Communication from the Commission — European Commission Guidance concerning baseline reports under Article 22(2) of Directive 2010/75/EU on industrial emissions
Date: 2014-05-06
Institutions: European Commission
Subjects: dangerous substance, industrial building, industrial pollution, pollution control, soil pollution, water pollution

6.5.2014

EN

Official Journal of the European Union

C 136/3

COMMUNICATION   FROM   THE   COMMISSION

European   Commission   Guidance   concerning   baseline   reports   under   Article   22(2)   of 
Directive   2010/75/EU   on   industrial   emissions

(2014/C   136/03)

CONTENTS

1.

2.

3.

4.

Introduction     . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Objective   of   this   guidance     . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Scope   of   this   guidance    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Legal   provisions   concerning   a   baseline   report    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

4.1. Relevant   text   in   the   IED     . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

4.2. Key   words   and   phrases   used   in   the   IED    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

4.3.

Landfill   Directive    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

5.

Stages   in   producing   a   baseline   report    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

5.1.

Stage   1:   Identifying   the   hazardous   substances   that   are   currently   used,   produced   or   released   at   the   installation    

. . . . 9

5.2.

Stage   2:   Identifying   the   relevant   hazardous   substances    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

5.3.

Stage   3:   Assessment   of   the   site-specific   pollution   possibility    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

5.4.

Stage   4:   Site   history     . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

5.5.

Stage   5:   Environmental   setting     . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

5.6.

Stage   6:   Site   characterisation    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

5.7.

Stage   7:   Site   investigation     . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

5.8.

Stage   8:   Production   of   the   baseline   report     . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Appendix   –   baseline   investigation   and   report   checklist    

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

1. INTRODUCTION

Article   22(1)   of   Directive   2010/75/EU   on   industrial   emissions   (IED)   provides   that,  
‘Without   prejudice   to 
Directive   2000/60/EC,   Directive   2004/35/EC,   Directive   2006/118/EC   of   the   European   Parliament   and   of   the 
Council   of   12   December   2006   on   the   protection   of   groundwater   against   pollution   and   deterioration (1)   and   to 
relevant   Union   law   on   soil   protection,   the   competent   authority   shall   set   permit   conditions   to   ensure   compliance 
with   paragraphs   3   and   4   of   this   Article   upon   definitive   cessation   of   activities’.

Article   22,   paragraphs   2   to   4,   contains   provisions   for   the   definitive   cessation   of   activities   involving   the   use, 
production   or   release   of   relevant   hazardous   substances   in   order   to   prevent   and   tackle   potential   soil   and   ground­
water   contamination   from   such   substances.   A   key   tool   in   this   respect   is   the   establishment   of   a   ‘baseline   report’. 
Where   an   activity   involves   the   use,   production   or   release   of   relevant   hazardous   substances   and   having   regard   to 
the   possibility   of   soil   and   groundwater   contamination,   a   baseline   report   is   to   be   drawn   up   before   starting   the 
operation   of   the   installation   or   before   a   permit   for   the   installation   is   updated   for   the   first   time   after   7   January 
2013.   The   report   will   form   the   basis   for   a   comparison   with   the   state   of   contamination   upon   definitive   cessa­
tion   of   activities.   Where   information   produced   pursuant   to   other   national   or   Union   law   reflects   the   state   at   the 
time   the   report   is   drawn   up,   that   information   may   be   included   in,   or   attached   to,   the   baseline   report.

Article   3(19)   of   the   IED   clarifies   that   the   baseline   report   needs   to   provide   information   on   the   state   of   soil   and 
groundwater   contamination   by   relevant   hazardous   substances.

(1) OJ L 372, 27.12.2006, p. 19.

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Article   22(2)   specifies   that   a   baseline   report   should   contain   at   least   the   following   information:

‘(a)

information   on   the   present   use   and,   where   available,   on   past   uses   of   the   site;   and

(b) where   available,   existing   information   on   soil   and   groundwater   measurements   that   reflect   the   state   at 
the   time   the   report   is   drawn   up   or,   alternatively,   new   soil   and   groundwater   measurements   having 
regard   to   the   possibility   of   soil   and   groundwater   contamination   by   those   hazardous   substances   to   be 
used,   produced   or   released   by   the   installation   concerned.’

According   to   the   last   subparagraph   of   Article   22(2)   of   the   IED,   ‘the   Commission   shall   establish   guidance   on   the 
content   of   the   baseline   report.’

That   guidance   is   established   in   the   present   Communication,   for   the   Member   States   to   use   in   the   course   of   IED 
implementation.   Likewise,   the   Commission   will   use   it   when   assessing   the   information   related   to   the   baseline 
report   in   Member   States’   reports   on   the   implementation   of   the   IED.

It   is   considered   that   this   guidance   can   generally   be   applied   to   all   installations   falling   within   the   scope   of 
Chapter   II   of   the   IED.   However,   it   is   important   when   deciding   on   the   course   of   action   for   developing   a   base­
line   report   at   the   installation   level   that   consideration   is   given   to   the   need   for   such   a   report   to   be   as   compre­
hensive   as   possible.   It   is   in   the   operator’s   interest   to   ensure   that   the   state   of   contamination   of   soil   and   ground­
water   identified   in   the   baseline   report   is   sufficiently   detailed   as   this   information   will   be   used   to   determine 
which   contamination   has   been   added   in   the   course   of   the   operation   of   the   installation   concerned   since   the 
baseline   has   been   established.

2. OBJECTIVE   OF   THIS   GUIDANCE

This   guidance   aims   to   clarify   in   a   practical   manner   the   wording   and   intent   of   the   IED   so   that   Member   States 
implement   it   in   a   consistent   manner.   However,   it   is   not   a   legally   binding   interpretation   of   the   IED.   The   only 
legally   binding   text   remains   that   of   the   IED   itself.   Furthermore,   an   official   interpretation   of   the   IED   can   only   be 
given   by   the   European   Court   of   Justice.

This   guidance   provides   information   on   the   legal   provisions   concerning   a   baseline   report   and   covers   the 
following   elements   of   Article   22   of   the   IED   that   should   be   addressed   in   the   baseline   report:

3. SCOPE   OF   THIS   GUIDANCE

(i) Determining   whether   a   baseline   report   is   required   to   be   produced;

(ii) Designing   baseline   investigations;

(iii) Designing   a   sampling   strategy;

(iv) Developing   the   baseline   report.

This   guidance   does   not   cover   those   elements   of   Article   22   concerning   actions   required   at   the   definitive   cessa­
tion   of   activities   as   described   in   Article   22(3)   and   (4).

4.1. Relevant   text   in   the   IED

4. PROVISIONS   REFERRING   TO   A   BASELINE   REPORT

The   following   key   elements   from   the   text   of   the   IED   are   of   relevance   in   relation   to   baseline   reports.

