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Pollution Prevention and Abatement Handbook

WORLD BANK GROUP


Effective July 1998

Comparative Risk Assessment

Comparative risk assessment provides a systematic way of looking at environmental problems


that pose different types and degrees of health risk. It combines information on the inherent
hazards of pollutants, exposure levels, and population characteristics to predict the resulting
health effects. Using data from available sources, rapid, inexpensive comparative risk assess-
ments can identify the most significant health problems. Together with consideration of costs,
technical feasibility, and other factors, the results of comparative risk assessment can be used
to set priorities for environmental management.

Comparative risk assessment provides a general vidual country. However, relationships based
framework for evaluating environmental prob- on site-specific epidemiologic data are pre-
lems that affect human health.1 Risk assessment ferred, if available.
does not have to be cumbersome or costly to pro- • Risk characterization, the final step in risk as-
vide useful insights. Rapid, inexpensive ap- sessment, combines the exposure and dose-re-
proaches can be considered risk assessment as sponse assessments to calculate the health risk
long as certain basic concepts are included. There estimates, such as the number of people pre-
are four generally recognized steps in assessing dicted to experience a particular disease, for
human health risks, as described by the U.S. Na- the population of concern. Risk characteriza-
tional Research Council: tion also describes uncertainties in the calcu-
lations and provides other information to help
• Hazard identification is the process of describ-
interpret the results of the analysis.
ing the inherent toxicity of a chemical on the
basis of toxicological data from laboratory or Comparative risk assessment is a simplified,
epidemiologic studies. focused methodology for deriving reasonable
• Exposure assessment combines data on the dis- findings from readily available data. It is used to
tribution and concentrations of pollution in the provide understanding and guidance in the ab-
environment with information on behavior sence of detailed scientific studies and analysis.
and physiology to estimate the amount, or
dose, of a pollutant to which humans are ex- Issues in the Use of Risk Assessment
posed. Exposure is typically estimated by
modeling the dispersion of emissions from a Defining the Scope of the Analysis
polluting source.
• Dose-response assessment relates the probabil- An effective risk assessment must have a well-
ity of a health effect to the dose of pollutant defined scope. The appropriate scope depends
(see the Annex) It relies on statistical or bio- on the purpose of the analysis. For example, an
logically based models to describe this rela- evaluation of emissions from a particular indus-
tionship, using either experimental animal trial facility is likely to concentrate on the health
data or epidemiologic studies. Estimated dose- effects on local population; a project to set na-
response relationships (DRRs) are readily tional environmental priorities may include a
available for a large number of industrial broader range of issues, such as the effects of
chemicals and other types of pollutants and national policies on emissions of greenhouse
need not be derived separately for each indi- gases and ozone-depleting substances.

