United States 

Environmental Protection 

Agency 

Health Assessment 

Document For Diesel 

Engine Exhaust 
EPA/600/8-90/057F 

May 2002 

Health Assessment Document 

for Diesel Engine Exhaust 

National Center for Environmental Assessment
 

Office of Research and Development
 

U.S. Environmental Protection Agency
 

Washington, DC
 
ii

DISCLAIMER

This document has been reviewed in accordance with U.S. Environmental Protection

Agency policy and approved for publication. Mention of trade names or commercial products

does not constitute endorsement or recommendation for use.

ABSTRACT

This assessment examined information regarding the possible health hazards associated

with exposure to diesel engine exhaust (DE), which is a mixture of gases and particles. The

assessment concludes that long-term (i.e., chronic) inhalation exposure is likely to pose a lung

cancer hazard to humans, as well as damage the lung in other ways depending on exposure. 

Short-term (i.e., acute) exposures can cause irritation and inflammatory symptoms of a transient

nature, these being highly variable across the population. The assessment also indicates that

evidence for exacerbation of existing allergies and asthma symptoms is emerging. The

assessment recognizes that DE emissions, as a mixture of many constituents, also contribute to

ambient concentrations of several criteria air pollutants including nitrogen oxides and fine

particles, as well as other air toxics. The assessment’s health hazard conclusions are based on

exposure to exhaust from diesel engines built prior to the mid-1990s. The health hazard

conclusions, in general, are applicable to engines currently in use, which include many older

engines. As new diesel engines with cleaner exhaust emissions replace existing engines, the

applicability of the conclusions in this Health Assessment Document will need to be reevaluated.

Preferred citation:

U.S. Environmental Protection Agency (EPA). (2002) Health assessment document for diesel engine exhaust. 

Prepared by the National Center for Environmental Assessment, Washington, DC, for the Office of Transportation

and Air Quality; EPA/600/8-90/057F. Available from: National Technical Information Service, Springfield, VA;

PB2002-107661, and <http://www.epa.gov/ncea>.
CONTENTS
 

LIST OF TABLES ........................................................... viii
 

LIST OF FIGURES ........................................................... xi
 

FOREWORD ............................................................... xiv
 

PREFACE ................................................................. xvi
 

AUTHORS, CONTRIBUTORS, AND REVIEWERS .............................. xvii
 

ACKNOWLEDGMENTS .................................................... xxii
 

1. EXECUTIVE SUMMARY ................................................. 1-1
 

1.1. INTRODUCTION ..................................................... 1-1
 

1.2. COMPOSITION OF DIESEL EXHAUST .................................. 1-1
 

1.3. DIESEL EXHAUST AS A COMPONENT OF AMBIENT PARTICULATE 
 

MATTER ............................................................ 1-2
 

1.4. ATMOSPHERIC TRANSFORMATION OF DIESEL EXHAUST ............... 1-2
 

1.5. EXPOSURE TO DIESEL EXHAUST ..................................... 1-3
 

1.6. HEALTH EFFECTS OF DIESEL EXHAUST ............................... 1-3
 

1.6.1. Acute (Short-Term Exposure) Effects ................................ 1-4
 

1.6.2. Chronic (Long-Term Exposure) Noncancer Respiratory Effects ............ 1-4
 

1.6.3. Chronic (Long-Term Exposure) Carcinogenic Effects .................... 1-4
 

1.7. SOURCES OF UNCERTAINTY ......................................... 1-6
 

2. DIESEL EXHAUST EMISSIONS CHARACTERIZATION, ATMOSPHERIC 
 

TRANSFORMATION, AND EXPOSURES .................................... 2-1
 

2.1. INTRODUCTION ..................................................... 2-1
 

2.2. PRIMARY DIESEL EXHAUST EMISSIONS .............................. 2-3
 

2.2.1. History of Dieselization ........................................... 2-3
 

2.2.2. Diesel Combustion and Formation of Primary Emissions ................. 2-9
 

2.2.3. Diesel Emission Standards and Emission Trends Inventory .............. 2-15
 

2.2.4. Historical Trends in Diesel Fuel Use and Impact of Fuel
 

Properties on Emissions .......................................... 2-25
 

2.2.5. Chronological Assessment of Emission Factors ........................ 2-29
 

2.2.6. Engine Technology Description and Chronology ...................... 2-43
 

2.2.7. Air Toxic Emissions ............................................. 2-53
 

2.2.8. Physical and Chemical Composition of Diesel Exhaust Particles .......... 2-59
 

2.3. ATMOSPHERIC TRANSFORMATION OF DIESEL EXHAUST .............. 2-84
 

2.3.1. Gas-Phase Diesel Exhaust ........................................ 2-84

2.3.2. Particle-Phase Diesel Exhaust ..................................... 2-90

2.3.3. Diesel Exhaust Aging ............................................ 2-93
 

2.4. AMBIENT DIESEL EXHAUST CONCENTRATIONS AND EXPOSURES ..... 2-94
 

2.4.1. Diesel Exhaust Gases in the Ambient Atmosphere ..................... 2-94
 

2.4.2. Ambient Concentrations of DPM .................................. 2-95
 

2.4.3. Exposures to Diesel Exhaust ..................................... 2-106
 

2.5. SUMMARY AND DISCUSSION ...................................... 2-118
 

2.5.1. History of Diesel Engine Use, Standards, and Technology .............. 2-119
 

2.5.2. Physical and Chemical Composition of Diesel Exhaust ................ 2-120
 

iii 
CONTENTS (continued) 

2.5.3. Atmospheric Transformation of Diesel Exhaust ...................... 2-123

2.5.4. Ambient Concentrations and Exposure to Diesel Exhaust .............. 2-124
 

REFERENCES FOR CHAPTER 2 ............................................ 2-126
 

3. DOSIMETRY OF DIESEL PARTICULATE MATTER ........................... 3-1
 

3.1. INTRODUCTION ..................................................... 3-1
 

3.2. CHARACTERISTICS OF INHALED DIESEL PARTICULATE MATTER ....... 3-2
 

3.3. REGIONAL DEPOSITION OF INHALED DIESEL PARTICULATE MATTER . . . 3-2
 

3.3.1. Deposition Mechanisms ........................................... 3-3
 

3.3.2. Particle Clearance and Translocation Mechanisms ...................... 3-9
 

3.3.3. Translocations of Particles to Extra-Alveolar Macrophage Compartment
 

Sites .......................................................... 3-22
 

3.4. PARTICLE “OVERLOAD” ............................................ 3-26
 

3.4.1. Introduction .................................................... 3-26
 

3.4.2. Relevance to Humans ............................................ 3-28
 

3.4.3. Potential Mechanisms for an AM Sequestration Compartment 
 

for Particles During Particle Overload ............................... 3-30
 

3.5. BIOAVAILABILITY OF ORGANIC CONSTITUENTS PRESENT ON 
 

DIESEL EXHAUST PARTICLES ....................................... 3-31
 

3.5.1. In Vivo Studies ................................................. 3-32
 

3.5.2. In Vitro Studies ................................................. 3-34
 

3.5.3. Modeling Studies ............................................... 3-36

3.5.4. Summary and Bioavailability ...................................... 3-37

3.6. MODELING THE DEPOSITION AND CLEARANCE OF PARTICLES IN
 

THE RESPIRATORY TRACT .......................................... 3-38
 

3.6.1. Introduction .................................................... 3-38
 

3.6.2. Dosimetry Models for DPM ....................................... 3-38
 

3.7. SUMMARY AND DISCUSSION ........................................ 3-54
 

REFERENCES FOR CHAPTER 3 ............................................. 3-56
 

4. MUTAGENICITY ........................................................ 4-1
 

4.1. GENE MUTATIONS .................................................. 4-2
 

4.2. CHROMOSOME EFFECTS ............................................. 4-5
 

4.3. OTHER GENOTOXIC EFFECTS ........................................ 4-7
 

4.4. SUMMARY AND DISCUSSION ......................................... 4-8
 

REFERENCES FOR CHAPTER 4 .............................................. 4-9
 

5. NONCANCER HEALTH EFFECTS OF DIESEL EXHAUST ...................... 5-1
 

5.1. HEALTH EFFECTS OF WHOLE DIESEL EXHAUST ....................... 5-2
 

5.1.1. Human Studies .................................................. 5-2
 

5.1.2. Traffic Studies .................................................. 5-23
 

5.1.3. Laboratory Animal Studies ........................................ 5-24
 

5.2. MODE OF ACTION OF DIESEL EXHAUST-INDUCED NONCANCER
 

EFFECTS ........................................................... 5-82

5.2.1. Comparison of Health Effects of Filtered and Unfiltered Diesel Exhaust .... 5-82
 

iv
 
CONTENTS (continued) 

5.2.2. Mode of Action for the Noncarcinogenic Effects of DPM ................ 5-89
 

5.3. INTERACTIVE EFFECTS OF DIESEL EXHAUST ......................... 5-90
 

5.4. COMPARATIVE RESPONSIVENESS AMONG SPECIES TO THE
 

HISTOPATHOLOGIC EFFECTS OF DIESEL EXHAUST ................... 5-92
 

5.5. DOSE-RATE AND PARTICULATE CAUSATIVE ISSUES .................. 5-93
 

5.6. SUMMARY AND DISCUSSION ........................................ 5-97
 

5.6.1. Effects of Diesel Exhaust on Humans ............................... 5-97
 

5.6.2. Effects of Diesel Exhaust on Laboratory Animals ...................... 5-99
 

5.6.3. Comparison of Filtered and Unfiltered Diesel Exhaust .................. 5-102
 

5.6.4. Interactive Effects of Diesel Exhaust ............................... 5-103
 

5.6.5. Conclusions ................................................... 5-103
 

REFERENCES FOR CHAPTER 5 ............................................ 5-104
 

6. ESTIMATING HUMAN NONCANCER HEALTH RISKS OF DIESEL EXHAUST . . . 6-1
 

6.1. INTRODUCTION .................................................... 6-1
 

6.2. THE INHALATION REFERENCE CONCENTRATION APPROACH .......... 6-3
 

6.3. CHRONIC REFERENCE CONCENTRATION FOR DIESEL EXHAUST ........ 6-5
 

6.3.1. Principal Studies for Dose-Response Analysis: Chronic, 

Multiple-Dose Level Rat Studies .................................... 6-6
 

6.3.2. Derivation of Human Continuous Equivalent Concentrations, HECs ........ 6-9
 

6.3.3. Dose-Response Analysis—Choice of an Effect Level .................. 6-11
 

6.3.4. Uncertainty Factors (UF) for the RFC—A Composite Factor of 30 ........ 6-14
 

6.3.5. Derivation of the RfC for Diesel Exhaust ............................ 6-16
 

6.4. EPIDEMIOLOGICAL EVIDENCE AND NAAQS FOR FINE PM ............. 6-17

6.4.1. Epidemiological Evidence for Fine PM .............................. 6-18

6.4.2. NAAQS for Fine PM ............................................ 6-25

6.4.3. DPM as a Component of Fine PM .................................. 6-30
 

6.5. CHARACTERIZATION OF THE NONCANCER ASSESSMENT FOR DIESEL 

EXHAUST ......................................................... 6-30
 

6.6. SUMMARY ........................................................ 6-32

REFERENCES FOR CHAPTER 6 ............................................. 6-33
 

7. CARCINOGENICITY OF DIESEL EXHAUST ................................. 7-1
 

7.1. INTRODUCTION .................................................... 7-1
 

7.1.1. Overview ...................................................... 7-1
 

7.1.2. Ambient PM-Lung Cancer Relationships ............................. 7-1
 

7.2.	 EPIDEMIOLOGIC STUDIES OF THE CARCINOGENICITY OF EXPOSURE
 

TO DIESEL EXHAUST ................................................ 7-3
 

7.2.1. Cohort Studies .................................................. 7-6
 

7.2.2. Case-Control Studies of Lung Cancer ............................... 7-32
 

7.2.3. Summaries of Studies and Meta-Analyses of Lung Cancer .............. 7-61
 

7.2.4. Summary and Discussion ......................................... 7-66
 

v 
CONTENTS (continued) 

7.3. CARCINOGENICITY OF DIESEL EXHAUST IN LABORATORY 
 

ANIMALS ......................................................... 7-83
 

7.3.1. Inhalation Studies (Whole Diesel Exhaust) ........................... 7-84
 

7.3.2. Inhalation Studies (Filtered Diesel Exhaust) ......................... 7-108
 

7.3.3. Inhalation Studies (DE Plus Cocarcinogens) ......................... 7-109
 

7.3.4. Lung Implantation or Intratracheal Instillation Studies ................. 7-111
 

7.3.5. Subcutaneous and Intraperitoneal Injection Studies ................... 7-117
 

7.3.6. Dermal Studies ................................................ 7-119
 

7.3.7. Summary and Conclusions of Laboratory Animal Carcinogenicity Studies . 7-121
 

7.4. MODE OF ACTION OF DIESEL EXHAUST-INDUCED 
 

CARCINOGENESIS ................................................ 7-128
 

7.4.1. Potential Role of Organic Exhaust Components in Lung Cancer Induction . 7-129
 

7.4.2. Role of Inflammatory Cytokines and Proteolytic Enzymes in the 
 

Induction of Lung Cancer in Rats by Diesel Exhaust .................. 7-132
 

7.4.3. Role of Reactive Oxygen Species in Lung Cancer Induction by Diesel 
 

Exhaust ..................................................... 7-133
 

7.4.4. Relationship of Physical Characteristics of Particles to Cancer Induction . . 7-136
 

7.4.5. Integrative Hypothesis for Diesel-Induced Lung Cancer ............... 7-137
 

7.4.6. Summary .................................................... 7-139
 

7.5. WEIGHT-OF-EVIDENCE EVALUATION FOR POTENTIAL
 

HUMAN CARCINOGENICITY ....................................... 7-140
 

7.5.1. Human Evidence .............................................. 7-141
 

7.5.2. Animal Evidence .............................................. 7-142
 

7.5.3. Other Key Data ............................................... 7-143
 

7.5.4. Mode of Action ............................................... 7-143
 

7.5.5. Characterization of Overall Weight of Evidence: EPA’s 1986 Guidelines
 

for Carcinogen Risk Assessment .................................. 7-144
 

7.5.6. Weight-of-Evidence Hazard Narrative: EPA’s Proposed Guidelines 
 

for Carcinogen Risk Assessment (1996b, 1999) ...................... 7-144
 

7.6. EVALUATIONS BY OTHER ORGANIZATIONS ........................ 7-146
 

7.7. CONCLUSION ..................................................... 7-147
 

REFERENCES FOR CHAPTER 7 ............................................ 7-148
 

8. DOSE-RESPONSE ASSESSMENT: CARCINOGENIC EFFECTS ................. 8-1
 

8.1. INTRODUCTION .................................................... 8-1
 

8.2. MODE OF ACTION AND DOSE-RESPONSE APPROACH .................. 8-2
 

8.3. USE OF EPIDEMIOLOGIC STUDIES FOR QUANTITATIVE
 

RISK ASSESSMENT .................................................. 8-4
 

8.3.1. Sources of Uncertainty ............................................ 8-4
 

8.3.2. Evaluation of Key Epidemiologic Studies for 
 

Potential Use in Quantitative Risk Estimates .......................... 8-5
 

8.3.3. Conclusion .................................................... 8-11
 

8.4. PERSPECTIVES ON CANCER RISK ................................... 8-11
 

8.5. SUMMARY AND DISCUSSION ....................................... 8-16
 

REFERENCES FOR CHAPTER 8 ............................................. 8-17
 

vi 
CONTENTS (continued) 

9. CHARACTERIZATION OF POTENTIAL HUMAN HEALTH EFFECTS
 

OF DIESEL EXHAUST: HAZARD AND DOSE-RESPONSE ASSESSMENTS ...... 9-1
 

9.1. INTRODUCTION .................................................... 9-1
 

9.2. PHYSICAL AND CHEMICAL COMPOSITION OF DIESEL EXHAUST ........ 9-2
 

9.2.1. Diesel Exhaust Components of Possible Health Concern ................. 9-2
 

9.2.2. “Fresh” Versus “Aged” Diesel Exhaust ............................... 9-4
 

9.2.3. Changes of Diesel Exhaust Emissions and Composition Over Time ........ 9-5
 

9.3. AMBIENT CONCENTRATIONS AND EXPOSURE TO DIESEL EXHAUST .... 9-6
 

9.4. HAZARD CHARACTERIZATION ...................................... 9-8
 

9.4.1. Acute and Short-Term Exposures ................................... 9-8
 

9.4.2. Chronic Exposure ............................................... 9-10
 

9.5. DOSE-RESPONSE ASSESSMENT ..................................... 9-16
 

9.5.1. Evaluation of Risk for Noncancer Health Effects ...................... 9-17
 

9.5.2. Evaluation of Cancer Risks ....................................... 9-20
 

9.6. SUMMARY AND CONCLUSIONS ..................................... 9-24
 

REFERENCES FOR CHAPTER 9 ............................................. 9-27
 

APPENDIX A:	 CALCULATION OF HUMAN EQUIVALENT CONTINUOUS
 

EXPOSURE CONCENTRATIONS (HECs) ....................... A-1
 

APPENDIX B:	 BENCHMARK CONCENTRATION ANALYSIS OF 
 

DIESEL DATA ...............................................B-1
 

APPENDIX C:	 A SUMMARY REVIEW OF CANCER DOSE-RESPONSE 
 

ANALYSES ON DIESEL EXHAUST .............................C-1
 

vii 
LIST OF TABLES
 

2-1. Vehicle classification and weights for on-road trucks ......................... 2-5
 

2-2. Total (gas and diesel) diesel trucks in the fleet in 1992 ........................ 2-5
 

2-3. Typical chemical composition of fine particulate matter ...................... 2-14
 

2-4. U.S. emission standards: HD highway diesel engines ........................ 2-16
 

2-5. U.S. emission standards: locomotives (g/bhp-hr) ........................... 2-17
 

2-6. U.S. emission standards for nonroad diesel equipment (g/bhp-hr) ............... 2-18
 

2-7. Comparison of in-use truck fleet with truck fleet tested on chassis dynamometer, 
 

percent of total vehicles ............................................... 2-31
 

2-8. Diesel engine emissions data from engine dynamometer tests .................. 2-34
 

2-9. HD diesel emissions results from tunnel tests .............................. 2-40
 

2-10. Remote sensing results for HD vehicles ................................... 2-41
 

2-11. Summary of CDD/CDF emissions from diesel-fueled vehicles ................. 2-57
 

2-12. Baltimore Harbor Tunnel Study: estimated CDD/CDF emission factors for HD 
 

vehicles ............................................................ 2-60
 

2-13. Organic and elemental carbon fractions of diesel and gasoline engine PM exhaust . 2-70
 

2-14. Emission rates of PAH (mg/mi) from LD and HD diesel vehicles ............... 2-73
 

2-15. Polycyclic aromatic hydrocarbons identified in extracts of diesel particles from
 

LD diesel engine exhaust .............................................. 2-74
 

2-16. Emission rates of particle-bound PAH (:g/mi) from diesel and gasoline engines . . 2-76
 

2-17. Concentrations of nitro-PAHs identified in LD diesel particulate extracts ........ 2-77
 

2-18. Average emission rates for polycyclic aromatic hydrocarbons for different fuel 
 

types .............................................................. 2-81
 

2-19. Classes of compounds in diesel exhaust ................................... 2-86
 

2-20. Calculated atmospheric lifetimes for gas-phase reactions of selected compounds 
 

present in automotive emissions with important reactive species ............... 2-87
 

2-21. Major components of gas-phase diesel engine emissions, their known atmospheric
 

transformation products, and the biological impact of the reactants and products . . . 2-88
 

2-22. Major components of particle-phase diesel engine emissions, their known 
 

atmospheric transformation products, and the biological impact of the reactants 
 

and products ........................................................ 2-92
 

2-23. Ambient DPM concentrations reported from chemical mass balance modeling .... 2-98
 

2-24. Ambient diesel particulate matter concentrations from elemental carbon 
 

measurements in urban locations ....................................... 2-103
 

2-25. Ambient diesel particulate matter concentrations from dispersion modeling ..... 2-105
 

2-26. Nationwide ambient diesel particulate matter concentrations for 1996 from
 

the National Air Toxics Assessment National-Scale Assessment 

dispersion modeling ................................................. 2-107
 

2-27. Occupational exposure to DPM ........................................ 2-109
 

2-28. Ranges of occupational exposure to DPM by job category with estimates of equivalent
 

environmental exposures ............................................. 2-111
 

2-29. Annual average nationwide DPM exposure estimates (:g/m3

) from on-road sources 
 

for rural and urban demographic groups in 1990, 1996, and 2007 using 
 

HAPEM-MS3 ...................................................... 2-114
 

viii 
LIST OF TABLES (continued)

ix

2-30. Draft annual average, 25th, and 75th percentile nationwide DPM exposure 

estimates (μg/m3

) from on-road and nonroad sources for rural and urban counties 

in 1996 using HAPEM4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-113

2-31. Annual average DPM exposures for 1990 and 1996 in the general population and 

among the highest exposed demographic groups in nine urban areas and 

nationwide from on-road sources only using HAPEM-MS3 . . . . . . . . . . . . . . . . . . . . 2-114

2-32. Modeled and estimated concentrations of DPM in microenvironments for 

California for all sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-117

2-33. Estimated indoor air and total air exposures to DPM in California in 1990 . . . . . . . . . 2-118

3-1. Predicted doses of inhaled DPM per minute based on total lung volume (M), total 

airway surface area (M1), or surface area in alveolar region (M2) . . . . . . . . . . . . . . . . . . . 3-9

3-2. Alveolar clearance in laboratory animals exposed to DPM in whole exhaust . . . . . . . . 3-17

3-3. Model comparison for deposition of DPM under equivalent conditions . . . . . . . . . . . . 3-50

3-4. Comparative model estimates of DPM deposition in human lungs from exposure

to 5μg/m3 continuously for one year .................................. .... ... 3-53

5-1. Human studies of exposure to diesel exhaust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-18

5-2. Short-term effects of diesel exhaust on laboratory animals . . . . . . . . . . . . . . . . . . . . . . 5-26

5-3. Effects of chronic exposures to diesel exhaust on survival and growth of 

laboratory animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-31

5-4. Effects of chronic exposures to diesel exhaust on organ weights and 

organ-to-body-weight ratios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-33

5-5. Effects of diesel exhaust on pulmonary function of laboratory animals . . . . . . . . . . . . 5-36

5-6. Histopathological effects of diesel exhaust in the lungs of laboratory animals . . . . . . . 5-41

5-7. Effects of exposure to diesel exhaust on the pulmonary defense mechanisms of laboratory

animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-51

5-8. Effects of inhalation of diesel exhaust on the immune system of laboratory animals . . 5-60

5-9. Effects of diesel particulate matter on the immune response of laboratory animals . . . 5-64

5-10. Effects of exposure to diesel exhaust on the liver of laboratory animals . . . . . . . . . . . . 5-70

5-11. Effects of exposure to diesel exhaust on the hematological and cardiovascular 

systems of laboratory animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-72

5-12. Effects of chronic exposures to diesel exhaust on serum chemistry of laboratory 

animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-74

5-13. Effects of chronic exposures to diesel exhaust on microsomal enzymes of 

laboratory animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-76

5-14. Effects of chronic exposures to diesel exhaust on behavior and neurophysiology . . . . 5-79

5-15. Effects of chronic exposures to diesel exhaust on reproduction and development

in laboratory animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-81

5-16. Composition of exposure atmospheres in studies comparing unfiltered and 

filtered diesel exhaust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-84

6-1. Histopathological effects of diesel exhaust in the lungs of laboratory animals . . . . . . . . 6-7

6-2. Human equivalent continuous concentrations: 70-year HECs calculated 

with the model of Yu et al. (1991) from long-term studies of rats repeatedly 

exposed to DPM ........................................................ 6-22
LIST OF TABLES (continued) 

6-3. Effect estimates per 50 :g/m3

 increase in 24-h PM10 concentrations from U.S. and
 

Canadian studies ..................................................... 6-20
 

6-4. Effect estimates per variable increments in 24-h concentrations of fine particle 
 

indicators (PM2.5, SO=

4, H+

) from U.S. and Canadian studies .................. 6-23
 

6-5. Effect estimates per increments in annual average levels of fine particle 
 

indicators from U.S. and Canadian studies ................................. 6-24
 

6-6. Decision summary for the quantitative noncancer RfC assessment for continuous
 

exposure to diesel particulate matter (DPM) ............................... 6-33
 

7-1. Epidemiologic studies of the health effects of exposure to DE: cohort mortality 
 

studies ............................................................. 7-27
 

7-2. Epidemiologic studies of the health effects of exposure to DE: case-control 
 

studies of lung cancer ................................................. 7-55
 

7-3. Summary of animal inhalation carcinogenicity studies ....................... 7-85
 

7-4. Tumor incidences in rats following intratracheal instillation of DE particles (DPM),
 

extracted DPM, carbon black (CB), benzo[a]pyrene (B[a]P), or particles 

plus B[a]P .......................................................... 7-96
 

7-5. Tumorigenic effects of dermal application of acetone extracts of DPM .......... 7-96
 

7-6. Tumor incidence and survival time of rats treated by surgical lung implantation 
 

with fractions from DE condensate (35 rats/group) ......................... 7-111
 

7-7. Dermal tumorigenic and carcinogenic effects of various emission extracts ...... 7-120
 

7-8. Cumulative (concentration × time) exposure data for rats exposed to whole DE . . 7-122
 

7-9. Evaluations of DE as to human carcinogenic potential ...................... 7-144
 

8-1. DPM exposure margins (ratio of occupational ÷ environmental exposures) ....... 8-12
 

x 
LIST OF FIGURES
 

2-1. Diesel truck sales (domestic) for the years 1939-1997 ......................... 2-6
 

2-2. Diesel truck sales as a percentage of total truck sales for the years 1939-1997 ...... 2-6
 

2-3. Percentage of truck miles attributable to diesel trucks ......................... 2-7
 

2-4. Model year distribution of in-use HD truck fleet in 1997 ...................... 2-8
 

2-5. Model year distribution of vehicle miles traveled by the in-use HD truck 
 

fleet in 1997 ......................................................... 2-8
 

2-6. A comparison of IDI (A) and DI (B) combustion systems of high-speed HD diesel 
 

truck engines ........................................................ 2-10
 

2-7. Schematic diagram of diesel engine exhaust particles ........................ 2-12
 

2-8. Typical chemical composition for diesel particulate matter (PM2.5) from new 
 

(post-1990) HD diesel vehicle exhaust .................................... 2-14
 

2-9.	 Trends in PM10 emissions from on-road and nonroad engines combined and other
 

anthropogenic sources of PM10 from 1970 to 1998 (excludes miscellaneous and 
 

natural sources) ...................................................... 2-19
 

2-10. 	 Trends in PM10 emissions from on-road and nonroad diesel engines from 1970 
 

to 1998 and projections of emissions to 2007 and 2030 ....................... 2-21
 

2-11. 	 Trends in NOx emissions from on-road and nonroad diesel engines combined and 
 

other anthropogenic sources of NOx from 1970 to 1998 (excludes miscellaneous 
 

and natural sources) .................................................. 2-22
 

2-12. Trends in NOx emissions from on-road and nonroad diesel engines from
 

1970 to 1998 ........................................................ 2-23
 

2-13. Trends in SO2 emissions from on-road diesel engines from 1970 to 1998 and 
 

nonroad diesel engines from 1990 to 1998 ................................. 2-24
 

2-14. Trends in VOC emissions from on-road and nonroad diesel engines from 1970 
 

to 1998 ............................................................ 2-24
 

2-15. Trends in CO emissions from on-road and nonroad diesel engines from
 

1970 to 1998 ........................................................ 2-25
 

2-16. Percentage of total motor fuel use that is on-road diesel fuel since 1949 ......... 2-26
 

2-17. On-highway diesel fuel consumption since 1943, values in thousands of gallons . . . 2-26
 

2-18. Model year trends in PM, NOx, HC, and CO emissions from HD diesel vehicles 
 

(g/mile) ............................................................ 2-30
 

2-19. Diesel engine certification data for NOx emissions as a function of model year .... 2-33
 

2-20. Diesel engine certification data for PM emissions as a function of model year ..... 2-37
 

2-21. Emission factors from HD diesel vehicles from tunnel studies ................. 2-42
 

2-22. Line-haul and switch emissions data ..................................... 2-44
 

2-23. Effect of turbocharging and aftercooling on NOx and PM ..................... 2-49
 

2-24. Comparison of diesel engine dynamometer PM emissions for four-stroke, 
 

naturally aspirated, and turbocharged engines .............................. 2-50
 

2-25. An example of uniflow scavenging of a two-stroke diesel engine with a positive
 

displacement blower .................................................. 2-52
 

2-26. Comparison of two- and four-stroke vehicle diesel PM emissions from chassis
 

dynamometer studies ................................................. 2-53
 

2-27. Comparison of two- and four-stroke engine diesel PM emissions from engine
 

dynamometer studies ................................................. 2-54
 

2-28. Diesel engine dynamometer SOF emissions from two- and four-stroke engines. . . . 2-54
 

xi
 
LIST OF FIGURES (continued) 

2-29. Diesel engine aldehyde emissions measured in chassis dynamometer studies ..... 2-56
 

2-30. Diesel engine aldehyde emissions from engine dynamometer studies ............ 2-56
 

2-31. Trend in SOF emissions based on chassis dynamometer testing of HD diesel 
 

vehicles ............................................................ 2-66
 

2-32. Trend in SOF emissions for transient engine dynamometer testing of HD diesel 
 

engines ............................................................ 2-66
 

2-33. Trend in SOF emissions as a percent of total PM based on chassis dynamometer 
 

testing of HD diesel vehicles ........................................... 2-68
 

2-34. Trend in SOF emissions as a percentage of total PM from engine dynamometer 
 

testing ............................................................. 2-68
 

2-35. EC emission rates for diesel vehicles ..................................... 2-72
 

2-36. EC content as percent of fine PM for DPM samples obtained in chassis 
 

dynamometer studies ................................................. 2-72
 

2-37. Diesel engine emissions of benzo[a]pyrene and 1-nitropyrene measured in chassis
 

dynamometer studies ................................................. 2-78
 

2-38. Diesel engine dynamometer measurements of benzo[a]pyrene and 1-nitropyrene
 

emissions from HD diesel engines ....................................... 2-79
 

2-39. Particle size distribution in DE .......................................... 2-82
 

3-1. Schematic representation of major mechanisms, including diffusion, involved in 
 

particle deposition ..................................................... 3-4
 

3-2. Generalized regional deposition fractions of various sized particles in the human
 

respiratory tract ....................................................... 3-6
 

3-3. Modeled deposition distribution patterns of inhaled DE particles in the airways of
 

different species ...................................................... 3-8
 

3-4. Diagram of known and suspected clearance pathways for poorly soluble particles
 

depositing in the alveolar region ......................................... 3-10
 

3-5. Modeled clearance of poorly soluble 4-:m particles deposited in tracheobronchial 
 

and alveolar regions in humans.......................................... 3-12
 

3-6. Short-term thoracic clearance of inhaled particles as determined by model prediction 
 

and experimental measurement .......................................... 3-13
 

3-7. 	 Clearance from lungs of rats of 134Cs-FAP fused aluminosilicate tracer particles 
 

inhaled after 24 months of DE exposure at concentrations of 0 (control), 
 

0.35 (low), 3.5 (medium), and 7.1 (high) mg DPM/m3 ....................... 3-18
 

3-8. Lung burdens (in mg DPM soot/g lung) in rats chronically exposed to DE at 
 

0.35 (low), 3.5 (medium), and 7.1 (high) mg ppm/m3 ........................ 3-27
 

3-9. Modeled estimates of lung burden in humans after a simulated lifetime exposure 
 

to DPM using the Yu et al. (1991) and ICRP66 models ....................... 3-51
 

6-1. Flow diagram of procedure for calculating HECs ........................... 6-10
 

6-2.	 Relative risk (RR) estimates for increased mortality and morbidity endpoints
 

associated with 50 :g/m3

 increments in PM10 concentrations as derived from
 

studies cited by numbers listed above each given type of health endpoint ........ 6-22
 

6-3.	 Relative risks of acute mortality in Harvard Six Cities Study, for inhalable 

thoracic particles (PM15/PM10), fine particles (PM2.5), and coarse fraction 

xii
 
LIST OF FIGURES (continued) 

particles (PM -PM ) ................................................. 15 2.5 6-26
 

6-4.	 Adjusted relative risks for mortality are plotted against each of seven long-term
 

average particle indices in the Harvard Six Cities Study, from largest range (total
 

suspended particles) through sulfate and nonsulfate fine particle concentrations . . . 6-27
 

6-5.	 Percent of children with <85% normal FVC versus annual-average fine (PM2.1) 
 

particle concentrations and coarse fraction (PM10-2.1) levels for 22 North 
 

American cities ...................................................... 6-28
 

7-1. Pooled relative risk estimates and heterogeneity-adjusted 95% confidence intervals 
 

for all studies and subgroups of studies included in the meta-analysis ........... 7-62
 

7-2. Pooled estimates of relative risk of lung cancer in epidemiologic studies 
 

involving occupational exposure to DE (random-effects models) ............... 7-64
 

7-3. Pathogenesis of lung disease in rats with chronic, high-level exposures to 
 

particles ........................................................... 7-137
 

xiii 
FOREWORD
 

The diesel engine has been a vital workhorse in the United States, powering many of its 

large trucks, buses, and farm, railroad, marine, and construction equipment. Expectations are 

that diesel engine use in these areas will increase due to the superior performance characteristics 

of the engine. Diesel engine exhaust (DE), however, contains harmful pollutants in a complex 

mixture of gases and particulates. Human exposure to this exhaust comes from both highway 

uses (on-road) as well as nonroad uses of the diesel engine. 

EPA started evaluating and regulating the gaseous emissions from the heavy-duty 

highway use of diesel engines in the 1970s and particle emissions in the 1980s. The reduction of 

harmful exhaust emissions has taken a large step forward because of standards issued in 2000 

which will bring about very large reductions in exhaust emissions for model year 2007 heavyduty engines used in trucks, buses, and other on-road uses. A draft of this assessment, along 

with the peer review comments of the Clean Air Scientific Advisory Committee, was part of the 

scientific basis for EPA’s regulation of heavy-duty highway engines completed in December 

2000. The information provided by this assessment was useful in developing EPA’s 

understanding of the public health implications of exposure to DE and the public health benefits 

of taking regulatory action to control exhaust emissions. EPA anticipates developing similarly 

stringent regulations for other diesel engine uses, including those used in nonroad applications. 

Until these regulations take effect, EPA is partnering with state and local agencies to 

retrofit older, dirtier, engines to make them run cleaner and to develop model programs to reduce 

emissions from idling engines. In addition, EPA and local authorities are working to ensure 

early introduction of effective technologies for particulate matter control and the availability of 

low- sulfur fuel where possible in advance of the 2007 requirements. Today, at least one engine 

manufacturer is producing new engines with particulate traps that, when coupled with low-sulfur 

fuel, meet 2007 particulate emission levels. The Agency expects significant environmental and 

public health benefits as the environmental performance of diesel engines and diesel fuels 

improves. 

The health assessment concludes that long-term (i.e., chronic) exposure to DE is likely to 

pose a lung cancer hazard as well as damage the lung in other ways depending on exposure. The 

health assessment’s conclusions are based on exposure to exhaust from diesel engines built prior 

to the mid-1990s. Short-term (i.e., acute) exposures can cause transient irritation and 

inflammatory symptoms, although the nature and extent of these symptoms are highly variable 

across the population. The assessment also states that evidence is emerging that diesel exhaust 

xiv 
xv
 
PREFACE 

This document is the U.S. Environmental Protection Agency’s science-based Health 

Assessment Document for Diesel Engine Exhaust. The assessment was prepared by the National 

Center for Environmental Assessment which is the health risk assessment program in EPA’s 

Office of Research and Development. The assessment broadly supports activities authorized in 

the 1990 Clean Air Act. This assessment was specifically prepared for EPA’s Office of 

Transportation and Air Quality which requested information regarding the potential health 

hazards associated with diesel engine exhaust (DE) exposure. As DE emissions also contribute 

to urban air toxics and ambient particulate matter, other EPA air programs also have an interest 

in this assessment. 

This document was preceded by five earlier drafts: a Workshop Review Draft 

(EPA/600/8-90/057A, July 1990), an External Review Draft (EPA/600/8-90/057B, December 

1994), an SAB Review Draft (EPA/600/8-90/057C, February 1998), an SAB Review Draft 

(EPA/600/8-90/057D, November 1999), and an SAB Review Draft (EPA/600/8-90/057E, July 

2000). There was an SAB Environmental Health Committee Review in 1990 of the July 1990 

draft. The Science Advisory Board’s Clean Air Scientific Advisory Committee (CASAC) 

reviewed the 1994 draft in public sessions in May 1995, the 1998 draft in May 1998, the 1999 

draft in December 1999, and the July 2000 draft in October 2000. Public comment periods also 

were conducted concurrently with the CASAC reviews. In addition many reviewers, both within 

and outside the Agency, provided assistance at various review stages. This is the final version of 

the assessment which was prepared in response to CASAC advice and public comments received 

on the 2000 draft. 

The scientific literature search for this assessment is generally current through January 

2000, although a few later publications have been included. 

xvi 
AUTHORS, CONTRIBUTORS, AND REVIEWERS 

The National Center for Environmental Assessment (NCEA) within EPA’s Office of 

Research and Development (ORD) was responsible for the preparation of this document. 

CHAPTER 1. EXECUTIVE SUMMARY 

Authors 

NCEA Diesel Team 

CHAPTER 2. DIESEL EMISSIONS CHARACTERIZATION, ATMOSPHERIC 

TRANSFORMATION, AND EXPOSURES 

Author 

Marion Hoyer, Office of Transportation and Air Quality, U.S. Environmental Protection Agency, 

Ann Arbor, MI. 

Contributors 

Chad Bailey, Office of Transportation and Air Quality, U.S. Environmental Protection Agency, 

Ann Arbor, MI. 

Tom Baines, Office of Transportation and Air Quality, U.S. Environmental Protection Agency, 

Ann Arbor, MI. 

David Cleverly, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Washington, DC. 

William Ewald, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Research Triangle Park, NC. 

Robert McCormick, Colorado School of Mines, Golden, CO. 

Joseph McDonald, Office of Transportation and Air Quality, U.S. Environmental Protection 

Agency, Ann Arbor, MI. 

Joseph Somers, Office of Transportation and Air Quality, U.S. Environmental Protection 

Agency, Ann Arbor, MI. 

Janet Yanowitz, Colorado School of Mines, Golden, CO. 

Barbara Zielinska, Desert Research Institute, Reno, NV. 

xvii 
AUTHORS, CONTRIBUTORS, AND REVIEWERS (continued) 

CHAPTER 3. DOSIMETRY OF DIESEL PARTICULATE MATTER 

Authors 

Gary Foureman, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Research Triangle Park, NC. 

James McGrath, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Research Triangle Park, NC. 

William Pepelko, National Center for Environmental Assessment, U.S. Environmental 

Protection Agency, Washington, DC. 

CHAPTER 4. MUTAGENICITY 

Author 

Lawrence Valcovic, National Center for Environmental Assessment, U.S. Environmental 

Protection Agency, Washington, DC. 

CHAPTER 5. NONCANCER HEALTH EFFECTS OF DIESEL EXHAUST 

Author 

James McGrath, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Research Triangle Park, NC. 

Contributor 

Gary Foureman, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Research Triangle Park, NC. 

CHAPTER 6. QUANTITATIVE APPROACHES TO ESTIMATING 

HUMAN NONCANCER HEALTH RISKS OF DIESEL EXHAUST 

Authors 

Gary Foureman, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Research Triangle Park, NC. 

Lester Grant, National Center for Environmental Assessment, U.S. Environmental Protection 

Agency, Research Triangle Park, NC. 

Contributors 

Karen Martin, Office of Air Quality Planning and Standards-OAR, U.S. Environmental 

Protection Agency, Research Triangle Park, NC. 

xviii 
AUTHORS, CONTRIBUTORS, AND REVIEWERS (continued)

xix

James McGrath, National Center for Environmental Assessment, U.S. Environmental Protection

Agency, Research Triangle Park, NC.

CHAPTER 7. CARCINOGENICITY OF DIESEL EXHAUST

Authors

Aparna Koppikar, National Center for Environmental Assessment, U.S. Environmental

Protection Agency, Washington, DC.

William Pepelko, National Center for Environmental Assessment, U.S. Environmental

Protection Agency, Washington, DC.

Contributors

Drew Levy, University of Washington, Seattle, WA.

Robert Young, Oak Ridge National Laboratory, Oak Ridge, TN.

CHAPTER 8. DOSE-RESPONSE ASSESSMENT: CARCINOGENIC EFFECTS

Authors

Chao Chen, National Center for Environmental Assessment, U.S. Environmental Protection

Agency, Washington, DC.

William Pepelko, National Center for Environmental Assessment, U.S. Environmental

Protection Agency, Washington, DC.

Contributor

Charles Ris, National Center for Environmental Assessment, U.S. Environmental Protection

Agency, Washington, DC.

CHAPTER 9. CHARACTERIZATION OF POTENTIAL HUMAN HEALTH EFFECTS

OF DIESEL EXHAUST: HAZARD AND DOSE-RESPONSE ASSESSMENTS 

Author

Charles Ris, National Center for Environmental Assessment, U.S. Environmental Protection

Agency, Washington, DC.

Contributors

NCEA Diesel Team
AUTHORS, CONTRIBUTORS, AND REVIEWERS (continued)

xx

REVIEWERS

 The Science Advisory Board’s Clean Air Scientific Advisory Committee (CASAC)

reviewed the 1994 draft in public sessions in May 1995, the 1998 draft in May 1998, the 1999

draft in December 1999, and the July 2000 draft in October 2000. Public comment periods also

were conducted concurrently with the CASAC reviews. In addition, many reviewers both within

and outside the Agency provided assistance at various review stages. This is the final version of

the assessment which was prepared in response to the latest CASAC advice and public

comments. 

The authors wish to thank all those who sought to improve the quality of this report with

their comments and are particularly grateful to the CASAC for its advice.

The following members of the SAB’s CASAC participated in the review of the July 2000

draft.

Panel Chair

Dr. Joe Mauderly1, Vice President, Senior Scientist, and Director of National Environmental

Respiratory Center, Lovelace Respiratory Research Institute, Albuquerque, NM. 

CASAC Members2

Mr. John Elston, Administrator, Office of Air Quality Management, State of New Jersey,

Department of Environmental Protection and Energy, Trenton, NJ.

Dr. Philip K. Hopke3, R.A. Plane Professor of Chemistry, Clarkson University, Department of

Chemistry, Potsdam, NY (CASAC Chair).

Dr. Eva J. Pell4

, Steimer Professor of Agriculture Sciences, The Pennsylvania State University,

University Park, PA.

Dr. Arthur C. Upton, M.D., Director, Independent Peer Review, UMDNJ-CRESP,

Environmental and Occupational Health Sciences Institute, New Brunswick, NJ.

Dr. Sverre Vedal, M.D., University of British Columbia, Vancouver Hospital, Vancouver, BC,

Canada.

Dr. Warren White5

, Senior Research Associate, Washington University, Chemistry

Department, St. Louis, MO.

CASAC Consultants6

Dr. David Diaz-Sanchez, Department of Medicine, UCLA, Los Angeles, CA.

Dr. Eric Garshick, M.D., Staff Physician, Pulmonary and Critical Care Section, West Roxbury

Virginia Medical Center, West Roxbury, MA.
Dr. Roger O. McClellan, Advisor, Toxicology and Human Health Risk Analysis, and President 

Emeritus, Chemical Industry Institute of Toxicology (CIIT), Albuquerque, NM. 

Dr. Gunter Oberdörster, University of Rochester Medical Center, Department of 

Environmental Medicine, Rochester, NY. 

Dr. Leslie Stayner7

, National Institute for Occupational Safety and Health (NIOSH), Risk 

Evaluation Branch, Taft Laboratories, Cincinnati, OH. 

Dr. Ron Wyzga, Electric Power Research Institute (EPRI), Palo Alto, CA. 

Science Advisory Board Staff 

Mr. Robert Flaak, Designated Federal Official (DFO) and Team Leader, Committee Operations 

Staff, EPA Science Advisory Board (1400A), 1200 Pennsylvania Avenue, NW, U.S. 

Environmental Protection Agency, Washington, DC 20460 

Ms. Diana Pozun, Management Assistant, Committee Operations Staff, and Program Specialist, 

Office of the Staff Director, EPA Science Advisory Board (1400A), 1200 Pennsylvania 

Avenue, NW, U.S. Environmental Protection Agency, Washington, DC 20460 

_____________________ 1

Appointment as Chair of CASAC ended on October 30, 2000. Appointed ex officio Past Chair until 

September 30, 2001.

2

CASAC Members are experts appointed by the Administrator to two-year terms to serve on the Clean Air 

Scientific Advisory Committee.

3

Appointed as Chair of CASAC on October 30, 2000. 4

Resigned from CASAC on September 28, 2000. 5

Appointment as Member of CASAC ended on October 30, 2000. 6

CASAC Consultants are experts appointed by the Science Advisory Board Staff Director to a one-year 

term to serve on ad hoc Panels formed to address a particular issue; in this case, the CASAC Review of EPA’s 

Health Assessment Document for Diesel Exhaust. 

7

Federal Expert. 

xxi 
ACKNOWLEDGMENTS 

The authors would like to acknowledge the contributions of several people who have 

made this report and the previous drafts possible. 

Document Review 

Vanessa Vu
 

National Center for Environmental Assessment
 

U.S. Environmental Protection Agency
 

Washington, DC
 

Document Production 

Terri Konoza
 

Judy Theisen
 

National Center for Environmental Assessment
 

U.S. Environmental Protection Agency
 

Washington, DC
 

Kay Marshall
 

Joanna Taylor
 

Eric Sorensen
 

Clara Calderon-Laucho
 

The CDM Group, Inc.
 

Chevy Chase, MD
 

Sam Napolitano
 

Office of Transportation and Air Quality
 

U.S. Environmental Protection Agency
 

Washington, DC
 

xxii 
1. EXECUTIVE SUMMARY 

1.1. INTRODUCTION 

This Health Assessment Document for Diesel Engine Exhaust (DE) represents EPA’s 

first comprehensive review of the potential health effects from ambient exposure to exhaust from 

diesel engines. The assessment was developed to provide information about the potential for DE 

to pose environmental health hazards, information that would be useful in evaluating regulatory 

needs under provisions of the Clean Air Act. The assessment identifies and characterizes the 

potential human health hazards of DE (i.e, hazard assessment) and seeks to estimate the 

relationship between exposure and disease response for the key health effects (i.e., dose-response 

assessment). A full exposure assessment and risk characterization, the other two components of 

a complete risk assessment, are beyond the scope of this document. 

The report has nine chapters and three appendices. Chapter 2 provides a characterization 

of diesel emissions, atmospheric transformation, and human exposures to provide a context for 

the hazard evaluation of DE. Chapters 3, 4, 5, and 7 provide a review of relevant information for 

the evaluation of potential health hazards of DE, including dosimetry (Chapter 3), mutagenicity 

(Chapter 4), noncancer effects (Chapter 5), and carcinogenic effects (Chapter 7). Chapters 6 and 

8 contain dose-response analyses to provide insight about the significance of the key noncancer 

and cancer hazards. Chapter 9 summarizes and characterizes the overall nature of the health 

hazard potential in the environment and the overall confidence and/or uncertainties associated 

with the conclusions. 

1.2. COMPOSITION OF DIESEL EXHAUST 

DE is a complex mixture of hundreds of constituents in either a gas or particle form. 

Gaseous components of DE include carbon dioxide, oxygen, nitrogen, water vapor, carbon 

monoxide, nitrogen compounds, sulfur compounds, and numerous low-molecular-weight 

hydrocarbons. Among the gaseous hydrocarbon components of DE that are individually known 

to be of toxicologic relevance are the aldehydes (e.g., formaldehyde, acetaldehyde, acrolein), 

benzene, 1,3-butadiene, and polycyclic aromatic hydrocarbons (PAHs) and nitro-PAHs. 

The particles present in DE (i.e., diesel particulate matter [DPM]) are composed of a 

center core of elemental carbon and adsorbed organic compounds, as well as small amounts of 

sulfate, nitrate, metals, and other trace elements. DPM consists of fine particles (fine particles 

have a diameter <2.5 :m), including a subgroup with a large number of ultrafine particles 

(ultrafine particles have a diameter <0.1 :m). Collectively, these particles have a large surface 

area which makes them an excellent medium for adsorbing organics. Also, their small size 

makes them highly respirable and able to reach the deep lung. A number of potentially 

1-1
 
toxicologically relevant organic compounds are on the particles. The organics, in general, range 

from about 20% to 40 % of the particle weight, though higher and lower percentages are also 

reported. Many of the organic compounds present on the particle and in the gases are 

individually known to have mutagenic and carcinogenic properties. For example, PAHs, nitroPAHs, and oxidized PAH derivatives are present on the diesel particles, with the PAHs and their 

derivatives comprising about 1% or less of the DPM mass. 

DE emissions vary significantly in chemical composition and particle sizes between 

different engine types (heavy-duty, light-duty), engine operating conditions (idle, accelerate, 

decelerate), and fuel formulations (high/low sulfur fuel). Also, there are emission differences 

between on-road and nonroad engines simply because the nonroad engines to date are generally 

of older technology. The mass of particles emitted and the organic components on the particles 

from on-road diesel engines have been reduced over the years. Available data for on-road 

engines indicate that toxicologically relevant organic components of DE (e.g., PAHs, nitroPAHs) emitted from older vehicle engines are still present in emissions from newer engines, 

though relative amounts have decreased. There is currently insufficient information to 

characterize the changes in the composition of DE from nonroad diesel engines over time. 

1.3. DIESEL EXHAUST AS A COMPONENT OF AMBIENT PARTICULATE MATTER 

DE is emitted from “on-road” diesel engines (vehicle engines) or “nonroad” diesel 

engines (e.g., locomotives, marine vessels, heavy-duty equipment, etc.). Nationwide, data in 

1998 indicated that DE as measured by DPM made up about 6% of the total ambient PM2.5 

inventory (i.e., particles with aerodynamic diameter of 2.5 micrometers or less) and about 23% 

of the inventory, if natural and miscellaneous sources of PM2.5 are excluded. Estimates of the 

DPM percentage of the total inventory in urban centers are higher. For example, estimates range 

from 10% to 36% in some urban areas in California, Colorado, and Arizona. Available data also 

indicate that over the years there have been significant reductions in DPM emissions from the 

exhaust of on-road diesel engines, whereas limited data suggest that exhaust emissions from 

nonroad engines have increased. 

1.4. ATMOSPHERIC TRANSFORMATION OF DIESEL EXHAUST 

After emission from the tailpipe, DE undergoes dilution and chemical and physical 

transformations in the atmosphere, as well as dispersion and transport in the atmosphere. The 

atmospheric lifetime for some compounds present in DE ranges from hours to days. DPM is 

directly emitted from diesel-powered engines (primary particulate matter) and can be formed 

from the gaseous compounds emitted by diesel engines (secondary particulate matter). Limited 

information is available about the physical and chemical transformation of DE in the 

1-2
 
atmosphere. It is not clear what the overall toxicological consequences of DE’s transformations 

are because some compounds in the DE mixture are altered to more toxic forms while others are 

made less toxic. 

1.5. EXPOSURE TO DIESEL EXHAUST 

DPM mass (expressed as :g DPM/m3

) has historically been used as a surrogate measure 

of exposure for whole DE. Although uncertainty exists as to whether DPM is the most 

appropriate parameter to correlate with human health effects, it is considered a reasonable choice 

until more definitive information about the mechanisms of toxicity or mode(s) of action of DE 

becomes available. In the ambient environment, human exposure to DE comes from both onroad and nonroad engine exhaust. A large percentage of the U.S. population also is exposed to 

ambient PM2.5, of which DPM is typically a significant constituent. Although this document 

does not provide an exposure assessment, DE exposure information is included to provide a 

context for the health effects information. Exposure estimates for the early to mid-1990s suggest 

that national annual average DE exposure from on-road engines alone was in the range of about 

0.5 to 0.8 :g DPM/m3

 of inhaled air in many rural and urban areas, respectively. Exposures 

could be higher if there is a nonroad DE source that adds to the exposure from on-road vehicles. 

For example, preliminary estimates show that, on a national average basis, accounting for 

nonroad DE emissions adds another twofold to the on-road exposure. For localized urban areas 

where people spend a large portion of their time outdoors, the exposures are higher and, for 

example, may range up to 4.0 :g DPM/m3

 of inhaled air. 

1.6. HEALTH EFFECTS OF DIESEL EXHAUST 

Available evidence indicates that there are human health hazards associated with 

exposure to DE. The hazards include acute exposure-related symptoms, chronic exposurerelated noncancer respiratory effects, and lung cancer. The health hazard conclusions are based 

on exhaust emissions from diesel engines built prior to the mid-1990s. With current engine use 

including some new and many more older engines (engines typically stay in service for a long 

time), the health hazard conclusions, in general, are applicable to engines currently in use. As 

new and cleaner diesel engines, together with different diesel fuels, replace a substantial number 

of existing engines, the general applicability of the health hazard conclusions will need to be reevaluated. With new engine and fuel technology expected to produce significantly cleaner 

engine exhaust by 2007 (e.g., in response to new federal heavy duty engine regulations), 

significant reductions in public health hazards are expected for those engine uses affected by the 

regulations. 

1-3
 
1.6.1. Acute (Short-Term Exposure) Effects 

Information is limited for characterizing the potential health effects associated with 

acute or short-term exposure. However, on the basis of available human and animal evidence, it 

is concluded that acute or short-term (e.g., episodic) exposure to DE can cause acute irritation 

(e.g., eye, throat, bronchial), neurophysiological symptoms (e.g., lightheadedness, nausea), and 

respiratory symptoms (cough, phlegm). There also is evidence for an immunologic effect–the 

exacerbation of allergenic responses to known allergens and asthma-like symptoms. The lack of 

adequate exposure-response information in the acute health effect studies precludes the 

development of recommendations about levels of exposure that would be presumed safe for 

these effects. 

1.6.2. Chronic (Long-Term Exposure) Noncancer Respiratory Effects 

Information from the available human studies is inadequate for a definitive evaluation of 

possible noncancer health effects from chronic exposure to DE. However, on the basis of 

extensive animal evidence, DE is judged to pose a chronic respiratory hazard to humans. 

Chronic-exposure, animal inhalation studies show a spectrum of dose-dependent inflammation 

and histopathological changes in the lung in several animal species including rats, mice, 

hamsters, and monkeys. 

This assessment provides an estimate of inhalation exposure of DE (as measured by 

DPM) to which humans may be exposed throughout their lifetime without being likely to 

experience adverse noncancer respiratory effects. This exposure level, known as the reference 

concentration (RfC) for DE of 5 :g/m3

 of DPM was derived on the basis of dose-response data 

on inflammatory and histopathological changes in the lung from rat inhalation studies. In 

recognition of the presence of DPM in ambient PM2.5 , it also is appropriate to consider the 

wealth of PM2.5 human health effects data. In this regard, the 1997 National Ambient Air 

Quality Standard for PM2.5 of 15 :g/m3

 (annual average concentration) also would be expected 

to provide a measure of protection from DPM, reflecting DPM’s current approximate proportion 

to PM2.5. 

1.6.3. Chronic (Long-Term Exposure) Carcinogenic Effects 

This assessment concludes that DE is “likely to be carcinogenic to humans by inhalation” 

and that this hazard applies to environmental exposures. This conclusion is based on the totality 

of evidence from human, animal, and other supporting studies. There is considerable evidence 

demonstrating an association between DE exposure and increased lung cancer risk among 

workers in varied occupations where diesel engines historically have been used. The human 

evidence from occupational studies is considered strongly supportive of a finding that DE 

1-4
 
exposure is causally associated with lung cancer, though the evidence is less than that needed to 

definitively conclude that DE is carcinogenic to humans. There is some uncertainty about the 

degree to which confounders are having an influence on the observed cancer risk in the 

occupational studies, and there is uncertainty evolving from the lack of actual DE exposure data 

for the workers. In addition to the human evidence, there is supporting evidence of DPM’s 

carcinogenicity and associated DPM organic compound extracts in rats and mice by 

noninhalation routes of exposure. Other supporting evidence includes the demonstrated 

mutagenic and chromosomal effects of DE and its organic constituents, and the suggestive 

evidence for bioavailability of the DPM organics in humans and animals. Although highexposure chronic rat inhalation studies show a significant lung cancer response, this is not 

thought predictive of a human hazard at lower environmental exposures. The rat response is 

considered to result from an overload of particles in the lung resulting from the high exposure, 

and such an overload is not expected to occur in humans at environmental exposures. 

Although the available human evidence shows a lung cancer hazard to be present at 

occupational exposures that are generally higher than environmental levels, it is reasonable to 

presume that the hazard extends to environmental exposure levels. While there is an incomplete 

understanding of the mode of action for DE-induced lung cancer that may occur in humans, there 

is the potential for a nonthreshold mutagenic mode of action stemming from the organics in the 

DE mixture. A case for an environmental hazard also is shown by the simple observation that 

the estimated higher environmental exposure levels are close to, if not overlapping, the lower 

range of occupational exposures for which lung cancer increases are reported. These 

considerations taken together support the prudent public health choice of presuming a cancer 

hazard for DE at environmental levels of exposure. Overall, the evidence for a potential cancer 

hazard to humans resulting from chronic inhalation exposure to DE is persuasive, even though 

assumptions and uncertainties are involved. While the hazard evidence is persuasive, this does 

not lead to similar confidence in understanding the exposure/dose-response relationship. 

Given a carcinogenicity hazard, EPA typically performs a dose-response assessment of 

the human or animal data to develop a cancer unit risk estimate that can be used with exposure 

information to characterize the potential cancer disease impact on an exposed population. The 

DE human exposure-response data are considered too uncertain to derive a confident quantitative 

estimate of cancer unit risk, and with the chronic rat inhalation studies not being predictive for 

environmental levels of exposure, EPA has not developed a quantitative estimate of cancer unit 

risk. 

In the absence of a cancer unit risk, simple exploratory analyses were used to provide a 

perspective of the range of possible lung cancer risk from environmental exposure to DE. The 

analyses make use of reported lung cancer risk increases in occupational epidemiologic studies, 

1-5
 
and the differences between occupational and environmental exposure. The purpose of having a 

risk perspective is to illustrate and have a sense of the possible significance of the lung cancer 

hazard from environmental exposure. The risk perspective cannot be viewed as a definitive 

quantitative characterization of cancer risk nor is it suitable for estimation of exposure-specific 

population risks. 

1.7. SOURCES OF UNCERTAINTY 

Even though the overall evidence for potential human health effects of DE is persuasive, 

many uncertainties exist because of the use of assumptions to bridge data and knowledge gaps 

about human exposures to DE and the general lack of understanding about underlying 

mechanisms by which DE causes observed toxicities in humans and animals. A notable 

uncertainty of this assessment is whether the health hazards identified from studies using 

emissions from older engines can be applied to present-day environmental emissions and related 

exposures, as some physical and chemical characteristics of the emissions from certain sources 

have changed over time. Available data are not sufficient to provide definitive answers to this 

question because changes in DE composition over time cannot be confidently quantified, and the 

relationship between the DE components and the mode(s) of action for DE toxicity is/are 

unclear. While recognizing the uncertainty, for this assessment a judgment is made that prioryear toxicologic and epidemiologic findings can be applied to more current exposures, both of 

which use DPM mass in air as the measure of DE exposure. 

Other uncertainties include the assumptions that health effects observed at high doses 

may be applicable to low doses, and that toxicologic findings in laboratory animals generally are 

predictive of human responses. In the absence of a more complete understanding of how DE 

may cause adverse health effects in humans and laboratory animals, related assumptions (i.e., the 

presence of a biological threshold for chronic respiratory effects based on cumulative dosage and 

absence of a threshold for lung cancer stemming from subtle and irreversible effects) are 

considered reasonable and prudent. 

Although parts of this assessment, particularly the noncancer RfC estimate, have been 

derived with a generic consideration of sensitive subgroups within the population, the actual 

spectrum of the population that may have a greater susceptibility to DE is unknown and cannot 

be better characterized until more information is available regarding the adverse effects of DPM 

in humans. Increased susceptibility, for example, could result from above-average increases in 

DE deposition and retention in the respiratory system or intrinsic differences in respiratory 

system tissue sensitivity. There is no DE-specific information that provides direct insight to the 

question of differential human susceptibility. Given the nature of DE’s noncancer effects on the 

respiratory system it would be reasonable, for example, to consider possible vulnerable 

1-6
 
subgroups to include infants/children, the elderly, or individuals with preexisting health 

conditions, particularly respiratory conditions. 

In developing a perspective on the possible significance of the environmental cancer 

hazard of DE, this assessment uses information about the differences in the magnitude of DE 

exposures between the occupational and environmental settings. Although an appreciation for 

differences in exposure is needed only at an order-of-magnitude level for this assessment, one 

should recognize that individual exposure is a function of both the variable concentrations in the 

environment and the related breathing and particle retention patterns of the individual. Because 

of variations in these factors across the population, different subgroups could receive lower or 

higher exposure to DE than those groups mentioned in this assessment. 

Lastly, this assessment considers only potential heath effects from exposures to DE 

alone. Effects of DE exposure could be additive to or synergistic with concurrent exposures to 

many other air pollutants. However, in the absence of more definitive data demonstrating 

interactive effects (e.g., potentiation of allergenicity effects, potentiation of DPM toxicity by 

ambient ozone and oxides of nitrogen) from combined exposures to DE and other pollutants, it is 

not possible to address this issue. Further research is needed to improve the knowledge and data 

on DE exposures and potential human health effects, and thereby reduce uncertainties of future 

assessments of the DE health effects data. 

1-7
 
2. DIESEL EXHAUST EMISSIONS CHARACTERIZATION, ATMOSPHERIC 

TRANSFORMATION, AND EXPOSURES 

2.1. INTRODUCTION 

This chapter provides background information relating to the diesel engine, the pollutants 

it emits, the history of its use in highway vehicles and railroad locomotives, diesel exhaust 

composition and emissions trends, and air pollution regulatory standards for diesel engines in the 

United States. The chapter also provides specific information about the physical and chemical 

composition of diesel exhaust, descriptions of its atmospheric transformations, observations of 

measured and modeled ambient concentrations (considered alone and as a component of 

atmospheric particles in general), some estimates of population exposures as well as a 

comparison of DPM with ambient fine particulate matter (PM2.5). In addition, this chapter gives 

background information that is used in conjunction with toxicology and epidemiology data to 

formulate conclusions about human health hazards that are discussed in later chapters of this 

document. The exposure information does not represent a formal or rigorous exposure 

assessment; it is intended only to provide a context for the health effects data and health hazard 

findings. 

For the purposes of this document, carbonaceous matter, diesel exhaust, diesel particulate 

matter, elemental carbon, organic carbon, soluble organic fraction, and soot are defined below. 

Carbonaceous matter: Carbon-containing compounds that are associated with 

particulate matter in diesel exhaust. In this document, the term carbonaceous matter 

includes all organic and elemental carbon-containing compounds that are found in the 

particle phase. In other documents, this term is sometimes used interchangeably to refer 

to the insoluble fraction of diesel particulate matter or the soot fraction. 

Diesel engine exhaust (DE): Gaseous and particle-phase emissions resulting from the 

combustion of diesel fuel in an internal-combustion, compression-ignition engine. DE 

includes emissions from a diesel engine or diesel vehicle (inclusive of aftertreatment 

devices), but does not include emissions from brake and tire wear. 

Diesel particulate matter (DPM): The particle-phase compounds emitted in DE. DPM 

can refer to both primary emissions and secondary particles that are formed by 

atmospheric processes. In this document, DPM refers to primary particles. Primary 

diesel particles are considered fresh after being emitted and aged after 

2-1
undergoing oxidation, nitration, or other chemical and physical changes in the 

atmosphere. As used in this document, DPM refers to both fresh and aged DPM unless a 

distinction is made. 

Elemental carbon (EC): Carbon that has undergone pyrolysis (i.e., has been stripped of 

hydrogen). In pure form, EC contains only carbon atoms, although EC as it exists in 

combustion particulate matter is likely to contain some hydrogen atoms. 

Organic carbon (OC): Carbon- and hydrogen-containing molecules emitted in DE 

largely as the result of unburned diesel fuel and, to a lesser extent, from engine 

lubrication oil. OC compounds also can contain oxygen, nitrogen, and sulfur, as well as 

other elements in small quantities. 

Soluble organic fraction (SOF): The organic portion of DPM that can be extracted 

from the particle matrix into solution. Extraction solutions and procedures vary and are 

described in Section 2.2.8.1. 

Soot: Agglomerations of EC and OC particles. Soot also is often characterized as the 

insoluble portion of DPM, and is therefore considered to be mainly EC by some 

investigators. 

This chapter begins with a history of dieselization for on-road vehicles and locomotives, 

followed by an introductory discussion of the formation of primary diesel emissions to assist the 

reader in understanding the complex factors that influence the formation of particulate matter 

(PM) and other DE emissions. The next section is a summary of EPA emission standards for 

on-road and locomotive diesel engines and a description of the national trends in emissions from 

on-road and nonroad diesel engine sources based on inventory modeling. The chapter continues 

with a discussion of diesel fuel use and the impact of fuel properties on emissions. The 

chronological assessment of emissions factors is presented in summaries of chassis and engine 

dynamometer testing and tunnel tests. This is followed by a description of engine technologies 

and their effect on emissions, and a description of the chemical and physical nature of emissions. 

The data describing the important atmospheric transformations of DE are summarized. The 

chapter concludes with a summary of the available literature regarding atmospheric 

concentrations of DPM and exposures to DE. EPA has assessed national and urban-area annual 

average exposure to DPM using the Hazardous Air Pollutant Exposure Model, and this 

assessment is presented in Section 2.4.3. A full exposure assessment would include the 

2-2
distribution of ambient DE exposures in different geographic regions and among different 

demographic groups, the most highly exposed (90th percentile), exposures in microenvironments 

for short and long durations, the maximum exposure range (98th percentile), and the number of 

maximum-exposed individuals. However, such an assessment is not currently available. EPA is 

developing tools to provide a more complete exposure assessment. 

2.2. PRIMARY DIESEL EXHAUST EMISSIONS 

2.2.1. History of Dieselization 

The diesel engine was patented in1892 by Rudolf Diesel, who conceived it as a prime 

mover that would provide much improved fuel efficiency compared with spark-ignition (SI) 

engines. To the present day, the diesel engine's excellent fuel economy remains one of its 

strongest selling points. In the United States, the diesel engine is used mainly in trucks, buses, 

agricultural and other nonroad equipment, locomotives, and ships. 

The chief advantages of the diesel engine over the gasoline engine are its fuel economy 

and durability. Diesel engines, however, emit more PM per mile driven compared with gasoline 

engines of a similar weight. Over the past decade, modifications of engine components have 

substantially reduced particle emissions from both diesel and gasoline engines (Hammerle et al., 

1994; Sawyer and Johnson, 1995). 

The diesel engine compresses air to high pressure and temperature. Fuel, when injected 

into this compressed air, autoignites, releasing its chemical energy. The expanding combustion 

gases do work on the piston before being exhausted to the atmosphere. Power output is 

controlled by the amount of injected fuel rather than by throttling the air intake. Compared to its 

SI counterpart, the diesel engine's superior efficiency derives from a higher compression ratio 

and no part-load throttling. To ensure structural integrity for prolonged reliable operation at the 

higher peak pressures brought about by a higher compression ratio and autoignition, the structure 

of a diesel engine generally is more massive than its SI counterpart. 

Diesel engines (also called compression-ignition) may be broadly identified as being 

either two- or four-stroke cycle, injected directly or indirectly, and naturally aspirated or 

supercharged. They also are classified according to service requirements such as light-duty (LD) 

or heavy-duty (HD) automotive/truck, small or large industrial, and rail or marine. 

All diesel engines use hydraulic fuel injection in one form or another. The fuel system 

must meet four objectives if a diesel engine is to function properly over its entire operating 

range. It must: (1) meter the correct quantity of fuel, (2) distribute the fuel to the correct 

cylinder, (3) inject the fuel at the correct time, and (4) inject the fuel so that it is atomized and 

mixes well with the in-cylinder air. The first two objectives are functions of a well-designed 

injection pump, and the last two are mostly functions of the injection nozzle. Fuel injection 

2-3
systems are moving toward the use of electronic components for more flexible control than is 

available with purely mechanical systems to obtain lower exhaust emissions without diminishing 

fuel efficiency. 

Both the fuel and the lubricants that service diesel engines are highly finished 

petroleum-based products combined with chemical additives. Diesel fuel is a mixture of many 

different hydrocarbon molecules from about C7 to about C35, with a boiling range from roughly 

350 °F to 650 °F. Many of the fuel and oil properties, such as specific energy content (which is 

higher than gasoline), ignition quality, and specific gravity, are related to hydrocarbon 

composition. Therefore, fuel and lubricant composition affect many aspects of engine 

performance, including fuel economy and exhaust emissions. 

Complete and incomplete combustion of fuel in the diesel engine results in the formation 

of a complex mixture of gaseous (gas-phase hydrocarbons, CO, CO2, NO, NO2, SO2) and 

particulate exhaust (carbonaceous matter, sulfate, and trace elements). Because of concerns over 

health effects associated with DE, EPA began regulating emissions from diesel engines in 1970 

(for smoke) and then added regulations for gaseous emissions. EPA first regulated particulate 

emissions from HD diesels in 1988. 

2.2.1.1. Dieselization of the On-Road Fleet 

Because of their durability and fuel economy, the use of diesel engines, particularly in 

long-distance applications, has increased over the years. The Census of Transportation, Truck 

Inventory and Use Survey (TIUS) indicates that among Class 3-8 trucks, diesel engine use has 

increased more rapidly than gasoline engine use in the past 20 years. Truck classes are defined 

by gross vehicle weight as described in Table 2-1. Dieselization first occurred among Class 7 

and 8 trucks. The TIUS indicates that 81.5% of diesel trucks on the road in 1963 were Class 7 or 

8 trucks (Table 2-2). Class 7 sales became predominantly (>50%) diesel in the 1970s and Class 

8 sales became predominantly diesel in the 1960s. Diesels did not make up a majority of class 5 

and 6 sales until the 1990s (Figures 2-1 and 2-2). HD trucks have historically constituted the 

majority of diesel sales and mileage. However, an increasing number of LD diesel trucks have 

been sold domestically in recent years. In the 1990s, approximately one in three diesel trucks 

sold was a Class 1 or Class 2 vehicle. Diesel trucks have historically been driven more miles per 

truck than gasoline trucks. For example, the TIUS indicates that 59% of diesel trucks were 

driven more than 50,000 miles in 1963, compared with 3% of gasoline trucks. 

2-4
1

2

3

4

5

6

7

Table 2-1. Vehicle classification and weights for on-road trucks 

Class Gross vehicle weight (lb) 

<6,000 

6,001–10,000 

10,001–14,000 

14,001–16,000 

16,001–19,500 

19,501–26,000 

26,001–33,000 

8Aa 33,001–60,000 

8Ba >60,000 

Medium duty (MD) 10,001–19,500 (same as Classes 3–5) 

Light-heavy duty (LHD) 19,501–26,000 (same as Class 6) 

Heavy-heavy duty (HHD) >26,001 (same as Class 7–8) a

Class 8A and Class 8B are often considered together. 

Table 2-2. Total (gas and diesel) diesel trucks in the fleet in 1992 

Truck class 1992 gas and 

diesel trucks 

1992 diesel 

trucks 

% Diesels 

Class 1 and 2 

(Light duty) 

55,193,300 1,387,600 3 

Class 3, 4, and 5 

(Medium duty) 

1,258,500 326,300 26 

Class 6 

(Light heavy-duty) 

732,300 273,800 37 

Class 7 and 8 

(Heavy heavy-duty) 

2,016,600 1,725,300 86 

Source: Census of Transportation, 1995. 

2-5
0 

20,000 

40,000 

60,000 

80,000 

100,000 

120,000 

140,000 

160,000 

180,000 

200,000 

1930 1940 1950 1960 1970 1980 1990 2000 

Number Sold 

Class 5 

Class 6 

Class 7 

Class 8 

Figure 2-1. Diesel truck sales (domestic) for the years 1939-1997. 

Source: AAMA, 1927-1974 and 1975-1998. 

0.0% 

20.0% 

40.0% 

60.0% 

80.0% 

100.0% 

1930 1940 1950 1960 1970 1980 1990 2000 

% Diesel 

Class 5 

Class 6 

Class 7 

Class 8 

Figure 2-2. Diesel truck sales as a percentage of total truck sales for the years 1939-1997. 

Source: AAMA, 1927-1974 and 1975-1998. 

2-6
Among combination trucks, consisting of tractor-trailers and single-unit trucks with trailers, 

diesel vehicles have driven a majority of the miles since at least 1963, the first year in which 

TIUS was conducted (Figure 2-3). 

Figure 2-3. Percentage of truck miles attributable to diesel trucks. VMT= vehicle miles 

traveled. 

Source: U.S. Bureau of the Census, 1999b. 

The longevity of diesel trucks is an important factor to understand past, current, and 

projected exposures to DE because older vehicles are subject to less stringent regulations and 

may remain in use for several decades after their manufacture. American Automobile 

Manufacturers Association publications (AAMA, 1927-1997) indicate that 53% of trucks from 

model years 1947-1956 were still on the road after 14 years. The proportion of trucks in use 

after 14 years was 63% for model years 1974-1983, suggesting that the lifespan of trucks built in 

later years is longer. According to the 1997 TIUS, vehicles older than 10 years made up 40% of 

Class 7 and 8 trucks and 16% of Class 7-8 vehicle miles traveled (VMT) (Figures 2-4 and 2-5). 

Almost all Class 7 and 8 trucks were diesel vehicles in the period 1982-1997 (93% in 1982 and 

99% in 1997). 

2.2.1.2. Dieselization of Railroad Locomotive Engines 

Early in the 20th century the political and economic pressure on the railroads to replace 

steam locomotives was substantial. Railroads were losing business to other forms of transport. 

The diesel-electric locomotive provided 90% in-service time, compared with only 50% for steam 

locomotives, and had three times the thermal efficiency (Klein, 1991; Kirkland, 1983). 

2-7
Figure 2-4. Model year distribution of in-use HD truck fleet in 1997. 

Source: U.S. Bureau of the Census, 1999b. 

Figure 2-5. Model year distribution of vehicle miles traveled by the in-use HD truck 

fleet in 1997. 

Source: U.S. Bureau of Census, 1999b. 

2-8
Additionally, several cities had passed laws barring steam locomotives within the city limits 

because the large quantities of smoke obscured visibility, creating a safety hazard. The first 

prototype diesel locomotive was completed in 1917. By 1924 General Electric (GE) was 

producing a standard line of switching locomotives on a production basis. Electro-Motive 

Corporation was founded the same year to produce diesel locomotives in competition with GE. 

This company was purchased in 1929 by General Motors (GM) and became the Electro-Motive 

Division. After this acquisition, GM began to develop the two-stroke engine for this application. 

Up to this time, all locomotive diesel engines were four-stroke. Two-strokes offered a much 

higher power-to-weight ratio, and GM’s strategy was to get a large increase in power by moving 

to the two-stroke cycle. The first true high-speed, two-stroke, diesel-electric locomotives were 

produced by GM in 1935. However, because of the economic climate of the Great Depression, 

few of these were sold until after the Second World War. At the end of the war, most 

locomotives were still steam-driven but were more than 15 years old, and the railroads were 

ready to replace the entire locomotive fleet. Few, if any, steam locomotives were sold after 1945 

because the entire fleet was converted to diesel (Coifman, 1994). 

The locomotive fleet has included significant percentages of both two- and four-stroke 

engines. The four-stroke diesel engines were naturally aspirated in the 1940s and 1950s. It is 

unlikely that any of the two-stroke engines used in locomotive applications were strictly 

naturally aspirated. Nearly all two-stroke diesel locomotive engines are uniflow scavenged, with 

a positive-displacement blower for scavenging assistance. In 1975, it was estimated that 75% of 

the locomotives in service were two-stroke, of which about one-half used one or more 

turbochargers in addition to the existing positive-displacement blower for additional intake boost 

pressure. 

Almost all of the four-stroke locomotive engines were naturally aspirated in 1975. 

Electronic fuel injection for locomotive engines was first offered in the 1994 model year (U.S. 

EPA, 1998b). All locomotive engines manufactured in recent years are turbocharged, 

aftercooled or intercooled four-stroke engines. In part, this is because of the somewhat greater 

durability of four-strokes, although impending emissions regulations may have also been a factor 

in this shift. The typical lifespan of a locomotive has been estimated to be more than 40 years 

(U.S. EPA, 1998b). Many of the smaller railroads are still using engines built in the 1940s, 

although the engines may have been rebuilt several times since their original manufacture. 

2.2.2. Diesel Combustion and Formation of Primary Emissions 

A basic understanding of diesel combustion processes can assist in understanding the 

complex factors that influence the formation of DPM and other DE emissions. Unlike SI 

combustion, diesel combustion is a fairly nonhomogenous process. Fuel is sprayed at high 

2-9
Figure 2-6. 

HD diesel truck engines. 

these applications by the early 1980s. 

A comparison of IDI (A) and DI (B) combustion systems of high-speed 

DI engines almost completely replaced IDI engines for 

pressure into the compressed cylinder contents (primarily air with some residual combustion 

products) as the piston nears the top of the compression stroke. The turbulent mixing of fuel and 

air that takes place is enhanced by injection pressure, the orientation of the intake ports 

(inducement of intake-swirl tangential to the cylinder wall), piston motion, and piston bowl 

shape. In some cases, fuel and air mixing is induced via injection of the fuel into a turbulencegenerating pre-chamber or swirl chamber located adjacent to the main chamber (primarily in 

older, higher speed engines and some LD diesels). Examples of typical direct injection and 

indirect injection combustion systems are compared in Figure 2-6. Diesel combustion can be 

considered to consist of the following phases (Heywood, 1988; Watson and Janota, 1982): 

Figure 2-6. A comparison of IDI (A) and DI (B) combustion systems of high-speed 

HD diesel truck engines. DI engines almost completely replaced IDI engines for 

these applications by the early 1980s. (IDI = indirect injection, DI=direct injection) 

2-10
• An ignition delay period, which starts after the initial injection of fuel and continues 

until the initiation of combustion. The delay period is governed by the rate of fuel 

and air mixing, diffusion, turbulence, heat transfer, chemical kinetics, fuel 

vaporization, and fuel composition. Fuel cetane rating is an indication of ignition 

delay. 

• Rapid, premixed burning of the fuel and air mixture from the ignition delay period. 

• Diffusion-controlled burning, where the fuel burns as it is injected and diffuses into 

the cylinder. 

• A very small amount of rate-controlled burning during the expansion stroke, after 

the end of injection. 

Engine speed and load are controlled by the quantity of fuel injected. Thus, the overall 

fuel-to-air ratio varies greatly as engine speed and load vary. On a macro scale, the cylinder 

contents are always fuel-lean. Depending on the time available for combustion and the 

proximity of oxygen, the fuel droplets are either completely or partially oxidized. At 

temperatures above 1,300 K, much of the unburned fuel that is not oxidized is pyrolized 

(stripped of hydrogen) to form EC (Dec and Espey, 1995). In addition to EC, other 

carbonaceous matter is present, largely from unburned fuel. The agglomeration of elemental and 

OC forms particles that are frequently referred to as “soot” particles. In this document, the terms 

“EC” and “OC” are used to refer to the carbon-containing components of DPM, and collectively, 

they are referred to as the carbonaceous fraction of a diesel particle. 

Carbonaceous particle formation occurs primarily during the diffusion-burn phase of 

combustion, and is highest during high load and other conditions consistent with high fuel-air 

ratios. Most of the carbonaceous matter formed (80% to 98%) is oxidized during combustion, 

most likely by hydroxyl radicals (Kittelson et al., 1986; Foster and Tree, 1994). 

DPM is defined by the measurement procedures summarized in the Code of Federal 

Regulations, Title 40 CFR, Part 86, Subpart N (CFR 40:86.N). These procedures define DPM 

emissions as the mass of material collected on a filter at a temperature of 52 °C or less after 

dilution of the exhaust with air. DPM is formed by a number of physical processes acting in 

concert as the exhaust is cooled and diluted. These are nucleation, coagulation, condensation, 

and adsorption. The core DE particles are formed by nucleation and coagulation from primary 

spherical particles consisting of solid carbonaceous (EC) material and ash (trace metals and other 

elements). To these, through coagulation, adsorption, and condensation, are added organic and 

sulfur compounds (sulfate) combined with other condensed material (Figure 2-7). Because of 

2-11
Solid Carbonaceous/Ash Particle 

with adsorbed hydrocarbon/sulfate layer 

Sulfuric Acid Particles 

Hydrocarbon/Sulfate Particles 

0.2 μm 

Figure 2-7. Schematic diagram of diesel engine exhaust particles. 

Source: Modified from Kittelson, 1998. 

their size, <0.5 mm, these particles have a very large surface area per gram of mass, which 

makes them able to adsorb large quantities of ash, organic compounds, and sulfate. The specific 

surface area of the EC core has been measured to be approximately 30–50 m2

/g (Frey and Corn, 

1967). Pierson and Brachaczek (1976) report that after the extraction of adsorbed organic 

material, the surface area of the diesel particle core is approximately 90 m2/g. 

The organic material associated with diesel particles originates from unburned fuel, 

engine lubrication oil, and small quantities of partial combustion and pyrolysis products. This is 

frequently quantified as the SOF, which is discussed in much more detail in Section 2.2.7. The 

formation of sulfate in DE depends primarily on fuel sulfur content. During combustion, sulfur 

compounds present in the fuel are oxidized to sulfur dioxide (SO2). Approximately 1% to 4% of 

fuel sulfur is oxidized to form sulfuric acid (H2SO4) (Wall et al., 1987; Khatri et al., 1978; 

Baranescu, 1988; Barry et al., 1985). Upon cooling, sulfuric acid and water condense into an 

aerosol that is nonvolatile under ambient conditions. The mass of sulfuric acid DPM is more 

than doubled by the mass of water associated with the sulfuric acid under typical DPM 

measurement conditions (50% relative humidity, 20–25 °C) (Wall et al., 1987). 

2-12
Emissions from combustion engines produce oxide of nitrogen (NOx) primarily (at least 

initially) as of NO. High combustion temperatures cause reactions between oxygen and nitrogen 

to form NO and some NO2. Most NO2 formed during combustion is rapidly decomposed. NO 

can also decompose to N2 and O2, but the rate of decomposition is very slow (Heywood, 1988; 

Watson and Janota, 1982). Thus, almost all of the NOx emitted is NO. 

Some organic compounds from unburned fuel and from lubricating oil consumed by the 

engine can be trapped in crevices or cool spots within the cylinder and thus are not sufficiently 

available to conditions that would lead to their oxidation or pyrolysis. These compounds are 

emitted from the engine and either contribute to gas-phase organic emissions or to DPM 

emissions, depending on their volatility. Within the exhaust system, temperatures are sufficiently 

high that these compounds are entirely present within the gas phase (Johnson and Kittelson, 

1996). Upon cooling and mixing with ambient air in the exhaust plume, some of the less volatile 

organic compounds can adsorb to the surfaces of the EC agglomerate particles. Lacking 

sufficient EC adsorption sites, the organic compounds may condense on sulfuric acid nuclei to 

form a heterogeneously nucleated organic aerosol (Abdul-Khalek et al., 1999). 

Although not unique to DE, the high content of EC associated with typical DPM 

emissions has long been used by some investigators to distinguish diesel engine sources of this 

particle from other combustion aerosols. Diesel particles from newer HD engines are typically 

composed of ~75% EC (EC can range from 33% to 90%), ~20% OC (OC can range from 7% to 

49%), and small amounts of sulfate, nitrate, trace elements, water, and unidentified components 

(Figure 2-8). Metallic compounds from engine component wear, and from compounds in the 

fuel and lubricant, contribute to DPM mass. Ash from oil combustion also contributes trace 

amounts. 

Ambient PM2.5 measured in the eastern United States is dominated by sulfate (34%), 

whereas ambient PM2.5 in the western United States is dominated by OC (39%) (Table 2-3) (U.S. 

EPA, 1999a). Many sources contribute to ambient PM2.5, and these sources and their relative 

contribution to ambient PM2.5 can be identified on the basis of the chemical species present. The 

OC fraction of DPM is increasingly being used to assist investigators in identifying the 

contribution of diesel engine emissions to ambient PM2.5. In particular, hopane and sterane 

compounds (aromatic compounds, >C30) have been used in addition to other polycyclic aromatic 

hydrocarbons (PAHs) and long-chain alkanes to distinguish DPM from other mobile source PM 

and from ambient PM (Schauer et al., 1996; Fujita et al., 1998). Although PAH compounds 

make up 1% or less of DPM mass, diesel emissions have been observed to have elevated 

concentrations of methylated naphthalenes and methylated phenanthrene isomers compared to 

other combustion aerosols (Benner et al., 1989; Lowenthal et al., 1994; Rogge et al., 1993). 

Enrichment of benzo[a]anthracene and benzo[a]pyrene (B[a]P) in DPM has also been 

2-13
Figure 2-8. Typical chemical composition for diesel particulate matter (PM2.5) 

from new (post-1990) HD diesel vehicle exhaust. 

Table 2-3. Typical chemical composition of fine particulate matter 

Eastern U.S. Western U.S. Diesel PM2.5 

Elemental carbon 4% 15% 75% 

OC 21% 39% 19% 

Sulfate, nitrate, 

ammonium 

48% 35% 1% 

Minerals 4% 15% 2% 

Unknown 23% – 3% 

Source: U.S. EPA, 1999a. 

2-14
observed under some conditions and has been used to assess the relative contribution of DE to 

ambient PM. 

Although specific OC species are being used to help distinguish DPM aerosols from 

other combustion aerosols, up to 90% of the organic fraction associated with DPM is currently 

classified as unresolvable complex material. Ultrafine DPM (5–50 nm) accounts for the majority 

(50% to 90%) of the number of particles but only 1% to 20% of the mass of DPM. A study 

conducted by Gertler (1999) in the Tuscarora Mountain tunnel demonstrated an increase in 20 

nm diameter particles as the fraction of diesel vehicles in the tunnel increased from 13% to 78%. 

The contribution of nuclei-mode particles from a freeway on an ambient aerosol size distribution 

was reported by Whitby and Sverdrup (1980). 

In summary, four main characteristics of DPM are (1) the high proportion of EC, (2) the 

large surface area associated with the carbonaceous particles in the 0.2 :m size range, (3) 

enrichment of certain polycyclic organic compounds, and (4) 50%–90% of the number of DPM 

particles in diesel engine exhaust are in the nuclei-mode size range, with a mode of 20 nm. 

2.2.3. Diesel Emission Standards and Emission Trends Inventory 

EPA set a smoke standard for on-road HD diesel engines beginning with the 1970 model 

year and added a carbon monoxide (CO) standard and a combined hydrocarbon (HC) and NOx 

standard for the 1974 model year (Table 2-4). Beginning in the 1979 model year, EPA added a 

HC standard while retaining the combined HC and NOx standard. All of the testing for HC, CO, 

and NOx was completed using a steady-state test procedure. Beginning in the 1985 model 

year,EPA added a NOx standard (10.7 g/bhp-hr), dropped the combined HC and NOx standard, 

and converted from steady-state to transient testing for HC, CO, and NOx emissions. EPA 

introduced a particulate standard for 1988 model year diesel engines using the transient test (0.6 

g/bhp-hr). Transient testing involves running an engine on a dynamometer over a range of load 

and speed set points. 

Since the 1985 model year, only the NOx and particulate standards have been tightened 

for on-road diesel engines. For truck and bus engines, the particulate standard was reduced to 

0.25 g/bhp-hr in 1991, and it was reduced again in 1994 for truck engines to 0.1 g/bhp-hr. For 

urban bus engines, the particulate standard was reduced in 1994 to 0.07 g/bhp-hr and again in 

1996 to 0.05 g/bhp-hr. The NOx standard was reduced to 4.0 g/bhp-hr in 1998 for all on-road 

diesel engines (bus and truck engines). The standards for nonmethane hydrocarbon (NMHC) 

and NOx combined were further lowered in a 1997 rulemaking, to take effect in 2004. EPA has 

recently finalized a regulation that will further reduce NOx, NMHC, and PM emissions from 

diesel engines starting in 2007. 

2-15
Table 2-4. U.S. emission standards: HD highway diesel engines 

Model 

year 

Pollutant (g/bhp-hr) 

Smokea 

HC CO NOx HC + NOx Particulate (PM) 

t=truck, b=bus, 

ub=urban bus 

1970 — —- —- —- — A:40%; L:20% 

1974 — 40 —- 16b — A:20%; L:15%; P:50% 

1979 1.5 25 —- 10b — A:20%; L:15%; P:50% 

1985c 1.3 15.5 10.7 — — A:20%; L:15%; P:50% 

1988 1.3 15.5 10.7 — 0.60 A:20%; L:15%; P:50% 

1990 1.3 15.5 6.0 — 0.60 A:20%; L:15%; P:50% 

1991 1.3 15.5 5.0 — 0.25 A:20%; L:15%; P:50% 

1993 1.3 15.5 5.0 — 0.25 t, 0.10 b A:20%; L:15%; P:50% 

1994 1.3 15.5 5.0 — 0.10 t, 0.07 ub A:20%; L:15%; P:50% 

1996 1.3 15.5 5.0 — 0.10 t, 0.05 ub A:20%; L:15%; P:50% 

1998 1.3 15.5 4.0 — 0.10 t, 0.05 ub A:20%; L:15%; P:50% 

2004 1.3 15.5 — 2.4 NMHCd 0.10 t, 0.05 ub A:20%; L:15%; P:50% 

2007 15.5 0.2 0.14 NMHC 0.01 A:20%; L:15%; P:50% 

a

Emissions measured in percent opacity during different operating modes: A=acceleration; L=lug; P=peaks during either mode. b

Total HC.

c

In 1985, test cycle changed from steady-state to transient operation for HC, CO, and NOx measurement and

in 1988 for PM.

d

Or 2.5 plus a limit of 0.5 nonmethane hydrocarbon (NMHC). 

In December 1997, EPA adopted emission standards for NOx, HC, CO, PM, and smoke 

for newly manufactured and remanufactured railroad locomotives and locomotive engines. The 

rulemaking, which took effect in the year 2000, applies to locomotives originally manufactured 

in 1973 or after, and any time they are manufactured or remanufactured (locomotives originally 

manufactured before 1973 are not regulated). Three sets of emission standards have been 

adopted (Tier 0, 1, and 2); they apply to locomotives and locomotive engines originally 

manufactured from 1973 through 2001 (Tier 0), from 2002 through 2004 (Tier 1), and in 2005 

and later (Tier 2) (Table 2-5; see EPA web page at http://www.epa.gov/omswww/ or 

http://www.dieselnet.com/standards/ for current information on mobile source emission 

standards). The emissions are measured over two steady-state test cycles that represent two 

2-16
Table 2-5. U.S. emission standards: locomotives (g/bhp-hr) 

Yeara CO HC NOx PM 

Line-haul 1973-2001 (Tier 0) 5.0 1.0 9.5 0.6 

Switch 1973-2001 (Tier 0) 8.0 2.1 14.0 0.72 

Line-haul 2002-2004 (Tier 1) 2.2 0.55 7.4 0.45 

Switch 2002-2004 (Tier 1) 2.5 1.2 11.0 0.54 

Line-haul 2005 + (Tier 2) 1.5 0.3 5.5 0.20 

Switch 2005 + (Tier 2) 2.4 0.6 8.1 0.24 

a

Date of engine manufacture. 

different types of service, including line-haul (long-distance transport) and switch (involved in 

all transfer and switching operations in switchyards) locomotives. 

Emission standards for nonroad equipment are not as stringent as current standards for 

on-road equipment and are being phased in within the next decade. Currently, Federal PM 

standards exist for nonroad equipment of several horsepower ratings. For equipment between 

175 and 750 horsepower, the PM standard was set at 0.4 g/bhp-hr in 1996 and will decrease to 

0.15 g/bhp-hr between 2001 and 2003 depending on the power rating (Table 2-6). This 

equipment includes construction, agricultural, and industrial such as bulldozers, graders, cranes, 

and tractors. The current PM standard for this equipment is only slightly lower than the 0.6 

g/bhp-hr PM standard in place for on-road HD diesel engines in the late 1980s. 

The EPA emission trends report (U.S. EPA, 2000a) provides emission inventories for 

criteria pollutants (PM10, PM2.5, SO2, NOx, volatile organic compounds [VOC], CO, Pb, and 

NH3) from point, area, and mobile sources, which indicate how emissions have changed from 

1970 to 1998. The emission trends are based on the EPA mobile source inventory models 

MOBILE, PART5, and the draft NONROAD model. PART5 derives particulate emission rates 

for HD diesel vehicles using data generated for new engine certification purposes. PART5 is 

currently being modified to account for deterioration, in-use emissions, poor maintenance, and 

tampering effects, all of which would increase emission factors. PM, SO2, NOx, and VOC 

emissions trends from the report are discussed below. Ambient urban/suburban PM samples 

rarely reflect the large fraction of natural and miscellaneous sources suggested by the national 

inventory, owing to removal of a large portion of these emissions close to their sources as well as 

dispersion from these sources to urban/suburban sites. The removal of natural and miscellaneous 

PM10 (largely fugitive dust) near their source is a result of the lack of inherent thermal buoyancy, 

low release height, and interaction with their surroundings (impaction and filtration by 

vegetation). 

2-17
Table 2-6. U.S. emission standards for nonroad diesel equipment (g/bhp-hr) 

Power rating Model 

year 

Pollutant (g/bhp-hr) Smoke %a 

HC CO NOx NMHC + 

NOx 

PM 

11 < hp 2000 — 6.0 — 7.8 (ABT) 0.74 (ABT) 

2005+ — 6.0 — 5.6 (ABT) 0.60 (ABT) 

11# hp < 25 2000 — 4.9 — 7.0 (ABT) 0.60 (ABT) 

2005+ — 4.9 — 5.6 (ABT) 0.60 (ABT) 

25# hp < 50 2000 — 4.1 — 7.0 (ABT) 0.60 (ABT) 

2005+ — 4.1 — 5.6 (ABT) 0.44 (ABT) 

50# hp <100 1998+ — — 6.9 (ABT) — — 20/15/50 

2004 — 3.7 5.6 (ABT) 0.30 (ABT) 

2008+ — 3.7 3.5 (ABT) — 

100# hp <175 1997+ — — 6.9 (ABT) — — 20/15/50 

2003 — 3.7 — 4.9 (ABT) 0.22 (ABT) 

2007+ — 3.7 — 3.0 (ABT) — 

175# hp < 750 1996+ 1.0 8.5 6.9 (ABT) — 0.4 20/15/50 

175# hp < 300 2003 — 2.6 — 4.9 (ABT) 0.15 (ABT) 

2006+ — 2.6 — 3.0 (ABT) — 

300# hp < 600 2001 — 2.6 — 4.8 (ABT) 0.15 (ABT) 

2006+ — 2.6 — 3.0 (ABT) — 

600# hp < 750 2002 — 2.6 — 4.8 (ABT) 0.15 (ABT) 

2006+ — 2.6 — 3.0 (ABT) — 

$750 hp 2000+ 1.0 8.5 6.9 (ABT) — 0.4 20/15/50 

2006+ — 2.6 — 4.8 (ABT) 0.15 (ABT) 

a

Emissions measured in percent opacity during different operating modes: acceleration/lug/peaks during either mode. 

ABT=average banking and trading. 

Note: The standards for engines less than 50 hp also apply to diesel marine engines. 

2-18
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For the summaries presented here, natural and miscellaneous sources are excluded from the 

national PM and NOx inventories. 

From 1970 to 1998, PM10 emissions decreased from slightly over 12,200,000 tons to just 

over 2,800,000 tons (Figure 2-9). PM10 emissions from on-road and nonroad diesel engines 

increased from 320,000 tons to more than 521,000 tons during this same period, so that in 1970 

diesel engine emissions were 3% of the PM10 inventory whereas in 1998, diesel engine emissions 

were 18% of the PM10 inventory. Diesel engines also contribute to secondary PM formation 

from NOx and SO2 emissions that are converted to nitrate and sulfate. VOCs from diesel engines 

also contribute to secondary organic particle formation. The contribution of secondary PM is not 

included in the national trends inventories cited here. 

Mobile sources of PM include both gasoline- and diesel-powered on-road vehicles and a 

variety of nonroad equipment. Nonroad diesel engine sources include construction equipment, 

agricultural equipment, marine vessels, locomotives, and other sources. The EPA emission 

trends report (U.S. EPA, 2000a) indicates that, excluding natural and miscellaneous sources, 

mobile sources were responsible for 25% of PM10 emissions in 1998. Diesel engines (on-road 

and nonroad combined) were estimated to contribute 72% of mobile-source PM10 emissions. 

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6000 

8000 

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Calendar Year 

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Diesel PM10 

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Figure 2-9. Trends in PM10 emissions from on-road and nonroad engines combined 

and other anthropogenic sources of PM10 from 1970 to 1998 (excludes miscellaneous 

and natural sources). 

Source: U.S. EPA, 2000a, National Air Pollutant Emission Trends, 1900-1998. 

2-19
Because of the high concentration of fine particles in engine emissions, diesel engines (on-road 

and nonroad combined) were estimated to contribute 77% of mobile-source PM2.5 emissions and 

23% of total PM2.5 in 1998 (excluding natural and miscellaneous emissions). If natural and 

miscellaneous PM2.5 sources are included in the inventory, diesel PM2.5 contributes 6% to the 

national inventory. 

Gram per mile particulate emissions from diesel vehicles are much greater than those 

from gasoline-fueled vehicles, accounting for the large contribution of diesel engine emissions to 

the national inventory in spite of the smaller number of diesel engines in use. Particulate 

emissions (PM10) from gasoline-fueled engines decreased dramatically in 1975 with the 

widespread introduction of unleaded gasoline. Particulate emissions from diesel highway 

vehicles have decreased recently because of EPA emission standards for new model year HD 

diesel trucks that were first implemented in 1988 and became increasingly stringent in 1991, 

1994, and 2000, as presented in Table 2-4. A decrease in on-road HD DPM emissions since the 

mid-1980s is confirmed by in-use vehicle testing, as described in Section 2.2.5. Because of the 

implementation of existing regulations, DPM emissions from on-road sources are expected to 

decrease 37% from 1998 to 2007; however, nonroad DPM emissions are expected to increase 

15% in the same period (Figure 2-10). 

The EPA emission trends report (U.S. EPA, 2000a) indicates that annual on-road vehicle 

PM10 emissions decreased from 397,200 tons to 257,080 tons from 1980 to 1998.1 Passenger car 

particulate emissions decreased 53% (from 119,000 to 56,000 tons) in this timeframe, while onroad diesel vehicle PM10 emissions decreased 27% (from 208,000 to 152,000 tons) (Figure 2-10). 

Nonroad diesel engine PM10 emissions increased 17% (from 314,000 tons in 1980 to 69,000 tons 

in 1998). Emissions data for PM2.5 are available only for the period from 1990 to 1998. 

Between 1990 and 1998, PM2.5 emissions from mobile sources decreased by 14%, largely as the 

result of decreased on-road emissions. 

From 1970 to 1998, NOx emissions increased from 20,598,000 tons to 24,126,000 tons 

(Figure 2-11). NOx emissions from on-road and nonroad diesel engines increased from 

1,748,000 tons to 4,753,000 tons during this same period, so that in 1970 diesel engine emissions 

were 8% of the NOx inventory while in 1998, diesel engine emissions were 20% of the NOx 

1

Exhaust emissions constitute the majority of PM emissions from mobile sources, with tire and brake wear 

contributing the remainder. To compare trends estimates from past years with future projections (which are provided 

for exhaust emissions only), the fraction of brake and tire wear would need to be omitted from these estimates as 

reported in the emission trends report (U.S. EPA, 2000a). On average in the late 1990s 39% and 64% of gasoline 

vehicle particulate emissions originated from exhaust and 95% and 98% of on-road diesel emissions originated from 

exhaust for PM10 and PM2.5, respectively. 

2-20 
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Figure 2-10. Trends in PM10 emissions from on-road and nonroad diesel engines from 1970 

to 1998 and projections of emissions to 2007 and 2030*. 

Source: U.S. EPA, 2000a, National Air Pollutant Emission Trends, 1900-1998.

*Projection to 2030 includes implementation of the recently finalized regulation “Control of Air

Pollution from New Motor Vehicles: Heavy-Duty Engine and Vehicle Standards and Highway

Diesel Fuel Sulfur Control Requirements” U.S. EPA, 2000b.

inventory. As mentioned above, some of this NOx will be converted to particulate nitrate in the

atmosphere, and this contribution to ambient PM is not quantified in national inventories.

In 1998, 53% of total emitted NOx came from mobile sources, with diesels responsible 

for 57% of the mobile-source contribution. Overall, NOx emissions from mobile sources have 

remained relatively constant over time, increasing an estimated 7% from 1980 to 1998. Whereas Thousands of short tons 

2-21
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5000 

10000 

15000 

20000 

25000 

30000 

1970 1980 1990 1998 

Calendar Year 

Thousands of short tons 

DieselNOx 

������� Other Sources of NOx 

Figure 2-11. Trends in NOx emissions from on-road and nonroad diesel engines combined 

and other anthropogenic sources of NOx

natural sources). 

from 1970 to 1998 (excludes miscellaneous and 

Source: U.S. EPA, 2000a, National Air Pollutant Emission Trends, 1900-1998. 

NOx from LD gasoline vehicles decreased from 1980 to 1998, resulting in an overall decrease in 

on-road NOx emissions of 9%, NOx from diesel trucks and buses increased 7% (from 2,463,390 

tons in 1980 to 2,630,120 tons in 1998), owing to the illegal use of electronic control devices that 

bypassed the trucks’ emission control systems, as discussed in Section 2.2.5. NOx emissions 

from nonroad diesel engines (including commercial marine and locomotives) have increased 

46% (from 3,251,600 tons in 1980 to 4,752,800 tons in 1998) (Figure 2-12). 

About 7% of SO2 came from mobile sources in 1998, with diesels responsible for 74% of 

that total. EPA regulations for on-road diesel fuel sulfur content (which started in 1993) have 

significantly reduced SO2 emissions from highway diesels. SO2 emissions from highway diesel 

2-22
Figure 2-12. Trends in NOx emissions from on-road and nonroad diesel engines from 1970 

to 1998. 

Source: U.S. EPA, 2000a, National Air Pollutant Emission Trends, 1900-1998. 

engines have decreased 72% (from 303,000 tons in 1980 to 85,000 tons in 1998) (Figure 2-13). 

Similar trends are not apparent for nonroad diesels, although in 1998 nonroad diesel engines, 

excluding commercial marine vessels, emitted 785,000 tons of SO2, accounting for 56% of 

mobile-source SO2 emissions in 1998. 

Diesel engines are not a large source of VOC emissions compared with gasoline engines. 

VOC emissions from diesel engines in 1998 were estimated at 2% of the total emissions from all 

sources. VOC emissions from diesel mobile sources decreased 9% (from 779,000 tons in 1980 

to 721,000 tons in 1998) (Figure 2-14). 

Diesel engines are also not a large source of CO emissions compared with gasoline 

engines. In 1998, mobile sources emitted 79% of all CO, and diesel engines accounted for 4% of 

the mobile-source CO. CO emissions from on-road diesel vehicles increased 34% between 1980 

and 1998, during which time nonroad diesel emissions of CO increased 45% (Figure 2-15). 

2-23
Figure 2-13. Trends in SO2 emissions from on-road diesel engines from 1970 to 1998 and 

nonroad diesel engines from 1990 to 1998. 

Source: U.S. EPA, 2000a, National air pollutant emission trends, 1900-1998. 

Figure 2-14. Trends in VOC emissions from on-road and nonroad diesel engines from 1970

to 1998.

Source: U.S. EPA, 2000a, National air pollutant emission trends, 1900-1998. 

2-24
Figure 2-15. Trends in CO emissions from on-road and nonroad diesel engines from 1970 

to 1998. 

Source: U.S. EPA, 2000a, National Air Pollutant Emission Trends, 1900-1998. 

2.2.4. Historical Trends in Diesel Fuel Use and Impact of Fuel Properties on Emissions 

Use of diesel fuel increased steadily in the second half of the 20th century. According to 

statistics from the Federal Highway Administration (1995, 1997), in 1949 diesel fuel was 

approximately 1% of the total motor fuel used, and in 1995 it was about 18%. Over the same 

time, diesel fuel consumption in the United States increased from about 400 million gallons to 26 

billion gallons per year, an increase by a factor of more than 60 (Figures 2-16 and 2-17). 

The chemistry and properties of diesel fuel have a direct effect on emissions of regulated 

pollutants from diesel engines. Researchers have studied the NOx and DPM effect of sulfur 

content, total aromatic content, polyaromatic content, fuel density, oxygenate content, cetane 

number, and T90 on emissions of regulated pollutants. T90 is the 90% distillation point 

temperature. An increase in T90 has been observed to cause an increase in DPM emissions 

(Cunningham et al., 1990; Sienicki et al., 1990). Cetane number is a measure of the ignition 

quality, or ignition delay time, of a diesel fuel. The percent of cetane (less commonly referred to 

as hexadecane, C16H34) by volume in a blend with alpha-methylnaphthalene (C10H7CH3) defines 

the cetane number that provides the same ignition delay time as the fuel in use. 

2-25
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16 

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12 

10 

8 

6 

4 

2 

0 

1949195219551958196119641967197019731976197919821985198819911994

Figure 2-16. Percentage of total motor fuel use that is on-road diesel fuel since 1949. 

Source: Federal Highway Administration, 1995. 

30,000,000 

25,000,000 

20,000,000 

15,000,000 

10,000,000 

5,000,000 

0 

Year 

Figure 2-17. On-highway diesel fuel consumption since 1943, values in thousands of 

gallons. 

Source: Federal Highway Administration, 1995. 1943 1951 1953 1955 1957 1959 1961 1963 1965 1967 1969

1971197319751977197919811983198519871989199119931995

2-26
Before 1993, diesel fuel sulfur levels were not federally regulated in the United States, 

although the State of California had such regulations. Industry practices that were in place (e.g., 

the ASTMD 975 specification for No. 2 oils) limited sulfur to 0.5%. During the years 1960 to 

1986, fuel sulfur content showed no chronological increasing or decreasing trends and ranged 

from 0.23 to 0.28 wt% (NIPER, 1986). A maximum allowable on-road diesel fuel sulfur content 

in the United States was established at 0.05 mass % in 1993, in advance of the 1994 0.10 g/bhphr PM standard for HD on-highway trucks. Nationally, on-road fuels averaged 0.032% sulfur in 

1994 while nonroad fuels averaged 10-fold the sulfur level of on-road fuel, or 0.32% (Dickson 

and Sturm, 1994). The reduction in diesel fuel sulfur reduced total DPM mass emissions 

through reduction of sulfate PM (primarily present as sulfuric acid). 

Considerably higher sulfuric acid PM emissions are possible with DE aftertreatment 

systems containing precious metals (oxidation catalysts, lean NOx catalysts, catalyzed DPM 

traps). At temperatures over 350 °C to 500 °C (depending on device), SO2 in the exhaust can be 

oxidized to sulfuric acid (McClure et al., 1992; McDonald et al., 1995; Wall, 1998). Sulfur 

content remains at unregulated levels for off-highway diesel fuels and fuels used in railroad 

locomotives. 

The chemical makeup of diesel fuel has changed over time, in part because of new 

regulations and in part because of technological developments in refinery processes. EPA 

currently regulates on-road diesel fuel and requires the cetane index (a surrogate for actual 

measurements of cetane number) to be greater than or equal to 40, or the maximum aromatic 

content to be 35% or less (CFR 40:80.29). EPA recently finalized a regulation that will limit the 

sulfur content of on-road diesel fuel to 15 ppm starting in 2006 (U.S. EPA, 2000b). California 

has placed additional restrictions on the aromatic content of diesel fuel (California Code of 

Regulations, Title 13, Sections 2281-2282) and requires a minimum cetane number of 50 and an 

aromatics cap of 10% by volume, with some exceptions for small refiners and alternative 

formulations as long as equivalent emissions are demonstrated. Diesel fuel from larger refiners 

is limited to 10% aromatic content, and for three small refiners (a small fraction of diesel sales) 

to 20% aromatic content. The refiners can also certify a fuel with higher aromatic content as 

being emissions-equivalent to the 10% (or 20%) aromatic content fuels by performing a 7-day 

engine dynamometer emissions test. This method is chosen by most, if not all, California 

refiners, and so a typical California diesel fuel has an aromatic content above 20%. Emissions 

equivalence has been obtained through use of cetane enhancers, oxygenates, and other 

proprietary additives. Nonroad diesel fuel is not regulated, and consequently, cetane index, 

aromatic content, and sulfur content vary widely with nominal values for cetane number around 

43, 31% aromatics, and sulfur approximately 3,000 ppm. 

2-27
The average cetane number of U.S. diesel fuel declined steadily from 50.0 to 45.1, or 

about 0.2% per year, from 1960 to 1986 (NIPER, 1986). The decline in cetane number was 

likely accompanied by an increase in aromatic content and density (Lee et al., 1998). A number 

of EPA-sponsored studies refer to fuels with nominally 22% aromatics content as “national 

average fuel” during the 1970s (Hare, 1977; Springer, 1979), whereas by the 1980s a so-called 

national average fuel contained 30% aromatics (Martin, 1981a,b). Shelton (1979, 1977) has 

reported a trend of increasing T90 from 1960 through the late 1970s, which is consistent with 

increasing density, aromatic content, and polyaromatic content. Unfortunately, aromatic content 

was not commonly measured before the 1980s. 

Studies measuring the emissions impact of changes in cetane number and aromatic 

content for roughly 1990 model year engine technology find that increasing the aromatic content 

from 20% to 30%, with an accompanying decrease in the cetane number from 50 to 44, results in 

a 2% to 5% increase in NOx and a 5% to 10% increase in total DPM (McCarthy et al., 1992; 

Ullman et al., 1990; Sienicki et al., 1990; Graboski and McCormick, 1996). These ranges may 

be reasonable upper bounds for the effect of changes in fuel quality on NOx and DPM emissions 

during the years 1960–1990. 

In the northern United States during wintertime, on-road No. 2 diesel may contain some 

percentage of No. 1 diesel to improve cold-flow properties. Discussions with refiners indicate 

that a typical wintertime No. 1 diesel blending level is 15 volume %; however, this number must 

be taken as a rough estimate. Blending of No. 1 may lower the aromatic content, resulting in 

improved emissions performance. Nationally, on-highway No. 1 fuels averaged 17% aromatic 

content in 1994 (Dickson and Sturm, 1994). Thus, there may also be some small but perceptible 

seasonal changes in emissions from diesel engines. 

Railroad-grade diesel fuel is currently unregulated. Typically, railroad-grade diesel fuel 

is a blend of approximately 10% on-road fuel and 90% nonroad diesel fuel. There are no recent 

data on the composition of railroad-grade diesel fuel. Somewhat dated diesel fuel oil surveys 

(Shelton, 1979) reported that railroad-grade diesels had lower cetane number, higher density, 

and higher T90. Also, the cetane index for these fuels can be as much as 9 cetane units higher 

than the cetane number, an indication of a high aromatic content in railroad-grade diesels. 

Fuel chemistry is also important for emission of particle-associated PAHs. In studies 

performed over more than a decade, Williams and Andrews of the University of Leeds have 

shown that the solvent-extractable PAHs from diesel particulate originate almost entirely in the 

fuel (Williams et al., 1987; Andrews et al., 1998; Hsiao-Hsuan et al., 2000). The PAH 

molecules are relatively refractory, so a significant fraction survive the combustion process and 

condense onto the DPM. These studies have been confirmed by other research groups (Crebelli 

et al., 1995; Tancell et al., 1995). There is a consensus among these researchers that 

2-28
pyrosynthesis of PAHs occurs only at the highest temperature operating conditions in a diesel 

engine. Under these conditions, most of the DPM and other pyrolysis products are ultimately 

burned before exiting the cylinder. These results indicate that emissions of PAHs are more a 

function of the PAH content of the fuel than of engine technology. For a given refinery and 

crude oil, diesel fuel PAH correlates with total aromatic content and T90. Representative data 

on aromatic content for diesel fuels in the United States do not appear to be available before the 

mid-1980s. However, the decreasing trend in cetane number, increasing trend in T90, and the 

increasing use of light cycle oil from catalytic cracking beginning in the late 1950s suggest that 

diesel PAH content has increased over the past 40 years. Because PAHs have been implicated as 

one potential contributing component to the observed toxicity of DE, changes in PAH content of 

diesel fuel over time, as well as differences between diesel fuels used in different applications 

(on-road, nonroad, locomotive), may influence the hazard observed in exposed populations from 

different occupations. However, such a relationship would be difficult to differentiate in an 

epidemiologic study because there are several other properties of DE that may be contributing to 

the observed toxicity. Historical trends in PAH-measured emissions are discussed in Section 

2.2.8.2. 

2.2.5. Chronological Assessment of Emission Factors 

2.2.5.1. On-Road Vehicles 

Numerous studies have been conducted on emissions from in-use on-road HD diesel 

vehicles. HD vehicles are defined as having a rated gross vehicle weight (GVWR) of greater 

than 8,500 lb, and most over-the-road trucks have a GVWR of 80,000 lb. Emissions of regulated 

pollutants from these studies have been reviewed (Yanowitz et al., 2000); the review findings, 

which encompass vehicles from model years 1976 to 1998, are summarized below. In addition, 

a large amount of engine dynamometer data on HD diesel engines have been published since the 

mid-1970s. These data are used below to confirm and expand upon the findings from in-use 

vehicle testing. 

Figure 2-18 shows chassis dynamometer data for more than 200 different vehicles 

(approximately one-half of which are transit buses), reported in 20 different published studies, as 

well as a large amount of additional data collected by West Virginia University (Yanowitz et al., 

1999; Warner-Selph and Dietzmann, 1984; Dietzmann et al., 1980; Graboski et al., 1998a,b; 

McCormick et al., 1999; Clark et al., 1995, 1997; Bata et al., 1992; Brown and Rideout, 1996, 

Brown et al., 1997; Dunlap et al., 1993; Ferguson et al., 1992; Gautam et al., 1992; Katragadda 

2-29
Model Year

1975 1980 1985 1990 1995 2000

PM Emissions (g/mile)

0.1

1

10

Model Year

1975 1980 1985 1990 1995 

NOx Emissions (g/mile)

10

100

loslope

Model Year

1975 1980 1985 1990 1995 2000

HC Emissions (g/mile)

0.1

1

10

Model Year

1975 1980 1985 1990 1995 

CO Emissions (g/mile)

1

10

100

Figure 2-18. x, HC, and CO emissions from HD diesel vehicles (g/mil

Source: Yanowitz et al., 2000.

2-30

Model year trends in PM, NO
et al., 1993; Rideout et al., 1994; Wang et al., 1993, 1994; Williams et al., 1989; Whitfield and 

Harris, 1998; West Virginia University data available on the World Wide Web at 

www.afdc.nrel.gov). The results from vehicles tested more than once using the same test cycle, 

and without any additional mileage accumulated between tests, are averaged and reported as one 

data point. Buses were tested using the Central Business District (CBD) cycle, while most 

trucks were tested using the Urban Dynamometer Driving Schedule (UDDS), also known as the 

Schedule 1d cycle. Some of the trucks were tested using the West Virginia 5-peak cycle, which 

generates considerably lower g/mi emissions than the CBD or UDDS (Yanowitz et al., 1999). 

Emissions results from vehicles tested under different test cycles or at different points in the 

engine's life cycle have been reported as separate data points. Note that all NOx mass emissions 

data are reported as equivalent NO2. Table 2-7 compares the make-up of the fleet of trucks that 

was tested with the in-use truck fleet according to the 1997 Vehicle Inventory and Use Survey 

(U.S. Bureau of the Census, 1999a). The tested fleet is mostly vehicles in the 33,000-60,000 lb 

range. Analysis of the tested fleet also shows that the model year distribution is skewed toward 

newer vehicles. The 1997 Vehicle Inventory and Use Survey indicates a flat distribution with 

roughly the same number of in-use vehicles for each of the model years in the decade preceding 

1997. The 1992 Truck Inventory and Use Survey (U.S. Bureau of the Census, 1995) shows the 

same trend, as shown in Figure 2-1. Analysis of odometer mileage for the tested fleet shows that 

45% of the vehicles had less than 50,000 miles at the time of testing. Only 10% of the vehicles 

had more than 250,000 miles. Although the mileage distribution of the in-use fleet is unknown, 

it seems unlikely to be as heavily weighted to low-mileage vehicles. Because of the relatively 

low mileage of most of the vehicles tested, deterioration of emissions may not be reflected in the 

Table 2-7. Comparison of in-use truck fleet 

with truck fleet tested on chassis 

dynamometer, percent of total vehicles 

Class In-use trucks, 

1995 census 

Tested 

trucks 

3 17.7 1 

4 & 5 13.3 0 

6 & 7 25.0 17 

8A 20.9 52 

8B 23.1 30 

2-31
results. Yanowitz and co-workers (2000) report that average emissions of regulated pollutants 

for vehicles of the different classes listed in Table 2-7 are approximately the same. This is 

clearly a reflection of the small number of vehicles in the lighter weight classes for this dataset, 

but it also indicates no real difference in emissions for vehicles in Classes 6–8. The data are 

mainly for vehicles of 19,500 lb and greater GVWR (Classes 6 and 7 and heavier), and 

predominantly for vehicles of 33,000 lb and greater GVWR (Class 8 trucks and buses). 

Figure 2-18 shows emissions trends in g/mi. Least-squares linear regressions and 95% 

confidence intervals are plotted on each graph and yield the following equations for predicting 

emissions trends (applicable to the years 1976–98): 

Log NOx (g/mile) = (Model year * !0.008) + 16.519 R2

 = 0.024 (2-1) 

Log PM (g/mile) = (Model year * !0.044) + 88.183 R2 = 0.28 (2-2) 

Log HC (g/mile) = (Model year * !0.055) + 109.39 R2 = 0.27 (2-3) 

Log CO (g/mile) = (Model Year * !0.041) + 82.876 R2 = 0.22 (2-4) 

As shown in Figure 2-18, changes in NOx emissions have been relatively small, with an 

emission rate averaging about 26 g/mi. The data reported in Figure 2-18 are real-world, in-use 

emissions measurements and therefore more accurately reflect emission factors than engine test 

data during this period. There are two potential causes for the relative constancy of NOx 

emissions as described by Figure 2-18. The first is emissions deterioration due to engine wear. 

Weaver and Klausmeier (1988) have shown that diesel engine deterioration results in lower NOx 

emissions and higher DPM emissions, and this finding has recently been confirmed by 

McCormick and co-workers (2000). Wear of mechanical devices that limit smoke, fuel pumps, 

and fuel injectors alters the effective injection timing to decrease NOx. Because deterioration is 

more a function of maintenance than vehicle age or mileage, deterioration introduces a wide 

range in NOx emission factors measured in the chassis dynamometer studies. The lack of a 

decreasing trend in NOx emissions can also be attributed to the use of illegal emissions control 

devices that bypassed the trucks’ emission control systems under some driving conditions such 

as steady-state cruise. EPA has reached a settlement with the diesel engine manufacturers to 

discontinue use of these devices. The illegal devices produced low NOx emissions on the 

transient test (HD FTP) but operated in a high-NOx/high-fuel-economy mode in use under 

highway cruise conditions. 

Figure 2-19 shows engine certification data for NOx emissions reported in the many 

studies that have employed the transient test over the past 25 years. The engine testing data are 

also listed in Table 2-8. The data compiled in Figure 2-19 show a significant decline in NOx 

2-32
14 

12 

10 

8 

6 

4 

2 

1975 1980 1985 1990 1995 2000 

Engine Model Year 

Figure 2-19. Diesel engine certification data for NOx emissions as a function of model year. 

Source: Data are from the transient test results provided in Table 2-8. 

emissions, and all engines would appear to meet the regulatory standards for their year of 

manufacture because of the illegal emissions devices. From 1980 to 1997, the EPA emissions 

trends report (U.S. EPA, 1998a) predicted a decline in NOx emissions from HD diesel vehicles 

because these data are based on engine test data. The emissions trend includes the growth in 

vehicle miles traveled over time as well as changes in emission factors. The more recent trends 

inventory (U.S. EPA, 2000a, discussed earlier) includes emission from the illegal emissions 

devices and accordingly demonstrates a slight increase in NOx emissions from on-road HD diesel 

vehicles from 1990 to 1998. 

DPM, CO, and THC emissions, although widely variable within any model year, have 

shown a pronounced declining trend (Figure 2-18). DPM emissions from chassis dynamometer 

tests decreased from an average of 3-4 g/mi in 1977 to an average of about 0.5 g/mi in 1997, 

suggesting a decrease in DPM emissions of a factor of about 6. Note that these data are for 

vehicles or engines tested on in-use or industry-average fuel at the time they were tested. 

Indications are that the observed decline in DPM is caused primarily by changes in engine NOx E

mission, g/bhp-h 

2-33
--

--

Table 2-8. data from engine dynamometer tests 

Reference Enginea Year Testb NOx 

g/bhphr 

PM 

g/bhphr 

CO 

g/bhphr 

THC 

g/bhphr 

SOF 

g/bhphr 

SOF 

Methc 

To

alde

mg/b

Hare, 1977 Cat 3208 (NA) 1976 SS 7.98 0.871 4.04 1.11 0.103 c-hexane 

DDC 6V71 (blower) 1976 SS 10.24 1.92 6.55 0.71 0.937 c-hexane 

Springer, 1979 Mack ETAY(B)673A (DI, 

TC,AC) 

1977 SS 6.613 0.61 1.588 0.476 0.098 Benz/cyc 6

Cat 3208 (EGR, NA) 1977 SS 3.747 2.21 6.200 1.163 Benz/cyc 1

Cat 3406 (DI, TC, AC) 1977 SS 9.79 0.35 2.34 0.35 0.063 Benz/cyc 7

Cat 3406 (DI, TC, AC, EGR) 1977 SS 5.49 0.93 4.81 0.17 0.181 8

Cat 3406 (IDI, TC, AC) 1977 SS 5.14 0.28 1.26 0.12 0.031 Benz/cyc 8

DB OM-352A (DI, TC, AC) 1977 SS 8.93 0.56 0.190 Benz/cyc 2

DB OM-352A (DI, NA) 1977 SS 7.46 0.99 0.287 Benz/cyc 2

Perez, 1980 Cat (DI, NA) 1978 SS 8.12 0.77 5.92 0.77 0.19 DCM 

Cat (DI, EGR) 1978 SS 5.16 1.21 5.37 0.57 0.079 DCM 

Cat (DI, TC, AC) 1978 SS 7.66 0.33 2.20 0.27 0.037 DCM 

Martin, 1981a Cat 3208 1978 T 7.83 1.06 

Cummins NTC350 1976 T 11.41 0.81 

DDC 6V92T (2S) 1978 T 9.55 0.72 

Cummins NTCC350 1979 T 6.58 0.52 

DDC 8V71N (2S) 1978 T 7.15 0.92 

DDC 6V92TA (2S) 1979 T 7.80 0.65 

IH DTI466B 1979 T 7.46 0.48 

Mack ETAY(B)673A 1979 T 9.01 0.77 

Mack ETSX676-01 1980 T 6.90 0.85 

Cummins VTB-903 1979 T 8.10 0.53 

Cat 3406 1979 T 11.28 0.69 

Cat 3406PCTA 1979 T 7.24 0.49 

Cummins BigCam NTC350 1979 T 9.97 0.54 

IH DT466 1979 T 7.91 0.71 

DDC 6V92TA (2S) 1979 T 11.66 0.73 

DDC 8V71TA (2S) 1979 T 9.81 0.51 

Cummins NTC290 1979 T 11.10 0.78 

Cummins NH-250 1979 T 10.87 0.97 

Martin, 1981b Cummins VTB-903 1980 T 5.59 0.67 2.0 2.23 0.228 DCM 

DDC 8V71TA (2S) 1980 T 7.91 0.44 2.28 0.73 0.176 DCM 

IH DTI466B 1980 T 4.41 0.62 2.35 0.87 0.186 DCM 

Ullman et al., 1984 DDAD 6V-71 (2S) 1980 T 6.09 0.56 3.86 1.42 0.298 DCM 2

Martin, 1984 Cummins NTC300 1981 T 8.13 0.45 2.70 1.36 

Barry et al., 1985 Cat 3406B 1985 T 6.58 0.48 2.1 0.5 0.061 DCM 7

DDC 8V-92 TA (2S) 1980 T 8.15 0.45 2.61 0.53 

Diesel engine emissions 

2-34

2-34
-- 

-- --

-- 

-- 

--

--

-- 

--

--

Table 2-8. Diesel engine emissions data from engine dynamometer tests (continued) 

Reference Enginea Year Testb NOx 

g/bhphr 

PM 

g/bhphr 

CO 

g/bhphr 

THC 

g/bhphr 

SOF 

g/bhphr 

SOF 

Methc 

To

alde

mg/b

SS 6.64 0.36 1.83 0.38 0.0255 

Enga et al., 1985 DDC 8V-71 TAC (2S) 1984 T 5.85 1.26 2.99 1.48 

Baines, 1986 Cummins NTCC-400 1985 T 4.62 0.55 3.21 0.53 

Wachter, 1990 Iveco 8460 1991 T 0.22 0.0957 ? 

McCarthy et al., 1992 Navistar DTA466 ES210 1993 T 4.93 0.082 1.3 0.28 0.0237 SFE 

Perez and Williams, Engine 1 1982 T 0.93 0.179 DCM 

1989 Engine 2 1982 T 0.86 0.145 DCM 

Engine 3 1982 T 0.59 0.185 DCM 

Engine 4 1982 T 0.96 0.325 DCM 

Engine 5 1982 T 1.06 0.076 DCM 

Engine 6 1982 T 0.88 0.344 DCM 

Needham et al., 1989 Average of 16 engines 1988 T 0.37 0.12 DCM 

Average of 3 engines 1991 T 0.24 0.10 DCM 

Kreso et al., 1998 Cummins L10-300 1988 SS 5.15 0.103 0.26 0.030 DCM 

Cummins L10-310 1991 SS 4.70 0.035 0.067 0.022 DCM 

Cummins M11-330E 1995 SS 3.82 0.037 0.16 0.016 DCM 

Bagley et al., 1998 Cat 3304 (IDI, NA) non-road 1983 SS 0.56 0.319 Benz/cyc 

Graboski, 1998b DDC 6V-71N-77 (MUI, 2S) 1977 T 9.96 0.83 3.59 2.01 0.729 DCM 

(and references therein) DDC 6V-92TA-91 (DDECII) 1991 T 4.23 0.197 1.51 0.72 0.0788 ? 

DDC-6V-92TA-87 (2S) 1987 T 10.77 0.59 0.71 

DDC-6V92TA-83 (MUI, 2S) 1983 T 5.62 0.265 1.19 0.435 0.133 DCM 

DDC 6V-92TA -88 (DDECII, 2S) 1988 T 8.52 0.2 1.6 0.6 0.116 Tol/EtOH 

DDC 6V-92TA-91 (DDECII, 2S) 1991 T 4.4 0.276 1.65 0.42 0.07 Tol/EtOH 

DDC 6V-71N-77 (MUI, 2S) 1977 T 11.72 0.282 3.18 0.86 0.212 DCM 

DDC 6V-92TA-81/89 (MUI, 2S) 1981 T 10.06 0.268 2.16 0.42 0.144 DCM 

DDC 6V-92TA-91 (DDECII, 2S) 1991 T 4.84 0.227 1.51 0.44 

DDC 6V-92TA-89 (DDECII, 2S) 1989 T 4.855 0.338 2.499 0.526 

DDC Series 60-91 DDECII 1991 T 4.635 0.300 4.458 0.164 

Cummins L-10-87 (MUI) 1987 T 5.64 0.309 2.33 0.89 

DDC Series 60-91 (DDECII) 1991 T 4.68 0.220 2.26 0.08 0.066 DCM 

Cummins N-14-87 (MUI) 1987 T 6.32 0.369 2.20 0.58 0.100 ? 

DDC Series 60-89 (DDECII) 1989 T 5.128 0.252 4.008 0.154 DDC Series 60-91 (DDECII) 1991 T 4.303 0.182 2.004 0.392 0.061 Tol/EtOH 

Cummins B5.9 1995 T 4.37 0.106 1.47 0.30 0.05 DCM 

Spreen et al., 1995 Navistar DTA466 1994 T 4.779 0.090 0.989 0.181 0.035 DCM 2

Norbeck et al., 1998b Cummins L10 1991 T 4.77 0.224 2.26 0.53 8

DDC Series 60 1994 T 4.89 0.112 1.402 0.065 0.043 DCM 

Sienicki et al., 1990 Navistar DTA466 1991 T 5.25 0.22 0.23 0.05 DCM 

2-35
--

Table 2-8. Diesel engine emissions data from engine dynamometer tests (continued) 

Enginea Year Testb NOx 

g/bhphr 

PM 

g/bhphr 

CO 

g/bhphr 

THC 

g/bhphr 

SOF 

g/bhphr 

SOF 

Methc 

To

alde

mg/b

DDC Series 60 1991 T 4.552 0.188 2.102 0.508 

Cat 3406E 1997 T DCM 

Cummins NTCC400 1988 T 4.47 0.42 2.22 0.53 

DDC Series 60 1994 T 4.43 0.111 2.17 0.22 0.021 DCM 3

Navistar DTA466 1994 T 4.86 0.099 1.10 0.34 0.046 DCM 5

Unknown 1994 SS 4.934 0.143 0.807 0.352 0.036 DCM 

Scania 1990 SS 9.30 0.157 0.031 DCM 

Valmet 1990 SS 8.67 0.157 

Volvo 1990 SS 9.87 0.262 

Volvo 1995 SS 4.56 0.135 

Reference 

Ullman et al., 1990 

Kado et al., 1998 

Ullman, 1988 

Mitchell et al., 1994 

Tanaka et al., 1998 

Rantanen et al., 1993 

aNA=naturally aspirated. TC=turbocharged (engines not designated as NA or TC are turbocharged). AC=aftercooled. DI=direct injecti

injection. EGR=exhaust gas recirculation. 2S=two-stroke (engines not designated as 2S are four-stroke). MUI=mechanical unit inject

controlled). DDEC=Detroit Diesel Corporation’s engine control module (electronic control). 

bSS=various single or multimode steady-state tests. T=heavy-duty FTP (transient test). cSOF extraction method. SFE=Supercritical fluid extraction. All others by Soxhlet extraction using the indicated solvents (? for unrepo

DCM=dichloromethane. Tol/EtOH=toluene/ethanol mixture. Benz/cyc=benzene/cyclohexane mixture. C-hexane=cyclohexane.

dNumber in parentheses is the total PAH emission obtained by summing emissions of all PAHs reported. eNumber in parentheses is the total NPAH emission obtained by summing emissions of all NPAHs reported. 
technology that often result from emission standards, as well as by the lowering of on-road diesel 

fuel sulfur content in 1993. 

As the discussion above indicates, there is a reasonable amount of data upon which to 

base emission factor estimates for late 1970s and later HD vehicles. However, very little 

transient test data are available on engines earlier than the mid-1970s. The limited data available 

from six pre-1976 vehicles tested using the transient cycle suggests that PM emission rates 

ranged from 1.6 g/mi to 9.0 g/mi, which is a substantially greater range than in post-1976 

engines (Fritz et al., 2001). 

Although a substantial decreasing trend in DPM emissions from in-use chassis 

dynomometer testing and engine testing (Figure 2-20) is evident, these data reflect a wide range 

in emission factors within any given model year. For example, emission factors for model year 

1996 range from less than 0.1 g/mi to more than 1 g/mi (Yanowitz et al., 2000; Graboski et al., 

1998b). The high variability in DPM emissions measured in the chassis dynamometer tests is 

observed because of several factors, including differences in measurement methods and test 

conditions at the various testing facilities, deterioration, and engine-to-engine variation. 

Although there can be excellent agreement between chassis dynamometer testing facilities 

(Graboski et al., 1998a), there is no standard HD chassis dynamometer Federal test procedure, 

and no detailed procedures for such testing are described in any authoritative source such as the 

Code of Federal Regulations, which does contain such procedures for engine dynamometer 

1.50 

1.25 

1.00 

0.75 

0.50 

0.25 

0.00 

1975 1980 1985 1990 1995 2000 

Engine Model Year 

Figure 2-20. Diesel engine certification data for PM emissions as a function 

of model year. 

Source: Data are from the transient test results provided in Table 2-8. 

P

M E

mission, g/bhp-h 

2-37
testing used for EPA emission regulations. Therefore, each facility has developed its own 

approach to HD testing. Clark et al. (1999) report that the test cycle can have a substantial 

effect on DPM emissions, with higher DPM emissions reported from test cycles that incorporate 

full-power accelerations. Test cycles incorporating full-power accelerations reflect urban HD 

vehicle driving for several types of vehicles (garbage trucks, buses) operating in urban areas. 

Clark et al. (1999) also report that aggressive acceleration produces higher DPM emission rates 

than does conservative acceleration, and Clark and co-workers suggest that real in-use driving is 

more likely to mimic aggressive acceleration. Although figures are currently unquantified, it is 

generally believed that the majority of DPM is generated under transient conditions such as 

heavy acceleration. 

Weaver and Klausmeier (1988) have examined potential causes and frequency of DPM 

emissions deterioration for in-use HD diesel vehicles. Potential causes include manufacturing 

defects and malfunctions such as retarded timing, fuel injector malfunction, smoke-limiting 

mechanism problems, clogged air filter, wrong or worn turbocharger, clogged intercooler, engine 

mechanical failure, excess oil consumption, and electronics that have been tampered with or 

have failed. The recent report by McCormick and co-workers (2000) indicates that many of 

these malfunctions can have very large effects on DPM emissions, resulting in DPM increases of 

typically 50% to 100%. Although Yanowitz and co-workers (1999) found that DPM emissions 

were positively correlated with odometer mileage for a fleet of 21 vehicles, it is more likely that 

the vehicle state of maintenance will be more important than mileage for determining the degree 

of emissions deterioration. In fact, in a similar analysis performed on the chassis dynamometer 

results included in the review of Yanowitz et al. (2000), DPM emissions could not be correlated 

with odometer mileage. Differences in testing methods between various facilities as well as 

varying states of maintenance for vehicles of the same mileage and model year probably account 

for this lack of correlation. 

It is difficult, given current information, to quantitatively assess the contribution of highemitting or smoking diesel vehicles to ambient DPM. Emission models used to prepare diesel 

particulate emission inventories do not account for deterioration. The relative contribution of 

high-emitting diesel vehicles to the total mass and overall chemical composition of diesel 

particulates is being quantified. Some studies report numerous smoking diesel trucks. A study 

of the smoke opacity-based inspection and maintenance program in California found failure rates 

of 20% and higher, suggesting that high-emitting vehicles are not uncommon (CARB/EEAI, 

1997). In the Northeast, smoke opacity testing conducted on 781 HD trucks found that 15% of 

the vehicles failed the smoke standard (40% opacity for 1991 and newer HD diesel vehicles and 

50% opacity for pre-1991 HD diesel vehicles) (Cooper, 1999). Although the correlation 

between smoke and particulate emissions tends to be qualitative or semiquantitative (discussed 

2-38
below), there is a good correlation between opacity and EC concentrations, and it is expected 

that high-emitting diesel vehicles may be an important part of the DPM emission inventory. 

Others have attempted to determine if the effects of deterioration could be detected for 

in-use vehicles. In a study of 21 vehicles (Yanowitz et al., 1999), a linear multivariate regression 

analysis found that DPM emissions were positively correlated with odometer mileage (several 

other correlation factors were also identified, including model year). A similar analysis 

performed on the chassis dynamometer results included in the review of Yanowitz et al. (2000) 

found that DPM emissions could not be correlated with odometer mileage, probably because of 

differences in testing methods between the various facilities. 

Other approaches for measuring emissions from in-use on-road diesel vehicles include 

tunnel tests and remote sensing, the latter of which measures gaseous, but not DPM, emissions. 

The literature reports of those studies are summarized in Tables 2-9 and 2-10. Several tunnel 

test studies have reported DPM emission factors (Pierson and Brachaczek, 1976; Japar et al., 

1984; Pierson et al., 1983; Kirchstetter et al., 1999; Gertler et al., 1996, 1999). 

The method for determining emission rates for vehicles traveling through a tunnel is 

explained in detail by Pierson et al. (1996). Briefly, the emissions of a species are determined by 

measuring the concentration of a pollutant entering and leaving a tunnel along with knowledge 

of the cross-section of the tunnel and measurements of the wind flux at the inlet and outlet of the 

tunnel. The emission rate is calculated by dividing the mass of the pollutant by the number of 

vehicles that passed through the tunnel and the length of the tunnel. The diesel and gasoline 

vehicle contributions to the total emission of the pollutant are separated by a simple regression 

analysis where the intercepts (100% HD and 100% LD) are the diesel and gasoline emission 

rates, respectively. 

Emission factors from tunnel studies provide a snapshot of real-world emissions under 

driving conditions experienced in the tunnel and reflect emission factors representative of the 

mix of in-use vehicles and the atmospheric dilution and short-term transformation processes of 

DE. Emission factors derived from tunnel studies are often used as one source of information to 

study the impact of improved technology and fleet turnover on emissions because they allow 

random sampling of large numbers of vehicles, including a range of ages and maintenance 

conditions. However, tunnel studies are limited in that they represent driving conditions on a 

single roadway passing through a tunnel and represent mostly steady-state driving conditions, 

whereas most DPM is generated during transient modes of operation; also, tunnel studies do not 

include cold-start operations. Both of these factors need to be assessed to understand emission 

rates for DPM to which people are exposed (U.S. EPA, 1992, 1995). DPM emission factors 

from in-use fleets derived from tunnel studies in the 1970s and 1980s compared with the 1990s 

2-39
Table 2-9. HD diesel emissions results from tunnel tests (adapted from Yanowitz et al., 1999) 

aNOx reported as NO2. eSlope of tunnel unknown, so used average fuel efbCalculated from observed CO2 emissions assuming fuel density 7.1 lb/gal States.

and C is 87% of diesel fuel by weight. fPM3. 

cSince CO2 emissions not available, fuel efficiency assumed to be the same gPM2.5. 

as in slightly uphill tunnel (Fort McHenry). hUncertainty reported as ±1.0 standard deviation, 

dReported as black carbon, assumed that 50% of total PM emissions are report did not specify standard deviation; in those 

BC. reported.

NMH

(g/ga

-1 ± 

11 

± 2 

14 

± 6 

4 

± 1 

NOx a 

(g/gal) 

157 

± 34 

129 

± 23 

111 

± 4 

122 

± 5 

125 

± 5 

129 

± 16 

CO2 

(g/mi) 

1,280 

± 40 

897 

± 48 

1,897 

± 168 

1,596 

± 78 

DPM 

(g/mi) 

.90-1.80 

1.75 ± 0.19 

1.5 ± 0.10 1.4 ± 0.07 1.3 ± 0.19 

1.39 ± 26 

1.3 ± 0.08 1.2 ± 0.03 1.4 ± 0.04 

1.67 

± 0.24d 

0.62 

± 0.02f 

1.43 

± 0.12g 

0.29 

CO 

(g/mi) 

6.79 

± 11.78 

6.8 

± 1.5 

14.3 

± 5.5 

6.03 

± 1.61 

NMHC 

(g/mi) 

-0.16 

± 0.88 

0.92 

± 0.21 

2.55 

± 1.05 

0.68 

± 0.20 

NOx a 

(g/mi) 

19.50 

± 4.22 

23.82 ± 

4.17 

9.66 

± 0.32 

22.50 

± 1.00 

19.46 

± 0.85 

23.82 ± 

2.98 

Fuel 

efficiency 

(mi/gal) 

5.42b 

8.03b 

5.42c 

5.60e 

11.46b 

5.42b 

6.44b 

5.42c 

Tunnel location, 

year of study 

Allegheny, 1974 

Allegheny, 1975 

Allegheny, 1976 Allegheny, 1976 Tuscarora, 1976 Tuscarora, 1976 Allegheny, 1977 Allegheny, 1979 Allegheny, 1979 

Cassiar Tunnel, 

1995, Vancouver 

Caldecott Tunnel, 

1996, San Francisco 

Gubrist Tunnel, 1993, Zurich 

Fort McHenry 

Tunnel, downhill, 1992, Baltimore 

Fort McHenry 

Tunnel, uphill, 1992, Baltimore 

Tuscarora Tunnel 

1992, Pennsylvania 

Caldecott Tunnel, 1997, San Francisco 

Tuscarora Tunnel, 

1999, Pennsylvania 

Test 

Pierson and 

Brachaczeck, 1983 Rogak et al., 1998 

Miguel et al., 1998 

Weingartner et al., 1997b Pierson et al., 1996 

Pierson et al., 1996 

Pierson et al., 1996 

Kirchstetter et al., 1999 

Gertler,1999 

2-40
Table 2-10. Remote sensing results for HD vehicles 

Reference Year study 

conducted 

Emissions (g/gal) 

NOx Jimenez et al., 1998 1997 150 a,b,c 

Cohen et al., 1997 1997 108 a,b,c 

Countess et al., 1999 1998 187 a,b,c 

CO Bishop et al., 1996 1992 59 b 

Cohen et al., 1997 1997 54 b 

Countess et al., 1999 1998 85 b 

THC Bishop et al., 1996 1992 0.002 HC/CO2 mole ratio d 

Cohen et al., 1997 1997 0.00073 HC/CO2 mole ratio d 

a

Remote sensing measures NO. The reported value was corrected to a NOx (as NO2) value by

assuming 90% (mole fraction) of NOx is NO. b

Emissions in g/gal calculated by assuming that fuel density is 7.1 lb/gal and C is 87% by weight

of fuel.

c

No humidity correction factor is included. d

In order to calculate emissions in g/gal, an average molecular weight is needed.

Source: Yanowitz et al., 1999. 

suggest approximately a fivefold decrease in DPM mass emission factors over that time, with the 

most recent data from 1999 reporting an emission factor of 0.29 g/mi for the on-highway HD 

diesel fleet (Figure 2-21). 

Emission factors vary substantially for the various tunnels, with NOx emissions ranging 

from 9.7 to 23.8 g/mi in the 1990s, CO emissions ranging from 6 to 14 g/mi, and THC emissions 

ranging from 0.16 to 2.55 g/mi. 

Remote sensing reports emission factors in terms of pollutant emissions per unit of fuel, 

not on a per-mile basis. Agreement between remote sensing and tunnel studies for NOx 

emissions is reasonably good for the fleet as a whole, suggesting an average level for the fleet of 

about 130 g/gal, comparable to the average emissions factor measured in chassis dynamometer 

studies (remote sensing can measure emissions from an individual vehicle, whereas tunnel 

studies measure emissions from the fleet as a whole). Generally, chassis dynamometer tests and 

engine dynamometer test results are corrected for ambient humidity, in accordance with the 

Federal Test Procedure (CFR 40, Subpart N). Tunnel tests and remote sensing tests have 

typically not included corrections for humidity. Appropriate humidity corrections for NOx and 

DPM can be greater than 20% and 10%, respectively (or a total difference of more than 45% and 

20%, respectively, between low- and high-humidity areas), under normally occurring climatic 

conditions. Additionally, the remote sensing literature has not addressed how to determine the 

2-41
0.10 

0.30 

0.50 

0.70 

0.90 

1.10 

1.30 

1.50 

1.70 

1.90 

1970 1975 1980 1985 1990 1995 2000 

Year of Measurem ent 

g/m i 

Alle gh e n y/Tu s car or a - PA 

Fo r t M cHe n r y - MD 

Cald e co tt - C A 

Figure 2-21. Emission factors from HD diesel vehicles from tunnel studies. 

Source: Data from Pierson and Brachaczek, 1976; Japar et al., 1984; Pierson et al., 1996; 

Kirchstetter et al., 1999; Gertler et al., 1995, 1996; Gertler, 1999. 

correct value for the NO/NOx ratio, and there is reason to believe that this value may differ 

systematically from site to site, although almost all of the NOx is NO as it leaves the vehicle. 

In addition to the humidity correction discussed above, several factors must be taken into 

account when comparing DPM measurements from tunnel tests to chassis dynamometer 

measurements (Yanowitz et al., 2000): (1) Chassis testing measures only tailpipe emissions; 

tunnel tests can include emissions from other sources (tire wear, etc.), and (2) tunnel tests 

typically measure emissions under steady-speed freeway conditions, whereas most chassis 

dynamometer tests are measured on cycles that are more representative of stop-and-go urban 

driving conditions. This latter limitation also applies to remote sensing readings, which measure 

instantaneous emissions versus emissions over a representative driving cycle. 

Because THC emissions for diesel vehicles are very low in total mass in comparison with 

gasoline vehicles, tunnel test results for THC have a high degree of uncertainty. A regression 

analysis to determine the contribution of the limited number of HD vehicles to THC emissions is 

unstable; small errors in the total measurements can change estimates substantially. Similarly, 

2-42
CO emissions are comparable to automobile emissions on a per-vehicle-mile basis, but because 

there are generally many more automobiles than HD diesels in tunnel tests, CO measurements 

from diesels may also have a high degree of uncertainty. 

2.2.5.2. Locomotives 

Locomotive engines generally range from 1,000 horsepower up to 6,000 horsepower. 

Similar to the much smaller truck diesel engines, the primary pollutants of concern are NOx, 

DPM, CO, and HC. Unlike truck engines, most locomotive engines are not mechanically 

coupled to the drive wheels. Because of this decoupling, locomotive engines operate in specific 

steady-state modes rather than the continuous transient operation normal for trucks. Because the 

locomotive engines operate only at certain speeds and torques, the measurement of emissions is 

considerably more straightforward for locomotive engines than for truck engines. Emissions 

measurements made during the relatively brief transition periods from one throttle position to 

another indicate that transient effects are very short and thus could be neglected for the purposes 

of overall emissions estimates. 