Article   3   –   Definitions

(2)
‘pollution’   means   the   direct   or   indirect   introduction,   as   a   result   of   human   activity,   of   substances,   vibra­
tions,   heat   or   noise   into   air,   water   or   land   which   may   be   harmful   to   human   health   or   the   quality   of   the 
environment,   result   in   damage   to   material   property,   or   impair   or   interfere   with   amenities   and   other   legitimate 
uses   of   the   environment;

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‘installation’   means   a   stationary   technical   unit   within   which   one   or   more   activities   listed   in   Annex   I   or   in 
(3)
Part   1   of   Annex   VII   are   carried   out,   and   any   other   directly   associated   activities   on   the   same   site   which   have   a 
technical   connection   with   the   activities   listed   in   those   Annexes   and   which   could   have   an   effect   on   emissions 
and   pollution;

‘hazardous   substances’   means   substances   or   mixtures   as   defined  

(18)
(EC) 
No   1272/2008   of   the   European   Parliament   and   of   the   Council   of   16   December   2008   on   classification,   labelling 
and   packaging   of   substances   and   mixtures;

in   Article   3   of   Regulation  

‘baseline   report’   means   information   on   the   state   of   soil   and   groundwater   contamination   by   relevant 

(19)
hazardous   substances;

‘groundwater’   means   groundwater   as   defined   in   point   2   of   Article   2   of   Directive   2000/60/EC   of   the   Euro­
(20)
pean   Parliament   and   of   the   Council   of   23   October   2000   establishing   a   framework   for   Community   action   in 
the   field   of   water   policy;

‘soil’   means   the   top   layer   of   the   Earth’s   crust   situated   between   the   bedrock   and   the   surface.   The   soil   is 

(21)
composed   of   mineral   particles,   organic   matter,   water,   air   and   living   organisms.

Article   12   –   Applications   for   permits

(1) Member   States   shall   take   the   necessary   measures   to   ensure   that   an   application   for   a   permit   includes   a 
description   of   the   following:

(d) the   conditions   of   the   site   of   the   installation;

(e) where   applicable,   a   baseline   report   in   accordance   with   Article   22(2).

Article   22   –   Site   closure

(2) Where   the   activity   involves   the   use,   production   or   release   of   relevant   hazardous   substances   and   having 
regard   to   the   possibility   of   soil   and   groundwater   contamination   at   the   site   of   the   installation,   the   operator   shall 
prepare   and   submit   to   the   competent   authority   a   baseline   report   before   starting   operation   of   an   installation   or 
before   a   permit   for   an   installation   is   updated   for   the   first   time   after   7   January   2013.

The   baseline   report   shall   contain   the   information   necessary   to   determine   the   state   of   soil   and   groundwater 
contamination   so   as   to   make   a   quantified   comparison   with   the   state   upon   definitive   cessation   of   activities.

The   baseline   report   shall   contain   at   least   the   following   information:

(a)

information   on   the   present   use   and,   where   available,   on   past   uses   of   the   site;

(b) where   available,   existing   information   on   soil   and   groundwater   measurements   that   reflect   the   state   at   the 
time   the   report   is   drawn   up   or,   alternatively,   new   soil   and   groundwater   measurements   having   regard   to   the 
possibility   of   soil   and   groundwater   contamination   by   those   hazardous   substances   to   be   used,   produced   or 
released   by   the   installation   concerned.

Where   information   produced   pursuant   to   other   national   or   Union   law   fulfils   the   requirements   of   this   paragraph 
that   information   may   be   included   in,   or   attached   to,   the   submitted   baseline   report.

The   Commission   shall   establish   guidance   on   the   content   of   the   baseline   report.

(3) Upon   definitive   cessation   of   the   activities,   the   operator   shall   assess   the   state   of   soil   and   groundwater 
contamination   by   relevant   hazardous   substances   used,   produced   or   released   by   the   installation.   Where   the   instal­
lation   has   caused   significant   pollution   of   soil   or   groundwater   by   relevant   hazardous   substances   compared   to   the 
state   established   in   the   baseline   report   referred   to   in   paragraph   2,   the   operator   shall   take   the   necessary   meas­
ures   to   address   that   pollution   so   as   to   return   the   site   to   that   state.   For   that   purpose,   the   technical   feasibility   of 
such   measures   may   be   taken   into   account.

Without   prejudice   to   the   first   subparagraph,   upon   definitive   cessation   of   the   activities,   and   where   the   contami­
nation   of   soil   and   groundwater   at   the   site   poses   a   significant   risk   to   human   health   or   the   environment   as   a 
result   of   the   permitted   activities   carried   out   by   the   operator   before   the   permit   for   the   installation   is   updated 
for   the   first   time   after   7   January   2013   and   taking   into   account   the   conditions   of   the   site   of   the   installation 
established   in   accordance   with   Article   12(1)(d),   the   operator   shall   take   the   necessary   actions   aimed   at   the 
removal,   control,   containment   or   reduction   of   relevant   hazardous   substances,   so   that   the   site,   taking   into 
account   its   current   or   approved   future   use,   ceases   to   pose   such   a   risk.

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(4) Where   the   operator   is   not   required   to   prepare   a   baseline   report   referred   to   in   paragraph   2,   the   operator 
shall,   upon   definitive   cessation   of   the   activities,   take   the   necessary   actions   aimed   at   the   removal,   control, 
containment   or   reduction   of   relevant   hazardous   substances,   so   that   the   site,   taking   into   account   its   current   or 
approved   future   use,   ceases   to   pose   any   significant   risk   to   human   health   or   the   environment   due   to   the 
contamination   of   soil   and   groundwater   as   a   result   of   the   permitted   activities   and   taking   into   account   the   condi­
tions   of   the   site   of   the   installation   established   in   accordance   with   Article   12(1)(d).

4.2. Key   words   and   phrases   used   in   the   IED

For   the   purpose   of   this   guidance   the   following   clarifications   are   provided   to   enhance   understanding   of   the 
following   terms   used   in   the   context   of   the   IED.

‘Relevant   hazardous   substances’   (Article   3(18)   and   Article   22(2),   first   subparagraph)   are   those   substances   or 
mixtures   defined   within   Article   3   of   Regulation   (EC)   No   1272/2008   on   the   classification,   labelling   and   pack­
aging   of   substances   and   mixtures   (CLP   Regulation)   which,   as   a   result   of   their   hazardousness,   mobility,   persis­
tence   and   biodegradability   (as   well   as   other   characteristics),   are   capable   of   contaminating   soil   or   groundwater 
and   are   used,   produced   and/or   released   by   the   installation.

‘The   possibility   of   soil   and   groundwater   contamination   at   the   site   of   the   installation’   (Article   22(2),   first 
subparagraph)   covers   a   number   of   important   elements.   Firstly,   due   consideration   should   be   given   in   a   baseline 
report   to   the   quantities   of   hazardous   substances   concerned   –   where   very   small   quantities   are   used,   produced   or 
released   on   the   site   of   the   installation   then   the   possibility   of   contamination   is   likely   to   be   insignificant   for   the 
purpose   of   producing   a   baseline   report.   Secondly,   baseline   reports   must   consider   the   soil   and   groundwater   char­
acteristics   of   the   site   and   the   impact   of   those   characteristics   on   the   possibility   of   soil   and   groundwater   contam­
ination   taking   place.   Thirdly,   for   existing   installations,   their   characteristics   may   be   considered   where   they   are 
such   that   it   is   impossible   in   practice   that   contamination   can   take   place.

The   term   ‘contamination’   is   understood   as   being   interchangeable   with   the   term   ‘pollution’   as   defined   in 
Article   3(2)   of   the   IED.