45
46 IMPLEMENTING POLICIES: SETTING PRIORITIES

The purpose of most comparative risk assess- odology to be used, identify sources, and collect
ments is to identify the most important health data. The study relied on existing data without
risks from the point of view of the people affected. any additional environmental sampling or moni-
Although the options for mitigating risks may toring. Such rapid evaluations usually mean
be evaluated on a sectoral basis, the initial analy- greater uncertainty in the results, but they are still
sis should consider all types and sources of envi- useful for getting a general idea of the magni-
ronmental risk in making the ranking. tude of problems associated with pollution
The analyst must choose the types of risks and sources and to demonstrate to decisionmakers
populations to assess. These may include: that the problems posed by pollution are real and
significant.
• Type and duration of health end point (acute
Comparative risk assessment is an important
or chronic, cancer or noncancer, occupational
tool for helping to prioritize solutions to health
disease)
problems by distinguishing actual risk from po-
• Special target populations such as children,
tential exposure. Its strength lies in its ability to
pregnant women, and asthmatics
compare and evaluate the effects of two or three
• Ecological effects (for example, on populations,
pollutants or other hazards. Nonetheless, because
unique habitats, or biodiversity).
these techniques emphasize pollution, they do
An assessment of a particular industrial project not necessarily portray the complete range of
or sector typically begins with a description of environmental health problems. Thus, for ex-
the source of pollution. Models of the transport ample, vector-related diseases such as malaria,
and potential transformation of the pollutants in dengue fever, and schistosomiasis—all still very
the environment are used to estimate the concen- important in developing countries—would not
tration of contaminants in air, water, or soil. Con- necessarily be covered in an assessment. Addi-
centrations in these media are used to estimate tional public health inputs may therefore be
the human dose, which, combined with dose-re- required to gain a complete portrait of environ-
sponse information, predicts the occurrence of mental health risks.
disease. The results of rapid assessments are likely to
For some pollutants, monitored data on con- be most valuable when they are used in a rela-
centrations in air or water may be available, ob- tive or comparative, rather than an absolute, way.
viating the need for modeling the transport and The appropriate complexity of analysis will be
fate of the pollutant. In other cases, data on mea- influenced by a number of factors, including the
sures of pollutants in the human body, such as likelihood that additional refinement would re-
blood lead levels, or measures of characteristic solve the uncertainties in budgets, time con-
clinical responses to exposures, such as elevations straints, availability of data, and use of the results.
in blood enzyme levels, may be available. These
may be used as a direct measure of exposure in Quality of Data Required
the dose-response functions, rather than using
estimated exposure rates. The quality and quantity of data needed to pro-
duce a meaningful analysis will depend on how
Complexity of Analysis much uncertainty the analyst is willing to accept.
Ideally, high-quality local data for all parts of the
Risk assessment does not necessarily require so- analysis, including locally based epidemiology
phisticated techniques or extensive data collec- for the dose-response functions, would be avail-
tion. Reasonable, practical results can be derived able. The ideal will rarely, if ever, be the case.
using minimal available information on pollu- However, limited good data can be supple-
tion and the populations exposed to it. mented through techniques that fill data gaps
For example, in a study by the U.S. Agency with reasonable assumptions and extrapola-
for International Development (USAID 1994), an tions. For example, data on ambient concentra-
American team worked in Cairo for six weeks tions of many chemicals are often unavailable,
with Egyptian counterparts to refine the meth- since monitoring is expensive and is likely to
Comparative Risk Assessment 47

be directed at only a few constituents. In its place, In Developing Countries and Transition
emissions data can be used in conjunction with Economies
environmental modeling systems to estimate con-
centrations in the environment. Comparative risk assessment can help regions
Two such systems developed within the World and countries allocate limited resources effi-
Bank are the Decision Support System and the ciently (see Table 1). For example, the method has
Industrial Pollution Projection System. The been applied on a citywide basis in Bangkok and
USEPA has also developed and published emis- in Cairo to identify specific recommendations for
sions factors for air pollution sources; these in- targeted actions such as reducing lead in gaso-
clude AP-42 (USEPA 1985) for “criteria” line and managing traffic situations to decrease
pollutants and Toxic Air Pollutant Emission Fac- levels of particulate matter. The method was also
tors, or TAPEF. applied in the Silesia region of the Czech Repub-
lic and Poland, where it was coupled with an ef-
Adjustments for Site-Specific Conditions fort to identify realistic, cost-effective solutions
(USEPA 1992b, 1994).
Many of the data sources and analytical tech- Many of the comparative risk assessments
niques used in a risk assessment will, by neces- performed in developing countries have exam-
sity, be transferred from OECD contexts. It may ined urban areas that do not have significant in-
be possible to adjust such data on the basis of a dustrial sources of pollution. These studies have
comparison of country-specific conditions with identified a consistent set of priority problems:
the conditions in the countries where the data particulate air pollution and microbiological
were derived. For example, epidemiologic stud- diseases caused by water and food contamina-
ies frequently use measures of ambient pollut- tion. These problems are likely to be of high
ant concentrations to represent personal concern in any rapidly developing area that lacks
exposure. To adjust the results of such studies, adequate municipal infrastructure and is experi-
the analyst will consider how the relationship encing a rise in industrial activity and traffic vol-
between ambient concentrations and personal ume. Comparative risk assessments performed
exposures may differ in the country of interest. in such settings may direct resources to examin-
ing these problems first, although the specific
Examples of Comparative Risk Assessment conditions of each urban area may suggest addi-
tional priorities.
In Industrial Countries
Key Issues in Risk Characterization
Risk assessment has been used during the past and Priority Setting
decade in a number of OECD countries. In the
United States, it has been used to set overall en- Risk assessment attempts to evaluate environ-
vironmental priorities for the nation, to guide mental problems using objective, scientifically
legislation, and to choose among regulatory ap- based measures. Risk management considers not
proaches. Almost every environmental program only the magnitude and severity of the health
within the USEPA now uses risk assessment to risks posed by pollution but also the costs and
determine regulatory priorities, to perform cost- technical feasibility of abatement and the politi-
benefit analysis, or to target enforcement activi- cal will and institutional capacity to manage
ties. Risk assessment has been used, for example, risks. By itself, it cannot establish environmental
to decide which air pollutants to control, which management priorities. It is the first of several
pesticides to allow and which to ban, and to what steps in the process of setting priorities, struc-
degree contaminated hazardous waste sites turing policies, and implementing strategies to
should be cleaned up. In Western Europe, both deal with pollution.
the EU and individual countries are working to The use of risk assessment in cost-benefit
adjust risk assessment techniques for application analysis and priority setting has typically meant
within their contexts. the use of overall population risk measures, such
Pollution Prevention and Abatement Handbook
WORLD BANK GROUP
Effective July 1998