Emissions measurements are made at the various possible operating modes with the 

engine in the locomotive, and then weighting factors for typical time of operation at each throttle 

position are applied to estimate total emissions under one or more reasonable operating 

scenarios. In the studies included in this analysis, two scenarios were considered: line-haul 

(movement between cities or other widely separated points) and switching (the process of 

assembling and disassembling trains in a switchyard). 

The Southwest Research Institute made emissions measurements for three different 

engines in locomotives in 1972 (Hare and Springer, 1972) and five more engines in locomotives 

using both low- and high-sulfur fuel in 1995 (Fritz, 1995). Two engine manufacturers (the 

Electro-Motive Division of GM, and GE Transportation Systems) tested eight different engine 

models and reported the results to EPA (U.S. EPA, 1998b). All available data on locomotives 

are summarized in the regulatory impact assessment and shown in Figure 2-22. 

2.2.6. Engine Technology Description and Chronology 

NOx emissions, DPM emissions, and brake-specific fuel consumption (BSFC) are among 

the parameters that are typically considered during the development of a diesel engine. Many 

engine variables that decrease NOx can also increase DPM and BSFC. One manifestation of the 

interplay among NOx, DPM, and BSFC is that an increase in combustion temperatures will tend 

to increase NO formation. Higher temperatures will also often improve thermal efficiency, can 

improve BSFC, and can increase the rate of DPM oxidation, thus lowering DPM emissions. One 

example of this is the tradeoff of DPM emissions and BSFC versus NOx emissions with fuel 

2-43
2-44

0 0. 2 0. 4 0. 6 0. 8 1

0

10

20

30

40

P M

 S w itc h C y c le E m is s io ns D a ta

NO x and PM ( g/bhp- hr)

Figure 2-22. itch emissions data.

Source: 

Line-haul and sw

U.S. EPA, 1998a.
injection timing. Many recent advances in reducing the emissions of diesel engines without 

aftertreatment are combinations of technologies that provide incremental improvements in the 

tradeoffs among these emissions and fuel consumption. The sum total, however, can be 

considerable reductions in regulated emissions within acceptable levels of fuel consumption. 

The majority of current HD diesel truck engines certified for use in the United States 

utilize: 

• A four-stroke cycle 

• Direct-injection, high-pressure (1,200 bar to >2,000 bar) fuel injection systems with 

electronic control of injection timing and, in some cases, injection rate 

• Centrally located multihole injection nozzles 

• Three or four valves per cylinder 

• Turbochargers 

• In many cases, air-to-air aftercooling 

• In some cases, the use of an oxidation catalyst. 

These features have phased into use with HD truck engines because they offer a 

relatively good combination of fuel consumption, torque-rise, emissions, durability, and the 

ability to better “tune” the engines for specific types of applications. Fuel consumption, torquerise, and drivability have been maintained or improved while emissions regulations have become 

more stringent. Many Class 8a and 8b diesel truck engines are now capable of 700,000 to 

1,000,000 miles of driving before their first rebuild and can be rebuilt several times because of 

their heavy construction and the use of removable cylinder liners. These engines are expected to 

last longer and therefore have a useful life longer than the regulatory estimate of full useful life 

for HD engines (~1,000,000 miles) previously used by EPA (for 1980 engines that were driven 

less than 300,000 miles between rebuilds and were rebuilt up to three times). Current fourstroke locomotive engines use engine technology similar to on-highway diesel engines, except 

that electronic controls have only recently been introduced. 

It is difficult to separate the components of current high-speed diesel engines for 

discussion of their individual effects on emissions. Most of the components interact in numerous 

ways that affect emissions, performance, and fuel consumption. 

2.2.6.1. Indirect and Direct Injection High-Speed Diesel Engines 

Prior to the 1930s, diesel engine design was limited to relatively low-speed applications 

because sufficiently high-pressure fuel injection equipment was not available. With the advent 

of high-speed and higher pressure pump-line-nozzle systems, introduced by Robert Bosch in the 

2-45
1930s, it became possible to inject the fuel directly into the cylinder for the first time, although 

indirect injection (IDI) diesel engines continued in use for many years. As diesels were 

introduced into the heavy truck fleet in the 1930s through the 1950s, both IDI and direct 

injection (DI) naturally aspirated variants were evident. A very low-cost rotary injection pump 

technology was introduced by Roosa-Master in the 1950s, reducing the cost of DI systems and 

allowing their introduction on smaller displacement, higher speed truck engines. After this time, 

only a small fraction of truck engines used an IDI system. 

DI diesel engines have now all but replaced IDI diesel engines for HD on-highway 

applications.2 IDI engines typically required much more complicated cylinder head designs but 

generally were capable of using less sophisticated, lower pressure injection systems with less 

expensive single-hole injection nozzles. IDI combustion systems are also more tolerant of lower 

grades of diesel fuel. Fuel injection systems are likely the single most expensive component of 

many diesel engines. Caterpillar continued producing both turbocharged and naturally aspirated 

IDI diesel engines for some on-highway applications into the 1980s. Caterpillar and Deutz still 

produce engines of this type, primarily for use in underground mining applications. IDI 

combustion systems are still used in many small-displacement (<0.5 L/cylinder), very highspeed (>3,000 rpm rated speed) diesel engines for small nonroad equipment (small imported 

tractors, skid-steer loaders), auxiliary engines, and small generator sets, and they were prevalent 

in diesel automotive engines in the 1980s; IDI designs continue to be used in automotive diesel 

engines. 

IDI engines have practically no premixed burn combustion and thus are often quieter and 

have somewhat lower NOx emissions than DI engines. Electronic controls, high-pressure 

injection (e.g., GM 6.5), and four-valve/cylinder designs (e.g., the six-cylinder Daimler LD 

engine) can be equally applied to IDI diesel engines as in DI, but they negate advantages in cost 

over DI engines. DI diesel engines of the same power output consume 15% to 20% less fuel 

than IDI engines (Heywood, 1988). Considering the sensitivity of the HD truck market to fuel 

costs, this factor alone accounts for the demise of IDI diesel engines in these types of 

applications. Throttling and convective heat transfer through the chamber-connecting orifice, 

and heat rejection from the increased surface area of IDI combustion systems, decrease their 

efficiency and can cause cold-start difficulties when compared to DI designs. Most IDI diesel 

engine designs require considerably higher than optimum compression ratios (from an efficiency 

standpoint) to aid in cold-starting (19:1 to 21:1 for IDI engines vs. ~15:1 to 17:1 for DI engines). 

2

The GM Powertrain/AM General 6.5L electronically controlled, turbocharged IDI-swirl chamber engine, 

certified as a light HD diesel truck engine, is the last remaining HD on-highway IDI engine sold in the United 

States. 

2-46 
Because of the early introduction of DI technology into truck fleets, it is likely that by the 

end of the 1960s, only a small fraction of the HD diesel engines sold for on-highway use were 

IDI engines. It is unlikely that the shift from IDI to DI engine designs through the 1950s and 

1960s occurred rapidly and likely that this shift had little significant impact on emissions. 

Springer (1979) reports a comparison of nearly identical Caterpillar 3406 engines (turbocharged 

and aftercooled) in DI and IDI configurations tested on an engine dynamometer under steadystate conditions, which limits the usefulness of these data. There was no significant difference in 

emissions of DPM, SOF, aldehydes, or DPM-associated B[a]P (Table 2-8). Note that IDI 

designs continue to be used in automotive diesel engines. 

2.2.6.2. Injection Rate 

Decreasing the duration of diffusion combustion and promoting EC oxidation during the 

expansion stroke can reduce formation of EC agglomerates (Stone, 1995) and reduce the 

particulate carbon fraction at high load (Needham et al., 1989). Both of these effects are 

enhanced by increasing the fuel injection rate. The primary means of accomplishing this is by 

increasing fuel injection pressure. In 1977 Robert Bosch introduced a new type of high-pressure 

pump capable of producing injection pressures of 1,700 bar at the nozzle (Voss and Vanderpoel, 

1977). This increased fuel injection pressure by roughly a factor of 10. Unit injection, which 

combines each fuel injection nozzle with individual cam-driven fuel pumps, can achieve very 

high injection pressures (>2,000 bar). The first combination of unit injectors with electronically 

controlled solenoids for timing control was offered in the United States by Detroit Diesel 

Corporation in the 1988 model year (Hames et al., 1985). Replacement of the injection cam with 

hydraulic pressure, allowing a degree of injection rate control, was made possible with the 

hydraulic-electronic unit injection jointly developed by Caterpillar and Navistar, introduced on 

the Navistar T444E engine (and variants) in 1993. 

It is widely known that high fuel injection pressures have been used to obtain compliance 

with the PM standards that went into effect in 1988 (Zelenka et al., 1990). Thus, it is likely that 

a transition to this technology began in the 1980s, with the vast majority of new engine sales 

employing this technology by 1991, when the 0.25 g/bhp-hr Federal PM standard went into 

effect. 

The use of electronic control of injection rate is rapidly increasing on medium HD diesel 

engines. Engines are currently under development, perhaps for 2002–2004 introduction, that use 

common-rail fuel injection systems with even more flexible control over injection pressure and 

timing than previous systems. 

Increased injection rate and pressure can significantly reduce EC emissions, but it can 

also increase combustion temperatures and cause an increase in NOx emissions (Springer, 1979; 

2-47
Watson and Janota, 1982; Stone, 1995). Low NOx

brake mean engine pressure (BMEP) are possible when combined with turbocharging,

aftercooling, and injection timing retard.

, low DPM, and relatively good BSFC and 

2.2.6.3. Turbocharging, Charge-Air Cooling, and Electronic Controls 

Use of exhaust-driven turbochargers to increase intake manifold pressure has been 

applied to both IDI and DI diesel engines for more than 40 years. Turbocharging can decrease 

fuel consumption compared with a naturally aspirated engine of the same power output. 

Turbocharging utilizes otherwise wasted exhaust heat and pressure to generate intake boost. The 

boosted intake pressure effectively increases air displacement and increases the amount of fuel 

that can be injected to achieve a given fuel-air ratio. Turbocharging increases the power density 

of an engine. Boosting intake pressure via turbocharging and reducing fuel-to-air ratio at a 

constant power can significantly increase both intake temperatures and NOx emissions. 

Increased boost pressure can significantly reduce ignition delay, which reduces VOC and DPM 

SOF emissions (Stone, 1995) and increases the flexibility in selection of injection timing. 

Injection timing on turbocharged engines can be retarded further for NOx emission control with 

less of an effect on DPM emissions and fuel consumption. This allows a rough parity in NOx 

emissions between turbocharged (non-aftercooled) and naturally aspirated diesel engines 

(Watson and Janota, 1982). 

Turbocharging permits the use of higher initial injection rates (higher injection pressure), 

Figure 2-23. Effect of turbocharging and aftercooling on NOx and PM. 

Source: Mori, 1997. 

2-48
which can reduce particulate emissions. Although this may offer advantages for steady-state 

operation, hard accelerations can temporarily cause overly fuel-rich conditions because the 

turbocharger speed lags behind a rapid change in engine speed (turbo-lag). This can cause 

significant increases in DPM emissions during accelerations. Before the advent of electronic 

controls, the effect of acceleration on DPM emissions could be limited by mechanically delaying 

demand for maximum fuel rate with a “smoke-puff eliminator.” Because this device also limited 

engine response, there was considerable incentive for the end-users to remove or otherwise 

render the device inactive. Charge-air cooling, for example, using an air-to-air aftercooler (aircooled heat exchanger) between the turbocharger compressor and the intake manifold, can 

greatly reduce intake air and peak combustion temperatures. When combined with injection 

timing retard, charge-air cooling allows a significant reduction in NOx emissions with acceptable 

BSFC and DPM emissions when compared to either non-aftercooled or naturally aspirated diesel 

engines (Hardenberg and Fraenkle, 1978; Pischinger and Cartellieri, 1972; Stone, 1995). The 

use of charge-air cooling effectively shifts the NOx-DPM tradeoff curve, as shown in 

Figure 2-23. 

Electronic control of fuel injection timing allowed engine manufacturers to carefully 

tailor the start and length of the fuel injection events much more precisely than through 

mechanical means. Because of this, newer on-highway turbocharged truck engines have 

virtually no visible smoke on acceleration (although emissions of DPM are substantial during 

this driving mode). Electronic controls also allowed fuel injection retard under desirable 

conditions for NOx reduction, while still allowing timing optimization for reduced VOC 

emissions on start-up, acceptable cold-weather performance, and acceptable performance and 

durability at high altitudes. Previous mechanical unit injected engines (e.g., the 1980s Cummins 

L10, the Non-Electronic Control Detroit Diesel 6V92) were capable of reasonably high injection 

pressures, but they had fixed injection timing that only varied based on the hydraulic parameters 

of the fuel system. Many other engines with mechanical in-line or rotary injection pumps had 

only coarse injection timing control or fixed injection timing. 

Precise electronic control of injection timing over differing operating conditions also 

allowed HD engine manufacturers to retard injection timing to obtain low NOx emissions during 

highly transient urban operation, similar to that found during emissions certification. HD engine 

manufacturers also advanced injection timing during less transient operation (such as freeway 

driving) for fuel consumption improvements (~3% to 5%) at the expense of greatly increased 

NOx emissions (approximately three to four times regulated levels). This particular situation 

resulted in the recent consent decree settlements between the Federal Government and most HD 

engine manufacturers to ensure effective NOx control in all driving conditions, including on2-49
highway high-speed steady-state driving. 

Turbocharged engines entered the market very slowly beginning in the 1960s. Data for 

DPM emissions from naturally aspirated engines of model years 1976 to 1983 are compared with 

DPM emissions from turbocharged engines in Figure 2-24. There is no consistent difference in 

DPM emissions between turbocharged and naturally aspirated engines. Although not plotted, the 

data also show no difference in emissions of NOx, DPM SOF, or DPM-associated B[a]P and 1-

nitropyrene (1-NP). 

Charge-air cooling was introduced during the 1960s and was initially performed in a heat 

exchanger using engine coolant. Cooling of the charge air using ambient air as the coolant was 

introduced into heavy trucks by Mack in 1977 with production of the ETAY(B)673A engine 

(Heywood, 1988). Use of ambient air allowed cooling of the charge air to much lower 

temperatures. Most HD diesel engines sold today employ some form of charge air cooling, with 

air-to-air aftercooling being the most common. Johnson and co-workers (1994) have presented a 

comparison of similar engines that differ in that the charge air is cooled by engine coolant (1988 

engine) and by ambient air, with a higher boost pressure for the second (1991 engine). The 1991 

engine also used higher pressure fuel injectors. The 1991 engine exhibited both lower DPM 

emissions (50% lower than the 1988 engine) and lower NOx emissions. Higher injection 

pressure is likely to have enabled the reduced DPM emissions, whereas the lower charge-air 

3 

2 

1 

0 

1974 1976 1978 1980 1982 1984 

Turbocharged 

Naturally Aspirated 

Engine Model Year 

Figure 2-24. Comparison of diesel engine dynamometer PM emissions for four-stroke, 

naturally aspirated, and turbocharged engines. 

Source: Data are from Table 2-8. 

P

M E

mis

sions, g/bhp-h 

2-50
temperature and the ability to electronically retard the injection timing under some conditions 

likely enabled the lower NOx emissions. 

It is apparent on the basis of both the literature and certification data that turbochargers 

with aftercoolers can be used in HD engines in conjunction with other changes to produce a 

decrease in emissions. On the advent of a NOx standard in 1985, NOx was probably reduced on 

the order of 10% to 30% in turbocharged aftercooled engines with retarded injection timing. 

This decrease is not evident in the in-use chassis testing data because of deterioration and the use 

of illegal emissions devices as described above. Overall, it is expected that engines in the 1950s 

to mid-1970s timeframe would have similar DPM emission rates, whereas post-1970 engines 

would have somewhat lower DPM emission rates. 

2.2.6.4. Two-Stroke and Four-Stroke High-Speed Diesel Engines 

A detailed discussion of the two- and four-stroke engine cycles can be found in the 

literature (Heywood, 1988; Taylor, 1990; Stone, 1995). Nearly all high-speed two-stroke diesel 

engines utilize uniflow scavenging assisted by a positive-displacement blower (Figure 2-25). 

Uniflow-scavenged two-stroke diesels use poppet exhaust valves similar to those found in fourstroke engines. The intake air enters the cylinder through a pressurized port in the cylinder wall. 

A crankshaft-driven, positive-displacement blower (usually a roots-type) pressurizes the intake 

port to ensure proper scavenging. A turbocharger may be added to the system to provide 

additional boost upstream of the blower at higher speeds and to reduce the size and parasitic 

losses associated with the positive-displacement blower. 

Two-stroke diesel engines can achieve efficiency comparable to four-stroke counterparts 

and have higher BMEP (torque per unit displacement) (Heywood, 1988). It is useful to note that 

two-stroke cycle fires each cylinder once every revolution, whereas the four-stroke cycle fires 

every other revolution. Thus, for a given engine size and weight, two-strokes can produce more 

power. However, two-stroke diesel engines are less durable than their four-stroke counterparts. 

Lubricating oil is transferred from the piston rings to the intake port, which causes relatively 

high oil consumption relative to four-stroke designs. Durability and low oil consumption are 

desirable for on-highway truck applications. This may be why four-stroke engines have been 

favored for these applications since the beginning of dieselization in the trucking industry, with 

the notable exception of urban bus applications. Although it is no longer in production, the 

Detroit Diesel 6V92 series of two-stroke diesel engines is still the most popular for urban bus 

applications, where the high power density allows the engine to be more easily packaged within 

limited spaces. The primary reason that two-stroke engines like the 6V92 are no longer offered 

for urban bus applications is excessive DPM emissions. The lubricating oil control with twostrokes tends to be lower than for four-stroke engines, and therefore, emissions have higher VOC 

2-51
Figure 2-25. An example of uniflow scavenging of a twostroke diesel engine with a positive displacement blower. 

Scavenging is the process of simultaneously emptying the 

cylinder of exhaust and refilling with fresh air. 

Source: Adapted from Taylor, 1990. 

and organic DPM emissions relative to four-stroke designs. This was particularly problematic 

for urban bus applications because urban bus engines must meet tighter Federal and California 

PM emissions standards. The current urban bus PM standard (0.05 g/bhp-hr) is one-half of the 

current on-highway HD diesel engine PM standard, although EPA is in the process of proposing 

more strict standards for HD diesel truck engines along with further reductions in diesel fuel 

sulfur levels. No two-stroke diesel engine designs have been certified to meet the most recent 

urban bus PM emissions standards, and Detroit Diesel Corporation has not certified a two-stroke 

diesel engine for on-highway truck use since 1995. 

A comprehensive review of emissions from hundreds of vehicles (1976–98 model years) 

that had been tested on chassis dynamometers found that DPM emissions vary substantially 

within a given model year and that within that variation there are no discernible differences in 

DPM emissions between two- and four-stroke vehicles (Figure 2-26) (Yanowitz et al., 2000). 

DPM emission factors reported for engine tests also indicate that two- and four-stroke engines 

have comparable emission factors, as these engines all had to meet the same regulatory standard 

(Figure 2-27). In contrast to DPM emissions, evidence suggests that mid-1970s two-stroke 

engines exhibited very high SOF levels compared with four-stroke engines, with later model 

years showing similar SOF emissions for two- and four-stroke engines (Figure 2-28). For 

aldehydes, benzo[a]pyrene, and 1-nitropyrene, data are available for only one two-stroke engine, 

2-52
5 

4 

3 

2 

1 

0 

1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 

4-Stroke Engines 

2-Stroke Engines 

Engine Emissions Model Year 

Figure 2-26. Comparison of two- and four-stroke vehicle diesel PM emissions from chassis 

dynamometer studies. 

Source: Yanowitz et al., 2000. 

but they indicate no significant difference in emissions from comparable model year four-stroke 

engines. Overall, regulated emissions changes attributable to changing proportions of two- and 

four-stroke engines in the in-use fleet do not appear to have influenced DPM emission levels, but 

the transition to four-stroke engines in the 1970s would have decreased the fraction of SOF 

associated with the DPM. It appears that the proportion of two-stroke engines in the in-use fleet 

was relatively constant until the late 1980s, when it began to decline. 

2.2.7. Air Toxic Emissions 

HD diesel vehicle exhaust contains several substances that are known, likely, or possible 

human or animal carcinogens, or that have serious noncancer health effects. These substances 

include, but are not limited to, benzene, formaldehyde, acetaldehyde, 1,3-butadiene, acrolein, 

dioxin, PAH, and nitro-PAH (the complete list of chemically characterized compounds present 

in DE is provided in Section 2.3.1). Very few historical data are available to examine changes in 

emission rates over time. In this section, trends in aldehyde emissions over time and a summary PM Emis

sion, g/mi 

2-53
3 

2 

1 

0 

1975 1980 1985 1990 1995 2000 

Engine Model Year 

Figure 2-27. Comparison of two- and four-stroke engine diesel PM emissions from engine 

dynamometer studies. 

1.00 

0.75 

0.50 

0.25 

0.00 

1975 1980 1985 1990 1995 2000 

4-Stroke 

2-Stroke 

Engine Model Year 

Figure 2-28. Diesel engine dynamometer SOF emissions from two- and four-stroke 

engines. SOF obtained by dichloromethane extraction in most studies. 

Source: Data are from Table 2-8. 

S

OF E

mission, g/bh

p-h PM Emission, g/bhp-h 

4-Stroke 

2-Stroke 

2-54
of dioxin emission factors are presented. PAH and nitro-PAH emission factors are discussed in 

Section 2.2.8.2. 

2.2.7.1. Aldehyde Emissions 

Among the gaseous components emitted by diesel engines, the aldehydes are particularly 

important because they constitute an important fraction of the gaseous emissions and they are 

probable carcinogens that also produce noncancer health effects. Formaldehyde makes up the 

majority of the aldehyde emissions (65% to 80%), with acetaldehyde being the second most 

abundant aldehyde in HD diesel emissions. Total aldehyde emissions reported from chassis 

dynamometer testing suggest that aldehyde emissions have declined since 1980; however, only 

two tests reported aldehydes from engines made after 1985 (Figure 2-29). Engine dynamometer 

studies also suggest a downward trend in the emissions of aldehydes in the time period from 

1976 to 1994 (Figure 2-30). Engine dynamometer studies report aldehyde emission levels of 

150–300 mg/bhp-hr for late 1970s engines with no significant effect of turbocharging, or IDI 

versus DI. High-pressure fuel injection may have resulted in a marginal increase in aldehyde 

emissions (Springer, 1979). By comparison, 1991 model year engines (DI, turbocharged) 

exhibited aldehyde emissions in the 30–50 mg/bhp-hr range (Mitchell et al., 1994). 

2.2.7.2. Dioxin and Furans 

Ballschmiter et al. (1986) reported detecting polychlorinated dibenzo-p-dioxins (CDDs) 

and polychlorinated dibenzofurans (CDFs) in used motor oil and thus provided some of the first 

evidence that CDDs and CDFs might be emitted by the combustion process in diesel-fueled 

engines. Incomplete combustion and the presence of a chlorine source in the form of additives in 

the oil or the fuel were speculated to lead to the formation of CDDs and CDFs. Since 1986, 

several studies have been conducted to measure or estimate CDD/CDF concentrations in 

emissions from diesel-fueled vehicles. These studies can be characterized as direct 

measurements from the engine exhaust and indirect measurements from the sampling of air 

within transportation tunnels. 

Table 2-11 is a summary of various CDD/CDF emission characterization studies reported 

in the United States and Europe for diesel-fueled cars and trucks. Hagenmaier et al. (1990) 

reported an emission factor for LD diesel vehicles of 24 pg TEQ per liter of diesel fuel 

consumed. TEQ, or the toxic equivalency factor, rates each dioxin and furan relative to that of 

2,3,7,8-TCDD, which is arbitrarily assigned a TEQ of 1.0 based on animal assays. Schwind et 

al. (1991) and Hutzinger et al. (1992) studied emissions of CDDs/CDFs from German internal 

combustion engines running on commercial diesel fuels and reported a range of CDD/CDF 

emission rates across the test conditions (in units of pg TEQ per liter of diesel fuel consumed) of 

10–130 pg TEQ/L for diesel car exhaust and 70–81 pg TEQ/L for diesel truck exhaust. 

2-55
1000 

800 

600 

400 

200 

0 

1975 1980 1985 1990 1995 2000 

Engine Model Year 

4-stroke 

2-stroke 

Figure 2-29. Diesel engine aldehyde emissions measured in chassis dynamometer studies. 

Source: Data are from Warner-Selph and Dietzmann, 1984; Schauer et al., 1999; 

Unnasch et al., 1993. 

300 

250 

200 

150 

100 

50 

0 

1976 1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 

4-stroke 

2-stroke 

Engine Model Year 

Figure 2-30. Diesel engine aldehyde emissions from engine dynamometer studies. 

Source: Data from Table 2-8. 

Aldehy

d

e E

mis

sion, m

g/bhp-h 

Aldehyde E

mis

sion

s, m

g/mile 

2-56
Table 2-11. Summary of CDD/CDF emissions from diesel-fueled vehicles 

Study Country Vehicle tested 

Number 

of test 

vehicles 

Emission factor 

(pg TEQ/km driven) Driving cycle; sampling loc

CARB, 1987; Lew, 1996 United States Diesel truck 1 663–1,300 6-hr dynamometer test at 50 km/hr Marklund et al., 1990 Sweden Diesel truck 1 not detected (<18)a U.S. Federal mode 13 cycle; before m

Hagenmaier et al., 1990 Germany Diesel car 1 2.4a Comparable to FTP-73 test cycle; in taHagenmaier, 1994 Germany Diesel bus 1 not detected (< 1 pg/L) On-the-road testing Oehme et al., 1991 (tunnel study) 

Norway — (b) 520c 

38c 

avg = 280 9,500c 720c avg = 5,100 

Cars moving uphill (3.5% incline) at 6Cars moving downhill (3.5% decline) 

Trucks moving uphill (3.5% incline) a

Trucks moving downhill (3.5% declin

Schwind et al., 1991 Hutzinger et al., 1992 

Germany Diesel car 

Diesel truck 

1 1 

5.0–13a 

13–15a 

Various test conditions (i.e., loads and Various test conditions (i.e., loads and 

Gertler et al., 1996 (tunnel study) 

United States Diesel trucks (d) mean = 172 Mean of seven 12-hour samples 

Gullett and Ryan, 1997 United States Diesel truck 1 mean - 29.0 Mean of five sample routes 

2-57

aResults reported were in units of pg TEQ/liter of fuel. For purposes of this table, the fuel economy factor used by Marklund et al. (1990), 10 km/L or 24 miles/gal, was u

into units of pg TEQ/km driven for the cars. For the diesel-fueled truck, the fuel economy factor reported in CARB (1987a) for a 1984 heavy-duty diesel truck, 5.5 km/L 

bTests were conducted over portions of 4 days, with traffic rates of 8,000-14,000 vehicles/day. Heavy-duty vehicles (defined as vehicles over 7 meters in length) ranged cEmission factors are reported in units of pg Nordic TEQ/km driven; the values in units of I-TEQ/km are expected to be about 3% to 6% higher.dTests were conducted over 5 days with heavy-duty vehicle rates of 1,800-8,700 vehicles per 12-hour sampling event. Heavy-duty vehicles accounted for 21% to 28% of 
In 1994, Hagenmaier reported CDD/CDF emissions from a diesel-fueled bus and found 

no detectable levels in the exhaust (at a detection limit of 1 pg/L of fuel consumed) for 

individual congeners. In 1987, the California Air Resources Board (CARB) produced a draft 

report of a HD engine tested under steady-state conditions indicating a TEQ emission factor of 

7,290 pg/L of fuel burned (or 1,300 pg/km driven) if nondetected values are treated as one-half 

the detection limit. Treating nondetected values as zeros yields a TEQ concentration equivalent 

to 3,720 pg/L of fuel burned (or 663 pg/km driven) (Lew, 1996). Norbeck et al. (1998c) reported 

emission factors for dioxin and furans from a Cummins L10 HD diesel engine running on pre1993 fuel of 0.61 pg/L and 0.41 pg/L for the same engine running on reformulated fuel. The low 

emission factors reported by Norbeck et al. (1998c) were attributed to losses of dioxin and furan 

compounds to the dilution tunnel walls. 

EPA has directly sampled the exhaust from a HD diesel truck for the presence and 

occurrence of CDDs/CDFs (Gullett and Ryan, 1997). The average of five tests (on highway and 

city street driving conditions) was 29.0 pg TEQ/km with a standard deviation of 38.3 pg 

TEQ/km; this standard deviation reflects the 30-fold variation in the two city driving route tests. 

Tunnel studies are an indirect means of measuring contaminants that may be associated 

with emissions from cars and trucks. In these studies, scrapings of carbonaceous matter from the 

interior walls of the transportation tunnel or the tunnel air are sampled and analyzed for the 

target contaminants. Several European studies and one recent U.S. study evaluated CDD/CDF 

emissions from vehicles by measuring the presence of CDDs/CDFs in tunnel air. This approach 

has the advantage of allowing random sampling of large numbers of vehicles passing through the 

tunnel, including a range of ages and maintenance levels. The disadvantage of this approach is 

that it relies on indirect measurements (rather than tailpipe measurements), which may introduce 

unknown uncertainties into the interpretation of results. 

Oehme et al. (1991) reported the emission rates associated with HD diesel trucks as 

follows: uphill = 9,500 pg TEQ/km; downhill = 720 pg TEQ/km; mean = 5,100 pg TEQ/km. 

The mean values are the averages of the emission rates corresponding to the two operating 

modes: vehicles moving uphill on a 3.5% incline at an average speed of 37 mi/hr and vehicles 

moving downhill on a 3.5% decline at an average speed of 42 mi/hr. 

Wevers et al. (1992) measured the CDD/CDF content of air samples taken during the 

winter of 1991 inside a tunnel in Antwerp, Belgium. The results obtained indicated that the 

tunnel air had a dioxin TEQ concentration about twice as high as the outside air (80.3 fg TEQ/m3 

for tunnel air vs. 35 fg TEQ/m3 for outside air for one set of measurements and 100 fg TEQ/m3 

for tunnel air vs. 58 fg TEQ/m3 for outside air for a second set of measurements). 

2-58
During October/November 1995, Gertler et al. (1996, 1998) measured CDDs/CDFs in the 

Fort McHenry Tunnel in Baltimore, Maryland. The emission factors calculated, assuming that 

all CDDs/CDFs emitted in the tunnel were from HD vehicles, are presented in Table 2-12. The 

average TEQ emission factor was reported to be 172 pg TEQ/km. The major uncertainties in the 

study were tunnel air volume measurement, sampler flow volume control, and analytical 

measurement of CDDs/CDFs (Gertler et al., 1996, 1998). 

The relative strengths of the Gertler et al. (1996; 1998) study include: (1) The study is a 

recent study conducted in the United States and thus reflects current U.S. fuels and technology; 

(2) virtually no vehicle using the tunnel used leaded gasoline, which is associated with past 

emissions of CDDs and CDFs from gasoline-powered vehicles; (3) the tunnel walls and streets 

were cleaned 1 week before the start of sampling, and in addition, the study analyzed road dust 

and determined that resuspended road dust contributed only about 4% of the estimated emission 

factors; and (4) HD vehicles made up, on average 25.7% of vehicles using the tunnel. 

Using the emissions factor from the Gertler et al. studies, the EPA Office of Research and 

Development’s dioxin source emission inventory estimates that 33.5 g of dioxin TEQ (total 

2,3,7,8-TCDD equivalents) were emitted from HD U.S. trucks in 1995. This is a very small 

contribution (1.2%) compared with the national annual emission of 2,800 g CDDs/CDFs. 

2.2.8. Physical and Chemical Composition of Diesel Exhaust Particles 

DPM is defined by the measurement procedures summarized in Title 40 CFR, Part 86, 

subpart N. This definition and the basic characteristics of DPM have been summarized in 

Section 2.2.2. As described there, DE particles are aggregates of primary spherical particles that 

consist of solid carbonaceous material and ash and contain adsorbed organic and sulfur 

compounds (sulfate) combined with other condensed material. The organic material includes 

unburned fuel, engine lubrication oil, and low levels of partial combustion and pyrolysis 

products. 

The organic material is absorbed to the EC core and is also found in heterogeneously 

nucleated aerosol. This fraction of the DPM is frequently quantified as the SOF (i.e., the fraction 

that can be extracted by an organic solvent). Because of the toxicological significance of the 

organic components associated with DPM, it is important to understand, to the extent possible, 

the historical changes in the composition of SOF and potential changes in the fraction of SOF 

associated with DPM. 

Various researchers have attempted to apportion the SOF to unburned oil and fuel 

sources by thermogravimetric analysis and have found that the results vary with test cycle 

and engine (Abbass et al., 1991; Wachter, 1990). Kittelson (1998) estimates that a typical 

composition of SOF is about one-fourth unburned fuel and three-fourths unburned 

2-59
Table 2-12. Baltimore Harbor Tunnel Study: estimated CDD/CDF emission factors for HD 

Congener/congener group 

Run-specific emission factors 

Run no. 2 

(pg/km) 

Run no. 3 

(pg/km) 

Run no. 5 

(pg/km) 

Run no. 6 

(pg/km) 

Run no. 8 

(pg/km) 

Run no. 9 

(pg/km) 

Run n

(pg/k

2,3,7,8-TCDD 1,2,3,7,8-PeCDD 1,2,3,4,7,8-HxCDD 1,2,3,6,7,8-HxCDD 1,2,3,7,8,9-HxCDD 1,2,3,4,6,7,8-HpCDD OCDD 

24.5 40.2 18.2 37.5 53.6 

0 0 

61.6 20.6 25.2 28.2 56.5 

401 

3,361 

0.0 

15.4 46.5 64.3 91.6 

729 

3,382 

21.2 

5.6 8.3 

19.6 48.4 

111 

1,120 

37.8 38.4 64.5 

153 280 

2,438 9,730 

40.1 

0.0 0.0 

71.1 

126 963 

5,829 

2,3,7,8-TCDF 1,2,3,7,8-PeCDF 2,3,4,7,8-PeCDF 1,2,3,4,7,8-HxCDF 1,2,3,6,7,8-HxCDF 1,2,3,7,8,9-HxCDF 2,3,4,6,7,8-HxCDF 1,2,3,4,6,7,8-HpCDF 1,2,3,4,7,8,9-HpCDF OCDF 

0 0 

24.5 15.4 

0.3 

27.7 15.2 12.6 

0 0 

94.3 48.9 75.7 

139 

75.1 14.8 82.5 

280 

58.5 

239 

67.6 72.6 

131 204 

73.7 75.6 

152 445 

60.8 

401 

152.8 

23.6 46.6 93.8 51.0 

0 

55.7 

154 

31.1 

175 

155.8 

53.3 85.0 

124 

61.3 20.6 93.0 

313 

25.0 

416 

73.4 

0.0 

63.9 

164 

54.4 37.2 86.8 

354 

2.3 

534 

Total 2,3,7,8-CDD Total 2,3,7,8-CDF Total TEQ 

174 

95.7 73.8 

3,954 1,108 

175 

4,328 1,684 

170 

1,335 

784 

96 

12,743 

1,347 

235 

7,028 1,371 

153 

Total TCDD Total PeCDD Total HxCDD Total HpCDD Total OCDD Total TCDF Total PeCDF Total HxCDF Total HpCDF Total OCDF Total CDD/CDF 

245 110 677 

0 0 0 

124 136 

0 0 

1,291 

0 

21.9 

0 

802 

3361 

901 119 319 223 239 

5,987 

140 

83.3 

753 

1,498 3,382 1,314 1,152 

852 814 401 

10,390 

165 

35.6 54.5 

142 

1,120 

656 

78.4 67.6 

144 175 

2,638 

311 174 

2,009 5,696 9,730 2,416 1,055 

444 513 416 

22,766 

109 

0.0 

1,666 1,933 5,829 1,007 

282 719 354 534 

12,434 

HD vehicles as % of total vehicles 

21.2 22.0 22.6 34.0 28.8 24.2 

2-60

Notes:(1) Listed values are based on the difference between the calculated chemical mass entering the tunnel and the mass exiting the tunnel.

(2) All calculated negative emission factors were set equal to zero.(3) All CDD/CDF emissions were assumed to result from heavy-duty diesel-fueled vehicles. The table presents in the last row the percent of total traffic that was heavy-

Source: Gertler et al., 1996.
engine oil. Partial combustion and pyrolysis products represented a very small fraction

of the SOF on a mass combustion and pyrolysis products represented a very small fraction 

of the SOF on a mass basis (Kittelson, 1998), which is confirmed in numerous other studies. 

A number of investigators have tried to separate the organic fraction into various classes 

of compounds. Schuetzle (1983) analyzed the dichloromethane extract of DPM from a LD 

diesel engine and found that approximately 57% of the extracted organic mass is contained in the 

nonpolar fraction. About 90% of this fraction consists of aliphatic HCs from approximately C14 

to about C40 (Black and High, 1979; Pierson and Brachaczek, 1983). PAHs and alkyl-substituted 

PAHs account for the remainder of the nonpolar mass. The moderately polar fraction (~9% w/w 

of extract) consists mainly of oxygenated PAH species, substituted benzaldehydes, and nitrated 

PAH. The polar fraction (~32% w/w of extract) is composed mainly of n-alkanoic acids, 

carboxylic and dicarboxylic acids of PAH, hydroxy-PAH, hydroxynitro-PAH, and nitrated Ncontaining heterocyclic compounds (Schuetzle, 1983; Schuetzle et al., 1985). 

Rogge et al. (1993) reported the composition of the extractable portion of fine DPM 

emitted from two HD diesel trucks (1987 model year). The DPM filters were extracted twice 

with hexane, then three times with a benzene/2-propanol mixture. The extract was analyzed by 

capillary gas chromatography/mass spectrometry (GC/MS) before and after derivatization to 

convert organic acids and other compounds having an active H atom to their methoxylated 

analogues. Unidentified organic compounds made up 90% of the eluted organic mass and were 

shown to be mainly branched and cyclic HCs. From the mass fraction that was resolved as 

discrete peaks by GC/MS, ~42% were identified as specific organic compounds. Most of the 

identified resolved organic mass (~60%) consisted of n-alkanes, followed by n-alkanoic acids 

(~20%). PAH accounted for ~3.5% and oxy-PAH (ketones and quinones) for another ~3.3%. 

The distribution of the emissions between the gaseous and particulate phases is 

determined by the vapor pressure of the individual species, by the amount and type of the DPM 

present (adsorption surface available), and by the temperature (Ligocki and Pankow, 1989). 

Two-ring and smaller compounds (e.g., naphthalene) exist primarily in the gas phase, whereas 

five-ring and larger compounds (e.g., benzo[a]pyrene) are almost completely adsorbed on the 

particles. Three- and four-ring compounds are distributed between the two phases. The vapor 

pressures of these intermediate PAHs can be significantly reduced by their adsorption on various 

surfaces. Because of this phenomenon, the amount and type of DPM present play an important 

role, together with temperature, in the vapor-particle partitioning of semivolatile organic 

compounds (SOCs). 

The measurements of gas/particulate phase distribution are often accomplished by using a 

high-volume filter followed by an adsorbent such as polyurethane foam (PUF), Tenax, or XAD-2 

(Cautreels and Van Cauwenberghe, 1978; Thrane and Mikalsen, 1981; Yamasaki et al., 1982). 

2-61
The pressure drop behind a high-volume filter or cascade impactor can contribute to 

volatilization of the three- to five-ring PAHs from the PM proportional to their vapor pressures. 

The magnitude of this blow-off artifact depends on a number of factors, including sampling 

temperature and the volume of air sampled (Van Vaeck et al., 1984; Coutant et al., 1988). 

Despite these problems from volatilization, measurements with the high-volume filters followed 

by a solid adsorbent have provided most estimates of vapor-particle partitioning of SOCs in 

ambient air, as well as insights into the factors influencing SOC adsorption onto aerosols. 

Significant fractions of phenanthrene, anthracene, and their alkylated derivatives, along with 

fluoranthene and pyrene, exist in the gas phase. PAHs with molecular weight greater than that of 

pyrene are typically not observed on PUF samples. During the collection of particulate organic 

compounds, adsorption of semivolatile PAHs can also occur, as well as chemical transformation 

of the semivolatile compounds (Schauer et al., 1999; Cantrell et al., 1988; Feilberg et al., 1999; 

Cautreels and Van Cauwenberghe, 1978). 

Most of the sulfur in the fuel is oxidized to SO2, but a small amount (1% to 4%) is 

oxidized to sulfuric acid in the exhaust. Sulfate emissions are roughly proportional to sulfur in 

the fuel. Since the reduction of the allowable sulfur content in diesel fuel in 1993, sulfate 

emissions have declined from roughly 10% of the DPM mass to around 1%. Particulate 

emissions from numerous vehicles tested using low-sulfur fuel were found to have a sulfate 

content of only about 1% (Yanowitz et al., 1999). Water content is on the order of 1.3 times the 

amount of sulfate (Wall et al., 1987). 

Metal compounds and other elements in the fuel and engine lubrication oil are exhausted 

as ash. Hare (1977) examined 1976 Caterpillar 3208 and Detroit Diesel Corporation 6V-71 

engines and found the most abundant elements emitted from the 6V-71 engine were silicon, 

copper, calcium, zinc, and phosphorus. From the Caterpillar engine the most abundant elements 

were lead, chlorine, manganese, chromium, zinc, and calcium. Calcium, phosphorus, and zinc 

were present in the engine lubrication oil. The two-stroke 6V-71 engine had higher engine 

lubrication oil emissions and therefore emitted higher levels of zinc, calcium, and phosphorus 

than the Caterpillar 3208 engine. Other elements may have been products of engine wear or 

contaminants from the exhaust system. Springer (1979), in his study of 1977 Mack 

ETAY(B)673A and Caterpillar 3208 (EGR) engines, found that calcium was the most abundant 

metallic element in DPM samples, with levels ranging from 0.01 to 0.29 wt% of the DPM. 

Phosphorus and silica were the next most abundant elements reported, and sodium, iron, nickel, 

barium, chromium, and copper were either present at very low levels or were below detection 

limits. Roughly 1 wt% of the total DPM was represented by the analyzed metals. There was no 

consistent difference in metal emissions between the engines tested by Springer or between 

modes. Springer tested both engines on a 13-mode steady-state test. Dietzmann and co-workers 

2-62
(1980) examined metal emission rates from four HD vehicles tested using the UDDS chassis 

cycle. For the single two-stroke engine tested (1977 Detroit Diesel Corporation 8V-71), 

calcium, phosphorus, and zinc emission rates were more than 10 times higher than metal levels 

observed for three 1979 model year four-stroke engines because of higher engine lubrication oil 

emissions. Metals accounted for 0.5% to 5% of total DPM, depending on engine model. In 

addition to these studies, other source profiles for HD diesel engine emissions report levels of 

chromium, manganese, mercury compounds, and nickel at levels above the detection limit 

(Cooper et al., 1987). 

In more recent studies, Hildemann and co-workers (1991) examined metals in DPM from 

the same two 1987 trucks (four-stroke engines) studied by Rogge and co-workers (1993). 

Aluminum, silicon, potassium, and titanium were the only metals observed at statistically 

significant levels. Taken together these made up less than 0.75 wt% of total DPM mass. 

Lowenthal and co-workers (1994) also report metals emission rates for a composite sample of 

several diesel vehicles. The most abundant metals were zinc, iron, calcium, phosphorus, barium, 

and lanthanum. Together these represented less than 0.3% of total DPM mass, with an emissions 

rate of 3.3 mg/mi. Norbeck and co-workers (1998b) report engine transient test emissions of 

metals for a 1991 Cummins L10 engine. Silicon, iron, zinc, calcium, and phosphorus were 

observed and together made up about 0.5% of total DPM, with an emissions rate of 1.2 mg/bhphr. 

2.2.8.1. Organic and EC Content of Particles 

2.2.8.1.1. Measurement of the organic and EC fraction. Various methods have been used to 

quantify the organic fraction of DPM. The most common method has been Soxhlet extraction 

with an organic solvent. Following extraction, the solvent can be evaporated and the mass of 

extracted material (the SOF) determined, or alternatively the PM filter is weighed before and 

after extraction and the extracted material can be further analyzed to determine concentrations of 

individual organic compounds. Vacuum oven sublimation is used to measure a comparable 

quantity, the volatile organic fraction (VOF), which can be further speciated by GC with a flame 

ionization detector. Other methods have also been employed, including thermal methods, 

microwave extraction, sonication with an organic solvent, supercritical fluid extraction, 

thermogravimetric analysis, and thermal desorption GC. Abbass et al. (1991) compared various 

methods, including vacuum oven sublimation and 8 hours of Soxhlet extraction, with 4:1 

benzene/methanol solvent for determination of SOF and found reasonably good agreement 

between the two methods. The VOF value was typically 10% higher; however, this variation 

was less than the coefficient of variation between measurements using the same method. 

2-63
Levson (1988) reviewed literature regarding the extraction efficiency of various solvents 

and found contradictory results in many cases. He concluded that there is strong evidence that 

the most commonly used solvent, dichloromethane, leads to poor recoveries of higher molecular 

weight PAH. More recently, Lucas et al. (1999) reported the effect of varying 

dichloromethane/benzene ratios in the solvent (from 25% to 100% dichloromethane) and 

changing extraction times and found that the most effective extraction (i.e., the largest extracted 

mass) utilized a 70% dichloromethane/30% benzene mixture and extraction times several times 

longer than the commonly used 8-hour extraction period. Extractions of 70 hours using pure 

dichloromethane were found to result in about twice as much SOF as extractions of only 12 

hours. Between 6 and 24 hours of extraction time (the typical range of extraction times used), 

the SOF recovered increased by about one-third. Using the most effective extraction conditions 

(Soxhlet, 70 hours, 70:30 dichloromethane:benzene ratio), Lucas et al. (1999) were able to 

extract more than 90% of the total particulate mass. 

Other researchers have investigated the relative quantities of mass removed by sequential 

extraction by polar, moderately polar, and nonpolar solvents. The extracted nonpolar fraction 

(cyclohexane) ranged from 56% to 90% of the SOF, the moderately polar (dichloromethane) 

from 6% to 22%, and the polar fraction (acetonitrile) from 4% to 29% (Dietzmann et al., 1980). 

Water and sulfate are not soluble in cyclohexane or dichloromethane but are soluble in 

acetonitrile. 

Although the reports on the extraction efficiencies for PAHs are in part contradictory, it 

appears that Soxhlet extraction and the binary solvent system composed of aromatic solvent and 

alcohol yield the best recovery of PAHs, as determined by C-B[a]P14 (benzo[a]pyrene) spiking 

experiments (Schuetzle and Perez, 1983). Limited recovery studies have shown that there is 

little degradation or loss of diesel POM on the HPLC column. More than 90% of the mass and 

70% to 100% of the Ames S. typhimurium-active material injected onto the column has been 

recovered (Schuetzle et al., 1985). 

Two thermal methods of organic and EC analysis include thermal optical reflectance 

(TOR) and thermal optical transmittance (TOT). The extractable portion of total carbon, 

although commonly used as a measure of organic compound content, is not equivalent to the OC 

fraction as measured by TOR or TOT. In addition, methodological differences between TOR 

and TOT also give rise to significant differences in the fraction of total carbon reported as 

organic and EC (Birch, 1998; Norris et al., 2000; Chow et al., 2000). Although total carbon 

reported using TOR or TOT provides results that are comparable (within 10%) (Norris et al., 

2000) the EC content of samples analyzed by TOR is higher than that measured by TOT. This 

difference is primarily attributed to the temperature used to evolve carbon from the quartz filter 

onto which it is collected. In an analysis of urban PM2.5 samples, Norris et al. (2000) found that 

2-64
the EC content of samples analyzed by TOR was a factor of two higher than the EC content of 

the same samples analyzed by TOT. Experiments are ongoing to test specific source materials 

(including DPM) because some of the difference between methods appears to depend on the type 

of OC present on the sample. 

The analytical technique used to measure OC and EC can have a significant effect on the 

quantity of reported. In the discussion that follows, every effort has been made to compare only 

studies using comparable methods and to state the analysis method employed. 

2.2.8.1.2. Trends in SOF emissions. SOF emission values are highly dependent on the test 

cycle used. Various studies have shown that SOF generally increases at light engine loads and 

high engine speeds because these conditions lead to low exhaust temperatures, where fuel and oil 

are not as effectively oxidized (Scholl et al., 1982; Kittelson, 1998; Springer, 1979; Schuetzle 

and Perez, 1983; Martin, 1981b; Shi et al., 2000). These conditions are more typically observed 

in LD diesel vehicle applications, and thus DPM from these vehicles typically has a higher SOF 

component than HD diesel vehicles (Norbeck et al., 1998c). Acceleration modes normally cause 

increased emission of EC and an increase in total DPM emissions, whereas organic components 

are more dominant when motoring (Wachter, 1990). Additionally, cold-start test emissions of 

SOF have been shown to be approximately 25% higher than hot-start emissions (Wachter, 1990). 

The quantity of sulfur in diesel fuel has been suggested to have a role in the quantity of 

SOF emitted (Sienicki et al., 1990; Tanaka et al., 1998). Sienicki et al. (1990) reported an 

approximate 25% increase in SOF when sulfur concentrations are increased from 0.08% to 

0.33%. The cause is unclear but several explanations have been put forth, including increased 

absorption of organic compounds from the vapor phase onto the DPM by sulfates or sorbed 

sulfuric acid. Alternatively, it has been proposed that the measured SOF may include some 

sulfate, so that the apparent increase in organic material is due instead to sulfate. Other fuel 

effects include an increase in SOF emissions with a higher T90 (or T95) and with an increase in 

aromatic content (Barry et al., 1985; Sienicki et al., 1990; Tanaka et al., 1998; Rantanen et al., 

1993). 

Figures 2-31 and 2-32 show SOF emissions as a function of year for transient emissions 

tests on chassis and engines, respectively. Both figures suggest a significant decline in SOF 

emissions of approximately a factor of 5 since about 1980. The highest SOF emissions are for 

two-stroke engines built in the 1970s (up to approximately 1.2 g/mi). These data indicate that 

SOF emission factors for newer model year vehicles are lower than SOF emission factors for 

pre-1990 model year vehicles and that this decrease is similar to that observed for emissions of 

total DPM by model year. In a recent test of six pre-1976 HDDVs, Fritz et al. (2001) reported 

2-65
1.4 

1.2 

1.0 

0.8 

0.6 

0.4 

0.2 

0.0 

1975 1980 1985 1990 1995 2000 

Warner-Selph et al., 1984 

Dietzmann et al., 1980 

Graboski et al., 1998 

Rogge et al., 1993 

Engine Model Year 

Figure 2-31. Trend in SOF emissions based on chassis dynamometer testing of HD diesel 

vehicles. Warner-Selph and co-workers: dichloromethane for 8 hours. Dietzman and coworkers: hexane followed by dichloromethane, extraction times not reported. Graboski 

and co-workers: VOF by vacuum sublimation at 225B 

C for 2.5 to 3 hours. Rogge and coworkers: cyclohexane followed by a benzene/2-propanol mixture that may extract 

significantly more organic matter. 

0.8 

0.6 

0.4 

0.2 

0.0 

1976 1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 

Ullman et al., 1984 

McCarthy et al., 1992 

Perez and Williams, 1989 

Needham et al., 1989 

Graboski, 1998 

Spreen et al., 1995 

Sienicki et al., 1990 

Martin, 1981 

Mitchell et al., 1994 

Barry et al., 1985 

Engine Model Year 

SOF (g/bhp-h) SOF or V

OF (g/mi) 

Figure 2-32. Trend in SOF emissions for transient engine dynamometer testing of HD 

diesel engines. Various extraction methods used; see Table 2-8. 

2-66
the volatile organic fraction (VOF) ranged from 0.4 g/mi to 4.5 g/mi. These data highlight the wide 

range in emission rates for of OC, as have been observed for total PM. 

Steady-state testing conducted on late-1970s engines reported SOF at levels between 0.1 

and 0.9 g/bhp-hr, whereas engines from the late 1980s and 1990s all emitted 0.03 g/bhp-hr or 

less (Table 2-8). Hori and Narusawa (1998) measured emissions from engines produced two 

decades apart, using identical analytical procedures, and found that SOF emission factors and the 

percentage contribution of SOF to DPM were lower in the new engine compared with the old 

engine, under all tested engine load and speed conditions and with different fuels. The authors 

reported that the decrease in SOF was due to lower emissions of both lubricating oil and 

unburned fuel. To meet the 1991 and 1994 U.S. emission standards, SOF emission rates would 

need to be reduced from the levels of the previous decade, although one may expect differences 

in SOF fractions of DPM with transient cycles used to determine compliance with emission 

standards verus steady-state conditions used in earlier test programs (Kawatani et al., 1993; 

Wachter, 1990). Finally, in the past three decades, for economic reasons engine manufacturers 

have made efforts to reduce oil consumption and increase the fuel efficiency of diesel engines, 

both of which would be expected to reduce SOF emissions. Problems in achieving SOF 

reductions from two-stroke engines were one factor leading to the phaseout of these engines for 

on-road use during the 1990s. No data are available prior to 1976 on SOF emissions from HD 

diesel vehicles. The engine technology changes that occurred between the mid-1950s and mid1970s (high-pressure direct injection and turbocharging, primarily) might be expected to increase 

the efficiency of combustion and thereby reduce fuel-related SOF. SOF emissions levels in the 

mid- to late 1970s may be used as a conservative (low) estimate of SOF emissions during the 

preceding two decades. 

The fraction of DPM attributed to SOF from chassis dynamometer studies also shows a 

decreasing trend over time, from SOFs that ranged up to approximately 50% in the 1980s to 20% 

SOF or less in the 1990s (Figure 2-33). The recent study by Fritz et al. (2001) reported the 

fraction of DPM attributed to VOF from 10% to 60% for HDDVs of model years 1951-1974. 

The wide range in SOF as a percent of DPM displayed in Figure 2-33 is suspected to result from 

factors such as engine deterioration and test cycle. The vehicle emissions data reported in Figure 

2-33 do not overrepresent buses that are likely to emit DPM with a greater fraction of SOF than 

other vehicles. Figure 2-34 presents SOF as a fraction of DPM from the same engine 

dynamometer studies reported in Figure 2-32. These data do not reflect a downward trend in 

SOF as a fraction of DPM. Because similar extraction methods were used in reports of the SOF 

in both the chassis and engine dynamometer studies, this does not appear to be a source of the 

wide variability observed in the fraction of SOF reported. In some of the engine studies, 

improved air:fuel ratio control was tested in an attempt to lower carbonaceous DPM formation. 

2-67
100 

80 

60 

40 

20 

0 

1975 1980 1985 1990 1995 2000 

Warner-Selph, 1984 

Dietzmann, et al., 1980 

Graboski, et al., 1998 

Rogge, et al., 1993 

Engine Model Year 

Figure 2-33. Trend in SOF emissions as a percent of total PM based on chassis 

dynamometer testing of HD diesel vehicles. Warner-Selph and co-workers: 

dichloromethane for 8 hours. Dietzman and co-workers: hexane followed by 

dichloromethane, extraction times not reported. Graboski and co-workers: VOF by 

vacuum sublimation at 225B C for 2.5 to 3 hours. Rogge and co-workers: cyclohexane 

followed by a benzene/2-propanol mixture that may extract significantly more organic 

matter. 

100 

80 

60 

40 

20 

0 

1976 1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 

Engine Model Year 

SO

F, % of T

otal PM 

S

OF, % of T

otal 

PM 

Figure 2-34. Trend in SOF emissions as a percentage of total PM from engine 

dynamometer testing. Data are from Table 2-8. (See Figure 2-32 for figure key.) 

2-68
Therefore, substantial differences in SOF as a percent of total DPM could be the result of 

different engine technology or test conditions. The engine dynamometer results presented in 

Figures 2-32 and 2-34 are from new, or relatively new, engines, that is, engines with no 

deterioration, whereas the older engines tested on a chassis dynamometer may have experienced 

significant deterioration that would increase SOF emissions as a percent of DPM. One of the 

main differences suspected for the lack of a decreasing trend in the percent of SOF in the engine 

dynamometer studies is the test cycle used. The engine dynamometer tests typically include test 

modes, such as high speed and low load, or low-speed lugging modes, that produce much higher 

SOF relative to DPM than the driving cycles used on the chassis tests. 

It appears that as a fraction of total DPM, SOF from new model year HD diesel vehicles 

is lower than that from older (pre-1990) HD diesel vehicles. However, as with total DPM 

emissions, a wide range in the fraction of SOF can be observed under different driving 

conditions and from vehicles with extensive engine wear. In general, DPM emissions have a 

lower fraction of organic matter compared to gasoline PM (Table 2-13). Recent testing of HD 

engines at the Desert Research Institute suggests that the OC fraction of DPM is approximately 

19%, whereas earlier studies reported in the U.S. EPA SPECIATE database suggest a slightly 

higher organic fraction of DPM from HD diesel vehicles, ranging from 21% to 36%. The 

SPECIATE database represents older vehicles that, as discussed above, tend to have higher SOF 

emissions. The OC emissions from LD diesel vehicles recently reported by Norbeck et al. 

(1998c) and those reported by the U.S. EPA SPECIATE suggest that LD diesel vehicles emit 

DPM with a slightly higher organic content than that from HD diesel vehicles, ranging from 22% 

to 43%. Gasoline engine PM emissions have recently been analyzed at the Desert Research 

Institute by Fujita et al. (1998) and Watson et al. (1998) for hot stabilized, visibly smoking 

vehicles, and cold-starts. These data all indicate that LD gas vehicles emit PM with a higher 

fraction of organic matter than diesel vehicles, with the highest organic content measured from 

smoking and high-emitting gasoline vehicles (averaging 76% OC). One new finding from the 

data reported by Fujita et al. (1998) is the roughly equivalent emission of organic and EC from 

cold-start emissions of gasoline vehicles. Additional information is needed to characterize a 

range of OC for DPM from smoking and high-emitting diesel vehicles as well as cold-start HD 

diesel vehicles. 

2.2.8.1.3. Trends in EC content. Because EC is a major component of the chemical source 

profile of DE, it is commonly used to determine the contribution of diesel vehicles to ambient 

PM samples (i.e., in source apportionment via chemical mass balance modeling). EC is not, 

strictly speaking, a regulated pollutant, and so EC emissions are not routinely measured in tests 

of diesel vehicles and engines. The scant data available on measured EC emissions from HD 

2-69
Table 2-13. Organic and elemental carbon fractions of diesel and gasoline engine 

PM exhaust 

Engine type % OC % 

Elemental 

carbon 

HD diesel enginesa 19 ± 8 75 ± 10 

HD diesel engines (SPECIATE)b 21-36 52-54 

LD diesel enginesc 30 ± 9 61 ± 16 

LD diesel engines (SPECIATE)b 22-43 51-64 

Gasoline engines (hot stabilized)a 56 ± 11 25 ± 15 

Gasoline engines (smoker and high emitter)a,c 76 ± 10 7 ± 6 

Gasoline engines (cold start)a 46 ± 14 42 ± 14 a

 Fujita et al., 1998, and Watson et al., 1998. b U.S. EPA SPECIATE database.

c Norbeck et al., 1998c.

diesel vehicles are plotted in Figure 2-35. Different analytical methods were employed for these 

studies, making the comparison of emission rates difficult. Results from the three studies, all 

performed on HD trucks, suggest a decline in EC emission rates by model year since the early 

1980s. In a study conducted in 1992, four HD vehicles of unknown vintage were tested and a 

combined EC emission rate of 0.81 g/mi was reported, which is consistent with the 1990 

timeframe in Figure 2-35 (Lowenthal et al., 1994). EC as a percentage of total DPM in these 

studies ranged from 30% to 90%, most likely as a result of different testing cycles and different 

engines and different analytical methods. 

Figure 2-36 presents these data as EC fraction of total fine PM. The EC content of DPM 

varied widely in the 1980s from approximately 20% to 90%, whereas in more recent years, the 

data suggest a smaller range in the EC fraction, from approximately 50% to 90% (with one data 

point at 30%). Recent emission profiles for HD diesel vehicles suggest that 75% ± 10% of the 

DPM is attributable to EC, whereas approximately 25% of gasoline PM is composed of EC, 

except for PM emissions during gasoline vehicle cold-starts, which were found to have an EC 

content of approximately 42% (Table 2-13). These data also provide evidence that newer model 

year HD engines generally emit DPM that is more rich in EC than older HD engines. 

2.2.8.2. PAHs and Nitro-PAH Emissions 

PAHs, nitro-PAHs, and oxidized derivatives of these compounds have attracted 

considerable attention because of their known mutagenic and, in some cases, carcinogenic 

2-70
14 

12 

10 

8 

6 

4 

2 

0 

Benzo(a)pyrene 

1-Nitropyrene 

1975 1980 1985 1990 1995 2000 

Engine Model Year 

Figure 2-35. EC emission rates for diesel vehicles. 

100 

90 

80 

70 

60 

50 

40 

30 

20 

10 

0 

82 84 86 88 90 92 94 96 

Zielinska, et al., 1998 

Schauer, et al., 1999 

Rogge, et al., 1993 

Engine Model Year 

Figure 2-36. EC content as percent of fine PM for DPM samples obtained in chassis 

dynamometer studies. 

E

C, % of T

otal PM 

1-NP or B(a)P E

mission, ug/mi 

2-71
character (National Research Council, 1982). In this section, PAH and nitro-PAH 

concentrations and emission rates and trends in emissions over time are presented. 

2.2.8.2.1. PAHs identified in DE. At least 32 PAHs have been identified in the exhaust of LD 

diesel vehicles and HD diesel vehicles (Table 2-14) (Watson et al., 1998; Zielinska et al., 1998). 

Table 2-15 lists the PAHs and thioarenes identified in three LD diesel vehicles’ DPM extracts, 

reported as ng/g of DPM (Tong et al., 1984). SOF fractions accounted for 11% to 15% of the 

total DPM mass for the LD diesel vehicles reported by Tong et al. (1984), which is lower than 

the LD diesel vehicles organic fraction reported by Norbeck et al. (1998c) in Table 2-13. 

Among the PAHs reported by Watson et al. (1998) and Zielinska et al. (1998), the higher 

molecular weight compounds (pyrene through coronene) that are expected to partition to the 

particle phase have emission rates from HD diesel vehicles ranging from below detection limits 

up to 0.071 mg/mi. HD diesel vehicle emission rates for the lower molecular weight PAHs 

ranged up to 2.96 mg/mi for dimethylnaphthalenes. In general, among the vehicles tested, PAH 

emission rates were higher for LD diesel vehicles compared with HD diesel vehicles. Table 2-16 

presents emission rates of four representative particle-phase PAHs from HD diesel vehicles, LD 

diesel vehicles, and gasoline (with and without catalytic converter) engines. Emission rates for 

benzo[a]pyrene were higher in diesel emissions compared with gasoline emissions, except for 

the report by Rogge et al. (1993), who used extraction methods different from those in other 

studies (discussed above). 

2.2.8.2.2. Nitro-PAHs identified in DE. Positive isomer identification for 16 nitro-PAHs has 

been made utilizing the GC retention times of authentic standards and low- and high-resolution 

mass spectra as identification criteria. These include 1-nitropyrene; 2-methyl-1-nitronaphthalene; 4-nitrobiphenyl; 2-nitrofluorene; 9-nitroanthracene; 9-methyl-10- nitroanthracene; 2-

nitroanthracene; 2-nitrophenanthrene; 1-methyl-9-nitroanthracene; 1-methyl-3-nitropyrene; 1-

methyl-6-nitropyrene; 1-methyl-8-nitropyrene; 1,3-, 1,6-, and 1,8-dinitropyrene; and 6-

nitrobenzo[a]pyrene. In addition, two nitrated heterocyclic compounds were identified, 5- and 8-

nitroquinoline. Forty-five additional nitro-PAHs were tentatively identified in this diesel 

particulate extract (Paputa-Peck et al., 1983). The concentration of nitro-PAHs adsorbed on 

diesel particles varies substantially from sample to sample. Usually 1-nitropyrene is the 

predominant component, and concentrations ranging from 7 to 165 μg/g of particles are reported 

(Levson, 1988). 

Table 2-17 gives the approximate concentrations of several of the abundant nitro-PAHs 

quantified in the early 1980s LD diesel particulate extracts (with the exception of 

2-72
Table 2-14. Emission rates of PAH (mg/mi) from LD and HD diesel vehicles 

PAH Light-duty 

diesel 

Heavy-duty 

diesel 

Naphthalene 5.554 ± 0.282 2.451 ± 0.154 

2-Menaphthalene 3.068 ± 0.185 2.234 ± 0.152 

1-Menaphthalene 2.313 ± 0.134 1.582 ± 0.103 

Dimethylnaphthalenes 5.065 ± 0.333 2.962 ± 0.488 

Biphenyl 0.743 ± 0.041 0.505 ± 0.037 

2-Methylbiphenyl 0.203 ± 0.015 0.049 ± 0.024 

3-Methylbiphenyl 1.048 ± 0.063 0.401 ± 0.036 

4-Methylbiphenyl 0.447 ± 0.028 0.144 ± 0.021 

Trimethylnaphthalenes 6.622 ± 0.563 1.940 ± 0.221 

Acenaphthylene 0.422 ± 0.024 0.059 ± 0.087 

Acenaphthene 0.096 ± 0.008 0.030 ± 0.040 

Phenanthrene 1.411 ± 0.072 0.084 ± 0.011 

Fluorene 0.442 ± 0.038 0.066 ± 0.022 

Methylfluorenes 1.021 ± 0.091 0.071 ± 0.055 

Methylphenanthrenes 1.115 ± 0.064 0.124 ± 0.069 

Dimethylphenanthrenes 0.637 ± 0.047 0.090 ± 0.096 

Anthracene 0.246 ± 0.025 0.052 ± 0.016 

9-Methylanthracene 0.013 ± 0.002 0.434 ± 0.082 

Fluoranthene 0.213 ± 0.014 0.044 ± 0.026 

Pyrene 0.245 ± 0.020 0.071 ± 0.017 

Methyl(pyrenes/fluoranthenes) 0.548 ± 0.045 0.022 ± 0.082 

Benzonaphthothiophene 0.002 ± 0.002 0.001 ± 0.027 

Benz[a]anthracene 0.020 ± 0.005 0.066 ± 0.046 

Chrysene 0.029 ± 0.005 0.009 ± 0.021 

Benz[b+j+k]fluoranthene 0.056 ± 0.005 0.009 ± 0.022 

Benzo[e]pyrene 0.019 ± 0.003 0.010 ± 0.014 

Benzo[a]pyrene 0.013 ± 0.004 0.013 ± 0.044 

Indeno[1,2,3-cd]pyrene 0.010 ± 0.003 0.001 ± 0.037 

Dibenzo[a]anthracene 0.002 ± 0.003 0.000 ± 0.053 

Benzo[b]chrysene 0.001 ± 0.002 0.001 ± 0.027 

Benzo[ghi]perlyne 0.018 ± 0.004 0.013 ± 0.048 

Coronene 0.006 ± 0.006 0.001 ± 0.095 

2-73
Table 2-15. Polycyclic aromatic hydrocarbons identified in 

extracts of diesel particles from LD diesel engine exhaust 

Compound Molec. 

wt. 

Concentration 

ng/mg extract 

Acenaphthylene 152 30 

Trimethylnaphthalene 170 140–200 

Fluorene 166 100–168 

Dimethylbiphenyl 182 30–91 

C4 -Naphthalene 184 285–351 

Trimethylbiphenyl 196 50 

Dibenzothiophene 184 129–246 

Phenanthrene 178 2,186–4,883 

Anthracene 178 155–356 

Methyldibenzothiophene 198 520–772 

Methylphenanthrene 192 2,028–2,768 

Methylanthracene 192 517–1,522 

Ethylphenanthrene 206 388–464 

4H-Cyclopenta[def]phenanthrene 190 517–1,033 

Ethyldibenzothiophene 212 151–179 

2-Phenylnaphthalene 204 650–1,336 

Dimethyl(phenanthrene/anthracene) 206 1,298–2,354 

Fluoranthene 202 3,399–7,321 

Benzo[def]dibenzothiophene 208 254–333 

Benzacenaphthylene 202 791–1,643 

Pyrene 202 3,532–8,002 

Ethylmethyl 

(phenanthrene/anthracene) 

220 590–717 

Methyl(fluoranthene/pyrene) 216 1,548–2,412 

Benzo[a]fluorene/benzo[b]fluorene 216 541–990 

Benzo[b]naphtho[2,1-d]thiophene 234 30–53 

Cyclopentapyrene 226 869–1,671 

Benzo[ghi]fluoranthene 226 217–418 

Benzonaphthothiophene 234 30–126 

Benz[a]anthracene 228 463–1,076 

Chrysene or triphenylene 228 657–1,529 

1,2-Binapthyl 254 30–50 

Methylbenz[a]anthracene 242 30–50 

3-Methylchrysene 242 50–192 

Phenyl(phenanthrene/anthracene) 254 210–559 

Benzo[j]fluoranthene 252 492–1,367 

Benzo[b]fluoranthene 252 421–1,090 

Benzo[k]fluoranthene 252 91–289 

Benzo[e]pyrene 252 487–946 

Benzo[a]pyrene 252 208–558 

Benzo[ah]anthracene 278 50–96 

Indeno[1,2,3-[cd]pyrene 276 30–93 

Benzo[ghi]perylene 276 443–1,050 

Dibenzopyrene 302 136–254 

Source: Tong et al., 1984.

2-74
Table 2-16. Emission rates of particle-bound PAH (μg/mi) from diesel and gasoline engines 

PAH Diesel engines Gasoline engines 

HDD LDD Noncatalyst Catalyst 

(a) (b) (c) (a) (d) (c) (e) (a) (c) 

Pyrene 71 17.6 36.2 245 66 49.6 45 248 4.0 

Fluoranthene 44 27.2 20.8 213 50 77.3 32 196 3.6 

Benzo[a]pyrene 13 <0.1 2.1 13 NA 69.6 3.2 1.0 3.0 

Benzo[e]pyrene 10 0.24 4.2 19 NA 73.3 4.8 1.0 3.6 

(a) Watson et al., 1998 included gas-phase PAH .

(b) Westerholm et al., 1991.

(c) Rogge et al., 1993.

(d) Smith, 1989; 1986 Mercedes Benz.

(e) Alsberg et al., 1985.

3-nitrobenzanthrone, reported recently) in μg/g of particles. Concentrations for some of the 

nitro-PAHs identified range from 0.3 μg/g for 1,3-dinitropyrene to 8.6 μg/g for 2,7-dinitro-9-

fluorenone and 75 μg/g for 1-nitropyrene. More recent nitro-PAH and PAH data for HD diesel 

engines are reported in units of g/bhp-hr or mass/volume of exhaust, making it impossible to 

directly compare them to the older data (Norbeck et al., 1998b; Bagley et al., 1996, 1998; 

Baumgard and Johnson, 1992; Opris et al., 1993; Hansen et al., 1994; Harvey et al., 1994; 

Kantola et al., 1992; Kreso et al., 1998; McClure et al., 1992; Pataky et al., 1994). 

2.2.8.2.3. PAH and nitro-PAH emission changes over time. It is difficult to compare PAH 

emissions from different studies because not all investigators analyze for total PAH or the same 

suite of PAH compounds. Most studies have reported emissions of B[a]P or 1-nitropyrene (1-

NP) because of their toxicological activity. The results of chassis dynamometer studies in which 

B[a]P or 1-NP were measured are displayed in Figure 2-37. Dietzmann and co-workers (1980) 

examined four vehicles equipped with late 1970s turbocharged DI engines. Emissions of B[a]P 

from particle extracts ranged from 1.5 to 9 μg/mi. No relationship between engine technology 

(one of the engines was two-stroke) and B[a]P emissions was observed. Rogge and co-workers 

(1993) reported total particle-associated PAH and B[a]P emissions from two 1987 model year 

trucks (averaged together, four-stroke and turbocharged engines). The total particle-phase PAH 

emission rate was 0.43 mg/mi and the B[a]P emission rate was 2.7 μg/mi. Particle-phase PAH in 

the Rogge et al. (1993) study accounted for approximately 0.5% of total DPM mass. Schauer 

and co-workers (1999) recently reported a particle-phase PAH emission rate of 1.9 mg/mi 

(accounting for about 0.7% of total DPM mass) for a 1995 MD turbocharged and aftercooled 

truck. B[a]P emissions were not reported, but emissions of individual species of similar 

2-75
Table 2-17. Concentrations of nitro-PAHs identified in LD diesel 

particulate extracts 

Nitro-PAHa Concentration 

(μg/g of 

particles) 

4-nitrobiphenyl 2.2 

2-nitrofluorene ~1.8 

2-nitroanthracene 4.4 

9-nitroanthracene 1.2 

9-nitrophenanthrene 1.0 

3-nitrophenanthrene 4.1 

2-methyl-l-nitroanthracene 8.3 

1-nitrofluoranthene 1.8 

7-nitrofluoranthene 0.7 

3-nitrofluoranthene 4.4 

8-nitrofluoranthene 0.8 

1-nitropyrene 18.9; 75b 

6-nitrobenzo[a]pyrene 2.5 

1,3-dinitropyreneb 0.30 

1,6-dinitropyreneb 0.40 

1,8-dinitropyreneb 0.53 

2,7-dinitrofluorenec 4.2; 6.0 

2,7-dinitro-9-fluorenonec 8.6; 3.0 

3-nitrobenzanthroned 0.6 to 6.6 a

From Campbell and Lee (1984) unless noted otherwise. Concentrations recalculated from μg/g of

extract to μg/g of particles using a value of 44% for extractable material (w/w). b

From Paputa-Peck et al, 1983. c

From Schuetzle, 1983. d

From Enya et al., 1997 (Isuzu Model 6HEL 7127cc).

2-76
14 

12 

10 

8 

6 

4 

2 

0 

Benzo(a)pyrene 

1-Nitropyrene 

1975 1980 1985 1990 1995 2000 

Engine Model Year 

Figure 2-37. Diesel engine emissions of benzo[a]pyrene and 1-nitropyrene measured in 

chassis dynamometer studies. 

Source: Schuetzle and Perez, 1983; Zielinska et al., 1988; Kado et al., 1996; Dietzmann et al., 1980; Warner-Selph 

and Dietzmann, 1984; Rogge et al., 1993; Schauer et al., 1999. 

molecular weight were approximately 10 μg/mi. Schauer et al. (1999) also reported a gas-phase 

PAH emission rate of 6.9 mg/mi for the same truck. Measurements of particle- and gas-phase 

PAHs conducted for the Northern Front Range Air Quality Study in Colorado (Zielinska et al., 

1998) showed an average B[a]P emission rate of 13 μg/mi for 15 vehicles ranging from 1983 to 

1993 model years. The combined gas- and particle-phase PAH emission rate reported for the 

NFRAQS study was 13.5 mg/mi. B[a]P emissions from chassis studies are summarized in 

Figure 2-37. Zielinska (1999) reports a decreasing trend in particle-associated DE PAH from 11 

measurements made on vehicles from model year 1984 to 1993 with a low correlation coefficient 

of 0.29. 

B[a]P emissions reported from diesel engine dynamometer studies are summarized in 

Figure 2-38. Springer (1979) compared B[a]P emissions from naturally aspirated and 

turbocharged engines and found that naturally aspirated engines emitted about 1 μg B[a]P/bhphr, and DI and IDI engines emitted about 0.15 μg B[a]P/bhp-hr (Table 2-8). The difference 

between 1 and 0.15 μg/bhp-hr could not be attributed to specific technology changes. The 

majority of engine test data indicate that B[a]P emissions have generally ranged from 

approximately 1 to 4 μg/bhp-hr over the past 25 years. 1-NP or B(a)P E

mission, ug/mi 

2-77
Emissions reported for 1-NP from diesel engines tested by chassis dynamometer range 

from 0.1 to 12 μg/mi (Figure 2-37), and diesel engine dynamometer studies report 1-NP 

emission factors ranging from 1 to 4 μg/bhp-hr (Figure 2-38). Too few measurements are 

available to discern trends in the emission rates of these compounds. 

30 

Benzo(a)pyrene or 1-Nitropyrene E

mission, ug/bhp-h 

25 

20 

15 

10 

5 

Transient Test B(a)P 

Steady-State Test B(a)P 

Transient Test 1-NP 

Steady-State Test 1-NP 

0 

1970 1975 1980 1985 1990 1995 2000 

Engine Model Year 

Figure 2-38. Diesel engine dynamometer measurements of benzo[a]pyrene and 1-

nitropyrene emissions from HD diesel engines. 

Source: Data are from Table 2-8. 

As discussed in Section 2.2.4, Williams et al. (1987) and Andrews et al. (1998) of the 

University of Leeds have demonstrated that the solvent-extractable PAH from diesel particulate 

originates primarily in the fuel. PAH molecules are relatively refractory, so a significant fraction 

survives the combustion process and is exhausted as DPM. These studies have been confirmed 

by other research groups (Crebelli et al., 1995; Tancell et al., 1995) that included the use of 

isotopic labeling of fuel PAH. Additionally, engine oil was found to be a reservoir for PAH that 

originates in the fuel. Pyrosynthesis of PAH occurs during very high temperature conditions in a 

diesel engine, and under these conditions many of the DPM and other pyrolysis products are 

ultimately oxidized before exiting the cylinder. Thus, pyrogenic formation of PAH is thought to 

contribute a small fraction of the total PAH in diesel engine exhaust. As discussed above, fuel 

2-78 
PAH content is expected to have slowly increased over a 30-year period until 1993, after which 

PAH content of diesel fuel is expected to have remained constant. Increasing use of catalytic 

cracking over time may lead to increasing proportions of PAH in distillates; however, fuel 

standards limit the aromaticity of fuel to 35% (Section 2.2.4). 

Recently, Norbeck et al. (1998a) reported on the effect of fuel aromatic content on PAH 

emissions. Three diesel fuels were used in a Cummins L10 engine: pre-1993 fuel containing 

33% aromatic HC and 8% PAH; low aromatic fuel containing a maximum content of 10% 

aromatic HC and maximum of 1.4% PAH; and a reformulated fuel containing 20% to 25% 

aromatic HC and 2% to 5% PAH. The investigators found that emission rates for the lowmolecular-weight PAHs (PAHs with three or fewer rings) were significantly lower when the 

engine was tested using the low aromatic fuel compared to when the engine was run on the pre1993 or reformulated fuel (Table 2-18). Although emission rates reported for several higher 

molecular weight (particle-associated) PAHs were lower (ranging from 4% to 28% lower) for 

the low aromatic fuel compared with the other two fuels, the differences were not statistically 

significant except for coronene. 

On the basis of these limited data it is difficult to draw a precise, quantitative conclusion 

regarding how PAH, B[a]P, or 1-NP emissions have changed over time and in response to fuel 

and engine changes. A decrease in the emissions of PAH from post-1990 model year vehicles 

and engines compared with pre-1990 vehicles and engines is suggested by the data; however, the 

data also suggest that differences in a vehicle’s engine type and make, general engine condition, 

fuel composition, and test conditions can influence the emission levels of PAH. 

2.2.8.3. Particle Size 

Figure 2-39 shows a generic size distribution for diesel particulate based on mass and 

particle number. Approximately 50% to 90% of the number of particles in DE are in the 

ultrafine size range (nuclei-mode), with the majority of diesel particles ranging in size from 

0.005-0.05 μm and the mode at about 0.02 μm. These aerosol particles are formed from exhaust 

constituents and consist of sulfuric acid droplets, ash particles, condensed organic material, and 

primary carbon spherules (Abdul-Khalek et al., 1998; Baumgard and Johnson, 1996). Although 

it accounts for the majority of particles, ultrafine DPM accounts for only 1% to 20% of the mass 

of DPM. 

Approximately 80% to 95% of diesel particle mass is in the size range from 0.05 to 1.0 

μm, with a mean particle diameter of about 0.2 μm. The EC core has a high specific surface area 

of approximately 30 to 50 m2/g (Frey and Corn, 1967), and Pierson and Brachaczek (1976) 

report 

that after the extraction of adsorbed organic material, the surface area of the diesel particle core 

2-79
Table 2-18. Average emission rates for polycyclic aromatic hydrocarbons for different fuel 

types (units are μg/bhp-hr) 

PAH Pre-1993 diesel 

fuel 

Cetane No. >40 

Aromatic 33% v. 

PAH 8% wt. 

Low aromatic 

diesel fuel 

Cetane No. >48 

Aromatic 10% v. 

PAH 1.4% wt. 

Reformulated diesel 

blend 

Cetane No. 50-55 

Aromatic 20%-25% v. 

PAH 2%-5% wt. 

2,3,5-trimethyl naphthalene 283.68 ± 5.27 14.77 ± 2.42 56.21 ± 2.82 

Phenanthrene 336.71 ± 9.08 160.92 ± 15.54 220.73 ± 52.68 

Anthracene 38.89 ± 1.43 18.54 ± 2.13 26.16 ± 6.86 

Methylphenanthrenes/anthracenes 331.32 ± 16.07 25.17 ± 1.41 111.98 ± 28.74 

Fluoranthene 128.45 ± 7.60 132.36 ± 18.30 123.07 ± 26.21 

Pyrene 193.03 ± 16.51 211.19 ± 37.35 206.82 ± 39.04 

Benzo[c]phenanthrene 3.03 ± 0.24 1.74 ± 0.14 1.54 ± 0.26 

Benzo[ghi]fluoranthene 24.84 ± 2.68 18.93 ± 2.14 16.94 ± 2.31 

Cyclopenta[cd]pyrene 21.44 ± 4.11 26.15 ± 3.12 21.25 ± 3.46 

Benz[a]anthracene 16.42 ± 1.67 10.57 ± 1.15 10.96 ± 2.42 

Chrysene + triphenylene 17.36 ± 1.66 10.38 ± 0.54 12.20 ± 2.72 

Benzo[b+j+k]fluoranthene 31.05 ± 4.17 23.17 ± 1.98 29.18 ± 7.93 

Benzo[e]pyrene 16.71 ± 2.72 14.55 ± 1.34 18.99 ± 5.58 

Benzo[a]pyrene 20.46 ± 3.27 16.48 ± 1.56 20.59 ± 5.75 

Perylene 4.32 ± 0.88 3.71 ± 0.74 4.18 ± 1.16 

Indeno[1,2,3-cd]fluoranthene 0.34 ± 0.07 0.21 ± 0.02 0.17 ± 0.00 

Benzo[c]chrysene 0.29 ± 0.05 0.18 ± 0.05 0.14 ± 0.04 

Dibenz[a,h]anthracene 0.93 ± 0.05 0.55 ± 0.10 0.67 ± 0.09 

Indeno[1,2,3-cd]pyrene 19.45 ± 2.71 14.04 ± 1.99 22.16 ± 9.11 

Dibenz[a,h+a,c]anthracene 1.54 ± 0.15 0.87 ± 0.12 1.48 ± 0.67 

Benzo[b]chrysene 0.40 ± 0.01 0.15 ± 0.05 0.27 ± 0.05 

Benzo[ghi]perylene 49.17 ± 9.63 39.81 ± 7.22 60.74 ± 26.60 

Coronene 9.49 ± 3.13 4.93 ± 0.47 7.48 ± 1.59 

Dibenzo[a,l]pyrene 2.84 ± 0.45 1.25 ± 0.15 2.31 ± 0.48 

Dibenzo[a,e]pyrene 1.10 ± 0.29 0.61 ± 0.06 1.13 ± 0.15 

Dibenzo[a,i]pyrene 0.91 ± 0.21 0.27 ± 0.09 0.71 ± 0.15 

Dibenzo[a,h]pyrene 1.33 ± 0.25 0.75 ± 0.07 0.84 ± 0.20 

Source: Norbeck et al., 1998a. 

2-80
Figure 2-39. Particle size distribution in DE. 

Source: Kittelson, 1998. 

is approximately 90 m2/g. Because these particles have a very large surface area per gram of 

mass, it makes them excellent carriers for adsorbed inorganic and organic compounds; 

potentially enhancing penetration of such compounds to lower portions of the respiratory tract 

upon inhalation. In addition, ultrafine aerosols can also reach the same areas of the lung. 

Considerable caution is required when reporting particle size measurements from diesel 

engine exhaust because dilution conditions during the measurement process significantly affect 

size distributions (i.e., the size distribution is largely a function of how it was measured), and 

DPM size distributions obtained in dilution tunnel systems may not be relevant to size 

distributions resulting from the physical transformation of engine exhaust in the atmosphere. 

Measurements made on diluted DE typically show higher numbers of nuclei-mode particles than 

do measurements made on raw exhaust because of condensation to form nuclei-mode aerosol 

upon cooling of the exhaust. To understand particle size distributions emitted from diesel 

engines, investigators employ various dilution techniques, none of which have been 

standardized. Dilution ratio, sampling temperature, humidity, relative concentrations of carbon 

and volatile matter, and other sampling factors can therefore have a large impact on the number 

and makeup of nuclei-mode particles (Abdul-Khalek et al., 1999; Shi and Harrison, 1999; Lüders 

2-81
et al., 1998; Brown et al., 2000). Dilution air temperature and humidity can have a large effect 

on particle number and size distribution, especially in the size range below 0.05 μm (also 

referred to as nanoparticles). Shi and Harrison (1999) report that a high dilution ratio and high 

relative humidity favor the production of ultrafine particles in diesel engine exhaust. 

Abdul-Khalek et al. (1998) report that an increase in the residence time of the exhaust during 

dilution resulted in an increase in the number of particles in exhaust. Khatri et al. (1978) report 

increased gas-phase HC condensation to DPM with a decrease in dilution air temperature. Some 

studies report no peak in diesel particles in the ultrafine size range (Kleeman et al., 2000). 

Kittelson (2000) reports that nanoparticle formation can be prevented by an oxidizing catalyst, 

which burns organic components of the exhaust, making them unavailable for nucleation or 

condensation to form an aerosol. 

Experiments conducted in a dilution tunnel represent the atmospheric behavior of DE 

only under the conditions specific to the dilution tunnel and do not represent the full range of 

atmospheric conditions. Gertler (1999) demonstrated an increase in 0.02 μm particles as the 

fraction of diesel vehicles in the Tuscarora Mountain tunnel increased from 13% to 78%. These 

data suggest that the mode at 0.02 μm for ultrafine DPM from DE is evidenced under some 

real-world conditions. 

Several groups have shown that decreasing sulfur content decreases the number of 

nuclei-mode particles measured in the exhaust, assuming temperature is low enough and 

residence time is long enough for nucleation and condensation of sulfate aerosol and water in the 

dilution tunnel (Baumgard and Johnson, 1992, 1996; Opris et al., 1993; Abdul-Khalek et al., 

1999). The application of this finding to real-world conditions is difficult to predict, as the 

number of nuclei-mode particles formed from sulfate and water in the atmosphere will be 

determined by atmospheric conditions, not by dilution tunnel conditions. With all other factors 

held constant, it appears that reducing fuel sulfur content reduces the number of sulfate nucleimode particles. Thus, the reduction in on-road fuel sulfur content that occurred in 1993 reduced 

the amount of sulfur dioxide and sulfate available for particle formation. As discussed above, 

the contribution of sulfate to total DPM mass ranges from 1% to 5% and is therefore not a 

substantial portion of DPM mass. 

More controversial is the suggestion that the DPM emission size distribution from newer 

technology engines (1991 and later) may be shifted to a much higher number concentration of 

nuclei-mode particles, independent of fuel sulfur content (Kreso et al., 1998; Abdul-Khalek 

et al., 1998; Baumgard and Johnson, 1996; Bagley et al., 1996). For example, Kreso and coworkers (1998) compared emissions from a 1995 model year engine with measurements made on 

1991 and 1988 model year engines in earlier studies (Bagley et al., 1993, 1996). Nuclei-mode 

particles made up 40% to 60% of the number fraction of DPM emissions for the 1988 engine and 

2-82
97%+ of the DPM from the 1991 and 1995 engines. Number concentrations were roughly two 

orders of magnitude higher for the newer engines. SOF made up 25% to 30% of DPM mass in 

the 1988 engine and 40% to 80% of DPM mass for the newer engines. Total DPM mass was 

significantly reduced for the newer engines. It was suggested that increased fuel injection 

pressure leads to improved fuel atomization and evaporation, in turn leading to smaller primary 

carbonaceous particles. Dilution conditions (relatively low temperature, low primary dilution 

ratio, long residence time of more than 3 seconds) strongly favor the formation of nucleation 

products. The 1991 and 1988 engines were tested with 100 ppm sulfur fuel whereas the 1995 

engine was tested with 310 ppm sulfur fuel, which may confound the results to some extent. 

The results of Kreso and co-workers (1998) and of Bagley and co-workers (1993, 1996) 

have been called into question because the high level of SOF emitted by the 1991 engine, 

particularly at high-load test modes, was inconsistent with SOF values measured for other 

engines using similar types of technology (Last et al., 1995; Ullman et al., 1995). Kittelson 

(1998) notes that there is far less carbonaceous DPM formed in newer engines compared with 

older engines. Accumulation-mode particles may have provided a high surface area for 

adsorption of sulfate and unburned organic compounds. In the absence of this surface area for 

adsorption, higher number concentrations of small particles are formed from nucleation of HCs 

and sulfuric acid. 

A study performed at EPA by Pagan (1999) suggested that increased injection pressure 

can lead to the formation of more nuclei-mode particles in the exhaust. Particle size distributions 

were measured for diluted exhaust from an engine in which injection pressure could be varied 

from roughly 35 to 110 MPa (about 5,000–16,000 psi), comparable to pressures obtained with 

injection technology introduced in the 1980s. The dilution system and particle size measurement 

setup were identical in all experiments, removing some of the uncertainty in earlier studies that 

compared engine tests performed years apart. The results showed a clear increase in the number 

of nuclei-mode particles and a decrease in the number of accumulation-mode particles as 

injection pressure was increased. This shift did not occur, however, at high engine speeds and 

loads, but only at low to intermediate speeds and loads. The increase in number concentration of 

nuclei-mode particles was much lower than the two orders of magnitude increase reported by 

Kreso et al. (1998) or Bagley et al. (1996). One must use caution in applying the results of 

Pagan to modern high-injection pressure diesel engines with turbocharging/charge-air cooling 

because the engine used by Pagan was a naturally aspirated engine to which high-pressure 

common rail injection was applied. This would likely preclude this particular engine from 

meeting current on-highway PM or NOx standards. Although some studies have suggested that 

increased injection pressure can lead to elevated ultrafine DPM number counts, Kittelson et al. 

2-83
(1999) cite a German study that reported a decrease in ultrafine DPM number and mass with 

increasing injection pressure. 

Although the majority of particles in DE from modern on-road diesel engines are in the 

ultrafine size range, evidence regarding a change in the size distribution over time is unclear. To 

understand the size distribution of DPM to which people are exposed will require measurements 

under conditions that more closely resemble ambient conditions. 

2.3. ATMOSPHERIC TRANSFORMATION OF DIESEL EXHAUST 

Primary diesel emissions are a complex mixture containing hundreds of organic and 

inorganic constituents in the gas and particle phases, the most abundant of which are listed in 

Table 2-19. The more reactive compounds with short atmospheric lifetimes will undergo rapid 

transformation in the presence of the appropriate reactants, whereas more stable pollutants can 

be transported over greater distances. A knowledge of the atmospheric transformations of 

gaseous and particulate components of diesel emissions and their fate is important in assessing 

environmental exposures and risks. This section describes some of the major atmospheric 

transformation processes for gas-phase and particle-phase DE, focusing on the primary and 

secondary organic compounds that are of significance for human health. For a more 

comprehensive summary of the atmospheric transport and transformation of diesel emissions, 

see Winer and Busby (1995). 

2.3.1. Gas-Phase Diesel Exhaust 

Gas-phase DE contains organic and inorganic compounds that undergo various chemical 

and physical transformations in the atmosphere, depending on the abundance of reactants and 

meteorological factors such as wind speed and direction, solar radiation, humidity, temperature, 

and precipitation. Gaseous DE will react primarily with the following species (Atkinson, 1988): 

• Sunlight, during daylight hours 

• Hydroxyl (OH) radical, during daylight hours 

• Ozone (O3), during daytime and nighttime 

• Hydroperoxyl (HO2) radical, typically during afternoon/evening hours 

• Gaseous nitrate (NO3) radicals or dinitrogen pentoxide (N2O5), during nighttime 

hours 

• Gaseous nitric acid (HNO3) and other species such as nitrous acid (HONO) and 

sulfuric acid (H2SO4). 

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Table 2-19. Classes of compounds in diesel exhaust 

Particulate phase Gas phase 

Heterocyclics, hydrocarbons (C14-C35), and 

PAHs and derivatives: 

Acids Cycloalkanes 

Alcohols Esters 

Alkanoic acids Halogenated cmpds. 

n-Alkanes Ketones 

Anhydrides Nitrated cmpds. 

Aromatic acids Sulfonates 

Quinones 

Heterocyclics, hydrocarbons (C1-C10), and 

derivatives: 

Acids Cycloalkanes, Cycloakenes 

Aldehydes Dicarbonyls 

Alkanoic acids Ethyne 

n-Alkanes Halogenated cmpds. 

n-Alkenes Ketones 

Anhydrides Nitrated cmpds. 

Aromatic acids Sulfonates 

Quinones 

Elemental carbon Acrolein 

Inorganic sulfates and nitrates Ammonia 

Metals Carbon dioxide, carbon monoxide 

Water Benzene 

1,3-Butadiene 

Formaldehyde 

Formic acid 

Hydrogen cyanide, hydrogen sulfide 

Methane, methanol 

Nitric and nitrous acids 

Nitrogen oxides, nitrous oxide 

Sulfur dioxide 

Toluene 

Water 

Sources: Mauderly, 1992, which summarized the work of Lies et al., 1986; Schuetzle and Frazier, 

1986; Carey, 1987; Zaebst et al., 1988, updated from recent work by Johnson, 1993; McDonald, 

1997; Schauer et al., 1999. 

The major loss process for most of the DE emission constituents is oxidation, which 

occurs primarily by daytime reaction with OH radical (Table 2-20). For some pollutants, 

photolysis, reaction with O3, and reactions with NO3 radicals during nighttime hours are also 

important removal processes. The atmospheric lifetimes do not take into consideration the 

potential chemical or biological importance of the products of these various reactions. For 

example, the reaction of gas-phase PAHs with NO3 appears to be of minor significance as a PAH 

loss process, but it is more important as a route of formation of mutagenic nitro-PAHs. The 

reaction products for some of the major gaseous DE compounds are listed in Table 2-21 and are 

discussed briefly below. 

2.3.1.1. Organic Compounds 

The organic fraction of diesel is a complex mixture of compounds, very few of which 

have been characterized. The atmospheric chemistry of several organic constituents of DE 

(which are also produced by other combustion sources) has been studied. A few of these 

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Table 2-20. Calculated atmospheric lifetimes for gas-phase reactions of selected 

compounds present in automotive emissions with important reactive species 

Compound Atmospheric lifetime resulting from reaction with: 

OHa O3 

b NO3 c HO2 d hve 

NO2 1.3 days 12 h 24 min 2 h 2 min 

NO 2.5 days 1 min 1.2 min 20 min — 

HNO3 110 days — — — — 

SO2 16 days >200 years >1.4×104

 years >600 years — 

NH3 90 days — — — — 

Propane 12 days >7,000 years — — — 

n-Butane 5.6 days >4,500 years 3.6 years — — 

n-Octane 1.9 days — 1.2 years — — 

Ethylene 1.9 days 9 days 1.2 years — — 

Propylene 7 h 1.5 days 6 days — — 

Acetylene 19 days 6 years >5.6 years — — 

Formaldehyde 1.9 days >2 - 104 years 84 days 23 days 4 h 

Acetaldehyde 0.6 day >7 years 20 days — 60 h 

Benzaldehyde 1.2 days — 24 days — — 

Acrolein 0.6 day 60 days — — — 

Formic acid 31 days — — — — 

Benzene 11 days 600 years >6.4 years — — 

Toluene 2.5 days 300 years 3.6 years — — 

m-Xylene 7 h 75 years 0.8 years — — 

Phenol 6 h — 8 min — — 

Naphthalenef 6.8 h >80 days 1.5 years — — 

2-Methylnaphthalenef 2.8 h >40 days 180 days — 

1-Nitronaphthalenef 2.3 days >28 days 1 8 years 1.7 h 

Acenaphthenef 1.5 h >30 days 1.2 h — — 

Acenaphthylenef 1.3 h ~43 min 6 min — — 

Phenanthrenef 11.2 h 41 days 4.6 h — — 

Anthracenef 8.6 h — — — — 

Fluoranthenef ~2.9 h — ~1 year — — 

Pyrenef ~2.9 h — ~ 120 days — — 

a

 For 12-h average concentration of OH radical of 1.6×106 molecule/cm3 (Prinn et al., 1992). b

 For 24-h average O3 concentration of 7×1011 molecule/cm3. c

 For 12-h average NO3 concentration of 5×108 molecule/cm3 (Atkinson, 1991). d

 For 12-h average HO2 concentration of 108 molecule/cm3. e

 For solar zenith angle of 0E. f

 Lifetimes from Arey (1998), for 12-h concentration of OH radical of 1.9×106 molecule/cm3.

Source: Winer and Busby, 1995, unless noted otherwise. 

2-86
Table 2-21. Major components of gas-phase diesel engine emissions, their 

known atmospheric transformation products, and the biological impact of the 

reactants and products 

Gas-phase emission 

component 

Atmospheric reaction 

products 

Biological impact 

Carbon dioxide — Major contributor to global 

warming. 

Carbon monoxide — Highly toxic to humans; blocks 

oxygen uptake. 

Oxides of nitrogen Nitric acid, ozone Nitrogen dioxide is a respiratory 

tract irritant and major ozone 

precursor. Nitric acid contributes to 

acid rain. 

Sulfur dioxide Sulfuric acid Respiratory tract irritation. 

Contributor to acid rain. 

Hydrocarbons: 

Alkanes (#C18) Aldehydes, alkyl nitrates, 

ketones 

Respiratory tract irritation. Reaction 

products are ozone precursors (in the 

presence of NOx). 

Alkenes (#C4) 

(e.g., 1,3-butadiene) 

Aldehydes, ketones Respiratory tract irritation. Some 

alkenes are mutagenic and 

carcinogenic. Reaction products are 

ozone precursors (in the presence of 

NOx). 

Aldehydes: 

Formaldehyde Carbon monoxide, 

hydroperoxyl radicals 

Formaldehyde is a probable human 

carcinogen and an ozone precursor 

(in the presence of NOx). 

Higher aldehydes (e.g., 

acetaldehyde, acrolein) 

Peroxyacyl nitrates Respiratory tract and eye irritation; 

causes plant damage. 

Monocyclic aromatic 

compounds (e.g., benzene, 

toluene) 

Hydroxylated and 

hydroxylated-nitro derivativesa 

Benzene is toxic and carcinogenic in 

humans. Some reaction products are 

mutagenic in bacteria (Ames assay). 

PAHs (#4 rings) (e.g., 

phenanthrene, fluoranthene)b 

Nitro-PAHs (4 rings)c Some of these PAHs and nitroPAHs are known mutagens and 

carcinogens. 

Nitro-PAHs (2 and 3 rings) 

(e.g., nitronaphthalenes) 

Quinones and hydroxylatednitro derivatives Some reaction products are 

mutagenic in bacteria (Ames assay). 

a

Some reaction products expected to partition into the particle phase. b

Nitro-PAHs with more than two rings will partition into the particle phase. c

PAHs containing four rings are usually present in both the vapor and particle phases.

Source: Health Effects Institute, 1995. 

2-87
 2.3.1.1. Organic Compounds 

The organic fraction of diesel is a complex mixture of compounds, very few of which 

have been characterized. The atmospheric chemistry of several organic constituents of DE 

(which are also produced by other combustion sources) has been studied. A few of these 

reactions and their products are discussed below. For a complete summary of the atmospheric 

chemistry of organic combustion products, see Seinfeld and Pandis (1998). 

Acetaldehyde forms peroxyacetyl nitrate (via formation of peroxyl radicals and reaction 

with NO2), which has been shown to be a direct-acting mutagen toward S. typhimurium strain 

TA100 (Kleindienst et al., 1985) and is phytotoxic. Benzaldehyde, the simplest aromatic 

aldehyde, forms peroxybenzoyl nitrate or nitrophenols following reaction with oxides of nitrogen 

(Table 2-21). 

For those PAHs present in the gas phase, reaction with the OH radical is the major 

removal route, leading to atmospheric lifetimes of a few hours in daylight. The gas-phase 

reaction of PAHs containing a cyclopenta-fused ring such as acenaphthene, acenaphthylene, and 

acephenanthrylene with the nitrate radical may be an important loss process during nighttime 

hours. Relatively few data are available concerning the products of these gas-phase reactions. It 

has been shown that in the presence of NOx, the OH radical reactions with naphthalene, 1- and 2-

methylnaphthalene, acenaphthylene, biphenyl, fluoranthene, pyrene, and acephenanthrylene lead 

to the formation of nitroarenes (Arey et al., 1986; Atkinson, 1986; Atkinson et al., 1990; 

Zielinska et al., 1988, 1989a; Arey, 1998). In addition, in a two-step process involving OH 

radical reaction and NO2 addition, 2-nitrofluoranthene and 2-nitropyrene can be formed and 

eventually partition to the particle phase, as will other nitro-PAHs. 

The addition of the NO3 radical to the PAH aromatic ring leads to nitroarene formation 

(Sweetman et al., 1986; Atkinson et al., 1987, 1990; Zielinska et al., 1989a). The gas-phase 

reactions of NO3 radical with naphthalene, 1- and 2-methylnaphthalene, acenaphthene, 

phenanthrene, anthracene, fluoranthene, and pyrene produce, in general, the same nitro-PAH 

isomers as the OH radical reaction, but with different yields (Arey et al., 1989; Sweetman et al., 

1986; Atkinson et al., 1987, 1990; Zielinska et al., 1986, 1989a). For example, the same 2-

nitrofluoranthene is produced from both OH radical and NO3 gas-phase reactions, but the 

reaction with NO3 produces a much higher yield. The production of several nitroarene 

compounds has been studied in environmental chambers (Arey et al., 1989; Zielinska et al., 

1990; Atkinson and Arey, 1994; Arey, 1998; Feilberg et al., 1999), and generally the same nitroPAH isomers formed from reaction with OH and NO3 radicals are observed in ambient air 

samples. Secondary formation of nitroarenes through the gas-phase reactions of the 2-, 3-, and 

4-ring PAHs is the major source for many of the nitroarenes observed in ambient air (Pitts et al., 

1985a-c; Arey et al., 1986; Zielinska et al., 1988). Photolysis is the major removal pathway for 

2-88
nitroarenes with lifetimes of approximately 2 hours (Feilberg et al., 1999; Nielsen and Ramdahl, 

1986). 

2.3.1.2. Inorganic Compounds 

SO2 and oxides of nitrogen (primarily NO) are emitted from diesel engines. SO2 is 

readily oxidized by the OH radical in the atmosphere, followed by formation of the HO2 radical 

and HSO3, which rapidly reacts with water to form H2SO4 aerosols. Because SO2 is soluble in 

water, it is scavenged by fog, cloud water, and raindrops. In aqueous systems, SO2 is readily 

oxidized to sulfate by reaction with hydrogen peroxide (H2O2), O3, or O2 in the presence of a 

metal catalyst (Calvert and Stockwell, 1983). Sulfur emitted from diesel engines is 

predominantly (~98%) in the form of SO2, a portion of which will form sulfate aerosols by the 

reaction described above. Nonroad equipment, which typically uses fuel containing 3,300 ppm 

sulfate, emits more SO2 than on-road diesel engines, which use fuels currently containing an 

average of 340 ppm sulfur because of EPA regulations effective in 1993 decreasing diesel fuel 

sulfur levels. EPA estimates that mobile sources are responsible for about 7% of nationwide SO2 

emissions, with diesel engines contributing 74% of the mobile source total (the majority of the 

diesel SO2 emissions originate from nonroad engines) (U.S. EPA, 1998b). 

NO is also oxidized in the atmosphere to form NO2 and particulate nitrate. The fraction 

of motor vehicle NOx exhaust converted to particulate nitrate in a 24-hour period has been 

calculated using a box model to be approximately 3.5% nationwide, a portion of which can be 

attributed to DE (Gray and Kuklin, 1996). EPA estimates that in 1997, mobile sources were 

responsible for about 50% of nationwide NOx emissions, with diesel engines being responsible 

for approximately one-half of the mobile source total (U.S. EPA, 1998b). 

2.3.1.3. Atmospheric Transport of Gas-Phase DE 

Gas-phase DE can be dry deposited, depending on the deposition surface, atmospheric 

stability, and the solubility and other chemical properties of the compound. Dry deposition of 

organic species is typically on the order of weeks to months, with dry deposition velocities of 

approximately 10-4 cm/sec (Winer and Busby, 1995). In contrast, inorganic species such as SO2 

and nitric acid have relatively fast deposition rates (0.1–2.5 cm/sec) and will remain in the 

atmosphere for shorter time periods compared with the organic exhaust components. Some gasphase species will also be scavenged by aqueous aerosols and potentially deposited via 

precipitation. These processes can greatly reduce the atmospheric concentration of some vaporphase species. Atmospheric lifetimes for several gas-phase components of DE are on the order 

of hours or days, during which time atmospheric turbulence and advection can disperse these 

pollutants widely. 

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2.3.2. Particle-Phase Diesel Exhaust 

Particle-associated DE is composed of primarily carbonaceous material (organic and EC) 

with a very small fraction composed of inorganic compounds and metals. The OC fraction 

adsorbed on DPM is composed of high-molecular-weight compounds, such as PAHs, which are 

generally more resistant to atmospheric reactions than PAHs in the gas phase. The EC 

component of DE is inert to atmospheric degradation, whereas the PAH compounds are 

degraded by reaction with the following species: 

• Sunlight, during daytime hours 

• O3, during daytime and nighttime 

• NO3 and N2O5, during nighttime hours 

• OH and HO2 

• NO2, during nighttime and daytime hours 

• H2O2 

• HNO3 and other species such as HONO and H2SO4. 

Because many of the PAH derivatives formed by reaction with some of the reactants 

listed above have been found to be highly mutagenic, a brief discussion of PAH photolysis, 

nitration, and oxidation follows. Some of the major degradation products from particulate DE 

and their biological impact are listed in Table 2-22. 

2.3.2.1. Particle-Associated PAH Photooxidation 

Laboratory studies of photolysis of PAHs adsorbed on 18 different fly ashes, carbon 

black, silica gel, and alumina (Behymer and Hites, 1985, 1988) and several coal stack ashes 

(Yokely et al., 1986; Dunstan et al., 1989) have shown that the extent of photodegradation of 

PAHs depends very much on the nature of the substrate to which they are adsorbed. The 

dominant factor in the stabilization of PAHs adsorbed on fly ash was the color of the fly ash, 

which is related to the amount of carbon black present. It appears that PAHs were stabilized if 

the carbon black content of the fly ash was greater than approximately 5%. On black substrates, 

half-lives of PAHs studied were on the order of several days (Behymer and Hites, 1988). The 

environmental chamber studies of Kamens et al. (1988) on the daytime decay of PAHs present 

on residential wood smoke particles and on gasoline internal combustion emission 

particles showed PAH half-lives of approximately 1 hour at moderate humidities and 

temperatures. At very low angle sunlight, very low water vapor concentration, or very low 

temperatures, PAH daytime half-lives increased to a period of days. The presence and 

2-90
Table 2-22. Major components of particle-phase diesel engine emissions, 

their known atmospheric transformation products, and the biological impact 

of the reactants and products 

Particle-phase emission 

component 

Atmospheric reaction 

products 

Biological impact 

Elemental carbon — Nuclei adsorb organic compounds; 

size permits transport deep into the 

lungs (alveoli) 

Inorganic sulfate and 

nitrate 

— Respiratory tract irritation 

Hydrocarbons (C14-C35) Little information; 

possibly aldehydes, ketones, 

and alkyl nitrates 

Unknown 

PAHs ($4 rings) (e.g., 

pyrene, benzo[a]pyrene) 

Nitro-PAHs ($4 rings)a 

Nitro-PAH lactones 

Larger PAHs are major contributors 

of carcinogens in combustion 

emissions. Many nitro-PAHs are 

potent mutagens and carcinogens. 

Nitro-PAHs ($3 rings) 

(e.g., nitropyrenes) 

Hydroxylated-nitro derivatives Many nitro-PAHs are potent 

mutagens and carcinogens. Some 

reaction products are mutagenic in 

bacteria (Ames assay). 

a

Nitro-PAHs with more than two rings will partition into the particle phase. 

Source: Health Effects Institute, 1995. 

composition of an organic layer on the aerosol seems to influence the rate of PAH photolysis 

(Jang and McDow, 1995; McDow et al., 1994; Odum et al., 1994). 

Because of limited understanding of the mechanisms of these complex heterogeneous 

reactions, it is currently impossible to draw any firm conclusion concerning the photostability of 

particle-bound PAHs in the atmosphere. Because DPM contains a relatively high quantity of 

EC, it is reasonable to speculate that PAHs adsorbed onto these particles might be relatively 

stable under standard atmospheric conditions, leading to an anticipated half-life of 1 or more 

days. 

2.3.2.2. Particle-Associated PAH Nitration 

Since 1978, when Pitts et al. (1978) first demonstrated that B[a]P deposited on glassfiber filters exposed to air containing 0.25 ppm NO2 with traces of HNO3 formed nitro-B[a]P, 

numerous studies of the heterogeneous nitration reactions of PAHs adsorbed on a variety of 

substrates in different simulated atmospheres have been carried out (Finlayson-Pitts and Pitts, 

1986). PAHs deposited on glass-fiber and Teflon-impregnated glass-fiber filters react with 

gaseous N2O5, yielding their nitro derivatives (Pitts et al., 1985b,c). The most abundant isomers 

formed were 1-NP from pyrene, 6-nitro-B[a]P from B[a]P, and 3-nitroperylene from perylene. 

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The formation of nitro-PAHs during sampling may be an important consideration for 

DPM collection because of the presence of NO2 and HNO3 (Feilberg et al., 1999). However, 

Schuetzle (1983) concluded that the artifact formation of 1-NP was less than 10% to 20% of the 

1-NP present in the diesel particles if the sampling time was less than 23 min (one FTP cycle) 

and if the sampling temperature was not higher than 43 oC. The formation of nitroarenes during 

ambient high-volume sampling conditions has been reported to be minimal, at least for the most 

abundant nitropyrene and nitrofluoranthene isomers (Arey et al., 1988). 

DPM contains a variety of nitroarenes, with 1-NP being the most abundant among 

identified nitro-PAHs. The concentration of 1-NP was measured in the extract of particulate 

samples collected at the Allegheny Mountain Tunnel on the Pennsylvania Turnpike as 2.1 ppm 

and ~5 ppm by mass of the extractable material from diesel and SI vehicle PM, respectively. 

These values are much lower than would be predicted on the basis of laboratory measurements 

for either diesel or SI engines (Gorse et al., 1983). Several nitroarene measurements have been 

conducted in airsheds heavily affected by motor vehicle emissions (Arey et al., 1987; Atkinson 

et al., 1988; Zielinska et al., 1989a,b; Ciccioli et al., 1989, 1993). Ambient PM samples were 

collected at three sites in the Los Angeles Basin during two summertime periods and one 

wintertime period. Concentrations of 1-NP ranged from 3 pg/m3

, to 60 pg/m3, and 3-

nitrofluoranthene was also present in DPM at concentrations ranging from not detectable to 70 

pg/m3. 

2.3.2.3. Particle-Associated PAH Ozonolysis 

Numerous laboratory studies have shown that PAHs deposited on combustion-generated 

fine particles and on model substrates undergo reaction with O3 (Katz et al., 1979; Pitts et al., 

1980, 1986; Van Vaeck and Van Cauwenberghe, 1984; Finlayson-Pitts and Pitts, 1986). The 

dark reaction toward O3 of several PAHs deposited on model substrates has been shown to be 

relatively fast under simulated atmospheric conditions (Katz et al., 1979; Pitts et al., 1980, 1986). 

Half-lives on the order of 1 to several hours were reported for the more reactive PAHs, such as 

B[a]P, anthracene, and benz[a]anthracene (Katz et al., 1979). 

The reaction of PAHs deposited on diesel particles with 1.5 ppm O3 under high-volume 

sampling conditions has been shown to be relatively fast, and half-lives on the order of 0.5 to 1 

hour have been reported for most PAHs studied (Van Vaeck and Van Cauwenberghe, 1984). 

The most reactive PAHs include B[a]P, perylene, benz[a]anthracene, cyclopenta[cd]pyrene, and 

benzo[ghi]perylene. The benzofluoranthene isomers are the least reactive of the PAHs studied, 

and benzo[e]perylene is less reactive than its isomer B[a]P. The implications of this study for 

the high-volume sampling ambient POM are important: reaction of PAHs with O3 could 

possibly occur under high-volume sampling conditions during severe photochemical smog 

2-92
episodes, when the ambient level of O3 is high. However, the magnitude of this artifact is 

difficult to assess from available data. 

2.3.2.4. Atmospheric Transport of DE Particulate Matter 

Ultrafine particles emitted by diesel engines undergo nucleation, coagulation, and 

condensation to form fine particles. DPM can be removed from the atmosphere by dry and wet 

deposition. Particles of small diameter (<1 μm), such as DPM, are removed less efficiently than 

larger particles by wet and dry deposition and thus have longer atmospheric residence times. 

Dry deposition rates vary depending on the particle size. Because of their small size, DE 

particles have residence times of several days (dry deposition velocities of approximately 0.01 

cm/sec) (Winer and Busby, 1995). Diesel particulates may be removed by wet deposition if they 

serve as condensation nuclei for water vapor deposition or are scavenged by precipitation in- or 

below-cloud. 

In a study designed to assess the atmospheric concentrations and transport of DE 

particles, Horvath et al. (1988) doped the sole source of diesel fuel in Vienna with an 

organometallic compound of the heavy earth element dysprosium. The authors found that in 

some of the more remote sampling areas, DPM composed more than 30% of the particulate 

mass, indicating that DPM can be dispersed widely. 

2.3.3. Diesel Exhaust Aging 

Primary DE is considered “fresh,” whereas “aged” DE is considered to have undergone 

chemical and physical transformation and dispersion over a period of a day or two. Laboratory 

dilution tunnel measurements represent a homogeneous environment compared to the complex 

and dynamic system into which real-world DE is emitted. The physical and chemical 

transformation of DE will vary depending on the environment into which it is emitted. In an 

urban or industrial environment, DE may enter an atmosphere with high concentrations of 

oxidizing and nitrating radicals, as well as nondiesel organic and inorganic compounds that may 

influence the toxicity, chemical stability, and atmospheric residence time. 

In general, secondary pollutants formed in an aged aerosol mass are more oxidized, and 

therefore have increased polarity and water solubility (Finlayson-Pitts and Pitts, 1986). Kamens 

et al. (1988) reported that photooxidation of particle-bound PAH is enhanced as relative 

humidity is increased. Weingartner et al. (1997a) and Dua et al. (1999) have reported that unlike 

many other types of particles, diesel particles do not appear to undergo hygroscopic growth once 

emitted to the atmosphere and may even shrink in size to some extent under increasing relative 

humidity conditions. Weingartner et al. (1997a) evaluated the hygroscopic growth of diesel 

particles and found that freshly emitted diesel particles demonstrated minimal hygroscopic 

2-93
growth (2.5%), whereas aged particles subjected to UV radiation and ozonolysis exhibited 

somewhat greater but still minimal hygroscopic growth. An increase in the sulfur content of 

diesel fuel has also been observed to result in somewhat greater water condensation onto diesel 

particles. To the extent that DE components are oxidized or nitrated in the atmosphere, they may 

be removed at rates different from their precursor compounds and may exhibit different 

biological reactivities. Data suggesting that minimal hygroscopic growth of DPM occurs also 

has implications for the dosimetry of these particles in the lung because the smaller particles will 

reach the lowest airways of the lung, whereas growth of the particle would result in deposition in 

the upper airways. The dosimetry of DPM is discussed in Chapter 3. 

In a recent experiment, the biological activity of DPM exposed to 0.1 ppm ozone for 48 

hours was compared with that of DPM not exposed to ozone (Ghio et al., 2000). Instillations of 

the ozonated DPM in rat lung resulted in an increase in biological activity (neutrophil influx, 

increased protein, and lactate dehydrogenase activity) compared with DPM that had not been 

treated with ozone. These data suggest that ambient levels of ozone can alter DPM constituents 

causing an increase in toxicity compared with nonozonated DPM. 

In addition to changes in particle composition with aging, particle size distributions may 

vary depending on aggregation and coagulation phenomena in the aging process. People in 

vehicles, near roadways (e.g., cyclists, pedestrians, people in nearby buildings), and on 

motorcycles will be exposed to more fresh exhaust than the general population. In some settings 

where emissions are entrained for long periods through meteorological or other factors, 

exposures would be expected to include both fresh and aged DE. The complexities of transport 

and dispersion of emission arising from motor vehicles have been the subject of extensive 

modeling and experimental studies over the past decades and have been summarized by 

Sampson (1988); exposures to DPM are discussed in the next section of this chapter. 

The major organic constituents of DE and their potential degradation pathways described 

above provide evidence for (1) direct emission of PAHs, (2) secondary formation of nitroarenes, 

and (3) secondary sulfate and nitrate formation. Because nitro-PAH products are often more 

mutagenic than their precursors, the formation, transport, and concentrations of these compounds 

in an aged aerosol mass are of significant interest. 

2.4. AMBIENT DIESEL EXHAUST CONCENTRATIONS AND EXPOSURES 

2.4.1. Diesel Exhaust Gases in the Ambient Atmosphere 

Although emissions of several DE components have been measured, few studies have 

attempted to elucidate the contribution of diesel-powered engines to atmospheric concentrations 

of these components. The emission profile of gaseous organic compounds is different for diesel 

and SI vehicles; the low-molecular-weight aromatic HCs and alkanes (<C9) are more 

2-94
characteristic of SI engine emissions, whereas the heavier alkanes (>C10) and aromatic HCs 

(such as naphthalene, methyl- and dimethyl- naphthalenes, methyl- and dimethyl-indans) are 

more characteristic of diesel engine emissions. These differences were the basis for 

apportionment of gasoline- and diesel-powered vehicle emissions to ambient nonmethane 

hydrocarbon (NMHC) concentrations in the Boston and Los Angeles (South Coast Air Basin) 

urban areas. 

The chemical mass balance receptor model (described below) was applied to ambient 

samples collected in these areas, along with appropriate fuel, stationary, and area source profiles 

(Fujita et al., 1997). The average of the sum of NMHC attributed to DE, gasoline-vehicle 

exhaust, liquid gasoline, and gasoline vapor was 73% and 76% for Boston and the South Coast 

Air Basin (SoCAB), respectively. The average source contributions of DE to NMHC 

concentrations were 22% and 13% for Boston and the SoCAB, respectively. Diesel vehicles 

emit lower levels of NMHC in the exhaust compared with gasoline vehicles. The relative 

contribution of DE clearly depends on several factors, including fleet composition, sampling 

location (e.g., near a bus station vs. near a highway or other sources), and the contribution from 

point and area sources. The contribution of DE to ambient NMHC showed large variations 

among sampling sites in the Boston area. The source apportionment in the Fujita et al. (1997) 

study indicates that mobile vehicle-related emissions account for the majority of ambient NMHC 

in the two urban areas studied, and the results can likely be extrapolated to other urban areas 

with similar source compositions. Other source apportionment methods such as those used by 

Henry et al. (1994) have been applied to speciated HC data to separate the mobile source direct 

emission from gasoline evaporative emissions. This method uses a combination of graphical 

analysis (Graphical Ratio Analysis for Composition Estimates, GRACE) and multivariate 

receptor modeling methods (Source Apportionment by Factors with Explicit Restrictions, 

SAFER) and was not used to identify the diesel engine contribution to the HCs measured. 

2.4.2. Ambient Concentrations of DPM 

Because DPM is chemically complex, an assessment of ambient DPM concentrations 

relies primarily on (1) studies that collect ambient samples and adequately characterize their 

chemical composition, or (2) modeling studies that attempt to recreate emissions and 

atmospheric conditions. Ambient concentrations of DPM also have been reported from studies 

using surrogate species. The results of these studies are summarized below. Studies conducted 

in Europe and Japan were reviewed, but for the most part were not included because of questions 

surrounding the applicability of measurements in locations that use different diesel technology 

and control measures from those in the United States. 

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2.4.2.1. Source Apportionment Studies 

Receptor models are used to infer the types and relative contributions of sources to 

pollutant measurements made at a receptor site. Receptor models assume that the mass is 

conserved between the source and receptor site and that the measured mass of each pollutant is a 

sum of the contributions from each source. Receptor models are referred to as “top-down” in 

contrast to “bottom-up” methods, which use emission inventory data, activity patterns, and 

dispersion modeling from the source to predict concentrations at a receptor site. 

The most commonly used receptor model for quantifying concentrations of DPM at a 

receptor site is the chemical mass balance (CMB) model. Input to the CMB model includes 

measurements of PM mass and chemistry made at the receptor site as well as measurements 

made of each of the source types suspected to impact the site. Because of problems involving 

the elemental similarity between diesel and gasoline emission profiles and their co-emission in 

time and space, chemical molecular species that provide markers for separation of these sources 

have been identified (Lowenthal et al., 1992). Recent advances in chemical analytical 

techniques have facilitated the development of sophisticated molecular source profiles, including 

detailed speciation of PM-associated organic compounds that allow the apportionment of PM to 

gasoline and diesel sources with increased confidence. CMB analysis that uses speciation of 

organic compounds in the source profiles is typically referred to as extended species CMB. 

Older studies that made use of only EC, total OC, trace elements, and major ions in the source 

profiles (conventional CMB) have been published and are summarized here, but they are subject 

to more uncertainty. It should be noted that because receptor modeling is based on the 

application of source profiles to ambient measurements, estimates of DPM concentration 

generated by this method include the contribution from on-road and nonroad sources to the 

extent the source profiles are similar (which would include military sources depending on the 

sampling locations and fleet composition). In addition, this method identifies sources of primary 

emissions of DPM only, and the contribution of secondary aerosols is not attributed to sources. 

The CMB model has been used to assess concentrations of DPM in areas of California, 

Phoenix, Denver, and Manhattan (Table 2-23). DPM concentrations reported by Schauer et al. 

(1996) for samples collected in California in 1982 ranged from 4.4 μg/m3

 in west Los Angeles to 

11.6 μg/m3

 in downtown Los Angeles. The average contribution of DPM to total PM2.5 mass 

ranged from 13% in Rubidoux to 36% in downtown Los Angeles. As mentioned above, this 

model accounts for primary emissions of DPM only; the contribution of secondary aerosol 

formation (both acid and organic aerosols) is not included. In sites downwind from urban areas, 

such as Rubidoux in this study, secondary nitrate formation can account for a substantial fraction 

of the mass (25% of the fine mass measured in Rubidoux was attributed to secondary nitrate), a 

portion of which comes from DE (Gray and Kuklin, 1996). 

2-96
Table 2-23. Ambient DPM concentrations reported from chemical mass balance modeling 

Reference Location Year of sampling Location type 

Diesel PM2.5 

Fg/m3 mean, 

(range) 

Avera

DPM % 

total P

(rang

Schauer et al., 1996 West LA, CA 1982, annual average (~60 

samples at each site) 

Urban 4.4 18 

Pasadena, CA Urban 5.3 19 Rubidoux, CA Urban 5.4 13 Los Angeles, CA Urban 11.6 36 

Chow et al., 1991 West Phoenix, AZ 1989-90, winter 

11 days at each site 

Urban 13 (max. 22) 18 

C 

entral Phoenix, AZ Urban 13 (max. 16) 20 

South Scottsdale, AZ Urban 10 (max. 12) 17 Estrella Park, AZ Nonurban 5 9 Gunnery Park, AZ Nonurban 3 10 Pinnacle Peak, AZ Nonurban 2 12 

b 

California EPA, 1998a California, 6 air basins 1988-92, annual Urbanc 1.8–3.6a 

b 

California, 9 air basins Nonurbanc 0.2–2.6a 

Wittorff et al., 1994 Manhattan, NY 1993, spring 3 days Urban 29.2(13.2–46.7)a 53 (31–

Maricopa Association of 

Governments, 1999 

Phoenix, AZ 1994–95, winter 12 days Urban 2.4 (0–5.3) 15 (0–

Fujita et al., 1998 Welby, CO 1996–97, winter 60 days Urban 1.7 (0–7.3) 10 (0–

Brighton, CO Suburban 1.2 (0–3.4) 10 (0–

2-97

aPM10.bNot available.cUrban air basins are qualitatively defined as those areas that are moderately or largely urbanized, and nonurban air basins are those are

nonurban, but may have one or more densely populated areas.Abbreviations: EC: Elemental carbon; OCT: OC total; OCS: OC species; MI: Major ions including nitrate, sulfate, chloride and, in som

sodium, potassium.
The California Environmental Protection Agency (Cal EPA) reported ambient DPM 

concentrations for 15 air basins in California based on ambient measurements taken statewide 

from 1988 to 1992 (Cal EPA, 1998a). Cal EPA used CMB analysis of ambient measurements 

from the San Joaquin Valley (1988-89), South Coast (1986), and San Jose (winters for 1991–92 

and 1992–93) to determine mobile source contributions and then applied the California 1990 

PM10 emissions inventory to determine the fraction of mobile source PM10 attributable to diesel 

emissions. The results of this analysis indicate that annual average basin-wide levels of direct 

DPM may be as low as 0.2 μg/m3 and may range up to 2.6 μg/m3 for basins that are largely 

nonurban but may have one or more densely populated areas (such as Palm Springs in the Salton 

Sea basin). DPM concentrations for air basins that are moderately or largely urbanized ranged 

from 1.8 μg/m3 to 3.6 μg/m3. 

Two studies using CMB analysis that report DPM concentrations have been conducted in 

the Phoenix area. A wintertime study in 1989–90 reported DPM concentrations for nonurban 

areas ranging from 2 μg/m3

 to 5 μg/m3 and DPM concentrations for central and south Phoenix 

urban areas ranging from 10 μg/m3 to 13 μg/m3 (Chow et al., 1991). Chow et al. (1991) reported 

that DPM levels on single days can range up to 22 μg/m3

 at the central Phoenix site. A more 

recent study conducted from November 1994 through March 1995 reported DPM concentrations 

for Phoenix averaging 2.4 μg/m3 and reaching 5.3 μg/m3 (Maricopa Association of Governments, 

1999). The extended species CMB was used for this study, providing a more confident 

identification of DPM separate from gasoline PM emissions than the earlier Phoenix study. 

DPM accounted for an average 15% of ambient PM2.5, and gasoline PM accounted for an 

average of 52% of ambient PM2.5 in the 1994–95 Phoenix study. 

In a recently published study designed to investigate the ability of a new type of factor 

analysis, positive matrix factorization, to separate sources contributing to the urban aerosol in 

Phoenix, Ramadan et al. (2000) report their success in separating the DE PM from other motor 

vehicle PM. Fine PM samples were collected by two different types of samplers in Phoenix, one 

set collected from March 1995 through June 1998 and a second set from June 1996 through June 

1998. Elemental and OC were analyzed using TOT. Particles of DE origin were identified by 

their high EC content in addition to specific trace elements, including manganese, sulfur, and 

iron. DPM concentrations exceeding 5 μg/m3

 were reported for winter months during the study 

period. The investigators concluded that motor vehicles, vegetative burning, and HD DE were 

the three major sources contributing to ambient fine PM in Phoenix, with higher contributions in 

the winter than in summer. 

During the winter of 1997, a study assessed DPM concentrations at two urban sites in the 

Denver area (Fujita et al., 1998). The Northern Front Range Air Quality Study (NFRAQS), 

initiated to assess the sources of the “brown cloud” observed along Colorado’s Front Range, 

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conducted air quality sampling during the winter of 1996, summer of 1996, and winter of 1997. 

For a 60-day period from December 1996 through January 1997, ambient samples collected at 

two urban Denver sites were analyzed for OC species for use in the extended-species CMB. The 

average DPM concentrations reported for the urban site at Welby, CO, and the suburban site at 

Brighton, CO, were 1.7 μg/m3

 and 1.2 μg/m3, respectively. During the study period, DPM 

concentrations exceeded 5 μg/m3 on two occasions in Welby, with reported DPM concentrations 

of 5.7 μg/m3 and 7.3 μg/m3. DPM accounted for an average of 10% of ambient PM2.5, and 

gasoline PM accounted for an average of 27% of ambient PM2.5. 

One of the major claims from the NFRAQS was a substantial contribution of EC from 

gasoline-powered vehicles, mainly from cold-start and high-emitting vehicles. At the Welby 

site, the contribution of diesel and gasoline emissions to EC measurements was 52% and 42%, 

respectively. At the Brighton site, the contribution of diesel and gasoline emissions to EC 

measurements was 71% and 26%, respectively. The findings from the NFRAQS are compelling 

and suggest the need for further investigations to quantify the contribution from cold-start and 

high-emitting vehicle emissions for both gasoline and diesel vehicles. Geographical, temporal, 

and other site-specific parameters that influence PM concentrations, such as altitude, must be 

considered when extrapolating the NFRAQS findings to other locations. 

In addition to the need for urban and rural average DPM concentrations, an assessment of 

potential health effects resulting from DPM exposure includes an assessment of people in 

environments with potentially elevated levels of DPM. Limited data are available to allow a 

characterization of DPM concentrations in “hotspots” such as near heavily traveled roadways, 

bus stations, train stations, and marinas. Only one CMB study has attempted to apportion PM 

measured in an urban hotspot. Wittorff et al. (1994) reported results of conventional CMB 

performed on PM samples collected in the spring of 1993 over a 3-day period at a site adjacent 

to a major bus stop on Madison Avenue in midtown Manhattan. Buses in this area idle for as 

long as 10 minutes, and PM emissions are augmented by the elevated levels of DPM emitted 

during acceleration away from the bus stop (discussed in Section 2.2.5). DPM concentrations 

reported from this study ranged from 13.0 μg/m3

 to 46.7 μg/m3. This study attributed, on 

average, 53% of the PM10 to DE. The DPM concentrations resulting from the source 

apportionment method used in this study require some caution because the CMB model 

overpredicted PM10 concentrations by an average 30%, which suggests that additional sources of 

the mass were not accounted for in the model. The relevance of the Manhattan bus stop 

concentrations and potential exposure for large urban populations provide strong motivation for 

further studies in the vicinity of such hotspots. 

In summary, source apportionment studies of ambient samples collected before 1990 

suggest that seasonal and annual average DPM concentrations for nonurban areas ranged from 2 

2-99
μg/m3

 to 5 μg/m3. DPM concentrations reported from CMB studies for urban areas in the pre1990 timeframe ranged from 4.4 μg/m3

 to 13 μg/m3, with concentrations on individual days 

ranging up to 22 μg/m3

. Source apportionment applied to ambient measurements taken in 1990 

or later suggest that seasonal or annual average DPM levels in suburban/nonurban locations can 

range from 0.2 μg/m3

 to 2.6 μg/m3, with maximum reported values ranging up to 3.4 μg/m3. 

DPM concentrations reported from CMB studies in urban areas during 1990 or later range from 

1.7 μg/m3 to 3.6 μg/m3, with maximum concentrations up to 7.3 μg/m3. The highest DPM 

concentrations reported from CMB analysis of ambient measurements were those in the vicinity 

of a bus stop in midtown Manhattan, which ranged from 13.2 μg/m3 to 46.7 μg/m3. 

2.4.2.2. EC Surrogate for DPM 

EC is a major component of DE, contributing approximately 50% to 85% of diesel 

particulate mass, depending on engine technology, fuel type, duty cycle, engine lubrication oil 

consumption, and state of engine maintenance (Graboski et al., 1998b; Zaebst et al., 1991; 

Pierson and Brachaczek, 1983; Warner-Selph and Dietzmann, 1984). In urban ambient 

environments, DE is one of the major contributors to EC, with other potential sources including 

spark-engine exhaust; combustion of coal, oil, or wood; charbroiling; cigarette smoke; and road 

dust. Although cold-start emissions from gasoline combustion vehicles were reported to be an 

important source of EC in wintertime samples collected in two cities in the Denver area (Fujita et 

al., 1998), it is currently unclear to what extent these results are transferable to other locations. It 

is noteworthy that the EC content of the cold-start emissions from gasoline combustion vehicles 

was lower than that from diesel combustion engines in the same study by almost a factor of 2. 

Fowler (1985) evaluated several components of DE and concluded that EC is the most 

reliable overall measure of ambient DE exposure. Because of the large portion of EC in DPM, 

and the fact that DE is one of the major contributors to EC in many ambient environments, DPM 

concentrations can be bounded using EC measurements. Surrogate calculations of DPM have 

been based on the fraction of ambient EC measured in a sample that is attributable to diesel 

engine exhaust and the fraction of the diesel particle mass accounted for by EC. In the recent 

Multiple Air Toxics Exposure Study in the South Coast Air Basin (MATES-II, SCAQMD, 

2000), EC measurements were used to estimate DPM concentrations by the following 

relationship: approximately 67% of fine EC in the ambient air in the Los Angeles area originates 

from diesel engine exhaust (Gray, 1986), and the average EC fraction of diesel particles 

measured was 64%. Therefore, in the MATES-II study, the South Coast Air Quality 

Management District calculated DPM concentrations from EC measurements by multiplying a 

measured EC concentration by 67% and dividing by the fraction of DPM mass accounted for by 

EC of 64%, for example, DPM concentration = (EC * 0.67)/0.64, or DPM = EC * 1.04 (not 

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appreciably different from EC.DPM). This calculation, used in the MATES-II study, relies on 

data collected in the 1982 timeframe and may not accurately represent the current day 

contributions of diesel engines to the ambient EC inventory. Using a 1998 emissions inventory 

for the South Coast Air Basin, it is now estimated that a more appropriate conversion from EC to 

DPM is to multiply EC by 1.24 (MATES-II, SCAQMD, 2000). 

An alternative calculation can be derived using data from recent studies in Colorado and 

Arizona (Fujita et al., 1998; Maricopa Association of Governments, 1999). The fraction of EC 

attributable to DE can be estimated from detailed source profiles applied to a CMB model as 

discussed above. The contribution of diesel engines to EC averaged 68% ± 20% for Brighton, 

CO, and 49% ± 26% at Welby, CO, as part of the winter 1996-1997 NFRAQS. In Phoenix, 

diesel engine exhaust was estimated to account for approximately 46% ± 22% of the ambient 

EC. For some environments, such as certain occupational settings in which diesel engines are in 

proximity to workers, all the EC may realistically be attributed to DE as a reasonable upper 

bound estimate of DPM concentrations. 

As discussed in Section 2.2, the EC content of DPM can vary widely depending on 

engine type, load conditions, and the test cycle. However, typical profiles for HD and LD diesel 

engines have been determined and the typical EC fraction of DPM ranges from approximately 

52% to 75%. 

Ambient EC attributed to DE in the studies described above ranges from 46% to 68%. A 

lower-bound estimate of DPM from ambient EC measurements in areas with similar source 

contributions to those in the Phoenix and Denver areas can be derived using the equation: 

DPM = (EC * 0.46)/0.75 or DPM = EC * 0.62 

An upper-bound estimate uses the equation: 

DPM = (EC * 0.68)/0.52 or DPM = EC * 1.31 

Using the average of the ranges provides the equation: 

DPM = EC * 0.89. 

Clearly the choice of a point estimate can provide a surrogate calculation of DPM that 

can vary by at least a factor of two. Although a recommended surrogate DPM calculation 

method is not provided here, the surrogate DPM calculation is used to illustrate the usefulness of 

2-101
this approach for estimating DPM in the absence of a more sophisticated receptor modeling 

analysis for locations where fine PM EC concentrations are available. 

One source of variability in EC concentrations reported for ambient studies is the 

measurement method used to quantify EC. As discussed in Section 2.2.8.1, EC and OC are 

operationally defined. Ambient samples are typically analyzed for EC using thermal optical 

reflectance or thermal optical transmittance. The measurement technique used in the NFRAQS 

and Phoenix studies was TOR, which, as discussed in Section 2.2.8.2, often results in higher EC 

levels compared to TOT analyses. 

Table 2-24 provides a lower- and upper-bound DPM estimate from annual average EC 

concentrations for three urban areas, in addition to DPM concentrations reported from EC 

measurements for the MATES- II (SCAQMD, 2000). Under an EPA research grant with the 

Northeastern States for Coordinated Air Use Management (NESCAUM), PM2.5 samples were 

collected every 6 days for 1 year (1995) in Boston (Kenmore Square), MA, and Rochester, NY, 

and were analyzed for EC using TOT (Salmon et al., 1997). DPM concentrations were estimated 

to be in the range from 0.8 μg/m3

 to 1.7 μg/m3 in Boston, and from 0.4 μg/m3 to 0.8 μg/m3 in 

Rochester (Table 2-24). 

Table 2-24. Ambient diesel particulate matter concentrations from elemental 

carbon measurements in urban locations 

Reference Year of 

sampling Location 

DPM2.5 

Fg/m3 lower-upper bound 

range (point estimate)a 

DPM % 

of total 

PM 

Salmon et al., 1997 1995, annual Boston, MA 0.8–1.7 (1.1) 6-12 

Rochester, NY 0.4-0.8 (0.5) 3-6 

Sisler, 1996 1992-1995, 

annual 

Washington, DC 0.9-2.2 (1.5) 4-12 

MATES II c Diesel PM2.5 

Fg/m3 

avg± std dev. 

South Coast 

Air Quality 

Management 

District, 1999 

1995-6, annual Anaheim, CA 2.4 ± 1.8 b 

Burbank, CA 3.3 ± 1.9 b 

Los Angeles, CA 3.5 ± 1.9 b 

Fontanta, CA 3.4 ± 2.3 b 

Huntington Park, CA 4.5 ± 2.4 b 

Long Beach, CA 2.5 ± 1.7 b 

Pico Rivera, CA 4.4 ± 2.2 b 

Rubidoux, CA 3.4 ± 2.0 b 

a

 Lower-bound range: DPM=EC*0.62; upper-bound range: DPM=EC*1.31; point estimate: DPM=EC*0.89. b

 Not available. c

The Multiple Air Toxics Exposure Study in the South Coast Air Basin reported DPM calculated from EC

concentrations as DPM=EC*1.04. Standard deviations are reported.

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The Interagency Monitoring of Protected Visual Environments (IMPROVE) project 

being conducted by the National Park Service includes an extensive aerosol monitoring network 

mainly in rural or remote areas of the country (national parks, national monuments, wilderness 

areas, national wildlife refuges, and national seashores), and also in Washington, DC (Sisler, 

1996). PM2.5 samples, collected from March 1992 through February 1995 twice weekly for 24-

hour duration at 43 sites (some co-located in the same rural park area), were analyzed for a suite 

of chemical constituents, including EC (using TOR). EC concentrations in these rural locations 

may have EC source contributions quite different from those in the urban areas in which the 

fraction of EC attributable to DE has been reported. The lack of information regarding EC 

sources in these rural locations makes the application of the EC surrogate highly uncertain. It is 

noteworthy that annual average EC concentrations in the rural and remote regions reported as 

part of the IMPROVE network range from 0.1 μg/m3 for Denali National Park, AK, to 0.9 μg/m3 

for the Lake Tahoe, CA, area. In Washington, DC, the annual average EC concentration of 1.7 

μg/m3 is estimated as an annual average DPM concentration of 1.4 μg/m3. 

The annual average EC measurements in Washington, DC, suggest that the DPM 

concentrations are in the range from 1.0 μg/m3

 to 2.2 μg/m3, accounting for 5% to 12% of 

ambient PM2.5. Seasonally averaged data for the Washington, DC, site indicate that EC 

concentrations and, by extension, DPM concentrations peak in the autumn and winter (2.0 μg/m3 

and 0.9 μg/m3 EC, respectively). 

DPM concentrations reported recently as part of the MATES-II study at eight locations 

ranged from 2.4 μg/m3

 to 4.5 μg/m3. DPM concentrations at Huntington Park and Pico Rivera, 

CA, were higher than other DPM concentrations in the South Coast Air Basin, perhaps because 

of higher diesel truck traffic, proximity to nonroad diesel sources, or nondiesel sources of EC, 

including gasoline vehicle traffic. 

In a recent study of the trends in fine particle and EC concentrations in Southern 

California, Christoforou et al. (2000) report that EC concentrations measured in 1993 were 29%-

40% of EC concentrations measured in 1982 at four urban Los Angeles sites. The authors credit 

lower PM emission rates from on-road diesel engines as well as cleaner-burning diesel fuel for 

the observed EC decrease. The extent to which nonroad diesel equipment impacts a given site 

will influence the trend in ambient EC concentrations because fewer regulations have been 

promulgated to control the PM emissions from these engines. 

2.4.2.3. Dispersion Modeling Results 

Dispersion models estimate ambient levels of PM at a receptor site on the basis of 

emission factors for the relevant sources and parameters that simulate atmospheric processes 

such as the advection, mixing, deposition, and chemical transformation of compounds as they are 

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transported from the source to the receptor site(s). Cass and Gray (1995), Gray and Cass (1998), 

and Kleeman and Cass (1998) have applied dispersion models to the South Coast Air Basin to 

estimate DPM concentrations. The models used by these investigators applied emission factors 

from 1982 and consequently are representative of concentrations prior to the implementation of 

DPM emission controls. In addition to offering another approach for estimating ambient DPM 

concentrations, dispersion models can provide the ability to distinguish on-highway from 

nonroad diesel source contributions and have presented an approach for quantifying the 

concentrations of secondary aerosols from DE. 

Cass and Gray (1995) used a Lagrangian particle-in-cell model to estimate the source 

contributions to atmospheric fine carbon particle concentrations in the Los Angeles area, 

including diesel emission factors from on-highway and off-highway sources. Their dispersion 

model indicates that for 1982, the annual average ambient concentrations of DPM ranged from 

1.9 μg/m3

 in Azusa, CA, to 5.6 μg/m3 in downtown Los Angeles (Table 2-25). The contribution 

of on-highway sources to DPM ranged from 63.3% in downtown Los Angeles to 89% in west 

Los Angeles. Of the on-highway diesel contribution, the model predicted that for southern 

California, HD trucks made up the majority (85%) of the DPM inventory, and overall they 

contributed 66% of the DPM in the ambient air. Nonroad sources of DE include pumping 

stations, construction sites, shipping docks, railroad yards, and heavy equipment repair facilities. 

Cass and Gray (1995) also report that wintertime peaks in DPM concentrations can reach 10 

μg/m3. 

Table 2-25. Ambient diesel particulate matter concentrations from dispersion modeling 

Reference Location Year of sampling Location type 

DPM2.5 

g/m3 (mean) 

DPM % of 

total PM 

Cass and Gray, 

1995 

Azusa, CA 1982, annual Nonurban 1.4a 5 

Lennox, CA 1982, annual Nonurban 3.8a 13 

Anaheim, CA 1982, annual Urban 2.7a 12 

Pasadena, CA 1982, annual Urban 2.0a 7 

Long Beach, CA 1982, annual Urban 3.5a 13 

Downtown LA, CA 1982, annual Urban 3.5a 11 

West LA, CA 1982, annual Urban 3.8a 16 

Kleeman and Cass, 

1998 

Claremont, CA 18-19 Aug 1987 Nonurban 2.4 (4.0)a,b 8 (6)b 

Kleeman et al., 

2000 

Long Beach, CA 24 Sept 1996 Urban 1.9(2.6)b 8 (7)b 

Fullerton, CA 24 Sept 1996 Nonurban 2.4(3.9)b 9 (8)b 

Riverside, CA 25 Sept 1996 Suburban 4.4(13.3)b 12 (13)b 

a

 On-road diesel vehicles only; all other values are for on-road plus nonroad diesel emissions. b

 Value in parentheses includes secondary DPM (nitrate, ammonium, sulfate and hydrocarbons) attributable to atmospheric reactions of primary

diesel emissions of NOx, SO2 and hydrocarbons. For the fraction of ambient PM attributable to DPM, the value in parenthesis reports total DPM

(primary plus secondary) as a fraction of total ambient PM (primary plus secondary).

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Kleeman and Cass (1998) developed a Lagrangian model that examines the size and 

chemical evolution of aerosols, including gas-to-particle conversion processes during transport. 

This model was applied to one well-characterized episode in Claremont, CA, on August 27-28, 

1987. The model provided reasonable predictions of PM10 (overpredicting PM10 by 13%), EC, 

and OC, and it adequately reconstructed the size distribution of the aerosols. The model 

indicated that on August 27-28, 1987, the PM2.5 concentration was 76.7 μg/m3, 13.2% (10.1 

μg/m3) of which was attributable to diesel engine emissions. This estimate includes secondary 

aerosol formation for sulfate, ammonium, nitrate, and organic compounds, which accounted for 

4.9 μg/m3 of the total estimated DPM mass. The secondary organic aerosol was estimated to be 

1.1 μg/m3

, or 31% of the total secondary aerosol mass, with the remainder composed of nitrate, 

ammonium, and sulfate aerosols. 

Dispersion modeling estimates of diesel PM concentrations from on-highway and 

nonroad sources have recently been developed as part of the EPA National Air Toxics 

Assessment (NATA) National Scale Assessment. This assessment uses the Assessment System 

for Population Exposure Nationwide (ASPEN) dispersion model to estimate ambient 

concentrations for the year 1996. The NATA national scale assessment reports concentrations of 

DPM and 32 additional urban air toxic compounds at the county, State, and national level 

(NATA, 2001). 