‘Quantified   comparison’   (Article   22(2),   second   subparagraph)   requires   the   ability   for   both   the   extent   and 
degree   of   contamination   to   be   compared   between   a   baseline   report   and   that   at   the   time   of   the   definitive   cessa­
tion   of   activities.   Solely   qualitative   comparisons   are   therefore   excluded   by   the   use   of   this   term   in   Article   22(2). 
It   is   in   the   operator’s   interest   to   ensure   that   quantification   is   sufficiently   accurate   and   precise   to   enable   a   mean­
ingful   comparison   at   the   definitive   cessation   of   activities.

The   ‘information   necessary   to   determine   the   state   of   soil   and   groundwater   contamination’   (Article   22(2), 
second   subparagraph)   is   understood   as   including   at   least   the   following   two   elements:

— Information   on   the   present   use   and,   where   available,   on   past   uses   of   the   site.   In   the   context   of   this 
requirement,   the   term   ‘where   available’   should   be   understood   as   being   accessible   to   the   operator   of   the 
installation   whilst   having   regard   to   the   reliability   of   such   information   on   past   uses.

— Information   on   the   concentrations   in   the   soil   and   groundwater   of   those   relevant   hazardous   substances   that 
will   be   used,   produced   or   released   by   the   installation.   Where   known   future   developments   at   the   site   at   the 
time   the   report   is   drawn   up   may   result   in   additional   hazardous   substances   being   used,   produced   or   released, 
it   is   advisable   to   include   information   on   the   concentrations   in   the   soil   and   groundwater   of   those   relevant 
hazardous   substances   as   well.   Where   such   information   does   not   already   exist,   new   measurements   should   be 
taken   where   there   is   a   possibility   of   soil   and   groundwater   contamination   by   those   hazardous   substances   to 
be   used,   produced   or   released   by   the   installation   (see   also   above   on   the   meaning   of   ‘Quantified’).

4.3.

Landfill   Directive

Landfills   represent   a   particular   type   of   activity   under   the   IED   (Annex   I,   activity   5.4)   as   they   are   also   covered 
by   Council   Directive   1999/31/EC   on   the   landfill   of   waste   (Landfill   Directive).   Article   1(2)   of   the   Landfill   Direc­
tive   makes   clear   that   for   those   landfills   that   are   subject   to   the   IPPC   Directive   (2008/1/EC),   the   relevant   technical 
requirements   are   contained   within   the   Landfill   Directive   and   that   the   relevant   technical   requirements   of   the   IPPC 
Directive   are   fulfilled   when   the   Landfill   Directive   is   complied   with.

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As   the   provisions   of   Article   22   of   the   IED   were   not   included   under   the   former   IPPC   Directive,   it   cannot   be 
concluded   that   in   case   of   landfills   no   baseline   report   would   be   required.   The   provisions   of   the   Landfill   Direc­
tive,   in   particular   point   3   of   its   Annex   I   (general   requirements   concerning   the   protection   of   soil   and   ground­
water)   should   ensure   that   no   hazardous   materials   enter   into   the   soil   and   groundwater.   Furthermore,   the   Landfill 
Directive   contains   several   useful   elements   for   drawing   up   a   baseline   report,   which   should   be   complemented   on 
a   case-by-case   basis.   For   the   quantification   of   the   soil   and   groundwater   status,   particular   procedures   and 
methods   may   be   necessary   to   take   account   of   the   particular   features   of   a   landfill   (lining).   In   case   other   directly 
associated   activities   take   place   on   the   site   of   a   landfill,   these   may   require   by   themselves   that   a   baseline   report 
has   to   be   produced.

5. STAGES   IN   PRODUCING   A   BASELINE   REPORT

A   number   of   key   tasks   should   be   undertaken   to   both   determine   whether   a   baseline   report   needs   to   be 
produced   for   a   particular   situation   and   in   order   to   produce   the   baseline   report   itself.

Eight   stages   have   been   identified   in   this   process,   covering   the   following   main   elements:

Stages   1-3:   to   decide   whether   a   baseline   report   is   required;

Stages   4-7:   to   determine   how   a   baseline   report   has   to   be   prepared;

Stage   8:   to   determine   the   content   of   the   report.

Where   during   stages   1-3   it   is   demonstrated   on   the   basis   of   the   available   information   that   a   baseline   report   is 
not   required,   there   is   no   need   to   progress   to   the   later   stages.   A   record   of   such   a   demonstration   should   be 
made   and   held   by   the   competent   authority,   including   the   reasons   for   such   a   decision.

It   may   be   that   an   installation   that   is   not   required   to   produce   a   baseline   report   would   make   changes   to   the 
activities   on   site   in   the   future   such   that   a   baseline   report   will   be   required,   for   example   when   hazardous 
substances   are   proposed   to   be   included   in   a   new   process   for   the   first   time.   In   that   case,   the   need   to   produce 
a   baseline   report   in   connection   with   the   update   of   the   permit   shall   be   reassessed   in   line   with   this   guidance.

Where   possible,   use   should   be   made   of   existing   information   for   completing   stages   1   to   5.

In   some   cases,   information   supplied   in   accordance   with   the   requirements   of   Directive   2011/92/EU   on   the 
assessment   of   the   effects   of   certain   public   and   private   projects   on   the   environment   may   be   usefully   used   to 
inform   elements   of   the   baseline   report.

Also,   the   following   sources   of   information   might   be   of   relevance   for   drawing   up   the   baseline   report:

— information   gathered   in   the   context   of   Directive   2012/18/EU   of   the   European   Parliament   and   of   the   Council 
of   4   July   2012   on   the   control   of   major-accident   hazards   involving   dangerous   substances   (Seveso   III   Direc­
tive),   in   particular   in   relation   to   stage   4;

— information   included   in   the   BAT   reference   documents,   especially   the   one   on   Emissions   from   Storage,   in 

particular   in   relation   to   stages   6   and   7.

However,   where   this   is   not   possible   new   information   should   be   collected.

Whilst   the   stages   are   numbered   1-8   for   ease   of   reference,   it   is   possible   for   the   stages   to   be   undertaken 
in   a   different   order   or   simultaneously.

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Table   5.1

Main   stages   of   preparing   the   baseline   report

Stage

Activity

Objective

1.

2.

3.

Identify   which   hazardous   substances   are   used,   produced 
or   released   at   the   installation   and   produce   a   list   of 
these   hazardous   substances.

hazardous 
Determine   whether  
substances   are   used,   produced   or   released   in 
view   of   deciding   on   the   need   to   prepare   and 
submit   a   baseline   report.

not  

or  

Identify   which   of   the   hazardous   substances   from   Stage 
1   are   ‘relevant   hazardous   substances’   (see   Section   4.2).

Discard   those   hazardous   substances   that   are   incapable 
of   contaminating   soil   or   groundwater.  
Justify   and 
record   the   decisions   taken   to   exclude   certain   hazardous 
substances.

To   restrict   further   consideration   to   only   the 
relevant   hazardous   substances  
in   view   of 
deciding   on   the   need   to   prepare   and   submit   a 
baseline   report.