Table 1. Summary of Risk Assessment Projects in Developing Countries and Transition Economies
Study location Scope of problems
(reference) Intent of study examined Notable features Major findings

Bangkok (USAID Comparative risk across a Air, and water pollution; solid Estimated incidence and se- Highest-priority problems:
1990) range of environmental prob- and hazardous waste dis- verity index used to rank airborne particulate matter;
lems posal; microbiological dis- problems lead; infectious disease
ease
Bangkok follow-up Focus on air pollution from Primary reanalysis focus on Included economic valuation Priority problems: particulate
(World Bank 1994) energy, transport and manu- air pollution, but other media component matter and lead; surface wa-
facturing sectors; identifica- examined ter pollution from microorgan-
tion of cost-effective risk isms; congestion; air pollution
reduction strategies control strategies for energy
and road transport discussed
Cairo (USAID 1994) Comparative risk across a Air and water pollution; solid Used estimated incidence Highest-priority problems:
range of environmental prob- and hazardous waste dis- and qualitative estimate of particulate matter; lead; food
lems posal; microbiological dis- severity and probability to and water contamination
ease rank problems leading to disease
48

Quito (USAID 1993a) Comparative risk scoring Air and water pollution; solid Used both quantitative risk Highest-priority problems: air
across a broad range of en- waste; occupational disease; assessment and health out- pollution, and food contami-
vironmental and health prob- traffic come data; performed site- nation with microorganisms
lems; other problems specific ethnographic study;
performed explicit scoring of
problems based on probabil-
ity and severity
Silesia region, Czech Identification of actions to re- Air, food, water, and solid Examined ecological as well High risks from particulate
Republic and Poland duce risk and improve envi- waste; occupational disease; as human health risks; used matter and toxic air pollution
(USEPA, 1992b, 1994) ronmental management ecological risks for water pol- two dimensions—severity (coke oven emissions); food
capabilities in a coal- and lution and scale—to characterize contamination with PCBs;
steel-producing region risk high occupational risks; se-
vere risks to aquatic life
URBAIR projects: Estimate the health and eco- Air pollution only Estimated health effects All studies found significant
Mumbai, Jakarta, nomic impacts of air pollution using monitoring data and effects of air pollution (thou-
Manila (Shah and resulting from continued ur- U.S.-based concentration- sands of deaths, tens to hun-
Nagpal 1997a, 1997b, ban growth response functions; some dreds of thousands of cases
1997d) studies include explicit mon- of illness)
etization of health effects
Comparative Risk Assessment 49

