority of a specific department is the
Minister of that department; at provincial government the Member of Executive Council (MEC) of
a particular department is the relevant authority; and at local government the Mayor or Speaker is
the relevant authority. This is authority to whom an appeal lodged by aggrieved person. The internal
appeal process is the process whereby a requester is dissatisfied with the decision of the information
officer or in an instance where his or her request was ignored and no response given within 30 days or
extended period of 30 days.
2.4.3. Process: request for access to information
Step 1
Form A must be completed for a request to the relevant AELA. The form must be submitted to the
information officer together with payment of a request fee in the amount of R35, 00. Please note: a
requester is not obliged to give reason/s why he or she is requesting the information from the AELA.
Step 2
After receipt of the request, the information officer must respond to the request within 30 days. The
information can extend the 30 day period only once for a further 30 days, after written notification
together with reasons for such extension to the requester.
Where the request has been granted, the information officer must indicate to the requester that the
requester has to pay the access fee, if any, for the time spent on search and preparation of the
information, and must state the form in which access will be given.

In a case where information is refused, the information officer must give the requester reasons for
such a refusal and cite the specific section relied upon under the grounds for refusal in terms of
PAIA.
Step 3
Where a request for access is simply ignored or the information officer fails to respond to the
request within 30 days or within the extended period of a further 30 days, such non-response is
deemed to be a refusal.
Where the AELA has a relevant authority in place, the requester can then lodge an internal appeal
with the relevant authority, against the failure to respond by the information officer. The internal
appeal must be lodged with the relevant authority within 60 days from the date upon which the
information officer should have made a decision regarding the request. The requester must
complete Form B to lodge an internal appeal with the relevant authority. However, where the AELA
does not have a relevant authority in place, the requester must make application to court against the
decision of the information officer.
The grounds of appeal against the decision of the information officer are, namely, where the requester
is aggrieved by the decision of the information officer not to release the requested information; the
decision of the information officer to release the information but severing parts thereof to the extent that
the integrity of the information is compromised, in that the information no longer makes sense; the
amount of access fees that the requester would have to pay; the form of access granted; or the
extension of time to deal with the request.
If the requester is dissatisfied with the decision of the relevant authority, or if the relevant authority does
not respond to the internal appeal, the requester can apply to the court in terms of PAIA.
2.4.4. Grounds for refusal of access to information
Despite the legal obligation of AELA to give access to any information requested, the information officer
can in certain circumstances refuse access to certain information. The following are, among others,
grounds for refusal which an information officer of the AELA can rely on to refuse access to
information:
(a) Mandatory protection of commercial information of a third party;
(b) Mandatory protection of certain confidential information, and protection of certain other
confidential information of a third party;
(c) Mandatory protection of research information of third party, and protection of research
information.
However, PAIA provides for the public interest override clause. It is a clause that states that any of
the above information must be disclosed if the disclosure would be in the public interest. This may
include:
(a) Where it would reveal evidence of a failure to comply with the law;
(b) Where it would reveal a public safety or environmental risk;
(c) Any matter where the public interest clearly outweighs the harm that might be done in disclosing
such a matter.

2.5.

Administrative justice requirements for AELA

Section 33(1) and (2) of the Constitution provides that everyone has the right to administrative action
that is lawful, reasonable and procedurally fair, and that everyone whose rights have been adversely
affected by administrative action has the right to be given written reasons. Giving effect to the
administrative action right, the Promotion of Administrative Justice Act, 2000 (Act No. 3 of 2000) (PAJA)
was promulgated. PAJA is applicable to administrative actions taken on a daily basis by government
officials. Therefore, licensing authorities decisions regarding the atmospheric emission licence process
are subject to and must comply with the PAJA requirements.
Examples of environmental decisions that must comply with PAJA
The decision to refuse or grant an environmental authorisation is an administrative decision
in that it affects the rights of people and it is mandated by statute.
Other decisions that may constitute administrative actions in terms of PAJA are

appeal decisions in relation to environmental authorisations;

the development of policies or guidelines that will impact on how environmental

authorisation decisions are taken;

a directive to cease an activity. 2

The following are administrative decisions that may not be covered by PAJA, namely

notifications, proposals or recommendations that do not directly affect individual rights;

decisions that are not final, e.g. preliminary steps in multi-staged decisions, unless those
preliminary steps have serious consequences in themselves;

internal administrative actions.

2.5.1. PAJA requirements

PAJA gives effect to the right to administrative action that is lawful, reasonable and procedurally fair and
to the right to written reasons. Hence, administrative actions must comply with the following
requirements:

Procedural fairness;

Lawfulness; and

Reasonableness.

2.5.2. Procedural fairness

The most important element of procedural fairness is giving every person who may be affected by the
decision an opportunity to be heard prior to the decision being taken. Affected person will have a
reasonable opportunity to be heard if that person 2

See Evans and others v Llandudno / Hout Bay Transitional Metropolitan Substructure and another 2001 (2) SA 342 (C)

is given sufficient notice of the pending decision;

is given sufficient information to make an informed response; and

response has been considered before the decision is taken.

2.5.3. Lawfulness
The air quality officers decision must be lawful. This means that

the decision-maker must be authorised by legislation to make the decision or there must be a
valid delegation to that person to make the decision; and

the decision must give effect to the general purpose of the authorising legislation.3

2.5.4. Reasonableness
The administrative decision must be reasonable or rational. This means that the air quality officers
decision must be reasonable in the prevailing circumstances. Practically, this means that the air quality
officer must

take into account all relevant factors;

struck a reasonable equilibrium between the different factors; and

select reasonable means to pursue the identified legislative goal in the light of the facts before
him or her. 4

Substantive fairness
Substantive fairness refers to the reasonableness of the decision. The decision must be
capable of being justified in terms of the documents submitted; the submissions received;
and the relevant statutes and policies in place. In an environmental authorisation there
must be a clear link between the facts; the reasoning; and the outcome, including
conditions set.
In summary, a person who may be adversely affected by an administrative decision must be given

adequate notice of that decision;

a reasonable opportunity to make representations;

a clear statement of the administrative action;

notice of any right of review or internal appeal; and

notice of the right to request reasons. 5

In Corium (Pty) Ltd and others v Myburgh Park Langebaan (Pty) Ltd and others 1995 (3) SA 51 (C), the court held that the
administrator had acted unlawfully in issuing a permit, as the relevant development was repugnant to the objects, purposes and
policies of both the Physical Planning Act and the ECA.
Bato Star Fishing (Pty) Ltd v Minister of Environmental Affairs and Tourism and others2004 (7) BCLR 687 (CC) at pages 713, para
50.
Section 3(2) of PAJA.

It is important for a licensing authority to consider the requirements of section 38(3) of the AQA. This
section provides an alignment between the PAJA requirements and AQA licensing requirements.
An administrator may, in certain circumstances, depart from any of these PAJA minimum requirements,
including in situations of urgency. 6
A person whose rights have been materially and adversely affected by administrative action has 90
days to request written reasons for the action. Reasons must be supplied within 90 days of receipt of a
request.7
Where an administrative action is taken on review, the reviewing court may consider whether:

the administrator acted lawfully (i.e. whether he or she was properly authorized to act);

the administrator was biased or could reasonably be suspected of being biased;

the administrator acted arbitrarily or capriciously;

the action was taken for an ulterior purpose or motive or was taken in bad faith;

the outcome was materially influenced by an error of law;

the act was taken in a procedurally fair manner;

the act was rational (i.e. whether there was a rational connection between the decision and the
information before the decision-maker and whether there was a rational connection between the
purpose of the empowering provision and the decision).

Exhausting internal remedies

In terms of the PAJA requirements, one must firstly exhaust all internal remedies before taking the
matter to the High Court on judicial review. Although the court can exempt a person from this
requirement in exceptional circumstances and if it is in the interests of justice, 8 generally, a person
will not be able to approach a court to review the issue or refusal of an environmental authorisation until
that person has lodged an appeal and the appeal proceedings have been concluded. 9
Can a decision-maker rely on advice and a summary of relevant documents?
In Earthlife Africa (Cape Town) v Director-General of Environmental Affairs and Tourism10 a
summary of the relevant file, rather than the full file, was sent to the decision-maker. The effect of this
was that the submission made by Earthlife Africa was not considered by the decision-maker as the
summary of the file did not contain a summary of the submission. The court held that this was improper
and that a summary must at least contain a fair synopsis of all the points raised by the parties so that
the repository of power can consider them in order to come to a decision.
In the Earthlife Africa case, the court also held that it was unfair to only give an interested and affected
party the right to comment on a draft environmental impact report (EIR) rather than on the final EIR,
which went to the decision-maker.
6
7
8
9
10

Section 3(4) of PAJA.

Section 5 of PAJA.
Section 7(2)(c) of PAJA
See Earthlife Africa (Cape Town) v Director-General of Environmental Affairs and Tourism 2006 (10) BCLR 1179 (C)
2006 (10) BCLR 1179 (C) at pages 1198 and 1199 paras 74 and 75

All relevant information must be disclosed to the person making representations. A person does not
have to be given everything but must be given sufficient information to present and controvert evidence
in a meaningful way. The person presenting should know the gist or substance of the case that it has
to meet.11
The use of policies and guidelines in making decisions on environmental authorisations
The Supreme Court of Appeal has endorsed the adoption of policy guidelines by state organs to assist
decision makers in the exercise of their discretionary powers. Such guidelines are particularly useful
where the decision is a complex one, requiring a balancing of a range of competing interests or
considerations. However, these policy guidelines must not be applied rigidly and inflexibly, and those
affected by the guidelines should be aware of them. 12
On critical issues where a number of provinces do not have their own guidelines or policies, there may
be a need for national guidelines. If national guidelines are published, they need not be adopted by
provinces that choose to issue their own guidelines. However, unpublished guidelines or draft guidelines
or policies cannot be taken into account in making a decision. 13
Socio-economic conditions and commercial interests
An administrator can take into account socio-economic factors as well as environmental factors. 14
However, no person can bring review proceedings under environmental legislation to protect a
commercial rather than an environmental interest.15

3.

STEPS INVOLVED IN ISSUING AN ATMOSPHERIC EMISSION LICENCE (AEL)

3.1.

Two routes through which an AEL may be granted

The AEL process is guided by the following important principle:

The process for consideration of all issues related to an AEL has, for most cases, been
linked to the Environmental Impact Assessment process. Thus, in most cases the process
is a interrelationship with the EIA process and thus involves two authorities:

The EIA Competent Authority (EIA-CA)

The Atmospheric Emission Licensing Authority (AELA)

Thus, the principle route through which an AEL is issued will be via a joint process, run in association
with an EIA process. The interrelationship between the EIA and AEL processes is set out, in Figure 8, in
the National Framework for Air Quality Management.
11
12

13

14
15

Earthlife Africa case at page 1192 para 51

MEC for Agriculture, Conservation, Environment and Land Affairs v Sasol Oil (Pty) Ltd and Another 2006 (5) SA 483 (SCA) at page
491, para 19.
Bato Star Fishing (Pty) Ltd v Minister of Environmental Affairs and Tourism and others 2004 (7) BCLR 687 (CC) at page 717, para
61
BP Southern Africa (Pty) Ltd v MEC for Agriculture, Conservation, Environment and Land Affairs 2004 (5) SA 124 (W).
All the Best Trading cc t/a Parkville Motors and others v SN Nayagar Property Development and Construction and others 2005 (3)
SA 396 (T).

There are two possible routes through which an AEL may be obtained, namely:

AEL process running parallel with the EIA process (joint process); and

AEL process (carried out without the EIA process).

3.2.

Route 1: Joint EIA / AEL Processes

3.2.1. When is it applicable?

This process must be followed in all applications for an AEL for a new facility which will involve a listed
activity, and in all applications for a change or amendment to the existing AEL.
From an air quality perspective, this process is applicable in the following cases:

Section 37 AQA: development of a new facility;

Section 37 AQA: new process within an existing facility which will result in a listed activity
being carried out;

Section 46(3) AQA: change to emission rates, raw materials which may increase emission
levels of key pollutants for listed activities; and

Section 46(3) AQA: any other changes or amendment of the existing AEL.

3.2.2. AEL application process

In these cases the applicant must submit an application to:

The EIA-CA for an environmental authorisation; and

The AELA for an atmospheric emission licence.

For the AEL process, the relevant metropolitan municipality or district municipality is the licensing
authority, except in a situation where the municipality has delegated its licensing function to the
province, the province has intervened in terms of section 139 of the Constitution or where the
municipality is the applicant for an AEL. In such circumstances, the relevant provincial environmental
department is the licensing authority.
For the EIA process, the competent authority is either the DWEA or provincial environmental
department depending on the size and nature of the proposed development. However, regarding
proposed activities around mining areas, the Department of Minerals is the competent authority for such
EIA applications 16.
3.2.3. EIA-AEL procedural relationship
There are three main principles which underpin the relationship between the EIA and AEL processes.
Firstly, the EIA process must proceed and inform the AEL process. This is a logical sequence for
various reasons:

16

In terms of the National Environmental Management Amendment Act, 2008 (Act No. 62 of 2008), the Minister of Minerals and
Energy will be the competent authority for a period of 18 months from the date of commencement of the Amendment Act. Thereafter,
the Minister of Environmental Affairs and Tourism will be competent authority for EIA around mines.

