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3. CONTROLLING POLLUTION THROUGH WASTE DISCHARGE OR OTHER PERMITS OF COMPARABLE SCOPE


As already intimated in the Introduction to this chapter, permit requirements may be directed at, inter alia, the act of discharging waste into a water medium or the carrying on of activities or processes which result in the act of discharging waste. In both approaches the emphasis is on preventing water pollution by minimizing the polluting potential of waste releases into a receiving water medium. A permit requirement in respect of the carrying on of a potentially polluting activity or process, however, reflects a somewhat more radical preventative approach to water pollution control insofar as it may result in a proposed activity or process from ever moving past the blueprint stage. While the philosophy of approach differs substantially, the mechanics of implementation of the two approaches to a permit mechanism are essentially the same.

Subsidiary legislation provides the procedural and substantive details of implementation of permit mechanisms with specific regard to the process leading to the grant - or to the refusal to grant - permits (sub-chapter 3.1), general obligations of permit holders (sub-chapter 3.2), suspension, cancellation and variation of permits (sub-chapter 3.3), charging in connection with permits (sub-chapter 3.4), and the safeguarding of "existing" discharges and processes (sub-chapter 3.5).

3.1 The Granting of Waste Discharge Permits

Typically, the grant - or refusal - by the government of a waste discharge permit is the resultant of a process which is structured in the legislation as a sequence of steps, as follows:

Step One - Fulfilling requirements precedent to the filing of applications

Publicizing through the prescribed media of communication one's intention to apply for a waste discharge permit may constitute a pre-requisite to the actual filing of an application (I).

I - IRELAND - Local Government (Water Pollution) Regulations, 1978

5. (1) Prior to the making of a licence application, the applicant shall publish in a newspaper circulating in the functional area of the local authority notice of his intention to make such application.

(2) A notice under sub-article (1) shall contain, as a heading, the words "Discharge of Effluent to Waters" and shall:

(a) state the name of the applicant and the name of the local authority to which application is made,

(b) give a general description of the effluent,

(c) in the case of trade effluent, state the nature of the trade or industry,

(d) state the name and location of the premises from which the effluent is to be discharged, and

(e) indicate the waters to which the effluent is to be discharged.

(3) Sub-article (1) shall not apply to a licence application made before the 1st day of October, 1978 in respect of:

(a) an existing discharge, or

(b) a discharge from a development for which a permission (other than outline permission) or an approval consequent on an outline permission has been granted under the Local Government (Planning and Development) Acts, 1963 and 1976 during the period of five years prior to the 1st day of October, 1978.

Step Two - Filing of applications

Circumstances under which a permit is required

It is not uncommon to find a clarification as to the kinds of "discharges", "processes" and receptor media requiring a permit, and hence a delineation of the precise scope of application of waste discharge or process permit requirements, in subsidiary legislation. This takes the form of descriptions of the circumstances under which a permit is required (I to V).

I - PHILIPPINES - Water Rules and Regulations

1. When Permit/Authority from the National Water Resources Council Must be Secured. As required under the provisions of P. D. 1067[11], a permit/authority shall be secured from the Council in the following instances:...

(i) Dumping of mine tailings or wastes into a river or a waterway;...

II - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

4. (1) Except with the prior written consent of the Minister granted in accordance with these Regulations, no person shall discharge or cause to be discharged into public water:

(a) any water or effluent resulting from:

(i) any sewage treatment works,
(ii) any water-borne sanitation system, or
(iii) the use of water for any manufacturing, mining or other industrial purposes; and

(b) any storm-water sewer effluent.

(2) The provisions of sub-regulation (1):

(a) shall, in respect of the waste or effluent specified in paragraph (a), thereof, apply whether the discharge of such waste or effluent is through seepage or drainage; and

(b) shall not apply where any waste or effluent specified therein has been accepted into a local authority sewer.

III - UNITED KINGDOM - The Environmental Protection (Prescribed Processes and Substances) Regulations, 1991

3. (1) Subject to the following provisions of these Regulations, the descriptions of processes set out in Schedule 1 hereto[12] are hereby prescribed pursuant to section 2(1) of the Act as processes for the carrying on of which after the prescribed date an authorization is required under section 6....

4. (1) Subject to paragraph (6), a process shall not be taken to be a Part A process if it has the following characteristics, namely:

... (ii) that it cannot result in the release into water of any substance prescribed by regulation 6(2) except in a concentration which is no greater than the background concentration;...

(6) Paragraphs (1) and (2) do not exempt any process described in Schedule 1 from the requirement for authorization if the process may give rise to an offensive smell noticeable outside the premises where the process is carried on.

(7) In these regulations, "background concentration" means any concentration of the relevant substance which would be present in the release irrespective of any effect the process may have had on the composition of the release and, without prejudice to the generality of the foregoing, includes such concentration of the substance as is present in:

(a) water supplied to the premises where the process is carried on;
(b) water abstracted for use in the process;
(c) precipitation onto the premises on which the process is carried on.

6.... (2) The descriptions of substances set out in Schedule 5[13] are so prescribed as substances the release of which into water is subject to control under those sections.

IV - NIGERIA - The National Environmental Protection (Pollution Abatement in Industries and Facilities Generating Wastes) Regulations, 1991

15. (1) No effluent with constituents beyond permissible limits shall be discharged into public drains, rivers, lakes, sea or underground injection without a permit issued by the Agency or any organisation designated by the Agency.

(2) No oil, in any form, shall be discharged into public drain, rivers, lakes, sea, or underground injection without a permit issued by the Agency or any organisation designated by the Agency....

(6) An industry or a facility with a new point source of pollution or a new process line with a new point source shall apply to the Agency for discharge permit not later than 180 days before commencing the discharge of any effluent arising from any operation.

V - UGANDA - The Water (Waste Discharge) Regulations, 1998

4. Prohibition on the discharge effluent or waste

(1) No person shall discharge effluent or waste on land or into the aquatic environment contrary to the standards established under regulation 3 unless he or she has a permit in the format specified in the First Schedule issued by the Director. ...

5. Waste discharge permit

(1) A person,

(a) to whom a works approval has been issued; or
(b) who is or proposes to be

(i) the owner or operator of any industry or trade which discharges or which will discharge effluent or waste into the aquatic environment or on land;

(ii) responsible for producing, storing, discharging or disposing of any waste, or any waste containing a substance specified in the Second Schedule to these regulations;

(iii) engaged in any trade specified in the Third Schedule to these regulations;

(iv) the owner or occupier of any premises specified in the Third Schedule from which waste may come into contact with water, directly or indirectly; may apply to the Director for a waste discharge permit.

(2) Any person who contravenes the provision of this regulation commits an offence and is liable, on conviction, to the penalty prescribed under section 40 of the Statute.

Format of applications

Standard formats for waste discharge applications may be appended to subsidiary legislation as "Forms" for the convenience of the user. The prescribed forms may concern the proposed generic activity of discharging waste (I and II) or equipment or structures instrumental to the activity (III). The format of applications may also be left to the discretion of the responsible government authority (IV).

I - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

Form WRB.7 - Application for Minister's Consent to Discharge Waste or Effluent into Public Water - See Appendix II, page 341.

II - AUSTRALIA - QUEENSLAND - Clean Waters Regulations, 1973

Form 1 - Application for Licence to Discharge Waters - See Appendix II, page 344.

Form 1A - Report Attached to Application for Licence to Discharge Wastes - See Appendix II, page 345.

III - AUSTRALIA - NEW SOUTH WALES - Clean Waters Regulations, 1972

Form 2 - Application for Approval to Install, Construct or Modify Apparatus, Equipment or Works - See Appendix II, page 346.

IV - AUSTRALIA - NORTHERN TERRITORY - Water Regulations, 1999

9A. Waste discharge licence

(1) An application for a licence under section 74 of the Act shall be in a form approved by the Controller and shall be lodged with the Controller. ...

Supporting documents and evidence

Documentary evidence in support of the application is generally required to assist decisionmakers forming an opinion on the merits of a proposed waste discharge operation. Relevant requirements may feature in the standard Forms of applications (see, for example, Malawi's Water Resources (Pollution Control) Regulations, 1978, Form WRB.7 reproduced in this sub-chapter under Format of applications, example I) or be separately prescribed (I - VII).

I - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

15. Where the Minister requires him so to do, an applicant for the Minister's consent or a person to whom the Minister's consent has been granted shall, at no expense to the Minister or the Board take samples of waste or effluent in the manner which the Minister may prescribe and have such samples analyzed by an analyst recognized by the Minister and furnish the results of such analysis to the Minister.

II - PHILIPPINES - Water Rules and Regulations

4. All applications shall be filed in the prescribed form, sworn to by the applicant and supported by the following:

... (B) For a... Permit to Dump Mine Tailings or Wastes:

... 2. Brief description of project, including among others,... amount of water to be discharged back to the source and measures to be taken to insure that such waters are not polluted, other relevant information;...

III - IRELAND - Local Government (Water Pollution) Regulations, 1978

7. (1) A licence application shall be accompanied by:

(a) such plans, in duplicate, and such other particulars as are necessary to describe the premises, drainage system and any works, apparatus or plant from which the effluent is to be discharged and to identify the waters to which the discharge is to be made and the point of discharge,

(b) particulars of the nature, composition, anticipated temperature, volume and rate of discharge of, and the proposed method of any treatment of, the effluent and the period or periods during which the effluent is to be discharged, and

(c) in the case of a trade effluent, a general description of the process or activity giving rise to the discharge.