as the number of cases of disease predicted, as where a narrower set of likely pollution problems
the preferred risk descriptor. But there may be can be identified. (See Table 2 for some recent
other important measures, such as levels of indi- examples.)
vidual risk, the distribution of risks across the The types of consultants needed for a risk as-
general population and highly exposed subpopu- sessment will depend on the data available and
lations, identification of special at-risk popula- the problems to be assessed. If industrial pollu-
tions, and consideration of the relative severity tion sources are the focus, the project may need
of the effects characterized. environmental scientists or engineers familiar
Vital to the interpretation of risk assessments with predicting the fate of emissions in the envi-
is the identification of major sources of uncer- ronment. The exposure assessment, dose-re-
tainty. Open, frank description of the uncertain- sponse, and risk characterization steps typically
ties in the analysis enhances its credibility and require individuals with training in risk assess-
provides a context in which the results should ment, toxicology, or epidemiology. The task man-
be viewed. ager may also want specialists familiar with the
particular country’s governmental and social
Resources Required structure to facilitate the collection of data from
diverse sources.
The scale and cost of some risk assessments that
have been conducted demonstrate that the prac- Some Sources of Data
tical application of standard techniques of risk
assessment can enhance project design without Environmental Quality Data
being overly resource-intensive.
USAID (1993b) presents a typical schedule for The most important sources of environmental
conducting an environmental health analysis. quality data are local and regional. When local
The example suggests a project lasting four to six data are not available, other sources may provide
months, from project planning through the final limited information. For example, some interna-
report. The schedule assumes a full-scale analy- tional organizations maintain environmental
sis of many types of problems; the actual time quality data for certain pollutants: the United
required may be less for site-specific projects, Nations Environment Programme (UNEP) Glo-

Table 2. Time and Resource Requirements of Some Recent Studies


Approximate resources
Location (reference) Time required (U.S. dollars) Notes

Bangkok (USAID 1990) Approximately 3 weeks on the On the order of 60,000–


ground; a few months total to 70,000
prepare report
Bangkok follow-up Four to 5 person-weeks for 25,000 for risk assess- Covered risk assessment,
(World Bank 1994) risk assessment portion (20 ment; 100,000 for entire cost-effectiveness analy-
person-weeks for entire re- report sis, and development of
port) policy framework
Cairo (USAID 1994) Six weeks on the ground “Moderate cost”

Quito (USAID 1993a) Five to 6 months, with local Approximately 200,000 Included health risk as-
consultants on the ground in sessment, environmental
advance; shor ter time in health survey, and ethno-
country graphic survey
URBAIR projects (Shah, Covered only air problems
Nagpal, and Brandon 1997;
Shah and Nagpal 1997a,
1997b, 1997c, 1997d)
50 IMPLEMENTING POLICIES: SETTING PRIORITIES

bal Environmental Monitoring Network System developing countries, due to differences in the
is an example of such a source. Other organiza- populations and exposures considered. The peer
tions may have collected environmental quality reviewers expressed concern that the time-series
data for specific purposes, such as USAID envi- studies capture primarily the acute effects of air
ronmental action plans and World Bank country pollution on mortality. Short-term fluctuations in
reports on environmental management. The mortality due to air pollution episodes may
World Resources Institute compiles environmen- largely reflect the hastening (by days or weeks)
tal data from a variety of sources for its annual of the deaths of diseased individuals in the popu-
World Resources report. lation. If so, this component of overall mortality
results in fewer life-years lost and may be of less
Human Health and Ecological Toxicity Data significance to public health than the chronic ef-
fects of long-term exposure to air pollution in
International organizations are good sources of otherwise healthy individuals.
information on hazard evaluations of chemicals, Two recent cohort studies, Dockery et al. (1993)
including environmental standards and, for some and Pope et al. (1995), have reported a signifi-
pollutants, dose-response evaluations. The World cant and dramatic association between mortal-
Health Organization (WHO) develops guidelines ity in the study cohorts and long-term exposure
for acceptable concentrations in environmental to airborne particulate matter. Because such stud-
media based on protection of human health. Of- ies better reflect the morbidity and mortality ef-
ten, the background documents supporting these fects of interest, using the results of chronic effects
guidelines can provide further information on studies in comparative risk assessment is pre-
chemical hazards. The International Agency for ferred, when they are available.
Research on Cancer (IARC) supplies data on the
carcinogenic effects of pollutants. Factors for Human Exposure Assessment
Since risk assessment is widely practiced in the
United States, the USEPA is an important source Exposure assessment requires the integration of
of information on toxicological information and environmental quality data with an estimate of
evaluation methods. The agency maintains a cen- the rate of human contact with contaminated
tralized, on-line database, the Integrated Risk media. This stage of risk assessment should rely
Information System (IRIS), containing toxicologi- heavily on local data, since it allows an assess-
cal information on over 600 chemicals, which can ment of how particular local conditions and cul-
be easily accessed by risk assessment practitio- tural practices affect risk potential. Local data on
ners. Other USEPA documents, such as the sci- food consumption patterns, indoor-outdoor ac-
entific documents that support standards for the tivity patterns, types of housing, prevalence of
criteria pollutants (PM10, sulfur dioxide, lead, health conditions, and so on can all be important
ozone, nitrogen oxides, and carbon monoxide), to the assessment process. These data can be ob-
contain substantial reviews and evaluations of tained from local health department and social
the literature on these major air pollutants. service ministries, environmental ministries,
A recent World Bank report (Ostro 1994) sum- NGOs, or sociological investigations conducted
marizes much of this same information, with as part of the analysis.
additional discussion of its applicability to de-
veloping countries. In particular, it reviews health Annex. Dose-Response Functions
effects studies commonly used in assessing risk and the Health Impacts of Air Pollution
from particulate matter and ozone exposure. The
studies were performed primarily in North Few would question that too much air pollution
America and Europe, and many of them are time- is a bad thing. Not only does air pollution reduce
series studies that focus on short-term (e.g., daily) visibility and destroy the aesthetic beauty of our
changes in morbidity and mortality in response surroundings; it has been generally recognized
to short-term changes in pollution concentra- as a health hazard. The question is not whether
tions. A peer review of Ostro pointed out the dif- air pollution should be controlled but, rather, how
ficulties of extrapolating these results to much should be spent to control it. To answer
Comparative Risk Assessment 51

