Appendix 1 Technical Support Docume nt for HEM-3 Modeling

## Modeling for the Residual Risk and Technology Review Using the Human Exposure Model 3 – AERMOD Version

Updated 8/7/2008

Technical Support Document

Prepared for:

U. S. Environmental Protection Agency

Office of Air and Radiation Office of Air Quality Planning and Standards

Emissions Standards Divisi on, Risk and Exposure Group Research Triangle Park, NC 27711

Prepared by:

EC/R Incorporated 501 Eastowne Drive, Suite 250 Chapel Hill, North Carolina 27514ii 

### Disclaimer

The research described in this document has been funded by the

United States Environmental Pr otection Agency contracts 68-D01-076 and 68-D-06-119 to EC/R Incorporated. Although it has been subject to the Agency's revi ew, it does not necessarily reflect the views of the Agency, and no official endorsement should be

inferred.iii 

## Contents

1. Introduction ................................................................................................................................. 1

2. Overview of the HEM3– AERMOD System.............................................................................. 2 2.1 Preparation of Dispersion Modeling Inputs ........................................................................ 3 2.1.1 Compiling Emission Source Data .............................................................................. 3 2.1.2 Defining the Modeling Domain and Receptors ......................................................... 4 Treatment of Nearby Census Blocks a nd Screening for Overlapping Blocks ............... 4 Polar receptor network ................................................................................................... 5 Elevations and hill heights for model receptors ............................................................. 5 2.1.3 Selection of Meteorological Data .............................................................................. 6 2.2 Running of AERMOD ........................................................................................................ 6 2.2.1 AERMOD Dispersion Options Used by HEM3 ........................................................ 6

2.2.2 Use of Dilution Factors .............................................................................................. 7 2.3 Postprocessing of AERMOD Results in HEM3 ................................................................. 7 2.3.1 Calculation of Impacts at Modeled Receptors ........................................................... 8 2.3.2 Interpolation of Impacts at Outer Census Blocks ...................................................... 9 2.3.3 Calculation of Populati on Exposures and Incidence ............................................... 10 2.3.4 Model Outputs ......................................................................................................... 10

2.4 Data Libraries Used in HEM3 .......................................................................................... 11

2.4.1 Chemical Health Effects Information ...................................................................... 11

2.4.2 Census Block Locations and Elevation Data ........................................................... 12 2.4.3 Meteorological Data ................................................................................................. 12 2.4.4 Gaseous Deposition Parameters ............................................................................... 13

3. Modeling for the Residual Risk Technology Review .............................................................. 14 3.1 Emission Source Inputs ...................................................................................................

.. 14 3.2 Pollutant Cross-Referencing ............................................................................................. 15 3.3 Meteorological Data.......................................................................................................... 15 3.4 Model Options Selected ...................................................................................................

. 18 3.4.1 Urban or Rural Dispersion Characteristics .............................................................. 19 3.4.2 Deposition and Plume Depletion ............................................................................. 19

3.4.3 Cutoff Distance for Mode ling of Individual Blocks ................................................ 20 3.4.4 Plant Boundary Assumptions ................................................................................... 20 3.5 Modeling of Multiple Facilities ........................................................................................ 20

4. Quality Assurance .........................................................................................................

............ 21 4.1 Engineering Review .......................................................................................................

... 21 4.2 Geographic Checks ........................................................................................................... 21

5. Uncertainties ............................................................................................................................. 24iv 6. References ................................................................................................................................. 31



## Figures

Figure 3-1. Meteorological data availabl e in the HEM3 library for AERMOD. .......................... 18 Figure 4-1. Illustration of a quality assurance test for Census block coordinates located on plant

property. .....................................................................................................................

........ 23



## Tables

Table 2-1. Parameters Used to Deli neate the Modeling Domain in HEM3 ................................... 4 Table 3-1. Groupings Used for Po lycyclic Organic Matter in the RTR Phase II Modeling Effort

. . ........................................................................................................................... ............. 16 Table 3-2. Modeling Domain and Model Set-Up Options in the HEM-3 Model As Used in the Residual Risk and Technology Review Assessments ........................................................ 19 Table 5-1. Summary of Genera l Uncertainties Associated wi th Risk and Technology Review

Risk Assessment ................................................................................................................ 261 

## 1. Introduction

This document describes the modeling appro ach used to estimate the risks to human populations in support of the Residual Risk and Technology Review currently being carried out by the U.S. Environmental Protection Agency (EPA). The model used in these risk assessments was the Human Exposure Model, Version 3 (HEM3) . HEM3 incorporates the AERMOD, a state of the art air dispersion model developed under the direction of the American Meteorological Society / Environmental Protection Agency Regulatory Model Improvement Committee (AERMIC).

Section 2 of this report provides an over view of the HEM3 system; and Section 3 describes inputs and choices made in implementing the model for the RTR program. Quality assurance efforts undertaken in the modeling effort are discussed in Sec tion 4, and uncertainties associated with the modeling effort are discussed in Section 5.2 

## 2. Overview of the HEM3– AERMOD System

HEM3 performs three main operations: di spersion modeling, estimation of population exposure, and estimation of human health risk s. Two options are provided for dispersion modeling. The first is the American Meteor ological Society (AMS) EPA Regulatory Model (AERMOD). 1,2 The second option is the Industrial Source Complex - Short Term, Version 3 (ISCST3) model. Both of these dispersion models handle a wide range of different source types which may be associated with an industrial source complex, including stack sources, area sources, and volume sources. AERMOD was used for the RTR modeling effort.

To prepare dispersion modeling inputs and carry out risk calculations, HEM3 draws on four data libraries, which are provided with the model. The first is a library of meteorological data for over 120 stations, which are used for dispersion calculations. A second library of Census block internal point lo cations and populations provides the basis of human exposure calculations (Census, 2000). This Census library also includes the elevation of each Census block, which can also be used in dispersion calcul ations, at the option of the model user. A third library of pollutant unit risk estimates and re ference concentrations is used to calculate population risks. These unit risk estimates and reference concentrations are based on the latest values recommended by EPA for hazardous air po llutants (HAP) and other toxic air pollutants (EPA, 2007). The fourth data library is used only with AERMOD and only when the user opts to compute deposition or plume depletion. This da tabase provides deposition parameters for gaseous pollutants.

HEM3 has been implemented in two versi ons: a single-plant ve rsion, and a community

and sector version. The latter was used in this modeling effort. Both versions operate under the same general principles. In e ssence, the community and sector version provides a platform for running the single plant version multiple times. In both versions, source location and emissions data are input through a set of Ex celTM spreadsheets. The main diffe rence is in the user interface for other model inputs. The single plant incl udes a graphical user in terface (GUI) for the selection of various dispersion modeling options. In the comm unity and sector version of HEM3, a control file replaces many of these GUI inputs.

The model estimates cancer risks and noncancer adverse health effects due to inhalation exposure at Census block internal point locations, and at other receptor lo cations that can be specified by the user. Cancer risks are comput ed using EPA’s recommended unit risk estimates for Hazardous Air Pollutants (HAP) and other to xic air pollutants. The resulting estimates

reflect the excess cancer risk for an individual br eathing the ambient air at a given receptor site 24-hours per day over a 70-year lifet ime. The model estimates the numbers of people exposed to various cancer risk levels. In addition, HEM3 estimates the total incremental cancer risks for people living within different distan ces of the modeled emission sources.3 Potential noncancer health e ffects due to chronic exposures are quantified using hazard quotients and hazard indices for various target organs. The “hazard quotient” for a given chemical and receptor site is the ratio of the ambient concentration of the chemical to the

reference concentration. The “hazard index” for a given organ is the sum of hazard quotients for substances that affect that organ. HEM3 comp utes target-organ-specific hazard indices (TOSHI) for HAPs and other toxic air polluta nts, and estimates the numbers of people exposed to different

hazard index levels. In additi on, maximum short term concentrations are computed for all pollutants, and concentrations are compared with threshold levels for acute health effects.