10

The EIA process considers all potential environmental impacts not only the impacts of
atmospheric emissions. As a result, the EIA activity could result in significant impacts (other
than those on the atmosphere) which could result in a negative Record of Decision (RoD) thus
no need to issue an AEL;

The EIA process may require the submission of a Specialist Air Quality Impact Assessment
Study which should provide information on all the various requirements of AQA and will provide
the AELA with all the critical information needed when assessing the AEL application;

The EIA environmental authorisation may contain conditions which may be pertinent to the
AEL; and

The EIA process will require comprehensive opportunities for public participation and input
which will also contribute to the understanding of public concerns and comments on the
atmospheric impacts of the proposed development or activity.

Secondly, there must only be one information gathering process for the two processes. Thus all
information required for the AEL process must be gathered through the EIA process be it technical
information or input from public participation. This will ensure that a duplication of effort is avoided and
also that the information required by the AELA is gathered through the much more comprehensive
process followed under the EIA process. This is particularly the case for public participation.
Thirdly, there should be a joint review of information related to atmospheric impacts by the EIA-CA
and the AELA. This is a recommendation from the National Framework and is one which may
strengthen the effectiveness of the EIA-AEL procedural relationship and may promote good working
inter-governmental relations. Due to the nature of the activity, the legal onus is on the applicant to
ensure that all interested and affected parties are involved in the review and consideration of the
relevant information during the EIA process.

Note: AELA must play an active role in the EIA process

Whilst the EIA process happens first, it is important that the AELA plays a full and active
part in consideration of the EIA decision and review of information submitted as part of
the atmospheric impact element of the EIA application. In other words, the AELA must be
confident that it can proceed to issue the AEL once an Environmental Authorisation has
been granted. There should be no instances where an EIA has been approved and the
AELA then finds that the EIA has not considered an atmospheric issue or impact
sufficiently to allow an AEL to be granted. It is thus up to the AELA to ensure that it
participates actively in the EIA consideration and approval process to ensure that the EIA
process covers all the issues which must be addressed in order for an AEL to be issued
once the EIA Environmental Authorisation has been granted.

3.2.4

Key steps of the EIA-AEL procedural relationship

The diagram below describes the interrelationship between the EIA-AEL processes and is taken from
the National Framework for Air Quality Management in South Africa.

11

12

The steps below expand on the diagram in order to provide detailed guidance for the AELA. They focus
on the role of the AELA.
Step 1: Applications
It is the legal responsibility of the applicant to compile and submit two applications:

An EIA application which should be submitted to the relevant EIA-CA, in accordance with the
EIA regulations; and

An AEL application which should be submitted to the relevant AELA, in accordance with the
AQA requirements.

Step 2: Initial communication between EIA-CA and AELA

Note: It is the legal responsibility of the applicant, in terms of the EIA regulations, to give notice, in
writing of the proposed application to any organ of state which has jurisdiction in respect of any aspect
of the activity.
Upon receipt of an application, the EIA-CA and/or AELA should check whether the respective
applications comply with the legal requirements in terms of NEMA EIA Regulations and AQA and must
also check whether the AELA or EIA-CA visa-a-versa received an application.
In either of these cases, the AELA should contact the relevant EIA-CA to check whether an EIA
application has been submitted, if the EIA-CA has not already contacted the AELA in this regard.
At this initial stage, it is recommended that the EIA-CA and AELA discuss the joint process that is to be
followed and the stages at which communication must take place between them. It will also be important
to discuss the legislated turnaround timeframes involved for each step of the process, and to identify the
stages at which the AELA must participate in consideration and review of information. At this stage, it
would also be in the spirit of co-operative governance to share information and/or application documents
to ensure that both have an opportunity to view and understand all the information submitted via both
processes.
Step 3: Consideration of the applications
At this stage, the EIA-CA and AELA will each review the information submitted by the applicant within
their respective applications.
In terms of the AEL, the AELA must check the contents of the applications in order to:

Confirm that all necessary information has been provided;

Identify any missing information and request provision of this information by the applicant; and

Identify any information that it may need to check/verify at a later site visit.

The AELA should then discuss its findings with the EIA-CA prior to acknowledging receipt of the
application and/or requesting any outstanding information (this will allow the EIA-CA to note the
additional information required and to keep abreast of any shortfalls in the AEL application process
which may also inform the EIA application).
Upon receipt of additional information requested, the AELA should also forward such information to the
EIA-CA for information.

13

Similarly, if the EIA application is missing information which may relate to the impact on the atmosphere
and would therefore be of use to the AELA, such information, once requested and received by the EIACA should be forwarded to the AELA.
Note: The legislated turnaround timeframes for EIA-CA & AELA to acknowledge receipt of the
application, if the application is in order or reject the application, if it is not in order, is 14 days of
receipt of the application.
Step 4: EIA phase I
This phase includes the basic assessment report, scoping reports, environmental impact assessment
reports, specialist reports and reports on specialised processes and initial public participation.
At this stage, the process follows the initial phase of the EIA process in accordance with the EIA
regulations whereby the applicant carries out the following:

Submission of a basic assessment reports (a basic assessment is a stand alone process

followed when it is not necessary to do an EIA.);

Compilation of scoping reports, Plan of Study for Environmental Impact Report and
identification of required specialised studies;

Initial public participation;

Review and finalisation of scoping report and plan of study for Environmental Impact Report;
and

Submission of above to the EIA-CA.

Upon receipt of the above, the EIA-CA is expected to inform the AELA that it has received the required
documents and between them, the two authorities should arrange a date / time to review parts of these
documents.
It is recommended that during this initial phase, the AELA should carry out a site visit to verify the
information that has been provided in the AELA and EIA applications, and to be familiar with the site and
the potential air quality issues. Such a site visit may also allow the AELA to represent fully all issues
which relate to the AEL application and to determine whether the applicant have fully captured and
considered all relevant issues and information.
Step 5: Joint consideration of the scoping reports and plan of study
At this stage, the EIA-CA and the AELA should sit together to cooperatively consider the Scoping
Reports and the Plan of Study with a view to determining whether the reports should be accepted (thus
allowing the applicant to proceed to the next phase of the EIA process) or whether amendments to the
reports are required, such as the provision of additional information or verification of information
provided.
From the point of view of the AELA, it must be confident that the reports provide the basis for answering
all the concerns which must be addressed before both the EIA Environmental Authorisation and
AEL can be issued. The specific factors to be taken into account in the AEL process are set out in
section 39 of the AQA and paragraph 5.5.3 of the National Framework. These requirements must
be kept in mind by the AELA throughout its involvement in the EIA process so that it can inform the EIACA if additional information or analysis of the EIA application is required in order to provide the insight
required by the AEL that the applicant has satisfied the AEL requirements in their application. The AELA

14

will also have to raise and check whether these requirements have be complied with, later in the EIA
process once the specialised reports, impact report and management plan have been produced (see
step 7 below).
In addition, at this step the AELA must ensure that the rather obvious step of identifying a Specialist
Air Quality Impact Assessment Report for completion in the next step of the EIA process has been
flagged by the applicant within the Plan of Study and that the proposed contents of this report will
address all the factors the AELA must take into consideration before both the EIA Environmental
Authorisation and AEL can be issued. The National Framework, in paragraph 5.5.3, sets out the key
requirements of the specialist report.
Following the consideration of the reports, the EIA-CA and AELA may require amendments to be made
and once satisfied that these have been carried out, they can accept the reports and notify the applicant
of such decision.
Note: The legislated turnaround timeframes for EIA-CA is 30 days of receipt, to either accept or
reject the scoping report or plan of study.
Step 6: EIA Phase II
At this stage, the applicant proceeds to the second phase of the EIA process. The tasks include:

Prepare an environmental impact assessment report;

Prepare environmental management plan;

Prepare specialist studies (including a specialist air quality impact assessment study); and

Conduct phase II of the public participation process.

Once completed, these reports must be submitted to the EIA-CA. The EIA-CA should inform the AELA
that is has received the reports, and as indicated earlier, times and dates for joint consideration of these
reports are agreed. Therefore, as recommended by the National Framework, it would be in the spirit of
co-operative governance for both authorities to jointly review the reports.
Step 7: Joint consideration of the environmental impact assessment report, environmental
management plan and specialists studies
This step is similar in nature to step 5 above, i.e. the EIA-CA and AELA jointly consider the detailed
environmental impact assessment report, environmental management plan and specialist air quality
impact assessment report.
Important for the AEL process is for the AELA to ensure that it is satisfied that the reports and specialist
study under consideration contain all the information required to enable it to fully assess the impact of
the proposed activity to the atmosphere, and that it complies with the requirements contained in section
39 of AQA. Please note: if the AEL feels that, based on the EIA information, it would not issue an AEL
then the EIA should not be granted as there should never be an instance where an EIA is issued but an
AEL is later refused. Thus, the AELA must be satisfied at this point that all the information it needs to
make a decision on the AEL application has been submitted by the applicant.
It is also important for the EIA-CA and AELA to assess whether the specialist air quality impact
assessment report comply with the requirements set out in paragraph 5.5.3 of the National Framework,
and the NEMA EIA regulations.

15

Note: The legislated turnaround timeframes for EIA-CA is 60 days of receipt, to either accept or
reject the environmental impact assessment report, environmental management plan or
specialist studies.
Step 8: Environmental authorisation decision
The EIA-CA, in terms of the NEMA EIA Regulations, has 45 days, after accepting the reports and
studies, to either grant the environmental authorisation in respect of all or part of the activity applied for;
or refuse the environmental authorisation in respect of all or part of the activity.
Step 9: Issuing or refusal of an AEL
In terms of section 40(3) of the AQA, if the step above results in the issuing of an Environmental
Authorisation, then the AELA has 60 days from the date of issue of the Environmental Authorisation to
make a decision in respect of the AEL application.
If an EIA Environmental Authorisation is not granted then the application for the AEL becomes
irrelevant, as the development or activity will not have been given the necessary environmental
authorisation to proceed.
In a situation where the Environmental Authorisation is granted then the AELA can proceed to
consider the AEL application. The AELA has two options:
(a)

Issue a provisional AEL (which in time will be converted to a final AEL); or

(b)

Issue a final AEL.

The provisional AEL must, in terms of section 41(2) of the AQA, be issued subject to certain
conditions and requirements as the AELA may determine, and/or as the Minister or MEC has
prescribed for the listed activity of the kind in question. It is the responsibility of the AELA to ensure
that whatever condition or requirement relevant to air quality, which where agreed to during the EIA
process, are included in the provisional AEL.
In terms of section 40(4) of the AQA and in accordance with the administrative justice requirements, the
AELA must, within 30 days, once it has reached a decision on the AEL application:
(a)

Notify the applicant of the decision, and give written reasons if the application was
unsuccessful;

(b)

In a manner determined by the AELA, notify any persons who have objected to the
application; and

(c)

At the request of any person who has objected to the application, give written reasons
for its decision or make public its reasons.

In deciding whether to grant or refuse an application, the AELA must assess the application against
the sections 39 and 40 of the AQA. Section 39 sets out the relevant matters that must be taken into
account by the AELA when considering an application. Section 40 provides a checklist of matters that
must guide the decision of the AELA during the licensing process.
The process through which the application is considered and how the information in the application form
is used in drafting the contents of the AEL is technical in nature, and thus Section 5 of the Manual
provides the technical guidance on the AEL licensing process.

16

3.3.

Route 2: AEL Process (without EIA process)

3.3.1. When is it applicable?

This process is applicable in the following cases:

Transfer of an existing AEL to new owners (section 44 of the AQA); and

Renewal of an existing AEL where the renewal does not result in the variation or amendment of
the existing AEL (section 47 of the AQA).

3.3.2. Application procedure

In each of the abovementioned cases, the applicant must submit its completed application form to the
relevant AELA.
3.3.3

Key steps in the AEL licensing procedure

3.3.3.1 Transfer of an existing AEL to new owners (section 44 of the AQA)

Step 1: Application for the transfer
In terms of section 44, the applicant must apply, in the prescribed application form, to the relevant
AELA. In this type of application, section 44 is applicable. The application must be accompanied by
additional documentation and the prescribed processing fee.
Step 2: Checking of application for compliance with formal requirements
Upon receiving the application, the AELA must check the following:
-

Whether the application is accompanied by the prescribed transfer processing fee;

Proper description of previous owners and new owners; and

Proper description of new owners, contact details, physical postal addresses.

If the application does not comply with the abovementioned requirements and / or contains insufficient
information, the AELA must inform the applicant. Any additional information that the AELA may require
must be requested at this stage. The AELA must indicate in the letter to the applicant that, failure to
comply with the above requirements and / or legal request from the AELA, may result in refusal of the
application.
The suggested turnaround time for AELA to acknowledge receipt and/or requesting any further
information from the applicant is 14 days after the receipt of the application.
Step 3: Notification of the interested person and the public regarding the application for a
transfer
In terms of section 44(4) of the AQA, the applicant is required to take certain steps to bring the
application to the attention of the interested person and the public. Section 44(4)(b) fully sets out the
requirements.
It is important to note that the AELA cannot process the application until such requirements have
been fulfilled. It may be vital for the AELA to insist on the applicant submitting proof regarding
compliance with section 44(4)(b) requirements.

17

Step 4: Consideration of the application

The AELA must proceed to consider the application after the following requirements are complied
with:
-

Application form properly completed;

Outstanding additional information submitted;

Proof whether the application was brought to the attention of interested and affected parties;

Proof whether objections were lodged or not; and

Prescribed transfer processing fee paid.