ASPEN makes a number of simplifying assumptions in order to model concentrations on 

a nationwide scale. For instance, concentration estimates at the census tract level were estimated 

using modeling assumptions to allocate emissions from the county level, and the model is very 

sensitive to the assumptions used. In addition, dispersion of emissions from nonpoint sources 

(e.g., on-highway and nonroad vehicles) was treated simplistically. For resident tracts that have 

radii greater than 0.3 km, non-point-source ambient concentrations are estimated on the basis of 

five pseudo-point sources. The average concentration for the census tract is determined by 

spatially averaging the ambient concentrations associated with the receptors defined for the five 

pseudosources that fall within the bounds of the tract. Other limitations include the following: 

terrain impacts on dispersion were not included; the study relied on long-term climate summary 

data, and no long-range transport was included for DPM (medium-range transport for DPM, 

within 300 km, was included). Because of the limitations, the results are most meaningfully 

interpreted when viewed over large geographic areas. The 1996 results from ASPEN compare 

well (generally within a factor of 1.5) with estimated concentrations from EC measurements and 

receptor modeling, as well as data from other dispersion modeling studies. The complete results 

of the assessment are available at http://www.epa.gov/ttn/uatw/nata. 

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Table 2-26 presents 25th percentile, average, and 75th percentile nationwide 

concentrations from the 1996 National-Scale Assessment as well as the contribution of on-road 

and nonroad DE the sources to the nationwide average. The national average DPM 

concentration reported in the National-Scale Assessment is 2.1 μg/m3

, of which nonroad sources 

are estimated to contribute 67% and on-road sources contribute the remainder. Less than 2% of 

the nationwide DE inventory is attributed to point sources, and these were not included in the 

modeling as part of National-Scale Assessment. A wide range in average State-specific ambient 

DPM concentrations was reported by the National-Scale Assessment with the lowest values for 

mainly rural States with few DE sources, such as Wyoming (annual average of 0.2 μg/m3), and 

the highest values for States with large urban centers such as New York (annual average of 5.4 

μg/m3). 

Table 2-26. Nationwide ambient diesel particulate matter concentrations for 1996 from the 

National Air Toxics Assessment National-Scale Assessment dispersion modeling 

Location 

25th 

percentile, 

DPM10 

mg/m3 

Average, 

DPM10 

mg/m3 

75th 

percentile, 

DPM10 

mg/m3 

Contribution to 

average from onroad sources, DPM10 

mg/m3 

Contribution to 

average from 

nonroad sources, 

DPM10 

mg/m3 

Nationwide 0.9 2.1 2.5 0.6 1.4 

All urban 

counties 

1.2 2.4 2.7 0.7 1.7 

All rural 

counties 

0.4 0.7 1.0 0.3 0.5 

Source: NATA, 2001. Data available at http://www.epa.gov/ttn/uatw/nata. 

2.4.3. Exposures to Diesel Exhaust 

Ultimately, it is personal exposure that determines health impacts. In the following 

sections, modeled average exposures and some information reflecting potential exposures for 

those who spend a large portion of their time outdoors are presented. Occupational exposures to 

DPM are summarized for the variety of workplaces in which diesel engines are used. These 

occupational exposures are placed into context with equivalent environmental exposures to 

understand the potential for overlap in average occupational and average ambient exposures. 

Because DE is a mixture of particles and gases, one must choose a measure of exposure (i.e., 

dosimeter); μg/m3

 of DPM has historically been used in many studies as the dosimeter for the 

entire DE mixture. 

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2.4.3.1. Occupational Exposure to DE 

The National Institute for Occupational Safety and Health (NIOSH, 1988) estimates that 

approximately 1.35 million workers are occupationally exposed to DE emissions. Such workers 

emissions include mine workers, railroad workers, bus and truck drivers, truck and bus 

maintenance garage workers, loading dock workers, firefighters, heavy equipment operators, and 

farm workers. 

Measurements of DPM exposure in occupational environments have included respirable 

particulate (<3.5 μm), smoking-corrected respirable particulate, combustible respirable 

particulate, and EC, among other methods. The measurement method used in each of the studies 

discussed below is listed in Table 2-27. Occupational exposures to DPM as well as breathing 

zone concentrations of DPM have been described in some detail by Watts (1995), Groves and 

Cain (2000), Hammond (1998), the World Health Organization (1996), and Birch and Cary 

(1996) and are briefly, but not comprehensively, summarized here. 

The highest occupational exposures to DPM are for workers in coal mines and noncoal 

mines using diesel-powered equipment. These exposures, reported by several investigators, 

range from approximately 10 μg/m3

 to 1,280 μg/m3 (Table 2-27). Rogers and Whelan (1999) 

report exposures to specific DPM-associated PAHs (including naphthalene, fluorene, 

phenanthrene, pyrene, and benz[a]anthracene) for mine workers using diesel fuels containing 

low and high levels of sulfur, aliphatic, and aromatic compounds. Results of this study indicate 

that the composition of DPM to which workers were exposed varies considerably based on 

engine condition, fuel, and other operating parameters. Mine worker exposures to PAH 

compounds were highest for naphthalene, ranging from 1,312 μg/g to 3,228 μg/g of organics, 

and exposures were lowest for benz[a]anthracene, ranging from less than 3 μg/g up to 18 μg/g of 

organics. 

Other investigators have reported DPM-associated PAH concentrations that do not 

necessarily represent personal exposures but are a snapshot of short periods of elevated 

concentration that make up a portion of a worker’s daily exposure. Bagley et al. (1991, 1992) 

reported levels of B[a]P ranging from below the detection limit of 0.05 ng/m3

 to 61 ng/m3 

collected only during periods of mining activity. Watts (1995) reported DPM concentrations in 

four mines collected during significant diesel activity, ranging from 850 μg/m3

 to 3,260 μg/m3. 

Heino (1978) reports DPM concentrations for locomotive engineers reaching 2,000 μg/m3

. 

In a study of four railroads, Woskie et al. (1988) reported concentrations of respirable 

dust (corrected for cigarette smoke particulate) that ranged from 39 μg/m3

 for engineers/firers to 

134 μg/m3 for locomotive shop workers and 191 μg/m3 for hostlers. Woskie et al. (1988) also 

reported smoking-corrected respirable dust for railroad clerks (17 μg/m3

), who are considered to 

be not exposed to DE. Although these exposures may have included nondiesel PM (background 

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Table 2-27. Occupational exposure to DPM 

Author Year of 

sample 

Location/job type, 

typical work schedule 

of 8 hours 

n Sample 

type 

Range in 

DPM, 

μg/m3 

Gangal and Dainty, 

1993a 

NA Noncoal mine workers ~200 RCD 100–900 

Säverin, 1999 1992 Noncoal mine workers 255b RTC 38–1,280 

Rogers and Whelan, 

1999 

1990-99 Coal mine workers >1,300 DPSMM 10–640 

Haney, 1990a 1980s Coal mine workers 

(five mines) 

NA SJI 180–1,000 

Ambs, 1991aa NA Coal mine workers 

(four mines) 

NA PDEAS 750–780 

Woskie et al., 1988 3-years in mid-1980s Railroad engineer/frier 128 ARP 39–73 

Railroad braker/conductor 158 ARP 52–191 

Railroad shop workers 176 ARP 114–134 

Groves and Cain, 

2000 

NA Railway repair 64 EC(U) 7-50 

Froines et al., 1987 1985 Firefighters (two stations) 238 TSP 63–748 

NIOSH, 1992a NA Firefighters 

(three stations) 

18 EC(T) 6–70 

Birch and Cary, 

1996 

NA Firefighters NA EC(U) 20–79 

NA Fire station employees (four 

stations) 

NA EC(U) 4–52 

Birch and Cary, 

1996 

NA Airport ground crew NA EC(U) 7–15 

NA Public transit workers NA EC(U) 15–98 

NIOSH, 1990 1990 Diesel forklift dockworkers 24 EC(T) 12–61 

Zaebst et al., 1991 1990 Dockworkers 75 EC(T) 9–20 

Mechanics 80 EC(T) 5–28 

Long- and short-haul truckers 128 EC(T) 2–7 

Groves and Cain, 

2000 

NA Bus garage/repair 

Forklift trucks 

53 

27 

EC(U) 

EC(U) 

7-217 

7-403 

Kittelson et al., 2000 1999-2000 Bus drivers 39 EC(T) 1–3 

Parking ramp attendants 12 EC(T) 2 ± 0.4 

a

 Cited in Watts (1995). NA: not available.

b

 Personal exposure and area samples were not reported separately for this study.

RCD: respirable combustible dust; RTC: respirable total carbon SPM: submicrometer PM; DPSMM: diesel

particulate submicron mass (two-stage impaction sampler used to separate PM by size); EC(T): elemental carbon

analyzed by TOT; EC(R) elemental carbon analyzed by TOR; EC(U) elemental carbon analyzed by colouremetric

method or method not reported; SJI: single-jet impactor agreed within 10% with simultaneous PDEAS

measurements; PDEAS: personal DE aerosol sampler collects DPM <0.8 Fm, SPM: particulate matter; ARP:

respirable particulate adjusted to remove the influence of cigarette smoke; TSP: total suspended particulate matter.

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respirable dust levels have been estimated to have contributed approximately 10 μg/m3

 to 33 

μg/m3

 for this study), the majority of the respirable PM is believed to have originated from diesel 

locomotive emissions. Groves and Cain (2000) reported EC exposures among railway repair 

workers averaging 21 μg/m3 with a range from 7-50 μg/m3. DPM exposures reported for 

firefighters operating diesel engine vehicles range from 4 μg/m3 to 748 μg/m3, which also 

encompasses the range of DPM exposures reported for airport ground crew and public 

transportation system personnel (7 μg/m3 to 98 μg/m3). 

Studies reporting DE exposure among fire station employees typically report particulate 

levels below 100 μg/m3

 (ranging from 4 μg/m3 to 79 μg/m3) (NIOSH, 1992; Birch and Cary, 

1996). In a study by Froines et al. (1987), DPM exposures for firefighters in two stations ranged 

from 39 μg/m3 to 73 μg/m3. Birch and Cary (1996) also reported DPM exposures for airport 

ground crew and public transit workers, ranging from 7 μg/m3 to 15 μg/m3 for airport ground 

crews and 15 μg/m3

 to 98 μg/m3 for public transit workers. Dock workers using diesel-powered 

forklifts have been reported to have DPM exposures ranging from 6 μg/m3 to 403 μg/m3 

(NIOSH, 1990; Zaebst et al., 1991; Groves and Cain, 2000). In studies by NIOSH (1990) and 

Fowler (1985), the organic material measured accounted for about one-half to almost all of the 

carbonaceous DPM exposures, providing evidence that some pieces of nonroad equipment 

(forklifts and construction equipment) emitted DPM with a significant OC fraction in the 1980s 

and early 1990s. 

Zaebst et al. (1991) also reported DPM exposures for mechanics, road drivers, and local 

drivers for 8-hour shifts at each of six large hub truck terminals. Residential background and 

highway background samples at fixed sites were also collected during warm-weather and coldweather periods, and the geometric mean for DPM concentrations ranged from 1 μg/m3

 to 5 

μg/m3. DPM exposures for road and local truckers in warm- and cold-weather periods ranged 

from 2 μg/m3 to 7 μg/m3, whereas exposure levels for mechanics were reported between 5 μg/m3 

and 28 μg/m3 (geometric means). 

Kittelson et al. (2000) are measuring DPM exposures for bus drivers, parking garage 

attendants, and mechanics using TOT to quantify EC. Personal exposures for bus drivers on four 

different routes range from 1 μg/m3

 to 3 μg/m3 and exposure among parking ramp attendants 

averaged 2 μg/m3

. These results are preliminary, and data for the mechanics have not yet been 

analyzed. This study will also characterize PAH compounds to which these workers are 

exposed. 

Bus garage workers have also been assessed for exposure to DE using urinary excretion 

of 8-oxo-2'-deoxyguanosine (Loft et al., 1999). Other biomarkers of DE exposure in 

occupational workers have included measurements of urinary 1-hydroxypyrene, adducts of DNA 

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and hemoglobin, and 8-hydroxyguanosine in lung tissue (Nielsen et al., 1996; Tokiwa et al., 

1999; Zwirner-Baier and Neumann, 1999; Hara et al., 1997). 

To estimate an environmental exposure that is equivalent to an occupational lifetime 

exposure, the fraction of lifetime worker inhalation exposure (calculated as the amount of air 

breathed on the job multiplied by the typical amount of time spent on the job) is calculated 

relative to 70-year lifetime inhalation exposure: (10 m3

/shift/20 m3/day) * (5 days/7 days) * (48 

weeks/52 weeks) * (45-year career/70-year lifetime) = 0.21. Using this calculation, 21% of an 

annual average occupational lifetime exposure is roughly equivalent to a 70-year annual average 

lifetime environmental exposure. The equivalent environmental exposures for the occupational 

exposures presented in Table 2-28 range from 0.6 μg/m3

 to 14 μg/m3 for truckers, dock workers, 

and mechanics, and from 2 μg/m3

 to 269 μg/m3 for miners. The low end of the range of 

environmental equivalent exposures for several of the occupational settings overlaps with 

average modeled exposures and with ambient concentrations of DPM in urban areas in the 

1990–1996 timeframe. The overlap between some occupational exposures and environmental 

exposures, as well as the small difference between occupational environmental equivalent 

exposures and environmental exposures, is a significant concern and suggests the potential for 

significant risk in the general population. The possible magnitude of the cancer risk in the 

general population is discussed in Chapter 8, Section 8.3. 

Table 2-28. Ranges of occupational exposure to DPM by job category with estimates of 

equivalent environmental exposures 

Year of sampling Occupations Occupational 

DPM, Fg/m3 

Environmental 

equivalenta 

exposure, Fg/m3 

1980s and 1990s Miners 10–1,280 2–269 

1980s Railroad workers 39–191 8–40 

1985 and later Firefighters 4–748 1–157 

NA Airport crew, public transit workers 7–98 2–21 

1990 Dockworkers, mechanics 5–61 1–13 

1990 Long- and short-haul truckers 2–7 0.4–2 a

Environmental equivalent exposure is calculated as the occupational exposure * (10 m3/shift / 20 m3/day)* 

(5 days / 7days) * (48 weeks / 52 weeks) * (45 year career / 70 year lifetime), or occupational exposure * 0.21 

(discussed in section 2.4.3.1. 

2.4.3.2. Ambient Exposure to DE 

Modeled estimates of population exposures to DPM integrate exposure in various indoor 

and outdoor environments and also account for the demographic distribution, time-activity 

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patterns, and DPM concentrations in various environments, including job-related exposures. 

Two modeling efforts have been developed to determine DPM exposures in the general 

population: the Hazardous Air Pollutant Exposure Model for Mobile Sources, version 3 

(HAPEM-MS3) and the California Population Indoor Exposure Model (CPIEM). EPA has also 

developed version 4 of the HAPEM, which provides State-specific average exposures for DPM 

and 32 other urban air toxic compounds. The draft exposure assessment using HAPEM version 

4 (HAPEM4) has been conducted as part of the National Air Toxics Assessment National-Scale 

Analysis described in Section 2.4.2.3 above and results are provided here. 

2.4.3.2.1. The Hazardous Air Pollutant Exposure Model. To estimate population exposures to 

DPM, EPA has used HAPEM-MS3 (U.S. EPA, 1999b). This model provides national and 

urban-area-specific exposures to DPM from on-road sources only. HAPEM-MS3 is based on the 

CO probabilistic National Ambient Air Quality Standards (NAAQS) exposure model 

(pNEM/CO), which is used to estimate the frequency distribution of population exposure to CO 

and the resulting carboxyhemaglobin levels (Law et al., 1997). HAPEM simulates the CO 

exposure scenario of individuals in 22 demographic groups for 37 microenvironments. CO 

concentrations are based on ambient measurements made in 1990 and are related to exposures of 

individuals in a 10-km radius around the sampling site. DPM exposures are calculated as in 

Equation 2-5, using a ratiometric approach to CO. 

DPM 

μg m3 = (CO μg m3 /COg mi )× DPM g /mi (2-5) / / / 

Data provided to the model include CO monitoring data for 1990; time-activity data 

collected in Denver, Washington, DC, and Cincinnati from 1982 to 1985; microenvironmental 

data; and 1990 census population data. Motor vehicle DPM and CO emission rates reported by 

EPA (1999c) are used to calculate mobile-source DPM exposures, and exposures in future years 

are projected based on the increase in vehicle miles traveled. EPA’s PART5 model is used to 

estimate DPM emission rates (g/mi) for the fleet as a whole in any given calendar year. PART5 

is currently being modified to account for deterioration, actual in-use emissions, poor 

maintenance, and tampering effects, all of which increase emission factors. As a result, 

HAPEM-MS3 exposure estimates based on PART5 emission factors may underestimate true 

exposures from on-road sources. A comparison of PART5 HD diesel vehicle emission factors 

with those presented earlier in this chapter suggests that PART5 may underestimate HD diesel 

vehicle emissions by up to 50%. 

HAPEM-MS3 assumes that the highway fleet (gasoline plus diesel) emissions ratio of 

CO to DPM can be used as an adjustment factor to convert estimated CO personal exposure to 

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DPM exposure estimates. This assumption is supported by the observation that even though 

gasoline vehicles emit the large majority of CO, gasoline and diesel highway vehicles travel on 

the same roadways. DPM and CO are both relatively long-lived atmospheric species (1–3 days) 

except under certain conditions (Seinfeld and Pandis, 1998); therefore, the model does not 

account for chemical and physical differences between the DPM and CO, and the model assumes 

that for the average person in a modeled air district, CO and DPM are well mixed. Exposure in 

microscale environments in which these assumptions may not be valid were not modeled. 

A validation study conducted for the pNEM/CO model on which HAPEM-MS3 is based 

indicates that CO exposures for the population in the 5th percentile were overestimated by 

approximately 33%, whereas those with exposures in the 98th percentile were underestimated by 

about 30%. This validation study is considered applicable to the HAPEM-MS3 model. To 

address the underestimate of exposures for the most highly exposed, Brodowicz (1999) used CO 

concentrations relevant to the most highly exposed populations to determine DPM exposures for 

different demographic groups within this population; the results are discussed below. 

Annual average DPM exposures from on-road vehicles and nonroad sources nationwide 

for the general population, rural and urban population, outdoor workers, and urban children are 

reported in Tables 2-29 and 2-30. The modeled annual average DPM exposure nationwide 

(urban and rural areas) in 1996 from on-road sources only was 0.8 μg/m3

. The modeled annual 

average exposure in urban areas for the same year was 0.8 μg/m3, and the modeled exposure for 

rural areas was 0.4 μg/m3. Among the demographic groups modeled, urban outdoor workers in 

general were found to have the highest average exposure to DPM, averaging 1.0 μg/m3

 from onroad sources in 1996. DPM exposures attributable to on-road sources are projected to decrease 

until approximately 2007 because of fleet turnover and the full implementation of Federal 

regulations that are currently in place. Full implementation of the recently finalized Heavy-Duty 

Engine and Vehicle Standards and Highway Diesel Fuel Sulfur Control Requirements would 

significantly lower DPM exposures from on-road sources in the post-2007 timeframe (U.S. EPA, 

2000b). 

Because diesel vehicle traffic, and therefore exposure to DPM, varies for different urban 

areas, HAPEM-MS3 was used to estimate annual average population exposures for 10 urban 

areas. Modeled 1996 DPM exposures in the cities ranged from 0.6 μg/m3

 in Chicago and St. 

Louis to 1.3 μg/m3

 in Phoenix (Table 2-31). In 1996, estimated average DPM exposure from onroad sources was higher than the national average in five cities: Atlanta, Minneapolis, New 

York, Phoenix, and Spokane. Nationally in 1996, 97% of DPM exposure from on-road vehicles 

was attributable to HD diesel vehicles, and the rest was generated mainly by LD diesel trucks. 

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Table 2-29. Annual average nationwide DPM exposure estimates (μg/m3

) 

from on-road sources for rural and urban demographic groups in 1990, 1996, 

and 2007 using HAPEM-MS3 

Demographic group 1990 1996 2007 

50-State population 0.8 0.8 0.4 

Rural population 0.5 0.4 0.2 

Urban population 0.9 0.8 0.4 

Urban outdoor workers 1.1 1.0 0.5 

Urban children (0-17) 0.9 0.8 0.4 

Source: U.S. EPA, 1999b, adjusted to reflect HDDV VMT described in U.S. EPA, 2000b. 

Table 2-30. Draft annual average, 25th, and 75th percentile nationwide DPM exposure 

estimates (μg/m3) from on-road and nonroad sources for rural and urban counties in 1996 

using HAPEM4 

Demographic 

group 

25th Percentile, 

DPM10 

mg/m3 

Average, 

DPM10 

mg/m3 

75th Percentile, 

DPM10 

mg/m3 

Contribution to 

average from onroad sources, DPM10 

mg/m3 

Contribution to 

average from 

nonroad sources, 

DPM10 

mg/m3 

Nationwide 0.6 1.4 1.8 0.5 0.9 

Rural population 0.3 0.6 0.7 0.2 0.3 

Urban population 0.8 1.6 2.0 0.5 1.1 

Source: NATA, 2001. Data available at http://www.epa.gov/ttn/uatw/nata. 

Because HAPEM-MS3 is suspected to underestimate exposures in highly exposed 

populations, 1990 CO concentrations relevant to the most highly exposed populations were used 

to determine 1990 DPM exposures for different demographic groups in this population. The 

highest DPM exposures ranged from 0.8 μg/m3

 for outdoor workers in St. Louis to 2.0 μg/m3 for 

outdoor workers in Spokane and up to 4.0 μg/m3

 for outdoor children in New York (Table 2-31). 

The highest exposed demographic groups were those who spend a large portion of their time 

outdoors. It is important to note that these exposure estimates are lower than the total exposure 

to DPM because they reflect only DPM from on-road sources and not exposure to nonroad DPM 

emissions. 

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Table 2-31. Annual average DPM exposures for 1990 and 1996 in the general 

population and among the highest exposed demographic groups in nine urban areas 

and nationwide from on-road sources only using HAPEM-MS3 

Urban area 

1990 

Population average 

exposure, μg/m3 

1996 

Population average 

exposure, μg/m3 

Highest DPM exposure in 1990, 

μg/m3

 (demographic group 

experiencing this exposure) 

Nationwide 0.8 0.8 NA 

Atlanta, GA 0.8 0.9 NA 

Chicago, IL 0.8 0.6 1.3 (outdoor workers) 

Denver, CO 0.7 0.8 1.2 (outdoor workers) 

Houston, TX 0.6 0.9 0.8 (outdoor workers) 

Minneapolis, MN 1.0 1.0 1.5 (outdoor workers) 

New York, NY 1.6 1.2 4.0 (outdoor children) 

Philadelphia, PA 0.7 0.7 1.2 (outdoor children) 

Phoenix, AZ 1.4 1.3 2.4 (nonworking men 18-44) 

Spokane, WA 1.3 1.1 2.0 (outdoor workers) 

St. Louis, MO 0.6 0.6 0.8 (outdoor workers) 

NA - Not available.

Source: U.S. EPA, 1999b, adjusted to reflect HDDV VMT described in U.S. EPA, 2000b.

The HAPEM4 modeling approach provides exposure estimates from on-road and 

nonroad sources as well as point and area sources for pollutants other than DPM. In addition, 

HAPEM4 incorporates technical advancements over previous Agency exposure assessments. 

Instead of using a surrogate pollutant such as CO to estimate exposure, HAPEM4 uses census 

tract DPM concentrations provided by the ASPEN dispersion model described in Section 2.4.2.3 

to estimate DPM exposure for individuals in each census tract in the United States. The 

exposure modeling results are aggregated to provide county, State, and nationwide exposure 

estimates. HAPEM4 also incorporates the latest data regarding time-activity patterns from the 

Consolidated Human Activity Database and the latest data available regarding penetration of PM 

to indoor environments. The results of this modeling approach are currently undergoing peer 

review and are therefore considered a draft and subject to change. 

Nationwide exposure estimates from HAPEM4 are provided in Table 2-30. The draft 

National-Scale Assessment 1996 national average estimate of DPM exposure attributable to onroad and nonroad sources is 1.4 μg/m3

. On-road sources are estimated to account for 0.5 μg/m3 

and nonroad sources 0.9 μg/m3. The HAPEM-MS3 1996 exposure value of 0.8 μg/m3 and the 

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most recent draft National-Scale Assessment value of 0.5 μg/m3

 differ slightly as a result of the 

different modeling approaches. Both the HAPEM-MS3 and HAPEM4 exposure results support 

the risk perspective provided in Chapter 8, Section 8.3. 

2.4.3.2.2. Personal exposures: microenvironments/hotspots. Personal monitoring for DPM 

exposure has focused on occupationally exposed groups, including railroad workers, mine 

workers, mechanics, and truck drivers. Although some studies have measured personal 

exposures to ambient PM, none have conducted detailed chemical analysis to quantify the 

portion of PM attributable to DE (e.g., using extended species CMB, discussed above). EC 

concentrations have been reported for some microenvironments and are discussed in this section. 

Microenvironmental exposures of significant concern include in-vehicle exposures such as 

school buses and passenger cars as well as near highways and in urban canyons. Because DPM 

from mobile sources is emitted into the breathing zone of humans, this source has a greater 

potential for human exposure (per kg of emissions) compared to combustion particulates emitted 

from point sources. 

Recent EC measurements reported for enclosed vehicles driving on Sacramento 

roadways ranged from below detection limits up to 10 μg/m3 and from 3 μg/m3

 to 40 μg/m3 on 

Los Angeles roadways. Elevated levels of PM2.5 and EC were observed when the vehicle being 

followed was powered by a HD diesel truck or bus (Cal EPA, 1998b). EC is also present in the 

exhaust of gasoline vehicles, so these measurements are likely to include some EC from gasoline 

vehicles. The SHEDS (Stochastic Human Exposure and Dose Simulation) model for PM 

predicts that although the typical person spends only about 5% of his or her time in a vehicle, 

this microenvironment can contribute on average 20% and as much as 40% of a person’s total 

PM exposure (Burke et al., 2000). 

The California Air Resources Board also collected EC near the Long Beach Freeway for 

4 days in May 1993 and 3 days in December 1993 (Cal EPA, 1998a). Using emission estimates 

from their EMFAC7G model and EC and OC composition profiles for diesel and gasoline 

exhaust, tire wear, and road dust, CARB estimated the contribution of the freeway to DPM 

concentrations. For the 2 days of sampling in December 1993, DE from vehicles on the nearby 

freeway was estimated to contribute from 0.7 μg/m3

 to 4.0 μg/m3 excess DPM above background 

concentrations, with a maximum of 7.5 μg/m3

. 

In 1986, EC concentrations were measured in Glendora, CA, during a carbonaceous 

aerosol intercomparison study (Cadle and Mulawa, 1990; Hansen and Novakov, 1990). One 

technique used during the study reported EC concentrations in 1-minute intervals, reflecting the 

impact from diesel vehicles 50 m from the study site. The diesel vehicles were estimated to 

contribute up to 5 μg/m3

 EC above the background concentration. 

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In a study designed to investigate relationships between DE exposure and respiratory 

health of children in the Netherlands, EC measurements were collected in 23 schools located 

from 47 m to 377 m from a freeway and in 8 schools located at a distance greater than 400 m 

from a freeway (Brunekreef, 1999). EC concentrations in schools near freeways ranged from 1.1 

μg/m3

 to 6.3 μg/m3, with a mean of 3.4 μg/m3, and EC concentrations in schools more than 400 

m from freeways ranged from 0.8 μg/m3 to 2.1 μg/m3, with a mean of 1.4 μg/m3. Brunekreef et 

al. (2000), using a reflectance method to report “soot” or carbonaceous particulate concentrations 

as a surrogate for EC, found a statistically significant increase in carbonaceous particle 

concentrations inside and outside of the schools with increasing truck traffic (predominantly 

diesel), with decreasing distance between the school and the highway, and with an increase in 

the percent of time the school was downwind of the highway. In additional studies in elderly 

subjects in Helsinki and Amsterdam, Janssen et al. (2000) reported that outdoor measurements of 

EC were highly correlated with indoor and personal exposure measurements of EC, supporting 

the position that short-term increases in outdoor EC concentrations are reflected in increased 

personal exposures even for those who spend much of their time indoors. 

Although there is little quantitative information regarding personal exposure to DPM, 

certain exposure situations are expected to result in higher than average exposures. Those in the 

more highly exposed categories would generally include people living in urban areas in which 

diesel delivery trucks, buses, and garbage trucks frequent the roadways, but also included would 

be people living near freeways, bus stations, construction sites, train stations, marinas frequented 

by diesel-powered vessels, and distribution hubs using diesel truck transport. One study using 

the 1-hydroxypyrene biomarker of DE exposure reported exposure among most (76%) of the 26 

adolescents sampled in Harlem (Northridge et al., 1999). In a follow-on study, Kinney et al. 

(2000) reported EC concentrations from personal monitors worn by study staff on sidewalks at 

four Harlem intersections that ranged from 1.5 μg/m3

 to 6 μg/m3. The EC concentrations were 

found to be associated with diesel bus and truck counts such that spatial variations in sidewalk 

concentrations of EC were attributed to local diesel sources in Harlem. 

In any situation in which diesel engines operate and a majority of time is spent outdoors, 

personal exposures to DE are expected to exceed average exposures. Because a large but 

currently undefined portion of DPM is emitted during acceleration, those living and working in 

the vicinity of sources operating in this transient mode could experience highly elevated levels of 

DPM. DPM enriched in soluble organic material (as opposed to EC) is emitted from LD 

vehicles, some nonroad equipment, on-road diesel engines during cold-start and motoring 

conditions, and poorly maintained vehicles. The potential health effects of acute exposures to 

elevated DPM levels as well as health effects resulting from chronic exposures are discussed in 

subsequent chapters in this document. 

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2.4.3.2.3. The California Population Indoor Exposure Model. CPIEM, developed under 

contract to the CARB, estimates Californians’ exposure to DPM using distributions of input data 

and a Monte Carlo approach (Cal EPA, 1998a). This model uses population-weighted outdoor 

DPM concentrations in a mass balance model to estimate DPM concentrations in four indoor 

environments: residences, office buildings, schools, and stores/retail buildings. The model takes 

into account air exchange rates, penetration factors, and a net loss factor for deposition/removal. 

In four additional environments (industrial plants, restaurants/lounges, other indoor places, and 

enclosed vehicles), assumptions were made about the similarity of each of these spaces to 

environments for which DPM exposures had been calculated. Industrial plants and enclosed 

vehicles were assumed to have DPM exposures similar to those in the outdoor environment; 

restaurants/lounges were assumed to have DPM concentrations similar to stores; and other 

indoor places were assumed to have DPM concentrations similar to offices. The estimated DPM 

concentrations in the indoor and outdoor environments range from 1.6 μg/m3

 to 3.0 μg/m3 (Table 

2-32). 

Table 2-32. Modeled and estimated concentrations of 

DPM in microenvironments for California for all sources 

Microenvironment Estimated mean DPM 

(stdev), μg/m3 

Residences 1.9 (0.9) 

Offices 1.6 (0.7) 

Schools 1.9 (0.8) 

Stores/public/retail bldgs 2.1 (0.9) 

Outdoor places 3.0 (1.1) 

Industrial plantsa 3.0 (1.1) 

Restaurants/loungesa 2.1 (0.9) 

Other indoor placesa 1.6 (0.7) 

Enclosed vehiclesa 3.0 (1.1) a

Concentrations assumed based on similarity with modeled environments. 

Source: California EPA, 1998a. 

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The DPM concentrations reported in Table 2-32 were used as input to CPIEM, and timeactivity patterns for children and adults were used to estimate total indoor and total air exposures 

to DPM. Overall, total indoor exposures were estimated to be 2.0 ± 0.7 μg/m3, and total air 

exposures (indoor and outdoor exposures) were 2.1 ± 0.7 μg/m3

 (Table 2-33). The South Coast 

Air Basin and the San Francisco Bay Area were also modeled using CPIEM, where total air 

exposures to DPM were estimated to be 2.5 ± 0.9 μg/m3 and 1.7 ± 0.9 μg/m3, respectively. 

Table 2-33. Estimated indoor air and total air exposures to DPM in 

California in 1990 

Exposed population Total indoor 

exposure (stdev), 

μg/m3 

Total air exposure, 

(stdev), μg/m3 

All Californians 2.0 (0.7) 2.1 (0.8) 

South Coast Air Basin 2.4 (0.9) 2.5 (0.9) 

San Francisco Bay Area 1.7 (0.9) 1.7 (0.9) 

Source: California EPA, 1998a. 

Exposure estimates were also made by Cal EPA (1998a) for 1995, 2000, and 2010 using a 

ratiometric approach to 1990 exposures. Total air exposures reported for 1995 and projected for 

2000 and 2010 were 1.5 μg/m3

, 1.3 μg/m3, and 1.2 μg/m3, respectively. 

2.5. SUMMARY AND DISCUSSION 

This chapter summarizes information regarding the history of the use of diesel engines, 

technological developments and their impact on emissions over time, Federal standards on DE, 

the chemical and physical character of DE, atmospheric transformations of DE, and ambient DE 

concentrations and exposures. The aspects of each of these topics that are most relevant to the 

discussion of health effects in later chapters of this document are summarized here. Because the 

majority of information regarding the chemical composition and historical changes in DE 

pertains to on-road diesel engines, these data are discussed in greater detail than diesel emissions 

from nonroad equipment. Where possible, nonroad emissions were discussed in Chapter 2 and 

are briefly summarized here. 

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 2.5.1. History of Diesel Engine Use, Standards, and Technology 

The use of diesel engines in the trucking industry began in the 1940s, and diesel engines 

slowly displaced gasoline engines among HD trucks, accounting for 36% of new HD truck sales 

in 1960, 85% of sales in 1970, and almost 100% of sales in 1997. It is estimated that in 2000, 

HD diesel vehicles will travel more than 224 billion miles (U.S. EPA, 2000b). In 1997, onhighway HD diesel engines contributed 66% of the PM2.5 emitted by on-highway vehicles. 

To understand changes in emissions over time, it is important to note the difference 

between model year emission trends and calendar year emission trends. Emission trends by 

model year refer to the year in which an engine was made; the emission rate is specific to the 

technology and regulations in effect for that year. Emissions in a specific calendar year refer to 

aggregate emissions due to the mix of model year engines on the road. Because of the time 

required for fleet turnover, emission rates for the on-road fleet in any calendar year are not as 

low as the most recent model year emission rate. In 1997, 40% of the HD vehicles on the road 

were at least 10 years old and traveled approximately 17% of total HD vehicle miles. 

EPA set a smoke standard for on-road HD diesel engines beginning with the 1970 model 

year. In the ensuing years, standards for PM from diesel engines for on-road applications 

decreased from 0.6 g/bhp-hr in 1988 to 0.1 g/bhp-hr for trucks in 1994-1995 and 0.05 g/bhp-hr 

for buses in 1996-1997. Calendar year emission contributions of PM from diesel engines to 

national PM10 inventories reflect decreases expected to result from Federal regulations, because 

the emission factor models (MOBILE5 and PART5) used to provide emission estimates for 

mobile sources largely use engine test data required for certification. The U.S. EPA Trends 

Report estimates that PM10 emissions attributable to on-road diesel vehicles decreased 27% 

between 1980 and 1998. DPM emission factors (g/mi by model year) measured from in-use 

vehicles decreased on average by a factor of six from the mid-1970s to the mid-1990s. 

It is important to note that in spite of the decreasing trend in DPM emission factors by 

model year, a wide range in emission factors from in-use testing is reported, even for newer 

model year HD vehicles (from less than 0.1 g/mi to more than 1 g/mi for model year 1996 

vehicles). The high variability in DPM emissions within one model year has been attributed to 

deterioration3

 and differences in measurement methods and test conditions at the various testing 

facilities. Studies in which consistent testing methods were used suggest that deterioration (even 

for newer model year engines) causes some of the variability in emission factors, whereas other 

3

Deterioration includes increases in emission rates (g/bhp hr) due to normal wear as well as manufacturing 

defects and malfunctions such as retarded timing, fuel injector malfunction, smoke limiting mechanism problems, 

clogged air filter, wrong or worn turbocharger, clogged intercooler, engine mechanical failure, excess oil 

consumption, and electronics that have been tampered with or have failed. 

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studies clearly demonstrate the important influence of test conditions and driving protocols (e.g., 

aggressive driving) on DPM emission factors. 

Even though significant reductions in DPM from diesel vehicle emissions for on-road 

applications have been realized, diesel engines (nonroad and on-road combined) are still 

significant contributors to 1998 inventories of particulate matter, contributing approximately 

23% of PM2.5 emissions (not including the contribution from natural and miscellaneous sources). 

Technology innovations that impact diesel engine emissions have occurred in the years 

since 1960, in particular the advent of turbocharging with charge air cooling and direct-injection 

engines. The use of these new technologies tends to lower emissions from on-road diesel 

engines; until the late 1970s, however, engines were optimized for performance rather than 

emissions, so the effect on emissions prior to this time was small. The limited amount of data 

available indicates that on-road engines in the 1950 to 1975 timeframe had DPM emissions 

similar to, and in some cases higher than, those of the mid-1970 engines that were not yet 

controlled for particulates. 

Few data are available to assess the changes in emission rates from locomotive, marine, 

or other nonroad diesel engine sources over time. It is expected that because the typical lifespan 

of a locomotive engine is at least 40 years and PM regulations for these engines do not take 

effect until 2000, PM emission rates by model year from locomotives are not likely to have 

changed substantially since the introduction of the diesel engine into the railroad industry in the 

early 1950s. 

Particulate matter regulations for nonroad diesel equipment are not as stringent as PM 

regulations for on-road diesel engines. Although PM emissions have declined for on-road 

trucks, it is estimated that PM10 emissions from nonroad diesel engines increased 17% between 

1980 and 1998. DPM emissions from nonroad diesel engines are expected to continue to 

increase from current levels in the absence of new regulations. No information is available 

regarding changes in the chemical composition of nonroad engine emissions over time. 

2.5.2. Physical and Chemical Composition of Diesel Exhaust 

Complete and incomplete combustion of fuel in the diesel engine results in the formation 

of a complex mixture of hundreds of organic and inorganic compounds in the gas and particle 

phases. Among the gaseous components of DE, the aldehydes are particularly important because 

of their health effects and because they are an important fraction of the gaseous emissions. 

Formaldehyde makes up a majority of the aldehyde emissions (65%-80%) from diesel engines, 

with the next most abundant aldehydes being acetaldehyde and acrolein. Other gaseous 

components of DE that are notable for their health effects include benzene, 1,3-butadiene, PAH, 

and nitro-PAH. Dioxin compounds have also been detected in trace quantities in DE and 

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currently account for 1.2% of the national inventory. Dioxin compounds are known to 

accumulate in certain foods, such as beef, poultry, and dairy products. It is unknown whether 

deposition of DE emissions has an impact on food chains in local areas. 

DPM contains EC, OC, and small amounts of sulfate, nitrate, metals, trace elements, 

water, and unidentified compounds. DPM is typically composed of more than 50% to 

approximately 75% EC depending on the age of the engine, deterioration, HD versus LD, fuel 

characteristics, and driving conditions. The OC portion of DPM originates from unburned fuel, 

engine lubrication oil, and low levels of partial combustion and pyrolysis products and typically 

ranges from approximately 19% to 43%, although the range can be broader depending on many 

of the same factors that influence the EC content of DPM. Polyaromatic hydrocarbons generally 

constitute less than 1% of the DPM mass. Metal compounds and other elements in the fuel and 

engine lubrication oil are exhausted as ash and typically make up 1%-5% of the DPM mass. 

Elements and metals detected in DE include barium, calcium, chlorine, chromium, copper, iron, 

lead, manganese, mercury, nickel, phosphorus, sodium, silicon, and zinc. The composition of 

DPM contrasts strongly with the typical chemical composition of ambient DPM2.5 that is 

dominated by sulfate for aerosols measured in the eastern United States and by nitrate, 

ammonium, and OC in the western United States. 

Approximately 1% to 20% of the mass of DPM in DE is in the ultrafine size range 

(nuclei-mode), with the majority of particles ranging in size from 0.005 to 0.05 microns and 

having a mean diameter of about 0.02 microns. These particles account for 50%-90% of the 

number of particles. These ultrafine particles are largely composed of sulfate and/or sulfate with 

condensed OC. 

Evidence regarding an increase in the number of ultrafine particles from new HD engines 

is inconclusive. The dilution conditions used to measure the size distribution of DE have a large 

impact on the number of ultrafine particles quantified. To understand the size distribution of 

DPM to which people are exposed will require measurements under conditions that more closely 

resemble ambient conditions. 

Approximately 80%-95% of the mass of particles in DE is in the size range from 0.05-1.0 

microns, with a mean particle diameter of about 0.2 microns, and therefore in the fine PM size 

range. Diesel particles in the 0.05-1.0 micron range are aggregates of primary spherical particles 

consisting of an EC core, adsorbed organic compounds, sulfate, nitrate, and trace elements. 

These particles have a very large surface area per gram of mass, which makes them an excellent 

carrier for adsorbed inorganic and organic compounds and, due to their small size, they can 

effectively reach the lower portions of the respiratory tract. The EC core has a high specific 

surface area of approximately 30-90 m2

/g. 

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Because of the potential toxicological significance of the organic components associated 

with DPM, it is important to understand, to the extent possible, the historical changes in the 

amount and composition of the DPM-associated organic fraction. The organic component of 

DPM has typically been characterized by extraction with organic solvents, although other 

techniques such as thermogravimetric methods have also been used. Results from studies using 

similar extraction methods were compared to characterize historical changes in the SOF 

emission rates, the percentage of DPM comprised by SOF, and the composition of SOF. Data 

from both engine and chassis dynamometer tests suggest that SOF emission rates have decreased 

by model year from 1975 to 1995. When expressed as a percentage of total DPM, the 

contribution of SOF to total DPM demonstrates a wide range of variability that may be attributed 

to different test cycles, different engine types, and different deterioration rates among the 

vehicles tested. Currently, LD diesel engines emit DPM with a higher fraction of SOF than do 

HD engines. 

Chassis dynamometer tests demonstrate an overall decrease in the mass percentage 

contribution of SOF to DPM, ranging from 10% to 60% in the 1980s and ~5% to 20% in the 

1990s. In contrast, engine dynamometer tests demonstrate that typically 10%-50% of DPM mass 

is soluble organic matter for engines in model years 1980-1995. The higher SOF fraction of 

DPM from 1990s model year engine dynamometer tests is attributed primarily to the differences 

in the engine and chassis dynamometer driving cycles. The engine dynamometer testing 

includes high- speed and low-load or low-speed lugging test modes in the engine Federal Test 

Procedure that produce DPM with a high SOF fraction. 

The chassis dynamometer data are considered to reflect real-world trends in emissions 

from heavy HD vehicles by model year because vehicles from different model years, with 

different mileage and different levels of deterioration, are represented. Thus, it is expected that 

the percentage of SOF from new (1990 or later) model year heavy HD diesel vehicles is lower 

than that from older vehicles. This expectation is supported by data demonstrating an overall 

increase in the fraction of EC in the carbonaceous component of DPM. The important 

observation from the engine test data is that some driving modes occurring in real-world 

applications even with new (post-1990) engines may produce DPM with a high SOF component 

(up to 50%). 

PAH and nitro-PAH are present in DPM from both new and older engine exhaust. There 

is no information to suggest that the overall PAH composition profile for DPM has changed. 

There are too few data to speculate on the changes in emissions of total PAH, nitro-PAH, or 

PAH and nitro-PAH components such as BaP and 1-NP. The data suggest that differences in a 

vehicle’s engine type and make, general engine condition, fuel composition, and test conditions 

can influence the emissions levels of PAH. Some studies suggest that fuel composition is the 

most important determinant of PAH emissions. There is limited evidence that gas-phase PAH 

2-122
emission rates increase with higher fuel PAH content and that some particle-phase PAH 

emission rates increase with higher fuel PAH content. These data suggest that during the period 

from 1960 to 1986, when the aromatic content of fuel increased, PAH emissions may have 

increased until the aromatic content of diesel fuel was capped in 1993. The aromatic content of 

nonroad diesel fuel is not federally regulated and is typically greater than 30%. PAH emissions 

from nonroad equipment would also be expected to vary with the PAH content of the fuel. 

Currently, information regarding emission rates, chemical composition, and relative 

contribution of DPM from high-emitting HD diesel vehicles is not available and may 

significantly change the understanding of DPM composition to which people are exposed. Some 

studies have reported a substantial number of smoking diesel trucks in the in-use fleet. Although 

the correlation between smoke and particulate concentration varies with the driving cycle and 

measurement method, the results of smoke opacity tests suggest that high-emitting HD diesel 

vehicles may be important contributors to ambient DE and DPM concentrations. 

The chemical composition of DPM to which people are currently exposed is determined 

by a combination of older and newer technology on-road and nonroad engines. Consequently, 

the decrease in the SOF of DPM by model year does not directly translate into a proportional 

decrease in DPM-associated organic material to which people are currently exposed. In 

addition, the impact from high-emitting and/or smoking diesel engines is not quantified at this 

time. Because of these uncertainties, the changes in DPM composition over time cannot 

presently be quantified. The data clearly indicate that toxicologically significant organic 

components of DE (e.g., PAHs, PAH derivatives, nitro-PAHs) were present in DPM and DE in 

the 1970s and are still present in DPM and DE as a whole. 

Although a significant fraction of ambient DPM (over 50% is possible) is also emitted by 

nonroad equipment, there are no data available to characterize changes in the chemical 

composition of DPM from nonroad equipment over time. 

Some analysts project that diesel engines will increase substantially in the LD fleet in 

coming years. Although LD engines currently emit DPM with higher SOF than HD engines of 

the same model year, recently promulgated Tier 2 standards will require control measures in the 

2004-2007 timeframe that will reduce PM emissions from these vehicles. These control 

measures provide some assurance that even if LD diesel use increases, DPM emitted from these 

vehicles will likely have a smaller SOF component than such engines currently emit. 

2.5.3. Atmospheric Transformation of Diesel Exhaust 

An understanding of the physical as well as chemical transformations of DE in the 

atmosphere is necessary to fully understand the impact of this complex chemical mixture on 

human health. In the past two decades, data acquired from laboratory and ambient experiments 

2-123
have provided information regarding the atmospheric loss processes and transformation of DE, 

but knowledge concerning the products of these chemical transformations is still limited. A 

recent study has suggested that DPM exposed to ambient levels of ozone is sufficiently altered to 

increase the rat lung inflammatory effect compared with DPM not exposed to ozone. 

Studies investigating the chemical and physical changes of DE emissions suggest that 

there is little or no hygroscopic growth of primary diesel particles. This observation suggests 

that the small size of DPM particles might be maintained upon inhalation, particularly near the 

emission source, allowing these particles to reach the lower portions of the respiratory tract. 

Increased solubility can increase the removal efficiency of secondary diesel particles compared 

with their precursor compounds. Secondary aerosols from DE may also exhibit different 

biological reactivities from the primary particles. For example, there is evidence for nitration of 

some PAH compounds resulting in the formation of nitroarenes that are often more mutagenic 

than their precursors. 

2.5.4. Ambient Concentrations and Exposure to Diesel Exhaust 

Because of changes in engine technology and DPM emissions over time, ambient 

concentrations reported from studies before 1990 are compared here to those reported after 1990. 

There are no studies in which direct comparisons can be made because of different analytical and 

modeling tools used to assess DPM ambient levels. 

DPM concentrations reported from CMB and dispersion modeling studies in the 1980s 

suggest that in urban and suburban areas (Phoenix, AZ, and Southern California), annual average 

DPM concentrations ranged from 2 to 13 μg/m3

, with possible maximum daily values in Phoenix 

of 22 μg/m3. In these studies, the average contribution of DPM in urban areas to total ambient 

PM ranged from 7% in Pasadena, CA, to 36% in Los Angeles. 

In the 1990 timeframe, annual or seasonal average DPM concentrations reported in CMB 

studies and from EC measurements for urban and suburban areas range from 1.2 to 4.5 μg/m3

. 

The contribution of DPM to ambient PM at these sites averaged 10%-15% on a seasonal or 

annual basis, with contributions up to 38% on individual days (Brighton, CO). Dispersion 

modeling on individual days in Southern California in the 1990s predicts DPM concentrations 

ranging from 1.9 to 4.4 μg/m3 (8%-12% of ambient PM). On individual days at a major bus stop 

in New York City, DPM concentrations were reported to reach 46.7 μg/m3

 and averaged 53% of 

ambient PM, highlighting the important influence of diesel bus traffic in an urban street canyon. 

In nonurban and rural areas in the 1980s, DPM concentrations reported range from 1.4 to 

5 μg/m3 and on average comprised 5%-12% of the ambient aerosol. In the 1990s, nonurban air 

basins in California were reported to have DPM concentrations ranging from 0.2-2.6 μg/m3

. 

2-124
Although estimates from emissions models suggest that DPM emissions from on-road 

sources decreased during the 1990s, the atmospheric data available do not provide a clear 

indication of trends in DPM concentrations but are likely to be more a reflection of the choice in 

sampling sites, source apportionment methods, and modeling techniques. In general, from the 

limited number of studies available it appears that DPM concentrations averaged over at least a 

season in the 1990s typically ranged from 1-4 μg/m3. These data can be used in model-monitor 

comparisons and to provide an indication of long-term average exposures in some urban areas. 

Additional work is needed to assess ambient DPM and DE concentrations in several urban 

environments, to assess microenvironments, and to evaluate the relative impact of nonroad and 

on-road sources on concentrations. 

A comprehensive exposure assessment cannot currently be conducted because of the lack 

of data. Information regarding DPM in occupational environments suggests that exposure 

ranges up to approximately 1,280 μg/m3

 for miners, with lower exposure measured for railroad 

workers (39-191 μg/m3

), firefighters (4-748 μg/m3), public transit personnel who work with 

diesel equipment (7-98 μg/m3), mechanics and dockworkers (5-65 μg/m3), truck drivers (2-7 

μg/m3

), and bus drivers (1-3 μg/m3). Work area concentrations at fixed sites are often higher 

than measured exposures, especially for mining operations or other enclosed spaces. For several 

occupations involving DE exposure, an increased risk of lung cancer has been reported by 

epidemiologic studies (discussed in Chapter 7). An estimate of the 70-year lifetime 

environmental exposure equivalent to these occupational exposures provides one means of 

comparing the potential overlap between occupational exposures and exposures modeled for the 

general public. The estimated 70-year lifetime exposures equivalent to those for the 

occupational groups discussed above range from 0.4-2 μg/m3

 on the low end to 2-269 μg/m3 on 

the high end. 

The EPA has performed a national-scale exposure assessment for DPM from on-road 

sources. Current national exposure modeling using the HAPEM-MS3 model suggests that in 

1996, annual average DPM exposure from on-road DE sources in urban areas was 0.8 μg/m3

, 

whereas in rural areas, exposures were 0.4 μg/m3

. Among 10 urban areas in which DPM 

exposures were modeled, 1996 annual average exposure from on-road DE sources ranged from 

0.6 μg/m3 to 1.2 μg/m3. Outdoor workers and children who spent a large amount of time 

outdoors were estimated to have elevated DPM exposures in 1990, ranging up to 4.0 μg/m3 from 

on-road sources only. Based on the national inventory, nonroad emission sources could 

contribute at least twofold more DPM than that emitted by on-road sources. Results of the draft 

National-Scale Assessment for 1996 indicate that national average exposure to DPM, including 

nonroad sources, is 1.4 μg/m3

, with 0.9 μg/m3 of that average attributed to emissions from 

nonroad sources. 

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Low-end exposures for many of the occupational groups overlap 1990 and 1996 

exposures from on-road sources modeled for the general population (0.8 μg/m3

) and for the more 

highly exposed groups. This potential overlap, or small difference between occupational and 

ambient exposures, presents a concern that health effects observed in occupational groups may 

also be evidenced in the general population. The potential magnitude of this risk is discussed in 

Chapter 8. 

In different exposure environments, the types of diesel vehicles, their mode of operation, 

maintenance, atmospheric transformation, and many additional factors influence the chemical 

nature and quantity of DPM to which people are exposed. The potential health consequences of 

both short- and long-term exposures to DE are discussed in the following chapters of this 

document. 

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3-1

3. DOSIMETRY OF DIESEL PARTICULATE MATTER

3.1. INTRODUCTION

Animals and humans receive different internal doses when breathing the same external

concentrations of airborne materials such as diesel particulate matter (DPM) (Brain and Mensah,

1983; Schlesinger, 1985). The dose received in different species differs from the aspects of the

total amount deposited within the respiratory tract, the relative distribution of the dose to specific

regions in the respiratory tract, and the residence time of these materials within the respiratory

tract, i.e., clearance. Using an external concentration breathed by laboratory animals as a basis

for any guidance for human exposure to DPM would then be an inadequate approximation of the

total and regional dose that humans may receive.

The reason for the existence of this chapter and for consideration about interspecies

dosimetry is the lack of human health effect data on DPM and the concomitant need to be able to

evaluate existing animal data from the aspect of an equivalent human dose. The objective of this

chapter is to evaluate and address this issue of interspecies dosimetric differences through:

• A general overview of what is known about how particles like DPM are deposited,

transported to, and cleared from the respiratory tract. Information on both

laboratory animals (mainly rodents) and humans will be considered and interspecies

similarities and differences highlighted.

• An overview of what is known about the bioavailability of the organic compounds

adsorbed onto DPM from information in humans, animals, and in vitro studies, and

from model predictions.

• An evaluation of the suitability of available dosimetric models and procedures for

DPM to estimate interspecies extrapolations whereby an exposure scenario,

conditions, and outcome in laboratory animals are adjusted to an equivalent

outcome in humans via calculation of an internal dose. 

The focus in this chapter will be on the particulate fraction of diesel emissions, i.e, DPM. 

Although diesel engine exhaust consists of a complex mixture of typical combustion gases,

vapors, low-molecular-weight hydrocarbons, and particles, it is the particle phase that is

considered to be of major health concern. The major constituents of diesel engine exhaust (DE)

and their atmospheric reaction products are described in Chapter 2. 

As will be deduced in Chapter 5, pulmonary toxicity and carcinogenicity are the major

focal points of diesel toxicity and of DPM deposition. Therefore, dosimetric considerations are

limited to the lung although DPM deposition would occur throughout the respiratory tract, from
3-2

the nares to the alveoli. Aspects of respiratory tract dosimetry to be considered in this chapter

include the characteristics of DPM, deposition of DPM throughout the respiratory tract, the

conducting airways and alveolar regions, normal DPM clearance mechanisms and rates of

clearance in both these regions, clearance rates during lung overload (in rats), elution of organics

from DPM, transport of DPM to extra-alveolar sites, and the interrelationships of these factors. 

The overall goal in this chapter follows from the objective—to judge the feasibility and

suitability of procedures allowing for derivation of an internal dose estimate of DPM for humans,

i.e., of a human equivalent concentration to exposure concentrations and conditions used in

animal studies. This goal is of significance especially in the quantitative dose-response analysis

of DPM effects in laboratory animals proposed in Chapter 6. 

3.2. CHARACTERISTICS OF INHALED DIESEL PARTICULATE MATTER

The formation, transport, and characteristics of DPM are among the subjects considered

in detail in Chapter 2. DPM consists of aggregates of spherical carbonaceous particles (typically

about 0.2 :m mass median aerodynamic diameter [MMAD] or, more appropriately, mass median

thermodynamic diameter [MMTD]) to which significant amounts of higher-molecular-weight

organic compounds are adsorbed. DPM has an extremely large surface area that allows for the

adsorption of organic compounds (see Chapter 2, Section 2.2.2). The organic carbon portion of

DPM can range from at least 19% to 43% from highway diesel engines; no data are available to

characterize the organic content of DPM from nonroad engines. The toxicologically relevant

organic chemicals include high-molecular-weight hydrocarbons such as the polycyclic aromatic

hydrocarbons (PAHs) and their derivatives (Chapter 2, Section 2.2.8).

3.3. REGIONAL DEPOSITION OF INHALED DIESEL PARTICULATE MATTER

This section discusses the major factors controlling the disposition of inhaled particles. 

Note that disposition is defined as encompassing the processes of deposition, absorption,

distribution, metabolism, and elimination. The regional deposition of particulate matter in the

respiratory tract is dependent on the interaction of a number of factors, including respiratory tract

anatomy (airway dimensions and branching configurations), ventilatory characteristics (breathing

mode and rate, ventilatory volumes and capacities), physical processes (diffusion, sedimentation,

impaction, and interception), and the physicochemical characteristics (particle size, shape,

density, and electrostatic attraction) of the inhaled particles. Regional deposition of particulate

material is usually expressed as deposition fraction of the total particles or mass inhaled and may

be represented by the ratio of the particles or mass deposited in a specific region to the number or 

mass of particles inspired. The factors affecting deposition in these various regions and their

importance in understanding the fate of inhaled DPM are discussed in the following sections. 
3-3

It is beyond the scope of this document to present a comprehensive account of the

complexities of respiratory mechanics, physiology, and toxicology, and only a brief review will

be presented here. The reader is referred to publications that provide a more in-depth treatment

of these topics (Weibel, 1963; Brain and Mensah, 1983; Raabe et al., 1988; Stöber et al., 1993;

U.S. EPA, 1996). 

The respiratory tract in both humans and experimental mammals can be divided into three

general regions on the basis of structure, size, and function: the extrathoracic (ET), the

tracheobronchial (TB), and the alveolar (A). In humans, inhalation can occur through the nose or

mouth or both (oronasal breathing). Animal models used in respiratory toxicology studies,

particularly the rat, however, are obligate nose breathers.

3.3.1. Deposition Mechanisms

This section provides an overview of the basic mechanisms by which inhaled particles

deposit within the respiratory tract. Details concerning the aerosol physics that explain both how

and why particle deposition occurs as well as data on total human respiratory tract deposition are

presented in detail in the earlier PM Criteria Document (U.S. EPA, 1996) and will only be briefly

summarized here. For more extensive discussions of deposition processes, refer to reviews by

Morrow (1966), Raabe (1982), U.S. EPA (1982), Phalen and Oldham (1983), Lippmann and

Schlesinger (1984), Raabe et al. (1988), and Stöber et al. (1993).

As pictorially represented in Figure 3-1, particles may deposit by five major mechanisms

(inertial impaction, gravitational settling, Brownian diffusion, electrostatic attraction, and

interception). The relative contribution of each deposition mechanism to the fraction of inhaled

particles deposited varies for each region of the respiratory tract.

It is important to appreciate that these processes are not necessarily independent but may,

in some instances, interact with one another such that total deposition in the respiratory tract may

be less than the calculated probabilities for deposition by the individual processes (Raabe, 1982). 

Depending on the particle size and mass, varying degrees of deposition may occur in the ET (or

nasopharyngeal), TB, and A regions of the respiratory tract.

Upon inhalation of particulate matter such as that found in DE, particle deposition will

occur throughout the respiratory tract. Because of high airflow velocities and abrupt directional

changes in the ET and TB regions, inertial impaction is a primary deposition mechanism,

especially for particles $2.5 :m dae (aerodynamic equivalent diameter). Although inertial

impaction is a prominent process for deposition of larger particles in the tracheobronchial region,

it is of considerably less significance as a determinant of regional deposition patterns for 
3-4

Figure 3-1. Schematic representation of major mechanisms, including diffusion, involved

in particle deposition. Airflow is signified by the arrows and particle trajectories by the

dashed line.
3-5

DPM, which have a dae #0.2 :m and may be considered a rather polydisperse distribution with

sigma g values of 2.4 and greater.

All aerosol particles are continuously influenced by gravity, but particles with a

dae > 0.5 :m are affected to the greatest extent. A spherical compact particle will acquire a

terminal settling velocity when a balance is achieved between the acceleration of gravity acting

on the particle and the viscous resistance of the air; it is this velocity that brings the particle into

contact with airway surfaces. Both sedimentation and inertial impaction cause the deposition of

many particles within the same size range. These deposition processes act together in the ET and

TB regions, with inertial impaction dominating in the upper airways and sedimentation becoming

increasingly dominant in the lower conducting airways, especially for the largest particles that

can penetrate into the smaller bronchial airways.

As particle diameters become <1 :m, the particles are increasingly subjected to diffusive

deposition because of random bombardment by air molecules, which results in contact with

airway surfaces. A dae of 0.5 :m is often considered a boundary between diffusion and

aerodynamic (sedimentation and impaction) mechanisms of deposition. Thus, instead of having

a dae, diffusive particles of different shapes can be related to the diffusivity of a thermodynamic

equivalent size based on spherical particles (Heyder et al., 1986). Diffusive deposition of

particles is favored in the A region of the respiratory tract as particles of this size are likely to

penetrate past the ET and TB regions.

Electrostatic precipitation is deposition related to particle charge. The electrical charge

on some particles may result in an enhanced deposition over what would be expected from size

alone. This is due to image charges induced on the surface of the airway by these particles, or to

space-charge effects whereby repulsion of particles containing like charges results in increased

migration toward the airway wall. The effect of charge on deposition is inversely proportional to

particle size and airflow rate. A recent study employing hollow airway casts of the human

tracheobronchial tree that assessed deposition of ultrafine (0.02 :m) and fine (0.125 :m)

particles found that deposition of singly charged particles was 5-6 times that of particles having

no charge, and 2-3 times that of particles at Boltzmann equilibrium (Cohen et al., 1998). This

suggests that within the TB region of humans, electrostatic precipitation may be a significant 

deposition mechanism for ultrafine and some fine particles, the latter of which are inclusive of

DPM. Thus, although electrostatic precipitation is generally a minor contributor to overall

particle deposition, it may be important for DPM.

Interception is deposition by physical contact with airway surfaces and is most important

for fiber deposition (U.S. EPA, 1996).

Figure 3-2 shows the regional (ET, TB, A) deposition in the human respiratory tract as

influenced by particle size. Keeping in mind that DPM is a polydisperse distribution with 0.2 :m
3-6

Figure 3-2. Generalized regional deposition fractions of various sized particles in the

human respiratory tract. (Adapted from the International Commission on

Radiological Protection (ICRP) Publication 66 (1994) model. For unit density,

spherical particles inhaled through the nose by an adult male with a tidal volume of

1250 mL, respiratory frequency of 20 min-1, and functional residual capacity (FRC) of

3300 mL.) ET, extrathoracic; TB, tracheobronchial; A, alveolar.

being only the median diameter, it can be seen that principal fraction particles sized from < 0.2

down to around 0.002 :m would, as predicted based on their size and the expected mechanism of

diffusion, deposit in the alveolar region. Particles below this size range (and above around 4 :m)

tend to deposit in the ET region. Specific modeling results for deposition of DPM particles

inclusive of their distribution (i.e., Fg) are presented in Section 3.6.

3.3.1.1. Biological Factors Modifying Deposition

The available experimental deposition data in humans are commonly derived using

healthy adult Caucasian males. Various factors can act to alter deposition patterns from those

obtained in this group. The effects of different biological factors, including gender, age, and

respiratory tract disease, on particle deposition have been reviewed previously (U.S. EPA, 1996,

Section 10.4.1.6). In general, there appears to be an inverse relationship between airway

resistance and total deposition.
3-7

Differences in patterns of deposition between humans and animals have been summarized

(U.S. EPA, 1996; Schlesinger, 1985) and show clearly that when exposed to the same aerosol or

gas, humans and animals receive doses that may differ in both total and regional (i.e., ET, TB, or

A) deposition from a number of variables including particle size, especially for larger sized

particles, i.e. dae $ 1 :m. Such interspecies differences are important because the adverse toxic

effect is likely more related to the quantitative pattern of deposition within the respiratory tract

than to the exposure concentration; this pattern determines not only the initial respiratory tract

tissue dose but also the specific pathways by which the inhaled material is cleared and

redistributed (Schlesinger, 1985). Such differences in initial deposition must be considered when

relating biological responses obtained in laboratory animal studies to effects in humans.

The deposition patterns of inhaled diesel particles in the respiratory tract of humans and

mammalian species has been reviewed (Health Effects Institute, 1995). Schlesinger (1985)

showed that physiological differences in the breathing mode for humans (nasal or oronasal

breathers) and laboratory rats (obligatory nose breathers), combined with different airway

geometries, resulted in significant differences in lower respiratory tract deposition patterns for

larger sized particles (>1 :m dae) in that a much lower fraction of inhaled larger particles is

deposited in the alveolar region of the rat compared with humans. However, alveolar deposition

of the much smaller DPM (around 0.2 :m dae) was not affected as much by the differences

among species, as was demonstrated in model calculations by Xu and Yu (1987). These

investigators modeled the deposition efficiency of inhaled DPM in rats, hamsters, and humans on

the basis of calculations of the models of Schum and Yeh (1980) and Weibel (1963). These

simulations (Figure 3-3) indicate relative deposition patterns in the lower respiratory tract

(trachea = generation 1; alveoli = generation 23) and are similar among hamsters, rats, and

humans. Variations in alveolar deposition of DPM over one breathing cycle in these different

species were predicted to be within 30% of one another (Xu and Yu, 1987). Xu and Yu (1987)

note that this similarity is concordant with the premise that deposition of the submicron diesel

particles is dominated by diffusion rather than sedimentation or impaction. Although these data

assumed nose-breathing by humans, the results would not be very different for mouth-breathing

because of the low filtering capacity of the nose for particles in the 0.1 to 0.5 :m range (see

Figure 3-2).

The preceding discussion addresses deposition patterns and deposition efficiencies of

DPM in the respiratory tract of various species including humans. The alveolar region was

focused upon primarily because, as shown in Chapter 5, this region is where adverse effects from

long-term DPM exposure are typically observed. For dosimetric calculations and modeling,

however, it would be of much greater importance to consider the actual deposited dose. Table 

3-1 presents the analysis of Xu and Yu (1987) on prediction of the deposited doses of DPM 
3-8

Figure 3-3. Modeled deposition distribution patterns of

inhaled DE particles in the airways of different species. 

Generation 1-18 are TB; >18 are A.

inhaled in 1 min in the lungs of humans, rats, and hamsters on three different bases: the total

lung volume (M), the surface area of all lung airways (M1), or the surface area of the epithelium

of the alveolar region only (M2). According to this analysis, the deposited dose is lower in

humans than in the two rodent species regardless of how the deposited dose is expressed. These

results are most certainly due predominately to the greater respiratory exchange rate in rodents

and smaller size of the rodent lung. Table 3-1 also indicates that the differences (between

humans to animals) are less on a surface area basis (.3-fold) than on a lung volume basis (.14-

fold). This is due to larger alveolar diameters and concomitant lower surface area per unit of

lung volume in humans. Such differences in the deposited dose in relevant target areas such as

the alveolar region are important and have to be considered when extrapolating the results from

DPM exposure studies in animals to humans. As will be discussed elsewhere in this document,

procedures for dose extrapolation from animals to humans includes considering the process of

clearance, with clearance measurements being in relation to surface area rather than to volume. 

Thus predicted doses of particulates would be based on surface areas, such as M1 andM2 in Table

3-1, rather than on volume, M.
3-9

Table 3-1. Predicted doses of inhaled DPM per minute based on total lung volume (M),

total airway surface area (M1), or surface area in alveolar region (M2)

Species

M

(10-3 :g/min/cm3

)

M1

(10-6 :g/min/cm2)

M2

(10-6 :g/min/cm2)

Hamster 3.548 3.088 2.382

Fischer rat 3.434 3.463 2.608

Human 0.249 1.237 0.775

M = mass DPM deposited in lung per minute

total lung volume

M1 = mass DPM deposited in lung per minute

total airway surface area

M2 = mass DPM deposited on the unciliated airways per minute

surface area of the unciliated airways

Based on the following conditions: (1) mass median aerodynamic diameter (MMAD) = 0.2 :m; geometric standard

deviation (Fg) = 1.9; packing density (N) = 0.3; and particle mass density (D) = 1.5 g/cm2

; (2) particle concentration =

1 mg/m3

; and (3) nose-breathing. For humans, total lung volume = 3200 cm2, total airway surface area = 633,000 

cm2

, surface area of the unciliated airways = 627,000 cm2. Corresponding values for Fisher rats are 418cm2, 412cm2,

and 409cm2

; for hamsters, 282cm2, 262cm2, and 261cm2. Tidal volumes (in cm2) and respiratory frequency (per min)

used for humans were 500 and 14; for Fisher rats, 1.6 and 98; for hamsters, 67 and 1.0.

Source: Xu and Yu, 1987.

Particle deposition will initiate particle redistribution processes (e.g., clearance

mechanisms, phagocytosis) that transfer the particles to various subcompartments, including the

alveolar macrophage pool, pulmonary interstitium, and lymph nodes. Over time, therefore, only

small amounts of the original particle intake would be associated with the alveolar surface areas.

3.3.2. Particle Clearance and Translocation Mechanisms

This section provides an overview of the mechanisms and pathways by which particles

are cleared from the respiratory tract. The mechanisms of particle clearance as well as clearance

routes from the various regions of the respiratory tract have been considered in the PM Criteria

Document (U.S. EPA, 1996) and reviewed by Schlesinger et al. (1997).

Particles that deposit upon airway surfaces may be cleared from the respiratory tract

completely, or be translocated to other sites within this system, by various regionally distinct

processes. These clearance mechanisms can be categorized as either absorptive (i.e., dissolution)

or nonabsorptive (i.e., transport of intact particles) and may occur simultaneously or with
3-10

Figure 3-4. Diagram of known and suspected clearance pathways for poorly soluble

particles depositing in the alveolar region. (Modified from Schlesinger, 1995).

temporal variations. Particle solubility in terms of clearance refers to solubility within the

respiratory tract fluids and cells. Thus, a poorly soluble particle is one whose rate of clearance by

dissolution is insignificant compared to its rate of clearance as an intact particle (as is the case

with DPM). The same clearance mechanisms act on different particles to different degrees, with

their ultimate fate being a function of deposition site, physicochemical properties (including any

toxicity), and sometimes deposited mass or number concentration. However, the duration of

clearance for poorly soluble particles such as DPM as it exists between species, months for rats

vs. years or even decades for humans, can make dissolution of DPM a significant contributor for

humans (Kreyling, 1992).

Figure 3-4 outlines many of the known and suspected clearance pathways for poorly

soluble particles, such as DPM, that deposit in the alveolar region. Included are the

representations of the translocation pathways from the alveolar epithelium through the

insterstitium and on through the lymph nodes; this latter path will be referred to frequently later

in this chapter.
3-11

3.3.2.1. Extrathoracic Region

The clearance of poorly soluble particles deposited in the nasal passages occurs via

mucociliary transport, and the general flow of mucus is backwards, i.e., towards the nasopharynx. 

Mucus flow in the most anterior portion of the nasal passages is forward, clearing deposited

particles to the vestibular region where removal is by sneezing, wiping, or blowing.

Soluble material deposited on the nasal epithelium is accessible to underlying cells via

diffusion through the mucus. Dissolved substances may be subsequently translocated into the

bloodstream. The nasal passages have a rich vasculature, and uptake into the blood from this

region may occur rapidly.

Clearance of poorly soluble particles deposited in the oral passages is by expectoration or

by swallowing into the gastrointestinal tract.

3.3.2.2. Tracheobronchial Region

The dynamic relationship between deposition and clearance is responsible for

determining lung burden at any point in time. Clearance of poorly soluble particles from the TB

region is mediated primarily by mucociliary transport, a more rapid process than those operating

in alveolar regions. Mucociliary transport (often referred to as the mucociliary escalator) is

accomplished by the rhythmic beating of cilia that line the respiratory tract from the trachea

through the terminal bronchioles. This movement propels the mucous layer containing deposited

particles (or particles within alveolar macrophages [AMs]) toward the larynx. Clearance rate by

this system is determined primarily by the flow velocity of the mucus, which is greater in the

proximal airways and decreases distally. These rates also exhibit interspecies and individual

variability. Considerable species-dependent variability in tracheobronchial clearance has been

reported, with dogs generally having faster clearance rates than guinea pigs, rats, or rabbits

(Felicetti et al., 1981). The half-time (t1/2) values for tracheobronchial clearance of relatively

insoluble particles are usually on the order of hours, as compared to alveolar clearance, which is

on the order of hundreds of days in humans and dogs. The clearance of particulate matter from

the tracheobronchial region is generally recognized as being biphasic or multiphasic (Raabe,

1982). Some studies have shown that particles are cleared from large, intermediate, and small

airways with t1/2 of 0.5, 2.5, and 5 h, respectively. However, reports have indicated that clearance

from airways is biphasic and that the long-term component for humans may take much longer for

a significant fraction of particles deposited in this region, and may not be complete within 24 h as

generally believed (Stahlhofen et al., 1990; ICRP, 1994).

Although most of the particulate matter will be cleared from the tracheobronchial region

towards the larynx and ultimately swallowed, the contribution of this fraction relative to

carcinogenic potential is unclear. With the exception of conditions of impaired bronchial
3-12

Figure 3-5. Modeled clearance of poorly soluble 4-:m particles deposited in

tracheobronchial and alveolar regions in humans.

clearance, the desorption t1/2 for particle-associated organics is generally longer than the

tracheobronchial clearance times, thereby making uncertain the importance of this fraction

relative to toxicity in the respiratory tract (Pepelko, 1987). However, Gerde et al. (1991a)

showed that for low-dose exposures, particle-associated PAHs were released rapidly at the site of

deposition indicating that they would be available for involvement in postulated carcinogenic

processes. The relationship between the early clearance of poorly soluble particles of 4 :m

aerodynamic diameter from the tracheobronchial regions and their longer-term clearance from

the alveolar region is illustrated in Figure 3-5, clearly showing the rapid depuration from the TB

region compared with the A region. This relationship, although demonstrated with 4 :m

particles, is probably relevant and applicable to DPM-sized particles (i.e., 0.2 :m) as clearance

mechanisms are believed not to be particularly particle-sized dependent (Morrow et al., 1967a,b;

Snipes et al., 1983).

Cuddihy and Yeh (1986) reviewed respiratory tract clearance of particles inhaled by

humans. Depending on the type of particle (ferric oxide, Teflon discs, or albumin microspheres),

the technique employed, and the anatomic region (midtrachea, trachea, or main bronchi), particle 
3-13

Figure 3-6. Short-term thoracic clearance of inhaled particles as determined by model

prediction and experimental measurement.

Source: Cuddihy and Yeh, 1986 (from Stahlhofen et al., 1980).

velocity (moved by mucociliary transport) ranged from 2.4 to 21.5 mm/min. The highest

velocities were recorded for midtracheal transport, and the lowest were for main bronchi. 

Cuddihy and Yeh (1986) described salient points to be considered when estimating

particle clearance velocities from tracheobronchial regions: these include respiratory tract airway

dimensions, calculated inhaled particle deposition fractions for individual airways, and thoracic

(A + TB) clearance measurements. Predicted clearance velocities for the trachea and main

bronchi were found to be similar to those experimentally determined for inhaled radiolabeled

particles, but not those for intratracheally instilled particles. The velocities observed for

inhalation studies were generally lower than those of instillation studies. Figure 3-6 illustrates a

comparison of the short-term clearance of inhaled particles by human subjects and the model

predictions for this clearance. However, tracheobronchial clearance via the mucociliary escalator

is of limited importance for long-term clearance.
3-14

Exposure of F344 rats to whole exhaust containing DPM at concentrations of 0.35, 3.5, or

7.1 mg/m3 for up to 24 mo did not significantly alter tracheal mucociliary clearance as assessed

by clearance of 99mTc-macroaggregated albumin instilled into the trachea (Wolff et al., 1987). 

The authors stated that measuring retention would yield estimates of clearance efficiency

comparable to measuring the velocity for transport of the markers in the trachea. The results of

this study were in agreement with similar findings of unaltered tracheal mucociliary clearance in

rats exposed to DPM (0.21, 1.0, or 4.4 mg/m3) for up to 4 mo (Wolff and Gray, 1980). However,

the 1980 study by Wolff and Gray, as well as an earlier study by Battigelli et al. (1966), showed

that acute exposure to high concentrations of DE soot (1.0 and 4.4 mg/m3 in the study by Wolff

and Gray [1980] and 8 to 17 mg/m3

 in the study by Battigelli et al. [1966]) produced transient

reductions in tracheal mucociliary clearance. Battigelli et al. (1966) also noted that the

compromised tracheal clearance was not observed following cessation of exhaust exposure.

That tracheal clearance does not appear to be significantly impaired or is impaired only

transiently following exposure to high concentrations of DPM is consistent with the absence of

pathological effects in the tracheobronchial region of the respiratory tract in experimental

animals exposed to DPM. The apparent retention of a fraction of the deposited dose in

the airways could be cause for some concern regarding possible effects in this region, especially

in light of the results from simulation studies by Gerde et al. (1991b) suggesting that release of

PAHs from particles may occur within minutes and therefore at the site of initial deposition. 

However, the absence of effects in the TB areas in long-term DPM studies and experimental

evidence that particle-associated PAHs are released at the site of particle deposition together

suggest that these PAHs and other organics may be of lesser importance in tumorigenic responses

of rats than originally suspected. On the other hand, the data of Nikula et al. (1997a,b) could be

interpreted to suggest that a larger fraction of particles are translocated to the interstitium of the

respiratory tract in primates that are heavily exposed (and therefore presumably in humans) than

in rats that are heavily exposed, including the interstitium of the respiratory bronchioles, an

anatomical site absent in rats (Section 3.6). Moreover, eluted PAHs in the TB region are retained

longer than those in the alveoli (Gerde et al., 1999), allowing time for activation. Also, the 

results of Kreyling (1992) indicate that appreciable dissolution of even poorly soluble particles

may occur as a consequence of long absolute duration of clearance, such as years or decades, in

humans. Thus PAHs may have a role in human response to DE that cannot be evaluated with the

rat model.

Also, impairment of mucociliary clearance function as a result of exposure to

occupational or environmental respiratory tract toxicants or to cigarette smoke may significantly

enhance the retention of particles in the TB region. For example, Vastag et al. (1986)

demonstrated that not only smokers with clinical symptoms of bronchitis but also symptom-free
3-15

smokers have significantly reduced mucociliary clearance rates. Although impaired

tracheobronchial clearance could conceivably have an impact on the effects of deposited DPM in

the conducting airways, it does not appear to be relevant to the epigenetic mechanism likely

responsible for DE-induced rat pulmonary tumors as the tumors observed in these studies were

all or nearly all of A vice TB origin.

Poorly soluble particles such as DPM that are deposited within the TB region are cleared

predominantly by mucociliary transport towards the oropharynx, followed by swallowing. 

Poorly soluble particles may also be cleared by traversing the epithelium by endocytotic

processes, and enter the peribronchial region. Clearance may occur following phagocytosis by

airway macrophages, located on or beneath the mucous lining throughout the bronchial tree, or

via macrophages that enter the airway lumen from the bronchial or bronchiolar mucosa

(Robertson, 1980). 

3.3.2.3. A Region

A number of investigators have reported on the alveolar clearance kinetics of human

subjects. Bohning et al. (1980) examined alveolar clearance in eight humans who had inhaled

<0.4 mg of 85Sr-labeled polystyrene particles (3.6 ± 1.6 :m diam.). A double-exponential model

best described the clearance of the particles and provided t1/2 values of 29 ± 19 days and 298 ±

114 days for short-term and long-term phases, respectively. It was noted that of the particles

deposited in the alveolar region, 75% ± 13% were cleared via the long-term phase. Alveolar 

retention t1/2 values of 330 and 420 days were reported for humans who had inhaled

aluminosilicate particles of MMAD 1.9 and 6.1 :m (Bailey et al., 1982). In a comprehensive

study Bailey et al. (1985) followed the long-term retention of inhaled particles in a human

respiratory tract. The retention of 1 and 4 :m fused aluminosilicate particles labeled with

strontium-85 and yttrium-88, respectively, was followed in male volunteers for about 533 days. 

Approximately 7% of the initial lung deposit of 1 :m particles and 40% of the 4 :m particles

were associated with a rapid clearance phase corresponding to the calculated tracheobronchial

deposits. Retention of the remaining material followed a two-component exponential function,

with phases having half-times of the order of tens of days and several hundred days, respectively. 

Quantitative data on clearance rates in humans having large lung burdens of particulate

matter are lacking. Bohning et al. (1982) and Cohen et al. (1979), however, did provide evidence

for slower clearance in smokers, and Freedman and Robinson (1988) reported slower clearance

rates in coal miners who had mild pneumoconiosis with presumably high lung burdens of coal

dust. Although information on particle burden and particle overload relationships in humans is

much more limited than in experimental animal models, inhibition of clearance does seem to

occur. Stöber et al. (1967) estimated a clearance t1/2 of 4.9 years in coal miners with nil or slight
3-16

silicosis, based on postmortem lung burdens. The lung burdens and estimated exposure histories

ranged from 2 to 50 mg/g of lung or more, well above the value at which clearance impairment is

observed in the rat. Furthermore, impaired clearance resulting from smoking or exposure to

other respiratory toxicants may increase the possibility of an enhanced particle accumulation

effect resulting from exposure to other particle sources such as DPM.

Normal alveolar clearance rates in laboratory animals exposed to DPM have been

reported by a number of investigators (Table 3-2). Because the rat is, historically, the species for

which experimentally induced lung cancer data are available and for which most clearance data

exist, it is the species most often used for assessing human risk, and reviews of alveolar clearance

studies have been generally limited to this species.

Chan et al. (1981) subjected 24 male F344 rats to nose-only inhalation of diluted DE

generated from a diesel engine (6 mg/m3

) labeled with 131Ba or 14C for 40 to 45 min and assessed

total lung deposition, retention, and elimination. Based on radiolabel inventory, the deposition

efficiency in the respiratory tract was 15% to 17%. Measurement of 131Ba label in the feces

during the first 4 days following exposure indicated that 40% of the deposited DPM was

eliminated via mucociliary clearance. Clearance of the particles from the lower respiratory tract

followed a two-phase elimination process consisting of a rapid (t1⁄2 of 1 day) elimination by

mucociliary transport and a slower (t1⁄2 of 62 days) macrophage-mediated alveolar clearance. 

This study provided data for normal alveolar clearance rates of DPM not affected by prolonged

exposure or particle overloading.

Several studies have investigated the effects of exposure concentration on the alveolar

clearance of DPM by laboratory animals. Wolff et al. (1986, 1987) provided clearance data (t1⁄2)

and lung burden values for F344 rats exposed to DE for 7 h/day, 5 days/week for 24 mo. 

Exposure concentrations of 0.35, 3.5, and 7.1 mg of DPM/m3 were employed in this whole bodyinhalation exposure experiment. Intermediate (hours-days) clearance of 67Ga2O3 particles (30

min, nose-only inhalation) was assessed after 6, 12, 18, and 24 mo of exposure at all of the DPM

concentrations. A two-component function described the clearance of the administered

radiolabel:

FA B (3-1) (t) 1 2 = + exp(-0.693 t / exp(-0.693 t/ τ τ ) ),

where F(t) was the percentage retained throughout the respiratory tract, A and B were the

magnitudes of the two components (component A included nasal, lung, and gastrointestinal

clearance, while component B represented intermediate lung clearance) and J1 and J2 were the 
Table 3-2. Alveolar clearance in laboratory animals exposed to DPM in whole exhaust

Species/sex

Exposure

technique

Exposure

duration

Particles

mg/m3 Observed effects 

Rats, F-344, M Nose only;

Radiolabeled DPM

40-45 min 6 Four days after exposure, 40% of DPM eliminated by

mucociliary clearance. Clearance from lower RT was in2 phases. Rapid mucociliary (t1/2 = 1 day); slower

macrophage-mediated (t1/2 = 62 days).

Rats, F-344 Whole body;

assessed effecton clearance of

67Ga2O3 particles

7 h/day

5 days/week

24 mo

0.35

3.57.1

J1 significantly higher with exposure to 7.1 mg/m3 for

24 mo; J2 significantly longer after exposure to 7.1 mg/m3

for 6 mo and to 3.5 mg/m3 for 18 mo.

Rats Whole body 19 h/day

5 days/week

2.5 years

4 Estimated alveolar deposition = 60 mg; particle burden

caused lung overload. Estimated 6-15 mg particle-boundorganics deposited.

Rats, F-344, MF Whole body 7 h/day

5 days/week

18 mo

0.150.94

4.1

Long-term clearance was 87 ± 28 and 99 ± 8 days for0.15 and 0.94 mg/m3 groups, respectively; t1/2 = 165 days

for 4.1 mg/m3 group.

Rats, F-344;Guinea pigs,Hartley

Nose-only;Radiolabeled 14C

45 min

140 min

45 min

727

Rats demonstrated 3 phases of clearance with t1/2 = 1, 6,

and 80 days, representing tracheobronchial, respiratorybronchioles, and alveolar clearance, respectively. Guineapigs demonstrated negligible alveolar clearance fromday 10 to 432.

Rats, F-344 20 h/day

7 days/week

7-112 days

0.25

6

Monitored rats for a year. Proposed two clearance modelClearance depends on initial particle burden; t1/2 increases

with higher exposure. Increases in t1/2 indicate increasing

impairment of AM mobility and transition into overloadcondition. 

RT = respiratory tract.AM = alveolar macrophage.

J1 = clearance from primary, ciliated airways.J2 = clearance from nonciliated passages.

3-17
3-18

Figure 3-7. Clearance from lungs of rats of 134Cs-FAP fused aluminosilicate

tracer particles inhaled after 24 months of DE exposure at concentrations of

0 (control), 0.35 (low), 3.5 (medium), and 7.1 (high) mg DPM/m3.

half-times for the A and B components, respectively. The early clearance half-times (J1), were

similar for rats in all exposure groups at all time points except in the high-exposure (7.1 mg/m3

)

group following 24 mo of exposure, which was faster than the controls. Significantly longer B

component retention half-times, representing intermediate clearance probably from nonciliated

structures such as alveolar ducts and alveoli, were noted after as little as 6 mo exposure to DPM

at 7.1 mg/m3

 and 18 mo exposure to 3.5 mg/m3.

Nose-only exposures to 134Cs fused aluminosilicate particles (FAP) were used to assess

long-term (weeks-months) clearance. Following 24-mo exposure to DPM, long-term clearance

of 134Cs-FAP was significantly (p<0.01) altered in the 3.5 (cumulative exposure [C × T] of

11,760 mg@h/m3

) and 7.1 mg/m3 , C × T = 23,520 mg@h/m3) exposure groups (t1⁄2 of 264 and 240

days, respectively) relative to the 0.35 mg/m3

 and control groups (t1⁄2 of 81 and 79 days,

respectively). Long-term clearance represents the slow component of particle removal from the

alveoli. The decreased clearance correlated with the greater particle burden in the lungs of the

3.5 and 7.1 mg/m3

 exposure groups. Based on these findings, the cumulative exposure of 

> 11,760 mg@h/m3 (or 3.5 mg/m3 for a lifetime exposure) represented a particle overload

condition resulting in compromised alveolar clearance mechanisms; the clearance rate at the

lowest concentration (0.35 mg/m3; cumulative exposure of 118 mg@h/m3) was not different from

control rates (Figure 3-7).
3-19

Heinrich et al. (1986) exposed rats 19 h/day, 5 days/week for 2.5 years to DPM at a

particle concentration of about 4 mg/m3, equal to a “C × T” of 53,200 mg@h/m3. The deposition

in the alveolar region was estimated to equal 60 mg. The lung particle burden was apparently

sufficient to result in a “particle overload” condition (Section 3.4). With respect to the organic

matter adsorbed onto the particles, the authors estimated that over the 2.5-year period, 6-15 mg of

particle-bound organic matter had been deposited and was potentially available for biological

effects. This estimation was based on the analysis of the DE used in the experiments, values for

rat ventilatory functions, and estimates of deposition and clearance.

Accumulated burden of DPM in the lungs following an 18-mo, 7 h/day, 5 days/week

exposure to whole DE was reported by Griffis et al. (1983). Male and female F344 rats exposed

to 0.15, 0.94, or 4.1 mg DPM/m3 were sacrificed at 1 day and 1, 5, 15, 33, and 52 weeks after

exposure, and DPM was extracted from lung tissue dissolved in tetramethylammonium

hydroxide. Following centrifugation and washing of the supernatant, DPM content of the tissue

was quantitated using spectrophotometric techniques. The analytical procedure was verified by

comparing results to recovery studies using known amounts of DPM with lungs of unexposed

rats. Lung burdens were 0.035, 0.220, and 1.890 mg/g lung tissue, respectively, in rats exposed

to diluted whole exhaust at 0.15, 0.94, and 4.1 mg DPM/m3

. Long-term retention for the 0.15

and 0.94 mg/m3

 groups had estimated half-times of 87 ± 28 and 99 ± 8 days, respectively. The

retention t1/2 for the 4.1-mg/m3

 exposure group was 165 ± 8 days, which was significantly

(p<0.0001) greater than those of the lower exposure groups. The 18-mo exposures to 0.15 or

0.96 mg/m3

 levels of DPM [C × T] equivalent of 378 and 2,368 mg@h/m3, respectively) did not

affect clearance rates, whereas the exposure to the 4.1 mg/m3

 concentration C × T = 10,332

mg@h/m3) resulted in impaired clearance.

Lee et al. (1983) described the clearance of DPM (7 mg/m3 for 45 min or 2 mg/m3 for 140

min) by F344 rats (24 per group) and Hartley guinea pigs exposed by nose-only inhalation to

diluted whole exhaust with no apparent particle overload in the lungs as being in three distinct

phases. The exposure protocols provided comparable total doses based on a 14C radiolabel. 

14CO2 resulting from combustion of 14C-labeled diesel fuel was removed by a diffusion scrubber

to avoid erroneous assessment of 14C intake by the animals. Retention of the radiolabeled

particles was determined up to 335 days after exposure and resulted in a three-phase clearance

with retention t1/2 values of 1, 6, and 80 days. The three clearance phases are taken to represent

removal of tracheobronchial deposits by the mucociliary escalator, removal of particles deposited

in the respiratory bronchioles, and alveolar clearance, respectively. Species variability in

clearance of DPM was also demonstrated because the Hartley guinea pigs exhibited negligible

alveolar clearance from day 10 to day 432 following a 45-min exposure to a DPM concentration
3-20

of 7 mg/m3

. Initial deposition efficiency (20% ± 2%) and short-term clearance were, however,

similar to those for rats.

Lung clearance in male F344 rats preexposed to diluted whole DE containing DPM at

0.25 or 6 mg/m3

 20 h/day, 7 days/week for periods lasting from 7 to 112 days was studied by

Chan et al. (1984). Following this preexposure protocol, rats were subjected to 45-min noseonly exposure to 14C-DE, and alveolar clearance of radiolabel was monitored for up to 1 year. 

Two models were proposed: a normal biphasic clearance model and a modified lung retention

model that included a slow-clearing residual component to account for sequestered aggregates of

macrophages. The first model described a first-order clearance for two compartments: R(t) =

Ae-u1t + Be-u2t. This yielded clearance t1/2 values of 166 and 562 days for rats preexposed to 6.0

mg/m3

 for 7 and 62 days, respectively. These values were significantly (p<0.05) greater than the

retention t1/2 of 77 ± 17 days for control rats. The same retention values for rats of the 0.25

mg/m3

 groups were 90 ± 14 and 92 ± 15 days, respectively, for 52- and 112-day exposures and

were not significantly different from controls. The two-compartment model represents overall

clearance of the tracer particles, even if some of the particles were sequestered in particle-laden

macrophages with substantially slower clearance rates. For the second model, which excluded

transport of the residual fractions in sequestered macrophage aggregates, slower clearance was

observed in the group with a lung burden of 6.5 mg (exposed to 6.0 mg/m3 for 62 days), and no

clearance was observed in the 11.8 mg group (exposed to 6.0 mg/m3

 for 112 days). Clearance

was shown to be dependent on the initial burden of particles, and therefore the clearance t1/2

would increase in higher exposure scenarios. This study emphasizes the importance of particle

overloading of the lung and the ramifications on clearance of particles; the significant increases

in half-times indicate an increasing impairment of the alveolar macrophage mobility and

subsequent transition into an overload condition as is discussed further in Section 3.4. 

Long-term alveolar clearance rates of particles in various laboratory animals and humans

have been reviewed by Pepelko (1987). Although retention t1/2 varies both among and within 

species and is also dependent on the physicochemical properties of the inhaled particles, the

retention t1/2 for humans is much longer (>8 mo) than the average retention t1/2 of 60 days for rats.

Clearance from the A region occurs via a number of mechanisms and pathways, but the

relative importance of each is not always certain and may vary between species. Particle removal

by macrophages comprises the main nonabsorptive clearance process in this region. Alveolar

macrophages reside on the epithelium, where they phagocytize and transport deposited material,

which they contact by random motion or via directed migration under the influence of local

chemotactic factors (Warheit et al., 1988).

Particle-laden macrophages may be cleared from the A region along a number of

pathways (U.S. EPA, 1996). Uningested particles or macrophages in the interstitium may
3-21

traverse the alveolar-capillary endothelium, directly entering the blood (Raabe, 1982; Holt,

1981); endocytosis by endothelial cells followed by exocytosis into the vessel lumen seems,

however, to be restricted to particles <0.1 :m diameter, and may increase with increasing lung

burden (Lee et al., 1985; Oberdörster, 1988). Once in the systemic circulation, transmigrated

macrophages, as well as uningested particles, can travel to extrapulmonary organs.

Alveolar macrophages constitute an important first-line cellular defense mechanism

against inhaled particles that deposit in the alveolar region of the lung. It is well established that

a host of diverse materials, including DPM, are phagocytized by AMs shortly after deposition

(White and Garg, 1981; Lehnert and Morrow, 1985) and that such cell-contained particles are

generally rapidly sequestered from both the extracellular fluid lining in the alveolar region and

the potentially sensitive alveolar epithelial cells. In addition to this role in compartmentalizing

particles from other lung constituents, AMs are prominently involved in mediating the clearance

of relatively insoluble particles from the air spaces (Lehnert and Morrow, 1985). Although the

details of the actual process have not been delineated, AMs with their particle burdens gain 

access and become coupled to the mucociliary escalator and are subsequently transported from

the lung via the conducting airways. Although circumstantial, numerous lines of evidence

indicate that such AM-mediated particle clearance is the predominant mechanism by which

relatively insoluble particles are removed from the alveolar region of the lungs (Gibb and

Morrow, 1962; Ferin, 1982; Harmsen et al., 1985; Lehnert and Morrow, 1985; Powdrill et al.,

1989).

The removal characteristics for particles deposited in the alveolar region of the lung have

been descriptively represented by numerous investigators as a multicompartment or

multicomponent process in which each component follows simple first-order kinetics (Snipes

and Clem, 1981; Snipes et al., 1988; Lee et al., 1983). Although the various compartments can

be described mathematically, the actual physiological mechanisms determining these differing

clearance rates have not been well characterized.

Lehnert et al. (1988, 1989) performed studies using laboratory rats to examine

particle-AM relationships over the course of alveolar clearance of low to high lung burdens of

noncytotoxic microspheres (2.13 :m diam.) to obtain information on potential AM-related

mechanisms that form the underlying bases for kinetic patterns of alveolar clearance as a function

of particle lung burdens. The intratracheally instilled lung burdens varied from 1.6 × 107

particles (about 85 :g) for the low lung burden to 2.0 × 108 particles (about 1.06 mg) for the middose and 6.8 × 108

 particles (about 3.6 mg) for the highest lung burden. The lungs were lavaged

at various times postexposure and the numbers of spheres in each macrophage counted. 

Although such experiments provide information regarding the response of the lung to particulate

matter, intratracheal instillation is not likely to result in the same depositional characteristics as
3-22

inhalation of particles. Therefore, it is unlikely that the response of alveolar macrophages to

these different depositional characteristics will be quantitatively similar.

The t1/2 values of both the early and later components of clearance were virtually identical

following deposition of the low and medium lung burdens. For the highest lung burden,

significant prolongations were found in both the early, more rapid, as well as the slower

component of alveolar clearance. The percentages of the particle burden associated with the

earlier and later components, however, were similar to those of the lesser lung burdens. On the

basis of the data, the authors concluded that translocation of AMs from alveolar spaces by way of

the conducting airways is fundamentally influenced by the particle burden of the cells so

translocated. In the case of particle overload that occurred at the highest lung burden, the

translocation of AMs with the heaviest cellular burdens of particles (i.e., greater than about

100 microspheres per AM) was definitely compromised.

On the other hand, analysis of the disappearance of AMs with various numbers of

particles indicates that the particles may not exclusively reflect the translocation of AMs from the

lung. The observations are also consistent with a gradual redistribution of retained particles

among the AMs in the lung concurrent with the removal of particle-containing AMs via the

conducting airways. Experimental support suggestive of potential processes for such particle

redistribution comes from a variety of investigations involving AMs and other endocytic cells

(Heppleston and Young, 1973; Evans et al., 1986; Aronson, 1963; Sandusky et al., 1977;

Heppleston, 1961; Riley and Dean, 1978).

3.3.3. Translocations of Particles to Extra-Alveolar Macrophage Compartment Sites

Although the phagocytosis of particles by cells free within the lung and the mucociliary

clearance of the cells with their particulate matter burdens represent the most prominent

mechanisms that govern the fate of particles deposited in the alveolar region, other mechanisms

exist that can affect both the retention characteristics of relatively insoluble particles in the lung

and the lung clearance pathways for the particles. One mechanism is endocytosis of particles by

alveolar lining (Type I) cells (Sorokin and Brain, 1975; Adamson and Bowden, 1978, 1981) that

normally provide >90% of the cell surface of the alveoli in the lungs of a variety of mammalian

species (Crapo et al., 1983). This process may be related to the size of the particles that deposit

in the lungs and the numbers of particles that are deposited. Adamson and Bowden (1981) found

that with increasing loads of carbon particles (0.03 :m diam.) instilled in the lungs of mice, more

free particles were observed in the alveoli within a few days; it should be noted, however, that

this phenomenon was demonstrated with very high doses given as a bolus such that the

mechanism and relevance of this phenomenon at lower concentrations may be different or even

unrelated to what may happen at much lower concentrations. The relative abundance of particles
3-23

endocytosed by Type I cells also increased with increasing lung burdens of the particles, but

instillation of large particles (1.0 :m) rarely resulted in their undergoing endocytosis. A 4 mg

burden of 0.1 :m diameter latex particles is equivalent to 8 × 1012 particles, whereas a 4 mg

burden of 1.0 :m particles is composed of 8 × 109

 particles. Regardless, DPM with volume

median diameters between 0.05 and 0.3 :m (Frey and Corn, 1967; Kittleson et al., 1978) would

be expected to be within the size range for engulfment by Type I cells should suitable encounters

occur. Indeed, it has been demonstrated that DPM is endocytosed by Type I cells in vivo (White

and Garg, 1981).

Unfortunately, information on the kinetics of particle engulfment (endocytosis) by Type I

cells relative to that by AMs is scanty. Even when relatively low burdens of particulate matter

are deposited in the lungs, some fraction of the particles usually appears in the regional lymph

nodes (Ferin and Feldstein, 1978; Lehnert, 1989). As will be discussed, endocytosis of particles

by Type I cells is an initial, early step in the passage of particles to the lymph nodes. Assuming

particle phagocytosis is not sufficiently rapid or perfectly efficient, increasing numbers of

particles would be expected to gain entry into the Type I epithelial cell compartment during

chronic aerosol exposures. Additionally, if particles are released on a continual basis by AMs

that initially sequestered them after lung deposition, some fraction of the “free” particles so

released could also undergo passage from the alveolar space into Type I cells.

The endocytosis of particles by Type I cells represents only the initial stage of a process

that can lead to the accumulation of particles in the lung’s interstitial compartment and the

subsequent translocation of particles to the regional lymph nodes. As suggested by the results of 

Adamson and Bowden (1981), a vesicular transport mechanism in the Type I cell can transfer

particles administered at high concentrations by instillation from the air surface of the alveolar

epithelium into the lung’s interstitium, where particles may be phagocytized by interstitial

macrophages or remain in a “free” state for a poorly defined period that may be dependent on the

physicochemical characteristics of the particle. The lung’s interstitial compartment accordingly

represents an anatomical site for the retention of particles in the lung, although the kinetics on

movement into and out of this site remain obscure for both humans and test species. Whether or

not AMs, and perhaps polymorphonuclear neutrophils (PMNs) that have gained access to the

alveolar space compartment and phagocytize particles there, also contribute to the particle

translocation process into the lung’s interstitium also remains a controversial issue.

Translocation of particulate matter to the various interstitial spaces within the lung is a

prominent phenomenon occurring at least at high (occupational) exposures that has been

examined extensively for both DPM and coal dust in a species comparison between rats and

primates (Nikula et al., 1997a,b). Detailed pulmonary morphometry conducted on F344 rats and

cynomolgus monkeys that had been exposed for 24 months to occupational levels of DPM (1.95
3-24

mg/m3

; see Lewis et al., 1989) showed major differences in the pulmonary sites of particulate

deposition. In rats, about 73% of DPM was present in the alveolar ducts/alveoli and 27% in

interstitial compartments; for monkeys the corresponding figures were markedly different at 43%

and 57%. The corresponding pulmonary histopathology confirmed that both species were

affected, although rats are more sensitive, as incidence and severity scores for alveolar effects

ranged from 15 of 15 with severity scores from 1-4 (minimal to moderate), whereas for monkeys

the corresponding values were only 4 of 15 at a range of 0-2 (not observed to minimal). 

Similarly, both species exhibited histopathology at the interstitial sites of deposition but with

effects in monkeys being slightly more severe (1 of 15 graded as slight, 14 of 15 graded as

minimal) than those in rats (14 of 15 graded as slight, 1 of 15 graded as minimal). The basis for

this interspecies difference may be due to any number of clear contrasts that exist between rat

and primate lungs, including anatomical (primates and humans have respiratory bronchioles

whereas rats do not), kinetic (primates and human clearance processes allow more residence time

of particles in the lung than do those in rats or rats may have faster interstitial to lymph node

clearance rates than do humans and primates), or morphological (primates and humans have

more interstitial tissue, more and thicker pleura, and wider interstitial spaces than do rats). 

Aspects of the study itself that may obscure its interpretation include the relative lifespan the

exposure represented between the tested species (lifetime for rat vs. about 10% lifetime of

primate), that there was only the single time point at which the relative burdens were determined,

and that rat lymph node burdens were not included in the analysis. The analysis of Kuempel

(2000) using human occupational data clearly showed that models require an interstitialization

process to provide adequate fits to the empirical human (miners’) lung deposition data discussed

in that study. Hypotheses about possible mechanisms for the interstitialization process are scant,

although Harmsen et al. (1985) provided some evidence in dogs that migration of AMs may

contribute to the passage of particles to the interstitial compartment and also may be involved in

the subsequent translocation of particles to draining lymph nodes. Translocation to the

extrapulmonary regional lymph nodes apparently can involve the passage of free particles as well

as particle-containing cells via lymphatic channels in the lungs (Harmsen et al., 1985; Ferin and

Feldstein, 1978; Lee et al., 1985). Further, it has been noted that particles accumulate both more

rapidly and more abundantly in lymph nodes that receive lymphatic drainage from the lung (Ferin

and Feldstein, 1978; Lee et al., 1985). It should be stressed that further investigation is required

to confirm the character and even existence of the interstitialization process in the lungs of

humans with exposures to particles at lower environmental concentrations, or to submicrometer

particles such as DPM, or to examine the kinetics and time course of the interstitialization

process.
3-25

3.3.3.1. Clearance Kinetics

The clearance kinetics of PM have been reviewed in the PM CD (U.S. EPA, 1996) and by

Schlesinger et al. (1997), the results of which indicate that clearance kinetics may be profoundly

influenced by several factors. The influence of time, for example, is definitively showed by the

work of Bailey et al. (1985; discussed above), who showed that the rate of clearance from the

pulmonary region to the GI tract decreased nearly fourfold from initial values to those noted at

200 days and beyond after particle inhalation.

3.3.3.2. Interspecies Patterns of Clearance

The inability to study the retention of certain materials in humans for direct risk

assessment requires the use of laboratory animals. Adequate toxicological assessment

necessitates that interspecies comparisons consider aspects of dosimetry including knowledge of

clearance rates and routes. The basic mechanisms and overall patterns of clearance from the

respiratory tract are similar in humans and most other mammals. Regional clearance rates,

however, can show substantial variation between species, even for similar particles deposited

under comparable exposure conditions (U.S. EPA, 1996; Schlesinger et al., 1997; Snipes et al.,

1989).

In general, there are species-dependent rate constants for various clearance pathways.

Differences in regional and total clearance rates between some species are a reflection of 

differences in mechanical clearance processes. For consideration in assessing particle dosimetry,

the end result of interspecies differences in clearance is that the retained doses in the lower

respiratory tract can differ between species, which may result in differences in response to similar

particulate exposures.

3.3.3.3. Clearance Modifying Factors and Susceptible Populations

A number of host and environmental factors may modify clearance kinetics and may

consequently make individuals exhibiting or afflicted with these factors particularly susceptible

to the effects resulting from exposure to DPM. These include age, gender, physical activity,

respiratory tract disease, and inhalation of irritants (U.S. EPA, 1996, Section 10.4.2.5). 

Respiratory tract clearance appears to be prolonged in a number of pathophysiological conditions

in humans, including chronic sinusitis, chronic bronchitis, asthma, chronic obstructive lung

disease, and various acute respiratory infections.

3.3.3.4. Respiratory Tract Disease

Earlier studies reviewed in the PM CD (U.S. EPA, 1996) noted that various respiratory

tract diseases are associated with alterations in overall clearance and clearance rates. Prolonged
3-26

nasal mucociliary clearance in humans is associated with chronic sinusitis or rhinitis, and cystic

fibrosis. Bronchial mucus transport may be impaired in people with bronchial carcinoma,

chronic bronchitis, asthma, and various acute infections. In certain of these cases, coughing may

enhance mucus clearance, but it generally is effective only if excess secretions are present.

The rates of A region particle clearance are reduced in humans with chronic obstructive

lung disease and in laboratory animals with viral infections, whereas the viability and functional

activity of macrophages are impaired in human asthmatics and in animals with viral-induced lung

infections (U.S. EPA, 1996). However, any modification of functional properties of

macrophages appears to be injury specific, reflecting the nature and anatomic pattern of disease.

3.4. PARTICLE “OVERLOAD”

3.4.1. Introduction

Some experimental studies using laboratory rodents employed high exposure

concentrations of relatively nontoxic, poorly soluble particles. These particle loads interfered

with normal clearance mechanisms, producing clearance rates different from those that would 

occur at lower exposure levels. Prolonged exposure to high particle concentrations is associated

with what is termed particle overload. This is defined as the overwhelming of macrophagemediated clearance by the deposition of particles at a rate exceeding the capacity of that

clearance pathway. Aspects and occurrence of this phenomenon have already been alluded to in

earlier portions of this chapter on alveolar clearance (Section 3.3.2.3). The relevance of this

phenomenon for human risk assessment has long been the object of scientific inquiry. A

monograph on this matter and many others relevant to DPM has appeared (ILSI, 2000), and the

results, opinions, and judgments put forth therein are used extensively in this chapter and in this

assessment.

Wolff et al. (1987) used 134Cs-labeled fused aluminosilicate particles to measure alveolar

clearance in rats following 24-mo exposure to low, medium, and high concentrations of DE

(targeted concentrations of DPM of 0.35, 3.5 and 7.1 mg/m3

). The short-term component of the

multicomponent clearance curves was similar for all groups, but long-term clearance was

retarded in the medium- and high-exposure groups (Figure 3-7). The half times of the long-term

clearance curves were 79, 81, 264, and 240 days, respectively, for the control, low-, medium-,

and high-exposure groups. Clearance was overloaded at the high and medium but not at the low

exposure level. Lung burdens of DPM were measured after 6, 12, 18, and 24 mo of exposure. 

The results (Figure 3-8) indicate that the lung burden of deposited particles was appreciably

increased or “overloaded” compared with the low level of exposure in the two highest exposures

post 6 months. Figure 3-8 also compares these observational results of lung burden with

simulated results where no overload would occur (McClellan, 2000). Comparison 
3-27

Figure 3-8. Lung burdens (in mg DPM soot/g lung) in rats chronically exposed to DE at 

 0.35 (low) (), 3.5 (medium) (•), and 7.1 (high) mg / m3 (). The solid figures

represent actual data with means and standard errors from animals sacrificed at 6, 12,

and 18 months after initiation of exposures. Lines are simulated model results from

these same exposure levels, assuming no effect of exposure concentration on deposition

or clearance of particles (from Wolff et al., 1987; McClellan, 2000).

of the observed and simulated results clearly shows that the two highest exposure levels resulted

in lung burdens that were ever-increasing and not at all concordant with the simulated results,

whereas the burdens at the low-exposure level were closely approximated by the simulation. 

Thus, at the two highest exposure levels, deposition processes were outpacing clearance

mechanisms. Results from the low-exposure level indicate that clearance processes were not

inhibited, the lung burden remaining the same throughout all time periods examined.

Morrow (1988) has proposed that the condition of particle overloading in the lungs is

caused by a loss in the mobility of particle-engorged AMs and that such an impediment is related

to the cumulative volumetric load of particles in the AMs. Morrow (1988) has further estimated

that the clearance function of an AM may be completely impaired when the particle burden in the

AM is of a volumetric size equivalent to about 60% of the normal volume of the AM. Morrow’s
3-28

hypothesis was the initial basis for the physiology-oriented multicompartmental kinetic (POCK)

model derived by Stöber et al. (1989) for estimating alveolar clearance and retention of relatively 

insoluble, respirable particles in rats. 

A revised version of this model refines the characterization of the macrophage pool by

including both the mobile and immobilized macrophages (Stöber et al., 1994). Application of

the revised version of the model to experimental data suggested that lung overload does not cause

a dramatic increase in the total burden of the macrophage pool but results in a great increase in

the particle burden of the interstitial space, a compartment that is not available for macrophagemediated clearance. The revised version of the POCK model is discussed in greater detail in the

context of other dosimetry models below.

Oberdörster and co-workers (1992) assessed the alveolar clearance of smaller (3.3 :m

diam.) and larger (10.3 :m diam.) polystyrene particles, the latter of which are volumetrically

equivalent to about 60% of the average normal volume of a rat AM, after intratracheal instillation

into the lungs of rats. Even though both sizes of particles were found to be phagocytized by AMs

within a day after deposition, and the smaller particles were cleared at a normal rate, only

minimal lung clearance of the larger particles was observed over an approximately 200-day

postinstillation period, thus supporting the volumetric AM overload hypothesis.

It has been hypothesized that when the retained lung burden approaches 1 mg particles/g

lung tissue, overloading will begin in the rat (Morrow, 1988); at 10 mg particles/g lung tissue

macrophage-mediated clearance of particles would effectively cease. Overloading appears to be

a nonspecific effect noted in experimental studies, generally in rats, using many different kinds of

poorly soluble particles (including TiO2, volcanic ash, DPM, carbon black, and fly ash) and

results in A region clearance slowing or stasis, with an associated inflammation and aggregation

of macrophages in the lungs and increased translocation of particles into the interstitium (Muhle

et al., 1990a,b; Lehnert, 1990; Morrow, 1994). Following overloading, the subsequent

retardation of lung clearance, accumulation of particles, chronic inflammation, and the

interaction of inflammatory mediators with cell proliferative processes and DNA may lead to the

development of fibrosis, epithelial cell mutations, and fibrosis in rats (Mauderly, 1996). The

phenomenon of overload has been discussed in greater detail in the previous PM CD (U.S. EPA,

1996).

3.4.2. Relevance to Humans

The relevance of “lung overload” to humans, and even to species other than laboratory

species (rats and mice and hamsters; Muhle et al., 1990a,b), is not clear. Although likely to be of

little relevance for most “real world” ambient exposures of humans, this phenomenon is of

concern in interpreting some long-term experimental exposure data and perhaps for human
3-29

occupational exposure. In addition, relevance to humans is clouded by the fact that

macrophage-mediated clearance is slower and perhaps less important in humans than in rats

(Morrow, 1994).

Particle overload appears to be an important factor in the pulmonary carcinogenicity

observed in rats exposed to DPM. A study by Griffis et al. (1983) demonstrated that exposure (7

h/day, 5 days/week) of rats to diluted whole DE containing DPM at concentrations of 0.15, 0.94,

or 4.1 mg/m3

 for 18 mo resulted in lung burdens of 0.035, 0.220, and 1.89 mg/g of lung tissue,

respectively. The alveolar clearance of those rats with the highest lung burden (1.89 mg/g of

lung) was impaired, as determined by a significantly greater (p<0.0001) retention t1/2 for DPM. 

Impaired clearance was reflected in the greater lung burden/exposure concentration ratio at the

highest exposure level. Similarly, in the study by Chan et al. (1984), rats exposed for 20 h/day, 7

days/week to diluted whole DE containing DPM (6 mg/m3

) for 112 days had an extraordinarily

high lung particle burden of 11.8 mg, with no alveolar particle clearance being detected over 1

year.

Muhle et al. (1990a,b) indicated that overloading of rat lungs occurred when lung particle

burdens reached 0.5 to 1.5 mg/g of lung tissue and that clearance mechanisms were totally

compromised at lung particle burdens $10 mg/g for particles with a specific density close to 1,

observations that are concordant with those of Morrow (1988).

Pritchard (1989), utilizing data from a number of DE exposure studies, examined alveolar

clearance in rats as a function of cumulative exposure. The resulting analysis noted a significant

increase in retention t1/2 values at exposures above 10 mg/m3

@h/day and also showed that normal

lung clearance mechanisms appeared to be compromised as the lung DPM burden approached

0.5 mg/g of lung. 

Animal studies have revealed that impairment of alveolar clearance can occur following

chronic exposure to DPM (Griffis et al., 1983; Wolff et al., 1987; Vostal et al., 1982; Lee et al.,

1983) or a variety of other diverse poorly soluble particles of low toxicity (Lee et al., 1986, 1988;

Ferin and Feldstein, 1978; Muhle et al., 1990). Because high lung burdens of relatively

insoluble, biochemically inert particles result in diminution of normal lung clearance kinetics or

in what is now called particle overloading, this effect appears to be more related to the mass

and/or volume of particles in the lung than to the nature of the particles per se. Particle overload

relates only to poorly soluble particles of low toxicity. It must be noted, however, that some

types of particles may be cytotoxic and impair clearance at lower lung burdens (e.g., crystalline

silica may impair clearance at much lower lung burdens than DPM). Regardless, as pointed out

by Morrow (1988), particle overloading in the lung modifies the dosimetry for particles in the

lung and thereby can alter toxicologic responses.
3-30

Although quantitative data are limited regarding lung overload associated with impaired

alveolar clearance in humans, impairment of clearance mechanisms appears to occur, and at a 

lung burden generally in the range reported to impair clearance in rats, i.e., approximately 1 mg/g

lung tissue. Stöber et al. (1967), in their study of coal miners, reported lung particle burdens of 2

to 50 mg/g lung tissue, for which estimated clearance t1/2 values were very long (4.9 years). 

Freedman and Robinson (1988) also reported slower alveolar clearance rates in coal miners,

some of whom had a mild degree of pneumoconiosis. It must be noted, however, as has been

reported even in some studies with rats exposed lifetime to overload conditions (50 mg/m3 TiO2;

Lee et al., 1986) that no lung cancer was reported among those miners with apparent particle

overload.

Consideration of the above information further clarifies the human relevance of

noncancer effects that may be elicited from overload-type conditions in rats studies. Under

conditions that would be most likely to elicit overload conditions in humans, such as the

excessive dust burdens in the lungs of miners, cancer is not observed although noncancer

responses such as fibrosis and macrophage responses are documented (Freedman and Robinson,

1988; Haschek and Witschi, 1991; Oberdörster, 1994). In deliberation on the matter of whether

the rat lung nonneoplastic responses to poorly soluble particles (such as DPM) are predictive of a

similar hazard in humans, an expert panel (ILSI, 2000) opined that such responses would indeed

be a useful predictor for similar responses in humans.

3.4.3. Potential Mechanisms for an AM Sequestration Compartment for Particles During

Particle Overload

Several factors may be involved in the particle-load-dependent retardations in the rate of

particle removal from the lung and the corresponding functional appearance of an abnormally

slow clearing or particle sequestration compartment. As previously mentioned, one potential site

for particle sequestration is the containment of particles in the Type I cells. Information on the

retention kinetics for particles in the Type I cells is not currently available. Also, no

morphometric analyses have been performed to date to estimate what fraction of a retained lung

burden may be contained in the Type I cell population of the lung during lung overloading.

Another anatomical region in the lung that may be a slow clearing site is the interstitial

compartment (Kuempel, 2000). Little is known about the kinetics of removal of free particles or

particle-containing macrophages from the interstitial spaces, or what fraction of a retained burden

of particles is contained in the lung’s interstitium during particle overload. The gradual

accumulation of particles in the regional lymph nodes and the appearance of particles and cells

with associated particles in lymphatic channels and in the peribronchial and perivascular
3-31

lymphoid tissue (Lee et al., 1985; White and Garg, 1981) suggest that the mobilization of

particles from interstitial sites via local lymphatics is a continual process.

Indeed, it is clear from histologic observations of the lungs of rodents chronically exposed

to DPM that Type I cells, the interstitium, the lymphatic channels, and pulmonary lymphoid

tissues could collectively comprise subcompartments of a more generalized slow clearing

compartment.

Although these sites must be considered potential contributors to the increased retention

of particles during particle overload, a disturbance in particle-associated AM-mediated clearance

is undoubtedly the predominant cause, inasmuch as, at least in rodents, the AMs are the primary

reservoirs of deposited particles. The factors responsible for a failure of AMs to translocate from

the alveolar space compartment in lungs with high particulate matter burdens remain uncertain,

although a hypothesis concerning the process involving volumetric AM burden has been offered

(Morrow, 1988). 

Other processes also may be involved in preventing particle-laden AMs from leaving the

alveolar compartment under conditions of particle overload in the lung. Clusters or aggregates of 

particle-laden AMs in the alveoli are typically found in the lungs of laboratory animals that have

received large lung burdens of a variety of types of particles (Lee et al., 1985), including DPM

(White and Garg, 1981; McClellan et al., 1982). The aggregation of AMs may explain, in part,

the reduced clearance of particle-laden AM during particle overload. The definitive

mechanism(s) responsible for this clustering of AMs has not been elucidated to date. Whatever

the underlying mechanism(s) for the AM aggregation response, it is noteworthy that AMs

lavaged from the lungs of DE-exposed animals continue to demonstrate a propensity to aggregate

(Strom, 1984). This observation could result either from the surface characteristics of AMs

being fundamentally altered or from macrophage activation by phagocytized particles that then

release chemotactic factors (Bellmann et al., 1990) in a manner that promotes their adherence to

one another in the alveolar region. AM aggregation may not simply be directly caused by their

abundant accumulation as a result of immobilization by large particle loads. Furthermore, even

though overloaded macrophages may redistribute particle burden to other AMs, clearance may

remain inhibited (Lehnert, 1988). This may, in part, be because attractants from the overloaded

AMs cause aggregation of those that are not carrying a particle burden.

3.5. BIOAVAILABILITY OF ORGANIC CONSTITUENTS PRESENT ON DIESEL

EXHAUST PARTICLES

Because it has been shown that DPM extract is not only mutagenic but also contains

known carcinogens, the organic fraction was originally considered to be the primary source of

carcinogenicity in animal studies. Since then, evidence has been presented that carbon black,
3-32

lacking an organic component, is capable of inducing lung cancer at exposure concentrations

sufficient to induce lung particle overload. This suggested that the relatively insoluble carbon

core of the particle may be of greater importance for the pathogenic and carcinogenic processes

observed in the rat inhalation studies conducted at high exposure concentrations. (See Chapter 7

for a discussion of this issue.) However, lung cancer reported in epidemiologic studies was

associated with diesel exposure levels far below those inducing particle overload in lifetime

studies in rats. It is therefore suggested that compounds in the organic fraction of DPM may

have some role in the etiology of human lung cancers. This leads to an interest in characterizing

the bioavailability of organics. 

The bioavailability of toxic organic compounds adsorbed to DPM can be influenced by a

variety of factors. Although the agent may be active while present on the particle, most particles

are taken up by AMs, a cell type not generally considered to be a target site. In order to reach the

target site, elution from the particle surface is necessary followed by diffusion and uptake by the

target cell. Metabolism to an active form by either the phagocytes or the target cells is also

required for activity of many of the compounds present. 

This section describes only the various manner and mechanisms by which organics

adsorbed onto DPM may become bioavailable. In vivo and in vitro results involving various

biological extraction media as well as modeled scenarios of bioavailability are presented. Actual

estimates of the amount of organics from DPM to which respiratory tract tissues may be exposed

are discussed and presented in Section 3.6.2.7.

3.5.1. In Vivo Studies

3.5.1.1. Laboratory Investigations

Several studies reported on the retention of particle-adsorbed organics following

administration to various rodent species. In studies reported by Sun et al. (1982, 1984) and Bond

et al. (1986), labeled organics were deposited on DPM following heating to vaporize away the

organics originally present. Sun et al. (1982) compared the disposition of either pure or diesel

particle-adsorbed benzo[a]pyrene (B[a]P) following nose-only inhalation by F344 rats. About

50% of particle-adsorbed B[a]P was cleared with a half-time of 1 h, predominantly by

mucociliary clearance. The long-term retention of particle-adsorbed 3

H-B[a]P at 18 days was

approximately 230-fold greater than that for pure 3H-B[a]P (Sun et al., 1982). At the end of

exposure, about 15% of the 3H label was found in blood, liver, and kidney. Similar results were

reported in a companion study by Bond et al. (1986), and by Sun et al. (1984) with another PAH,

1-nitropyrene, except the retention half-time was 36 days. 

Ball and King (1985) studied the disposition and metabolism of intratracheally instilled

14C-labeled 1-NP (>99.9% purity) coated onto DPM. About 50% of the 14C was excreted within
3-33

the first 24 h; 20% to 30% of this appeared in the urine, and 40% to 60% was excreted in the

feces. Traces of radiolabel were detected in the trachea and esophagus. Five percent to 12% of

the radiolabel in the lung co-purified with the protein fraction, indicating some protein binding.

The corresponding DNA fraction contained no 14C above background levels. 

Bevan and Ruggio (1991) assessed the bioavailability of B[a]P adsorbed to DPM from a

5.7-L Oldsmobile diesel engine. In this study, exhaust particles containing 1.03 :g B[a]P/g

particles were supplemented with exogenous 3

H-B[a]P to provide 2.62 :g B[a]P/g of exhaust

particles. In vitro analysis indicated that the supplemented B[a]P eluted from the particles at the

same rate as the original B[a]P. Twenty-four hours after intratracheal instillation in SpragueDawley rats, 68.5% of the radiolabel remained in the lungs. This is approximately a 3.5-fold

greater proportion than that reported by Sun et al. (1984), possibly because smaller amounts of

B[a]P adsorbed on the particles resulted in stronger binding or possibly because of differences

between inhalation exposure and intratracheal exposure. At 3 days following administration,

more than 50% of the radioactivity remained in the lungs, nearly 30% had been excreted into the

feces, and the remainder was distributed throughout the body. Experiments using rats with

cannulated bile ducts showed that approximately 10% of the administered radioactivity appeared

in the bile over a 10-h period and that less than 5% of the radioactivity entered the feces via

mucociliary transport. Results of these studies showed that when organics are adsorbed to DPM

the retention of organics in the lungs is increased considerably. Because retention time is very

short following exposure to pure compounds not bound to particles, it can be concluded that the

increased retention time is primarily the result of continued binding to DPM. The detection of

labeled compounds in blood, systemic organs, urine, and bile as well as the trachea, however,

provides evidence that at least some of the organics are eluted from the particles following

deposition in the lungs and would not be available as a carcinogenic dose to the lung. As

discussed above, the results of Gerde (1999a,b) indicate that most of the organics eluted from

particles deposited in the alveolar region, especially PAHs, are predicted to rapidly enter the

bloodstream and thus not to contribute to potential induction of lung cancer.

3.5.1.2. Studies in Occupationally Exposed Humans

DNA adducts in the lungs of experimental animals exposed to DE have been measured in

a number of animal experiments (World Health Organization, 1996). Such studies, however,

provide limited information regarding bioavailability of organics, as positive results may well

have been related to factors associated with lung particle overload, a circumstance reported by

Bond et al. (1990), who found carbon black, a substance virtually devoid of organics, to induce

DNA adducts in rats at lung overload doses. These authors showed that levels of DNA adducts

present in pulmonary type II cells from the lungs of rats (n=15) exposed to equivalent conditions
3-34

of either carbon black or DE (each at 6.2 mg/m3

) were nearly the same and 4- to 5-fold more than

air-exposed controls. This similarity was noted despite a difference of nearly three orders of

magnitude in solvent-extractable organic content between DE (30%) and carbon black (0.04%). 

None of the DE or carbon black adducts comigrated with B[a]P diol epoxide. 

On the other hand, DNA adduct formation and/or mutations in blood cells following

exposure to DPM, especially at levels insufficient to induce lung overload, can be presumed to be

the result of organics diffusing into the blood. Hemminki et al. (1994) reported increased levels

of DNA adducts in lymphocytes of bus maintenance and truck terminal workers. Österholm

et al. (1995) studied mutations at the hprt-locus of T-lymphocytes in bus maintenance workers. 

Although they were unable to identify clear-cut exposure-related differences in types of

mutations, adduct formation was significantly increased in the exposed workers. Nielsen et al.

(1996) reported significantly increased levels of lymphocyte DNA adducts, hydroxyvaline

adducts in hemoglobin, and 1-hydroxypyrene in urine of garage workers exposed to DE. 

3.5.2. In Vitro Studies

3.5.2.1. Extraction of Diesel Particle-Associated Organics by Biological Fluids

In vitro extraction of mutagenic organics by biological fluids can be estimated by

measurement of mutagenic activity in the particular fluid. Using this approach, Brooks et al.

(1981) reported extraction efficiencies of only 3% to 10% that of dichloromethane following

DPM incubation in lavage fluid, serum, saline, albumin, or dipalmitoyl lecithin. Moreover,

extraction efficiency did not increase with incubation time up to 120 h. Similar findings were

reported by King et al. (1981), who also reported that lung lavage fluid and lung cytosol fluid

extracts of DPM were not mutagenic. Serum extracts of DPM did exhibit some mutagenic

activity, but considerably less than that of organic solvent extracts. Furthermore, the mutagenic

activity of the solvent extract was significantly reduced when combined with serum or lung

cytosol fluid, suggesting protein binding or biotransformation of the mutagenic components. 

Siak et al. (1980) assessed the mutagenicity of material extracted from DPM by bovine serum

albumin in solution, simulated lung surfactant, fetal calf serum (FCS), and physiological saline. 

Only FCS was found to extract some mutagenic activity from the DPM. Keane et al. (1991),

however, reported positive effects for mutagenicity in salmonella and sister chromatid exchange

in V79 cells exclusively in the supernatant fraction of DPM dispersed in aqueous mixtures of

dipalmitoyl phosphatidyl choline, a major component of pulmonary surfactant, indicating that

pulmonary surfactant components can extract active components of DPM and result in

bioavailability.

The ability of biological fluids to extract organics in vitro and their effectiveness in vivo

remains equivocal because of the character of the particular fluid. For example, extracellular
3-35

lung fluid is a complex mixture of constituents that undoubtedly have a broad range of

hydrophobicity (George and Hook, 1984; Wright and Clements, 1987), which is fundamentally

different from serum in terms of chemical composition (Gurley et al., 1988). Moreover,

assessments of the ability of lavage fluids, which actually represent substantially diluted

extracellular lung fluid, to extract mutagenic activity from DPM clearly do not reflect the in vivo

condition. Finally, except under very high exposure concentrations, few particles escape

phagocytosis and possible intracellular extraction. In this respect, Hiura et al. (1999) have

shown that whole exhaust containing DPM, but not carbon black or diesel particles devoid of

organics, induces apoptosis, apparently through generation of oxygen radicals. This study

implicates organic compounds present on DPM. It also indicates the bioavailability of organics

for generation of radicals from reaction with particle-associated organics or following elution

from DPM.

3.5.2.2. Extraction of DPM-Associated Organics by Lung Cells and Cellular Components

A more likely means by which organics may be extracted from DPM and metabolized in

the lung is either through particle dissolution or extraction of organics from the particle surface

within the phagolysosomes of AMs and other lung cells. This mechanism presupposes that the

particles are internalized. Specific details about the physicochemical conditions of the

intraphagolysosomal environment, where particle dissolution in AMs presumably occurs in vivo,

have not been well characterized. It is known that phagolysosomes constitute an acidic (pH 4 to

5) compartment in macrophages (Nilsen et al., 1988; Ohkuma and Poole, 1978). The relatively

low pH in the phagolysosomes has been associated with the dissolution of some types of

inorganic particles (some metals) by macrophages (Marafante et al., 1987; Lundborg et al.,

1984), but few studies provide quantitative information concerning how organics from DPM may

be extracted in the phagolysosomes (Bond et al., 1983). Whatever the mechanism, assuming

elution occurs, the end result is a prolonged exposure of the respiratory epithelium to DPM

organics, which include low concentrations of carcinogenic agents such as PAH.

Early studies by King et al. (1981) found that when pulmonary alveolar macrophages

were incubated with DPM, amounts of organic compounds and mutagenic activity decreased

measurably from the amount originally associated with the particles, suggesting that organics

were removed from the phagocytized particles. Leung et al. (1988) studied the ability of rat lung

and liver microsomes to facilitate transfer and metabolism of B[a]P from diesel particles. 14CB[a]P coated diesel particles, previously extracted to remove the original organics, were

incubated directly with liver or lung microsomes. About 3% of the particle-adsorbed B[a]P was

transferred to the lung microsomes within 2 h. Of this amount about 1.5% was metabolized, for

a total of about 0.05% of the B[a]P originally adsorbed to the DPM. Although transformation is
3-36

slow, the long retention of particles, including DPM, in humans may cause the fraction eluted

and metabolized to be considerably higher than this figure.

In analyzing phagolysosomal dissolution of various ions from particles in the lungs of

Syrian golden hamsters, however, Godleski et al. (1988) demonstrated that solubilization did not

necessarily result in clearance of the ions (and therefore general bioavailability) in that binding of

the solubilized components to cellular and extracellular structures occurred. It is reasonable to

assume that phagocytized DPM particles may be subject to similar processes and that these

processes would be important in determining the rate of bioavailability of the particle-bound

constituents of DPM.

Alveolar macrophages or macrophage cell lines that were exposed to high concentrations

of DPM in vitro were observed to undergo apoptosis, which was attributed to the generation of

reactive oxygen radicals (ROR) (Hiura et al. 1999). Further experimentation showed that DPM

with the organic constituents extracted was no longer able to induce apoptosis or generate ROR. 

The organic extracts alone, however, were able to induce apoptosis as well as the formation of

stress-activated protein kinases that play definitive roles in cellular apoptotic pathways. The

injurious effects of nonextracted DPM or of DPM extracts were observed to be reversible by the

antioxidant radical scavenger N-acetyl cysteine. These data suggest strongly that, at least at high

concentrations of DPM, the organic constituents contained on DPM play a central role in cellular

toxicity and that this toxicity may be attributable to the generation of ROR. 

3.5.3. Modeling Studies 

Gerde et al. (1991a,b) described a model simulating the effect of particle aggregation and

PAH content on the rate of PAH release in the lung. According to this model, particle

aggregation will occur with high exposure concentrations, resulting in a slow release of PAHs

and prolonged exposure to surrounding tissues. However, large aggregates of particles are

unlikely to form at doses typical of human exposures. Inhaled particles, at low concentrations,

are more likely to deposit and react with surrounding lung medium without interference from

other particles. The model predicts that under low-dose exposure conditions, more typical in 

humans, particle-associated organics will be released more rapidly from the particles because

they are not aggregated. Output from this model suggests strongly that sustained exposure of

target tissues to PAHs will result from repeated exposures, not from increased retention due to

association of PAHs with carrier particles. This distinction is important because at low doses

PAH exposure and lung tumor formation would be predicted to occur at sites of deposition rather

than retention, as occurs with high doses.

The site of release of PAHs influences effective dose to the lungs because, as noted

previously, at least some free organic compounds deposited in the lungs are rapidly absorbed into
3-37

the bloodstream. Gerde et al. (1991b) predicted PAHs would be retained in the alveoli less than

1 min, whereas they may be retained in the conducting airways for hours. These predictions were

based on an average diffusion distance to capillaries of only about 0.5 :m in the alveoli, as

compared to possibly greater than 50 :m in the conducting airways such as the bronchi. An

experimental study by Gerde et al. (1999) provided support for this prediction. Beagle dogs were

exposed to 3

H-B[a]P adsorbed on the carbonaceous core of DPM at a concentration of 15 :g

B[a]P/gm particles. A rapidly eluting fraction from DPM deposited in the alveoli was adsorbed

into the bloodstream and metabolized in the liver, whereas the rapidly eluting fraction from DPM

deposited in the conducting airways was to a large extent retained and metabolized in situ in the

airway epithelium. Thus, organics eluting from DPM depositing in the conducting airways (i.e.,

the TB region) would have a basis for a longer residence time in the tissues (and for consequent

biological activity) than would organics eluting from DPM depositing in the pulmonary

parenchyma. And, given the same overall deposited dose of DPM to the total pulmonary system,

a deposited dose with a higher proportion in the TB region would incur a higher probability of

tissue interactions with any eluted organics. This may be the case when comparing regional

doses of DPM to humans as compared to rats for two reasons. First, one deposition model

(Freijer et al., 1999) projects that for air concentrations of DPM at either 0.1 or 1.0 mg/m3

, a

higher proportion of the total DPM dose to the pulmonary system would be deposited in the TB

area for humans at 31% (TB/Total; 0.098 / 0.318) than for rats at only 16% (0.04 / 0.205). 

Second, comparative morphometry data of DPM from chronically exposed rats and primates

showed higher levels of DPM adjacent to conducting airways in primates (i.e., the interstitium of

the respiratory bronchioles) than were present in parallel regions in the rat (interstitium of the

alveolar ducts) (Nikula et al., 1997a,b). The focal nature of this deposition could give rise to

localized high concentrations of any organics eluted. 

3.5.4. Summary and Bioavailability

At present, the available data are insufficient to accurately model the effective dose of

organics in the respiratory tract of humans or animals exposed to DPM. As mentioned above,

though, the following Section (3.6.2.7) does present estimates of the actual amount of organics,

including carcinogenic PAH such as B[a]P, that are deposited in the lung and could become

bioavailable.

 Overall, the results of studies presented in Section 3.6 provide evidence that at least some

of the organic matter adsorbed to DPM deposited in the respiratory tract is eluted. The

percentage taken up and metabolized to an active form by target cells is, however, uncertain. 

Organics eluted from particles deposited in alveoli are likely to rapidly enter the bloodstream via

translocation across endothelial cells, where they may undergo metabolism by enzymes such as
3-38

cytochromes P-450 that are capable of producing reactive species. Organics eluted from particles

deposited in the conducting airways (the bronchioles, bronchi, and trachea) may also undergo

metabolism in other cell types such as the Clara cells with constituent or inducible cytochrome P450 species. Risk of harmful effects for particles deposited in the conducting airways is

predicted to be greater because solubilized organic compounds will be retained in the thicker

tissue longer, allowing for metabolism by epithelial cells lining the airways. Furthermore, since

some deposition in conducting airways occurs primarily at bifurcations, localized higher

concentrations may occur. 

3.6. MODELING THE DEPOSITION AND CLEARANCE OF PARTICLES IN THE

RESPIRATORY TRACT

3.6.1. Introduction

The biological effects of inhaled particles are a function of their disposition, i.e., their

deposition and clearance. This, in turn, depends on their patterns of deposition (i.e., the sites

within which particles initially come into contact with airway epithelial surfaces and the amount

removed from the inhaled air at these sites) and clearance (i.e., the rates and routes by which

deposited materials are removed from the respiratory tract). Removal of deposited materials

involves the competing processes of macrophage-mediated clearance and dissolution-absorption. 

Over the years, mathematical models for predicting deposition, clearance and, ultimately,

retention of particles in the respiratory tract have been developed. Such models help interpret

experimental data and can be used to make predictions of deposition for cases where data are not

available. A review of various mathematical particle deposition models was given by Morrow

and Yu (1993) and in U.S. EPA (1996). 

Currently available data for long-term inhalation exposures to poorly soluble particles

(e.g., TiO2, carbon black, and DPM) show that pulmonary retention and clearance of these

particles are not adequately described by simple first-order kinetics and a single compartment

representing the alveolar macrophage particle burden. Several investigators have developed

models for deposition, transport, and clearance of poorly soluble particulate matter in the lungs. 

All of these models identify various compartments and associated transport rates, but empirically

derived data are not available to substantiate many of the assumptions made in these models.

3.6.2. Dosimetry Models for DPM

3.6.2.1. Introduction

The extrapolation of toxicological results from laboratory animals to humans, the goal of

this chapter, requires the use of dosimetry models for both species that include, first, the

deposition of DPM in various regions of the respiratory tract, and second, the transport and
3-39

clearance of the particles, including adsorbed constituents, from their deposited sites. Therefore

the ideal model structure would incorporate both deposition and clearance in animals and

humans.

Deposition of particles in the respiratory tract, as described above, can be by impaction,

sedimentation, interception, and diffusion, with the contribution from each mechanism a

function of particle size, lung structure, and size and breathing parameters. Because of the size

of diesel particles, under normal breathing conditions most of this deposition takes place by

diffusion, and the fraction of the inhaled mass that is deposited in the thoracic region (i.e., TB

plus A regions) is substantially similar for rats and humans.

Among deposition models that include aspects of lung structure and breathing dynamics,

the most widely used have been typical-path or single-path models (Yu, 1978; Yu and Diu,

1983). The single-path models are based on an idealized symmetric geometry of the lung,

assuming regular dichotomous branching of the airways and alveolar ducts (Weibel, 1963). They

lead to modeling the deposition in an average regional sense for a given lung depth. Although

the lower airways of the lung may be reasonably characterized by such a symmetric

representation, there are major asymmetries in the upper airways of the tracheobronchial tree that

in turn lead to different apportionment of airflow and particulate burden to the different lung

lobes. The rat lung structure is highly asymmetric because of its monopodial nature, leading to

significant errors in a single-path description. This is rectified in the multiple-path model of the

lung, which incorporates asymmetry and heterogeneity in lung branching structure and calculates

deposition at the individual airway level. This model has been developed for the rat lung

(Anjilvel and Asgharian, 1995; Freijer et al., 1999) and, in a limited fashion because of

insufficient morphometric data, for the human lung (Subramaniam et al., 1998; Yeh and Schum,

1980). Such models are particularly relevant for fine and ultrafine particles such as occur in

DPM. However, models for clearance have not yet been implemented in conjunction with the

use of the multiple-path model.

Clearance of particles in the respiratory tract takes place (1) by mechanical processes:

mucociliary transport in the ciliated conducting airways and macrophage phagocytosis and

migration in the nonciliated airways, and (2) by dissolution. The removal of material such as the

carbonaceous core of DPM is largely by mechanical clearance, whereas the clearance of the

organics adsorbed onto the carbon core is principally by dissolution.

Several models currently exist that integrate both deposition and clearance, some specific

for humans and others specific for laboratory animals. They differ significantly in the level of

physiological detail that is captured in the model and in the uncertainties associated with the

values of the parameters used. All of these models identify various compartments and associated

transport rates, but empirically derived data are not available to validate many of the assumptions
3-40

made in the models. A review of the principal human and animal deposition/clearance models,

including candidate models for use in animal-to-human extrapolation in this assessment, are

considered below. 

3.6.2.2. Human Models

 The International Commission on Radiological Protection (ICRP) recommends specific

mathematical dosimetry models as a means to calculate the mass deposition and retention by

different parts of the human respiratory tract and, if needed, tissues beyond the respiratory tract. 

The latest ICRP-recommended model, ICRP66 (1994), considers the human respiratory tract as

four general anatomical regions: the ET region, which is divided into two subregions; the TB

region, which is also subdivided into two regions; and the gas-exchange tissues, which are

further defined as the alveolar-interstitial (AI) region but are exactly comparable to the

pulmonary or A region. The fourth region is the lymph nodes. The deposition component of the

model for the ET, TB, and A regions is semi-empirical based on equations derived from fitting

experimental deposition data. The dimensional model used for the TB and A regions was

adopted from several sources (Weibel, 1963; Yeh and Schum, 1980; and Phalen et al., 1985); the

physical aspects of the individual airway generations for these regions were all averaged after

each source was adjusted to a standard functional residual capacity. The equations for estimating

deposition in these areas was empirical, obtained from fitting data obtained from partial human

lung casts or from theoretical calculation for these regions. Deposition in the four regions is

given as a function of particle size with two different types of particle size parameters: activity

median thermodynamic diameter (AMTD) for deposition of particles ranging in size from 0.0005

to 1.0 :m and the activity median aerodynamic diameter (AMAD) for deposition of particles

from 0.1 to 100:m. Reference values of regional deposition are provided and guidance is given

for extrapolating to specific individuals and populations under different levels of activity. This

model also includes consideration of particle inhalability, a measure of the degree to which

particles can enter the respiratory tract and be available for deposition. After deposition occurs in

a given region, two different intrinsic clearance processes act competitively on the deposited

particles: particle transport, including mucociliary clearance from the respiratory tract and

physical clearance of particles to the regional lymph nodes; and absorption, including movement

of material to blood and both dissolution-absorption and transport of ultrafine particles. Rates of

particle clearance derived from studies with human subjects are assumed to be the same for all

types of particles. The ICRP model provides average concentration or average number values on

a regional basis, i.e., mass or number deposited or retained in the ET, TB, or A regions. 

Additionally, while the ICRP66 model was developed primarily for use with airborne radioactive
3-41

particles and gases in humans, its use for describing the dosimetry of inhaled mass of

nonradioactive substances in humans is also appropriate.

The National Council on Radiation Protection (NCRP) has issued a human respiratory

tract dosimetry model that was developed concurrently with the ICRP model (NCRP, 1997;

Phalen et al.,1991). It addresses (1) inhalability of particles, (2) new subregions of the

respiratory tract, (3) dissolution-absorption as an important aspect of the model, and (4) body size

(and age). The proposed NCRP model defines the respiratory tract in terms of a naso-oropharyngo-laryngeal (NOPL) region, a TB region, a pulmonary (P) region, and the lung-associated

lymph nodes (LN). Like the ICRP model, the deposition component of the model for the ET

region is semi-empirical, based on equations derived from fitting experimental deposition data. 

The dimensional model used for the TB and A regions was that of Yeh and Schum (1980). The

data from this model were used to estimate physical processes along a typical lung path (vice 

multiple-path; see MPPDep model description below) on a generation-by-generation basis. The

rates of dissolution-absorption of particles and their constituents are derived from clearance data

from humans and laboratory animals. The effect of body growth on particle deposition is also

considered in the model, although particle clearance rates are assumed to be independent of age. 

The NCRP model currently available considers deposition only within these regions of the

respiratory tract. As with the ICRP model, the NCRP model can be used for evaluating

inhalation exposures to all types of particles. Comparison of regional deposition patterns

estimated by the ICRP66 and the current NCRP models have been reported (Yeh et al., 1996). 

One principal difference between the models is the enhanced deposition of ultrafines in the

tracheobronchial region predicted by the NCRP model compared with the ICRP model. This

effect of enhanced deposition is claimed to be due to the entrance configuration of an airway

bifurcation. 

The model of Freijer et al. (1999) is a multiple-path particle deposition model (MPPDep)

for the human respiratory tract that differs fundamentally from the above two models as

described in the Introduction. Calculations from the model may be based on either single-path or

multiple-path methods for tracking air flow and calculating aerosol deposition in the lung. The

single-path method calculates deposition for a typical path, whereas the multiple-path method is

capable of incorporating the asymmetry in lung structure and providing lobar-specific and

airway-specific information. Two options are provided for idealizing the geometry of the human

lung; one uses a symmetric geometry for the whole lung and the second option captures the

asymmetry in the lobar structure, but treats the geometry within each lung lobe in a symmetric

fashion. Both models are constructed using morphometric data compiled by Yeh and Schum

(1980). Within each airway, deposition is calculated using theoretically derived efficiencies for

deposition by diffusion (most relevant to DPM), sedimentation, and impaction within the airway
3-42

or airway bifurcation. Filtration of particulate aerosols by the head is determined using empirical

efficiency functions. The model calculates deposition of monodisperse and polydisperse aerosols

in the respiratory tract of both humans (and rats) for particles ranging from ultrafine (0.01

microns) to coarse (20 microns) sizes. Various breathing patterns may be simulated:

endotratracheal, nasal, oral, and combined nasal and oral (oronasal). The exposure scenario may

be constant or variable. For the variable scenario, the user may specify different breathing

patterns either on an hourly basis during the day or activity patterns for variable time durations.

Adjustment for inhalability of the particle is also included as an option. The software in this

model provides results for the deposition fraction and mass deposited in the various regions of

the respiratory tract in graphical and text formats.

The combined model of Yu et al. (1991) has a human component that will be discussed

below. 

3.6.2.3. Animal Models

Strom et al. (1988) developed a multicompartmental model for particle retention that

partitioned the alveolar region into two compartments on the basis of the physiology of clearance. 

The alveolar region has a separate compartment for sequestered macrophages, corresponding to

phagocytic macrophages that are heavily laden with particles and clustered, and consequently

have significantly lowered mobility. The model has the following compartments:

(1) tracheobronchial tree, (2) free particulate on the alveolar surface, (3) mobile phagocytic

alveolar macrophages, (4) sequestered particle-laden alveolar macrophages, (5) regional lymph

nodes, and (6) gastrointestinal tract. The model is based on mass-dependent clearance (the rate

coefficients reflect this relationship), which dictates sequestration of particles and their eventual

transfer to the lymph nodes. The transport rates between various compartments were obtained by

fitting the calculated results to lung and lymph node burden experimental data for both exposure

and postexposure periods. Because the number of fitted parameters was large, the model is not

likely to provide unique solutions that would simulate experimental data from various sources

and for different exposure scenarios. For the same reason, it is not readily possible to use this

model for extrapolating to humans.