To   identify   which   of   the   relevant   hazardous 
substances   represent   a   potential   pollution   risk 
at   the   site   based   on   the   likelihood   of   releases 
of   such   substances   occurring.

For  
these   substances,  
included   in   the   baseline   report.

information   must   be 

For   each   relevant   hazardous   substance   brought   forward 
from   Stage   2,   identify   the   actual   possibility   for   soil   or 
groundwater   contamination   at   the   site   of   the   installa­
tion,   including   the   probability   of   releases   and   their 
consequences,   and   taking   particular   account   of:

— the   quantities   of   each   hazardous   substance   or 
groups   of   similar   hazardous   substances   concerned;

— how   and   where   hazardous   substances   are   stored, 
used   and   to   be   transported   around   the   installation;

— where   they   pose   a   risk   to   be   released;

— In   case   of   existing   installations   also   the   measures 
that   have   been   adopted   to   ensure   that   it   is   impos­
sible  
in   practice   that   contamination   of   soil   or 
groundwater   takes   place.

Identify   potential   sources   which   may   have 
resulted   in   the   hazardous   substances   identified 
in   Stage   3   being   already   present   on   the   site 
of   the   installation.

4.

Provide   a   site   history.   Consider   available   data   and 
information:

— In   relation   to   the   present   use   of   the   site,   and   on 
emissions   of   hazardous   substances   which   have 
occurred   and   which   may   give   rise   to   pollution.   In 
particular,   consider   accidents   or   incidents,   drips   or 
spills   from   routine   operations,   changes   in   opera­
tional   practice,  
the 
hazardous   substances   used.

surfacing,   changes  

site  

in  

— Previous   uses   of   the   site   that   may   have   resulted   in 
the   release   of   hazardous   substances,   be   they   the 
same   as   those   used,   produced   or   released   by   the 
existing   installation,   or   different   ones.

Review   of   previous   investigation   reports   may   assist   in 
compiling   this   data.

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Stage

Activity

Objective

5.

Identify   the   site’s   environmental   setting   including:

— Topography;

— Geology;

— Direction   of   groundwater   flow;

— Other   potential   migration   pathways   such   as   drains 

and   service   channels;

— Environmental  

aspects  

(e.g.   particular   habitats, 

species,   protected   areas   etc.);   and

— Surrounding   land   use.

Use   the   results   of   Stages   3   to   5   to   describe   the   site, 
in   particular   demonstrating   the   location,   type,   extent 
and   quantity   of   historic   pollution   and   potential   future 
emissions   sources   noting   the   strata   and   groundwater 
likely   to   be   affected   by   those   emissions   –   making   links 
between   sources   of   emissions,   the   pathways   by   which 
pollution   may   move   and   the   receptors   likely   to   be 
affected.

soil  

If   there   is   sufficient   information   to   quantify   the   state 
relevant 
and   groundwater   pollution   by  
of  
hazardous   substances   on   the   basis   of   Stages   (1)   to   (6) 
then   go   directly   to   Stage   8.   If   insufficient   information 
exists   then   intrusive   investigation   of   the   site   will   be 
information.   The 
required  
details   of   such   investigation   should   be   clarified   with 
the   competent   authority.

in   order   to   gather   such  

6.

7.

8.

Determine   where   hazardous   substances   may   go 
if   released   and   where   to   look   for   them.   Also 
identify   the   environmental   media   and   receptors 
that   are   potentially   at   risk   and   where   there 
are   other   activities   in   the   area   which   release 
the   same   hazardous   substances   and   may   cause 
them   to   migrate   onto   the   site.

location,   nature   and   extent   of 
Identify   the  
existing   pollution   on   the   site   and   to   determine 
which  
strata   and   groundwater   might   be 
affected   by   such   pollution.   Compare   with 
potential   future   emissions   to   see   if   areas   are 
coincident.

Collect   additional   information   as   necessary   to 
allow   a   quantified   assessment   of   soil   and 
groundwater   pollution   by   relevant   hazardous 
substances.

Produce   a   baseline   report   for   the   installation   that   quan­
tifies   the   state   of   soil   and   groundwater   pollution   by 
relevant   hazardous   substances.

Provide   a   baseline   report   in   line   with   the   IED.

Each   of   the   8   stages   is   explained   in   further   detail   below.

5.1.

Stage   1:   Identifying   the   hazardous   substances   that   are   currently   used,   produced   or   released   at   the 
installation

Produce   a   list   of   all   hazardous   substances   dealt   with   inside   the   installation   boundary   (either   as   raw   materials, 
products,   intermediaries,   by-products,   emissions   or   wastes).   This   should   include   all   hazardous   substances   associ­
ated   with   both   the   IED   Annex   I   activities   and   directly   associated   activities   which   have   a   technical   connection   to 
the   activities   carried   out   and   which   could   have   an   effect   on   soil   or   groundwater   pollution.

Where   hazardous   substances   are   listed   under   trade   names   the   chemical   constituents   should   also   be   identified. 
For   mixtures   or   compounds   the   relative   proportion   of   the   largest   constituent   chemicals   should   be   identified.

5.2.

Stage   2:   Identifying   the   relevant   hazardous   substances

From   the   list   produced   in   Stage   1,   determine   the   potential   pollution   risk   of   each   hazardous   substance   by 
considering   its   chemical   and   physical   properties   such   as:   composition,   physical   state   (solid,   liquid,   and   gas), 
solubility,   toxicity,   mobility,   persistence,   etc.   This   information   should   be   used   to   determine   whether   or   not   the 
substance   has   the   potential   to   cause   pollution   of   soil   and   groundwater.   The   data,   together   with   the   rationale 
used   to   interpret   it,   should   be   presented   so   it   is   clear   in   the   baseline   report   why   substances   have   been 
excluded   or   included.

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Where   a   group   of   substances   display   similar   characteristics   they   may   be   considered   together   provided   that   justi­
fication   for   the   grouping   is   given.

Sources   of   information   may   include   the   classification   and   labelling   inventory   which   contains   classification   and 
labelling   information   on   substances   notified   under   Regulation   (EC)   No   1272/2008   (the   CLP   Regulation)   and 
chemical   information   on   substances   registered   under   Regulation   (EC)   No   1907/2006   (the   REACH   Regulation). 
Other   sources   of   information   can   also   include   the   risk   assessment   reports   for   141   chemicals   under   Council 
Regulation   (EEC)   No   793/93   (Existing   Substances   Regulation).   All   these   sources   can   be   found   on   the   ECHA 
website (1).

Where   it   is   clear   that   the   hazardous   substances   used,   produced   or   released   at   the   installation   are   incapable   of 
causing   contamination   of   soil   and   groundwater   a   baseline   report   does   not   need   to   be   produced.

The   identified   relevant   hazardous   substances   should   be   taken   forward   to   Stage   3   for   further   consideration.

5.3.

Stage   3:   Assessment   of   the   site-specific   pollution   possibility

Each   substance   brought   forward   from   Stage   2   should   be   considered   in   the   context   of   the   site   to   determine 
whether   circumstances   exist   which   may   result   in   the   release   of   the   substance   in   sufficient   quantities   to   represent 
a   pollution   risk,   either   as   a   result   of   a   single   emission   or   as   a   result   of   accumulation   from   multiple   emissions.