When considering an application for a transfer, the AELA is required to take into account whether the
person to whom the licence is to be transferred is a fit and proper person as contemplated in section
49 of the AQA. In determining whether a person is a fit and proper person, the provisions of section 49
are applicable.
Step 5: Decision
If all of the abovementioned requirements are met, the AELA must transfer the AEL to the new owners.
This is implemented by recording the necessary changes and issuing the new owner with an amended
AEL with effect from date of issue.
What happens if the applicant does not meet the fit and proper person test?
Unfortunately, the AQA does not provide clear answers. However, they may be two options available
to the AELA. Firstly, the AELA can refuse the application. The basis of refusing the application can be
the failure of the new owner to meet the requirements of a fit and proper person. However, the AELA
runs the risks of being challenged on the administrative justice requirements. Secondly, the AELA may
approve the application subject to certain strict conditions that the new owner may have to comply with.
This must be additional conditions to the existing licence conditions. The AELA must determine such
additional conditions. Again, if there were objections to the application, the AELA runs the risks of being
challenged on the administrative justice requirements by an interested and/or affected party.
The AELA must weight its options.
The suggested turnaround time to issue an amended AEL is 10 days after the submission of all
required information.
3.3.3.2 Renewal of an existing AEL (section 47 of the AQA)
NOTE: It is important for all AELA to note that the type of application anticipated here are all
applications that are due for renewal after expiry, and those applications in terms of the
transitional arrangements as contemplated in section 61 of the AQA. All holders of provisional
registration certificates / AEL, at the time of the repeal of the APPA, i.e. 11 September 2009, have a
period of two years to apply for a renewal of their licences to AEL. All holders of final registration
certificates, at the time of the repeal of the APPA, i.e. 11 September 2009, have a period of three
years to renew their registration certificates into AEL. Failure by the applicant to comply with
section 61 will result in those licences being invalid after 2 and 3 years respectively.

18

Step 1: Application for a renewal

Before the expiry date of the licence, the applicant must submit to the relevant AELA an application to
renew its AEL. Sections 38, 40, 43 and 47 of the AQA are applicable to the application for a renewal of
the licence. These sections set out the legal requirements that the applications for renewal must comply
to.
Step 2: Checking of application for compliance with legal requirements
Upon receiving the application, the AELA must check the following:
-

Whether the application is accompanied by the prescribed processing fee;

Whether all relevant sections of the application form has been completed; and

Proof that the relevant provincial air quality officer has been notified of the application.

If the application does not comply with any of the abovementioned requirements and/or contains
insufficient information, the AELA must inform the applicant accordingly. Any additional information that
the AELA may require must be requested at this stage. The AELA must indicate in the letter to the
applicant that, failure to comply with the above requirements and / or legal request from the AELA, may
result in the refusal of the application.
The suggested turnaround time for AELA to acknowledge receipt and/or requesting any further
information from the applicant is 14 days after the receipt of the application.
Step 3: Notification of the relevant organs of state, interested persons and the public regarding
the application
In terms of section 38(3) of the AQA, the applicant is required to take certain steps to bring the
application to the attention of the relevant organ of state, interested persons and the public.
It is important to note that the AELA cannot process the application until such requirements have
been fulfilled and that no objections have been received against the application. It may be vital for the
AELA to insist on the applicant submitting proof regarding compliance with section 38(3)(b)
requirements.
Step 4: Consideration of the application
The AELA must proceed to consider the application after the following requirements are complied
with:
-

Application form properly completed;

Outstanding additional information submitted;

Proof whether the application was brought to the attention of interested and affected;

Proof whether objections were lodged or not; and

Prescribed processing fee paid.

If the AELA is satisfied that all the required information has been submitted, then it can proceed to
consider and take a decision on the application.

19

Step 5: Decision
The AELA has two options, namely, (a) to grant an application; or (b) refuse an application.
In terms of section 40(2) of the AQA, any decision of the AELA to grant an application must be
consistent with certain factors. AELA are urged to carefully consider those issues as set out in section
40(2) of the AQA.
It is important for the AELA to note that if they refuse an application for renewal that its decision must
be based on technically sound reasons. Failure to comply with these requirements will result in its
decision being challenged on judicial review. Section 40(2) requirements provide a good basis for such
technical reasons.
The suggested turnaround time to issue a renewed AEL is 60 days after the submission of all
required information.
4.

ECHNICAL DECISION POINTS

Within the AEL process there are three key technical decision points where the AELA must
consider all relevant guidance, policies, norms and standards and conditions relevant to the application.
These are:

Whether to issue a license or not;

If the answer is Yes decide what type of license should be issued (provisional or final AEL);

If a license is to be issued make technical decisions related to:

o

The emission standards applicable to the listed activity;

Compliance timeframes with applicable emission standards; and

Specific conditions to be included in the licence.

This sequence of decisions is illustrated in the Figure below and detailed guidance on how to make
these decisions is provided in the following sections.

AEL application has been

Received and Considered

Should the AEL be

awarded?
Provisional
AEL

If no follow prescribed
procedures for communicating
and informing applicant of
decision

Decision
Point

No

What type of license

Should be granted

Yes

Decision
Point

Decision
Point

Set Emission Limits

Set timeframes for

compliance

AEL

Draft other conditions

Figure: Technical decision points involved in the AEL process

20

4.1.

Deciding whether to grant a licence or not

The precursor to this decision will have been determined through the joint EIA/AEL process. The
principle is as follows:

If an EIA Environmental Authorisation is granted, then the AEL will be granted (unless there
has been a serious flaw in the EIA process which has overlooked significant atmospheric
impacts which are then raised later in the AEL process);

If an EIA Environmental Authorisation is refused, then an AEL will not be issued; and

Continuous non-compliance with existing AEL conditions where the application for renewal
of an existing licence may be refused. Such a decision will be based on the findings of the
compliance monitoring and inspection reports.

4.2.

Type of licence to issue

There are two options:

Provisional AEL; and

Final AEL.

A provisional AEL is issued to a new activity (not in existence yet) and will be converted later into final
AEL when the commissioned facility has been in full compliance with the conditions and requirements of
the provisional AEL for a period of at least 6 months.
The final AEL includes specific conditions to be complied with within a specific timeframe. The AEL, in
terms of the National Framework, is valid for a period of 5 years.
4.3.

Technical content of the AEL

4.3.1.

Setting emission standards

This is the crux of an AEL that involves specific sequence of thought and consideration of technical
documents and information. Thus, there are two important legal documents that must be considered
when setting emission standards in an AEL:

Listed Activities and national minimum emission standards (section 21 notice in terms of
AQA); and

National ambient air quality standards (section 9 notice in terms of AQA).

The AEL is a key regulatory tool for managing the ambient air quality in a particular area. Thus, when
setting emission standards for an activity, it is important to understand the levels of the pollutants in the
ambient air and national ambient air quality standards. Therefore, it is important to understand the
potential impact of the existing and/or potential emissions from the applicants activity on the ambient
standards and how these relate to other potential sources in the area.

21

Existing ambient levels of the

pollutant &
Ambient Air Quality Standards
&
Air Quality Management Plan

Emission Standards
For criteria pollutants

Figure: Setting emission standards for an AEL must consider both the national minimum
emission standards for the criteria pollutant concerned plus ambient levels, national ambient air
quality standards for the criteria pollutant concerned.
In summary, where ambient concentrations of a particular criteria pollutant exceed the national ambient
air quality standard an acceptable intervention on the part of the AELA will be the review of AELs in
the area, with the main aim of revising the emission standards for the problematic polluters and to make
those stricter, and strict enforcement of the AEL conditions.
With this context in mind, there are a series of technical decision-making steps the AELA must follow
when setting emission standards for certain criteria pollutants:
Step 1: Refer to the Listed Activities and Associated National Minimum Emission Standards
(Section 21 Notice). This is a legal document that has the force of law.
From the section 21 notice, the AELA must identify the relevant activity and the emission standards for
each criteria pollutant relevant to the activity being considered and note any other conditions associated
with such pollutants.
This is the starting point in the emission standards setting decision and these standards can now be
technically examined within the context of ambient air conditions and standards.
The section 21 notice is arranged by listed activity and for each activity outlines:

Description of the listed activity;

Minimum emission standards for point source emissions:

o
o
o
o

Identifies substances or mixture of substances resulting from the listed activity;

Establish emission standards for these substances or mixture of substances for both new
and existing plants;
Establish the methods for the measurement of the emissions;
Provides for the compliance timeframes for both the new and existing plants with the
emission standards;

22

Transitional and other special arrangements. This includes specific requirements for certain listed
activities.

The figure below provides an example of a section 21 notice and the annotations indicate the
information to be used in setting emission standards within the AEL.
1. Category of Listed Activity
Number:

Category Title

Metallurgical Industry

2. Listed Activity
Being an activity which results in atmospheric emissions and which the Minister reasonably believes have or
may have a significant detrimental effect on the environment, including heath, social conditions, economic
conditions, ecological conditions or cultural heritage as contemplated in section 21(1)(a) of the Act
Number:

4.17

Category Title

Description

The production or processing of precious and associate base metals

Size:

All installations

Precious and base metal production and refining

3. Minimum Emission Standards for Point Source Emissions

Being the minimum emission standards for emissions from a single identifiable source and fixed location of
atmospheric emission in respect of substances or mixture of substances resulting from a listed activity
including the permissible amount, volume, emission rate or concentration of that substance or mixture of
substances that may be emitted and the manner in which measurements of such emissions must be carried
out as contemplated in section 21(3) of the Act
Substance or mixture of substances

Mg/Nm 3 under standard

conditions of 273 Kelvin
and 101.3 kPa

Common Name

Chemical Symbol

New Plant

Existing
Plan

Particulate Matter

Not applicable

50

50

Sulphur Dioxide

SO2

400

400

Chlorine

Cl2

50

50

Nitrogen Oxides

Nox

300

500

Hydrogen Chloride

HCl

30

30

Total Fluorides

HF

30

30

Manner in which measurement of

emissions must be carried out

Appropriate Method selected from

Table 1
Use these figures to set initial draft
emission standards (which may be later
amended by consideration of ambient
air levels and standards.
Include the measurement instructions
as a condition of the AEL.

4. Transitional and Others Special Arrangements

Being transitional and other special arrangements in respect of activities which are carried out at the time of
listing as contemplated by Section 21(3)(b) of the Act
Compliance
Date

Requirement

Application

Facilities possessing nickel and its compounds shall report the

emissions thereof (including the health impact of such
emissions) to the licensing authority annually

All facilities operating these activities

23

From date of
publication
Include this information
as conditions and to set
compliance timeframes.

Step 2(a): Are there any provincial emission standards which have been set for the criteria pollutant
under consideration that are stricter than the national standards?
If so these should be used and taken forward into the next step of the process.
If not then the national standards are applicable.
Step 2(b): Are there any local emission standards which have been set for the criteria pollutant under
consideration that are stricter than the national and provincial standards?
If so these should be used and taken forward into the next step of the process.
If not then the national standards are applicable.
Step 3: With all the relevant information for the listed activity/key pollutants to hand collate all
relevant ambient air quality documentation and extract information related to the existing ambient
concentrations and any standards which have been set for these pollutants.
These documents should include:

National Ambient Air Quality Standards;

If the activity is undertaken at a declared priority area, then the AELA must consider the
objectives of the gazetted Air Quality Management Plan in relation to the AEL;

If the AEL application is for a review AEL, an Atmospheric Impact Report should be requested
from the applicant by the AELA and should include all the prescribed legal requirements in
terms of section 30 of the AQA; and

The AEL application.

Step 4: For each listed activity and there are criteria pollutants to be regulated - compare
emission standards with ambient information to determine the permissible emission standards
for the AEL in question.
The key decision to make is whether the emission standards is adequate in the context of the
ambient concentrations of the criteria pollutants, or whether these concentrations and the likely
cumulative impact of the applicants emissions warrant strict permissible emission standards.
4.3.2.

Setting of compliance timeframes

The section 21 notice provides for the compliance timeframes for the national minimum emission
standards for all the listed activities. Where the AEL incorporate the section 21 notice national emission
standards, the compliance timeframes as set out in the section 21 notice must be recorded in the AEL.
4.3.3.

Specific conditions

Specific conditions relevant to the listed activity in question may be included in the AEL, taking guidance
from the section 21 notice. These conditions typically include monitoring and reporting requirements.

24

5.

GUIDE TO THE CONTENTS OF AN AEL AND DRAFTING OF AN AEL

The purpose of this section is to provide a practical exercise to draft an AEL, based on the information
submitted by the applicant in the application form. As a result, this section includes copies of the AEL
templates and set of comments to explain:

The information to be included in the AEL;

The reason for this information and how it will be used by the AELA; and

The source of this information (who should provide it).

5.1.

AEL Application Form

The AEL application form must be completed by the applicant and submitted to the AELA. All supporting
information required in the application form must be provided by the applicant. The information in the
application form is then used by the AELA to draft the AEL as set out in Section 5.2.
Please note: All comments and examples are provided in blue and aims to explain the information
required and what it means.

25

REPUBLIC OF SOUTH AFRICA

APPLICATION FORM FOR AN ATMOSPHERIC EMISSION LICENCE / PROVISIONAL

ATMOSPHERIC EMISSION LICENCE IN TERMS OF CHAPTER 5 OF THE NATIONAL
ENVIRONMENTAL MANAGEMENT: AIR QUALITY ACT, 2004 (ACT NO. 39 OF 2004)

This page must be completed and signed by the highest on-site authorising person.
Name of Enterprise:
Declaration of accuracy of information provided:
Application for an atmospheric emission licence / provisional atmospheric emission licence as
envisaged in chapter 5 of the National Environmental Management: Air Quality Act, 2004 (Act No. 39 of
2004).
I,
, declare that the information provided
in this application or attached to the application is, to the best of my knowledge, in all respects factually
true and correct. I am aware that the supply of false or misleading information in the application form is
a criminal offence in terms of section 51(1)(f) of the Act.