(2) A licence application for an existing discharge shall be accompanied by a statement that it is such a discharge in addition to the information specified in sub-article (1).

(3) An applicant for a licence, other than a licence for an existing discharge, shall also furnish such other particulars as the local authority may reasonably require for consideration of the application, including particulars of the quality, volume and flow rate of receiving waters, the effects of the discharge on such waters and the results of any investigation made, or required by the local authority to be made, in relation to such matters.

IV - QUEENSLAND - Clean Waters Regulations, 1973

5.... (ii) The applicant shall furnish complete information on Form 1A[14] of the Schedule regarding:

(a) the quantities, the times and the rates of discharge, and the physical, chemical, biological and radioactive components and characteristics of the wastes to which he desires such licence to apply;

(b) the control equipment provided or proposed to be provided in relation to such discharge;

(c) the location or proposed location of such discharge;

(d) any investigations into the effects of the discharge of such wastes at such location....

6.... (iii) If an application is in relation to the transport of wastes from premises for disposal on or in any land, the applicant shall furnish complete information on Form 2A[15] of the Schedule regarding:

(a) the quantities, the times and the rates of transport and the physical, chemical, biological and radioactive components and characteristics of the wastes to which he desires such licence to apply;

(b) the control equipment provided or proposed to be provided in relation to such disposal;

(c) the method of operation of such disposal;

(d) the location or proposed location of such disposal;

(e) any investigation into the effects on any waters of the disposal of such wastes at such location;

(f) the names and addresses of the persons responsible for the transport and disposal of such wastes if not performed by the occupier.

(iv) If an application is in relation to the transport of wastes from premises for subsequent discharge to any waters, the applicant shall furnish the information prescribed in form 1A[16] of the Schedule.

(v) The applicant shall furnish such additional information as the Director considers necessary for the purposes of the prescribed report and recommendation to the Council on the application and such other additional information as the Council may require after consideration of such report and recommendation....

V - CAYMAN ISLANDS - Water Authority Regulations, 1985

14. (1) All applications for a permit under this part of the regulations shall be made to the Authority on the appropriate form issued by and obtainable from the Authority, shall include such of the appropriate particulars as are material to the application, shall be accompanied by satisfactory evidence of planning permission, if such permission is required under the Development and Planning Law (Revised), and shall comply with such provisions of this part of the regulations as are relevant....

VI - CANADA - SASKATCHEWAN - The Water Regulations, 2002

7. Requirements for applications for permits

(1) In this section:

(a) "aquatic guidelines" means a Guide to Aquatic Nuisances and their Control, EPB 47, as issued by the department and dated November, 2002;

(b) "standards" means the Industrial Works Construction Application Standards, as issued by the department and dated November, 2002.

(2) For the purposes of this Division, the following, as amended from time to time, are adopted:

(a) a Guide to Aquatic Nuisances and their Control, EPB 47, as issued by the department and dated November, 2002;

(b) the Industrial Works Construction Application Standards, as issued by the department and dated November, 2002.

(3) The minister shall cause the aquatic guidelines and standards adopted pursuant to this section to be made available to the public in any manner that the minister considers likely to bring them to the public’s attention, including causing them to be posted on the department’s Internet website.

(4) A person who applies for a permit pursuant to Division 3 of Part IV of the Act shall:

(a) file a written application with the minister in a form satisfactory to the minister;
(b) provide the information and materials required by:

(i) in the case of a permit required by clause 35(1)(b) of the Act[17], the aquatic guidelines;
(ii) in the case of a permit required by clause 35(1) (a) or (c)1 of the Act, the standards; ...

(c) provide any other information or materials that the minister may reasonably request.

VII - UGANDA - The Water (Waste Discharge) Regulations, 1998

8. Additional information

The Director or a person authorised by the Director may

(a) require an applicant to prepare and submit plans or further information to support any application made under regulation 5; ...

Payment of filing fees

Payment of filing fees is generally required to help defray the administrative costs of processing applications. Flat (I and IV) or variable fees are prescribed, the latter varying as a function of given variables - notably, the monetary value of waste discharge works (II), or the quantity of the waste involved (III).

I - PHILIPPINES - Water Rules and Regulations

6. There shall be imposed and collected a fee of One Hundred Pesos (P100.00) from every applicant, except government agencies, water districts, and duly organized associations or cooperatives for irrigation or rural water supply which shall be paid to the Council in postal money order through the Office where the application is filed.

II - AUSTRALIA - NEW SOUTH WALES - Clean Waters Regulations, 1972

12. (1) For the purposes of section 19(2) of the Act:

... (b) the prescribed fee is, where the total cost estimated by the Under Secretary of the proposed installation, construction or modification is:

(i) not more than $20 000 -$10;
(ii) more than $20 000 but not more than $50 000 - $20;
(iii) more than $50 000 but not more than $100 000 - $40;
(iv) more than $100 000 but not more than $250 000 - $100;
(v) more than $250 000 but not more than $500000 - $200;
(vi) more than $500 000 but not more than $1 000 000 - $400;
(vii) more than $1 000000 but not more than $1 500 000 - $650;
(viii) more than $1 500 000 but not more than $2 000 000 - $900; or
(ix) more than $2 000 000 - $1 000....

III - AUSTRALIA - QUEENSLAND - Clean Waters Regulations, 1973

13. (i) The fee for an application for a licence shall be:

(a) Wastes discharged from premises to water. For each 100 cubic metres per day or part thereof $10 with a minimum fee of $40....

IV - UGANDA - The Water (Waste Discharge) Regulations, 1998

6. Application for waste discharge permit

... (c) be accompanied by the relevant application fee specified in Form B of the Fourth Schedule to these regulations.

Fourth schedule - Form B - Application fees and waste discharge fees - See Appendix II, page 347.

Step Three - Review of applications

The discharging of waste may adversely affect the quality of the receiving waters, and, as a result, may interfere with plans, programmes and projects under the control of government departments and agencies, with the rights of users of such waters - from commercial users to conservationists - and with the diffuse interest of the general public in a healthy and clean living environment. As a result, the potential for controversy and conflict both within government and outside tends to be considerable. The potential for conflict of water polluting activities can be reduced through prior consultation within government and with the public, and this is generally and most effectively achieved at the review and appraisal stage of permit applications. To this end, prior consultation with concerned government departments and agencies, public notice and inspection of an application, and comment requirements are generally featured in the legislation, subsidiary legislation in particular providing the procedural and substantive details of implementation (I, III, IV and VI). Field investigations may also be required to determine whether the proposed waste discharge structures and processes are adequate; and whether and to what extent the proposed discharge or activity will impact on the quality of the receiving waters and of the surrounding environment, and on the specific rights of water abstraction permit holders and on the "diffuse" rights of the general public. While such investigations will ordinarily be required in connection with the provision by the applicant of the prescribed evidence in support of his application (see in this regard Step Two - Filing of applications - Supporting documents and evidence, above), independent or complementary investigations may be carried out by the reviewing government department or agency (II, V and VI).

I - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

6. (1) Any person may apply for the Minister's consent to discharge any waste or effluent specified in regulation 4[18].

(2) An application for the Minister's consent shall be made in Form WRB7[19] set out in the Schedule hereto and shall be submitted through the board which shall, within fourteen days after receiving the application, give notice thereof in the Gazette and in at least two consecutive issues of the most frequently circulated paper in Malawi, the date of such Gazette and the date of either of such issues not being more than five days apart.

7. Where notice of any application has been published under regulation 5, any person having an interest in the matter may, within thirty days after the date of such publication in the Gazette, object to the application in writing addressed to the board, stating:

(a) his name and address
(b) his interest in the matter
(c) the matter in respect of which he is objecting to the application;
(d) the grounds of his objection; and
(e) whether or not he wishes to be heard on his objection.

8. The Board shall consider every application for the Minister's consent and any objection thereto and may consult such persons and authorities as it deems necessary for the purpose of considering such application or objection.

9. (1) Every person who, pursuant to regulation 6, objects to an application for the Minister's consent shall, during the consideration of his objection, be entitled to attend before the Board in person or, if such person is a body corporate, by a senior director or executive of such body corporate or to be represented thereat by a legal practitioner and shall be entitled to be heard and to adduce evidence in respect of any matter relevant to his objection.

(2) The Board shall, by letter sent by ordinary post to the address stated in the objection, notify the person objecting to an application for the Minister's consent of the date, time and place of consideration of his objection.

II - IRELAND - Local Government (Water Pollution) Regulations, 1978

8. Where an applicant fails or refuses to comply with any requirement of a local authority under article 7(3) in relation to the furnishing of results of any investigation within three months of such requirement, the local authority may carry out, or arrange to have carried out, such investigation and may require the applicant to defray or contribute towards the cost of any such investigation.

III - IRELAND - Local Government (Water Pollution) Regulations, 1978

10. A local authority shall make available for public inspection during normal office hours at the offices of the local authority, from the time of receipt of the relevant documents until the licence application or any appeal relating thereto is determined, the application and any plans and other particulars submitted by the applicant to the local authority, including any plans or other particulars submitted in pursuance of article 7.

IV - UNITED KINGDOM - The Groundwater Regulations (Northern Ireland) 1998

23. Transfrontier consultation

(1) Where the Department [of Environment] intends to grant an authorisation for a discharge into transfrontier groundwater it shall inform the competent authorities in the Republic of Ireland before an authorisation is issued.