Specific   issues   to   be   considered   include:

(i) The   quantity   of   each   hazardous   substance   handled,   produced   or   emitted   in   relation   to   its   environmental 

effects.

Caution   must   be   exercised   given   that   a   continuous   leakage   of   a   limited   quantity   over   a   period   of   time   may 
cause   significant   pollution.   Where   input-output   information   is   held   on   hazardous   substances   this   should   be 
examined   to   determine   possible   emissions   to   soil   and   groundwater;

(ii) The   location   of   each   hazardous   substance   on   the   site   e.g.   where   it   is   or   will   be   delivered,   stored,   used, 
moved   around   the   site,   emitted   etc.,   in   particular   in   view   of   the   characteristics   of   the   soil   and   groundwater 
at   that   part   of   the   site;

(iii) In   case   of   existing   installations:   the   presence   and   integrity   of   containment   mechanisms,   nature   and   condition 

of   site   surfacing,   location   of   drains,   services   or   other   potential   conduits   for   migration.

The   method   of   storage,   handling   and   use   of   relevant   hazardous   substances   needs   to   be   identified   and   whether 
there   are   any   containment   mechanisms   to   prevent   emissions   occurring;   e.g.   bunds,   hard-standing,   handling 
procedures.

A   detailed   physical   inspection   of   the   site   is   to   be   undertaken   to   verify   the   integrity   and   efficiency   of   the   meas­
ures   to   prevent   releases   occurring.

Examples   of   the   types   of   information   to   be   gathered   are:

— whether   structures   and   site   surfacing   are   cracked   or   damaged.   Identify   whether   joints   or   cracks   are   present 

in   the   vicinity   of   potential   emission   points;

— whether   there   are   signs   of   chemical   attack   to   concrete   surfaces;

— whether   process   drains   are   in   good   condition.   Where   safe   to   do   so,   inspect   manholes,   gullies   and   open 

drains;

— identify   drainage   routes,   service   corridors   etc.   and   locate   outfalls;

— identify   signs   of   emissions   already   having   been   made,   examine   their   nature   and   extent   and   consider   the   like­

lihood   of   emissions   recurring;

— identify   whether   any   direct   or   indirect   emissions   of   hazardous   substances   to   ground   or   groundwater   occur 

on   site.

Based   on   the   above,   the   circumstances   under   which   an   emission   to   soil   or   groundwater   may   occur   and   the 
likelihood   of   such   emissions   should   be   described   and   the   substances   which   may   be   emitted   to   the   environment 
and   result   in   a   potential   pollution   risk   should   be   identified.

(1) http://echa.europa.eu/information-on-chemicals/

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Circumstances   under   which   emissions   may   occur   include:

Accidents/Incidents   e.g.   tanker   overturning   on   site   road;   vessel   rupturing;   leaking   underground   tank;   seal 
breaking;   accidental   discharge;   leaks   from   drain   ruptures;   fire;

Routine   operations   e.g.   drips   during   delivery   or   from   pipe   joints,   small   spills   during   decanting/transfer   of 
product,   leaks   from   blocked   or   broken   drains,   cracks   in   concrete   hard-standing;

Planned   emissions   e.g.   discharges   to   land   or   groundwater.

Where   it   is   apparent   that   due   to   the   quantities   of   the   hazardous   substances   used,   produced   or   released   at   the 
installation,   or   due   to   the   soil   and   groundwater   characteristics   of   the   site   there   is   no   significant   possibility   for 
contamination   of   soil   or   groundwater,   then   a   baseline   report   is   not   required.

In   case   of   existing   installations,   where   measures   are   taken   which   make   it   impossible   in   practice   that   contamina­
tion   of   soil   or   groundwater   occurs,   a   baseline   report   is   also   not   required.

Where,   as   a   result   of   this   stage,   it   is   considered   that   a   baseline   report   is   not   required   it   is   still   expected   that   a 
record   of   such   a   decision,   including   the   reasons   for   the   decision,   will   be   made   by   the   operator   and   further 
assessed   and   held   by   the   competent   authority.

5.4.

Stage   4:   Site   history

The   purpose   of   this   section   is   to   determine   which   of   the   relevant   hazardous   substances   identified   by   Stage   3 
have   the   potential   to   be   present   on   site   in   the   soil   and   groundwater   already   as   a   result   of   activities   to   date 
and   to   determine   whether   they   are   coincident   with   potential   future   emission   points.

The   site   history   should   consider   both   (i)   the   history   of   the   site   prior   to   development   of   the   current/proposed 
installation   and   (ii)   the   operational   history   of   the   current/proposed   installation   as   follows:

(i) List   the   former   uses   of   the   site   from   green   field   to   development   of   the   proposed   installation.   Identify 
whether   these   uses   are   likely   to   have   involved   any   of   the   relevant   hazardous   substances   identified   in   Stage 
3.   If   so,   where   were   they   likely   to   have   been   handled,   what   is   the   likelihood   of   emissions   to   soil/ground­
water   having   occurred   and   what   remediation,   if   any,   has   been   undertaken?   Where   available,   site   specific   data 
should   be   used.

(ii) For   an   installation   which   is   already   operational   at   the   time   of   producing   a   baseline   report,   what   is   the   like­
lihood   of   emissions   having   occurred   during   the   history   of   operations   at   the   site?   Specific   points   worth 
considering   are:

— Location,   nature   and   extent   of   accidents,   incidents,   or   direct   discharges   made   historically   (permitted   or 
otherwise)   which   might   have   caused   a   release   of   relevant   hazardous   substances   to   soil   or   groundwater

— What   changes   or   improvements   have   been   made   to   the   process,   chemicals   handled,   storage   locations, 
disposal   methods   etc.   and   why?   For   example,   were   they   as   a   result   of   a   previous   incident,   accident,   near 
miss   etc.,   were   they   made   to   reduce   the   risk   of   emissions,   to   improve   efficiency,   reduce   waste   etc.   Do 
they   indicate   emissions   may   have   occurred?

— Maintenance   records   –   do   these   show   good   integrity   for   drains,   tanks,   bunds,   pipelines   etc.?   Have   they 

been   kept   since   the   start   of   the   activity   or   were   they   introduced   recently?

— Details   of   site   investigations   undertaken   previously   and   remedial   works   carried   out.

— Physical   inspection   data   gathered   during   Stage   3   may   also   provide   information   on   the   presence   of 

staining,   evidence   of   corrosion,   presence   of   new   surfacing,   etc.

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5.5.

Stage   5:   Environmental   setting

As   a   result   of   Stages   1-4   the   locations   on   the   site   are   identified   where   future   emissions   could   occur   and   where 
emissions   may   already   have   occurred.   Stage   5   aims   to   determine   the   fate   of   any   such   emissions,   the   strata   and 
groundwater   which   may   be   affected   and   to   establish   the   extent   and   depth   to   which   the   land   needs   to   be   char­
acterised.   This   requires   an   understanding   of   the   characteristics   of   the   ground   and   groundwater   at   of   the   site   as 
well   as   the   surrounding   areas   that   may   influence   the   site   of   the   installation   itself.