Signed at

on this

SIGNATURE

CAPACITY OF SIGNATORY

26

day of

Please complete all sections. Mark with an X in spaces where applicable. If the space provided
is insufficient, the required information may be submitted in the form of a memorandum. Attach
required maps and sketches. Graphics must be clear, labelled and, where applicable, should
include a true north arrow and scale.
1.

TYPE OF APPLICATION

Application for:
New application: means an application, in terms of section 37 of the Act, for an entirely new facility to be
constructed;
Renewal application: means an application, in terms of section 47 of the Act, to renew the RC / AEL that has
expired. This type of application also caters for the applications to be lodged during the transitional arrangement
period (section 61: transitional arrangements in respect of registration certificates issued in terms of the APPA);
Transfer application: means an application, in terms of section 44 of the Act, to transfer an existing AEL to new
owners;
Review application: means an application, in terms of section 45 of the Act, to review an existing AEL. This type
of application is mostly as a result of either an increase in production or change in releases i.e. change in control
equipment.
New Application

Transfer Application

Renewal Application

Review Application

Current Atmospheric Emission Licence Number (if List of all current Registration Certificate numbers held
applicable):
by the applicant i.e. 1131/1; 464/1; 464/2; 464/3

27

2.

ENTERPRISE INFORMATION

Entity Name:

Full Name of Company

Trading as:

Only if trading under a different name

Type of Entity, e.g. Company/Close

Corporation/Trust, etc:
Company/Close Corporation/Trust
Registration Number (Registration
Numbers if Joint Venture):
Registered Address:
Postal Address:
Telephone Number (General):
Fax Number (General):
Industry Type/Nature of Trade:

Petrochemical sector, pulp and paper sector or platinum

industry

Name of the Landowner/s or Landlord/s:

Registered owner of the land

Name of Mortgage Bondholder/s (if any):

Deeds Office Registration Number of
Mortgage Bond:
Land Use Zoning as per Town Planning Industrial/residential/commercial
Scheme:
Land Use Rights if outside Town Planning
Scheme:

Responsible Person Name or Emission

Control Officer (if applicable)
Responsible Person Designation
Telephone Number
Cell Phone Number
Fax Number
E-mail Address
After Hours Contact Details

28

3.

SITUATION AND EXTENT OF PLANT

3.1.

Location and Extent of Plant

Physical Address of the

Licenced Premises:
Description of Site (Where No
Street Address):

e.g.: Portion 163 of the Klipplaatdrift 601 IQ District of Vereeniging

Property Registration Number

(Surveyor-General Code):
Coordinates (latitude,
longitude) of Approximate
Center of Operations (Decimal
Degrees):

Latitude: e.g. 27.930428 S

Coordinates (UTM) of
Approximate Center of
Operations:

UTM reference Grid Zone: e.g. WGS 84

Longitude: e.g. -26.689485 E

North-south:
East-west:

Extent (km):

e.g.: 0.516 km

Elevation Above Mean Sea

Level (m)

e.g.: 1445m

Province:

e.g.: Gauteng

District/Metropolitan
Municipality:

e.g.: Sedibeng District Municipality

Local Municipality:

e.g.: Emfuleni Local Municipality

Designated Priority Area (if

applicable):

e.g.: Vaal Triangle Priority Area

3.2.

Description of Surrounding Land Use (within 5 km radius)

Provide a description of the surrounding land use within a 5 km radius, specifically noting the names and
proximity of residential and commercial areas in relation to the site of the works.
The industry is to provide a general description of the land use surrounding the facility.
E.g. the residential area of Pudimo is located approximately 2 km to the north of Company X facility with
commercial farming to the south about 500m away. Company X falls within an industrial site with Company Z
and Company Y located directly east and west of the site, respectively.
Attach map(s), satellite image(s) and/or aerial photograph(s) detailing location of premises in relation to
surrounding community.
The maps should preferably be in both electronic format and hard copy format showing the entire site with the
areas surrounding the site, thus a regional map / aerial photo.

29

4.

NATURE OF PROCESS

4.1.

Process Description

Please provide a detailed description of the entire production process including reference to the overall balance
sheet of inputs, outputs and emissions at the site of the works.
This is a process description to enable the AEL to understand exactly the entire process at the site entail and
where sources of atmospheric emissions might be.
4.2.

Listed Activities

List all Listed Activities, as published in terms of section 21 of the National Environmental Management: Air
Quality Act, 2004 (Act No. 39 of 2004), proposed to be conducted at the premises in terms of this application:
This section talks to section 21 notice. The applicant must indicate here the activities, as listed in the section 21
notice, which it would like undertake. These are activities that are not currently being carried out at the facility.
The section must contain the activities that the applicant is applying for to undertake. Examples are included
below.
Listed
Activity
Number

Category of Listed Activity

i.e. 1.1

Combustion installations

Solid and liquid fuels

combustion installation

Solid and liquid fuels (incl.

biomass) combustion installations
used primarily for steam raising or
electricity generation

i.e. 4.3

Metallurgical industry

Primary aluminium production

Primary aluminium production

i.e. 5.3

Mineral processing industry

Cement production

The production and cooling of

Portland cement clinker and the
grinding and blending of clinker to
produce finished cement

Listed Activity Name

Listed Activity Description

Despite the repeal of the Atmospheric Pollution Prevention Act, 1965 (Act No. 45 of 1965), list all Scheduled
Process(es), as was or were set out in the Second Schedule of the repealed Atmospheric Pollution Prevention
Act, 1965, currently conducted at the premises:
APPA
Registration
Certificate
Number

Date of
Registration
Certificate

Scheduled
Process Number

Scheduled Process Description

1131/1

03/04/1997

Sulphuric Acid Processes

464/1

16/03/1992

30

Iron and Steel Processes

464/2

15/04/1998

55

Galvanizing Processes

30

4.3.

Unit Processes

List all unit processes associated with the listed activities in operation at the premises by the atmospheric
emission licence holder, highlighting unit processes proposed in respect of this application:
This means either a continuous process occurring non-stop or a batch process reflecting an intermittent process
(i.e. not continuous). Examples included in the table below.
Unit Process

Batch or
Continuous
Process

Function of Unit Process

Chemical Recovery

Recovery of chemicals used in the pulping of wood chips.

Continuous

Boilers

Burning of coal and production of steam

Continuous

Sulphur Recovery Plant

Decrease sulphur content

Batch

Flaring

Combustion of excess gas

Batch

4.4.

Hours of Operation

Provide the hours of operation of all unit processes associated with the listed activity / ies in operation at the
premises by the Atmospheric Emission Licence Holder, highlighting processes proposed in respect of this
application: Examples included in the table below. Note that even though the process might be a batch process
the plant is available 24-hours per day.
Unit Process / Plant

Operating Hours

No. Days Operation per Year

(e.g. 07h00 17h00)

Sulphur Recovery Plant

01h00-24h00

365 days

Boilers

01h00-24h00

361days

Sulphur Recovery Plant

01h00-24h00

365 days

4.5.

Graphical Process Information

Attach the following for the entire operation being undertaken at the site of the works:

Simplified block diagram with the name of each unit process in a block; showing links between all unit
processes or blocks. An example for a paper mill is included below:

31

Process flow chart(s) clearly indicating inputs, outputs and emissions at the site of works, including points of
potential fugitive emissions and emergency releases. An example for a paper mill is included:

32

33

Site layout diagram (plan view and to scale) indicating location of unit processes, plants, buildings, stacks,
stockpiles and roads (include true north arrow and scale). This must be preferably in electronic and hard
copy format indicating the site with all the processes, stacks, roads, stockpile areas, crushing
locations, bag houses, ESPs etc. on the map.

NB: Indicate clearly on the above graphics the listed activity or activities applied for in this application.
Alternatively, provide additional graphics for the listed activity or activities applied for.
5.

RAW MATERIALS AND PRODUCTS

Provide production and by-production rates, raw material information and emissions information.
5.1.

Raw Materials Used

This requires a list of all raw materials used at a site and the quantities over a specific period. An
example is provided in the table below.
Raw Material Type

Maximum
Permitted
Consumption Rate
(Volume)

Design
Consumption Rate
(Volume)

Fine lime stone

16 060

21 855

20 278

Tons/month

Total Ore

197 100

153 537

134 928.2

Tons/month

Silica

10 kg/ton

922.3368

855.7901

Tons/month

Dolomite

16 060

10253.39

18 326.66

Tons/month

5.2.

Actual
Consumption
Rate (Volume)

Units
(quantity/period)

Production Rates

This requires a list of all products resulting from the on-site processes used at a site and the quantities
over a specific period. Products refer to any product resulting from a process. Thus, even if the product
is directly fed into another process, it is still listed under products (viz. if Coke is produced at a site and
used in the blast furnaces at the same site, it is a product. If coke is imported from another place to be
used in the blast furnaces it will fall under raw materials). An example from an Iron and Steel Plant is
provided in the table below.
Maximum
Production
Capacity Permitted
(Volume)

Design Production
Capacity (Volume)

Actual Production
Capacity (Volume)

Units
(quantity/period)

Metallurgical Coke

Metallurgical Coke

Metallurgical Coke

Metallurgical Coke

Metallurgical
Coke

Ferro Alloy Coke

Ferro Alloy Coke

Ferro Alloy Coke

Ferro Alloy Coke

Ferro Alloy Coke

Production Name

Coke Making Plant

Blast Furnaces
Molten iron

3 600

4 200

34

3 454

tons/day

This requires a list of all by-products resulting from the on-site processes and the quantities over a
specific period. By-product is a side product resulting from a process but not the main objective of that
process. An example from an Iron and Steel Plant is provided in the table below.
Maximum
Production
Capacity Permitted
(Volume)

By-Product Name

Design
Production
Capacity
(Volume)

Actual Production
Capacity (Volume)

Units
(quantity/period)

Coke Making Plant

Raw Tar

None specified

5 693

Tons/month

Tar Sludge

None specified

90

Tons/month

Coke Breeze

None specified

2 723

Tons/month

Furnace and Cast

house Dust

None specified

2 582

Tons/month

Stock house Dust

None specified

1 131

Tons/month

Wet Scrubber Mud

None specified

1 224

Tons/month

Granulated Slag

None specified

63 602

Tons/month

Slag

None specified

8 220

Tons/month

Coke Breeze

None specified

6 770

Tons/month

Blast Furnace

5.3.

Energy Sources Used

This includes all energy sources utilised on-site, including energy purchased and off-gas from processes
used within the facility.
Energy
Source

Sulphur
Content of
Fuel (%) (if
applicable)

Ash Content
of Fuel (%) (if
applicable)

Maximum
Permitted
Consumption
Rate
(Volume)

Design
Consumption
Rate
(Volume)

Actual
Consumption
Rate (Volume)

Units
(quantity
/period)

Electricity
purchased
from Eskom,
Works 11kV

N/A

N/A

None
Specified

N/A

1702300

MWH/YR

Natural Gas

15 ppm (max)

N/A

None
Specified

5430000

GJ/Year

COG
Consumed
(After
cleaning)

1.5 mg/Nm3

N/A

None
Specified

9542000

GJ/YR

COG Flared

1.5 mg/Nm3

N/A

None
Specified

2021000

GJ/YR

35

5.4.

Sources of Atmospheric Emission

5.4.1.

Point Source Parameters

Point sources mean a single identifiable source at a fixed location from where pollutants may be discharged to atmosphere, i.e. a stack or chimney.

Unique
Stack
ID

Source
Name

Latitude
(decimal
degrees)

Longitude
(decimal
degrees)

Height of
Release
Above
Ground (m)

Height
Above
Nearby
Building (m)

Diameter at
Stack Tip /
Vent Exit
(m)

Actual Gas
Exit
Temperature
(C)

Actual Gas
Volumetric
Flow (m/hr)

Actual Gas Exit

Velocity (m/s)

B1

Boilers 1, 2
&3

E28o2635

S26o1225

61.0

36.0

4.00

171.0

235242

5.2

B2

Boilers 4, 5
&6

E28o2634

S26o1223

45.7

20.7

1.98

358.5

53206

4.8

36

5.4.2.

Point Source Emissions

Continuous emissions are routine emissions thus non-stop processes. The emissions reflects the conditions when everything is working correctly thus under normal operating
conditions. Therefore the highest hourly and highest daily concentrations can differ (see explanations in table). Annual averages take the average of all measured/calculated
emissions over a year.
Routine but intermittent emissions are processes that run throughout the year but only for a certain periods per day (i.e. batch processes that run every 3 hours for example).
Emergency only this includes accidental emissions, leakages, control technology outages etc.

As Per
5.4.1
Code

Pollutant
Name

Maximum Hourly Release Rate

Maximum Daily Release Rate

Average Annual Release Rate

Emission
Hours
(e.g. 07h00
17h00)

Type of
Emission
(Continuous /
routine but
intermittent /
emergency
only)

(mg/Nm)

(mg/Am)

(g/s)

(mg/Nm)

(mg/Am)

(tons/day)

(mg/Nm)

(mg/Am)

(tpa)

1519.4

32

50

1314.9

369

50

258.3

129526

24 hours

Continuous

48

80

554

80

194058

24 hours

Continuous

B1

PM

50

B2

SO2

80

37

5.4.3.

Point Source Current Emissions Monitoring

Industry must provide information on emission monitoring requirements as set out in currently held atmospheric emission licence(s) (as applicable) for existing operations at the
site of works.

As per 5.4.1 ID

Emission Sampling / Monitoring Method

Sampling Frequency

38

Sampling Duration

Measured Parameters

5.4.4.