(2) At the request of either the Department or the competent authorities in the Republic of Ireland and before an authorisation is granted under regulation 17 or 18, consultations shall be held in which the Commission may participate.

V - INDIA - The Water (Prevention and Control of Pollution) Rules, 1975 (2000)

33. Procedure for making inquiry into application for consent

(1) On receipt of an application for consent under section 25 or section 26, the Central Board may depute any of its Officers, accompanied by as many assistants as may be necessary, to visit to the premises of the applicant to which such application relates for the purpose of verifying the correctness or otherwise of the particulars furnished in the application or for obtaining such further particulars or information as such officer may consider necessary. Such officer may for that purpose inspect any place where water or sewage or trade effluent is discharged by the applicant, or treatment plants, purification works or disposal systems of the applicant and may require the applicant to furnish to him any plans, specifications and other data relating to such treatment plants, purification works or disposal systems or any part thereof, that he considers necessary.

(2) Such officer shall before visiting any premises of the applicant for the purpose of inspection under sub-rule (1) above, give notice to the applicant of his intention to do so in Form XIV. The applicant shall furnish to such officer all facilities that such officer may legitimately require for the purpose.

(3) An officer of the Central Board may, before or after carrying out an inspection under sub-rule (1) above, require the applicant to furnish to him orally or in writing such additional information or clarification, or to produce before him such documents, as he may consider necessary for the purpose of investigation of the application and may for that purpose, summon the applicant or his authorised agent to the office of the Central Board.

VI - UGANDA - The Water (Waste Discharge) Regulations, 1998

7. Advertisement of applications

(1) The Director

(a) shall at least on two separate occasions publish, in a newspaper of general circulation in the area to which the application relates, a notice summarising the nature of any application received under regulation 5;

(b) may give such other public notice of the application as he or she considers appropriate in the circumstances;

(c) may give written notice of the application to any person whom he or she considers may be adversely. affected by the discharge of the waste to which the application relates; and

(d) shall invite submissions on the application in any notice given under this regulation within thirty days of the date of the notice or such longer period as the Director thinks appropriate in the circumstances.

(2) The applicant shall be responsible for the expenses incurred under subregulation (1).

8. Additional information

The Director or a person authorised by the Director may

... (b) enter any land to which an application relates and undertake any investigations that are necessary for considering the application.

Step Four - Deciding on applications

Decisions as to whether or not to grant a permit, or to grant it subject to terms and conditions departing from those sought by the applicant are typically left to the discretion of the responsible decisionmaker (I and VI). Whilst the law cannot prescribe the nature and contents of specific decisions, it can nonetheless orientate their making by prescribing "criteria" which decisionmakers are to follow in arriving at decisions on applications (II to IV, VIII and IX). However, the discretionary authority of administrators can be severely curtailed in relation to groundwater polluting substances (VIII). It is worth pointing out that decisionmaking criteria will provide useful ammunition for challenging decisions on their merits on appeal (see in this regard Step Six below). Pending further review of an application and a final decision on it, an interim decision can be made resulting in the grant of a "temporary" permit (V).

I - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

11. (1) The Minister, having considered an application and the report of the Board thereon and such other documents as were submitted to him under regulation 9, shall decide whether or not he should grant his consent and where he has decided so to do he shall grant his consent in Form WRB.8[20] set out in the Schedule hereto.

II - NEW ZEALAND - Waters Pollution Regulations, 1963

12.... (2) When considering any such application the Council shall have regard to the effect of other discharges for which permits have been or may be issued on the waters that will be affected by the discharge in respect of which the permit is sought.

III - AUSTRALIA - QUEENSLAND - Clean Waters Regulations, 1973

26.... (e) In considering an application for a licence or the renewal of a licence or the transfer of a licence for the discharge or disposal of wastes the Council shall have special regard to:

(i) the requirements of any prescribed water quality plans and objectives;

(ii) any recommendations of the Environmental Control Council;

(iii) the desirability of preserving the quality of the waters at the existing level;

(iv) the desirability of restoring the quality of the waters to a higher level;

(v) the desirability of ensuring that the best practicable available treatment or control of wastes is employed;

(vi) the desirability of making provision for future waste discharges;

(vii) the combined effects of the discharge or disposal of wastes and other discharges and disposals of wastes on the waters;

(viii) effects of periods of no flow in the watercourse;

and shall determine whether the general standard shall apply or whether and what specific standards shall be attached to the licence, the renewed licence or the transferred licence and shall also determine whether and in what manner the standards attached to any other licence shall be varied.

IV - MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

11.... (3) The Director-General may refuse to grant the application for a licence if he is satisfied that the granting of application for such a licence is likely to cause a worsening of condition in the inland waters or cause pollution in any other segment or element of the environment.

(4) Without prejudice to the generality of paragraph (3) of this regulation, the Director-General may grant the application for a licence if he is satisfied that:

(a) there is no known practicable means of control to enable compliance with the acceptable conditions; or

(b) the estimated cost to be incurred for compliance will be prohibitive having regard to the nature and size of the industry, trade, or process being carried out in the premises discharging the effluent; or

(c) the design and construction of any treatment plant or other control equipment and their commissioning require a longer period than the period for compliance with these Regulations; or

(d) the imposition of the acceptable conditions as prescribed may result in circumstances which, in his opinion and having regard to all factors, are not reasonably practicable or are contrary to the intent and spirit of the Act; or

(e) a sewerage system is to be provided and the effluent is permitted to be admitted into the sewerage system....

V - NEW ZEALAND - Waters Pollution Regulations, 1963

12.... (3) Where an application for a permit relates to an outfall from which pollutants are already being discharged, the Council, in its absolute discretion, may grant a temporary permit authorising the continuation of the discharge subject to such terms and conditions (if any) as may be prescribed in the temporary permit. Any such temporary permit shall cease to have effect when the application is finally dealt with by the Council under subclause (1) hereof.

VI - CANADA - SASKATCHEWAN - The Water Regulations, 2002

9. Decision respecting permits

(1) If the minister receives an application and the information and material required by this Part, the minister shall:

(a) either:

(i) if the minister is satisfied that the Act and these regulations have been complied with and that it is not contrary to the public interest to do so, issue a permit; or

(ii) refuse to issue a permit; and

(b) notify the applicant of the decision.

(2) On issuing a permit, the minister may impose any terms and conditions on the permit that the minister considers appropriate. ...

VII - UNITED KINGDOM - The Groundwater Regulations, 1998

4. Measures to prevent the introduction into groundwater of list I substances

(1) An authorisation shall not be granted if it would permit the direct discharge of any substance in list I.

(2) An authorisation shall not be granted in relation to:

(a) the disposal, or tipping for the purpose of disposal, of any substance in list I which might lead to an indirect discharge of that substance; or

(b) any other activity on or in the ground which might lead to an indirect discharge of any substance in list I, unless that activity has been subjected to prior investigation.

(3) In the light of any such investigation-

(a) an authorisation shall not be granted if it would permit the indirect discharge of any substance in list I; and

(b) any authorisation granted must include conditions which require that all necessary technical precautions are observed to prevent an indirect discharge of any substance in list I. ...

(5) However, a discharge of any substance in list I into groundwater may be authorised after prior investigation if-

(a) the investigation reveals that the groundwater is permanently unsuitable for other uses (especially domestic or agricultural uses), presence of that substance does not impede exploitation of ground resources and conditions are imposed which require that all technical precautions are observed to prevent that substance from reaching other aquatic systems or harming other ecosystems; or

(b) the discharge is due to the re-injection into the same aquifer of water used for geothermal purposes, water pumped out of mines and quarries or water pumped out for civil engineering works.

5. Measures to limit the introduction into groundwater of list II substances to avoid pollution

(1) An authorisation shall not be granted in relation to-

(a) any direct discharge of any substance in list II;

(b) any disposal or tipping for the purpose of disposal of any substance in list II which might lead to an indirect discharge of that substance;

(c) any other activity on or in the ground which might lead to an indirect discharge of any substance in list II, unless that activity has been subjected to prior investigation.

(2) An authorisation may only be granted if, in the light of any such investigation, it includes conditions which require that all necessary technical precautions are observed to prevent groundwater pollution by any substance in list II.

(3) The following powers shall be exercised if it is necessary to do so for the purpose of avoiding pollution of groundwater by substances in list II-

(a) in the case of any discharge from a highway drain or road drain which contains such substances, the powers conferred by section 86(1) of the Water Resources Act 1991 or section 30G(1) of the Control of Pollution Act 1974 (prohibition of certain discharges by notice);

(b) in the case of any activity falling within paragraph (1)(c) above and not falling within sub-paragraph (a) above, the powers conferred by regulation 19.

7. Examination required in prior investigation

Any prior investigation required by regulation 4 or 5 shall include examination of-

(a) the hydrogeological conditions of the area concerned;

(b) the possible purifying powers of the soil and subsoil; and

(c) the risk of pollution and alteration of the quality of the groundwater from the discharge, and shall establish whether the discharge of substances into groundwater is a satisfactory solution from the point of view of the environment.

8. Surveillance of groundwater

An authorisation which is subject to any of the provisions of regulation 4, 5 or 6 may only be granted if the Agency has checked that the groundwater (and, in particular, its quality) will undergo the requisite surveillance.

