Evaluating the effectiveness of air quality regulations: A review of accountability studies and frameworks

Assessments of past environmental policies—termed accountability studies—contribute important information to the decision-making process used to review the efficacy of past policies, and subsequently aid in the development of effective new policies. These studies have used a variety of methods that have achieved varying levels of success at linking improvements in air quality and/or health to regulations. The Health Effects Institute defines the air pollution accountability framework as a chain of events that includes the regulation of interest, air quality, exposure/dose, and health outcomes, and suggests that accountability research should address impacts for each of these linkages. Early accountability studies investigated short-term, local regulatory actions (for example, coal use banned city-wide on a specific date or traffic pattern changes made for Olympic Games). Recent studies assessed regulations implemented over longer time and larger spatial scales. Studies on broader scales require accountability research methods that account for effects of confounding factors that increase over time and space. Improved estimates of appropriate baseline levels (sometimes termed “counterfactual”—the expected state in a scenario without an intervention) that account for confounders and uncertainties at each link in the accountability chain will help estimate causality with greater certainty. In the direct accountability framework, researchers link outcomes with regulations using statistical methods that bypass the link-by-link approach of classical accountability. Direct accountability results and methods complement the classical approach. New studies should take advantage of advanced planning for accountability studies, new data sources (such as satellite measurements), and new statistical methods. Evaluation of new methods and data sources is necessary to improve investigations of long-term regulations, and associated uncertainty should be accounted for at each link to provide a confidence estimate of air quality regulation effectiveness. The final step in any accountability is the comparison of results with the proposed benefits of an air quality policy.

Implications: The field of air pollution accountability continues to grow in importance to a number of stakeholders. Two frameworks, the classical accountability chain and direct accountability, have been used to estimate impacts of regulatory actions, and both require careful attention to confounders and uncertainties. Researchers should continue to develop and evaluate both methods as they investigate current and future air pollution regulations.     

Overview of Proposed Air Emission Standards and Guidelines for Municipal Waste Combustors

The EPA proposed regulations for municipal waste combustors (MWCs) on December 20, 1989. The regulations include (1) performance standards under Section lll(b) of the Clean Air Act (CAA) for new, modified, or reconstructed MWCs and (2) draft emission guidelines and compliance schedules for the states to use to develop control requirements from existing MWCs under Section 111(d).

This paper will outline the proposed air emission standards and guidelines, as well as the basis for the prescribed emission limits. The schedule for the remainder of the regulations development will also be discussed.     

Overview of proposed air emission standards and guidelines for municipal waste combustors

The EPA proposed regulations for municipal waste combustors (MWCs) on December 20, 1989. The regulations include (1) performance standards under Section 111(b) of the Clean Air Act (CAA) for new, modified, or reconstructed MWCs and (2) draft emission guidelines and compliance schedules for the states to use to develop control requirements from existing MWCs under Section 111(d). This paper will outline the proposed air emission standards and guidelines, as well as the basis for the prescribed emission limits. The schedule for the remainder of the regulations development will also be discussed.     

An Alternate Compliance Strategy for Title III of the 1990 Clean Air Act Amendments

ABSTRACT

An alternate compliance strategy (ACS) is developed which incorporates pollution prevention and flexibility to replace traditional end-of-pipe (EOP) control strategy regulation. The ACS takes into consideration the intent of the 1990 Clean Air Act Amendments (CAAA) to incorporate pollution prevention into regulations and provides a viable mechanism for implementation. This proposed new compliance strategy was developed after studying the CAAA regulations, related compliance issues, and pollution prevention literature. The ACS is defined by amending language in the Hazardous Organic National Emission Standards for Hazardous Air Pollutants (HON) regulation into a performance-based standard permitting regulated facilities to design compliance programs to meet all requirements.