Stöber and co-workers have worked extensively in developing models for estimating

retention and clearance of relatively insoluble respirable particles (as DPM) in the lung. Their

most recent work (1994), a revised version of the POCK model, is a rigorous attempt to

incorporate most of the physiologically known aspects of alveolar clearance and retention of

inhaled relatively insoluble particles. Their multicompartmental kinetics model has five

subcompartments. The transfer of particles between any of the compartments within the alveolar

region is macrophage mediated. There are two compartments that receive particles cleared from
3-43

the alveolar regions: the TB tract and the lymphatic system. The macrophage pool includes both

mobile and particle-laden immobilized macrophages. The model assumes a constant maximum

volume capacity of the macrophages for particle uptake and a material-dependent critical

macrophage load that results in total loss of macrophage mobility. Sequestration of those

macrophages heavily loaded with a particle burden close to a volume load capacity is treated in a

sophisticated manner by approximating the particle load distribution in the macrophages. The

macrophage pool is compartmentalized in terms of numbers of macrophages that are subject to

discrete particle load intervals. Upon macrophage death, the phagocytized particle is released

back to the alveolar surface; thus phagocytic particle collection competes to some extent with

this release back to the alveolar surface. This recycled particle load is also divided into particle

clusters of size intervals defining a cluster size distribution on the alveolar surface. The model

yields a time-dependent frequency distribution of loaded macrophages that is sensitive to both

exposure and recovery periods in inhalation studies.

The POCK model also emphasizes the importance of interstitial burden in the particle

overload phenomenon and indicates that particle overload (Section 3.4) is a function of a massive

increase in particle burden of the interstitial space rather than total burden of the macrophage

pool. The relevance of the increased particle burden in the interstitial space lies with the fact that

this compartmental burden is not available for macrophage-mediated clearance and, therefore,

persists even after cessation of exposure. 

Although the POCK model is the most sophisticated in the physiological complexity it

introduces, it suffers from a major disadvantage. Experimental retention studies provide data

only on total alveolar and lymph node mass burdens of the particles as a function of time. The

relative fraction of the deposition between the alveolar subcompartments in the Stöber model

therefore cannot be obtained experimentally; the model thus uses a large number of parameters

that are simultaneously fit to experimental data. Although the model predictions are tenable,

experimental data are not currently available to substantiate the proposed compartmental burdens

or the transfer rates associated with these compartments. Thus, overparameterization in the

model leads to the possibility that the model may not provide a unique solution that may be used

for a variety of exposure scenarios, and for the same reason, cannot be used for extrapolation to

humans. Stöber et al. have not developed an equivalent model for humans; therefore the use of

their model in our risk assessment for diesel is not attempted. 

3.6.2.4. Combined Models (for interspecies extrapolation)

Currently available data for long-term inhalation exposures to poorly soluble particles

(e.g., TiO2, carbon black, and DPM) show that pulmonary retention and clearance of these

particles are not adequately described by simple first-order kinetics and a single compartment
3-44

representing the alveolar macrophage particle burden. A two-compartment lung model that

could be applied to both humans and animals was developed by Smith (1985) and includes

alveolar and interstitial compartments. For uptake and clearance of particles by alveolar surface

macrophages and interstitial encapsulation of particles (i.e., quartz dust), available experimental

data show that the rate-controlling functions followed Michaelis-Menton type kinetics, whereas

other processes affecting particle transfer are assumed to be linear. The model was used in an

attempt to estimate interstitial dust and fibrosis levels among a group of 171 silicon carbide

workers; the levels were then compared with evidence of fibrosis from chest radiographs. A

significant correlation was found between estimated fibrosis and profusion of opacities on the

radiographs. This model provides as many as seven different rate constants derived by various

estimations and under various conditions from both animal and human sources. The model was

intended for estimation of generalized dust described only as respirable without any other regard

to sizing for establishing the various particle-related rate constants. As most of the described

functions could not be validated with experimental data, the applicability of this model,

especially for particulates in the size range of DPM, was unclear. 

Yu et al. (1991; also reported as Yu and Yoon, 1990) have developed a threecompartment lung model that consists of tracheobronchial (T), alveolar (A), and lymph node (L)

compartments (Appendix A, Figure A-1) and, in addition, considered filtration by a

nasopharyngeal or head (H) compartment. The tracheobronchial compartment is important for

short-term considerations, whereas long-term clearance takes place via the alveolar compartment. 

In contrast to the Stöber and Strom approaches, the macrophage compartment in the Yu model

contains all of the phagocytized particles; that is, there is no separate (and hypothetical)

sequestered macrophage subcompartment. Absorption by the blood (B) and gastrointestinal (G)

compartments was also considered. Although the treatment of alveolar clearance is

physiologically less sophisticated than that of the Stöber et al. model, the Yu model provides a

more comprehensive treatment of clearance by including systemic compartments and the head,

and including the clearance of the organic components of DPM in addition to the relatively

insoluble carbon core. 

 In order to progress beyond the classical human ICRP66 retention model, Yu has

addressed the impairment of long-term clearance (the overload effect) by using a set of variable

transport rates for clearance from the alveolar region as a function of the mass of DPM in the

alveolar compartment. A functional relationship for this was derived mathematically (Yu et al.,

1989) based upon Morrow’s hypothesis for the macrophage overload effect discussed earlier in

the section on pulmonary overload. The extent of the impairment depends on the initial particle

burden, with greater particulate concentration leading to slower clearance.
3-45

Within this model, DPM is treated as being composed of three material components: a

relatively insoluble carbonaceous core, slowly cleared organics (10% particle mass), and fastcleared organics (10% particle mass). Such a partitioning of organics was based on observations

that the retention of particle-associated organics in lungs shows a biphasic decay curve (Sun et

al., 1984; Bond et al., 1986). For any compartment, each of these components has a different

transport rate. The total alveolar clearance rate of each material component is the sum of

clearance rates of that material from the alveolar to the tracheobronchial, lymph, and blood

compartments. In the Strom and Stöber models discussed above, the clearance kinetics of DPM

were assumed to be entirely dictated by those of the relatively insoluble carbonaceous core. For

those organic compounds that become dissociated from the carbon core, clearance rates are likely

to be very different, and some of these compounds may be metabolized in the pulmonary tissue

or be absorbed by blood. 

The transport rates for the three components were derived from experimental data for rats

using several approximations. The transport rates for the carbonaceous core and the two organic

components were derived by fitting to data from separate experiments. Lung and lymph node

burdens from the experiment of Strom et al. (1988) were used to determine the transport rate of

the carbonaceous core. The Yu model incorporates the impairment of clearance by including a

mass dependency in the transport rate. This mass dependency is easily extracted because the

animals in the experiment were sacrificed over varying periods following the end of exposure. 

It was assumed that the transport rates from the alveolar and lymph compartments to the

blood were equal and independent of the particulate mass in the alveolar region. The clearance

rates of particle-associated organics for rats were derived from the retention data of Sun et al.

(1984) for B[a]P and the data of Bond et al. (1986) for nitropyrene adsorbed on diesel particles.

In their model Yu et al. (1991) make two important assumptions to carry out the

extrapolation in consideration of inadequate human data. First, the transport rates of organics in

the DPM do not change across species. This is based upon lung clearance data of inhaled

lipophilic compounds (Schanker et al., 1986), where the clearance was seen to be dependent on

the lipid/water partition coefficient. In contrast, the transport rate of the carbonaceous core is

considered to be significantly species dependent (Bailey et al., 1982). DPM clearance rate is

determined by two terms in the model (see Equation A-82 in Appendix A). The first,

corresponding to macrophage-mediated clearance, is a function of the lung burden and is

assumed to vary significantly across species. The second term, a constant, corresponding to

clearance by dissolution, is assumed to be species independent. The mass-dependent term for

humans is assumed to vary in the same proportion as in rats under the same unit surface

particulate dose. The extrapolation is then achieved by using the data of Bailey et al. (1982) for

the low lung burden limit of the clearance rate. This value of 0.0017/day was lower (i.e., slower)
3-46

than the rat value by a factor of 7.6. This is elaborated further in Appendix A. Other transport

rates that have lung burden dependence are extrapolated in the same manner.

It should be noted that the Bailey et al. (1982) experiment in humans used fused

monodisperse aluminosilicate particles of 1.9 and 6.1 :m aerodynamic diameters. Yu and coworkers have used the longer of the half-times observed in this experiment to obtain an alveolar

human clearance rate (8), of 0.00169/day. In using such data for DPM 0.2 :m in diameter, they

have assumed the clearance of relatively insoluble particles to be independent of size over the

range in diameter from 6.1 down to 0.2 :m. This assumption is consistent with observations and

views currently in the literature indicating that clearance mechanisms are not particularly

particle-size dependent (Morrow et al., 1967a,b; Snipes et al., 1983). That the linear dimensions

of an alveolar macrophage, considered to be the principal means of clearance in the A region, are

significantly larger, roughly 10 :m (Yu et al., 1996), and could therefore accommodate

engulfment of a range of particle sizes also makes this assumption reasonable. Snipes (1979),

however, has reported in rats a 8 (converted here from half-time values) of 0.0022/day for 1 and

2 :m particles but a higher value of 0.0039/day for 0.4 :m particles indicating that clearance

rates may indeed depend on size. In the absence of reliable data for 0.2 :m particles, the slower

clearance rate pertaining to this larger particle size, i.e., 0.00169/day, is being used. Such a

choice may underestimate the actual DPM clearance rate in humans. The resulting model output

(i.e., lung DPM burden) from this slower rate would predict more DPM in the alveolar space

than may actually be present at any given time. Therefore, use of this slower 8 may be

considered to be more protective of human health. Long-term clearance rates for particle sizes

more comparable to DPM are available, e.g., iron oxide and polystyrene spheres (Waite and

Ramsden, 1971; Jammet et al., 1978), but these data show a large range in the values obtained

for half-lives or are based upon a very small number of trials, and therefore compare unfavorably

with the quality of data from the Bailey experiment. 

The deposition fractions of particulate matter in the pulmonary and tracheobronchial

regions of the human lung remain relatively unchanged over the particle size range between

0.2 and 1.0 :m, on the basis of analysis done with the ICRP model (ICRP66, 1994). As the

clearance of relatively insoluble particles is also likely to remain the same over this range, the

dosimetry results in this report for the carbonaceous core component of DPM could also be

extended to other particles in this size range within the PM2.5. For respirable particles with

diameters larger than this range, e.g., between 1.0 and 3.5 :m, the extent of the fraction deposited

in the pulmonary region is unclear. Results from the ICRP66 (1994) model predict little change

in human deposition for this diameter range, whereas the earlier model of Yu and Diu (1983)

predicts a significant increase as reported in ICRP66 (1994). It is therefore unclear if either

model would be applicable for particles in this larger-sized range without changing the value for
3-47

the deposition fractions. As will be presented and discussed below, regional deposition fractions

of DPM-sized particles from the MPPDep, the ICRP66 (1994) and draft NCRP models compare

favorably with the human alveolar deposition in humans specific for DPM, which has been

estimated with the Yu model to be 7% to 13% (Yu and Xu, 1986).

Although there was good agreement between experimental and modeled results, this

agreement follows a circular logic (as adequately pointed out by Yu and Yoon [1990]) because

the same experimental data that figured into the derivation of transport rates were used in the

model. Nevertheless, even though this agreement is not a validation, it provides an important

consistency check on the model. Further experimental data and policy definitions on what

constitutes validation would be necessary for a more formal validation. 

The model showed that at low lung burdens, alveolar clearance is dominated by

mucociliary transport to the tracheobronchial region, and at high lung burdens, clearance is

dominated by transport to the lymphatic system. The head and tracheobronchial compartments

showed quick clearance of DPM by mucociliary transport and dissolution. Lung burdens of both

the carbonaceous core and organics were found to be greater in humans than in rats for similar

periods of exposure. 

The Yu and Yoon (1990) version of the model provides a parametric study of the

dosimetry model, examining variation over a range of exposure concentrations, breathing

scenarios, and ventilation parameters; particle mass median aerodynamic diameters; and

geometric standard deviations of the aerosol size distribution. It examines how lung burden

varies with age for exposure over a lifespan, provides dosimetry extrapolations to children, and

examines changes in lung burden with lung volume. The results showed that children would

exhibit more diminished alveolar clearance of DPM at high lung burden than adults when

exposed to equal concentrations of DPM. These features make the model easy to use in risk

assessment studies. The reader is referred to Appendix A for further details on the model and for

analyses of the sensitivity of the model to change in parameter values. 

The Yu model presents some uncertainties in addition to those discussed earlier in the

context of particle size dependence of clearance rate. The reports of Yu and Yoon (1990) as well

as Yu et al. (1991) underwent extensive peer review; we list below the most important among the

model uncertainties discussed by the review panel. The experimental data used by the Yu model

for adsorbed organics used passively adsorbed radiolabeled compounds as surrogates for

combustion-derived organics. These compounds may adhere differently to the carbon core than

do those formed during combustion. Yu has estimated that slowly cleared organics represent

10% of the total particle mass; the actual figure could be substantially less; the reviewers

estimate that the amount of tightly bound organics is probably only 0.1% to 0.25% of the particle

mass.
3-48

The model was based upon the experimental data of Strom et al. (1988), where

Fischer-344 rats were exposed to DPM at a concentration of 6.0 mg/m3 for 20 h/day and 7

days/week for periods ranging from 3 to 84 days. Such exposures lead to particle overload

effects in rats, whereas human exposure patterns are usually to much lower levels at which

overload will not occur. Parameters obtained by fitting to data under the conditions of the

experimental scenario for rats may not be optimal for the human exposure and concentration of

interest.

The extrapolation of retained dose from rats to humans assumed that the macrophagemediated mechanical clearance of the DPM varies with the specific particulate dose to the

alveolar surface in the same proportion in humans and in rats, whereas clearance rates by

dissolution were assumed to be invariant across species. These assumptions have not been

validated.

It should also be noted that the Yu et al. (1991) model does not possess a formal 

interstitial compartment although the lymph nodes, which would be the repository of particles

from the interstitium, are represented. The work of Nikula et al. (1997a,b) and of Kuempel

(2000) provide compelling information on the significance of an extensive interstitilization

process in primates and in humans. Kuempel (2000) developed a lung dosimetry model to

describe the kinetics of particle clearance and retention in coal miners' lungs. Models with

overloading of lung clearance, as observed in rodent studies, were found to be inadequate to

describe the end-of-life lung dust burdens in those miners. The model that provided the best fit

to the human data included a sequestration process representing the transfer of particles to the

interstitium. These findings are consistent with a study showing reduced lung clearance of

particles in retired coal miners (Freedman and Robinson, 1988) and with studies showing

increased retention of particles in the lung interstitium of humans and nonhuman primates

compared to rodents exposed to coal dust and/or DE (Nikula et al., 1997a,b). These findings are

also consistent with the established observation that humans and primates clear particles slowly

from the alveolar interstitium compared with rates in rodent species such as rats and mice (Hsieh

and Yu, 1998). Because several aspects of the Yu model have not been validated on human data

and because it does not include a formal interstitial compartment, it is acknowledged that this

model may therefore have some uncertainty concerning the lung burdens in humans exposed to

occupational levels of dust. However, it is also not known whether the model based on coal

miner data (Kuempel, 2000) would also describe the clearance and retention processes in the

lungs of humans with exposures to particles at lower environmental concentrations, or to

submicrometer particles such as DE particulate. Further investigation of these issues is needed.
3-49

3.6.2.5. Use of the Yu et al. (1991) Model for Interspecies Extrapolation

In addressing the objectives of this chapter, i.e., consideration of what is known and

applicable to DPM concerning particle disposition and the bioavailability of adsorbed organics

on DPM, it is apparent that the database is considerable for both the processes involved in

particle dosimetry and for DPM. This information makes the goal of predicting a human internal

dose from animal data through a model utilizing this database both feasible and appropriate. 

In their charge to EPA through “Science and Judgment in Risk Assessment” (NRC,

1995), the National Research Council opines that EPA should have principles for judging when

and how to depart from default options. The extensive data presented in this chapter their

scientific validity, and the limitations of the current default procedures provide a basis for

departing from the default options currently identified by the Agency for extrapolating from

animals to humans. The default option of assuming external concentrations of DPM in animal

studies as being representative of a human concentration (and an equivalent internal dose) is

clearly not adequate given the differences in the basic processes of deposition and clearance

between animals and humans documented by these data. Use of an alternate default option, the

Agency’s dosimetric adjustment procedures for inhaled particles in animal-to-human scenarios

(described in U.S. EPA, 1994), is also inadequate as only deposition is predicted and then only

down to an MMAD of 0.5 :m, whereas the MMAD of DPM is typically 0.2 :m or smaller. 

Models have been described in this section that consider both deposition and retention

specifically for DPM in both laboratory animals and in humans. These points provide

justification for moving away from default options and utilizing the best scientific information

available (i.e., that integrated into deposition/clearance models) in performing the animal-tohuman extrapolation.

Evaluation of the various models discussed in this chapter should be considered from the

aspect of both the rat and the human. For rats it is fairly clear that the rat portion of the model of

Yu et al. (1991) is the most appropriate because it is based on data, especially extensive

information on lung burdens, from actual DPM exposures. The model provides for both

deposition and integrated clearance for DPM as well as for two classes of adsorbed organics. 

The transport rates in the Yu model are derived directly from experiments with DPM exposed

rats.

For humans, however, several models are available and discussed above, none of which is

based on DPM-specific data. Deposition, but not clearance, modules are available for all models,

and Table 3-3 is an attempt to compare deposition projections of the various models to the extent

possible for particles in the range of characteristics of size, distribution, and density of DPM. 

Intake parameters such as breathing rates and minute volumes were also matched among the

various models. As alluded to above and shown in Table 3-3, DPM deposition is predicted to 
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Table 3-3. Model comparison for deposition of DPM under equivalent conditions

Compartment Yua

 ICRP66b MPPDep1.11c NCRPd

A (model

designation)

13% (A) 14.1% (AI) 16.6% (P) 17.3% (P)

ET (model

designation)

8% (H) 6% (ET1 + ET2) 8.7% (H) 6.6% (NOPL)

TB (model

designation)

8% (TB) 4% (BB + bb) 7.2% (TB) 6.2% (TB)

Total 29% 24.1% 32.5% 30.1%

a

Yu and Xu, 1987 (estimated from Figures 1 and 3).

b

Jarvis et al., 1996.

c

 Freijer et al., 1999 (The Yeh-Schum 5-lobe and URT volume of 50 mL options were used.)

d

NCRP, 1997.

Note: Particle characteristics were set at 0.2 MMAD, 2.4 sigma g, 1.5 shape factor (equivalent to 0.3 packing

factor), density 1.5 and a concentration of 5 :g/m3

. Lung parameters were set at 15 breaths per minute, a tidal

volume of 0.926 L/hr, and a functional residual capacity (FRC) of 3300 mL.

occur in all regions of the respiratory tract but, because diffusion would be the most likely

mechanism of deposition, is most prominent in the alveolar region. When run under equivalent

conditions, all models show that higher deposition in the alveolar region is higher, generally by a 

factor of about 2, than the other regions of the respiratory tract. The percentages projected by the

different models to be deposited in the alveolar regions were all similar to one another with a

range of only 13% for the Yu model to 17.3 % for the NCRP model. The total deposition of

DPM-like particles predicted by the models was also very similar at around 30%. Only the ICRP

model differed appreciably from the others in total deposition by a factor of about 1.3 less at 

22.9%. Due to its verity and completeness in representation of the lung, the MPPDep model

could be considered the most theoretically advanced of these deposition models and, presumably,

the most accurate. It can be seen that, at least at the concentration tested, the Yu results and

those of the MPPDep model could be judged very similar if not the same in the ET and TB

regions, albeit with the MPPDep predicting slightly more deposition in the A region. Based on

this limited analysis, total and regional DPM deposition in the human respiratory tract predicted

by the Yu model appear similar to other available human models. 

Further model comparison may be undertaken for those human models that have

clearance as well as deposition modules available; from Table 3-3, these include the Yu et al.

(1991) and ICRP66 models. Therefore, the human lung burden outputs of these two models were

compared under equivalent physiological parameters, particle characteristics, and duration (70

years) and concentrations of exposure (Figure 3-9).
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Figure 3-9. Modeled estimates of lung burden in humans after a

simulated lifetime exposure to DPM using the Yu et al. (1991;[o]) and

ICRP66 (9) models. Simulations include both deposition and

clearance. Simulations were run for 70 years using a respiratory

frequency of 15 min-1 and a tidal volume of 0.926 L/breath for a total

daily air intake of 20 m3/day for the various concentrations shown. 

Particle characteristics in the ICRP66 model, including MMAD, Fg,

density, and packing/shape factor were all matched to those used in

the Yu model.

 At DPM concentrations up to about 0.2 mg/m3

, the outputs (lung burden) from these two

models are essentially identical (see insert) indicating little if any difference between them in this

concentration range. This observation is consonant with the minor differences noted in

deposition (Table 3-3).

Above 0.2 mg/m3 DPM, both models continue to demonstrate a monotonic increase in

lung burden with increasing concentration. However, the output of the Yu et al. (1991) model

begins to diverge markedly from the burdens predicted by the ICRP model such that the Yu

model predicts a greater burden for a given concentration of DPM than does the ICRP66 model. 

This situation would be predicted based on the assumption in the human portion of the Yu model

of a concentration-dependent macrophage inhibition and particle overload occurring in humans;

such an inhibition would result in impaired clearance processes, thereby allowing for a greater

accumulation of material in the lung with increasing concentrations of DPM. This assumption is

not made in the ICRP model, and materials are therefore not predicted to accumulate in the lung

to the extent predicted by the Yu model.
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Based on this limited analysis of models and the predictions from them for both

deposition and clearance of DPM in humans, the model of Yu et al. (1991) can be seen to

perform similarly to other available state-of-the-art models. The Yu model(s) are chosen for

further analysis for the purposes of this document primarily because the animal portion of the

model is based on DPM-specific data and the human components of the model have both

deposition and clearance capacities that do not appear different from other available human

respiratory tract models. 

3.6.2.6. Model Variability

As demonstrated in Table 3-3 and Figure 3-9, there appears to be little variability among

state-of-the-art models available for predicting disposition (both for deposition and for clearance

integrated with deposition) of low levels of DPM (i.e., up to about 200 :g/m3

) in the respiratory

tracts of humans.

Intersubject variability and its relationship to model output, however, is acknowledged in

the ICRP model for deposition efficiencies (ICRP, 1994). This variability, recognized as

substantial by ICRP, is addressed through use of scaling constants derived from estimates of the

upper and lower confidence bounds for regional deposition efficiencies, with the scaling

constants representing the variability in the population. It should be noted that the same

philosophy is inherent in dose-response methodologies such as the RfC, where variability in the

population is accommodated by a 10-fold uncertainty factor rather than by scaling constants.

Inspection of data in ICRP66 (e.g., Figures D-4 through D-7 in the ICRP reference) on nasal and

extrathoracic deposition in adult males shows that these upper and lower boundaries on output

due to intersubject variability are considerably less than 10-fold different from one another. 

Thus, dividing model outputs by a factor of 10 such as is done in RfC derivation may well be

inclusive of not only intersubject variability but also of any model-to-model variability as they

exist currently.

3.6.2.7. Model Comparison — Estimations of Deposition of Adsorbed Organics

The data presented in Table 3-3 may be viewed as single-breath estimates of DPM

deposition patterns in the various regions of the human lung under the breathing patterns and

conditions described in the table for the different models considered in this report. From these

data it is possible to estimate the total mass of DPM deposited in the pulmonary region under a

given set of conditions. Furthermore, if the fraction of organics present on DPM and their ability

to be desorbed or eluted from the DPM are assumed also to be the same, then these deposition

data could be used to estimate the dose of organics to pulmonary tissues. Such a comparison

would not only yield an estimate of the amount of organics but also lend a further comparison
3-53

between the different human models. This exercise was performed for humans breathing 5 :g

DPM/m3

 continuously, and the results are presented in Table 3-4 below.

Table 3-4. Comparative model estimates of DPM deposition in human lungs from exposure

to 5 :g/m3 continuously for one year

AB C D

Human

deposition

model

Alveolar

Depa

:g DPM

deposited/yearb

:g organics

deposited/yearc

:g carcinogenic PAH

deposited/yeard

Yu et al. (1991) 13% 4745 598 1.82

ICRP66 14.1% 5147 649 1.98

MPPDep 16.6% 6059 763 2.33

NCRP 17.3% 6315 796 2.43

a

Alveolar deposition fractions predicted for DPM (Yu et al., 1991) and for particles with DPM characteristics (from

Table 3-3). No clearance is included in this calculation.

b

A total air intake of 20 m3/day is assumed. These numbers were obtained by factoring 20 m3 × 5 :g DPM/m3 ×

Alveolar deposition % (column A) × 365 days/year. 

c

In three samples of DPM extract, DPM-associated organics were noted as being 11.1%, 14.7%, and 12.1% wt.

organics/wt. DPM (Tong and Karasek, 1984) with the average being 12.6%; column B is factored by this average to

generate column C.

d

Those seven PAHs identified as being carcinogenic either to humans or to animals (U.S. EPA, 1993) were summed

from the data of Tong and Karasek (1984), where they are reported as a concentration in extract from DPMassociated organics. In three different samples, the content of these 7 PAHs was noted as 4739, 2054, and 2360

ng/mg of organic extract, with the average being 3051 ng/mg (3.051 :g/mg) organic extract. This average value

was factored with Column C (in mg) to generate column D.

Note: Estimates from different human deposition models of the total amount of DPM-associated organics deposited

in the pulmonary regions in humans breathing DPM at 5 :g/m3

 continuously for 1 year.

As may be expected, the relatively minor differences (17.3 % / 13% = 1.3) in the

deposition of DPM among the different human models leads to similarly minor differences in

projections of dose of carcinogenic PAHs to the lung at a relatively low concentration of 5 :g/m3

DPM. Somewhat unexpected is the small absolute quantity of carcinogenic PAH that may be

delivered to the lung tissues under the conditions of exposure to DPM in this exercise. It should

be noted that exercises similar to this have been carried out by others, e.g., Valberg and Watson

(1999). However, the possibility that high concentrations of DPM may result in localized areas

of deposition (such as the conducting airways), the fact that human exposures may be
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considerably greater than those presupposed in the exercise (e.g., 5 :g/m3

), the nature of the

assays (i.e., in vitro in Chapter 4 vs. actual inhalation exposures), and the findings that DNA

adducts may result from other known noncarcinogens such as carbon black (Bond et al., 1990)

make the interpretation of such exercises problematic and their meaning unclear. 

3.7. SUMMARY AND DISCUSSION

The most consistent historical measure of exposure for DE is DPM in units of :g or mg

particles/m3, with the underlying assumption that all components of diesel emissions (e.g.,

organics in the form of volatilized liquids or gases) are present in proportion to the DPM mass. 

DPM is used as the basic dosimeter for effects from various scenarios such as chronic and acute

exposures as well as for different endpoints such as irritation, fibrosis, or even cancer. There is,

however, little evidence currently available to prove or refute DPM as being the most appropriate

dosimeter.

DPM dose to the tissue is related to the extent of the deposition and clearance of DPM. 

DPM may deposit throughout the respiratory tract via sedimentation or diffusion, with the latter

being prevalent in the alveolar region. Particles that deposit upon airway surfaces may be cleared

from the respiratory tract completely or may be translocated to other sites by regionally distinct

processes that can be categorized as either absorptive (i.e., dissolution) or nonabsorptive (i.e.,

transport of intact particles via mucociliary transport). Other mechanisms that can affect

retention of DPM include endocytosis by alveolar lining cells and interstitialization, which lead

to the accumulation of DPM in the interstitial compartment of the lung and subsequent

translocation of DPM to lymph nodes; interstitialization of poorly soluble particles may be

prominent in primates and humans compared with rodents, although different rates for this path

could also explain observed results. For poorly soluble particles such as DPM, speciesdependent rate constants exist for the various clearance pathways that can be modified by factors

such as respiratory tract disease.

In rats, prolonged exposure to high concentrations of particles will result in particle

overload, a condition that is defined as the overwhelming of macrophage-mediated clearance by

the deposition of particles at a rate exceeding the capacity of that clearance pathway. This

condition seems to begin to occur in rats when the pulmonary dust burden exceeds about 1 mg

particles/g lung tissue. On the other hand, there is no clear evidence for particle overload in

humans. Macrophage-mediated clearance is slower in humans than in rats, and kinetics relating

to interstitialization of poorly soluble particulate matter may have a greater consequence in

humans than in rats.

The degree of bioavailability of the organic fraction of DPM is still somewhat uncertain. 

However, reports of DNA alterations in occupationally exposed workers, as well as results of
3-55

animal studies using radiolabeled organics deposited on DPM, indicate that at least a fraction of

the organics present are eluted prior to particle clearance. Carcinogenic organics eluted in

regions where diffusion may be a relatively long process, such as in the conducting airways vs

the alveolar region, may remain in the lung long enough to be metabolized to an active form or to

interact directly with vital cellular components. The current information suggests that DPMassociated organics could be involved in a carcinogenic process, although the quantitative data

are far from adequate to make any firm conclusions.

Use of laboratory animal data in an assessment meant to be applied to humans obligates

some form of interspecies extrapolation. Review and evaluation of the considerable, specific

database in humans and animals on disposition of DPM, its adsorbed organics, and other poorly

soluble particles led to the judgment that default options available for interspecies dosimetry

adjustment could be set aside for more scientifically valid, DPM-specific processes. Refinement

of this process led to the evaluation of several applicable dosimetry models that in turn led to the

identification and choice of the Yu et al. (1991) model to conduct interspecies extrapolation. 

This model has a three-compartment lung consisting of tracheobronchial, alveolar, and lymph

node compartments. It treats DPM as being composed of the insoluble carbonaceous core,

slowly cleared organics, and fast-cleared organics, and considers in an integrative manner the

simultaneous processes of both deposition and clearance through empirical data derived from

both laboratory animals and humans. Also, the model has some limited consideration of model

variability in its outputs describing dose to the lung. Major assumptions made in this model

include that transport rates of organics in DPM do not change across species and that the

transport rate of the carbonaceous core is species dependent, with the clearance rate varying with

the dose to the alveolar surface in the same proportion in humans as in rats. Limitations of the

model include the lack of definitive information on variability and, quite possibly, the lack of a

formal interstitial compartment that may be of consequence in humans. The basis of this model

is to derive an internal dose from an external DPM concentration by utilizing species-specific

physiological and pharmacokinetic parameters and, as such, is considered to have addressed the

pharmacokinetic aspects of interspecies dosimetry. This aspect of the model addresses some of

the critical data needs for the quantitative analysis of noncancer effects from DPM, the subject

of Chapter 6.

As parallels have been drawn between DPM and PM2.5 in other chapters, it is perhaps

appropriate to compare them also from the aspect of dosimetry. Obvious comparisons include

the nature of the particle distribution, defined artificially for PM2.5 as compared with the thorough

characterization of DPM for both MMAD (which, at around 0.2 :m, is typically more than an

order of magnitude less than the PM2.5 cutoff and which, more properly, should be termed a mass

median thermodynamic diameter, an MMTD) and geometric standard deviation. It is clear that a
3-56

larger portion of PM2.5 particles than DPM would be above the aerodynamic equivalent diameter

(dae) of 0.5 :m, which is often considered as a boundary between diffusion and aerodynamic

mechanisms of deposition. This would imply that a somewhat larger portion of DPM may pass

on to the lower respiratory tract than would PM2.5. Alveolar deposition in humans specific for

DPM has been estimated with the Yu model to be 7%-13% (Yu and Xu, 1986), a figure that is

consistent with deposition predictions of other human models (see Table 3-3). This fractional

deposition may be compared to one calculated for PM2.5 and reported in U.S. EPA (1996a);

assuming a MMAD of 2.25 :m and a geometric standard deviation of 2.4, a fractional alveolar

deposition of 10.2% was reported. This value is within the range and quite comparable to that

obtained by Yu and Xu (1986), indicating that little difference may exist in alveolar deposition

between DPM and PM2.5, at least for this assumed geometric standard deviation.

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4. MUTAGENICITY 

The application of mutagenicity data to the question of the potential carcinogenicity of 

diesel emissions is based on the premise that genetic alterations are found in all cancers and that 

several of the chemicals found in diesel emissions possess mutagenic activity in a variety of 

genetic assays. These genetic alterations can be produced by gene mutations, deletions, 

translocations, aneuploidy, or amplification of genes; hence no single genotoxicity assay should 

be expected to predict rodent carcinogenicity. Additionally, because of the inherent biological 

differences of measured endpoints, both within genotoxicity assays and between genotoxicity 

assays and cancer bioassays, a direct extrapolation should not be expected (see Brusick [1987] 

for a more detailed discussion). Indeed, most genotoxicity data are generated with in vitro 

assays that frequently employ concentrations of test agent that may be orders of magnitude 

greater than encountered in environmental situations. With diesel emissions or other mixtures, 

additional complications arise because of the complexity of the material being tested. 

Since 1978, more than 100 publications have appeared in which genotoxicity assays were 

used with diesel emissions, the volatile and particulate fractions (including extracts), or 

individual chemicals found in diesel emissions. The Huisingh et al. (1978) report not only 

identified mutagenic activity in salmonella in several fractions of diesel particular mater (DPM) 

extracts, but also indicated that the mutagenic activity, especially quantitatively, was affected by 

the extraction solvent as well as method and length of storage. Much of the ensuing research 

employed bioassays (most commonly salmonella TA98 without S9) to evaluate (1) extraction 

procedures, (2) fuel modifications, (3) bioavailability of chemicals from DPM, and (4) exhaust 

filters or other modifications and other variables associated with diesel emissions. The interest 

in the contribution of mutagens to carcinogenicity was high in the early 1980s and the lack of 

long- term rodent carcinogenicity information on diesel emissions led to the use of 

semiquantitative mutagenicity (and in vitro cell transformation) data from diesel emissions and 

epidemiology based cancer potency estimations to derive a comparative potency estimate for 

diesel emissions first published by Albert et al. (1983) and more fully discussed in Appendix C 

of this report. 

As indicated in Chapter 2, the number of chemicals in diesel emissions is very large. 

Many of these have been determined to exhibit mutagenic activity in a variety of assay systems 

(see Table II. in Claxton, 1983). Although a detailed discussion of those data is beyond the 

scope of this document, some of the mutagenically active compounds found in the gas phase are 

ethylene, benzene, 1,3-butadiene, acrolein and several PAHs (see Table 2-21). Of the particleassociated chemicals, several PAHs and nitro-PAHs have been the focus of mutagenic 

investigations both in bacteria and in mammalian cell systems (see Table 2-22). Several review 

4-1
articles, some containing more detailed descriptions of the available studies, are available 

(Claxton, 1983; Pepelko and Peirano, 1983; International Agency for Research on Cancer, 1989; 

Shirnamé-Moré, 1995). Discussions of genotoxicity in the proceedings of several symposia on 

the health effects of diesel emissions (U.S. EPA, 1980; Lewtas, 1982; Ishinishi et al., 1986) are 

also available. 

4.1. GENE MUTATIONS 

Huisingh et al. (1978) demonstrated that dichloromethane extracts from DPM were 

mutagenic in strains TA1537, TA1538, TA98, and TA100 of S. typhimurium, both with and 

without rat liver S9 activation. This report contained data from several fractions as well as DPM 

from different vehicles and fuels. Similar results with diesel extracts from various engines and 

fuels have been reported by a number of investigators using the salmonella frameshift-sensitive 

strains TA1537, TA1538, and TA98 (Siak et al., 1981; Claxton, 1981; Dukovich et al., 1981; 

Brooks et al., 1984). Similarly, mutagenic activity was observed in salmonella forward mutation 

assays measuring 8-azaguanine resistance (Claxton and Kohan, 1981) and in E. coli mutation 

assays (Lewtas, 1983). 

One approach to identifying significant mutagens in chemically complex environmental 

samples such as diesel exhaust or ambient particulate extracts is the combination of short-term 

bioassays with chemical fractionation (Scheutzle and Lewtas, 1986). The analysis is most 

frequently carried out by sequential extraction with increasingly polar or binary solvents. 

Fractionation by silica-column chromatography separates compounds by polarity or into acidic, 

basic, and neutral fractions. The resulting fractions are too complex to characterize by chemical 

methods, but the bioassay analysis can be used to determine fractions for further analysis. In 

most applications of this concept, salmonella strain TA98 without the addition of S9 has been 

used as the indicator for mutagenic activity. Generally, a variety of nitrated polynuclear 

aromatic compounds have been found that account for a substantial portion of the mutagenicity 

(Liberti et al., 1984; Schuetzle and Frazer, 1986; Schuetzle and Perez, 1983). However, not all 

bacterial mutagenicity has been identified in this way, and the identity of the remaining 

mutagenic compounds remains unknown. The nitrated aromatics thus far identified in diesel 

engine exhaust (DE) were the subject of review in the IARC monograph on DE (International 

Agency for Research on Cancer, 1989). In addition to the simple qualitative identification of 

mutagenic chemicals, several investigators have used numerical data to express mutagenic 

activity as activity per distance driven or mass of fuel consumed. These types of calculations 

have been the basis for estimates that the nitroarenes (both mono- and dinitropyrenes) contribute 

a significant amount of the total mutagenic activity of the whole extract (Nishioka et al., 1982; 

Salmeen et al., 1982; Nakagawa et al., 1983). In a 1983 review, Claxton discussed a number of 

4-2
factors that affected the mutagenic response in salmonella assays. Citing the data from the 

Huisingh et al. (1978) study, the author noted that the mutagenic response could vary by a factor 

of 100 using different fuels in a single diesel engine. More recently, Crebelli et al. (1995) used 

salmonella to examine the effects of different fuel components. They reported that although 

mutagenicity was highly dependent on aromatic content, especially di- or triaromatics, there was 

no clear effect of sulfur content of the fuel. Later, Sjögren et al. (1996) using multivariate 

statistical methods with ten diesel fuels concluded that the most influential chemical factors in 

salmonella mutagenicity were sulfur contents, certain PAHs (1-nitropyrene) and naphthenes. 

Matsushita et al. (1986) tested particle-free DE gas and a number of benzene nitroderivatives and polycyclic aromatic hydrocarbons (PAHs) (many of which have been identified 

as components of DE gas). The particle-free exhaust gas was positive in both TA100 and TA98, 

but only without S9 activation. Of the 94 nitrobenzene derivatives tested, 61 were mutagenic, 

and the majority showed greatest activity in TA100 without S9. Twenty-eight of 50 PAHs tested 

were mutagenic, all required the addition of S9 for detection, and most appeared to show a 

stronger response in TA100. When 1,6-dinitropyrene was mixed with various PAHs or an 

extract of heavy-duty (HD) DE, the mutagenic activity in TA98 was greatly reduced when S9 

was absent but was increased significantly when S9 was present. These latter results suggested 

that caution should be used in estimating mutagenicity (or other toxic effects) of complex 

mixtures from the specific activity of individual components. 

Mitchell et al. (1981) reported mutagenic activity of DPM extracts of diesel emissions in 

the mouse lymphoma L5178Y mutation assay. Positive results were seen both with and without 

S9 activation in extracts from several different vehicles, with mutagenic activity only slightly 

lower in the presence of S9. These findings have been confirmed in a number of other 

mammalian cell systems using several different genetic markers. Casto et al. (1981), Chescheir 

et al. (1981), Li and Royer (1982), and Brooks et al. (1984) all reported positive responses at the 

HPRT locus in Chinese hamster ovary (CHO) cells. Morimoto et al. (1986) used the APRT and 

Ouar

 loci in CHO cells; Curren et al. (1981) used Ouar in BALB/c 3T3 cells. In all of these 

studies, mutagenic activity was observed without S9 activation. Liber et al. (1981) used the 

thymidine kinase (TK) locus in the TK6 human lymphoblast cell line and observed induced 

mutagenesis only in the presence of rat liver S9 when testing a methylene chloride extract of DE. 

Barfknecht et al. (1982) also used the TK6 assay to identify some of the chemicals responsible 

for this activation-dependent mutagenicity. They suggested that fluoranthene, 1-

methylphenanthrene, and 9-methylphenanthrene could account for over 40% of the observed 

activity. 

Morimoto et al. (1986) injected DPM extracts (250 to 4,000 mg/kg) into pregnant Syrian 

hamsters and measured mutations at the APRT locus in embryo cells cultivated 11 days after i.p. 

4-3
injection. Although neutral fractions from both light-duty (LD) and HD particle extracts resulted 

in increased mutation frequency at 2,000 and 4,000 mg/kg, the response at 1,000 mg/kg was not 

different from controls. Also, because the authors did not present data on toxicity or cloning 

efficiency, the value of the apparent positive findings at extremely high concentrations is 

uncertain at best. Belisario et al. (1984) applied the Ames test to urine from Sprague-Dawley 

rats exposed to single applications of DPM administered by gastric intubation, i.p. injection, or 

s.c. gelatin capsules. In all cases, dose-related increases were seen in TA98 (without and with 

S9) from urine concentrates taken 24 h after particle administration. Urine from Swiss mice 

exposed by inhalation to filtered exhaust (particle concentration 6 to 7 mg/m3

) for 7 weeks 

(Pereira et al., 1981a) or Fischer 344 rats exposed to DPM at a concentration of 1.9 mg/m3

 for 3 

months to 2 years (Ong et al., 1985) was negative in salmonella strains. 

Schuler and Niemeier (1981) exposed drosophila males in a stainless steel chamber 

connected to the 3 m3

 chamber used for the chronic animal studies at EPA (see Hinners et al., 

1980 for details). Flies were exposed for 8 h and mated to untreated females 2 days later. 

Although the frequency of sex-linked recessive lethals from treated males was not different from 

that of controls, the limited sample size precluded detecting less than a threefold increase over 

controls. The authors noted that, because there were no signs of toxicity, the flies might tolerate 

exposures to higher concentrations for longer time periods. 

Driscoll et al. (1996) exposed Fischer 344 male rats to aerosols of carbon black (1.1, 7.1, 

and 52.8 mg/m3

) or air for 13 weeks (6 hr/day, 5 days/week) and measured hprt mutations in 

alveolar type II cells in animals immediately after exposure and at 12 and 32 weeks after the end 

of exposure. Both of the two higher concentrations resulted in significant increases in mutant 

frequency. Whereas the mutant frequency from the 7.1 mg/m3

 group returned to control levels 

by 12 weeks, the mutant frequency of the high-exposure group was still higher than controls 

even after 32 weeks. Carbon black particles have very little adsorbed PAHs, hence a direct 

chemically induced mechanism is highly unlikely. Induction of hprt mutations were also 

observed in rat alveolar epithelial cells after intratracheal instillation with carbon black, "-

quartz, and titanium dioxide (Driscoll et al., 1997). All three types of particles elicited an 

inflammatory response as shown by significant increases of neutrophils in bronchoalveolar 

lavage (BAL) fluid. Culturing the BAL from exposed rats with a rat lung epithelial cell line 

also resulted in elevation of hprt mutational response. This response was effectively eliminated 

when catalase was included in the incubation mixture, providing evidence for cell-derived 

oxidative damage. Recently, Sato et al. (2000) exposed male Big Blue transgenic F344 rats to 

diluted DE (1 and 6 mg/m3 suspended particle concentration) for 4 weeks. Mutant frequency in 

lung DNA was significantly elevated (4.8x control) at 6 mg/m3 but not at 1 mg/m3. Lung DNA 

adduct levels measured by 32P-postlabeling and 8-hydroxydeoxyguanosine measured by HPLC 

4-4
were elevated at both particle concentrations, but to a lesser extent than mutant frequencies. 

Sequence analysis of mutants indicated that some, but not all, of the mutations could be 

explained by an oxidative damage mechanism. 

Specific-locus mutations were not induced in (C3H × 101)F1 male mice exposed to DE 8 

h/day, 7 days/week for either 5 or 10 weeks (Russell et al., 1980). The exhaust was a 1:18 

dilution and the average particle concentration was 6 mg/m3. After exposure, males were mated 

to T-stock females and matings continued for the reproductive life of the males. The results 

were unequivocally negative; no mutants were detected in 10,635 progeny derived from 

postspermatogonial cells or in 27,917 progeny derived from spermatogonial cells. 

Hou et al. (1995) measured DNA adducts and hprt mutations in peripheral lymphocytes 

of 47 bus maintenance workers and 22 control individuals. All were nonsmoking men from 

garages in the Stockholm area and the exposed group consisted of 16 garage workers, 25 

mechanics, and 6 other garage workers. There were no exposure data, but the three groups were 

considered to be of higher to lower exposure to diesel engine exhaust. Levels of DNA adducts 

determined by 32P-postlabeling were significantly higher in workers than controls (3.2 versus 2.3 

× 10-8), but hprt mutant frequencies were not different 8.6 versus 8.4 × 10-6). Although group 

mean mutant frequencies were not different, both adduct level and mutagenicity were highest 

among the 16 most exposed and mutant frequency was significantly correlated with adduct level. 

All individuals were genotyped for glutathione transferase GSTM1 and aromatic amino 

transferase NAT2 polymorphism. Neither GSTM1 nulls nor NAT2 slow acetylators exhibited 

effects on either DNA adducts or hprt mutant frequencies. 

4.2. CHROMOSOME EFFECTS 

Mitchell et al. (1981) and Brooks et al. (1984) reported increases in sister chromatid 

exchanges (SCE) in CHO cells exposed to DPM extracts of emissions from both LD and HD 

diesel engines. Morimoto et al. (1986) observed increased SCE from both LD and HD DPM 

extracts in PAH-stimulated human lymphocyte cultures. Tucker et al. (1986) exposed human 

peripheral lymphocyte cultures from four donors to direct DE for up to 3 h. Exhaust was cooled 

by pumping through a plastic tube about 20 feet long; airflow was 1.5 L/min. Samples were 

taken at 16, 48, and 160 min of exposure. Cell cycle delay was observed in all cultures; 

significantly increased SCE levels were reported for two of the four cultures. Structural 

chromosome aberrations were induced in CHO cells by DPM extracts from a Nissan diesel 

engine (Lewtas, 1983) but not by similar extracts from an Oldsmobile diesel engine (Brooks et 

al., 1984). 

DPM dispersed in an aqueous mixture containing dipalmitoyl lecithin (DPL), a 

component of pulmonary surfactant or extracted with dichloromethane (DCM) induced similar 

4-5
responses in SCE assays in Chinese hamster V79 cells (Keane et al., 1991), micronucleus tests in 

V79 and CHO cells (Gu et al., 1992), and unscheduled DNA synthesis (UDS) in V79 cells (Gu 

et al., 1994). After separating the samples into supernatant and sediment fractions, mutagenic 

activity was confined to the sediment fraction of the DPL sample and the supernatant of the 

DCM sample. These findings suggest that the mutagenic activity of DPM inhaled into the lungs 

could be made bioavailable through solubilization and dispersion of pulmonary surfactants. In a 

later study in the same laboratory, Liu et al. (1996) found increased micronuclei in V79 cells 

treated with crystalline quartz and a noncrystalline silica, but response was reduced after 

pretreatment of the particles with the simulated pulmonary surfactant. 

Pereira et al. (1981a) exposed female Swiss mice to DE 8 h/day, 5 days/week for 1, 3, 

and 7 weeks. The incidence of micronuclei and structural aberrations was similar in bone 

marrow cells of both control and exposed mice. Increased incidences of micronuclei, but not 

SCE, were observed in bone marrow cells of male Chinese hamsters after 6 months of exposure 

to DE (Pereira et al., 1981b). 

Guerrero et al. (1981) observed a linear concentration-related increase in SCE in lung 

cells cultured after intratracheal instillation of DPM at doses up to 20 mg/hamster. However, 

they did not observe any increase in SCE after 3 months of inhalation exposure to DE particles 

(6 mg/m3

). 

Pereira et al. (1982) measured SCE in embryonic liver cells of Syrian hamsters. Pregnant 

females were exposed to DE diluted with air 1:9 to contain about 12 mg/m3

 particles from days 5 

to 13 of gestation or injected intraperitoneally with diesel particles or particle extracts on 

gestational day 13 (18 h before sacrifice). Neither the incidence of SCE nor mitotic index was 

affected by exposure to DE. The injection of DPM extracts but not DPM resulted in a doserelated increase in SCE; however, the toxicity of the DPM was about twofold greater than the 

DPM extract. 

In the only studies with mammalian germ cells, Russell et al. (1980) reported no increase 

in either dominant lethals or heritable translocations in males of T-stock mice exposed by 

inhalation to diesel emissions. In the dominant lethal test, T-stock males were exposed for 7.5 

weeks and immediately mated to females of different genetic backgrounds (T-stock; [C3H × 

101]; [C3H × C57BL/6]; [SEC × C57BL/6]). There were no differences from controls in any of 

the parameters measured in this assay. For heritable translocation analysis, T-stock males were 

exposed for 4.5 weeks and mated to (SEC × C57BL/6) females, and the F1 males were tested for 

the presence of heritable translocations. Although no translocations were detected among 358 

progeny tested, the historical control incidence is less than 1/1,000. 

4-6
4.3. OTHER GENOTOXIC EFFECTS 

Pereira et al. (1981b) exposed male strain A mice to DE emissions for 31 or 39 weeks 

using the same exposure regimen noted in the previous section. Analyses of caudal sperm for 

sperm-head abnormalities were conducted independently in three separate laboratories. 

Although the incidence of sperm abnormalities was not significantly above controls in any of the 

three laboratories, there were extremely large differences in scoring among the three (control 

values were 9.2%, 14.9%, and 27.8% in the three laboratories). Conversely, male Chinese 

hamsters exposed for 6 mo (Pereira et al., 1981c) exhibited almost a threefold increase in spermhead abnormalities. It is noted that the control incidence in the Chinese hamsters was less than 

0.5%. Hence, it is not clear whether the differing responses reflect true species differences or 

experimental artifacts. 

A number of studies measuring DNA adducts in animals exposed to DPM, carbon black 

or other particles have been reported and are reviewed by Shirnamé-Moré (1995). Although 

modest increases in DNA adducts have been observed in lung tissue of rats after inhalation of 

DPM (Wong et al., 1986; Bond et al., 1990), the magnitude of the increases is small in 

comparison with those induced by chemical carcinogens present in DE (Smith et al., 1993). 

While Gallagher et al. (1994) found no increases in total DNA adducts in lung tissue of rats 

exposed to DE, carbon black, or titanium dioxide they did observe an increase in an adduct with 

migration properties similar to nitrochrysene and nitro-benzo(a)pyrene adducts from diesel but 

not carbon black or titanium dioxide exposures. The majority of the studies used the 32Ppostlabeling assay to detect adducts. Although this method is sensitive, chemical identity of 

adducts can only be inferred if an adduct spot migrates to the same location as a known prepared 

adduct. 

DNA adducts have also been measured in humans occupationally exposed to DE. 

Distinct adduct patterns were found among garage workers occupationally exposed to DE when 

compared to nonexposed controls (Nielsen and Autrup, 1994). Furthermore, the findings were 

concordant with the adduct patterns observed in groups exposed to low concentrations of PAHs 

from combustion processes. Hemminki et al. (1994) also reported significantly elevated levels 

of DNA adducts in lymphocytes from garage workers with known DE exposure compared with 

unexposed mechanics. Hou et al. (1995) found elevated adduct levels in bus maintenance 

workers exposed to DE. Although no difference in mutant frequency was observed between the 

groups, the adduct levels were significantly different (3.2 vs. 2.3 × 10-8). Nielsen et al. (1996) 

reported significantly increased levels of three biomarkers (lymphocyte DNA adducts, 

hydroxyethylvaline adducts in hemoglobin, and 1-hydroxypyrene in urine) in DE-exposed bus 

garage workers. 

4-7
The role of oxidative damage in causing mutations has received increasing focus 

recently. More than 50 different chemicals have been studied in rodents usually measuring the 

formation of 8-hydroxydeoxyguanosine (8-OH-dG), a highly mutagenic adduct (Loft et al., 

1998). Increases in the mutagenic DNA adduct 8-hydroxydeoxyguanosine were found in mouse 

lung DNA after intratracheal instillation of diesel particles (Nagashima et al., 1995). The 

response was dose dependent. Mice fed on a high-fat diet showed an increased response 

whereas the responses were partially reduced when the antioxidant, $-carotene, was included in 

the diet (Ichinose et al., 1997). Oxidative damage also has been measured in rat lung tissue after 

intratracheal instillation of quartz (Nehls et al., 1997) and in rat alveolar macrophages after in 

vitro treatment with silica dust (Zhang et al., 2000). Arimoto et al. (1999) demonstrated that 

redissolved methanol extracts of DPM also induced the formation of 8-OH-dG adducts in L120 

mouse cells. The response was dependent on both DPM concentration and P450 reductase. A 

detailed discussion of the potential role of oxidative damage in DE carcinogenesis is presented in 

Chapter 7, Section 7.4. 

4.4. SUMMARY AND DISCUSSION 

Extensive studies with salmonella have unequivocally demonstrated mutagenic activity 

in both particulate and gaseous fractions of DE. In most of the studies using salmonella, DPM 

extracts and individual nitropyrenes exhibited the strongest responses in strain TA98 when no 

exogenous activation was provided. Gaseous fractions reportedly showed greater response in 

TA100, whereas benzo[a]pyrene and other unsubstituted PAHs are mutagenic only in the 

presence of S9 fractions. The induction of gene mutations has been reported in several in vitro 

mammalian cell lines after exposure to extracts of DPM. Note that only the TK6 human cell line 

did not give a positive response to DPM extracts in the absence of S9 activation. Mutagenic 

activity was recovered in urine from animals treated with DPM by gastric intubation and i.p. and 

s.c. implants, but not by inhalation of DPM or diluted diesel exhaust. Dilutions of whole diesel 

exhaust did not induce sex-linked recessive lethals in drosophila or specific-locus mutations in 

male mouse germ cells. 

Structural chromosome aberrations and SCE in mammalian cells have been induced by 

particles and extracts. Whole exhaust induced micronuclei but not SCE or structural aberrations 

in bone marrow of male Chinese hamsters exposed to whole diesel emissions for 6 mo. In a 

shorter exposure (7 weeks), neither micronuclei nor structural aberrations were increased in bone 

marrow of female Swiss mice. Likewise, whole DE did not induce dominant lethals or heritable 

translocations in male mice exposed for 7.5 and 4.5 weeks, respectively. 

The application of mutagenicity data to the question of the potential carcinogenicity of 

diesel emissions is based on the premise that genetic alterations are found in all cancers and that 

4-8
several of the chemicals found in diesel emissions possess mutagenic activity in a variety of 

genetic assays. These genetic alterations can be produce by gene mutations, deletions, 

translocations, aneuploidy, or amplification of genes, hence no single genotoxicity assay should 

be expected to either qualitatively or quantitatively predict rodent carcinogenicity. With diesel 

emissions or other mixtures, additional complications arise because of the complexity of the 

material being tested. Exercises that combined the salmonella mutagenic potency with the total 

concentration of mutagenic chemicals deposited in the lungs could not account for the observed 

tumor incidence in exposed rats (Rosenkranz, 1993; Goldstein et al., 1998). However, such 

calculations ignored the contribution of gaseous phase chemicals which have been estimated to 

contribute from less than 50% (Rannug et al., 1983) to over 90% (Matsushita et al., 1986) of the 

total mutagenicity. This wide range is partly reflective of the differences in material tested, 

semivolatile extracts in the former and whole gaseous emission in the latter. Of greater 

importance is that these calculations are based on a reverse mutation assay in bacteria with 

metabolic processes strikingly different from mammals. This is at least partly reflected in the 

observations that different nitro-PAHs give different responses in bacteria and in CHO cells (Li 

and Dutcher, 1983) or in human hepatoma-derived cells (Eddy et al., 1986). 

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5-1

5. NONCANCER HEALTH EFFECTS OF DIESEL EXHAUST

The objective of this chapter is to review and evaluate potential health effects other than

cancer associated with inhalation exposure to diesel engine exhaust (DE). Data have been

obtained from diverse human, laboratory animal, and in vitro test systems. The human studies

comprise both occupational and human experimental exposures, the former consisting of

exposure to DE in the occupational environment, and the latter consisting of exposure to diluted

DE or diesel particulate matter (DPM) under controlled conditions. The laboratory animal

studies consist of both acute and chronic exposures of laboratory animals to DE or DPM. 

Diverse in vitro test systems composed of human and laboratory animal cells treated with DPM

or components of DPM have also been used to investigate the effects of DPM at the cellular and

molecular levels. DPM mass (mg/m3) has been used almost exclusively as a measure of DE

exposure in human and experimental studies. The noncancer health effects of DPM have been

reviewed previously by the Health Effects Institute (HEI, 1995) and in the Air Quality for

Particulate Matter Criteria Document, the PM CD (U.S. EPA, 1996). The noncancer health

effects attributable to ambient particulate matter (PM), which is composed in part of DPM, as

well as the potential mechanisms underlying these effects have also been previously reviewed in

the PM CD (U.S. EPA, 1996) and have been summarized in this document in Chapter 6, Section

6.4.

This chapter begins with descriptions of studies that have shown various health effects

occurring as a result of exposure to DE/DPM (Section 5.1). The human studies portion of this

section (5.1.1) discusses results from both short-term and long-term studies as well as

specialized studies such as those of populations contiguous to major highways (5.1.2). Studies

using laboratory animals are ordered into various subsections under Section 5.1.3. 

Investigations devoted to elucidating the possible modes of action of DE/DPM are covered in

Section 5.2; the mode-of-action issue of particle overload in animals is discussed elsewhere in

the document (Chapter 3, Section 3.4). Section 5.3 describes evidence for the various

interactions of DPM with other conditions such as disease. Other sections address issues such as

species-comparative responses to DE/DPM (Section 5.4) and influence of dose rate (Section

5.5). The summary/conclusion of this chapter, relating the totality of this information to

possible human effects of DE/DPM, is in Section 5.6.
5-2

5.1. HEALTH EFFECTS OF WHOLE DIESEL EXHAUST

5.1.1. Human Studies

5.1.1.1. Short-Term Exposures

In a controlled human study, Rudell et al. (1990, 1994) exposed eight healthy subjects in

an exposure chamber to diluted exhaust from a diesel engine for 1 h, with intermittent exercise. 

Dilution of the DE was controlled to provide a median NO2 level of approximately 1.6 ppm. 

Median particle number was 4.3 × 106/cm3, and median levels of NO and CO were 3.7 and 27

ppm, respectively (particle size and mass concentration were not provided). There were no

effects on spirometry or on closing volume using nitrogen washout. Five of eight subjects

experienced unpleasant smell, eye irritation, and nasal irritation during exposure. 

Bronchoalveolar lavage (BAL) was performed 18 hours after exposure and was compared with a

control BAL performed 3 weeks prior to exposure; there was no control air exposure. Small but

statistically significant reductions were seen in numbers of BAL mast cells, extent of AM

phagocytosis of opsonized yeast particles, and lymphocyte CD4/CD8 ratios. A small increase in

recovery of polymorphonuclear cells (PMNs) was also observed. These findings suggest that

DE may induce mild airway inflammation in the absence of spirometric changes. This study

provides an intriguing glimpse of the effect of DE exposure in humans, but only one exposure

level was used, the number of subjects was low, and a limited range of endpoints was reported,

so the data are inadequate to generalize about the human response. 

Rudell et al. (1996) exposed volunteers to DE for 1 h in an exposure chamber. Light

work on a bicycle ergometer was performed during exposure. Exposures included either DE or

exhaust with particle numbers reduced 46% by a particle trap. The engine used was a new

Volvo model 1990, a six-cylinder direct-injection turbocharged diesel with an intercooler, which

was run at a steady speed of 900 rpm during the exposures. Comparison of this study with

others was difficult because neither exhaust dilution ratios nor particle concentrations were

reported. Carbon monoxide concentrations of 27-30 ppm and NO of 2.6-2.7 ppm, however,

suggested DPM concentrations may have equaled several mg/m3. The most prominent

symptoms during exposure were irritation of the eyes and nose and an unpleasant smell. Both

airway resistance and specific airway resistance increased significantly during the exposures. 

Despite the 46% reduction in particle numbers by the trap, effects on symptoms and lung

function were not significantly attenuated.

Nordenhall et al. (2000) had 15 healthy human subjects (13 males, 2 females) breathe in

an exposure chamber diluted DE from an idling diesel engine to give a PM10 concentration of 

300 :g/m3, which was also associated with a median steady-state NO2 concentration of 1.6 ppm.
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Exposures were for 1 h, with each individual serving as their own control by being exposed to

filtered air, also for 1 h but at a different time. Sputum production was then induced and sputum

examined at 6 and 24 hr postexposure (for both air and DPM) with differential cell counts and

soluble protein counts performed. In comparing the same individual’s results after exposure to

air and after exposure to DE, increases were found in the percentage of sputum neutrophiles

(37.7% vs. 26.2%) after 6 hr, along with increases in concentrations of the soluble proteins

interleukin-6 (12.0 vs. 6.3 pg/mL) and methylhistamine (0.11 vs. 0.12 ug/L). These differences

between air and DPM were not present at 24 hr. Thus, breath exposure to DE produces early

induction of an inflammatory response in healthy humans that can be detected using sputum

analysis. 

Wade and Newman (1993) describe the situation of three railroad workers who

developed persistent asthma associated with overexposure to DE from locomotives. The

overexposure was a consequence of multiple hours of high levels of diesel exposure from riding

in locomotive units trailing immediately behind the lead locomotive. Lines of evidence

supporting railroad locomotive DE inducing asthma in these individuals include, (1) all three

exhibited clear signs of asthma leading (in two of the three cases) to immediate first-time

hospitalization and treatment for asthma, (2) all three developed symptoms within a few hours of

the overexposure, and (3) all three experienced exacerbation of symptoms upon reexposure to

locomotive DE. Although this report and that of Kahn et al. (1988) described below both

provide supporting evidence for DE being able to cause asthma in humans under extreme but

uncharacterized conditions, both suffer from the same limitations, including no reliable data on

the concentration of diesel emissions and associated gaseous components, the duration of the

exposures, or information on others that were exposed under these conditions but who did not

develop asthma symptoms.

Kahn et al. (1988) reported the occurrence of 13 cases of acute overexposure to DE

among Utah and Colorado coal miners. Twelve miners had symptoms of mucous membrane

irritation, headache, and lightheadedness. Eight individuals reported nausea; four reported a

sensation of unreality; four reported heartburn; three reported weakness, numbness, and tingling

in their extremities; three reported vomiting; two reported chest tightness; and two others

reported wheezing. Each miner lost time from work because of these symptoms, which resolved

within 24 to 48 h. No air monitoring data were presented; poor work practices were described as

the predisposing conditions for overexposure. No follow-up was available for these exposed

individuals.

El Batawi and Noweir (1966) reported that among 161 workers from two garages where

diesel-powered buses were serviced and repaired, 42% complained of eye irritation, 37% of

headaches, 30% of dizziness, 19% of throat irritation, and 11% of cough and phlegm. Ranges of
5-4

mean concentrations of DE components in the two diesel bus garages were as follows: 0.4 to 1.4

ppm NO2, 0.13 to 0.81 ppm SO2, 0.6 to 44.1 ppm aldehydes, and 1.34 to 4.51 mg/m3

 of DPM;

the highest concentrations were obtained close to the exhaust systems of the buses.

Eye irritation was reported by Battigelli (1965) in six subjects after 40 s of chamber

exposure to diluted DE containing 4.2 ppm NO2, 1 ppm SO2, 55 ppm CO, 3.2 ppm total

hydrocarbons, and 1 to 2 ppm total aldehydes; after 3 min and 20 s of exposure to diluted DE

containing 2.8 ppm NO2, 0.5 ppm SO2, 30 ppm CO, 2.5 ppm total hydrocarbons, and <1 to 2

ppm total aldehydes; and after 6 min of exposure to diluted DE containing 1.3 ppm NO2, 0.2

ppm SO2, <20 ppm CO, <2.0 ppm total hydrocarbons, and <1.0 ppm total aldehydes. The

concentration of DPM was not reported.

Katz et al. (1960) described the experience of 14 chemists and their assistants monitoring

the environment of a train tunnel used by diesel-powered locomotives. Although workers

complained on three occasions of minor eye and throat irritation, no correlation was established

with concentrations of any particular component of DE.

The role of radicals generated from particulate matter, including DPM, in producing

toxicity has been discussed in the literature (Valavanidis et al., 2000), as has the role of

antioxidant defenses in protecting against species such as radicals that may arise from acute DE

exposure. Blomberg et al. (1998) investigated changes in the antioxidant defense network

within the respiratory tract lining fluids of human subjects following DE exposure. Fifteen

healthy, nonsmoking, asymptomatic subjects were exposed to filtered air or DE (DPM 300

:g/m3

) for 1 h on two separate occasions at least 3 weeks apart. Nasal lavage fluid and blood

samples were collected prior to, immediately after, and 5 1⁄2 h post exposure. Bronchoscopy was

performed 6 h after the end of DE exposure. Nasal lavage ascorbic acid concentration increased

tenfold during DE exposure, but returned to basal levels 5.5 h postexposure. DE had no

significant effects on nasal lavage uric acid or GSH concentrations, and did not affect plasma,

bronchial wash, or bronchoalveolar lavage antioxidant concentrations, nor malondialdehyde or

protein carbonyl concentrations. The authors concluded that the physiological response to acute

DE exposure is an acute increase in the level of the antioxidant ascorbic acid in the nasal cavity.

5.1.1.1.1. Diesel exhaust odor. The odor of DE is considered by most people to be

objectionable; at high intensities, it may produce sufficient physiological and psychological

effects to warrant concern for public health. The intensity of the odor of DE is an exponential

function of its concentration such that a tenfold change in the concentration will alter the

intensity of the odor by one unit. Two human panel rating scales have been used to measure DE

odor intensity. In the first (Turk, 1967), combinations of odorous materials were selected to

simulate DE odor; a set of 12 mixtures, each having twice the concentration of that of the
5-5

previous mixture, is the basis of the diesel odor intensity scale (D-scale). The second method is

the TIA (total intensity of aroma) scale based on seven steps, ranging from 0 to 3, with 0 being

undetectable, 1⁄2 very slight, and 1 slight and increasing in one-half units up to 3, strong (Odor

Panel of the CRC-APRAC Program Group on Composition of Diesel Exhaust, 1979; Levins,

1981).

Surveys, utilizing volunteer panelists, have been taken to evaluate the general public’s

response to the odor of DE. Hare and Springer (1971) and Hare et al. (1974) found that at a D

rating of about 2 (TIA = 0.9, slight odor intensity), about 90% of the participants perceived the

odor, and almost 60% found it objectionable. At a D rating of 3.2 (TIA = 1.2, slight to moderate

odor intensity), about 95% perceived the odor, and 75% objected to it, and, at a D rating of 5

(TIA = 1.8, almost moderate), about 95% objected to it.

Linnell and Scott (1962) reported odor threshold measurement in six subjects and found

that the dilution factor needed to reach the threshold ranged from 140 to 475 for this small

sample of people. At these dilutions, the concentrations of formaldehyde ranged from 0.012 to

0.088 ppm.

5.1.1.1.2. Pulmonary and respiratory effects. Battigelli (1965) exposed 13 volunteers to three

dilutions of DE obtained from a one-cylinder, four-cycle, 7-hp diesel engine (fuel type

unspecified) and found that 15-min to 1-h exposures had no significant effects on pulmonary

resistance. Pulmonary resistance was measured by plethysmography utilizing the simultaneous

recording of esophageal pressure and airflow determined by electrical differentiation of the

volume signal from a spirometer. The concentrations of the constituents in the three diluted

exhausts were 1.3, 2.8, and 6.2 ppm NO2; 0.2, 0.5, and 1 ppm SO2; <20, 30, and 55 ppm CO;

and <1.0, <1 to 2, and 1 to 2 ppm total aldehydes, respectively. DPM concentrations were not

reported.

A number of studies have evaluated changes in pulmonary function occurring over a

workshift in workers occupationally exposed to DE (specific time period not always reported but

assumed to be 8 h). In a study of coal miners, Reger (1979) found that both forced expiratory

volume in 1 s (FEV1) and forced vital capacity (FVC) decreased by 0.05 L in 60 diesel-exposed

miners, an amount not substantially different from reductions seen in non-diesel-exposed miners

(0.02 and 0.04 L, respectively). Decrements in peak expiratory flow rates were similar between

diesel and non-DE-exposed miners. Although the monitoring data were not reported, the authors

stated that there was no relationship between the low concentrations of measured respirable dust

or NO2 (personal samplers) when compared with shift changes for any lung function parameter

measured for the diesel-exposed miners. In summary, this study (available as an abstract only)

states that no evidence was found for additional lung function effect over a shift for miners
5-6

exposed to diesel emissions as compared with controls, i.e., nonexposed office workers and coal

miners not exposed to diesel emissions.

Ames et al. (1982) compared the pulmonary function of 60 coal miners exposed to DE

with that of a control group of 90 coal miners not exposed to DE for evidence of acute

respiratory effects associated with exposure to DE. Changes over the workshift in FVC, FEV1,

and forced expiratory flow rate at 50% FVC (FEF50) were the indices for acute respiratory

effects. The environmental concentrations of the primary pollutants were 2.0 mg/m3 respirable

dust (<10 μm MMAD), 0.2 ppm NO2, 12 ppm CO, and 0.3 ppm formaldehyde. The

investigators reported a statistically significant decline in FVC and FEV1 over the workshift in

both the diesel-exposed and comparison groups. Current smokers had greater decrements in

FVC, FEV1, and FEF50 than did ex-smokers and nonsmokers. There was a marked disparity

between the ages and the time spent underground for the two study groups. Diesel-exposed

miners were about 15 years younger and had worked underground for 15 fewer years (4.8 versus

20.7 years) than miners not exposed to DE. The significance to the results of these differences

between the populations is difficult to ascertain.

Except for the expected differences related to age, 120 underground iron ore miners

exposed to DE had no workshift changes in FVC and FEV1 when compared with 120 matched

surface miners (Jörgensen and Svensson, 1970). Both groups had equal numbers (30) of

smokers and nonsmokers. The frequency of bronchitis was higher among underground workers,

much higher among smokers than nonsmokers, and also higher among older than younger

workers. The authors reported that the underground miners had exposures of 0.5 to 1.5 ppm

NO2 and between 3 and 9 mg/m3 particulate matter, with 20% to 30% of the particles <5 μm

MMAD. The majority of the particles were iron ore; quartz was 6% to 7% of the fraction

<5 μm MMAD.

Gamble et al. (1979) measured preshift FEV1 and FVC in 187 salt miners and obtained

peak flow forced expiratory flow rates at 25%, 50%, and 75% of FVC (FEF25, FEF50, or FEF75). 

Postshift pulmonary function values were determined from total lung capacity and flows at

preshift percentages of FVC. The miners were exposed to mean NO2 levels of 1.5 ppm and

mean respirable particulate levels of 0.7 mg/m3. No statistically significant changes were found

between changes in pulmonary function and in NO2 and respirable particles combined. Slopes

of the regression of NO2 and changes in FEV1, FEF25, FEF50, and FEF75 were significantly

different from zero. The authors concluded that these small reductions in pulmonary function

were attributable to variations in NO2 within each of the five salt mines that contributed to the

cohort.

Gamble et al. (1987a) investigated the acute effects of DE in 232 workers in four diesel

bus garages using an acute respiratory questionnaire and before and after workshift spirometry. 
5-7

The prevalence of burning eyes, headaches, difficult or labored breathing, nausea, and wheeze

experienced at work was higher in the diesel bus garage workers than in a comparison

population of lead/acid battery workers who had not previously shown a statistically significant

association of acute symptoms with acid exposure. Comparisons between the two groups were

made without adjustment for age and smoking. There was no detectable association of exposure

to NO2 (0.23 ppm ± 0.24 S.D.) or inhalable (less than 10 μm MMAD) particles (0.24 mg/m3

 ±

0.26 S.D.) and acute reductions in FVC, FEV1, peak flows, FEF50, and FEF75. Workers who had

respiratory symptoms had slightly greater but statistically insignificant reductions in FEV1 and

FEF50.

Ulfvarson et al. (1987) evaluated workshift changes in the pulmonary function of 17 bus

garage workers, 25 crew members of two types of car ferries, and 37 workers on roll-on/roll-off

ships. The latter group was exposed primarily to DE; the first two groups were exposed to both

gasoline and DE. The diesel-only exposures that averaged 8 h consisted of 0.13 to 1.0 mg/m3

particulate matter, 0.02 to 0.8 mg/m3 (0.016 to 0.65 ppm) NO, 0.06 to 2.3 mg/m3 (0.03 to 1.2

ppm) NO2, 1.1 to 5.1 mg/m3 (0.96 to 4.45 ppm) CO, and up to 0.5 mg/m3 (0.4 ppm)

formaldehyde. The largest decrement in pulmonary function was observed during a workshift

following no exposure to DE for 10 days. Forced vital capacity and FEV1 were significantly

reduced over the workshift (0.44 L and 0.30 L, p<0.01 and p<0.001, respectively). There was

no difference between smokers and nonsmokers. Maximal midexpiratory flow, closing volume

expressed as the percentage of expiratory vital capacity, and alveolar plateau gradient (phase 3)

were not affected. Similar but less pronounced effects on FVC (!0.16 L) were found in a

second, subsequent study of stevedores (n = 24) only following 5 days of no exposure to diesel

truck exhaust. Pulmonary function returned to normal after 3 days without occupational

exposure to DE. No exposure-related correlation was found between the observed pulmonary

effects and concentrations of NO, NO2, CO, or formaldehyde; however, it was suggested that

NO2 adsorbed onto the DE particles may have contributed to the overall dose of NO2 to the

lungs. In a related study, six workers (job category not defined) were placed in an exposure

chamber and exposed to diluted DE containing 0.6 mg/m3

 DPM and 3.9 mg/m3 (2.1 ppm) NO2. 

The exhaust was generated by a 6-cylinder, 2.38-L diesel engine, operated for 3 h and 40 min at

constant speed, equivalent to 60 km/h, and at about one-half full engine load. No effect on

pulmonary function was observed.

In a hypothesis-generating study, Kilburn (2000) examined neurobehavioral and

pulmonary function of a small group of workers exposed to DE either as railroad workers (n=10)

over a range of 15 to 50 years or as electricians (n=6) over a range of 0.6 to 1.5 years. 

Neurobehavioral and visual functions batteries showed nearly all of these individuals to be

neurobehaviorally impaired in relation to a referent population in one or more areas, including
5-8

reaction time, balance, blink reflex latency, verbal recall, and color vision confusion indices. 

Pulmonary function tests also showed that 10 of the 16 had airway obstruction and another

group of 10 of the 16 had chronic bronchitis, chest pain, tightness, and hyperreactive airways. 

This work implies that with sufficiently sensitive methods, noncancer effects from DPM/DE

exposure may be detectable in sufficiently exposed human populations.

5.1.1.1.3. Immunological effects. Salvi et al. (1999) exposed healthy human subjects to diluted

DE (DPM 300 μg/m3

) for 1 h with intermittent exercise. Although there were no changes in

pulmonary function, there were significant increases in neutrophils and B lymphocytes as well as

histamine and fibronectin in airway lavage fluid. Bronchial biopsies obtained 6 h after DE

exposure showed a significant increase in neutrophils, mast cells, and CD4+ and CD8+ T

lymphocytes, along with upregulation of the endothelial adhesion molecules ICAM-1 and

VCAM-1 and increases in the number of LFA-1+ in the bronchial tissue. Significant increases

in neutrophils and platelets were observed in peripheral blood following exposure to DE.

In a follow-up investigation of potential mechanisms underlying the DE-induced airway

leukocyte infiltration, Salvi et al. (2000) exposed healthy human volunteers to diluted DE, on

two separate occasions for 1 h each, in an exposure chamber. Fiber-optic bronchoscopy was

performed 6 h after each exposure to obtain endobronchial biopsies and bronchial wash (BW)

cells. These workers observed that DE exposure enhanced gene transcription of IL-8 in the

bronchial tissue and BW cells and increased growth-regulated oncogene-a protein expression and

IL-8 in the bronchial epithelium; there was also a trend toward an increase in IL-5 mRNA gene

transcripts in the bronchial tissue. 

In an attempt to evaluate the potential allergenic effects of DPM in humans, DiazSanchez and associates carried out a series of clinical investigations. In the first of these (DiazSanchez et al., 1994), healthy human volunteers were challenged by spraying either saline or

0.30 mg (300 μg) DPM into their nostrils. The authors considered this dose to be equivalent to

breathing the outdoor air in Los Angeles for a 24-h period on an average day. Enhanced IgE

levels were noted in nasal lavage cells in as little as 24 h, with peak production observed 4 days

after DPM challenge. The effects seemed to be somewhat isotype-specific, because in contrast

to IgE results, DPM challenge had no effect on the levels of IgG, IgA, IgM, or albumin. The

selective enhancement of local IgE production was demonstrated by a dramatic increase in IgEsecreting cells.

Although direct effects of DPM on B-cells have been demonstrated by in vitro studies, it

was considered likely that other cells regulating the IgE response may also be affected. 

Cytokine production was therefore measured in nasal lavage cells from healthy human

volunteers challenged with DPM (0 or 0.15 mg in 200 μL saline) sprayed into each nostril (Diaz-
5-9

Sanchez et al., 1996). Before challenge with DPM, most subjects’ nasal lavage cells had

detectable levels of only interferon-(, IL-2, and IL-13 mRNA. After challenge with DPM, the

cells produced readily detectable levels of mRNA for IL-2, IL-4, IL-5, IL-6, IL-10, IL-13, and

interferon-(. Although the cells in the nasal lavage before and after challenge do not necessarily

represent the same ones either in number or type, the broad increase in cytokine production was

considered by the authors not to be simply the result of an increase in T cells recovered in the

lavage fluid. On the basis of these findings, the authors concluded that the increase in nasal

cytokine expression after exposure to DPM can be predicted to contribute to enhanced local IgE

production and thus play a role in pollutant-induced airway disease.

The ability of DPM to act as an adjuvant to the ragweed allergen Amb a I was also

examined by nasal provocation in ragweed-allergic subjects using 0.3 mg (300 μg) DPM, Amb a

I, or both (Diaz-Sanchez et al., 1997). Although allergen and DPM each enhanced ragweedspecific IgE, DPM plus allergen promoted a 16-times greater antigen-specific IgE production. 

Nasal challenge with DPM also influenced cytokine production. Ragweed challenge resulted in

a weak response, DPM challenge caused a strong but nonspecific response, and allergen plus

DPM caused a significant increase in the expression of mRNA for TH0 and TH2-type cytokines

(IL-4, IL-5, IL-6, IL-10, IL-13), with a pronounced inhibitory effect on IFN-( gene expression. 

The author concluded that DPM can enhance B-cell differentiation and, by initiating and

elevating IgE production, may be a factor in the increased incidence of allergic airway disease.

In a further extension of these studies, Diaz-Sanchez et al. (1999) examined the potential

for DPM to lead to primary sensitization of humans by driving a de novo mucosal IgE response

to a neoantigen, keyhole limpet hemocyanin (KLH). Ten atopic subjects were given an initial

nasal immunization of KLH followed by two biweekly nasal challenges with KLH. Fifteen

different atopic subjects were treated identically, except that DPM was administered 24 h before

each KLH exposure. Intranasal administration of KLH alone led to the generation of an antiKLH IgG and IgA humoral response, which was detected in nasal fluid samples. No anti-KLH

IgE was observed in any of these subjects. In contrast, when challenged with KLH preceded by

DPM, 9 of the 15 subjects produced anti-KLH-specific IgE. KLH-specific IgG and IgA at levels

similar to those seen with KLH alone were also detected. Subjects who received DPM and KLH

had significantly increased IL-4, but not IFN-gamma, levels in nasal lavage fluid, whereas these

levels were unchanged in subjects receiving KLH alone. These investigators concluded that

DPM can function as a mucosal adjuvant to a de novo IgE response and may increase allergic

sensitization among atopic individuals.

5.1.1.1.4. Human cell culture studies. The potential mechanisms by which DPM may act to

cause allergenic effects has been examined in human cell culture studies. Takenaka et al. (1995)
5-10

reported that DPM extracts enhanced IgE production from purified human B cells. IgE

production in these cells (stimulated by exogenous addition of interleukin-4 plus monoclonal

antibody) was enhanced (i.e., further stimulated) 20% to 360% by the addition of DPM extracts

(1-50 ng/mL) over a period of 10-14 days. DPM extracts in the absence of exogenously added

IL-4 and/or monoclonal antibodies did not themselves induce IgE production or synergize with

interleukin-4 alone to induce IgE from purified B cells, suggesting that the extracts were

enhancing ongoing IgE production rather than inducing germline transcription or isotype

switching. The authors concluded that enhancement of IgE production in the human airway

resulting from the organic fraction of DPM may be an important factor in the increasing

incidence of allergic airway disease.

Terada et al. (1997) examined the effects of DPM and DPM extract on eosinophil

adhesion, survival rate, and degranulation. Eosinophils, human mucosal microvascular

endothelial cells (HMMECs), and human nasal epithelial cells (HNECs) were preincubated in

the presence of DPM and DPM extract. 35S-labeled eosinophils were allowed to adhere to

monolayers of HMMECs and HNECs. Although neither DPM nor DPM extract affected the

adhesiveness of HMMECs and HNECs to eosinophils, DPM and DPM extract each significantly

increased eosinophil adhesiveness to HNECs; neither affected eosinophil adhesiveness to

HMMECs. DPM extract also induced eosinophil degranulation without changing the eosinophil

survival rate. These results indicate that DPM may play an important role in promoting the nasal

hypersensitivity induced by enhanced eosinophil infiltration of epithelium and eosinophil

degranulation. It should also be noted that eosinophils are major components of allergic

inflammatory disorders, including asthma and nasal allergy.

 Terada et al. (1999) examined the effects of DPM extract on the expression of histamine

H1 receptor (H1R) mRNA in HNECs and HMMECs, and on the production of IL-8 and GMCSF induced by histamine. HNECs and HMMECs, isolated from human nasal mucosa

specimens, were cultured with DPM extract. DPM extract increased the expression of H1R

mRNA in both HNECs and HMMECs. The amount of IL-8 and GM-CSF induced by histamine

was also significantly higher in HNECs and HMMECs treated with DPM extract. These results

strongly suggest that DPM accelerates the inflammatory change by not only directly

upregulating H1R expression but also by increasing histamine-induced IL-8 and GM-CSF

production. Histamine is the most important chemical mediator in the pathogenesis of nasal

allergy.

Steerenberg et al. (1998) studied the effects of exposure to DPM on airway epithelial

cells, the first line of defense against inhaled pollutants. Cells from a human bronchial cell line

(BEAS-2B) were cultured in vitro and exposed to DPM (0.04-0.33 mg/mL) and the effects on

IL-6 and IL-8 production were observed. Increases in IL-6 and IL-8 production compared to the
5-11

nonexposed cells (11- and 4-fold, respectively) were found after 24 or 48 h exposure to DPM. 

This increase was lower (17- and 3.3-fold) compared to silica and higher compared to titanium

dioxide, which showed no increase for either IL-6 or IL-8. The study was extended to observe

the effects of DPM on inflammation-primed cells. BEAS-2B cells were exposed to TNF-"

followed by DPM. Additive effects on IL-6 and IL-8 production by BEAS-2B cells were found

after TNF-" priming and subsequent exposure to DPM only at a low dose of DPM and TNF-"

(0.05-0.2 ng/mL). The investigators concluded that BEAS-2B phagocytized DPM and produced

an increased amount of IL-6 and IL-8, and that in TNF-"-primed BEAS-2B cells DPM

increased interleukin production only at low concentrations of DPM and TNF-".

Ohtoshi et al. (1998) studied the effect of suspended particulate matter (SPM), obtained

from high-volume air samplers, and DPM obtained from exhaust of a stationary diesel engine on

the production of IL-8 and granulocyte-colony stimulating factor (GM-CSF) by human airway

epithelial cells in vitro. Nontoxic doses of DPMs stimulated production of IL-8 and GM-CSF by

three kinds of human epithelial cells (nasal polyp-derived upper airway, normal bronchial, and

transformed bronchial epithelial cells) in a dose- and time-dependent fashion at a DPM

concentration as low as 10 μg/mL. SPM applied at 250 and 2,500 μg/mL had a stimulatory

effect on GM-CSF, but not on IL-8 production. The effects could be blocked with a protein

synthesis inhibitor, suggesting that the process required de novo protein synthesis, and appeared

to be due to an extractable component because neither charcoal nor graphite showed such

stimulatory effects. The authors concluded that SPM and DPM, a component of SPM, may be

important air pollutants in the activation of airway cells for the release of cytokines relevant to

allergic airway inflammation.

The mechanisms underlying DPM-induced injury to airway cells were investigated in

human bronchial epithelial cells (HBECs) in culture (Bayram et al., 1998a). HBECs from

bronchial explants obtained at surgery were cultured and exposed to DPM (10-100 μg/mL)

suspended in a serum-free supplemented medium (SF-medium) or to a SF-medium filtrate of

DPM. The filtrate was obtained by incubating DPM (50 μg/mL) in SF-medium for 24 h. The

effects of DPM and DPM filtrate on permeability, ciliary beat frequency (CBF), and release of

inflammatory mediators were observed. DPM and filtered solution of DPM significantly

increased the electrical resistance of the cultures but did not affect movement of bovine serum

albumin across cell cultures. DPM and filtered DPM solution significantly attenuated the CBF

of these cultures and significantly increased the release of IL-8. DPM also increased the release

by these cultures of GM-CSF and soluble intercellular adhesion molecule-1 (sICAM-1). These

authors also observed that activated charcoal was not able to induce changes in electrical

resistance, attenuate CBF, and increase the release of inflammatory mediators from HBEC, and

proposed that these effects were due most likely to the compounds adsorbed onto the DPM
5-12

rather than the size of DPM. The authors concluded that exposure of airway cells to DPM may

lead to functional changes and release of proinflammatory mediators and that these effects may

influence the development of airway disease.

Bayram et al. (1998b) investigated the sensitivity of cultured airway cells from asthmatic

patients to DPM. Incubation with DPM (10-100 μg/mL) significantly attenuated the CBF in

both the asthmatic and nonasthmatic bronchial epithelial cell cultures. Cultured airway cells

from asthmatic patients constitutively released significantly greater amounts of IL-8, GM-CSF,

and sICAM-1 than cell cultures from nonasthmatic subjects. Only cultures from asthmatic

patients additionally released RANTES. The authors concluded that cultured airway cells from

asthmatic subjects differ with regard to the amounts and types of proinflammatory mediators

they can release and that the increased sensitivity of bronchial epithelial cells of asthmatic

subjects to DPM may result in exacerbation of their disease symptoms.

Devalia et al. (1999) investigated the potential sensitivity of HBECs biopsied from atopic

mild asthmatic patients and non-atopic nonasthmatic subjects to DPM. HBECs from asthmatic

patients constitutively released significantly greater amounts of IL-8, GM-CSF, and sICAM-1

than HBECs from nonasthmatic subjects. RANTES was only released by HBECs of asthmatic

patients. Incubation of the asthmatic cultures with 10 :g/mL DPM significantly increased the

release of IL-8, GM-CSF, and sICAM-1 after 24 h. In contrast, only higher concentrations (50-

100 :g/mL DPM) significantly increased the release of IL-8 and GM-CSF from HBECs of

nonasthmatics. The authors conclude that the increased sensitivity of the airways of asthmatics

to DPM may be, at least in part, a consequence of greater constitutive and DPM-induced release

of specific pro-inflammatory mediators from bronchial epithelial cells.

Abe and co-workers have demonstrated formation of increased cytokine levels in

cultured human bronchial epithelial cells exposed to freshly generated DE, but not to filtered

DE, i.e., particle-free DE (Abe et al., 2000). Cytokine IL-8 protein as well as transforming

growth factor (TGF)-$1 mRNAs were induced in a time-dependent manner (from 0.5 to 14 h of

exposure) in BET-1A human bronchial epithelial cells in response to exposure to freshly

generated, cooled, humidified DE that was diluted to 2.9 mg DPM/m3

. The gas obtained by

filtration of DE alone did not show any sustained increase in these indicators, suggesting that DE

particles play a more important role in eliciting these responses than do the accompanying gases

(10.6 ppm CO, 7.3 ppm NO2, and 3.3 ppm SO2). 

To elucidate the intracellular signal transduction pathway regulating IL-8 and RANTES

production, Hashimoto et al. (2000) examined the role of p38 mitogen-activated protein (MAP)

kinase in DPM-induced (DPM = 10, 50, or 100 :g/mL) IL-8 and RANTES production by

HBECs. They also examined the effect of a thiol-reducing agent, N-acetylcysteine (NAC), on

DPM-induced p38 MAP kinase activation and cytokine production. The authors conclude that
5-13

p38 MAP kinase plays an important role in the DPM-activated signaling pathway that regulates

IL-8 and RANTES production by HBECs and that the cellular redox state is critical for DPMinduced p38 MAP kinase activation leading to IL-8 and RANTES production.

Boland et al. (1999) compared the biological effects of carbon black and DPM (2.5

:g/cm2

 culture surface) collected from catalyst- and noncatalyst-equipped diesel vehicles in

cultures of both human bronchial epithelial cells and human nasal epithelial cells. Transmission

electron microscopy indicated that DPM was phagocytosed by epithelial cells and translocated

through the epithelial cell sheet. The time and dose dependency of phagocytosis and its

nonspecificity for different particles (DPM, carbon black, and latex particles) were established

by flow cytometry. DPM also induced a time-dependent increase in interleukin-8, GM-CSF,

and interleukin-1$ release. The inflammatory response occurred later than phagocytosis and,

because carbon black had no effect on cytokine release, its extent appeared to depend on the

content of adsorbed organic compounds. Furthermore, treatment of the exhaust gas to decrease

the adsorbed organic fraction reduced the DPM-induced increase in GM-CSF factor release. 

These results indicate that DPM can be phagocytosed by and induce a specific inflammatory

response in airway epithelial cells.

5.1.1.1.5. Summary. In the available exposure studies, considerable variability is reported in

DE detection threshold. The odor scales described in some of these studies have no general use

at present because they are not objectively defined; however, the studies do clearly indicate

substantial interindividual variability in the ability to detect odor and the level at which it

becomes objectionable. Much of what is known about the acute effects of DE comes from case

reports that lack clear measurements of exposure concentrations. The studies of pulmonary

function changes in exposed humans have looked for changes occurring over a workshift or after

a short-term exposure. The overall conclusion of these studies is that reversible changes in

pulmonary function in humans can occur in relation to DE exposure, although it is not possible

to relate these changes to specific exposure levels. Numerous studies described in this section,

conducted in humans and in isolated cell systems derived from humans exposed to DPM,

revealed various biochemical and pathophysiological alterations, such as IgE changes, altered

levels of cytokines/chemokines, and goblet-cell hyperplasia, with nearly all these responses

being key changes and markers of allergic inflammatory disorders of the airways such as asthma

and nasal allergies (Nel et al., 1998). Thus, a major point of significance about these findings is

that they indicate that DPM could be viewed as having the potential to elicit inflammatory and

immunological responses and responses typical of asthma, and that DPM may be a likely factor

in the increasing incidence of allergic hypersensitivity. These studies have also shown that

effects are due primarily to the organic fraction and that DPM enhances the allergic response to
5-14

known allergens. Results from these studies, including those wih laboratory animals, indicate

that DPM could be viewed as having the potential to influence the development of airway

inflammation and disease through its adjuvant properties and by causing the release of

proinflammatory mediators.

5.1.1.2. Long-Term Exposures 

Several epidemiologic studies have evaluated the effects of chronic exposure to DE on

occupationally exposed workers.

Battigelli et al. (1964) measured several indices of pulmonary function, including vital

capacity, FEV1, peak flow, nitrogen washout, and diffusion capacity in 210 locomotive

repairmen exposed to DE in 3 engine houses. The average exposure of these locomotive

repairmen to DE was 9.6 years. When compared with a control group matched for age, body

size, “past extrapulmonary medical history” (no explanation given), and job status (154 railroad

yard workers), no significant clinical differences were found in pulmonary function or in the

prevalence of dyspnea, cough, or sputum between the DE-exposed and nonexposed groups. 

Exposure to DE showed marked seasonal variations because the doors of the engine house were

open in the summer and closed in the winter. For the exposed group, the maximum daily

workplace concentrations of air pollutants measured were 1.8 ppm NO2, 1.7 ppm total

aldehydes, 0.15 ppm acrolein, 4.0 ppm SO2, and 5.0 ppm total hydrocarbons. The concentration

of airborne particles was not reported.

Gamble et al. (1987b) examined 283 diesel bus garage workers from four garages in two

cities to determine if there was excess chronic respiratory morbidity associated with exposure to

DE. Tenure of employment was used as a surrogate of exposure; mean tenure of the study

population was 9 years ± 10 years S.D. Exposure-effect relationships within the study

population showed no detectable associations of symptoms with tenure. Reductions in FVC,

FEV1, peak flow, and FEF50 (but not FEF75) were associated with increasing tenure. Compared

with a control population (716 nonexposed blue-collar workers) and after indirect adjustment for

age, race, and smoking, the exposed workers had a higher incidence of cough, phlegm, and

wheezing; however, there was no correlation between symptoms and length of employment. 

Dyspnea showed an exposure-response trend but no apparent increase in prevalence. Mean

FEV1, FVC, FEF50, and peak flow were not reduced in the total cohort compared with the

reference population, but were reduced in workers with 10 years or more tenure.

Purdham et al. (1987) evaluated respiratory symptoms and pulmonary function in

17 stevedores employed in car ferry operations who were exposed to both diesel and gasoline

exhausts and in a control group of 11 on-site office workers. Twenty-four percent of the

exposed group and 36% of the controls were smokers. If a particular symptom was considered
5-15

to be influenced by smoking, smoking status was used as a covariate in the logistic regression

analysis; pack-years smoked was a covariate for lung function indices. The frequency of

respiratory symptoms was not significantly different between the two groups; however, baseline

pulmonary function measurements were significantly different. The latter comparisons were

measured by multiple regression analysis using the actual (not percentage predicted) results and

correcting for age, height, and pack-years smoked. The stevedores had significantly lower

FEV1, FEV1/FVC, FEF50, and FEF75 (p<0.021, p<0.023, p<0.001, and p<0.008, respectively),

but not FVC. The results from the stevedores were also compared with those obtained from a

study of the respiratory health status of Sydney, Nova Scotia, residents. These comparisons

showed that the dock workers had higher FVC, similar FEV1, but lower FEV1/FVC and flow

rates than the residents of Sydney. Based on these consistent findings, the authors concluded

that the lower baseline function measurements in the stevedores provided evidence of an

obstructive ventilatory defect, but caution in interpretation was warranted because of the small

sample size. There were no significant changes in lung function over the workshift, nor was

there a difference between the two groups. The stevedores were exposed to significantly

(p<0.04) higher concentrations of particulate matter (0.06 to 1.72 mg/m3, mean 0.50 mg/m3)

than the controls (0.13 to 0.58 mg/m3, mean not reported). Exposures of stevedores to SO2,

NO2, aldehydes, and PAHs were very low; occasional CO concentrations in the 20 to 100 ppm

range could be detected for periods up to 1 h in areas where blockers were chaining gasolinepowered vehicles.

Additional epidemiologic studies on the health hazards posed by exposure to DE have

been conducted for mining operations. Reger et al. (1982) evaluated the respiratory health status

of 823 male coal miners from six diesel-equipped mines compared with 823 matched coal

miners not exposed to DE. The average tenure of underground work for the underground miners

and their controls was only about 5 years; on average, the underground workers in diesel mines

spent only 3 of those 5 years underground in diesel-use mines. Underground miners exposed to

DE reported a higher incidence of symptoms of cough and phlegm but proportionally fewer

symptoms of moderate to severe dyspnea than their matched counterparts. These differences in

prevalence of symptoms were not statistically significant. The diesel-exposed underground

miners, on the average, had lower FVC, FEV1, FEF50, FEF75, and FEF90 but higher peak flow

and FEF25 than their matched controls. These differences, however, were not statistically

significant. Health indicators for surface workers and their matched controls were directionally

the same as for matched underground workers. There were no consistent relationships between

the findings of increased respiratory symptoms, decreased pulmonary function, smoking history,

years of exposure, or monitored atmosphere pollutants (NOx, CO, particles, and aldehydes). 

Mean concentrations of NOx at the six mines ranged from 0 to 0.6 ppm for short-term area
5-16

samples, 0.13 to 0.28 ppm for full-shift personal samples, and 0.03 to 0.80 for full-shift area

samples. Inhalable particles (less than 10 :m MMAD) averaged 0.93 to 2.73 mg/m3

 for

personal samples and 0 to 16.1 mg/m3

 for full-shift area samples. Ames et al. (1984), using a

portion of the miners studied by Reger, examined 280 diesel-exposed underground miners in

1977 and again in 1982. Each miner in this group had at least 1 year of underground mining

work history in 1977. The control group was 838 miners with no exposure to DE. The miners

were evaluated for prevalence of respiratory symptoms, chronic cough, phlegm, dyspnea, and

changes in FVC, FEV1, and FEF50. No air monitoring data were reported; exposure to DE gases

and mine dust particles were described as very low. These authors found no decrements in

pulmonary function or increased prevalence of respiratory symptoms attributable to exposure to

DE. In fact, the 5-year incidences of cough, phlegm, and dyspnea were greater in miners

without exposure to DE.

Attfield (1978) studied 2,659 miners from 21 mines (8 metal, 6 potash, 5 salt, and

2 trona). Diesels were employed in only 18 of the mines, but the 3 mines not using diesels were

not identified. The years of diesel usage, ranging from 8 in trona mines to 16 in potash mines,

were used as a surrogate for exposure to DE. Based on a questionnaire, an increased prevalence

of persistent cough was associated with exposure to aldehydes; this finding, however, was not

supported by the pulmonary function data. No adverse respiratory symptoms or pulmonary

function impairments were related to CO2, CO, NO2, inhalable dust, or inhalable quartz. The

author failed to comment on whether the prevalence of cough was related to the high incidence

(70%) of smokers in the cohort.

Questionnaire, chest radiograph, and spirometric data were collected by Attfield et al.

(1982) on 630 potash miners from six potash mines. These miners were exposed for an average

of 10 years (range 5 to 14 years) to 0.1 to 3.3 ppm NO2, 0.1 to 4.0 ppm aldehyde, 5 to 9 ppm

CO, and total dust concentrations of 9 to 23 mg/m3. No attempt was made to measure dieselderived particles separately from other dusts. The ratio of total to inhalable (<10 :m MMAD)

dust ranged from 2 to 11. An increased prevalence of respiratory symptoms was related solely

to smoking. No association was found between symptoms and tenure of employment, dust

exposure, NO2, CO, or aldehydes. A higher prevalence of symptoms of cough and phlegm was

found, but no differences in pulmonary function (FVC and FEV1) were found in these

diesel-exposed potash miners when compared with the predicted values derived from a logistics

model based on blue-collar workers working in nondusty jobs.

Gamble et al. (1983) investigated respiratory morbidity in 259 miners from 5 salt mines

in terms of increased respiratory symptoms, radiographic findings, and reduced pulmonary

function associated with exposure to NO2, inhalable particles (<10 :m MMAD), or years

worked underground. Two of the mines used diesel extensively; no diesels were used in one salt
5-17

mine. Diesels were introduced into each mine in 1956, 1957, 1963, or 1963 through 1967. 

Several working populations were compared with the salt miner cohort. After adjustment for

age and smoking, the salt miners showed no increased prevalence of cough, phlegm, dyspnea, or

airway obstruction (FEV1/FVC) compared with aboveground coal miners, potash miners, or

blue-collar workers. The underground coal miners consistently had an elevated level of

symptoms. Forced expiratory volume at 1 s, FVC, FEF50, and FEF75 were uniformly lower for

salt miners in relation to all the comparison populations. There was, however, no association

between changes in pulmonary function and years worked, estimated cumulative inhalable

particles, or estimated NO2 exposure. The highest average exposure to particulate matter was

1.4 mg/m3 (particle size not reported, measurement includes NaCl). Mean NO2 exposure was

1.3 ppm, with a range of 0.17 ppm to 2.5 ppm. In a continuation of these studies, Gamble and

Jones (1983) grouped the salt miners into low-, intermediate-, and high-exposure categories

based on tenure in jobs with DE exposure. Average concentrations of inhalable particles and

NO2 were 0.40, 0.60, and 0.82 mg/m3 and 0.64, 1.77, and 2.21 ppm for the three diesel exposure

categories, respectively. A statistically significant concentration-response association was found

between the prevalence of phlegm in the salt miners and exposure to DE (p<0.0001) and a

similar, but nonsignificant, trend for cough and dyspnea. Changes in pulmonary function

showed no association with diesel tenure. In a comparison with the control group of

nonexposed, blue-collar workers, adjusted for age and smoking, the overall prevalence of cough

and phlegm (but not dyspnea) was elevated in the diesel-exposed workers. Forced expiratory

volumes at 1 s and FVC were within 4% of expected, which was considered to be within the

normal range of variation for a nonexposed population.

In a preliminary study of three subcohorts from bus company personnel (clerks [lowest

exposure], bus drivers [intermediate exposure], and bus garage workers [highest exposure])

representing different levels of exposure to DE, Edling and Axelson (1984) found a fourfold

higher risk ratio for cardiovascular mortality in bus garage workers, even after adjusting for

smoking history and allowing for at least 10 years of exposure and 15 years or more of induction

latency. Carbon monoxide was hypothesized as the etiologic agent for the increased

cardiovascular disease but was not measured. However, in a more comprehensive epidemiologic

study, Edling et al. (1987) evaluated mortality data covering a 32-year period for a cohort of 694

bus garage employees and found no significant differences between the observed and expected

number of deaths from cardiovascular disease. Information on exposure components and their

concentrations was not reported.

The absence of reported noncancerous human health effects, other than infrequently

occurring effects related to respiratory symptoms and pulmonary function changes, is notable. 

Unlike studies in laboratory animals, to be described later in this chapter, studies of the impact
5-18

of DE on the defense mechanisms of the human lung have not been performed. No direct

evidence is available in humans regarding doses of DE, gas phase, particulate phase, or total

exhaust that lead to impaired particle clearance or enhanced susceptibility to infection. A

summary of epidemiologic studies is presented in Table 5-1.

Table 5-1. Human studies of exposure to diesel exhaust

Study Description Findings

Acute exposures

Kahn et al.

(1988)

13 cases of acute exposure, Utah and

Colorado coal miners.

Acute reversible sensory irritation, headache,

nervous system effects, bronchoconstriction were

reported at unknown exposures.

El Batawi and

Noweir (1966) 

161 workers, two diesel bus garages. Eye irritation (42%), headache (37%), dizziness

(30%), throat irritation (19%), and cough and

phlegm (11%) were reported in this order of

incidence by workers exposed in the service and

repair of diesel-powered buses.

Battigelli

(1965)

Six subjects, eye exposure chamber,

three dilutions.

Time to onset was inversely related and severity of

eye irritation was associated with the level of

exposure to DE.

Katz et al.

(1960)

14 persons monitoring DE in a train

tunnel.

Three occasions of minor eye and throat irritation;

no correlation established with concentrations of

DE components.

Hare and

Springer (1971)

Hare et al.

(1974)

Volunteer panelists who evaluated

general public’s response to odor of

DE.

Slight odor intensity, 90% perceived, 60%

objected; slight to moderate odor intensity, 95%

perceived, 75% objected; moderate odor intensity,

100% perceived, almost 95% objected.

Linnell and

Scott (1962) 

Odor panel under highly controlled

conditions determined odor threshold

for DE.

In six panelists, the volume of air required to dilute

raw DE to an odor threshold ranged from a factor of

140 to 475.

Rudell et al.

(1990, 1994)

Eight healthy nonsmoking subjects

exposed for 60 min in chamber to DE

(3.7 ppm NO, 1.5 ppm NO2, 27 ppm

CO, 0.5 mg/m3

 formaldehyde,

particles (4.3 × 106

/cm3). Exercise,

10 of each 20 min (75 W).

Odor, eye and nasal irritation in 5/8 subjects. BAL

findings: small decrease in mast cells, lymphocyte

subsets and macrophage phagocytosis; small

increase in PMNs.

Rudell et al.

(1996)

Volunteers exposed to DE for 1 h

while doing light work. Exposure

concentrations uncertain.

Unpleasant smell along with irritation of eyes and

nose reported. Airway resistance increased. 

Reduction of particle concentration by trapping did

not affect results.

Battigelli

(1965)

13 volunteers exposed to three

dilutions of DE for 15 min to 1 h.

No significant effects on pulmonary resistance were

observed as measured by plethysmography.

Wade and

Newman

(1993) 

Three railroad workers acutely

exposed to DE. 

The workers developed symptoms of asthma.

Diaz-Sanchez

et al. (1994)

Volunteers challenged by a nasal

spray of 0.30 mg DPM.

Enhancement of IgE production reported due to a

dramatic increase in IgE-secreting cells.
5-19

Table 5-1. Human studies of exposure to diesel exhaust (continued)

Study Description Findings

Takenaka et al.

(1995)

Volunteers challenged by a nasal

spray of 0.30 mg DPM.

DPM extracts enhanced interleukin-4 plus

monoclonal antibody-stimulated IgE production as

much as 360%, suggesting an enhancement of

ongoing IgE production rather than inducing

germline transcription or isotype switching.

Diaz-Sanchez

et al. (1996)

Volunteers challenged by a nasal

spray of 0.30 mg DPM.

A broad increase in cytokine expression predicted

to contribute to enhanced local IgE production.

Diaz-Sanchez

et al. (1997)

Ragweed-sensitive volunteers

challenged by a nasal spray of 0.30

mg DPM alone or in combination

with ragweed allergen.

Ragweed allergen plus DPM-stimulated ragweedspecific IgE to a much greater degree than ragweed

alone, suggesting DPM may be a key feature in

stimulating allergen-induced respiratory allergic

disease.

Salvi et al.

(1999)

Volunteers exposed to diluted DE

(DPM 300 :g/m3

) for 1 h with

intermittent exercise.

• No changes in pulmonary function, but

significant increases in neutrophils, B

lymphocytes, histamine, and fibronectin in

airway lavage fluid.

• Bronchial biopsies 6 h after exposure

showed significant increase in neutrophils,

mast cells, CD4+ and CD8+ T

lymphocytes; upregulation of ICAM-1 and

VCAM-1; increases in the number of LFA1+ in bronchial tissue.

• Significant increases in neutrophils and

platelets observed in peripheral blood.

Salvi et al.

(2000)

Volunteers exposed to diluted DE

(DPM 300 :g/m3

) for 1 h.

• DPM enhanced gene transcription of IL-8

in bronchial tissue and bronchial wash

cells

• Increased expression of growth-regulated

oncogene-" and IL-8 in bronchial

epithelium; trend towards increased IL-5

mRNA gene transcripts.

Nightingale et

al. (2000)

Volunteers exposed to resuspended

DPM (200 ug/m3

) for 2 h at rest

• DPM increased exhaled levels of CO

• DPM increased sputum neutrophils and

myeloperoxidase

Studies of cross-shift changes

Reger (1979) Five or more VC maneuvers by each

of 60 coal miners exposed to DE at

the beginning and end of a workshift.

FEV1, FVC, and PEFR were similar between diesel

and non-diesel-exposed miners. Smokers had an

increased number of decrements over shift than

nonsmokers.
5-20

Table 5-1. Human studies of exposure to diesel exhaust (continued)

Study Description Findings

Ames et al.

(1982)

Pulmonary function of 60 dieselexposed compared with 90 nondiesel-exposed coal miners over

workshift.

Significant workshift decrements occurred in

miners in both groups who smoked; no significant

differences in ventilatory function changes between

miners exposed to DE and those not exposed.

Jörgensen and

Svensson

(1970)

240 iron ore miners matched for

diesel exposure, smoking, and age

were given bronchitis questionnaires

and spirometry pre- and

postworkshift.

Among underground (surrogate for diesel exposure)

miners, smokers, and older age groups, frequency

of bronchitis was higher. Pulmonary function was

similar between groups and subgroups except for

differences accountable to age.

Gamble et al.

(1979)

200 salt miners performed beforeand after-workshift spirometry. 

Personal environmental NO2 and

inhalable particle samples were

collected.

Smokers had greater but not significant reductions

in spirometry than ex- or nonsmokers. NO2 but not

particulate levels significantly decreased FEV1,

FEF25, FEF50, and FEF75 over the workshift.

Gamble et al.

(1987a)

232 workers in 4 diesel bus garages

administered acute respiratory

questionnaire and before and after

workshift spirometry. Compared to

lead/acid battery workers previously

found to be unaffected by their

exposures.

Prevalence of burning eyes, headache, difficult or

labored breathing, nausea, and wheeze were higher

in diesel bus workers than in comparison

population.

Ulfvarson et al.

(1987)

Workshift changes in pulmonary

function were evaluated in crews of

roll-on/ roll-off ships and car ferries

and bus garage staff. Pulmonary

function was evaluated in six

volunteers exposed to diluted DE, 2.1

ppm NO2, and 0.6 mg/m3

 particulate

matter.

Pulmonary function was affected during a workshift

exposure to DE, but it normalized after a few days

with no exposure. Decrements were greater with

increasing intervals between exposures. No effect

on pulmonary function was observed in the

experimental exposure study.

Cross-sectional and longitudinal studies

Battigelli et al.

(1964)

210 locomotive repairmen exposed to

DE for an average of 9.6 years in

railroad engine houses were

compared with 154 railroad yard

workers of comparable job status but

no exposure to DE.

No significant differences in VC, FEV1, peak flow,

nitrogen washout, or diffusion capacity or in the

prevalence of dyspnea, cough, or sputum were

found between the DE-exposed and nonexposed

groups.
5-21

Table 5-1. Human studies of exposure to diesel exhaust (continued)

Study Description Findings

Gamble et al.

(1987b)

283 male diesel bus garage workers

from four garages in two cities were

examined for impaired pulmonary

function (FVC, FEV1, and flow

rates). Study population with a mean

tenure of 9 ± 10 years S.D. was

compared to a nonexposed bluecollar population.

Analyses within the study population showed no

association of respiratory symptoms with tenure. 

Reduced FEV1 and FEF50 (but not FEF75) were

associated with increasing tenure. The study

population had a higher incidence of cough,

phlegm, and wheezing unrelated to tenure. 

Pulmonary function was not affected in the total

cohort of diesel-exposed but was reduced with 10

or more years of tenure.

Purdham et al.

(1987)

Respiratory symptoms and

pulmonary function were evaluated

in 17 stevedores exposed to both

diesel and gasoline exhausts in car

ferry operations; control group was

11 on-site office workers.

No differences between the two groups for respiratory symptoms. Stevedores had lower baseline lung

function consistent with an obstructive ventilatory

defect compared with controls and those of Sydney,

Nova Scotia, residents. Caution in interpretation is

warranted because of small sample size. No

significant changes in lung function over workshift

or difference between two groups.

Reger et al.

(1982)

Differences in respiratory symptoms

and pulmonary function were

assessed in 823 coal miners from 6

diesel-equipped mines compared to

823 matched coal miners not exposed

to DE.

Underground miners in diesel-use mines reported

more symptoms of cough and phlegm and had

lower pulmonary function. Similar trends were

noted for surface workers at diesel-use mines. 

Pattern was consistent with small airway disease

but factors other than exposure to DE thought to be

responsible.

Ames et al.

(1984)

Changes in respiratory symptoms and

function were measured during a 5-

year period in 280 diesel-exposed

and 838 nonexposed U.S.

underground coal miners.

No decrements in pulmonary function or increased

prevalence of respiratory symptoms were found

attributable to DE. In fact, 5-year incidences of

cough, phlegm, and dyspnea were greater in miners

without exposure to DE than in miners exposed to

DE.

Attfield (1978) Respiratory symptoms and function

were assessed in 2,659 miners from

21 underground metal mines (1,709

miners) and nonmetal mines (950

miners). Years of diesel usage in the

mines were surrogate for exposure to

DE.

Questionnaire found an association between an

increased prevalence of cough and aldehyde

exposure; this finding was not substantiated by

spirometry data. No adverse symptoms or

pulmonary function decrements were related to

exposure to NO2, CO, CO2, dust, or quartz.
5-22

Table 5-1. Human studies of exposure to diesel exhaust (continued)

Study Description Findings

Attfield et al.

(1982)

Respiratory symptoms and function

were assessed in 630 potash miners

from 6 potash mines through a

questionnaire, chest radiographs, and

spirometry. A thorough assessment

of the environment of each mine was

made concurrently.

No obvious association indicative of diesel

exposure was found between health indices, dust

exposure, and pollutants. Higher prevalences of

cough and phlegm but no differences in FVC and

FEV1 were found in these diesel-exposed potash

workers when compared with predicted values from

a logistic model based on blue-collar staff working

in nondusty jobs.

Gamble et al.

(1983)

Respiratory morbidity was assessed

in 259 miners in 5 salt mines by

respiratory symptoms, radiographic

findings, and spirometry. Two mines

used diesels extensively, two had

limited use, and one used no diesels

in 1956, 1957, 1963, or 1963 through

1967. Several working populations

were compared with the salt-mine

cohort.

After adjustment for age and smoking, salt miners

showed no symptoms or increased prevalence of

cough, phlegm, dyspnea, or air obstruction

(FEV1/FVC) compared with aboveground coal

miners, potash workers, or blue-collar workers. 

FEV1, FVC, FEF50, and FEF75 were uniformly

lower for salt miners in comparison with all the

comparison populations. No changes in pulmonary

function were associated with years of exposure or

cumulative exposure to inhalable particles or NO2.

Gamble and

Jones (1983) 

Same as above. Salt miners were

grouped into low-, intermediate-, and

high-exposure categories based on

tenure in jobs with diesel exposure.

A statistically significant dose-related association

of phlegm and diesel exposure was noted. Changes

in pulmonary function showed no association with

diesel tenure. Age- and smoking-adjusted rates of

cough, phlegm, and dyspnea were 145%, 169%,

and 93% of an external comparison population. 

Predicted pulmonary function indices showed small

but significant reductions; there was no doseresponse relationship.

Edling and

Axelson (1984)

Pilot study of 129 bus company

employees classified into 3 dieselexhaust exposure categories: clerks

(0), bus drivers (1), and bus garage

workers.

The most heavily exposed group (bus garage

workers) had a fourfold increase in risk of dying

from cardiovascular disease, even after correction

for smoking and allowing for 10 years of exposure

and 14 years or more of induction latency time.

Edling et al.

(1987)

Cohort of 694 male bus garage

employees followed from 1951

through 1983 was evaluated for

mortality from cardiovascular

disease. Subcohorts categorized by

levels of exposure were clerks (0),

bus drivers (1), and bus garage

employees (2).

No increased mortality from cardiovascular disease

was found among the members of these five bus

companies when compared with the general

population or grouped as subcohorts with different

levels of exposure.
5-23

To date, no large-scale epidemiologic study has looked for effects of chronic exposure to

DE on pulmonary function. In the long-term longitudinal and cross-sectional studies, a

relationship was generally observed between work in a job with diesel exposure and respiratory

symptoms (such as cough and phlegm), but there was no consistent effect on pulmonary

function. The interpretation of these results is hampered by lack of measured DE exposure

levels and the short duration of exposure in these cohorts. The studies are further limited in that

only active workers were included, and it is possible that workers who have developed

symptoms or severe respiratory disease are likely to have moved away from these jobs. The

relationship between work in a job with diesel exposure and respiratory symptoms may be due to

short-term exposure.

5.1.2. Traffic Studies

The relationship between traffic density and respiratory health in children has been

examined in a series of studies in Holland in children attending schools located near major

freeways. Cough, wheeze, runny nose, and doctor-diagnosed asthma were reported more often

for children living within 100 m of freeways carrying between 80,000 and 150,000 vehicles per

day (van Vliet et al., 1997). Separate counts for truck traffic indicated a range from 8,000 to

17,500 trucks per day. Truck traffic intensity and concentration of “black smoke,” considered

by the authors to be a proxy for DPM, measured in schools were found to be significantly

associated with chronic respiratory symptoms, with the relationships being more pronounced in

girls than in boys.

Brunekreef et al. (1997) measured lung function in children in six areas located near

major motorways and assessed their exposure to traffic-related air pollution using separate traffic

counts for automobiles and trucks. They also measured air pollution in the children's schools.

Although lung function was associated with truck traffic density, there was a lesser association

with automobile traffic density. The association was stronger in those children living closest

(300 m) to the roadways. Lung function was also associated with concentration of “black

smoke” (source and constitution unclear from the study) measured inside the schools. The

associations were stronger in girls than in boys. The authors conclude that exposure to vehicular

pollution, in particular DPM, may lead to reduced lung function in children living near major

motorways.

In a follow-up study of traffic-related air pollution and its effect on the respiratory health

of children living near roadways, Brunekreef et al. (2000) showed that the intensity of truck

traffic was significantly associated with the prevalence of wheeze, phlegm, bronchitis, eye

symptoms, and allergy to dust and pets. Associations with yearly averaged PM2.5 and “soot”

concentrations measured inside and outside the schools showed similar patterns. Truck traffic
5-24

intensity was also significantly associated with a positive skin prick test or elevated IgE for

outdoor allergens. There were no associations between traffic intensity or PM2.5 and “soot”

concentrations and lung function, bronchial responsiveness, and allergic reactions to indoor

allergens. Further analysis of the data showed that the associations between traffic-related air

pollution and symptoms were almost entirely related to children with bronchial hyperreactivity

or sensitization to common allergens.

5.1.3. Laboratory Animal Studies

Because humans and laboratory animals show similar nonneoplastic responses to inhaled

particles (ILSI, 2000), animal studies have been conducted to assess the pathophysiologic effects

of DPM. Because of the large number of statistical comparisons made in the laboratory animal

studies, and to permit uniform, objective evaluations within and among studies, data will be

reported as significantly different (i.e., p<0.05) unless otherwise specified. The exposure

regimens used and the resultant exposure conditions employed in the laboratory animal

inhalation studies are summarized in Tables 5-2 through 5-16. Other than the pulmonary

function studies performed by Wiester et al. (1980) on guinea pigs during their exposure in

inhalation chambers, the pulmonary function studies performed by other investigators, although

sometimes unreported, were interpreted as being conducted on the following day or thereafter

and not immediately following exposure.

5.1.3.1. Acute Exposures

The acute toxicity of undiluted DE to rabbits, guinea pigs, and mice was assessed by

Pattle et al. (1957). Four engine operating conditions were used, and 4 rabbits, 10 guinea pigs,

and 40 mice were tested under each exposure condition for 5 h (no controls were used). 

Mortality was assessed up to 7 days after exposure. With the engine operating under light load,

the exhaust was highly irritating but not lethal to the test species, and only mild tracheal and

lung damage was observed in the exposed animals. The exhaust contained 74 mg/m3 DPM

(particle size not reported), 560 ppm CO, 23 ppm NO2, and 16 ppm aldehydes. Exhaust

containing 5 mg/m3 DPM, 380 ppm CO, 43 ppm NO2, and 6.4 ppm aldehydes resulted in low

mortality rates (mostly below 10%) and moderate lung damage. Exhaust containing 122 mg/m3

DPM, 418 ppm CO, 51 ppm NO2, and 6.0 ppm aldehydes produced high mortality rates (mostly

above 50%) and severe lung damage. Exhaust containing 1,070 mg/m3 DPM, 1,700 ppm CO,

12 ppm NO2, and 154 ppm aldehydes resulted in 100% mortality in all three species. High CO

levels, which resulted in a carboxyhemoglobin value of 60% in mice and 50% in rabbits and

guinea pigs, were considered to be the main cause of death in the latter case. High NO2 levels
5-25

were considered to be the main cause of lung damage and mortality seen in the other three tests. 

Aldehydes and NO2 were considered to be the main irritants in the light load test.

Kobayashi and Ito (1995) administered 1, 10, or 20 mg/kg DPM in phosphate-buffered

saline to the nasal mucosa of guinea pigs. The administration increased nasal airway resistance,

augmented increased airway resistance and nasal secretion induced by a histamine aerosol,

increased vascular permeability in dorsal skin, and augmented vascular permeability induced by

histamine. The increases in nasal airway resistance and secretion are considered typical

responses of nasal mucosa against allergic stimulation. Similar results were reported for guinea

pigs exposed via inhalation for 3 h to DE diluted to DPM concentrations of either 1 or 3.2

mg/m3 (Kobayashi et al., 1997). These studies show that short-term exposure to DPM augments

nasal mucosal hyperresponsiveness induced by histamine in guinea pigs.

5.1.3.2. Short-Term and Subchronic Exposures

A number of inhalation studies have employed a regimen of 20 h/day, 7 days/week for

varying exposure periods up to 20 weeks to differing concentrations of airborne particulate

matter, vapor, and gas concentrations of diluted DE. Exposure regimens and characterization of

gas-phase components for these studies are summarized in Table 5-2. 

Pepelko et al. (1980a) evaluated the pulmonary function of cats exposed under these conditions

for 28 days to 6.4 mg/m3

 DPM. The only significant functional change observed was a decrease

in maximum expiratory flow rate at 10% vital capacity. The excised lungs of the exposed cats

appeared charcoal gray, with focal black spots visible on the pleural surface. Pathologic changes

included a predominantly peribronchial localization of black-pigmented macrophages within the

alveoli characteristic of focal pneumonitis or alveolitis.

The effects of a short-term DE exposure on arterial blood gases, pH, blood buffering,

body weight changes, lung volumes, and deflation pressure-volume (PV) curves of young adult

rats were evaluated by Pepelko (1982a). Exposures were 20 h/day, 7 days/week for 8 days to a

concentration of 6.4 mg/m3 DPM in the nonirradiated exhaust (RE) and 6.75 mg/m3 in the

irradiated exhaust (IE). In spite of the irradiation, levels of gaseous compounds were not

substantially different between the two groups (Table 5-2). Body weight gains were

significantly reduced in the RE-exposed rats and to an even greater degree in rats exposed to IE. 

Arterial blood gases and standard bicarbonate were unaffected, but arterial blood pH was

significantly reduced in rats exposed to IE. Residual volume and wet lung weight were not

affected by either exposure, but vital capacity and total lung capacity were increased

significantly following exposure to RE. The shape of the deflation PV curves were nearly

identical for the control, RE, and IE groups.
5-26

Table 5-2. Short-term effects of diesel exhaust on laboratory animals

Species/sex Exposure period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M;Mouse, A/J, M; Hamster,Syrian, M

20 h/day7 days/week10-13 weeks

1.5

0.19 :m MMD

2,100 to 2,730 6.9 0.49 — Increase in lung wt; increase 

thickness of alveolar walls;minimal species difference

Rat, F344, M, F; Mouse,CD-1, M, F

7 h/day5 days/week19 weeks

0.211.04.4

140

 665

2,926

———

———

———

No effects on lung function in (not done in mice); increase iPMNs and proteases and AMaggregation in both species

Cat, Inbred, M 20 h/day

7 days/week4 weeks

6.4 3,584 14.6 2.1 2.1 Few effects on lung function

pneumonitis or alveolitis

Rat, SpragueDawley, M 20 h/day 7 days/week

4 weeks

 6.4

6.8a

3,5843,808

16.916.1a

2.492.76a

2.101.86a

Decreased body wt; arterial bpH reduced; vital capacity, tolung capacities increased

(<0.01 ppm O3)a

Guinea Pig,Hartley, M, F

20 h/day7 days/week4 weeks

6.8a 3,808 16.7 2.9 1.9 Exposure started when anima

were 4 days old; increase inpulmonary flow; bardycardia

(<0.01 ppm O3)a

Rat, F344,M

20 h/day5.5 days/week4 weeks

6.0

6.8 :m MMD

2,640 — — — Macrophage aggregation; inc

in PMNs; Type II cellproliferation; thickened alveowalls

Guinea Pig, Hartley, M 30 min 1-2 mg DPM

Intranasally

— — — — Augmented increases in nasa

airway resistance and vasculapermeability induced by ahistamine aerosol

Guinea Pig, Hartley, M 3 h 1

3.2

0.51.6

5.9

12.9

1.44.4

0.130.34

Similar results to those reportthe previous study using intrachallenge
5-27

Table 5-2. Short-term effects of diesel exhaust on laboratory animals (continued)

Species/sex Exposure period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Guinea Pig, Hartley, M, F 20 h/day

7 days/week8 weeks

6.3 7,056 17.4 2.3 2.1 Increase in relative lung wt. A

aggregation; hypertrophy of cells; focal hyperplasia of alvepithelium

Mouse ICR, M 6 weeks 100 :g DPM

intranasally

— — — — DPM aggravated ovalbumininduced airway inflammation 

provided evidence that DPM enhance manifestations of allasthma

Rat, Sprague-Dawley,M

24 h 5-100 :g/106

AM/mL of

DPM

— — — — Unchanged, but not organic-f

DPM enhanced production oproinflammatory cytokines

aIrradiated exhaust.

PMN = Polymorphonuclear leukocyte.AM = Alveolar macrophage.
5-28

In related studies, Wiester et al. (1980) evaluated pulmonary function in 4-day-old

guinea pigs exposed for 20 h/day, 7 days/week for 28 days to IE having a concentration of 6.3

mg/m3 DPM. When housed in the exposure chamber, pulmonary flow resistance increased 35%,

and a small but significant sinus bradycardia occurred as compared with controls housed and

measured in control air chambers (p<0.002). Respiratory rate, tidal volume, minute volume, and

dynamic compliance were unaffected, as were lead-1 electrocardiograms.

A separate group of adult guinea pigs was necropsied after 56 days of exposure to IE, to

diluted RE, or to clean air (Wiester et al., 1980). Exposure resulted in a significant increase in

the ratio of lung weight to body weight (0.68% for controls, 0.78% for IE, and 0.82% for RE). 

Heart/body weight ratios were not affected by exposure. Microscopically, there was a marked

accumulation of black pigment-laden AMs throughout the lung, with a slight to moderate

accumulation in bronchial and carinal lymph nodes. Hypertrophy of goblet cells in the

tracheobronchial tree was frequently observed, and focal hyperplasia of alveolar lining cells was

occasionally observed. No evidence of squamous metaplasia of the tracheobronchial tree,

emphysema, peribronchitis, or peribronchiolitis was noted. 

White and Garg (1981) studied pathologic alterations in the lungs of rats (16 exposed and

8 controls) after exposure to DE containing 6 mg/m3 DPM. Two rats from the exposed group

and one rat from the control group (filtered room air) were sacrificed after each exposure

interval of 6 h and 1, 3, 7, 14, 28, 42, and 63 days; daily exposures were for 20 h and were 5.5

days/week. Evidence of AM recruitment and phagocytosis of diesel particles was found at the 6-

h sacrifice; after 24 h of exposure there was a focal, scattered increase in the number of Type II

cells. After 4 weeks of exposure, there were morphologic changes in size, content, and shape of

AM, septal thickening adjacent to clusters of AMs, and an appearance of inflammatory cells,

primarily within the septa. At 9 weeks of exposure, focal aggregations of particle-laden

macrophages developed near the terminal bronchi, along with an influx of PMNs, Type II cell

proliferation, and thickening of alveolar walls. The affected alveoli occurred in clusters that, for

the most part, were located near the terminal bronchioles, but occasionally were focally located

in the lung parenchyma. Hypertrophy of goblet cells in the tracheobronchial tree was frequently

observed, and focal hyperplasia of alveolar lining cells was occasionally observed. No evidence

of squamous metaplasia of the tracheobronchial tree, emphysema, peribronchitis, or

peribronchiolitis was noted.

Mauderly et al. (1981) exposed rats and mice by inhalation to diluted DE for 545 h over

a 19-week period on a regimen of 7 h/day, 5 days/week at concentrations of 0, 0.21, 1.02, or

4.38 mg/m3 DPM. Indices of health effects were minimal following 19 weeks of exposure. 

There were no significant exposure-related differences in mortality or body weights of the rats or

mice. There also were no significant differences in respiratory function (breathing patterns,
5-29

dynamic lung mechanics, lung volumes, quasi-static PV relationships, forced expirograms, and

CO-diffusing capacity) in rats; pulmonary function was not measured in mice. No effect on

tracheal mucociliary or deep lung clearances were observed in the exposed groups. Rats, but not

mice, had elevated immune responses in lung-associated lymph nodes at the two higher exposure

levels. Inflammation in the lungs of rats exposed to 4.38 mg/m3 DPM was indicated by

increases in PMNs and lung tissue proteases. Histopathologic findings included AMs that

contained DPM, an increase in Type II cells, and the presence of particles in the interstitium and

tracheobronchial lymph nodes.

Kaplan et al. (1982) evaluated the effects of subchronic exposure to DE on rats,

hamsters, and mice. The exhaust was diluted to a concentration of 1.5 mg/m3 DPM; exposures

were 20 h/day, 7 days/week. Hamsters were exposed for 86 days, rats and mice for 90 days. 

There were no significant differences in mortality or growth rates between exposed and control

animals. Lung weight relative to body weight of rats exposed for 90 days was significantly

higher than the mean for the control group. Histological examination of tissues of all three

species indicated particle accumulation in the lungs and mediastinal lymph nodes. Associated

with the larger accumulations, there was a minimal increase in the thickness of the alveolar

walls, but the vast majority of the particles elicited no response. After 6 mo of recovery,

considerable clearance of the DPM from the lungs occurred in all three species, as evaluated by

gross pathology and histopathology. However, no quantitative estimate of clearance was

provided.

Toxic effects in animals from acute exposure to DE appear to be primarily attributable to

the gaseous components (i.e., mortality from CO intoxication and lung injury caused by cellular

damage resulting from NO2 exposure). The results from short-term exposures indicate that rats

experience minimal lung function impairment even at DE levels sufficiently high to cause

histological and cytological changes in the lung. In subchronic studies of durations of 4 weeks

or more, frank adverse health effects are not readily apparent and, when found, are mild and

result from exposure to concentrations of about 6 mg/m3 DPM and durations of exposures of 20

h/day. There is ample evidence that subchronic exposure to lower levels of DE affects the lung,

as indicated by accumulation of particles, evidence of inflammatory response, AM aggregation

and accumulation near the terminal bronchioles, Type II cell proliferation, and thickening of

alveolar walls adjacent to AM aggregates. Little evidence exists, however, that subchronic

exposure to DE impairs lung function. 

5.1.3.3. Chronic Exposures

5.1.3.3.1. Effects on growth and longevity. Changes in growth, body weight, absolute or

relative organ weights, and longevity can be measurable indicators of chronic toxic effects. 
5-30

Such effects have been observed in some, but not all, of the long-term studies conducted on

laboratory animals exposed to DE. There was limited evidence for an effect on survival in the

published chronic animal studies; deaths occurred intermittently early in one study in female rats

exposed to 3.7 mg/m3 DPM; however, the death rate began to decrease after 15 mo, and the

survival rate after 30 mo was slightly higher than that of the control group (Ishinishi et al.,

1988). Studies of the effects of chronic exposure to DE on survival and body weight or growth

are detailed in Table 5-3.

Increased lung weights and lung-to-body weight ratios have been reported in rats, mice,

and hamsters. These data are summarized in Table 5-4. In rats exposed for up to 36 weeks to

0.25 or 1.5 mg/m3 DPM, lung wet weights (normalized to body weight) were significantly

higher in the 1.5 mg/m3 exposure group than control values after 12 weeks of exposure

(Misiorowski et al., 1980). Rats and Syrian hamsters were exposed for 2 years (five 16-h

periods per week) to DE diluted to achieve concentrations of 0.7, 2.2, and 6.6 mg/m3 DPM

(Brightwell et al., 1986). At necropsy, a significant increase in lung weight was seen in both rats

and hamsters exposed to DE compared with controls. This finding was more pronounced in the

rats in which the increase was progressive with both duration of exposure and particulate matter

level. The increase was greatest at 30 mo (after the end of a 6-mo observation period in the

high-concentration male group where the lung weight was 2.7 times the control and at 24 mo in

the high-concentration female group [3.9 times control]). Heinrich et al. (1986a,b; see also

Stöber, 1986) found a significant increase in wet and dry weights of the lungs of rats and mice

exposed at 4.24 mg/m3

 DPM for 1 year in comparison with controls. After 2 years, the

difference was a factor of 2 (mice) or 3 (rats). After the same exposure periods, the hamsters

showed increases of 50% to 75%, respectively. Exposure to equivalent filtered DE (i.e., without

DPM) caused no significant effects in any of the species. Vinegar et al. (1980, 1981a,b) exposed

hamsters to two levels of DE with resultant concentrations of about 6 and 12 mg/m3 DPM for 8

h/day, 7 days/week for 6 mo. Both exposures significantly increased lung weight and lungweight to body-weight ratios. The difference between lung weights of exposed and control

hamsters exposed to 12 mg/m3

 DPM was approximately twice that of those exposed to 6 mg/m3.

Heinrich et al. (1995) reported that rats exposed to 2.5 and 7 mg/m3 DPM for 18 h/day,

5 days/week for 24 mo showed significantly lower body weights than controls starting at day

200 in the high-concentration group and at day 440 in the low-concentration group. Body

weight in the low-concentration group was unaffected, as was mortality in any group. Lung

weight was increased in the 7 mg/m3 group starting at 3 mo and persisting throughout the study,

while the 2.5 mg/m3 group showed increased lung weight only at 22 and 24 mo of exposure. 

Mice (NMRI strain) exposed to 7 mg/m3 in this study for 13.5 mo had no increase in mortality

and insignificant decreases in body weight. Lung weights were dramatically affected, with
5-31

Table 5-3. Effects of chronic exposures to diesel exhaust on survival and growth of laboratory an

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M, F; Monkey, Cynomolgus, M

7 h/day5 days/week104 weeks

2.0

0.23–0.36: m MMD

7,280 11.5 1.5 0.8 No effects on growth or surv

Rat, F344, M;Guinea Pig, Hartley, M

20 h/day5 days/week106 weeks

0.250.751.5

0.19 :m MMD

2,6507,950

15,900

2.7a

4.4a7.1a

0.1b0.27b0.5b

———

Reduced body weight in rat1.5 mg/m3

Hamster, Chinese, M 8 h/day

7 days/week26 weeks

6.0

12.0

8,736

17,472

——

——

——

No effect on growth 

Rat, Wistar, M 6 h/day

5 days/week 87 weeks

8.3

0.71 :m MMD

21,663 50.0 4.0–6.0 — No effect on growth or mort

rates

Rat, F344, M, F;Mouse, CD-1, M, F

7 h/day5 days/week130 weeks

0.353.57.1

0.25 :m MMD

1,592

15,92531,850

2.9

16.529.7

0.050.340.68

———

No effect on growth or mortrates

Rat, Wistar, F; Mouse, MMRI, F

19 h/day5 days/week104 weeks

4.24

0.35 :m MMD

41,891 12.5 1.5 1.1 Reduced body wts; increase

mortality in mice

Rat, F344M, F

16 h/day5 days/week104 weeks

0.72.26.6

5,824

18,30454,912

——

32.0

———

———

Growth reduced at 2.2 and6.6 mg/m3

Ratc

F344/Jcl.

16 h/day6 days/week130 weeks

0.11d

0.41d1.08d2.31d3.72e

0.2–0.3 :m MMD

1,3735,117

13,47828,82946,426

1.232.123.967.10

12.9

0.080.260.701.413.00

0.381.062.424.704.57

Concentration-dependentdecrease in body weight; eadeaths in females exposed to mg/m3, stabilized by 15 mo

Rat, Wistar, F;Mouse, NMRI, F(7 mg/m3 only)

18 h/day5 days/week24 mo

0.842.56.98

7,400

21,80061,700

2.68.3

21.2

0.31.23.8

0.31.13.4

Reduced body weight in rat2.5 and 6.98 mg/m3 and no e

in mice
5-32

Table 5-3. Effects of chronic exposures to diesel exhaust on survival and growth of laboratory animals 

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Mice, NMRI, F;C57BL/6N, F

18 h/day5 days/week13.5 mo(NMRI)24 mo(C57BL/N)

6.98 35,500 - NMRI

38,300 - C57

14.2 2.3 2.8 Reduced body weight in NM

mice but not in C57BL/6N m

Rats, F344, M 16 h/day

5 days/week23 mo

2.446.33

19,52050,640

——

——

——

Reduced survival in 6.33 m

after 300 days. Body weighsignificantly lower at 6.33 m

Mouse, CD-1,M,F

7 h/day5 days/week104 weeks

0.35

3.57.1

0.25 :m MDD

1,274

12,74025,844

3

1730

0.10.30.7

———

No effect on growth or mortrates

aEstimated from graphically depicted mass concentration data.bEstimated from graphically presented mass concentration data for NO2 (assuming 90% NO and 10% NO2).cData for tests with light-duty engine; similar results with heavy-duty engine.dLight-duty engine.eHeavy-duty engine.
5-33

Table 5-4. Effects of chronic exposures to diesel exhaust on organ weights and organ-to-body-weig

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M;Mouse, A/J, M;Hamster, Syrian, M

20 h/day7 days/week12-13 weeks

1.5

0.19 :m MMD

2,520-2,730 — — — No effect on liver, kidney, spleen, or

heart weights

Rat, F344, M, F 7 h/day

5 days/week52 weeks

2.0

0.23–0.36 :m

MMD

3,640 12.7 1.6 0.83 No effects on weights of lungs, liver,

heart, spleen, kidneys, and testes

Rat, F344, M 20 h/day

5.5 days/ week36 weeks

0.25

1.5

0.19 :m MMD

990

5,940

——

——

——

Increase in relative lung weight at1.5 mg/m3 only initially seen at

12 weeks

Rat, F344, F 7 h/day

5 days/week104 weeks

2.0

0.23–0.36 :m

MMD

7,280 11.5 1.5 0.81 No effects on heart weights 

Rat, F344; MGuinea Pig,Hartley, M

20 h/day5.5 days/ week78 weeks

0.250.75

1.5

0.19 :m MMD

2,1456,435

12,870

———

———

———

No effects on heart mass 

Hamster, Chinese,M

8 h/day7 days/week26 weeks

6.0

12.0

8,736

17,472

——

——

——

Increase in lung weight and lung/bodyweight ratio

Rat, Wistar, F;Hamster, Syrian,M, FMouse, NMRI, F

19 h/day5 days/week120-140 weeks

4.24

0.35 :m MMD

48,336-56,392 12.5 1.5 1.1 Increase in rat, mouse, and hamster

lung weight and dry weights

Rat, F344, M, F;Hamster, Syrian,M, F

16 h/day5 days/week104 weeks

0.7a

2.2b6.6

5,824

18,30454,912

——

32.0

———

———

Increase in lung weight concentrationrelated in rats; heart weight/bodyweight ratio greater at 6.6 mg/m3

Cat, inbred, M 8 h/day

7 days/week124 weeks

6.0a

12.0b

41,66483,328

20.233.2

2.74.4

2.75.0

Decrease in lung and kidney weights 

Mouse, NMRI, F(7 mg/m3 only)

18 h/day5 days/week24 mo

0.842.56.98

7,400

21,80061,700

2.68.3

21.2

0.31.23.8

0.31.13.4

Increased rat and mouse lung weight at7 mg/m3 from 6 mo and at 2.5 mg/m3

at 22 and 24 mo
5-34

Table 5-4. Effects of chronic exposures to diesel exhaust on organ weights and organ-to-body-weight rati

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Mouse, NMRI, F;C57BL/6N, F

18 h/day5 days/week13.5 mo (NMRI)24 mo(C57BL/N)

6.98 35,500 - NMRI

38,300 - C57

14.2 2.3 2.8 Increased lung weight 

Rats, F344, M 16 h/day

5 days/week23 mo

2.446.33

19,52050,640

——

——

——

Increase in lung weight was significantat 2 and 6 mg/m3

Rat 0.8

2.5

6.98

Increased lung weight in rats and miceat 3.5 and 7.1 mg/m3

Mouse 6.98

4.5

a1 to 61 weeks of exposure.b62 to 124 weeks of exposure.
5-35

 increases progressing throughout the study from 1.5-fold at 3 mo to 3-fold at 12 mo. Mice

(NMRI and C57BL/6N strains) were also exposed to 4.5 mg/m3

 for 23 mo. In NMRI mice, the

body weights were reported to be significantly lower than controls, but the magnitude of the

change is not reported, so biological significance cannot be assessed. Mortality was slightly

increased, but statistical significance is not reported. The C57BL/6N mice showed minimal

effects on body weight and mortality, which were not statistically significant. Lung weights

were dramatically affected in both strains.

Nikula et al. (1995) exposed male and female F344 rats to DPM concentrations of 2.4

and 6.3 mg/m3

 for 16 h/day, 5 days/week for 23 mo in a study designed to compare the effects of

DPM with those of carbon black. Significantly reduced survival was observed in males exposed

to 6.3 mg/m3 but not in females or at the lower concentration. Body weights were decreased by

exposure to 6.3 mg/m3 DPM in both male and female rats throughout the exposure period. 

Significant increases in lung weight were first seen at 6 mo in the high-exposure group and at

12 to 18 mo in the low-exposure group.

No evidence was found in the published literature that chronic exposure to DE affected

the weight of body organs other than the lung and heart (e.g., liver, kidney, spleen, or testes)

(Table 5-4). Morphometric analysis of hearts from rats and guinea pigs exposed to 0.25, 0.75, or

1.5 mg/m3 DPM 20 h/day, 5.5 days/week for 78 weeks revealed no significant alteration in mass

at any exposure level or duration of exposure (Penney et al., 1981). The analysis included

relative wet weights of the right ventricle, left ventricle, combined atria, and ratio of right to left

ventricle. Vallyathan et al. (1986) found no significant differences in heart weights and the ratio

of heart weight to body weight between rats exposed to 2 mg/m3 DPM for 7 h/day, 5 days/week

for 24 mo and their respective clean-air chamber controls. No significant differences were found

in the lungs, heart, liver, spleen, kidney, and testes of rats exposed for 52 weeks, 7 h/day, 5

days/week to diluted DE containing 2 mg/m3 DPM compared with their respective controls

(Green et al., 1983).

5.1.3.3.2. Effects on pulmonary function. The effect of long-term exposure to DE on

pulmonary function has been evaluated in laboratory studies of rats, hamsters, cats, and

monkeys. These studies are summarized in Table 5-5, along with more details on the exposure

characteristics, in general order of increasing dose (C × T) of DPM. The text will be presented

using the same approach.

Lewis et al. (1989) evaluated functional residual capacity and airway resistance and

conductance in 10 control and 10 diesel-exposed rats (2 mg/m3 DPM, 7 h/day, 5 days/week for

52 or 104 weeks). At the 104-week evaluation, the rats were also examined for maximum flow

volume impairments. No evidence of impaired pulmonary function as a result of the exposure to
5-36

Table 5-5. Effects of diesel exhaust on pulmonary function of laboratory animals 

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M, F 7 h/day

5 days/week104 weeks

2.0

0.23–0.36 :m

MMD

7,280 11.5 1.5 0.8 No effect on pulmonary function 

Monkey,Cynomolgus, M

7 h/day5 days/week104 weeks

2.0

0.23-0.36 :m

MMD

7,280 11.5 1.5 0.8 Decreased expiratory flow; no effec

on vital or diffusing capacities

Rat, F344, M 20 h/day

5.5 days/week87 weeks

1.5

0.19 :m MMD

14,355 7.0 0.5 — Increased functional residual capaci

expiratory volume, and flow

Rat, Wistar, F 7-8 h/day

5 days/week104 weeks

3.9

0.1 :m MMD

14,196-16,224 18.5 1.2 3.1 No effect on minute volume,

compliance, or resistance

Hamster, Chinese, M 8 h/day

7 days/week26 weeks

6.0

12.0

8,736

17,472

——

——

——

Decrease in vital capacity, residualvolume, and diffusing capacity;increase in static deflation lungvolume

Rat, F344, M, F

7 h/day5 days/week130 weeks

0.35

3.57.1

0.23–0.26 :m

MMD

1,593

15,92531,850

2.9

16.529.7

0.050.340.68

———

Diffusing capacity, lung compliancereduced at 3.5 and 7.1 mg/m3

Rat, F344, M, F;Hamster, Syrian, M, F

16 h/day5 days/week104 weeks

0.72.26.6

5,824

18,30454,912

———

———

———

Large number of pulmonary functiochanges consistent with obstructiveand restrictive airway diseases at6.6 mg/m3 (no specific data provide

Hamster, Syrian, M, F 19 h/day

5 days/week120 weeks

4.24

0.35 :m MMD

48,336 12.5 1.5 1.1 Significant increase in airway

resistance

Rat, Wistar, F 19 h/day

5 days/week140 weeks

4.24

0.35 :m MMD

56,392 12.5 1.5 1.1 Decrease in dynamic lung complian

increase in airway resistance

Cat, inbred, M 8 h/day

7 days/week124 weeks

6.0a

12.0b

41,66483,328

20.233.3

2.74.4

2.15.0

Decrease in vital capacity, total lungcapacity, and diffusing capacity afte2 years; no effect on expiratory flow

a1 to 61 weeks exposure.b62 to 124 weeks of exposure.
5-37

DE was found in rats. Lewis et al. (1989) exposed male cynomolgus monkeys to DE for 7

h/day, 5 days/week for 24 mo. Groups of 15 monkeys were exposed to air, DE (2 mg/m3

), coal

dust, or combined coal dust and DE. Pulmonary function was evaluated prior to exposure and at

6-mo intervals during the 2-year exposure, including compliance and resistance, static and

dynamic lung volumes, distribution of ventilation, diffusing capacity, and maximum ventilatory

performance. There were no effects on lung volumes, diffusing capacity, or ventilation

distribution, so there was no evidence of restrictive disease. There was, however, evidence of

obstructive airway disease as measured by low maximal flow rates in diesel-exposed monkeys. 

At 18 mo of exposure, forced expiratory flow at 25% of vital capacity and forced expiratory

flow normalized to FVC were decreased. The measurement of forced expiratory flow at 40% of

total lung capacity was significantly decreased at 12, 18, and 24 mo of exposure. The finding of

an obstructive effect in monkeys contrasts with the finding of restrictive type effects in other

laboratory animal species (Vinegar et al., 1980, 1981a; Mauderly et al., 1988; Pepelko et al.,

1980b, 1981) and suggests a possible difference in effect between primate and small animal

respiratory tracts. In these monkeys there were no specific histopathological effects reported

(see next section), although particle aggregates were reported in the distal airways, suggesting

more small airway deposition.