Point Source Emission Estimation Information

Industry is required to provide the methods used in determining the emission rates. Thus, if an engineering calculation or emission factor was used the methodology should be
referenced. This is to provide the AELA with an insight into the credibility of the data. If recognised international methods are used to collect the samples these should be
reflected. An example is provided below.

As Per 5.4.1
Code
B1

Basis for Emission Rates

Dust based on ISO Kinetic sampling monthly over the period March to November 2007. Using US EPA Method xxx or ISO method yyy
SO2, NO based on Mass balance calculations.

39

5.4.5.

Area and/or Line Source Parameters

Area and line sources refer to all non-point sources (i.e. sources releasing atmospheric emissions from a non-identifiable point or fixed location). Area sources include sources
such as storage piles, tailings dams, waste/discard dumps, crushing and screening activities, tipping points (loading and unloading of material), scraping and grading etc.
Line sources include sources such as roads (paved and unpaved), vents on building rooftops.

Unique
Area
Source
ID

Source Name

Coke SP

Coke Making Plant

Stockpiles

Raw material storage

Electric Arc
Furnace Roof
Emissions
Road to storage
area

RTV1
Road 1

Source Description

Latitude
(decimal
degrees) of
SW corner
270 43 32

Longitude
(decimal
degrees) of
SW corner

Height of
Release
Above
Ground (m)

Length of
Area (m)

Width of
Area (m)

Angle of Rotation
from True North
()

300 00 09

Ground level

770

250

10

Secondary emissions at 295050

Electric Arc Furnace

303854

55 m

162

14

90

Paved on-site road

303854

Ground level

55

10

- (the road might

change direction
thus cannot
provide angle)

294913

40

5.4.6.

Area Source Emissions

The maximum hourly release rate and maximum daily rate can differ if a source is only operational for a couple of hours per day (i.e. vehicles on plant roads). Also the plant
might only be operational for 6 days per week.
Continuous emissions will be for non-stop sources i.e. any activities that occur continuously for 24 hours a day. Emissions from rooftop vents for example can be
intermittent for emissions are only released during furnace tapping.

As per 5.4.5
ID

Pollutant Name

Maximum Daily
Release Rate
(tons/day)

Average Annual
Release Rate
(tons/annum)

Emission Hours
(e.g. 07h00 17h00)

Particulates (TSP)

0.025

9.16

Particulates (PM 10)

0.0056

2.06

RTV1

Particulates

1.08

Road 1

Particulates

0.0005

Coke SP

Type of Emission
(Continuous /
intermittent)

Wind Dependent
(yes/no)

Wind dependant, can

occur any time

Intermittent

Yes

394.2

1 hour every day

Intermittent

No

0.182

07h00 07h00

Intermittent

No

41

5.4.7.

Area Source Management and Mitigation Measures

Provide information on management and mitigation measures specified in currently held Atmospheric Emission Licences (as applicable) for existing operations at the site of the
works.
An example is provided below.

As per 5.4.5
ID

Description of Specific Measures

Compliance to
Specific
Measures
(Yes/No)

Timeframe for
Implementation of
Specific Measures

Method of Monitoring
Measure Effectiveness

Contingency Measure

Water sprays at stockpile on windy days

Yes

3 months

Dust fallout less than 1200

None
mg/m/day

RTV1

Secondary fume extraction system

Yes

5 years

No visible fumes
emanating from the vents

Road 1

Continuous water sprays on roads

No

3 months

Dust fallout less than 1200

none
mg/m/day

Coke SP

42

none

5.4.8.

Area Source Emission Estimation Information

Similar to point source emissions, the method of quantifying the area and line source emissions should be provided viz. US.EPA AP42 for Unpaved roads.

As per 5.4.5
ID
Coke SP

Basis for Emission Rates

US.EPA AP42 emission factors for Wind Erosion 1995. Based on hourly average wind speed for the site and the size of the stockpile, the moisture
content, clay content, particle size distribution and the bulk density.

RTV1

Treated as a buoyant line source. Time weighted emissions.

Road 1

US.EPA AP42 emission factors for Paved Roads 2003. All roads calculated based on type of vehicles, weight of vehicles, traffic and silt content of
roads. Silt content was measured on the main plant road as 8.4 g/m.

43

5.4.9.

Spatial Representation of Processes and Sources

Attach site layout diagram(s) (plan view and to scale, include true north arrow and scale) indicating:

location of unit processes, plants, buildings, stacks, stockpiles and roads.

location of point and area sources listed with unique stack ID and unique area ID, respectively, specified.

Indicate clearly on the above graphics the listed activity or activities applied for in this application. Alternatively, provide additional graphics for the listed activity or activities
applied for.

44

6.

APPLIANCES AND MEASURES TO PREVENT AIR POLLUTION

6.1.

Appliances and Control Measures

Provide information on appliances and measures implemented to prevent air pollution for the entire operation at the site of the works, highlighting information for process(es)
proposed in respect of this application.
This includes all control equipment in place at the sources reported in Table 6.4.1 and 6.4.2. Examples are provided below.

Appliances
Associated Appliance / Appliance
Unique Stack Process
Type /
ID
Equipment Description
Number
B1

09789

Air Pollution Control Technology

Appliance Appliance
Product
Serial
Manufacture Name and
Number
Date
Model

Electrostatic 1025

1983

Precipitators

Lurgi Type

Technology Commission Date of

Type
Date
Significant
Modification
/ Upgrade
ESP

1990

1999

FFP

1996

2001

Design
Capacity

Permitted
Minimum
Control
Efficiency
(%)
99.6%

Electrostatic
precipitators

B2

12345

Fabric Filter
Bags

1030

1976

AbbFlakt

Design for

Optipulse

50 mg/Sm3.

Pulse jet

23100

Fabric Filter

PPS/PI bags

Bags.

Per unit. Air

to cloth ratio
of 0.015

45

99.9%

Permitted
Minimum
Utilisation
(%)

6.2.

Start Up, Maintenance and Shut Down Conditions

List potential start up, maintenance, shut down, upset conditions and associated responses related to the operations at the site of the works, highlight possible releases and
responses for the proposed listed activity or activities in respect of the current application.
This section requires the applicant to indicate to the AELA which unit processes will be shut down for maintenance, for how long, the type of pollutant that will emitted during
that period and the back up plans they have in place to minimise air pollution. This information will assist the AELA to include the necessary conditions in the AEL.

Unit Process

Description of Occurrence of Potential

Releases

Pollutant(s) Released

46

Briefly Outline Back Up Plan

6.3.

Environmental Management System

Atmospheric Emission Licence holders are required to establish an Environmental Management System (EMS) that gives effect to the principle of continuous improvement.
The EMS must as a minimum provide for the actions listed below. Specify dates by which the following actions have been / will be taken for the entire operation at the site of
the works:

Item

Action

Date Completed / Due Date

Identify and quantify potential for environmental impacts

Prioritise the identified impacts

Identify appropriate preventative and corrective actions

Develop responsive management controls, systems and procedures

Identify improvement projects to be added to the five-year Environmental

Improvement Programme

47

6.4.

Energy Conservation Measures

List activities to improve energy utilisation and efficiency which are currently implemented at the site of works, highlighting proposed measures to be implemented in respect of
the proposed listed activity or activities.

Energy Conservation
Measure

Date Implemented / to be
Implemented

Target

48

Date by which to Achieve

Target

Progress Monitoring & Reporting

Method

6.5.

Cleaner Production Targets

List cleaner production measures which are currently implemented at the site of works, highlighting proposed measures to be implemented in respect of the proposed listed
activity or activities.

Cleaner Production
Measure

Date Implemented / to be
Implemented

Target

49

Date by which to Achieve

Target

Progress Monitoring & Reporting

Method

6.6.

Cleaner Production Targets

6.6.1.

Complaints Register

Is a complaints register maintained at the site works?

Yes
No
To be initiated, by date:
In the event that a complaints register is maintained, please provide a copy of complaints received and corrective actions taken over the past two years.
6.6.2.

Non-Compliance with Current AEL Conditions

If atmospheric emission licence(s) are currently held, summarise instances of non-compliance with the conditions of such atmospheric emission licence(s) which have occurred
over the past two years:
Unique Stack ID
Steel plant

Pollutant Released
Dust

Emission Limit
Exceeded
120 mg/Nm

Root Cause Analysis

Repair and upgrade
electrostatic precipitators

50

Measures Implemented to
Prevent Recurrence
ESP repaired

Date by which Measures were /

will be Implemented
27 May 2006

7.

DISPOSAL OF WASTE AND EFFLUENTS ARISING FROM AIR POLLUTION MITIGATION MEASURES

Provide the following information for any waste and effluent arising from any air pollution mitigation measures that are currently in place at the site of the works:
Unique Stack or Area ID
(As per 5.4.1 or 5.4.5 above)
Boilers

Waste / Effluent Type

Boiler fly ash water

Copeland

Scrubber water

Hazardous Components
Present

Method of Disposal
Water reused in the system

Sodium and Volatile Organic Evaporated & burned

Compounds

Licence Status
(Provisional or Final)
Boilers
Copeland

Provide information on any waste and effluent which will arise from air pollution mitigation measures proposed for implementation for the listed activity or activities dealt with in
this application:
Unique Stack or Area ID
(As per 5.4.1 or 5.4.5 above)

Waste / Effluent Type

Hazardous Components
Present

51

Method of Disposal

Licence Status
(Provisional or Final)

5.2.

AEL Template

The AEL is to be drafted by the AELA based on the information supplied by the applicant in the AEL
Application Form as provided in the previous section. Even though most of the information is exactly the
same it is important that the AELA understands the information and is comfortable with the level of detail
provided.
The AELA can as ask the applicant for additional information or to clarify certain information as provided
in the Application Form where necessary.
The AEL Template includes many of the sections contained in the AEL Application Form with the main
difference being the sections pertaining to the AEL specific conditions. The AEL template provided in
this section is of a fictional power station. Please note: All examples are provided in blue.

52

REPUBLIC OF SOUTH AFRICA

ATMOSPHERIC EMISSION LICENCE IN TERMS OF SECTION 43 OF THE NATIONAL

ENVIRONMENTAL MANAGEMENT: AIR QUALITY ACT, 2004 (ACT NO. 39 OF 2004)

This Atmospheric Emission Licence issued to Energy for Africa (Pty) Ltd in terms of section 41(1)(a) of the
National Environmental Management: Air Quality Act, 2004 (Act No. 39 of 2004) (the Act), in respect of Listed
Activity No. 1.1. The Atmospheric Emission Licence has been issued on the basis of information provided in the
companys application dated 28 February 2008 and information that became available during processing of the
application.
The Atmospheric Emission Licence is valid until 31 March 2013.
The reason issuance of the current licence is renewal.
The Atmospheric Emission Licence is issued subject to the conditions and requirements set out below which form
part of the Atmospheric Emission Licence and which are binding on the holder of the Atmospheric Emission
Licence (the holder).
1.

ATMOSPHERIC EMISSION LICENCE ADMINISTRATION

Name of the Licensing Authority

Waterberg District Municipality

Atmospheric Emission Licence Number

AEL 1025/1

Atmospheric Emission Licence Issue 28 February 2008

Date
Atmospheric Emission Licence Type

Final

Review Date, not later than

31 March 2011

53

2.

ATMOSPHERIC EMISSION LICENCE HOLDER DETAILS

Enterprise Name

Energy for Africa (Pty) Ltd

Trading as:

Waterberg Power Station

Enterprise
Registration
Number 2000/018327/02
(Registration Numbers if Joint Venture)
Registered Address

Unit 3, Pelican Office Park, Lenchen Road, Centurion, 0149

Postal Address

Private Bag 3, Centurion, 0149

Telephone Number (General)

(012) 555-1396

Industry Sector

Power Generation

Name of Emission Control Officer

Mathew Mashilo or Not Appointed

Telephone Number

012 232-1212 or Not Applicable

Cell Phone Number

089 325-6699 or Not Applicable

Fax Number

015 232-1255 or Not Applicable

Email Address

mmashilo@efa.co.za or Not Applicable

After Hours Contact Details

089 325-6699

Land Use Zoning as per Town Planning

Agricultural/Heavy Industry
Scheme

54

3.

SITUATION AND EXTENT OF PLANT

3.1.

Location and Extent of Plant

Physical Address
Premises

of

the

Licenced No 244 JS, Lephalale, Waterberg District, Limpopo Province

Description of Site (Erf)

Power Station, Portion 11 of Leeuspoort No. 213 JS

Property Registration Number (Surveyor- Include number as provided in the application form
General Code)
Coordinates (Latitude, Longitude) of Latitude: 233720S
Approximate Center of Operations
Longitude: 283350E
(Decimal Degrees)
Extent (km)

1 349,0638 ha

Elevation Above Mean Sea Level (m)

1017 m.a.ms.l

Province

Limpopo Province

Metropolitan / District Municipality

Waterberg District Municipality

Local Municipality

Lephalale Local Municipality

Designated Priority Area (If Applicable)

Not Applicable

3.2.

Description of Surrounding Land Use (within 5 km radius)

A coal mine is located directly east and south east of the power stations with commercial mixed farming on the
land to the north, the east and the south. A game farm is located to the east with the town of Lephalale
approximately 20 km to the west. On the farm there are homesteads and farm houses with a lodge on the game
farm.

55

Location of the Waterberg Power Station and the surrounding areas

56

4.

GENERAL CONDITIONS

4.1.