A change in regulation is considered reasonable only if it forces the same emission reductions, reduces risk a comparable amount, and is acceptable to the public, the regulators, and the regulated industry. In order to demonstrate that the ACS can meet all these requirements, an example application is summarized from an ethylene oxide-ethylene glycol plant. The example demonstrates that the ACS reduces hazardous air pollution (HAP) emissions more than the HON rule requires. Three evaluation methods are developed and applied to further demonstrate the acceptability of the ACS. They include a qualitative evaluation matrix, a total cost assessment, and

a risk reduction measurement model. Results indicate that the ACS provided a preferable compliance program.

The ACS should be adopted as an alternative method of compliance. It provides a major step in the progression of regulations from the traditional EOP treatment philosophy to pollution prevention performance-based standards.     

Environmental Auditing—A Timely and Effective Tool

The requirements of environmental regulations imposed on industry are complex and expensive. As these regulations have developed, corporate compliance programs have had to become more sophisticated. For many, this means that an environmental auditing program is now timely (or overdue) for organizing their approach to meeting the constraints of these regulations. Contributing to this timeliness is a renewed emphasis by regulators on enforcement activities. This paper discusses what environmental auditing is and what it consists of, gives examples from a few approaches which are currently being used, and reviews some of its benefits and liabilities.     

The New Clean Air Act Operating Permit Program: EPA’s Proposed Regulations

The 1990 Clean Air Act Amendments added a new Title V to the Act which establishes an operating permit program for numerous sources of air pollution. Certain sources are currently required to obtain a construction or “new source review” permit; the 1990 Amendments will require many more sources to apply for a permit which will give them permission to operate. CAA Title V was modeled on the National Pollutant Discharge Elimination System (NPDES) permit provisions of the Clean Water Act, but there are important differences between the two statutes.

Although many states already have their own operating permit programs, by late 1993 every state must establish a program that meets the requirements of Title V and EPA’s implementing regulations. EPA recently proposed these regulations, and by the statutory deadline of November 15, 1991 hopes to issue final regulations establishing the minimum elements of state operating permit programs. These regulations will significantly affect implementation of air pollution measures for years to come because a Title V operating permit will have to assure compliance with all applicable CAA requirements. In addition, permitted sources will be required to pay fees to cover the costs of the permit program.     

Reducing Opacity by Optimizing Maintenance and Operating Practices

Titus Generating Station, owned and operated by the Metropolitan Edison Company, a subsidiary of the General Public Utilities Corporation, is located in the Reading Air Basin as defined in the Pennsylvania State Law applicable to air resources. Titus Station consists of three boilers which provide steam to generate 240 megawatts of electricity. The station consumes about 600,000 tons of western Pennsylvania bituminous coal each year. Because of its location in an air basin, the operation of Titus Station in compliance with visible and SO₂ emissions standards has been under close scrutiny since 1972. Since that date, Titus Station has operated under various consent orders, variances, and temporary operating permits as Issued by the Pennsylvania Department of Environmental Resources. During this period, efforts were made in all areas of station operation and maintenance to bring Titus Station emissions into compliance, including; Increase of precipitator collector area, revision of coal specifications, closer scrutiny of coal deliveries, implementation of comprehensive precipitator maintenance practices, revision of boiler operating procedures, installation of stack monitoring equipment, and revision of SO₂ emissions regulations. These efforts resulted in continuous compliance with SO₂ regulations and nearly complete compliance with opacity regulations.     

Simulation and evaluation of 2010 emission control scenarios in a Mediterranean area

At the onset of the 2010 statutory deadline for the respect of the European National Emission Ceiling directive, two questions arise. Will the engaged regulations for the respect of ozone air quality thresholds be fully efficient on the most polluted regions? How can we design the continuation of ozone control in those areas? This study is based on refined 3D modelling studies over a French Mediterranean region. It compares 2001 and 2003 situations with several prospective 2010 emission scenarios with, for the first time, the evaluation of local action plans. The degree of compliance with air quality regulation is investigated and the impact of emission control on the local potential for ozone formation is discussed. The results show that current efforts on emissions, although substantial and efficient, are not sufficient yet to abrogate all the ozone threshold exceedances. They also highlight the gap between regulatory and effective emission control, as well as the need for regional regulations to complete national efforts. Finally, the simulations indicate that large-scale emission control significantly helps reducing rural ozone (?20 ppbv) but affects much fewer (?2 to ?10 ppbv) the highest peaks. The continuation and the strengthening of ozone policies under their current form in such regions are considered.     