The following sections outline the methodologies used in the HEM3 system. Section 2.1 describes the preparation of di spersion modeling inputs, Secti on 2.2 describes the running of AERMOD, Section 2.3 describes calculations performed by HEM3 to calculate risks and exposures, and Section 2.4 details the sources and methods used to produce HEM3’s data libraries. The HEM3 User’s Manual provides add itional details on the input data and algorithms

used in the model. 3 Specific model options used in the RTR are discussed in Chapter 3.



### 2.1 Preparation of Dispersion Modeling Inputs

HEM3 compiles data that will be needed for dispersion modeling, and prepares an input file suitable for running AERMOD. The disper sion modeling inputs can be divided into three main components: emission source data, inform ation on the modeling domain and receptors for which impacts will be comput ed, and meteorological data.

2.1.1 Compiling Emission Source Data

A series of ExcelTM spreadshee t files are used to specify th e emissions and configuration of the facility to be modeled. At a minimum, tw o files are needed: a po llutant emission file, and

an emission location file. The emission file incl udes an emission source identification code for each emission source at the facility, the name s of pollutants emitted by each source, and the emission rate for each pollutant. In addition, if the model run is to incorporate deposition or plume depletion, the emission file mu st also specify the percentage of each pollutant that is in the form of particulate matter. The bala nce is assumed to be in vapor form.

The emission location file includes the coordi nates of each source, as well as information on the configuration and other characteristics of the source. HEM3 can analyze stack sources, area sources, or volume sources. a For stack sources, the locati on file must provide the stack height, stack diameter, emission ve locity, and emission temperature. The file must also provide dimensions for each area or volume source, as we ll as the height of the source above the ground. For area sources, the angle of rotation from north can also be specified. The user can also

I For definitions of stack, area, and volume sources , please see the AERMOD documentation. AERMOD provides the capability to analyze some other emission sour ce configurations, such as storage piles, however these configurations are not supported by HEM3.4 provide the terrain elevation at the base of each source, and the controlling hill height for each source. (The controlling hill height is used in AERMOD’s flow calculations. Calculation of the hill height is discussed in Section 2.4.2.) If these are not provided, HEM3 will calculate terrain elevations and controlling hill heights based on elevations and hill heights for the Census blocks nearest to the facility.

If particulate deposition or plume depletion are to be cons idered, then HEM-3 requires a third input file to specify the particle size distribution and sc avenging parameters for various particle size ranges. Another opti onal file can be used to specif y building dimensions if building

wake effects are to be modeled.

2.1.2 Defining the Modeling Domain and Receptors

HEM3 defines a modeling domain for each faci lity that is analyzed based on parameters specified by the model user. These parameters are summarized in Table 2-1. The modeling domain is circular, and is centered on the facil ity, with a radius specifi ed by the user. For the RTR analysis, the radius of the modeling domain is 50 kilometers (km). HEM3 identifies all of the Census block locations in the modeling domai n from its Census database, and divides the blocks into two groups based on their distance from the facility. For the inner group of Census blocks (closest to the facility ), each block location is modeled as a separate receptor in

AERMOD. The cutoff distance fo r modeling individual Census blocks is determined by the model user. The model user can also provide an ExcelTM spreadsheet specifying additional locations to be included as model receptors in AERMOD. These additional discrete receptors may include plant boundary locations, monitoring s ites, individual residen ces, schools, or other

locations of interest.

For Census blocks in the outer group, beyond this modeling cutoff distance, emissions impacts are interpolated based on modeling results for a polar receptor network. The user also specifies an “overlap” distance,

within which Census block coordinates will be considered to be on plant property. The following paragraphs provide more details on the treatment of blocks near the facility, on the polar receptor network, and on the determination of receptor elevations and controlling hill heights to be used in

AERMOD.

Treatment of Nearby Census Blocks and Screening for Overlapping Blocks

Census block locations near the facility are modeled as separate receptors Table 2-1. Parameters Used to Delineate the Modeling Domain in HEM3

Parameter Typical

value

Modeling domain size – maximum

distance to be modeled a 50 km

Cutoff distance for modeling of

individual blocks b 2,000 – 3,000 m

Overlap distance – where receptors will be considered to be on plant property b 30 m

Polar receptor network

Distance to the innermost ring a 100 m

N umber of concentric rings 13

N umber of radial directions 16

a Measured from the center of the facility.

b Measured from each stack at the facility, and from the edges of each area or volume source.5 within AERMOD. The cutoff distance for modeli ng of individual Census blocks is chosen by the user, and is tpically between 2000 and 3000 mete rs. This distance is not measured from the center of the facility, but is the minimum distance from any source at the facility. Therefore, any

Census block location that is within the cutoff distance from any emission source is treated as a discrete AERMOD receptor.

HEM3 checks Census blocks that are very clos e to the facility in order to assess whether they overlap any area or volume emission sources. In addition, the user can specify an overlap distance, within which receptors will be consider ed to be on plant property. The default value for the overlap distance is 30 meters, or approxima tely equal to the width of a narrow buffer and a roadway. HEM3 tests each nearby receptor to dete rmine whether it is within this distance from any stack or from the perimeter of any area or volume source. If a receptor falls within this distance, HEM-3 will not calculate risks based on the location of that receptor, but will instead assume that the risks associated with the receptor are the same as the highest predicted value for any receptor that is not overlapping. The locat ion for calculating the default impact may be either another Census block, one of the polar gr id receptors, or one of the additional discrete receptor locations provided by the model user.

Polar receptor network

The polar receptor network used in HEM3 serv es three functions. First, it is used to estimate default impacts if one or more Census lo cations are inside the overlap cutoff distance is used to represent the plant boundary. Second, it is used to evaluate potentia l acute effects that may occur due to short-term exposures in unpopu lated locations outside the plant boundary. Third, the polar receptor network is used to in terpolate long-term and short-term impacts at

Census block locations that are outside the cuto ff distance for modeling of individual blocks.

The user defines the inner radius for the pol ar receptor network, th e number of concentric rings to be analyzed, and the number of radial di rections. The inner radius of the polar network should the minimum distance from the facility center that is generally outs ide of plant property. (For complex plant shapes, it is sometimes useful to specify an inner ring that encroaches on facility property in some direc tions.) The default, and also the minimum inner radius for the polar network is 100 meters (m). A typical run includes 13 concentric rings and 16 radial

directions. HEM3 will distribut e the radial directions even ly around the plant. For the concentric rings, the model will generate loga rithmic progression of di stances starting at the inner ring radium and ending at the outer radius of the modeling domain. In the single plant version of HEM3, the user can ch ange these ring distances to meet the needs of a specific study.

Elevations and hill heights for model receptors

The user can specify whether HEM3 will in clude the effects of terrain when running AERMOD. If the terrain option is selected, HEM3 obtains elevations and controlling hill heights for Census block receptors from its internal Ce nsus location library. Section 2.4.2 describes the

derivation of these elevati ons and hill heights.6 Elevations and controlling hill heights for th e polar grid receptors are also estimated based on values from the Census library. HEM3 divides the modeling doma in into sectors based on the polar receptor network, with each Census block assigned to the sector corresponding to the closest polar grid receptor. Each polar grid receptor is then assigne d an elevation based on the highest elevation for any Census block in its sector. The contro lling hill height is also set to the maximum hill height within the sector. If a sector does not contain any blocks, the model defaults to the elevation and controlling hill he ight of the nearest block outside the sector.

2.1.3 Selection of Meteorological Data

In addition to source and receptor information, AERMOD requires surface and upper air meteorological observations in a prescribed format . The model user can select a meteorological station from the HEM3 meteorological data library, or add new files to the library if site-specific data are available. If the user does not spec ify a meteorological station, HEM3 will select the

closest station to the cente r of the modeling domain.