VIII - VIET NAM - Decree No.179/1999 Stipulating the Implementation of the Law on Water Resources

5. - The granting of permits to discharge waste water into water sources stipulated in Article 18 of the Law on Water Resource is specified as follows:

(2) Grounds for granting permits:

The granting of permits for discharge of waste water into water sources must be based on:

a) The Law on Water Resources and other relevant legislation;

b) The planning for protection, exploitation and use of water sources and prevention of and combat against harmful effects caused by water in river basins, as well as the planning on systems of water conservancy works;

c) The water sources' capacity to take in waste water; and the criteria of waste water:

d) Proposals of the agency(ies) managing the river basin zoning; and organizations and individuals managing and exploiting water conservancy works.

IX - UGANDA - The Water (Waste Discharge) Regulations, 1998

9. Consideration of application

(1) The Director shall, in considering an application under regulation 5, have regard to the following

(a) the existing authorised and projected quality of water in, and down-stream of the area;

(b) any adverse effect which the discharge of waste is likely to have on

(i) the existing authorised uses of water;

(ii) possible future beneficial uses of water;

(iii) any aquifer or waterway, including effects on land which forms the waterway or its surroundings;

(iv) the environment, including the riverine and riparian environment;

(v) in-stream uses of water;

(c) the minimum water quality standards and effluent discharge standards established under sections 26 and 27 of the National Environment Statute, 1995;

(d) any guidelines or conditions relating to waste discharge permits prescribed by the Minister under subsection (6) of section 29 of the Water Statute, 1995;

(e) government policy on environment management and conservation;

(f) any submissions made under paragraph (d) of sub regulation (1) of regulation 7;

(g) the comments of any public authority to which an application is referred under section 30 of the Water Statute, 1995 and any special conditions that are proposed by such public authority;

(h) any other matter which the Director considers relevant to the application.

(2) Without prejudice to subregulation (1), the Director shall not approve an application for a waste discharge permit in respect of any premises for which a works approval has been granted unless he or she is satisfied that the works have been completed in accordance with the works approval.

(3) The Director may, where an application for a waste discharge permit is received in respect of any premises for which a works approval has not been granted

(a) by notice in writing specify any additions, alterations or modifications to the premises which shall be completed to the satisfaction of the Director before the application is reconsidered; or

(b) grant the waste discharge permit subject to the condition that any additions, alterations or modifications to the premises specified in the permit shall be made within the time specified in the permit.

(4) The Director shall not, when granting a waste discharge permit in respect to any land, attach conditions relating to the execution of additions, alterations or modifications to the premises which are any more onerous for the applicant than any condition previously attached to a works approval. ...

Step Five - Formatting of waste discharge permits

A decision to allow a proposed waste discharge or a proposed activity or process results in a legal instrument variably styled permit, licence, authorization or consent - collectively referred to in this Chapter as "permits" for ease of reference. These are the instruments of the grant, and at the same time they constitute and are evidence of, a right to discharge wastes into a body of water or on or under the ground, or to carry on a given activity or process. Standard formats of such instruments may be provided by subsidiary legislation for the convenience of government administrators (II, III and VII). The format of permits may also be left to the discretion of the responsible government authority (VI). The rights evidenced in the instrument of a grant are generally qualified by terms and conditions. Whilst the framing of such terms and conditions is typically left to the discretion of the permit-granting government authority (IV and V), subsidiary legislation may provide, directly in the standard Forms (II and VII) or otherwise (V), checklists of items which the permit-framers must provide for in the permit, or standard terms for express or implied incorporation in the permit (I). In addition, the holders of permits may be subject to obligations of general import laid down in the legislation for direct compliance, i.e. without the need for such obligations to be recorded in the permit (see sub-chapter 3.3 below).

I - CAYMAN ISLANDS - Water Authority Regulations, 1985

16. (1) Permits under this Part of the Regulations shall have validity for:

(a) one year, in case of permits for discharge into ground water into or onto the ground and into territorial waters;...

II - CAYMAN ISLANDS - Water Authority Regulations, 1985

Form - Discharge Permit - See Appendix II, page 348.

III - IRELAND - Local Government (Water Pollution) Regulations, 1978

Form 1 - Licence to Discharge Trade or Sewage Effluent to Waters - See Appendix II, page 348.

IV - MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

5.... (2) The Director-General may grant such application either subject to conditions or unconditionally and may require the applicant:

(a) to repair, alter, replace or install control equipment;

(b) to conduct a monitoring programme at his own expense or bear the cost of such programme within such period or at such time and in such manner as the Director-General may specify.

V - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

11.... (3) In every consent granted under sub-regulation (1), the Minister

(a) shall specify the period for which such consent shall remain valid, but such consent may be renewed thereafter, at the discretion of the Minister, for any further period.

(b) may specify any conditions upon which such consent has been granted.

(4) The determination of the period specified under paragraph (a) and the conditions specified under paragraph (b) of sub-regulation (1) shall lie solely in the discretion of the Minister.

VI - AUSTRALIA - NORTHERN TERRITORY - Water Regulations, 1999

9A. Waste discharge licence

... (2) A licence granted under section 74 of the Act shall be in a form approved by the Controller.

VII - UGANDA - The Water (Waste Discharge) Regulations, 1998

First schedule - Permit to discharge waste - See Appendix II, page 349.

VIII - UNITED KINGDOM - The Groundwater Regulations, 1998

9. Terms of authorisation of discharge of substances in list I or II

(1) This regulation applies where-

(a) a direct discharge of any substance in list I or II is authorised in accordance with regulation 4(5) or 5; or

(b) waste water disposal which inevitably causes an indirect discharge of any substance in list II is authorised in accordance with regulation 5.

(2) In a case where this regulation applies the authorisation shall specify in particular-

(a) the place where the discharge may be made;

(b) the method of discharge which may be used;

(c) the essential precautions which must be taken, paying particular attention to the nature and concentration of any substance in list I or II present in the effluent, the characteristics of the receiving environment and the proximity of water catchment areas, in particular those for drinking, thermal and mineral water;

(d) the maximum quantity of any such substance permissible in the effluent during one or more specified periods of time and the appropriate requirements as to the concentration of any such substance;

(e) the arrangements for monitoring effluents discharged into groundwater;

(f) if necessary, measures for monitoring groundwater, and in particular its quality.

10. Terms of authorisation for disposal or tipping for the purpose of disposal

(1) This regulation applies where-

(a) any disposal, or tipping for the purpose of disposal, of any matter which might lead to an indirect discharge of any substance in list I or II is authorised in accordance with regulation 4 or 5; and

(b) in the case of a disposal, it is not a disposal of waste water to which regulation 9(1)(b) applies.

(2) In a case where this regulation applies the authorisation shall specify in particular-

(a) the place where the disposal or tipping may be done;

(b) the methods of disposal or tipping which may be used;

(c) the essential precautions which must be taken, paying particular attention to the nature and concentration of any substance in list I or II present in the matter to be disposed of or tipped, the characteristics of the receiving environment and the proximity of water catchment areas, in particular those for drinking, thermal and mineral water;

(d) the maximum quantity permissible, during one or more specified periods of time, of the matter containing any such substance and, where possible, of any such substance, to be tipped or disposed of and the appropriate requirements as to the concentration of any such substance;

(e) the technical precautions to be implemented to prevent any discharge into groundwater of any substance in list I and any pollution of such water by any substance in list II,

(f) if necessary, the measures for monitoring the groundwater, and in particular its quality.

11. Period and conditions of authorisation

(1) An authorisation of-

(a) a discharge of any substance in list I or II; or

(b) any disposal, or tipping for the purpose of disposal, of any matter which might lead to an indirect discharge of any substance in list I or II, may be granted for a limited period only, and must be reviewed at least once in every four years when it may be renewed, amended or revoked.

(2) If the applicant for any such authorisation states, or it is otherwise evident, that he will be unable to comply with the conditions of the proposed authorisation, the authorisation shall not be granted.

(3) The Agency shall monitor compliance with the conditions of any such authorisation and the effects of discharges on groundwater.

(4) If the conditions of any such authorisation are not complied with, the appropriate steps shall be taken to ensure compliance and, if necessary, the revocation of the authorisation.

IX - VIET NAM - Decree No.179/1999 Stipulating the Implementation of the Law on Water Resources

5. The granting of permits to discharge waste water into water sources stipulated in Article 18 of the Law on Water Resource is specified as follows:

... (3) Duration of permits:

a) Permits for discharge of waste water into water sources shall be valid for from 3 to 5 years;

b) For a permit of which the use duration has expired, the agency competent to grant such permit shall decide its extension but each extension must not exceed 3 years; ...

Step Six - Appealing from adverse decisions

Legislation may allow for judicial or administrative review of permit decisions, i.e. for a judge in court or for a government administrator ranking hierarchically higher to the one who took the decision impugned to screen the above decisions for consistency with formal and substantive legal requirements. This review process constitutes an appeal. The procedural and substantive rules governing the appeal process are generally found in subsidiary legislation, as in the examples below.