Gross (1981) exposed rats for 20 h/day, 5.5 days/week for 87 weeks to DE containing 1.5

mg/m3

 DPM. When the data were normalized (e.g., indices expressed in units of airflow or

volume for each animal by its own forced expiratory volume), there were no apparent

functionally significant changes occurring in the lungs at 38 weeks of exposure that might be

attributable to the inhalation of DE. After 87 weeks of exposure, functional residual capacity

(FRC) and its component volumes (expiratory reserve [ER] and residual volume [RV]),

maximum expiratory flow (MEF) at 40% FVC, MEF at 20% FVC, and FEV0.1 were

significantly greater in the diesel-exposed rats. An observed increase in airflow at the end of the

forced expiratory maneuver when a decreased airflow would be expected from the increased

FRC, ER, and RV data (the typical scenario of human pulmonary disease) showed these data to

be inconsistent with known clinically significant health effects. Furthermore, although the lung

volume changes in the diesel-exposed rats could have been indicative of emphysema or chronic

obstructive lung disease, this interpretation was contradicted by the airflow data, which suggest

simultaneous lowering of the resistance of the distal airways.

Heinrich et al. (1982) evaluated the pulmonary function of rats exposed to a

concentration of 3.9 mg/m3 DPM for 7 to 8 h/day, 5 days/week for 2 years. When compared

with a control group, no significant changes in respiratory rate, minute volume, compliance, or

resistance occurred in the exposed group (number of rats per group was not stated).

Chinese hamsters (eight or nine per group) were exposed 8 h/day, 7 days/week, for 6 mo

to concentrations of either about 6 mg/m3 or about 12 mg/m3 DPM (Vinegar et al., 1980,
5-38

1981a,b). Vital capacity, vital capacity/lung weight ratio, residual lung volume by water

displacement, and CO2 diffusing capacity decreased significantly in hamsters exposed to

6 mg/m3 DPM. Static deflation volume-pressure curves showed depressed deflation volumes for

diesel-exposed hamsters when volumes were corrected for body weight and even greater

depressed volumes when volumes were corrected for lung weight. However, when volumes

were expressed as percentage of vital capacity, the diesel-exposed hamsters had higher lung

volumes at 0 and 5 cm H2O. In the absence of confirmatory histopathology, the authors

tentatively concluded that these elevated lung volumes and the significantly reduced diffusing

capacity in the same hamsters were indicative of possible emphysematous changes in the lung. 

Similar lung function changes were reported in hamsters exposed at 12 mg/m3

 DPM, but detailed

information was not reported. It was stated, however, that the decrease in vital capacity was

176% greater in the second experiment than in the first.

Mauderly et al. (1988; see also McClellan et al., 1986) examined the impairment of

respiratory function in rats exposed for 7 h/day, 5 days/week for 24 mo to diluted DE with 0.35,

3.5, or 7.1 mg/m3 DPM. After 12 mo of exposure to the highest concentration of DE, the

exposed rats (n = 22) had lower total lung capacity (TLC), dynamic lung compliance (Cdyn),

FVC, and CO diffusing capacity than controls (n = 23). After 24 mo of exposure to 7.1 mg/m3

DPM, mean TLC, Cdyn, quasi-static chord compliance, and CO diffusing capacity were

significantly lower than control values. Nitrogen washout and percentage of FVC expired in 0.1

s were significantly greater than control values. There was no evidence of airflow obstruction. 

The functional alterations were attributed to focal fibrotic and emphysematous lesions and

thickened alveolar membranes observed by histological examination. Similar functional

alterations and histopathologic lesions were observed in the rats exposed to 3.5 mg/m3 DPM, but

such changes usually occurred later in the exposure period and were generally less pronounced. 

There were no significant decrements in pulmonary function for the 0.35 mg/m3 group at any

time during the study nor were there reported histopathologic changes in this group.

Mauderly et al. (1989) examined the effects of DE on normal rats and on rats with

experimentally induced pulmonary emphysema to see if emphysematous rats have increased

susceptibility to DPM. The results from parallel lifetime exposures of these 2 groups of rats at

3.5 mg/m3

 DPM showed that only possibly 1 of 65 measured parameters gave results suggesting

that rats with emphysematous lungs might be more susceptible than rats with normal lungs to the

effects of DE exposure. 

Additional studies were conducted by Heinrich et al. (1986a,b; see also Stöber, 1986) on

the effects of long-term exposure to DE on the pulmonary function of hamsters and rats. The

exhaust was diluted to achieve a concentration of 4.24 mg/m3 DPM; exposures were for 19

h/day, 5 days/week for a maximum of 120 weeks (hamsters) or 140 weeks (rats). After 1 year of

exposure to the DE, the hamsters exhibited a significant increase in airway resistance and a
5-39

nonsignificant reduction in lung compliance. For the same time period, rats showed increased

lung weights, a significant decrease in Cdyn, and a significant increase in airway resistance. 

These indices did not change during the second year of exposure.

Syrian hamsters and rats were exposed to 0.7, 2.2, or 6.6 mg/m3 DPM for five 16-h

periods per week for 2 years (Brightwell et al., 1986). There were no treatment-related changes

in pulmonary function in the hamster. Rats exposed to the highest concentration of DE

exhibited changes in pulmonary function (data not presented) that were reported to be consistent

with a concentration-related obstructive and restrictive disease.

Pepelko et al. (1980b; 1981; see also Pepelko, 1982b) and Moorman et al. (1985)

measured the lung function of adult cats chronically exposed to DE. The cats were exposed for

8 h/day and 7 days/week for 124 weeks. Exposures were at 6 mg/m3 for the first 61 weeks and

12 mg/m3 from weeks 62 to 124. No definitive pattern of pulmonary function changes was

observed following 61 weeks of exposure; however, a classic pattern of restrictive lung disease

was found at 124 weeks. The significantly reduced lung volumes (TLC, FVC, FRC, and

inspiratory capacity [IC]) and the significantly lower single-breath diffusing capacity, coupled

with normal values for dynamic ventilatory function (mechanics of breathing), indicate the

presence of a lesion that restricts inspiration but does not cause airway obstruction or loss of

elasticity. This pulmonary physiological syndrome is consistent with an interstitial fibrotic

response that was later verified by histopathology (Plopper et al., 1983).

Pulmonary function impairment has been reported in rats, hamsters, cats, and monkeys

chronically exposed to DE. In all species but the monkey, the pulmonary function testing results

have been consistent with restrictive lung disease. The monkeys demonstrated evidence of small

airway obstructive responses. The disparity between the findings in monkeys and those in rats,

hamsters, and cats could be in part the result of increased particle retention in the smaller species

resulting from (1) exposure to DE that has higher airborne concentrations of gases, vapors, and

particles and/or (2) longer duration of exposure. The nature of the pulmonary impairment is also

dependent on the site of deposition and routes of clearance, which are determined by the

anatomy and physiology of the test laboratory species and the exposure regimen. The data on

pulmonary function effects raise the possibility that DE produces small airway disease in

primates compared with primarily alveolar effects in small animals and that similar changes

might be expected in humans and monkeys. The findings of Nikula et al. (1997a,b) suggest that

a larger fraction of particles are translocated to the interstitium of the respiratory tract in

primates that are heavily exposed than in rats that are heavily exposed, including the interstitium

of the respiratory bronchioles, an anatomical site absent in rats. Nikula and co-workers’

pulmonary histopathological findings may have a relationship to these functional findings (see

Chapter 3 for a complete discussion). Unfortunately, the available data in primates are too

limited to draw clear conclusions.
5-40

5.1.3.3.3. Lung morphology, biochemistry, and lung lavage analysis. Several studies have

examined the morphological, histological, and histochemical changes occurring in the lungs of

laboratory animals chronically exposed to DE. The histopathological effects of diesel exposure

in the lungs of laboratory animals are summarized in Table 5-6, ranked in order of C × T. Table

5-6 also contains an expanded description of exposures.

Kaplan et al. (1982) performed macroscopic and microscopic examinations of the lungs

of rats, mice, and hamsters exposed for 20 h/day, 7 days/week for 3 mo to DE containing 1.5

mg/m3 DPM. Gross examination revealed diffuse and focal deposition of the diesel particles that

produced a grayish overall appearance of the lungs with scattered, denser black areas. There was

clearance of particles via the lymphatics to regional lymph nodes. Microscopic examination

revealed no anatomic changes in the upper respiratory tract; the mucociliary border was normal

in appearance. Most of the particles were in macrophages, but some were free as small

aggregates on alveolar and bronchiolar surfaces. The particle-laden macrophages were often in

masses near the entrances of the lymphatic drainage and respiratory ducts. Associated with these

masses was a minimal increase in the thickness of the alveolar walls; however, the vast majority

of the particles elicited no response. After 6 mo of recovery, the lungs of all three species

contained considerably less pigment, as assessed by gross pathological and histopathological

examinations.

Lewis et al. (1989; see also Green et al., 1983) performed serial histological

examinations of rat lung tissue exposed to DE containing 2 mg/m3

 DPM for 7 h/day, 7

days/week for 2 years. Accumulations of black-pigmented AMs were seen in the alveolar ducts

adjacent to terminal bronchioles as early as 3 mo of exposure, and particles were seen within the

interstitium of the alveolar ducts. These macular lesions increased in size up to 12 mo of

exposure. Collagen or reticulum fibers were seen only rarely in association with deposited

particles; the vast majority of lesions showed no evidence of fibrosis. There was no evidence of

focal emphysema with the macules. Multifocal histiocytosis (24% of exposed rats) was

observed only after 24 mo of exposure. These lesions were most commonly observed

subpleurally and were composed of collections of degenerating macrophages and amorphous

granular material within alveoli, together with fibrosis and chronic inflammatory cells in the

interstitium. 
5-41

Table 5-6. Histopathological effects of diesel exhaust in the lungs of laboratory animals

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M;Mouse, A/J, M;Hamster, Syrian, M

20 h/day7 days/week12-13 weeks

1.5

0.19 :m MDD

2,520-2,730 — — — Inflammatory changes, increase i

weight, increase in thickness of awalls

Monkey, Cynomolgus,M

7 h/day5 days/week104 weeks

2.0

0.23–0.36 :m

MDD

7,280 11.5 1.5 0.8 AM aggregation; no fibrosis,

inflammation, or emphysema

Rat, F344, M, F 7 h/day

5 days/week104 weeks

2.0

0.23–0.36 :m

MDD

3,640 11.5 1.5 0.8 Multifocal histiocytosis, inflamm

changes, Type II cell proliferationfibrosis

Rat, Sprague-Dawley,M; Mouse, A/HEJ, M

8 h/day7 days/week39 weeks

6.0 13,104 — — — Increase in lung protein content a

collagen synthesis but a decrease overall lung protein synthesis in bspecies; prolylhydroxylase activiincreased in rats in utero

Hamster, Chinese, M 8 h/day

5 days/week26 weeks

6.0

12.0

6,240

12,480

——

——

——

Inflammatory changes, AM acculation, thickened alveolar lining, cell hyperplasia,edema, increase collagen

Hamster, Syrian, M, F 7-8 h/day

5 days/week120 weeks

3.9

0.1 :m MDD

16,380-18,720 18.5 1.2 3.1 Inflammatory changes, 60%

adenomatous cell proliferation

Rat, Wistar, M 6 h/day

5 days/week87 weeks

8.3

0.71 :m MDD

21,663 50.0 4.0-6.0 — Inflammatory changes, AM aggr

alveolar cell hypertrophy, interstifibrosis, emphysema (diagnostic ology not described)

Rat, F344, F 8 h/day

7 days/week104 weeks

4.9 28,538 7.0 1.8 13.1 Type II cell proliferation, inflamm

changes, bronchial hyperplasia, f

Rat, F344, M, F;Mouse, CD-1,M, F

7 h/day5 days/week130 weeks

0.35

3.57.1

0.23 :m MDD

1,592

15,92531,850

2.9

16.529.7

0.050.340.68

———

Alveolar and bronchiolar epithelimetaplasia in rats at 3.5 and 7.0 m

fibrosis at 7.0 mg/m3 in rats and m

inflammatory changes
5-42

Table 5-6. Histopathological effects of diesel exhaust in the lungs of laboratory animals (continue

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rats, SPF 344 7 h/day

5days/week 104 weeks

2 mg/m3 coal

dust (CD) 2 mg/m3 DPM1 mg/m3CD + 1 mg/m3

DPM 

— — — — • Assessed pharmacolo

responses of rat airwasmooth muscle in vitr

• Maximal contractile

responses to acetylchotissues from CD-, DPMCD + DPM- exposed significantly increasedeffects of CD and DPM additive 

• Maximal relaxation re

to isoproterenol increasignificantly by CD + exposure, but not byindividual treatments

• The results indicate th

chronic exposure to CDPM, and CD + DPMproduce differentialmodifications in the bof rat airway smooth m

Rat, Wistar, F;Mouse, NMRI, F(7 mg/m3 only)

18 h/day5 days/week24 mo

0.82.5

6.98

7,400

21,80061,700

2.68.3

21.2

0.31.23.8

0.31.13.4

Bronchioalveolar hyperplasia, intfibrosis in all groups. Severity anincidence increase with exposureconcentration

Mouse, NMRI, F;C57BL/6N, F

18 h/day5 days/week13.5 mo (NMRI)24 mo(C57BL/N)

6.98 35,500 - NMRI

38,300 - C57

14.2 2.3 2.8 No increase in tumors. Noncanc

effects not discussed

Mouse 4.5 No increase in tumors

Noncancer effects not discussed

Rat, M, F,F344/Jcl.

16 h/day6 days/week130 weeks

0.11a

0.41a1.08a2.31a3.72b

1,3735,117

13,47828,82946,336

1.232.123.967.10

12.9

0.080.260.701.413.00

0.381.062.424.704.57

Inflammatory changes Type II cehyperplasia and lung tumors seen >0.4 mg/m3; shortening and loss 

in trachea and bronchi

Mouse, NMRI, F 19 h/day

5 days/week120 weeks

4.24 48,336 12.5 1.5 1.1 Inflammatory changes, bronchiol

alveolar hyperplasia, alveolar lipproteinosis, fibrosis 
Table 5-6. Histopathological effects of diesel exhaust in the lungs of laboratory animals (continue

Species/sex

Exposure

period

Particles

(mg/m3

)

C × T

(mgAh/m3

)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

5-43

Rat, Wistar, F 19 h/day

5 days/week140 weeks

4.24 56,392 12.5 1.5 1.1 Thickened alveolar septa; AM

aggregation; inflammatory changhyperplasia; lung tumors

Guinea Pig, Hartley, M 20 h/day

5.5 days/week104 weeks

0.250.75

1.56.0

2,8608,580

17,16068,640

————

————

————

Minimal response at 0.25 andultrastructural changes at 0.75 mg

thickened alveolar membranes; cproliferation; fibrosis at 6.0 mg/m

increase in PMN at 0.75 mg/m3 a

1.5 mg/m3

Cat, inbred, M 8 h/day

7 days/week124 weeks

6.0c

12.0d

41,66483,328

20.233.2

2.74.4

2.15.0

Inflammatory changes, AM aggrbronchiolar epithelial metaplasiacell hyperplasia, peribronchiolar 

Rat, F344, M 16 h/day

5 days/week23 mo

2.446.33

19,52050,640

——

——

——

AM hyperplasia, epithelial hyperinflammation, septal fibrosis,bronchoalveolar metaplasia

Mouse, CD-1, M,F 7 h/day

5 days/week104 weeks

0.35

3.57.1

0.25 :m MDD

 1,27412,74025,844

3

1730

0.10.30.7

———

Exposure-related increase in lung pigment-laden macrophages, lunlesions.Bronchiolization in alveolar duct7.1 mg/m3

aLight-duty engine.bHeavy-duty engine.c1 to 61 weeks exposure.d62 to 124 weeks of exposure.

AM = Alveolar macrophage.PMN = Polymorphonuclear leukocyte.
5-44

 Epithelial lining cells adjacent to collections of pigmented macrophages showed a marked

 Type II cell hyperplasia; degenerative changes were not observed in Type I cells. Histological

 examination of lung tissue from monkeys exposed for 24 mo in the same regimen as used

 for rats revealed aggregates of black particles, principally in the distal airways of the lung. 

 Particles were present within the cytoplasm of macrophages in the alveolar spaces as well

 as the interstitium. Fibrosis, focal emphysema, or inflammation was not observed. No specific 

histopathological lesions were reported for the monkey.

Nikula et al. (1997a,b) reevaluated the lung tissue from this study. They concluded that

there were no significant differences in the amount of retained particulate matter between

monkeys and rats exposed under the same conditions. The rats, however, retained a greater

portion of the particulate matter in lumens of the alveolar ducts and alveoli than did the

monkeys. Conversely, monkeys retained a greater portion of the particulate material in the

interstitium than did rats. Aggregations of particle-laden macrophages in the alveoli were rare,

and there were few signs of particle-associated inflammation in the monkeys. Minimal

histopathologic lesions were detected in the interstitium. 

Histopathological effects of DE on the lungs of rats have been investigated by the Health

Effects Research Program on Diesel Exhaust (HERP) in Japan (Ishinishi et al., 1986, 1988). 

Both light-duty (LD) and heavy-duty (HD) diesel engines were used. The exhaust was diluted to

achieve nominal concentrations of 0.1 (LD only), 0.4 (LD and HD), 1 (LD and HD), 2 (LD and

HD), and 4 (HD only) mg/m3 DPM. Rats were exposed for 16 h/day, 6 days/week for 30 mo. 

No histopathological changes were observed in the lungs of rats exposed to 0.4 mg/m3 DPM or

less. At concentrations above 0.4 mg/m3 DPM, severe morphological changes were observed. 

These changes consisted of shortened and absent cilia in the tracheal and bronchial epithelium,

marked hyperplasia of the bronchiolar epithelium, and swelling of the Type II cellular

epithelium. These lesions appeared to increase in severity with increases in exhaust

concentration and duration of exposure. There was no difference in the degree of changes in

pulmonary pathology at the same concentrations between the LD and the HD series.

Heinrich et al. (1982) investigated histological changes occurring in the respiratory tract

of hamsters exposed to DE. Exposures were for 7 to 8 h/day, 5 days/week for 104 weeks to DE

diluted to achieve a concentration of 3.9 mg/m3 DPM. Significantly higher numbers of hamsters

in the group exposed to DE exhibited definite proliferative changes in the lungs compared with

the groups exposed to particle-free DE or clean air. Sixty percent of these changes were

described as adenomatous proliferations.

Heinrich et al. (1995) reported increased incidence and severity of bronchioloalveolar

hyperplasia in rats exposed to 0.8, 2.5, and 7 mg/m3. The lesion in the lowest concentration

group was described as very slight to moderate. Slight to moderate interstitial fibrosis also

increased in incidence and severity in all exposed groups, but incidences were not reported. This
5-45

chronic study also exposed NMRI mice to 7 mg/m3

 for 13.5 mo and both NMRI and C56BL/6N

mice to 4.5 mg/m3 for 24 mo. Noncancer histological endpoints are not discussed in any detail

in the report, which is focused on the carcinogenicity of diesel as compared with titanium

dioxide and carbon black.

Iwai et al. (1986) performed serial histopathology on the lungs of rats at 1, 3, 6, 12, and

24 mo of exposure to DE. Exposures were for 8 h/day, 7 days/week for 24 mo; the exposure

atmosphere contained 4.9 mg/m3

 DPM. At 1 and 3 mo of exposure, there were minimal

histological changes in the lungs of the exposed rats. After 6 mo of exposure, there were

particle-laden macrophages distributed irregularly throughout the lung and a proliferation of

Type II cells with adenomatous metaplasia in areas where the macrophages had accumulated. 

After 1 year of exposure, foci of heterotrophic hyperplasia of ciliated or nonciliated bronchiolar

epithelium on the adjacent alveolar walls were more common, the quantity of deposited

particulate matter increased, and the number of degenerative AMs and proliferative lesions of

Type II or bronchiolar epithelial cells increased. After 2 years of exposure, there was a fibrous

thickening of the alveolar walls, mast-cell infiltration with epithelial hyperplasia in areas where

the macrophages had accumulated, and neoplasms.

Heinrich et al. (1986a; see also Stöber, 1986) performed histopathologic examinations of

the respiratory tract of hamsters, mice, and rats exposed to DE that had 4 mg/m3

 DPM. 

Exposures were for 19 h/day, 5 days/week; the maximum exposure period was 120 weeks for

hamsters and mice and 140 weeks for rats. Histological examination revealed different levels of

response among the three species. In hamsters, the exhaust produced thickened alveolar septa,

bronchioloalveolar hyperplasia, and what were termed emphysematous lesions (diagnostic

methodology not described). In mice, bronchoalveolar hyperplasia occurred in 64% of the mice

exposed to the exhaust and in 5% of the controls. Multifocal alveolar lipoproteinosis occurred in

71% and multifocal interstitial fibrosis occurred in 43% of the mice exposed to exhaust but in

only 4% of the controls. In exposed rats, there were severe inflammatory changes in the lungs,

as well as thickened septa, foci of macrophages, and hyperplastic and metaplastic lesions.

Nikula et al. (1995) reported in detail the nonneoplastic effects in male and female

F344 rats exposed to 2.4 or 6.3 mg/m3

 of DPM. At 3 mo in the low-concentration group,

enlarged particle-containing macrophages were found with minimal aggregation. With higher

concentration and longer duration of exposure, the number and size of macrophages and

aggregates increased. Alveolar epithelial hyperplasia was found starting at 3 mo and in all rats

at 6 mo. These lesions progressed to chronic active inflammation, alveolar proteinosis, and

septal fibrosis at 12 mo. Other lesions observed late in the study included bronchiolar-alveolar

metaplasia, squamous metaplasia, and squamous cysts. This study reports in detail the

progression of lesions in DE exposure and finds relatively little difference between the lesions

caused by DE exposure and exposure to similar levels of carbon black particles.
5-46

The effects of DE on the lungs of rats exposed to 8.3 ± 2.0 mg/m3

 DPM were

investigated by Karagianes et al. (1981). Exposures were for 6 h/day, 5 days/week, for 4, 8, 16,

or 20 mo. Histological examinations of lung tissue noted focal aggregation of particle-laden

AMs, alveolar histiocytosis, interstitial fibrosis, and alveolar emphysema (diagnostic

methodology not described). Lesion severity was related to length of exposure. No significant

differences were noted in lesion severity among the DE, the DE plus coal dust (5.8 ± 3.5

mg/m3

), or the high-concentration (14.9 ± 6.2 mg/m3) coal dust exposure groups following 20

mo of exposure.

Histological changes in the lungs of guinea pigs exposed to diluted DE containing either

0.25, 0.75, 1.5, or 6.0 mg/m3

 DPM were reported by Barnhart et al. (1981; 1982). Exposures at

0.75 and 1.5 mg/m3 for 2 weeks to 6 mo resulted in an uptake of exhaust particles by three

alveolar cell types (AMs, Type I cells, and interstitial macrophages) and also by granulocytic

leukocytes (eosinophils). The alveolar-capillary membrane increased in thickness as a result of

an increase in the absolute tissue volume of interstitium and Type II cells. In a continuation of

these studies, guinea pigs were exposed to DE (up to 6.0 mg/m3 DPM) for 2 years (Barnhart et

al., 1982). A minimal tissue response occurred at a concentration of 0.25 mg/m3. After 9 mo of

exposure, there was a significant increase, about 30%, in Type I and II cells, endothelial cells,

and interstitial cells over concurrent age-matched controls; by 24 mo only macrophages and

Type II cells were significantly increased. As in the earlier study, ultrastructural evaluation

showed that Type I cells, AMs, and eosinophils phagocytized the diesel particles. Exposure to

0.75 mg/m3 for 6 mo resulted in fibrosis in regions of macrophage clusters and in focal Type II

cell proliferation. No additional information was provided regarding the fibrotic changes with

increasing concentration or duration of exposure. With increasing concentration/duration of DE

exposure, Type II cell clusters occurred in some alveoli. Intraalveolar debris was particularly

prominent after exposures at 1.5 and 6.0 mg/m3 and consisted of secretory products from Type II

cells.

In studies conducted on hamsters, Pepelko (1982b) found that the lungs of hamsters

exposed for 8 h/day, 7 days/week for 6 mo to 6 or 12 mg/m3

 DPM were characterized by large

numbers of black AMs in the alveolar spaces, thickening of the alveolar epithelium, hyperplasia

of Type II cells, and edema.

Lungs from rats and mice exposed to 0.35, 3.5, or 7.1 mg/m3 (0.23 to 0.26 :m mass

median diameter [MMD]) for 7 h/day and 5 days/week showed pathologic lesions (Mauderly

et al., 1987a; Henderson et al., 1988a). After 1 year of exposure at 7.1 mg/m3, the lungs of the

rats exhibited focal areas of fibrosis; fibrosis increased with increasing duration of exposure and

was observable in the 3.5-mg/m3

 group of rats at 18 mo. The severity of inflammatory

responses and fibrosis was directly related to the exposure level. In the 0.35 mg/m3 group of

rats, there was no inflammation or fibrosis. Although the mouse lungs contained higher burdens
5-47

of diesel particles per gram of lung weight at each equivalent exposure concentration, there was

substantially less inflammatory reaction and fibrosis than was the case in rats. Fibrosis was

observed only in the lungs of mice exposed at 7.1 mg/m3

 and consisted of fine fibrillar

thickening of occasional alveolar septa.

Histological examinations were performed on the lungs of cats initially exposed to

6 mg/m3

 DPM for 61 weeks and subsequently increased to 12 mg/m3 for Weeks 62 to 124 of

exposure. Plopper et al. (1983; see also Hyde et al., 1985) concluded from the results of this

study that exposure to DE produced changes in both epithelial and interstitial tissue

compartments and that the focus of these lesions in the peripheral lung was the centriacinar

region where the alveolar ducts join the terminal conducting airways. This conclusion was based

on the following evidence. The epithelium of the terminal and respiratory bronchioles in

exposed cats consisted of three cell types (ciliated, basal, and Clara cells) compared with only

one type (Clara cells) in the controls. The proximal acinar region showed evidence of

peribronchial fibrosis and bronchiolar epithelial metaplasia. Type II cell hyperplasia was present

in the proximal interalveolar septa. The more distal alveolar ducts and the majority of the rest of

the parenchyma were unchanged from controls. Peribronchial fibrosis was greater at the end of

6 mo in clean air following exposure, whereas the bronchiolar epithelial metaplasia was most

severe at the end of exposure. Following an additional 6 mo in clean air, the bronchiolar

epithelium more closely resembled the control epithelial cell population.

Wallace et al. (1987) used transmission electron microscopy (TEM) to determine the

effect of DE on the intravascular and interstitial cellular populations of the lungs of exposed rats

and guinea pigs. Exposed animals and matched controls were exposed to 0.25, 0.75, 1.5, or 6.0

mg/m3 DPM for 2, 6, or 10 weeks or 18 mo. The results inferred the following: (1) exposure to

6.0 mg/m3 for 2 weeks was insufficient to elicit any cellular response, (2) both species

demonstrated an adaptive multicellular response to DE, (3) increased numbers of fibroblasts

were found in the interstitium from week 6 of exposure through month 18, and (4) there was no

significant difference in either cell type or number in alveolar capillaries, but there was a

significant increase at 18 mo in the mononuclear population in the interstitium of both species.

Additional means for assessing the adverse effects of DE on the lung are to examine

biochemical and cytological changes in bronchoalveolar lavage fluid (BALF) and in lung tissue. 

Fedan et al. (1985) performed studies to determine whether chronic exposure of rats affected the

pharmacologic characteristics of rat airway smooth muscle. Concentration-response

relationships for tension changes induced with acetylcholine, 5-hydroxytryptamine, potassium

chloride, and isoproterenol were assessed in vitro on isolated preparations of airway smooth

muscle (trachealis). Chronic exposure to DE significantly increased the maximal contractile

responses to acetylcholine compared with control values; exposure did not alter the sensitivity
5-48

(EC50 values) of the muscles to the agonists. Exposures were to DE containing 2 mg/m3

 DPM

for 7 h/day, 5 days/week for 2 years.

Biochemical studies of BALF obtained from hamsters and rats revealed that exposures to

DE caused significant increases in lactic dehydrogenase, alkaline phosphatase, glucose-6-

phosphate dehydrogenase (G6P-DH), total protein, collagen, and protease (pH 5.1) after

approximately 1 year and 2 years of exposure (Heinrich et al., 1986a). These responses were

generally much greater in rats than in hamsters. Exposures were to DE containing 4.24 mg/m3

DPM for 19 h/day, 5 days/week for 120 (hamsters) to 140 (rats) weeks.

Protein, $-glucuronidase activity, and acid phosphatase activity were significantly

elevated in BALF obtained from rats exposed to DE containing 0.75 or 1.5 mg/m3 DPM for

12 mo (Strom, 1984). Exposure for 6 mo resulted in significant increases in acid phosphatase

activity at 0.75 mg/m3 and in protein, $-glucuronidase, and acid phosphatase activity at the

1.5 mg/m3 concentration. Exposure at 0.25 mg/m3 DPM did not affect the three indices

measured at either time period. The exposures were for 20 h/day, 5.5 days/week for 52 weeks.

Additional biochemical studies (Misiorowski et al., 1980) were conducted on laboratory

animals exposed under the same conditions and at the same site as reported on by Strom (1984). 

In most cases, exposures at 0.25 mg/m3 did not cause any significant changes. The DNA content

in lung tissue and the rate of collagen synthesis were significantly increased at 1.5 mg/m3 DPM

after 6 mo. Collagen deposition was not affected. Total lung collagen content increased in

proportion to the increase in lung weight. The activity of prolyl hydroxylase was significantly

increased at 12 weeks at 0.25 and 1.5 mg/m3; it then decreased with age. Lysal oxidase activity

did not change. After 9 mo of exposure, there were significant increases in lung phospholipids

in rats and guinea pigs exposed to 0.75 mg/m3 and in lung cholesterol in rats and guinea pigs

exposed to 1.5 mg/m3. Pulmonary prostaglandin dehydrogenase activity was stimulated by an

exposure at 0.25 mg/m3 but was not affected by exposure at 1.5 mg/m3 (Chaudhari et al., 1980,

1981). Exposures for 12 or 24 weeks resulted in a concentration-dependent lowering of this

enzyme activity. Exposure of male rats and guinea pigs at 0.75 mg/m3 for 12 weeks did not

cause any changes in glutathione levels of the lung, heart, or liver. Rats exposed for 2 mo at

6 mg/m3

 showed a significant depletion of hepatic glutathione, whereas the lung showed an

increase of glutathione (Chaudhari and Dutta, 1982). Schneider and Felt (1981) reported that

similar exposures did not substantially change adenylate cyclase and guanylate cyclase activities

in lung or liver tissue of exposed rats and guinea pigs.

Bhatnagar et al. (1980; see also Pepelko, 1982a) evaluated changes in the biochemistry of

lung connective tissue of diesel-exposed rats and mice. The mice were exposed for 8 h/day and

7 days/week for up to 9 mo to exhaust containing 6 mg/m3

 DPM. Total lung protein content was

measured, as was labeled proline and labeled leucine. Leucine incorporation is an index of total

protein synthesis, although collagen is very low in leucine. Proline incorporation reflects
5-49

collagen synthesis. Amino acid incorporation was measured in vivo in the rat and in short-term

organ culture in mice. Both rats and mice showed a large increase in total protein (41% to 47%

in rats), while leucine incorporation declined and proline incorporation was unchanged. These

data are consistent with an overall depression of protein synthesis in diesel-exposed animals and

also with a relative increase in collagen synthesis compared to other proteins. The increase in

collagen synthesis suggested proliferation of connective tissue and possible fibrosis (Pepelko,

1982a).

A number of reports (McClellan et al., 1986; Mauderly et al., 1987a, 1990a; Henderson

et al., 1988a) have addressed biochemical and cytological changes in lung tissue and BALF of

rodents exposed for 7 h/day, 5 days/week for up to 30 mo at concentrations of 0, 0.35, 3.5, or

7.1 mg/m3

 DPM. At the lowest exposure level (0.35 mg/m3), no biochemical or cytological

changes occurred in the BALF or in lung tissue in either Fischer 344 rats or CD-1 mice. 

Henderson et al. (1988a) provide considerable time-course information on inflammatory events

taking place throughout a chronic exposure. A chronic inflammatory response was seen at the

two higher exposure levels in both species, as evidenced by increases in inflammatory cells

(macrophages and neutrophils), cytoplasmic and lysosomal enzymes (lactate dehydrogenase,

glutathione reductase, and $-glucuronidase), and protein (hydroxyproline) in BALF. Analysis

of lung tissue indicated similar changes in enzyme levels as well as an increase in total lung

collagen content. After 18 mo of exposure, lung tissue glutathione was depleted in a

concentration-dependent fashion in rats but was slightly increased in mice. Lavage fluid levels

of glutathione and glutathione reductase activity increased in a concentration-dependent manner

and were higher in mice than in rats. 

Rats exposed for up to 17 days to diluted DE (3.5 mg/m3 DPM) had a fivefold increase in

the bronchoconstrictive prostaglandin PGF2" and a twofold increase in the inflammatory

leukotriene LTB4. In similarly exposed mice, there was a twofold increase in both parameters. 

These investigators (Henderson et al., 1988a,b) concluded that the release of larger amounts of

such mediators of inflammation from the alveolar phagocytic cells of rats accounted for the

greater fibrogenic response seen in that species.

Biochemical analysis of lung tissue from cats exposed for 124 weeks and held in clean

air for an additional 26 weeks indicated increases of lung collagen; this finding was confirmed

by an observed increase in total lung wet weight and in connective tissue fibers estimated

morphometrically (Hyde et al., 1985). Exposures were for 7 h/day, 5 days/week at 6 mg/m3

DPM for 61 weeks and at 12 mg/m3 for weeks 62 to 124.

Heinrich et al. (1995) reported on bronchoalveolar lavage in animals exposed for 24 mo

and found exposure-related increases in lactate dehydrogenase, $-glucuronidase, protein, and

hydroxyproline in groups exposed to 2.5 or 7 mg/m3, although detailed data are not presented. 

Lavage analyses were not carried out in concurrent studies in mice.
5-50

The pathogenic sequence following the inhalation of DE as determined

histopathologically and biochemically begins with the interaction of diesel particles with airway

epithelial cells and phagocytosis by AMs. The airway epithelial cells and activated macrophages

release chemotactic factors that attract neutrophils and additional AMs. As the lung burden of

DPM increases, there is an aggregation of particle-laden AMs in alveoli adjacent to terminal

bronchioles, increases in the number of Type II cells lining particle-laden alveoli, and the

presence of particles within alveolar and peribronchial interstitial tissues and associated lymph

nodes. The neutrophils and macrophages release mediators of inflammation and oxygen radicals

that deplete a biochemical defense mechanism of the lung (i.e., glutathione). As will be

described later in more detail, other defense mechanisms are affected, particularly the decreased

viability of AMs, which leads to decreased phagocytic activity and death of the macrophage. 

The latter series of events may result in the presence of pulmonary inflammatory, fibrotic, or

emphysematous lesions. The data suggest that there may be a threshold of exposure to DE

below which adverse structural and biochemical effects may not occur in the lung; however,

differences in the anatomy and pathological responses of laboratory animals coupled with their

lifespans compared with humans make a determination of human levels of exposure to DE

without resultant pulmonary injury a difficult and challenging endeavor.

5.1.3.3.4. Effects on pulmonary defense mechanisms. The respiratory system has a number of

defense mechanisms that negate or compensate for the effects produced by the injurious

substances that repeatedly insult the upper respiratory tract, the tracheobronchial airways, and

the alveoli. The effects of exposure to DE on the pulmonary defense mechanisms of laboratory

animals as well as more details on exposure atmosphere are summarized in Table 5-7 and ranked

by cumulative exposure (C × T).

Several studies have been conducted investigating the effect of inhaled DE on the

deposition and fate of inert tracer particles or diesel particles themselves. Lung clearance of

deposited particles occurs in two distinct phases: a rapid phase (hours to days) from the

tracheobronchial region via the mucociliary escalator and a much slower phase (weeks to

months) from the nonciliated pulmonary region via, primarily but not solely, AMs. Battigelli et

al. (1966) reported impaired tracheal mucociliary clearance in vitro in excised trachea from rats

exposed for single or repeated exposures of 4 to 6 h at two dilutions of DE that resulted in

exposures of approximately 8 and 17 mg/m3 DPM. The exposure to 17 mg/m3 resulted in 
5-51

Table 5-7. Effects of exposure to diesel exhaust on the pulmonary defense mechanisms of labor

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Alveolar macrophage status

Guinea Pig,Hartley

20 h/day5.5days/week8 weeks

0.25

1.5

0.19 :m MDD

220

1,320

2.97.5

——

——

No significant changes in absolute numbeof AMs

Rat, F344, M 7 h/day

5 days/week104 weeks

2.0

0.23–0.36 :m

MDD

7,280 11.5 1.5 0.81 Little effect on viability, cell number, oxy

consumption, membrane integrity, lyzomaenzyme activity, or protein content of AMdecreased cell volume and ruffling of cellmembrane and depressed luminescence ofAM

Rat, F344, M 20 h/day

5.5days/week26, 48, or 52 weeks

0.25a

0.75a

1.5b

0.19 :m MDD

715-8,580 2.9

4.87.5

———

———

AM cell counts proportional to concentratof DPM at 0.75 and 1.5 mg/m3; AM

increased in lungs in response to rate of Dmass entering lung rather than total DPMburden in lung; increased PMNs wereproportional to inhaled concentrations andduration of exposure; PMNs affiliated withclusters of aggregated AM rather than DPM

Rat F344/Crl,M, FMouse, CD, M, F

7 h/day5 days/week104 weeks(rat),78 weeks(mouse)

0.35

3.57.0

0.25 :m MDD

1,274c

12,740c25,480c

2.9

16.529.7

0.050.340.68

———

Significant increases of AM in rats and miexposed to 7.0 mg/m3 DPM for 24 and 18

mo, respectively, but not at concentrations 3.5 or 0.35 mg/m3 DPM for the same expo

ure durations; PMNs increased in a dosedependent fashion in both rats and miceexposed to 3.5 or 7.0 mg/m3 DPM and wer

greater in mice than in rats

Rat, Wistar, F 18 h/day

5 days/week24 mo

0.82.57.1

7,400

21,80061,700

2.68.3

21.2

0.31.13.4

———

Changes in differential cell counts in lunglavage

Rat, F344/Crl, M 7 h/day

5 days/week24 mo

3.49 12,704 9.8 1.2 — Significantly reduced AM in lavage at 24 
5-52

Table 5-7. Effects of exposure to diesel exhaust on the pulmonary defense mechanisms of laborat(continued)

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Clearance

Rat, M, F 7 h/day

5 days/week12 weeks

0.21.04.5

0.25:m MDD

84

420

1,890

———

———

———

Evidence of apparent speeding of trachealclearance at the 4.5 mg/m3 level after 1 we

of 99mTc macroaggregated-albumin and

reduced clearance of tracer aerosol in each the three exposure levels at 12 weeks; indition of a lower percentage of ciliated cells the 1.0 and 4.5 mg/m3 levels

Rat, Wistar, F 18 h/day

5 days/week24 mo

0.82.57.1

7,400

21,80061,700

2.68.3

21.2

0.31.23.8

0.31.13.4

Significant increase in clearance half-time inhaled labeled aerosols in all groups at 3-mo

Rat, F344, M, developing 0-6 mo adult 6-12 mo

7 h/day5 days/week6 mo

3.55 3,321 7.9 9.5 Clearance of 2 :m, aluminosilicate particl

Half-time significantly increased in adult, different in developing rats

Rat, F344, M, F 7 h/day

5 days/week18 weeks

0.150.94

4.1

<0.5 :m MDD

94.5

592

2,583

———

———

———

Lung burdens of DPM were concentrationrelated; clearance half-time of DPM almosdouble in 4.1 mg/m3 group compared to 0

mg/m3 group

Rat, F344, M 7 h/day

5 days/week26-104weeks

2.0

0.23-0.36 :m

MDD

1,820-7,280 11.5 1.5 0.8 No difference in clearance of 59Fe3O4

particles 1 day after tracer aerosoladministration; 120 days after exposuretracer aerosol clearance was enhanced; lunburden of DPM increased significantlybetween 12 and 24 mo of exposure

Rat, SpragueDawley, M 4-6 h/day 7 days/week

0.1 to 14.3weeks

0.98.0

17.0

2.5-10,210 —

——

5.02.78.0

0.20.61.0

Impairment of tracheal mucociliary clearain a concentration-response manner
5-53

Table 5-7. Effects of exposure to diesel exhaust on the pulmonary defense mechanisms of laborat(continued)

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344,M, F

7 h/day5 days/week130 weeks

0.35

3.57.1

0.25 :m MDD

1,593

15,92531,850

2.9

16.529.7

0.10.30.7

———

No changes in tracheal mucociliary clearaafter 6, 12, 18, 24, or 30 mo of exposure;increases in lung clearance half-times asearly as 6 mo at 7.0 mg/m3 level and 18 m

at 3.5 mg/m3 level; no changes seen at 0.3

mg/m3 level; after 24 mo of diesel exposur

long-term clearance half-times wereincreased in the 3.5 and 7.0 mg/m3 groups

Rat, F344/Crl, M 7 h/day

5 days/week24 mo

3.49 12,704 9.8 1.2 — Doubling of long-term clearance half-time

for clearance of 1.0 :m aluminosilicate

particles. Less effect on clearance in animwith experimentally induced emphysema

Microbial-induced mortality

Mice CD-1, F 7 h/day

5 days/week4, 12, or26 weeks

2.0

0.23–0.36 :m

MDD

280-1,820 11.5 1.5 0.8 Mortality similar at each exposure duratio

when challenged with Ao/PR/8/34 influenvirus; in mice exposed for 3 and 6 mo, butnot 1 mo, there were increases in thepercentages of mice having lungconsolidation, higher virus growth, depresinterferon levels, and a fourfold reduction hemagglutinin antibody levels

Mice, CR/CD-1, F 8 h/day

7 days/week2 h up to 46 weeks

5.3 to 7.9 11-20,350 19

to

22

1.8

to

3.6

0.9

to

2.8

Enhanced susceptibility to lethal effects ofS. pyogenes infections at all exposuredurations (2 and 6 h; 8, 15, 16, 307, and 3days); inconclusive results withS. typhimurium because of high mortalityrates in controls; no enhanced mortalitywhen challenged with A/PR8-3 influenzavirus

aChronic exposure lasted 52 weeks.bChronic exposure lasted 48 weeks. cCalculated for 104-week exposure.

DPM = Diesel particulate matter.AM = Alveolar macrophage.PMN = Polymorphonuclear leukocyte.
5-54

decreased clearance after a single exposure as well as after a cumulative exposure of 34 or 100 h. 

Clearance was reduced to a lesser extent and in fewer tracheas from animals exposed to 8 mg/m3

for a cumulative exposure of 40 h. Lewis et al. (1989) found no difference in the clearance of

59Fe3O4 particles (1.5 :m MMAD, Fg 1.8) 1 day after dosing control and DE-exposed rats (2

mg/m3

, 7 h/day, 5 days/week for 8 weeks).

Wolff et al. (1987) and Wolff and Gray (1980) studied the effects of both subchronic and

chronic DE exposure on the tracheal clearance of particles. Tracheal clearance assessments were

made by measuring the retention of radiolabeled technetium macroaggregated-albumin

remaining 1 h after instillation in the distal trachea of rats. In the subchronic studies, rats were

exposed to 0.2, 1.0, or 4.5 mg/m3

 DPM on a 7 h/day, 5 days/week schedule for up to 12 weeks. 

After 1 week there was an apparent speeding of tracheal clearance at the 4.5 mg/m3 exposure

level (p=0.10), which returned toward baseline after 6 weeks and was slightly below the baseline

rate at 12 weeks. In the 1.0 mg/m3 group, there was a progressive significant reduction in the

clearance rate at 6 and 12 weeks of exposure. There was a trend toward reduced clearance in the

0.2 mg/m3 group. Scanning electron micrographs indicated minimal changes in ciliary

morphology; however, there was an indication of a lower percentage of ciliated cells at the 1.0

and 4.5 mg/m3 levels. In the chronic studies, rats were exposed to 0, 0.35, 3.5, or 7.1 mg/m3 for

7 h/day, 5 days/week for 30 mo. There were no significant differences in tracheal clearance

rates between the control group and any of the exposure groups after 6, 12, 18, 24, or 30 mo of

exposure. The preexposure measurements for all groups, however, were significantly lower than

those during the exposure period, suggesting a possible age effect. The preexposure value for

the 3.5-mg/m3 group was also significantly lower than the control group.

There is a substantial body of evidence for an impairment of particle clearance from the

bronchiole-alveolar region of rats following exposure to DE. Griffis et al. (1983) exposed rats 7

h/day, 5 days/week for 18 weeks to DE at 0.15, 0.94, or 4.1 mg/m3 DPM. Lung burdens of the

0.15, 0.94, and 4.1 mg/m3 levels were 35, 220, and 1,890 :g/g lung, respectively, 1 day after the

18-week exposure. The clearance half-time of the DPM was significantly greater, almost

double, for the 4.1 mg/m3

 exposure group than for those of the lower exposure groups, 165 ± 8

days versus 99 ± 8 days (0.94 mg/m3) and 87 ± 28 days (0.15 mg/m3), respectively. 

Chan et al. (1981) showed a dose-related slowing of 14C-diesel particle clearance in rats

preexposed to DE at 0.25 or 6 mg/m3 particulate matter for 20 h/day, 7 days/week for 7 to 112

days. Clearance was inhibited in the 6 mg/m3 group when compared by length of exposure or

compared with the 0.25 mg/m3

 or control rats at the same time periods.

Heinrich et al. (1982) evaluated lung clearance in rats exposed for approximately 18 mo

at 3.9 mg/m3

 DPM for 7 to 8 h/day, 5 days/week. Following exposure to 59Fe2O3-aerosol, the

rats were returned to the DE exposure and the radioactivity was measured over the thoracic area
5-55

at subsequent times. The biological half-life of the iron oxide deposited in the rats’ lungs was

nearly twice that of controls.

Heinrich also used labeled iron oxide aerosols to study clearance in rats exposed to 0.8,

2.5, or 7 mg/m3

 diesel DPM for 24 mo (Heinrich et al., 1995). Clearance measurements were

carried out at 3, 12, and 18 mo of exposure. Half-times of clearance were increased in a

concentration- and duration-related manner in all exposed groups, with a range of a 50%

increase in the 0.8 mg/m3

 group at 3 mo to an 11-fold increase in the 7 mg/m3 group at 19 mo. 

The differential cell counts in these animals were stated to have shown clear effects in the 2.5

and 7 mg/m3

 groups, but specific information about the changes is not reported.

Wolff et al. (1987) investigated alterations in DPM clearance from the lungs of rats

chronically exposed to DE at 0, 0.35, 3.5, or 7.1 mg/m3 DPM for 7 h/day, 5 days/week for up to

24 mo. Progressive increases in lung burdens were observed over time in all groups; levels of

DPM in terms of milligrams per lung were 0.60, 11.5, and 20.5 after 24 mo of exposure at the

0.35, 3.5, or 7.1 mg/m3 exposure levels, respectively. There were significant increases in 16-day

clearance half-times of inhaled radiolabeled particles of 67Ga2O3 (0.1 :m MMD) as early as

6 mo at the 7.1 mg/m3 level and 18 mo at the 3.5 mg/m3 level; no significant changes were seen

at the 0.35 mg/m3 level at any time point examined. Rats inhaled fused aluminosilicate particles

(2 :m MMAD) labeled with 134Cs after 24 mo of DE exposure; long-term clearance half-times

were 79, 81, 264, and 240 days for the 0, 0.35, 3.5, and 7.1 mg/m3 groups, respectively. 

Differences were significant between the control and the 3.5 and 7.1 mg/m3 groups (p < 0.01),

but not between the control and the 0.35 mg/m3 group.

Mauderly et al. (1987b) compared the effects of DE in the developing lung to the adult

lung by exposing groups of male F344 rats to 3.5 mg/m3 for 7 h/day, 5 days/week for 6 mo. One

group (adult) was exposed between 6 and 12 mo of age, and the other was exposed beginning in

utero and until 6 mo of age. Clearance of an inhaled monodisperse 2 :m aluminosilicate

particle was measured after exposure for 6 mo. The clearance half-time of the slow phase was

found to be doubled in the diesel-exposed adult rats compared with age-matched controls and

was not significantly affected in developing rat lungs.

Mauderly et al. (1990a) compared the effects of DE in normal lungs with rats in which

emphysema had been induced experimentally by instillation of elastase 6 weeks before DE

exposures. The rats were exposed to 3.5 mg/m3

 DPM for 7 h/day, 5 days/week for 24 mo. 

Measurements included histopathology, clearance, pulmonary function, lung lavage, and

immune response. In the rats that were not pretreated with elastase, there was a significant

reduction in the number of macrophages recovered by pulmonary lavage in contrast to the

increases in macrophages reported by Strom (1984) and Henderson et al. (1988). The half-time

of the slow phase of clearance of inhaled, 1 :m, monodisperse particles was doubled in the

animals without elastase pretreatment. The elastase pretreatment did not affect clearance in
5-56

unexposed animals but significantly reduced the effect of diesel. The clearance half-time was

significantly less in elastase-pretreated, diesel-exposed animals than in diesel-exposed normal

animals. Many other effects measured in this study were also less affected by diesel exposure in

elastase-treated animals. Measurements of lung burden of DPM showed that elastase-pretreated

animals accumulated less than half as much DPM mass as normal animals exposed at the same

time, suggesting that the difference in effect could be explained by differences in dose to the

lung. The composite results of this study indicate that, at least in a murine laboratory animal

species, the presence of a pulmonary restrictive disease such as emphysema does not seem to

exacerbate the effects of chronic exposure to diesel.

Lewis et al. (1989) conducted lung burden and 59Fe3O4 tracer studies in rats exposed for

12 and 24 mo to 2 mg/m3 DPM (7 h/day, 5 days/week). The slope of the Fe3O4 clearance curve

of the DPM-exposed animals was significantly steeper than that of the controls, indicating a

more rapid alveolar clearance of the deposited 59Fe3O4. After 120 days from the inhalation of the

tracer particle, 19% and 8% of the initially deposited 59Fe3O4 were present in the lungs of control

and DE-exposed rats, respectively. The lung burden of DPM, however, increased significantly

between 12 and 24 mo of exposure (0.52 to 0.97% lung dry weight), indicating a later dosedependent inhibition of clearance.

Alveolar macrophages, because of their phagocytic and digestive capabilities, are one of

the prime defense mechanisms of the alveolar region of the lung against inhaled particles. Thus,

characterization of the effects of DE on various properties of AMs provides information on the

integrity or compromise of a key pulmonary defense mechanism. The physiological viability of

AMs from diesel-exposed rats was assessed after 2 years of exposure by Castranova et al.

(1985). The 7 h/day, 5 days/week exposure at 2 mg/m3

 DPM had little effect on the following: 

viability, cell number, oxygen consumption, membrane integrity, lysosomal enzyme activity, or

protein content of the AMs. A slight decrease in cell volume, a decrease in chemiluminescence

indicative of a decreased secretion of reactive oxygen species, and a decrease in ruffling of the

cell membrane were observed. These latter findings could be reflective of an overall reduction

in phagocytic activity.

Exposure to DE has been reported both to increase the number of recoverable AMs from

the lung (Strom, 1984; Vostal et al., 1982; Henderson et al., 1988a) or to produce no change in

numbers (Chen et al., 1980; Castranova et al., 1985). Strom (1984) found that in rats exposed to

0.25 mg/m3

 DPM for 20 h/day, 5.5 days/week for 6 mo or 1 year, as well as in the controls, BAL

cells consisted entirely of AMs, with no differences in the cell counts in the lavage fluid. At the

higher concentrations, 0.75 or 1.5 mg DPM/m3, the count of AM increased proportionally with

the exposure concentration; the results were identical for AMs at both 6 and 11 or 12 mo of

exposure. The increase in AM counts was much larger after exposure to 1.5 mg/m3

 DPM for

6 mo than after exposure to 0.75 mg/m3

 for 1 year, although the total mass (calculated as C × T)
5-57

of deposited particulate burden was the same. These data suggested to the authors that the

number of lavaged AMs was proportional to the mass influx of particles rather than to the actual

DPM burden in the lung. These results further implied that there may be a threshold for the rate

of mass influx of DPM into the lungs of rats above which there was an increased recruitment of

AMs. Henderson et al. (1988a) reported similar findings of significant increases of AMs in rats

and mice exposed to 7.1 mg/m3 DPM for 18 and 24 mo, respectively, for 7 h/day, 5 days/week,

but not at concentrations of 3.5 or 0.35 mg/m3 for the same exposure durations. Chen et al.

(1980), using an exposure regimen of 0.25 and 1.5 mg/m3 DPM for 2 mo and 20 h/day and

5.5 days/week, found no significant changes in absolute numbers of AMs from guinea pig

BALF, nor did Castranova et al. (1985) in rat BALF following exposure to 2 mg/m3

 DPM for

7 h/day, 5 days/week for 2 years.

A similar inflammatory response was noted by Henderson et al. (1988a) and Strom

(1984), as evidenced by an increased number of PMNs present in BALF from rodents exposed to

DE. Henderson et al. (1988) found these changes in rats and mice exposed to 7.1 and 3.5 mg/m3

DPM for 7 h/day, 5 days/week. Significant increases in BALF PMNs were observed in mice at

6 mo of exposure and thereafter at the 7.1 and 3.5 mg/m3 exposure levels, but in rats only the 7.1

mg/m3 exposure level showed an increase in BALF PMNs at 6 mo of exposure and thereafter. 

Significant increases in BALF PMNs occurred in rats at 12, 18, and 24 mo of exposure to 3.5

mg/m3 DPM. Although increases in PMNs were usually greater in mice in terms of absolute

numbers, the PMN response in terms of increase relative to controls was only about one-third

that of rats. Strom (1984) reported that the increased numbers of PMNs in BALF were

proportional to the inhaled concentrations and/or duration of exposure. The PMNs also appeared

to be affiliated with clusters of aggregated AMs rather than to the diesel particles per se. 

Proliferation of Type II cells likewise occurred in response to the formed aggregates of AMs

(White and Garg, 1981).

The integrity of pulmonary defense mechanisms can also be ascertained by assessing if

exposure to DE affects colonization and clearance of pathogens and alters the response of the

challenged animals to respiratory tract infections. Campbell et al. (1980, 1981) exposed mice to

DE followed by infectious challenge with Salmonella typhimurium, Streptococcus pyogenes, or

A/PR8-3 influenza virus and measured microbial-induced mortality. Exposures to DE were to 6

mg/m3 DPM for 8 h/day, 7 days/week for up to 321 days. Exposure to DE resulted in enhanced

susceptibility to the lethal effects of S. pyogenes infection at all exposure durations (2 h, 6 h; 8,

15, 16, 307, and 321 days). Tests with S. typhimurium were inconclusive because of high

mortality rates in the controls. Mice exposed to DE did not exhibit an enhanced mortality when

challenged with the influenza virus. Hatch et al. (1985) found no changes in the susceptibility of

mice to Group C Streptococcus sp. infection following intratracheal injection of 100 :g of DPM

suspended in unbuffered saline.
5-58

Hahon et al. (1985) assessed virus-induced mortality, virus multiplication with

concomitant IFN levels (lungs and sera), antibody response, and lung histopathology in mice

exposed to DE prior to infectious challenge with Ao/PR/8/34 influenza virus. Weanling mice

were exposed to DE containing 2 mg/m3

 DPM for 7 h/day, 5 days/week. In mice exposed for 1,

3, and 6 mo, mortality was similar between the exposed and control mice. In mice exposed for 3

and 6 mo, however, there were significant increases in the percentage of mice having lung

consolidation, higher virus growth, depressed IFN levels, and a fourfold reduction in

hemagglutinin antibody levels; these effects were not seen after the 1-mo exposure.

The effects of DE on the pulmonary defense mechanisms appear to be determined by

three critical factors related to exposure: the concentrations of the pollutants, the exposure

duration, and the exposure pattern. Higher doses of DE as determined by an increase in one or

more of these three variables have been reported to increase the numbers of AMs, PMNs, and

Type II cells in the lung, whereas lower doses fail to produce such changes. In rats, the single

most significant contributor to the impairment of the pulmonary defense mechanisms appears to

be an excessive accumulation of DPM, particularly as particle-laden aggregates of AMs. Such

an accumulation would result from an increase in deposition and/or a reduction in clearance. 

The deposition of particles does not appear to change significantly following exposure to

equivalent DE doses over time. Because of the significant nonlinearity in particle accumulation

between low and high doses of DE exposure, coupled with no evidence of increased particle

deposition, an impairment in one or more of the mechanisms of pulmonary defense appears to be

responsible for the DPM accumulation and subsequent pathological sequelae. The time of onset

of pulmonary clearance impairment was dependent both on the magnitude and on the duration of

exposures. For example, for rats exposed for 7 h/day, 5 days/week for 104 weeks, the

concentration needed to induce pulmonary clearance impairment appears to lie between 0.35 and

2.0 mg/m3

 DPM.

5.1.3.3.5. Effects on the immune system—inhalation studies. The effects of DE on the

immune system of guinea pigs were investigated by Dziedzic (1981). Exposures were to

1.5 mg/m3

 DPM for 20 h/day, 5.5 days/week for up to 8 weeks. There was no effect of diesel

exposure when compared with matched controls for the number of B and T lymphocytes and

null cells isolated from the tracheobronchial lymph nodes, spleen, and blood. Cell viability as

measured by trypan blue exclusion was comparable between the exposed and control groups. 

The results of this study and others on the effects of exposure to DE on the immune system are

summarized in Table 5-8. 

Mentnech et al. (1984) examined the effect of DE on the immune system of rats. 

Exposures were to 2 mg/m3

 DPM for 7 h/day, 5 days/week for up to 2 years. Rats exposed for

12 and 24 mo were tested for immunocompetency by determining antibody-producing cells in
5-59

the spleen 4 days after immunization with sheep erythrocytes. The proliferative response of

splenic T-lymphocytes to the mitogens concanavalin A and phytohemagglutinin was assessed in

rats exposed for 24 mo. There were no significant differences between the exposed and control

animals. Results obtained from these two assays indicate that neither humoral immunity

(assessed by enumerating antibody-producing cells) nor cellular immunity (assessed by the

lymphocyte blast transformation assay) were markedly affected by the exposures.

Bice et al. (1985) evaluated whether or not exposure to DE would alter antibody immune

responses induced after lung immunization of rats and mice. Exposures were to 0.35, 3.5, or 7.1

mg/m3 DPM for 7 h/day, 5 days/week for 24 mo. Chamber controls and exposed animals were

immunized by intratracheal instillation of SRBCs after 6, 12, 18, or 24 mo of exposure. No

suppression in the immune response occurred in either species. After 12, 18, and 24 mo of

exposure, the total number of anti-SRBC IgM antibody forming cells (AFCs) was elevated in

rats, but not in mice, exposed to 3.5 or 7.1 mg/m3 DPM; after 6 mo of exposure, only the 7.1

mg/m3 level was found to have caused this response in rats. The number of AFCs per 106

lymphoid cells in lung-associated lymph nodes and the levels of specific IgM, IgG, or IgA in rat

sera were not significantly altered. The investigators concluded that the increased cellularity and

the presence of DPM in the lung-associated lymph nodes had only a minimal effect on the

immune and antigen filtration function of these tissues.

The effects of inhaled DE and DPM have been studied in a murine model of allergic

asthma (Takano et al., 1998a,b). ICR mice were exposed for 12 h/day, 7 days/week for 40 weeks

to DE (0.3, 1.0, or 3.0 mg/m3). The mice were sensitized with ovalbumin (OA) after 16 weeks

exposure and subsequently challenged with aerosol allergen (1% OA in isotonic saline for 6

min) at 3-week intervals during the last 24 weeks of exposure. Exposure to DE enhanced

allergen-related eosinophil recruitment to the submucosal layers of the airways and to the

bronchoalveolar space, and increased protein levels of GM-CSF and IL-5 in the lung in a

dose-dependent manner. In the DE-exposed mice, increases in eosinophil recruitment and local

cytokine expression were accompanied by goblet-cell proliferation in the bronchial epithelium

and airwayhyperresponsiveness to inhaled acetylcholine. In contrast, mice exposed to clean air or

DE without allergen provocation showed no eosinophil recruitment to the submucosal layers of

the airways or to the bronchoalveolar space, and few goblet-cells in the bronchial epithelium. The 
5-60

Table 5-8. Effects of inhalation of diesel exhaust on the immune system of laboratory animals

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Guinea Pig,Hartley, M

20 h/day5.5 days/week4 or 8 weeks

1.5

0.19 :m

MDD

660 or 7,280 7.5 — — No alterations in numbers of B, T, and nu

lymphocytes or cell viability among lympisolated from tracheobronchial lymph noor blood

Rat, F344, M 7 h/day

5 days/week52 or 104 weeks

2.0

0.23–0.36

:m MDD

3,640 or

7,280

11.5 1.5 0.8 Neither humoral immunity (assessed by e

antibody-producing cells) nor cellular im(assessed by the lymphocyte blast transfoassay) were markedly affected

Rat, F344;Mouse, CD-1

7 h/day5 days/week104 weeks

0.35

3.57.1

0.25 :m

MDD

1,274

12,74025,480

2.9

16.529.7

0.050.340.68

———

Total number of anti-sheep red blood cell the lung-associated lymph nodes was eleexposed to 3.5 or 7.0 mg/m3 DPM (no su

mice); total number of AFC per 106 lymp

lung-associated lymph nodes and level of IgM, IgG, or IgA in rat sera were not alte

Mouse, BALB/C, M

12 h/day,7 days/week,3 weeks Mice administered OAintranasally before,immediately after, and3 weeks after exposure

3.06.0

0.4 :m

756

1,512

——

2.84.1

1.72.7

Spleen weights in mice exposed to DE (6 

increased significantly. Serum anti-OA Igtiters in mice exposed to 6 mg/m3 signific

than control. Antigen-stimulated IL-4 and production increased while IFN-g producdecreased significantly in spleen cells froexposed (6 mg/m3) mice stimulated with 

DE inhalation may affect antigen-specific antibody production through alteration of cytokine network. 

Mouse,C3H/Hen, M

12 h /day, for 12 weeks. Beforeexposure mice injected IPwith OA. After 3 weeksand every 3 weeksthereafter, micechallenged with OAaerosol.

1.03.0

1,0083,024

— 1.42

4.02

0.871.83

DE + antigen challenge induced airwayhyperresponsiveness and inflammation weosinophils, mast cells, and goblet cells. DE alone induced airway hyperresponsivnot eosinophilic infiltration or increased gDE inhalation enhanced airway hyperresand airway inflammation caused by OA s
5-61

Table 5-8. Effects of inhalation of diesel exhaust on the immune system of laboratory animals (

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Mouse,C3H/HeN,M

12 h/day, for 5 weeks. After 7 daysmice injected IP with OA. At end of exposure micechallenged with OAaerosol for 15 minutes.

3.0 1,260 — 4.08 1.26 DE alone increased neutrophils and macr

BAL fluid; after DE + OA challenge eosiincreased. OA alone increased eosinophils but the inenhanced by DE. DE + OA, but not DE alone, increased gorespiratory resistance, production of OA-and Ig1 in the serum, and overexpression lung tissue.

Mouse,ICR (murine modelof allergicasthma)

12 h/day, 7days/week, 40 weeks. After 16 weeks sensitizedto OA and challengedwith OA aerosol for6 min, at 3-week intervalsduring the last 24 weeksof exposure.

0.31.03.0

1,0083,360

10,080

— — — DE exposure enhanced allergen-related r

the submucosal layers of the airways and bronchoalveolar space, and increased GMIL-5 in the lung in a dose-dependent manIncreases in eosinophil recruitment and loexpression accompanied by goblet cell prin the bronchial epithelium and airwayhyperresponsiveness to inhaled acetylchoexposed to clean air or DE without allergprovocation showed no eosinophil recruisubmucosal layers of the airways nor to tbronchoalveolar space, and few goblet cebronchial epithelium. Daily inhalation of enhance allergen-related respiratory diseaallergic asthma, and effect may be mediaenhanced local expression of IL-5 and GM

DPM = Diesel particulate matter.AFC = Antibody-forming cells.
5-62

authors concluded that daily inhalation of DE can enhance allergen-related respiratory diseases

such as allergic asthma, and that this effect may be mediated by the enhanced local expression of

IL-5 and GM-CSF. The effect of DPM on a second characteristic of allergic asthma, airway

hyperresponsiveness, was examined by Takano et al. (1998b). Laboratory mice were

administered OA, DPM, or OA and DPM combined by intratracheal instillation for 6 wk.

Respiratory resistance (Rrs) after acetylcholine challenge was measured 24 h after the final

instillation. Rrs was significantly greater in the mice treated with OA and DPM than in the other

treatments. The authors concluded that DPM can enhance airway responsiveness associated with

allergen exposure.

In a series of inhalation studies following earlier instillation studies, Miyabara and

co-workers investigated whether inhalation of DE could enhance allergic reactions in laboratory

mice. C3H/HeN mice were exposed to DE (3 mg DPM/m3

) by inhalation for 5 weeks (Miyabara

et al., 1998b) and, after 7 days of exposure, were sensitized to OA injected intraperitoneally. At

the end of the DE exposure, the mice were challenged with an OA aerosol for 15 min. DE

caused an increase in the numbers of neutrophils and macrophages in bronchoalveolar lavage

fluid independent of OA sensitization, whereas a significant increase in eosinophil numbers

occurred only after DE exposure was combined with antigen challenge. Even though OA alone

caused an increase in eosinophil numbers in lung tissue, this response was enhanced further by

DE. DE exposure combined with OA sensitization enhanced the number of goblet-cells in lung

tissue, respiratory resistance, production of OA-specific IgE and IgG1 in the serum, and

overexpression of IL-5 in lung tissue. In a second study, C3H/HeN mice were sensitized with

OA injected intraperitoneally and then exposed to DE by inhalation for 12 h/day for 3 mo at

either 1 or 3 mg/m3 (Miyabara et al., 1998a). After 3 weeks of DE exposure, and every 3 weeks

thereafter, the mice were challenged with an OA aerosol. Exposure to DE with antigen

challenge induced airway hyperresponsiveness and airway inflammation, which was

characterized by increased numbers of eosinophils and mast cells in lung tissue. The increase in

inflammatory cells was accompanied by an increase in goblet cells in the bronchial epithelium. 

Airway hyperresponsiveness, but not eosinophilic infiltration or increased goblet cells, was

increased by DE exposure alone. These workers concluded that inhalation of DE can enhance

airway hyperresponsiveness and airway inflammation caused by OA sensitization in mice.

The effects of DE on IgE antibody production were investigated in BALB/c mice

sensitized with OA and exposed by inhalation to DE (3.0 and 6.0 mg/m3

) for 3 weeks (Fujimaki

et al., 1997). The mice were sensitized by intranasal administration of OA alone before,

immediately after, and 3 weeks after DE inhalation. While body and thymus weights were

unchanged in the DE-exposed and control mice, spleen weights in mice exposed to 6 mg/m3 DE

increased significantly. Anti-OA IgE antibody titers in the sera of mice exposed to 6 mg/m3 DE

were significantly higher than control. Total IgE and anti-OA IgG in sera from DE-exposed and
5-63

control mice remained unchanged. Cytokine production was measured in vitro stimulated with

OA in spleen cells from mice exposed to DE (6 mg/m3

). Antigen-stimulated interleukin-4 (IL-4)

and -10 (IL-10) production increased significantly in vitro in spleen cells from DE-exposed mice

compared with controls, while IFN-( production decreased markedly. The authors concluded

that DE inhalation in mice may affect antigen-specific IgE antibody production through

alteration of the cytokine network.

5.1.3.3.6. Effects on the immune system—noninhalation studies. The immune response of

laboratory animals to DPM has been studied in various noninhalation models, and the results of

these studies are presented in Table 5-9. Takafuji et al. (1987) evaluated the IgE antibody

response of mice inoculated intranasally at intervals of 3 weeks with either 0.5 or 25 :g of DPM

in ovalbumin per mouse. Antiovalbumin IgE antibody titers, assayed by passive cutaneous

anaphylaxis, were enhanced by doses as low as 1 :g of particles compared with immunization

with ovalbumin alone.

Muranaka et al. (1986) studied the effects of DPM on IgE antibody production in

immunized mice. A greater IgE antibody response was noted in mice immunized by ip injection

of ovalbumin (OA) mixed with DPM, either 0.02, 0.2, or 2mg per mouse, than in animals

immunized with OA alone. This effect of DPM on IgE antibody production in mice was also

demonstrated in mice immunized with repeated injections of dinitrophenylated-OA. Moreover,

a persistent IgE-antibody response to Japanese cedar pollen (JCPA), a common pollen allergen

causing allergic rhinitis in Japan, was observed in mice immunized with JCPA mixed with DPM

but not in animals immunized with JCPA alone. The results suggest an association between the

adjuvant activity of DPM and allergic rhinitis caused by JCPA.

Takano et al. (1997) designed a study to evaluate the effects of DPM on the

manifestations of allergic asthma in mice, with emphasis on antigen-induced airway

inflammation; the local expression of IL-5, GM-CSF, IL-2, and IFN-(; and the production of

antigen-specific IgE and IgG. Male ICR mice were intratracheally instilled with ovalbumin

(OVA), DPM, and DPM+OVA. DPM was obtained from a 4JB1-type, light-duty 2.74 L, fourcylinder Isuzu diesel engine operated at a steady speed of 1,500 rpm under a load of 10 torque

(kg/m). The OVA-group mice were instilled with 1 :g OVA at 3 and 6 weeks. The mice 

receiving DPM alone were instilled with 100 :g DPM weekly for 6 weeks. The OVA + DPM

group received the combined treatment in the same protocol as the OVA and the DPM groups,

respectively. Additional groups were exposed for 9 weeks. DPM aggravated OVA-induced

airway inflammation, characterized by infiltration of eosinophils and lymphocytes and an 
5-64

Table 5-9. Effects of diesel particulate matter on the immune response of laboratory animals

Model Treatment Effects 

Mouse,BDFI, F

Intranasally delivered doses of DPM as low as 1 mg exerted an adjuvant activity for IgE antibodproduction.

Mouse,ICR, w/w-, M

Intratracheal instillation of DPM, once/week for16 weeks

Infiltration of inflammatory cells, proliferation of goblet cells, increased mucus secretion, respiraresistance, and airway constriction. Increased eosinophils in the submucosa of the proximal bronmedium bronchioles. Eosinophil infiltration suppressed by pretreatment with PEG-SOD. Bound acid, an index of mucus secretion, in bronchial alveolar lavage fluids increased, but was suppresPEG-SOD. Increased respiratory resistance suppressed by PEG-SOD. Oxygen radicals produceinstilled DPM may cause features characteristic of bronchial asthma in mice.

Mouse,A/J, M

Mice immunized intranasally with Der f II +pyrene, or Der f II + DPM 7 times at 2-weekintervals

IgE antibody responses to Der f II enhanced in mice immunized with Der f II+ pyrene or Der f II DPM compared with Der f II alone. Response was dose related. DPM and pyrene contained in Dhave adjuvant activity on IgE and IgG1 antibody production in mice immunized with house dust allergen.

Mouse, BDF1, M

Mice were administered 25 mg of each of 5 fineparticles (Kanto loam dust, fly ash, CB, DPM,and aluminum hydroxide [alum]) intranasallyand exposed to aerosolized Japanese cedarpollen allergens (JCPA) for intervals up to 18wk

Measurements were made of JCPA-specific IgE and IgG antibody titers, the protein-adsorbing cof each type of particle, and nasal rubbing movements (a parameter of allergic rhinitis in mice). Tincreases in anti-JPCA IgE and IgG antibody titers were significantly greater in mice treated withparticles and aerosolized JCPA than in mice treated with aerosolized JCPA alone. In a subsequeexperiment, the mice received the particles as before, but about 160,000 grains of Japanese ceda(JCP) were dropped onto the tip of the nose of each mouse twice a week for 16 wk. After 18 wk were no significant differences in the anti-JCPA IgE and IgG production, nasal rubbing, orhistopathological changes. The workers concluded that the nature of the particle, the ability of thparticle to absorb antigens, and/or particle size is not related to the enhancement of IgE antibodyproduction or symptoms of allergic rhinitis. However, IgE antibody production did appear to ocearlier in mice treated with particles than in mice immunized with allergens alone.

Mouse,BALB/C,nu/nu, F

Inoculated OA with DPM or CB into hindfootpad measured response using popliteallymph node assay

Increased response (increased weight, cell numbers, cell proliferation) and longer response obsewith DPM and OA, compared to DPM or OA alone. Response was specific and not an unspecifiinflammatory response. CB was slightly less potent than DPM. Nonextractable carbon core consubstantially to adjuvant activity of DPM.

Mouse,BALB/cA, F

Intranasal administration of DPM. Miceimmunized with OA or OA combined withDPM or CB

Increased response to antigen in animals receiving DPM or CB. Increased number of respondinganimals and increased serum anti OA IgE antibody. Both DPM and CB have adjuvant activity foproduction. DPM response more pronounced than CB, indicating both organic matter adsorbed and the nonextractable carbon core responsible for adjuvant activity.

Mouse, ICR, M

Intratracheal instillation of OA, DPM, or OVAand DPM combined, once/week for 6 wk 

Respiratory resistance (Rrs) measured 24 h after the final instillation. Rrs after acetylcholine chawas significantly greater in the mice treated with OVA and DPM than other treatments. DPM canenhance airway responsiveness associated with allergen exposure.

OA - Ovalbumin.DPM - Diesel particulate matter.CB - Carbon black.

PEG-SOD - Polyethyleneglycol-conjugated superoxide dismutase.IL-4 - Interleukin-4.IL-5 - Interleukin-5.IL-10 - Interleukin-10.IFN - Interferon-g.GM-CSF -Granulocyte-colony stimulating factor.IP - Intraperitoneally.
5-65

increase in goblet cells in the bronchial epithelium. DPM in combination with antigen markedly

increased IL-5 protein levels in lung tissue and bronchoalveolar lavage supernatants compared

with either antigen or DPM alone. The combination of DPM and antigen induced significant

increases in local expression of IL-4, GM-CSF, and IL-2, whereas expression of IFN-( was not

affected. In addition, DPM exhibited adjuvant activity for the antigen-specific production of

IgG and IgE.

The potential role of oxygen radicals in injury caused by DPM was investigated by Sagai

et al. (1996). These workers reported that repeated intratracheal instillation of DPM (either 0.1

or 0.2 mg per mouse, once/week for 16 weeks) in mice caused marked infiltration of

inflammatory cells, proliferation of goblet cells, increased mucus secretion, respiratory

resistance, and airway constriction. Eosinophils in the submucosa of the proximal bronchi and

medium bronchioles increased eightfold following instillation. Eosinophil infiltration was

significantly suppressed by pretreatment with polyethyleneglycol-conjugated superoxide

dismutase (PEG-SOD), an inhibitor of oxygen radicals. Bound sialic acid concentrations in

bronchial alveolar lavage fluids, an index of mucus secretion, increased with DPM, but were

also suppressed by pretreatment with PEG-SOD. Goblet cell hyperplasia, airway narrowing, and

airway constriction also were observed with DPM.

Respiratory resistance to acetylcholine in the DPM group was 11 times higher than in

controls, and the increased resistance was significantly suppressed by PEG-SOD pretreatment. 

These findings indicate that oxygen radicals caused by intratracheally instilled DPM elicit

responses characteristic of bronchial asthma.

Potential adjuvant effects of DPM on the response to the model allergen OA were

investigated in BALB/c mice using the popliteal lymph node (PLN) assay (Løvik et al., 1997). 

DPM inoculated together with OA into one hind footpad (0.02 mL of a 5 mg/mL DPM

suspension) gave a significantly augmented response (increase in weight, cell numbers, and cell

proliferation) in the draining popliteal lymph node as compared to DPM or OA alone. The

duration of the local lymph node response was also longer when DPM was given with the

allergen. The lymph node response appeared to be of a specific immunologic character and not

an unspecific inflammatory reaction. The OA-specific response IgE was increased in mice

receiving OA together with DPM as compared with the response in mice receiving OA alone. 

Further studies using carbon black (CB) as a surrogate for the nonextractable core of DPM found

that while CB resembled DPM in its capacity to increase the local lymph node response and

serum-specific IgE response to OA, CB appeared to be slightly less potent than DPM. The

results indicate that the nonextractable particle core contributes substantially to the adjuvant

activity of DPM.

Nilsen et al. (1997) investigated which part of the particle was responsible, the carbon

core and/or the adsorbed organic substances, for the adjuvant activity of DPM. Female
5-66

BALB/cA mice were immunized with OA alone or in combination with DPM or CB particles by

intranasal administration a total of four times, once weekly, at 25 :g/inoculation. There was an

increased response to the antigen in animals receiving OA together with DPM or CB, compared

with animals receiving OA alone. The response was seen as both an increased number of

responding animals and increased serum anti OA IgE response. The workers concluded that

both DPM and CB have an adjuvant activity for specific IgE production, but that the activity of

DPM may be more pronounced than that of CB. The results suggest that both the organic matter

adsorbed to DPM and the nonextractable carbon are responsible for the observed adjuvant effect

of DPM.

The effects of DPM and its components (extracted particles and particle extracts) on the

release of proinflammatory cytokines, interleukin-1 (IL-1), and tumor necrosis factor-" (TNF-

") by alveolar macrophages (AMs) were investigated by Yang et al. (1997). Rat AMs were

incubated with 0, 5, 10, 20, 50, or 100 :g/106 AM/mL of DPM, methanol-extracted DPM, or

equivalent concentrations of DPM at 37 oC for 24 h. At high concentrations, both DPM and

DPM extracts were shown to increase IL-1-like activity secreted by AMs, whereas extracted

particles had no effect. Neither particles, particle extracts, or extracted particles stimulated

secretion of TNF-". DPM inhibited lipid polysaccharide (LPS)-stimulated production of IL-1

and TNF-". In contrast, interferon (IFN)-(-stimulated production of TNF-" was not affected

by DPM. Results of this study indicate that the organic fraction of exhaust particles is

responsible for the effects noted. Stimulation of IL-1 but not TNF-" suggests that IL-1, but not

TNF-", may play an important role in the development of DPM-induced inflammatory and

immune responses. The cellular mechanism involved in inhibiting increased release of IL-1 and

TNF-" by LPS is unknown, but may be a contributing factor to the decreased AM phagocytic

activity and increased susceptibility to pulmonary infection after prolonged exposure to DPM.

Fujimaki et al. (1994) investigated the relationship between DPM and IgE antibody

production, interleukin 4 (IL-4) production in BALB/c mice treated with DPM mixed with

antigen OA or JCP antigen by intratracheal instillation. BALB/c mice were injected with DPM

(300 :g) plus OA or OA alone and, after the last instillation, the proliferative response and

lymphokine production by mediastinal lymph node cells (LNC) were examined in vitro. The

proliferative response to OA in mediastinal LNC from mice injected with DPM plus OA was

enhanced to 4-17 times that of control mice. IL-4 production by OA stimulation was also

enhanced in mediastinal LNC from mice injected with DPM plus OA. A significantly larger

amount of anti-OA IgE antibody was detected in sera from DPM- and OA-injected mice

compared with those from control mice. The levels of IL-4, estimated by JCP antigen in

mediastinal LNC, from mice injected with DPM plus JCP antigen were twofold higher than

those from mice injected with JCP antigen alone. These results suggest that intratracheal
5-67

instillation of DPM affects antigen-specific IgE antibody responses via local T-cell activation,

especially enhanced IL-4 production.

Suzuki et al. (1993) investigated the adjuvant activity of pyrene, one of many PAHs

contained in DPM, on IgE antibody production in mice. In the first experiment, mice were

immunized with 1 mg of OA alone, 1 mg of OA plus 1 mg of pyrene, or 1 mg of OA plus 1 mg

of DPM, respectively. The IgE antibody responses to OA in mice immunized with OA plus

pyrene or OA plus DPM were enhanced as compared to those in mice immunized with OA

alone; the highest responses were observed in mice immunized with OA plus DPM. In the

second experiment, mice were immunized with 10 mg of JCPA alone or 10 mg of JCPA plus 5

mg of pyrene. The IgE antibody responses to JCPA in mice immunized with JCPA plus pyrene

were higher than those in mice immunized with JCPA alone. The results indicate that pyrene

contained in DPM acts as an adjuvant in IgE antibody production in immunized mice.

Suzuki et al. (1996) investigated the effect of pyrene on IgE and IgG1 antibody

production in mice to clarify the relation between mite allergy and adjuvancy of the chemical

compounds in DPM. The mite allergen was Der f II, one of the major allergens of house dust

mite (Dermatophagoides farinae). Allergen mice were grouped and immunized with Der f II

(5 :g), Der f II (5 :g) plus pyrene (200 :g), and Der f II (5 :g) plus DPM (100 :g)

intranasally seven times at 2-week intervals. The separate groups of mice were also immunized

with Der f II (10 :g) plus the same dose of adjuvants in the same way. The IgE antibody

responses to Der f II in mice immunized with Der f II plus pyrene or Der f II plus DPM were

markedly enhanced compared with those immunized with Der f II alone. The anti-Der f II IgE

antibody production increased with increasing the dose of Der f II from 5 :g to 10 :g in mice

immunized with Der f II plus the same dose of adjuvants. The IgG1 antibody responses to Der f

II in mice immunized with Der f II (10 :g) plus pyrene (200 :g) or Der f II (10 :g) plus DPM

(100 :g) were greater than those immunized with 10 :g of Der f II alone. In addition, when

peritoneal macrophages obtained from normal mice were incubated with pyrene or DPM in

vitro, an enhanced IL-1a production by the macrophages was observed. When spleen

lymphocytes obtained from the mice immunized with Der f II (10 :g) plus DPM (100 :g) or

Der f II (10 :g) plus pyrene (200 :g) were stimulated with 10 :g of Der f II in vitro, an

enhanced IL-4 production of the lymphocytes was also observed compared with those

immunized with Der f II alone. This study indicates that DPM and pyrene (one of the many

PAHs adsorbed onto DPM) have an adjuvant activity on IgE and IgG1 antibody production in

mice immunized intranasally with a house dust mite allergen.

Maejima et al. (1997) examined the potential adjuvant activity of several different fine

particles. These workers administered 25 :g of each of 5 particles (Kanto loam dust, fly ash,

CB, DPM, and aluminum hydroxide [alum]) intranasally in mice and exposed them to

aerosolized JCPA for intervals up to 18 weeks. Measurements were made of JCPA-specific IgE
5-68

and IgG antibody titers, the protein-adsorbing capacity of each type of particle, and nasal

rubbing movements (a parameter of allergic rhinitis in mice). The increases in anti-JPCA IgE

and IgG antibody titers were significantly greater in mice treated with particles and plus

aerosolized JCPA than in mice treated with aerosolized JCPA alone. In a subsequent

experiment, the mice received the particles as before, but about 160,000 grains of JCP were

dropped onto the tip of the nose of each mouse twice a week for 16 weeks. After 18 weeks there

were no significant differences in the anti-JCPA IgE and IgG production, nasal rubbing, or

histopathological changes. The workers concluded that the nature of the particle, the ability of

the particle to absorb antigens, and particle size are not related to the enhancement of IgE

antibody production or symptoms of allergic rhinitis. However, IgE antibody production did

appear to occur earlier in mice treated with particles than in mice immunized with allergens

alone.

The potential for DPM to modulate cytokine production has been demonstrated in

cultured mouse bone marrow-derived mast cells (BMMC). Saneyoshi et al. (1997) examined the

production of cytokines in BMMC treated with DPM (0.8, 2 and 4 mg/mL). Production of

interleukin-4 (IL-4) and IL-6 was higher in BMMC stimulated with A23187 and treated with

low concentrations of DPM than in controls, but no increase was seen in BMMC treated with

high DPM. After pretreatment with low DPM for 24 h, IL-4 production in BMMC stimulated

with A23187 was lower than in controls. Antigen-induced IL-4 production increased

significantly in BMMC treated with 0.4 or 0.8 mg/mL DPM, but did not increase with low

DPM. Although the enhancement of IL-4 production of BMMC stimulated with A23187 plus

DPM was not completely inhibited by 2-mercaptoethanol, treatment with dexamethasone

inhibited further IL-4 production. Thus, DPM may affect the immune response via the

modulation of cytokine production in mast cells.

Ormstad et al. (1998) investigated the potential for DPM as well as other suspended

particulate matter (SPM) to act as a carrier for allergens into the airways. These investigators

found both Can f 1 (dog) and Bet v 1 (birch pollen) on the surface of SPM collected in air from

different homes. In an extension of the study, they found that DPM adhered to polycarbonate

filters had the potential of binding both of these allergens as well as Fel d 1 (cat) and Der p 1

(house mite). The authors conclude that soot particles in indoor air house dust may act as carrier

of several allergens in indoor air.

Knox et al. (1997) investigated whether free grass pollen allergen molecules, released

from pollen grains by osmotic shock (Suphioglu et al., 1992) and dispersed in microdroplets of

water in aerosols, can bind to DPM mounted on copper grids in air. Using natural highly

purified Lol p 1, immunogold labeling with specific monoclonal antibodies, and a high-voltage

transmission electron-microscopic imaging technique, these workers demonstrated binding of the

major grass pollen allergen, Lol p 1, to DPM in vitro. These workers conclude that binding of
5-69

DPM with Lol p 1 might be a mechanism by which allergens can become concentrated in air and

trigger attacks of asthma.

Murphy et al. (1999) examined the comparative toxicities to the lung of four differentsized CB particles and DPM, in primary cultures of mouse Clara and rat type II epithelial cells. 

Particle toxicity was assessed by cell attachment to an extracellular matrix substratum. The CB

particles varied in toxicity to Clara and type II cells. DPM stored for 2 weeks was equally toxic

to both cell types. DPM became progressively less toxic to type II cells with time of storage. 

Both primary epithelial cell types internalized the particles in culture. These workers concluded

that bioreactivity was related to CB particle size and surface area, with the smaller particles

having the larger surface area being the more toxic. Although freshly prepared DPM was

equally toxic to type II and Clara cells, DPM became progressively less toxic to the type II cells

with time.

Exposure studies in laboratory animals and isolated cell systems derived from animals

also indicate that DPM can elicit both inflammatory and immunological changes. Moreover, the

effects appear to be due to both the nonextractable carbon core and the adsorbed organic fraction

of the diesel particle. Changes in IgE, goblet cell hyperplasia, mast cell influx, and cytokines in

various animal models and in vitro model systems are all key markers of asthma. The data

further indicate a role for oxygen radicals in DPM injury because the extent of the injury can be

reduced by treatment with antioxidants. DPM also has the capacity to bind and transport

airborne allergens.

5.1.3.3.7. Effects on the liver. Meiss et al. (1981) examined alterations in the hepatic

parenchyma of hamsters by using thin-section and freeze-fracture histological techniques. 

Exposures to DE were for 7 to 8 h/day, 5 days/week, for 5 mo at about 4 or 11 mg/m3 DPM. 

The livers of the hamsters exposed to both concentrations of DE exhibited moderate dilatation of

the sinusoids, with activation of the Kupffer cells and slight changes in the cell nuclei. Fatty

deposits were observed in the sinusoids, and small fat droplets were occasionally observed in the

peripheral hepatocytes. Mitochondria often had a loss of cristae and exhibited a pleomorphic

character. Giant microbodies were seen in the hepatocytes, which were moderately enlarged,

and gap junctions between hepatocytes exhibited a wide range in structural diversity. The results

of this study and others on the effect of exposure of DE on the liver of laboratory animals are

summarized in Table 5-10.
5-70

Table 5-10. Effects of exposure to diesel exhaust on the liver of laboratory animals

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M, F 7 h/day

5 days/week52 weeks

2.0

0.23–0.36 :m

MDD

3,640 12.7 1.6 0.83 No changes in absolute liver weight or

liver/body weight ratio

Hamster, Syrian 7-8 h/day

5 days/week22 weeks

4.08.0

11.0

3,080-9,680 12.0

19.025.0

0.51.01.5

3.06.07.0

Enlarged sinusoids, with activated Kupffecells and slight changes of nuclei; fattydeposits; mitochondria, loss of cristae andpleomorphic character; gap junctions betwhepatocytes had wide range in structuraldiversity

Cat, inbred, M 8 h/day

7 days/week124 weeks

6.0a

12.0b

41,66483,328

20.233.3

2.74.4

2.15.0

No change in the absolute liver weight 

a1 to 61 weeks of exposure.b62 to 124 weeks of exposure.
5-71

Green et al. (1983) and Plopper et al. (1983) reported no changes in liver weights of rats

exposed to 2 mg/m3

 DPM for 7 h/day, 5 days/week for 52 weeks or of cats exposed to 6 to

12 mg/m3, 8 h/day, 7 days/week for 124 weeks. The use of light and electron microscopy

revealed that long-term inhalation of varying high concentrations of DE caused numerous

alterations to the hepatic parenchyma of guinea pigs. A less sensitive index of liver toxicity,

increased liver weight, failed to detect an effect of DE on the liver of the rat and cat following

long-term exposure to DE. These results are too limited to understand potential impacts on the

liver.

5.1.3.3.8. Blood and cardiovascular systems. Several studies have evaluated the effects of DE

exposure on hematological and cardiovascular parameters of laboratory animals. These studies

are summarized in Table 5-11. Standard hematological indices of toxicological effects on red

and white blood cells failed to detect dramatic and consistent responses. Erythrocyte (RBC)

counts were reported as being unaffected in cats (Pepelko and Peirano, 1983), rats and monkeys

(Lewis et al., 1989), guinea pigs and rats (Penney et al., 1981), and rats (Karagianes et al.,

1981); lowered in rats (Heinrich et al., 1982); and elevated in rats (Ishinishi et al., 1988;

Brightwell et al., 1986). Mean corpuscular volume was significantly increased in monkeys, 69

versus 64 (Lewis et al., 1989), and hamsters (Heinrich et al., 1982), and lowered in rats

(Ishinishi et al., 1988). The only other parameters of erythrocyte status and related events were

lowered mean corpuscular hemoglobin and mean corpuscular hemoglobin concentration in1 rats

(Ishinishi et al., 1988), a 3% to 5% increase in carboxyhemoglobin saturation in rats 

(Karagianes et al., 1981), and a suggestion of an increase in prothrombin time (Brightwell et al.,

1986). The biological significance of these findings regarding adverse health effects is deemed

to be inconsequential.

Three investigators (Pepelko and Peirano, 1983; Lewis et al., 1989; Brightwell et al.,

1986) reported an increase in the percentage of banded neutrophils in cats and rats. This effect

was not observed in monkeys (Lewis et al., 1989). The health implications of an increase in

abnormal maturation of circulating neutrophils are uncertain but indicate a toxic response of

leukocytes following exposures to DE. Leukocyte counts were reported to be reduced in

hamsters (Heinrich et al., 1982); increased in rats (Brightwell et al., 1986); and unaffected in

cats, rats, and monkeys (Pepelko and Peirano, 1983; Ishinishi et al., 1988; Lewis et al., 1989). 

These inconsistent findings indicate that the leukocyte counts are more indicative of the clinical

status of the laboratory animals than any direct effect of exposure to DE.

No significant changes in heart mass were found in guinea pigs or rats exposed to DE

(Wiester et al., 1980; Penney et al., 1981; Lewis et al., 1989). Rats exposed to DE showed a

greater increase in the medial wall thickness of pulmonary arteries of differing diameters and
5-72

Table 5-11. Effects of exposure to diesel exhaust on the hematological and cardiovascular systems o

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Monkey,Cynomolgus, M

7 h/day5 days/week104 weeks

2

0.23–0.36 :m MDD

7,280 11.5 1.5 0.8 Increased MCV 

Rat, F344, M, F 7 h/day

5 days/week104 weeks

2

0.23–0.36 :m MDD

7,280 11.5 1.5 0.8 Increase in banded neutrophils; no 

or pulmonary arteries

Guinea Pig,Hartley, M, F

20 h/day7 days/week8 weeks

6.3a

6.8b

7,0567,616

17.416.7

2.32.9

2.11.9

No effect on heart mass or ECG; sheart rate (IE only)

Hamster, Syrian,M, F

7-8 h/day5 days/week75 weeks

3.9

0.1 :m MDD

10,238-11,700 18.5 1.2 3.1 At 29 weeks, lower erythrocyte co

MCV; reduced leukocyte count

Rat, F344; Guinea Pig,Hartley

20 h/day5.5 days/week78 weeks

0.250.75

1.5

0.19 :m MDD

2,1456,435

12,870

3.04.86.9

0.110.270.49

———

No changes in heart mass or hemaexhaust level or duration of exposspecies

Rat, Wistar, M 6 h/day

5 days/week78 weeks

8.3

0.71 :m MDD

19,422 50.0 4-6 — 3% increase in COHb 

Rat, F3444/Jcl,M, F

16 h/day6 days/week130 weeks

0.11c

0.41c1.08c2.31c3.72d

0.1 :m MDD

1,3735,117

13,47828,82946,426

1.232.123.967.1012.9

0.080.260.701.413.00

0.381.062.424.704.57

At higher concentrations, RBC, Helevated; MCV and mean corpuscand concentration were lowered

Rat, F344 16 h/day

5 days/week104 weeks

0.72.26.6

5,824

18,30454,912

——

32.0

———

———

Increases in RBC, Hb, Hct, and Wbanded neutrophils; suggestion of prothrombin time; increased heartand right ventricular/heart ratios aventricular contractility in 6.6 mg

Cat, Inbred, M 8 h/day

7 days/week124 weeks

6.0e

12.0f

41,66483,328

20.233.3

2.74.4

2.15.0

Increases in banded neutrophils; smo, but not 24 mo

aNonirradiated DE. dHeavy-duty engine.bIrradiated DE. e1 to 61 weeks of exposure.cLight-duty engine. f62 to 124 weeks of exposure.

Key: MCV = Mean corpuscular volume.
5-73

right ventricular wall thickness; these increases, however, did not achieve statistically significant

levels (Vallyathan et al., 1986). Brightwell et al. (1986) reported increased heart/body weight

and right ventricular/heart weight ratios and decreased left ventricular contractility in rats

exposed to 6.6 mg/m3

 DPM for 16 h/day, 5 days/week for 104 weeks.

The effects of DPM on the endothelium-dependent relaxation (EDR) of vascular smooth

muscle cells have been investigated (Ikeda et al., 1995, 1998). Incubation of rat thoracic aortae

with suspensions of DPM (10-100 :g/mL) markedly attenuated acetylcholine-induced EDR. 

The mechanism of this effect was studied further in cultured porcine endothelial cells (CPE). 

A 10-min incubation of CPE with DPM (0.1-100 :g/mL) inhibited endothelium-dependent

relaxing factor (EDRF) or nitric oxide (NO) release. A 10-min incubation of DPM with NO

synthase inhibited formation of NO2

-

, a product of NO metabolism. The authors concluded that

DPM, at the concentrations tested, neither induced cell damage nor inhibited EDRF release from

CPE, but scavenged and thereby blocked the physiological action of NO.

5.1.3.3.9. Serum chemistry. A number of investigators have studied the effects of exposure to

DE on serum biochemistry, and no consistent effects have been found. Such studies are

summarized in Table 5-12.

The biological significance of changes in serum chemistry reported by Lewis et al.

(1989) in female but not male rats exposed at 2 mg/m3 DPM for 7 h/day, 5 days/week for 104

weeks is difficult to interpret. Not only were the effects noted in one sex (females) only, but the

serum enzymes, lactate dehydrogenase (LDH), serum glutamic-oxaloacetic transaminase

(SGOT), and serum glutamic-pyruvic transaminase (SGPT), were elevated in the control group,

a circumstance contrary to denoting organ damage in the exposed female rats. The elevations of

liver-related serum enzymes in the control versus the exposed female rats appear to be a random

event among these aged subjects. The incidence of age-related disease, such as mononuclear cell

leukemia, can markedly affect such enzyme levels, seriously compromising the usefulness of a

comparison to historical controls. The serum sodium values of 144 versus 148 mmol/L in

control and exposed rats, respectively, although statistically different, would have no biological

significance.

The increased serum enzyme activities, alkaline phosphatase, SGOT, SGPT,

gamma-glutamyl transpeptidase, and decreased cholinesterase activity suggest an impaired liver;

however, such an impairment was not established histopathologically (Heinrich et al., 1982;

Ishinishi et al., 1988; Brightwell et al., 1986). The increased urea nitrogen, electrolyte levels,

and gamma globulin concentration and reduction in total blood proteins are indicative of

impaired kidney function. Again, there was no histopathological confirmation of impaired

kidneys in these studies.
5-74

Table 5-12. Effects of chronic exposures to diesel exhaust on serum chemistry of laboratory 

Species/sex

Exposure

period

Particles

(mg/m3)

C × T

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M, F 7 h/day

5 days/week104 weeks

2.0

0.23

0.36 :m MDD

7,280 11.5 1.5 0.8 Decreased phosphate, LDH, SGOT, and SGP

increased sodium in females but not males

Hamster, Syrian, M, F 7-8 h/day

5 days/week75 weeks

3.9

0.1 :m MDD

10,238-11,700 18.5 1.2 3.1 After 29 weeks, increases in SGOT, LDH, al

phosphatase, gamma-glutamyl transferase, an

Rat, F344/JcL, M, F 16 h/day

6 days/week130 weeks

0.11a

0.41a1.08a2.31a3.72b

0.19–0.28 :m

MDD

1,3735,117

13,47828,82946,426

1.232.123.967.1012.9

0.080.263.967.103.00

0.381.062.424.704.57

Lower cholinesterase activity in males in botlight-and heavy-duty series and elevated gamglobulin and electrolyte levels in males and fin both series

Rat, F344; Hamster,Syrian

16 h/day5 days/week104 weeks

0.72.26.6

5,824

18,30454,912

——

32.0

———

———

Rats, 6.6 mg/m3, reduction in blood glucose, 

proteins, triglycerides, and cholesterol; increBUN, alkaline phosphate alamine, and aspartaminotransferases (SGPT and SGOT); hamstmg/m3, decrease in potassium, LDH, aspartat

transferase; increase in albumin and gamma-transferase

Cat inbred, M 8 h/day

7 days/week124 weeks

6.0c

12.0d

41,66483,328

20.233.3

2.74.4

2.15.0

BUN unaltered; SGOT and SGPT unaffectedincrease after 1 year of exposure

aLight-duty engine.bHeavy-duty engine.c1 to 61 weeks of exposure.d62 to 124 weeks of exposure.

Key: LDH = Lactate dehydrogenase.

SGOT = Serum glutamic-oxaloacetic transaminase.BUN = Blood urea nitrogen.SGPT = Serum glutamic-pyruvic transaminase.
5-75

Clinical chemistry studies suggest impairment of both liver and kidney functions in rats

and hamsters chronically exposed to high concentrations of DE. The absence of

histopathological confirmation, the appearance of such effects near the end of the lifespan of the

laboratory animal, and the failure to find such biochemical changes in cats exposed to a higher

dose, however, tend to discredit the probability of hepatic and renal hazards to humans exposed

at atmospheric levels of DE.

5.1.3.3.10. Effects on microsomal enzymes. Several studies have examined the effects of DE

exposure on microsomal enzymes associated with the metabolism and possible activation of

xenobiotics, especially polynuclear aromatic hydrocarbons (PAH). These studies are 

summarized in Table 5-13. Lee et al. (1980) measured the activities of aryl hydrocarbon

hydroxylase (AHH) and epoxide hydrase (EH) in liver, lung, testis, and prostate gland of adult

male rats exposed to 6.32 mg/m3 DPM 20 h/day for 42 days. Maximal significant AHH

activities (pmol/min/mg microsomal protein) occurred at different times during the exposure

period, and differences between controls and exposed rats, respectively, were as follows: 

prostate 0.29 versus 1.31, lung 3.67 versus 5.11, and liver 113.9 versus 164.0. There was no 

difference in AHH activity in the testis between exposed and control rats. Epoxide hydrase

activity was not significantly different from control values for any of the organs tested.

Pepelko and Peirano (1983) found no statistically significant differences in liver

microsomal cytochrome P448-450 levels and liver microsomal AHH between control and dieselexposed mice at either 6 or 8 mo of exposure. Small differences were noted in the lung

microsomal AHH activities, but these were believed to be artifactual differences, due to

increases in nonmicrosomal lung protein present in the microsomal preparations. Exposures to 6

mg/m3

 DPM were for 8 h/day, 7 days/week.

Rabovsky et al. (1984) investigated the effect of chronic exposure to DE on microsomal

cytochrome P450-associated benzo[a]pyrene (B[a]P) hydroxylase and 7-ethoxycoumarin

deethylase activities in rat lung and liver. Male rats were exposed for 7 h/day, 5 days/week for

104 weeks to 2 mg/m3

 DPM. The exposure had no effect on B[a]P hydroxylase or

7-ethoxycoumarin deethylase activities in lung or liver. In related studies, Rabovsky et al.

(1986) examined the effects of DE on viral induced enzyme activity and interferon production in

female mice. The mice were exposed for 7 h/day, 5 days/week for 1 mo to DE diluted to

achieve a concentration of 2 mg/m3 DPM. After the exposure, the mice were inoculated

intranasally with influenza virus. Changes in serum levels of interferon and liver microsomal

activities of 7-ethoxycoumarin, ethylmorphine demethylase, and nicotinamide adenine dinucleotide 

 
5-76

Table 5-13. Effects of chronic exposures to diesel exhaust on microsomal enzymes of labora

Species/sex 

Exposure

period

Particles

(mg/m3)

C × t

(mgAh/m3)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, F344, M — — — — — — Intratracheal administration of DPM extract 

doses greater than 6 mg/m3 before the lung A

barely doubled; liver AHH activity was unc

Mouse, CD-1, F 7 h/day

5 days/week4 weeks

2.0

0.2–0.36 :m mdd

280 11.5 1.5 0.8 Mice inoculated intranasally with influenza 

smaller increases in ethylmorphine demethyactivity on days 2 to 4 postvirus infection anof day 4 postinfection increase in NADPH-dcytochrome c reductase

Rat, SpragueDawley, M 20 h/day 7 days/week

1-7 weeks

6.3 882-6,174 17.4 2.3 2.1 AHH induction occurred in lung, liver, and 

gland but not in testes; maximum significanoccurred at different times; liver has greatesactivity, percent increase highest in prostatehydrase activity was unaffected

Rat, F344, M 20 h/day

5.5 days/week4, 13, 26, or39 weeks 20 h/day5.5 days/week4, 13, 26, or39 weeks

0.75

1.5

0.19 :m mdd

0.75

1.5

0.19 :m mdd

330-6,435330-6,435

4.87.54.87.5

————

————

Inhalation exposure had no significant effecAHH activity; lung AHH activity was slightafter 6-mo exposure to 1.5 mg/m3 DPM; an 

dp extract, estimated to be equivalent to inhexposure, had no effect on AHH activity in lungs; cyt. P-50 was unchanged in lungs and following inhalation or ip administration

Rat, F344, F 7 h/day

5 days/week12, 26, or104 weeks

2.0

0.23-0.36 :m mdd

840-7,280 11.5 1.5 0.8 No effect on B[a]p hydrolase or 7-exthoxyc

deethylase activities in the liver

Rat, F344, M 20 h/day

5.5 days/week8-53 weeks

0.25

1.5

0.19 :m mdd

220-8,745 2.9

7.5

——

——

After 8 weeks, no induction of cyt. P-450, cor NADPH-dependent cyt. c reductase; after exposure, liver microsomal oxidation of B[a

increased; 1 year of exposure to either 0.25 1.5 mg/m3 DPM impaired lung microsomal 

of B[a]p

Mouse, A/J, M 8 days/week

7 days/week26 or 35 weeks

6.0 17.4 17.4 2.3 2.1 No differences in lung and liver AHH activi

liver P-448, P-450 levels

AHH = aryl hydrocarbon hydroxylase.B[a]p = benzo[a]pyrene.
5-77

phosphate (NADPH)-dependent cytochrome c reductase were measured. In the absence of viral

inoculation, exposure to DE had no significant effects on the activity levels of the two liver

microsomal monooxygenases and NADPH-dependent cytochrome c reductase. Exposure to DE

produced smaller increases in ethylmorphine demethylase activity on days 2 to 4 postvirus

infection and also abolished the day 4 postinfection increase in NADPH-dependent cytochrome

c reductase when compared with nonexposed mice. These data suggested to the authors that the

relationship that exists between metabolic detoxification and resistance to infection in unexposed

mice was altered during a short-term exposure to DE.

Chen and Vostal (1981) measured the activity of AHH and the content of cytochrome

P450 in the lungs and livers of rats exposed by inhalation of DE or intraperitoneal (i.p.) injection

of a dichloromethane extract of DPM. In the inhalation exposures, the exhaust was diluted to

achieve concentrations of 0.75 or 1.5 mg/m3

 DPM, and the exposure regimen was 20 h/day,

5.5 days/week for up to 9 mo. The concentration of total hydrocarbons and particle-phase

hydrocarbons was not reported. Parenteral administration involved repeated injections at several

dose levels for 4 days. Inhalation exposure had no significant effect on liver microsomal AHH

activity; however, lung AHH activity was slightly reduced after 6 mo exposure to 1.5 mg/m3. 

An i.p. dose of DPM extract, estimated to be equivalent to the inhalation exposure, had no effect

on AHH activity in liver or lungs. No changes were observed in cytochrome P450 contents in

lungs or liver following inhalation exposure or i.p. treatment. Direct intratracheal administration

of a dichloromethane DPM extract required doses greater than 6 mg/kg body weight before the

activity of induced AHH in the lung was barely doubled; liver AHH activity remained

unchanged (Chen, 1986).

In related studies, Navarro et al. (1981) evaluated the effect of exposure to DE on rat

hepatic and pulmonary microsomal enzyme activities. The same exposure regimen was

employed (20 h/day, 5.5 days/week, for up to 1 year), and the exhaust was diluted to achieve

concentrations of 0.25 and 1.5 mg/m3

 DPM (a few studies were also conducted at 0.75 mg/m3). 

After 8 weeks of exposure, there was no evidence for the induction of cytochrome P450,

cytochrome P448, or NADPH-dependent cytochrome c reductase in rat liver microsomes. One

year of exposure had little, if any, effect on the hepatic metabolism of B[a]P. However, 1 year

of exposure to 0.25 and 1.5 mg/m3

 significantly impaired the ability of lung microsomes to

metabolize B[a]P (0.15 and 0.02 nmole/30 min/mg protein, respectively, versus

0.32 nmole/30 min/mg protein for the controls).

There are conflicting results regarding the induction of microsomal AHH activities in the

lungs and liver of rodents exposed to DE. One study reported induction of AHH activity in the

lungs, liver, and prostate of rats exposed to DE containing 6.32 mg/m3 DPM for 20 h/day for 42

days; however, no induction of AHH was observed in the lungs of rats and mice exposed to 6

mg/m3

 DPM for 8 h/day, 7 days/week for up to 8 mo or to 0.25 to 2 mg/m3 for periods up to 2
5-78

years. Exposure to DE has not been shown to produce adverse effects on microsomal

cytochrome P450 in the lungs or liver of rats or mice. The weight of evidence suggests that the

absence of enzyme induction in the rodent lung exposed to DE is caused either by the

unavailability of the adsorbed hydrocarbons or by their presence in quantities insufficient for

enzyme induction.

5.1.3.3.11. Effects on behavior and neurophysiology. Studies on the effects of exposure to DE

on the behavior and neurophysiology of laboratory animals are summarized in Table 5-14. 

Laurie et al. (1978) and Laurie et al. (1980) examined behavioral alterations in adult and

neonatal rats exposed to DE. Exposure for 20 h/day, 7 days/week, for 6 weeks to exhaust

containing 6 mg/m3

 DPM produced a significant reduction in adult spontaneous locomotor

activity (SLA) and in neonatal pivoting (Laurie et al., 1978). In a follow-up study, Laurie et al.

(1980) found that shorter exposure (8 h/day) to 6 mg/m3 DPM also resulted in a reduction of

SLA in adult rats. Laurie et al. (1980) conducted additional behavioral tests on adult rats

exposed during their neonatal period. For two of three exposure situations (20 h/day for 17 days

postparturition, or 8 h/day for the first 28 or 42 days postparturition), significantly lower SLA

was observed in the majority of the tests conducted on the adults after week 5 of measurement. 

When compared with control rats, adult 15-month-old rats that had been exposed as neonates (20

h/day for 17 days) also exhibited a significantly slower rate of acquisition of a bar-pressing task

to obtain food. The investigators noted that the evidence was insufficient to determine whether

the differences were the result of a learning deficit or due to some other cause (e.g., motivational

or arousal differences).

These data are difficult to interpret in terms of health hazards to humans under ambient

environmental conditions because of the high concentration of DE to which the laboratory rats

were exposed. Additionally, there are no further concentration-response studies to assess at what

exposure levels these observed results persist or abate. A permanent alteration in both learning

ability and activity resulting from exposures early in life is a health hazard whose significance to

humans should be pursued further.

Neurophysiological effects from exposure to DE were investigated in rats by Laurie and

Boyes (1980, 1981). Rats were exposed to diluted DE containing 6 mg/m3

 DPM for 8 h/day, 7

days/week from birth up until 28 days of age. Somatosensory evoked potential, as elicited by a

1 mA electrical pulse to the tibial nerve in the left hind limb, and visual evoked potential, as

elicited by a flash of light, were the endpoints tested. An increased pulse latency was reported

for the rats exposed to DE, and this was thought to be caused by a reduction in the degree of 
Table 5-14. Effects of chronic exposures to diesel exhaust on behavior and neurophysiology

Species/sex

Exposure

period

Particles

(mg/m3

)

C × T

(mgAh/m3

)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, SpragueDawley, M 8 h/day 7 days/week

1-4 weeks

6 336-1,344 19 2.5 1.8 Somatosensory and visual evoked

potentials revealed longer pulselatencies in pups exposed neonata

Rat, SpragueDawley, F

20 h/day7 days week6 weeks

6 5,040 19 2.5 1.8 Reduction in adult SLA and in ne

pivoting

Rat, SpragueDawley, F 8 or 20 h/day 7 days/week

3, 4, 6, or16 weeks

6 1,008-13,440 19 2.5 1.8 Reduction in SLA in adults; neon

exposures for 20 or 8 h/day causereductions in SLA. Neonatalexposures for 20 h/day for 17 dayresulted in a slower rate of abar-pressing task to obtain food

SLA = Spontaneous locomotor activity.

5-79
5-80

nerve myelinization. There was no neuropathological examination, however, to confirm this

supposition.

Based on the data presented, it is not possible to specify the particular neurological

impairment(s) induced by the exposure to DE. Again, these results occurred following exposure

to a high level of DE and no additional concentration-response studies were performed.

5.1.3.3.12. Effects on reproduction and development. Studies of the effects of exposure to DE

on reproduction and development are summarized in Table 5-15. Twenty rats were exposed 8

h/day on days 6 through 15 of gestation to diluted DE containing 6 mg/m3 DPM (Werchowski et

al., 1980a,b; Pepelko and Peirano, 1983). There were no signs of maternal toxicity or decreased

fertility. No skeletal or visceral teratogenic effects were observed in 20-day-old fetuses

(Werchowski et al., 1980a). In a second study, 42 rabbits were exposed to 6 mg/m3 DPM for 8

h/day on gestation days 6 through 18. No adverse effects on body weight gain or fertility were

seen in the does exposed to DE. No visceral or skeletal developmental abnormalities were

observed in the fetuses (Werchowski et al., 1980b).

Pepelko and Peirano (1983) evaluated the potential for DE to affect reproductive

performance in mice exposed from 100 days prior to exposure throughout maturity of the F2

generation. The mice were exposed for 8 h/day, 7 days/week to 12 mg/m3 DPM. In general,

treatment-related effects were minimal. Some differences in organ and body weights were

noted, but overall fertility and survival rates were not altered by exposure to DE. The only

consistent change, an increase in lung weights, was accompanied by a gross pathological

diagnosis of anthracosis. These data denoted that exposure to DE at a concentration of 12 mg/m3

did not affect reproduction. See Section 5.3, which reports a lack of effects of exposure to DE

on rat lung development (Mauderly et al., 1987b).

Several studies have evaluated the effect of exposure to DE on sperm. Lewis et al.

(1989) found no adverse sperm effects (sperm motility, velocity, densities, morphology, or

incidence of abnormal sperm) in monkeys exposed for 7 h/day, 5 days/week for 104 weeks to 2 

mg/m3

 DPM. In another study in which A/Strong mice were exposed to DE containing 6 mg/m3

DPM for 8 h/day for 31 or 38 weeks, no significant differences were observed in sperm

morphology between exposed and control mice (Pereira et al., 1981). It was noted, however,

that there was a high rate of spontaneous sperm abnormalities in this strain of mice, and this

may have masked any small positive effect. Quinto and De Marinis (1984) reported a

statistically significant and dose-related increase in sperm abnormalities in mice injected

intraperitoneally for 5 days with 50, 100, or 200 mg/kg of DPM suspended in corn oil. 

A significant decrease in sperm number was seen at the highest dose, but testicular weight was

unaffected by the treatment.
Table 5-15. Effects of chronic exposures to diesel exhaust on reproduction and development in labo

Species/sex

Exposure

period

Particles

(mg/m3

)

C × T

(mgAh/m3

)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Mouse,[C57BL]/6XC3H]F1, M 

5 days 50, 100, or 200 mg/kg in corn oil;

i.p. injection

— — — — Dose-related increase in

sperm abnormalities; decrease in sperm number ahighest dose; testicular weights unaffected 

Rat, Sprague- Dawley, F 8 h/day 7 days/week 1.7 weeks 6 571 20 2.7 2.1 No signs of maternal toxicit

or decreased fertility; no skeletal or visceralteratogenic effects in 20-dayold fetuses

Rabbit, NewZealand Albino,F

8 h/day 7 days/week 1.9 weeks 6 638 20 2.7 2.1 No adverse effects on maternal weight gain or fertility; no skeletal or visceral teratogenic effects i

the fetuses 

Monkey, Cynomolgus, M 7 h/day 5 days/week 104 weeks 2 7,280 11.5 1.5 0.8 No effects on sperm motility

velocity, density, morphology, or incidence of abnormalities 

Mouse,A/Strong, M 8 h/day 7 days/week 31 or

38 weeks

6 10,416-

12,768 20 2.7 2.1 No effect on sperm morphology; high rate of

spontaneous sperm abnormalities may have masked small effects

Mouse, CD-1,M, F 8 h/day 7 days/week 6 to 28

weeks

12 4,032-18,816 33 4.4 5.0 Overall fertility and surviva

rates were unaffected in thethree-generation reproductive study; only consistent change noted, an increase in lung weights, wadiagnosed as anthracosis

5-81
5-82

Watanabe and Oonuki (1999) investigated the effects of diesel engine exhaust on

reproductive endocrine function in growing rats. The rats were exposed to whole diesel engine

exhaust (5.63 mg/m3

 DPM, 4.10 ppm NO2, and 8.10 ppm NOx); a group was exposed to filtered

exhaust without DPM, and a group was exposed to clean air. Exposures were for 3 mo

beginning at birth (6 hrs/day for 5 days/week).

Serum levels of testosterone and estradiol were significantly higher and folliclestimulating hormone significantly lower in animals exposed to whole DE and filtered exhaust

compared to controls. Luteinizing hormone was significantly decreased in the whole-exhaustexposed group as compared to the control and filtered groups. Sperm production and activity of

testicular hyaluronidase were significantly reduced in both exhaust-exposed groups as compared

to the control group. This study suggests that DE stimulates hormonal secretion of the adrenal

cortex, depresses gonadotropin-releasing hormone, and inhibits spermatogenesis in rats. 

Because these effects were not inhibited by filtration, the gaseous phase of the exhaust appears

more responsible than particulate matter for disrupting the endocrine system.

The effects of freshly generated DE particles on the reproductive system of male Fischer

344 rats were investigated by Tsukue et al. (2001). Groups (n=25) of 13-mo. old male rats were

exposed to whole DE diluted to 0.33, 0.99 or 3.24 mg/m3

 (MMAD = 0.4 μm) for 8 months

12 hrs/day, 7 days/week. Subsequent to this exposure, evaluation of potential reproductive effect

was performed, including measurement of reproductive organ weights, sperm characteristics and

number, gonadotrophins, testosterone, and inhibin. Results showed either no effect or effects

with an inconsistent dose-response character that typically were not different from controls even

at the highest exposure concentration.

No teratogenic, embryotoxic, fetotoxic, or female reproductive effects were observed in

mice, rats, or rabbits at exposure levels up to 12 mg/m3 DPM. Effects on sperm morphology and

number were reported in hamsters and mice exposed to high doses of DPM; however, no adverse

effects were observed in sperm obtained from monkeys exposed at 2 mg/m3 for 7 hrs/day,

5 days/week for 104 weeks. Concentrations of 12 mg/m3 DPM did not affect male rat

reproductive fertility in the F0 and F1 generation breeders. Thus, exposure to DE would not

appear to be a reproductive or developmental hazard.

5.2. MODE OF ACTION OF DIESEL EXHAUST-INDUCED NONCANCER EFFECTS

5.2.1. Comparison of Health Effects of Filtered and Unfiltered Diesel Exhaust

There exist a total of four chronic toxicity studies of DE, in which the experimental

protocol included exposing test animals to exhaust containing no particles. Comparisons were

then made between the effects caused by whole, unfiltered exhaust and those caused by the

gaseous components of the exhaust. Concentrations of components of the exposure atmospheres

in these four studies are given in Table 5-16.
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Heinrich et al. (1982) compared the toxic effects of whole and filtered DE on hamsters

and rats. Exposures were at 3.9 mg/m3

 for 7 to 8 hrs/day and 5 days/week. Rats exposed for 24

mo to either whole or filtered exhaust exhibited no significant changes in respiratory frequency,

respiratory minute volume, compliance or resistance as measured by a whole-body

plethysmography, or heart rate. In the hamsters, histological changes (adenomatous

proliferations) were seen in the lungs of animals exposed to either whole or filtered exhaust;

however, in all groups exposed to the whole exhaust the number of hamsters exhibiting such

lesions was significantly higher than for the corresponding groups exposed to filtered exhaust or

clean air. Severity of the lesions was, however, not reported.

In a second study, Heinrich et al. (1986a, see also Stöber, 1986) compared the toxic

effects of whole and filtered DE on hamsters, rats, and mice. The test animals (96 per test

group) were exposed to 4.24 mg DPM/m3

 for 19 hrs/day, 5 days/week for 120 (hamsters and

mice) or 140 (rats) weeks. Body weights of hamsters were unaffected by either exposure. Body

weights of rats and mice were reduced by the whole exhaust but not by the filtered exhaust. 

Exposure-related higher mortality rates occurred in mice after 2 years of exposure to whole

exhaust. After 1 year of exposure to the whole exhaust, hamsters exhibited increased lung

weights, a significant increase in airway resistance, and a nonsignificant reduction in lung

compliance. For the same time period, rats exhibited increased lung weights, a significant

decrease in dynamic lung compliance, and a significant increase in airway resistance. Test

animals exposed to filtered exhaust did not exhibit such effects. Histopathological examination

indicated that different levels of response occurred in the three species. In hamsters, filtered

exhaust caused no significant histopathological effects in the lung; whole exhaust caused

thickened alveolar septa, bronchioloalveolar hyperplasia, and emphysematous lesions. In mice,

whole exhaust, but not filtered exhaust, caused multifocal bronchioloalveolar hyperplasia,

multifocal alveolar lipoproteinosis, and multifocal interstitial fibrosis. In rats, there were no

significant morphological changes in the lungs following exposure to filtered exhaust. In rats

exposed to whole exhaust, there were severe inflammatory changes in the lungs, thickened

alveolar septa, foci of macrophages, crystals of cholesterol, and hyperplastic and metaplastic

lesions. Biochemical studies of lung lavage fluids of hamsters and mice indicated that exposure

to filtered exhaust caused fewer changes than did exposure to whole exhaust. The latter

produced significant increases in lactate dehydrogenase, alkaline phosphatase, glucose-6-

phosphate dehydrogenase (G6PDH), total protein, protease (pH 5.1), and collagen. The filtered

exhaust had a slight but nonsignificant effect on G6PDH, total protein, and collagen. Similarly,

cytological studies showed that while the filtered exhaust had no effect on differential cell 

counts, the whole
Table 5-16. Composition of exposure atmospheres in studies comparing unfiltered and filtered di

Species/sex

Exposureb

period

Particles

(mg/m3

)

C × t

(mgAh/m3

)

CO

(ppm)

NO2

(ppm)

SO2

(ppm) Effects 

Rat, Wistar, F;Hamster, Syrian

7 h/day5 days/week104 weeks

UfFC

3.9

——

14,196 18.5

18.0

—

1.21.0

—

3.12.8

—

No effect on pulmonary function or heart rate in rats; incpulmonary adenomatous proliferations in hamsters, UFsignificantly higher than F or C

Rat, F344, F 8 h/day 

7 days/week104 weeks

UfFc

C

4.9

——

28,538 7.0

——

1.8

——

13.1

——

Body weight decrease after 6 mo in UF, 18 mo in f; lungrate weight rate higher in both groups at 24 mo; at 2 yearfibrosis and epithelial hyperplasia in lungs of uf; nominaand spleen histologic changes

Rat, F344, M, F;Hamster, Syrian, M, F

16 h/day5 days/week104 weeks

UfUfUfFd

C

0.72.26.6

——

5,824

18,30454,912

——

32.032.0

1.0

—————

—————

Uf: elevated red and white cell counts, hematocrit and hglobin; increased heart/body weight and right ventricularweight ratios; lower left ventricular contractility; changechemistry; obstructive and restrictive lung disease; F: no 

Rat, Wistar, F;Hamster, Syrian, F;Mouse NMRI, F

19 h/day5 days/week120 to140 weeks

UfFd

C

4.24

——

48,33656,392

12.511.10.16

1.51.2

—

3.1

1.02

—

Uf: decreased body wt in rats and mice but not hamstersed mortality, mice only; decreased lung compliance and airway resistance, rats and hamsters; species differences lavage enzymes and cell counts and lung histopathology collagen content, most pronounced in rats; F: no effect oglucose-6-phosphate dehydrogenase, total protein, and lucollagen

Mouse, NMRI, F,C57BL/6N, F

18 h/day5 days/week23 mo(NMRI)24 mo(C57BL/6N)

UfFC

4.5

0.010.01

40,365 14.2

14.2

0.2

2.32.9

0.01

2.82.40.1

Uf: increased lung wet weight starting at 3 moF: no noncancer effects reported

aMan values.bUF= unfiltered whole exhaust, F = filtered exhaust, C = control.cReported to have the same component concentrations as the unfiltered, except particles were present in undetectable amounts.dConcentrations reported for high concentration level only.

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counts, the whole exhaust resulted in an increase in leukocytes (161 ± 43.3/μL versus 55.7 ± 

12.8/μL controls), a decrease in AMs (30.0 ± 12.5 versus 51.3 ± 12.5/μL in the controls),

and an increase in granulocytes (125 ± 39.7 versus 1.23 ± 1.14/μL in the controls). All 

values presented for this study are the mean with its standard deviation. The differences were

significant for each cell type. There was also a small increase in lymphocytes (5.81 ± 4.72 

versus 3.01 ± 1.23 μL in the controls).

Iwai et al. (1986) exposed rats (24 per group) to whole or filtered DE 8 h/day,

7 days/week for 24 mo. The whole exhaust was diluted to achieve a concentration of

4.9 ± 1.6 mg/m3

 DPM. Body weights in the whole exhaust group began to decrease after 6 mo

and in both exposed groups began to decrease after 18 mo when compared with controls. 

Lung-to-body weight ratios of the rats exposed to the whole exhaust showed a significant

increase (p<0.01) after 12 mo in comparison with control values. Spleen-to-body weight ratios

of both exposed groups were higher than control values after 24 mo. After 6 mo of exposure to

whole exhaust, DPM accumulated in AMs, and Type II cell hyperplasia was observed. After

2 years of exposure, the alveolar walls had become fibrotic with mast cell infiltration and

epithelial hyperplasia. In rats exposed to filtered exhaust, after 2 years there were only minimal

histologic changes in the lungs, with slight hyperplasia and stratification of bronchiolar

epithelium and infiltration of atypical lymphocytic cells in the spleen.

Brightwell et al. (1986) evaluated the toxic effects of whole and filtered DE on rats and

hamsters. Three exhaust dilutions were tested, producing concentrations of 0.7, 2.2, and 6.6

mg/m3

 DPM. The test animals (144 rats and 312 hamsters per exposure group) were exposed for

five 16-h periods per week for 2 years. The four exposure types were gasoline, gasoline catalyst,

diesel, and filtered diesel. The results presented were limited to statistically significant

differences between exhaust-exposed and control animals. The inference from the discussion

section of the paper was that there was a minimum of toxicity in the animals exposed to filtered

DE: “It is clear from the results presented that statistically significant differences between

exhaust-exposed and control animals are almost exclusively limited to animals exposed to either

gasoline or unfiltered diesel exhaust.” Additional results are described in Section 5.1.3.3.

Heinrich et al. (1995) exposed female NMRI and C57BL/6N mice to a DE dilution that

resulted in a DPM concentration of 4.5 mg/m3 and to the same dilution after filtering to remove

the particles. This study is focused on the carcinogenic effects of DPM exposure, and

inadequate information was presented to compare noncancer effects in filtered versus unfiltered

exhaust.

A comparison of the toxic responses in laboratory animals exposed to whole exhaust or

filtered exhaust containing no particles demonstrates across studies that when the exhaust is

sufficiently diluted to limit the concentrations of gaseous irritants (NO2 and SO2), irritant vapors

(aldehydes), CO, or other systemic toxicants, the diesel particles are the prime etiologic agents
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of noncancer health effects, although additivity or synergism with the gases cannot be ruled out. 

These toxic responses are both functional and pathological and represent cascading sequelae of

lung pathology based on concentration and species. The diesel particles plus gas exposures

produced biochemical and cytological changes in the lung that are much more prominent than

those evoked by the gas phase alone. Such marked differences between whole and filtered DE

are also evident from general toxicological indices, such as decreases in body weight and

increases in lung weights, pulmonary function measurements, and pulmonary histopathology

(e.g., proliferative changes in Type II cells and respiratory bronchiolar epithelium, fibrosis). 

Hamsters, under equivalent exposure regimens, have lower levels of retained DPM in their lungs

than rats and mice do and, consequently, less pulmonary function impairment and pulmonary

pathology. These differences may result from lower DPM inspiration and deposition during

exposure, greater DPM clearance, or lung tissue less susceptible to the cytotoxicity of deposited

DPM.

5.2.2. Mode of Action for the Noncarcinogenic Effects of DPM

As noted in Chapter 2, diesel emissions are a complex mixture that includes both a vapor

phase and a particle phase. The particle phase consists of poorly soluble carbon particles on the

surfaces of which are adsorbed a large number of organic and inorganic compounds. Although

the effects to be discussed are considered attributable to the particle phase (termed diesel

particulate matter or DPM), additive or synergistic effects due to the vapor phase cannot be

totally discounted. This may be especially so in the human studies and the animal toxicology

studies where exposure is to various dilutions of diesel emissions, or in the in vitro studies in

which the test material was captured by filtration.

The mechanisms by which DPM is inhaled, deposited, and cleared from the respiratory

tract are discussed in Chapter 3. DPM deposited upon airway surfaces may be cleared from the

respiratory tract completely, or may be translocated to other sites within the respiratory system. 

In rats, the pathogenic sequence following the deposition of inhaled DPM begins with the

interaction of DPM with airway epithelial cells and phagocytosis by AMs. The airway epithelial

cells and activated AMs release chemotactic factors that attract neutrophils and additional AMs. 

As the lung burden of DPM increases, there is an aggregation of particle-laden AMs in alveoli

adjacent to terminal bronchioles, increases in the number of Type II cells lining particle-laden

alveoli, and the presence of particles within alveolar and peribronchial interstitial tissues and

associated lymph nodes.

The macrophages engulfing the DPM may release cytokines, growth factors, and

proteases, which may cause inflammation, cell injury, cell proliferation, hyperplasia, and

fibrosis. This is especially true under lung overload conditions occurring in laboratory rats when

the rate of deposition exceeds the rate of alveolar clearance. This phenomenon is described in
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Chapter 3. The mechanisms leading to the generation of oxygen radicals and subsequent lung

injury are described in Chapter 7, Section 7.4.3.

DPM is a poorly soluble particle whose rate of clearance by dissolution is likely

insignificant compared to its rate of clearance as an intact particle. The organic material

adsorbed to the surface is desorbed from the DPM and may enter into metabolic reactions and be

activated and enter into reactions with other macromolecules or be detoxified and excreted

(Figure 7-1). The diesel particle may be cleared directly by the clearance mechanisms described

in Chapter 3.

The organic material desorbed from the particle (described in Chapter 7, Section 7.4.7)

appears to be associated with the immunological changes described above. The potential

adjuvant effects of DPM have also been studied. The results indicate that the nonextractable

particle core and the organic matter adsorbed to the core both contribute to the adjuvant activity

of DPM. Further, it is possible that any of the plethora of compounds present in the organic

fraction of DPM, including various PAH, may elicit this response.

Thus, the available evidence indicates that DPM has the potential to produce pathological

and immunological changes in the respiratory tract. Moreover, the magnitude of these responses

is determined by the dose delivered to the respiratory tract and is attributable to both the carbon

core and the adsorbed organic materials.

5.3. INTERACTIVE EFFECTS OF DIESEL EXHAUST

A multitude of factors may influence the susceptibility to exposure to DE as well as the

resulting response. Some of these have already been discussed in detail (e.g., the composition of

DE and concentration-response data); others will be addressed in this section (e.g., the

interaction of DE with factors particular to the exposed individual and the interaction of DE

components with other airborne contaminants).

In a study discussed already in this chapter, Mauderly et al. (1990a) compared the

susceptibility of normal rats and rats with preexisting laboratory-induced pulmonary emphysema

exposed for 7 h/day, 5 days/week for 24 mo to DE containing 3.5 mg/m3

 DPM or to clean air

(controls). Emphysema was induced in one-half of the rats by intratracheal instillation of

elastase 6 weeks before exhaust exposure. Measurements included lung burdens of DPM,

respiratory function, bronchoalveolar lavage, clearance of radiolabeled particles, pulmonary

immune responses, lung collagen, excised lung weight and volume, histopathology, and mean

linear intercept of terminal air spaces. None of the data for the 63 parameters measured suggest

that rats with emphysematous lungs were more susceptible than rats with normal lungs to the

effects of DE exposure. In fact, each of the 14 emphysema-exhaust interactions detected by

statistical analysis of variance indicated that emphysema acted to reduce the effects of DE

exposure. DPM accumulated much less rapidly in the lungs of emphysematous rats than in those
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of normal rats. The mean lung burdens of DPM in the emphysematous rats were 39%, 36%, and

37% of the lung burdens of normal rats at 12, 18, and 24 mo, respectively. No significant

interactions were observed among lung morphometric parameters. Emphysema prevented the

exhaust-induced increase for three respiratory indices of expiratory flow rate at low lung

volumes, reduced the exhaust-induced increase in nine lavage fluid indicators of lung damage,

prevented the expression of an exhaust-induced increase in lung collagen, and reduced the

exhaust-induced delay in DPM clearance.

Mauderly et al. (1987b) evaluated the relative susceptibility of developing and adult rat

lungs to damage by exposure to DE. Rats (48 per test group) were exposed to DE containing 3.5

mg/m3 DPM and about 0.8 ppm NO2. Exposures were for 7 h/day, 5 days/week through

gestation to the age of 6 mo, or from the age of 6 to 12 mo. Comparative studies were

conducted on respiratory function, immune response, lung clearance, airway fluid enzymes,

protein and cytology, lung tissue collagen, and proteinases in both age groups. After the 6-mo

exposure, adult rats, compared with controls, exhibited (1) more focal aggregates of particlecontaining AMs in the alveolar ducts near the terminal bronchioles, (2) a sixfold increase in the

neutrophils (as a percentage of total leukocytes) in the airway fluids, (3) a significantly higher

number of total lymphoid cells in the pulmonary lymph nodes, (4) delayed clearance of DPM

and radiolabeled particles (t1/2 = 90 days versus 47 days for controls), and (5) increased lung

weights. These effects were not seen in the developing rats. On a weight-for-weight

(milligrams of DPM per gram of lung) basis, DPM accumulation in the lungs was similar in

developing and adult rats immediately after the exposure. During the 6-mo postexposure period,

DPM clearance was much more rapid in the developing rats, approximately 2.5-fold. During

postexposure, diesel particle-laden macrophages became aggregated in the developing rats, but

these aggregations were located primarily in a subpleural position. The authors concluded that

exposure to DE, using pulmonary function, structural (qualitative or quantitative) biochemistry

as the indices, did not affect the developing rat lung more severely than the adult rat lung.

As a result of the increasing trend of using diesel-powered equipment in coal mining

operations and the concern for adverse health effects in coal miners exposed to both coal dust or

coal mine dust and DE, Lewis et al. (1989) and Karagianes et al. (1981) investigated the

interaction of coal dust and DE. Lewis et al. (1989) exposed rats, mice, and cynomolgus

monkeys to (1) filtered ambient air, (2) 2 mg/m3

 DPM, (3) 2 mg/m3 respirable coal dust, and (4)

1 mg/m3 of both DPM and respirable coal dust. Gaseous and vapor concentrations were

identical in both DE exposures. Exposures were for 7 h/day, 5 days/week for up to 24 mo. 

Synergistic effects between DE and coal dust were not demonstrated; additive toxic effects were

the predominant effects noted.

Karagianes et al. (1981) exposed rats (24 per group) to DE containing 8.3 mg/m3 of DPM

alone or in combination with about 6 mg/m3

 of coal dust. No synergistic effects were found
5-89

between DE and coal dust; additive effects in terms of visual dust burdens in necropsied lungs

were related to dose (i.e., length of exposure and airborne particulate concentrations).

The health effects of airborne contaminants from sources other than diesel engines may

be altered in the presence of DPM by their adsorption onto the diesel particles. When adsorbed

onto diesel particles, the gases and vapors can be transported and deposited deeper into the

lungs, and because they are more concentrated on the particle surface, the resultant cytotoxic

effects or physiological responses may be enhanced. Nitrogen dioxide adsorbed onto carbon

particles caused pulmonary parenchymal lesions in mice, whereas NO2 alone produced edema

and inflammation but no lesions (Boren, 1964). Exposure to formaldehyde and acrolein

adsorbed onto carbon particles (1 to 4 :m) resulted in the recruitment of PMNs to tracheal and

intrapulmonary epithelial tissues but not when the aldehydes were tested alone (Kilburn and

McKenzie, 1978).

Madden et al. (2000) observed that O3 exposure increased the bioactivity of DPM. DPM,

preexposed to O3 for 48 h or nonozone-exposed DPM (1 to 500 :g), was instilled into the lungs

of laboratory rats. Lung inflammation and injury were examined 24 h after instillation by lung

lavage. DPM pre-exposed to 0.1 PPM O3 was more potent in increasing neutrophilia, lavage

total protein, and LDH compared to unexposed DPM. Treatment of DPM with higher

concentrations of O3 (1.0 PPM) decreased the bioactivity of the particles.

There is no direct evidence that DE, at concentrations found in the ambient environment,

interacts with other substances in the exposure environment or the physiological status of the

exposed subject other than impaired resistance to respiratory tract infections. Although there is

experimental evidence that gases and vapors can be adsorbed onto carbonaceous particles,

enhancing the toxicity of these particles when deposited in the lung, there is no evidence for an

increased health risk from such interactions with DPM under urban atmospheric conditions. 

Likewise, there is no experimental evidence in laboratory animals that the youth or preexisting

emphysema of an exposed individual enhances the risk of exposure to DE.

5.4. COMPARATIVE RESPONSIVENESS AMONG SPECIES TO THE

HISTOPATHOLOGIC EFFECTS OF DIESEL EXHAUST

There is some evidence indicating that species may differ in pulmonary responses to DE. 

Mauderly (1994) compared the pulmonary histopathology of rats and mice after 18 mo of

exposure to DE. There was less aggregation of macrophages in mice. Diffuse septal thickening

was noted in the mice, but there were few inflammatory cells, no focal fibrosis, little epithelial

hyperplasia, and no epithelial metaplasia, as was observed in rats. Heinrich et al. (1986a)

reported that wet lung weight of hamsters increased only 1.8-fold following chronic exposure to

DE, compared with an increase of 3.4-fold in rats. Smaller increases in neutrophils, lactic acid

dehydrogenase, collagen, and protein supported the conclusion of a lesser inflammatory response
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in Syrian hamsters. The histopathologic changes in the lungs of Chinese hamsters after 6 mo

exposure to DE, on the other hand, was similar to that of rats (Pepelko and Peirano, 1983). 

Guinea pigs respond to chronic DE exposure with a well-defined epithelial proliferation, but it is

based on an eosinophilic response in contrast to the neutrophil-based responses in other species. 

Epithelial hyperplasia and metaplasia were quite striking in the terminal and respiratory

bronchioles of cats exposed for 27 mo to DE (Plopper et al., 1983). This study is of particular

interest because the terminal airways of cats are more similar to those of humans than rodent

species are. It should be noted, however, that exposure concentrations were very high

(12 mg/m3) for most of the period. Lewis et al. (1989) exposed rats and cynomolgus monkeys

8 h per day, 5 days per week for 2 years to DE at a particle concentration of 2 mg/m3. 

Unfortunately, this exposure rate was sufficiently low that few effects were noted in either

species other than focal accumulations of particles, primarily in the alveolar macrophages,

interstitium, and lymphoid tissue. It is apparent that species do vary in their pulmonary

responses to DE exposure, despite the difficulty in making direct comparisons because of

differences in exposure regimes, lifespans, and pulmonary anatomy. Most species do respond,

however, suggesting that humans are likely to be susceptible to induction of pulmonary

pathology during chronic exposure to DE at some level.

5.5. DOSE-RATE AND PARTICULATE CAUSATIVE ISSUES

The purpose of animal toxicological experimentation is to elucidate mechanisms of

action and identify the hazards and dose-response effects posed by a chemical substance or

complex mixture and to extrapolate these effects to humans for subsequent health assessments. 

The cardinal principle in such a process is that the intensity and character of the toxic action are

a function of the dose of the toxic agent(s) that reaches the critical site of action. The

considerable body of evidence reviewed clearly denotes that major noncancerous health hazards

may be presented to the lung following the inhalation of DE. Based on pulmonary function and

histopathological and histochemical effects, a determination can be made concerning which

dose/exposure rates of DE (expressed in terms of the DPM concentration) result in injury to the

lung and which appear to elicit no effect. The inhalation of poorly soluble particles, such as

those found in DE, increases the pulmonary particulate burden. When the dosing rate exceeds

the ability of the pulmonary defense mechanisms to achieve a steady-state lung burden of

particles, there is a slowing of clearance and the progressive retention of particles in the lung that

can ultimately approach a complete cessation of lung clearance (Morrow, 1988). This

phenomenon, which is reviewed in Chapter 3, has practical significance both for the

interpretation of experimental inhalation data and for the prevention of disease in humans

exposed to airborne particles.
5-91

The data for exposure intensities that cause adverse pulmonary effects demonstrate that

they are less than the exposure intensities reported to be necessary to induce lung tumors. Using

the most widely studied laboratory animal species and the one reported to be the most sensitive

to tumor induction, the laboratory rat, the no-adverse-effect exposure intensity for adverse

pulmonary effects was 56 mgAhAm-3/week (Brightwell et al., 1986). The lowest-observed-effect

level for adverse pulmonary effects (noncancer) in rats was 70 mgAhAm-3/week (Lewis et al.,

1989), and for pulmonary tumors, 122.5 mgAhAm-3/week (Mauderly et al., 1987a). The results

clearly show that noncancerous pulmonary effects are produced at lower exposure intensities

than are pulmonary tumors. Such data support the position that inflammatory and proliferative

changes in the lung may play a key role in the etiology of pulmonary tumors in exposed rats

(Mauderly et al., 1990b). 

The effects of DE on the developing lung and on a model of a preexisting disease state

have been studied in rats (Mauderly et al., 1990a, 1987b). Mauderly et al. (1987b) showed that

diesel did not affect the developing lung more severely than the adult rat lung, and in fact, that

clearance was faster in the younger lung. Mauderly et al. (1990a) compared the pulmonary

response to inhalation of DE in rats with elastase-induced emphysema with normal rats. They

found that respiratory tract effects were not more severe in emphysematous rats and that the lung

burden of particles was less in the compromised rat. These studies provide limited evidence that

some factors that are often considered to result in a wider distribution of sensitivity among

members of the population may not have this effect with diesel exposure. However, these

studies have no counterpart in human studies and extrapolation to humans remains uncertain.

There is also the issue of whether the noncancerous health effects related to exposure to

DE are caused by the carbonaceous core of the particle or substances adsorbed onto the core, or

both.

Current understanding, derived primarily from studies in rats, suggests that much of the

toxicity resulting from the inhalation of DE relates to the carbonaceous core of the particles. 

Several studies on inhaled aerosols demonstrate that lung reactions characterized by an

appearance of particle-laden AMs and their infiltration into the alveolar ducts, adjoining alveoli,

and tracheobronchial lymph nodes; hyperplasia of Type II cells; and the impairment of

pulmonary clearance mechanisms are not limited to exposure to diesel particles. Such responses

have also been observed in rats following the inhalation of coal dust (Lewis et al., 1989;

Karagianes et al., 1981), titanium dioxide (Heinrich et al., 1995; Lee et al., 1985), CB (Nikula et

al., 1995; Heinrich et al., 1995), titanium tetrachloride hydrolysis products (Lee et al., 1986),

quartz (Klosterkötter and Bünemann, 1961), volcanic ash (Wehner et al., 1986), amosite (Bolton

et al., 1983), and manmade mineral fibers (Lee et al., 1988) among others. In more recent

studies, animals have been exposed to CB that is similar to the carbon core of the DE particle. 

Nikula et al. (1995) exposed rats for 24 mo to CB or DE at target exposure concentrations of 2.5
5-92

and 6 mg/m3

 (exposure rates of 200 or 520 mgAhAm-3/week). Both concentrations induced AM

accumulation, epithelial proliferation, inflammation, and fibrosis. They observed essentially no

difference in potency of nonneoplastic or in tumor responses based on a regression analysis.

Dungworth et al. (1994) reported moderate to severe inflammation characterized by

multifocal bronchoalveolar hyperplasia, alveolar histiocytosis, and focal segmental fibrosis in

rats exposed to CB for up to 20 mo at exposure rates of 510 to 540 mgAhAm-3/week. The

observed lung pathology reflects notable dose-response relationships and usually evolves in a

similar manner. With increasing dose, there is an increased accumulation and aggregation of

particle-laden AMs, Type II cell hyperplasia, a foamy (degenerative) macrophage response,

alveolar proteinosis, alveolar bronchiolization, cholesterol granulomas, and often squamous cell

carcinomas and bronchioalveolar adenomas derived from metaplastic squamous cells in the areas

of alveolar bronchiolization.

Heinrich et al. (1995) compared effects of diesel exposure in rats and mice with exposure

to titanium dioxide or carbon black. Exposures to TiO2 and carbon black were adjusted during

the exposure to result in a similar lung burden for the three types of particles. At similar lung

burdens in the rat, DPM, TiO2, and CB had nearly identical effects on lung weights and on the

incidence of lesions, both noncancer and cancer. Also, a similar effect on clearance of a labeled

test aerosol was measured for the different particles. A comparison of the effect of DPM, TiO2,

and carbon black exposures in mice also showed a similar effect on lung weight, but noncancer

effects were not reported and no significant increase in tumors was observed.

Murphy et al. (1998) compared the toxicological effects of DPM with three other

particles chosen for their differing morphology and surface chemistry. One mg each of wellcharacterized crystalline quartz, amorphous silica, CB, and DPM was administered to laboratory

rats by a single intratracheal instillation. The laboratory rats were sacrificed at 48 h, and 1, 6,

and 12 weeks after instillation. Crystalline quartz produced significant increases in lung

permeability, persistent surface inflammation, progressive increases in pulmonary surfactant and

activities of epithelial marker enzymes up to 12 wk after primary exposure. Amorphous silica

did not cause progressive effects but did produce initial epithelial damage with permeability

changes that regressed with time after exposure. By contrast, CB had little if any effect on lung

permeability, epithelial markers, or inflammation. Similarly, DPM produced only minimal

changes, although the individual particles were smaller and differed in surface chemistry from

CB. The authors concluded that DPM is less damaging to the respiratory epithelium than is

silicon dioxide, and that the surface chemistry of the particle is more important than ultrafine

size in explaining biological activity.

These experiments provide strong support for the idea that DE toxicity results from a

mechanism that is analogous to that of other relatively inert particles in the lung. This
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qualitative similarity exists along with some apparent quantitative differences in the potency of

various particles for producing effects on the lung or on particle clearance.

The exact relationship between toxicity and particle size within the ultrafine particle

mode, including DPM (BéruBé et al., 1999), remains unresolved. Studies reviewed in the PM

CD (U.S. EPA, 1996) suggest a greater inherent potential toxicity of inhaled ultrafine particles. 

Exposure to ultrafine particles may increase the release of proinflammatory mediators that could

be involved in lung disease. For example, Driscoll and Maurer (1991) compared the effects of

fine (0.3 :m) and ultrafine (0.02 :m) TiO2 particles instilled into the lungs of laboratory rats.

Although both size modes caused an increase in the numbers of AMs and PMNs in the lungs,

and release of TNF and fibronectin by AMs, the responses were greater and more persistent with

the ultrafine particles. While fine particle exposure resulted in a minimally increased

prominence of particle-laden macrophages associated with alveolar ducts, ultrafine particle

exposure produced a somewhat greater prominence of macrophages, some necrosis of

macrophages, and slight interstitial inflammation of the alveolar duct region. Moreover,

collagen increased only with exposure to ultrafine particles.

Oberdörster et al. (1992) compared the effects of fine (0.25 :m) and ultrafine (0.02 :m)

TiO2 particles instilled into the lungs of laboratory rats on various indicators of inflammation.

Instillation of ultrafine particles increased the number of total cells recovered by lavage,

decreased the percentage of AMs, and increased the percentage of PMNs and protein. 

Instillation with fine particles did not cause statistically significant effects. Thus, the ultrafine

particles had greater pulmonary inflammatory potency than did larger sizes of this material. The

investigators attributed the enhanced toxicity to greater interaction of the ultrafine particles with

their large surface area, with alveolar and interstitial macrophages, which resulted in enhanced

release of inflammatory mediators. They suggested that ultrafine particles of low in vitro

solubility appear to enter the interstitium more readily than do larger sizes of the same material,

which accounted for the increased contact with macrophages in this compartment of the lung. 