Where   available,   site   specific   data   should   be   used.   When   not   available   use   reference   data,   qualitative/subjective 
assessment,   inferred   or   extrapolated   data.   In   each   case   the   source   of   the   data   should   be   identified,   and   where 
this   is   not   site   specific   justification   for   the   use   of   the   selected   data   and   include   details   of   any   margins   of   error 
which   apply.

In   considering   the   site   characteristics   the   following   data   should   be   collated:

Topography

Local   topography   and   type   of   ground   surface   (concrete,   open   ground   etc.)   in   the   vicinity   of   each   emission 
point   will   dictate   the   immediate   effect   of   any   emissions,   as   will   the   location   of   the   emission   in   relation   to   the 
ground   surface   (e.g.   ground   level,   above   ground,   overhead   pipe   work,   below   ground   level   etc.).

The   type   and   slope   of   the   ground   surface   can   be   shown   on   a   site   plan.   In   addition,   the   base   of   bunded 
compounds,   pits   etc.   relative   to   the   surrounding   ground   level   should   be   clearly   identified,   particularly   where 
they   are   below   ground   level   (either   in   part   or   in   full).

Geology   and   Hydrogeology

Provide   a   description   of   the   soil   and   rock   strata   beneath   the   site   and   the   physico-chemical   properties   of   each 
strata   which   may   influence   the   fate   and   transport   of   substances   through   the   ground.

Identify   whether   groundwaters   (including   perched   waters)   are   present,   or   are   likely   to   be   present,   in   each   of   the 
strata   and,   where   known,   indicate   the   hydraulic   gradient.

Provide   an   indication   of   what   the   soil   and   groundwater   properties   mean   in   terms   of   the   movement   of 
substances   through   the   ground.

A   simple   summary   of   the   data,   rather   than   a   full   geotechnical   description,   is   sufficient   in   the   report,   further 
details   can   be   provided   or   made   available   for   future   reference   as   required.

In   addition,   this   should   draw   together   all   available   information   to   present   the   overall   site   conditions,   rather 
than   separating   out   published   geology   and   hydrogeology   from   previous   investigation   finings   and   current   investi­
gation   findings.

Hydrology

Indicate   the   presence   of   surface   water   features,   their   direction   of   flow,   quality/classification   and   location   of   bed 
depth   relative   to   the   site   surface.   Provide   an   indication   of   how   each   water   body   might   be   affected   by   emissions 
from   the   site.

Man-made   pathways

Identify   man-made   pathways,   service   corridors,   drains,   mines   etc.,   which   may   act   as   migration   routes   for 
hazardous   substances   and   identify   the   likely   migration   direction   remembering   that   this   may   be   against   the 
natural   topographic   or   hydraulic   gradient.

Surrounding   land   use   and   interdependencies

Identify   surrounding   land   use   to   determine   industries/activities,   especially   those   up   gradient,   which   may   handle 
the   same   or   similar   substances,   and   may   cause   pollution   to   migrate   onto   the   site.   In   terms   of   pollution   migra­
tion   on   to   the   site   at   the   time   of   surrender   of   the   permit   it   is   for   the   operator   to   demonstrate   that   they   have 
not   caused   pollution   whilst   operating.   It   is,   therefore,   important   to   know   if   adjacent   properties   could   be 
a   source   of   the   same   or   similar   pollutants.

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5.6.

Stage   6:   Site   characterisation

A   description   of   the   site   should   in   particular   demonstrate   the   location,   type,   extent   and   quantity   of   historic 
pollution   and   potential   future   emissions   sources   noting   the   strata   and   groundwater   likely   to   be   affected   by 
those   emissions

Models   can   be   useful   in   this   context   allowing   links   to   be   made   between   sources   of   emissions,   the   pathways   by 
which   pollution   may   move   and   the   receptors   likely   to   be   affected.   Bringing   together   different   pieces   of   informa­
tion   should   help   to   understand   better   what   risks   there   might   be   to   both   the   environment   and   human   health 
from   contamination.

A   conceptual   site   model   is   a   representation   setting   out   both   the   existing   levels   of   pollution   and   possible   future 
pollution   sources   for   a   given   area   of   land.   This   can   be   produced   using   the   information   obtained   in   Stages   3-5. 
This   is   likely   to   comprise   existing   information   and,   to   a   lesser   extent   new   information   that   is   not   related   to 
Stage   7   below.   Where   the   operator   proposes   to   use   existing   information   in   order   to   inform   the   development   of 
a   conceptual   site   model,   the   reliability,   accuracy   and   appropriateness   of   the   data   should   be   considered.

Rather   than   provide   a   single   general   model   of   the   site,   either   as   a   drawing,   or   text,   it   may   be   preferable   to 
produce   more   detailed   individual   models   for   each   area   of   concern   at   the   installation.   For   example,   a   conceptual 
model   of   the   area   around   a   tank,   which   could   indicate   the   construction   of   the   bund,   the   direction   of   slope   of 
the   ground,   whether   fill   points   are   inside   or   outside   the   bund,   the   type   of   surfacing   around   the   area,   and   the 
underlying   geology   and   water   table.   This   information   would   then   be   used   to   suggest   where   any   relevant 
hazardous   substances   that   are   released   may   end   up.

The   nature   and   complexity   of   conceptual   site   models   will   vary   by   site   and   by   the   activity   or   activities   under­
taken.

5.7.

Stage   7:   Site   investigation

If   there   is   sufficient   information   from   Stages   1-6   to   characterise   the   site   both   laterally   and   vertically   and   to 
allow   the   baseline   status   in   terms   of   quantified   levels   of   pollution   of   soil   and   groundwater   by   relevant 
hazardous   substances   to   be   defined,   then   go   directly   to   Stage   8.   When   choosing   to   use   existing   information   the 
operator,   in   providing   it,   and   competent   authority,   in   assessing   it,   need   to   be   aware   of   the   uncertainty   and   risk 
associated   with   using   such   data.   Such   risks   include:

— historic   data   failing   to   take   adequate   account   of   releases   of   relevant   hazardous   substances   that   may   have 

taken   place   in   the   period   since   the   original   data   was   collected;

— historic   data   failing   to   take   account   of   all   relevant   hazardous   substances   but   rather   focussing   on   a   propor­

tion   of   the   relevant   hazardous   substances;   and

— historic   data   failing   to   take   into   account   changes   in   the   activities   undertaken   on   site   since   its   original   collec­
tion   that   may   have   resulted   in   changes   to   the   hazardous   substances   used,   produced   or   released   from   the 
installation.

The   best   way   of   ensuring   that   data   is   comprehensive   is   to   ensure   the   method   of   determination   as   well   as 
analysis   are   clearly   established   and   communicated.   In   the   case   of   existing   installations,   where   the   reliability   and 
quality   of   historic   soil   state   information   cannot   be   established   (for   example   because   the   results   are   based   on 
out   of   date   methods   or   were   incomplete)   the   most   suitable   course   of   action   is   to   re-take   the   measurements.

Where   only   part   of   the   site   can   be   characterised   or   there   is   insufficient   information   on   which   to   formulate   a 
baseline   report   then   additional   information   should   be   obtained   by   site   investigation.   New   measurement,   whether 
taken   prior   to   commissioning   or   as   a   result   of   a   permit   review,   is   the   best   method   of   obtaining   a   baseline   on 
the   state   of   the   soil   and   groundwater.