this question it is necessary to estimate the re- including bronchitis and pneumonia, and mor-
ductions in health damages that are likely to oc- tality rates are studied as well. Table A.1 shows
cur if air pollution is reduced. some health effects associated with selected com-
Dose-response functions measure the relation- mon pollutants.
ship between exposure to pollution and specific To date, most studies have examined the ef-
health outcomes. By regressing a specific mea- fects of acute (short-term) exposure to pollution.
sure of health on a measure of pollution expo- This should not be interpreted to mean that long-
sure while controlling for other factors, the role term exposure has no effect on health. Long-term
of pollution in causing the health effect can be exposure to low levels of pollution has been
estimated. This estimate can then be used to pre- shown to affect an individual’s tolerance of short-
dict the health improvement corresponding to a term exposure to high levels of pollutants. Fur-
decrease in exposure. In short, dose-response thermore, questions have been raised concerning
functions translate changes in air quality into the relationship between long-term exposure and
changes in health. the incidence of cancer and heart disease. Unfor-
Both humans and animals have been the sub- tunately, long-term exposure is often difficult to
jects of studies that examine the effects of air pol- measure due to the high immigration rates in
lution exposure on health. This annex discusses some urban populations.
only epidemiologic studies—those based on hu-
man populations. Confounding Factors

Exposure to Air Pollution A good study will attempt to control for con-
founding factors that may contribute to an
Exposure to air pollution is usually measured individual’s likelihood of experiencing the health
in terms of ambient levels of pollutants. Not outcome in question. However, these factors are
surprisingly, the pollutants included in the epi- often not easy to control for and can weaken the
demiologic literature are limited by the avail- results of the research.
ability of data. Those commonly monitored by For instance, although individuals may be af-
environmental authorities can be divided into fected by a combination of pollutants, the pres-
four categories: ence of other pollutants may not be incorporated
into the study due to the limited availability of
• Sulfur oxides, nitrogen oxides, and particulates
pollution data. Other confounding factors in-
generated by burning fossil fuels
clude temperature, humidity, physical activity,
• Photochemical oxidants (e.g., ozone) created
smoking habits, occupational exposure to pollut-
by the interaction of motor vehicle emissions
ants, dietary factors, availability and quality of
(hydrocarbons, nitrogen oxides, and the like)
in the atmosphere Table A.1. Health Effects of Common
• Other pollutants generated by mobile sources Air Pollutants
(e.g., carbon monoxide and lead)
• Miscellaneous pollutants (e.g., cadmium and Pollutant Health effect
lead) generated by localized point sources such
Particulate Decreased lung function; increased res-
as smelters and manufacturing plants. matter; sulfur piratory morbidity among susceptible
dioxide adults and children; increased mortality
Health Outcomes among the elderly and the chronically ill
Ozone Eye, nose, and throat irritation; chest
Health outcomes are usually precisely defined. tightness; cough; shortness of breath;
They are often expressed as a measure of breath- pain on inspiration
ing capacity, such as forced expiratory volume
Nitrogen Increased risk of respiratory disease in
(FEV), forced vital capacity (FVC), or forced ex- oxides children under 12 years old
piratory flow (FEF). However, respiratory
symptoms such as cough, phlegm, and throat Lead Impaired neurological development; high
blood pressure
irritation, the incidence of respiratory disease,
52 IMPLEMENTING POLICIES: SETTING PRIORITIES