Driscoll and Maurer (1991) noted that the pulmonary retention of ultrafine TiO2 particles

instilled into rat lungs was greater than for the same mass of fine-mode TiO2 particles. Thus, the

available evidence tends to suggest a potentially greater toxicity for inhaled ultrafine particles.

Particle size, volume, surface area, and composition may be the critical elements in the

overload phenomenon following exposure to particles, which could explain those quantitative

differences. The overloaded AMs secrete a variety of cytokines, oxidants, and proteolytic

enzymes that are responsible for inducing particle aggregation and damaging adjacent epithelial

tissue (Oberdörster, 1994). For a more detailed discussion of mechanism, see Chapter 3.

On the basis of currently available laboratory animal data, the principal noncancerous

health hazard to humans posed by exposure to DE is a structural or functional injury to the lung. 

Such effects are demonstrable at dose rates or cumulative doses of DPM lower than those
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reported to be necessary to induce lung tumors in rats. An emerging human health issue

concerning short-term exposure to ambient DE/DPM is the potential for allergenic responses in

several studies. Heightened allergenic responses including increased cytokine production as well

as increased numbers of inflammatory cells have been detected in nasal lavage from humans

exposed to inhaled or instilled DE/DPM. In individuals already allergic to ragweed, exposure to

DE/DPM with the allergen was observed to result in an enhanced allergenic response,

particularly IgE production. Current knowledge indicates that the carbonaceous core of diesel

particles is the major causative factor in the injury to the lung and that other factors such as the

cytotoxicity of adsorbed substances on the particles also may play a role. The lung injury

appears to be mediated through effects on pulmonary AMs. Because noncancerous pulmonary

effects occur at lower doses than tumor induction does in the rat, and because these effects may

be cofactors in the etiology of DE-induced tumors, noncancerous pulmonary effects must be

considered in the total evaluation of DE, notably the particulate component.

5.6. SUMMARY AND DISCUSSION

5.6.1. Effects of Diesel Exhaust on Humans

The most readily identified acute noncancer health effect of DE on humans is its ability

to elicit subjective complaints of eye, throat, and bronchial irritation and neurophysiological

symptoms such as headache, lightheadedness, nausea, vomiting, and numbness and tingling of

the extremities. Studies of the perception and offensiveness of the odor of DE and a human

volunteer study in an exposure chamber have demonstrated that the time of onset of the human

subjective symptoms is inversely related to increasing concentrations of DE and the severity is

directly related to increasing concentrations of DE. In one study in which a diesel engine was

operated under varying load conditions, a dilution factor of 140 to 475 was needed to reduce the

exhaust level to an odor-detection threshold level.

A public health issue is whether short-term exposure to DE might result in an acute

decrement in ventilatory function and whether the frequent repetition of such acute respiratory

effects could result in chronic lung function impairment. One convenient means of studying

acute decrements in ventilatory function is to monitor differences in pulmonary function in

occupationally exposed workers at the beginning and end of a workshift. In studies of

underground miners, bus garage workers, dockworkers, and locomotive repairmen, increases in

respiratory symptoms (cough, phlegm, and dyspnea) and decreases in lung function (FVC,

FEV1, PEFR, and FEF25-75) over the course of a workshift were generally found to be minimal

and not statistically significant. In a study of acute respiratory responses in diesel bus garage

workers, there was an increased reporting of cough, labored breathing, chest tightness, and

wheezing, but no reductions in pulmonary function were associated with exposure to DE. 

Pulmonary function was affected in stevedores over a workshift exposure to DE but normalized
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after a few days without exposure to DE fumes. In a third study, there was a trend toward

greater ventilatory function changes during a workshift among coal miners, but the decrements

were similar in miners exposed and not exposed to DE.

Smokers appeared to demonstrate larger workshift respiratory function decrements and

increased incidence of respiratory symptoms. Acute sensory and respiratory symptoms were

earlier and more sensitive indicators of potential health risks from diesel exposure than were

decrements in pulmonary function. Studies on the acute health effects of exposure to DE in

humans, experimental and epidemiologic, have failed to demonstrate a consistent pattern of

adverse effects on respiratory morbidity; the majority of studies offer, at best, equivocal

evidence for an exposure-response relationship. The environmental contaminants have

frequently been below permissible workplace exposure limits; in those few cases where health

effects have been reported, the authors have failed to identify conclusively the individual or

collective causative agents in the DE.

Chronic effects of DE exposure have been evaluated in epidemiologic studies of

occupationally exposed workers (metal and nonmetal miners, railroad yard workers, stevedores,

and bus garage mechanics). Most of the epidemiologic data indicate an absence of an excess

risk of chronic respiratory disease associated with exposure to DE. In a few studies, a higher

prevalence of respiratory symptoms, primarily cough, phlegm, or chronic bronchitis, was

observed among the exposed. These increased symptoms, however, were usually not

accompanied by significant changes in pulmonary function. Reductions in FEV1 and FVC and,

to a lesser extent, FEF50 and FEF75, also have been reported. Two studies detected statistically

significant decrements in baseline pulmonary function consistent with obstructive airway

disease. One study of stevedores had a limited sample size of 17 exposed and 11 controls. The

second study in coal miners showed that both underground and surface workers at diesel-use

mines had somewhat lower pulmonary performance than their matched controls. The proportion

of workers in or at diesel-use mines, however, showed equivalent evidence of obstructive airway

disease, and for this reason the authors of the second paper felt that factors other than diesel

exposure might have been responsible. A doubling of the prevalence of minor restrictive airway

disease was also observed in workers in or at diesel-use mines. These two studies, coupled with

other reported nonsignificant trends in respiratory flow-volume measurements, suggest that

exposure to DE may impair pulmonary function among occupational populations. 

Epidemiologic studies of the effects of DE on organ systems other than the pulmonary system

are scant. Whereas a preliminary study of the association of cardiovascular mortality and

exposure to DE found a fourfold higher risk ratio, a more comprehensive epidemiologic study

by the same investigators found no significant difference between the observed and expected

number of deaths caused by cardiovascular disease.
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Caution is warranted in the interpretation of results from the epidemiologic studies that

have addressed noncarcinogenic health effects from exposure to DE. These investigations suffer

from myriad methodological problems, including (1) incomplete information on the extent of

exposure to DE, necessitating in some studies estimations of exposures from job titles and

resultant misclassification; (2) the presence of confounding variables such as smoking or

occupational exposures to other toxic substances (e.g., mine dusts); and (3) the short duration

and low intensity of exposures. These limitations restrict drawing definitive conclusions as to

the cause of any noncarcinogenic DE effect, observed or reported.

It is also apparent that at some level of exposure DE as measured by DPM appears to

have the potential to induce airway inflammation in humans without disease. Also, in one other

study peripheral blood changes were noted. An emerging area of concern is the immunological

changes that have been documented in response to DE exposure and the potential relationship of

these changes to the explosive growth of asthma in human populations.

5.6.2. Effects of Diesel Exhaust on Laboratory Animals

Laboratory animal studies of the toxic effects of DE have involved acute, subchronic,

and chronic exposure regimens. In acute exposure studies, toxic effects appear to have been

associated primarily with high concentrations of carbon monoxide, nitrogen dioxide, and

aliphatic aldehydes. In short- and long-term studies, toxic effects have been associated with

exposure to the complex exhaust mixture. Effects of DE in various animal species are

summarized in Tables 5-2 to 5-15. In short-term studies, health effects related to function, when

found, are mild and result from extremely high DPM concentrations of about 6 mg/m3 and

extensive durations of exposure approximating 20 h/day. There is ample evidence, however,

that other pathophysiological effects such as accumulation of DPM in pulmonary tissues,

evidence of inflammatory response, AM aggregation and accumulation near the terminal

bronchioles, Type II cell proliferation, and the thickening of alveolar walls adjacent to AM

aggregation do occur under short-term exposures at lower levels of DE. Little evidence exists,

however, from short-term studies that exposure to DE impairs lung function. Chronic exposures

cause lung pathology that results in altered pulmonary function and increased DPM retention in

the lung. Exposures to DE have also been associated with increased susceptibility to respiratory

tract infection, neurological or behavioral changes, an increase in banded neutrophils, and

morphological alterations in the liver.

5.6.2.1. Effects on Survival and Growth

The data presented in Table 5-3 show limited effects on survival in mice and rats and

some evidence of reduced body weight in rats following chronic exposures to concentrations of

1.5 mg/m3

 DPM or higher and exposure durations of 16 to 20 h/day, 5 days/week for 104 to
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130 weeks. Increased lung weights and lung to body-weight ratios in rats, mice, and hamsters;

an increased heart to body weight ratio in rats; and decreased lung and kidney weights in cats

have been reported following chronic exposure to DE. No evidence was found of an effect of

DE on other body organs (Table 5-4). The lowest-observed-effect level in rats approximated 1

to 2 mg/m3 DPM for 7 h/day, 5 days/week for 104 weeks.

5.6.2.2. Effects on Pulmonary Function

Pulmonary function impairment has been reported in rats, hamsters, cats, and monkeys

exposed to DE and included lung mechanical properties (compliance and resistance), diffusing

capacity, lung volumes, and ventilatory performance (Table 5-5). The effects generally

appeared only after prolonged exposures. The lowest exposure levels (expressed in terms of

DPM concentrations) that resulted in impairment of pulmonary function occurred at 2 mg/m3

 in

cynomolgus monkeys (the only level tested), 1.5 and 3.5 mg/m3 in rats, 4.24 and 6 mg/m3 in

hamsters, and 11.7 mg/m3 in cats. Exposures in monkeys, cats, and rats (3.5 mg/m3) were for

7 to 8 h/day, 5 days/week for 104 to 130 weeks. While this duration is considered to constitute a

lifetime study in rodents, it is a small part of the lifetime of a monkey or cat. Exposures in

hamsters and rats (1.5 mg/m3) varied in hours per day (8 to 20) and weeks of exposure (26 to

130). In all species but the monkey, the testing results were consistent with restrictive lung

disease; alteration in expiratory flow rates indicated that 1.5 mg/m3 DPM was a LOAEL for a

chronic exposure (Gross, 1981). Monkeys demonstrated evidence of obstructive airway disease. 

The nature of the pulmonary impairment is dependent on the dose of toxicants delivered to and

retained in the lung, the site of deposition and effective clearance or repair, and the anatomy and

physiology of the affected species; these variables appear to be factors in the disparity of the

airway disease in monkey versus the other species tested.

5.6.2.3. Histopathological and Histochemical Effects

Histological studies have demonstrated that chronic exposure to DE can result in effects

on respiratory tract tissue (Table 5-6). Typical findings include alveolar histiocytosis, AM

aggregation, tissue inflammation, increase in PMNs, hyperplasia of bronchiolar and alveolar

Type II cells, thickened alveolar septa, edema, fibrosis, and emphysema. Lesions in the trachea

and bronchi were observed in some studies. Associated with these histopathological findings

were various histochemical changes in the lung, including increases in lung DNA, total protein,

alkaline and acid phosphatase, glucose-6-phosphate dehydrogenase; increased synthesis of

collagen; and release of inflammatory mediators such as leukotriene LTB and prostaglandin

PGF2". Although the overall laboratory evidence is that prolonged exposure to DPM results in

histopathological and histochemical changes in the lungs of exposed animals, some studies have

also demonstrated that there may be a threshold of exposure to DPM below which pathologic
5-98

changes do not occur. These no-observed-adverse-effect levels for histopathological effects

were reported to be 2 mg/m3

 for cynomolgus monkeys (the only concentration tested), 0.11 to

0.35 mg/m3 for rats, and 0.25 mg/m3 DPM for guinea pigs exposed for 7 to 20 h/day, 5 to

5.5 days/week for 104 to 130 weeks.

5.6.2.4. Effects on Airway Clearance

The pathological effects of DPM appear to be strongly dependent on the relative rates of

pulmonary deposition and clearance (Table 5-7). Clearance of particles from the alveolar region

of the lungs is a multiphasic process involving phagocytosis by AMs. Chronic exposure to DPM

concentrations of about 1 mg/m3 or above, under varying exposure durations, causes pulmonary

clearance to be reduced, with concomitant focal aggregations of particle-laden AMs, particularly

in the peribronchiolar and alveolar regions, as well as in the hilar and mediastinal lymph nodes. 

The exposure concentration at which focal aggregates of particle-laden AMs occur may vary

from species to species, depending on rate of uptake and pulmonary deposition, pulmonary

clearance rates, the relative size of the AM population per unit of lung tissue, the rate of

recruitment of AMs and leukocytes, and the relative efficiencies for removal of particles by the

mucociliary and lymphatic transport system. The principal means by which PM clearance is

reduced is through a decrease in the function of pulmonary AMs. Impairment of particle

clearance seems to be nonspecific and applies primarily to dusts that are persistently retained in

the lungs. Lung dust levels of approximately 0.1 to 1 mg/g lung tissue appear to produce this

effect in the Fischer 344 rat (Health Effects Institute, 1995). Morrow (1988) suggested that the

inability of particle-laden AMs to translocate to the mucociliary escalator is correlated to an

average composite particle volume per AM in the lung. When this particle volume exceeds

approximately 60 :m3

 per AM in the Fischer 344 rat, impairment of clearance appears to be

initiated. When the particulate volume exceeds approximately 600 :m3 per cell, evidence

suggests that AM-mediated particulate clearance virtually ceases, agglomerated particle-laden

macrophages remain in the alveolar region, and increasingly nonphagocytized dust particles

translocate to the pulmonary interstitium. Data for other laboratory animal species and humans

are, unfortunately, limited.

5.6.2.5. Neurological and Behavioral Effects

Behavioral effects have been observed in rats exposed to DE from birth to 28 days of age

(Table 5-14). Exposure caused a decreased level of spontaneous locomotor activity and a

detrimental effect on learning in adulthood. In agreement with the behavioral changes was

physiological evidence for delayed neuronal maturation. Exposures were to 6 mg/m3

 DPM for 8

h/day, 7 days/week from birth to about 7, 14, 21, or 28 days of age.
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5.6.2.6. Effects on Immunity and Allergenicity

Several laboratory animal studies have indicated that exposure to DPM can reduce an

animal’s resistance to respiratory infection. This effect, which can occur even after only 2 or 6 h

of exposure to DE containing 5 to 8 mg/m3

 DPM, does not appear to be caused by direct

impairment of the lymphoid or splenic immune systems; however, in one study of influenza

virus infection, interferon levels and hemaglutinin antibody levels were adversely affected in the

exposed mice. 

As with humans, there are animal data suggesting that DPM is a possible factor in the

increasing incidence of allergic hypersensitivity. The effects have been demonstrated primarily

in acute human and laboratory animal studies and appear to be associated with both the

nonextractable carbon core and the organic fraction of DPM. It also appears that synergies with

DPM may increase the potency of known airborne allergens. Both animal and human cell

culture studies indicate that DPM also has the potential to act as an adjuvant.

5.6.2.7. Other Noncancer Effects

Essentially no effects (based on the weight of evidence of a number of studies) were

noted for reproductive and teratogenic effects in mice, rats, rabbits, and monkeys; clinical

chemistry and hematology in the rat, cat, hamster, and monkeys; and enzyme induction in the rat

and mouse (Tables 5-11 through 5-13 and 5-15).

5.6.3. Comparison of Filtered and Unfiltered Diesel Exhaust

The comparison of the toxic responses in laboratory animals exposed to whole DE or

filtered exhaust containing no particles demonstrates across laboratories that diesel particles are

the principal etiologic agent of noncancerous health effects in laboratory animals exposed to DE

(Table 5-16). Whether the particles act additively or synergistically with the gases cannot be

determined from the designs of the studies. Under equivalent exposure regimens, hamsters have

lower levels of retained DPM in their lungs than rats and mice do and consequently less

pulmonary function impairment and pulmonary pathology. These differences may result from a

lower intake rate of DPM, lower deposition rate and/or more rapid clearance rate, or lung tissue

that is less susceptible to the cytotoxicity of DPM. Observations of a decreased respiration in

hamsters when exposed by inhalation favor lower intake and deposition rates.

5.6.4. Interactive Effects of Diesel Exhaust

There is no direct evidence that DE interacts with other substances in an exposure

environment, other than an impaired resistance to respiratory tract infections. Young animals

were not more susceptible. In several ways, animals with laboratory-induced emphysema were

more resistant. There is experimental evidence that both inorganic and organic compounds can
5-100

be adsorbed onto carbonaceous particles. When such substances become affiliated with

particles, these substances can be carried deeper into the lungs where they might have a more

direct and potent effect on epithelial cells or on AM ingesting the particles. Few specific studies

to test interactive effects of DE with atmospheric contaminants, other than coal dust, have been

conducted. Coal dust and DPM had an additive effect only.

5.6.5. Conclusions

Conclusions concerning the principal human hazard from exposure to DE are as follows:

• Allergenic inflammatory disorders of the airways to responses typical of asthma

have been demonstrated under short-term exposure scenarios to either DE or

DPM. The evidence indicates that the immunological changes appear to be due

to the DPM component of DE and that the immunological changes are caused by

both the nonextractable carbon core and the adsorbed organic fraction of the

diesel particle. The toxicological significance of these effects has yet to be

resolved.

• Some occupational studies of acute exposure to DE during work shifts suggest

that increased acute sensory and respiratory symptoms (cough, phlegm, chest

tightness, wheezing) are more sensitive indicators of possible health risks from

exposure to DE than pulmonary function decrements (which were consistently

found not to be significantly associated with DE exposure)

• Noncancer effects in humans from long-term chronic exposure to DPM are not

evident. Noncancer effects from long-term exposure to DPM of several

laboratory animal species, conducted to assess the pathophysiologic effects of

DPM in humans showed pulmonary histopathology (principally fibrosis) and

chronic inflammation.

Although the mode of action of DE is not clearly evident for any of the effects

documented in this chapter, the respiratory tract effects observed under acute scenarios are

suggestive of an irritant mechanism, while lung effects observed in chronic scenarios indicate an

underlying inflammatory response. Current knowledge indicates that the carbonaceous core of

the diesel particle is the causative agent of the lung effects, with the extent of the injury being

mediated at least in part by a progressive impairment of AMs. It is noted that lung effects occur

in response to DE exposure in several species and occur in rats at doses lower than those

inducing particle overload and a tumorigenic response (see above); it follows that lung effects

such as inflammation and fibrosis are relevant in the development of risk assessments for DE.
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following allergen exposure in mice. Immunopharmacol Immunotoxicol 20:329-336.

Takenaka, H; Zhang, K; Diaz-Sanchez, D; et al. (1995) Enhanced human IgE production results from exposure to

the aromatic hydrocarbons from diesel exhaust: direct effects on B-cell IgE production. J Allergy Clin Immunol

95:103-115.

Terada, N; Maesako, K; Hiruma, K; et al. (1997). Diesel exhaust particulates enhance eosinophil adhesion to nasal

epithelial cells and cause degranulation. Int Arch Allergy Immunol 114(2):167-174.

Terada, N; Hamano, N; Maesako, K; et al. (1999) Diesel exhaust particulates upregulate histamine receptor

mRNA and increase histamine-induced IL-8 and GM-CSF production in nasal epithelial cells and endothelial

cells. Clin Exp Allergy 29(1):52-59.

Tsukue, N; Toda, N; Tsubone, H; et al. (2001) Diesel exhaust (DE) affects the regulation of testicular function in

male Fischer 344 rats. J. Toxicol Environ Health Part A 63:115-126.
5-112

Turk, A. (1967) Selection and training of judges for sensory evaluation of the intensity and character of diesel

exhaust odors. Cincinnati, OH: U.S. Department of Health, Education, and Welfare, National Center for Air

Pollution Control; Public Health Service publication no. 999-AP-32. Available from: NTIS, Springfield, VA;

PB-174707.

U.S. Environmental Protection Agency (U.S. EPA). (1996) Air quality criteria for particulate matter. Research

Triangle Park, NC: National Center for Environmental Assessment-RTP Office; report nos.

EPA/600/P-95/001aF-cF. 3v. Available from: NTIS, Springfield, VA; PB96-168224.

Ulfvarson, U; Alexandersson, R; Aringer, L; et al. (1987) Effects of exposure to vehicle exhaust on health. Scand

J Work Environ Health 13:505-512.

Valavanidis, A; Salika, A; Theodoropoulou, A. (2000) Generation of hydroxyl radicals by urban suspended

particulate air matter. The role of iron ions. Atmos Environ 34:2379-2386.

Vallyathan, V; Virmani, R; Rochlani, S; et al. (1986) Effect of diesel emissions and coal dust inhalation on heart

and pulmonary arteries of rats. Br J Ind Med 14:47-55.

van Vliet, P; Knape, M; de Hartog, J; et al. (1997) Motor vehicle exhaust and chronic respiratory symptoms in

children living near freeways. Environ Res 74(2):122-132.

Vinegar, A; Carson, AI; Pepelko, WE. (1980) Pulmonary function changes in Chinese hamsters exposed six

months to diesel exhaust. In: Health effects of diesel engine emissions: proceedings of an international

symposium, v. 2; December, 1979; Cincinnati, OH. Pepelko, W E; Danner, R M; Clarke, N A, eds. Cincinnati,

OH: U.S. Environmental Protection Agency, Health Effects Research Laboratory; pp. 749-756; EPA report no.

EPA-600/9-80-057b. Available from: NTIS, Springfield, VA; PB81-173817.

Vinegar, A; Carson, A; Pepelko, WE; et al. (1981a) Effect of six months of exposure to two levels of diesel

exhaust on pulmonary function of Chinese hamsters. Fed Proc 40:593.

Vinegar, A; Carson, A; Pepelko, WE. (1981b) Pulmonary function changes in Chinese hamsters exposed six

months to diesel exhaust. Environ Int 5:369-371.

Vostal, JJ; Chan, TL; Garg, BD; et al. (1981) Lymphatic transport of inhaled diesel particles in the lungs of rats

and guinea pigs exposed to diluted diesel exhaust. Environ Int 5:339-347.

Vostal, JJ; White, HJ; Strom, KA; et al. (1982) Response of the pulmonary defense system to diesel particulate

exposure. In: Toxicological effects of emissions from diesel engines: proceedings of the Environmental Protection

Agency diesel emissions symposium; October 1981; Raleigh, NC. Lewtas, J., ed. New York: Elsevier Biomedical;

pp. 201-221. (Developments in toxicology and environmental science: v. 10).

Wade, JF, III; Newman, LS. (1993) Diesel asthma: reactive airways disease following overexposure to locomotive

exhaust. J Occup Med 35:149-154.

Wallace, MA; Salley, SO; Barnhart, MI. (1987) Analysis of the effects of inhaled diesel exhaust on the alveolar

intravascular and interstitial cellular components of rodent lungs. Scanning Microsc 1:1387-1395.

Watanabe, N; Oonuki, Y. (1999) Inhalation of diesel engine engine exhaust affects spermatogenesis in growing

male rats. Environ Health Perspect 107:539-544.

Wehner, AP; Dagle, GE; Clark, ML; et al. (1986) Lung changes in rats following inhalation exposure to volcanic

ash for two years. Environ Res 40:499-517.
5-113

Werchowski, KM; Chaffee, VW; Briggs, GB. (1980a) Teratologic effects of long-term exposure to diesel exhaust

emissions (rats). Cincinnati, OH: U.S. Environmental Protection Agency, Health Effects Research Laboratory;

EPA report no. EPA-600/1-80-010. Available from: NTIS, Springfield, VA; PB80-159965.

Werchowski, KM; Henne, SP; Briggs, GB. (1980b) Teratologic effects of long-term exposure to diesel exhaust

emissions (rabbits). Cincinnati, OH: U.S. Environmental Protection Agency, Health Effects Research Laboratory;

EPA report no. EPA-600/1-80/011. Available from: NTIS, Springfield, VA; PB80-168529.

White, HJ; Garg, BD. (1981) Early pulmonary response of the rat lung to inhalation of high concentration of

diesel particles. J Appl Toxicol 1:104-110.

Wiester, MJ; Iltis, R; Moore, W. (1980) Altered function and histology in guinea pigs after inhalation of diesel

exhaust. Environ Res 22:285-297.

Wolff, RK; Gray, RL. (1980) Tracheal clearance of particles. In: Inhalation Toxicology Research Institute annual

report: 1979-1980. Diel, JH; Bice, DE; Martinez, BS, eds. Albuquerque, NM: Lovelace Biomedical and

Environmental Research Institute; p. 252; report no. LMF-84.

Wolff, RK; Henderson, RF; Snipes, MB; et al. (1987) Alterations in particle accumulation and clearance in lungs

of rats chronically exposed to diesel exhaust. Fundam Appl Toxicol 9:154-166.

Yang, HM; Ma, JY; Castranova, V; et al. (1997) Effects of diesel exhaust particles on the release of interleukin-1

and tumor necrosis factor-alpha from rat alveolar macrophages. Exp Lung Res 23:269-284.
Rudell, B; Sandström, T; Hammarström, U; et al. (1994) Evaluation of an exposure setup for studying effects of 

diesel exhaust in humans. Int Arch Occup Environ Health 66:77-83. 

Rudell, B; Ledin, MC; Hammarström, U; et al. (1996) Effects on symptoms and lung function in humans 

experimentally exposed to diesel exhaust. Occup Environ Med 53:658-662. 

Sagai, M; Furuyama, A; Ichinose, T. (1996) Biological effects of diesel exhaust particles (DEP). III. Pathogenesis of 

asthma like symptoms in mice. Free Radic Biol Med 21:199-209. 

Salvi, S; Blomberg, A; Rudell, B; et al. (1999) Acute inflammatory responses in the airways and peripheral blood 

after short-term exposure to diesel exhaust in healthy human volunteers. Am J Respir Crit Care Med 159:702-709. 

Salvi, SS; Nordenhall, C; Blomberg, A; et al. (2000) Acute exposure to diesel exhaust increases IL-8 and GRO-alpha 

production in healthy human airways. Am J Respir Crit Care Med 161(2):550-557. 

Saneyoshi, K; Nohara, O; Imai, T; et al. (1997) IL-4 and IL-6 production of bone marrow-derived mast cells is 

enhanced by treatment with environmental pollutants. Int Arch Allergy Immunol 114(3):237-245. 

Schneider, DR; Felt, BT. (1981) Effect of diesel particulate exposure on adenylate and guanylate cyclase of rat and 

guinea pig liver and lung. J Appl Toxicol 1:135-139. 

Schreck, RM; Soderholm, SC; Chan, TL; et al. (1981) Experimental conditions in GMR chronic inhalation studies of 

diesel exhaust. J Appl Toxicol 1:67-76. 

Steerenberg, PA; Zonnenberg, JAJ; Dormans, JAMA; et al. (1998) Diesel exhaust particles induced release of 

interleukin 6 and 8 by (primed) human bronchial epithelial cells (BEAS 2B) in vitro. Exp Lung Res 24:85-100. 

Stöber, W. (1986) Experimental induction of tumors in hamsters, mice and rats after long-term inhalation of filtered 

and unfiltered diesel engine exhaust. In: Carcinogenic and mutagenic effects of diesel engine exhaust: proceedings 

of the international satellite symposium on toxicological effects of emissions from diesel engines; July; Tsukuba 

Science City, Japan. Amsterdam,: Ishinishi, N; Koizumi, A; McClellan, RO; et al. Elsevier Science Publishers B. 

V.; pp. 421-439. (Developments in toxicology and environmental science: v. 13). 

Strom, KA. (1984) Response of pulmonary cellular defenses to the inhalation of high concentrations of diesel 

exhaust. J Toxicol Environ Health 13:919-944. 

Suzuki, T; Kanoh, T; Kanbayashi, M; et al. (1993) The adjuvant activity of pyrene in diesel exhaust on IgE antibody 

production in mice. Arerugi 42(8):963-8. 

Suphioglu, C; Singh, MB; Taylor, P; et al. (1992) Mechanism of grass-pollen-induced asthma. Lancet 

339(8793):569-572. 

Suzuki, T; Kanoh, T; Ishimori, M; et al. (1996) Adjuvant activity of diesel exhaust particulates (DEP) in production 

of anti-IgE and anti-IgG1 antibodies to mite allergen in mice. J Clin Lab Immunol 48:187-199. 

Takafuji, S; Suzuki, S; Koizumi, K; et al. (1987) Diesel-exhaust particulates inoculated by the intranasal route have 

an adjuvant activity for IgE production in mice. J Allergy Clin Immunol 79:639-645. 

Takano, H; Yoshikawa, T; Ichinose, T; et al. (1997) Diesel exhaust particles enhance antigen-induced airway 

inflammation and local cytokine expression in mice. Am J Respir Crit Care Med 156:36-42. 

Takano, H; Ichinose, T; Miyabara, Y; et al. (1998a) Inhalation of diesel exhaust enhances allergen-related eosinophil 

recruitment and airway hyperresponsiveness in mice. Toxicol Appl Pharmacol 150:328-337. 

Takano, H; Ichinose, T; Miyabara, Y; et al. (1998b) Diesel exhaust particles enhance airway responsiveness 

following allergen exposure in mice. Immunopharmacol Immunotoxicol 20:329-336. 

5-114
Takenaka, H; Zhang, K; Diaz-Sanchez, D; et al. (1995) Enhanced human IgE production results from exposure to 

the aromatic hydrocarbons from diesel exhaust: direct effects on B-cell IgE production. J Allergy Clin Immunol 

95:103-115. 

Terada, N; Maesako, K; Hiruma, K; et al. (1997). Diesel exhaust particulates enhance eosinophil adhesion to nasal 

epithelial cells and cause degranulation. Int Arch Allergy Immunol 114(2):167-174. 

Terada, N; Hamano, N; Maesako, K; et al. (1999) Diesel exhaust particulates upregulate histamine receptor mRNA 

and increase histamine-induced IL-8 and GM-CSF production in nasal epithelial cells and endothelial cells. Clin Exp 

Allergy 29(1):52-59. 

Tsukue, N; Toda, N; Tsubone, H; et al. (2001) Diesel exhaust (DE) affects the regulation of testicular function in 

male Fischer 344 rats. J. Toxicol Environ Health Part A 63:115-126. 

Turk, A. (1967) Selection and training of judges for sensory evaluation of the intensity and character of diesel 

exhaust odors. Cincinnati, OH: U.S. Department of Health, Education, and Welfare, National Center for Air 

Pollution Control; Public Health Service publication no. 999-AP-32. Available from: NTIS, Springfield, VA; 

PB-174707. 

U.S. Environmental Protection Agency (U.S. EPA). (1996) Air quality criteria for particulate matter. Research 

Triangle Park, NC: National Center for Environmental Assessment-RTP Office; report nos. 

EPA/600/P-95/001aF-cF. 3v. Available from: NTIS, Springfield, VA; PB96-168224. 

Ulfvarson, U; Alexandersson, R; Aringer, L; et al. (1987) Effects of exposure to vehicle exhaust on health. Scand J 

Work Environ Health 13:505-512. 

Valavanidis, A; Salika, A; Theodoropoulou, A. (2000) Generation of hydroxyl radicals by urban suspended 

particulate air matter. The role of iron ions. Atmos Environ 34:2379-2386. 

Vallyathan, V; Virmani, R; Rochlani, S; et al. (1986) Effect of diesel emissions and coal dust inhalation on heart and 

pulmonary arteries of rats. Br J Ind Med 14:47-55. 

van Vliet, P; Knape, M; de Hartog, J; et al. (1997) Motor vehicle exhaust and chronic respiratory symptoms in 

children living near freeways. Environ Res 74(2):122-132. 

Vinegar, A; Carson, AI; Pepelko, WE. (1980) Pulmonary function changes in Chinese hamsters exposed six months 

to diesel exhaust. In: Health effects of diesel engine emissions: proceedings of an international symposium, v. 2; 

December, 1979; Cincinnati, OH. Pepelko, W E; Danner, R M; Clarke, N A, eds. Cincinnati, OH: U.S. 

Environmental Protection Agency, Health Effects Research Laboratory; pp. 749-756; EPA report no. 

EPA-600/9-80-057b. Available from: NTIS, Springfield, VA; PB81-173817. 

Vinegar, A; Carson, A; Pepelko, WE; et al. (1981a) Effect of six months of exposure to two levels of diesel exhaust 

on pulmonary function of Chinese hamsters. Fed Proc 40:593. 

Vinegar, A; Carson, A; Pepelko, WE. (1981b) Pulmonary function changes in Chinese hamsters exposed six months 

to diesel exhaust. Environ Int 5:369-371. 

Vostal, JJ; Chan, TL; Garg, BD; et al. (1981) Lymphatic transport of inhaled diesel particles in the lungs of rats and 

guinea pigs exposed to diluted diesel exhaust. Environ Int 5:339-347. 

Vostal, JJ; White, HJ; Strom, KA; et al. (1982) Response of the pulmonary defense system to diesel particulate 

exposure. In: Toxicological effects of emissions from diesel engines: proceedings of the Environmental Protection 

Agency diesel emissions symposium; October 1981; Raleigh, NC. Lewtas, J., ed. New York: Elsevier Biomedical; 

pp. 201-221. (Developments in toxicology and environmental science: v. 10). 

5-115
Wade, JF, III; Newman, LS. (1993) Diesel asthma: reactive airways disease following overexposure to locomotive 

exhaust. J Occup Med 35:149-154. 

Wallace, MA; Salley, SO; Barnhart, MI. (1987) Analysis of the effects of inhaled diesel exhaust on the alveolar 

intravascular and interstitial cellular components of rodent lungs. Scanning Microsc 1:1387-1395. 

Watanabe, N; Oonuki, Y. (1999) Inhalation of diesel engine engine exhaust affects spermatogenesis in growing male 

rats. Environ Health Perspect 107:539-544. 

Wehner, AP; Dagle, GE; Clark, ML; et al. (1986) Lung changes in rats following inhalation exposure to volcanic ash 

for two years. Environ Res 40:499-517. 

Werchowski, KM; Chaffee, VW; Briggs, GB. (1980a) Teratologic effects of long-term exposure to diesel exhaust 

emissions (rats). Cincinnati, OH: U.S. Environmental Protection Agency, Health Effects Research Laboratory; EPA 

report no. EPA-600/1-80-010. Available from: NTIS, Springfield, VA; PB80-159965. 

Werchowski, KM; Henne, SP; Briggs, GB. (1980b) Teratologic effects of long-term exposure to diesel exhaust 

emissions (rabbits). Cincinnati, OH: U.S. Environmental Protection Agency, Health Effects Research Laboratory; 

EPA report no. EPA-600/1-80/011. Available from: NTIS, Springfield, VA; PB80-168529. 

White, HJ; Garg, BD. (1981) Early pulmonary response of the rat lung to inhalation of high concentration of diesel 

particles. J Appl Toxicol 1:104-110. 

Wiester, MJ; Iltis, R; Moore, W. (1980) Altered function and histology in guinea pigs after inhalation of diesel 

exhaust. Environ Res 22:285-297. 

Wolff, RK; Gray, RL. (1980) Tracheal clearance of particles. In: Inhalation Toxicology Research Institute annual 

report: 1979-1980. Diel, JH; Bice, DE; Martinez, BS, eds. Albuquerque, NM: Lovelace Biomedical and 

Environmental Research Institute; p. 252; report no. LMF-84. 

Wolff, RK; Henderson, RF; Snipes, MB; et al. (1987) Alterations in particle accumulation and clearance in lungs of 

rats chronically exposed to diesel exhaust. Fundam Appl Toxicol 9:154-166. 

Yang, HM; Ma, JY; Castranova, V; et al. (1997) Effects of diesel exhaust particles on the release of interleukin-1 

and tumor necrosis factor-alpha from rat alveolar macrophages. Exp Lung Res 23:269-284. 

5-116
6-1

6. ESTIMATING HUMAN

NONCANCER HEALTH RISKS OF DIESEL EXHAUST

6.1. INTRODUCTION

As discussed earlier in this document (Chapter 2, Section 2.2.7, 2.2.8), diesel engine

exhaust (DE) consists of a complex mixture of gaseous pollutants and particles. In attempting to

estimate potential health risks associated with human exposure to DE, researchers have focused

attention mostly on the particulate matter (PM) components. They have done so, in part, by

comparing the relative toxicity of unfiltered versus filtered DE (with gaseous components

removed), as discussed in Chapter 5.

Diesel particulate matter (DPM) consists mainly of: (a) elemental carbon (EC) particles

having relatively large surface areas, (b) soluble organic carbon, including 5-ring or higher

polycyclic aromatic hydrocarbons (PAHs) such as benzo(a)pyrene, and other 3- or 4-ring

compounds distributed between gas and particle phases, and (c) metallic compounds. DPM also

typically contains small amounts of sulfate/sulfuric acid and nitrates, trace elements, and water,

plus some unidentified components. DPM is made up almost entirely of fine particles (i.e., all

below 1–3 :m) with a significant subset of ultrafine particles (i.e., those with a mass median

diameter below about 0.1 :m).

Health concerns have long focused on DPM. Toxicological data described in Chapter 5

(Section 5.2) indicate DPM to be the prime etiologic agent of noncancer health effects when DE

is sufficiently diluted to limit the concentrations of gaseous irritants (NO2 and SO2), irritant

vapors (aldehydes), CO, or other systemic toxicants. The large surface areas of DPM allow for

adsorption of organics from the diesel combustion process and for adsorption of additional

compounds during transport in ambient air. The small size of DPM, combined with their large

surface area, likely enhance the potential for subcellular interactions with important cellular

components of respiratory tissues once the particles are inhaled by humans or other species

(Johnston et al., 2000; Oberdörster et al., 2000).

The content of DPM as described above and in Chapter 2 is of clear toxicological

significance. The experimental evidence described in Chapter 5 concerning DPM’s association

with and etiology of noncancer effects is extensive and compelling. These points, along with the

fact that DPM is easily and most frequently measured and reported in toxicological studies of

diesel emissions, make DPM a reasonable choice as a measure of diesel emissions. As a

surrogate, DPM is as valid as any other component of DE to show what is currently known—and

probably what is not yet known—about diesel emissions. Therefore, DPM is the quantitative

focus of this chapter.
1

A new PM CD is now being prepared to reflect the latest scientific studies on ambient PM available since

the last document was completed.

6-2

The usual agency approach to evaluating noncancer risks from inhaled exposures to toxic

air pollutants such as ambient DE has been documented by EPA in the methods for derivation of

an inhalation reference concentration (RfC) (U.S. EPA, 1994). For DPM exposures, this means

combining key elements derived from evaluations of specific DPM noncancer effects in animals

and humans (described in Chapter 5) with the use of quantitative dosimetry models (described in

Chapter 3). The goal is to estimate DPM concentrations to which humans might be exposed

throughout their lives (i.e., chronically) without experiencing any untoward or adverse effects. 

Such an effort can be accomplished through analysis of dose-response relationships where the

adverse response is considered as a function of a corresponding measure of dose. Chapter 5 is

replete with dose-response information on adverse (but nonlethal) noncancer health effects

observed in long-term (chronic/lifetime) exposure studies to DE in general and to DPM in

particular, albeit mostly in animals. Chapter 3 analyzes available methods to convert external

exposure concentrations of DPM in animal studies to estimates of a human-equivalent

concentration (HEC). The following sections of this chapter (Sections 6.2, 6.3, and 6.5) assess

and integrate this information to derive a chronic RfC, using the above-cited methodology in

developing dose-response assessments of the noncancer effects of toxic air pollutants.

 Yet another approach to consider in deriving quantitative estimates of potential human

health risks associated with ambient (nonoccupational) DPM exposures is the extent to which

DPM could contribute to the adverse health effects that have been associated with exposure to

ambient fine PM, PM2.5. Such associations with adverse health effects are based primarily on

epidemiologic studies evaluated in EPA’s Air Quality Criteria Document for Particulate Matter

(PM CD) (U.S. EPA, 1996a).1

 This PM CD served as the scientific basis for the last periodic

review of the national ambient air quality standards (NAAQS) for PM, which resulted in the

establishment of revised PM standards in 1997, including standards for PM2.5. DPM is a

component of ambient fine PM (see Chapter 2) and should be considered as a toxicologically

important component of ambient fine PM. Any guidelines established for DPM, then, should be

concordant with information on fine PM in general, as presented in the PM CD. To more fully

consider the implications of the relationship between ambient DPM and fine PM, the

epidemiological evidence on fine PM and the basis for the PM2.5 standards are summarized, and

the relationship between ambient DPM and fine PM is discussed later in this chapter (Section

6.4). This relationship is of interest with respect to the noncancer assessment of DE. As is noted

here , however, and reflected in Sections 6.2–6.4 below, the definitions, procedures, and statutory

mandates that apply to criteria pollutants such as PM (regulated through the establishment of
6-3

NAAQS under sections 108 and 109 of the Clean Air Act) are fundamentally different from

those that apply to toxic air pollutants such as DE and to the derivation of RfCs for such

pollutants. Thus, the ambient PM2.5 concentrations that are specified as the levels of the PM2.5

NAAQS should not be compared directly with any RfC that may be derived for DPM. It is

reasonable to observe, however, that the annual PM2.5 standard would be expected to provide a

measure of protection from DPM, reflecting DPM’s current approximate proportion to PM2.5.

Estimates of DE levels associated with effects occurring under less than lifetime exposure

scenarios (such as acute exposure) are not addressed in this chapter. Studies of acute exposure to

DE are discussed in Chapter 5, but are accompanied by scant dose-response information, with

single-exposure studies for various specialized endpoints (e.g., allergenicity/adjuvancy) and other

multiple-exposure-level studies reporting data on mortality only. Based on currently available

methodologies, these studies do not yet appear to provide a sufficient basis from which to derive

a dose-response assessment for an acute DE exposure scenario.

6.2. THE INHALATION REFERENCE CONCENTRATION APPROACH

Historically, approaches such as the Acceptable Daily Intake (ADI) were developed

whereby effect levels, such as no-observed-adverse-effect levels (NOAELs) or lowest-observedadverse-effect levels (LOAELs) from human or animal data, were combined with certain “safety

factors” to accommodate areas of uncertainty to make quantitative estimates of a safe dose, i.e., a

level at which no adverse effect would be likely to occur. In response to the National Academy

of Sciences (NAS) report entitled “Risk Assessment in the Federal Government: Managing the

Process” (National Research Council, 1983), EPA developed two approaches similar to the ADI,

i.e., the oral reference dose (RfD) (Barnes and Dourson, 1988) and the parallel inhalation

reference concentration, the RfC, with its formal methodology (U.S. EPA, 1994). Similar to the

ADI in intent, the RfD/C approach is used for dose-response assessment of noncancer effects,

using an explicitly delineated, rigorous methodology that adheres to the principles set forth in the

1983 NRC report. The RfC methodology includes comprehensive guidance on a number of

complex issues, including consistent application to effect levels of uncertainty factors (UFs)

rather than the ADI safety factors for consideration of uncertainty. Basically, these approaches

attempt to estimate a likely subthreshold concentration in the human population. Use of the

RfD/C approach is one of the principal current agency methods for deriving dose-response

assessments.

A chronic RfC is currently defined as: 
2

BMCLx is defined as the lower 95% confidence limit of the dose that will result in a level of “x” response

(e.g., BMCL10 is the lower 95% confidence limit of a dose for a 10% increase in a particular response). See

Appendix B for further specifics.

6-4

RfC = NOAEL

UF

HEC (6-1)

An estimate (with uncertainty spanning perhaps an order of magnitude) of a continuous

inhalation exposure to the human population (including sensitive subgroups) that is likely

to be without an appreciable risk of deleterious noncancer effects during a lifetime.

The RfC approach involves the following general steps: 

• Identification of a critical effect relevant to humans, i.e., an adverse effect that occurs

at the lowest exposure/dose in human or animal studies and whose prevention avoids

the occurrence of all other adverse effects; 

• Selection of appropriate dose-response data to derive a point of departure (POD) for

extrapolation of a key study (or studies) that provides a NOAEL, LOAEL, or

benchmark concentration (BMCLx)

2

;

• Estimation of HECs when animal exposure-response data are used (via use of

PBPK/dosimetry models);

• Application of UFs to the point of departure (e.g., NOAEL, LOAEL, BMCLx) to

address extrapolation uncertainties (e.g., interindividual variability, interspecies

differences, adequacy of database); and

• Characterization of the “confidence” in the dose-response assessment and resultant

RfC.

The basic quantitative formula for derivation of an RfC, given in Equation 6-1, has as its

basic components an effect level, here a NOAEL, expressed as an HEC, and UFs. The units of

an RfC are typically mg/m3 or :g/m3.

Alternatively, the numerator in Equation 6-1 may be a LOAEL or BMCLx. The

benchmark concentration (BMC) approach and its application in this assessment are documented

in Appendix B and described further below. Also, a modifying factor (MF) may be used in the

denominator of this equation to account for scientific uncertainties, usually relating to the study

chosen as the basis for the RfC. Further specifics of RfC derivation procedures are discussed as
6-5

they are used in the following sections. All such procedures are described in detail in the RfC

Methodology (U.S. EPA, 1994). 

6.3. CHRONIC REFERENCE CONCENTRATION FOR DIESEL EXHAUST 

As concluded in Chapter 5, chronic respiratory effects are the principal noncancer hazard

to humans from long-term environmental exposure to DE. Other effects (e.g., neurological,

liver-related) are observed in animal studies at higher exposures than those producing the

respiratory effects. The human and animal data for the immunological effects of DE are

currently considered inadequate for dose-response evaluation. Thus, the respiratory effects are

considered the “critical effect” for the derivation of a chronic RfC for DE.

The evidence for chronic respiratory effects is based mainly on animal studies showing

consistent findings of inflammatory, histopathological (including fibrosis), and functional

changes in the pulmonary and tracheobronchial regions of laboratory animals, including the rat,

mouse, hamster, guinea pig, and monkey. Occupational studies of DE provide some

corroborative evidence of possible respiratory effects (e.g., respiratory symptoms and possible

lung function changes), although those studies are generally deficient in exposure information.

Mode-of-action information about respiratory effects from DE exposure indicates that, at

least in rats, the pathogenic sequence following the inhalation of DPM begins with the

phagocytosis of diesel particles by alveolar macrophages (AMs). These activated AMs release

chemotactic factors that attract neutrophils and additional AMs. As the lung burden of DPM

increases, there are aggregations of particle-laden AMs in alveoli adjacent to terminal

bronchioles, increases in the number of Type II cells lining particle-laden alveoli, and the

presence of particles within alveolar and peribronchial interstitial tissues and associated lymph

nodes. The neutrophils and AMs release mediators of inflammation and oxygen radicals, and

particle-laden macrophages are functionally altered, resulting in decreased viability and impaired

phagocytosis and clearance of particles. This series of events may result in pulmonary

inflammation, fibrosis, and eventually lesions like those described in the studies reviewed in

Chapter 5. Although information describing the possible pathogenesis of respiratory effects in

humans is not available, the effects reported in studies of humans exposed to DE are not

inconsistent with the findings in controlled laboratory animal studies. 

Several reasons explain why the dose-response data from rats are considered especially

appropriate for use in characterizing noncancer health effects in humans and deriving a chronic

RfC for DE. First, similar noncancer respiratory effects are seen in other species (mouse,

hamster, guinea pig, and monkey). Second, rats and humans exhibit similar noncancer responses

(macrophage response and interstitial fibrosis) to other particles such as coal mine dust, silica,

and beryllium (Haschek and Witschi, 1991; Oberdörster, 1994). Third, relative to other species
6-6

there exists a plethora of long-term, specialized, and mechanistic studies in rats. Fourth, an

expert panel convened by the International Life Sciences Institute (ILSI) recommended that

response data on persistent, inflammatory processes may be used to assess nonneoplastic

responses of poorly soluble particles (PSP) such as DPM (ILSI, 2000).

6.3.1. Principal Studies for Dose-Response Analysis: Chronic, Multiple-Dose Level 

Rat Studies

The experimental protocols and results from the long-term, repeated-exposure chronic

studies demonstrating and characterizing the critical effects of pulmonary fibrotic changes and

inflammation are discussed in Chapter 5. Salient points of these studies, including species/sex

of the test species, the exposure regime and concentrations reported in mg DPM/m3

, and effect

levels, are abstracted in Table 6-1 for further consideration. The effect levels are designated as

N for no-observed-adverse-effect level, A for adverse-effect level, and BMCL10.

The purpose of many of the chronic studies listed in this table was not the elucidation of

the concentration-response character of DPM. The studies of Heinrich et al. (1982, 1986) in

hamsters, mice, and rats; of Iwai et al. (1986) in rats; of Lewis et al. (1989) in monkeys; and of

Pepelko (1982a) in rats are all single-dose-level analyses that have as their genesis mechanistic or

species-comparative purposes. As discussed in Chapter 5, many of these studies do provide

valuable supporting information for designation of the critical effect of pulmonary

histopathology. The lack of any clear dose-response data, however, precludes consideration of

these studies as a basis for RfC derivation.

Likewise, studies of chronic, multiple-level exposure involving species other than rats,

i.e., hamsters (Pepelko, 1982b), cats (Plopper et al., 1983), and guinea pigs (Barnhart et al., 1981,

1982), provide cross-species corroboration of the critical effects of pulmonary histopathology

and inflammatory alteration.

The remaining studies showing exposure-response relationships in rats for the critical

effects include those of Ishinishi et al. (1986, 1988), Mauderly et al. (1987a), Heinrich et al.

(1995), and Nikula et al. (1995). As described in Chapter 5, all of these studies were conducted

and reported in a thorough, exhaustive manner on the critical effects and little, if any, basis exists

for choosing one over another for purposes of RfC derivation. One way of taking advantage of

this high degree of methodological and scientific merit would be to array data from all these

studies and their effect levels (NOAEL, LOAEL, BMCLx) subsequent to normalization of the

exposure conditions, i.e., conversion of the exposure regimes to yield an HEC. This exercise

would result in an interstudy concentration-response continuum normalized to a continuous

human exposure to DPM that would facilitate the choice of a concentration to use as a point of

departure in deriving an RfC.
6-7

Table 6-1. Histopathological effects of diesel exhaust in the lungs of laboratory animals

Study Species/sex

Exposure

period

Particles

(mg/m3) Effect levela Effectsb

Lewis et al. (1989) Monkey, 

Cynomolgus,

M

7 h/day

5 days/wk

104 wks

2.0 N AM aggregation; no fibrosis,

inflammation, or emphysema

Bhatnagar et al.

(1980) 

Pepelko (1982a)

Rat, F344,

M, F

7 h/day

5 days/wk

104 wks

2.0 Multifocal histiocytosis;

inflammatory changes; Type

II cell proliferation; fibrosis

Pepelko (1982b) Hamster,

Chinese, M

8 h/day

5 days/wk

26 wks

6.0

12.0

A Inflammatory changes; AM

accumulation; thickened

alveolar lining; Type II cell

hyperplasia; edema; increase

in collagen

Heinrich et al.

(1982)

Hamster,

Syrian, M, F

7-8 h/day

5 days/wk

120 wks

3.9 A Inflammatory changes, 60%

adenomatous cell proliferation

Iwai et al. (1986) Rat, F344, F 8 h/day

7 days/wk

104 wks

4.9 A Type II cell proliferation;

inflammatory changes;

bronchial hyperplasia; fibrosis

Mauderly et al.

(1987a)

Henderson et al.

(1988)

Rat, F344,

M, F; Mouse,

CD-1,

M, F

7 h/day

5 days/wk

130 wks

0.35

3.5

7.1

N

A

A

Alveolar and bronchiolar

epithelial metaplasia in rats at

3.5 and 7.0 mg/m3

; fibrosis at

7.0 mg/m3

 in rats and mice;

inflammatory changes; few

quantitative data given

Heinrich et al.

(1995)

Rat, Wistar,

F;

Mouse,

NMRI, F

(7 mg/m3

only)

18 h/day

5 days/wk

24 mo

0.8

2.5

7.0

A

A

A

Bronchioalveolar hyperplasia,

interstitial fibrosis in all

groups; severity and incidence

increase with exposure

concentration; text given only

Mouse,

NMRI, F;

C57BL/6N, F

18 h/day

5 days/wk

13.5 mo

(NMRI)

24 mo

(C57BL/

N)

7.0 A No increase in tumors;

noncancer effects not

discussed
Table 6-1. Histopathological effects of diesel exhaust in the lungs of laboratory animals

(continued)

Study Species/sex

Exposure

period

Particles

(mg/m3) Effect levela Effectsb

6-8

Ishnishi et al. (1986,

1988)

Rat, M, F,

F344, /Jcl.

16 h/day

6 days/wk

130 wks

0.11c

0.41c

1.08c

2.32c

0.46d

0.96d

1.84d

N

N

A

A

N

A

A

Inflammatory changes; Type

II cell hyperplasia and lung

tumors seen at >0.4 mg/m3

;

shortening and loss of cilia in

trachea and bronchi; data

given in text only

3.72d A

Heinrich et al.

(1986)

Hamster,

Syrian, M, F;

Mouse,

NMRI, F;

Rat, Wistar,

F

19 h/day

5 days/wk

120 wks

4.24 A Inflammatory changes;

thickened alveolar septa;

bronchioloalveolar

hyperplasia; alveolar lipoproteinosis; emphysema

(diagnostic methodology not

described); hyperplasia; lung

tumors

Barnhart et al.

(1981, 1982);

Vostal et al. (1981)

Guinea pig,

Hartley, M

20 h/day

5.5

days/wk 

104 wks

0.25

0.75

1.5

6.0

N

A

A

A

Minimal response at 0.25 and

ultrastructural changes at

0.75 mg/m3

; thickened

alveolar membranes; cell

proliferation; fibrosis at

6.0 mg/m3

; increase in PMN at

0.75 mg/m3

 and 1.5 mg/m3

Plopper et al.

(1983)

Hyde et al. (1985)

Cat, inbred,

M

8 h/day

7 days/wk

124 wks

6.0c

12.0d

A

A

Inflammatory changes; AM

aggregation; bronchiolar

epithelial metaplasia; Type II

cell hyperplasia;

peribronchiolar fibrosis 

Nikula et al. (1995) Rat, F344, M 16 h/day

5 days/wk

23 mo

2.44

6.33

A, A

BMCL10

AM hyperplasia, epithelial

hyperplasia, inflammation,

septal fibrosis,

bronchoalveolar metaplasia

a

N= no-observed-adverse-effect level; A = adverse-effect level; BMCL10 = benchmark concentration, lower limit, at

a 10% response level (for incidence); see Appendix A for further specifics. 

b

AM = Alveolar macrophage; PMN = Polymorphonuclear leukocyte

c

Light-duty engine.

d

Heavy-duty engine.

c

1 to 61 weeks exposure.

d

62 to 124 weeks of exposure.

e

See Appendix A.
6-9

6.3.2. Derivation of Human Continuous Equivalent Concentrations, HECs

Pharmacokinetic, or PK, models can be used to estimate across species the external

concentrations of a toxicant that would result in equivalent internal doses. When used for these

purposes, PK models may be termed comparative dosimetric models. Chapter 3 reviewed and

evaluated a number of dosimetric models applicable to DPM. This analysis indicated that

outputs from the human component of the model developed by Yu et al. (1991) specifically for

DPM, such as deposition and estimated lung burden, were not substantially different from other

available models. The analysis also demonstrated that the Yu model accounted for several

diesel-specific phenomena, including particle overload lung clearance rates and interspecies

kinetics of desorption of organics from the carbonaceous core of DPM, both slow- and fastcleared. Of importance, the Yu model was parameterized for deposition and clearance in both

animals and humans. Also, the animal component of the model was based on data from rats

actually exposed to DPM, whereas other models analyzed used data based only on generic

particles in the size range of DPM. It was concluded from this analysis that the Yu model could

be used to estimate disposition of DPM both in animals and in humans and would therefore be an

acceptable choice in performing animal-to-human extrapolation in deriving a continuous humanequivalent concentration. Note, however, that use of this or any other available PK model would

address species differences in dose (i.e., pharmacokinetics, PK), and not necessarily

pharmacodynamics (PD), the other component of uncertainty in animal-to-human or interspecies

extrapolation (U.S. EPA, 1994).

Guidance on choosing measures of exposure for poorly soluble particles such as DPM

(ILSI, 2000) states that some measures of external dose (e.g., the aerosol exposure parameters of

MMAD, Fg, particle surface area, and density) should be characterized. Likewise, some

indication of internal dose resulting from the external exposure (e.g., lung burden) should be

measured so that differences in dose metrics may be considered as new mechanistic insights are

developed. The whole particle, as characterized in this assessment and used in the model of Yu

et al. (1991), meets this recommended guidance, and DPM, in :g/m3

, is used as the measure of

external exposure. Internal measures of exposure or dose were also considered in Chapter 3

(Section 3.3.1.1) with the conclusion that the dose metric of lung burden of DPM in terms of

surface area (mg/cm2) at the termination of the exposure period appears to be the most defensible

and appropriate measure of internal dose, especially where clearance is involved. More detailed

specifics are available in Chapter 3 and in Appendix A.

The logical and operational sequence of deriving a HEC using the Yu model and these

metrics, i.e. external air concentration (in :g/m3

) and lung burden (in mg/cm2), is demonstrated

in Figure 6-1. First, the experimental animal exposures, including external concentration and 
6-10

Figure 6-1. Flow diagram of procedure for calculating HECs.

daily and weekly duration, are entered into the animal component of the Yu model to estimate 

the animal lung burden, in mg DPM/cm2, for the specific exposure scenario. The human

component of the Yu model is then used by setting desired exposure conditions (continuous for

70 years) and running the model to find an external exposure DPM concentration that would

result in this same lung burden. The human external DPM concentration matching this lung

burden is the human-equivalent concentration. The step-by-step specifics and results of this

procedure as applied to the various studies in Table 6-1 are shown in Table A-4 and fully

explained in Appendix A.

The foregoing discussion does not address the variability in outcomes that may be

estimated from the Yu et al. (1991) model from deposition of DPM. The model comparison

exercises in Chapter 3 showed relatively minor differences among the various human models for

one measure, deposition, and indicated that human lung burdens estimated by the human

component of the Yu and ICRP66 models were nearly identical at low-exposure concentrations. 

Variability in output of their model (lung burden) was also examined by Yu and Yoon (1990),

who studied dependency on tidal volume, respiration rate, and clearance (in terms of the overall

particle transport rate from the alveolar region, 8A). Analysis indicated that the model output is

sensitive, but not overly so, for these determinative parameters. A ± 20% change in values for

8A, for example, was estimated to result in a 16%–26% change in soot burden at a 0.1 mg/m3

continuous diesel exposure for 10 years. For a ± 10% change in tidal volume, the model

projected changes in soot burden ranging from 14% to 22% for this same exposure scenario. The

fact that the changes in the model outcome were comparable to changes in the input parameters,

such as tidal volume, indicates that the variability of the model when applied to the human

population would reflect the variability of these physiological parameters across that population. 

In sum, at low concentrations of DPM (< 0.5 mg/m3

), relatively minor differences exist among

the models currently available, and the input parameters in the human population may be a major

source of variability. As discussed below, variability within the human population often is

addressed by applying safety or uncertainty factors, usually in the range of 10 (Renwick and

Lazarus, 1998; U.S. EPA, 1994). 
6-11

6.3.3. Dose-Response Analysis—Choice of an Effect Level

HECs were obtained for the dose levels and exposure scenarios presented in the studies of

Mauderly et al. (1987b), Ishinishi et al. (1986, 1988), Nikula et al. (1995), and Heinrich et al.

(1995), the specifics of which are presented in Appendix A, specifically Table A-4. The HECs,

along with the corresponding specific lung burdens in terms of :g/cm2, were transcribed from

Table A-4 and, along with the accompanying effect level (NOAEL, LOAEL or BMCL10), are

arrayed ordinally in Table 6-2. It is acknowledged that Table 6-2 is by no means a full portrayal

of the dose-response relationship that may exist for DPM and health effects.

As indicated by the BMCL10 values listed for the Nikula et al. (1995) study in Table 6-2, 

the BMC analysis was carried out on the DPM database and is documented in Appendix B. The

chronic rat studies identified in this chapter were analyzed for information suitable for BMC

analysis. Results yielded only a few datasets of pulmonary toxicity data from a single study, that

of Nikula et al. (1995), that could be used for BMC analysis. These pulmonary data

(histopathology incidence data) were extracted, HEC concentrations were calculated using the

model of Yu, and the BMCs were generated. The results yielded a complex array of BMCL10s

from three different effects in two sexes (both separate and combined) with nine different models

that were evaluated based on the nature of the dataset, on the goodness-of-fit parameters, and on

visual inspection of the graphical outputs. From among all the benchmark data generated, the

BMCL10 of 0.37 mg/m3

 calculated from combined male and female rat pulmonary histopathology

was judged as the most defensible choice. However, further characterization of this same

benchmark value indicates that it is not a suitable candidate for use as a point of departure for

development of a dose-response assessment such as the RfC. Limitations included the excessive

extent of extrapolation from the observed experimental range (see Figure B-1 in Appendix B)

and the paucity of data points (there were only two exposure groups) overall. Another serious

limitation is that the high experimental concentrations used (and their C × t product) are well in

the range where the problematic phenomenon of pulmonary overload in rats occurs (Section

5.1.3.3.4).

Inspection of Table 6-2 shows that calculating and ordering the HECs created a partial

concentration-response continuum reflected in the estimated internal lung burden also given in

this table. The continuum extends from HECs with no observed adverse effects at concentrations

as low as 0.032 mg/m3

 to as high as 0.144 mg/m3 to HECs with an adverse effect level that first

appears definitively in the continuum probably at 0.33 mg/m3 and extends out to 1.95 mg/m3. 

It should be noted that the relationship between HEC and lung burden is not consistently

proportional. For example, at the lowest HEC listed, 0.032 mg/m3

, a lifetime (70 years) of

continuous exposure to this concentration is estimated to result in a specific burden to the lung of

0.0587 :g/cm2

. At the other end of this spectrum, a lifetime of continuous exposure to 4.4 
6-12

Table 6-2. Human equivalent continuous concentrations: 70-year HECs calculated with the model

of Yu et al. (1991) from long-term studies of rats repeatedly exposed to DPMa

Study

Exposure

concentration

(mg/m3

) Effect levela

Lung burden

(modeled)

(:g DPM /cm2

)

b

HEC

(mg/m3

)

Ishinishi et al. (1988) (LDc

) 0.11 NOAEL 0.0587 0.032

Mauderly et al. (1987a) 0.35 NOAEL 0.0685 0.038

Ishinishi et al. (1988) (LDc

) 0.41 NOAEL 0.245 0.128

Ishinishi et al. (1988) (HDc

) 0.46 NOAEL 0.281 0.144

Heinrich et al. (1995) 0.84 LOAEL 0.94 0.33

Nikula et al. (1995) 2.44 & 6.3d BMCL10 -inflam 1.34 0.37

Ishinishi et al. (1988) (HDc

) 0.96 LOAEL 3.16 0.883

Ishinishi et al. (1988) (LDc

) 1.18 LOAEL 4.50 1.25

Nikula et al. (1995) 2.44 & 6.3d BMCL10 - fibrosis 4.70 1.3

Mauderly et al. (1987a) 3.47 LOAEL 4.95 1.375

Nikula et al. (1995) 2.44 LOAEL 7.00 1.95

Ishinishi et al. (1988) (HDc

) 1.84 AEL 7.63 2.15

Heinrich et al. (1995) 2.5 AEL 8.40 2.35

Ishinishi et al. (1988) (LDc

) 2.32 AEL 9.75 2.75

Mauderly et al. (1987a) 7.08 AEL 10.9 3.05

Ishinishi et al. (1988) (HDc

) 3.72 AEL 15.8 4.4

a

Effect levels are based on the critical effects of pulmonary histopathology and inflammation as reported in the 

 individual studies. NOAEL: no-observed-adverse-effect level; LOAEL: lowest-observed-adverse-effect level; 

 AEL: adverse-effect level; BMCL10: lower 95% confidence estimate of the concentration of DPM associated with a 

 10% incidence of chronic pulmonary inflammation (inflam) or fibrosis (see Appendices A and B for more 

 specifics).

b

Lung burdens were derived from data generated from the animal portion of the Yu model using the concentration 

 and duration scenario of each study. The human portion of the Yu model was then used to estimate the continuous, 

 70-year exposures that would result in this same lung burden, i.e., the HEC. See Table A-4 in Appendix A and 

 accompanying text for further specifics on derivation.

c

LD/HD = light-duty/heavy-duty diesel engine.

d

These values are the actual exposure levels used in the Nikula study. These values were converted into HEC and 

 entered into BMC equations to obtain the estimate of the BMCL10 listed. The lung burdens for the two BMCL10s 

 listed here were derived by interpolation.
6-13

mg/m3

 is estimated to result in a specific lung burden of 15.8 :g/cm2. This latter lung burden is

disproportionally elevated compared with the burden estimated to result from exposure to the

lowest concentration. Applying the absolute ratio of lung burden/HEC at the lowest HEC

exposure (i.e., 0.0587/ 0.032 = 1.8) to the highest concentration would result in a lower lung

burden, 4.4 × 1.8 = 7.9 :g/cm2, which is much lower than the 15.8 :g/cm2 indicated. This

disproportionate increase in lung burden as a function of DPM concentration would be predicted

from the assumption in the Yu model that the overload phenomena occurs in humans, as is

demonstrated in Figure 3-9 in Chapter 3. Inspection of Table 6-2 shows that this disproportion

between lung burden and HEC begins to be noticeable around 0.33 mg/m3

, at the HEC derived

from the Heinrich et al. (1995) study. HECs below this value are not appreciably influenced by

the overload/disproportionate lung burden phenomenon.

Inspection of the combined interstudy dose-response continuum in Table 6-2 to elucidate

a point of departure for an RfC entails some interpretation. Exposures at the lower end of this

table show that elevated chronic exposures to DPM consistently result in AELs. Conversely,

entries in the upper portion of this table show that low-level chronic exposures to DPM have

minimal, if any, effects within the capability of these studies to detect them. Intermediate

chronic exposures, from 0.128 mg/m3

 to 0.9 mg/m3, are, however, less clear and effect levels and

exposures either have no or few observable effects, or effects that are minimally adverse. 

In choosing from among levels (e.g., NOAELs, LOAELs, BMCLxs) as a POD for derivation of

an RfC, the methodology (U.S. EPA, 1994) provides guidance for choice of a highest no-effect

level below an effect level; the interim guidance for the BMC suggests that for use as a point of

departure, a benchmark (e.g., BMCL10) should be within the range of the observable response

data so as to avoid excessive extrapolation, and take the shape of the dose-response curve into

consideration (Barnes et al., 1995; U.S. EPA, 1995). The highest no-effect HECs (NOAELHEC)

in this table are 0.128 mg/m3 and 0.144 mg/m3

 from the Ishinishi et al. (1988) study, nearly

fivefold above other no-effect levels of 0.032 and 0.038 mg/m3

. The lower BMCL10 (0.37

mg/m3) is at nearly the same concentration as the lowest LOAEL of 0.33 mg/m3 and thus may be

too high an estimate for use as a POD based on these data. As discussed above, the limitations

on this BMCL10, including excessive extrapolation out of the observable range (see Appendix B

for more specifics), make it a less than optimal candidate for consideration as a POD in the

development of dose-response assessments and therefore was not used for this purpose in this

assessment. However, this BMCL10 (i.e., at a response rate of 0.1 or 10%) was generated directly

from a modeled dose-response curve for chronic inflammation and lends credence to the other 

NOAELs in Table 6-2 as being associated with their respective dose-response curve at incidences

of considerably less than 10%. Moreover, the HECs of less than 0.33 mg/m3

 are not appreciably

influenced by the overload phenomenon (see above). Based on this analysis, the value of 0.144
6-14

mg/m3

 is chosen as the POD for development of the RfC, because it is the highest NOAELHEC

among those available. 

6.3.4. Uncertainty Factors (UF) for the RfC—A Composite Factor of 30

Areas of uncertainty designated in the RfC that are relevant to the DPM assessment are 

interindividual variability and animal-to-human extrapolation. Each shall be addressed in this

section.

Considerable qualitative but little, if any, quantitative information exists regarding

subgroups that could be sensitive to any respiratory tract effects of DPM. It is acknowledged that

exposure to DPM could be additive to many other daily or lifetime exposures to airborne organic

compounds and nondiesel ambient PM. It is also likely that individuals who predispose their

lungs to increased particle retention through smoking or other high particulate burdens, who have

existing respiratory tract inflammation or infections, or who have chronic bronchitis, asthma, or

fibrosis could be more susceptible to adverse impacts from DPM exposure (U.S. EPA, 1996a,

Chapter 5 of this document). Also, infants and children could have a greater susceptibility to the

acute/chronic toxicity of DPM because of their greater breathing frequency and consequent

potential for greater particle deposition in the respiratory tract, which has not reached full

development. Increased respiratory symptoms and decreased lung function in children versus

ambient PM levels, of which DPM is a part, have been observed (U.S. EPA, 1996a). Thus, even

though the limited evidence currently available (see Chapter 5) produces no clear evidence that

children are especially sensitive to effects from breathing DPM, the possibility that they actually

may be more susceptible because of their inherent physiology and anatomy should remain a

consideration. Likewise, a number of factors may modify normal lung clearance, including,

aging, gender, and disease. It should be noted that the results of Mauderly et al. (1989) discussed

in Chapter 5 indicated that rats with diseased lungs (emphysematous) were no more susceptible

than rats with normal lungs to the effects of DE exposure. Although the exact role of these

factors is not resolved, all would influence the particle dose to the lung tissue from inhalation

exposure. Activity patterns related to occupation and habitation in the proximity of major

roadways are certain to be contributory for some subgroups in receiving higher DPM exposures

(Chapter 2). In the absence of DE-specific data, this assessment relies on a default UF value of

10 to account for possible interindividual human variability (U.S. EPA, 1994; Renwick and

Lazarus, 1998).

Application of an animal-to-human extrapolation or interspecies uncertainty factor to an

assessment may be modified via a number of circumstances. When the assessment is based on

human data, no such UF is necessary. When the assessment is based on animal data, as is the

case with DPM, a default UF of 10 typically is applied to the animal effect level. This latter
6-15

action implies that the effect observed in the animal study would occur in humans at a 10-fold

lower concentration, ostensibly from some combination of pharmacokinetic and

pharmacodynamic factors that would reflect greater dose (PK consideration) to the human target

or greater sensitivity (PK consideration) of the human tissue. 

The circumstances with DPM warrant modification away from application of the default

UF for animal-to-human extrapolation. The first circumstance is the extensive effort in this

assessment to address the pharmacokinetic component of the UF. The point of employing stateof-the-art lung dosimetry models with specific parameterization for DPM in conversion of

animal exposures to human-equivalent exposures is to derive an estimate of interspecies

pharmacokinetics; to know this aspect of interspecies difference with some degree of certainty. 

Having made this informed effort addresses a major portion of the PK component. It is

acknowledged, however, that uncertainties about the model employed here (or any other model)

persist. Although the model comparison shown in Chapter 3 indicates relatively minor

variability in output among the various human models examined (see Table 3-3 and Figure 3-9)

other sources of uncertainty and variability remain. These include, but are not limited to, matters

such as the estimates if the model were applied to the general population or variability from the

animal portion of the model(s). A second circumstance involves the pharmacodynamic or PD

component of the interspecies UF, especially the aspect as to whether the experimental animal

species used in the assessment is more or less sensitive than humans. In the consensus report of

ILSI (2000) a specific recommendation is made concerning the PD aspect of the interspecies

uncertainty factor for poorly soluble particles such as DPM. Because the pulmonary responses

from DPM in the principal experimental species, the rat, are present under exposure conditions

that do not appear to elicit any response in humans, the experimental species is considered more

sensitive than humans. Accordingly, the report suggested that no accommodation be made for

uncertainty concerning the pharmacodynamic component of the interspecies UF for DPM and

presumably for any other PSP, as the rat appeared to be a sensitive species, more so even than the

human. However, other information currently available on DPM suggests that, at least with

regard to inflammatory effects, humans may indeed be as sensitive or even more so than rats. 

Section 5.1.1.1.3 discusses several studies where humans were exposed to airborne DPM and

either precursors (Salvi et al., 2000; Nordenhall et al., 2000) or markers (Nightingale et al., 2000;

Salvi et al.,1999) of inflammation were detected. These indicators of inflammation were in

response to DPM levels of only 200–300 :g/m3

 of 1–2h duration. Note that in Table 6-2,

NOAEL concentrations to which rats actually were exposed were only 100–400 :g/m3, clearly

within the range of the aforementioned human exposure levels. Thus, adverse effects

(inflammation) have been shown to occur in humans at equivalent or possibly even lower levels
6-16

of DPM than observed in rats, indicating that humans may indeed be at least as sensitive if not

more so than rats.

The sum of these considerations on the animal-to-human UF is that, although major

portions of uncertainty have been addressed, degrees of uncertainty persist in both the

pharmacodynamic and pharmacokinetic components of the factor. In considering both this

residual uncertainty and the information discussed above, it would be prudent to acknowledge

partial degrees of uncertainty in both these areas with a partial uncertainty factor, i.e., 100.5 vice

101, such that a factor of 3 would be applied for interspecies extrapolation.

In summary, the application of UFs for the two areas discussed above, interhuman and

animal to human, would result in a composite uncertainty factor of 30, 10 for interhuman × 3 for

animal to human. Use of other UFs, as discussed in the RfC methodology (U.S. EPA, 1994) for

deficiencies in database or for duration extrapolation, is not considered necessary. It should be

noted that, given the emerging research on DE-induced immunological effects, it may be

necessary at a later date to reconsider the basis for selection of the critical effect and UFs and

thus the entire derivation of the DE RfC.

6.3.5. Derivation of the RfC for Diesel Exhaust 

On the basis of the above analysis, the value of 0.144 mg/m3

 DPM was selected as the

point of departure for the RfC evaluation. This value was derived from concentrations in rat

chronic studies that were modeled to obtain HECs. The pulmonary effects, histopathology and

inflammation, were determined to be the critical noncancer effects. Response data on

inflammation also were suggested by a specific scientific working group as a satisfactory

surrogate for fibrogenic responses in assessing the pulmonary responses of poorly soluble

particles such as DPM (ILSI, 2000). Sufficient documentation from other studies showed no

effect in the portal-of-entry tissues, the extrathoracic (nasopharyngeal) region of the respiratory

system, or in other organs at the lowest levels that produce pulmonary effects in chronic

exposures. Application of the dosimetric model of Yu et al. (1991) to the exposure value from

Ishinishi et al. (1988) of 0.46 mg/m3

 16 hr/day, 6 days/wk, a NOAEL, yielded a NOAELHEC of

0.144 mg/m3. Application of the composite UF yields the RfC: 

NOAELHEC ÷

÷= =

UF = RfC

0.144 mg/m mg/m g/m 3 33 30 0 0048 5 . . μ
6-17

6.4. EPIDEMIOLOGICAL EVIDENCE AND NAAQS FOR FINE PM

Historically, EPA has established primary NAAQS to protect sensitive human population

groups against adverse health effects associated with ambient exposures to certain widespread air

pollutants, including PM, ozone (O3), carbon monoxide (CO), sulfur dioxide (SO2), nitrogen

dioxide (NO2), and lead (Pb). The U.S. Clean Air Act (the Act) requires that EPA periodically

review and revise as appropriate the criteria (scientific bases) and standards for each pollutant or

class of pollutants (e.g., PM) for which NAAQS have been established. The primary, healthbased NAAQS must be based on the latest scientific information useful in indicating the kind and

extent of all effects on public health expected from the presence of the pollutant in the ambient

air, which is evaluated in a “Criteria Document” (CD). The NAAQS are then set at levels that, in

the judgment of the EPA Administrator, protect public health (as contrasted with the health of

any individual) with an adequate margin of safety. In determining the degree of protection that

will satisfy this mandate, EPA considers the nature and severity of the effects, the types of health

evidence available, the kind and degree of scientific uncertainty that effects would in fact occur

at any particular level of pollution, and the size and nature of sensitive populations at risk of

experiencing exposures of concern. The EPA develops a staff paper to bridge the gap between

the scientific criteria and the public health policy considerations the Administrator must take into

account in reaching a final judgment. The EPA also must consider the recommendations of the

Clean Air Scientific Advisory Committee (CASAC), an independent committee established by

the Act specifically to advise the Administrator on air quality criteria and NAAQS. In contrast to

an RfC, the NAAQS are not intended to identify a concentration that is protective against a

hypothetical continuous lifetime exposure to a given level, but rather take into account expected

actual exposure conditions of U.S. populations.

The original PM NAAQS were set in 1971 in terms of total suspended particulate matter

(TSP) and included both inhalable and noninhalable particles, ranging in size up to 25–50 :m. 

A later periodic review of the PM criteria and NAAQS led to the setting in 1987 of PM10

NAAQS (150 :g/m3, 24-h average; 50 :g/m3, annual average) aimed at protecting against health

effects associated with those inhalable particles capable of penetrating to lower (thoracic) regions

of the human respiratory tract and depositing in tracheobronchial and alveolar tissue of the lung

(#10.0 :m) (52 FR 24634, July 1, 1987). The most recently completed PM NAAQS review was

based on an assessment of the latest available scientific information characterized in the EPA PM

CD (U.S. EPA, 1996a) and additional staff assessments contained in an associated PM Staff

Paper (U.S. EPA, 1996b). In 1997, on the basis of this information and taking into account

CASAC recommendations and extensive public comments, EPA established new PM2.5 NAAQS

(15 :g/m3, annual average; 65 :g/m3, 24-h average) to protect against adverse health effects

associated with exposures to fine PM. At the same time, EPA retained, in modified form, the
3

At present, the 1997 PM2.5 standards are the subject of ongoing litigation, although they legally remain in

effect, as do the 1987 PM10 standards.

6-18

PM10 NAAQS originally set in 1987 to protect against effects associated with coarse fraction PM

(62 FR 38652, July 18, 1997).3

The 1997 PM NAAQS decisions were based, in part, on important distinctions already

highlighted by information present in the PM CD between the fine and coarse fractions of PM10

with regard to size, chemical composition, sources, and transport. Also of key importance were

the assessment and interpretation of new epidemiological findings on health effects associated

with ambient PM. The epidemiological evidence and basis for the NAAQS for fine PM are

summarized below, followed by a discussion of the relevance of this information for noncancer

assessment of DE.

6.4.1. Epidemiological Evidence for Fine PM

The PM CD (U.S. EPA, 1996a) and Staff Paper (U.S. EPA, 1996b) highlighted more than

80 newly published community epidemiologic studies, of which more than 60 found significant

associations between increased mortality and/or morbidity risks and various ambient PM

indicators. The main findings of concern were community epidemiology results showing

ambient PM exposures to be statistically associated with increased mortality (especially among

people over 65 years of age and those with preexisting cardiopulmonary conditions) and

morbidity (indexed by increased hospital admissions, respiratory symptom rates, and decrements

in lung function).

Time-series mortality studies reviewed in the 1996 PM CD (U.S. EPA, 1996a) provide

strong evidence that ambient PM air pollution is associated with increases in daily human

mortality and morbidity (e.g., increased hospital admissions and respiratory symptoms). These

studies provided evidence that such effects occur at routine ambient PM levels, extending to 24-h

concentrations below the 150 :g/m3

 level of the PM10 NAAQS set in 1987. Overall, as shown in

Table 6-3, the PM10 effects estimates derived from the recent PM10 total mortality studies suggest

that an increase of 50 :g/m3

 in 24-h average PM10 is significantly associated with an increase in

total mortality, with an RR on the order of 1.025 to 1.05 in the general population. Table 6-3

also shows higher relative risks for increased hospital admissions for the elderly and for those

with preexisting respiratory conditions, both of which represent subpopulations at special risk for

mortality implications of acute exposures to air pollution, including PM; higher relative risks are

also shown for increased respiratory symptoms and decreased lung function in children. Results

are very similar over a range of statistical models used in the analyses, and are not artifacts of the

methods by which the data were analyzed. Further, these studies suggest a possible linear,
6-19

Table 6-3. Effect estimates per 50 :g/m3 increase in 24-h PM10 concentrations from U.S.

and Canadian studies

Study location

RR (± CI)

only PM 

in model

RR (± CI)

other pollutants

in model

Reported

PM10 levels

mean (min/max)†

Increased total acute mortality

Six Citiesa —

 Portage, WI 1.04 (0.98, 1.09) — 18 (±11.7)

 Boston, MA 1.06 (1.04, 1.09) — 24 (±12.8)

 Topeka, KS 0.98 (0.90, 1.05) — 27 (±16.1)

 St. Louis, MO 1.03 (1.00, 1.05) — 31 (±16.2)

 Kingston/Knoxville, TN 1.05 (1.00, 1.09) — 32 (±14.5)

 Steubenville, OH 1.05 (1.00, 1.08) — 46 (±32.3)

 St. Louis, MOc 1.08 (1.01, 1.12) 1.06 (0.98, 1.15) 28 (1/97)

 Kingston, TNc 1.09 (0.94, 1.25) 1.09 (0.94, 1.26 30 (4/67)

 Chicago, ILh 1.04 (1.00, 1.08) — 37 (4/365)

 Chicago, ILg 1.03 (1.02, 1.04) 1.02 (1.01, 1.04) 38 (NR/128)

 Utah Valley, UTb 1.08 (1.05, 1.11) 1.19 (0.96, 1.47) 47 (11/297)

 Birmingham, ALd 1.05 (1.01, 1.10) — 48 (21, 80)

 Los Angeles, CAf 1.03 (1.00, 1.055) 1.02 (0.99, 1.036) 58( 15/177)

Increased hospital admissions (for elderly > 65 yrs.)

Respiratory Disease

Toronto, CANi 1.23 (1.02, 1.43)‡ 1.12 (0.88, 1.36)‡ 30-39*

Tacoma, WAj 1.10 (1.03, 1.17) 1.11 (1.02, 1.20) 37 (14, 67)

New Haven, CTj 1.06 (1.00, 1.13) 1.07 (1.01, 1.14) 41 (19, 67)

Cleveland, OHk 1.06 (1.00, 1.11) — 43 (19, 72)

Spokane, WAl 1.08 (1.04, 1.14) — 46 (16, 83)

COPD

Minneapolis, MNn 1.25 (1.10, 1.44) — 36 (18, 58)

Birmingham, ALm 1.13 (1.04, 1.22) — 45 (19, 77)

Spokane, WAl 1.17 (1.08, 1.27) — 46 (16, 83)

Detroit, MIo 1.10 (1.02, 1.17) — 48 (22, 82)

Pneumonia

Minneapolis, MNn 1.08 (1.01, 1.15) — 36 (18,58)

Birmingham, ALm 1.09 (1.03, 1.15) — 45 (19, 77)
Table 6-3. Effect estimates per 50 :g/m3

 increase in 24-h PM10 concentrations from U.S.

and Canadian studies (continued)

Study location

RR (± CI)

only PM 

in model

RR (± CI)

other pollutants

in model

Reported

PM10 levels

mean (min/max)†

6-20

Spokane, WAl 1.06 (0.98, 1.13) — 46 (16, 83)

Detroit, MIo — 1.06 (1.02, 1.10) 48 (22, 82)

Ischemic HD

Detroit, MIp 1.02 (1.01, 1.03) 1.02 (1.00, 1.03) 48 (22, 82)

Increased respiratory symptoms

Lower Respiratory

Six Citiesq 2.03 (1.36, 3.04) Similar RR 30 (13,53)

Utah Valley, UTr 1.28 (1.06, 1.56)J — 46 (11/195)

1.01 (0.81, 1.27)B

Utah Valley, UTs 1.27 (1.08, 1.49) — 76 (7/251)

Cough

Denver, COx 1.09 (0.57, 2.10) — 22 (0.5/73)

Six Citiesq 1.51 (1.12, 2.05) Similar RR 30 (13, 53)

Utah Valley, UTs 1.29 (1.12, 1.48) — 76 (7/251)

Decrease in Lung Function

Utah Valley, UTr 55 (24, 86)** — 46 (11/195)

Utah Valley, UTs 30 (10, 50)** — 76 (7/251)

Utah Valley, UTw 29 (7,51)*** — 55 (1,181)

References:

a

Schwartz et al. (1996a). lSchwartz (1996). xOstro et al. (1991) b

Pope et al. (1992, 1994)/O3. mSchwartz (1994e). †Min/Max 24-h PM10 in parentheses unless noted c

Dockery et al. (1992)/O3. nSchwartz (1994f). otherwise as standard deviation (± S.D), 10 and d

Schwartz (1993). oSchwartz (1994d). 90 percentile (10, 90). NR = not reported. f

Kinney et al. (1995)/O3, CO. pSchwartz and Morris (1995)/O3, CO, SO2. JChildren. g

Ito and Thurston (1996)/O3. qSchwartz et al. (1994). BAsthmatic children and adults. h

Styer et al. (1995). rPope et al. (1991). *Means of several cities. i

Thurston et al. (1994)/O3. sPope and Dockery (1992). **PEFR decrease in ml/sec. j

Schwartz (1995)/SO2. tSchwartz (1994g) ***FEV1 decrease. k

Schwartz et al. (1996b). wPope and Kanner (1993). ‡RR refers to total population, not just>65 years.

Source: Adapted from U.S. EPA, 1996b, Tables V-3, V-6, and V-7. See U.S. EPA (1996a,b) for all reference

citations.
6-21

non-threshold PM/mortality relationship, but the data do not rule out the existence of an

underlying nonlinear, threshold relationship (U.S. EPA, 1996a, 12-310-311; 1996b, VI-16).

Figure 6-2 illustrates the consistency and coherence of the PM10 epidemiology findings for

increased total and cause-specific mortality and morbidity risks in adults and children. In

addition, Table 6-4 summarizes results from a wide array of U.S. and Canadian studies that

showed increased risks of mortality and morbidity to be related to changes in short-term (24-h)

fine PM (indexed by PM2.5 and other fine particle indicators).

As summarized below, long-term exposure studies reviewed in the 1996 PM CD (U.S.

EPA, 1996a) also provide evidence of associations between indicators of PM, including fine

particle indicators, and chronic mortality and morbidity. Table 6-5 shows the direct comparisons

of two key prospective studies of long-term PM mortality: the Harvard Six Cities Study

(Dockery et al., 1993) and the American Cancer Society (ACS) Study (Pope et al., 1995). These

two studies agree in their findings of strong associations between fine particles and increased

mortality. The RR estimates for total mortality are large and highly significant in the Six Cities

study. With their 95% confidence intervals, the RR estimate for a 50 :g/m3 increase in PM15/10 is

1.42 (1.16, 2.01), the RR estimate for a 25 :g/m3

 increase in PM2.5 is 1.31 (1.11, 1.68), and the

RR estimate for a 15 :g/m3

 increase in SO4 is 1.46 (1.16, 2.16). The ACS study estimates for

total mortality are smaller, but also more precise: RR = 1.17 (1.09, 1.26) for a 25 :g/m3

 increase

in PM2.5, and RR = 1.10 (1.06, 1.16) for a 15 :g/m3

 increase in SO4. Both studies used Cox

regression models and were adjusted for similar sets of individual covariates. In each case,

however, caution must be applied in use of the stated quantitative risk estimates, given that the

lifelong cumulative exposures of the study cohorts (especially in the dirtiest cities) included

distinctly higher past PM exposures than those indexed by the more current PM measurements

used to estimate long-term PM exposures in the study. Thus, somewhat lower relative risk

estimates than the published ones may well apply. A third study by Abbey et al. (1991, 1995)

reported no association between long-term PM exposure (indexed by TSP and other estimated

PM indices) after 10 years, although the PM CD (U.S. EPA, 1996a) noted TSP may have been an

inadequate index for exposure to inhalable particles and that additional follow-up might still

reveal chronic effects.

An additional line of evidence concerning long-term effects may be seen in comparing

cause-specific deaths in the Six Cities and ACS studies. The relative risks for the most versus

the least polluted cities in the two studies are very similar for mortality from cardiopulmonary

causes (U.S. EPA, 1996b, V-17). These two long-term exposure studies, taken together, suggest

that there may be increases in mortality for specific disease categories that are consistent with

long-term exposure to ambient fine particles. Moreover, at least some fraction of these deaths is
6-22

Figure 6-2. Relative risk (RR) estimates for increased mortality and morbidity endpoints

associated with 50 μg/m3

 increments in PM10 concentrations as derived from

studies cited by numbers listed above each given type of health endpoint.

Note: Notice the consistency of RR elevations across studies for given endpoint and coherence of RR estimates

across endpoints, e.g., higher RR values for symptoms versus hospital admissions and cause-specific

mortality. 

Source: PM Staff Paper (see U.S. EPA, 1996b for full reference citations for each study identified in figure.)
6-23

Table 6-4. Effect estimates per variable increments in 24-h concentrations of fine particle

indicators (PM2.5, SO4

=

, H+) from U.S. and Canadian studies

Acute mortality Indicator

RR (± CI) per 25 :g/m3

PM increase

Reported PM

levels

 mean (min/max)†

Six Citiesa

 Portage, WI PM2.5 1.030 (0.993, 1.071) 11.2 (±7.8)

 Topeka, KS PM2.5 1.020 (0.951, 1.092) 12.2 (±7.4)

 Boston, MA PM2.5 1.056 (1.038, 1.0711) 15.7 (±9.2)

 St. Louis, MO PM2.5 1.028 (1.010, 1.043) 18.7 (±10.5)

 Kingston/Knoxville, 

 TN

PM2.5 1.035 (1.005, 1.066) 20.8 (±9.6)

 Steubenville, OH PM2.5 1.025 (0.998, 1.053) 29.6 (±21.9)

Increased hospitalization

Ontario, CANb SO4

= 1.03 (1.02, 1.04) R = 3.1-8.2

Ontario, CANc SO4

=

O3

1.03 (1.02, 1.04)

 1.03 (1.02, 1.05)

R = 2.0-7.7

NYC/Buffalo, NYd SO4

= 1.05 (1.01, 1.10) NR

Torontod H+

 (Nmol/m3)

SO4

=

PM2.5

1.16 (1.03, 1.30)*

1.12 (1.00, 1.24)

1.15 (1.02, 1.78)

28.8 (NR/391)

7.6 (NR, 48.7)

18.6 (NR, 66.0)

Increased respiratory symptoms

Southern Californiae SO4

= 1.48 (1.14, 1.91) R = 2-37

Six Citiesf

(Cough)

PM2.5

PM2.5 Sulfur

H+

1.19 (1.01, 1.42)**

1.23 (0.95, 1.59)**

1.06 (0.87, 1.29)**

18.0 (7.2, 37)***

2.5 (3.1, 61)***

18.1 (0.8, 5.9)***

Six Citiesf

(Lower Resp. Symp.)

PM2.5

PM2.5 Sulfur

H+

1.44 (1.15-1.82)**

1.82 (1.28-2.59)**

1.05 (0.25-1.30)**

18.0 (7.2, 37)***

2.5 (0.8, 5.9)***

18.1 (3.1, 61)***

Decreased lung function

Uniontown, PAg PM2.5 PEFR 23.1 (-0.3, 36.9) (per 25 :g/m3

) 25/88 (NR/88)

References:

a

Schwartz et al. (1996a) †Min/Max 24-h PM indicator level shown in parentheses unless b

Burnett et al. (1994) otherwise noted as (± S.D.), 10 and 90 percentile (10,90) 

c

Burnett et al. (1995) O3 or R = range of values from min-max, no mean value reported. d

Thurston et al. (1992, 1994) *Change per 100 nmoles/m3. e

Ostro et al (1993) **Change per 20 :g/m3 for PM2.5; per 5 :g/m3 for f

Schwartz et al. (1994) PM2.5 sulfur; per 25 nmoles/m3 for H+. g

Neas et al. (1995) ***50th percentile value (10,90 percentile).

Source: Adapted from U.S. EPA, 1996b, Table V-12. See U.S. EPA (1996a,b) for all reference citations.
6-24

Table 6-5. Effect estimates per incrementsa in annual average levels of fine particle

indicators from U.S. and Canadian studies

Type of health

effect and location Indicator

Change in health indicator

per increment in PMa

Range of city 

PM levels

mean (:g/m3

)

Increased total chronic mortality in adults Relative risk (95% CI)

Six Cityb PM15/10 1.42 (1.16-2.01) 18-47

PM2.5 1.31 (1.11-1.68) 11-30

SO4

= 1.46 (1.16-2.16) 5-13

ACS Studyc

(151 U.S. SMSA)

PM2.5 1.17 (1.09-1.26) 9-34*

SO4

= 1.10 (1.06-1.16) 4-24

Increased bronchitis in children Odds ratio (95% CI)

Six Cityd PM15/10 3.26 (1.13, 10.28) 20-59

Six Citye

 TSP 2.80 (1.17, 7.03) 39-114

24 Cityf H+

 2.65 (1.22, 5.74) 6.2-41.0

24 Cityf SO4

= 3.02 (1.28, 7.03) 18.1-67.3

24 Cityf PM2.1 1.97 (0.85, 4.51) 9.1-17.3

24 Cityf PM10 3.29 (0.81, 13.62) 22.0-28.6

Southern Californiag SO4

= 1.39 (0.99, 1.92) —

Decreased lung function in children

Six Cityd,h PM15/10 NS Changes 20-59

Six Citye TSP NS Changes 39-114

24 Cityi,j H+

 (52 nmoles/m3) !3.45% (-4.87, -2.01) FVC —

24 Cityi PM2.1 (15 :g/m3

) !3.21% (-4.98, -1.41) FVC —

24 Cityi SO4

=

 (7 :g/m3) !3.06% (-4.50, -1.60) FVC —

24 Cityi PM10 (17 :g/m3

) !2.42% (-4.30, -.0.51) FVC —

a

Estimates calculated annual-average PM increments assume: a 100 :g/m3 increase for TSP; a 50 :g/m3

 increase for PM10 and PM15; a 25 :g/m3 increase for PM2.5; and a 15 :g/m3 increase for SO4

=

, except where

 noted otherwise; a 100 nmole/m3

 increase for H+. b

Dockery et al. (1993). gAbbey et al. (1995a,b,c). c

Pope et al. (1995). hNS Changes = No significant changes. d

Dockery et al. (1989). iRaizenne et al. (1996). e

Ware et al. (1986). jPollutant data same as for Dockery et al. (1996). f

Dockery et al. (1996). 

*Range of annual median values for subset of 50 cities.

Source: Adapted from U.S. EPA, 1996a, Table 12-6 and U.S. EPA, 1996b, Table V-8. See U.S. EPA (1996a,b) for

all reference citations.
4

As an initial matter, EPA concluded that the existing PM10 standards were not adequate to protect public

health, that fine and coarse fraction particles should be considered separately, that PM2.5 was the appropriate

indicator to use for fine particles, and that an annual PM2.5 standard could provide the requisite reduction in risk

associated with both annual and 24-h averaging times in most areas of the United States. This annual standard,

together with a 24-h standard, could provide supplemental protection against extreme peak fine particle levels that

6-25

likely to be a consequence of cumulative, long-term exposure effects. These effects extend

beyond the additive impacts of short-term exposure episodes, in terms of producing marked

increases above the expected number of daily deaths among especially susceptible groups, such

as the elderly and those with pulmonary disease.

The PM CD (U.S. EPA, 1996a) also highlighted a growing body of evidence directly

comparing fine and coarse fraction PM effects that suggests that fine particles are more strongly

related than coarse fraction particles to increased mortality and morbidity in both short- and longterm exposure studies. Such evidence notably includes the results of analyses of the type

illustrated in Figure 6-3 through 6-5. More specifically, Figure 6-3 shows a stronger relationship

between changes in short-term (24-h) concentrations of fine particles (indexed by PM2.5) and

increased mortality risks than for changes in short-term concentrations of coarse fraction particles

(indexed by PM15-2.5). Similarly, a stronger relationship is seen between chronic mortality and

long-term exposure to fine particles (including both the sulfate and nonsulfate components) than

exposure to coarse fraction particles (Figure 6-4), and a much stronger relationship between lung

function decrements and long-term exposure to fine particles than to coarse fraction particles

(Figure 6-5). 

6.4.2. NAAQS for Fine PM

The health effects evidence discussed above is relevant to this current HAD, as both this

document (Chapter 2) and the PM CD present information that clearly shows DPM to be a

constituent of ambient fine particles. Therefore, it is reasonable to conclude that DPM is

associated, but to an undetermined degree, with the health effects described above. Whereas

broader public health factors are taken into account in setting NAAQS than are relevant for this

noncancer assessment of lifetime exposure for DPM, the annual PM2.5 NAAQS based primarily

on this evidence is of interest in considering the extent to which the RfC for DE (as derived

above in Section 6.3) is concordant with the information on fine particles.

As presented in the Federal Register final rule notice (62 FR 38652, July 18, 1997), EPA 

drew upon the quantitative epidemiology information concisely summarized above to derive a

rationale for selection of an annual-average PM2.5 standard.4

 First, to appropriately reflect the 
might occur in some localized situations or in areas with distinct variations in seasonal fine particle levels (62 FR

38652).

6-26

Topeka

Portage

Steubenville

St. Louis

Harriman

Boston

—

—

—

—

—

0.9 1 1.1

Relative Risk for 50 g/m PM

in Six City Acute Study

3

μ 15

Relative Risk

Topeka

Portage

Steubenville

St. Louis

Harriman

Boston

—

—

—

—

—

0.9 1 1.1

Relative Risk for 25 g/m Fine Particles

(PM ) in Six City Acute Study

3

2.5

μ

Relative Risk

Topeka

Portage

Steubenville

St. Louis

Harriman

Boston

—

—

—

—

—

0.9 1 1.1

Relative Risk for 25 g/m Coarse Particles

(Pm – PM ) in Six City Acute Study

3

15 2.5

μ

Relative Risk

Figure 6-3. Relative risks of acute mortality in Harvard Six Cities Study, for inhalable

thoracic particles (PM15/PM10), fine particles (PM2.5), and coarse fraction

particles (PM15-PM2.5). 

Note: The coarse fraction effects are smaller and statistically nonsignificant (i.e., lower 95% confidence intervals do

not exceed relative risk of 1.0), except in Steubenville where there is high correlation between fine and coarse

particles (R2

 = 0.69). 

Source: PM CD (U.S. EPA, 1996a) graphical depiction of results from Schwartz et al. (1996).
6-27

Figure 6-4. Adjusted relative risks for mortality are plotted against each of seven longterm average particle indices in the Harvard Six Cities Study, from largest

range (total suspended particles, upper right) through sulfate and nonsulfate

fine particle concentrations (lower left). 

Note: A relatively strong linear relationship is seen for fine particles, and for sulfate and nonsulfate components. 

Topeka, which has a substantial coarse particle component of inhalable (thoracic) particle mass, stands apart from

the linear relationship between relative risk and inhalable particle concentration.

Source: U.S. EPA (1996a) replotting of results from Dockery et al. (1993).
6-28

Figure 6-5. Percent of children with <85% normal FVC versus annualaverage fine (PM2.1) particle concentrations and coarse

fraction (PM10-2.1) levels for 22 North American cities. 

Note: A much stronger connection appears between fine particles and lung function

decrements (top panel) than for coarse fraction particles (bottom panel). 

Source: PM Staff Paper (1996b) graphical depiction of results from Razienne et al. (1996).
6-29

weight of evidence as a whole, EPA concluded that it was appropriate to limit annual PM2.5

concentrations to somewhat below those where the body of epidemiological evidence is most

consistent and coherent, recognizing both the strengths and limitations of the full range of

information on the health effects of PM, as well as associated uncertainties. In accordance with

EPA staff and CASAC views on the relative strengths of the epidemiologic studies, major

reliance was placed on several short-term (24-h) exposure studies showing significantly

increased risks of daily mortality (Schwartz et al., 1996) and morbidity indexed by hospital

admissions (Thurston et al., 1994) and respiratory symptoms/lung function decrements in

children (Schwartz et al., 1994; Neas et al., 1995) in relationship to increased fine particle (PM2.5)

concentrations. Whereas it was recognized that health effects may occur over the full range of

concentrations observed in these studies, it was concluded that the strongest evidence for shortterm PM2.5 effects occurs at concentrations near the long-term (e.g., annual) average. More

specifically, the strength of the evidence of effects increases for concentrations of PM2.5 that are

at or above the long-term mean levels reported for these studies. Given the serious nature of the

potential effects, EPA judged that it was both prudent and appropriate to select a level for an

annual standard at or below such concentrations. More specifically, statistically significant

increases in relative risks for daily mortality or morbidity were most clearly observed in these

studies to be associated with 24-h fine particle concentrations in cities with long-term mean fine

particle concentrations ranging from about 16 to about 21 :g/m3

, leading to the judgment that an

annual standard level of 15 :g/m3

 would be appropriate.

Before reaching a final conclusion, the epidemiologic studies of long-term exposures to

fine particles were also considered, which may reflect the accumulation of daily effects over time

as well as potential effects uniquely associated with long-term exposures. Even subject to

additional uncertainties, these studies were judged to provide important insights with respect to

the overall protection afforded by an annual standard. In particular, the annual mean PM2.5

concentrations for the multiple cities included in the two key long-term exposure mortality

studies (Dockery et al., 1993; Pope et al., 1995) were 18 :g/m3 and about 21–22 :g/m3,

respectively, with most of the 50 cities in the Pope, et al. (1995) having mean PM2.5

concentrations above 15 :g/m3. Taken together with other long-term exposure studies and

considering other factors discussed in the final rule (62 FR 38676, July 18, 1997), EPA

concluded that the concordance of evidence for PM effects and associated levels provides clear

support for an annual standard set at 15 :g/m3.
6-30

6.4.3. DPM as a Component of Fine PM

Chapter 2 of this document, as well as the PM CD (U.S. EPA, 1996a), report the extent to

which DPM may contribute to ambient PM2.5 concentrations. In some urban situations, the

annual average fraction of PM2.5 attributable to DPM (according to mass concentrations) is about

35% on the high end, although the proportion appears to be more typically in the range of about

10% (see Chapter 2, Table 2-23 and Section 2.4.2.1).

An approach to considering the relationship of toxicity between DPM and PM2.5 would be

simply to assume that, as DPM is contributory to the content of ambient PM2.5, so too would it be

contributory to toxicity of PM2.5. This approach is qualitative only because no firm basis

currently exists for apportioning toxicity among the various components of PM2.5. Nevertheless,

some qualitative information from laboratory animal studies does exist, showing that DPM is no

more potent at eliciting pulmonary pathology than other poorly soluble particles such as talc,

titanium dioxide, or carbon black in rats, or talc or titanium dioxide in mice. No data suggest

that DPM is any more potent in eliciting pulmonary pathology than any other poorly soluble

particle that typically may be present in ambient PM2.5. It may be reasonable to suggest, then,

that DPM is no more likely to be toxicologically potent than any other fine particle constituents

that typically make up ambient PM2.5. 

Based on the foregoing aspects of such an approach, a conclusion could be drawn that as

long as DPM constituted its current approximate proportion to PM2.5, the annual PM2.5 standard

would also be expected to provide a measure of protection for DPM. Even if a basis did exist to

apportion toxicity among the various components of ambient PM2.5, such as DPM, use of such

information in an approach to derive a safe air level for DPM would result in only a generalized,

nonspecific estimate limited by a variety of factors including the accuracy of the apportionment

of DPM from PM2.5. The RfC derived in Section 6.3 was based on an approach that utilized

toxicological information from actual DPM exposures, a more direct approach that would result

in a more specific estimate not limited by any apportionment scheme.

6.5. CHARACTERIZATION OF THE NONCANCER ASSESSMENT FOR DIESEL

EXHAUST

Adverse health effects from short-term acute (high-level) exposures to DE such as

occupational reports of decreases in lung function, wheezing, chest tightness, increases in airway

resistance, and reports in laboratory animals of inflammatory airway changes and lung function

changes are acknowledged but are not assessed quantitatively. The focus of this dose-response

assessment is on the adverse noncancer health consequences of a lifetime, low-level, continuous

air exposure by humans to DE. 
6-31

This assessment uses the whole particle, termed DPM, as the key index or measure of DE

dose. DPM includes any and all adsorbed organics, among which are a large number of PAHs,

heterocyclic compounds, and their derivatives (Chapter 2), as well as the carbon core. It is not

possible to separate the carbon core of DPM from the adsorbed organics to compare the toxicity

in exposures other than with limited in-vitro-type scenarios. The dosimetric model used in the

derivation of the RfC (Yu et al., 1991) is consistent with this designation, as it considers DPM as

well as the adsorbed organics as two types, slow-cleared and fast-cleared. Studies with diesel do

occasionally report levels of accompanying gaseous components of DE (e.g., NOx, CO), but

nearly all report particle concentration and characteristics.

Adverse responses occurring in the rat lung have been used in this assessment as the basis

for characterizing nonneoplastic human lung responses, yet use of these data in hazard evaluation

for cancer is not considered relevant to humans. The basis for this use of these noncancer

pulmonary effects in rats for derivation of an RfC includes the fact that humans and rats exhibit

similar responses to other poorly soluble particles and also that similar noncancer effects are seen

in other species (ILSI, 2000; Freedman and Robinson, 1988). Thus, when viewed across species

(including humans), the nonneoplastic pulmonary effects of inflammation and fibrosis used in

this assessment are dissociable from the cancer response and are of likely relevance to humans.

As a part of the RfC methodology (U.S. EPA, 1994), dose-response assessments are

assigned levels of confidence that are intended to reflect the strengths and limitations of an

assessment as well as to indicate the likelihood of the assessment changing with any additional

information. Confidence levels of either low, medium, or high are assigned both to the study (or

studies) used in the assessment to characterize the critical effects and to the overall toxicological

database of the substance. An overall confidence level also is assigned to the entire assessment.

Usually, it is the same, or in any case no higher than the level assigned to the database.

Compared with the databases of most other toxicants, the basic toxicological database for

DE is substantial. The critical effects are characterized using not one but multiple long-term

chronic studies conducted independently of one another (Tables 6-1 and 6-2). The exhaustive

manner in which these studies were conducted and reported also imparts a high degree of

confidence. Both developmental and reproductive areas are addressed. Also, ancillary studies

that address mechanistic aspects of DE toxicity, either as the whole particle with adsorbed

organics, or segregated as a poorly soluble particle and extracted organics, are available and used

in this assessment. Although only limited human data are available, extensive consideration has

been given to the relevancy of the animal studies to the human condition. On the other hand,

data from related toxicants such as general ambient PM indicate effects in endpoints (e.g.,

cardiovascular measures) that have not been addressed in the DPM database. A major point to
6-32

consider in assigning confidence in this assessment, and a reason that the value of the RfC may

change in the future, is the emerging issue of allergenicity caused or exacerbated by DE. 

Although information to evaluate allergenicity in parallel to the present effects (pulmonary

inflammation and histopathology) is currently lacking, future efforts to elucidate and characterize

this effect may well be a driver to make a reevaluation of the noncancer RfC derivation for DE

appropriate. With respect to the current RfC for DE, the confidence level is medium, both for the

database and overall. The level reflects the relevance of (and information lacking on)

allergenicity effects associated with DE in humans, and the possibility that the current RfC could

change as a consequence of this information becoming available from the scientific community.

In the introductory portion of this chapter, DPM is acknowledged as a constituent of

ambient PM (U.S. EPA, 1996a,b). A discussion of the quantitative epidemiology, particularly

regarding fine PM, indicated that public health effects, including premature mortality, increased

hospital admissions, respiratory symptoms, and decreased lung function, were observed in

populations living in areas with long-term mean PM2.5 levels generally ranging above 15 :g/m3

. 

Application of the RfC method, which involved critical consideration of the entirety of the

disparate DE database with many chronic studies from several different species, evaluation of a

myriad of possible DE-specific toxicological endpoints, and use of extrapolation models,

produced a value of 5 :g/m3. As the accuracy of the RfC is stated in the definition (“...within an

order of magnitude ...”), this dose-response estimate could be considered to be not different from

the level of 15 :g/m3

, the lower end of the range identified for PM2.5. It is acknowledged here

again that the levels of the PM2.5 NAAQS should not be considered as indicative of the same

degree of health protection for DE as intended by the RfC. Nevertheless, the congruence of these

estimates tends to enhance the overall confidence that this range of levels is near or inclusive of

those that would be expected to be protective of the human population against the health effects

of DE.

6.6. SUMMARY

Table 6-6 summarizes the key data and factors used in the dose-response analysis leading

to the derivation of the RfC for DE. The DE RfC of 5 :g DPM/m3

 is a chronic exposure likely to

be without an appreciable risk of adverse human health effects.

The link between ambient fine PM and DPM with respect to origin, content, and possible

health effects has been presented and discussed in this chapter, and the general congruence

between the DE RfC and the level of the annual NAAQS for fine particles has been noted. 

Although these values should not be compared directly, it is reasonable to observe that the annual

PM2.5 standard would be expected to provide a measure of protection for DPM, reflecting DPM’s 
6-33

Table 6-6. Decision summary for the quantitative noncancer RfC assessment for

continuous exposure to diesel particulate matter (DPM)

Quantitative assessment for noncancer effects from

lifetime exposure to DPM 5 :g/m3

Critical effect Pulmonary inflammation and

histopathology in rats

Principal study Array of four chronic rat studies

Designated basis for quantitation (exposures in rats) 0.46 mg DPM /m3, 16 hr/day, 6

d/wk, 130 wks; a NOAEL

NOAELHEC (HEC) 0.144 mg DPM / m3

Adjustments for uncertainty factors (interspecies

variability and intraspecies extrapolation)

30

NOAELHEC/UF = RfC 0.144 mg/m3

 / 30 = 5 :g/m3

current approximate proportion to PM2.5.

The estimated air concentration of 5 :g/m3

 (the RfC, a lifetime exposure to DE measured

as DPM) is above the ambient air levels reported in most rural areas but could be below those

levels reported under short-term conditions in some urban scenarios, such as at busy intersections

or bus stops (see Chapter 2, Table 2-23). The RfC is intended to address lifetime chronic

exposures and aspects of time-averaging for less than lifetime scenarios, such as, for example,

acute exposures at busy intersections or bus stops, which are not addressed in this particular

assessment.

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Barnhart, MI; Chen, S-T; Salley, SO; et al. (1981) Ultrastructure and morphometry of the alveolar lung of guinea

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cytological changes in bronchoalveolar lavage fluid and in lung tissue. Fundam Appl Toxicol 11:546-567.

Hyde, DM; Plopper, CG; Weir, AJ; et al. (1985) Peribronchiolar fibrosis in lungs of cats chronically exposed to DE.

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Ishinishi, N; Kuwabara, N; Takaki, Y; et al. (1988) Long-term inhalation experiments on DE. In: DE and health

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Lewis, TR; Green, FHY; Moorman, WJ; et al. (1989) A chronic inhalation toxicity study of diesel engine emissions

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Mauderly, JL; Jones, RK; Griffith, WC; et al. (1987a) DE is a pulmonary carcinogen in rats exposed chronically by

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Mauderly, JL; Bice, DE; Carpenter, RL; et al. (1987b) Effects of inhaled nitrogen dioxide and DE on developing

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Mauderly, JL; Bice, DE; Cheng, YS; et al. (1989) Influence of experimental pulmonary emphysema on toxicological

effects from inhaled nitrogen dioxide and diesel exhaust. Cambridge, MA: Health Effects Institute; report no. HEIRR-89/30. Available from: NTIS, Springfield, VA; PB90-247347.

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Neas, LM; Dockery, DW; Koutrakis, P; et al. (1995) The association of ambient air pollution with twice daily peak

expiratory flow rate measurements in children. Am. J Epidemiol 141:111-122.

Nightingale, JA; Maggs, S; Cullinan, P; et al. (2000) Airway inflammation after controlled exposure to diesel

exhaust particulates. Am.J Respir Crit Care Med 162(1):161-166.

Nikula, KJ; Snipes, MB; Barr, EB; et al. (1995) Comparative pulmonary toxicities and carcinogenicities of

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Nordenhall, C; Pourazar, J; Blomberg, A; (2000) Airway inflammation following exposure to diesel exhaust: a study

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4:79-115.
1

As noted in Chapter 6, a new PM CD is now being prepared to reflect the latest scientific studies on

ambient PM available since the last document was completed.

7-1

7. CARCINOGENICITY OF DIESEL EXHAUST

7.1. INTRODUCTION

Initial health hazard concerns regarding the potential carcinogenicity of diesel engine 

exhaust (DE) were based on the reported induction of skin papillomas by diesel particle extracts

(Kotin et al., 1955), evidence for mutagenicity of extracts (Huisingh et al., 1978), evidence that

components of diesel extract act as weak tumor promoters (Zamora et al., 1983), and the

knowledge that diesel particles and their associated organics are respirable. During the 1980s,

both human epidemiologic studies and long-term animal cancer bioassays were initiated. In

1981, Waller published the first epidemiologic investigation, a retrospective mortality study of

London transport workers. Since then a large number of retrospective cohort and case-control

studies have been carried out with railroad workers, dockworkers, truck drivers, construction

workers, miners, and bus garage employees. During 1986 and 1987, several chronic animal

cancer bioassays were published. These studies and numerous laboratory investigations carried

out since then have been directed toward assessing the carcinogenic potential of whole exhaust,

evaluating the importance of various exhaust components in the induction of cancer, and

understanding the mode of action and implications of deposition, retention, and clearance of DE

particles.

7.1.1. Overview

This chapter evaluates the carcinogenic potential of DE in both humans (Section 7.2) and

animals (Section 7.3), discusses mode(s) of action (Section 7.4), and provides an overall weightof-evidence evaluation (Section 7.5) for carcinogenicity in humans. This chapter also

summarizes evaluations of DE conducted by other organizations (Section 7.6) and the final

conclusions (Section 7.7) identify major uncertainties for which additional research is needed. 

This assessment focuses on DE, although it should be noted that diesel particles make up a

portion of ambient particulate matter (PM) (Chapter 2, Section 2.2.3; Chapter 6, Section 6.4.3),

and thus, the ambient PM data may have some relevance. 

7.1.2. Ambient PM-Lung Cancer Relationships

A brief overview of the data regarding exposure to ambient PM and lung cancer is

provided as background information and is based on analyses contained in the 1996 Air Quality

Criteria for PM (PM CD) (U.S. EPA, 1996a).1

 With DE being part of ambient PM, the question
7-2

of what is seen in the ambient PM data is of interest, as epidemiologic evidence for an effect of

ambient PM on lung cancer mortality or incidence could possibly contribute to evaluation of

DE-specific epidemiologic data. 

Chapters 2 and 5 noted that DPM, consisting mostly of fine particles (<1.0 mm

diameter), represents a toxicologically important component of typical ambient fine particle

mixes. As discussed in Chapter 6, several large-scale prospective studies (Harvard Six Cities

Study; American Cancer Society (ACS) Study; Adventist Health Study of Smog (AHSMOG)

provide important evidence regarding associations between chronic exposures to ambient fine

particles and increased risks of noncancer mortality/morbidity effects (e.g., cardiorespiratoryrelated deaths or hospital admissions) (U.S. EPA, 1996a). As summarized below, these same

studies also evaluated relationships between chronic PM exposures and lung cancer mortality

and/or incidence. 

As an initial matter, both the Harvard Six Cities Study (Dockery et al., 1993), of

approximately 8,000 adults in six cities comprising a transect across the northcentral and

northeastern United States, and the ACS Study (Pope et al., 1995), of 550,000 adults in 151

cities across all U.S. geographic regions, found markedly increased relative risks (RR) of lung

cancer mortality associated with smoking. More specifically, the Six City Study reported

increased risks of smoking for current (RR = 8.00, 95% CI = 2.97-21.6) and former (RR = 2.54,

CI = 0.90-7.18) smokers, with the ACS Study reporting striking similar increased risks for

current smokers (RR = 9.73, 95% CI = 5.96-15.9).

 After controlling for smoking and other risk factors, both the Six Cities Study and the

ACS Study (using a subset of 50 of the 151 cities) evaluated relationships between long-term

exposure to fine PM (indexed by PM2.5), from the least to the most polluted of the cities in each

study, and lung cancer mortality. In both studies, lung cancer mortality risks were not

statistically significantly associated with ambient PM2.5 concentrations in combined analyses of

data for both males and females (RR = 1.37, 95% CI = 0.81-2.31, in the Six Cities Study; RR =

1.03, 95% CI = 0.80-1.33, in the ACS Study). Also, lung cancer mortality risks were not

statistically significantly associated with ambient PM2.5 concentrations in the ACS Study for

smaller sample size subgroups broken out by sex and smoking status. In addition, analyses of

data from the AHSMOG series of studies, of 6,338 nonsmoking long-term California adult

residents, found no statistically significant associations between PM2.5 (estimated from visibility

data) and lung cancer mortality or total mortality (Abbey et al., 1995); further, no such

associations were reported for PM10 (estimated from total suspended particulate matter [TSP]

data) in the same study. Earlier AHSMOG analyses (Abbey et al., 1991) reported no statistically

significant associations between TSP (which includes not only fine PM but also larger coarse-
7-3

mode particles ranging up to 25-50 :m) and respiratory cancer for either sex (only respiratory

symptoms and any-site female cancers were reported to be associated with TSP in this study).

The ACS Study and the later AHSMOG analyses (Abbey et al., 1995) also evaluated

relationships between long-term exposures to sulfates (SO4) (which are predominantly but not

exclusively found in fine-mode particles, and can be considered an index for ambient fine

particles) and lung cancer mortality. The ACS Study reported somewhat elevated and

statistically significant lung cancer risk (RR = 1.36, 95% CI = 1.11-1.66) across 151 cities in

combined analyses of data for both males and females. However, in further analyses of

subgroups broken out by sex and smoking status (and thus having smaller sample sizes in each

than for the above overall combined analyses), only the lung cancer mortality risks for male

“ever-smokers” (RR = 1.44, 95% CI = 1.14-1.83) were statistically significant; no statistically

significant relationships were reported for male “never-smokers” (RR = 1.36, 95% CI = 0.40 -

4.66), for female “ever-smokers” (RR = 1.10, 95% CI = 0.72-1.68), or for female “neversmokers” (RR = 1.61; 95% CI = 0.66 -3.92). In the later AHSMOG analyses, Abbey et al.

(1995) found no statistically significant associations between sulfates and lung cancer or total

mortality.

In summary, the three key prospective cohort studies summarized above, and discussed

in more detail in the 1996 PM CD (U.S. EPA, 1996a), provide an equivocal array of results with

regard to possible associations between chronic exposures to ambient PM and lung cancer

mortality and/or incidence. None of the analyses of fine particles (as indexed by PM2.5) in these

three studies reported statistically significant relationships between long-term PM2.5 

concentrations and lung cancer mortality. Only the ACS Study found a statistically significant

association of increased risk of lung cancer with one indicator of ambient fine particles

(sulfates). Overall, then, these studies support a conclusion that there continues to be little

epidemiologic evidence for an effect of ambient PM on lung cancer mortality or incidence. It is

recognized, however, that subsequent AHSMOG analyses and other studies, published since

completion of the 1996 PM CD, have further analyzed relationships between ambient PM and

lung cancer. Results from these more recent studies are now being evaluated as part of the

integrated assessment of ambient PM that will be part of the new PM CD targeted for

completion in 2002.

7.2. EPIDEMIOLOGIC STUDIES OF THE CARCINOGENICITY OF 

EXPOSURE TO DIESEL EXHAUST

An increased risk from malignancies of the lung, bladder, and lymphatic tissue has been

reported in populations potentially exposed to higher levels of DE than typically seen in the

environment. A few authors have reported other malignancies, including testicular cancer
7-4

(Garland et al., 1988), gastrointestinal cancer (Balarajan and McDowall, 1988; Guberan et al.,

1992), and prostate cancer (Aronsen et al., 1996). A detailed review of 22 lung cancer studies is

presented in this section; a few more studies exist, but these 22 are judged to be the key ones. A

detailed review of other health effect studies is not presented because findings are equivocal.

Excess risk of bladder cancer has been reported in several studies (Howe et al., 1980;

Wynder et al., 1985; Hoar and Hoover et al., 1985; Silverman et al., 1983; Vineis and Magnani

1985; Silverman et al., 1986; Jensen et al., 1987; Steenland et al., 1987; Isocovich et al., 1987;

Risch et al., 1988; Iyer et al., 1990; Steineck et al., 1990; Cordier et al., 1993; Notani et al.,

1993). Very few studies found significant excesses after adjustment for cigarette smoking. 

Most studies failed to show any association between exposure to DE and occurrence of bladder

cancer. Some authors have reported excess mortality from lymphohematopoietic system cancers

in people potentially exposed to diesel fumes. Rushton and Alderson (1983) and Howe and

Lindsay (1983) found increased mortality from lymphatic neoplasms. Balarajan and McDowall

(1983) found raised mortality for malignant lymphomas. Flodin et al. (1987) observed increased

risk for multiple myeloma, and Bender et al. (1989) reported excess mortality from leukemia. 

Because evidence for bladder cancer and lymphohematopoietic cancer was found to be

equivocal, detailed reviews of these studies are not presented here.

The potential for elevated DE exposure in the occupational setting generally includes

miners, railroad workers, truckers, bus and taxi drivers, heavy equipment operators, farm tractor

drivers, and those involved with heavy duty marine engines. Regarding the mining industry

some assert that excess lung cancer should be observed in the miners if exposure to DE is

causally associated with the occurrence of lung cancer since DE is allegedly present in the

mines. Our review of the mining industry data dose not support this assertion for the following

reasons. In the United States, the introduction of diesel engines into metal mines dates from the

early to the mid 1960s. Currently, there are approximately 265 underground metal/nonmetal

mines in the United States. Virtually all of these mines use diesel powered equipment for

various tasks, such as haulage, roof bolting etc. (Department of Labor, Mine Safety and Health

Administration, 2001). Introduction of diesel equipment into coal mines was even later. Of 910

existing underground coal mines in the United States, only 145 currently use diesel-powered

equipment. Of these 145 mines, 32 mines are currently using diesel equipment for face coal

haulage. The remaining mines use diesel equipment for transportation, materials handling, and

other support operations (Department of Labor, Mine Safety and Health Administration, 2001). 

It should be noted that there is a paucity of epidemiologic studies in miners where exposure to

DE and health effects are explored. Furthermore, the majority of epidemiologic studies in

miners do not mention exposure to diesel equipment use. Thus, it is impossible to know how

many miners were exposed to DE and for how long and at what concentrations in a given study,
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if any. Hence the studies in miners (coal, metal, and nonmetal with the exception of potash

miners) are not reviewed in this chapter, because the available studies are uninformative relative

to DE.

In this section, various mortality and morbidity studies of lung cancer from potential

exposure to diesel engine emissions are reviewed. Although an attempt was made to cover all

the relevant studies, a number of studies are not included for several reasons. In the United

States the change from steam to diesel engines in locomotives began after World War II. By

1946 about 10% of the locomotives in service were diesel, by 1952 55% were diesel, and

dieselization was about 95% complete by 1959 (Garshick et al., 1988). Therefore, exposure to

DE was less common, and the follow-up period for studies conducted prior to 1960 (Raffle,

1957; Commins et al., 1957; Kaplan, 1959) was not long enough to cover the long latency

period of lung cancer. The usefulness of these studies in evaluating the carcinogenicity of DE is

greatly reduced; thus, they are not considered here. 

On the other hand, the trucking industry changed to diesel trucks by the 1960s. In the

1960s sales of diesel-powered Class 8 trucks (long-haul trucks) were 48% of the market, and by

the 1970s sales had risen to 85%. Thus, studies conducted among truck drivers prior to the

1970s may reflect exposures to gasoline exhaust as well as DE. Hence, studies with ambiguous

exposures or studies that examined several occupational risk factors were excluded because they

would have contributed little to the evaluation of the carcinogenicity of DE (Waxweiler et al.,

1973; Williams et al., 1977; Ahlberg et al., 1981; Stern et al., 1981; Buiatti et al., 1985;

Gustafsson et al., 1986; Siemiatycki et al., 1988). A study by Coggon et al. (1984) was excluded

because occupational information abstracted from death certificates had not been validated; this

would have resulted in limited information.

Several types of studies of the health effects of exposure to diesel engine emissions are

reviewed in this chapter, such as cohort studies, case-control studies, and studies that conducted

meta-analysis. In the cohort studies, cohorts of heavy construction equipment operators, railroad

and locomotive workers, bus garage employees, and miners were studied retrospectively to

determine increased mortality and morbidity resulting from exposures to varying levels of diesel

emissions in the workplace. The evaluation of each study presents the study population,

methodology used for the study, i.e., data collection and verification, analysis, results, and a

critique of the study. There are some methodologic limitations that are common to studies with

similar design. The total evidence, including limitations, is discussed at the end of the chapter in

the summary and discussion section. 
7-6

7.2.1. Cohort Studies 

7.2.1.1. Waller (1981): Trends in Lung Cancer in London in Relation to Exposure

 to Diesel Fumes

A retrospective mortality study of a cohort of London transport workers was conducted

to determine if there was an excess of deaths from lung cancer that could be attributed to DE

exposure. From nearly 20,000 male employees in the early years, those aged 45 to 64 were

followed for the 25-year period between 1950 and 1974 (the actual number of employees is not

given in the paper), constituting a total of 420,700 man-years at risk. These workers were

distributed among five job categories: drivers, garage engineers, conductors, motormen or

guards, and engineers (works). Lung cancer were ascertained from death certificates of

individuals who died while still employed, or if retired, following diagnosis. Expected death

rates were calculated by applying greater London death rates to the population at risk within

each job category. Data were calculated in 5-year periods and 5-year age ranges, and the results

were combined to obtain the total expected deaths in the required age range for the calendar

period. A total of 667 cases of lung cancer was reported, compared with 849 expected, to give a

cancer mortality ratio of 79%. In each of the five job categories, the observed numbers were

below those expected. Engineers in garages had the highest mortality ratio, 90%, motormen and

guards had a mortality ratio of 87%, and both the bus drivers and conductors had mortality ratios

of 75%. The engineers in the central works had a mortality ratio of 66%. These mortality ratios

did not differ significantly from each other. Environmental sampling was done at one garage, on

one day in 1979, for benzo[a]pyrene (B[a]P) concentrations and was compared with

corresponding values recorded in 1957. Concentrations of B[a]P recorded in 1957 were at least

10 times greater than those measured in 1979.

This study failed to find any association between DE and occurrence of lung cancer,

which may be due to several methodologic limitations. The lung cancer deaths were ascertained

while the workers were employed (the worker either died of lung cancer or retired after lung

cancer was diagnosed). Although man-years at risk were based on the entire cohort, no attempt

was made to trace or evaluate the individuals who had resigned from the London transport

company for any other reason. Hence, information on resignees who may have had significant

exposure to DE, and on lung cancer deaths among them, was not available for analysis. This

may have led to a dilution effect, resulting in underascertainment of observed lung cancer deaths

and underestimation of mortality ratios. Eligibility criteria for inclusion in the cohort, such as

starting date and length of service with the company, were not specified. Therefore, there may

not have been sufficient latency for the development of lung cancer. Use of greater London

population death rates to obtain expected number of deaths may have resulted in a deficit in

mortality ratios reflecting the “healthy worker effect.” Investigators did not categorize the five
7-7

job categories either by qualitative or quantitative levels of DE exposure; neither did they use an

internal comparison group to derive risk estimates.

The age range considered for this study was limited (45 to 64 years of age) for the period

between 1950 and 1974. It is not clear whether this age range was applied to calendar year 1950

or 1974, or at the midpoint of the 25-year follow-up period. No analyses were presented either

by latency or by duration of employment (surrogate for exposure). The environmental survey

based on B[a]P concentrations suggests that the cohort in its earlier years was exposed to much

higher concentrations of environmental contaminants than currently exist. It is not clear when

the reduction in B[a]P concentration occurred, because there are no environmental readings

available between 1957 and 1979. It is also important to note that the concentrations of B[a]P

inside the garage in 1957 were not very different from those outside the garage, thus indicating

that exposure for garage workers was not much different from that of the general population. 

Thus, this study fails to provide either positive or negative association between the DE exposure

and the occurrence of lung cancer. 

7.2.1.2. Howe et al. (1983): Cancer Mortality (1965 to 1977) in Relation to Diesel Fumes and

Coal Exposure in a Cohort of Retired Railroad Workers

This is a retrospective cohort study of the mortality experience of 43,826 male pensioners

of the Canadian National Railroad (CNR) between 1965 and 1977. Members of this cohort

consisted of male CNR pensioners who had retired before 1965 and who were known to be alive

at the start of that year, as well as those who retired between 1965 and 1977. The records were

obtained from a computer file that is regularly updated and used by the company for payment of

pensions. To receive a pension, each pensioner must provide, on a yearly basis, evidence that he

is alive. Specific cause of death among members of this cohort was ascertained by linking these

records to the Canadian Mortality Data Base, which contains records of all deaths registered in

Canada since 1950. Of the 17,838 deaths among members of the cohort between 1965 and

1977, 16,812 (94.4%) were successfully linked to a record in the mortality file. A random

sample manual check on unlinked data revealed that failure to link was due mainly to some

missing information on the death records.

Occupation at time of retirement was used by the Department of Industrial Relations to

classify workers into three diesel fume and coal dust exposure categories: (1) nonexposed, (2)

possibly exposed, and (3) probably exposed. Person-years of observation were calculated and

classified by age at observation in 5-year age groups (35 to 39, 40 to 44, . . . , 80 to 84, and $85

years). The observed deaths were classified by age at death for different cancers, for all cancers

combined, and for all causes of death combined. Standard mortality ratios (SMRs) were then

calculated using rates of the Canadian population for the period between 1965 and 1977. The
7-8

relative risks were calculated using the three exposure categories: nonexposed, possibly exposed,

and probably exposed.

Both total mortality (SMR = 95, p<0.001) and all cancer deaths (SMR = 99, p>0.05)

were close to that expected for the entire cohort. Analysis by exposure to diesel fume levels in

the three categories (nonexposed, possibly exposed, and probably exposed) revealed an increased

relative risk for lung cancer among workers with increasing exposure to diesel fumes. The

relative risk for nonexposed workers was presumed to be 1.0; for those possibly exposed, the

relative risk was significantly elevated to 1.2 (p=0.013); and for those probably exposed, it was

significantly elevated to 1.35 (p=0.001). The corresponding rates for exposure to varying levels

of coal dust were very similar at 1.00, 1.21 (p=0.012), and 1.35 (p=0.001), respectively. The

trend tests were highly significant for both exposures (p<0.001). Analysis performed after the

exclusion of individuals who worked in the maintenance of steam engines, and hence were

exposed to high levels of asbestos, yielded a risk of lung cancer of 1.00, 1.21, and 1.33 for those

nonexposed, possibly exposed, and probably exposed to DE, respectively, with a highly

significant trend (p<0.001).

An analysis done on individuals who retired prior to 1950 showed the relative risk of

lung cancer among nonexposed, possibly exposed, and probably exposed to be 1.00, 0.70, and

0.44, respectively, based on fewer than 15 deaths in each category. A similar analysis of

individuals who retired after 1950 found the results in the same categories to be 1.00, 1.23, and

1.40, respectively. Although retirement prior to 1950 indicated exposure to coal combustion

fumes alone, retirement after 1950 shows the results of mixed exposure to coal combustion

fumes and diesel fumes. As there was considerable overlap between occupations involving

probable exposure to diesel fumes and probable exposure to coal, and as most members of the

cohort were employed during the years in which the transition from coal to diesel occurred, it

was difficult to distinguish whether lung cancer was associated with exposure to coal

combustion fumes or diesel fumes or a mixture of both.

Although this study showed a highly significant dose-response relationship between

diesel fumes and lung cancer, it has some methodological limitations. There were concurrent

exposures to both diesel fumes and coal combustion fumes during the transition period;

therefore, misclassification of exposure may have occurred, because only occupation at

retirement was available for analysis. It is possible that the elevated response observed for lung

cancer was due to the combined effects of exposure to both coal dust/coal combustion products

and diesel fumes and not just one or the other. However, deaths due to lung cancer were not

elevated among workers who retired prior to the 1950s and thus would have been primarily

exposed to coal dust/coal combustion products. Furthermore, it should be noted that so far coal

dust has not been demonstrated to be a pulmonary carcinogen in studies of coal miners. This
7-9

study was restricted to deaths among retired workers; therefore, it is unclear if a worker who

developed lung cancer when actively employed and filed for a disability claim instead of

retirement claim would be included in the study or not. Thus, it is possible that workers with

heavy exposure might have been excluded from the study. Neither information on duration of

employment in diesel work, nor coal dust-related jobs other than those held at retirement, nor

details of how the exposure categories were created was provided. Therefore, it was not possible

to evaluate whether this omission would have led to an under- or overestimate of the true

relative risk. Although information on potential confounders such as smoking is lacking, the use

of an internal comparison group to compute the relative risks minimizes the potential for

confounding by smoking, as there is no reason to assume different smoking patterns among

individuals exposed to DE versus those not exposed. Despite these limitations, this study

provides suggestive evidence toward a causal association between exposure to DE and excess

lung cancer.

7.2.1.3. Rushton et al. (1983): Epidemiological Survey of Maintenance Workers in the

London Transport Executive Bus Garages and Chiswick Works 

This is a retrospective mortality cohort study of male maintenance workers employed for

at least 1 continuous year between January 1, 1967, and December 31, 1975, at 71 London

transport bus (also known as rolling stock) garages and at Chiswick Works. The following

information was obtained from computer listings: surname with initials, date of birth, date of

joining company, last or present job, and location of work. For those individuals who left their

job, date of and reason for leaving were also obtained. For those who died in service or after

retirement, and for men who had resigned, full name and last known address were obtained from

an alphabetical card index in the personnel department. Additional tracing of individuals who

had left was carried out through social security records. The area of residence was assumed to

be close to their work; therefore place of work was coded as residence. One hundred different

job titles were coded into 20 broader groups. These 20 groups were not ranked for DE exposure,

however. The reason for leaving was coded as died in service, retired, or other. The underlying

cause of death was coded using the eighth revision of the International Classification of Diseases

(ICD). Person-years were calculated from date of birth and dates of entry to and exit from the

study using the man-years computer language program. The workers were then subdivided into

5-year age and calendar period groups. The expected number of deaths was calculated by

applying the 5-year age and calendar period death rates of the comparison population with the

person-years of corresponding groups. The mortality experience of the male population in

England and Wales was used as the comparison population. Significance values were calculated

for the difference between the observed and expected deaths, assuming a Poisson distribution.
7-10

The person-years of observation totaled 50,008 and were contributed by 8,490

individuals in the study, with a mean follow-up of 5.9 years. Only 2.2% (194) of the men were

not traced. Observed deaths from all causes were significantly lower than expected (O = 495,

p<0.001). Observed deaths from all neoplasms and cancer of the lung were approximately the

same as those expected. The only significant excess observed, for cancer of the liver and gall

bladder at Chiswick Works, was based on four deaths (p<0.05). A few job groups showed a

significant excess of risks for various cancers. All the excess deaths observed for the various job

groups, except for the general hand category, were based on very small numbers (usually fewer

than five) and merited cautious interpretation. Only a notable excess in the general hand

category for lung cancer was based on as many as 48 cases (SMR = 133, p<0.03). 

This mortality study did not demonstrate any cancer excess. Details of work history

were not obtained to permit any analysis by DE exposure. The study’s limitations, including

small sample size, short duration of follow-up (average of only 6 years), and lack of sufficient

latency period, make it inadequate to draw any conclusions. 

7.2.1.4. Wong et al. (1985): Mortality Among Members of a Heavy Construction Equipment

Operators Union With Potential Exposure to DE Emissions

This retrospective mortality study was conducted on a cohort of 34,156 male members of

a heavy construction equipment operators union with potential exposure to DE emissions. Study

cohort members were identified from records maintained at Operating Engineers’ Local Union

No. 3-3A in San Francisco, CA. This union has maintained both work and death records on all

its members since 1964. Individuals with at least 1 year of membership in this union between

January 1, 1964, and December 31, 1978, were included in the study. Work histories of the

cohort were obtained from job dispatch computer tapes. The study follow-up period was

January 1964 to December 1978. Death information was obtained from a trust fund, which

provided information on retirement dates, vital status, and date of death for those who were

entitled to retirement and death benefits. Approximately 50% of the cohort had been union

members for less than 15 years, whereas the other 50% had been union members for 15 years or

more. The average duration of membership was 15 years. As of December 31, 1978, 29,046

(85%) cohort members were alive, 3,345 (9.8%) were dead, and 1,765 (5.2%) remained

untraced. Vital status of 10,505 members who had left the union as of December 31, 1978, was

ascertained from the Social Security Administration. Death certificates were obtained from

appropriate State health departments. Altogether, 3,243 deaths (for whom death certificates

were available) in the cohort were coded using the seventh revision of the ICD. For 102

individuals, death certificates could not be obtained, only the date of death; these individuals

were included in the calculation of the SMR for all causes of death but were deleted from the
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cause-specific SMR analyses. Expected deaths and SMRs were calculated using the U.S.

national age-sex-race cause-specific mortality rates for 5-year time periods between 1964 and

1978. The entire cohort population contributed to 372,525.6 person-years in this 15-year study

period.

A total of 3,345 deaths was observed, compared with 4,109 expected. The corresponding

SMR for all causes was 81 (p=0.01), which is consistent with the “healthy worker effect.” A

total of 817 deaths was attributed to malignant neoplasms, slightly fewer than the 878 expected

based on U.S. white male cancer mortality rates (SMR = 93, p=0.05). Mostly there were SMR

deficits for cause-specific cancers, including lung cancer for the entire cohort (SMR = 99, O =

309). The only significant excess SMR was observed for cancer of the liver (SMR = 167, O =

23, p<0.05).

Analysis by length of union membership as a surrogate of duration for potential exposure

showed statistically significant increases in SMRs of cancer of the liver (SMR = 424, p<0.01) in

the 10- to 14-year membership group and of the stomach (SMR = 248, p<0.05) in the 5- to 9-

year membership group. No cancer excesses were observed in the 15- to 19-year and 20+-year

membership groups. Although the SMR for cancer of the lung had a statistically significant

deficit in the less-than-5-year duration group, it showed a positive trend with increasing length

of membership, which leveled off after 10 to 14 years.

Cause-specific mortality analysis by latency period showed a positive trend for SMRs of

all causes of death, although all of them were statistically significant deficits, reflecting the

diminishing “healthy worker effect.” This analysis also demonstrated a statistically significant

SMR excess for cancer of the liver (10- to 19-year group, SMR = 258). The SMR for cancer of

the lung showed a statistically significant deficit for a <10-year latency but showed a definite

positive trend with increasing latency.

In addition to these analyses of the entire cohort, similar analyses were carried out in

various subcohorts. Analyses of retirees, 6,678 individuals contributing to 32,670 person-years,

showed statistically significant increases (p<0.01) in SMRs for all cancers; all causes of death;

cancers of the digestive system, large intestine, respiratory system, and lung; emphysema; and

cirrhosis of the liver. The other two significant excesses (p<0.01) were for lymphosarcoma and

reticulosarcoma and nonmalignant respiratory diseases. Further analysis of the 4,075 retirees

(18,678 person-years) who retired at age 65 or who retired earlier but had reached the age of 65

revealed statistically significant SMR increases (p<0.05) for all cancers, cancer of the lung, and

lymphosarcoma and reticulosarcoma.

To analyze cause-specific mortality by job held (potential exposure to DE emissions), 20

functional job titles were used, which were further grouped into three potential categories: high

exposure, low exposure, and unknown exposure. A person was classified in a job title if he ever
7-12

worked on that job. Based on this classification system, if a person had ever worked in a highexposure job title he was included in that group, even though he may have worked for a longer

time in a low-exposure group or in an unknown exposure group. Information on length of work

in any particular job, hence indirect information on potential length of exposure, was not

available either.

For the high-exposure group a statistically significant excess was observed for cancer of

the lung among bulldozer operators who had 15 to 19 years of membership and 20+ years of

follow-up (SMR = 343, p<0.05). This excess was based on 5 out of 495 deaths observed in this

group of 6,712 individuals, who contributed 80,328 person-years of observation.

The cause-specific mortality analysis in the low-exposure group revealed statistically

significant SMR excesses in individuals who had ever worked as engineers. These excesses

were for cancer of the large intestine (SMR = 807, O = 3, p<0.05) among those with 15 to 19

years of membership and length of follow-up of at least 20 years, and cancer of the liver (SMR =

872, O = 3, p<0.05) among those with 10 to 14 years of membership and length of follow-up of

10 to 19 years. There were 7,032 individuals who contributed to 78,403 person-years of

observation in the low-exposure group.

For the unknown exposure group, a statistically significant SMR was observed for motor

vehicle accidents only (SMR = 174, O = 21, p<0.05). There were 3,656 individuals who

contributed to 33,388 person-years of observation in this category.

No work histories were available for those who started their jobs before 1967 and for

those who held the same job prior to and after 1967. This group comprised 9,707 individuals

(28% of the cohort) contributing to 104,448 person-years. Statistically significant SMR excesses

were observed for all cancers (SMR = 112, O = 339, p<0.05) and cancer of the lung (SMR =

119, O = 141, p<0.01). A significant SMR elevation was also observed for cancer of the

stomach (SMR = 199, O = 30, p<0.01).

This study demonstrates a statistically significant excess for cancer of the liver but also

shows statistically significant deficits in cancers of the large intestine and rectum. It may be, as

the authors suggested, that the liver cancer cases actually resulted from metastases from the large

intestine and/or rectum, as tumors of these sites will frequently metastasize to the liver. The

excess in liver cancer mortality and the deficits in mortality that are due to cancer of the large

intestine and rectum could also, as the authors indicate, be due to misclassification. Both

possibilities have been considered by the investigators in their discussion.

Cancer of the lung showed a positive trend with length of membership as well as with

latency, although none of the SMRs were statistically significant except for workers without any

work histories. The individuals without any work histories may have been the ones who were in

their jobs for the longest period of time, because workers without job histories included those
7-13

who had the same job before and after 1967 and thus may have worked 12 to 14 years or longer. 

If they had belonged to the category in which heavy exposure to DE emissions was very

common for this prolonged time, then the increase in lung cancer, as well as stomach cancer,

might be linked to DE. Further information on those without work histories should be obtained

if possible, because such information may be quite informative with regard to the evaluation of

the carcinogenicity of DE.

The study design is adequate, covers about a 15-year observation period, has a large

enough population, and is appropriately analyzed; however, it has too many limitations to permit

any conclusions. First, no exposure histories are available; one has to make do with job

histories, which provide limited information on exposure level. Any person who ever worked at

the job, or any person working at the same job over any period of time, is included in the same

category; this would have a dilution effect, because extremely variable exposures were

considered in the study. Second, the length of time worked in any particular job is not available. 

Third, work histories were not available for 9,707 individuals, who contributed 104,448 personyears, a large proportion of the study cohort (28%). These individuals happen to show the most

evidence of a carcinogenic effect. Confounding by alcohol consumption for cancer of the liver

and smoking for emphysema and cancer of the lung was not ruled out. Fourth, 15 years’ followup may not provide sufficient latency to observe excess lung cancer. Last, although 34,156

members were eligible for the study, the vital status of 1,765 individuals was unknown. 

Nevertheless, they were still considered in the denominator of all the analyses. The investigators

fail to mention how the person-year calculation for these individuals was handled. Also, some

of the person-years might have been overestimated, as people may have paid the dues for a

particular year and then left work. These two causes of overestimation of the denominator may

have resulted in some or all the SMRs being underestimated.

7.2.1.5. Edling et al. (1987): Mortality Among Personnel Exposed to DE

This retrospective cohort mortality study of bus company employees investigated a

possible increased mortality of cardiovascular diseases and cancers from DE exposure. The

cohort comprised all males employed at five different bus companies in southeastern Sweden

between 1950 and 1959. Based on information from personnel registers, individuals were

classified into one or more categories and could have contributed person-years at risk in more

than one exposure category. The study period was from 1951 to 1983; information was

collected from the National Death Registry, and copies of death certificates were obtained from

the National Bureau of Statistics. Workers who died after age 79 were excluded from the study

because diagnostic procedures were likely to be more uncertain at higher ages (according to

investigators). The cause-, sex-, and age-specific national death rates in Sweden were applied to
7-14

the 5-year age categories of person-years of observation to determine expected deaths for all

causes, malignant diseases, and cardiovascular diseases. A Poisson distribution was used to

calculate p-values and confidence limits for the ratio of observed to expected deaths. The total

cohort of 694 men (after loss of 5 men to follow-up) was divided into three exposure categories: 

(1) clerks with lowest exposure, (2) bus drivers with moderate exposure, and (3) bus garage

workers with highest exposure.

The 694 men provided 20,304 person-years of observation, with 195 deaths compared

with 237 expected. A deficit in cancer deaths largely accounted for this lower-than-expected

mortality in the total cohort. Among subcohorts, no difference between observed and expected

deaths for total mortality, total cancers, or cardiovascular causes was observed for clerks (lowest

diesel exposure), bus drivers (moderate diesel exposure), and garage workers (high diesel

exposure). The risk ratios for all three categories were less than 1 except for cardiovascular

diseases among bus drivers, which was 1.1.

When the analysis was restricted to members who had at least a 10-year latency period

and either any exposure or an exposure exceeding 10 years, similar results were obtained, with

fewer neoplasms than expected, whereas cardiovascular diseases showed risk around or slightly

above unity.

Five lung cancer deaths were observed among bus drivers who had moderate DE

exposure, whereas seven were expected. The only other lung cancer death was observed among

bus garage workers who had the highest DE exposure. This study’s major limitations, including

small size and poor data on DE exposure, make it inadequate to draw any conclusions.