### 2.2 Running of AERMOD

Based on the user input data and other data described in the previous section, HEM3 produces an input file suitab le for AERMOD. HEM3 then runs AERMOD as a compiled executable program. No changes have been made from the version of AERMOD released to the public by EPA. The following sections give additional information on how AERMOD is used

within HEM3.

2.2.1 AERMOD Dispersion Options Used by HEM3

AERMOD provides a wide array of opti ons for controlling dispersion modeling calculations. In general, HEM3 uses the re gulatory default options when running AERMOD. 1
These options include the following:

! consideration of stack-tip downwash (except for Schulman-Scire downwash)

! use of calm processing routines

! use of missing-data processing routines

! consideration of terrain effects

However, the model user can opt to exclude th e effects of terrain when running HEM3. The following additional options are available to the HEM3 user:

! calculation of wet and dr y deposition rates for vapor and particulate mater

! consideration of plume depletion (due to de position) when calculati ng air concentrations

! consideration of building wake effects

! calculation of short term impacts

As noted in Section 2.1, the calculation of de position or depletion and the consideration of building wake effects require additional user inputs.7 The user can opt to analyze short term impacts on a number of different time scales (e.g. 1 hour, 2 hours, etc.), however only one short term time scale can be selected per run. If the user chooses to analyze short term impacts, a multiplier must be specified to reflect the ratio between

the maximum short term emission rate and the long term average emission rate. The default multiplier for short term emissions is a factor of 10. This means that in the default case the

maximum short term emission rate is assumed to be 10 times the long term average emission rate. The multiplier can be set to 1.0 if emissions from the facility are known to be constant.

HEM3 uses the AERMOD TOXICS run op tion, which optimizes the area source integration routine to reduce model runtimes. The TOXICS Sampled Chronological Input Model (SCIM) is not used, since the HEM3 AERMOD me teorological library only includes one year of observations for each station. (The SCIM option can be used to skip a portion of the hourly observations when meteorological data are available for multiple years.)

2.2.2 Use of Dilution Factors

To save computer run time when analyz ing the impacts of multiple pollutants, HEM3 does not model each pollutant separately. Instead , AERMOD is used to compute a series of dilution factors, specific to each emission source and receptor. The dilution factor for a particular emission source and receptor is defined as the predicted ambient impact from the given source and at the given receptor, divided by th e emission rate from the given source.

If the user chooses not to analyze deposition or plume depletion, the dilution factor does not vary from pollutant to pollutant. If eith er deposition or depletion is chosen with the AERMOD dispersion model option of HEM3, separa te dilution coefficients must be computed for each gaseous pollutant. In addition, separate dilution factors must be computed for different components of particulate matter if the com ponents do not have the same particle size

distribution. In the current ve rsion of HEM3, this can be done by creating a separate emission record for each pollutant emitted by from each source. (Common location data and source configurations can be used for different pol lutant records representing the same emission source.)



### 2.3 Postprocessing of AERMOD Results in HEM3

HEM3 estimates total excess cancer risks and potential chronic noncancer health effects for all Census block locations in the modeling domain, all user-defined receptors, and all points in the polar receptor network. Po tential chronic noncancer health effects are expressed in terms

of TOSHI. Based on the results for Census bl ocks and other receptors, HEM-3 estimates the

maximum individual risk and maximum TOSHI for populated receptors, and determines the locations of these maximum impacts. The model al so determines the concentrations of different pollutants at the sites of the maximum risks, and the contributions of different emission sources

to these maximum estimated risks. It should be noted that the locati ons may differ for the

maximum individual cancer risk and for the haza rd indices for different target organs.8 For acute impacts, HEM3 calculates the ma ximum short term concentrations for all pollutants emitted by the facility. These maximum short term concentrations are compared with

various thresholds for acute health effects.

At the option of the model user, HEM3 will also compute the long term and short term predicted ambient concentrations of all pollutant s emitted by the plant at all of the receptors in the modeling domain. In addition, pollutant co ntributions from each emission source at the facility are computed under this option.

Section 2.3.1. describes methods used to cal culate cancer risks and hazard indices for receptors that are explicitly modeled using AE RMOD. Section 2.3.2 describes the interpolation approach used to estimate cancer risks and hazard i ndices at Census blocks that are not explicitly

modeled.

2.3.1 Calculation of Impacts at Modeled Receptors

As noted in Section 2.2.2, HEM3 does not model each pollutant separately unless deposition or depletion is being analyzed. Instead, AERMOD is used to compute a series of dilution factors, specific to each emission source and receptor. HEM3 also conserves computer memory by computing cancer risks and hazard indices directly, without recording the concentration of each pollutant at each receptor. The following algorithms are used to compute

cancer risks and TOSHI for chr onic noncancer health effects.

For cancer risk:

CR T = 

###  i, j CR i, j

CR i, j = DF i, j  CF  

###  k 

### [ E i, k  URE k 

### ]

For TOSHI:

TOSHI T = 

###  i, j TOSHI i, j

TOSHI i, j = DF i, j  CF  

###  k 

### [ E i, k  RfC k 

### ]

where:

CR T = total cancer risk at a given receptor (probability for one person)



###  i, j = the sum over all sources i and pollu tant types j (parti culate or gas)

CR i, j = cancer risk at the given recepto r for source i and pollutant type j

DF i, j = dilution factor [(  g/m 3 ) / (g/sec)] at the given recept or for source i and pollutant type j CF = conversion factor, 0.028 77 [(g/sec) / (ton/year)]



###  k = sum over all pollutants k within pol lutant group j (particulate or gas)

E i, k = emissions of pollutant k from source i and in pollutant type j

URE k = cancer unit risk estimate for pollutant k9 TOSHI T = total target-organ -specific hazard index at a given receptor

TOSHI i, j = target-organ-specific hazard index at the given recepto r for source i and pollutant type j

RfC k = noncancer health effect reference concentration for pollutant k

If the cancer unit risk estimate is not availabl e for a given chemical, then that chemical is

not included in the calculation of cancer risk. Likewise, if the noncancer reference concentration is not available for a given chemical, that chem ical is not included in the calculation of hazard indices. Note also that separa te reference concentrations are used for acute and chronic hazard

indices.

HEM3 computes short term concentrati ons and records the highest short term concentration for each pollutant. In addition, the user can opt to compute and record the short term and long concentrations at each receptor. Concentrations are computed as follows.

Long term concentrations:

AC T, k = 

###  i AC i, k

AC i, k = DF i, j  CF  E i, k

Short term concentrations:

AC T = 

###  i AC i, k

AC i, k = DF i, j  CF  E i, k  M

where:

AC T, k = total estimated ambient concentration for pollutant k at a given receptor



###  i = the sum over all sources i (  g/m 3 )

AC i, k = estimated ambient concentration of po llutant k at the given receptor as a

result of emissions from source i (  g/m 3 )

M = ratio between the estimated maximum s hort term emission rate and the long term average emission rate (dimensionless)

2.3.2 Interpolation of Impacts at Outer Census Blocks

For Census blocks outside of the distan ce cutoff for individual block modeling, HEM-3 estimates cancer risks and hazard indices by inte rpolation from the polar receptor network. Impacts at the polar grid receptors are es timated using AERMOD modeling results and the algorithms described in Section 2.3.1. The impact s at each outer Census block are interpolated from the four nearest polar grid receptors. Th e interpolation is linear in the angular direction, and logarithmic in the radi al direction, as summarized in the following equations:

I a, r = I 1, r + (I 2, r – I 1, r )  (a – A1)  (A2 – A1)10 I A1, r = exp{ln(I A1,R1 ) + [ln(I A1,R2 ) – ln(I A1,R1 )]  [ln r) – ln(R1)]  [ln(R2) – ln(R1)]}

I A2, r = exp{ln(I A2,R1 ) + [ln(I A2,R2 ) – ln(I A2,R1 )]  [ln r) – ln(R1)]  [ln(R2) – ln(R1)]}

where:

I a, r = the impact (cancer risk, h azard index, or concentration) at an angle, a, from north, and radius, r, from the cen ter of the modeling domain a = the angle of the ta rget receptor, from north r = the radius of the target receptor, from the center of the modeling domain A1 = the angle of the polar network recep tors immediately counterclockwise from the

target receptors A2 = the angle of the polar network recepto rs immediately clockwise from the target

receptor R1 = the radius of the polar network recept ors immediately inside the target receptor R2 = the radius of the polar network recept ors immediately outside the target receptor

2.3.3 Calculation of Population Exposures and Incidence

Using the predicted impacts for Census bl ocks, HEM3 estimates the numbers of people exposed to various cancer ri sk levels and TOSHI levels. This is done by adding up the populations for receptors that have predicted can cer risks or TOSHI above the given threshold.