I - IRELAND - Local Government (Water Pollution) Regulations, 1978

25. In this Part:

"appeal" means an appeal under section 8 or section 20, except where otherwise provided,
"party to an appeal" means:

(a) in the case of an appeal under section 8

(i) the appellant,

(ii) the local authority which granted, refused or reviewed a licence in relation to which an appeal is made,

(iii) the applicant for a licence in relation to the grant or refusal of which an appeal is made by another person,

(iv) the person making, causing or permitting a discharge in the case of an appeal by another person in relation to a review of a licence for that discharge;

(b) in the case of an appeal under section 20

(i) the appellant,

(ii) the sanitary authority which granted, refused or reviewed a licence in relation to which an appeal is made.

26. The prescribed period for the purpose of an appeal under section 8 shall be:

(a) in the case of an appeal relating to the grant or refusal of a licence the period of one month beginning on the date of the grant or refusal of the licence,

(b) in the case of an appeal relating to the decision of a local authority on a review of a licence the period of one month beginning on the date of the local authority's decision.

27. An appeal shall:

(a) be made in writing
(b) state the subject matter of the appeal, and
(c) state the grounds of appeal.

28. The Board shall give a copy of an appeal to each other party to the appeal.

29. (1) Where an appeal is made to the Board, the local authority or sanitary authority which granted, refused or reviewed the licence in relation to which the appeal is made shall give to the Board such information or evidence in its possession or procurement as the Board may require for the purpose of determining the appeal, including in the case of an appeal relating to the grant or refusal of a licence a copy of the application and of the plans and particulars which accompanied it.

(2) A party to an appeal (other than a local authority or sanitary authority) shall give to the Board any document, information or evidence in his possession or procurement which the Board consider necessary for the purpose of determining the appeal.

(3) Where a person neglects or refuses to give the Board any document, information or evidence within such period as may at any time be specified by the Board, the Board may determine the appeal without such document, information or evidence.

(4) A copy of any document relevant to an appeal which is given to the Board by any party shall be given by the Board to each party not already possessed of a copy of such document, or shall be made available for inspection at the offices of the Board or at the offices of the local authority or sanitary authority which granted, refused or reviewed the licence in relation to which the appeal is made or at such convenient place as the Board may specify and each party not possessed of a copy of the document shall be informed that it is so available for inspection.

30. A party to an appeal to whom a copy of an appeal has been given under article 28 may, within such period as may at any time be specified by the Board, make in writing to the Board such observations on the appeal as he thinks fit and a copy of such observations shall be given by the Board to each other party to the appeal or, where a number of persons have made the appeal jointly, to any one of such persons.

31. (1) A party to an appeal may request an oral hearing of the appeal and any such request shall be made in writing to the Board.

(2) A request for an oral hearing may be withdrawn at any time.

(3) Where the Board decide to hold an oral hearing, the Board shall inform each of the parties to the appeal and shall give each party not less than seven days notice of the time and place of the opening of the oral hearing or such shorter notice as may be accepted by all the parties to the appeal.

(4) The Board may, at any time before the opening of an oral hearing, alter the time or place of the opening of the hearing and, in the event of such alteration, the Board shall give each party not less than seven days notice of the new time and place or such shorter notice as may be accepted by all the parties to the appeal.

(5) Where the parties to an appeal have been informed that an oral hearing is to be held and where, following the withdrawal of a request for an oral hearing, or a decision by the Board, the appeal falls to be determined without an oral hearing, the Board shall give notice accordingly to the parties and shall not determine the appeal until seven days after the date of the giving of the notice or such longer period as the Board may specify in the notice.

(6) An oral hearing shall be conducted by the Board or by a person appointed for that purpose by the Board generally or for a particular appeal or for appeals of a particular class.

(7) If, for any reason, the person appointed is unable or fails to conduct, or to complete the conduct of, an oral hearing or, for any reason, is unable or fails to furnish a report on an oral hearing to the Board, the Board may appoint another person to conduct the oral hearing or to conduct a new oral hearing.

32. The Board or other person conducting an oral hearing shall have discretion as to the conduct of the hearing and in particular shall:

(a) conduct the hearing without undue formality,
(b) decide the order of appearance of the parties,
(c) permit any party to appear in person or to be represented by another person, and
(d) hear, if they think fit, any person who is not a party to the appeal.

33. (1) Subject to sub-articles (2) and (3), the Board or other person conducting an oral hearing may adjourn or re-open any hearing or, notwithstanding that any party has failed to attend a hearing, proceed with the hearing.

(2) Notice of the time and place of the re-opening of an oral hearing or resumption of an oral hearing that has been adjourned indefinitely shall be given by the Board to each of the parties to the appeal not less than seven days before the said time unless all such parties accept shorter notice.

(3) Unless the Board consider it expedient to do so and so direct, an oral hearing shall not be re-opened after the report thereon has been submitted to the Board.

34. (1) The Board shall notify every party to an appeal of its decision on the appeal.

(2) Every notification under sub-article (1) to a person, other than a local authority or sanitary authority, shall specify the nature of the decision, including any directions given to the local authority or sanitary authority relating to the granting or revoking of a licence or the attachment, amendment or deletion of conditions.

35. On complying with directions of the Board in relation to a licence the local authority or sanitary authority shall notify the holder of the licence of such compliance.

II - UNITED KINGDOM - Water Resources (Miscellaneous Provisions) Regulations, 1965

4. (1) The time within which notice in writing of appeal may be served on the Minister by an aggrieved applicant for consent under section 72 of the Act (which relates to the control of discharges into underground strata) shall be:

(a) one month from the date on which the applicant is notified by the river authority of their decision on his application, or,

(b) if notice of decision is not given to the applicant by the river authority within the period allowed in that behalf by section 72(4) of the Act (namely, three months and any duly agreed extension), one month from the end of that period, or such longer period as the Minister may at any time allow.

(2) The appellant shall provide the Minister with a copy of the following documents:

(a) the application for consent made to the river authority;
(b) all relevant maps and particulars submitted to the authority;
(c) the notice of the authority's decision, if any;
(d) all other relevant correspondence with the river authority.

5. (1) This regulation applies to an appeal under section 74 of the Act against the revocation or variation by a river authority of a consent under section 72 to discharge into underground strata, or against the refusal of the river authority to vary such a consent in accordance with the terms of an application in that behalf made by the person to whom the consent was granted.

(2) the notice of appeal shall be in writing and shall be served on the Minister:

(a) within one month from the date on which notice of the revocation or variation, or, as the case may be, refusal, is given by the river authority to the person to whom the consent was granted, or

(b) where, in the case of an application for variation of a consent, the river authority do not give notice of their decision to the applicant within the period allowed in that behalf by section 74(3) of the Act (namely, three months and any duly agreed extension), within one month from the end of that period, or such longer period as the Minister may at any time allow.

(3) The appellant shall provide the Minister with a copy of the following documents:

(a) the relevant consent;

(b) if the appeal is against the refusal of the river authority to vary the consent in accordance with the terms of an application for variation, the relevant application;

(c) the notice of revocation or variation, or the notice of refusal, if any;

(d) all relevant correspondence with the river authority.

III - UGANDA - The Water (Waste Discharge) Regulations, 1998

12. Appeal to the Minister

(1) Any person aggrieved by the decision of the Director may appeal to the Minister, in the format set out in Form D of the Minister.

Fourth Schedule, setting out the grounds of objection.

(2) The Minister shall, within twenty one days of the receipt of the appeal, consider and determine the appeal or refer the appeal to the Water Policy Committee for its recommendation..

(3) The Water Policy Committee shall, within one month of the date of receipt of the appeal, consider the appeal and make recommendations to the Minister.

(4) The Minister shall, within seven days of the receipt of the Water Policy Committee recommendation, consider and determine the appeal having regard to the recommendation.

(5) The Minister or the Water Policy Committee, if the appeal is referred to it, shall

(a) have regard to the factors spelt out in regulation 9 when making a decision or recommendation under this regulation; and

(b) not make a decision or recommendation without giving a hearing to the person who lodged the appeal except that it shall not be necessary for the person to be heard by both the Minister and the Water Policy Committee.

Fourth schedule - Form D - Appeal against a decision made by the director or other authorised persons made under the waste disposal regulations - See Appendix II, page 351.

Step Seven - Recording of decisions and permits

Records of successful applications and of permits issued as a result are generally prescribed by the law, for the government's own future reference and for the information of the general public. Records of waste discharge permits are commonly styled "registers" and are accessible to the public as directed by the law. Registers generally also contain a record of events concerning the permit after its grant (see in this regard sub-chapter 3.3 below). Subsidiary legislation provides the details of formation, contents and accessibility of such Registers as shown in the examples below.

I - IRELAND - Local Government (Water Pollution) Regulations, 1978

Form 3 - Register of Licences under Section 4 for the Discharge of Trade and Sewage Effluents to Waters - See Appendix II, page 353.

II - UNITED KINGDOM - Water Resources (Miscellaneous Provisions) Regulations, 1965

6. (1) The register which by virtue of section 75 of the Act is required to be kept by a river authority and to be available for inspection by the public at all reasonable hours shall contain the following particulars of every consent granted by the authority, and for the time being in force, under section 72 of the Act, that is to say:

(a) the date of grant of the consent and the name and address of the person to whom it was granted;

(b) brief details of the consent, including any conditions attached to it;

(c) the date and brief details of any variation of the consent, indicating whether the variation was effected in pursuance of an application or otherwise;

and, where a consent is granted or varied in accordance with a direction given by the Minister on appeal, the relevant particulars shall include a statement to that effect.

(2) The register shall include an index, which shall be in the form of a map unless the Minister approves some other form for enabling a person to trace any entry in the register.