7.2.1.6. Boffetta and Stellman (1988): DE Exposure and Mortality Among Males in the

American Cancer Society Prospective Study

Boffetta and Stellman conducted a mortality analysis of 461,981 males with known

smoking history and vital status at the end of the first 2 years of follow-up. The analysis was

restricted to males aged 40 to 79 years in 1982 who enrolled in the American Cancer Society’s

prospective mortality study of cancer. Mortality was analyzed in relation to exposure to DE and

to employment in selected occupations related to DE exposure. In 1982, more than 77,000

American Cancer Society volunteers enrolled more than 1.2 million men and women from all 50

States, the District of Columbia, and Puerto Rico in a long-term cohort study, the Cancer

Prevention Study II (CPS-II). Enrollees were usually friends, neighbors, or relatives of the

volunteers; enrollment was by family groups, with at least one person in the household 45 years

of age or older. Subjects were asked to fill out a four-page confidential questionnaire and return

it in a sealed envelope. The questionnaire included history of cancer and other diseases; use of

medications and vitamins; menstrual and reproductive history; occupational history; and
7-15

information on diet, drinking, smoking, and other habits. The questionnaire also included three

questions on occupation: (1) current occupation, (2) last occupation, if retired, and (3) job held

for the longest period of time, if different from the other two. Occupations were coded to an ad

hoc two-digit classification in 70 categories. Exposures at work or in daily life to any of the 12

groups of substances were also ascertained. These included diesel engine exhausts, asbestos,

chemicals/acids/solvents, dyes, formaldehyde, coal or stone dusts, and gasoline exhausts. 

Volunteers checked whether their enrollees were alive or dead and recorded the date and place of

all deaths every other year during the study. Death certificates were then obtained from State

health departments and coded by a trained nosologist according to a system based on the ninth

revision of the ICD.

The data were analyzed to determine the mortality for all causes and lung cancer in

relation to DE exposure, mortality for all causes and lung cancer in relation to employment in

selected occupations with high DE exposure, and mortality from other causes in relation to DE

exposure. The incidence-density ratio was used as a measure of association, and test-based

confidence limits were calculated by the Miettinen method. For stratified analysis, the MantelHaenszel method was used for testing linear trends. Although data on 476,648 subjects

comprising 939,817 person-years of risk were available for analysis, 3% of the subjects (14,667)

had not given any smoking history, and 20% (98,026) did not give information on DE exposure

and were therefore excluded from the main DE analysis. Among individuals who had provided

DE exposure history, 62,800 were exposed and 307,143 were not exposed. Comparison of the

population with known information on DE exposure with the excluded population with no

information on DE exposure showed that the mean ages were 54.7 and 57.7 years, the

nonsmokers were 72.4% and 73.2%, and the total mortality rates per 1,000 per year were 23.0%

and 28.8%, respectively.

All-cause mortality was elevated among railroad workers (relative risk [RR] = 1.43, 95%

confidence interval [CI] = 1.2, 1.72), heavy equipment operators (RR = 1.7, 95% CI = 1.19,

2.44), miners (RR = 1.34, 95% CI = 1.06, 1.68), and truck drivers (RR = 1.19, 95% CI = 1.07,

1.31). The age-adjusted lung cancer relative risk was elevated significantly (RR = 1.41, 95% CI

= 1.19,1.66), which was slightly decreased to 1.31 (95% CI = 1.10, 1.54). For lung cancer

mortality the age- and smoking-adjusted risks were significantly elevated for miners (RR = 2.67,

95% CI = 1.63, 4.37) and heavy equipment operators (RR = 2.60, 95% CI = 1.12, 6.06). Risks

were also elevated, but not significantly, for railroad workers (RR = 1.59, 95% CI = 0.94, 2.69)

and truck drivers (RR = 1.24, 95% CI = 0.93, 1.66). These risks were calculated with the

Mantel-Haenszel method, controlling for age and smoking. Although the relative risk was

nonsignificant for truck drivers, a small dose-response effect was observed when duration of DE

exposure was examined. For drivers who worked for 1 to 15 years, the relative risk was 0.87,
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whereas for drivers who worked for more than 16 years, the relative risk was 1.33 (95% CI =

0.64, 2.75). Relative risks for lung cancer were not presented for other occupations. Mortality

analysis for other causes and DE exposure showed a significant excess of deaths (p<0.05) in the

following categories: cerebrovascular disease, arteriosclerosis, pneumonia, influenza, cirrhosis

of the liver, and accidents.

The main strength of this study is detailed information on smoking. The two main

methodologic concerns are the representativeness of the study population and the quality of

information on exposure. The sample, though very large, was composed of volunteers. Thus,

the cohort was healthier and less frequently exposed to important risk factors such as smoking

and alcohol. Self-administered questionnaires were used to obtain data on occupation and DE

exposure. None of this information was validated. Nearly 20% of the individuals had an

unknown exposure status to DE, and they experienced a higher mortality for all causes and lung

cancer than both the DE exposed and unexposed groups. This could have introduced a

substantial bias in the estimate of the association. Given that all DE exposure occupations, such

as heavy equipment operators, truck drivers, and railroad workers, showed elevated lung cancer

risk, this study is suggestive of a causal association. It should be noted that after adjusting for

smoking, the RR reduced slightly from 1.41 to 1.31 and remained significant, indicating that

observed excess of lung cancer was associated mainly with DE exposure. 

7.2.1.7. Garshick et al. (1988): A Retrospective Cohort Study of Lung Cancer and DE

Exposure in Railroad Workers

An earlier case-control study of lung cancer and DE exposure in U.S. railroad workers by

these investigators had demonstrated a relative odds of 1.41 (95% CI = 1.06, 1.88) for lung

cancer with 20 years of work in jobs with DE exposure. To confirm these results, a large

retrospective cohort mortality study was conducted by the same investigators. Data sources for

the study were the work records of the U.S. Railroad Retirement Board (RRB). The cohort was

selected based on job titles in 1959, which was the year by which 95% of the locomotives in the

United States were diesel powered. DE exposure was considered to be a dichotomous variable

depending on yearly job codes between 1959 and death or retirement through 1980. Industrial

hygiene evaluations and descriptions of job activities were used to classify jobs as exposed or

unexposed to diesel emissions. A questionnaire survey of 534 workers at one of the railroads

where workers were asked to indicate the amount of time spent in railroad locations, either near

or away from sources of DE, was used to validate this classification. Workers selected for this

survey were actively employed at the time of the survey, 40 to 64 years of age, started work

between 1939 and 1949 in the job codes sampled in 1959, and eligible for railroad benefits. To

qualify for benefits, a worker must have had 10 years or more of service with the railroad and
7-17

should not have worked for more than 2 years in a nonrailroad job after leaving railroad work. 

Workers with recognized asbestos exposure, such as repair of asbestos-insulated steam

locomotive boilers, passenger cars, and steam pipes, or railroad building construction and

repairs, were excluded from the job categories selected for study. However, a few jobs with

some potential for asbestos exposure were included in the cohort, and the analysis was done both

ways, with and without them.

The death certificates for all subjects identified in 1959 and reported by the RRB to have

died through 1980 were searched. Twenty-five percent of them were obtained from the RRB

and the remainder from the appropriate State departments of health. Coding of cause of death

was done without knowledge of exposure history, according to the eighth revision of the ICD. If

the underlying cause of death was not lung cancer, but was mentioned on the death certificate, it

was assigned as a secondary cause of death, so that the ascertainment of all cases was complete. 

Workers not reported by the RRB to have died by December 31, 1980, were considered to be

alive. Deceased workers for whom death certificates had not been obtained or, if obtained, did

not indicate cause of death, were assumed to have died of unknown causes.

Proportional hazard models were fitted that provided estimates of relative risk for death

caused by lung cancer using the partial likelihood method described by Cox, using the time

dimension being the time since first entry into the cohort. The model also controlled for the

birth year and the calendar time. The 95% confidence intervals were constructed using the

asymptotic normality of the estimated regression coefficients of the proportional hazards model. 

Exposure was analyzed by DE-exposed jobs in 1959 and by cumulative number of years of DE

exposure through 1980. Directly standardized rate ratios for deaths from lung cancer were

calculated for DE exposed compared with unexposed for each 5-year age group in 1959. The

standardized rates were based on the overall 5-year person-year time distribution of individuals

in each age group starting in 1959. The only exception to this was between 1979 and 1980,

when a 2-year person-year distribution was used. The Mantel-Haenszel analogue for personyear data was used to calculate 95% confidence intervals for the standardized rate ratios.

The cohort consisted of 55,407 workers, 19,396 of whom had died by the end of 1980. 

Death certificates were not available for 11.7% of all deaths. Of the 17,120 deaths for whom

death certificates were obtained, 48.4% were attributable to diseases of the circulatory system,

whereas 21% were attributable to all neoplasms. Of all neoplasms, 8.7% (1,694 deaths) were

due to lung cancer. A higher proportion of workers in the younger age groups, mainly brakemen

and conductors, were exposed to DE, while a higher proportion of workers in the older age

groups were potentially exposed to asbestos. In a proportional hazards model, analyses by age in

1959 found a relative risk of 1.45 (95% CI = 1.11, 1.89) among the age group 40 to 44 years and

a relative risk of 1.33 (95% CI = 1.03, 1.73) for the age group 45 to 49 years. Risk estimates in
7-18

the older age groups 50 to 54, 55 to 59, and 60 to 64 years were 1.2, 1.18, and 0.99, respectively,

and were not statistically significant. The two youngest age groups in 1959 had workers with

the highest prevalence and longest duration of DE exposure and lowest exposure to asbestos. 

When potential asbestos exposure was considered as a confounding variable in a proportional

hazards model, the estimates of relative risk for asbestos exposure were all near null value and

not significant. Analysis of workers exposed to DE in 1959 (n = 42,535), excluding workers

with potential past exposure to asbestos, yielded relative risks of 1.57 (95% CI = 1.19, 2.06) and

1.34 (95% CI = 1.02, 1.76) in the 1959 age groups 40 to 44 years and 45 to 49 years. Directly

standardized rate ratios were also calculated for each 1959 age group based on DE exposure in

1959. The results confirmed those obtained by using the proportional hazards model.

Relative risk estimates were then obtained using duration of DE exposure as a surrogate

for dose. In a model that used years of exposure up to and including exposure in the year of

death, no exposure duration-response relationship was obtained. When analysis was done by

disregarding exposure in the year of death and 4 years prior to death, the risk of dying from lung

cancer increased with the number of years worked in a diesel-exhaust-exposed job. In this

analysis, exposure to DE was analyzed by exposure duration groups and in a model entering age

in 1959 as a continuous variable. The workers with greater than 15 years of exposure had a

relative risk of lung cancer of 1.72 (95% CI = 1.27, 2.33). The risk for 1 to 4 years of

cumulative exposure was 1.20 (95% CI = 1.01, 1.44); for 5 to 9 years of cumulative exposure, it

was 1.24 (95% CI = 1.06, 1.44); and for 10 to 14 years of cumulative exposure, it was 1.32

(95% CI = 1.13, 1.56). 

The results of this study, demonstrating a positive association between DE exposure and

increased lung cancer, are consistent with the results of the case-control study conducted by the

same investigators in railroad workers dying of lung cancer from March 1981 through February

1982. This cohort study has addressed many of the weaknesses of the other epidemiologic

studies. The large sample size (55,400) allowed sufficient power to detect small risks and also

permitted the exclusion of workers with potential past exposure to asbestos. The stability of job

career paths in the cohort ensured that of the workers 40 to 44 years of age in 1959 classified as

DE-exposed, 94% of the cases were still in DE-exposed jobs 20 years later.

The main limitation of the study is the lack of quantitative data on exposure to DE in

either individual workers or overall job categories. This is one of the few studies in which

industrial hygiene measurements of DE were done. These measurements were correlated with

job titles to divide the cohort in dichotomous exposure groups of exposed and nonexposed. This

may have led to an underestimation of the risk of lung cancer because exposed groups included

individuals with low to high exposure. The number of years exposed to DE was used as a

surrogate for dose. The dose, based on duration of employment, was inaccurate because
7-19

individuals were working on steam and diesel locomotives during the transition period. It

should be noted that the investigators only included exposures after 1959; the duration of

exposure prior to 1959 was not known. If the categories of exposure to DE had been set up as

no, low, moderate, and high exposure, the results would have been more meaningful, as would

the dose-response relationship. Another limitation of this study was its inability to examine the

effect of years of exposure prior to 1959 and latency. No adjustment for smoking was made in

this study. However, an earlier case-control study done in the same cohort (Garshick et al.,

1987) showed no significant difference in the risk estimate after adjusting for smoking. Despite

these limitations, the results of this study indicate that occupational exposure to DE is associated

with a modest risk (1.5) of lung cancer.

The data of this study were used by Crump et al. (1991) to explore the development of

dose-response-based quantitative estimates of lung cancer associated with DE exposure by using

diesel exposure estimate data from the industrial hygiene (IH) studies conducted by Hammond 

(1998) and Woskie et al. (1988a,b). These studies were conducted in conjunction with the

Garshick et al. (1988) study. The Woskie et al. (1988a,b) IH studies were conducted in four

small northern railroads where the workers were exposed to DE in the early 1980s, prior to the

Garshick et al. (1988) epidemiologic study. A total of 39 job titles were identified by Woskie et

al. (1988a,b), which were subsequently combined into 13 job groups and finally merged into 5

career exposure job codes as follows: brakers, conductors, and hostlers; clerks; engineers and

firers; signal maintainers; and shop workers. The average exposure estimates were assigned to

the cohort members by Crump et al. (1991) based on the job codes in 1959. Cumulative

exposures were calculated using these average exposures for each job code. The exposures in

the IH study by Hammond (1998) were defined as the concentrations of respirable-sized

particles (RSP), the adjusted respirable particles (ARP) concentrations, and the adjusted

extractable mass (AEM). The concentrations of ARP were estimated in the IH study by

removing the particle contribution of environmental tobacco smoke (ETS). Crump et al. (1991)

also used another index called total extractable material (TEX), which was the extractable RSP

including the particle contribution of ETS. Using these four exposure indices and the regional

climates for the United States, Crump et al. (1991) constructed various exposure metrics. They

conducted more than 50 analyses based on calendar year, age in 1959, attained age, and five job

codes identified in 1959: brakers, conductors, and hostlers; clerks; engineers and firers; signal

maintainers; and shop workers; using the exposure metrics. Crump et al. (1991) used the U.S.

general population age- and year-specific death rates for comparison and found that the relative

risk can be positively or negatively related to the duration of exposure depending on how age

was controlled in a model. Their use of the U.S. general population rates instead of the internal

unexposed group of railroad workers that was used by Garshick et al. (1988) identified that the
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death ascertainment between 1977 and 1980 as incomplete. The Crump et al. (1991) analysis,

limited to 1959 through 1976, found an excess lung cancer risk similar to the subsequent

Garshick analysis (letter from Garshick, Harvard Medical School, to Chao Chen, U.S. EPA,

dated August 15, 1991). 

Garshick conducted some additional analyses after confirming the underascertainment of

deaths by RRB identified by Crump et al. (1991). He reported that the relationship between

years of exposure, when adjusted for attained age and calendar year, was flat to negative

depending upon which model was used. He also found that in the years 1977-1980 the death

ascertainment was incomplete; approximately 20% to 70% of deaths were missing depending

upon the calendar year. Garshick’s analysis, based on job titles in 1959 and limited to deaths

occurring through 1976, showed that even though the relative risk for all exposure groups was

elevated, the youngest workers still had the highest risk of dying of lung cancer. 

Crump (1999), on the other hand, reported that the negative dose-response continued to

be upheld in his latest analysis when age was controlled more carefully and years of exposure

quantified more accurately. Crump (1999) asserted that the negative dose-response trends for

lung cancer observed either with the cumulative exposure or with duration of exposure may be

due to underascertainment of deaths in the last 4 years of follow-up of the Garshick et al. (1988)

study as well as incomplete follow-up in earlier years.

California EPA’s (Cal EPA, 1998) Office of Environmental Health Hazard Assessment

(OEHHA) used the same railroad worker data for its quantitative risk assessment. The five job

categories defined by Woskie et al. (1988a,b) and used by Crump et al. (1991) were combined

into three exposure categories: exposed (engineers and firers; brakers, conductors, and hostlers;

collectively known as “train workers”), unexposed (clerks and signalmen), and uncertain

exposure (shop workers). In its analysis, OEHHA found a positive dose-response and a steadily

increasing risk of lung cancer with increasing duration of exposure by using age in 1959 but

allowing for an interaction term of age and calendar year in the model. This positive doseresponse finding was contradictory to the negative to flat dose-response findings of both Crump

et al. (1991) and Garshick (letter from Garshick, Harvard Medical School, to Chao Chen, U.S.

EPA, dated August 15, 1991).

The Health Effects Institute (HEI, 1999) convened an expert panel specifically to

evaluate strengths and limitations of two epidemiologic studies that had some exposure data, for

quantitative risk estimation and to resolve the discrepancies in the dose-response results reported

by Garshick et al. (1988), Crump et al. (1991), and OEHHA (Cal EPA, 1998). In their

evaluation of the epidemiologic study of railroad worker data for quantitative risk assessment,

the panel conducted their own analysis of the Garshick et al. (1988) data. They excluded the last

4 years of follow-up (1977-1980) because of underascertainment of deaths during these years. 
7-21

The panel categorized the duration of exposure in 12 categories that were basically the duration

of employment. The exposure was assumed to be linearly increasing for 15 years prior to 1959. 

Lags of 5 and 10 years were also considered in the analysis. The job categories based on job

held in 1959 were classified as clerks, signalmen, engineers and firers, conductors and brakers,

hostlers, and shop workers. For final analysis these were collapsed into three groups: clerks and

signalmen, train workers (engineers and firers, conductors and brakers, and hostlers), and shop

workers. Seven different models were used. The panel’s analysis revealed consistently elevated

lung cancer risk for train workers compared with clerks for each duration of employment (1-4,

5-9, 10-14, 15-17, 18+) in years and that shop workers had an intermediate risk of lung cancer. 

Their analysis also revealed decreasing risk of lung cancer with increasing duration of

employment in all three job categories. These findings were similar to those of Garshick (letter

from Garshick, Harvard Medical School, to Chao Chen, U.S. EPA, dated August 15, 1991) and

Crump et al. (1991). 

In addition to differences in adjusting the age (age in 1959 versus attained age) in their

respective analyses, these three investigators made different assumptions in estimating exposure

patterns in these railroad workers. Garshick et al. (1988) assumed that there was no exposure to

DE prior to 1959 and that the exposure to DE was constant throughout the period of follow-up,

i. e., 1959 to 1980 (block exposure pattern). Crump et al. (1991) assumed that the exposure to

DE increased steadily from 1945 to 1959 to the same level as assumed in the block exposure

pattern by Garshick et al. (1988) and then remained constant from 1959 through 1980 (ramp

exposure pattern). OEHHA assumed that the exposure increased steeply from 1945 to 1959. 

The peak exposure attained in 1959 according to OEHHA was twice as high as assumed in the

block and ramp exposure patterns by Garshick et al. (1988) and Crump et al. (1991),

respectively. The exposures then declined steeply from 1959 to reach the levels assumed in the

block and ramp exposure patterns in 1980 (roof exposure pattern). The roof exposure pattern

was constructed on the assumption that diesel engines were “smokier” in the past. A detailed

discussion of divergent results observed by Crump and Cal EPA can be found in Chapter 8. 

The panel discussed various possibilities for the negative dose-response found among

train workers and to a lesser extent among shop workers. They asserted that several types of

biases could affect the data, alone or in combination, and mask a true positive association. The

biases enumerated by the panel were: unmeasured confounding by smoking, exposure to other

sources of pollution, previous occupational exposures, exposure misclassification, use of

“duration of employment” as a surrogate measure for exposure, healthy worker survivor effect,

and differential or incomplete ascertainment of lung cancer deaths (for detailed discussion of

how an individual bias affects the results, please see HEI, 1999). The panel concluded,

“However, despite the reason or reasons why the relative risks in these data decrease with
7-22

duration of employment, the lack of a positive exposure-response association in the railroad

worker cohort substantially weakens that study’s potential to provide a reliable quantitative

estimate of risk of exposure to diesel engine emissions.” Thus, the panel recommended against

using the current railroad worker data as the basis for quantitative risk assessment in ambient

settings. 

The panel also reported that the Garshick et al. study (1987, 1988) had several strengths,

such as a large number of study subjects (55,407 subjects, including 1,694 lung cancer deaths in

the cohort study and 1,256 lung cancer cases for the case-control study). The workers were

employed in an industry where many of them were exposed to DE. Confounding by asbestos

was handled by either excluding certain job categories from the analyses or controlling for it in

the analyses. Confounding by smoking was controlled in the analyses of case-control study. 

The panel concluded that the overall results of the Garshick studies were generally consistent

with findings of a weak association between exposure to DE and occurrence of lung cancer.

Thus, it should be noted that although the railroad worker data are unsuitable for

quantitative risk assessment, they provide qualitative support for a positive association between

exposure to DE and occurrence of lung cancer. 

7.2.1.8. Gustavsson et al. (1990): Lung Cancer and Exposure to DE Among Bus 

Garage Workers

A retrospective mortality study (from 1952 to 1986), cancer incidence study (from 1958

to 1984), and nested case-control study were conducted among a cohort of 708 male workers

from five bus garages in Stockholm, Sweden, who had worked for at least 6 months between

1945 and 1970. Thirteen individuals were lost to follow-up, reducing the cohort to 695.

Information was available on location of workplace, job type, and beginning and ending

of work periods. Workers were traced through a computerized register of the living population,

death and burial books, and data from the Stockholm city archives.

For the cohort mortality analyses, death rates of the general population of greater

Stockholm were used. Death rates of occupationally active individuals, a subset of the general

population of greater Stockholm, were used as a second comparison group to reduce the bias

from “healthy worker effect.” Mortality analysis was conducted using the “occupational

mortality analysis program” (OCMAP-PC). For cancer incidence analysis, the “epidemiology in

Linköping” (EPILIN) program was used, with the incidence rates obtained from the cancer

registry.

For the nested case-control study, both dead and incident primary lung cancers identified

in the register of cause of deaths and the cancer register were selected. Six controls matched on

age ± 2 years, selected from the noncases at the time of the diagnosis of cases, were drawn at
7-23

random without replacements. Matched analyses were done to calculate odds ratios using

conditional logistic regression. The EGRET and Epilog programs were used for these analyses.

DE and asbestos exposure assessments were performed by industrial hygienists based on

the intensity of exposure to DE and asbestos, specific for workplace, work task, and calendar

time period. A DE exposure assessment was based on (1) amount of emission (number of buses,

engine size, running time, and type of fuel), (2) ventilatory equipment and air volume of the

garages, and (3) job types and work practices. Based on detailed historical data and very few

actual measurements, relative exposures were estimated (these were not absolute exposure

levels). The scale was set to 0 for unexposed and 1 for lowest exposure, with each additional

unit increase corresponding to a 50% increase in successive intensity (i.e., 1.5, 2.25, 3.38, and

5.06).

Based on personal sampling of asbestos during 1987, exposures were estimated and timeweighted annual mean exposures were classified on a scale of three degrees (0, 1, and 2). 

Cumulative exposures for both DE and asbestos were calculated by multiplying the level of

exposure by the duration of every work period. An exposure index was calculated by adding for

every individual contribution from all work periods for both DE and asbestos. Four DE index

classes were created: 0 to 10, 10 to 20, 20 to 30, and >30. The four asbestos index classes were

0 to 20, 20 to 40, 40 to 60, and >60. The cumulative exposure indices were used for the nested

case-control study.

Excesses were observed for all cancers and some other site-specific cancers using both

comparison populations for the cohort mortality study, but none of them was statistically

significant. Based on 17 cases, SMRs for lung cancer were 122 and 115 using Stockholm

occupationally active and general population, respectively. No dose-response was observed with

increasing cumulative exposure in the mortality study. The cancer incidence study reportedly

confirmed the mortality results (results not given).

The nested case-control study, on the other hand, showed increasing risk of lung cancer

with increasing exposure. Using 0 to 10 DE exposure index as the comparison group yielded

RRs of 1.34 (95% CI = 1.09 to 1.64), 1.81 (95% CI = 1.20 to 2.71), and 2.43 (95% CI = 1.32 to

4.47) for the DE indices 10 to 20, 20 to 30, and >30, respectively. The study was based on 17

cases and 6 controls for each case matched on age ± 2 years. Adjustment for asbestos exposure

did not change the lung cancer risk for DE.

The main strength of this study is the detailed exposure matrices constructed for both DE

and asbestos exposure, although they were based primarily on job tasks and very few actual

measurements. There are a few methodological limitations to this study. The cohort is small

and there were only 17 lung cancer deaths; thus the power is low. Exposure or outcome may be

misclassified, although any resulting bias in the relative risk estimates is likely to be toward
7-24

unity, because exposure classification was done independently of the outcome. Although the

analysis by dose indices was done, no latency analysis was performed. Although data on

smoking were missing, it is unlikely to confound the results because this is a nested case-control

study; therefore, smoking is not likely to be different among the individuals irrespective of their

exposure status to DE. Overall, this study provides some support to the excess lung cancer

results found earlier among populations exposed to DE.

7.2.1.9. Hansen (1993): A Follow-up Study on the Mortality of Truck Drivers

This is a retrospective cohort mortality study of unskilled male laborers, ages 15 to 74

years, in Denmark, identified from a nationwide census file of November 9, 1970. The exposed

group included all truck drivers employed in the road delivery or long-haul business (14,225). 

The unexposed group included all laborers in certain selected occupational groups considered to

be unexposed to fossil fuel combustion products and to resemble truck drivers in terms of workrelated physical demands and various personal background characteristics (43,024).

Through automatic record linkage between the 1970 census register (the Central

Population Register 1970 to 1980) and the Death Certificate Register (1970 to 1980), the

population was followed for cause-specific mortality or emigration up to November 9, 1980. 

Expected number of deaths among truck drivers was calculated by using the 5-year age group

and 5-year time period death rates of the unexposed group and applying them to the person-years

accumulated by truck drivers. ICD Revision 8 was used to code the underlying cause of death. 

Test-based CIs were calculated using Miettinen’s method. A Poisson distribution was assumed

for the smaller numbers, and CI was calculated based on exact Poisson distribution (CibaGeigy). Total person-years accrued by truck drivers were 138,302, whereas for the unexposed

population, they were 407,780. There were 627 deaths among truck drivers and 3,811 deaths in

the unexposed group. Statistically significant excesses were observed for all cancer mortality

(SMR = 121, 95% CI = 104 to 140); cancer of respiratory organs (SMR = 160, 95% CI = 128 to

198), which was due mainly to cancer of bronchus and lung (SMR = 160, 95% CI = 126 to 200);

and multiple myeloma (SMR = 439, 95% CI = 142 to 1,024). When lung cancer mortality was

further explored by age groups, excesses were observed in most age groups (30 to 39, 45 to 49,

50 to 54, 55 to 59, 60 to 64, and 65 to 74), but there were small numbers of deaths in each group

when stratified by age, and the excesses were statistically significant for the 55 to 59 (SMR =

229, O = 19, 95% CI = 138 to 358) and 60 to 64 (SMR = 227, O = 22, 95% CI = 142 to 344) age

groups only.

As acknowledged by the author, the study has quite a few methodologic limitations. The

exposure to DE is assumed in truck drivers based on use of diesel-powered trucks, but no

validation of qualitative or quantitative exposure is attempted. It is also not known whether any
7-25

of these truck drivers or any other laborers had changed jobs after the census of November 9,

1970, thus creating potential misclassification bias in exposure to DE. The truck drivers and the

unexposed laborers were from the same socioeconomic class and may have the same smoking

habits. Still, the lack of information on smoking data and a 36% rural population (usually

consuming less tobacco) in the unexposed group may potentially confound the lung cancer

results. However, a population survey carried out in 1988 showed very little difference in

smoking habits of residents of rural areas and the total Danish male population. The investigator

reports that diesel trucks were introduced in Denmark after World War II, and since the late

1940s the majority of the Danish fleet has been composed of diesel trucks. Consequently, even

though the follow-up period is relatively short, the truck drivers may have had exposure to DE

for 20 to 30 years. Therefore, the finding of excess lung cancer in this study is consistent with

the findings of other truck driver studies.

7.2.1.10. Saverin et al. (1999): DE and Lung Cancer Mortality in Potash Mining 

This is a cohort mortality study conducted in male potash miners in Germany. The

mines began using mobile diesel-powered vehicles in 1969 and 1970. Miners who had worked

underground for at least 1 year after 1969 to 1991, when the mines were closed, were followed

from 1970 to 1994. A total of 5,981 individuals were identified from the medical records by a

team of medical personnel familiar with the mining technology. A total of 5,536 were eligible

for follow-up after 5.5% were excluded due to implausible or incomplete work history and 1.9%

were lost to follow-up. A subcohort of 3,258 miners who had worked for at least 10 years

underground (80% had held a single job) was also identified. The miners’ biannual medical

examination records were used to extract the information about personal data, smoking data, and

pre-mining occupation, and to reconstruct a chronology of workplaces occupied by the worker

since hire for each person. 

Exposure categories were defined as production, maintenance, and workshop, roughly

corresponding to high, medium, and low. Concentrations of total carbon, including elemental

and organics, were measured in the airborne fine dust in 1992. A total of 255 samples covering

all workplaces was obtained. Most were personal dust samples; some were area dust samples. 

Cumulative exposure was calculated for each miner, for each year of observation, using the work

chronology and the work category. For the workshop category years of employment were

considered as exposure time; for production and maintenance years of employment was

weighted by a factor of 5/8, since these workers for an 8-hour shift worked for only 5 hours

underground. As neither the mining technology nor the type of machinery used had changed

substantially from 1970 to 1992, the exposure measurements were considered to represent the

exposures throughout the study period. Accrued person-years were classified into cumulative
7-26

exposures and were expressed in intervals of 0.5 ymg/m3

. Both the exposure data and the

smoking data obtained from the medical files were validated by personal interviews with 1,702

cohort members. Death certificates were obtained from local health centers for 94.4% of

deceased members. Autopsy data were available for 13% of the deceased. Internal comparison

was done between production and workshop categories. Using East German general male

population rates, SMRs were computed for the total cohort as well as the subcohort. Analyses

were done using Poisson and Cox regression models. 

The concentrations of total carbon for production, maintenance, and workshop categories

were 0.39 mg/m3

, 0.23 mg/m3, and 0.12 mg/m3, respectively. The cumulative exposure ranged

from 0.25 ymg/m3 to 6.25 ymg/m3. The regression analysis showed that the cohort’s smoking

habits were homogenous and that smoking had an even distribution over cumulative exposure. 

A total of 424 deaths were observed for the entire cohort (SMR = 54). The all-cancer

deaths were 133, of which 38 were from lung cancer (SMR = 78). Analysis for the subcohort

using the internal comparison group of low exposure (workshop category, mean cumulative

exposure = 2.12 ymg/m3) RR of 2.17 (95% CI = 0.79, 5.99) was found for the production

category (mean cumulative exposure = 4.38 ymg/m3). The relative risks for lung cancer for 20 

years of exposure in the production category (highest exposure = cumulative exposure of 4.9

ymg/m3) were calculated using Poisson and Cox regression methods. RRs of 1.16 and 1.68 were

observed for the total cohort, while RRs of 1.89 and 2.7 were observed for the subcohort by

Poisson and Cox regression methods respectively. 

The main strengths of the study are the information available on DE exposure and

smoking. Although these potash miners were exposed to salt dust and nitric gases, exposures to

other confounders such as heavy metals and radon were absent. Smoking does not seem to be a

confounder in this study but cannot be completely ruled out. Unfortunately, the age distribution

of the cohort is not available. Since there were only 424 deaths in 25 years of follow-up in this

cohort of 5,536, it appears that the cohort is young. Although lung cancer risk was elevated by

twofold in the production category of the subcohort of miners who had worked for at least 10

years underground at the same job for 80% of their time and did not have more than 3 jobs, it

was not statistically significant. The follow-up period for this study was 25 years, but the cohort

members could have entered the cohort any time between 1970 and 1990, as long as they

worked underground for a year, i.e., they could have worked in the mines for 1 year to 21 years. 

Thus, the authors may not have had enough follow-up or latency to observe the lung cancer

excess. Despite these limitations, the results of this study provide suggestive evidence for the

causal association between DE and excess lung cancer.

Table 7-1 summarizes the above cohort studies.
Table 7-1. Epidemiologic studies of the health effects of exposure to DE: cohort mortality studi

Authors Population studied DE exposure assessment Results Limi

Waller(1981)

Approximately 20,000 maleLondon transportation workersAged 45 to 64 years25 years follow-up (1950-1974)

Five job categories used todefine exposureEnvironmental B[

a]P

concentrations measured in1957 and 1979

SMR = 79 for lung cancer for thetotal cohort SMRs for all five job categorieswere less than 100 for lungcancer

Exposure measureshowed very little inside and outside Incomplete informmembersNo adjustment for as other exposuresmoking, etc.No latency analys

Howe et al.(1983)

43,826 male pensioners of theCanadian National RailwayCompanyMortality between 1965 and1977 among these pensionerswas compared with mortalityof general Canadian population

Exposure groupsclassified by a groupof experts based onoccupation at the timeof retirementThree exposure groups:NonexposedPossibly exposedProbably exposed

RR = 1.2 (p=0.013) andRR = 1.3 (p=0.001) for lungcancer for possible and probableexposure, respectivelyA highly significantdose-response relationshipdemonstrated by trendtest (p<0.001)

Incomplete exposto lack of lifetime historyMixed exposures dust/combustion pNo validation of mcategorize exposuLack of data on sminternal compariscompute RRs minconfounding by smNo latency analys

7-27
Table 7-1. Epidemiologic studies of the health effects of exposure to DE: cohort mortality studies

(continued)

Authors Population studied DE exposure assessment Results Limi

Rushtonet al. (1983)

8,490 male London transportmaintenance workers Mortality of workers employedfor 1 continuous year betweenJanuary 1, 1967, and December31, 1975, was compared withmortality of general populationof England and Wales

100 different job titles weregrouped in20 broad categoriesThe categories were notranked for DE exposure

SMR = 133 (p<0.03) for lungcancer in the general hand jobgroupSeveral other jobcategories showed SS increasedSMRs for several other sitesbased on fewer than five cases

Ill-defined DE exrankingAverage 6-year foenough time for luNo adjustment for 

Wong et al.(1985)

34,156 male heavy constructionequipment operatorsMembers of the local union forat least 1 year betweenJanuary 1, 1964, and December 1,1978

20 functional job titlesgrouped into three jobcategories for potentialexposureExposure groups (high,low, and unknown) basedon job description andproximity to source of DEemissions

SMR = 166 (p<0.05) for liver

cancer for total cohort SMR = 343 (observed = 5,p<0.05) for lung cancer for highexposure bulldozer operatorswith 15-19 years of membership,20+ years of follow-upSMR = 119 (observed = 141,p<0.01) for workers with nowork histories

No validation of ewhich were based informationIncomplete emploEmployment histothe union not ava15 year follow-up sufficient time for latencyNo data on confouexposures, alcoho

Edling et al.(1987)

694 male bus garage employeesFollow-up from 1951 through1983Mortality of these men wascompared with mortality ofgeneral population of Sweden

Three exposure groupsbased on job titles:High exposure, bus garage workersIntermediate exposure, bus driversLow exposure, clerks

No SS differences were observedbetween observed and expectedfor any cancers by differentexposure groups 

Small sample sizeNo validation of eNo data on confouexposures, smoki

7-28
Table 7-1. Epidemiologic studies of the health effects of exposure to DE: cohort mortality studies

(continued)

Authors Population studied DE exposure assessment Results Limi

Boffetta andStellman(1988)

46,981 male volunteers enrolledin the American Cancer Society’sProspective Mortality Study ofCancer in 1982Aged 40 to 79 years at enrollmentFirst 2-year follow-up

Self-reported occupationswere coded into 70 jobcategoriesEmployment in high DEexposure jobs werecompared with nonexposedjobs

Total mortality (SS) elevated forrailroad workers (RR=1.43),heavy equipment operators(RR=1.7), miners (RR=1.34),and truck drivers (RR=1.19)Lung cancer mortality (SS)adjusted for age & smoking,elevated for total cohort(RR=1.31), miners (RR=2.67),and heavy equipment operators(RR=2.6)Lung cancer mortality (SNS)elevated among railroad workersand truck driversTruck drivers also showed adose-response

Exposure informareported occupativalidation was doVolunteer populahealthy populatio

7-29
Table 7-1. Epidemiologic studies of the health effects of exposure to DE: cohort mortality studies

(continued)

Authors Population studied DE exposure assessment Results Limi

Garshicket al. (1988)Garshick (ltrto ChaoChen, EPA,dtd 8/15/91

55,407 white male railroadworkersAged 40 to 64 years in 1959Started work 10-20 years earlierthan 1959

Industrial hygiene datacorrelated with job titles todichotomize the jobs as“exposed” or “not exposed”

RR = 1.45 (40-44 year agegroup)RR = 1.33 (45-49 year agegroup)Both SSAfter exclusion of workersexposed to asbestosRR = 1.57 (40-44 year agegroup)RR = 1.34 (45-49 year agegroup)Both SSDose response indicated byincreasing lung cancer risk withincreasing cumulative exposureFurther analysis using attainedage, limited through 1976showed youngest workers stillhad the highest risk

Years of exposure for doseNot possible to setime since first exof exposureLack of smoking control study showdifference betweeDE versus those w

Crump et al. (1991)Crump (1999)

Reanalysis of Garshick et al.,1988 data 

Dose response found to bepositive or negative dependingupon how the age was controlledin the modelNegative dose-response upheldin the latest analysis

CaliforniaEPA (1998)

Reanalysis of Garshick et al.,1988

Positive dose response using ageat 1959 and interaction term ofage & calendar year

7-30
Table 7-1. Epidemiologic studies of the health effects of exposure to DE: cohort mortality studies

(continued)

Authors Population studied DE exposure assessment Results Limi

7-31

Gustavssonet al. (1990)

695 male workers from 5 busgarages in Stockholm, Sweden,who had worked for 6 monthsbetween 1945 and 197034 years follow-up (1952-1986)Nested case-control study17 cases, six controls for eachcase matched on age ± 2 years

Four DE indices werecreated: 0 to 10, 10 to 20, 20-30,and >30 based on job tasksand duration of work

SNS SMRs of 122 and 115 (OAand GP), respectivelyCase-control study resultsshowed dose response: RR = 1.34 (10 to 20)RR = 1.81 (20 to 30)RR = 2.43 (>30)All SS with 0-10 as comparisongroup

Exposure matrix b(not on actual meSmall cohort, henLack of smoking confound the resunested case-contro

Hansen(1993)

Cohort of 57,249 unskilledlaborers, ages 15 to 74, inDenmark (nationwide census file)November 9, 1970Follow-up through November 9,1980

DE exposure assumedbased on diesel-poweredtrucks

SS SMRs for lung cancer :SMR = 160 for total populationSMR = 229 for age 55-59 years SMR = 227 for age 60-64 years

No actual exposuLack of smoking survey showed vebetween rural and habitsJob changes may laborer to driverShort follow-up p

Saverin etal. (1999) 

Cohort of 5,536 potash minerswho had worked underground forat least 1 year after 1969Subcohort of 3,258 who hadworked for at least 10 yearsundergroundFollow-up from 1970 to 1994

DE exposure categoriesdefined as: production (high)maintenance (medium)workshop (low)225 air samples obtained:for total carbon, organics,& fine dust in 1992

SNS increased RRs adjusted forsmoking: 1.68 and 2.7 for totalcohort & subcohort, respectively

Small, young cohFew deathsNo latency analys

Abbreviations: RR = relative risk; SMR = standardized mortality ratio; SNS = statistically nonsignificant; SS = statistically siO = occupationally active; GP = general population.
7-32

7.2.2. Case-Control Studies of Lung Cancer 

7.2.2.1. Hall and Wynder (1984): A Case-Control Study of DE Exposure and Lung Cancer

Hall and Wynder (1984) conducted a case-control study of 502 male lung cancer cases

and 502 controls without tobacco-related diseases that examined an association between

occupational DE exposure and lung cancer. Histologically confirmed primary lung cancer

patients who were 20 to 80 years old were ascertained from 18 participating hospitals in 6 U.S.

cities 12 months prior to the interview. Eligible controls, patients at the same hospitals without

tobacco-related diseases, were matched to cases by age (± 5 years), race, hospital, and hospital

room status. The number of male lung cancer cases interviewed totaled 502, which was 64% of

those who met the study criteria for eligibility. Of the remaining 36%, 8% refused, 21% were

too ill or had died, and 7% were unreliable. Seventy-five percent of eligible controls completed

interviews. Of these interviewed controls, 49.9% were from the all-cancers category, whereas

50.1% were from the all-noncancers category. All interviews were obtained in hospitals to

gather detailed information on smoking history, coffee consumption, artificial sweetener use,

residential history, and abbreviated medical history as well as standard demographic variables. 

Occupational information was elicited by a question on the usual lifetime occupation and was

coded by the abbreviated list of the U.S. Bureau of Census Codes. The odds ratios were

calculated to evaluate the association between DE exposure and risk of lung cancer incidence. 

Summary odds ratios were computed by the Mantel-Haenszel method after adjusting for

potential confounding by age, smoking, and socioeconomic class. Two-sided, 95% confidence

intervals were computed by Woolf’s method. Occupational exposure to DE was defined by two

criteria. First, occupational titles were coded “probably high exposure” as defined by the

industrial hygiene standards established for the various jobs. The job titles included under this

category were warehousemen, bus and truck drivers, railroad workers, and heavy equipment

operators and repairmen. The second method used the National Institute for Occupational Safety

and Health (NIOSH) criteria to analyze occupations by diesel exposure. In this method, the

estimated proportion of exposed workers was computed for each occupational category by using

the NIOSH estimates of the exposed population as the numerator and the estimates of

individuals employed in each occupational category from the 1970 census as the denominator. 

Occupations estimated to have at least 20% of their employees exposed to DE were defined as

“high exposure,” those with 10% to 19% of their employees exposed were defined as “moderate

exposure,” and those with less than 10% of their employees exposed were defined as “low

exposure.”

Cases and controls were compared with respect to exposure. The relative risk was 2.0

(95% CI = 1.2, 3.2) for those workers who were exposed to DE versus those who were not. The

risk, however, decreased to a nonsignificant 1.4 when the data were adjusted for smoking. 
7-33

Analysis by NIOSH criteria found a nonsignificant relative risk of 1.7 in the high- exposure

group. There were no significantly increased cancer risks by occupation either by the first

method or by the NIOSH method. To assess any possible synergism between DE exposure and

smoking, the lung cancer risks were calculated for different smoking categories. The relative

risks were 1.46 among nonsmokers and ex-smokers, 0.82 among current smokers of <20

cigarettes/day, and 1.3 among current smokers of 20+ cigarettes/day, indicating a lack of

synergistic effects.

The major strength of this study is the availability of a detailed smoking history for all

the study subjects. However, this is offset by lack of DE exposure measurements, use of a poor

surrogate for exposure, and lack of consideration of latency period. Information was collected

on only one major lifetime occupation, and it is likely that those workers who had more than one

major job may not have reported the occupation with the heaviest DE exposures. Furthermore,

the exposure categories based on job titles were broad, and thus would have made a true effect of

DE difficult to detect. 

7.2.2.2. Damber and Larsson (1987): Occupation and Male Lung Cancer, a Case-Control

Study in Northern Sweden 

A case-control study of lung cancer was conducted in northern Sweden to determine the

occupational risk factors that could explain the large geographic variations of lung cancer

incidence in that country. The study region comprised the three northernmost counties of

Sweden, with a total male population of about 390,000. The rural municipalities, with 15% to

20% of the total population, have forestry and agriculture as dominating industries, and the

urban areas have a variety of industrial activities (mines, smelters, steel factories, paper mills,

and mechanical workshops). All male cases of lung cancer reported to the Swedish Cancer

Registry during the 6-year period between 1972 and 1977 who had died before the start of the

study were selected. Of 604 eligible cases, 5 did not have microscopic confirmation, and in

another 5 the diagnosis was doubtful, but these cases were included nevertheless. Cases were

classified as small-cell carcinomas, squamous cell carcinomas, adenocarcinomas, and other

types. For each case a dead control was drawn from the National Death Registry matched by

sex, year of death, age, and municipality. Deaths in controls classified as lung cancer and

suicides were excluded. A living control matched to the case by sex, year of birth, and

municipality was also drawn from the National Population Registry. Postal questionnaires were

sent to close relatives of cases and dead controls, and to living controls themselves to collect data

on occupation, employment, and smoking habits. Replies were received from 589 cases (98%),

582 surrogates of dead controls (96%), and 453 living controls (97%).
7-34

Occupational data were collected on occupations or employment held for at least 1 year

and included type of industry, company name, task, and duration of employment. 

Supplementary telephone interviews were performed if occupational data were lacking for any

period between age 20 and time of diagnosis. Data analysis involved calculation of the odds

ratios by the exact method based on the hypergeometric distribution and the use of a linear

logistic regression model to adjust for the potential confounding effects of smoking. Separate

analyses were performed with dead and living controls, and on the whole there was good

agreement between the two control groups. A person who had been active for at least 1 year in a

specific occupation was in the analysis assigned to that occupation.

Using dead controls, the odds ratios adjusted for smoking were 1.0 (95% CI = 0.7, 1.5)

and 2.7 (95% CI = 1.0, 8.1) for professional drivers ($1 year of employment) and underground

miners ($1 year of employment), respectively. For 20 or more years of employment in those

occupations, the odds ratios adjusted for smoking were 1.2 (95% CI = 0.9, 2.6) and 9.8 (95% CI

= 1.5, 414). These were the only two occupations listed with potential DE exposure. An excess

significant risk was detected for copper smelter workers, plumbers, electricians, and asbestos

workers, as well as concrete and asphalt workers. All the odds ratios were calculated by

adjusting for age, smoking, and municipality. A comparison with the live controls resulted in

the odds ratios being lower than those observed with dead controls, and none were statistically

significant in this comparison.

This study did not detect any excess risk of lung cancer for professional drivers, who,

among all the occupations listed, had the most potential for exposure to motor vehicle exhaust. 

However, it is not known whether these drivers were exposed exclusively to gasoline exhaust,

DE, or varying degrees of both. An excess risk was detected for underground miners, but it is

not known if this was due to diesel emissions from engines or from radon daughters in poorly

ventilated mines. Although a high response rate (98%) was obtained by the postal

questionnaires, the use of surrogate respondents is known to lead to misclassification errors that

can bias the results in either direction.

7.2.2.3. Lerchen et al. (1987): Lung Cancer and Occupation in New Mexico

This is a population-based case-control study conducted in New Mexico that examined

the association between occupation and occurrence of lung cancer in Hispanic and non-Hispanic

whites. Cases involved residents of New Mexico, 25 through 84 years of age, and diagnosed

between January 1, 1980, and December 31, 1982, with primary lung cancer, excluding

bronchioalveolar carcinoma. Cases were ascertained through the New Mexico Tumor Registry,

which is a member of the Surveillance Epidemiology and End Results (SEER) Program of the

National Cancer Institute. Controls were chosen by randomly selecting residential telephone
7-35

numbers and, for those over 65 years of age, from the Health Care Financing Administration’s

roster of Medicare participants. They were frequency-matched to cases for sex, ethnicity, and

10-year age category with a ratio of 1.5 controls per case. The 506 cases (333 males and 173

females) and 771 controls (499 males and 272 females) were interviewed, with a nonresponse

rate of 11% for cases. Next of kin provided interviews for 50% and 43% of male and female

cases, respectively. Among controls, only 2% of the interviews were provided by next of kin for

each sex. Data were collected by personal interviews conducted by bilingual interviewers in the

participants’ homes. A lifetime occupational history and a self-reported history of exposure to

specific agents were obtained for each job held for at least 6 months since age 12. Questions

were asked about the title of the position, duties performed, location and nature of industry, and

time at each job title. A detailed smoking history was also obtained. The variables on

occupational exposures were coded according to the Standard Industrial Classification scheme

by a single person and reviewed by another. To test the hypothesis about high-risk jobs for lung

cancer, the principal investigator created an a priori listing of suspected occupations and

industries by a two-step process involving a literature review for implicated industries and

occupations. The principal investigator also determined the appropriate Standard Industrial

Classification and Standard Occupational Codes associated with job titles. For four

agents—asbestos, wood dust, DE, and formaldehyde—the industries and occupations determined

to have exposure were identified, and linking of specific industries and occupations was based

on literature review and consultation with local industrial hygienists.

The relative odds were calculated for suspect occupations and industries, classifying

individuals as ever employed for at least 1 year in an industry or occupation and defining the

reference group as those subjects never employed in that particular industry or occupation. 

Multiple logistic regression models were used to control simultaneously for age, ethnicity, and

smoking status. For occupations with potential DE exposure, the analysis showed no excess

risks for diesel engine mechanics and auto mechanics. Similarly, when analyzed by exposure to

specific agents, the odds ratio (OR) adjusted for age, smoking, and ethnicity was not elevated for

DE fumes (OR = 0.6, 95% CI = 0.2, 1.6). Significantly elevated ORs were found for uranium

miners (OR = 2.8), underground miners (OR = 2.4), construction workers, and welders (OR =

4.3). No excess risks were detected for the following industries: shipbuilding, petroleum

refining, printing, blast furnace, and steel mills. No excess risks were detected for the following

occupations: construction workers, painters, plumbers, paving equipment operators, roofers,

engineers and firemen, woodworkers, and shipyard workers. Females were excluded from

detailed analysis because none of the Hispanic female controls had been employed in high-risk

jobs; among the non-Hispanic white controls, employment in a high-risk job was recorded for at
7-36

least five controls for only two industries, construction and painting, for which the OR were not

significantly elevated. Therefore, the analyses were presented for males only. 

Among the many strengths of this study are its population-based design, high

participation rate, detailed smoking history, and the separate analysis done for two ethnic groups,

southwestern Hispanic and non-Hispanic white males. The major limitations pertain to the

occupational exposure data. Job titles obtained from occupational histories were used as proxy

for exposure status, but these were not validated. Further, for nearly half the cases, next of kin

provided occupational histories. The authors acknowledge the above sources of bias but state

without substantiation that these biases would not strongly affect their results. They also did not

use a job exposure matrix to link occupations to exposures and did not provide details on the

method they used to classify individuals as DE exposed based on reported occupations. The

observed absence of an association for exposure to asbestos, a well-established lung carcinogen,

may be explained by the misclassification errors in exposure status or by sample size constraints

(not enough power). Likewise, the association for DE reported by only 7 cases and 17 controls

also may have gone undetected because of low power. In conclusion, there is insufficient

evidence from this study to confirm or refute an association between lung cancer and DE

exposure.

7.2.2.4. Garshick et al. (1987): A Case-Control Study of Lung Cancer and DE Exposure in

Railroad Workers

An earlier pilot study of the mortality of railroad workers by the same investigators

(Schenker et al., 1984) found a moderately high risk of lung cancer among workers exposed to

DE compared with those who were not. Based on these findings the investigators conducted a

case-control study of lung cancer in the same population. The population base for this casecontrol study was approximately 650,000 active and retired male U.S. railroad workers with 10

years or more of railroad service who were born in 1900 or later. The U.S. Railroad Retirement

Board (RRB), which operates the retirement system, is separate from the Social Security System,

and to qualify for the retirement or survivor benefits the workers had to acquire 10 years or more

of service. Information on deaths that occurred between March 1, 1981, and February 28, 1982,

was obtained from the RRB. For 75% of the deceased population, death certificates were

obtained from the RRB, and, for the remaining 25%, they were obtained from the appropriate

State departments of health. Cause of death was coded according to the eighth revision of the

ICD. The cases were selected from deaths with primary lung cancer, which was the underlying

cause of death in most cases. Each case was matched to two deceased controls whose dates of

birth were within 2.5 years of the date of birth of the case and whose dates of death were within

31 days of the date of death noted in the case. Controls were selected randomly from workers
7-37

who did not have cancer noted anywhere on their death certificates and who did not die of

suicide or of accidental or unknown causes.

Each subject’s work history was determined from a yearly job report filed by his

employer with the RRB from 1959 until death or retirement. The year 1959 was chosen as the

effective start of DE exposure for this study since by this time 95% of the locomotives in the

United States were diesel powered. Investigators acknowledge that because the transition to

diesel-powered engines took place in the early 1950s, some workers had additional exposure

prior to 1959; however, if a worker had died or retired prior to 1959, he was considered

unexposed. Exposure to DE was considered to be dichotomous for this study, which was

assigned based on an industrial hygiene evaluation of jobs and work areas. Selected jobs with

and without regular DE exposure were identified by a review of job title and duties. Personal

exposure was assessed in 39 job categories representative of workers with and without DE

exposure. Those jobs for which no personal sampling was done were considered exposed or

unexposed based on similarities in job activities and work locations and by degree of contact

with diesel equipment. Asbestos exposure was categorized based on jobs held in 1959, or on the

last job held if the subject retired before 1959. Asbestos exposure in railroads occurred

primarily during the steam engine era and was related mostly to the repair of locomotive steam

boilers that were insulated with asbestos. Smoking history information was obtained from the

next of kin.

Death certificates were obtained for approximately 87% of the 15,059 deaths reported by

the RRB, from which 1,374 cases of lung cancer were identified. Fifty-five cases of lung cancer

were excluded from the study for either incomplete data (20) or refusal by two States to use

information on death certificates to contact the next of kin. Successful matching to at least one

control with work histories was achieved for 335 (96%) cases #64 years of age at death and 921

(95%) cases $65 years of age at death. In both age groups, 90% of the cases were matched with

two controls. There were 2,385 controls in the study; 98% were matched within ± 31 days of

the date of death, whereas the remaining 2% were matched within 100 days. Deaths from

diseases of the circulatory system predominated among controls. Among the younger workers,

approximately 60% had exposure to DE, whereas among older workers, only 47% were exposed

to DE.

Analysis by a regression model, in which years of DE exposure were the sum total of the

number of years in diesel-exposed jobs, used as a continuous exposure variable, yielded an odds

ratio of lung cancer of 1.39 (95% CI = 1.05, 1.83) for >20 years of DE exposure in the #64

years of age group. After adjustment for asbestos exposure and lifetime smoking (pack-years),

the odds ratio was 1.41 (95% CI = 1.06, 1.88). Both crude odds ratio and asbestos exposure as

well as lifetime smoking-adjusted odds ratio for the $65 years of age group were not significant. 
7-38

Increasing years of DE exposure, categorized as $20 diesel years and 5 to 19 diesel years, with 0

to 4 years as the referent group, showed significantly increased risk in the #64 years of age

group after adjusting for asbestos exposure and pack-year category of smoking. For individuals

who had $20 years of DE exposure, the odds ratio was 1.64 (95% CI = 1.18, 2.29), whereas

among individuals who had 5 to 19 years of DE exposure, the odds ratio was 1.02 (95% CI =

0.72, 1.45). In the $65 years of age group, only 3% of the workers were exposed to DE for

more than 20 years. Relative odds for 5 to 19 years and $20 years of diesel exposure were less

than 1 (p>0.01) after adjusting for smoking and asbestos exposure.

Alternative models to explain past asbestos exposure were tested. These were variables

for regular and intermittent exposure groups and an estimate of years of exposure based on

estimated years worked prior to 1959. No differences in results were seen. The interactions

between DE exposure and the three pack-year categories (<50, >50, and missing pack-years)

were explored. The cross-product terms were not significant. A model was also tested that

excluded recent DE exposure occurring within the 5 years before death and gave an odds ratio of

1.43 (95% CI = 1.06, 1.94), adjusted for cigarette smoking and asbestos exposure, for workers

with 15 years of cumulative exposure. For workers with 5 to 14 years of cumulative exposure,

the OR were not significant.

The many strengths of the study are consideration of confounding factors such as

asbestos exposure and smoking; classification of DE exposures by job titles and industrial

hygiene sampling; exploration of interactions between smoking, asbestos exposure, and DE

exposure; and good ascertainment (87%) of death certificates from the 15,059 deaths reported by

the RRB.

The investigators also recognized and reported the following limitations: overestimation

of cigarette consumption by surrogate respondents, which may have exaggerated the

contribution of smoking to lung cancer risk, and use of the Interstate Commerce Commission

(ICC) job classification as a surrogate for exposure, which may have led to misclassification of

DE exposure jobs with low intensity and intermittent exposure, such as railroad police and bus

drivers, as unexposed. These two limitations would result in underestimation of the lung cancer

risk. This source of error could have been avoided if DE exposures were categorized by a

specific dose range associated with a job title that could have been classified as heavy, medium,

low, and zero exposure instead of a dichotomous variable. The use of death certificates to

identify cases and controls may have resulted in misclassification. Controls may have had

undiagnosed primary lung cancer, and lung cancer cases might have been secondary lesions

misdiagnosed as primary lung cancer. However, the investigators quote a third National Cancer

Survey report in which the death certificates for lung cancer were coded appropriately in 95% of

the cases. Last, as in all previous studies, there is a lack of data on the contribution of unknown
7-39

occupational or environmental exposures and passive smoking. In conclusion, this study

provides strong evidence that occupational DE emission exposure increases the risk of lung

cancer.

7.2.2.5. Benhamou et al. (1988): Occupational Risk Factors of Lung Cancer in a French 

Case-Control Study

This is a case-control study of 1,625 histologically confirmed cases of lung cancer and

3,091 matched controls, conducted in France between 1976 and 1980. This study was part of an

international study to investigate the role of smoking and lung cancer. Each case was matched

with one or two controls, whose diseases were not related, to tobacco use, sex, age at diagnosis

(± 5 years), hospital of admission, and interviewer. Information was obtained from both cases

and controls on place of residence since birth, educational level, smoking, and drinking habits. 

A complete lifetime occupational history was obtained by asking participants to give their

occupations from the most recent to the first. Women were excluded because most of them had

listed no occupation. Men who smoked cigars and pipes were excluded because there were very

few in this category. Thus, the study was restricted to nonsmokers and cigarette smokers. 

Cigarette smoking exposure was defined by age at the first cigarette (nonsmokers, #20 years, or

>20 years), daily consumption of cigarettes (nonsmokers, <20 cigarettes a day, and $20

cigarettes a day), and duration of cigarette smoking (nonsmokers, <35 years, and $35 years). 

The data on occupations were coded by a panel of experts according to their own chemical or

physical exposure determinations. Occupations were recorded blindly using the International

Standard Classification of Occupations. Data on 1,260 cases and 2,084 controls were available

for analysis. The remaining 365 cases and 1,007 controls were excluded because they did not

satisfy the required smoking status criteria.

A matched logistic regression analysis was performed to estimate the effect of each

occupational exposure after adjusting for cigarette status. Matched relative risk ratios were

calculated for each occupation with the baseline category, which consisted of patients who had

never been engaged in that particular occupation. The matched RR ratios, adjusted for cigarette

smoking for the major groups of occupations, showed that the risks were significantly higher for

production and related workers, transport equipment operators, and laborers (RR = 1.24, 95% CI

= 1.04, 1.47). On further analysis of this group, for occupations with potential diesel emission

exposure, significant excess risks were found for motor vehicle drivers (RR = 1.42, 95% CI =

1.07, 1.89) and transport equipment operators (RR = 1.35, 95% CI = 1.05, 1.75). No interaction

with smoking status was found in any of the occupations. The only other significant excess was

observed for miners and quarrymen (RR = 2.14, 95% CI = 1.07, 4.31). None of the significant

associations showed a dose-response relationship with duration of exposure.
7-40

This study was designed primarily to investigate the relationship between smoking (not

occupations or environmental exposures) and lung cancer. Although an attempt was made to

obtain complete occupational histories, the authors did not clarify whether, in the logistic

regression analysis, they used the subjects’ first occupation, predominant occupation, last

occupation, or ever worked in that occupation as the risk factor of interest. The most important

limitation of this study is that the occupations were not coded into exposures for different

chemical and physical agents, thus precluding the calculation of relative risks for diesel

exposure. Using occupations as surrogate measures of diesel exposure, an excess significant risk

was obtained for motor vehicle drivers and transport equipment operators, but not for motor

mechanics. However, it is not known if subjects in these occupations worked with diesel

engines or nondiesel engines.

7.2.2.6. Hayes et al. (1989): Lung Cancer in Motor Exhaust-Related Occupations

This study reports the findings from an analysis of pooled data from three lung cancer

case-control studies that examine in detail the association between employment in motor

exhaust-related (MER) occupations and lung cancer risk adjusted for confounding by smoking

and other risk factors. The three studies were carried out by the National Cancer Institute in

Florida (1976 to 1979), New Jersey (1980 to 1981), and Louisiana (1979 to 1983). These three

studies were selected because the combined group would provide a sufficient sample to detect a

risk of lung cancer in excess of 50% among workers in MER occupations. The analyses were

restricted to males who had given occupational history. The Florida study was hospital based,

with cases ascertained through death certificates. Controls were randomly selected from hospital

records and death certificates, excluding psychiatric diseases, matched by age and county. The

New Jersey study was population based, with cases ascertained through hospital records, cancer

registry, and death certificates. Controls were selected from among the pool of New Jersey

licensed drivers and death certificates. The Louisiana study was hospital based (it is not

specified how the cases were ascertained), and controls were randomly selected from hospital

patients, excluding those with lung diseases and tobacco-related cancers.

A total of 2,291 cases of male lung cancers and 2,570 controls were eligible, and the data

on occupations were collected by next-of-kin interviews for all jobs held for 6 months or more,

including the industry, occupation, and number of years employed. The proportion of next-ofkin interviews varied by site from 50% in Louisiana to 85% in Florida. The coding schemes

were reviewed to identify MER occupations, which included truck drivers and heavy equipment

operators (cranes, bulldozers, and graders); bus drivers, taxi drivers, chauffeurs, and other motor

vehicle drivers; and automobile and truck mechanics. Truck drivers were classified as routemen

and delivery men and other truck drivers. All jobs were also classified with respect to potential
7-41

exposure to known and suspected lung carcinogens. ORs were calculated by the maximum

likelihood method, adjusting for age by birth year, usual amount smoked, and study area. 

Logistic regression models were used to examine the interrelationship of multiple variables.

A statistically significant excess risk was detected for employment of 10 years or more

for all MER occupations (except truck drivers) adjusted for birth cohort, usual daily cigarette

use, and study area. The odds ratio for lung cancer using data gathered by direct interviews was

1.4 (95% CI = 1.1, 2.0), allowing for multiple MER employment, and 2.0 (95% CI = 1.3, 3.0),

excluding individuals with multiple MER employment. ORs for all MER employment, except

truck drivers who were employed for less than 10 years, were 1.3 (95% CI = 1.0, 1.7) and 1.3

(95% CI = 0.9, 1.8) including and excluding multiple MER employment, respectively. ORs

were then derived for specific MER occupations and, to avoid the confounding effects of

multiple MER job classifications, analyses were also done excluding subjects with multiple

MER job exposures. Truck drivers employed for more than 10 years had an odds ratio of 1.5

(95% CI = 1.1, 1.9). A similar figure was obtained excluding subjects with multiple MER

employment. An excess risk was not detected for truck drivers employed less than 10 years. 

The only other job category that showed a statistically significant excess for lung cancer 

included taxi drivers and chauffeurs who worked multiple MER jobs for less than 10 years (OR

= 2.5, 95% CI = 1.4, 4.8). For the same category, the risk for individuals working in that job for

more than 10 years was 1.2 (95% CI = 0.5, 2.6). A statistically significant positive trend

(p<0.05) with increasing employment of <2 years, 2 to 9 years, 10 to 19 years, and 20+ years

was observed for truck drivers but not for other MER occupations. A statistically nonsignificant

excess risk was also observed for heavy equipment operators, bus drivers, taxi drivers and

chauffeurs, and mechanics employed for 10 years or more. All of the above-mentioned ORs

were derived, adjusted for birth cohort, usual daily cigarette use, and State of residence. 

Exposure to other occupational suspect lung carcinogens did not account for the excess risks

detected.

Results of this large study provide evidence that workers in MER jobs are at an excess

risk of lung cancer that is not explained by their smoking habits or exposures to other lung

carcinogens. Because no information on type of engine had been collected, it was not possible

to determine if the excess risk was due to exposure to DE or gasoline exhaust or a mixture of the

two. Among the study’s other limitations are a possible bias due to misclassification of jobs

reported by the large proportion of next-of-kin interviews. Such a bias would make the effect of

DE harder to detect due to broad categorization of jobs and the problems in classifying

individuals into uniform occupational groups based on the pooled data in the three studies that

used different occupational classification schemes.
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7.2.2.7. Steenland et al. (1990): A Case-Control Study of Lung Cancer and Truck Driving in

the Teamsters Union

Steenland et al. conducted a case-control study of lung cancer deaths in the Teamsters

Union to determine the risk of lung cancer among different occupations. Death certificates were

obtained from the Teamsters Union files in the central States for 10,485 (98%) male decedents

who had filed claims for pension benefits and who had died in 1982 and 1983. Individuals were

required to have 20 years’ tenure in the union to be eligible to claim benefits. Cases comprised

all deaths (n = 1,288) from lung cancer, coded as ICD 162 or 163 for underlying or contributory

cause on the death certificate. The 1,452 controls comprised every sixth death from the entire

file, excluding deaths from lung cancer, bladder cancer, and motor vehicle accidents. Detailed

information on work history and potential confounders such as smoking, diet, and asbestos

exposure was obtained by questionnaire. Seventy-six percent of the interviews were provided by

spouses and the remainder by some other next of kin. The response rate was 82% for cases and

80% for controls. Using these interview data and the 1980 census occupation and industry

codes, subjects were classified either as nonexposed or as having held other jobs with potential

DE exposure. Data on job categories were missing for 12% of the study subjects. A second

work history file was also created based on the Teamsters Union pension application that lists

occupation, employer, and dates of employment. A three-digit U.S. census code for occupation

and industry was assigned to each job for each individual. This Teamsters Union work history

file did not have information on whether men drove diesel or gasoline trucks, and the four

principal occupations were long-haul drivers, short-haul or city drivers, truck mechanics, and

dockworkers. Subjects were assigned the job category in which they had worked the longest.

The case-control analysis was done using unconditional logistic regression. Separate

analyses were conducted for work histories from the Teamsters Union pension file and from

next-of-kin interviews. Covariate data were obtained from next-of-kin interviews. Analyses

were also performed for two time periods: employment after 1959 and employment after 1964. 

These two cut-off years reflect years of presumed dieselization: 1960 for most trucking

companies and 1965 for independent driver and nontrucking firms. Data for analysis could be

obtained for 994 cases and 1,085 controls using Teamsters Union work history and for 872 cases

and 957 controls using next-of-kin work history. When exposure was considered as a

dichotomous variable, for both Teamsters Union and next-of-kin work history, no single job

category had an elevated risk. From the next-of-kin data, diesel truck drivers had an odds ratio

of 1.42 (95% CI = 0.74, 2.47) and diesel truck mechanics had an odds ratio of 1.35 (95% CI =

0.74, 2.47). ORs by duration of employment as a categorical variable were then estimated. For

the Teamsters Union work history data, when only employment after 1959 was considered, both

long-haul (p<0.04) and short-haul drivers (not significant) showed an increase in risk with
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increased years of exposure. The length-of-employment categories for which the trends were

analyzed were 1 to 11 years, 12 to 17 years, and 18 years or more. Using 1964 as the cutoff

date, long-haul drivers continued to show a significant positive trend (p=0.04), with an odds

ratio of 1.64 (95% CI = 1.05, 2.57) for those who worked for 13+ years, the highest category. 

Short-haul drivers, however, did not show a positive trend when 1964 was used as the cutoff

date. Similar trend analysis was done for most next-of-kin data. A marginal increase in risk with

increasing duration of employment as a truck driver (p=0.12) was observed. For truck drivers

who primarily drove diesel trucks for 35 years or longer, the odds ratio for lung cancer was 1.89

(95% CI = 1.04, 3.42). Similarly, the corresponding odds ratio was 1.34 (95% CI = 0.81, 2.22)

for both gasoline truck drivers and drivers who drove both types of trucks, and 1.09 (95% CI =

0.44, 2.66) for truck mechanics. 

No significant interactions between age and DE exposure or smoking and DE exposure

were observed. All the ORs were adjusted for age, smoking, and asbestos in addition to various

exposure categories.

This is a well-designed and analyzed study. The main strengths of the study are the

availability of detailed records from the Teamsters Union, a relatively large sample size,

availability of smoking data , and measurements of exposures. The authors acknowledge some

limitations of this study, which include possible misclassifications of exposure and smoking

habits, as information was provided by next of kin; lack of sufficient latency to observe lung

cancer excess; and a small nonexposed group (n = 120). Also, they could not evaluate the

concordance between Teamsters Union and next-of-kin job categories easily because job

categories were defined differently in each data set. No data were available on levels of diesel

exposure for the different job categories. Despite these limitations, the positive findings of this

study, which are probably underestimated, provide a positive evidence toward causal association

between DE exposure and excess lung cancer.

7.2.2.8. Steenland et al. (1998): DE and Lung Cancer in the Trucking Industry:

Exposure-Response Analyses and Risk Assessment

Steenland et al. (1998) conducted an exposure-response analysis by supplementing the

data from their earlier case-control study of lung cancer and truck drivers in the Teamsters

Union (Steenland et al., 1990) with exposure estimates based on a 1990 industrial hygiene

survey of elemental carbon exposure, a surrogate for DE in the trucking industry. 

Study subjects were long-term Teamsters enrolled in the pension system who died during

the period 1982-1983. Using death certificate information, the researchers identified 994 cases

of lung cancer for the study period, and 1,085 non-lung-cancer deaths served as controls. 

Subjects were divided into job categories based on the job each held the longest. Most had held
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only one type of job. The job categories were short-haul driver, long-haul driver, mechanic,

dockworker, other jobs with potential diesel exposure, and jobs outside the trucking industry

without occupational diesel exposure. Smoking histories were obtained from next of kin. ORs

were calculated for work in an exposed job category at any time and after 1959 (an estimated 

date when the majority of heavy-duty trucks had converted to diesel) compared with work in

nonexposed jobs. ORs were adjusted for age, smoking, and potential asbestos exposure. Trends

in effect estimates for duration of work in an exposed job were also calculated.

An industrial hygiene survey by Zaebst et al. (1991) of elemental carbon exposures in the

trucking industry provided exposure estimates for each job category in 1990. The elemental

carbon measurements were generally consistent with the epidemiologic results, in that mechanics

were found to have the highest exposures and relative risk, followed by long-haul and then

short-haul drivers, although dockworkers had the highest exposures and the lowest relative risks. 

Past exposures were estimated assuming that they were a function of (1) the number of

heavy-duty trucks on the road, (2) the particulate emissions (grams/mile) of diesel engines over

time, and (3) leaks from truck exhaust systems for long-haul drivers. Estimates of past exposure

to elemental carbon, as a marker for DE exposure, for subjects in the case-control study were

made by assuming that average 1990 levels for a job category could be assigned to all subjects in

that category, and that levels prior to 1990 were directly proportional to vehicle miles traveled

by heavy-duty trucks and the estimated emission levels of diesel engines. A 1975 exposure level

of elemental carbon in terms of micrograms per cubic meter was estimated by the following

equation: 1975 level = 1990 level*(vehicle miles 1975/vehicle miles 1990) (emissions

1975/emissions 1990). Once estimates of exposure for each year of work history were derived

for each subject, analyses were conducted by cumulative level of estimated carbon exposure. 

Estimates were made for long-haul drivers (n = 1,237), short-haul drivers (n = 297),

dockworkers (n = 164), mechanics (n = 88), and those outside the trucking industry (n = 150). 

Logistic regression was used to estimate ORs adjusted for five categories of age, race, smoking

(never, former-quitting before 1963, former-quitting in 1963 or later, current-with <1 pack per

day, and current-with 1 or more packs per day), diet, and reported asbestos exposure. A variety

of models for cumulative exposure were considered, including a log-linear model with

cumulative exposure, a model adding a quadratic term for cumulative exposure, a log transform

of cumulative exposure, dummy variables for quartile of cumulative exposure, and smoothing

splines of cumulative exposure. The estimates of rate ratios from logistic regression for specific

levels of exposure to elemental carbon were then used to derive excess risk estimates for lung

cancer after lifetime exposure to elemental carbon.

 The survey found that mechanics had the highest current levels of DE exposures and

dockworkers who mainly used propane-powered forklifts had the lowest exposure. ORs of 1.69
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and 0.93 were observed for the mechanics and dockworkers, respectively. The finding of the

highest lung cancer risk for mechanics and lowest for dockworkers is indicative of causal

association between the DE exposure and development of lung cancer. The log of cumulative

exposure was found to be the best-fitting model and was a significant predictor (p = 0.01). 

However, the risk among mechanics did not increase with increasing duration of employment. 

OR for quartile of cumulative exposure show a pattern of significantly increasing trends

in risk with increasing exposure, ranging between 1.08 and 1.72, depending on the exposure

level and lag structure used. The lifetime excess risk of lung cancer death (through age 75) for a

male truck driver was estimated to be in the range of 1.4%-2.3% (95% confidence limits ranged

from 0.3% to 4.6%) above the background risk, depending on the emissions scenarios assumed. 

The authors found that current exposures indicated that truck drivers are exposed to DE at levels

about the same as ambient levels on the highways, which are about double the background levels

in urban air. They conclude that the data suggest a positive and significant increase in lung

cancer risk with increasing estimated cumulative exposure to DE among workers in the trucking

industry. They assert that these estimates suggest that the lifetime excess risk for lung cancer is

10 times higher than the OSHA standards, but caution that the results should be viewed as

exploratory. 

The authors acknowledge that the increasing trend in risk with increasing estimates of

cumulative exposure is partly due to the fact that a component of cumulative dose is simple

duration of exposure, and that analyses by simple duration also exhibit a positive trend with

duration. This analysis essentially weights the duration by contrived estimates of exposure

intensity, and the authors acknowledge that this weighting depends on very broad assumptions. 

This is not an analysis of new data that provides independent estimates of relative risk for

DE and lung cancer incidence. Instead, it is an attempt to convert the data from Steenland's

earlier study of lung cancer for the purpose of estimating a different risk metric, “lifetime excess

risk of lung cancer,” by augmenting these data with limited industrial hygiene data and

rationalizations about plausible models for cumulative exposure. 

The Health Effects Institute (HEI, 1999) and others have raised some concerns about the

exposure estimations, selection of controls, and control for confounding variables, and hence,

this study’s usefulness for quantitative risk assessment. EPA and NIOSH will address these

concerns in the year 2001. The HEI (1999) panel noted that some of the strengths of this study

include the relevance of exposure levels to the general population and the use of an exposure

marker for diesel engine emissions that was an improvement over the concentration of

respirable-size particles (RSP). The number of study subjects (996 lung cancer cases) is large. 

Histories of exposures to asbestos and smoking were obtained, and confounding by these two

variables was controlled in the analysis. Thus, it should be noted that these concerns are about
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the use of these data for quantitative risk assessment, due to limitations of the exposure data. As

far as qualitative risk assessment is concerned, this study is still considered to be positive and

strong.

7.2.2.9. Boffetta et al. (1990): Case-Control Study on Occupational Exposure to DE and

Lung Cancer Risk

This is an ongoing (since 1969) case-control study of tobacco-related diseases in 18

hospitals (six U.S. cities). Cases comprise 2,584 males with histologically confirmed primary

lung cancers. Sixty-nine cases were matched to 1 control, whereas 2,515 were matched to 2

controls. Controls were individuals who were diagnosed with non-tobacco-related diseases. The

matching was done for sex, age (±2 years), hospital, and year of interview. The interviews were

conducted at the hospitals at the time of diagnosis. In 1985, the occupational section of the

questionnaire was modified to include the usual occupation and up to five other jobs as well as

duration (in years) worked in those jobs. After 1985, information was also obtained on exposure

to 45 groups of chemicals, including DE at the workplace or during hobby activities. A priori

aggregation of occupations was categorized into low probability of DE exposure (reference

group), possible exposure (19 occupations), and probable exposure (13 occupations). Analysis

was conducted based on “usual occupation” on all study subjects, and any occupation with

sufficient cases was eligible for further analysis. In addition, cases enrolled after 1985 for which

there were self-reported DE exposure and detailed work histories were also analyzed separately.

Both matched and unmatched analyses were done by calculating the adjusted (for

smoking and education) relative odds using the Mantel-Haenzael method and calculating the

test-based 95% confidence interval using the Miettinen method. Unconditional logistic

regression was used to adjust for potential confounders (the PROC LOGIST of SAS). Linear

trends for risk were also tested according to Mantel.

Adjusted relative odds for possible and probable exposure groups as well as the truck

drivers were slightly below unity, none being statistically significant for the entire study

population. Although slight excesses were observed for the self-reported DE exposure group

and the subset of post-1985 enrollees for highest duration of exposure (for self-reported

exposure, occupations with probable exposure, and truck drivers), none was statistically

significant. Trend tests for the risk of lung cancer among self-reported DE exposure, probable

exposure, and truck drivers with increasing exposure (duration of exposure used as surrogate for

increasing dose) were nonsignificant too. Statistically significant lung cancer excesses were

observed for cigarette smoking only.

The major strength of this study is availability of detailed smoking history. Even though

detailed information was obtained for the usual and five other occupations (1985), because it
7-47

was difficult to estimate or verify the actual exposure to DE, duration of employment was used

as a surrogate for dose instead. The numbers of cases and controls were large; however, the

number of individuals exposed to DE was relatively few, thus reducing the power of the study. 

This study did not attempt latency analysis either. Due to these limitations, the findings of this

study are unable to provide either positive or negative evidence for a causal association between

DE and occurrence of lung cancer.

7.2.2.10. Emmelin et al. (1993): DE Exposure and Smoking: A Case-Referent Study of

Lung Cancer Among Swedish Dock Workers

This case-control study of lung cancer was drawn from a cohort defined as all male

workers who had been employed as dockworkers for at least 6 months between 1950 and 1974. 

In the population of 6,573 from 20 ports, there were 90 lung cancer deaths (cases), identified

through Swedish death and cancer registers, during the period 1960 to 1982. Of these 90 deaths,

the 54 who were workers at the 15 ports for which exposure surrogate information was available

were chosen for the case-control study. Four controls, matched on port and age, were chosen for

each case from the remaining cohort who had survived to the time of diagnosis of the case. Both

live and deceased controls were included. The final analyses were done on 50 cases and 154

controls who had complete information on employment dates and smoking data. The smoking

strata were created by classifying ex-smokers as nonsmokers if they had not smoked for at least

5 years prior to the date of diagnosis of the case; otherwise they were classified as smokers.

Relative odds and regression coefficients were calculated using conditional logistic

regression models. Comparisons were made both with and without smoking included as a

variable, and the possible interaction between smoking and DE was tested. Both the weighted

linear regressions of the adjusted relative odds and the regression coefficients were used to test

mortality trends with all three exposure variables.

Exposure to DE was assessed indirectly by initially measuring: (1) exposure intensity

based on exhaust emission, (2) characteristics of the environment in terms of ventilation, and (3)

measures of proportion of time in higher exposed jobs. For exhaust emissions, annual diesel fuel

consumption at a port was used as the surrogate. For ventilation, the annual proportion of ships

with closed or semiclosed holds was used as the surrogate. The proportion of time spent below

decks was used as the surrogate for more exposed jobs. Although data were collected for all

three measures, only the annual fuel consumption was used for analysis. Because every man

was likely to rotate through the various jobs, the authors thought using annual consumption of

diesel fuel was the appropriate measure of exposure. Consequently, in a second analysis, the

annual fuel consumption was divided by the number of employees in the same port that year to

come up with the fuel-per-person measure, which was further used to create a second measure,
7-48

“exposed time.” The “annual fuel” and exposed-time data were entered in a calendar timeexposure matrix for each port, from which individual exposure measures were created. A third

measure, “machine time” (years of employment from first exposure), was also used to compare

the results with other studies. All exposure measures were accumulated from the first year of

employment or first year of diesel machine use, whichever came later. The last year of exposure

was fixed at 1979. All exposures up to 2 years before the date of lung cancer diagnosis were

omitted from both cases and matched controls. A priori classification into three categories of

low, medium, and high exposure was done for all three exposure variables: machine time, fuel,

and exposed time.

Conditional logistic regression models, adjusting for smoking status and using low

exposures and/or nonsmokers as a comparison group, yielded positive trends for all exposure

measures, but no trend test results were reported, and only the relative odds for the exposed-time

exposure measure in the high-exposure group (OR = 6.8, 90% CI = 1.3 to 34.9) was reported as

statistically significant. For smokers, adjusting for DE exposure level, the relative odds were

statistically significant and about equal for all three exposure variables: machine time, OR = 5.7

(90% CI = 2.4 to 13.3); fuel, OR = 5.5 (90% CI = 2.4 to 12.7); and exposed time, OR = 6.2

(90% CI = 2.6 to 14.6). Interaction between DE and smoking was tested by conditional logistic

regression in the exposed-time variable. Although there were positive trends for both smokers

and nonsmokers, the trend for smokers was much steeper: low, OR = 3.7 (90% CI = 0.9 to 14.6);

medium, OR = 10.7 (90% CI = 1.5 to 78.4); and high, OR = 28.9 (90% CI = 3.5 to 240),

indicating more than additive interaction between these two variables.

In the weighted linear regression model with the exposed-time variable, the results were

similar to those using the logistic regression model. The authors also explored the smoking

variable further in various analyses, some of which suggested a strong interaction between DE

and smoking. However, with just six nonsmokers and no further categorization of smoking

amount or duration, these results are of limited value.

The DE exposure matrices created using three different variables are intricate. Analyses

by any of these variables yield essentially the same positive results and positive trends, providing

consistent support for a real effect of DE exposure, at least in smokers. However,

methodological limitations to this study prevent a more definitive conclusion. The numbers of

cases and controls are small. There are very few nonsmokers; thus, testing the effects of DE

exposure in them is futile. Lack of information on asbestos exposure, to which dockworkers are

usually exposed, may also confound the results. Also, no latency analyses are presented. 

Overall, despite these limitations, this study supports the earlier findings of excess lung cancer

mortality among individuals exposed to DE.
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7.2.2.11. Swanson et al. (1993): Diversity in the Association Between Occupation and Lung 

Cancer Among Black and White Men

This population-based case-control study of lung cancer was conducted in metropolitan

Detroit. The cases and controls for this study were identified from the Occupational Cancer

Incidence Surveillance Study (OCISS). A total of 3,792 incident lung cancer cases and 1,966

colon and rectal cancer cases used as controls, diagnosed between 1984 and 1987 among white

and black males aged 40 to 84 years, were selected for the study. Information was obtained by

telephone interview either with the individual or a surrogate about lifetime work history and

smoking history, as well as medical, demographic, and residential history. Occupation and

industry data were coded using the 1980 U.S. Census Bureau classification codes. The

investigators selected certain occupations and industries as having little or no exposure to

carcinogens and defined them as an unexposed group. Analysis was done using logistic

regression method and adjusting for age at diagnosis, pack-years of cigarette smoking, and race. 

The results were presented by various occupations and industries; those with potential

exposures to DE were drivers of heavy trucks and light trucks, farmers, and railroad workers,

respectively. Among white males, increasing lung cancer risks were observed with increasing

duration of employment for drivers of heavy trucks, drivers of light trucks, and farmers. 

Although none of the individual ORs were statistically significant, trend tests were significant

for all three occupations (p#0.05). On the other hand, among black males increasing lung

cancer risks with increasing duration of employment were observed for farmers only, with an

OR of 10.4 (95% CI = 1.4, 77.1) reaching significance for employment of 20+ years. As for the

railroad industry, increasing lung cancer risks with increasing duration of employment were

observed for both white and black males. The trend test was significant for white males only,

with an OR of 2.4 (95% CI = 1.1, 5.1) reaching significance for employment of 10+ years.

The main strengths of the study are large sample size, availability of lifetime work

history and smoking history, and the population-based study format, precluding selection bias. 

The major limitation, as in other studies, is lack of direct information on specific exposures. The

interesting result of this study is lung cancer excesses observed in farmers, mainly among crop

farmers, who have potential exposure to DE from their tractors in addition to pesticides,

herbicides, and other PM10. The authors point out that this is the first study to find excess lung

cancer in this occupation. 

7.2.2.12. Hansen et al. (1998): Increased Risk of Lung Cancer Among Different Types of 

Professional Drivers in Denmark

This is a population-based case-control study of lung cancer, conducted in professional

drivers in Denmark. The cases first diagnosed as primary lung cancer between 1970 and 1989
7-50

among males born between 1897 and 1966 were identified from the Danish Cancer Registry. 

The registry provided the information on diagnosis from ICD-7, name, sex, and unique personal

identification number (PIDN). Information about past employment was obtained by linkage

with the nationwide pension fund. The fund keeps the records by name and PIDN about the date

of start and end of each job and unique company number of the employer. The records are kept

even after the employee has retired or died. Information about current employment was

obtained from the Danish Central Population Registry (CPR) by linkage with the PIDN. 

Of 37,597 cases identified from the Registry, 8,853 did not have any employment

records. Controls (1:1) for 28,744 lung cancer cases with employment histories were selected

randomly from CPR, matched with the case by year of birth and sex. Furthermore, these

controls had to be alive, cancer free, and employed prior to the diagnosis of lung cancer in the

corresponding case. Employment histories were obtained for the controls in the same fashion as

cases from the pension fund. The employment record search resulted in a total of 1,640

lorry/bus drivers and 426 taxi drivers. They were further divided into subgroups by their

duration of employment. Information about smoking in drivers was acquired from two national

surveys conducted in 1970-72 and 1983. No direct information on smoking was available in

either cases or controls. A separate case-control study of mesothelioma indirectly looked at

asbestos exposure among professional drivers. OR, adjusting for socioeconomic status and 95%

CI, were computed using conditional logistic regression (PECAN procedure in the statistical

package EPICURE). 

Significant ORs for lung cancer were found for lorry/bus drivers (OR = 1.31, 95% CI =

1.17, 1.46), taxi drivers (OR = 1.64, 95% CI = 1.22, 2.19), and unspecified drivers (OR = 1.39,

95% CI = 1.30, 1.51). Significant ORs were found for both lorry/bus drivers and taxi drivers by

duration of employment in 1-5 years and >5 years categories, with no lag time and with a 10-

year lag time. The ORs remained the same for lorry/bus drivers in these employment categories

for no lag time and 10-year lag time. Among taxi drivers, on the other hand, the OR of 2.2 in >5

year employment in no-lag-time analysis increased to 3.0 in the 10-year lag time analysis. The

authors asserted that the higher risk seen in the taxi drivers may be due to higher exposure

attributable due to longer time spent in traffic congestion. The trend tests for increasing risk

with increasing duration of employment (surrogate for exposure) were statistically significant

(p<0.001) for both lorry/bus drivers and taxi drivers in no-lag-time and 10-year lag time

analysis. All the ORs were adjusted for socioeconomic status.

The main strengths of the study are the large sample size, availability of information on

socioeconomic status, and detailed employment records. The main limitation, however, is lack

of information on what type of fuel these vehicles used. It is probably safe to assume that the

lorry/buses were diesel powered, whereas the taxis could be either diesel or gasoline powered. A
7-51

personal communication with Dr. Johnni Hansen confirmed that dieselization in Denmark was

completed in the late 1940s and lorries, buses, and taxis have been using diesel fuel since then. 

Although direct adjustments were not done for smoking and exposure to asbestos, indirect

information on both these confounders indicates that they are unlikely to explain the observed

excesses and the increasing risk with increasing duration of employment. Thus, the results of

this study are strongly supportive of DE being associated with increased lung cancer.

7.2.2.13. Brüske-Hohlfeld et al. (1999): Lung Cancer Risk in Male Workers Occupationally 

Exposed to Diesel Motor Emissions in Germany

This paper presents a pooled analysis of two case-control studies of lung cancer. The

first study, by Jöckel et al. (1995, 1998), was conducted between 1988 and 1993 and had 1,004

cases and 1,004 controls matched for sex, age, and region of residence, selected randomly from

the compulsory municipal registries. The inclusion criteria for cases were: they should have

been born in or after 1913, should have been of German nationality, and should have been

diagnosed with lung cancer within 3 months prior to the interview. The second study, by

Wichmann et al. (1998), was ongoing when it was included in this study. The study span

covered the years 1990 to 1996. By 1994 a total of 3,180 cases and 3,249 controls, randomly

selected from the compulsory population registries, were frequency matched on sex, age, and

region. The cases were less than 76 years old, were residents of the region and living in

Germany for more than 25 years, and had a diagnosis not more than 3 months old. Of 4,184

pooled cases and 4,253 pooled controls, the analysis was conducted on 3,498 male cases and

3,541 male controls. A personal interview was conducted with each study participant. Data

were collected on basic demographic information, detailed smoking history, and lifelong

occupational history about jobs held and industries worked in. The job titles and industries were

classified into 33 and 21 categories, respectively, using the German Statistical Office codes. 

Based on job codes with potential exposure to diesel motor emission (DME), four

exposure groups were constituted. Group A comprised professional drivers of trucks, buses, 

taxis, etc. Group B comprised other traffic-related jobs such as switchmen, diesel locomotive

drivers, and diesel forklift truck drivers. Group C comprised bulldozer operators, graders, and

excavators. Group D comprised full-time farm tractor drivers. Validation of the jobs was done

by written evaluation of the job task descriptions, which also avoided misclassification. The

following information was acquired for the construction of job task descriptions: (1) What

were your usual tasks at work and how often (in % of daily working hours) were they

performed? (2) What did you produce, manufacture, or transport? (3) Which material was

used? (4) What kind of machine did you operate? Some individuals had more than one job task
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with DME exposure. The exposure assessment was done without knowing the status of the

case/control. 

For each individual, cumulative exposure was calculated for the complete work history

by categorizing the duration of exposure as >0-3, >3-10, >10-20, >20-30, >30 years, and

beginning and end of exposure. The first year of exposure was defined as <1945, 1946-1955,

and >1956 while the last year of exposure was defined as <1965, 1966-1975, and >1976. For

professional drivers, hours driven per day were accumulated and were classified as “driving

hours.”

A smoker was defined as any individual who had smoked regularly for at least 6 months. 

Smoking information was acquired in series with the starting time, type of tobacco, amount

smoked, duration in years, and calender year of quitting. Asbestos exposure was estimated by

certain job-specific supplementary questions.

The cases and controls were post-hoc stratified into 6 age and 17 region categories. ORs

adjusted for smoking and asbestos exposure were calculated by conditional logistic regression,

using “never exposed” workers as the reference group. The adjustment for cigarette smoking

was done by using pack-years as a continuous variable; adjustment for other tobacco products

was done by considering them as a binary variable. A total of 716 cases and 430 controls were

found to be ever exposed to DME. The smoking- and asbestos-adjusted OR of 1.43 (95% CI =

1.23, 1.67) for all DME exposed was reduced from the crude OR of 1.91. For the entire group

the various analyses yielded statistically significant ORs ranging from 1.25 to 2.31, adjusted for

smoking and asbestos exposure (West Germany, >10-20 years and >20-30 years of exposure,

first year of exposure in 1946-1955 and 1956+, end of exposure in 1966-1975 and 1976+, and

for the job categories of Group A, B, and C). The risk increased with increasing years of

exposure, and for both the first year of exposure (<1945, 1946-1955, and >1956) and end year of

exposure (<1965, 1966-1975, and >1976).

Separate analyses by four job categories (all the ORs were adjusted for smoking and

asbestos exposure) showed that for professional drivers (Group A) the overall OR was 1.25

(95% CI = 1.05, 1.47). Significant ORs were found for various factors in West Germany only. 

The factors were: >0-3 years and >10-20 years of exposure (OR = 1.69, 95% CI = 1.13, 2.53,

and OR = 2.02, 95% CI = 1.32, 3.08, respectively), beginning of exposure in 1956+ and end of

exposure in 1976+ (OR = 1.56, 95% CI = 1.21, 2.03, and OR = 1.5, 95% CI = 1.14, 1.98,

respectively), and 1,000-49,999 driving hours (OR = 1.54, 95% CI = 1.15, 2.07). None of the

ORs were significant in East Germany in this group. 

For other traffic-related jobs (Group B) the overall OR was 1.53 (95% CI = 1.04, 2.24). 

The ORs for beginning of exposure in 1956+ and end of exposure in 1976+ were OR = 1.71,

95% CI = 1.05, 2.78, and OR = 2.68, 95% CI = 1.47, 4.90, respectively. The risk increased with
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increasing duration of exposure and was statistically significant for >10-20 years (OR = 2.49)

and more than 20 years (OR = 2.88). No separate analyses for West Germany and East

Germany were presented in this category.

For heavy equipment operators (Group C) the overall OR of 2.31 (95% CI = 1.44, 3.7)

was highest among all the job categories. Significant ORs were observed for beginning

exposure in 1946-1955 (OR = 2.83, 95% CI = 1.10, 7.23) and end exposure in 1966-1975 (OR =

3.74, 95% CI = 1.20, 11.64). The risk increased with increasing duration of exposure and was

statistically significant for more than 20 years of exposure (OR = 4.3). Although no separate

analyses for West Germany and East Germany were presented, investigators mentioned that for

this job group hardly any difference was seen between West Germany and East Germany.

For drivers of the farming tractors (Group D) the overall OR of 1.29 was not significant. 

Risk increased with increasing duration of exposure and was significant for exposure of more

than 30 years (OR = 6.81, 95% CI = 1.17, 39.51). No separate analyses for West Germany and

East Germany were presented in this category.

 The professional drivers and the other traffic-related job categories probably have mixed

exposures to gasoline exhaust in general traffic. On the other hand, it should be noted that 

exposure to DME among heavy equipment and farm tractor drivers is much higher and not as

mixed as in professional drivers. The heavy equipment drivers usually drive repeatedly through

their own equipment’s exhaust. Therefore, the observed highest risk for lung cancer in this job

category establishes a direct link with the DME. The only other study that found significantly

higher risk for heavy equipment operators (RR = 2.6) was conducted by Boffeta et al. (1988). 

Although the only significant excess was observed for farming tractor operators among

individuals with more than 30 years of exposure, a steady increase in risk was observed for this

job category with increasing exposure. The investigators stated that the working conditions and

the DME of tractors remained fairly constant over the years. This increase may be due mainly to

exposure to DME and, in addition, PM10.

This is a well-designed, well-conducted, and well-analyzed study. Its main strengths are

large sample size, resulting in good statistical power; inclusion of incident cases that were

diagnosed not more than 3 months prior to the interview; use of only personal interviews,

reducing recall bias; diagnosis ascertained by cytology or histology; and availability of lifelong

detailed occupational and smoking history. Exposure estimation for each individual was based

on job codes and industry codes, which were validated by written job descriptions to avoid

misclassification. The main limitation of the study is lack of data on actual exposure to DME.

The cumulative quantitative exposures were calculated based on time spent in each job with

potential exposure to DME and the type of equipment used. Thus, this study provides strong

evidence for a causal association between exposure to DE and occurrence of lung cancer. 

 Table 7-2 summarizes the above lung cancer case-control studies.
Table 7-2. Epidemiologic studies of the health effects of exposure to DE: case-control studies of lun

Authors Population studied DE exposure assessment Results Limi

Hall and Wynder(1984)

502 histologically confirmedlung cancers Cases diagnosed 12 mo prior tointerviews 502 matched hospital controlswithout tobacco-related diseases,matched for age, sex, race, andgeographical areaPopulation from 18 hospitals incontrols

Based on previousIndustrial HygieneStandards for aparticular occupation,usual lifetime occupationcoded as “probably highexposure” and “noexposure”NIOSH standards usedto classify exposures:HighModerateLow

SNS excess risk after adjustmentfor smoking for lung cancer:RR = 1.4 (1st criteria)andRR = 1.7 (NIOSH criteria) 

Complete lifetime history not availaSelf-reported occuvalidatedNo analysis by doduration of exposNo information odiesel exposure

Damber andLarsson(1987)

589 lung cancer cases who haddied prior to 1979 reported toSwedish registry between 1972and 1977582 matched dead controls (sex,age, year of death, municipality)drawn from National Registryof Cause of Death453 matched living controls(sex, year of birth, municipality)drawn from NationalPopulation Registry

Occupations held for atleast 1 year or moreA 5-digit code was used toclassify the occupationsaccording to NordicClassification ofOccupations

For underground miners: SS OR =2.7 ($1 year of employment)

SS OR = 9.8 ($20 years of

employment)For professional drivers: SNS OR= 1.2 ($20 years of employment)

with dead controlsAll ORs adjusted for smoking 

Uncertain DE expNo validation of eUnderground minadjusted for other as radon, etc.

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Table 7-2. Epidemiologic studies of the health effects of exposure to DE: case-control studies of lung ca

Authors Population studied DE exposure assessment Results Limi

Lerchenet al. (1987)

506 lung cancer cases fromNew Mexico tumor registry(333 males and 173 females)Aged 25-84 yearsDiagnosed between January 1,1980, and December 31, 1982771 (499 males and 272 females)frequency matched with cases,selected from telephone directory

Lifetime occupationalhistory and self-reportedexposure history wereobtainedCoded according toStandard IndustrialClassification Scheme

No excess of relative odds wereobserved for DE exposure

Exposure based ohistory and self-revalidated50% occupational by next of kinAbsence of lung cwith asbestos sugmisclassification 

Garshicket al. (1987)

1,319 lung cancer cases who diedbetween March 1, 1981,and February 28, 19822,385 matched controls (two each,age and date of death)Both cases and controls drawnfrom railroad worker cohortwho had worked for 10 ormore years

Personal exposureassessed for 39 jobcategoriesThis was corrected withjob titles to dichotomizethe exposure into:ExposedNot exposedIndustrial hygienesampling done

SS OR = 1.41 (#64 year age group)

SS OR = 1.64 (#64 year age group)for $20 years DE exposure group

when compared to 0- to 4-yearexposure group All ORs adjusted for lifetimesmoking and asbestos exposure

Probable misclassexposure jobsYears of exposure for dose13% of death certascertainedOverestimation of 

Benhamouet al. (1988)

1,260 histologically confirmedlung cancer cases2,084 non-tobacco-relateddisease matched controls(sex, age at diagnosis,hospital admission, andinterviewer)Occurring between 1976 and1980 in France

Based on exposuresdetermined by panel ofexpertsThe occupations wererecorded blindly usingInternational StandardClassification ofOccupations as chemicalor physical exposures

Significant excess risks were foundin motor vehicle drivers(RR = 1.42) andtransport equipment operators(RR = 1.35) (smoking adjusted)

Exposure based ohistories not validExposures classifphysical exposureDE

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Table 7-2. Epidemiologic studies of the health effects of exposure to DE: case-control studies of lung ca

Authors Population studied DE exposure assessment Results Limi

Hayes et al.(1989)

Pooled data from three differentstudies consisting of 2,291 malelung cancer cases2,570 controls

Occupational informationfrom next of kin for alljobs heldJobs classified withrespect to potentialexposure to known andsuspected pulmonarycarcinogens

SS OR = 1.5 for truck drivers (>10years of employment)SS positive trend with increasingemployment as truck driverAdjusted for age, smoking, & studyarea 

Exposure data basdescription given which was not vaCould have been both diesel and gaJob description comisclassification

Steenlandet al. (1990)

1,058 male lung cancer deathsbetween 1982 and 19831,160, every sixth death fromentire mortality file, sorted bySocial Security number(excluding lung cancer,bladder cancer, and motorvehicle accidents)Cases and controls were fromCentral State Teamsters whohad filed claims (requiring20-year tenure)

Longest job held: dieseltruck driver, gasolinetruck driver, both typesof trucks, truckmechanic, anddockworkers

As 1964 cut-off point:SS OR = 1.64 for long-haul driverswith 13+ years of employmentPositive trend test for long-hauldrivers (p=0.04)SS OR = 1.89 for diesel truckdrivers of 35+ years ofemploymentAdjusted for age, smoking, &asbestos 

Exposure based ovalidatedPossible misclassand smoking, basinformation Lack of sufficient 

Steenland etal. (1998)

Exposure-response analyses oftheir 1990 case-control study

Industrial hygiene data ofelemental carbon intrucking industry collectedby Zaebst et al. (1991)used to estimate individualexposuresCumulative exposurescalculated based onestimated lifetimeexposures

For mechanics: OR = 1.69 (hadthe highest DE exposure)Lowest DE exposure and lowestOR = 0.93 observed fordockworkersIncreasing risk of lung cancer withincreasing exposureAdjusted for age & smoking 

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Table 7-2. Epidemiologic studies of the health effects of exposure to DE: case-control studies of lung ca

Authors Population studied DE exposure assessment Results Limi

Boffetta etal. (1990)

From 18 hospitals (since 1969),2,584 male lung cancer casesmatched to either one control (69)or two controls (2,515) weredrawn. Matched on age, hospital,and year of interview

A priori aggregation ofoccupations categorizedinto low probability,possible exposure (19occupations), andprobable exposure (13occupations) to DE

OR slightly below unity SNSAdjusted for smoking

No verification of Duration of emplosurrogate for doseNumber of indiviwas small

Emmelin etal. (1993)

50 male lung cancer cases from15 ports (worked for at least6 months between 1950 and1974), 154 controls matched onage and port

Indirect DE exposureassessment done based on(1) exposure intensity, (2)characteristics ofventilation, (3) measure ofproportion of time inhigher exposure jobs

SS OR for high-exposure group =6.8Positive trend for DE observed(trend much steeper for smokersthan nonsmokers)Adjusted for smoking

Numbers of cases smallVery few nonsmoLack of exposure asbestosNo latency analys

Swanson etal. (1993)

Population based case-controlstudy in metropolitan Detroit3,792 lung cancer cases and 1,966colon cancer (cases) controls,diagnosed between 1984 and 1987in white and black males (agedbetween 40-84)

Telephone interviews withthe individual or surrogateabout lifetime workhistoryOccupation and industrydata coded per 1980 U.S.Census Bureauclassification codesCertain occupations andindustries were selected asunexposed to carcinogens

SS excess ORs observed for- black farmers OR= 10.4 for 20+years employment- white railroad industry workersOR= 2.4 for 10+ years employmentAmong white trend tests were SSfor-drivers of heavy duty trucks- drivers of light duty trucks- farmers- railroad workersAmong blacks trend test was SS forfarmers onlyAll the ORs were adjusted for ageat diagnosis, pack-years ofcigarette smoking and race 

Lack of direct infspecific exposureNo latency analys

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Table 7-2. Epidemiologic studies of the health effects of exposure to DE: case-control studies of lung ca

Authors Population studied DE exposure assessment Results Limi

Hansen etal. (1998)

Population-based case-controlstudy of professional drivers inDenmarkMale lung cancer cases diagnosedbetween 1970-1989, controlsmatched by year of birth and sex

Information about pastemployment obtained bylinkage with nationwidepension fund Employment as lorry/busdrivers (n=1,640) and taxidrivers (n=426) was usedas surrogate for exposureto DE 

For lorry/bus drivers: SS OR = 1.31For taxi drivers: SS OR = 1.64,which increased to 2.2 in > 5-yearemployment with no lag time &3.0 in > 5 year employment with10- year lag time SS trend test for increasing riskwith increasing employment forboth lorry/bus drivers & taxidrivers (p<0.001)All ORs adjusted forsocioeconomic status 

Lack of informatifuel (personal comthe principal invethat diesel fuel is lorry/buses and ta1960s)Even though direcnot done for smokindirect methods results are not likconfounded by th

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Table 7-2. Epidemiologic studies of the health effects of exposure to DE: case-control studies of lung ca

Authors Population studied DE exposure assessment Results Limi

BrüskeHohlfeld etal. (1999)

Pooled analysis of two casecontrol studies (3,498 cases &3,541 controls)Controls frequency matched onsex, age, & region, randomlyselected from the compulsorypopulation registryInclusion criteria: (1) born in orafter 1913/less than 75 years old,(2) German nationality/resident ofthe region - lived in Germany formore than 25 years, & (3) lungcancer diagnosis should be 3months prior to the studyInformation obtained by personalinterview on: 

Lifetime detailedoccupational & smokinghistories obtained fromeach individual in apersonal interviewBased on job codes (33job titles & 21 industries)potential DE exposureclassified in 4 categories:A- professional drivers oftrucks, buses, & taxis; Bother traffic related i.e.,switchman, locomotive, &forklift drivers; Cbulldozer operators,graders,& excavators; Dfarm tractor driversCumulative DE exposuresand pack-years (smoking)calculated for eachindividual

SS higher risk adjusted for smokingobserved for all 4 categories:A- ORs ranged from 1.25 to 2.53B- ORs ranged from 1.53 to 2.88C- ORs ranged from 2.31 to 4.3D- 6.81 (exposure < 30 years)Risk increased with increasingexposure

Lack of data on adiesel exaust

Abbreviations: OR = odds ratio; RR = relative risk; SNS = statistically nonsignificant; SS = statistically significant.

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7.2.3. Summaries of Studies and Meta-Analyses of Lung Cancer 

7.2.3.1. Cohen and Higgins (1995): Health Effects of DE: Epidemiology

The Health Effects Institute (HEI) reviewed all published epidemiologic studies on the

health effects of exposure to DE available through June 1993, identified by a MEDLINE search

and by reviewing the reference sections of published research and earlier reviews. HEI

identified 35 reports of epidemiologic studies (16 cohort and 19 case-control) of the relation of

occupational exposure to diesel emissions and lung cancer published between 1957 and 1993. 

HEI reviewed the 35 reports for epidemiologic evidence of health effects of exposure to DE for

lung cancer, other cancers, and nonmalignant respiratory disease. They found that the data were

strongest for lung cancer. The evidence suggested that occupational exposure to DE from

diverse sources increases the rate of lung cancer by 20% to 40% in exposed workers generally,

and to a greater extent among workers with prolonged exposure. They also found that the results

are not explicable by confounding caused by cigarette smoking or other known sources of bias.

Control for smoking was identified in 15 studies. Six studies (17%) reported relative risk

estimates less than 1; 29 studies (83%) reported at least one relative risk greater than one

indicating positive association. Twelve studies indicating a relative risk greater than 1 had 95%

confidence intervals, which excluded unity.

The authors conclude that epidemiologic data consistently show weak associations

between exposure to DE and lung cancer. They find that the evidence suggests that long-term

exposure to DE in a variety of occupational circumstances is associated with a 1.2- to 1.5-fold

increase in the relative risk of lung cancer compared with workers classified as unexposed. Most

of the studies that controlled for smoking found that the association between increased risk of

lung cancer and exposure to DE persisted after such controls were applied, although in some

cases the excess risk was lower. None of the studies measured exposure to diesel emissions or

characterized the actual emissions from the source of exposure for the time period most relevant

to the development of lung cancer. Most investigators classified exposure based on work

histories reported by subjects or their next of kin, or by retirement records. Although these data

provide relative rankings of exposure, the absence of concurrent exposure information is the key

factor that limits interpretation of the epidemiologic findings and subsequently their utility in

making quantitative estimates of cancer risks.

This is a comprehensive and thorough narrative review of studies of the health effects of

DE. It does not undertake formal estimation of summary measures of effect or evaluation of

heterogeneity in the results. The conclusion drawn about the consistency of the results is based

on the author's assessment of the failure of potential biases and alternative explanations for the

increase in risk to account for the observed consistency. In many if not most studies, the quality

of the data used to control confounding was relatively crude. Although the studies do include

qualitative assessment of whether control for smoking is taken into account, careful scrutiny of
2

Of 35 studies identified in the literature search, 6 pairs of studies represented analyses of the same study

population, reducing the number of studies to 29.

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the quality of the control or adjustment for smoking among the studies is absent. This leaves

open the possibility that prevalent residual confounding by inadequate control for smoking in

many studies may account for the consistent associations seen.

7.2.3.2. Bhatia et al. (1998): DE Exposure and Lung Cancer

Bhatia et al. (1998) report a meta-analysis of 29 published2 cohort and case-control

studies of the relation between occupational exposure to DE and lung cancer. A search of the

epidemiologic literature was conducted for all studies concerning lung cancer and DE exposure. 

Occupational studies involving mining were excluded because of concern about the possible

influence of radon and silica exposures. Studies in which the minimum interval from time of

first exposure to end of follow-up was less than 10 years, and studies in which work with diesel

equipment or engines could not be confirmed or reliably inferred, were excluded. When studies

presented risk estimates for more than one specific occupational category of DE-exposed

workers, the subgroup risk estimates were used in the meta-analysis. Smoking-adjusted effect

measures were used when present.

Of 29 studies 23 met the criteria for inclusion in the meta-analysis. The observed

relative risk estimates were greater than 1 in 21 of these studies; this result is unlikely to be due

to chance. The pooled relative risk weighted by study precision was 1.33 (95% CI = 1.24, 1.44),

indicating increased relative risk for lung cancer from occupational exposure to DE. 

Subanalyses by study design (case-control and cohort studies) and by control for smoking

produced results that did not differ from those of the overall pooled analysis. Cohort studies

using internal comparisons showed higher relative risks than those using external comparisons

(see Figure 7-1).

Bhatia and colleagues conclude that the analysis shows a small but consistent increase in

the risk for lung cancer among workers with exposure to DE. The authors evaluate the

dependence of the relative risk estimate on the presence of control for smoking among studies,

and provide a table that allows assessment of whether the quality of the data contributing to

control for smoking is related to the relative risk estimates (albeit in a limited number of

studies). Bhatia et al. assert that residual confounding is not affecting the summary estimates or

conclusions for the following reasons: (1) the pooled relative risks for studies adjusted for

smoking were the same as those for studies not adjusting for smoking; (2) in those studies giving

risk estimates adjusted for smoking and risk estimates not adjusted for smoking, there was only a

small reduction in the pooled relative risk from DE exposure; and (3) in studies with internal 
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Figure 7-1. Pooled relative risk estimates and heterogeneity-adjusted 95% confidence

intervals for all studies and subgroups of studies included in the meta-analysis.

Source: Bhatia et al., 1998.

comparison populations, in which confounding is less likely, the pooled relative risk estimate

was 1.43.

The validity of this assessment depends on the adequacy of control for smoking in the

individual studies. If inadequate adjustment for smoking is employed and residual confounding

by cigarette smoking pertains in the result of the individual studies, then the comparisons and

contrasts of the pooled estimates the authors cite as reasons for dismissing the effect of residual

confounding by smoking will remain contaminated by residual confounding in the individual

studies. In fact, Bhatia et al. erroneously identify the treatment of the smoking data in the main
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analysis for the 1987 report by Garshick et al. as a continuous variable representing pack-years

of smoking, whereas the analysis actually dichotomized the pack-years data into two crude dose

categories (above and below the 50 pack-years level). This clearly reduced the quality of the

adjustment for smoking, which already suffered from the fact that information on cumulative

cigarette consumption was missing for more than 20% of the lung cancer cases. In this instance,

the consistency between the adjusted and unadjusted estimates of the relative risk for DE

exposure may be attributable to failure of adjustment rather than lack of confounding by

cigarette smoking. A similar problem exists for the Bhatia et al. representation of the control for

confounding in the study by Boffetta and Stellman (1988). 

An evaluation of the potential for publication bias is presented that provides reassurance

that the magnitude of published effects is not a function of the precision or study power;

however, this assessment cannot rule out the possibility of publication bias.

7.2.3.3. Lipsett and Campleman (1999): Occupational Exposure to DE and Lung Cancer: A

Meta-Analysis

Lipsett and Campleman (1999) conducted electronic searches to identify epidemiologic

studies published between 1975 and 1995 of the relationship of occupational exposure to DE and

lung cancer. Studies were selected based on the following criteria: (1) Estimates of relative risks

and their standard errors must be reported or derivable from the information presented. (2)

Studies must have allowed for a latency period of 10 or more years for development of lung

cancer after onset of exposure. (3) No obvious bias resulted from incomplete case ascertainment

in follow-up studies. (4) Studies must be independent: that is, a single representative study

selected from any set of multiple analyses of data from the same population. Studies focusing

on occupations involving mining were excluded because of potential confounding by radon,

arsenic, and silica, as well as possible interactions between cigarette smoking and exposure to

these substances in lung cancer induction. 

Thirty of the 47 studies initially identified as relevant met the specified inclusion criteria. 

Several risk estimates were extracted from six studies reporting results from multiple mutually

exclusive diesel-related occupational subgroups. If a study reported effects associated with

several levels or durations of exposure, the effect reported for the highest level or longest

duration of exposure was used. If estimates for several occupational subsets were reported, the

most diesel-specific occupation or exposure was selected. Adjusted risk estimates were used

when available.

Thirty-nine independent estimates of relative risk and standard errors were extracted. 

Pooled estimates of relative risk were calculated using a random-effects model. Among study
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populations most likely to have had substantial exposure to DE, the pooled smoking- adjusted

relative risk was 1.47 (95% CI = 1.29, 1.67) (see Figure 7-2).

Figure 7-2. Pooled estimates of relative risk of lung cancer in epidemiologic studies

involving occupational exposure to DE (random-effects models).

Source: Lipsett and Campleman, 1999. 

The between-study variance of the relative risks indicated the presence of significant

heterogeneity in the individual estimates. The authors evaluated the potential sources of

 heterogeneity by subset analysis and linear meta-regressions. Major sources of heterogeneity 

included control for confounding by smoking, selection bias (a healthy worker effect), and

exposure patterns characteristic of different occupational categories. A modestly higher, pooled

relative risk was derived for the subset of case-control studies, which, unlike the cohort studies,

showed little evidence of heterogeneity. 

This meta-analysis also evaluated the potential for publication bias, which provides

reassurance that the magnitude of published effects is not a function of the precision or study
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power. Again, as stated in the Bhatia et al. (1998) review, this assessment cannot rule out the

possibility of publication bias. 

Although a relatively technical approach was used in deriving summary estimates of

relative risk and the evaluation of possible sources of variation in the relative risks in this metaanalysis, this approach should not be confused with rigorous evaluation of the potential 

weaknesses among the studies included in the analysis. The heterogeneity attributable to

statistical adjustment for smoking was evaluated based on a dichotomous assessment of whether

control for smoking could be identified in the studies considered. This does not reflect the

adequacy of the adjustment for smoking employed in the individual studies considered.

7.2.4. Summary and Discussion

Certain extracts of DE have been demonstrated as both mutagenic and carcinogenic in

animals and in humans. Animal data suggest that DE is a pulmonary carcinogen among rodents

exposed by inhalation to high doses over long periods of time. While rat lung cancer response to

DE is not suitable for dose-response extrapolation to humans, the positive lung cancer response

doses imply a hazard for humans. Because large working populations are currently exposed to

DE and because nonoccupational ambient exposures currently are of concern as well, the

possibility that exposure to this complex mixture may be carcinogenic to humans has become an

important public health issue.

Because diesel emissions become diluted in the ambient air, it is difficult to study the

health effects in the general population. Nonoccupational exposure to DE is worldwide in urban

areas. Thus, “unexposed” reference populations used in occupational cohort studies are likely to

contain a substantial number of individuals who are nonoccupationally exposed to DE. 

Furthermore, the “exposed” group in these studies is based on job titles, which in most instances

are not verified or correlated with environmental hygiene measurement. The issue of health

effect measurement is further complicated by the fact that occupational cohorts tend to be

healthy and have below-average mortality, usually referred to as the “healthy worker effect.” 

Hence, the usual standard mortality ratios observed in cohort mortality studies are likely to be

underestimations of true risk.

A major difficulty with the occupational studies considered here was measurement of

actual DE exposure. Because all the cohort mortality studies were retrospective, assessment of

health effects from exposure to DE was naturally indirect. In these occupational settings, no

systematic quantitative records of ambient air were available. Most studies compared men in job

categories with presumably some exposure to DE with either standard populations (presumably

no exposure to DE) or men in other job categories from industries with little or no potential for

DE exposure. A few studies have included measurements of diesel fumes, but there is no
7-66

standard method for the measurement. No attempt is made to correlate these exposures with the

cancers observed in any of these studies, nor is it clear exactly which extract should have been

measured to assess the occupational exposure to DE. All studies have relied on the job

categories or self-report of exposure to DE. Gustavsson et al. (1990), Emmelin et al. (1993),

and Brüske-Hohlfeld et al. (1999) estimated exposure levels by getting detailed histories of job

tasks/categories and computing cumulative exposures, which unfortunately were not verifiable

due to of the lack of industrial hygiene data. In the studies by Garshick et al. (1987, 1988), the

diesel-exhaust-exposed job categories were verified based on an industrial hygiene survey done

by Woskie et al. (1988a,b). The investigators found that in most cases the job titles were good

surrogates for DE exposure. Also, in the railroad industry, where only persons who had at least

10 years of work experience were included in the study, the workers tended not to change job

categories over the years. Thus, a job known only at one point in time was a reasonable marker

of past DE exposure. Unfortunately, the exposure was only qualitatively verified. Quantitative

use of this information would have been much more meaningful. Zaebst et al. (1991) conducted

an industrial hygiene survey of elemental carbon exposure in the trucking industry by job

categories. Using these exposure measurements, Steenland et al. (1998) conducted an exposureresponse analysis of their earlier lung cancer case-control study (Steenland et al., 1990). These

exposure data are currently being verified and will be used for quantitative risk assessment in the

near future. 

Occupations involving potential exposure to DE are miners, truck drivers, transportation

workers, railroad workers, and heavy equipment operators. No known studies in metal miners

have assessed whether DE is associated with lung cancer. Currently, there are about 265

underground metal/nonmetal mines in the United States (Department of Labor, Mine Safety and

Health Administration, 2001). Approximately 20,000 miners are employed, but not all of them

are currently working in the mines. Diesel engines were introduced in metal mines in the United

States in the early to mid-1960s. Although all these mines use diesel equipment, it is difficult to

estimate how many of these miners were actually exposed to diesel fumes. 

Diesel engines were introduced in coal mines at an even later date in the United States,

and their use is still quite limited. There are 910 underground coal mines in the United States, of

which only 145 currently use diesel powered equipment (Department of Labor, Mine Safety and

Health Administration, 2001). Even if it were possible to estimate how many miners (metal and

coal) were exposed to DE, it would be very difficult to separate out the confounding effects of

other potential pulmonary carcinogens, such as radon decay products or heavy metals (e.g.,

arsenic, chromium). Furthermore, the relatively short latency period limits the usefulness of

these cohorts of miners.
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Both metal and coal mines in Europe and Australia, on the other hand, have been using

diesel equipment for more than 50 years. The epidemiologic studies of coal miners conducted in

these countries discuss only exposures to coal dust. In most of the coal miner studies, DE

exposures are not even mentioned by the investigators as confounding exposures. Therefore, it

is not known how many miners, if any, were exposed to DE, for how long, and at what

concentrations. Although studies of coal miners reviewed by IARC (1997) generally found

lower than expected lung cancer mortality (with some exceptions where some excess of lung

cancer was observed), without knowing the concentrations, duration of exposure, and number of

miners exposed to DE, it is inappropriate to conclude that the reported lung cancer mortality

deficit in these studies provides a proof positive of absence of causal association between DE

exposure and occurrence of lung cancer.

7.2.4.1. Summary of the Cohort Mortality Studies

The cohort studies mainly demonstrated an increase in lung cancer. Studies of bus

company workers by Waller (1981), Rushton et al. (1983), and Edling et al. (1987) failed to

demonstrate any statistically significant excess risk of lung cancer, but these studies have certain

methodological problems, such as small sample sizes, short follow-up periods (just 6 years in the

Rushton et al. study), lack of information on confounding variables, and lack of analysis by

duration of exposure, duration of employment, or latency that preclude their use in determining

the carcinogenicity of DE. Although the Waller (1981) study had a 25-year follow-up period,

the cohort was restricted to employees (ages 45 to 64) currently in service. Employees who left

the job earlier, as well as those who were still employed after age 64 and who may have died

from cancer, were excluded.

Wong et al. (1985) conducted a mortality study of heavy equipment operators that

demonstrated a nonsignificant positive trend for cancer of the lung with length of membership

and latency. Analysis of deceased retirees showed a significant excess of lung cancer. 

Individuals without work histories who started work prior to 1967, when records were not kept,

may have been in the same jobs for the longest period of time. Workers without job histories

included those who had the same job before and after 1967 and thus may have worked about 12

to 14 years longer; these workers exhibited significant excess risks of lung cancer and stomach

cancer. If this assumption about duration of jobs is correct, then these site-specific causes can be

linked to DE exposure. One of the methodologic limitations of this study is that most of these

men worked outdoors; thus, this cohort might have had relatively low exposure to DE. The

authors did not present any environmental measurement data either. Because of the absence of

detailed work histories for 30% of the cohort and the availability of only partial work histories

for the remaining 70%, jobs were classified and ranked according to presumed diesel exposure. 
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Information is lacking regarding duration of employment in the job categories (used for

surrogate of exposure) and other confounding factors (alcohol consumption, cigarette smoking,

etc.). Thus, this study cannot be used to support or refute a causal association between exposure

to DE and lung cancer.

A 2-year mortality analysis by Boffetta and Stellman (1988) of the American Cancer

Society’s prospective study, after controlling for age and smoking, demonstrated an excess risk

of lung cancer in certain occupations with potential exposure to DE. These excesses were

statistically significant among miners (RR = 2.67, 95% CI = 1.63, 4.37) and heavy equipment

operators (RR = 2.6, 95% CI = 1.12, 6.06). Recently Brüske-Hohlfeld et al. (1999) also have

observed significantly higher risk for lung cancer, in the range of 2.31 to 4.3, for heavy

equipment operators. The elevated risks were nonsignificant in railroad workers (RR = 1.59)

and truck drivers (RR = 1.24). A dose response was also observed for truck drivers. With the

exception of miners, exposure to DE occurred in the three other occupations showing an increase

in the risk of lung cancer. Despite methodologic limitations, such as the lack of representiveness

of the study population (composed of volunteers only, who were probably healthier than the

general population), leading to an underestimation of the risk, and the questionable reliability of

exposure data based on self-administered questionnaires that were not validated, this study is

suggestive of a causal association between exposure to DE and excess risk of lung cancer.

Two mortality studies were conducted by Gustavsson et al. (1990) and Hansen (1993)

among bus garage workers (Stockholm, Sweden) and truck drivers, respectively. An SMR of

122 was found among bus garage workers, based on 17 cases. A nested case-control study was

also conducted in this cohort. Detailed exposure matrices based on job tasks were assembled for

both DE and asbestos exposures. Statistically significant increasing lung cancer relative risks of

1.34, 1.81, and 2.43 were observed for DE indices of 10 to 20, 20 to 30, and >30, respectively,

using 0 to 10 as a comparison group. Adjustment for asbestos exposure did not change the

results. The main strength of this study is the detailed exposure matrices; some of the limitations

are low power (small cohort) and lack of smoking histories. But smoking is not likely to be

different among study individuals irrespective of their exposure status to DE. 

Hansen (1993), on the other hand, found statistically significant SMR of 160 from cancer

of bronchus and lung. No dose response was observed, although the excesses were observed in

most of the age groups (30 to 39, 45 to 49, 50 to 54, 55 to 59, 60 to 64, and 65 to 74). There are

quite a few methodologic limitations to this study. Exposure to DE was assumed in truck drivers

for diesel-powered trucks, but no validation of exposure was attempted. Follow-up period was

short, no latency analysis was done, and smoking data were lacking. However, a population

survey carried out in 1988 showed very little difference in smoking habits of residents of rural

area and the total Danish male population, thus, smoking is unlikely to confound the finding of
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excess lung cancer. The findings of both these studies are consistent with the findings of other

truck driver studies and are supportive of causal association.

 Two mortality studies of railroad workers were conducted by Howe et al. (1983) and

Garshick et al. (1988). The Howe et al. study, which was conducted in Canada, found relative

risks of 1.2 (p<0.01) and 1.35 (p<0.001) among “possibly” and “probably” exposed groups,

respectively. The trend test showed a highly significant dose-response relationship with

exposure to DE and the risk of lung cancer. The main limitation of the study was the inability to

separate overlapping exposures of coal dust/combustion fumes and DE fumes. Information on

jobs was available at retirement only. There also was insufficient detail on the classification of

jobs by DE exposure. The exposures could have been nonconcurrent or concurrent, but because

the data are lacking, it is possible that the observed excess could be due to the effect of both coal

dust/combustion fumes and DE fumes and not just one or the other. It should be noted that, so

far, coal dust has not been demonstrated to be a pulmonary carcinogen in studies of coal miners. 

However, lack of data on confounders such as asbestos and smoking (though use of the internal

comparison group to compute relative risks minimizes confounding by smoking) makes

interpretation of this study difficult. When three DE exposure categories were examined for

smoking-related diseases such as emphysema, laryngeal cancer, esophageal cancer, and buccal

cancer, positive trends were observed, raising a possibility that the dose response demonstrated

for diesel exposure may have been due to smoking. The findings of this study are at best

suggestive of DE being a lung carcinogen.

The strong evidence for linking DE exposure to lung cancer comes from the Garshick et

al. (1988) railroad worker study conducted in the United States. Relative risks of 1.57 (95% CI

= 1.19, 2.06) and 1.34 (95% CI = 1.02, 1.76) were found for ages 40 to 44 and 45 to 49,

respectively, after the exclusion of workers exposed to asbestos. The investigators reported that

the risk of lung cancer increased with increasing duration of employment. As this was a large

cohort study with a lengthy follow-up and adequate analysis, including dose response (based on

duration of employment as a surrogate) as well as adjustment for other confounding factors such

as asbestos, the observed association between increased lung cancer and exposure to DE is more

meaningful. Even though the reanalysis of these data by Crump et al. (1991) found that the

relative risk could be positively or negatively related to duration of exposure depending on how

age was controlled, additional analysis by Garshick et al. (letter from Garshick, Harvard Medical

School, to Chao Chen, U.S. EPA, dated August 15, 1991) found that the relationship between

years exposed when adjusted for the attained age and calendar years was flat to negative,

depending on the choice of the model. They also found that deaths were underreported by

approximately 20% to 70% between 1977 and 1980, and their analysis based on job titles,

limited to 1959-1976, showed that the youngest workers still had the highest risk of dying of
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lung cancer. On the other hand, an analysis of the same data by California EPA (CalEPA, 1998)

yielded a positive dose response set using age at 1959 and adding an interaction term of age and

calendar year in the model. However, Crump (1999) reported that the negative dose-response

continued to be upheld in his latest analysis when age was controlled more carefully and years of

exposure quantified more accurately. Crump (1999) asserted that the negative dose-response

trends for lung cancer observed with either the cumulative exposure or duration of exposure may

be due to underascertainment of deaths in the last 4 years of follow-up of the Garshick et al.

(1988) study, as well as incomplete follow-up in earlier years. The HEI (1999) special panel

conducted its own analyses using Garshick et al. (1988) data to evaluate their usefulness for

quantitative risk assessment and found results similar to those of Crump et al. (1991) and

Garshick (letter from Garshick, Harvard Medical School, to Chao Chen, U.S. EPA, dated August

15, 1991). The HEI panel reported consistently elevated risk of lung cancer for train workers

compared with clerks for each duration of employment, and that shop workers had an

intermediate risk of lung cancer. But they found decreasing risk of lung cancer with increasing

duration of employment. The panel discussed various possibilities (different types of biases) for

the negative dose-response and advised against using the Garshick et al. (1988) data for

quantitative risk assessment. The panel also reported the strengths of the Garshick et al. (1988)

study such as large population, control for asbestos, and smoking, and concluded that the study

was generally consistent with findings of weak association between exposure to DE and

occurrence of lung cancer. Hence, the divergent results of these recent analyses do not negate

the positive evidence this study provides for the qualitative evaluation. The observance of doseresponse would have strengthened the causal association, but an absence of a dose-response does

not negate it.

Suggestive evidence is provided by a recent study of potash miners in Germany. The

information on the exposure (including elemental carbon and organics), work chronology, and

work category was used by the investigators to calculate cumulative exposures for each worker. 

Furthermore, information on smoking habits indicated homogeneity in the cohort. 

A statistically nonsignificant twofold increase in lung cancer was observed in the production

workers as compared to workshop workers. The lack of significance for this finding could be

due to short follow-up, not enough latency, and relatively young age of the cohort.

7.2.4.2. Summary of the Case-Control Studies of Lung Cancer 

Among the 11 lung cancer case-control studies reviewed in this chapter, only 2 studies

did not find any increased risk of lung cancer. Lerchen et al. (1987) did not find any excess risk

of lung cancer, after adjusting for age and smoking, for diesel fume exposure. The major

limitation of this study was a lack of adequate exposure data derived from the job titles obtained
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from occupational histories. Next of kin provided the occupational histories for 50% of the

cases that were not validated. The power of the study was small (analysis done on males only,

333 cases). Similarly, Boffeta et al. (1990) did not find any excess of lung cancer after adjusting

for smoking and education. This study had a few methodological limitations. The lung cancer

cases and controls were drawn from the ongoing study of tobacco-related diseases. It is

interesting to note that the leading risk factor for lung cancer is cigarette smoking. The exposure

was not measured. Instead, occupations were used as surrogates for exposure. Furthermore,

there were very few individuals in the study who were exposed to DE. On the other hand,

statistically nonsignificant excess risks were observed for DE exposure by Hall and Wynder

(1984) in workers who were exposed to DE versus those who were not (OR = 1.4 and 1.7 with

two different criteria) and by Damber and Larsson (1987) in professional drivers (OR = 1.2). 

These rates were adjusted for age and smoking. Hall and Wynder (1984) had a high

nonparticipation rate of 36%. Therefore, the positive results found in this study are

underestimated at best. In addition, the self-reported exposures used in the study by Hall and

Wynder (1984) were not validated. This study also had low power to detect excess risk of lung

cancer for specific occupations.

The study by Benhamou et al. (1988), after adjusting for smoking, found significantly

increased risks of lung cancer among French motor vehicle drivers (RR = 1.42) and transport

equipment operators (RR = 1.35). The main limitation of the study was the inability to separate 

exposures to DE from those to gasoline exhaust because both motor vehicle drivers and transport

equipment operators probably were exposed to the exhausts of both types of vehicles.

Hayes et al. (1989) combined data from three studies (conducted in three different states)

to increase the power to detect an association between lung cancer and occupations with a high

potential for exposure to DE. They found that truck drivers employed for more than 10 years

had 

a significantly increased risk of lung cancer (OR = 1.5, 95% CI = 1.1, 1.9). This study also

found a significant trend of increasing risk of lung cancer with increasing duration of

employment among truck drivers. The relative odds were computed by adjusting for birth

cohort, smoking, and State of residence. The main limitation of this study is again the mixed

exposures to diesel and gasoline exhausts, because information on type of engine was lacking. 

Also, potential bias may have been introduced because the way in which the cause of death was

ascertained for the selection of cases varied in the three studies. Furthermore, the methods used

in these studies to classify occupational categories were different, probably leading to

incompatibility of occupational categories.

Emmelin et al. (1993), in their Swedish dockworkers from 15 ports, found increased

relative odds of 6.8 (90% CI = 1.3 to 34.9). A strong interaction between smoking and DE was
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observed in this study. Of 50 cases and 154 controls, only 6 individuals were nonsmokers. 

Although intricate exposure matrices were created using three different variables, no direct

exposure measurement was done. Despite the limitations of small number of cases and controls;

lack of data on asbestos exposure, which is fairly common in dockworkers; and very few

nonsmokers; this study provides consistent support for a real effect of DE exposure and

occurrence of lung cancer, at least in smokers.

The most convincing evidence comes from the case-control studies among railroad

workers by Garshick et al. (1987); among truck drivers of the Teamsters Union by Steenland et

al. (1990, 1998); among truck drivers, railroad workers, and farmers in a population-based study

by Swanson et al. (1993); among different professional drivers in Denmark by Hansen et al.

(1998); and among male workers occupationally exposed to diesel motor emissions in Germany

by Brüske-Hohlfeld et al. (1999). Garshick et al. (1987) found that after adjustment for asbestos

and smoking, the relative odds for continuous exposure were 1.39 (95% CI = 1.05, 1.83). 

Among the younger workers with longer DE exposure, the risk of lung cancer increased with

duration of exposure after adjusting for asbestos and smoking. Even after the exclusion of

recent DE exposure (5 years before death), the relative odds increased to 1.43 (95% CI = 1.06,

1.94). This appears to be a well-conducted and well-analyzed study with reasonably good

power. Potential confounders were controlled adequately, and interactions between DE and

other lung cancer risk factors were tested. Some of the limitations of this study are

misclassification of exposure because ICC job classification was used as surrogate for exposure

and use of death certificates for identification of cases and controls. 

Steenland et al. (1990), on the other hand, created two separate work history files, one

from Teamsters Union pension files and the other from next-of-kin interviews. Using duration

of employment as a categorical variable and considering employment after 1959 (when

presumed dieselization occurred) for long-haul drivers, the risk of lung cancer increased with

increasing years of exposure. Using 1964 as the cutoff, a similar trend was observed for longhaul drivers. For short-haul drivers, the trend was positive with a 1959 cutoff, but not when

1964 was used as the cutoff. For truck drivers who primarily drove diesel trucks and worked for

35 years, the relative odds were 1.89. The main strengths of the study are availability of detailed

records from the Teamsters Union, a relatively large sample size, availability of smoking data,

and measurements of exposure. The limitations of this study include possible misclassifications

of exposure and smoking, lack of levels of diesel exposure, a smaller nonexposed group, and an 

insufficient latency period. Recently Steenland et al. (1998) conducted an exposure-response

analysis on these cases and controls, using the industrial hygiene survey results of Zaebst et al.

(1991). The estimates were made for long-haul drivers, short-haul drivers, dockworkers,

mechanics, and those outside the trucking industry. The survey found that mechanics had the
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highest current levels of DE exposures and dockworkers who mainly used propane- powered

forklifts had the lowest exposure. The finding of the highest lung cancer risk for mechanics and

lowest for dock workers is indicative of a causal association between the DE exposure and

development of lung cancer. However, the risk among mechanics did not increase with

increasing duration of employment. The ORs for quartile cumulative exposures, computed by

using logistic regression adjusted for age, race, smoking, diet, and asbestos exposure, showed a

pattern of increasing trends in risk with increasing exposure, between 1.08 and 1.72 depending

upon exposure level and lag structure used. 

In a population-based lung cancer case-control study Swanson et al. (1993) found

statistically significant excess risks adjusted for age at diagnosis, smoking, and race, among

white male drivers of heavy trucks employed for $20 years and railroad workers employed for

$10 years (OR = 2.5, 95% CI = 1.1, 4.4, and OR = 2.4, 95 % CI = 1.1, 5.1, respectively), and

among black farmers employed for $20 years (OR = 10.4, 95% CI = 1.4, 77.1). Although

individual ORs were not significant for various occupations with potential exposure to DE,

statistically significant trends were observed for drivers of heavy trucks, light trucks, farmers,

and railroad industry workers among whites, and among black farmers (p#0.05). The main

strengths of the study are availability of data on lifetime work history and smoking history; the

main limitation is absence of actual specific exposure data. This is the first study that found

increased lung cancer risk for farmers, who are exposed to DE of their farm tractors. 

Hansen et al. (1998), in their study of professional drivers in Denmark, found statistically

significant ORs (adjusted for socioeconomic status) of 1.31, 1.64, and 1.39 for lorry/bus drivers,

taxi drivers, and unspecified drivers, respectively. The lag time analyses for duration of

employment were unchanged for lorry/bus drivers but increased to OR = 3 from 2.2 in taxi

drivers with a lag time of 10 years and duration of employment of > 5 years. The authors

asserted that the higher risk seen in the taxi drivers may be due to higher exposure to these

drivers because of longer time spent in traffic congestion. Furthermore, the trend tests for

increasing risk of lung cancer with increasing duration of employment were statistically

significant for both lorry/bus drivers and taxi drivers in both 10-year lag time and no lag time. 

The main strengths of the study are the large sample size, availability of detailed employment

records, and information on socioeconomic status. The main limitations are absence of

individual data on smoking habits and asbestos exposure, and information about the type of fuel

used for the vehicles driven by these professional drivers. A personal communication with the

main investigator revealed that the lorries/buses and taxis have been using diesel fuel since the

late 1940s. Moreover, indirect information about smoking and asbestos exposure indicated that

these two confounders are unlikely to explain the observed excesses or the trends, resulting in

strong support of earlier positive studies.
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Brüske-Hohlfeld et al. (1999) recently conducted a pooled analysis of two case-control

studies among male workers occupationally exposed to DME in Germany. The investigators

collected data on demographic information, detailed smoking, and occupational history. Job

titles and industries were classified in 33 and 21 categories respectively. Job descriptions were

written and verified to avoid misclassification of estimated exposure to diesel emissions. 

Individual cumulative DME exposures and smoking pack-years were calculated. Asbestos

exposures were estimated by certain job-specific supplementary questions. Analysis of 3,498

lung cancer cases and 3,541 controls yielded statistically significant ORs ranging from 1.25 to

2.31 adjusted for smoking and asbestos exposure. The risk increased with increasing years of

exposure for both the first year of exposure and the end year of exposure. These investigators

presented analyses by various job categories, by years of exposure, first and end years of

exposure and, when possible, separately for West and East Germany. Significantly higher risks

were found among all four job categories. For professional drivers (of trucks, buses, and taxis)

ORs ranged from 1.25 to 2.53. For other traffic-related jobs (switchmen, diesel locomotive

drivers, diesel forklift truck drivers), ORs ranged from 1.53 to 2.88. For heavy equipment

operators (bulldozers, graders, and excavators), ORs ranged from 2.31 to 4.3, and for drivers of

farming equipment the only significant excess (OR = 6.81) was for exposure for <30 years. 

This study shows increased risk for all the DME-exposed job categories. The

professional drivers and the other traffic-related jobs also have some mixed exposures to

gasoline exhaust in general traffic. On the other hand, it should be noted that exposure to DME

among heavy equipment and farm tractor drivers is much higher and not as mixed as in

professional drivers. The heavy equipment drivers usually drive repeatedly through their own

equipment’s exhaust. Therefore, the observed highest risk for lung cancer in this job category

establishes a strong link with the DME. The only other study that found significantly higher risk

for heavy equipment operators (RR = 2.6) was conducted by Boffeta et al. (1988). Although the

only significant excess in the group was observed for farming tractor operators with more than

30 years of exposure, a steady increase in risk was observed for this job category with increasing

exposure. The investigators stated that the working conditions and the DME of tractors

remained fairly constant over the years. This increase may be due mainly to exposure to DME

and PM10.

The main strengths of the study are large sample size, resulting in good statistical power;

inclusion of incident cases diagnosed not more than 3 months prior to the interview; use of only 

personal interviews, reducing recall bias; diagnoses ascertained by cytology or histology; and

availability of lifelong detailed occupational and smoking history. Exposure estimation done for

each individual was based on job codes and industry codes, which were validated by written job

descriptions to avoid misclassification. 
7-75

The main limitation of the study is lack of data on actual exposure to DME. The

cumulative quantitative exposures were calculated based on time spent in each job with potential

exposure to DME and the type of equipment used. Thus, this study provides strong evidence for

causal association between exposure to DE and occurrence of lung cancer.

7.2.4.3. Summary of the Reviews and Meta-Analyses of Lung Cancer

Three summaries of studies concerned with the relationship of DE exposure and lung

cancer risk are reviewed. The HEI report is a narrative study of 35 epidemiologic studies (16

cohort and 19 case-control) of occupational exposure to diesel emissions published between

1957 and 1993. Control for smoking was identified in 15 studies. Six of the studies (17%)

reported relative risk estimates less than 1, whereas 29 (83%) reported at least 1 excess relative

risk, indicating a positive association. Twelve studies indicating a relative risk greater than 1

had 95% confidence intervals that excluded unity. These studies found that the evidence

suggests that occupational exposure to DE from diverse sources increases the rate of lung cancer

by 20% to 40% in exposed workers generally, and to a greater extent among workers with

prolonged exposure. They also found that the results are not explicable by confounding due to

cigarette smoking or other known sources of bias.

Bhatia et al. (1998) identified 23 studies that met criteria for inclusion in the metaanalysis. The observed relative risk estimates were greater than 1 in 21 of these studies. The

pooled relative risk weighted by study precision was 1.33 (95% CI= 1.24, 1.44), which indicated

increased relative risk for lung cancer from occupational exposure to DE. Subanalyses by study

design (case-control and cohort studies) and by control for smoking produced results that did not

differ from those of the overall pooled analysis. Cohort studies using internal comparisons

showed higher relative risks than those using external comparisons.

 Lipsett and Campleman (1999) identify 39 independent estimates of relative risk among

30 eligible studies of DE and lung cancer published between 1975 and 1995. Pooled relative

risks for all studies and for study subsets were estimated using a random effect model. 

Interstudy heterogeneity was also modeled and evaluated. A pooled smoking-adjusted relative

risk was 1.47 (95% CI = 1.29, 1.67). Substantial heterogeneity was found in the pooled-risk

estimates. Adjustment for confounding by smoking, having a lower likelihood of selection bias,

and increased study power were all found to contribute to lower heterogeneity and increased

pooled estimates of relative risk.

There is some variability in the conclusions of these summaries of the association of DE

and lung cancer. The three analyses find that smoking is unlikely to account for the observed

effects, and all conclude that the data support a causal association between lung cancer and DE

exposure. On the other hand, Stöber and Abel (1996), Muscat and Wynder (1995), and Cox
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(1997) call into question the assertions by Cohen and Higgins (1995), Bhatia et al. (1998), and

Lipsett and Campleman (1999) that the associations seen for DE and lung cancer are unlikely to

be due to bias. They argue that methodologic problems are prevalent among the studies,

especially in evaluation of diesel engine exposure and control of confounding by cigarette

smoking, and thus, the observed association between exposure to DE and excess risk of lung

cancer is more likely to be due to bias. The conclusions of the two meta-analyses are based on

magnitude of pooled relative risk estimates and evaluation of potential sources of heterogeneity

in the estimates. Despite the statistical sophistication of the meta-analyses, the statistical models

used cannot compensate for deficiencies in the original studies and will remain biased to the

extent that bias exists in the original studies. 

7.2.4.4. Discussion of Relevant Methodologic Issues

A persistent association of risk for lung cancer and DE exposure has been observed in

more than 30 epidemiologic studies published in the literature over the past 40 years. Evaluation

of whether this association can be attributed to a causal relation between DE exposure and lung

cancer requires careful consideration of whether chance, bias, or confounding might be likely

alternative explanations. 

A total of 10 cohort and 12 case-control studies are reviewed in this chapter. An

increased lung cancer risk was observed in 8 cohort and 10 case-control studies, even though the

results were not always statistically significant. There is a consistent tendency for point

estimates of relative risk to be greater than one in studies that adjusted (either directly or

indirectly) for smoking, had a long enough follow-up, and sufficient statistical power among

truck drivers, railroad workers, dock workers, and heavy equipment workers. If this elevated

risk was due to chance one would expect almost equal distribution of these point estimates to be

above and below one. Many of the studies provide confidence intervals for their estimates of

excess risk or statistical tests, which indicate that it is unlikely that the individual study findings

were due to random variation. The persistence of this association between DE and lung cancer

risk in so many studies indicates that the possibility is remote that the observed association in

aggregate is due to chance. It is unlikely that chance alone accounts for the observed relation

between DE and lung cancer.

The excess risk is observed in both cohort and case-control designs, which contradicts the

concern that a methodologic bias specifically characteristic of either design (e.g., recall bias)

might account for the observed effect. Selection bias is certainly present in some of the

occupational cohort studies that use external population data in estimating relative risks, but this

form of selection bias (a healthy worker effect) would only obscure, rather than spuriously

produce, an association between DE and lung cancer. Several occupational epidemiologic
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studies that use more appropriate data for their estimates are available. Selection biases may be

operating in some case-control studies, but it is not obvious how such a bias could be sufficiently

uniform in effect, prevalent, and strong enough to lead to the consistent association seen in the

aggregate data. Given the variety of designs used in studying the DE and lung cancer

association and the number of studies in different populations, it is unlikely that routinely

studying noncomparable groups is an explanation for the consistent association seen. Exposure

information bias is certainly a problem for almost all of the studies concerned. Detailed and

reliable individual-level data on DE exposure for the period of time relevant to the induction of

lung cancer are not available and are difficult to obtain. Generally, the only information from

which diesel exposure can be inferred is occupational data, which is a poor surrogate for the true

underlying exposure distribution. The variability in actual lifetime exposure to DE in an

occupational cohort may not be reflected in differences in job title, and there might be

considerable variability in actual exposure despite similar job titles. Study endpoints are

frequently mortality data taken from death certificate information, which is frequently inaccurate

and often does not fully characterize the lung cancer incidence experience of the population in

question. Using inaccurate surrogates for lung cancer incidence and for diesel exposure can lead

to substantial bias, and these shortcomings are endemic in the field. In most cases these

shortcomings will lead to misclassification of exposure and of outcome, which is nondifferential. 

Nondifferential misclassification of exposure and/or outcome can bias estimates of a DE–lung

cancer association, if one exists, toward the null; but it is unlikely that such misclassification

would produce a spurious estimate in any one study. It is even more unlikely that it would bias a

sufficient number of studies in a uniform direction to account for the consistent aggregate

association observed. 

Moreover, throughout this chapter, various methodologic limitations of individual studies

have been discussed, such as small sample size, short follow-up period, lack of data on

confounding variables, use of death certificates to identify the lung cancer cases, and lack of

latency analysis. The studies with small sample sizes (i.e., not enough power) and short followup periods (i.e., not enough latent period) have been difficult to interpret due to these limitations.

The most important confounding variable is smoking which is a strong risk factor for

lung cancer. All the studies considered for this report are either cohort retrospective mortality or

case-control studies where history of exposures in the past is elicited. Smoking history is usually

difficult to obtain in such instances. The smoking histories obtained from surrogates (next of

kin, either spouse or offspring) were found to be accurate by Lerchen and Samet (1986) and

McLaughlin et al. (1987). Lerchen and Samet did not detect any consistent bias in the report of

cigarette consumption. In contrast, overreporting of cigarette smoking by surrogates was

observed by Rogot and Reid (1975), Kolonel et al. (1977), and Humble et al. (1984). Kolonel et
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al. found that the age at which an individual started smoking was reported within 4 years of

actual age 84% of the time. These studies indicate that surrogates were able to provide fairly

credible information on the smoking habits of the study subjects. If the surrogates of the cases

were more likely to overreport cigarette smoking compared with the controls, then it might be

harder to find an effect of DE because most of the increase in lung cancer would be attributed to

smoking rather than to exposure to DE. 

Some studies do not adjust for tobacco smoke exposure. Even though smoking is a

strong risk for lung cancer, it is only a confounder if there are differential smoking habits among

individuals exposed to DE versus individuals who are not exposed. Most of the occupational

cohorts include workers from the same socioeconomic background or used an internal

comparison group; hence, it is unlikely that confounding by cigarette smoking is substantial in

these studies. Some studies have adjusted for socioeconomic status and some studies have

compared the cigarette smoking habits by conducting rural and urban general population

surveys. Besides, in studies with long enough latency, adjustment for cigarette smoking did not

alter substantially the observed higher risk. 