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6.5.2014

Sampling   strategy

Where   it   is   established   that   new   measurements   will   be   needed,   consideration   of   suitable   sampling   strategies   i.e. 
the   way   in   which   new   measurements   of   soil   and   groundwater   will   be   undertaken,   is   required.   For   choosing   the 
most   appropriate   strategy,   it   is   advisable   to   communicate   between   operator   and   competent   authority.

Selected   sampling   strategies   should   provide   sufficient   confidence   that   measurements   and   samples   taken   accurately 
reflect   the   actual   level   of   contamination   by   relevant   hazardous   substances   so   as   to   enable   a   determination   of 
the   current   state   and   condition   of   the   soil   and   groundwater.   The   baseline   report   should   include   the   proposed 
method   for   assessing   the   contamination   status   of   the   site   e.g.   the   statistical   tests   to   be   used   and   any   ISO/CEN, 
or   in   their   absence,   national   standards   to   be   applied.   In   reporting   the   results   of   the   baseline   investigation,   the 
approach   to   sampling   as   well   as   the   methods   of   analysis   need   to   be   adequately   described   in   the   report.   It 
follows   that,   when   the   site   is   assessed   at   the   definitive   cessation   of   activities,   it   will   be   necessary   to   use   the 
same   approach   and   either   the   same   methods   or   methods   which   have   been   shown   to   produce   comparable 
analytical   performance.

Sampling   strategies   should:

— be   focused   on   identified   relevant   hazardous   substances   and   their   hazardous   degradation   products   and   metab­
olites   to   be   evaluated   in   respect   of   their   physico-chemical   properties   in   relation   to   the   probability   of 
contamination   of   the   soil   or   the   groundwater;

— take   into   account   the   hydrogeological   and   hydraulic   conditions   of   the   site.   Suitable   upstream/downstream 
measuring   points   must   be   reviewed   prior   to   their   establishment   on   the   site   of   the   installation.   The   possible 
dynamics   in   respect   of   directions   of   flow   and   fluctuations   in   the   groundwater   table   should   be   taken   into 
consideration   in   groundwater   inspections;

— recognise   the   impact   of   natural   and   process-related   influencing   factors   on   the   samples   taken   and   the 
sampling   strategy   (place   and   method),   contaminant   linkage,   heterogeneity   of   the   pollutant   distribution   in   the 
soil   or   in   the   groundwater,   the   handling   of   the   sample   between   the   time   of   obtaining   it   and   its   measure­
ment   and   the   measurements   taken   within   the   laboratory;   and

— consider   from   the   outset   the   capture   of   both   the   current   state   (including   historic   contamination)   of   pollution 
as   well   as   the   need   for   assessment   of   pollution   at   the   definitive   cessation   of   activities.   Clear   mapping   and 
marking   of   the   sampling   points   is   a   pre-requisite.

Either   non-targeted   sampling,   targeted   sampling   or   a   combination   of   both   is   recommended.   The   selection   must 
be   made   having   regard   to   the   site   setting,   conditions   and   local   environment,   including   the   nature   and   quantity 
of   substances   to   be   measured.   A   description   of   these   approaches   is   provided   below.   Where   a   different   sampling 
technique   is   proposed   e.g.   multi-incremental   sampling,   the   level   of   reliability   of   results   in   comparison   to   non-
targeted   or   targeted   approach   should   be   considered   by   both   the   operator   and   competent   authority:

(i) Targeted   sampling   —   is   focused   sampling   in   zones   of   suspected   pollutant   concentrations   (storage   points, 
transhipment   points   or   the   like).   As   with   non-targeted   sampling,   a   prior   decision   is   needed   on   what   proba­
bility   of   detection   is   required,   having   regard   to   the   costs   involved.

(ii) Non-targeted   sampling   —   is   typically   sampling,   which,   with   adequate   data   density,   produces   clear   and 
unequivocal   information   about   the   average   substance   concentrations   and   about   their   range.   Given   that   this 
approach   looks   to   produce   an   accurate   representation   of   the   entire   site   by   using   uniform   sampling   over   the 
entire   installation   the   selection   of   sampling   locations   must   not   be   influenced   by   external   circumstances   such 
as   the   existing   buildings   and   use   or   suspected   pollutant   concentrations.   Difficulties   may   be   encountered 
when   using   non-targeted   sampling   for   existing   sites   with   respect   to   established   structures,   services   and   util­
ities.

This   approach   treats   the   site   as   an   area   of   land   requiring   baseline   data   (i.e.   the   site   is   treated   as   a   single   entity 
and   the   layout   of   the   installation   or   the   specific   risks   posed   by   tanks,   process   plant   etc.   do   not   need   to   be 
taken   into   account).   In   adopting   such   an   approach,   a   prior   decision   will   be   needed   on   what   the   probability   of 
identifying   pollution   should   be   in   each   case,   having   regard   to   the   inevitably   higher   number   of   samples   and 
associated   costs   needed   to   provide   higher   probability.

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C 136/15

Uncertainties   associated   with   soil   and   groundwater   data

In   respect   of   uncertainties   associated   with   soil   and   groundwater   data   for   both   non-targeted   and   targeted 
sampling,   there   are   two   important   elements   to   consider:

(i) Groundwater   baseline   data   collection:   Groundwater   conditions   can   change   more   quickly   than   soil   conditions 
and   groundwater   quality   is   subject   to   change   and   variation   due   to   factors   external   to   the   permitted   process 
such   as   seasonal   variation   in   groundwater   level   and   quality,   other   pollution   sources,   migration   of   contami­
nant   plumes,   changes   in   pH   value   or   the   reduction   and   oxidation   potential   of   the   aquifer,   heavy   rainfall 
events   etc.   The   sampling   of   more   than   one   set   of   groundwater   data   in   order   to   establish   baseline   state   (e.g. 
a   set   of   quarterly   monitoring   results   covering   a   one   year   period   as   a   minimum)   can   significantly   improve 
the   confidence   with   which   an   operator   can   report   baseline   state   of   the   groundwater.

(ii) Use   of   statistical   data   analysis   techniques   for   assessing   soil   data:   Statistical   methods   can   assist   in   quantifying 
the   uncertainty   attached   to   estimates   of   the   average   or   mean   concentration   of   contaminants   in   soils   and 
thereby   provide   a   more   informed   basis   for   decision   making   by   site   assessors   and   regulators.   Measured 
contaminant   concentrations   obtained   during   a   site   investigation   can   be   compared   against   a   user   defined   ‘crit­
ical   concentration’   or   indicator   of   risk.

If   statistical   methods   are   to   be   used   then   the   data   obtained   during   the   investigation   must   be   assessed   to   be 
suitable   for   this   purpose   (e.g.   sufficient   data   from   appropriate   depths,   locations   and   of   consistent   quality). 
Employing   this   approach   requires   a   well-developed   conceptual   model,   as   described   in   Stage   6,   which   then 
informs   the   sampling   strategy   needed   to   collect   data   suitable   for   statistical   analysis

Analysis   of   samples

To   ensure   comparability   of   the   baseline   investigation   results   with   those   taken   at   a   later   date,   validated   methods 
of   analysis   should   be   applied   (i.e.   formal   and   documented   proof   that   an   analytical   method   is   suitable   for   its 
intended   purpose   and   is   accurate   and   reproducible).   Where   CEN   or   ISO   standards,   or   in   their   absence,   national 
standards   exist,   these   should   be   applied.