(3) The particulars specified in paragraph (1) of this regulation shall be entered in the register within 14 days from the grant, or, as the case may be, variation, of the consent to which they relate.

(4) The register shall be kept at the principal office of the river authority.

III - UGANDA - The Water (Waste Discharge) Regulations, 1998

19. Register

(1) The Director shall keep a Register of

(a) all applications made under regulation 5;
(b) every works approval or waste discharge permit granted.

(2) The Register shall contain the information specified in the Fifth Schedule and such other information as the Director may consider appropriate.

(3) The Director may, subject to sub-regulation (2) of this regulation, keep the Register in any form the Director considers appropriate.

(4) The Director shall, under subsection (1) of section 79 of the National Environment Statute, 1995 transmit the record kept under this regulation to the Authority.

20. Access to register

(1) Subject to subregulation (2) of this regulation, the Director shall make available to any person a copy of any entry in the Register upon the request of that person and upon payment of the fee specified in Form B of the Fourth Schedule to these Regulations.

(2) In making an application for a works approval or a waste discharge permit the applicant may, apply in the format set out in Form F of the Fourth Schedule, to the Director not to make any portion of a relevant entry in the Register public.

(3) The Director may only agree not to make any portion of an entry in the Register public if the applicant satisfies the Director that

(a) the relevant portion of the entry would potentially reveal information to a competitor about the applicant's production process which would

(i) not otherwise be available generally or to that competitor; and
(ii) substantially interfere with the applicant's competitive position in the market; and

(c) the potential disadvantage to the applicant clearly outweighs the public's interest in having access to that relevant portion of the entry.

Fourth Schedule - Form F - Application for exemption of information from the public register - See Appendix II, page 354.

Fifth schedule - Information to be contained in the Waste (waste water) Discharge Register - See Appendix II, page 355.

3.2 General Obligations of Permit Holders

In addition to the terms and conditions spelt out in the permit, relevant holders may also be subject, explicitly or by implication, to obligations applicable to all of them or to categories of them. Obligations of this kind are generally found in subsidiary legislation. As to their nature vis-a-vis the obligations recorded in a permit, see the considerations made in Chapter I, sub-chapter 3. As to their contents, they tend to cover the following matters:

Standards of effluent quality

To the extent that one cannot discharge waste or carry on an activity or process without a permit, the holders of such permits are bound by requirements as to the quality of effluents laid down in the legislation for general compliance (See reported example). Subsidiary legislation on these particular standards is presented in sub-chapter 7.4 herebelow.

UGANDA - The Water (Waste Discharge) Regulations, 1998

3. Standards of effluents waste

(1) The standards for treated effluent or waste before discharge into water or on land is as established by the Authority in consultation with the lead agency under section 27 of the National Environment Statute, 1995.

4. Prohibition on the discharge effluent or waste

... (2) A person granted a permit under sub regulation (1) shall

(a) ensure that the effluent or waste discharged conforms to the maximum permissible limits established under regulation 3;

(b) be subject to such other conditions as the Director may specify.

(3) The Director or a person authorised by him or her may issue guidelines on the type of industry or establishment affected and the method of treatment of effluent or waste so as to ensure assimilation by the receiving water or land into which the effluent or waste is discharged.

Changes in the quantity and/or quality of the waste discharged

In view of the critical importance of permitted quantities and/or the nature and composition of discharges, permit holders are generally under an obligation to refrain from effecting changes in either the quantitative or the qualitative specifications stated in a permit. This negative obligation however may be qualified by a requirement that an intended change be cleared in advance with, or expressly consented to by, the permit-granting government authority (I and II).

I - MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

13. (1) The holder of a licence shall not make, or cause to permit to be made, any change to the premises or in the manner of running, using, maintaining or operating the premises or in any operation or process carried on at the premises, which change causes, or is intended or is likely to cause, a material increase in the quantity or quality of effluent or both discharged from the premises, unless prior written approval of the Director-General has been obtained for the change.

(2) For the purposes of paragraph (1), changes to licensed premises include:

(a) any change in the construction, structure or arrangement of the premises or any building serving the premises:

(b) any change in the construction, structure, arrangement, alignment, direction, or condition of any channelling device, system, or facility serving the premises; and

(c) any change of, to, or in any plant, machine, or equipment used or installed at the premises.

II - UGANDA - The Water (Waste Discharge) Regulations, 1998

10. Approval of application

... (4) The holder of a permit under these regulations shall apply to the Director to cancel and re-issue a permit so as to amend the terms of the original permit due to the subsequent changes or modifications in operation which lead to relevant or significant changes in discharges.

(5) The application under subregulation (4) shall be in Form C of the Fourth Schedule to these regulations.

(6) The Director shall consider the applications under subregulation (4) and (5) and such other relevant information and make a decision whether to amend the terms or not.

Fourth schedule - Form C - Application for change in operation or discharge - See Appendix II, page 356.

Dilution of the effluent discharged

Permit holders may be under a general obligation not to dilute the effluent covered by the permit. This negative obligation may be qualified by the requirement that dilution be expressly consented to by the permit-granting government authority, and be undertaken subject to the terms prescribed by it as in the example below.

MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

17. No person shall dilute, or cause or permit to be diluted, any effluent, whether raw or treated at any time or point after it is produced at any premises unless prior written authorization of the Director-General has been obtained for the dilution and the dilution is done according to the terms and conditions of the authorization.

Spills or accidental discharges

In the examples herebelow, general obligations in this regard concern reporting of occurrences to the responsible government authority, containment of the consequences of an accidental discharge, and remedying the effects of it or paying for the cost of government-executed clean-up.

I - MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

18. (1) In the event of the occurrence of any spill or accidental discharge of the substances specified in regulation 8 which either directly or indirectly gains or may gain access into any inland waters, the person or persons responsible for such occurrence shall immediately inform the Director-General of the occurrence.

(2) The person or persons responsible for the occurrence of the spill or accidental discharge referred to in paragraph (1) shall be required, to every reasonable extent, to contain, cleanse or abate the spill or accidental discharge or to recover substances involved in the spill or accidental discharge in a manner satisfactory to the Director-General.

(3) The Director-General shall estimate any damage caused by the spill or accidental discharge and may recover all costs and expenses from the person or persons responsible for the occurrence of the spill or accidental discharge.

II - UGANDA - The Water (Waste Discharge) Regulations, 1998

16. Accidental discharge

(1) The owner or person responsible for the management of an industry or establishment referred to in subregulation (1) of regulation 15 shall, in the case of an accidental discharge, immediately, in any case within the period of twenty-four hours after the accidental discharge, report the matter to the Director using the fastest available means.

(2) The provision of subregulation (I) shall not release the owner or person under subregulation (1) of regulation 5 from taking immediate action to mitigate the damage resulting from the accidental discharge.

(3) Without prejudice to section 67 of the National Environment Statute, 1995, the Authority or a person authorised by the Authority shall establish disaster preparedness measures for accidental discharges.

Monitoring and recording of measurements

Permit holders generally are under an obligation to monitor and to keep records of measurements and data concerning a permitted discharge. These obligations become operational upon an explicit request made by the permit-granting authority to the concerned permit holder (I and II) or by virtue of the direct operation of the law (III).

I - MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

19. A person who discharges effluent into any inland waters or onto any land shall, in connection with such discharge, install such sampling test point or points, inspection chambers, flow-meters, and recording and other apparatuses as the Director-General may, from time to time, require.

II - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

12. (1) A person to whom the Minister's consent has been granted shall:

... (c) if so required by the Minister, erect, in such workmanlike manner as shall satisfy the Minister, works which are required for the sampling and testing of any waste or effluent capable of being discharged by such person;...

15. Where the Minister requires him so to do, an applicant for the Minister's consent or a person to whom the Minister's consent has been granted shall, at no expense to the Minister or the Board, take samples of waste or effluent in the manner which the Minister my prescribe and have such samples analyzed by an analyst recognized by the Minister and furnish the results of such analysis to the Minister.

III - NIGERIA - National Environmental Protection (Pollution Abatement in Industries and Facilities Generating Wastes) Regulations, 1991

2. An industry or a facility shall:

(a) have a pollution monitoring unit within its premises;
(b) have on site a pollution control; or
(c) assign the responsibility for pollution control to a person or body corporate accredited by the Agency.

3. A discharge, including solid, gaseous and liquid waste from any industry or facility shall be analysed and reported to the nearest office of the Agency every month, through a Discharge Monitoring Report.

Construction of works instrumental to the discharge

General obligations in this particular regard, which include the installation of anti-pollution and wastewater treatment facilities, aim at upholding generic or specific standards of workmanship and care (I and II), in addition to providing for administrative requirements, notably in relation to the completion of authorized works (III).

I - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

12. (1) A person to whom the Minister's consent has been granted shall -

... (b) erect, in such workmanlike manner as shall satisfy the Minister, works which are required for the discharge of waste or effluent into any public water, and in this case the works shall be erected in a manner which shall ensure that the effluent does not cause any unnecessary damage or disturbance to the bed, banks or surroundings of such public water nor collect into pools within the vicinity of the works;...

II - UGANDA - The Water (Waste Discharge) Regulations, 1998

15. General obligation to mitigate pollution

(1) Every industry, establishment or holder of a waste discharge permit shall install anti-pollution equipment for the treatment of effluent and waste discharge emanating from the industry.