The model also estimates the total annual ex cess cancer risk (incidence) for the entire modeling region. The following equation is used:

TCR = 

### 

m 

### [ CR

m  P

m 

### ]  LT

where: TCR = the estimated total annual cancer risk, or incidence, (cancers/year) to the population living within the modeling domain



### 

m = the sum over all Census blocks m within distance the modeling domain

CR

m

= the total lifetime cancer risk (from all modeled pollutants and emission sources) at

Census block m

P

m = the population at Census block m LT = the average lifetime used to develop the cancer unit risk factor, 70 years

2.3.4 Model Outputs

The following is a summary of the outputs pr oduced by HEM3. These are written to a

collection of files in ExcelTM and dBaseTM format.

! Maximum long term impacts at populated locations

" maximum lifetime individual cancer risk

" maximum TOSHI for the following health effects - respiratory system effects

- liver effects11 - neurological system effects - developmental effects - reproductive system effects - kidney effects - ocular system effects - endocrine system effects - hematological system effects - immunological system effects - skeletal system effects - spleen effects - thyroid effects

" locations of the maximum cancer risk and TOSHI

" Census block identification codes for the maximum cancer risk and TOSHI, and number of people in the Census block

" contributions of different chemicals a nd emission sources to the maximum risk

and TOSHI

! Maximum acute impacts

" maximum short term ambient concentration for each chemical

" threshold levels for acute health eff ects of each chemical (compared with the maximum short term concentrations)

" locations of the maximum impacts for different chemicals

" Census block identificati on codes at the locations of maximum concentration, and number of people in the block

" contribution of each emission source at the facility to the maximum short term

concentration of each chemical

! Outputs for all receptors

" maximum individual cancer risk and TOSHI (all target organs) for each Census block and each user-specified discre te receptor (monitoring sites, etc.)

" maximum individual cancer risk and TOSHI (all target organs) for each polar grid

receptor

" estimated deposition (optional)

" predicted ambient concen tration resulting from each emission source at each Census block (optional)

! Population exposures and tota l cancer risk, or incidence

" estimated numbers of people exposed to different levels of lifetime individual cancer risk (1 in a million, 1 in 100,000, etc.)

" estimated numbers of people exposed to different levels of TOSHI (1, 2, 10, etc.)

" total cancer risk, or incidence, in estima ted cancer deaths per year, over the entire modeling domain



### 2.4 Data Libraries Used in HEM3

2.4.1 Chemical Health Effects Information12 HEM3 includes a library of available health effects data for HAPs. For each pollutant, the library includes the following parameters, where available:

! unit risk estimate for cancer

! reference concentration for chronic noncancer health effects

! reference concentrations for acute health effects

! target organs affected by the ch emical for chronic health effects

Unit risk estimates and reference concentrations included in the HEM3 chemical library have been taken from EPA’s database of recommended dose-response factors for HAPs. 4

2.4.2 Census Block Locations and Elevation Data

The HEM3 Census library includes Census block identification codes, locations, populations, elevations, and controlling hill height s for all of the over 5 million Census blocks

identified in the 2000 Census. The location coordi nates reflect the intern al point of the block, which is a point selected by the Census to be ro ughly in the center of the block. For complex shapes, the internal point may not be in the geographic center of the block. Locations and population data for Census blocks in the 50 stat es and Puerto Rico were extracted from the

LandView® database. 5 Locations and populations for blocks in the Virgin Islands were obtained

from the Census web site.

The elevation of each Census block in the continental U.S. and Hawaii was estimated by interpolating the elevation at the block’s inte rnal point from the U.S. Geological Service’s 1:250,000 Digital Elevation Model (DEM) data. 6 These data have a resolution of 3 arc seconds,

or about 90 meters. The estimation of the elevati on of each Census block in Alaska and the U.S. Virgin Islands was performed with analysis tool s in the ArcGis 9.1 software application. The point locations of the Census bloc k centroids in Alaska and the Virg in Islands were overlaid with a raster layer of North American Digital Elevation Model elevati ons (in meters). Each Census block point was assigned an elev ation value based on the closest point in the ArcGis elevation

raster file.

Hill heights were determined with base on the algorithm used in AERMAP, the AERMOD terrain processor. 7 In order to save run time and resources, the HEM3 Census block elevation database was substituted for the DEM data generally used in AERMAP. As noted above, the Census block elevations were orig inally derived from the DEM database. To determine the controlling hill height for each Cens us block, a cone was projected away from the block location, representing a 10% elevation grade. The controlling hill height was selected based on the highest elevati on above that 10% grade (in accordance with the AERMAP methodology). The distance cutoff for this calcu lation was 100 km. (This corresponds to an elevation difference, at a 10% grade, of 10,000 m, which cons iderably exceeds the maximum elevation difference in North America.)

2.4.3 Meteorological Data13 HEM3 includes an extensive library of meteorological data to support both the AERMOD and ISCST3 dispersion models. 150 mete orological stations ha ve been preprocessed for AERMOD as part of the RTR effort. In addi tion, 87 stations have previously been processed for ISCST3. Section 3.3 discusses the prepar ation of meteorologica l data for the RTR.

2.4.4 Gaseous Deposition Parameters

HEM3 provides options to compute the deposi tion of air pollutants, and to take into account the impacts of plume depletion due to depos ition of gaseous and particulate pollutants. If either of these options is selected by the model user for gaseous pollutants, a number of pollutant properties are required by AERMOD. Thes e include the diffusivity of the pollutant in air, the diffusivity of the pollutant in water, the Henry’s Law constant, and a parameter reflecting the cuticular resistance to uptak e of the pollutant by leaves r CL ). 8 HEM3 includes a library of these parameters for most gaseous HAPs. This library is based on an compendium of gaseous deposition parameters develope d by Argonne National Laboratories. 9 It should be noted, however, that the deposition and depletion options of HEM3 and AERMOD were not used in the this component of the RTR analysis.14 

## 3. Modeling for the Residual Risk Technology Review

This section discusses the general approach used to implement the AERMOD version of HEM3 for the RTR modeling analysis. Separate repor ts have been prepared for all of the emission source categories included in the RTR analys is. These reports provide information on the emissions inputs and results for specific emission categories.



### 3.1 Emission Source Inputs

HEM3 and AERMOD require detailed data on emissions from each emission source included in the modeling analysis. These data include:

! pollutants emitted

! emission rate for each pollutant

! emission source coordinates

! stack height (or emission height for fugitive sources)

! stack diameter (or configuration of fugitive sources)

! emission velocity

! emission temperature

Emissions data for the modeling effort were taken from the 2002 National Emissions Inventory (NEI) Final Version 1. 10 These data include HAP emission rates, emission source coordinates, stack heights, stack diameters, flow rates, and exit temperatures. EPA performed an engineering review of the NEI da ta. In cases where new or bette r data were known to exist for a particular source category, that info rmation was integrated into the data used in modeling for that category. For each source category, the emissions ar e summarized in the source category specific report. Detailed computer files containing all emission and release characteristics are available on

the RTR website.