Process and Ownership Changes

The holder of the atmospheric emission licence must ensure that all unit processes and apparatus used for the
purpose of undertaking the listed activity in question, and all appliances and mitigation measures for preventing or
reducing atmospheric emissions, are at all times properly maintained and operated.
No building, plant or site of works used by the licence holder shall be materially extended, altered or added to the
listed activity without the prior approval of the licensing authority.
Any changes in processes or production increases, by the licence holder, will require prior approval by the
licensing authority.
Any changes to the type and quantities of input materials and products, or to production equipment and treatment
facilities will require prior written approval by the licensing authority.
The licence holder must, in writing, inform the licensing authority of any change of ownership of the enterprise.
The licensing authority must be informed within 30 (thirty) days after the change of ownership.
The licence holder must immediately on cessation or decommissioning of the listed activity inform, in writing,
inform the licensing authority.
4.2.

General Duty of Care

The holder of the licence must, when undertaking the listed activity, adhere to the duty of care obligations as set
out in section 28 of the National Environmental Management Act, 1997 (Act No. 107 of 1998) (NEMA).
The licence holder must undertake the necessary measures to minimise or contain the atmospheric emissions.
The measures are set out in section 28(3) of the NEMA.
Failure to comply with the above condition is a breach of the duty of care, and the licence holder will be subject to
the sanctions set out in section 28 of the NEMA.
4.3.

General Requirements for Sampling and Compliance

Measurement, calculation and/or sampling and analysis shall be carried out in accordance with any nationally or
internationally acceptable standard. A different method may be acceptable to the licensing authority as long as it
has been consulted and agreed to the satisfactory documentation necessary in confirming the equivalent test
reliability, quality and equivalence of analyses.
The licence holder is responsible for quality assurance of methods and performance. Where the holder of the
licence uses external laboratories for sampling or analysis, accredited laboratories and service shall be used
whenever possible.
The licence holder is responsible for ensuring compliance with the conditions of this licence by any person acting
on his, her or its behalf, including but not limited to, an employee, agent, sub-contractor or person rendering a
service to the holder of the licence.
The licence does not relieve the licence holder to comply with any other statutory requirements that may be
applicable to the carrying on of the listed activity.
A copy of the licence must, at all times, be kept at the premises where the listed activity is undertaken. The
licence must be made available to the environmental management inspector representing the licensing authority
who requests to see it.
The licence holder must inform, in writing, the licensing authority of any change of its details including the name
of the emission control officer, postal address and/or telephonic details.

57

4.4.

Statutory Obligations and Principles

The licence holder must comply with the obligations as set out in Chapter 5 of the Act.
The principles and legal requirements as set out in section 2 of the NEMA are also applicable to the atmospheric
emission licence.
4.5.

Annual Payment of Atmospheric Emission Licence Processing Fee

The licence holder must, for the period of validity of the licence, pay the processing fee annually to the licensing
authority. The processing fee must, for the period of validity of the licence, be paid at the end of November each
year.
5.

NATURE OF PROCESS

5.1.

Process Description

Waterberg Power Station has a contract with Grootgeluk Mine to supply the station with 10 million tons of coal per
annum. All the coal is conveyed to the power station coal scathes and stored in coal bunkers. Coal is then
conveyed to the mills where it is milled to pulverised fuel which is used for combustion in the boiler. The
combustion in the boiler heats water to superheated steam which drives the turbines. The turbines again drive the
generator which generates 600MW of electricity, of which 25MW is used internally and 575MW is sent out to the
national transmission network. The station uses coal and water as primary energy sources, generates electricity
and produces ash in a solid waste state, as well as fly ash of which 99% gets collected in electrostatic
precipitators. The ash slurry is pumped to the ash dams. The remaining dust is emitted via the smoke stacks as
particulate emissions.
5.2.

Listed Activities

List of all Listed Activities, as published in terms of Section 21 of the AQA, authorised to be undertaken at the
premises by the licence holder:
Listed
Activity
Number

Combustion
Installations

1.1

5.3.

Category of
Listed
Activity

Listed Activity Name

Solid and liquid fuels

combustion installation

Listed Activity Description

Solid and liquid fuels (incl. biomass)

combustion installations used primarily for
steam raising or electricity generation

Unit Processes

List of all unit processes associated with the listed activities to be undertaken at the site of work.
Unit Process
Boilers 1 6

Unit Process Function

Batch or Continuous
Process

Generation of steam in six pulverised coal fired

Stein Muller boilers rated at 507kg/s steam per
boiler. The generation of up to 600 MW of
electricity per unit.

Continuous process

Coal import from Grootegeluk Mine to coal

bunkers. Six per boiler.

Continuous process

58

Pulverised fuel plant which consist of the Babcock Continuous process

and Loesche mills to grind the coal to pulverised
fuel which is used for combustion in the boiler. Two
forced draught fans and two primarily air fans per
boiler used to blow pulverised fuel into the boiler.
Induced draught fans are used to extract the flue
gas out of the boiler.
Ash produced by the boiler are collected in a Continuous process
controlled way respectively in the boiler ash boxes
and sluiced into the ash sump. Electrostatic
precipitators (ESPs) are used to clean the flue gas
fly ash which is collected in the dust hoppers and
pumped to the ash plant.
All ash collected in the ash plant in the form of Continuous process
slurry are pumped to the ash dams using two slurry
pumps per unit.
Water collected in the ash dams are recycled back
to the station by the use of ash water return pumps
and sluice booster system.
5.4.

Continuous process

Hours of Operation

Provide the hours of operation of all unit processes associated with the listed activities to be undertaken at the
site of work. Please note that even though the process might be a batch process the plant is available 24 hours
per day.
Unit Process

Operating Hours

No. of Operation Days per

Year

Boiler 1

24 Hours

365 days

Boiler 2

24 Hours

365 days

Boiler 3

24 Hours

365 days

Boiler 4

24 Hours

365 days

Boiler 5

24 Hours

365 days

Boiler 6

24 Hours

365 days

59

5.5.

Graphical Process Information

Attach the following diagrams and flow charts:

(a)

Simplified block diagram with the name of each unit process showing links between all unit
processes or blocks

60

(b)

Process flow chart indicating inputs, outputs and emissions at the site of works,
including points of potential fugitive emissions and emergency releases.
WATER
AIR
COAL

BOILER

Flue
Gas
Ash

STEAM

HIGH
PRESSURE
TURBINE

STEAM
REHEATING

GENERATOR

LOW
PRESSURE
TURBINE

COOLING TOWER

CONDENSER

COOLING
WATER
COOLING
TOWER

61

(c)

Site layout diagram indicating location of unit processes, plants, buildings, stacks, stockpiles
and roads

62

SPECIFIC CONDITIONS
6.

RAW MATERIALS AND PRODUCTS

6.1.

Raw Materials Used

Regulated Raw Materials
Maximum Permitted Consumption Rate
(Volume)

Raw Material Type

Coal (2007)

2 928 759

Units (quantity/period)
ton/annum
(3 units)

Heavy Fuel oil

6 627 551

litres/annum

(2007)

(3 units)

Non-regulated Raw Materials

Maximum Permitted Consumption Rate
(Volume)

Raw Material Type

Water (2007)

6.2.

496

Units (quantity/period)
Ml/annum

Production Rates
Regulated Products
Product Name

Energy

Maximum Permitted Production Capacity

(Volume)
600MW

Units
(quantity/period)
tons/day

Non-regulated Products
Product / By-Product Name

Maximum Permitted Production Capacity

(Volume)

Units
(quantity/period)

Tar Sludge

5 693

tons/month

Ash (2007)

761 477

tons/annum

Slag

8 220

tons/annum

63

6.3.

Energy Sources Used

Energy Source
Coal (2007)

Actual Consumption Rate

(Volume)
456 700

Units
(quantity/period)
ton/annum

64

Fuel Characteristics
(%)
1.9 %

6.4.

Sources of Atmospheric Emission

6.4.1.

Point Source Parameters

Point
Source
Code

Source Name

Latitude
(decimal
degrees)

Longitude
(decimal
degrees)

South

East

Height of
Release
Above
Ground
(m)

Height
Above
Nearby
Building
(m)

Diameter
at Stack
Tip /
Vent Exit
(m)

Actual Gas
Exit
Temperature
(C)

Actual Gas
Volumetric
Flow
(m/hr)

Actual
Gas Exit
Velocity
(m/s)

Emission
Hours

Type of
Emission
(Continuou
s / Batch)

North
Stack

North Smoke Stack

23.6335 S

28.5678 E

152

85.5

4.17

140

3 665 262

19. 57

24Hrs

Continuous

South
Stack

South Smoke
Stack

23.3252 S

28.5432 E

152

85.5

4.17

140

3 665 262

19. 57

24Hrs

Continuous

6.4.2.

Area and/or Line Source Parameters

Area
Source
Code

Source Name

Source Description

Latitude
(decimal
degrees) of
SW corner

Longitude
(decimal
degrees) of
SW corner

Height of
Release
Above
Ground (m)

Length of
Area (m)

Width of
Area (m)

Emission
Hours

Type of
Emission
(Continuous
/
intermittent)

CS

Coal stockyard

Coal fines/dust

24.4655 S

28. 2975 E

0-15

550

130

24Hrs

Intermittent

CSTP

Coal Staithes
(transfer points)

Coal fines/dust

23.4575 S

28. 2511 E

15

250

14

24Hrs

Intermittent

CCB

Coal conveyors to
bunkers in station

Coal fines/dust

23. 6355 S

28. 7500 E

10

330

24Hrs

Intermittent

BB

Bunkers

Coal fines/dust

23. 225 S

28. 3335 E

330

24Hrs

Intermittent

65

7.

APPLIANCES AND MEASURES TO PREVENT AIR POLLUTION

7.1.

Appliances and Control Measures

Associated
Source
Appliance
Code
/ Process
Equipment
Number

Appliances

Air Pollution Control Technology

Appliance
Serial
Number

Appliance
Appliance
Product
Type /
Manufacture Name and
Description
Date
Model

Commission
Date

Date of
Significant
Modification
/ Upgrade

Technology
Type

North
Stack

123456

Electrostatic
Precipitator

1986

Lurgi ESP

1990

None

ESP

South
Stack

789011

Electrostatic
Precipitator

1976

Lodge
Cottrell
ESP

1980

2006

ESP

7.2.

Design
Capacity

Permitted
Minimum
Control
Efficiency
(%)

Permitted
Minimum
Utilisation
(%)

<50mg/Sm

99.6%

99.6%

<50mg/Sm

98%

98%

Point Source Maximum Permissible Emission Rates (Under Normal Working Conditions)

This is an AELA decision based on the Section 21 notice (National listed activities and minimum emission standards). This document will provide the necessary
base and guidance on the applicable emission standards for that activity, compliance timeframes for new and existing plants, reporting requirements, acceptable
measurement methods, frequency of monitoring and other special arrangements.
Point
Source
Code

North
Stack

Pollutant
Name

Maximum Permissible
Release Rate
(mg/Nm)

Date to be
Achieved By

Average Period
(Instantaneous, Hourly,
Daily, Monthly,
Annually)

Maximum Gas
Volumetric Flow
(m/hr)

Maximum Gas Exit

Velocity (m/s)

Permitted Emission
Hours

Permitted Duration
of Emissions

Particulates 75

11/09/2010

Daily

3 665 262

19. 57

24 Hours

Continuous

CO

100

11/09/2010

Hourly

3 665 262

19. 57

24 Hours

Continuous

SO2

2000

11/09/2010

Hourly

3 665 262

19. 57

24 Hours

Continuous

66

NOx
South
Stack

800

11/09/2010

Hourly

3 665 262

19. 57

24 Hours

Continuous

Particulates 75

11/09/2010

Daily

3 665 262

19.57

24 Hours

Continuous

CO

100

11/09/2010

Hourly

3 665 262

19. 57

24 Hours

Continuous

SO2

2000

11/09/2010

Hourly

3 665 262

19. 57

24 Hours

Continuous

NOx

800

11/09/2010

Hourly

3 665 262

19. 57

24 Hours

Continuous

Point Source Operating Requirements

This is an AELA decision based on technical expertise for that particular process. Background research by the AELA on the process to be permitted will assist.

7.3.

Point Source Maximum Permissible Emission Rates (Under Start Up, Maintenance and Shut-Down Conditions)

This is an AELA decision based on the Section 21 notice (National listed activities and minimum emission standards). This document will provide the necessary
base and guidance on the applicable emission standards for that activity, compliance timeframes for new and existing plants, reporting requirements, acceptable
measurement methods, frequency of monitoring and other special arrangements.
Point
Source
Code

North
Stack

Pollutant
Name

Maximum Permissible
Release Rate
(mg/Nm)

Date to be
Achieved By

Average Period
(Instantaneous, Hourly,
Daily, Monthly,
Annually)

Maximum Gas
Volumetric Flow
(m/hr)

Maximum Gas Exit

Velocity (m/s)

Permitted Emission
Hours

Permitted Duration
of Emissions

Particulates 85

11/09/2010

Daily

3 665 262

19. 57

4 days per start-up,

maintenance and shutdown event.

Intermittent

CO

11/09/2010

Hourly

3 665 262

19. 57

3 days per start-up,

maintenance and shutdown event.

Intermittent

150

67

South
Stack

SO2

2500

11/09/2010

Hourly

3 665 262

19. 57

3 days per start-up, Intermittent

maintenance and shutdown event.

NOx

900

11/09/2010

Hourly

3 665 262

19. 57

3 days per start-up, Intermittent

maintenance and shutdown event.

Particulates 85

11/09/2010

Daily

3 665 262

19.57

4 days per start-up, Intermittent

maintenance and shutdown event.

CO

150

11/09/2010

Hourly

3 665 262

19. 57

3 days per start-up, Intermittent

maintenance and shutdown event.

SO2

2500

11/09/2010

Hourly

3 665 262

19. 57

3 days per start-up, Intermittent

maintenance and shutdown event.