(2) An installation made under subregulation (1) shall be based on the best practicable means, environmentally sound practice or any guidelines as the Director may determine.

III - CANADA - SASKATCHEWAN - The Water Regulations, 2002

10. Notification to minister of completion by permittee of construction, etc., authorized by permit

On completion of the construction, extension or alteration of the industrial effluent works for which a permit is issued, the permittee shall:

(a) notify the minister in writing of the completion; and

(b) if requested to do so by the minister, supply the minister with plans showing the works as actually constructed, extended or altered.

3.3 Management of Waste Discharge Permits

The conceptual meaning and scope of coverage of this sub-chapter have been illustrated in Chapter I on ALLOCATING WATER FOR USE: WATER RIGHTS AND PERMITS, sub-chapter 4. Subsidiary legislation provides standard formats and procedural and substantive requirements of permit management mechanisms (i.e. suspension, cancellation and variation of permits (II, IV, V and VI); transfer of permits (I, III, and VI). Provisions as to the recording of action taken pursuant to these mechanisms in the registers of waste discharge permits, and as to appeals from action taken by the responsible government department or agency, tend to appear in context with general provisions on the said registers and appeals, respectively (see sub-chapter 3.1, Steps Six and Seven, respectively).

I - AUSTRALIA - NEW SOUTH WALES - Clean Waters Regulations, 1972

Form 7 - Application for Transfer of a Licence - See Appendix II, page 359.

II - IRELAND - Local Government (Water Pollution) Regulations, 1978

13. (1) Where a local authority intends to review a licence it shall:

(a) give notice of such intention to the person making, causing or permitting the discharge to which the licence relates, and

(b) publish notice of such intention in a newspaper circulating in the functional area of the local authority.

(2) Every notice under sub-article (1) shall specify:

(a) the reference number relating to the licence in the register,

(b) the reasons for the review if a period of less than three years has elapsed since the date of the licence or the last review of the licence; and

(c) that representations relating to the review may be made in writing to the local authority within one month of the date of the notice.

14. (1) Where a local authority gives notice under article 13 (1)(a) such notice may also require the person making, causing or permitting the discharge to which the licence relates to submit such plans or other particulars as it considers necessary for the purpose of the review.

(2) A local authority shall make available for public inspection during normal office hours at the offices of the local authority, from the time of receipt of the relevant documents until the review or any appeal relating thereto is determined, any plans and other particulars submitted to the local authority in connection with the review, including any such plans or other particulars submitted in pursuance of sub-article (1).

(3) Where a person fails or refuses to comply with any requirement of a local authority under sub-article (1) within three months the local authority may complete the review.

15. (1) On completion of a review of a licence the local authority shall give notice of its decision to the person making, causing or permitting the discharge to which the licence relates and to any person who submitted representations in writing to the local authority under article 13(2)(c).

(2) A notice by a local authority under sub-article (1) shall include a statement that an appeal under section 8 may be made to the Board by any person within the period prescribed in article 26 and that any such appeal must be accompanied by a deposit of £10 and shall specify:

(a) whether any condition of the licence the subject of the review has been deleted,

(b) whether and in what way any condition of the licence the subject of the review has been amended,

(c) any new conditions attached to the licence, and

(d) the date of the local authority's decision.

III - MALAWI - Water Resources (Water Pollution Control) Regulations, 1978

12. (1) A person to whom the Minister's consent has been granted shall

... (d) not assign the consent to any other person, unless the Minister has first agreed in writing to such assignment;...

IV - CANADA - SASKATCHEWAN - The Water Regulations, 2002

11. Amendment, suspension, cancellation of permits

(1) In this section, "permittee" means a permittee who is governed by a permit issued pursuant to section 9.

(2) A permittee may apply to the minister to cancel, amend or alter the permit.

(3) On receipt of an application pursuant to subsection (2) and if the minister considers it appropriate to do so, the minister may cancel, amend or alter the permit.

(4) The minister may cancel, amend, alter or suspend any permit issued pursuant to section 9, in whole or in part, if:

(a) the permittee fails to comply with any term or condition of the permit or has contravened the Act, these regulations or any order made pursuant to the Act or these regulations;

(b) the permittee makes any false or misleading statement in any application, information, materials or plans supplied pursuant to the Act or these regulations in support of an application for a permit;

(c) the permit was issued as a result of a clerical or administrative error or mistake;

(d) unauthorized changes or alterations are made to the activity or works governed by the permit; or

(e) the minister is satisfied that it is in the public interest to do so.

(5) Subject to subsection (8), before the minister does any of the things mentioned in subsection (4), the minister shall give the permittee:

(a) written notice of the minister’s intention to cancel, amend, alter, or suspend the permit, and the reasons for doing so; and

(b) an opportunity to make written representations to the minister, within 30 days after the written notice mentioned in clause (a) is served, as to why the permit should not be cancelled, amended, altered, or suspended.

(6) The minister is not required to give an oral hearing to any person to whom a notice has been given pursuant to subsection (5).

(7) After receiving the representations mentioned in subsection (5), the minister shall issue a written decision and shall serve the decision on the person who made the representations.

(8) If the minister considers that it is necessary to protect human health or public safety, the minister may immediately cancel, amend, alter or suspend any permit issued pursuant to section 9 without complying with subsection (5) but, if the minister does so, the minister shall give the permittee:

(a) written notice of the minister’s action as soon as is practicable; and

(b) an opportunity to make written representations to the minister, within 30 days after the written notice mentioned in clause (a) is served, requesting the minister to reconsider the decision to cancel, amend, alter or suspend.

(9) The minister is not required to give an oral hearing to any person to whom a notice has been given pursuant to subsection (8).

(10) After receiving the representations mentioned in subsection (8), the minister shall issue a written decision and shall serve the decision on the person who made the representations.

(11) If the minister cancels, amends, alters or suspends a permit issued pursuant to section 9, the minister:

(a) may issue any additional order that the minister considers appropriate requiring any repair, restoration or remediation of the environment; and

(b) in an order mentioned in clause (a), shall specify the period within which the order must be complied with.

(12) No person to whom an order pursuant to subsection (11) is directed shall fail to comply with that order.

V - VIET NAM - Decree No.179/1999 Stipulating the Implementation of the Law on Water Resources

5. The granting of permits to discharge waste water into water sources stipulated in Article 18 of the Law on Water Resource is specified as follows:

... 3. Duration of permits:

... c) The use duration of a permit may be changed in one of the following cases:

- The water source is incapable of taking in waste water;

- The water use demand is on a sharp rise, thus leading to much larger volume of waste water, but no remedial measure has been taken to overcome this situation;

- Other extraordinary circumstances occur, under which the discharge of waste water must be restricted.

4. The withdrawal and suspension of permits:

The withdrawal or suspension of use validity of permits for discharge of waste water into water sources shall be effected in the following cases:

a) Organizations and/or individuals that discharge waste water breach contents stipulated in their permits;

b) Organizations and/or individuals!hat discharge waste water violate the provisions in Clause 2, Article 19 of the Law on Water Resources;

c) Organizations and/or individuals that discharge waste water into water sources are dissolved, transferred or declared bankrupt;

d) Such permits have been granted ultra vires;

e) Such permits have been left unused for 1 year without any plausible reasons;

f) The competent State agencies deem it necessary to withdraw or suspend such pem1its for reasons of national defense or security, or for national or public interests. ...

VI - UGANDA - The Water (Waste Discharge) Regulations, 1998

13. Transfer of waste discharge permit

(1) A person who becomes the owner or occupier of any premises in respect of which a waste discharge permit exists shall continue to discharge waste from the premises in accordance with the conditions and terms spelt out in that waste discharge permit for a period of three months from the date on which that person becomes the owner or occupier of the premises.

(2) After the expiry of the period referred to in subregulation (1) of this regulation the Director shall, upon the notification in the format set out in Form E of the Fourth Schedule by the person referred to in sub regulation (1), grant that person a waste discharge permit on conditions which are not more onerous to the applicant than the conditions attached to the previous waste discharge permit relating to those premises so long as the Director is satisfied that the purposes for which the premises are to be used and the nature of any waste will not change in any material respect.

14. Breach of conditions

(1) The Director may, at any time if any condition attached to a waste discharge permit is not observed, give notice in writing to the holder of the permit requiring the holder to take such action in relation to the waste within such time as the Director may specify in the notice.

(2) Where the holder of a waste discharge permit fails to comply with the notice referred to in sub-regulation (1) of this regulation within the time specified in that notice or such longer time as the Director may allow, the Director may cancel the waste discharge permit and enter the premises to which the waste discharge permit relates and take such action as may be necessary to prevent any further discharge of waste which may come into contact with water directly or indirectly.

Fourth schedule - Form E - Notification of transfer of permit to discharge waste - See Appendix II, page 360.

3.4 Charges for Discharging Waste under a Permit

A charging mechanism can complement a system of permits to discharge waste into water bodies or on or under the ground. Charges - also styled "fees" - leviable under this heading are conceptually and practically distinct from the fees payable upon the filing of applications. These are paid once only, and their rationale is to cover, at least nominally, the administrative costs of processing applications. Charges instead are payable at regular intervals so long as a permit continues, and they can be - but are not necessarily - calculated so as to reflect the basic characteristics of the waste which is discharged, and hence internalize to some extent the external effects generated by the discharge. Flat charges payable at regular intervals are also in use in view of the greater ease of administration required, and can be then differentiated by categories of waste. Charging can also be practised independently of a system of waste discharge permits, as an alternative approach to achieving pollution control goals essentially through a financial mechanism. For the purposes of this book, only charging as a complementary mechanism to a system of waste discharge permits is considered.