As noted in the previous section, industri al emission sources can be characterized in AERMOD and other dispersion models as point, area, or volume sources. The NEI includes a framework for characterizing area and volume sources ; however, these fields are not filled in the 2002 Final Version 1 of the NEI. Therefore, fug itive emissions are generally characterized as low point sources with minimal exit velocities. Fo r some categories, additional information was available on the configuration of fugitive emission sources. This information was incorporated into the emissions database as part of the engineering review. Thus, fugitive emission sources

were characterized as area or volume sources when sufficient configuration information was

available.15 

### 3.2 Pollutant Cross-Referencing

Because the NEI is developed from a number of different data sources, a single chemical may be listed in the inventory under different names (i.e. a “common name” and one or more structure-based names). In addition, pollutant groupings such as polycyclic organic matter (POM), can be listed in the NEI under the na mes of individual member compounds, and under different synonyms (e.g. polynuclear aromatic hydrocarbons). HEM3 requires an exact match in

the chemical name in order to link emissions to the appropriate dose-response factors. The model will not process any pollutant that is not specifically listed in the chemical library (see Table 2-1). Therefore, all of the HAP names used in the NEI were linked to the appropriate chemical names in

the HEM3 reference file.

The individual POM chemicals listed in the NEI were grouped into seven subclasses. Table 3-1 shows these groupings, and gives the can cer unit risk estimate used for each subclass. Emissions of metal compounds were also adjusted using algorith ms developed for the Emissions Modeling System for Hazardous Air Pollutants (E MS-HAP) under the National-scale Air Toxics Assessment (NATA). A mass adjustment factor wa s applied to the emissions of metal compounds to account for a particular portion (e .g., the lead portion of lead sulfat e) or to partition them among multiple pollutant categories (e.g. chromium arse nate into chromium VI compounds and arsenic compounds). In addition, where no specific compound information was available, metals were speciated into appropriate oxida tion states (e.g. chromium compounds into chrome VI and chrome III) based on factors that have been developed for specific source categories and average factors that have been developed for the inventory as a whole. The adjustment factors and speciation

factors were taken from the HAP Table module of EMS-HAP. 11 ,12



### 3.3 Meteorological Data

AERMOD meteorological data for the RTR anal ysis were derived from three sources: (1) AERMET processing of 122 National Weather Serv ice (NWS) surface observ ation stations, (2) State agencies, and (3) industry (o n-site). The 122 NWS sites we re selected to provide thorough coverage of the U.S. For the RTR analysis, th e average distance between a modeled facility and the applicable meteorological st ation was 72 km. One year of hour ly data for these sites were processed through the AERMET program, and this is documented in “Meteorological Data Processing Using AERMET.” 13 Four states provided AERMOD -ready meteorology files. These states were: Alabama (5 stations), Florida (4 stations), North Caro lina (6 stations), and Wisconsin (22 stations). Eleven of the state supplied meteor ology sites were co-located with sites in the list of 122. The data at the state suppl ied sites were more recent, so th e state data for the 11 co-located sites were used. In addition, for the RTR petrol eum refinery modeling, two refineries (Fairbanks, Alaska and the Virgin Islands) provided on-site AERMOD-ready meteorology files. These on-site meteorological data files were used with their respective refinery f acilities for the HEM3 refinery modeling. Figure 3-1 shows the location of the 1 50 surface meteorological stations used in the RTR analysis.

As noted above, 122 NWS stations were processed through the AERMET program. To estimate the parameters needed by AERM OD, AERMET requires hourly surface weather16 observations and the full twice-daily upper air soundings (i.e., meteor ological variables reported at all levels). The surface and upper air stations are paired to pr oduce the required input data for AERMOD. To simplify processing and minimize the amount of quality assurance needed, the analysis was restricted to meteor ological data collected prior to the installation of the Automated Surface Observation System (ASOS). The ASOS has previously been found to omit the ceiling height for a large percentage of the observat ions at a number of me teorological stations. Installation and operatio n of ASOS equipment began in 1992; therefore, data for 1991 were processed with AERMET (note; the most recent ve rsion of AERMET has corrected this issue and is now compatible with ASOS data, processing of me teorological data in the future will utilize this revised version of AERMET and more recent years of meteorology). Data were retrieved from products available from the National

Table 3-1. Groupings Used for Polycy clic Organic Matter in the RTR Phase II Modeling Effort

POM subgroup Names used in the NEI Cancer URE

used for the

subgroup (m 3 /g)

POM 71002 16-PAH 0.000055
PAH, total 0.000055
Polycyclic Organic Matter 0.000055

POM72002 2-Chlorona p hthalene 0.000055 2-Methylnaphthalene 0.000055
Acenaphthene 0.000055
Acenaphthylene 0.000055

Anthracene 0.000055
Benzo(c)phenanthrene 0.000055
Benzo[e]Pyrene 0.000055
Benzo[g,h,i,]Perylene 0.000055

Fluoranthene 0.000055

Fluorene 0.000055
Perylene 0.000055

Phenanthrene 0.000055
Pyrene 0.000055

POM 73002 7

, 12-Dimeth y lbenz [ a ] Anthracene 0.1

POM 74002 3-Meth y lcholanthrene 0.01

POM 75002 5-Meth y lchr y sene 0.001 Benzo[a]Pyrene 0.001
Dibenzo[a,h]Anthracene 0.001

POM 76002 B [j] Fluoranthen 0.0001 Benz[a]Anthracene 0.0001
Benzo[b]Fluoranthene 0.0001
Benzo[k]Fluoranthene 0.0001
Indeno[1,2,3-c,d]Pyrene 0.000117 POM 77002 Chr y sene 0.00001

Climatic Data Center (NCDC). The surface data for 1991 were retrieved from the Hourly United States Weather Observation (HUSWO) CD. Up per air soundings were obtained from the Radiosonde Data of North America CDs produced by NCDC and the Forecast Systems Laboratory (FSL).

The input to and output from AERMET were examined for indications of missing input data. The 1200 Greenwich Mean Time (GMT) s ounding is required for AERMET to calculate the convective boundary layer height and several asso ciated parameters. There were many isolated days in which the 1200 GMT sounding was missing for many of the stations. However there also

were several stations for which there were tw o or more consecutive days of missing 1200 GMT soundings. To minimize the impact on the out put from AERMET, upper air data from a representative upper air stati on were substituted for those periods for which the 1200 GMT sounding was missing for two or more consecutive days.

One of the important requirements of applyi ng the AERMOD model is the specification of surface characteristics for use in processing the me teorological data using AERMET. Application of AERMET requires specificati on of the surface roughness length, the Bowen ratio (an indicator of surface moisture), and the albedo (an indi cator of surface reflec tivity). These surface characteristics are used by AERMET to calculate the level of shear-induced mechanical turbulence generated by flow over the surface and for th e energy balance calculations used in the determination of the Monin-Obukhov stability parame ter and the convective ve locity scale. For this application, the following surface characteristics were used:

! Surface roughness length = 0.25 m. At the airport meteorological site, the surface roughness Includes runways, terminal buildings and other airport structures. In addition, off-airport structures often are within 3 kilometers of the measurement site. his combination of land covers suggests a va lue of 0.2 – 0.3 meters is appropriate.

! Bowen ratio = 1.0. Representing an equal partition of the heat fluxes

! Albedo = 0.15. Representing conditions fo r all seasons, including winter without

continuous snow cover.

The file STNS.TXT located on th e HUSWO CD was used for the an emometer heights required by AERMET. These heights are to the nearest meter and were deemed appropriate for use in this application.