Condensed Sulfur Trioxide—Particulate or Vapor?

Sulfuric acid from condensed sulfur trioxide (SO₃) has been found in the filtering medium used in the EPA/APCO, WP-50, and high-volume sampling methods. The amount of sulfuric acid ranged from 1 8 to 78% of the total particulate matter found when sampling emissions from oil-fired boilers. These levels were high enough to determine whether a unit is in compliance with regulations. A question is raised as to whether condensed sulfur trioxide should be included in particulate measurements or eliminated after analyzing the filter medium.     

Multi-adsorbent Preconcentration and Gas Chromatographic Analysis of Air Toxics with an Automated Collection/Analytical System

Section 507 of the 1990 Clean Air Act Amendments (CAAA) requires states to develop a small business stationary source and environmental compliance assistance program to aid small businesses impacted by applicable air quality regulations. In general, the program consists of three main components: (1) a small business assistance program (SBAP) for providing compliance and technical assistance to small businesses; (2) an ombudsman for providing direct oversight to the SBAP; and (3) a compliance advisory panel consisting of members from both the public and private sector responsible for determining the overall effectiveness of the SBAP. The key component of the program for assisting small businesses is the SBAP. Providing the necessary assistance to small businesses regarding such issues as permit applicability, rights under the CAAA and emission control options will require the SBAP to develop both proactive and reactive components. The proactive component involves providing outreach services in the form of collecting and disseminating compliance and technical information to small businesses. The reactive component includes the establishment of an information clearinghouse for handling the many inquiries from members of the small business community who have never been subject to air pollution control regulations. States without the available resources to fully implement an SBAP may need to rely on contractor assistance. This paper briefly describes the establishment of the program, provides an overview of each of the program components, discusses many of the ways in which states may implement both the proactive and reactive components of the SBAP, and lists the types of contractors most suitable for SBAP assistance.     

Marine protected areas in the eastern African Region: how successful are they?

This article reviews the governance and management of Marine Protected Areas (MPAs), and the coral reefs they contain, in the eastern African Region. This includes the Comoros, Kenya, Madagascar, Mauritius, Mozambique, Tanzania, and the Seychelles. Three generations or categories of MPAs are distinguished: i) small areas for protection of a single species or unique marine habitat; iii) large multiple use MPAs designed for coastal development as well as biodiversity protection; and iii) MPAs managed by a nongovernmental organization (NGO) or the private sector. Each of these MPA types is examined according to the policies, legislation, and management systems they entail as well as the economic and community situation they operate within. The paper also provides a review of some eastern African MPAs in terms of their size and location, the type of MPA, zonation schemes, and financial status. The successes of the different types of MPAs are discussed based on specific indicators, such as changes in biodiversity, infrastructure, compliance to regulations and the level of involvement of primary stakeholders in the management. From the review it is clear that a fourth generation of MPAs may be forthcoming; community-based MPAs. Although lack of data makes it difficult to assess the effectiveness of these different categories of MPAs, it is clear that no MPA can succeed without support of the local communities. Generally, the results of the analysis are promising for MPAs, however a lack of data is hampering a deeper analysis. The major issues facing MPAs in the region are highlighted, as well as some regional initiatives striving to address these issues. A number of recommendations are made, aiming to strengthen the establishment and management of MPAs in the eastern African region.     