While the principle of charging in respect of permits or other instruments should find its proper place in principal legislation, operational details ranging from the level and categories of flat charges (I), and from criteria to calculate the level of variable charges (II, III and VI), to pinpointing the circumstances under which charges can be waived (IV) or abated (V), are found in subsidiary legislation.

I - CAYMAN ISLANDS - Water Authority Regulations, 1985

16.... (4) Upon the filing of an application for a permit under this Part of the regulation, or of an application for the renewal of the said permit, and annually thereafter so long as the permit having validity for more than one year in accordance with sub-section (1) of this regulation continues in force, there shall be payable to the Authority the fee prescribed in Schedule 2 to these regulations.

Schedule 2 - Fees and Charges

2. Fees for Discharge Permits

(a) Discharge permits for a hotel or condominium group $100 per annum.

(b) Discharge permit for a business or commercial enterprise considered a high consumer of water $100 per annum.

(c) Discharge permit for a business or commercial enterprise considered a low consumer of water $20 per annum.

(d) Discharge permit for individual household $10 per annum.

(e) Discharge permit for apartment buildings not registered as condominium group $10 per apartment per annum.

(f) Discharge permit for any trade waste $150 per annum.

(g) Renewal of permits: there shall apply the annual fees specified in this section.

II - AUSTRALIA - NEW SOUTH WALES - Clean Waters Regulations, 1972

14. (1) For the purposes of section 20(1) of the Act the prescribed fee is:

(a) in the case of a common drain: $40;

(b) in the case of an overflow drain: $50;

(c) in any other case, where the maximum quantity of pollutants which are or are likely to be discharged on any day is:

(i) not more than 250 cubic metres: $50;
(ii) more than 250 cubic metres but not more than 500 cubic metres: $100;
(iii) more than 500 cubic metres but not more than 1,000 cubic metres: $175;
(iv) more than 1 000 cubic metres but not more than 2 250 cubic metres: $250;
(v) more than 2 250 cubic metres but not more than 4 500 cubic metres: $400;
(vi) more than 4 500 cubic metres but not more than 9 000 cubic metres: $700;
(vii) more than 9 000 cubic metres but not more than 12 000 cubic metres: $850; or
(viii) more than 12 000 cubic metres: $1000....

III - MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

22. (1) The fee for a licence, including the renewal of a licence, is $100.00 plus an effluent-related amount computed according to the method prescribed in the Seventh Schedule....

Seventh Schedule - Method of Computing Effluent-related Licence Fee - See Appendix II, page 362.

IV - MALAYSIA - Environmental Quality (Sewage and Industrial Effluents) Regulations, 1979

23. (1) If the Director-General is satisfied that research on effluent disposal or treatment of a kind or scale that is likely to benefit the cause of environmental protection is being or is to be carried out at any licensed premises, he may, with the approval of the Minister, wholly or partly waive any effluent-related amount payable by virtue or regulation 22(3).

(2) In deciding on the extent of waiver, the Director-General shall be guided:

(a) by a consideration of how much of the amount of effluent discharged or to be discharged is involved in the research; or

(b) by a consideration of the physical and chemical characteristics of the effluent discharged or to be discharged.

V - VIET NAM - Decree No.179/1999 Stipulating the Implementation of the Law on Water Resources

6. The payment of permit-granting fee, fee for discharge of waste water into water sources and fee for water source pollution prevention and combat stipulated in Article 7 and Point b, Clause 2, Article 19 of the Law on Water Resource is specified as follows:

... (4) Production and/or business organizations and individuals that discharge waste water into public water drainage systems of cities, urban areas or densely populated areas shall have to pay waste water discharge fee. In cases where such organizations and individuals apply advanced scientific and technological measures to minimize the discharged water volume or to improve the waste water treatment as compared with the prescribed standards, they shall be considered for exemption or reduction of waste water discharge fee; ...

VI - UGANDA - The Water (Waste Discharge) Regulations, 1998

18. Waste discharge fees

(1) The holder of a waste discharge permit shall pay an annual waste discharge fee.

(2) The fee referred to in sub-regulation (1) of this regulation shall be fixed having regard to

(a) the volume, characteristics and components of waste to be discharged;

(b) the principle that the true and total costs of environmental pollution should be borne by the polluter; and

(c) the principles set out in Form B of the Fourth Schedule to these regulations.

Fourth schedule - Form B - Application fees and waste discharge fees - See Appendix II, page 347.

3.5 Dealing with "Existing" Discharges or Processes

When permit or similar requirements are introduced for the first time, or when important changes are introduced to an established system of permit requirements, it is standard practice for the relevant legislation to provide relief to waste discharging operations or to activities and processes lawfully in progress at the time the new or changed requirements come into operation. The rationale of this special treatment is essentially one of fairness to activities being carried out in compliance with the law in effect prior to the changes brought about by subsequent legislation. Protection of these so-called "existing discharges" or processes may vary from the automatic grant, on application, of a prescribed permit, subject to varying qualifications (I and II), to exemptions from procedural requirements in connection with applications for a waste discharge permit (III).

I - CAYMAN ISLANDS - Water Authority Regulations, 1985

42. (1) All discharges of sewage effluent, trade effluent, or other wastes into or onto the ground, into ground water, or into the territorial, and any quarrying operations, which are in progress on the effective date of these regulations (hereinafter referred to as "existing discharges" or "existing Authority in the form issued by and obtainable from the Authority. Failure of the waste discharge or quarry operator to comply with the provisions of this sub-section within the date therein indicated will result in the forfeiting of his entitlement under sub-section (3) of this regulation.

(2) All applications for the registration of existing discharges or of existing quarries shall be accompanied by the appropriate registration fee prescribed in Schedule 2 to these regulations. No application under this sub-section shall be entertained by the Authority until payment of the prescribed fee has been effected.

(3) Upon receipt of an application under this regulation, the Authority shall issue to the applicant a waste discharge permit or quarry permit, as the case may be, and shall cause an entry to that effect to be made in the Register of Waste Discharge Permits or in the Register of Quarry Permits, as the case may be.

(4) All permits granted in pursuance of this regulation shall be in the form prescribed for new permits under regulation 14 of these regulations, and shall be subject to the provisions of regulations 16, 17, 19, 20 and 21[21], of these regulations, and to such reasonable terms and conditions as the Authority think fit under the circumstances.

Provided that the application of the provisions of regulations 19 and 20 of these regulations in relation to a waste discharge permit under this regulation shall be graduated by the Authority so as not to place an unreasonable burden on an existing discharge.

(5) There shall be payable to the Authority annually after the grant of a permit under this regulation, so long as such permit continues in force, the fee prescribed for new permits under regulation 16 of these regulations.

II - NEW ZEALAND - Waters Pollution Regulations, 1963

12.... (3) Where an application for a permit relates to an outfall from which pollutants are already being discharged, the Council, in its absolute discretion, may grant a temporary permit authorising the continuation of the discharge subject to such terms and conditions (if any) as may be prescribed in the temporary permit. Any such temporary permit shall cease to have effect when the application is finally dealt with by the Council under subclause (1) hereof.

III - IRELAND - Local Government (Water Pollution) Regulations, 1978

5.... (3) Sub-article (1) shall not apply to a licence application made before the 1st day of October, 1978 in respect of:

(a) an existing discharge, or

(b) a discharge from a development for which a permission (other than outline permission) or an approval consequent on an outline permission has been granted under the Local Government (Planning and Development) Acts, 1963 and 1976 during the period of five years prior to the 1st day of October, 1978.

7.... (2) A licence application for an existing discharge shall be accompanied by a statement that it is such a discharge in addition to the information specified in sub-article (1)[22]....


[11] Presidential Decree No. 1067 of 31 December 1976 (Water Code).
[12] Omitted. The Schedule contains detailed lists of "Processes", arranged in six chapters on, respectively, Production of Fuel and Power and Associated Processes (chapter 1); Metal Production and Processes (chapter 2); Mineral Industries (chapter 3); the Chemical Industry (chapter 4); Waste Disposal and Recycling (chapter 5); and Other Industries (chapter 6). In each chapter, processes are grouped under two separate headings styled Part A and Part B, respectively. A statutory definition of "process" is given in section 1(5) of the Environmental Protection Act 1990, as follows: "(5) "Process" means any activities carried on in Great Britain, whether on premises or by means of mobile plant, which are capable of causing pollution of the environment and "prescribed process" means a process prescribed under section 2(1) below."
[13] Omitted. The Schedule lists twenty-three "Prescribed Substances".
[14] See Appendix II, page 345.
[15] Omitted.
[16] See Appendix II, page 345.
[17] Permit required to discharge wastes into water.
[18] See this sub-chapter, Step Two - Filing of applications, Circumstances under which a permit is required, example II.
[19] See Appendix II, page 341.
[20] Omitted.
[21] Concerning: duration and renewal of permits (16); suspension, variation or revocation of permit (17); domestic effluent consent conditions (19); trade or commercial effluent consent conditions (20); and testing of effluents discharged under a permit (21).
[22] See sub-chapter 3.1 above, Step Two - Filing of applications, Supporting documents and evidence, example III.

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