The   essential   requirement   is   that   the   analytical   performance   of   methods   used   in   compiling   the   baseline   report 
and   in   assessing   the   site   at   definitive   cessation   be   directly   comparable   with   each   other.   It   is   particularly   impor­
tant   that   the   scope   and   recovery   of   the   determinant(s)   in   the   method   be   directly   comparable.   Especially   since 
laboratory   best   practice   may   change   over   time,   it   is   paramount   to   ensure   that   the   methods   of   analysis   used   are 
adequately   described   in   order   to   inform   future   analysis   as   required   under   the   IED.

It   is   possible   that,   following   an   investigation   to   collect   baseline   soil   and   groundwater   data,   further   investigation 
could   be   needed   e.g.   if   the   investigation   identified   historic   pollution   (created   as   a   result   of   the   permitted   activi­
ties   or   otherwise)   requiring   further   delineation   and   remediation.

Following   site   investigation   further   or   updated   conceptual   site   models   may   be   required   as   described   under 
Stage   6.

5.8.

Stage   8:   Production   of   the   baseline   report

The   purpose   of   this   stage   is   to   summarise   all   of   the   evaluated   information   collected   in   Stages   1-7   to   produce 
a   report   which   identifies   the   state   of   soil   and   groundwater   contamination   by   relevant   hazardous   substances.   The 
baseline   report   itself   should   provide   an   accurate   and   clear   description   about   what   data   has   been   used   to   estab­
lish   the   state   of   the   soil   and   groundwater,   what   methods   have   been   used   to   sample   and   analyse   the   substrata 
and   how   the   results   have   been   verified,   statistically   or   methodologically.   It   should,   in   essence,   clearly   outline   a 
series   of   actions   that   are   fully   reproducible   at   site   cessation   together   with   the   results   so   as   to   enable   a   quanti­
fied   comparison.   A   checklist   is   included   in   the   Appendix   to   this   document   for   this   purpose.

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Where   potentially   polluting   substances   are   present   the   baseline   report   should   identify   which   strata   or   ground­
water   bodies   they   are   associated   with   and   describe   their   concentration,   nature   and   extent.   Providing   a   clear 
statement   of   which   relevant   hazardous   substances   are   not   present   is   just   as   important   as   identifying   those 
which   are.

The   baseline   report   should:

— be   presented   in   a   logical   and   structured   format;

— contain   sufficient   information   to   establish   the   scope   and   impact   of   the   current   activity   or   activities   covered 

by   the   permit,   including   the   dates   of   all   relevant   soil   and   groundwater   measurements;

— provide   a   clear   and   accurate   description   of   the   approaches   used   and   the   results   obtained   by   the   assessment 
as   well   as   the   location   of   any   intrusive   works,   wells,   boreholes   and   other   sampling   points   in   accordance 
with   a   standardised   geographic   referencing   system;

— provide   a   clear   description   of   the   analytical   techniques   used   to   establish   the   concentrations   of   hazardous 
substances   in   soil   and   groundwater   with   reference   where   appropriate   to   national   or   international   standards 
used   as   well   as   any   guidance   provided   by   Member   States   that   existed   at   the   time   of   the   investigation;

— state   the   scientific   uncertainties   and   limitations   of   the   approach   taken   in   preparing   the   report;

— Include   all   relevant   technical   data   (measurements,   calibration   certificates,   analytical   standards,   accreditations, 
maps,   sampling   logs   etc.…)   so   as   to   ensure,   at   final   cessation,   a   valid   quantified   comparison   can   be   made.

Variation   in   the   type,   depth   and   presentation   of   baseline   reports   between   different   activities   covered   by   the   IED 
is   anticipated   and   acceptable   so   long   as   it   remains   possible   to   determine   adequately   the   state   of   soil   and 
groundwater   contamination   by   relevant   hazardous   substances   at   the   time   the   report   is   assembled.

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C 136/17

Appendix

Baseline   investigation   and   report   checklist

DECIDING   WHETHER   A   BASELINE   REPORT   IS   REQUIRED

Identification   of   the   hazardous   substances   used,   produced   or   released   at   the   installation

Assessment   to   identify   those   hazardous   substances   that   are   capable   of   contaminating   soil   or   groundwater 
(relevant   hazardous   substances)

Identification   of   the   possibility   of   the   relevant   hazardous   substances   actually   causing   contamination

Identification   of   any   possible   sources   of   historical   contamination

DETAILS   OF   DATA   COLLECTION

Existing   data

Relevant   plans   of   the   installation   (showing   boundaries   and   key   points   of   interest).

Review   and   summary   of   previous   reports,   with   report   references

Summary   of   any   risk   assessment   carried   out   at   the   site   of   installation   relevant   for   baseline   data   collection

Site   Investigation

Rationale   for   investigation   –   may   include   list   of   potential   contaminant   sources   relevant   to   each   proposed 
investigation   location

Constraints   applicable   to   the   placement   of   site   investigation   locations

Methods   used   for   forming   exploratory   holes   e.g.   boreholes,   trial   pits,   window   samples

Methods   used   for   collecting,   preserving   and   transporting   samples   to   the   analytical   laboratory

Sampling   &   Monitoring

Rationale   for   sampling   strategy   e.g.   if   targeted   rationale   of   targets;   if   non-targeted   justification   for   spacing   and 
layout

Description   and   explanation   of   monitoring   programmes   for   groundwater   and   surface   waters

Details   of   monitoring   and   sampling   including   locations,   depths,   frequencies

Analysis

Rationale   for   selection   of   analytical   methods

Description   and   performance   of   analytical   methods.

PRESENTATION   &   INTERPRETATION   OF   DATA   WITHIN   TEXT   OF   REPORT

Description   of   conditions   encountered   at   the   site,   including   groundwater   regime   and   surface   water   features

Summary   tables   of   chemical   analyses   and   site   monitoring

Description   of   type,   nature   and   spatial   distribution   of   contamination,   with   plans   where   appropriate

Analysis   of   the   data   set   and   derivation   of   representative   concentrations   for   individual   contaminants   to   a   suit­
able   level   of   significance

Evaluation   of   site   investigation   results   against   the   outline   conceptual   model

 
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PRESENTATION   OF   RAW   DATA   (ANNEX   TO   REPORT)

Plan   showing   monitoring   and   sample   point   locations

Description   of   site   works   and   on-site   observations

Exploratory   borehole,   core   or   drilling   logs

Details   of   response   zone   and   other   construction   details   of   borehole   monitoring   installations

Monitoring   results

Description   of   samples   submitted   for   analysis

Relevant   Quality   Assurance/Quality   Control   data   –   this   may   include   accreditations   of   staff,   calibration   certifi­
cates   of   equipment,   laboratory   accreditations   (national   and   international   standards)

Laboratory   analytical   reports,   completed   in   accordance   with   the   relevant   QA/QC   data,   including   relevant   inter­
national   analytical   or   test   method   standards.

Chain   of   custody   records   for   sample   and   data   collected