NOx

900

11/09/2010

Hourly

3 665 262

19. 57

3 days per start-up, Intermittent

maintenance and shutdown event.

Point Source Operating Requirements

68

7.4.

Point Source Emission Monitoring and Reporting Requirements

This is an AELA decision based on the Section 21 notice (National listed activities and minimum emission standards). This document will provide the necessary
base and guidance on the applicable emission standards for that activity, compliance timeframes for new and existing plants, reporting requirements, acceptable
measurement methods, frequency of monitoring and other special arrangements.
Point
Source
Code

Emission Sampling /
Monitoring Method

Sampling
Frequency

Sampling
Duration

Parameters to be Measured

Parameters to be
Reported

Reporting Frequency

North Stack

Gaseous monitors

Continuous

24 Hours

SOx, NOx, CO2, O2

As per section 7.8. of the

licence condition.

Damage to or failure of
monitoring equipment.

North Stack

Particulate matter monitors

Continuous

24 Hours

Dust

As per section 7.8. of the

licence condition.

Damage to or failure of
monitoring equipment.

North Stack

Flue gas mass or volume

flow

Continuous

24 Hours

Mass flow rate

As per section 7.8. of the

licence condition.

Damage to or failure of
monitoring equipment.

South Stack

Gaseous monitors

Continuous

24 Hours

SOx, NOx, CO2, O2

As per section 7.8. of the

licence condition.

Damage to or failure of
monitoring equipment.

South Stack

Particulate matter monitors

Continuous

24 Hours

Dust

As per section 7.8. of the

licence condition.

Damage to or failure of
monitoring equipment.

South Stack

Flue gas mass or volume Continuous

flow

24 Hours

Mass flow rate

As per section 7.8. of the

licence condition.

Damage to or failure of
monitoring equipment.

69

7.5.

Area Source Management and Mitigation Measures

This is another AELA important decision. The authority must apply its mind with regard to the practical measures that may undertaken by the applicant to mitigate
dust from stockpiles, gravel roads and other fugitives. The applicant in the application form may have suggested measures. It is important for AELA to do its won
research to determine whether what is suggested by the applicant is enough or practically achievable. Therefore, the starting point should be the suggested
measures by the applicant in the application and build from there.

Area
Source
Code

Area Source Description

Description of Specific
Measures

Required
Control
Efficiency (%)

Timeframe for
Achieving Required
Control Efficiency

Method of Monitoring
Measures
Effectiveness

Contingency Measures

MM

Mills pulverised fuel leaks.

Sealing sealed air fans

prevent pulverised fuel
leaks.

98

6 months after issue As per the acceptable

of the licence.
measurement methods
provided in the section
21 notice.

Dust masks, water

sprays to suppress dust,
repair leaks.

BPFF

Boiler pulverised fuel leaks

on lines.

Pulverised fuel lines must be

tiled to prevent erosion
wear.

99

6 months after issue As per the acceptable

of the licence.
measurement methods
provided in the section
21 notice.

Dust masks, repair

leaks, water sprays to
suppress dust.

BBA

Boiler coarse ash from wet

hopper & sluice ways
blockage.

Sealing seal water provide

ash hoper sealing. Ash
clinkers from the boiler.

99

6 months after issue As per the acceptable

of the licence.
measurement methods
provided in the section
21 notice.

Dust masks, emergency

water supply to top up
seal water, combustion
monitoring to prevent
boiler clinkers, water
sprays to suppress dust.

BEF

Electrostatic precipitators fly

ash from hopper blockage &
hydrovacs.

Electrical heaters provide

ash warming so that ash will
always be warm and flow to
the Hydrovacs. Poker rods
used to dislodge blockages.

98

12 months after issue As per the acceptable

of the licence.
measurement methods
provided in the section
21 notice.

Dust masks, emergency

sluice water supply to
hydrovacs, water sprays
to suppress dust.

70

SSP

Bulk sulphur storage plant

gaseous emissions.

Safe operation procedures

must be adhered to.

99

From date of issue of

the licence.

As per the acceptable

measurement methods
provided in the section
21 notice.

Dust masks, emergency

sluice water supply to
hydrovacs, water sprays
to suppress dust.

AD

Ash dam fugitive dust

Timely rehabilitation and

correct water management
of ash dam.

98

From date of issue of

the licence.

As per the acceptable

measurement methods
provided in the section
21 notice.

Timely rehabilitation and

correct water
management of ash
dam.

7.6.

Energy Conservation Measures

The licence holder shall evaluate its activities to improve energy utilisation and efficiency.
Energy Conservation
Measure

Implementation Date

Target

Date to Achieve Target

Progress Monitoring &

Reporting Method

Coal Station Thermal

Efficiency Programme (STEP)
Report is used to measure
efficiency and losses.

10 days after issue of the

licence.

Efficient and effective usage of

coal.

30 days after issue of licence.

Monthly monitoring, quarterly

reporting on effectiveness of the
measure.

Water Consumption is
calculated daily in order to
determine the losses and to
prevent such going forward.

10 days after issue of the

licence.

To minimise wastage of water

going forward.

30 days after issue of licence.

Monthly monitoring, quarterly

reporting on effectiveness of the
measure.

71

7.7.

Cleaner Production Targets

Cleaner Production Measure

Electrostatic precipitators

Implementation Date
01 January 2011

Target
To be determined

72

Date to Achieve Target

To be determined

Progress Monitoring &

Reporting Method
To be determined

7.8.

Routine Reporting and Record-Keeping

Complaints Register
The licence holder must maintain a complaints register at its premises, and such register must be made available
for inspections. The complaints register must include the following information on the complainant, namely, the
name, physical address, telephone number, date and the time when the complain was registered. The register
should also provide space for noise, dust and offensive odours complaints.
Furthermore, the licence holder is to investigate and report to the licencing authority in a summarised format on
the total number of complaints logged and indicate the number of complaints attributable to it. The licensing
authority must also be provided with a copy of the complaints register. The record of a complaint must be kept for
at least 5 (five) years after the complaint was made.
Monthly Reporting
The licence holder must record and report any non-compliance with permitted emission standards to the licensing
authority. Any non-compliance must be reported to the licensing authority on a monthly basis, and must be
reported within 15 (fifteen) days of the reporting month end. The non-compliance must be reported in the
following format:
(a)

Source code / name;

(b)

Emission standard exceeded;

(c)

Root cause analysis;

(d)

Calculation of impacts/emissions associated with the non-compliance incidents and dispersion modelling
of pollutants, where applicable;

(e)

Measures implemented or to be implemented to prevent recurrence; and

(f)

Date by which measure will be implemented.

Annual Reporting
The licence holder must complete and submit to the licensing authority an annual report. The report must include
information for the year under review. The report must be submitted to the licensing authority not later than 60
(sixty) days after the end of each reporting period. The annual report must include, amongst others, the following
items:
(a) Pollutant emissions trend;
(b) Compliance audit report(s);
(c) Major upgrades projects (i.e. abatement equipment or process equipment); and
(d) Greenhouse gas emissions.
The holder of the licence must keep a copy of the annual report for a period of at least 5 (five) years.

73

7.9.

Investigation and Reviews

This is another decision by the AELA and can include additional information that is required, where the
information provided is not adequate, where the quantification methods were unclear, where information
was not provided etc. This can also include feasibility studies and other investigations that the AELA
deems necessary to bring the industry in line with best practices in that particular industry sector.
Example is provided below:
Investigation

Purpose

Completion Date

Boiler Stack Monitoring

Point source emission

compliance monitoring.

12 months after issue of licence.

Coal stockpile maintenance and

management

To minimise fugitive dust impacts

off-site.

4 months after issue of licence.

Gravel roads maintenance and

management

To minimise fugitive dust impacts

off-site.

2 months after issue of licence

8.

DISPOSAL OF WASTE AND EFFLUENT ARISING FROM AIR POLLUTION

MEASURES

MITIGATION

The disposal of any waste and effluent arising from any air pollution mitigation measure must comply with the
applicable regulations and requirements of the relevant authorities.
Source Code / Name

Waste /
Effluent Type

Hazardous
Components
Present

Method of
Disposal

Permit Status

Fly ash from

electrostatic
precipitators and fabric
filter plant hoppers and
course (bottom) ash
from boiler hoppers.

Ash

Alkaline dust
containing heavy
metal trace
elements, as well
as silica and
quartz.

Combined with
recycled water
and sent to on
site ash dam.

Ash dam not currently

licensed application
made to DWAF to
register and license ash
dam on 4 th September
2006.

Recycled effluent water

from ash removal
system.

Ashing water

Effluent alkaline
water containing
heavy metal trace
elements, as well
as silica and
quartz.

Recycled water
used to quench
and sluice ash in
ash pipelines to
ash dam.

Application made to
DWAF to register and
license effluent water
use and storage 4th
September 2006.

9.

PENALTIES FOR NON-COMPLIANCE WITH LICENCE AND STATUTORY CONDITIONS AND/OR

REQUIREMENTS

Failure to comply with any of the licence and relevant statutory conditions and/or requirements is an offence, and
licence holder, if convicted, will be subjected to those penalties as set out in section 52 of the AQA.

74

6.
6.1.

BEYOND LICENSING: COMPLIANCE MONITORING AND ENFORCEMENT

Link between issuing of an AEL and compliance monitoring and enforcement activities

One of the most important concepts to understand about governance in general, is that it involves a
cycle of steps. For example, governance does not end with the issuing of a licence, but has to be
followed by compliance monitoring and enforcement activities. If a licence is issued without any
follow-up, namely compliance monitoring and enforcement, it will have little impact on the regulated
community. In the same vein, affected communities and individuals will have no faith in the
environmental regulatory regime.
It is important to emphasise that in order to ensure that the regulation of emissions is carried out to its
desired level of impact, there also needs to be communication between the steps of licensing,
monitoring compliance and enforcement. Lessons learned or findings from compliance monitoring
and enforcement activities should be fed back to the process of issuing an AEL in order to help the
AELA to improve the quality of the revised AEL. In particular, feedback from these activities can assist in
ensuring that an AEL is drafted in a manner that makes it easier to monitor compliance and enforce thus improving its overall effectiveness.
This means that the Air Quality Practitioners, responsible for drafting and issuing AEL, within the
AELA should establish and maintain good working relations with the Environmental Management
Inspectors (EMIs), who are legally responsible for compliance monitoring and enforcement actions.
Practically, there should be joint meetings every month to discuss issues of concern, joint
compliance monitoring site inspections and joint enforcement action initiatives. It is also a good
idea to have a standard operating procedure.
6.2.

Role of EMIs in compliance monitoring and enforcement activities

In terms of the NEMA, the AQA is regarded as one of the specific environmental management acts
(SEMAs). Hence, the NEMA provides that all SEMAs are enforced by EMIs. NEMA requires the
designation of EMIs after they have undergone training to that effect. The legal mandates, functions and
general powers of EMIs are set out in Part-2 of NEMA. As result, the AQA as a SEMA falls within the
legal mandate of the EMIs to monitor compliance and to undertake enforcement activities. Therefore,
the AEL issued by the AELA are enforced by the EMIs.
Practically, the AELA must ensure that EMIs are designated and/or appointed within its administrations.
Depending on the complexity of the activities within the AELA jurisdiction, the AELA must determine the
number of EMIs to be designated and/or appointed. Importantly, the AELA must ensure that the EMIs
within their jurisdiction are designated to monitor compliance and enforce the AQA.

75

7.

AEL PROCESSING FEE CALCULATOR ADMINISTRATION PROTOCOL

7.1.

Purpose of the protocol

The administration of listed activities through the AEL licensing function established in the AQA will be
costly to government. The imposition of an AEL Processing Fee represents a just and efficient
mechanism for recuperating these administrative costs from polluters. Chapter 5 of the AQA
provides the legal basis for the AEL Processing Fee system. The administrative process described in
this administration protocol should be read with Chapter 5 of the AQA and AEL Processing Fee
Calculator Regulations. The processing fee is intended to cover the costs of the AEL application
process and the associated ongoing administrative costs related to the licence. It is, therefore,
important for the administrative fees system to be fair, uniform, and consistent across the
country. This will strengthen governments credibility in the area of air quality governance and will
also assist industries in planning ahead.
The administration protocol sets out:

7.2.

An overview of the policy objectives, legal basis and administrative processes for
implementing the AEL Processing Fee System; and

A guide on the use of the AEL Processing Fee Calculator by the AELA in determining
the processing fee.

Policy objective and legal basis

7.2.1. Policy objective

The policy objective is to give effect to the polluter pays principle. The polluter pays principle as set
out in the NEMA suggests that if a polluter imposes either:

An administrative burden on the Republic; or

An environmental burden on society (external costs), then the polluter should compensate the
Republic and society for these costs.

The management and effective implementation of the AQA will impose significant costs on government.
Some, but not all, of these costs arise due to the management requirements for licensed activities and
the AEL processing fee system is aimed at recovering this portion of the costs directly related to the
administration of licensed activities. This administration includes those activities required for the
evaluation of AEL applications and the ongoing compliance monitoring and AEL management
activities.
7.2.2. Legal basis
The legal basis for the AEL processing fee stems from the AQA. Specifically:

Section 37(2)(a): new AEL application;

Section 44 (3)(a): transfer application; and

Section 47(3)(a): renewal application.

There is precedence for the licensing processing fee in South Africa. The fee is akin to the
basic/administrative charge (or Tier 1) under the Waste Discharge Charge System (WDCS) of the

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Department of Water Affairs and Forestry17. The basic charge is, according to DWAF, intended to cover
the administrative costs of the system, which include water quality monitoring, the management of
financial systems and customer relations.
The objectives of the AEL Processing Fee are similar.
The National Treasury has also established a clear policy framework for the use of user charges (fees)
and environmental taxes and the AEL processing fee is in line with this policy framework.
7.3.