medical care, and age. The age structure of the believe that the dose-response relationship cal-
population is especially important because chil- culated for one area will be exactly the same as
dren and the elderly are more susceptible to res- that for another. Differences in the composition
piratory infection. of air pollution, in the age distribution of the
population, in access to and quality of medical
Applying the Dose-Response Function care, in baseline health, and in education and
other behavioral and socioeconomic variables
Calculating the total health impact of a proposed may cause variations in the response to air pol-
pollution control program is relatively easy once lution exposure.
the dose-response functions have been estimated. In an effort to estimate the health effects of air
The dose-response equation given below is taken pollution in Latin America, where few epidemio-
from Evans et al. (1984), which summarizes the logic studies have been done to obtain dose-re-
results of numerous cross-sectional analyses. The sponse functions, Romieu, Weitzenfeld, and
equation relates excess mortality to total sus- Finkelman (1990) applied to a hypothetical popu-
pended particulates (TSP). lation dose-response functions for TSP found in
the literature (see Table A.2). The hypothetical
Excess mortality = 0.45 × rTSP × POP population was similar in size and age distribu-
where POP is the size of the exposed population tion to the sum of all “high-risk” Latin American
and rTSP is the magnitude of the proposed cities. The assumption used was that among the
change in pollution measured in micrograms per total population of 81 million people, 14.5 mil-
cubic meter (µg/m 3). Excess mortality is ex- lion would be exposed to a very high level of TSP
pressed as the age-adjusted mortality rate per (250 µg/m3), 23.5 million would be exposed to a
100,000 persons. high level of TSP (150 µg/m3), and 43 million
Ideally, the total life-years saved as a result of would be exposed to a moderate level of TSP (100
an environmental improvement would be mea- µg/m3). Table A.2 shows the health impacts at-
sured. This can be done only when the dose-re- tributable to TSP levels above the WHO guide-
sponse function is estimated separately for line value of 75 µg/m3. For instance, over 24,000
different age groups—which, unfortunately, sel- deaths, representing 6% of annual mortality,
dom occurs. would be avoided if TSP levels were reduced to
Recently, dose-response functions estimated 75 µg/m3.
for one country have been applied to popula-
tions lacking their own epidemiologic studies Note
in order to estimate the effects of exposure to
air pollution. Although this practice, referred
1. The term risk assessment is used in a wide variety
to as “benefits transfer,” does provide a rough of contexts and meanings. Here, comparative risk as-
estimate of the adverse health effects caused sessment refers to an analytical approach to estimating
by pollution in these previously unstudied the key environmental health risks faced by a popula-
countries, it should be applied with caution. tion group. The approach does not address ecosystem
Without further testing, there is no reason to impacts, which should be considered separately.

Table A.2. Health Effects of Selected Annual Mean TSP Levels in a Hypothetical Population
Micrograms per cubic meter
Excess number 250 150 100 Total

Mortality (thousands per year) 11.5 7.9 4.9 24.3


Chronic cough in children (millions per year) 1.1 0.76 0.47 2.3
Respiratory-related restricted activity days (RRAD) in adults
(millions of days per year) 32.0 21.0 12.0 65.0
Chronic bronchitis in the elderly (thousands) 50.0 33.0 22.0 105.0
Source: Romieu, Weitzenfeld, and Finkelman 1990.
Comparative Risk Assessment 53

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