The farmer as a landscape steward: Comparing local understandings of landscape stewardship,landscape values,and land management actions

We develop a landscape stewardship classification which distinguishes between farmers’ understanding of landscape stewardship, their landscape values, and land management actions. Forty semi-structured interviews were conducted with small-holder (<5 acres), medium-holders (5–100 acres), and large-holders (>100 acres) in South-West Devon, UK. Thematic analysis revealed four types of stewardship understandings: (1) an environmental frame which emphasized the farmers’ role in conserving or restoring wildlife; (2) a primary production frame which emphasized the farmers’ role in taking care of primary production assets; (3) a holistic frame focusing on farmers’ role as a conservationist, primary producer, and manager of a range of landscape values, and; (4) an instrumental frame focusing on the financial benefits associated with compliance with agri-environmental schemes. We compare the landscape values and land management actions that emerged across stewardship types, and discuss the global implications of the landscape stewardship classification for the engagement of farmers in landscape management.     

Design of Monitor Networks to Meet Multiple Criteria

For most monitoring networks, demonstration of compliance with ambient air quality standards is only one of many interrelated purposes served. The network also may be needed (1) to assess current air quality, (2) to assess regional background air quality, (3) to determine individual source “culpability,” (4) to validate or calibrate a particular dispersion model, (5) to assess effectiveness of a control strategy, or (6) to determine the risk of damage to certain critical or sensitive receptors. Monitoring to support compliance with Prevention of Significant Deterioration regulations is now also an important issue for many new sources. The same network may have to perform many of these functions for several pollutants that have different source locations and different characteristic averaging times. This paper presents a method for systematically addressing each of these concerns. The method includes use of a statistical computer model, MONITOR. This model provides quantitative estimates of relative probabilities in order to assess whether a particular network design will meet each of these criteria. A sample application of the method is provided.     

Cost-Effectiveness of a Photochemical Oxidant Episode Regulation

The precursors used to conduct and the results of a cost-effectiveness study of photochemical oxidant episode control actions for the State of Illinois are analyzed. The method is general enough to be used in analyzing short-term episode regulations in other geographical areas and for other types of pollutants. Real costs and the probable emission reductions of the precursor compounds to oxidant formation, hydrocarbons and nitrogen oxides, are estimated for each of twenty-two control actions and for sets of control actions that are implemented at four episode stages. Control actions affect the use of motor vehicles and parking facilities; scheduling of road repairs; and the operation of manufacturing and other facilities having process emissions, electric power plants, commercial establishments, and refuse incinerators. The actions are analyzed and compared on the basis of relative economic efficiency. The expected annual cost of the regulation and the distribution of cost across sectors are also discussed. The annual cost of the oxidant episode regulation in the Chicago SMSA Is estimated to be $12.9 million; expected annual emission reductions are 1180 ton hydrocarbons and 970 ton nitrogen oxide. It is concluded that the expected cost of the regulation is not overly restrictive if the frequency of major curtailments in manufacturing and transportation is low; the cost is relatively small compared with the estimated annual cost of sulfur dioxide and particulate controls.     

Recovery of the histogram of hourly ozone distribution from weekly average concentrations

A simple method is presented for estimating hourly distribution of air pollutants, based on data collected by passive sensors on a weekly or bi-weekly basis with no need for previous measurements at a site. In order for this method to be applied to locations where no hourly records are available, reference data from other sites are required to generate calibration histograms. The proposed procedure allows one to obtain the histogram of hourly ozone values during a given week with an error of about 30%, which is good considering the simplicity of this approach. This method can be a valuable tool for sites that lack previous hourly records of pollutant ambient concentrations, where it can be used to verify compliance with regulations or to estimate the AOT40 index with an acceptable degree of exactitude.     

Panel Discussion on Energy Efficiency

The session on energy efficiency had no formal presentations and was organized as a panel discussion with four panelists. It was concluded that energy efficiency and saving measures on the short term is the most effective way to contribute to a sustainable energy system. Measures to improve and encourage energy efficiency should be implemented at all levels; municipal/local, national and super-national. Prices can be an effective instrument but need to be combined with systemic level measures. The transport sector was identified as the one with largest near future potential for increased energy efficiency. Agriculture and food is also an area with very large energy consumption and large potential for increased energy efficiency. The global population issue is yet another relevant, challenging and complex issue. It was noted that energy audits for end users in business and society increase awareness and insights into what they pay for, and they are likely to promote actions to save energy. Many measures are believed to suffer from Jevin’s paradox, i.e., that more efficient use of energy just leads to more energy consumption somewhere else. Many examples were given, however, where this does not happen. Another point put forward was that measures to make the energy system more efficient do not only mean constraints and regulations but also create great opportunities for market actors and societies.     