AEL processing fee establishment and implementation overview

The implementation of the AEL processing fee system requires the establishment of the processing fee
framework by the DWEA and the administration of this by licensing authorities.
7.3.1. National requirements
The AEL processing fee framework established by the DWEA consists of:

Operating protocol: a standard operating protocol for licensing authorities;

Processing fee bands: each applicant will be scored and allocated to one of five processing
fee bands;

Scoring criteria and guidelines: criteria and guidelines for scoring these criteria will be
reviewed on an annual basis. This includes the weighting of the banding scores and criteria;

Associated parameters: the determination of the processing fees requires some additional
parameters that may change from time to time. E.g. the interest rate used to determine the
annual payments for the processing fee; and

AEL processing fee calculator: spreadsheet calculator for use in scoring applicants by the
licensing authorities.

7.3.2. Implementation by licensing authorities

The AEL processing fee administration process to be carried out by licensing authorities consists of:

17

Scoring of applications - the receipt of applications for licensing activities and the scoring of
these applications as per the criteria set out in the AEL processing fee calculator. Licensing
authorities must apply their minds in applying the criteria in scoring the applications.

Allocation to bands - the allocation of the scored applications to a processing fee band. This is
largely automatic once the scoring has been conducted but licensing authorities will need to
apply their minds to the score and ensure that the applicant has been scored fairly.

Processing fee determination - the actual determination of the processing fee. Again, this is
largely automatic but the licensing authority will need to apply its mind to the final processing
fee levied and ensure that due care was taken in arriving at the AEL processing fee.

Invoicing applications - the licensing authority will then prepare and issue an invoice for the
applicant.

Republic of South Africa, Department of Water Affairs and Forestry, 2003: Water Quality Management
Series. Sub-Series No. MS11. Towards a Strategy for a Waste Discharge Charge System . First Edition.
Pretoria.

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7.4.

Annual invoicing - the licensing authority will invoice the applicant on an annual basis for the
fees payable for the licence. This will require record-keeping of payments due for each licence
holder.

Receipt of revenue - the licensing authority will ensure that invoices are paid by the applicant.
It is important to note that licensing authorities should include the annual payment of the
processing fees as a licence condition. This approach is fully aligned with the AQA, specifically
section 51(1)(e) of AQA which makes it an offence for licence holders who contravenes or fails
to comply with a condition or requirement of an atmospheric emission licence.
AEL processing fee bands and scoring criteria

Each licence application will be allocated to one of five bands for the purposes of processing fee
determination. The band in which the applicant falls will directly determine the scale of processing fee to
be levied. The criteria in the section below are those to be used to determine the band of licence
applications.
Each criterion can be scored on a scale ranging from 1-5 in all cases except one where a 1-3 scale is
used. Guidance is provided to licensing authorities on how to choose which score an applicant should
be given for each criterion. There is still some measure of judgement that licensing authorities will need
to use in scoring applications but the guidelines ensures that there is a high degree of consistency
across the Republic.
The DWEA is responsible for reviewing the criteria; scoring guidelines; and the weighting of the criteria
on an annual basis. This process allows for feedback from the licensing authorities and improvement of
the banding process. Although care will be taken to not make too dramatic changes to the process as
this will cause confusion amongst regulated communities and may lead to unequal treatment of the
regulated community depending on the timing of their applications. As a result, the amendment of any
criteria, scoring guidelines and banding will be fully aligned with any possible amendments to section 21
national listing of activities and associated minimum emission standards.
7.4.1. Description of processing fee bands
The descriptions of the applicable processing fee bands are set out in Table 1 below. It should be noted
that the final band score of an applicant is determined by the combination of a number of criteria, each
with their own weighting (i.e. contribution to the final score).
Table 1: AEL Processing Fee Bands
APPLICATION
BANDS

DESCRIPTION

BAND 1

Simple and routine application with low ongoing compliance monitoring responsibilities.

BAND 2

Relatively routine application with relatively low ongoing compliance monitoring

responsibilities.

BAND 3

Moderately complex application or moderately onerous ongoing compliance monitoring

responsibilities.

BAND 4

Highly complex application with high ongoing compliance monitoring responsibilities.

BAND 5

Very high complex application with high workload and frequent compliance monitoring
responsibilities.

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The bands have been evenly distributed along a range from 0 - 100 as shown below.
Table 2: AEL Processing Fee Band Sizes
APPLICATION BANDS

BAND SIZE

BAND 1

19

BAND 2

20

39

BAND 3

40

59

BAND 4

60

79

BAND 5

80

100

The score of any application is therefore established as follows:

Criteria A
Score

weight

Criteria B
Score

weight

Criteria C
Score

weight

Criteria D
Score

weight

Criteria E
Score

weight

Total
Score

LICENSE
FEE BAND

7.4.2. AEL processing fee scoring criteria

The criteria for the scoring of applications for the purposes of allocating them to processing fee bands
are explained below. Each table shows the indicator scores for the criteria, guidelines for determining
which score is applicable, and the value that each score gets.
7.4.2.1. Scale of emissions
This refers to the scale of the emissions from the facility. The scale of the emissions will often correlate
with the size and complexity of the facility. The scale of emissions is an important contributor to the
impact and the risk profile of the facility and hence affects the level of compliance monitoring required.
The guideline values are based on the total emissions, of all criteria pollutants emitted from the
particular facility.

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INDICATOR

SCORING GUIDELINES

SCORE

Minor

Total emissions (excluding GHG) of less than 100 tones/annum

10%

Small

Total emissions (excluding GHG) between 101 1000 tones/annum

25%

Medium

Total emissions (excluding GHG) between 1001 10 000 tones/annum

50%

Large

Total emissions (excluding GHG) between 10 001 100 000 tones/annum

75%

Very large

Total emissions (excluding GHG) of more than 100 000 tones/annum

100%

7.4.2.2. Complexity of the application

The complexity of the application indicator refers to the complexity of the industrial process or listed
activity, the emissions occurring and the abatement options for these emissions. The complexity of the
polluting process or listed activity is a key determinant in the level of effort and resources required in the
licensing authority and are also an important determinant in the complexity and costs of compliance
monitoring.

INDICATOR

SCORING GUIDELINES

SCORE

Routine

One unit, one process or listed activity

10%

Straightforward

Two units, one process or listed activity

20%

Medium

Two units, two processes or listed activities

50%

Complex

More than two units, more than two processes or listed activities

75%

Extremely Complex

Multiple units, multiple processes or listed activities

100%

7.4.2.3. Nature of applicant: SMME status

The nature of the applicant is an important factor in the affordability of the processing fee, and is also a
means for government to assist those applicants that have been identified in national government policy
as requiring support. The economic size of the enterprise is used here as the key indicator as the small,
medium, and micro enterprise (SMME) sector is an important component of the governments economic
policy. The criterion takes into account the total gross asset value (fixed property excluded) of the
enterprise.
This criterion is fully aligned with the Department of Trade and Industry (the DTI) policy and legislation
on SMMEs, namely National Small Business Act, 1996 (Act No. 102 of 1996). In fact, the guidelines for
this criterion were imported from the National Small Business Act, 1996. It must be acknowledged that
while the SMMEs are subject to the same environmental controls as other companies high AEL
processing fees can be potentially crippling to SMMEs.

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INDICATOR

SCORING GUIDELINES

SCORE

Micro Enterprise

If the enterprise totals gross asset value (fixed property excluded)

is less than R0. 10 million (One Million Rand)

0%

Very Small Enterprise

If the enterprise totals gross asset value (fixed property excluded)

is less than R1. 50 million (One Million and Five Hundred
Thousand Rand)

10%

If the enterprise totals gross asset value (fixed property excluded)

is less than R3. 75 million (Three Million and Seven Hundred and
Fifty Thousand Rand)

30%

Medium Enterprise

If the enterprise totals gross asset value (fixed property excluded)

is less than R15. 00 million (Fifteen Million Rand)

80%

Large Enterprise

If the enterprise totals gross asset value (fixed property excluded)

is more than R15. 00 million (Fifteen Million Rand)

100%

Small Enterprise

7.4.2.4. Type of application

This criterion comes from Chapter 5 of the AQA. Sections 37(2)(a), 44(3)(a) and 47(3)(a) of the AQA
requires the payment of the processing fee before the applicant is issued with the AEL. These are new,
transfer and renewal applications respectively. The approach is that new application requiring an
Environmental Impact Assessment (EIA) to be undertaken before a licence is issued, will take more time
from the licensing authority than an application for a transfer. For example, the former will require
attending meetings with competent authorities for EIAs, reviewing and commenting on air quality
specialist studies and reviewing the EIA Record of Decision. This criterion considers such issues.

INDICATOR

SCORING GUIDELINES

SCORE

Application for a transfer

Application for the transfer of the licence in terms of section

44(3)(a) of the AQA

10%

Application for a renewal

Application for the renewal of the licence in terms of

section 47(3)(a) of the AQA

25%

New application without a Full EIA

(Basic Assessment)

New application for a licence with basic assessment in

terms of section 37(2)(a) of the AQA

50%

New application with EIA (Full

Assessment)

New application for a licence with a full EIA in terms of

section 37(2)(a) of the AQA

100%

7.4.2.5. Risk
The risk that the listed activity poses to the surrounding communities and the environment is not a direct
measure of the costs of licence application administration since a risky activity can also be a simple one.
However, the more risky an activity the greater the duty of care imposed on the licensing authority, and
therefore the greater the time and resources required to ensure that a suitable is developed. Also, the

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more risky an activity the greater the required compliance monitoring and inspection frequency and level
of detail which will increase the costs to the licensing authority.

INDICATOR

SCORING GUIDELINES

SCORE

Low risk from BOTH ambient air quality

and nature of emissions

Low risk from BOTH proximity to residential area

and hazardous nature of emissions

10%

Medium risk from EITHER ambient air

quality or nature of emissions

Medium risk from EITHER proximity to residential

area or hazardous nature of emissions

25%

Medium risk from BOTH ambient air

quality and nature of emissions

Medium risk from BOTH proximity to residential

areas and hazardous nature of emissions

50%

High risk from EITHER ambient air

quality or nature of emissions

High risk from EITHER proximity to residential

areas or hazardous nature of emissions

75%

High risk from BOTH ambient air quality

and nature of emissions

High risk from BOTH ambient air quality and

nature of emissions

100%

7.4.2.6. Geographical location

As with the risk the location of the listed activity affects the licensing authority duty of care in terms of
licensing authority. The greater the pre-existing pollution burden is in an area the more complicated it
will be to develop licence conditions. The licensing authority will need to take into account a greater
range of variables, such as the likely pollution from other sources, and is likely to also engage in a
higher level of consultation and interaction with stakeholders who are sharing the particular air-shed.
Similarly, due to higher pressure on the air-shed, greater attention will need to be paid to emissions
monitoring and enforcement since there is less leeway for exceedances.

INDICATOR

SCORING GUIDELINES

SCORE

Acceptable

Acceptable ambient air quality

10%

Potentially poor

Potentially poor ambient air quality

50%

Poor

Poor ambient air quality (includes any declared Provincial or National

Priority Areas)

100%

7.4.2.7. Compliance monitoring and inspection

Compliance monitoring and inspections imposes a significant resource and cost burden on licensing
authorities. The compliance monitoring and inspections requirements can differ widely from one
application to the other and largely dependent on the level of self monitoring that will be conducted by
the applicant. This indicator is meant to capture those listed activities requiring or undertaking
independent third party monitoring and audits, and those listed activities requiring regular compliance
monitoring and inspections activities by the licensing authorities.

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INDICATOR

SCORING GUIDELINES

SCORE

Self monitoring and one random

inspection required

Self monitoring and one random inspection

required

5%

Annual compliance monitoring and

inspection required

Annual compliance monitoring and inspection

required

15%

Bi-annual compliance monitoring and

inspections required

Bi-annual compliance monitoring and inspections

required

50%

Quarterly compliance monitoring and

inspections required

Quarterly compliance monitoring and inspections

required

75%

Frequent compliance monitoring and

inspections required

Frequent compliance monitoring and inspections

required

100%

7.5.

Final scoring of the application

Once the licensing authority has scored the application using the criteria and guidelines set out above,
the Processing Fee Calculator will automatically allocate the application a final score. However, the
licensing authorities must apply their minds to the score and ensure that the applicant has been scored
fairly.
7.6.

Allocation to processing fee bands

The allocation of the scored applicant to a processing fee band is a largely automatic once the scoring
has been conducted. However, the licensing authorities must apply their minds to the score and ensure
that the applicant has been scored fairly.
7.7.

AEL processing fee determination

Again, the actual determination of the AEL processing fee is automatic once the final score has been
determined. The licensing authorities must, however, apply its mind in the final processing fee levied
and ensure that due care was taken in arriving at the processing fee.
7.8.

Invoicing

After the determination of the processing fee, the licensing authorities must prepare and issue an
invoice for the applicant. The Processing Fee Calculator automatically prepares an invoice but the
licensing authorities must ensure that the correct details of the applicant are captured as well as the
processing fee levied.

8.

AIR QUALITY MANAGEMENT IMPLEMENTATION SUPPORT

The national department in preparation for the official hand over of the AEL Licensing Function to the
relevant AELA, on 11 September 2009, have established a dedicated Directorate: Air Quality
Management Implementation Support. The purpose of this directorate is to assist and support all AELA
when performing the AEL Licensing Function. The staff can be contacted on (012) 310 3069.
`

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