Two problems in the AERMET computer prog ram were fixed before completing this application. The first pertained to hourly surface obser vations. Incorrect missi ng indicators in the code for wind speed and direction were output when the data were extracted from the raw input file in Stage 1, which caused th e program to stop running in Stage 3. The AERMET program was changed to use correct missing indicators. The second problem was associated with the upper air soundings. AERMET would not process an entire station’s data if th e surface pressure for the first sounding was less than 850 millibars (mb). Surface pressures less than 850 mb are not uncommon for stations at high elevations . The AERMET program was modified to expand the allowable surface pressures.18 Figure 3.1. Locations of RTR AE RMOD Meteorological Stations

In early 2007, AERMOD was modified to version 07026 which checks the header record of the surface meteorological input file to verify that its version number is 06341. As a result of this modification, the 122 NWS stations were re-processed through a ne wer version of AERMET (version 06431) to create meteor ological data files compatible with AERMOD version 07026. The meteorology data received from the States were alrea dy at version 06341.



### 3.4 Model Options Selected

HEM3 presents a number of options for characterizing the modeling domain and data sources. As many sources were modeled in this assessment, established defaults and common practices were relied on to make these choices. The choices available to a HEM3 user and the

selections that were made in this assessment are presented in Table 3-2. Some of the key

selections are discussed in more detail in the paragraphs below.

Although routine emissions are not expected to vary significantly with time, nonroutine (upset) emissions can be significant relative to routine emissions. Upset emissions occur during periods of startup, shutdown, a nd malfunction. Upset emissions ar e not likely for equipment or storage tanks, but do result from malfunctioning c ontrol devices and leaks in cooling tower heat exchangers. There is some limite d data on upset emissions available, 14 but no facility-specific19 analyses of these data were performed to char acterize short-term emissions from these emission sources, and upset emissions were not m odeled for the RTR risk assessments.

Table 3-2. Modeling Domain and Model Set-Up Options in the HEM-3 Model As Used in

the Residual Risk and Tec hnology Review Assessments

Option Selection

Dispersion model: AERMOD or ISCST3 AERMOD

Type of analysis: chronic, acute, or both Both

Averaging time for short term impacts 1-hour

Multiplier for short term emissions 10 a

Urban or rural dispersion characteristics Rural

Include terrain impacts Yes

Include building wake effects No

Calculate deposition (wet, dry, or both) No

Include impacts of plume depletion due to deposition No

User-specified receptor locations (for plant bou ndary sites or other sites of interest) No

Modeling domain size – maximum distance to be modeled 50 km

Cutoff distance for modeling of individual blocks 3 km b

Overlap distance where receptors are considered to be on plant property – measured

from each source 30 m c

Polar receptor network specifications

Distance from the plant center to the innermost ring 100 m c

Number of rings 13

Number of directions 16

Meteorology data Closest site

a For the secondary aluminum production category, th e ratio of maximum short-term emissions to long-term average emissions was set to 100, based on the engineering review.

b The individual block modeling cutoff was increased for categories and for so me facilities to ensure that the maximum individual risk values were not interpolated.

c The overlap distance and inner ring distance were adjusted for some facilities to avoid modeling locations that are on plant property (see section 4.2).

3.4.1 Urban or Rural Dispersion Characteristics

Since 51 source categories were considered in these screening-level RTR assessments, the rural option was chosen to be most conservative (i.e., more likely to overe stimate risk results).

3.4.2 Deposition and Plume Depletion

This modeling analysis did not take into acc ount the depletion of po llutant concentrations in the plume due to wet or dry deposition. In ad dition, reactivity and decay were not considered.20 It is possible that this approach, may overestimat e air concentrations and therefore risk. However, one of the main metrics used by EPA in the residual risk program is the risk to the individual most exposed (maximum risk). Because the maximum ri sk usually occurs at a receptor very close to the emission source, it is unlikely to be influe nced by altered plume disp ersion characteristics of this type. For more refined, multipathway assessments, EPA will consider deposition and depletion.

3.4.3 Cutoff Distance for Modeling of Individual Blocks

The cutoff distance for modeling individual Census blocks was in itially set to 3 km. This distance generally ensures that the maximum indi vidual cancer risk and the maximum TOSHI are modeled explicitly and not interpol ated. Following the modeling run, the results for each facility

were checked to determine whether the maximum impacts were located inside the modeling cutoff distance. If the maximum impacts were outside the cutoff distance any of the impacts were significant, then HEM3 was rerun for the facility with an expanded modeling distance cutoff. In general, this was done if the cancer risk exceed ed 1 in 10 million or any TOSHI exceeded 0.1. However, the risks for these facilities were gene rally very low, since the maximum impacts were generally only interpolated when the nearest Census block was more than 3 km from the facility.

3.4.4 Plant Boundary Assumptions

The main input mechanisms for incorporati ng plant boundary information in HEM3 are the overlap distance, the distance to the innermost polar receptor ring, and user-specified receptor locations. The NEI does not provide informati on on plant boundaries. Therefore, the userspecified receptor file was not us ed in this analysis. Conservative default assumptions were used for the overlap distance and the innermost polar r eceptor ring. However, these were adjusted for some categories where plant sites are known to be la rge. In addition, satellite imagery was used to check the plant boundary assumptions for facilities with large projected impacts. These checks are

discussed further in the section on Quality Assurance (Section 4).



### 3.5 Modeling of Multiple Facilities

HEM3 models one facility at a time. However, clusters of nearby facilities may impact the same people, resulting in higher risk to those pe ople. To account for this situation, risks were

summed at each Census block for all f acilities affecting the Census block.

As described earlier (Section 2.3.4), HEM3 produces detailed output tables containing the risk and population for every Census block in th e modeling domain. Thes e detailed tables were combined for all facilities in a source categor y and the risk for each Census block was summed. Thus, the effect of multiple facilities in the sa me source category on the same receptor could be estimated. The resulting “combined facility” or “cluster-effect” Ce nsus block risks were used to calculate population exposure to different cance r risk levels and sour ce category incidence.21 

## 4. Quality Assurance

The National Emissions Inventory is subject to an extensive program of quality assurance (QA) and quality control (QC). The QA/QC prog ram for the point source component of the NEI is documented in a separate report, available from the NEI website. 15 This section describes QA activities carried out under the RTR modeling analysis.



### 4.1 Engineering Review

In addition to the standardized QA steps ta ken for the entire NE I, EPA performed an engineering review of NEI data for the emission s ource categories included in the RTR analysis. This engineering review included two main components. The first component addressed the list of facilities included in each source category. EP A engineers reviewed independent sources of information to identify all source s in the category that are include d in the NEI. In addition, EPA reviewed the list of sources repres ented as part of each category in the NEI to make sure that the facilities actually manufacture products char acteristic of the source category.

The second component of the e ngineering review focused on the appropriateness of facility

emissions. EPA reviewed the list of HAPs em itted by each facility to make sure that the pollutants were appropriate to the source cate gory. In addition, EPA engineers review the magnitude of those HAP emissions. In cases wher e new or better data were known to exist for a particular source category, that info rmation was integrated into the data used in modeling for that category. In these cases, the source category sp ecific documents provide additional details on the emissions inputs used.



### 4.2 Geographic Checks

The NEI QA process includes some basic check s on location data for point sources. The

coordinates for each source are checked to ensure that they are in the county that has been specified for the source. If this is not the case, or if no geographic coordinates are available for the emission source, then the coordinates are set to a default location based on the nature of the emission source category. 15 In addition, coordinates for all emi ssion sources at a given facility are checked to ensure that they ar e withing 3 km of one another.