A review of regulations and guidelines related to winter manure application

Winter manure application elevates nutrient losses and impairment of water quality as compared to manure applications in other seasons. In conjunction with reviewing global distribution of animal densities, we reviewed worldwide mandatory regulations and voluntary guidelines on efforts to reduce off-site nutrient losses associated with winter manure applications. Most of the developed countries implement regulations or guidelines to restrict winter manure application, which range from a regulative ban to guidelines based upon weather and field management conditions. In contrast, developing countries lack such official directives, despite an increasing animal production industry and concern over water quality. An analysis of five case studies reveals that directives are derived from a common rationale to reduce off-site manure nutrient losses, but they are also affected by local socio-economic and biophysical considerations. Successful programs combine site-specific management strategies along with expansion of manure storage to offer farmers greater flexibility in winter manure management.     

Risk-based Decision Process for Arsenic in Soils: Implications of Conservative Protocols

Making defensible risk-based decisions is a complex process that incorporates risk assessment into a risk management framework. Many site investigations require additional study, negotiations and/or actions for arsenic detected in soil samples, in many cases where no process related sources are identified and no other chemicals of concern are identified. Regulatory agencies develop guidance to standardize approaches to risk-based site investigations that focus on achieving “safe” concentrations. For arsenic, the action level is frequently in the “gray region”, a U.S. Environmental Protection Agency (USEPA) term associated with a region of high uncertainty for risk management decisions in the “decision performance curve” associated with the data quality objective (DQO) process. Recognizing the conservative nature of the risk-based screening value for arsenic, approaches to enforce this level (or proof of comparability to natural background) may have numerous consequences including ineffective use of resources, stigmas on properties or actions at industrial or hazardous sites that are inconsistent with their regional setting. Florida has developed regulations and guidance on investigation of brownfield sites and has supported a study by the University of Florida (UF) to evaluate natural background concentrations in Florida soils. This paper discusses the sources of uncertainty near the soil cleanup target levels (SCTLs) in the Florida decision-making framework.     

Risk-based Decision Process for Arsenic in Soils: Implications of Conservative Protocols

Making defensible risk-based decisions is a complex process that incorporates risk assessment into a risk management framework. Many site investigations require additional study, negotiations and/or actions for arsenic detected in soil samples, in many cases where no process related sources are identified and no other chemicals of concern are identified. Regulatory agencies develop guidance to standardize approaches to risk-based site investigations that focus on achieving "safe" concentrations. For arsenic, the action level is frequently in the "gray region", a U.S. Environmental Protection Agency (USEPA) term associated with a region of high uncertainty for risk management decisions in the "decision performance curve" associated with the data quality objective (DQO) process. Recognizing the conservative nature of the risk-based screening value for arsenic, approaches to enforce this level (or proof of comparability to natural background) may have numerous consequences including ineffective use of resources, stigmas on properties or actions at industrial or hazardous sites that are inconsistent with their regional setting. Florida has developed regulations and guidance on investigation of brownfield sites and has supported a study by the University of Florida (UF) to evaluate natural background concentrations in Florida soils. This paper discusses the sources of uncertainty near the soil cleanup target levels (SCTLs) in the Florida decision-making framework.     

Legal aspects of pesticides and toxic substances testing requirements

Abstract

The United States Environmental Protection Agency administers several laws and progrms through which it reviews the hazard potential of pesticides and other toxic substances which may present a risk to human health or the environment. The Agency's ability to assess hazard as required by law depends in part on test data developed through testing standards in Agency regulations. In reviewing the Agency's actions in this regard, the courts emphasize the importance of reasoned regulatory decisions. The legal requirements to assess risk and provide reasoned decisions in this regard establish the legal importance of testing guidelines and test data, and indicate that sound test methodology is as important legally as it is scientifically.