As part of the RTR modeling analysis, a dditional geographical QA checks were made for some facilities. Facilities subjecte d to these additional checks include:

! cases where the initial estimates of maximum risks were particularly high

" maximum individual cancer risk of over 1 in 10,000

" any maximum TOSHI above 10

! cases where no Census blocks were id entified within 3 km of the facility

The emission source coordinates were reviewed for each of these facilities, and compared with the address reported for the facility. Both the coordinates and the facility address were22 entered into Internet mapping sites which provid e the option of viewing aerial or satellite photography. These sites include Google Earth® ( earth.google.com/ ), Google Maps® ( local.google.com/ ), MapQuest® ( www.mapquest.com ) and Microsoft Terraserver® ( www.terraserver.com/ ). If the address and the coordinates represented the same location, then the

coordinates were taken to be correct. If the lo cations were different, th en the aerial photographs

for the address and the coordinate location were reviewed to de termine whether either photograph included an industrial facility. Generally, where the two locations were different, the facility

address was found to be correct. In some cases, this comparison could not be made because the reported address was a Post Office box or a headquart ers address. Where this occurred, the aerial photograph for the coordinate loca tion was reviewed to determine whether an industrial facility

was located at or near the lo cation. If emission source coordinates were found to be incorrect, HEM3 was rerun using corrected coordinates. Th ese changes are described in the source category

documents.

For the high-risk facilities, the coordinates used to represent the most impacted Census

blocks were also reviewed. Th is review drew on detailed Census block boundary maps and aerial photographs. Large industrial facilities will frequently occupy one or more entire Census blocks. However, these blocks may also include one or more residences on the periphery of the industrial land. Generally, the coordinates listed for a Cens us block are near the center of the block. In

these cases of mixed industrial a nd residential blocks, the coordinates may be on plant property.

The potential for overlap between an industria l facility and a Census block coordinate is illustrated in Figure 4-1. The figure shows Census blocks divisions around a large industrial facility, with the coordinates of emission sources at the facility illustrated by red squares. Census block boundaries are shown, and th e coordinates given in the Ce nsus data base for populated blocks are indicated by blue circles. As the figur e shows, the facility is spread over five Census blocks. A number of populated bl ocks can be seen to the Southwes t of the facility, and most of the blocks covering the facility are not populated . However, the block containing most of the facility’s emission points also includes at least one residence (the total population given for the block is 5). The location of the residence is at the periphery of the block, near the one of the adjacent populated blocks. However, the coordinates given for the block are near its center, illustrated by the blue star, clearly between various emission sources at the facility.

In general, block coordinates were considered to be on plant property if they were located

between the different emission source locations listed for the facility. In these situations, HEM3 was rerun with an expanded overlap distance, in order to exclude the Ce nsus block coordinates that appeared to be located on plant property. The distance to the innermost polar receptor ring was also adjusted to ensure that this ring was not on plant property.23 Figure 4-1. Illustration of a qualit y assurance test for Census block coordinates located on plant property

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## 5. Uncertainties

This analysis is subject to a number of un certainties. For instance, model verification studies for AERMOD showed predicted maximu m annual concentrations ranging from 0.3 to 1.6 times measured values, with an average of 0.9. Predicted maximum short term (1 to 24 hours)

concentrations were 0.25 to 2.5 times m easured values, with an average of 1.0. 16

In addition, a number of simplifying assumptions have been made in this modeling analysis. First, the c oordinates reported by the Department of Census for Census block “internal points” have been used as a surrogate for long-term population exposures . Locations of actual residences have not been modeled. In addition, the current version of HEM3 does not take into account the movement of people from one Census block to another dur ing the course of their lives, or commuting patterns during a given day. Nor doe s the model take into account the attenuation of pollutant from outside emission sources in indoor air. Ideall y, risks to individuals would be modeled as they move through their communities and undertake different activities. However, such modeling is time- and resource-intensive and can only capture a portion of the uncertainty associated with the full range of human activities. In general, it is e xpected that long-term exposures will be overstated for high-end estimate s (as most individuals will not spend all their time at their highly affected residences), but ma y understate the total popul ation exposed (as some individuals living outside the m odeled area may regularly commute into the area for work or school).

When considering long-term or lifetime expos ures, it should be noted that relatively few people in the United States reside in one place for their entire liv es. For the purposes of this assessment, cancer risk estimates are based on a lifetime exposure at the 2000 Census-identified place of residence. While it is impossible to know how this assumption affects the risk experiences by a particular individual (as people ca n move into higher- or lower-risk areas), it is likely that this assumption will overstate the exposure to those most exposed (i.e., people already living in high exposure areas are unlikely to move to yet higher exposure ar eas). However, this assumption will also tend to underestimate the total number of people exposed and population risk (i.e., incidence) because population levels are generally increasing.

In the current analysis, only direct inhalati on has been modeled. Other pathways such as the deposition of pollutants to dri nking water, and to bioaccumula tion of deposited pollutants in the food supply may be a significant source of exposure for persistent and bioaccumulative pollutants. These exposures will be modeled in subsequent anal yses. Because this analysis is restricted to the inhalation pathway, the impact s of plume depletion due to deposition have not been into account. Thus, inha lation impacts may be overestimat ed for some pollutants, but exposures through other pathwa ys would be underestimated.

A number of other simplifications have been made in the dispersion modeling analysis, as has been noted in Table 3-1. For instance, building wake effects have not been considered. Rural dispersi on conditions have also been used for a ll facilities. This is viewed as a conservative assumption, since rural conditions resu lt in less mixing close to the emission source.25 In addition, meteorological observations are based on the closest station in the HEM3 meteorological library (see Figure 2-1). Altern ative meteorological st ations may be more appropriate for some facilities. Ideally, facility-specific meteor ological observations would be used. A single year of meteorological data (1 991) was selected for dispersion modeling. When considering off-site meteorological data most s ite specific dispersion modeling efforts will employ up to five years of data to capture variability in weathe r patterns from year to year. However, because of the large number of f acilities in the analysis and the extent of the dispersion modeling analysis (national scale), it was not practical to m odel five years of data. Other national studies such as NATA have also considered only a single year of meteorological data. A sensitivity analyses performed by the NATA assessment found that variability attr ibutable to the selection of the meteorology location/time (both temporal and spatial) resulted in a 17-84% variation in predicted concentrations at a given station 17

.

Finally, risk and exposure fact ors are also subject to uncer tainty. Not all individuals experience the same degree of e xposure or internal dos e of a given pollutantdue to individualspecific parameters such as weight, age, and gend er. While the health benchmarks used in the analysis crudely account for sensitive populat ions, a prototypical human (e.g., body weight, ventilation rate) is used to define the benchmark. Because of the variability of these parameters in the population, this factor will resu lt in a degree of uncertainty in the resulting risk estimate.

Table 5-1 summarizes the general sources of uncertainty for the RTR modeling analysis. The table also gives a qualitative indication of the potential direction of bias on risk estimates. The sources of uncertainty in Table 5-1 are di vided into four categories, based on the major components of the analysis:

! emissions inventory

! fate and transport modeling

! exposure assessment

! toxicity assessment

It must also be noted that individual source catego ries may be subject to additional uncertainties. These are discussed in separate reports whic h have been prepared for each emission source category included in the RTR.26Table 5-1. Summary of General Uncertainties Associatedwith Risk and Technology Review Risk AssessmentParameterAssumptionUncertainty/Variability DiscussionPotential Direction of Biason Risk EstimatesEmissions InventoryIndividual HAPemissions rates andfacility characteristics(stack parameters,property boundaries)Emissions and facilitycharacteristics from the NEIprovide an accuratecharacterization of actual sourceemissions.Our emissions inventory is based on the 2002NEI, our internal review, and public commentsreceived. The degree to which the data in ourinventory represents actual emissions is likely tovary across sources. Nearly half of the sourcesin the source category submitted a review oftheir emissions and facility characteristics data.Some detailed data, such as property boundaryinformation was not available for most facility.This is an important consideration indetermining acute impacts.Unbiased overall, magnitudevariableMultiplier for short-termemission ratesMaximum short term emissionrates are estimated by applying asimple multiplier (a factor of 10)to average annual emissions.The ratio between short-term and long-termaverage emission rates may vary from amongthe different emission sources at a facility. Inaddition, the use of a simple multiplier meansthat impacts of maximum short term emissionsare modeled for all meteorological conditions,including the worst-case conditions forpopulation exposure.Potential overestimate due tothe fact that worst-caseemissions are assumed tooccasionally coincide withworst-case meteorology.Overestimate due to lack ofactual information on shortterm emission rates.Fate and Transport ModelingAtmospheric dispersionmodel choiceAERMOD is one of EPA'srecommended models forassessing pollutant concentrationsfrom industrial facilitiesField testing of these models have shown resultsto generally be within a factor of 2 of measuredconcentrations.OverestimateTable 5-1. Summary of General Uncertainties Associatedwith Risk and Technology Review Risk Assessment(continued)27ParameterAssumptionUncertainty/Variability DiscussionPotential Direction of Biason Risk EstimatesBuilding downwash Not included in assessmentUse of this algorithm in AERMOD couldimprove the dispersion calculations at individualfacilities. However, data were not readilyavailable to utilize this option.Potential underestimate ofmaximum risks near facility.No effect on risks furtherout.Plume depletion anddepositionNot included in assessmentIgnoring these impacts for pollutants thatdeposit minimally and whose risks derivepredominantly from inhalation should haveminimal effect on risk estimates.Unbiased or minimaloverestimate.MeteorologyOne year of meteorological datafrom the nearest weather station(selected from 122 nationwide) isrepresentative of long-termweather conditions at the facility.The use of one year of data rather than the fiveor more adds uncertainty based on whether thatyear is representative of each location’sclimatology. Use of weather station data ratherthan on-site data can add to uncertainty.Additionally, the use of default surfaceparameters in the generation of themeteorological datasets imparts uncertainty tothe results from any individual facility.Minimal underestimate oroverestimate.ReactivityNot included in the assessment.Chemical reactions and transformations ofindividual HAP into other compounds due tosolar radiation and reactions with otherchemicals happens in the atmosphere. However,in general, the HAP in this assessment do notreact quickly enough for these transformationsto be important near the sources, where thehighest individual risks are estimated. Further,most of the HAP do not react quickly enoughfor these transformations to be important to riskestimates in the entire modeled domain (i.e.,within 50 km of the source).No impact on maximum riskestimates. Minimal impacton population risks andincidence.Table 5-1. Summary of General Uncertainties Associatedwith Risk and Technology Review Risk Assessment(continued)28ParameterAssumptionUncertainty/Variability DiscussionPotential Direction of Biason Risk EstimatesMaximum modelingdistance50 kilometers from center offacilityThis distance is considered to be the maximumdownwind distance for a Gaussian plume modelsuch as AERMOD. This is because, in general,winds cannot be considered to follow straightline trajectories beyond this distance.No effect on maximumindividual risks. Minimalunderestimation ofincidence.Exposure AssessmentLocations and shortterm movements ofindividualsAmbient concentration at centroidof each off-site census block isequal to the exposureconcentration for all people livingin that census block.Effect of human activity patternson exposures is not included in theassessment.People live at different areas within block thatmay have higher or lower exposures than at thecentroid. Individuals also move from outdoorsto indoors and from home to school/work torecreation, etc., and this can affect their totalexposure from these sources.Unbiased across populationfor most pollutants andindividuals, likelyoverestimate for mostexposed and underestimatefor least exposed persons.Long-term movementsof individualsMIR individual is exposedcontinuously to the highestexposure concentration for a 70-year lifetime.Population moves into and out ofexposure area consistent withnational frequency distribution ofresidency.MIR (maximum individual risk) is defined inthis way to be a maximum theoretical risk at apoint where a person can actually reside.Individuals may move into or out of areasimpacted by the facilities of interest in ways thatdon’t correspond exactly with national norms orlocal demographic patterns, and this could leadto localized biases. In general, source categorieswith larger numbers of facilities should carryless potential for bias.Unbiased for mostindividuals, likelyoverestimate for the actualindividual most exposed andlikely underestimate for theleast exposed. Incidenceremains unbiased unlesspopulation around facilitiesincreases or decreases over70 years.Toxicity AssessmentTable 5-1. Summary of General Uncertainties Associatedwith Risk and Technology Review Risk Assessment(continued)29ParameterAssumptionUncertainty/Variability DiscussionPotential Direction of Biason Risk EstimatesReferenceconcentrations (RfC)Consistent with EPA guidance,RfCs are developed includinguncertainty factors to be protectiveof sensitive subpopulations.Additionally, RfCs are developedbased on the level producing aneffect in the most sensitive targetorgan or system.While other organ systems may be impacted atconcentrations above the RfC, these are notincluded in the calculation of target organspecific hazard indices.In general, EPA derivesRfCs using procedureswhose goal is to avoidunderestimating risks in lightof uncertainty andvariability. The greater theuncertainties, the greater thepotential for overestimatingrisks.Unit Risk Estimate(URE)Use of unit risk estimatesdeveloped from dose-responsemodels such as linear low-doseextrapolation.Uncertainty in extrapolating the impacts fromshort-duration, high-dose animal or work-relatedexposures to longer duration, lower-doseenvironmental impacts.Overestimate of risks fornonlinear carcinogens andfor linear carcinogens withsparse health effects data. Ingeneral, EPA derives UREvalues using proceduresaimed at overestimatingrisks in light of uncertaintyand variability.Toxicity of mixturesCancer risks and noncancer hazardquotients were calculated for eachHAP individually and thensummed into a total risk or hazardindex (assumption of additivity).Concurrent exposures to multiple chemicalsmay result in either increased or decreasedtoxicity due to chemical interactions but the dataneeded to quantify these effects are generallynot available.Unbiased overall. Somemixtures may haveunderestimated risks, someoverestimated, and somecorrectly estimated.Table 5-1. Summary of General Uncertainties Associatedwith Risk and Technology Review Risk Assessment(continued)30ParameterAssumptionUncertainty/Variability DiscussionPotential Direction of Biason Risk EstimatesSurrogate doseresponse values forHAPs without valuesIn the case of groups of HAPssuch as glycol ethers, the mostconservative dose-response valueof the chemical group was used asa surrogate for missing doseresponse values in the group. Forothers, such as unspeciated metals,we have applied speciationprofiles appropriate to the sourcecategory to develop a compositedose-response value for the group.For HAP which are not in a groupand for which no URE’s or RfC’sare available from crediblesources, no assessment of risk ismade.Rather than neglecting the assessment of risksfrom some HAPs lacking dose response values,conservative assumptions allow the examinationof whether these HAPs may pose anunacceptable risk and require furtherexamination, or whether the conservative levelexamination with surrogates screens out theHAPs from further assessment.Overestimate where mostconservative values used.Unbiased where categoryspecific profiles applied.There is the potential tounderestimate risks forpollutants which are notincluded in the assessment.31 

## 6. References

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3. EC/R Incorporated. 2006. The HEM-3 User’s Guide . Prepared for the U.S. Environmental Protection Agency, Sector-B ased Assessment Group, Research Triangle Park, NC.

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NC. http://www.epa.gov/scram001/dispersion_prefrec.htm#aermod

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11. EPA. 2002. EMS-HAP Modeling System . Environmental Protection Agency, Research Triangle Park, NC. http://www.epa.gov/scram001/disp ersion_related.htm#ems-hap32 12. Strum, Madeleine, Richard Mason, and Diane Linderman. 2002. User's Guide for the Emissions Modeling System for Hazar dous Air Pollutants (EMS-HAP) Version 2.0

. EPA-454/B-02-001, Environmental Protection Ag ency, Research Triangle Park, NC. http://www.epa.gov/scram001/di spersion_related.htm#ems-hap

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17 EPA, 2001, National-Scale Air Toxics Assessment for 1996; EPA-453/R-01-003; EPA454/B-03-003, U.S. Environmental Protection Agency, Research Triangle Park, NC. http://www.epa.gov/ttn/atw/nata/peer.html