Another methodologic concern in these studies is use of death certificates to determine

cause of death. Death certificates were used by all of the cohort mortality studies and some of

the case-control studies of lung cancer to determine cause of death. Use of death certificates

could lead to misclassification bias because of overdiagnosis. Studies of autopsies done between

1960 and 1971 demonstrated that lung cancer was overdiagnosed when compared with hospital

discharge, with no incidental cases found at autopsy (Rosenblatt et al., 1971). Schottenfeld et al.

(1982) also found an overdiagnosis of lung cancer among autopsies conducted in 1977 and 1978. 

On the other hand, Percy et al. (1981) noted 95% concordance when comparing 10,000 lung

cancer deaths observed in the Third National Cancer Survey from 1969 to 1971 (more than 90%

were confirmed histologically) to death-certificate-coded cause of death. These more recent

findings suggest that the diagnosis of lung cancer on death certificates is better than anticipated. 

In reality, lung cancer is one cause of death that has been found to be generally reliably reported

on the death certificate. Thus, the misclassification bias probably is minimal in the studies

described in this chapter.

Finally, several investigators have not conducted latency analysis in their studies. The

latent period for lung cancer development is from 20 to 30 years or more. Considering the fact

that dieselization was not complete till almost 1959 for locomotives and the 1970s for the

trucking industry in the United States, most of the cohort studies conducted in the U.S.

population do not have a long enough follow-up period to allow for latency of 20 to 30+ years. 

In addition, the study inclusion criteria for most of the studies are individuals who worked in the

industry for at least 6 months /1 year from the beginning of the follow-up period to the end of
3

Hill in his address to the Royal Society of Medicine in 1965 on “The environment and disease:

association or causation” explored several aspects of association between exposure and occurrence of an event

before deciding that the most likely interpretation of it is causation. He provided nine different aspects of

association that he characterized as his viewpoints before interpreting the association being causal. The

epidemiologic community universally adopted these (aspects/viewpoints) later as criteria for causality/causal

association.

7-79

the follow-up period. Hence, the later the individual enters the cohort, the shorter the follow-up

period; thus, the latent period is insufficient for the occurrence of lung cancer in these late

entrants. Therefore, the observed slight to moderate increase in risk of lung cancer could be due

to insufficient latency. On the other hand, in certain case-control studies the elapsed period

between the identification of the lung cancer cases and exposure to DE is long enough to allow

for the 30+ years latency needed for the development of lung cancer (Hansen et al., 1998;

Brüske-Hohlfeld et al., 1999). These investigators identified lung cancer cases in the early to

mid-1990s and found significant excess risks for lung cancer among the individuals exposed to

DE. It should be noted that the use of diesel fuel for trucks, buses, and taxis had started in their

countries (Denmark and Germany, respectively) in the late 1940s.

7.2.4.5. Evaluation of Causal Association

In most situations, epidemiologic data are used to delineate the causality of certain health

effects. Several cancers have been causally associated with exposure to agents for which there is

no direct biological evidence. Insufficient knowledge about the biological basis for diseases in

humans makes it difficult to identify exposure to an agent as causal, particularly for malignant

diseases when the exposure was in the distant past. Consequently, epidemiologists and biologists

have used the original or modified version of a set of criteria provided by Hill (1965)3 that

define a causal relationship between exposure and the health outcome. A causal interpretation is

enhanced for studies that meet these criteria. None of these criteria actually proves causality;

actual proof is rarely attainable when dealing with environmental carcinogens. None of these

criteria should be considered either necessary (except temporality of exposure) or sufficient in

itself. The absence of any one or even several of these criteria does not prevent a causal

interpretation. However, if more criteria apply, this provides more credible evidence for

causality.

Thus, applying the Hill criteria (1965) of causal inference, as modified by Rothman

(1986), to the studies reviewed here resulted in the following:

• Strength of association. This phrase refers to the magnitude of the ratio of

incidence or mortality (RRs or ORs). Several studies found statistically

significant RRs and ORs that ranged from 1.2 to 2.6 (Howe et al., 1983; Rushton
7-80

et al., 1983; Wong et al., 1985; Gustavsson et al., 1990; Emmlin et al., 1993;

Hansen, 1993; Hansen et al., 1998) and, after adjustment for smoking and/or

asbestos, RRs and ORs remained statistically significant and in the same range in

certain studies (Dambar and Larson 1987; Garshick et al., 1987, 1988; Benhamou

et al., 1988; Boffetta and Stellman, 1988; Hays et al., 1989; Steenland et al.,

1990; Swanson et al., 1993; Brüsk-Hohlfeld et al., 1999). In addition, two metaanalyses demonstrated that not only did excess in lung cancer remain the same

after stratification/adjustment for smoking and occupation, but in several

instances the pooled RRs showed modest increases, with little evidence of

heterogeneity. Overall, the studies in epidemiologic terms show relatively

modest to weak association between DE and occurrence of lung cancer. Even

though strong associations are more likely to be causal than modest-to-weak

associations, the fact that association is relatively modest or weak does not rule

out the causal link.

• Consistency. Increased lung cancer risk has been observed in several cohort and

case-control studies, conducted in several industries and occupations in which

workers were potentially exposed to DE. However, not all the excesses were

statistically significant. Statistically significant lung cancer excesses adjusted for

smoking were observed in truck drivers (Hayes et al., 1989; Hansen, 1993;

Swanson et al., 1993; Brüske-Hohlfeld et al., 1999), professional drivers

(Benhamou et al., 1988; Brüske-Hohlfeld et al., 1999), railroad workers

(Garshick et al., 1987; Swanson et al., 1993), heavy equipment drivers (Boffetta

and Stellman, 1988; Brüske-Hohlfeld et al., 1999), and farm tractor drivers

(Swanson et al., 1993; Brüske-Hohlfeld et al., 1999). Furthermore, the two

recent meta-analyses by Bhatia et al. (1998) and Lipsett and Campleman (1999)

found that even though a substantial heterogeneity existed in their initial pooled

estimates, stratification on several factors demonstrated a relationship between

exposure to DE and excess lung cancer that remained positive throughout various

analyses.

• Specificity. This criterion requires that a single cause lead to a single effect. With

respect to exposure to DE, excess for lung cancer is the only effect that is found

to be consistently elevated and statistically significant in several studies. Quite a

few studies have examined DE for other effects such as bladder cancer, leukemia,
7-81

gastrointestinal cancers, prostate cancer etc. The evidence for these effects is

inadequate. 

• Temporality. The only necessary, but not sufficient, criterion described by Hill

for causality inference is that exposure to a causal agent precedes the effect in

time. This criterion is clearly satisfied in the studies reviewed here. Temporality

can be explored further in addressing the latency issue. A certain period is

necessary for development of an effect after exposure to a causal agent has

occurred. For instance, in cancer-causing agents a latent period can vary from 5

years (childhood leukemia) to $30 years (mesothelioma). Most of the studies

reviewed here did not conduct the latency analysis. Some studies had a short

follow-up period that did not allow enough time for the latency period (Waller,

1981; Howe et al., 1983; Rushton et al., 1983; Wong et al., 1985, Hansen, 1993)

while several studies clearly allowed for an adequate latency period (Garshick et

al., 1987; Gustavsson et al., 1990; Steenland et al., 1990; Swanson et al., 1993;

Brüske-Hohlfeld et al., 1999). Both type of studies showed mixed results. 

• Biological gradient. This criterion refers to the dose-response curve. Due to the

lack of quantitative data on DE exposure in most studies reviewed here, analyzing

the dose-response curve directly was not possible. In very few studies, exposure

to DE was addressed specifically. Most investigators have used job

titles/categories and duration of employment as surrogates for exposure and thus

have presented response in relation to duration of employment. Significant doseresponse (using duration of employment as a surrogate) was observed in various

studies for railroad workers (Howe et al., 1983; Garshick et al., 1987; Garshick et

al., 1988; Swanson et al., 1993; Cal EPA, 1998), truck drivers (Boffetta and

Stellman, 1988; Hayes et al., 1989; Steenland et al., 1990; Swanson et al., 1993;

Hansen et al., 1998; Brüske-Hohlfeld et al., 1999), transportation/heavy

equipment operators (Wong et al., 1985; Gustavsson et al., 1990; BrüskeHohlfeld et al., 1999), farmers/farm tractor users (Swanson et al., 1993; BrüskeHohlfeld et al., 1999), and dockworkers (Emmelin et al., 1993). 

• Biological plausibility. This criterion refers to the biologic plausibility of the

hypothesis, an important concern that may be difficult to judge. The hypothesis

considered for this review is that occupational exposure to DE is causally

associated with the occurrence of lung cancer and is supported by the following: 
7-82

First, DE has been shown to cause lung and other cancers in animals (Heinrich et

al., 1986b; Iwai et al., 1986b; Mauderly et al., 1987; Pott et al., 1990; Mauderly,

1994). Second, it contains highly mutagenic substances such as polycyclic

aromatic hydrocarbons as well as nitroaromatic compounds (Claxton, 1983; Ball

et al., 1990; Gallagher et al., 1993; Sera et al., 1994; Nielsen et al., 1996a) that

are recognized human pulmonary carcinogens (IARC, 1989). Third, DE consists

of carbon core particles with surface layers of organics and gases; the tumorigenic

activity may reside in one, some, or all of these components. As explained in

Chapter 4, there is clear evidence that the mixture of organic constituents, both in

particles and vapor phases, have the capacity to interact with DNA and give rise

to mutations, chromosomal aberrations, and cell transformations, all wellestablished steps in the process of carcinogenesis. Further, increased levels of

peripheral blood cell DNA adducts associated with occupational exposure to DE

have been observed in humans (Nielsen et al., 1996a,b). Thus, the above

evidence makes a convincing case that occupational exposures to DE are causally

associated with the occurrence of lung cancer is highly plausible biologically.

In conclusion, the epidemiologic studies of exposure to DE and occurrence of lung

cancer furnish evidence that is consistent with a causal association. This association observed in

several studies is unlikely to be due to chance or bias. Although many studies did not have

information on smoking, significant confounding by smoking is unlikely in these studies because

the comparison population was from the same socioeconomic class. The strength of association

(i.e., RRs/ORs between 1.2 and 2.6) was weak to modest by epidemiologic standards, with doseresponse relationships observed in several studies. Last, but not least, there is highly plausible

biological evidence that exposure to DE could result in excess risk of lung cancer in humans. 

7.3. CARCINOGENICITY OF DIESEL EXHAUST IN LABORATORY ANIMALS

This chapter summarizes studies that assess the carcinogenic potential of DE in

laboratory animals. The first portion of this chapter summarizes results of inhalation studies.

Experimental protocols for the inhalation studies typically consisted of exposure (usually

chronic) to diluted exhaust in whole-body exposure chambers using rats, mice, and hamsters as

model species. Some of these studies used both filtered (free of particulate matter) DE and

unfiltered (whole) DE to differentiate gaseous-phase effects from effects induced by diesel PM

(DPM) and its adsorbed components. Other studies were designed to evaluate the relative

importance of the carbon core of the diesel particle versus that of particle-adsorbed compounds. 
7-83

Finally, a number of exposures were carried out to determine the combined effect of inhaled DE

and tumor initiators, tumor promoters, or cocarcinogens. 

Particulate matter concentrations in the DE used in these studies ranged from 0.1 to 12

mg DPM /m3

. In this chapter, any mention of statistical significance implies that p#0.05 was

reported in the reviewed publications. A summary of the animal inhalation carcinogenicity

studies and their results is presented in Table 7-3.

Results of lung implantation and intratracheal instillation studies of whole diesel

particles, extracted diesel particles, and particle extracts are reported in Section 7.3.3 and in

Tables 7-4 and 7-5. Studies destined to assess the carcinogenic effects of DPM as well as

solvent extracts of DPM following subcutaneous (s.c.) injection, intraperitoneal (i.p.) injection,

or intratracheal (itr.) instillation in rodents are summarized in Section 7.3.5. Individual

chemicals present in the gaseous phase or adsorbed to the particle surface were not included in

this review because assessments of those of likely concern (i.e., formaldehyde, acetaldehyde,

benzene, polycyclic aromatic hydrocarbons [PAHs]) have been published elsewhere (U.S. EPA,

1993).

7.3.1. Inhalation Studies (Whole Diesel Exhaust)

7.3.1.1. Rat Studies

The potential carcinogenicity of inhaled DE was first evaluated by Karagianes et al.

(1981). Male Wistar rats (40 per group) were exposed to room air or diesel engine exhaust

diluted to a DPM concentration of 8.3 (± 2.0) mg/m3

, 6 hr/day, 5 days/week for up to 20 months. 

The animals were exposed in 3,000 L plexiglass chambers. Airflow was equal to 50 liters per 

minute. Chamber temperatures were maintained between 25 oC and 26.5 oC. Relative humidity

ranged from 45% to 80%. Exposures were carried out during the daytime. The connected to an

electric generator and operated at varying loads and speeds to simulate operating conditions in

an occupational situation. To control the CO concentration at 50 ppm, the exhaust was diluted

35:1 with clean air. Six rats per group were sacrificed after 4, 8, 16, and 20 months exposure for

gross necropsy and histopathological examination.

The only tumor detected was a bronchiolar adenoma in the group exposed over 16

months to DE. No lung tumors were reported in controls. The equivocal response may have

been caused by the relatively short exposure durations (20 months) and small numbers of

animals examined. In more recent studies, for example, Mauderly et al. (1987), most of the

tumors were detected in rats exposed for more than 24 months.
7-84

Table 7-3. Summary of animal inhalation carcinogenicity studies

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Adenomas

Karagianeset al. (1981)

Rat/Wistar M, 40

M, 40

Clean airWholeexhaust

8.3 None

None

6 hr/day,5 days/week,for up to20 mo

NA 0/6 (0)

1/6 (16.6)

Bronchoalveolar carc

0/30 (0)

1/30 (3.3)

3/30 (10.0)

1/30 (3.3)

Kaplan et al.(1983)White et al. (1983)

Rat/F344 M, 30

M, 30M, 30M, 30

Clean airWholeexhaustWholeexhaustWholeexhaust

00.250.751.5

NoneNoneNoneNone

20 hr/day,7 days/week,for up to 15 mo

8 mo8 mo8 mo8 mo

Adenomas Carcinomas

Squ

cell 

Heinrich etal. (1986a,b)Mohr et al.(1986)

Rat/Wistar

F, 96F, 92F, 95

Clean airFiltered exhaustWholeexhaust

4 None

NoneNone

19 hr/day,5 days/weekfor up to35 mo

NA 0/96 (0)

0/92 (0)

8/95 (8.4)

0/96 (0)0/92 (0)0/95 (0)

0/0/

9/9

Adenomas

Adenocarcinoma

and

adenosquamous

carcinoma

Lar

squ

carc

Iwai et al.(1986a,b)

Rat/F344 F, 24

F, 24F, 24

Clean airFiltered exhaustWholeexhaust

4.9 None

NoneNone

8 hr/day,7 days/week,for 24 mo

NA 1/22 (4.5)

0/16 (0)3/19 (0)

0/22 (0)0/16 (0)

3/19 (15.8)

0/0/

2/19 
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Adenoma Car

Takemoto etal. (1986)

Rat/F344 F, 12

F, 21F, 15F, 18

Clean airClean airWholeexhaustWholeexhaust

00

2-42-4

None 

DIPNh

None

DIPNh

4 hr/day,4 days/week,18-24 mo

NA 0/12 (0) 

10/21 (47.6)

0/15 (0) 

12/18 (66.7)

0/1

4/2

0/1

7/18 

Adenomas

Adenocarcinoma

+ squamous cell

carcinoma

Squ

c

Mauderly etal. (1987)

Rat/F344 M + F,

230b

M + F, 223M + F, 221M + F, 227

Clean airWholeexhaustWholeexhaustWholeexhaust

00.353.57.1

NoneNoneNoneNone

7 hr/day,5 days/week up to30 mo

NA (0)

(0)

(2.3)(0.4)

(0.9)(1.3)(0.5)(7.5)

((

Ishinishi etal. (1988a)Heavy-dutyengine

Rat/F344 M + F, 123

M + F, 123M + F, 125M + F, 123M + F, 124

Clean airWholeexhaustWholeexhaustWholeexhaustWholeexhaust

00.51.01.83.7

NoneNoneNoneNoneNone

16 hr/day,6 days/week,for up to30 mo

NA

Adenomas

 0/123 (0) 0/123 (0) 0/125 (0) 0/123 (0) 0/124 (0)

Adenosquamous

carcinomas

 1/123 (0.8)

0/123 (0) 0/125 (0) 

4/123 (3.3)6/124 (4.8)

Squ

carc

 0/1

1/12

0/1

0/1

2/12

7-85
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Adenomas Carcinomas All 

Ishinishi etal.(1988a)Light duty

Rat/F344 NS, 5

NS, 8

NS, 11

NS, 5NS, 9

NS, 11

WholeexhaustWholeexhaustWholeexhaustWholeexhaustWholeexhaustWholeexhaust

0.10.10.11.11.11.1

NoneNoneNoneNoneNoneNone

16 hr/day,6 days/week,for 12 mo

 6 mo

12 mo18 mo

 6 mo

12 mo18 mo

0/5 (0)0/8 (0)

0/11 (0)

0/5 (0)0/9 (0)

0/11 (0)

0/5 (0)0/8 (0)

0/11 (0)

0/5 (0)0/9 (0)

0/11 (0)

00

0/

00

0/

Heavy duty NS, 5

NS, 9

NS 11

NS, 5NS, 6

NS, 13

WholeexhaustWholeexhaustWholeexhaustWholeexhaustWholeexhaustWholeexhaust

0.50.50.51.81.81.8

NoneNoneNoneNoneNoneNone

16 hr/day,6 days/week,for 12 mo

 6 mo

12 mo18 mo

 6 mo

12 mo18 mo

0/5 (0)0/9 (0)

0/11 (0)

0/5 (0)0/6 (0)

0/13 (0)

0/5 (0)0/9 (0)

0/11 (0)

0/5 (0)0/6 (0)

1/13 (0)

00

0/0/

0

1/

7-86
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Primary lung tum

Brightwellet al. (1989)

Rat/344 M + F, 260

M + F, 144M + F, 143M + F, 143M + F, 144M + F, 143

Clean airFiltered exhaust (medium exposure)Filtered exhaust(high exposure)WholeexhaustWholeexhaustWholeexhaust

0000.72.26.6

NoneNoneNoneNoneNoneNone

16 hr/day,5 days/week,for 24 mo

NA 3/260 (1.2)

0/144 (0) 0/143 (0) 

1/143 (0.7)

14/144 (9.7)c

55/143 (38.5)c

Henrich etal. (1989a)

Rat/Wistar F, NS

F, NSF, NSF, NSF, NSF, NS

Clean airWholeexhaustFiltered exhaustClean airWholeexhaustFiltered exhaust

04.2004.20

DPNdDPNdDPNd

DPNeDPNeDPNe

19 hr/day,5 days/weekfor 24 to30 mo

NA

Squ

car

(

(4

(

(1(3

(1

Lewis et al.(1989)

Rat/F344 M + F,

288n

Clean airWholeexhaust

2 None

None

7 hr/day,5 days/week,24 mo 

NA No tumors 

7-87
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Adenosquamous

carcinomas

Squamous cell

carcinomas All 

Takaki et al.(1989)Light-dutyengine

Rat/F344 M + F, 123

M + F, 123M + F, 125M + F, 123M + F, 124

Clean airWholeexhaustWholeexhaustWholeexhaustWholeexhaust

00.10.41.12.3

NoneNoneNoneNoneNone

16 hr/day,6 days/week, forup to30 mo

NA 1/23 (0.8)

 1/23 (0.8) 1/25 (0.8)

0/23 (0)

 1/24 (8.1)

2/123 (1.6)

1/23 (0.8)

0/125 (0) 

5/123 (4.1)2/124 (1.6)

1/21/20/10/10/1

Adenomas

Adenocarcinoma

s

Squ

carc

Heinrich etal.(1995)

Rat/Wistar F, 220

F, 200F, 200F, 100F, 100F, 100

Clean airWholeexhaustWholeexhaustWholeexhaustCarbon blackTiO2

00.82.57.0

11.610.0

NoneNoneNoneNoneNoneNone

18 hr/day,5 days/week,for up to 24 mo

6 mo 0/217 (0)

0/198 (0)2/200 (1)4/100 (4)13/100(13)4/100 (4)

1/217 (<1)

0/198 (0)

1/200 (<1)

4/100 (4)

13/100 (13)13/100 (13)

0/20/10/22/14/13/1

Adenomas

Adenocarcinoma

s

Squ

car

Nikula et al.(1995)

Rat/F344 M + F,

214b

M + F, 210M + F, 212M + F, 213M + F, 211

Clean airWholeexhaustWholeexhaustCarbon blackCarbon black

02.56.52.56.5

NoneNoneNoneNoneNone

16 hr/day, 5 days/week forup to24 mo

6 weeks 1/214 (<1)

7/210 (3)

23/212

(11)

3/213 (1)

13/211 (6)

 1/214 (<1)

4/210 (2)

22/212 (10)

7/213 (3)

21/211 (10)

 1/2

3/23/20/23/2

7-88
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Iwai et al.(1997)

F/344 121, F

108, F153, F

Clean airFiltered airWholeexhaust

003.2-9.4

NoneNoneNone

 NA48-56hr/day48-56hr/day

NA

6 mo6 mo

5/121(4%) type not 2/108(4%) type not 

53/153(35%) 61.3% adenoma, 25.

2.2% benign squamous cell tumor, 

carcinoma, 3.2% adenosquam

Orthoefer etal. (1981)(Pepelkoand Peirano,1983)

Mouse/Strong A

M, 25 Clean air

WholeexhaustWholeexhaust

06.46.4

NoneNone

UV

irradiated

20 hr/day,7 days/week,for 7weeks

26 weeks26 weeks

3/22 (13.6)7/19 (36.8)6/22 (27.3)

7-89
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Lung tumors

Mouse/Jackson AMouse/Jackson A

M + F, 40M + F, 40F, 60F, 60F, 60F, 60M, 429M, 430

Clean airWholeexhaustClean airClean airWholeexhaustWholeexhaustClean airWholeexhaust

06.4006.46.406.4

NoneNoneNone

Urethanl

None

Urethank

NoneNone

20 hr/day,7 days/week,for 8weeks20 hr/day,7 days/week,for approx. 7 mo.

8 weeks8 weeks

16/36 (44.4)11/34 (32.3)

4/58 (6.9)

9/52 (17.3)

14/56 (25.0)22/59 (37.3)

73/403 (18.0)66/368 (17.9)

Kaplan et al.(1982)

Mouse A/J

M, 458M, 18M, 485

Clean airClean airWholeexhaust

1.5 None

Urethank

None

20 hr/day,7 days/week,for 3 mo

6 mo Pulmonary adenom

 144/458 (31.4)

18/18 (100)

165/485 (34.2)

Pulmonary adeno

Kaplan et al.(1983)White et al.(1983)

Mouse/A/J

M, 388M, 388M, 399M, 396

Clean airWholeexhaustWholeexhaustWholeexhaust

00.250.751.5

NoneNoneNoneNone

20 hr/day,7 days/week,for up to8 mo 

NA 130/388 (33.5)

131/388 (33.8)109/399 (27.3)

99/396 (25.0)

7-90
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Pepelko andPeirano(1983)

Mouse/Sencar

M + F, 260 Clean air

Clean airClean airWholeexhaustWholeexhaustWholeexhaust

121212 None

BHTl

Urethank

None

BHTl

Urethanl

Continuous for 15mo

NA Adenomas

(5.1)

(12.2)

(8.1)

(10.2)c

(5.4)(8.7)

Carcinomas

(0.5)(1.7)(0.9)(1.0)(2.7)(2.6)

All 

(((

(1

(

(

7-91
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

7-92

 All tumors

Pepelko andPeirano(1983)

Mouse/Strain A

M + F, 90 Clean air

Clean airWholeexhaustWholeexhaustClean airWholeexhaust

1212012 None

Exposure

(darkness)

Exposure

(darkness)

Urethanm

Urethanm

NA 21/87 (24)

59/237 (24.9)

10/80 (12.5)

22/250 (0.10)

66/75 (88)

42/75 (0.95)

Adenomas Adenocarcinoma

Squ

 tu

Heinrich etal. (1986a,b)

Mouse/NMRI

M + F, 84M + F, 93M + F, 76

Clean air Filtered exhaustWholeexhaust

4 None

NoneNone

19 hr/day,5 days/weekfor up to30 mo

NA 9/84 (11)

11/93 (12)11/76 (15)

2/84 (2)

18/93 (19)c

13/76 (17)c

Takemoto etal.(1986)

Mouse/IRC

M + F, 45M + F, 69

Clean airWholeexhaust

0

2-4

NoneNone

4 hr/day,4 days/week, for19-28 mo

NA

Adenoma Aden

Mouse/C57BL

M + F, 12M + F, 38

Clean airWholeexhaust

0

2-4

NoneNone

4 hr/day,4 days/week for19-28 mo

NA 3/45 (6.7)

6/69 (8.7)

1/43/6
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

7-93

Heinrich etal.(1995)

Mouse/C57BL/6N

F, 120F, 120F, 120

Clean airWholeexhaustParticle-free exhaust

4.5 None

NoneNone

18 hr/day,5 days/week,for up to21 mo

6 mo 1/12 (8.3)

8/38 (21.1)

0/1

3/3

Mouse/NMRI

F, 120F, 120

Clean airWholeexhaustCarbon blackTiO2

04.5

11.610

NoneNoneNoneNone

18 hr/day,5 days/week forup to13.5 mo

9.5 mo Adenomas Aden

(25)

(21.8)(11.3)(11.3)

((

(

Mouse/NMRI

F, 120F, 120F, 120

Clean airWholeexhaustParticle-free exhaust

4.5 None

NoneNone

18 hr/day,5 days/week,23 mo

None (25)

(18.3)(31.7)

((

Multiple

adenomas

Multiple

carcinomas

Ade

car

Mauderly etal. (1996)

Mouse/CD-1

M + F,157b

M + F, 171M + F, 155M + F, 186

Clean airWholeexhaustWholeexhaustWholeexhaust

00.353.57.1

NoneNoneNoneNone

7 hr/day, 5days/week,for up to24 mo

None 1/157 (0.6)

2/171 (1.2)

0/155 (0)0/186 (0)

2/157 (1.3)1/171 (0.6)1/155 (0.6)

0/186 (0)

1/151/17

0/10/1

Adenomas Adenocarcinoma

Squ

tu

Heinrich etal. (1986a,b)

Hamster/Syrian

M + F, 96M + F, 96M + F, 96

Clean airFilteredexhaustWholeexhaust 4

NoneNoneNone

19 hr/day5days/weekfor up to30 mo NA

0/96(0)0/96(0)0/96(0)

0/96(0)0/96(0)0/96(0)
Table 7-3. Summary of animal inhalation carcinogenicity studies (continued)

Study

Species/

strain

Sex/total

number

Exposure

atmosphere

Particle

concentration

(mg/m3

)

Other

treatment

Exposure

protocol

Postexposure

observation Tumor type and incide

Primary lung

tumors

Brightwellet al.(1989)

Hamster/Syrian Golden

M + F,M + F, 202M + F, 104M + F, 104M + F, 101M + F, 102M + F, 101M + F, 204M + F, 203

Clean airClean airFiltered  exhaust (medium dose)Filtered exhaust (high dose)WholeexhaustWholeexhaustWholeexhaustFiltered exhaust (high dose)Wholeexhaust

00000.72.26.606.6

NoneDENj

DENjDENjDENjDENjDENjNoneNone

16 hr/day,5 days/week, for24 mo

NA 7/202 (3.5)

4/104 (3.8)9/104 (8.7)2/101 (2.0)6/102 (5.9)4/101 (3.9)1/204 (0.5)

0/203 (0) 

aTable values indicate number with tumors/number examined (% animals with tumors).bNumber of animals examined for tumors.cSignificantly different from clean air controls.dDipentylnitrosamine; 6.25 mg/kg/week s.c. during first 25 weeks of exposure.eDipentylnitrasamine; 12.5 mg/kg/week s.c. during first 25 weeks of exposure.fSplenic lymphomas also detected in controls (8.3%), filtered exhaust group (37.5%) and whole

exhaust group (25%).

g5.3% incidence of large cell carcinomas.h1 g/kg, i.p. 1/week for 3 weeks starting 1 mo into exposure.iIncludes adenomas, squamous cell carcinomas, adenocarcinomas, adenosquamous cell carcinoma,

and mesotheliomas.

j4.5 mg/diethylnitrosamine (DEN)/kg, s.c., 3 days prior to start of inhalation exposure.kSingle i.p. dose 1 mg/kg at start of exposure.lButylated hydroxytoluene 300 mg/kg, i.p. for week 1, 83 mg/kg for week 2, and 150 mg/kg for

weeks 3 to 52.

m12 mg/m3from 12 weeks of age to termination of exposure. Prior exposure (in utero) and of parents

was 6 mg/m3

. n120-121 males and 71-72 females examined histologically.

oNot all animals were exposed for full term, at least 10 males were killed at 3, 6, and 12 mo of

exposure.NS = Not specified.

NA = Not applicable. 

7-94
7-95

Table 7-4. Tumor incidences in rats following intratracheal instillation of DE particles

(DPM), extracted DPM, carbon black (CB), benzo[a]pyrene (B[a]P), or particles plus

B[a]P

Experimental group

Number of

animals

Total dose

Animals with

tumors (percent) Statistical

significancea

Control 47 4.5 mL 0 (0) -

DPM (original) 48 15 mg 8 (17) < 0.01

DPM (extracted) 48 30 mg 10 (21) < 0.001

DPM (extracted) 48 15 mg 2 (4) NS

CB (printex) 48 15 mg 10 (21) < 0.001

CB (lampblack) 48 14 mg 4 (8) NS

B[a]P 47 30 mg 43 (90) < 0.001

B[a]P 48 15 mg 12 (25) < 0.001

DEP + B[a]P 48 15 mg + 170 :g

B[a]P 

 4 (8) NS

CB (printex) + B[a]P 48 15 mg + 443 :g

B[a]P

 13 (27) < 0.001

Table 7-5. Tumorigenic effects of dermal application of acetone extracts of DPM

Number

of

animals Strain/sex

Sample

material

Time to first

tumor (mo)

Survivors at

time of first

tumor

Total

tumors

Duration of 

experiment

(mo)

52 C57BL/40 F

C57BL/12 M

Extract of DPM

obtained during

warmup

13 33 2 22

50 Strain A/M Extract of DPM

obtained during

full load

15 8 4 23

25 Strain A/F Extract of DPM

obtained during

full load

13 20 17 17

Source: Kotin et al., 1955.
7-96

General Motors Research Laboratories sponsored chronic inhalation studies at the

Southwest Research Institute using male Fischer 344 rats, 30 per group, exposed to DPM

concentrations of 0.25, 0.75, or 1.5 mg/m3

 (Kaplan et al., 1983; White et al., 1983). The animals

were exposed in 12.6 m3 exposure chambers. Airflow was adjusted to provide 13 changes per

hour. Temperature was maintained at 22 ± 2 °C. The exposure protocol was 20 hr/day, 7

days/week for 9 to 15 months. Exposures were halted during normal working hours for

servicing. Some animals were sacrificed following completion of exposure, while others were

returned to clean air atmospheres for an additional 8 months. Control animals received clean air. 

Exhaust was generated by 5.7-L Oldsmobile engines (four different engines used throughout the

experiment) operated at a steady speed and load simulating a 40-mph driving speed of a full-size

passenger car.

Although five instances of bronchoalveolar carcinoma were observed in 90 rats exposed

to DE for 15 months and held an additional 8 months in clean air, compared with none among

controls, statistical significance was not achieved in any of the exposure groups. These included

one tumor in the 0.25 mg/m3

 group, three in the 0.75 mg/m3 group, and one in the 1.5 mg/m3

group. Rats kept in clean-air chambers for 23 months did not exhibit any carcinomas. No

tumors were observed in any of the 180 rats exposed to DE for 9 or 15 months without a

recovery period, or in the respective controls for these groups. Equivocal results may again have

been due to less-than-lifetime duration of the study as well as insufficient exposure

concentrations. Although the increases in tumor incidences in the groups exposed for 15 months

and held an additional 8 months in clean air were not statistically significant, relative to controls,

they were slightly greater than the historic background incidence of 3.7% for this specific lesion

in this strain of rat (Ward, 1983). The first definitive studies linking inhaled DE to induction of

lung cancer in rats were reported by researchers in Germany, Switzerland, Japan, and the United

States in the mid-to-late 1980s. In a study conducted at the Fraunhofer Institute exhaustgenerating system and exposure atmosphere characteristics are presented in Appendix A. The

type of engine used (3-cylinder, 43 bhp diesel) is normally used in mining situations and was of

Toxicology and Aerosol Research, female Wistar rats were exposed for 19 hr/day, 5 days/week

to both filtered and unfiltered (total) DE at an average particulate matter concentration of 4.24

mg/m3. Animals were exposed for a maximum of 2.5 years. The exposure system as described

by Heinrich et al. (1986a) used a 40 kilowatt 1.6-L diesel engine operated continuously under

the U.S. 72 FTP driving cycle. The engines used European Reference Fuel with a sulfur

content of 0.36%. Filtered exhaust was obtained by passing engine exhaust through a Luwa FP65 HT 610 particle filter heated to 80 °C and a secondary series of filters (Luwa FP-85, Luwa

NS-30, and Drager CH 63302) at room temperature. The filtered and unfiltered exhausts were

diluted 1:17 with filtered air and passed through respective 12 m3

 exposure chambers. Mass
7-97

median aerodynamic diameter of DPM was 0.35 ± 0.10 :m (mean ± SD). The gas-phase

components of the DE atmospheres are presented in Appendix A.

 The effects of exposure to either filtered or unfiltered exhaust were described by

Heinrich et al. (1986b) and Stöber (1986). Exposure to unfiltered exhaust resulted in 8

bronchoalveolar adenomas and 9 squamous cell tumors in 15 of 95 female Wistar rats examined,

for a 15.8% tumor incidence. Although statistical analysis was not provided, the increase

appears to be highly significant. In addition to the bronchioalveolar adenomas and squamous

cell tumors, there was a high incidence of bronchioalveolar hyperplasia (99%) and metaplasia of

the bronchioalveolar epithelium (65%). No tumors were reported among rats exposed to filtered

exhaust (n = 92) or clean air (n = 96).

Mohr et al. (1986) provided a more detailed description of the lung lesions and tumors

identified by Heinrich et al. (1986a,b) and Stöber (1986). Substantial alveolar deposition of

carbonaceous particles was noted for rats exposed to unfiltered DE. Squamous metaplasia was

observed in 65.3% of the rats breathing unfiltered DE, but not in the control rats. Of nine

squamous cell tumors, one was characterized as a Grade I carcinoma (borderline atypia, few to

moderate mitoses, and slight evidence of stromal invasion), and the remaining eight were

classified as benign keratinizing cystic tumors.

Iwai et al. (1986b) examined the long-term effects of DE inhalation on female F344 rats. 

The exhaust was generated by a 2.4-L displacement truck engine. The exhaust was diluted 10:1

with clean air at 20 °C to 25 °C and 50% relative humidity. The engines were operated at 1,000

rpm with an 80% engine load. These operating conditions were found to produce exhaust with

the highest particle concentration and lowest NO2 and SO2 content. For those chambers using

filtered exhaust, proximally installed high-efficiency particulate air (HEPA) filters were used. 

Three groups of 24 rats each were exposed to unfiltered DE, filtered DE, or filtered room air for

8 hr/day, 7 days/week for 24 months. Particle concentration was 4.9 mg/m3 for unfiltered

exhaust. Concentrations of gas-phase exhaust components were 30.9 ppm NOx, 1.8 ppm NO2,

13.1 ppm SO2, and 7.0 ppm CO.

No lung tumors were found in the 2-year control (filtered room air) rats, although one

adenoma was noted in a 30-months control rat, providing a spontaneous tumor incidence of

4.5%. No lung tumors were observed in rats exposed to filtered DE. Nineteen of the 24

exposed to unfiltered exhaust survived for 2 years. Of these, 14 were randomly selected for

sacrifice at this time. Four of the rats developed lung tumors; two of these were malignant. Five

rats of this 2-year exposure group were subsequently placed in clean room air for 3 to 6 months

and four eventually (time not specified) exhibited lung tumors (three malignancies). Thus, the

lung tumor incidence for total tumors was 42.1% (8/19) and 26.3% (5/19) for malignant tumors

in rats exposed to whole DE. The tumor types identified were adenoma (3/19), adenocarcinoma
7-98

(1/19), adenosquamous carcinoma (2/19), squamous carcinoma (1/19), and large-cell carcinoma

(1/19). The lung tumor incidence in rats exposed to whole DE was significantly greater than

that of controls (p#0.01). Tumor data are summarized in Table 7-3. Malignant splenic

lymphomas were detected in 37.5% of the rats in the filtered exhaust group and in 25.0% of the

rats in the unfiltered exhaust group; these values were significantly (p#0.05) greater than the

8.2% incidence noted in the control rats. The study demonstrates production of lung cancer in

rats following 2-year exposure to unfiltered DE. In addition, splenic malignant lymphomas

occurred during exposure to both filtered and unfiltered DE. This is the only report to date of

tumor induction at an extrarespiratory site by inhaled DE in animals.

A chronic (up to 24 months) inhalation exposure study was conducted by Takemoto et al.

(1986), in which female Fischer 344 rats were exposed to DE generated by a 269-cc YANMAR40CE NSA engine operated at an idle state (1,600 rpm). Exposures were 4 hours/day, 4

days/week. The animals were exposed in a 376-L exposure chamber. Air flow was maintained

at 120 L/min. Exhaust was diluted to produce a particle concentration of 2-4 mg/m3

. When not

exposed the animals were maintained in an air-conditioned room at a temperature of 24 ± 2°C

and a relative humidity of 55 ± 5% with 12 hr of light and darkness. Temperature and humidity

in the exposure chambers was not noted. The particle concentration of the DE in the exposure

chamber was 2 to 4 mg/m3. B[a]P and 1-nitropyrene concentrations were 0.85 and 93 :g/g of

particles, respectively. No lung tumors were reported in the diesel-exposed animals. It was also

noted that the diesel engine employed in this study was originally used as an electrical generator

and that its operating characteristics (not specified) were different from those of a dieselpowered automobile. However, the investigators deemed it suitable for assessing the effects of

diesel emissions.

Mauderly et al. (1987) provided data affirming the carcinogenicity of automotive diesel

engine exhaust in F344/Crl rats following chronic inhalation exposure. Male and female rats

were exposed to diesel engine exhaust at nominal DPM concentrations of 0.35 (n = 366), 3.5 

(n = 367), or 7.1 (n = 364) mg/m3

 for 7 hr/day, 5 days/week for up to 30 mo. Sham-exposed 

(n = 365) controls breathed filtered room air. A total of 230, 223, 221, and 227 of these rats

(sham-exposed, low-, medium-, and high-exposure groups, respectively) were examined for lung

tumors. These numbers include those animals that died or were euthanized during exposure and

those that were terminated following 30 months of exposure. The exhaust was generated by

1980 model 5.7-L Oldsmobile V-8 engines operated through continuously repeating U.S.

Federal Test Procedure (FTP) urban certification cycles. The engines were equipped with

automatic transmissions connected to eddy-current dynamometers and flywheels simulating

resistive and inertial loads of a midsize passenger car. The D-2 diesel control fuel (Phillips

Chemical Co.) met U.S. EPA certification standards and contained approximately 30% aromatic
7-99

hydrocarbons and 0.3% sulfur. Following passage through a standard automotive muffler and

tailpipe, the exhaust was diluted 10:1 with filtered air in a dilution tunnel and serially diluted to

the final concentrations. The primary dilution process was such that particle coagulation was

retarded. Mokler et al. (1984) provided a detailed description of the exposure system. No

exposure-related changes in body weight or lifespan were noted for any of the exposed animals,

nor were there any signs of overt toxicity. Collective lung tumor incidence was greater (z

statistic, p#0.05) in the high (7.1 mg/m3

) and medium (3.5 mg/m3) exposure groups (12.8% and

3.6%, respectively) versus the control and low (0.35 mg/m3) exposure groups (0.9% and 1.3%,

respectively). In the high-dose group the incidences of tumor types reported were adenoma

(0.4%), adenocarcinomas plus squamous cell carcinomas (7.5%), and squamous cysts (4.9%). 

In the medium-dose group adenomas were reported in 2.3% of animals, adenocarcinomas plus

squamous cell carcinomas in 0.5%, and squamous cysts in 0.9%. In the low-exposure group

adenocarcinomas plus squamous cell carcinomas were detected in 1.3% of the rats. Using the

same statistical analysis of specific tumor types, adenocarcinoma plus squamous cell carcinoma

and squamous cyst incidence was significantly greater in the high-exposure group, and the

incidence of adenomas was significantly greater in the medium-exposure group. A significant

(p<0.001) exposure-response relationship was obtained for tumor incidence relative to exposure

concentration and lung burden of DPM. These data are summarized in Table 7-3. A logistic

regression model estimating tumor prevalence as a function of time, dose (lung burden of DPM),

and sex indicated a sharp increase in tumor prevalence for the high dose level at about 800 days

after the commencement of exposure. A less pronounced, but definite, increase in prevalence

with time was predicted for the medium-dose level. Significant effects were not detected at the

low concentration. DPM (mg per lung) of rats exposed to 0.35, 3.5, or 7.1 mg of DPM/m3

 for

24 months were 0.6, 11.5, and 20.8, respectively, and affirmed the greater-than-predicted

accumulation that was the result of decreased particle clearance following high-exposure

conditions.

In summary, this study demonstrated the pulmonary carcinogenicity of high

concentrations of whole, diluted DE in rats following chronic inhalation exposure. In addition,

increasing lung particle burden resulting from this high-level exposure and decreased clearance

was demonstrated. A logistic regression model presented by Mauderly et al. (1987) indicated

that both lung DPM burden and exposure concentration may be useful for expressing exposureeffect relationships.

A long-term inhalation study (Ishinishi et al., 1988a; Takaki et al., 1989) examined the

effects of emissions from a light-duty (LD) and a heavy-duty (HD) diesel engine on male and

female Fischer 344/Jcl rats. The LD engines were 1.8-L, 4-cylinder, swirl-chamber-type power

plants, and the HD engines were 11-L, 6-cylinder, direct-injection-type power plants. The
7-100

engines were connected to eddy-current dynamometers and operated at 1,200 rpm (LD engines)

and 1,700 rpm (HD engines). Nippon Oil Co. JIS No. 1 or No. 2 diesel fuel was used. The 30-

months whole-body exposure protocol (16 h/day, 6 days/week) used DPM concentrations of 0,

0.5, 1, 1.8, or 3.7 mg/m3

 from HD engines and 0, 0.1, 0.4, 1.1, or 2.3 mg/m3 from LD engines.

The animals inhaled the exhaust emissions from 1700 to 0900 h. Sixty-four male rats and 59 to

61 female rats from each exposure group were evaluated for carcinogenicity.

For the experiments using the LD series engines, the highest incidence of hyperplastic

lesions plus tumors (72.6%) was seen in the highest exposure (2.3 mg/m3

) group. However, this

high value was the result of the 70% incidence of hyperplastic lesions; the incidence of

adenomas was only 0.8% and that of carcinomas 1.6%. Hyperplastic lesion incidence was

considerably lower for the lower exposure groups (9.7%, 4.8%, 3.3%, and 3.3% for the 1.1, 0.4,

and 0.1 mg/m3

 and control groups, respectively). The incidence of adenomas and carcinomas,

combining males and females, was not significantly different among exposure groups (2.4%,

4.0%, 0.8%, 2.4%, and 3.3% for the 2.3, 1.1, 0.4, and 0.1 mg/m3 groups and the controls,

respectively).

For the experiments using the HD series engines, the total incidence of hyperplastic

lesions, adenomas, and carcinomas was highest (26.6%) in the 3.7 mg/m3 exposure group. The

incidence of adenomas plus carcinomas for males and females combined equaled 6.5%, 3.3%,

0%, 0.8%, and 0.8% at 3.7, 1.8, 1, and 0.4 mg/m3 and for controls, respectively. A statistically

significant difference was reported between the 3.7 mg/m3 and the control groups for the HD

series engines. The carcinomas were identified as adenomas, adenosquamous carcinomas, and

squamous cell carcinomas. Although the number of each was not reported, it was noted that the

majority were squamous cell carcinomas. A progressive dose-response relationship was not

demonstrated. Tumor incidence data for this experiment are presented in Table 7-3.

The Ishinishi et al. (1988a) study also included recovery tests in which rats exposed to

whole DE (DPM concentration of 0.1 or 1.1 mg/m3 for the LD engine and 0.5 or 1.8 mg/m3 for

the HD engine) for 12 months were examined for lung tumors following 6-, 12-, or 18-month

recovery periods in clean air. The incidences of neoplastic lesions were low, and pulmonary

DPM burden was lower than for animals continuously exposed to whole DE and not provided a

recovery period. The only carcinoma observed was in a rat examined 12 months following

exposure to exhaust (1.8 mg/m3

) from the HD engine.

Brightwell et al. (1986, 1989) studied the effects of DE on male and female F344 rats. 

The DE was generated by a 1.5-L Volkswagen engine that was computer-operated according to

the U.S. 72 FTP driving cycle. The engine was replaced after 15 mo. The engine emissions

were diluted by conditioned air delivered at 800 m3/h to produce the high-exposure (6.6 mg/m3)

DE atmosphere. Further dilutions of 1:3 and 1:9 produced the medium- (2.2 mg/m3) and low-
7-101

(0.7 mg/m3

) exposure atmospheres. The CO and NOx concentrations (mean ± SD) were 32 ± 11

ppm and 8 ± 1 ppm in the high-exposure concentration chamber. The inhalation exposures were

conducted overnight to provide five 16-h periods per week for 2 years; surviving animals were

maintained for an additional 6 mo.

For males and females combined, a 1.2% (3/260), 0.7% (1/144), 9.7% (14/144), and

38.5% (55/143) incidence of primary lung tumors occurred in F344 rats following exposure to

clean air or 0.7, 2.2, and 6.6 mg of DPM/m3

, respectively (Table 7-3). DE-induced tumor

incidence in rats was dose-related and higher in females than in males (Table 7-3). These data

included animals sacrificed at the interim periods (6, 12, 18, and 24 mo); therefore, the tumor

incidence does not accurately reflect the effects of long-term exposure to the DE atmospheres. 

When tumor incidence is expressed relative to the specific intervals, a lung tumor incidence of

96% (24/25), 76% (19/25) of which were malignant, was reported for female rats in the highdose group exposed for 24 months and held in clean air for the remainder of their lives. For

male rats in the same group, the tumor incidence equaled 44% (12/27), of which 37% (10/27)

were malignant. It was also noted that many of the animals exhibiting tumors had more than one

tumor, often representing multiple histological types. The numbers and types of tumors

identified in the rats exposed to DE included adenomas (40), squamous cell carcinomas (35),

adenocarcinomas (19), mixed adenoma/adenocarcinomas (9), and mesothelioma (1). It should

be noted that exposure during darkness (when increased activity would result in greater

respiratory exchange and greater inhaled dose) could account, in part, for the high response

reported for the rats.

Lewis et al. (1989) also examined the effects of inhalation exposure of DE and/or coal

dust on tumorigenesis on F344 rats. Groups of 216 male and 72 female rats were exposed to

clean air, whole DE (2 mg soot/m3

), coal dust (2 mg/m3 respirable concentration; 5 to 6 mg/m3

total concentration), or DE plus coal dust (1 mg/m3 of each respirable concentration; 3.2 mg/m3

total concentration) for 7 h/day, 5 days/week during daylight hours for up to 24 mo. Groups of

10 or more males were sacrificed at intermediate intervals (3, 6, and 12 mo). The DE was

produced by a 7.0-L, 4-cycle, water-cooled Caterpillar Model 3304 engine using No. 2 diesel

fuel (<0.5% sulfur by mass). The exhaust was passed through a Wagner water scrubber, which

lowered the exhaust temperature and quenched engine backfire. The animals were exposed in

100-cubic-foot chambers. Temperature was controlled at 22 ± 2 °C and relative humidity at

50%±10%. The exhaust was diluted 27-fold with chemically and biologically filtered clean air

to achieve the desired particle concentration.

Histological examination was performed on 120 to 121 male and 71 to 72 female rats

terminated after 24 months of exposure. The exhaust exposure did not significantly affect the

tumor incidence beyond what would be expected for aging F344 rats. There was no
7-102

postexposure period, which may explain, in part, the lack of significant tumor induction. The

particulate matter concentration was also less than the effective dose in several other studies.

 In a more recent study reported by Heinrich et al. (1995), female Wistar rats were

exposed to whole DE (0.8, 2.5, or 7.0 mg/m3

) 18 h/day, 5 days/week for up to 24 mo, then held

in clean air an additional 6 mo. The animals were exposed in either 6 or 12 m3

 exposure

chambers. Temperature and relative humidity were maintained at 23-25 °C and 50%-70%,

respectively. DE was generated by two 40-kw 1.6-L diesel engines (Volkswagen). One of them

was operated according to the U.S. 72 cycle. The other was operated under constant load

conditions. The first engine did not supply sufficient exhaust, which was filled by the second

engine. Cumulative exposures for the rats in the various treatment groups were 61.7, 21.8, and

7.4 g/m3

 × h for the high, medium, and low whole-exhaust exposures. Significant increases in

tumor incidences were observed in the high (22/100; p<0.001) and mid (11/200; p<0.01)

exposure groups relative to clean-air controls (Table 7-3). Only one tumor (1/217), an

adenocarcinoma, was observed in clean-air controls. Relative to clean-air controls, significantly

increased incidences were observed in the high-exposure rats for benign squamous cell tumors

(14/100; p<0.001), adenomas (4/100; p<0.01), and adenocarcinomas (5/100; p<0.05). Only the

incidence of benign squamous cell tumors (7/200; p<0.01) was significantly increased in the

mid-exposure group relative to the clean-air controls. 

Particle lung burden and alveolar clearance also were determined in the Heinrich et al.

(1995) study. Relative to clean air controls, alveolar clearance was significantly compromised

by exposure to mid and high DE. For the high-diesel-exhaust group, 3-mo recovery time in

clean air failed to reverse the compromised alveolar clearance.

 In a study conducted at the Inhalation Toxicology Research Institute (Nikula et al.,

1995) F344 rats (114-115 per sex per group) were exposed 16 hr/day, 5 days/week during

daylight hours to DE diluted to achieve particle concentrations of 2.5 or 6.5 mg/m3

 for up to 24

mo. Controls (118 males, 114 females) were exposed to clean air. Surviving rats were

maintained an additional 6 weeks in clean air, at which time mortality reached 90%. DE was

generated with two 1988 Model LH6 General Motors 6.2-L V-8 engines burning D-2 fuel that

met EPA certification standards. Chamber air flow was sufficient to provide about 15 

exchanges per hour. Relative humidity was 40% to 70% and temperature ranged from 23 to 25

°C.

Following low and high DE exposure, the lung burdens were 36.7 and 80.7 mg,

respectively, for females and 45.1 and 90.1 mg, respectively, for males. The percentages of

susceptible rats (males and females combined) with malignant neoplasms were 0.9 (control), 3.3

(low DE), and 12.3 (high DE). The percentages of rats (males and females combined) with

malignant or benign neoplasms were 1.4 (control), 6.2 (low DE), and 17.9 (high DE). All
7-103

primary neoplasms were associated with the parenchyma rather than the conducting airways of

the lungs. The first lung neoplasm was observed at 15 mo. Among 212 males and females

examined in the high-dose group, adenomas were detected in 23 animals, adenocarcinomas in 22

animals, squamous cell carcinomas in 3 animals, and an adenosquamous carcinoma in 1 animal. 

For further details see Table 7-3. Analysis of the histopathologic data suggested a progressive

process from alveolar epithelial hyperplasia to adenomas and adenocarcinomas.

Iwai et al. (1997) carried out a series of exposures to both filtered and whole exhaust

using a light-duty (2,369 mL) diesel engine. The protocol for engine operation was not stated. 

Groups of female SPF F344 Fischer rats were exposed for 2 years for 8 hr/day, 7 days/week, 8

hr/day, 6 days/week, or 18 hr/day, 3 days/week to either filtered exhaust or exhaust diluted to a

particle concentration of 9.4, 3.2, and 5.1 mg/m3, respectively. Cumulative exposure (mg/m3 ×

hrs of exposure) equaled 274.4, 153.6, and 258.1 mg/m3. The animals were then held for an

additional 6 months in clean air. Lung tumors were reported in 5/121 (4%) of controls, 4/108

(4%) of those exposed to filtered exhaust, and 50/153 (35%) among those exposed to whole

exhaust. Among rats exposed to whole DE the following number of tumors were detected; 57

adenomas, 24 adenocarcinomas, 2 benign squamous cell tumors, 7 squamous cell carcinomas,

and 3 adenosquamous carcinomas. The authors stated that benign squamous cell tumors

probably corresponded to squamous cysts in another classification. 

7.3.1.2. Mouse Studies

A series of inhalation studies using strain A mice was conducted by Orthoefer et al.

(1981). Strain A mice are usually given a series of intraperitoneal injections with the test agent;

they are then sacrificed at about 9 months and examined for lung tumors. In the present series,

inhalation exposure was substituted. DE was provided by one of two Nissan CN6-33 diesel

engines having a displacement of 3244 cc and run on a Federal Short Cycle. Flow through the

exposure chambers was sufficient to provide 15 air changes per hour. Temperature was

maintained at 24 °C and relative humidity at 75%. In the first study, groups of 25 male Strong

A strain (A/S) mice were exposed to irradiated DE (to simulate chemical reactions induced by

sunlight) or nonirradiated DE (6 mg/m3

) for 20 h/day, 7 days/week. Additional groups of 40

Jackson A strain (S/J) mice (20 of each sex) were exposed similarly to either clean air or DE,

then held in clean air until sacrificed at 9 months of age. No tumorigenic effects were detected

at 9 months of age. Further studies were conducted in which male A/S mice were exposed 8

hr/day, 7 days/week until sacrifice (approximately 300 at 9 months of age and approximately

100 at 12 months of age). With the exception of those treated with urethan, the number of

tumors per mouse did not exceed historical control levels in any of the studies. Exposure to DE,
7-104

however, significantly inhibited the tumorigenic effects of the 5-mg urethan treatment. Results

are listed in Table 7-3.

Kaplan et al. (1982) also reported the effects of diesel exposure in strain A mice. Groups

of male strain A/J mice were exposed for 20 h/day, 7 days/week for 90 days and held until 9

months of age. Briefly, the animals were exposed in inhalation chambers to DE generated by a

5.7-L Oldsmobile engine operated continuously at 40 mph at DPM concentrations of 0, 0.25,

0.75, or 1.5 mg/m3

. Controls were exposed to clean air. Temperature was maintained at 22 ± 2

°C and relative humidity at 50% ± 10% within the chambers. Among 458 controls and 485

exposed animals, tumors were detected in 31.4% of those breathing clean air versus 34.2% of

those exposed to DE. The mean number of tumors per mouse also failed to show significant

differences.

In a follow-up study, strain A mice were exposed to DE for 8 months (Kaplan et al.,

1983; White et al., 1983). After exposure to the highest exhaust concentration (1.5 mg/m3

), the

percentage of mice with pulmonary adenomas and the mean number of tumors per mouse were

significantly less (p<0.05) than those for controls (25.0% vs. 33.5% and 0.30 ± 0.02 [S.E.] vs.

0.42 ± 0.03 [S.E.]) (Table 7-3).

Pepelko and Peirano (1983) summarized a series of studies on the health effects of diesel

emissions in mice. Exhaust was provided by two Nissan CN 6-33, 6-cylinder, 3.24-L diesel

engines coupled to a Chrysler A-272 automatic transmission and Eaton model 758-DG

dynamometer. Sixty-day pilot studies were conducted at a 1:14 dilution, providing DPM

concentrations of 6 mg/m3. The engines were operated using the Modified California Cycle. 

These 20-hr/day, 7-days/week pilot studies using rats, cats, guinea pigs, and mice produced

decreases in weight gain and food consumption. Therefore, at the beginning of the long-term

studies, exposure time was reduced to 8 h/day, 7 days/week at an exhaust DPM concentration of

6 mg/m3. During the final 12 months of exposure, however, the DPM concentration was

increased to 12 mg/m3. For the chronic studies, the engines were operated using the Federal

Short Cycle. Chamber temperature was maintained at 24 °C and relative humidity at 50%. 

Airflow was sufficient for 15 changes per hour.

Pepelko and Peirano (1983) described a two-generation study using Sencar mice exposed

to DE. Male and female parent-generation mice were exposed to DE at a DPM concentration of

6 mg/m3

 prior to (from weaning to sexual maturity) and throughout mating. The dams continued

exposure through gestation, birth, and weaning. Groups of offspring (130 males and 130

females) were exposed to either DE or clean air. The exhaust exposure was increased to a DPM

concentration of 12 mg/m3 when the offspring were 12 weeks of age and was maintained until

termination of the experiment when the mice were 15 months old. 
7-105

The incidence of pulmonary adenomas (16.3%) was significantly increased in the mice

exposed to DE compared with 6.3% in clean-air controls. The incidence in males and females

combined was 10.2% in 205 animals examined compared with 5.1% in 205 clean-air controls. 

This difference was also significant. The incidence of carcinomas was not affected by exhaust

exposure in either sex. These results provided the earliest evidence for cancer induction

following inhalation exposure to DE. The increase in the sensitivity of the study, allowing

detection of tumors at 15 mo, may have been the result of exposure from conception. It is likely

that Sencar mice are sensitive to induction of lung tumors because they are also sensitive to

induction of skin tumors. These data are summarized in Table 7-3.

Takemoto et al. (1986) reported the effects of inhaled DE (2 to 4 mg/m3, 4 h/day, 4

days/week, for up to 28 mo) in ICR and C57BL mice exposed from birth. Details of the

exposure conditions are presented in Section 7.3.2.1. All numbers reported are for males and

females combined. Four adenomas and 1 adenocarcinoma were detected in 34 DE-exposed ICR

mice autopsied at 13 to 18 mo, compared with 3 adenomas among 38 controls. Six adenomas

and 3 adenocarcinomas were reported in 22 diesel-exposed ICR mice autopsied at 19 to 28 mo,

compared with 3 adenomas and 1 adenocarcinoma in 22 controls. Four adenomas and 2

adenocarcinomas were detected in 79 C57BL mice autopsied at 13 to 18 mo, compared with

none in 19 unexposed animals. Among males and females autopsied at 19 to 28 mo, 8 adenomas

and 3 adenocarcinomas were detected in 71 exposed animals, compared with 1 adenoma among

32 controls. No significant increases in adenoma or adenocarcinoma were reported for either

strain of exposed mice. However, the significance of the increase in the combined incidence of

adenomas and carcinomas was not evaluated statistically. A statistical analysis by Pott and

Heinrich (1990a) indicated that the difference in combined benign and malignant tumors

between whole DE-exposed C57BL/6N mice and corresponding controls was significant at

p<.05. See Table 7-3 for details of tumor incidence.

Heinrich et al. (1986b) and Stöber (1986), as part of a larger study, also evaluated the

effects of DE in mice. Details of the exposure conditions reported by Heinrich et al. (1986a) are

given in Section 7.3.1.1 and Appendix A. Following lifetime (19 h/day, 5 days/week, for a

maximum of 120 weeks) exposure to DE diluted to achieve a particle concentration of 4.2

mg/m3

, 76 female NMRI mice exhibited a total lung tumor incidence of adenomas and

adenocarcinomas combined of 32%. Tumor incidences reported for control mice (n = 84)

equaled 11% for adenomas and adenocarcinomas combined. While the incidence of adenomas

showed little change, adenocarcinomas increased significantly from 2.4% for controls to 17%

for exhaust-exposed mice. In a follow-up study, however, Heinrich et al. (1995) reported a lack

of tumorigenic response in either female NMRI or C57BL/6N mice exposed 17 h/day, 5
7-106

days/week for 13.5 to 23 months to whole DE diluted to produce a particle concentration of 4.5

mg/m3

. These data are summarized in Table 7-3.

The lack of a carcinogenic response in mice was reported by Mauderly et al. (1996). In

this study, groups of 540 to 600 CD-1 male and female mice were exposed to whole DE (7.1,

3.5, or 0.35 mg DPM/m3

) for 7 hr/day, 5 days/week for up to 24 mo. Controls were exposed to

filtered air. DE was provided by 5.7-L Oldsmobile V-8 engines operated continuously on the

U.S. Federal Test Procedure urban certification cycle. The chambers were maintained at 25 °C28 °C, relative humidity at 40%-60%, and a flow rate sufficient for 15 air exchanges per hour. 

Animals were exposed during the light cycle, which ran from 6:00 AM to 6:00 PM. DPM

accumulation in the lungs of exposed mice was assessed at 6, 12, and 18 months of exposure and

was shown to be progressive; DPM burdens were 0.2 ± 0.02, 3.7 ± 0.16, and 5.6 ± 0.39 mg for

the low-, medium-, and high-exposure groups, respectively. The lung burdens in both the

medium- and high-exposure groups exceeded that predicted by exposure concentration ratio for

the low-exposure group. Contrary to what was observed in rats (Heinrich et al., 1986b; Stöber,

1986; Nikula et al., 1995; Mauderly et al., 1987), an exposure-related increase in primary lung

neoplasms was not observed in the CD-1 mice, supporting the contention of a species difference

in the pulmonary carcinogenic response to poorly soluble particles. The percentage incidence of

mice (males and females combined) with one or more malignant or benign neoplasms was 13.4,

14.6, 9.7, and 7.5 for controls and low-, medium-, and high-exposure groups, respectively.

Although earlier studies provided some evidence for tumorigenic responses in dieselexposed mice, no increases were reported in the two most recent studies by Mauderly et al.

(1996) and Heinrich et al. (1995), which utilized large group sizes and were well designed and

conducted. Overall, the results in mice must therefore be considered to be equivocal.

7.3.1.3. Hamster Studies

Heinrich et al. (1982) examined the effects of DE exposure on tumor frequency in female

Syrian golden hamsters. Groups of 48 to 72 animals were exposed to clean air or whole DE at a

mean DPM concentration of 3.9 mg/m3

. Inhalation exposures were conducted 7 to 8 hr/day, 5

days/week for 2 years. The exhaust was produced by a 2.4-L Daimler-Benz engine operated

under a constant load and a constant speed of 2,400 rpm. Flow rate was sufficient for about 20

exchanges per hour in the 250-L chambers. No lung tumors were reported in either exposure

group.

In a subsequent study, Syrian hamsters were exposed 19 hr/day, 5 days/week for a

lifetime to DE diluted to a DPM concentration of 4.24 mg/m3 (Heinrich et al., 1986b; Stöber,

1986). Details of the exposure conditions are reported in Appendix A. Ninety-six animals per
7-107

group were exposed to clean air or exhaust. No lung tumors were seen in either the clean-air

group or in the DE-exposed group. 

 In a third study (Heinrich et al., 1989b), hamsters were exposed to exhaust from a

Daimler-Benz 2.4-L engine operated at a constant load of about 15 kW and at a uniform speed

of 2,000 rpm. The exhaust was diluted to an exhaust-clean air ratio of about 1:13, resulting in a

mean particle concentration of 3.75 mg/m3. Exposures were conducted in chambers maintained

at 22 to 24 °C and 40% to 60% relative humidity for up to 18 mo. Surviving hamsters were

maintained in clean air for up to an additional 6 mo. The animals were exposed 19 hr/day, 5

days/week beginning at noon each day, under a 12-hr light cycle starting at 7 AM. Forty

animals per group were exposed to whole DE or clean air. No lung tumors were detected in

either the clean-air or diesel-exposed hamsters. 

Brightwell et al. (1986, 1989) studied the effects of DE on male and female Syrian

golden hamsters. Groups of 52 males and 52 females, 6 to 8 weeks old, were exposed to DE at

DPM concentrations of 0.7, 2.2, or 6.6 mg/m3

. They were exposed 16 hr/day, 5 days/week for a

total of 2 years and then sacrificed. Exposure conditions are described in Section 7.3.1.1. No

statistically significant (t test) relationship between tumor incidence and exhaust exposure was

reported.

In summary, DE alone did not induce an increase in lung tumors in hamsters of either sex

in several studies of chronic duration at high exposure concentrations. 

7.3.1.4. Monkey Studies

Fifteen male cynomolgus monkeys were exposed to DE (2 mg/m3) for 7 hr/day, 5

days/week for 24 months (Lewis et al., 1989). The same numbers of animals were also exposed

to coal dust (2 mg/m3 respirable concentration; 5 to 6 mg/m3 total concentration), DE plus coal

dust (1 mg/m3 respirable concentration for each component; 3.2 mg/m3 total concentration), or

filtered air. Details of exposure conditions were listed previously in the description of the Lewis

et al. (1989) study with rats (Section 7.3.1.1) and are listed in Appendix A.

None of the monkeys exposed to DE exhibited a significantly increased incidence of

preneoplastic or neoplastic lesions. It should be noted, however, that the 24-mo time frame

employed in this study may not have allowed the manifestation of tumors in primates, because

this duration is only a small fraction of the monkeys’ expected lifespan. In fact, there have been

no near-lifetime exposure studies in nonrodent species.

7.3.2. Inhalation Studies (filtered DE)

Several studies have been conducted in which animals were exposed to DE filtered to

remove PM. As these studies also included groups exposed to whole exhaust, details can be

found in Sections 7.3.1.1 for rats, 7.3.1.2 for mice, and 7.3.1.3 for hamsters. Heinrich et al.
7-108

(1986b) and Stöber (1986) reported negative results for lung tumor induction in female Wistar

rats exposed to filtered exhaust diluted to produce an unfiltered particle concentration of 4.24

mg/m3. Negative results were also reported in female Fischer 344 rats exposed to filtered

exhaust diluted to produce an unfiltered particle concentration of 4.9 mg/m3 (Iwai et al., 1986a),

in Fischer 344 rats of either sex exposed to filtered exhaust diluted to produce an unfiltered

particle concentration of 6.6 mg/m3

 (Brightwell et al., 1989), in female Wistar rats exposed to

filtered exhaust diluted to produce an unfiltered particle concentration of 7.0 mg/m3 (Heinrich et

al., 1995), and in female Fischer 344 rats exposed to filtered exhaust diluted to produce

unfiltered particle concentrations of 5.1, 3.2, or 9.4 mg/m3 (Iwai et al., 1997). In the Iwai et al.

(1986a) study, splenic lymphomas were detected in 37.5% of the exposed rats compared with

8.2% in controls. 

In the study reported by Heinrich at al. (1986a) and Stober (1986), primary lung tumors

were seen in 29/93 NMRI mice (males and females combined) exposed to filtered exhaust,

compared with 11/84 in clean-air controls, a statistically significant increase. In a repeat study

by Heinrich et al. (1995), however, significant lung tumor increases were not detected in either

female NMRI or C57BL/6N mice exposed to filtered exhaust diluted to produce an unfiltered

particle concentration of 4.5 mg/m3. 

 Filtered exhaust also failed to induce lung tumor induction in Syrian Golden hamsters

(Heinrich et al., 1986a; Brightwell et al., 1989).

 Although lung tumor increases were reported in one study and lymphomas in another,

these results could not be confirmed in subsequent investigations. It is therefore concluded that

little direct evidence exists for carcinogenicity of the vapor phase of DE in laboratory animals at

concentrations tested.

7.3.3. Inhalation Studies (DE plus Cocarcinogens)

Details of the studies reported here have been described earlier and in Table 7-3. Tumor

initiation with urethan (1 mg/kg body weight i.p. at the start of exposure) or promotion with

butylated hydroxytolulene (300 mg/kg body weight i.p. week 1, 83 mg/kg week 2, and 150

mg/kg for weeks 3-52) did not influence tumorigenic responses in Sencar mice of both sexes

exposed to concentrations of DE up to 12 mg/m3 (Pepelko and Peirano, 1983).

Heinrich et al. (1986b) exposed Syrian hamsters of both sexes to DE diluted to a particle

concentration of 4 mg/m3. See Section 7.3.1.1 for details of the exposure conditions. At the

start of exposure the hamsters received either one dose of 4.5 mg diethylnitrosamine (DEN)

subcutaneously per kg body weight or 20 weekly intratracheal instillations of 250 :g B[a]P. 

Female NMRI mice received weekly intratracheal instillations of 50 or 100 :g B[a]P for 10 or

20 weeks, respectively, or 50 :g dibenz[ah]anthracene (DBA) for 10 weeks. Additional groups

of 96 newborn mice received one s.c. injection of 5 or 10 :g DBA between 24 and 48 hr after

birth. Female Wistar rats received weekly subcutaneous injections of dipentylnitrosamine
7-109

(DPN) at doses of 500 and 250 mg/kg body weight, respectively, during the first 25 weeks of

exhaust inhalation exposure. Neither DEN, DBA, or DPN treatment enhanced any tumorigenic

responses to DE. Response to B[a]P did not differ from that of BaP alone in hamsters, but

results were inconsistent in mice. Although 20 B[a]P instillations induced a 71% tumor

incidence in mice, concomitant diesel exposure resulted in only a 41% incidence. However,

neither 10 B[a]P instillations nor DBA instillations induced significant effects.

Takemoto et al. (1986) exposed Fischer 344 rats for 2 years to DE at particle

concentrations of 2 to 4 mg/m3

. One month after start of inhalation exposure one group of rats

received di-isopropyl-nitrosamine (DIPN) administered i.p. at 1 mg/kg weekly for 3 weeks. 

Among injected animals autopsied at 18 to 24 mo, 10 adenomas and 4 adenocarcinomas were

reported in 21 animals exposed to clean air, compared with 12 adenomas and 7 adenocarcinomas

in 18 diesel-exposed rats. According to the authors, the incidence of adenocarcinomas was not

significantly increased by exposure to DE. 

Brightwell et al. (1989) investigated the concomitant effects of DE and DEN in Syrian

hamsters exposed to DE diluted to produce particle concentrations of 0.7, 2.2, or 6.6 mg/m3 for 2

years. The animals received a single dose of 4.5 mg DEN s.c. 3 days prior to start of inhalation

exposure. DEN did not affect the lack of responsiveness to DE alone. Heinrich et al. (1989b)

also exposed Syrian hamsters of both sexes to DE diluted to a particle concentration of 3.75

mg/m3 for up to 18 mo. After 2 weeks of exposure, groups were treated with either 3 or 6 mg

DEN/kg body weight, respectively. Again, DEN did not significantly influence the lack of

tumorigenic responses to DE. 

Heinrich et al. (1989a) investigated the effects of DPN in female Wistar rats exposed to

DE diluted to achieve a particle concentration of 4.24 mg/m3

 for 2-2.5 years. DPN at doses of

250 and 500 mg/kg body weight was injected subcutaneously once a week for the first 25 weeks

of exposure. The tumorigenic responses to DPN were not affected by exposure to DE. For

details of exposure conditions of the hamster studies see Section 7.3.1.3.

Heinrich et al. (1986a) and Mohr et al. (1986) compared the effects of exposure to

particles having only a minimal carbon core but a much greater concentration of PAHs than

DPM does. The desired exposure conditions were achieved by mixing coal oven flue gas with

pyrolyzed pitch. The concentration of B[a]P and other PAHs per milligram of DPM was about

three orders of magnitude greater than that of DE. Female rats were exposed to the flue gaspyrolyzed pitch for 16 hr/day, 5 days/week at particle concentrations of 3 to 7 mg/m3

 for 22 mo,

then held in clean air for up to an additional 12 mo. Among 116 animals exposed, 22 tumors

were reported in 21 animals, for an incidence of 18.1%. One was a bronchioloalveolar

adenoma, one was a bronchioloalveolar carcinoma, and 20 were squamous cell tumors. Among

the latter, 16 were classified as benign keratinizing cystic tumors and 4 were classified as

carcinomas. No tumors were reported in 115 controls. The tumor incidence in this study was

comparable to that reported previously for the DE-exposed animals.
7-110

In analyzing the studies of Heinrich et al. (1986a,b), Heinrich (1990b), Mohr et al.

(1986), and Stöber (1986), it must be noted that the incidence of lung tumors occurring

following exposure to whole DE, coal oven flue gas, or carbon black (15.8%, 18.1%, and 8% to

17%, respectively) was very similar. This occurred despite the fact that the PAH content of the

PAH-enriched pyrolyzed pitch was more than three orders of magnitude greater than that of DE;

carbon black, on the other hand, had only traces of PAHs. Based on these findings, particleassociated effects appear to be the primary cause of diesel-exhaust-induced lung cancer in rats

exposed at high concentrations. This issue is discussed further in Chapter 7.

7.3.4. Lung Implantation or Intratracheal Instillation Studies

7.3.4.1. Rat Studies

Grimmer et al. (1987), using female Osborne Mendel rats (35 per treatment group),

provided evidence that PAHs in DE that consist of four or more rings have carcinogenic

potential. Condensate was obtained from the whole exhaust of a 3.0-L passenger-car diesel

engine connected to a dynamometer operated under simulated city traffic driving conditions. 

This condensate was separated by liquid-liquid distribution into hydrophilic and hydrophobic

fractions representing 25% and 75% of the total condensate, respectively. The hydrophilic,

hydrophobic, or reconstituted hydrophobic fractions were surgically implanted into the lungs of

the rats. Untreated controls, vehicle (beeswax/trioctanoin) controls, and positive (B[a]P)

controls were also included in the protocol (Table 7-6). Fraction Ilb (made up of PAHs with

four to seven rings), which accounted for only 0.8% of the total weight of DPM condensate,

produced the highest incidence of carcinomas following implantation into rat lungs. A

carcinoma incidence of 17.1% was observed following implantation of 0.21 mg IIb/rat, whereas

the nitro-PAH fraction (IId) at 0.18 mg/rat accounted for only a 2.8% carcinoma incidence. 

Hydrophilic fractions of the DPM extracts, vehicle (beeswax/trioctanoin) controls, and untreated

controls failed to exhibit carcinoma formation. Administration of all hydrophobic fractions (IIad) produced a carcinoma incidence (20%) similar to the summed incidence of fraction IIb

(17.1%) and IId (2.8%). The B[a]P positive controls (0.03, 0.1, 0.3 mg/rat) yielded a carcinoma

incidence of 8.6%, 31.4%, and 77.1%, respectively. The study showed that the tumorigenic

agents were primarily four- to seven-ring PAHs and, to a lesser extent, nitroaromatics. 

However, these studies demonstrated that simultaneous administration of various PAH

compounds resulted in a varying of the tumorigenic effect, thereby implying that the

tumorigenic potency of PAH mixtures may not depend on any one individual PAH. This study

did not provide any information regarding the bioavailability of the particle-associated PAHs

that might be responsible for carcinogenicity.

Kawabata et al. (1986) compared the effects of activated carbon and DE on lung tumor

formation. One group of 59 F344 rats was intratracheally instilled with DPM (1 mg/week for 10 
7-111

Table 7-6. Tumor incidence and survival time of rats treated by surgical lung implantation fractions from DE condensate (35 rats/group)

Material portion by weight (%) Dose (mg)

Median

survival time

in weeks

(range)

Number of

carcinomasa

Number of

adenomasb

Hydrophilic fraction (I) (25) 6.7 97 (24-139) 0 1 Hydrophobic fraction (II) (75)

Nonaromatics +PACc 2 + 3 rings (IIa) (72)

PAHd 4 to 7 rings (IIb) (0.8)

Polar PAC (IIc) (1.1)Nitro-PAH (IId) (0.7)

20.0019.22

0.210.290.19

99 (50-139)

103 (25-140)102 (50-140)

97 (44-138)

106 (32-135)

50601 1000 

Reconstituted hydrophobics

(Ia, b, c, d) (74.5)

Control, unrelatedControl (beeswax/trioctanoin)B[a]P

19.91

0.30.1

0.03

93 (46-136)

110 (23-138)103 (51-136)

69 (41-135)98 (22-134)97 (32-135)

70027113 101000 

aSquamous cell carcinoma.bBronchiolar/alveolar adenoma.cPAC = polycyclic aromatic compounds.dPAH = polycyclic aromatic hydrocarbons.Source: Adapted from Grimmer et al., 1987.
7-112

weeks). A second group of 31 rats was instilled with activated carbon using the same dosing

regime. Twenty-seven rats received only the solvent (buffered saline with 0.05% Tween 80),

and 53 rats were uninjected. Rats dying after 18 months were autopsied. All animals surviving

30 months or more postinstillation were sacrificed and evaluated for histopathology. Among 42

animals exposed to DPM surviving 18 months or more, tumors were reported in 31, including 20

malignancies. In the subgroup surviving for 30 mo, tumors were detected in 19 of 20 animals,

including 10 malignancies. Among the rats exposed to activated carbon, the incidence of lung

tumors equaled 11 of 23 autopsied, with 7 cases of malignancy. Data for those dying between

18 and 30 months and those sacrificed at 30 months were not reported separately. Statistical

analysis indicated that activated carbon induced a significant increase in lung tumor incidence

compared with no tumors in 50 uninjected controls and 1 tumor in 23 solvent-injected controls. 

The tumor incidence was significantly greater in the DPM-instilled group and was significantly

greater than the increase in the carbon-instilled group.

 A study reported by Rittinghausen et al. (1997) suggested that organic constituents of

diesel particles play a role in the induction of lung tumors in rats. An incidence of 16.7%

pulmonary cystic keratinizing squamous cell lesions was noted in rats intratracheally instilled

with 15 mg whole DE particles, compared with 2.1% in rats instilled with 15 mg particles

extracted to remove all organic constituents, and none among controls. Instillation of 30 mg of

extracted particles induced a 14.6% incidence of squamous lesions, indicating the greater

effectiveness of particles alone as lung particle overload increased.

Iwai et al. (1997) instilled 2, 4, 8, and 10 mg of whole diesel particles over a 2- to 10-

week period into female F/344 rats, 50 or more per group. Tumors were reported in 6%, 20%,

43%, and 74% of the rats, with incidence of malignant tumors equal to 2%, 13%, 34%, and

48%, respectively. In a second experiment comparing whole with extracted diesel particles,

tumor incidence equaled 1/48 (2%) in uninjected controls, 3/55 (5%) in solvent controls, 12/56

(21%) in extracted diesel particles, and 13/106 (12%) in animals injected with unextracted

particles. Although the extracted particles appeared to be more potent, when converted to a lung

burden basis (mg/100 mg dry lung) the incidence was only 14% among those exposed to

extracted exhaust compared with 31% in those exposed to whole particles.

Dasenbrock et al. (1996) conducted a study to determine the relative importance of the

organic constituents of diesel particles and particle surface area in the induction of lung cancer in

rats. Fifty-two female Wistar rats were intratracheally instilled with 16-17 doses of DPM,

extracted DPM, printex carbon black (PR), lampblack (LB), B[a]P, DPM + B[a]P, or PR +

B[a]P. The animals were held for a lifetime or sacrificed when moribund. The lungs were

necropsied and examined for tumors. Diesel particles were collected from a Volkswagen 1.6-L

engine operating on a US FTP-72 driving cycle. The mass median aerodynamic diameter

(MMAD) of the diesel particles was 0.25 :m and the specific surface area was 12 m2

/gm. 
7-113

Following extraction with toluene, specific surface area increased to 138 m2

/gm. The MMAD

for extracted PR was equal to 14 nm, while the specific surface area equaled 271 m2/gm. The

MMAD for extracted lampblack was equal to 95 nm, with a specific surface area equal to 20

m2/gm. The B[a]P content of the treated particles was 11.3 mg per gm diesel particles and 29.5

mg B[a]P per gm PR. Significant increases in lung tumors were detected in rats instilled with 15

mg unextracted DPM and 30 mg extracted DPM, but not 15 mg extracted DPM. Printex CB was 

more potent than lampblack CB for induction of lung tumors, whereas B[a]P was effective only

at high doses. Total dose and tumor responses are shown in Table 7-4.

A number of conclusions can be drawn from these results. First of all, particles devoid

of organics are capable of inducing lung tumor formation, as indicated by positive results in the

groups treated with high-dose extracted diesel particles and printex. Nevertheless, toluene

extraction of organics from diesel particles results in a decrease in potency, indicating that the

organic fraction does play a role in cancer induction. A relationship between cancer potency and

particle surface area was also suggested by the finding that printex with a large specific surface

area was more potent than either extracted DPM or lampblack, which have smaller specific

areas. Finally, while very large doses of B[a]P are very effective in the induction of lung

tumors, smaller doses adsorbed to particle surfaces had little detectable effect, suggesting that

other organic components of DE may be of greater importance in the induction of lung tumors at

low doses pf B[a]P (0.2-0.4 mg).

7.3.4.2. Syrian Hamster Studies

Kunitake et al. (1986) and Ishinishi et al. (1988b) conducted a study in which total doses

of 1.5, 7.5, or 15 mg of a dichloromethane extract of DPM were instilled intratracheally over 15

weeks into male Syrian hamsters that were then held for their lifetimes. The tumor incidences of 

2.3% (1/44), 0% (0/56), and 1.7% (1/59) for the high-, medium-, and low-dose groups,

respectively, did not differ significantly from the 1.7% (1/56) reported for controls. Addition of

7.5 mg of B[a]P to a DPM extract dose of 1.5 mg resulted in a total tumor incidence of 91.2%

and malignant tumor incidence of 88%. B[a]P (7.5 mg over 15 weeks) alone produced a tumor

incidence rate of 88.2% (85% of these being malignant), which was not significantly different

from the DPM extract + B[a]P group. Intratracheal administration of 0.03 :g B[a]P, the

equivalent content in 15 mg of DPM extract, failed to cause a significant increase in tumors in

rats. This study demonstrated a lack of detectable interaction between DPM extract and B[a]P,

the failure of DPM extract to induce carcinogenesis, and the propensity for respiratory tract

carcinogenesis following intratracheal instillation of high doses of B[a]P. For studies using the

DPM extract, some concern must be registered regarding the known differences in chemical

composition between DPM extract and DPM. As with all intratracheal instillation protocols,

DPM extract lacks the complement of volatile chemicals found in whole DE.
7-114

The effects on hamsters of intratracheally instilled DPM suspension, DPM with Fe2O3, or

DPM extract with Fe2O3 as the carrier were studied by Shefner et al. (1982). The DPM

component in each of the treatments was administered at concentrations of 1.25, 2.5, or 5.0

mg/week for 15 weeks to groups of 50 male Syrian golden hamsters. The total volume instilled

was 3.0 mL (0.2 mL/week for 15 weeks). The DPM and dichloromethane extracts were

suspended in physiological saline with gelatin (0.5% w/v), gum arabic (0.5% w/v), and

propylene glycol (10% by volume). The Fe2O3 concentration, when used, was 1.25 mg/0.2 mL

of suspension. Controls received vehicle and, where appropriate, carrier particles (Fe2O3)

without the DPM component. Two replicates of the experiments were performed. 

Adenomatous hyperplasia was reported to be most severe in those animals treated with DPM or

DPM plus Fe2O3 particles and least severe in those animals receiving DPM plus Fe2O3. Of the

two lung adenomas detected microscopically, one was in an animal treated with a high dose of

DPM and the other was in an animal receiving a high dose of DPM extract. Although lung

damage was increased by instillation of DPM, there was no evidence of tumorigenicity.

7.3.4.3. Mouse Studies

Ichinose et al. (1997a) intratracheally instilled 36 four-week-old male ICR mice per

group weekly for 10 weeks with sterile saline or 0.05, 0.1, or 0.2 mg DPM. Particles were

collected from a 2.74-L four-cylinder Isuzu engine run at a steady speed of 1,500 rpm under a

load of 10 torque (kg/m). Twenty-four hours after the last instillation, six animals per group

were sacrificed for measurement of lung 8-hydroxydeoxyguanosine (8-OHdG). The remaining

animals were sacrificed after 12 months for histopathological analysis. Lung tumor incidence

varied from 4/30 (13.3%) for controls to 9/30 (30%), 9/29 (31%), and 7/29 (24.1%) for mice

instilled with 0.05, 0.1, and 0.2 mg/week, respectively. The increase in animals with lung

tumors compared with controls was statistically significant for the 0.1 mg dose group, the only

group analyzed statistically. Increases in 8-OHdG, an indicator of oxidative DNA damage,

correlated well with the increase in tumor incidence in the 0.05 mg dose group, although less so

with the other two. The correlation coefficients r = 0.916, 0.765, and 0.677 for the 0.05, 0.10,

and 0.20 mg DPM groups, respectively.

In a similar study, 33 four-week-old male ICR mice per group were intratracheally

instilled weekly for 10 weeks with sterile saline, 0.1 mg DPM, or 0.1 mg DPM from which the

organic constituents were extracted with hexane (Ichinose et al., 1997b). Exhaust was collected

from a 2.74-L four-cylinder Izuzu engine run at a steady speed of 2,000 rpm under a load of 6

torque (kg/m). Twenty-four hours after the last instillation, six animals per group were

sacrificed for measurement of 8-OHdG. Surviving animals were sacrificed after 12 mo. The

incidence of lung tumors increased from 3/27 (11.1%) among controls to 7/27 (25.9%) among

those instilled with extracted diesel particles and 9/26 (34.6%) among those instilled with
7-115

unextracted particles. The increase in number of tumor-bearing animals was statistically

significant compared with controls (p<0.05) for the group treated with unextracted particles. 

The increase in 8-OHdG was highly correlated with lung tumor incidence, r = 0.99. 

7.3.5. Subcutaneous and Intraperitoneal Injection Studies

7.3.5.1. Mouse Studies

In addition to inhalation studies, Orthoefer et al. (1981) also tested the effects of i.p.

injections of DPM on male (A/S) strain mice. Three groups of 30 mice were injected with 0.1

mL of a suspension (particles in distilled water) containing 47, 117, or 235 :g of DPM collected

from Fluoropore filters in the inhalation exposure chambers. The exposure system and exposure

atmosphere are described in Appendix A. Vehicle controls received injections of particle

suspension made up of particulate matter from control exposure filters, positive controls

received 20 mg of urethan, and negative controls received no injections. Injections were made

three times weekly for 8 weeks, resulting in a total DPM dose of 1.1, 2.8, and 5.6 mg for the

low-, medium-, and high-dose groups and 20 mg of urethan for the positive control group. 

These animals were sacrificed after 26 weeks and examined for lung tumors. For the low-,

medium-, and high-dose DPM groups, the tumor incidence was 2/30, 10/30, and 8/30,

respectively. The incidence among urethan-treated animals (positive controls) was 100%

(29/29), with multiple tumors per animal. The tumor incidence for the DPM-treated animals did

not differ significantly from that of vehicle controls (8/30) or negative controls (7/28). The

number of tumors per mouse was also unaffected by treatment.

In further studies conducted by Orthoefer et al. (1981), an attempt was made to compare

the potency of DPM with that of other environmental pollutants. Male and female Strain A mice

were injected i.p. three times weekly for 8 weeks with DPM, DPM extracts, or various

environmental mixtures of known carcinogenicity, including cigarette smoke condensate, coke

oven emissions, and roofing tar emissions. Injection of urethan or dimethylsulfoxide (DMSO)

served as positive or vehicle controls, respectively. In addition to DPM from the Nissan diesel

previously described, an eight-cylinder Oldsmobile engine operated at the equivalent of 40 mph

was also used to compare emission effects from different makes and models of diesel engine. 

The mice were sacrificed at 9 months of age and their lungs examined for histopathological

changes. The only significant findings, other than for positive controls, were small increases in

numbers of lung adenomas per mouse in male mice injected with Nissan DPM and in female

mice injected with coke oven extract. Furthermore, the increase in the extract-treated mice was

significant only in comparison with uninjected controls (not injected ones) and did not occur

when the experiment was repeated. Despite the use of a strain of mouse known to be sensitive to

tumor induction, the overall findings of this study were negative. The authors provided several

possible explanations for these findings, the most likely of which were (1) the carcinogens that
7-116

were present were very weak, or (2) the concentrations of the active components reaching the

lungs were insufficient to produce positive results.

Kunitake et al. (1986) conducted studies using DPM extract obtained from a 1983 HD

MMC—6D22P 11-L V-6 engine. Five s.c. injections of DPM extract (500 mg/kg per injection)

resulted in a significant (p<0.01) increase in subcutaneous tumors for female C57BL mice (5/22

[22.7%] vs. 0/38 among controls). Five s.c. doses of DPM extract of 10, 25, 30, 100, or 200

mg/kg failed to produce a significant increase in tumor incidence. One of 12 female ICR mice

(8.3%) and 4 of 12 male ICR mice (33.3%) developed malignant lymphomas following neonatal

s.c. administration of 10 mg of DPM extract per mouse. The increase in malignant lymphoma

incidence for the male mice was statistically significant at p<0.05 compared with an incidence of

2/14 (14.3%) among controls. Treatment of either sex with 2.5 or 5 mg of DPM extract per

mouse did not result in statistically significant increases in tumor incidence.

Additional studies using DPM extract from LD (1.8-L, 4-cylinder) as well as HD engines

with female ICR and nude mice (BALB/c/cA/JCL-nu) were also reported (Kunitake et al.,

1988). Groups of 30 ICR and nude mice each were given a single s.c. injection of 10 mg HD

extract, 10 mg HD + 50 :g 12-O-tetradecanoylphorbol 13-acetate (TPA), 10 mg LD extract +

50 :g TPA, or 50 :g TPA. No malignant tumors or papillomas were observed. One

papillomatous lesion was observed in an ICR mouse receiving LD extract + TPA, and acanthosis

was observed in one nude mouse receiving only TPA.

In what appears to be an extension of the Kunitake et al. (1986) s.c. injection studies,

Takemoto et al. (1988) presented additional data for subcutaneously administered DPM extract

from HD and LD diesel engines. In this report, the extracts were administered to 5-week-old

and neonatal (<24 hr old) C57BL mice of both sexes. DPM extract from HD or LD engines was

administered weekly to the 5-week-old mice for 5 weeks at doses of 10, 25, 50, 100, 200, or 500

mg/kg, with group sizes ranging from 15 to 54 animals. After 20 weeks, comparison with a

control group indicated a significant increase in the incidence of subcutaneous tumors for the

500 mg/kg HD group (5 of 22 mice [22.7%], p<0.01), the 100 mg/kg LD group (6 of 32

[18.8%],

p<0.01), and the 500 mg/kg LD group (7 of 32 [21.9%], p<0.01) in the adult mouse

experiments. The tumors were characterized as malignant fibrous histiocytomas. No tumors

were observed in other organs. The neonates were given single doses of 2.5, 5, or 10 mg DPM

extract subcutaneously within 24 hr of birth. There was a significantly higher incidence of

malignant lymphomas in males receiving 10 mg of HD extract and of lung tumors for males

given 2.5 mg HD extract and for males given 5 mg and females given 10 mg LD extract. A

dose-related trend that was not significant was observed for the incidences of liver tumors for

both the HD extract- and LD extract-treated neonatal mice. The incidence of mammary tumors

in female mice and multiple-organ tumors in male mice was also greater for some extract-treated
7-117

mice, but was not dose related. The report concluded that LD DPM extract showed greater

carcinogenicity than did HD DPM extract.

7.3.6. Dermal Studies

7.3.6.1. Mouse Studies

In one of the earliest studies of diesel emissions, the effects of dermal application of

extract from DPM were examined by Kotin et al. (1955). Acetone extracts were prepared from

the DPM of a diesel engine (type and size not provided) operated at warmup mode and under

load. These extracts were applied dermally three times weekly to male and female C57BL and

strain A mice. Results of these experiments are summarized in Table 7-5. In the initial

experiments using 52 (12 male, 40 female) C57BL mice treated with DPM extract from an

engine operated in warmup mode, two papillomas were detected after 13 mo. Four tumors were

detected 16 months after the start of treatment in 8 surviving of 50 exposed male strain A mice

treated with DPM extract from an engine operated under full load. Among female strain A mice

treated with DPM extract from an engine operated under full load, 17 tumors were detected in

20 of 25 mice surviving longer than 13 mo. This provided a significantly increased tumor

incidence of 85%. Carcinomas as well as papillomas were seen, but the numbers were not

reported.

Depass et al. (1982) examined the potential of DPM and dichloromethane extracts of

DPM to act as complete carcinogens, carcinogen initiators, or carcinogen promoters. In skinpainting studies, the DPM was obtained from an Oldsmobile 5.7-L diesel engine operated under

constant load at 65 km/h. The DPM was collected at a temperature of 100°C. Groups of 40

C3H/HeJ mice were used because of their low spontaneous tumor incidence. For the complete

carcinogenesis experiments, DPM was applied as a 5% or 10% suspension in acetone. 

Dichloromethane extract was applied as 5%, 10%, 25%, or 50% suspensions. Negative controls

received acetone, and positive controls received 0.2% B[a]P. For tumor-promotion experiments,

a single application of 1.5% B[a]P was followed by repeated applications of 10% DPM

suspension, 50% DPM extract, acetone only (vehicle control), 0.0001% phorbol 12-myristate

13-acetate (PMA) as a positive promoter control, or no treatment (negative control). For the

tumor-initiation studies, a single initiating dose of 10% diesel particle suspension, 50% diesel

particle extract, acetone, or PMA was followed by repeated applications of 0.0001% PMA. 

Following 8 months of treatment, the PMA dose in the initiation and promotion studies was

increased to 0.01%. Animals were treated three times per week in the complete carcinogenesis

and initiation experiments and five times per week in promotion experiments. All test

compounds were applied to a shaved area on the back of the mouse.

In the complete carcinogenesis experiments, one mouse receiving the high-dose (50%)

suspension of extract developed a squamous cell carcinoma after 714 days of treatment. Tumor
7-118

incidence in the B[a]P group was 100%, and no tumors were observed in any of the other

groups. For the promotion studies, squamous cell carcinomas with pulmonary metastases were

identified in one mouse of the 50% DPM extract group and in one in the 25% extract group. 

Another mouse in the 25% extract group developed a grossly diagnosed papilloma. Nineteen

positive control mice had tumors (11 papillomas, 8 carcinomas). No tumors were observed for

any of the other treatment groups. For the initiation studies, three tumors (two papillomas and

one carcinoma) were identified in the group receiving DPM suspension and three tumors (two

papillomas and one fibrosarcoma) were found in the DPM extract group. These findings were

reported to be statistically insignificant using the Breslow and Mantel-Cox tests.

 Although these findings were not consistent with those of Kotin et al. (1955), the

occurrence of a single carcinoma in a strain known to have an extremely low spontaneous tumor

incidence may be of importance. Furthermore, a comparison between studies employing

different strains of mice with varying spontaneous tumor incidences may result in erroneous

assumptions.

Nesnow et al. (1982) studied the formation of dermal papillomas and carcinomas

following dermal application of dichloromethane extracts from coke oven emissions, roofing tar,

DPM, and gasoline engine exhaust. DPM from five different engines, including a preproduction

Nissan 220C, a 5.7-L Oldsmobile, a prototype Volkswagen Turbo Rabbit, a Mercedes 300D, and

a HD Caterpillar 3304, was used for various phases of the study. Male and female Sencar mice

(40 per group) were used for tumor initiation, tumor promotion, and complete carcinogenesis

studies. For the tumor-initiation experiments, the DPM extracts were topically applied in single

doses of 100, 500, 1,000, or 2,000 :g/mouse. The high dose (10,000 :g/mouse) was applied in

five daily doses of 2,000 :g. One week later, 2 :g of the tumor promoter TPA was applied

topically twice weekly. The tumor-promotion experiments used mice treated with 50.5 :g of

B[a]P followed by weekly (twice weekly for high dose) topical applications (at the

aforementioned doses) of the extracts. For the complete carcinogenesis experiments, the test

extracts were applied weekly (twice weekly for the high doses) for 50 to 52 weeks. Only

extracts from the Nissan, Oldsmobile, and Caterpillar engines were used in the complete

carcinogenesis experiments.

In the tumor-initiation studies, both B[a]P alone and the Nissan engine DPM extract

followed by TPA treatment produced a significant increase in tumor (dermal papillomas)

incidence at 7 to 8 weeks postapplication. By 15 weeks, the tumor incidence was greater than

90% for both groups. No significant carcinoma formation was noted for mice in the tumorinitiation experiments following exposure to DPM extracts of the other diesel engines, although

the Oldsmobile engine DPM extract at 2.0 mg/mouse did produce a 40% papilloma incidence in

male mice at 6 mo. This effect, however, was not dose dependent.
7-119

B[a]P (50.5 :g/week), coke oven extract (at 1.0, 2.0, or 4.0 mg/week), and the highest

dose of roofing tar extract (4.0 mg/week) all tested positive for complete carcinogenesis activity. 

DPM extracts from only the Nissan, Oldsmobile, and Caterpillar engines were tested for

complete carcinogenic potential, and all three proved to be negative using the Sencar mouse

assay.

The results of the dermal application experiments by Nesnow et al. (1982) are presented

in Table 7-7. The tumor initiation-promotion assay was considered positive if a dose-dependent

response was obtained and if at least two doses provided a papilloma-per-mouse value that was

three times or greater than that of the background value. Based on these criteria, only emissions

from the Nissan were considered positive. Tumor initiation and complete carcinogenesis assays

required that at least one dose produce a tumor incidence of at least 20%. None of the DPM

samples yielded positive results based on this criterion.

Kunitake et al. (1986, 1988) evaluated the effects of a dichloromethane extract of DPM

obtained from a 1983 MMC M-6D22P 11-L V-6 engine. An acetone solution was applied in 10

doses every other day, followed by promotion with 2.5 :g of TPA three times weekly for 25

weeks. Exposure groups received a total dose of 0.5, 5, 15, or 45 mg of extract. Papillomas

were reported in 2 of 50 animals examined in the 45 mg exposure group and in 1 of 48 in the 15

mg group compared with 0 of 50 among controls. Differences, however, were not statistically

significant.

7.3.7. Summary and Conclusions of Laboratory Animal Carcinogenicity Studies

As early as 1955, Kotin et al. (1955) provided evidence for tumorigenicity and

carcinogenicity of acetone extracts of DPM following dermal application and also provided data

suggesting a difference in this potential depending on engine operating mode. Until the early

1980s, no chronic studies assessing inhalation of DE, the relevant mode for human exposure,

had been reported. Since then long-term inhalation bioassays with DE have been carried out in

the United States, Germany, Switzerland, and Japan, testing responses of rats, mice, and Syrian

hamsters, and to a limited extent cats and monkeys.
7-120

Table 7-7. Dermal tumorigenic and carcinogenic effects of various emission extracts

Tumor initiation

Complete

carcinogenesis Tu

Sample Papillomasa Carcinomasb Carcinomasb 

Benzo[a]pyrene +/+c +/+ +/+ Topside coke oven +/+ -/+ NDd 

Coke oven main +/+ +/+ +/+ Roofing tar +/+ +/+ +/+ Nissan +/+ +/+ -/- Oldsmobile +/+ -/- -/- VW Rabbit +/+ -/- Ie Mercedes +/- -/- ND Caterpillar -/- -/- -/- Residential furnace -/- -/- ND Mustang +/+ -/+ ND 

aScored at 6 mo.

 bCumulative score at 1 year. cMale/female. dND = Not determined. eI = Incomplete. Source: Nesnow et al., 1982.
7-121

It can be reasonably concluded that with adequate exposure, inhalation of DE is capable

of inducing lung cancer in rats. Responses best fit cumulative exposure (concentration × daily

exposure duration × days of exposure). Examination of rat data shown in Table 7-8 indicates a

trend of increasing tumor incidence at exposures exceeding 1 × 104

 mg@hr/m3. Exposures greater

than approximately this value result in lung particle overload, characterized by slowed particle

clearance and lung pathology, as discussed in Chapters 3 and 5, respectively. Tumor induction

at high doses may therefore be primarily the result of lung particle overload with associated

inflammatory responses. Although tumorigenic responses could not be detected under nonparticle-overload conditions, the animal experiments lack sensitivity to determine if a threshold

exists. However, studies such as those reported by Driscoll et al. (1996) support the existence of

a threshold if it is assumed that inflammation is a prerequisite for lung tumor induction. If lowdose effects do occur, it can be hypothesized that the organic constituents are playing a role. See

Chapter 7 for a discussion of this issue. 

Although rats develop adenomas, adenocarcinomas, and adenosquamous cell carcinomas,

they also develop squamous keratinizing lesions. This latter spectrum appears for the most part

to be peculiar to the rat. In a recent workshop aimed at classifying these tumors (Boorman et al.,

1996), it was concluded that when these lesions occur in rats as part of a carcinogenicity study,

they must be evaluated on a case-by-case basis and regarded as a part of the total biologic profile

of the test article. If the only evidence of tumorigenicity is the presence of cystic keratinizing

epitheliomas, it may not have relevance to human safety evaluation of a substance or particle. 

Their use in quantifying cancer potency is even more questionable. 

The evidence for response of common strains of laboratory mice exposed under standard

inhalation protocols is equivocal. Inhalation of DE induced significant increases in lung tumors

in female NMRI mice (Heinrich et al., 1986b; Stöber, 1986) and in female Sencar mice (Pepelko

and Peirano, 1983). An apparent increase was also seen in female C57BL mice (Takemoto et

al., 1986). However, in a repeat of their earlier study, Heinrich et al. (1995) failed to detect lung

tumor induction in either NMRI or C57BL/6N mice. No increases in lung tumor rates were

reported in a series of inhalation studies using strain A mice (Orthoefer et al., 1981; Kaplan et

al., 1982, 1983; White et al., 1983). Finally, Mauderly et al. (1996) reported no tumorigenic

responses in CD-1 mice exposed under conditions resulting in positive responses in rats. The

successful induction of lung tumors in mice by Ichinose et al. (1997a,b) via intratracheal

instillation may have been the result of focal deposition of larger doses. Positive effects in

Sencar mice may be due to use of a strain sensitive to tumor induction in epidermal tissue by

organic agents, as well as exposure from conception, although proof for such a hypothesis is

lacking.
7-122

Table 7-8. Cumulative (concentration × time) exposure data for rats exposed to whole DE

Study

Exposure

rate/duration

(hr/week, mo)

Total exposure

time (hr)

Particle

concentration

(mg/m3)

Cumulative exposure

(mg"hr/m3)

Per week Total

Mauderly et al. (1987) 35, 30

35, 3035, 3035, 30

4.20042004e+15 0

0.353.57.1

0

12.25

122.5248.5

14701470029820 

Nikula et al. (1995) 80, 23

80, 2380, 23

736073607360 0

2.56.5

0

200.0520.0

1840047840 

Heinrich et al. (1986a) 95, 35

95, 35

1330013300 4.24 402.8 56392 

Heinrich et al. (1995) 90, 24

90, 2490, 2490, 24

8.64086409e+15 0

0.82.57.0

0

72.0

225.0630.0

74002180061700 

Ishinishi et al. (1988a)(Light-duty engine)(Heavy-duty engine)

96, 3096, 3096, 3096, 3096, 3096, 3096, 3096, 3096, 3096, 30

1.15201152e+49 0

0.10.41.12.300.51.01.83.7

09.6

38.4

105.6220.8

0

48.096.0

172.8355.2

1.1524

60813e+37
Table 7-8. Cumulative (concentration × time) exposure data for rats exposed to whole DE (continu

Study

Exposure

rate/duration

(hr/week, mo)

Total exposure

time (hr)

Particle

concentration

(mg/m3

)

Cumulative exposure

(mg"hr/m3

)

Per week Total

7-123

Brightwell et al. (1989) 80, 24

80, 2480, 2480, 24

7.6807681e+15 0

0.72.26.6

0

56.0

176.0528.0

53761689650688 

Kaplan et al. (1983) 140, 15

140, 15140, 15140, 15

8.4008401e+15 0

0.250.751.5

0

35.0

105.0210.0

2100630012600 

Iwai et al. (1986b) 56, 24

56, 24

53765376 4.9 274.4 26342 

Takemoto et al. (1986) 16, 18-24

16, 18-24

1,152-1,5361,152-1,536

0

2-4

0

32-64

0

3,456-4,608

Karagianes et al.(1981)

30, 2030, 20

24002400 8.3 249 19920 

Iwai et al. (1997) 56, 24

48, 2454, 24

537649925616 9.4

3.25.1

526154275 5.47041597e+14 
7-124

Attempts to induce significant increases in lung tumors in Syrian hamsters by inhalation

of whole DE were unsuccessful (Heinrich et al., 1982, 1986b, 1989b; Brightwell et al., 1986). 

However, hamsters are considered to be relatively insensitive to lung tumor induction. For

example, while cigarette smoke, a known human carcinogen, was shown to induce laryngeal

cancer in hamsters, the lungs were relatively unaffected (Dontenwill et al., 1973).

Neither cats (Pepelko and Peirano, 1983 [see Chapter 7]) nor monkeys (Lewis et al.,

1989) developed tumors following 2-year exposure to DE. The duration of these exposures,

however, was likely to be inadequate for these two longer-lived species, and group sizes were

quite small. Exposure levels were also below the maximum tolerated dose (MTD) in the

monkey studies and, in fact, only borderline for detection of lung tumor increases in rats.

Long-term exposure to DE filtered to remove particulate matter failed to induce lung

tumors in rats (Heinrich et al., 1986b; Iwai et al., 1986b; Brightwell et al., 1989), or in Syrian

hamsters (Heinrich et al., 1986b; Brightwell, 1989). A significant increase in lung carcinomas

was reported by Heinrich et al. (1986b) in NMRI mice exposed to filtered exhaust. However, in

a more recent study the authors were unable to confirm earlier results in either NMRI or

C57BL/6N mice (Heinrich et al., 1995). Although filtered exhaust appeared to potentiate the

carcinogenic effects of DEN (Heinrich et al., 1982), because of the lack of positive data in rats

and equivocal or negative data in mice it can be concluded that filtered exhaust is either not

carcinogenic or has a low cancer potency.

Kawabata et al. (1986) demonstrated the induction of lung tumors in Fischer 344 rats

following intratracheal instillation of DPM. Rittinghausen et al. (1997) reported an increase in

cystic keratinizing epitheliomas following intratracheal instillation of rats with either original

DPM or DPM extracted to remove the organic fraction, with the unextracted particles inducing a

slightly greater effect. Grimmer et al. (1987) showed not only that an extract of DPM was

carcinogenic when instilled in the lungs of rats, but also that most of the carcinogenicity resided

in the portion containing PAHs with four to seven rings. Intratracheal instillation did not induce

lung tumors in Syrian hamsters (Kunitake et al., 1986; Ishinishi et al., 1988b).

Dermal exposure and s.c. injection in mice provided additional evidence for tumorigenic

effects of DPM. Particle extracts applied dermally to mice have been shown to induce

significant skin tumor increases in two studies (Kotin et al., 1955; Nesnow et al., 1982). 

Kunitake et al. (1986) also reported a marginally significant increase in skin papillomas in ICR

mice treated with an organic extract from an HD diesel engine. Negative results were reported

by Depass et al. (1982) for skin-painting studies using mice and acetone extracts of DPM

suspensions. However, in this study the exhaust particles were collected at temperatures of 100

°C, which would minimize the condensation of vapor-phase organics and, therefore, reduce the

availability of potentially carcinogenic compounds that might normally be present on DE

particles. A significant increase in the incidence of sarcomas in female C57Bl mice was

reported by Kunitake et al. (1986) following s.c. administration of LD DPM extract at doses of
7-125

500 mg/kg. Takemoto et al. (1988) provided additional data for this study and reported an

increased tumor incidence in the mice following injection of LD engine DPM extract at doses of

100 and 500 mg/kg. Results of i.p. injection of DPM or DPM extracts in strain A mice were

generally negative (Orthoefer et al., 1981; Pepelko and Peirano, 1983), suggesting that the strain

A mouse may not be a good model for testing diesel emissions.

Results of experiments using tumor initiators such as DEN, B[a]P, DPN, or DBA

(Brightwell et al., 1986; Heinrich et al., 1986b; Takemoto et al., 1986) were generally

inconclusive regarding the tumor-promoting potential of either filtered or whole DE. A report

by Heinrich et al. (1982), however, indicated that filtered exhaust may promote the tumorinitiating effects of DEN in hamsters.

Several reports (Wong et al., 1985; Bond et al., 1990) affirm observations of the

potential carcinogenicity of DE by providing evidence for DNA damage in rats. These findings

are discussed in more detail in Chapter 3, Section 3.6. Evidence for the mutagenicity of organic

agents present in diesel engine emissions is also provided in Chapter 4.

 Evidence for the importance of the carbon core was initially provided by studies of

Kawabata et al. (1986), which showed induction of lung tumors following intratracheal

instillation of carbon black that contained no more than traces of organics, and studies of

Heinrich (1990b) that indicated that exposure via inhalation to carbon black (Printex 90)

particles induced lung tumors at concentrations similar to those effective in DPM studies. 

Additional studies by Heinrich et al. (1995) and Nikula et al. (1995) confirmed the capability of

carbon particles to induce lung tumors. Induction of lung tumors by other particles of low

solubility, such as titanium dioxide (Lee et al., 1986), confirmed the capability of particles to

induce lung tumors. Pyrolyzed pitch, on the other hand, essentially lacking a carbon core but

having much higher PAH concentrations than DPM, also was effective in tumor induction

(Heinrich et al., 1986a, 1994).

The relative importance of the adsorbed organics, however, remains to be elucidated and

is of some concern because of the known carcinogenic capacity of some of these chemicals. 

These include polycyclic aromatics as well as nitroaromatics, as described in Chapter 2. Organic

extracts of particles also have been shown to induce tumors in a variety of injection, intratracheal

instillation, and skin-painting studies, and Grimmer et al. (1987) have, in fact, shown that the

great majority of the carcinogenic potential following instillation resided in the fraction

containing four- to seven-ring PAHs.

In summary, based on positive inhalation studies in rats exposed to high concentrations,

intratracheal instillation studies in rats and mice exposed to high doses, and supported by

positive mutagenicity studies, the evidence for carcinogenicity of DE is considered to be

adequate in animals. The contribution of the various fractions of DE to the carcinogenic

response is less certain. Exposure to filtered exhaust generally failed to induce lung tumors. 

The presence of known carcinogens adsorbed to diesel particles and the demonstrated
7-126

tumorigenicity of particle extracts in a variety of injection, instillation, and skin-painting studies

indicate a carcinogenic potential for the organic fraction. Studies showing that long-term

exposure at high concentrations of poorly soluble particles (e.g., carbon black, TiO2) can also

induce tumors, on the other hand, have provided definitive evidence that the carbon core of the

diesel particle is primarily instrumental in the carcinogenic response observed in rats under

sufficient exposure conditions. The ability of DE to induce lung tumors at non-particle-overload

conditions, and the relative contribution of the particles’ core versus the particle-associated

organics (if effects do occur at low doses) remains to be determined. 

7.4. MODE OF ACTION OF DIESEL EXHAUST-INDUCED CARCINOGENESIS

As noted in Chapter 2, DE is a complex mixture that includes a vapor phase and a

particle phase. The particle phase consists of an insoluble carbon core with a large number of

organic compounds, as well as inorganic compounds such as sulfates, adsorbed to the particle

surface. Some of the semivolatile and particle-associated compounds, in particular PAHs, nitroPAHs, oxy-PAHs, and oxy-nitro-PAHs (Scheepers and Bos, 1992), are considered likely to be

carcinogenic in humans. The vapor phase also contains a large number of organic compounds,

including several known or probable carcinogens such as benzene and 1,3-butadiene. Because

exposure to the vapor phase alone, even at high concentrations, failed to induce lung cancer in

laboratory animals (Heinrich et al., 1986b), the mode-of-action discussion will focus on the

particulate matter phase. Additive or synergistic effects of vapor-phase components, however,

cannot be ruled out, as chronic inhalation bioassays involving exposure to diesel particles alone

have not been carried out. 

Several hypotheses regarding the primary mode of action of DE have been proposed. 

Initially it was generally believed that cancer was induced by particle-associated organics acting

via a genotoxic mechanism. By the late 1980s, however, studies indicated that carbon particles

virtually devoid of organics could also induce lung cancer at sufficient inhaled concentrations

(Heinrich, 1990b). This finding provided support for a hypothesis originally proposed by Vostal

(1986) that induction of lung tumors arising in rats exposed to high concentrations of DE is

related to overloading of normal lung clearance mechanisms, accumulation of particles, and cell

damage followed by regenerative cell proliferation. The action of particles is therefore mediated

by epigenetic mechanisms that can be characterized more by promotional than initiation stages

of the carcinogenic process. More recently several studies have focused upon the production of

reactive oxygen species generated from particle-associated organics, which may induce oxidative

DNA damage at exposure concentrations lower than those required to produce lung particle

overload. Because it is likely that more than one of these factors is involved in the carcinogenic

process, a key consideration is their likely relative contribution at different exposure levels. The

following discussion will therefore consider the possible relationship of the organic components

of exhaust, inflammatory responses associated with lung particle overload, reactive oxygen
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species, and physical characteristics of diesel particles to cancer induction, followed by a

hypothesized mode of action, taking into account the likely contribution of the factors discussed.

7.4.1. Potential Role of Organic Exhaust Components in Lung Cancer Induction

More than 100 carcinogenic or potentially carcinogenic components have been

specifically identified in diesel emissions, including various PAHs and nitroarenes such as 

1-nitropyrene (1-NP) and dinitropyrenes (DNPs). The majority of these compounds are

adsorbed to the carbon core of the particulate phase of the exhaust and, if desorbed, may become

available for biological processes such as metabolic activation to mutagens. Among such

compounds identified from DE are B[a]P, dibenz[a,h]anthracene, pyrene, chrysene, and

nitroarenes such as 1-NP, 1,3-DNP, 1,6-DNP, and 1,8-DNP, all of which are mutagenic,

carcinogenic, or implicated as procarcinogens or cocarcinogens (Stenback et al., 1976;

Weinstein and Troll, 1977; Thyssen et al., 1981; Pott and Stöber, 1983; Howard et al., 1983;

Hirose et al., 1984; Nesnow et al., 1984; El-Bayoumy et al., 1988). More recently Enya et al.

(1997) reported isolation of 3-nitrobenzanthrone, one of the most powerful direct-acting

mutagens known to date, from the organic extracts of DE.

Grimmer et al. (1987) separated DE particle extract into a water- and a lipid-soluble

fraction, and the latter was further separated into a PAH-free, a PAH-containing, and a polar

fraction by column chromatography. These fractions were then tested in Osborne-Mendel rats

by pulmonary implantation at doses corresponding to the composition of the original DE. The

water-soluble fraction did not induce tumors; the incidences induced by the lipid-soluble

fractions were 0% with the PAH-free fraction, 25% with the PAH and nitro-PAH- containing

fractions, and 0% with the polar fraction. The PAH and nitro-PAH-containing fraction,

comprising only 1% by weight of the total extract, was thus shown to be responsible for most, if

not all, of the carcinogenic activity.

Exposure of rats by inhalation to 2.6 mg/m3

 of an aerosol of tar-pitch condensate with no

carbon core but containing 50 :g/m3 B[a]P along with other PAHs for 10 months induced lung

tumors in 39% of the animals. The same amount of tar-pitch vapor condensed onto the surface

of carbon black particles at 2 and 6 mg/m3

 resulted in tumor rates that were roughly two times

higher (89% and 72%). Because exposure to 6 mg/m3 carbon black almost devoid of extractable

organic material induced a lung tumor rate of 18%, the combination of PAHs and particles

increases their effectiveness (Heinrich et al., 1994). Although this study shows the tumorinducing capability of PAHs resulting from combustion, it should be noted that the B[a]P

content in the coal-tar pitch was about three orders of magnitude greater than in diesel soot. 

Moreover, because organics are present on diesel particles in a thinner layer and the particles are

quite convoluted, they may be more tightly bound and less bioavailable. Nevertheless, these

studies provide evidence supporting the involvement of organic constituents of diesel particles in

the carcinogenic process.
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Exposure of humans to related combustion emissions provides some evidence for the

involvement of organic components. Mumford et al. (1989) reported greatly increased human

lung cancer mortality in Chinese communes burning so-called smoky coal, but not wood, in

unvented open-pit fires used for heating and cooking. Although particle concentrations were

similar, PAH levels were five to six times greater in the air of communes burning smoky coal. 

Coke oven emissions, containing high concentrations of PAHs but lacking an insoluble carbon

core, have also been shown to be carcinogenic in humans (Lloyd, 1971). 

 Adsorption of PAHs to a carrier particle such as hematite, CB, aluminum, or titanium

dioxide enhances their carcinogenic potency (Farrell and Davis, 1974). As already noted,

adsorption to carbon particles greatly enhanced the tumorigenicity of pyrolyzed pitch condensate

containing B[a]P and other aromatic carcinogens (Heinrich et al., 1995). The increased

effectiveness can be partly explained by more efficient transport to the deep lung. Slow release

also enhances residence time in the lungs and prevents overwhelming of activating pathways. 

As discussed in Chapter 3, free organics are likely to be rapidly absorbed into the bloodstream,

which may explain why the vapor-phase component of exhaust is relatively ineffective in the

induction of pathologic or carcinogenic effects.

Even though the organic constituents may be tightly bound to the particle surface,

significant elution is still likely because particle clearance half-times are nearly 1 year in humans

(Bohning et al., 1982). Furthermore, Gerde et al. (1991) presented a model demonstrating that

large aggregates of inert dust containing crystalline PAHs are unlikely to form at doses typical of

human exposure. This allows the particles to deposit and react with the surrounding lung

medium, without interference from other particles. Particle-associated PAHs can then be

expected to be released more rapidly from the particles. Bond et al. (1984) provided evidence

that alveolar macrophages from beagle dogs metabolized B[a]P coated on diesel particles to

proximate carcinogenic forms. Unless present on the particle surface, B[a]P is more likely to

pass directly into the bloodstream and escape activation by phagocytic cells.

The importance of DE-associated PAHs in the induction of lung cancer in humans may

be enhanced because of the possibility that the human lung is more sensitive to these compounds

than are rat lungs. Rosenkranz (1996) summarized information indicating that in humans and

mice, large proportions of lung cancers contain both mutated p53 suppressor genes and K-ras

genes. Induction of mutations in these genes by genotoxins, however, is much lower in rats than

in humans or mice.

B[a]P, although only one of many PAHs present in DE, is the one most extensively

studied. Bond et al. (1983, 1984) demonstrated metabolism of particle-associated B[a]P and

free B[a]P by alveolar macrophages (AM) and by type II alveolar cells. The respiratory tract

cytochrome P-450 systems have an even greater concentration in the nonciliated bronchiolar

cells (Boyd, 1984). It is worth noting that bronchiolar adenomas that develop following diesel

exposure have been found to resemble both Type II and nonciliated bronchiolar cells. It should
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also be noted that any metabolism of procarcinogens by these latter two cell types probably

involves the preextraction of carcinogens in the extracellular lining fluid and/or other

endocytotic cells, as they are not especially important in phagocytosis of particles. Thus,

bioavailability is an important issue in assessing the relative importance of PAHs. 

Additionally, a report by Borm et al. (1997) indicates that incubating rat lung epithelialderived cells with human polymorphonucleocytes (PMNs) (either unactivated or activated by

preexposure to phorbol myristate acetate) increases DNA adduct formation caused by exposure

to B[a]P; at 0.05 to 0.5 micromolar concentration, addition of more activated PMN in relation to

the number of lung cells further increased adduct formation in a dose-dependent manner. The

authors suggest that “an inflammatory response in the lung may increase the biologically

effective dose of PAHs, and may be relevant to data interpretation and risk assessment of PAHcontaining particles.” These data raise the possibility that DE exposure at low concentrations

may result in levels of neutrophil influx that would not necessarily be detectable via

histopathological examination as acute inflammation, but that might be effective at amplifying

any potential DE genotoxic effect.

Nitro-PAHs have also been implicated as potentially involved in diesel-exhaust-induced

lung cancer. Although the nitro-PAH fraction of diesel was less effective than PAHs in the

induction of lung cancer when implanted into the lungs of rats (Grimmer et al., 1987), in a study

of various extracts of DE particles, 30%-40% of the total mutagenicity could be attributed to a

group of six nitroarenes (Salmeen et al., 1984). Moreover, Gallagher et al. (1994) reported

results suggesting that DNA adducts are formed from nitro-PAHs present in DNA and may play

a role in the carcinogenic process. Nitroarenes, however, quantitatively represent a very small

percentage of diesel particle extract (Grimmer et al., 1987), making their role in the tumorigenic

response uncertain.

The induction of DNA adducts in humans occupationally exposed to DE indicates the

likelihood that PAHs are participating in the tumorigenic response, and that these effects can

occur at exposure levels less than those required to induce lung particle overload. Distinct

adduct patterns were found among garage workers occupationally exposed to DE when

compared with nonexposed controls (Nielsen and Autrup, 1994). Furthermore, the findings

were concordant with the adduct patterns observed in groups exposed to low concentrations of

PAHs from combustion processes. Hemminki et al. (1994) also reported significantly elevated

levels of DNA adducts in lymphocytes from garage workers with known DE exposure compared

with unexposed mechanics. Hou et al. (1995) found elevated adduct levels in bus maintenance

workers exposed to DE. Although no difference in mutant frequency was observed between the

groups, the adduct levels were significantly different (3.2 vs. 2.3 × 10-8). Nielsen et al. (1996b)

measured three biomarkers in DE-exposed bus garage workers: lymphocyte DNA adducts,

hydroxyethylvaline adducts in hemoglobin, and 1-hydroxypyrene in urine. Significantly

increased levels were reported for all three. Qu et al. (1996) detected increased adduct levels, as
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well as increases in some individual adducts, in the blood of underground coal miners exposed to

DE.

7.4.2. Role of Inflammatory Cytokines and Proteolytic Enzymes in the Induction of Lung

Cancer in Rats by Diesel Exhaust

It is well recognized that the deposition of particles in the lung can result in the efflux of

PMNs from the vascular compartment into the alveolar space compartment in addition to

expanding the AM population size. Following acute exposures, the influx of the PMNs is

transient, lasting only a few days (Adamson and Bowden, 1978; Bowden and Adamson, 1978;

Lehnert et al., 1988). During chronic exposure the numbers of PMNs lavaged from the lungs of

diesel-exposed rats generally increased with increasing exposure duration and inhaled DPM

concentration (Strom, 1984). Strom (1984) also found that PMNs in diesel-exposed lungs

remained persistently elevated for at least 4 months after cessation of exposure, a potential

mechanism that may be related to an ongoing release of phagocytized particles. Evidence in

support of this possibility was reported by Lehnert et al. (1989) in a study in which rats were

intratracheally instilled with 0.85, 1.06, or 3.6 mg of polystyrene particles. The PMNs were not

found to be abnormally abundant during the clearance of the two lower lung burdens, but they

became progressively elevated in the lungs of the animals in which alveolar-phase clearance was

inhibited. Moreover, the particle burdens in the PMNs became progressively greater over time. 

Such findings are consistent with an ongoing particle relapse process, in which particles released

by dying phagocytes are ingested by new ones.

The inflammatory response, characterized by efflux of PMNs from the vascular

compartment, is mediated by inflammatory chemokines. Driscoll et al. (1996) reported that

inhalation of high concentrations of carbon black stimulated the release of macrophage

inflammatory protein 2 (MIP-2) and monocyte chemotactic protein 1 (MCP-1). They also

reported a concomitant increase in hprt mutants. In a following study it was shown that particle

exposure stimulates production of tumor necrosis factor TNF-", an agent capable of activating

expression of several proteins that promote both adhesion of leucocytes and chemotaxis (Driscoll

et al., 1997a). In addition, alveolar macrophages also have the ability to release several other

effector molecules or cytokines that can regulate numerous functions of other lung cells,

including their rates of proliferation (Bitterman et al., 1983; Jordana et al., 1988; Driscoll et al.,

1996). 

Another characteristic of AMs and PMNs under particle overload conditions is the

release of a variety of potentially destructive hydrolytic enzymes, a process known to occur

simultaneously with the phagocytosis of particles (Sandusky et al., 1977). The essentially

continual release of such enzymes during chronic particle deposition and phagocytosis in the

lung may be detrimental to the alveolar epithelium, especially to Type I cells. Evans et al.

(1986) showed that injury to Type I cells is followed shortly thereafter by a proliferation of Type
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II cells. Type II cell hyperplasia is a common feature observed in animals that have received

high lung burdens of various types of particles, including unreactive polystyrene microspheres. 

Exaggerated proliferation as a repair or defensive response to DPM deposition may have the

effect of amplifying the likelihood of neoplastic transformation in the presence of carcinogens

beyond that which would normally occur with lower rates of proliferation, assuming an increase

in the cycling of target cells and the probability of a neoplastic-associated genomic disturbance.

7.4.3. Role of Reactive Oxygen Species in Lung Cancer Induction by Diesel Exhaust

Phagocytes from a variety of rodent species produce elevated levels of oxidant reactants

in response to challenges, with the physiochemical characteristics of a phagocytized particle

being a major factor in determining the magnitude of the oxidant-producing response. Active

oxygen species released by the macrophages and lymphatic cells can cause lipid peroxidation in

the membrane of lung epithelial cells. These lipid peroxidation products can initiate a cascade of

oxygen free radicals that progress through the cell to the nucleus, where they damage DNA. If

this damage occurs during the epithelial cell’s period of DNA synthesis, there is some

probability that the DNA will be replicated unrepaired (Lechner and Mauderly, 1994). The

generation of reactive oxygen species by both AMs and PMNs should therefore be considered as

one potential factor of what probably is a multistep process that culminates in the development

of lung tumors in response to chronic deposition of DPM.

Even though products of phagocytic oxidative metabolism, including superoxide anions,

hydrogen peroxide, and hydroxyl radicals, can kill tumor cells (Klebanoff and Clark, 1978), and

the reactive oxygen species can peroxidize lipids to produce cytotoxic metabolites such as

malonyldialdehyde, some products of oxidative metabolism apparently can also interact with

DNA to produce mutations. Cellular DNA is damaged by oxygen free radicals generated from a

variety of sources (Ames, 1983; Trotter, 1980). Along this line, Weitzman and Stossel (1981)

found that human peripheral leukocytes are mutagenic in the Ames assay. This mutagenic

activity was related to PMNs and blood monocytes; blood lymphocytes alone were not

mutagenic. These investigators speculated that the mutagenic activity of the phagocytes was a

result of their ability to produce reactive oxygen metabolites, inasmuch as blood leukocytes from

a patient with chronic granulomatous diseases, in which neutrophils have a defect in the

NADPH oxidase generating system (Klebanoff and Clark, 1978), were less effective in

producing mutations than were normal leukocytes. Of related significance, Phillips et al. (1984)

demonstrated that the incubation of Chinese hamster ovary cells with xanthine plus xanthine

oxidase (a system for enzymatically generating active oxygen species) resulted in genetic

damage hallmarked by extensive chromosomal breakage and sister chromatid exchange and

produced an increase in the frequency of thioguanidine-resistant cells (HGPRT test). Aside from

interactions of oxygen species with DNA, increasing evidence also points to an important role of
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phagocyte-derived oxidants and/or oxidant products in the metabolic activation of

procarcinogens to their ultimate carcinogenic form (Kensler et al., 1987).

Driscoll et al. (1997b) have demonstrated that exposure to doses of particles producing

significant neutrophilic inflammation are associated with increased mutation in rat alveolar type

II cells. The ability of particle-elicited macrophages and neutrophils to exert a mutagenic effect

on epithelial cells in vitro supports a role for these inflammatory cells for the in vivo mutagenic

effects of particle exposure. The inhibition of bronchoalveolar lavage cell-induced mutations by

catalase implies a role for cell-derived oxidants in this response.

Hatch and co-workers (1980) have demonstrated that interactions of guinea pig AMs

with a wide variety of particles, such as silica, metal oxide-coated fly ash,

polymethylmethacrylate beads, chrysotile asbestos, fugitive dusts, polybead carboxylate

microspheres, glass and latex beads, uncoated fly ash, and fiberglass increase the production of

reactive oxygen species. Similar findings have been reported by numerous investigators for

human, rabbit, mouse, and guinea pig AMs (Drath and Karnovsky, 1975; Allen and Loose,

1976; Beall et al., 1977; Lowrie and Aber, 1977; Miles et al., 1977; Rister and Baehner, 1977;

Hoidal et al., 1978). PMNs are also known to increase production of superoxide radicals,

hydrogen peroxide, and hydroxyl radicals in response to membrane-reactive agents and particles

(Goldstein et al., 1975; Weiss et al., 1978; Root and Metcalf, 1977). Although these responses

may occur at any concentration, they are likely to be greatly enhanced at high exposure

concentrations with slowed clearance and lung particle overload. 

Reactive oxygen species can also be generated from particle-associated organics. Sagai

et al. (1993) reported that DPM can nonenzymatically generate active oxygen species (e.g.,

superoxide [O2

-

] and hydroxyl radical [.OH] in vitro without any biologically activating systems)

such as microsomes, macrophages, hydrogen peroxide, or cysteine. Because DPM washed with

methanol could no longer produce these radicals, it was concluded that the active components

were compounds extractable with organic solvents. However, the nonenzymatic contribution to

the DPM-promoted active oxygen production was negligible compared with that generated via

an enzymatic route (Ichinose et al., 1997a). They reported that O2

-

 and .OH can be

enzymatically generated from DPM by the following process. Soot-associated quinone-like

compounds are reduced to the semiquinone radical by cytochrome P-450 reductase. These

semiquinone radicals then reduce O2 to O2

-

, and the produced superoxide reduces ferric ions to

ferrous ions, which catalyzes the homobiotic cleavage of H2O2 dismutated from O2 by

superoxide dismutase or spontaneous reactions to produce .OH. According to Kumagai et al.

(1997), while quinones are likely to be the favored substrates for this reaction, the participation

of nitroaromatics cannot be ruled out.

 One of the critical lesions to DNA bases generated by oxygen free radicals is 8-

hydroxydeoxyguanosine (8-OHdG). The accumulation of 8-OhdG as a marker of oxidative

DNA damage could be an important factor in enhancing the mutation rate leading to lung cancer
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(Ichinose et al., 1997a). For example, formation of 8-OHdG adducts leads to G:C to T:A

transversions unless repaired prior to replication. Nagashima et al. (1995) demonstrated that the

production of (8-OHdG) is induced in mouse lungs by intratracheal instillation of DPM. 

Ichinose et al. (1997b) reported further that although intratracheal instillation of DPM in mice

induced a significant increase in lung tumor incidence, comparable increases were not reported

when mice were instilled with extracted DPM (to remove organics). Lung injury was also less

in the mice instilled with extracted DPM. Moreover, increases in 8-OHdG in the mice instilled

with unextracted DPM correlated very well with increases in tumor rates. In a related study,

Ichinose et al. (1997a) intratracheally instilled small doses of DPM, 0.05, 0.1, or 0.2 mg weekly

for 3 weeks, in mice fed standard or high-fat diets either with or without $-carotene. High

dietary fat enhanced DPM-induced lung tumor incidence, whereas $-carotene, which may act as

a free radical scavenger, partially reduced the tumorigenic response. Formation of 8-OHdG was

again significantly correlated with lung tumor incidence in these studies, except at the highest

dose. Dasenbrock et al. (1996) reported that extracted DPM, intratracheally instilled into rats

(15 mg total dose) induced only marginal increases in lung tumor induction, while unextracted

DPM was considerably more effective. Although adducts were not measured in this study, it

nevertheless provides support for the likelihood that activation of organic metabolites and/or

generation of oxygen free radicals from organics are involved in the carcinogenic process. 

Additional support for the involvement of particle-associated radicals in tissue damage

was provided by the finding that pretreatment with superoxide dismutase (SOD), an antioxidant,

markedly reduced lung injury and death due to instillation of DPM. Similarly, Hirafuji et al.

(1995) found that the antioxidants catalase, deferoxamine, and MK-447 inhibited the toxic

effects of DPM on guinea pig tracheal cells and tissues in vitro.

Although the data presented supported the hypothesis that generation of reactive oxygen

species resulting from exposure to DPM is involved in the carcinogenic process, it should be

noted that 8-OHdG is efficiently repaired and that definitive proof of a causal relationship in

humans is still lacking. It is also uncertain whether superoxide or hydroxyl radicals chemically

generated by DPM alone promote 8-OHdG production in vivo and induce lung toxicity, because

SOD is extensively located in mammalian tissues. Nevertheless, demonstration that oxygen free

radicals can be generated from particle-associated organics, that their presence will induce

adduct formation and DNA damage unless repaired, that tumor induction in experimental

animals correlates with OhdG adducts, and that treatment with antioxidant limits lung damage,

provides strong support for the involvement of oxygen free radicals in the toxicologic and

carcinogenic response to DE.

7.4.4. Relationship of Physical Characteristics of Particles to Cancer Induction

The biological potential of inhaled particles is strongly influenced by surface chemistry

and character. For example, the presence of trace metal compounds such as aluminum and iron, 

as well as ionized or protonated sites, is important in this regard (Langer and Nolan, 1994). A
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major factor is specific surface area (surface area/mg). PMNs characteristically are increased

abnormally in the lung by DE exposure, but their presence in the lungs does not appear to be

excessive following the pulmonary deposition of even high lung burdens of spherical TiO2

particles in the 1-2 :m diameter range (Strom, 1984). In these studies lung tumors were

detected only at an inhaled concentration of 250 :g/m3. In a more recent study in which rats

were exposed to TiO2 in the 15-40 nm size range, inhibition of particle clearance and

tumorigenesis were induced at concentrations of 10 mg/m3 (Heinrich et al., 1995). Comparison

of several chronic inhalation studies correlating particle mass and particle surface area retained

in the lung with tumor incidence indicated that particle surface area is a much better dosimeter

than particle mass (Oberdörster and Yu, 1990; Driscoll et al., 1996). Heinrich et al. (1995) also

found that lung tumor rates increased with specific particle surface area following exposure to

DE, carbon black, or titanium dioxide, irrespective of particle type. Langer and Nolan (1994)

reported that the hemolytic potential of Min-U-Sil15, a silica flour, increased in direct

relationship to specific surface area at nominal particle diameters ranging from 0.5 to 20 :m. 

Ultrafine particles appear to be more likely to be taken up by lung epithelial cells. RiebeImre et al. (1994) reported that CB is taken up by lung epithelial cells in vitro, inducing

chromosomal damage and disruption of the cytoskeleton, lesions that closely resemble those

present in tumor cells. Johnson et al. (1993) reported that 20-nm polytetrafluoroethylene

particles are taken up by pulmonary epithelial cells as well as polymorphonuclear leucocytes,

inducing an approximate 4-, 8-, and 40-fold increase in the release of interleukin-1 alpha and

beta, inducible nitric oxide synthetase, and macrophage inflammatory protein, respectively. 

The carcinogenic potency of diesel particles, therefore, appears to be related, at least to

some extent, to their small size and convoluted shape, which results in a large specific particle

surface area. Toxicity and carcinogenicity increased with decreasing particle size into the

submicron range. For example, Heinrich et al. (1995) have shown that ultrafine titanium dioxide

(approximately 0.2 :m diameter) is much more toxic than particles with a 10-fold greater

diameter of the same composition used in an earlier study by Lee et al. (1986). This increase in

toxicity has been noted with even smaller particles. For example, carbon black particles 20 nm

in diameter were shown to be significantly more toxic than 50 nm particles (Murphy et al.,

1999). The relationship between particle size and toxicity is of concern because, as noted in

Chapter 2, approximately 50%-90% of the number of particles in DE are in the size range from

5 to 50 nm. Other than disruption of the cytoskeleton of epithelial cells, there is little

information regarding the means by which particle size influences carcinogenicity as well as

noncancer toxicity.
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7.4.5. Integrative Hypothesis for Diesel-Induced Lung Cancer

The induction of lung cancer in rats by large doses of carbon black via inhalation

(Heinrich et al., 1995; Mauderly et al., 1991; Nikula et al., 1995) or intratracheal instillation

(Kawabata et al., 1994; Pott et al., 1994; Dasenbrock et al., 1996) led to the development of the

lung particle overload hypothesis. According to this hypothesis the induction of neoplasia by

insoluble low- toxicity particles is associated with an inhibition of lung particle clearance and the

involvement of persistent alveolar epithelial hyperplasia. Driscoll (1995), Driscoll et al. (1996),

and Oberdörster and Yu (1990) outlined a proposed mechanism for the carcinogenicity of DE at

high doses that emphasizes the role of phagocytic cells. Following exposure, phagocytosis of

particles acts as a stimulant for oxidant production and inflammatory cytokine release by lung

phagocytes. It was hypothesized that at high particle exposure concentrations the quantity of

mediators released by particle-stimulated phagocytes exceeds the inflammatory defenses of the

lung (e.g., antioxidants, oxidant-metabolizing enzymes, protease inhibitors, cytokine inhibitors),

resulting in tissue injury and inflammation. With continued particle exposure and/or the

persistence of excessive particle burdens, there then develops an environment of phagocytic

activation, excessive mediator release-tissue injury and, consequently, more tissue injury,

inflammation, and tissue release. This is accompanied by cell proliferation. As discussed in a

review by Cohen and Ellwein (1991), conceptually, cell proliferation can increase the likelihood

that any oxidant-induced or spontaneously occurring genetic damage becomes fixed in a

dividing cell and is clonally expanded. The net result of chronic particle exposures sufficient to

elicit inflammation and cell proliferation in the rat lung is an increased probability that the

genetic changes necessary for neoplastic transformation will occur. A schematic of this

hypothesis has been outlined by McClellan (1997) (see Figure 7-3). In support of this

hypothesis, it was reported that concentrations of inhaled CB resulted in increased cytokine

expression and inflammatory influx of neutrophils (Oberdörster et al., 1995), increased

formation of 8-OhdG (Ichinose et al., 1997b), and increase in the yield of hprt mutants, an effect

ameliorated by treatment with antioxidants (Driscoll, 1995; Driscoll et al., 1996). Metabolism

of carcinogenic organics to active forms as well as the generation of reactive oxygen species

from certain organic species are likely to contribute to the toxic and carcinogenic process. 

At low exposure concentrations, the lung particle overload condition is not present and

the overload-induced inflammatory effects are not present. Note, however, as discussed in

Chapters 5 and 6, that other types of inflammation are present in the rat lung at exposures below

those inducing lung particle overload. However, at low exposures, activation of organic

carcinogens and generation of oxidants from the organic fraction can still be expected. Actual

contribution depends upon elution/bioavailability and the effectiveness of antioxidants. Direct

effects of ultrafine diesel particles taken up by epithelial cells are also likely to play a role.

 Although high-dose induction of cancer is logically explained by this hypothesis, particle

overload has not been clearly shown to induce lung cancer in other species. As noted in the

quantitative chapter, the relevance of the rat pulmonary response is therefore problematic. The
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rat pulmonary noncancer responses to DPM, however, have fairly clear interspecies and human

parallels. In response to poorly soluble particles such as DPM, humans and rats both develop an

alveolar macrophage response, accumulate particles in the interstitium, and show mild interstitial

fibrosis (ILSI, 2000). Other species (mice, hamsters) also have shown similar noncancer

pulmonary responses to DPM, but without accompanying cancer response. The rat response for

noncancer pulmonary histopathology, however, seems to be more pronounced compared with

humans or other species, i.e., rats appear to be more sensitive. Although many critical elements

of interspecies comparison, such as the role of airway geometry and patterns of particle

deposition, need further elucidation, this basic interspecies similarity and the possible greater

sensitivity of pulmonary response seen after longer exposures at high doses make pulmonary

histopathology in rats a valid basis for noncancer dose-response assessment.

Figure 7-3. Pathegenesis of lung disease in rats with chronic, high-level exposures to

particles.

Source: Modified from McClellan, 1997.
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7.4.6. Summary

Recent studies have shown rat lung tumor rates resulting from exposures to nearly

organic-free carbon black (CB) particles at high concentrations to be similar to those observed

for DE exposures, thus providing strong evidence for a particle overload mechanism for DEinduced pulmonary carcinogenesis in rats. Such a mechanism is also supported by the fact that

carbon particles per se cause inflammatory responses and increased epithelial cell proliferation

and that AM function may be compromised under conditions of particle overload.

The particle overload hypothesis appears sufficient to account for DE-induced lung

cancer in rats. However, there is also biological plausibility for lung cancer induction in humans

at concentrations insufficient to induce lung particle overload as seen in rats (Chapter 3, Section

3.4 and ILSI, 2000). The uptake of particles by epithelial cells at ambient or occupational

exposure levels, DNA damage resulting from oxygen-free radicals generated from organic

molecules, and the gradual in situ extraction and activation of procarcinogens associated with the

diesel particles may play a role in this response and provide a basis for the plausibility. The

slower particle clearance rates in humans (up to a year or more) may result in greater extraction

of organics. This is supported by reports of increased DNA adducts in humans occupationally

exposed to DE at concentrations unlikely to induce lung particle overload. Although these

modes of action can be expected to function at lung overload conditions also, they are likely to

be overwhelmed by inflammatory associated effects.

The evidence to date indicates that caution must be exercised in extrapolating

observations made in animal models to humans when assessing the potential for DE-induced 

pulmonary carcinogenesis. The carcinogenic response and the formation of DNA adducts in rats

exposed to DE and other particles at high exposure concentrations may be species-specific and

not DPM specific. The likelihood that different modes of action predominate at high and low

doses, such as lung particle overload, also renders high-dose extrapolation to lower ambient

concentrations uncertain.

7.5. WEIGHT-OF-EVIDENCE EVALUATION FOR POTENTIAL HUMAN

CARCINOGENICITY

A carcinogenicity weight-of-evidence evaluation is a synthesis of all pertinent

information addressing the question of how likely an agent is to be a human carcinogen. EPA’s

1986 Guidelines for Carcinogen Risk Assessment (U.S. EPA, 1986) provide a classification

system for the characterization of the overall weight of evidence for potential human

carcinogenicity based on human evidence, animal evidence, and other supportive data. This

system includes Group A: Human Carcinogen; Group B: Probable Human Carcinogen; Group

C: Possible Human Carcinogen; Group D: Not Classifiable as to Human Carcinogenicity; and

Group E: Evidence for Noncarcinogenicity to Humans. 
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As part of the guidelines development and updating process, the Agency has developed

revisions to the 1986 guidelines to take into account knowledge gained in recent years about the

carcinogenic processes. With regard to the weight-of-evidence evaluation for potential human

carcinogenicity, EPA’s 1996 Proposed Guidelines for Carcinogen Risk Assessment (U.S. EPA,

1996b) and the subsequent revised external review draft (U.S. EPA, 1999) emphasize the need

for characterizing cancer hazard, in addition to hazard identification. To express the weight of

evidence for potential human carcinogenicity, EPA’s proposed 1996 and 1999 guidelines utilize

a hazard narrative in place of the 1986 A-E classification system. In order to provide some

measure of consistency in using the 1996 and 1999 draft guidelines, standard hazard descriptors

are used as part of the hazard narrative. The revised guidelines also stress the importance of

considering the mode(s) of action information for making an inference about potential cancer

hazard beyond the range of observation, typically encountered at levels of exposure in the

general environment. “Mode of action” refers to a series of key biological events and processes

that are critical to the development of cancer. This is contrasted with “mechanisms of action,”

which is defined as a more detailed description of the complete sequence of biological events at

the molecular level that must occur to produce a carcinogenic response.

The sections to follow evaluate and weigh the individual lines of evidence and combine

all evidence to make an informed judgment about the carcinogenicity hazard of DE. A

conclusion in accordance with EPA’s 1986 classification system (U.S. EPA, 1986) is provided,

as well as a hazard narrative along with appropriate hazard descriptors according to EPA’s

Proposed Guidelines (U.S. EPA, 1996b, 1999). These sections draw on information reviewed in

Chapters 2, 3, 4, and 7. 

7.5.1. Human Evidence

Twenty-two epidemiologic studies about the carcinogenicity of workers exposed to DE 

in various occupations are reviewed in Section 7.2. Exposure to DE has typically been inferred

based on job classification within an industry. Increased lung cancer risk, although not always

statistically significant, has been observed in 8 out of 10 cohort and 10 of 12 case-control studies 

within several industries, including railroad workers, truck drivers, heavy equipment operators,

and professional drivers. The increased lung cancer relative risks generally range from 1.2 to

1.5, though a few studies show relative risks as high as 2.6. Statistically significant increases in

pooled relative risk estimates (1.33 to 1.47) from two independent meta-analyses further support

a positive relationship between DE exposure and lung cancer in a variety of DE-exposed

occupations.

The generally small increased lung cancer relative risk (less than 2) observed in the

epidemiologic studies and meta-analyses potentially weakens the evidence of causality. When a

relative risk is less than 2, if confounders (e.g., smoking, asbestos exposure) are having an effect

on the observed risk increases, it could be enough to account for the increased risk. With the
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strongest risk factor for lung cancer being smoking, there is a concern that smoking effects may

be influencing the magnitude of the observed increased relative risks. However, in studies for

which the effects of smoking were accounted for, increased relative risks for lung cancer

prevailed. Though some studies did not have information on smoking, significant confounding

by smoking is unlikely because the comparison populations were from the same socioeconomic

class. Moreover, when the meta-analysis focused only on the smoking-controlled studies, the

relative risks tended to increase. 

As evaluated in Section 7.2.4.5, application of the criteria for causality (including the

biological plausibility) leads to the conclusion that the increased risks observed in available

epidemiologic studies are consistent with a causal association between exposure to DE and

occurrence of lung cancer. Overall, the human evidence for potential carcinogenicity for DE is

judged to be strong, but less than sufficient for DE to be considered as a human carcinogen

because of exposure uncertainties (lack of historical exposure data for workers exposed to DE)

and an inability to reach a fully and direct accounting for all possible confounders.

7.5.2. Animal Evidence

DE and its organic constituents, both in the gaseous and particle phase, have been

extensively tested for carcinogenicity in many experimental studies using several animal species

and with different modes of administration.

Several well-conducted lifetime rat inhalation studies have consistently demonstrated that

chronic inhalation exposure to sufficiently high concentrations of DE produced dose-related

increases in lung tumors (benign and malignant). However, the lung cancer responses in rats

from high-concentration exposures appear to be mediated by impairment of lung clearance

mechanisms through particle overload, resulting in persistent chronic inflammation and

subsequent pathologic and neoplastic changes in the lung. Overload conditions are not expected

to occur in humans as a result of environmental or most occupational exposures to DE. Thus,

the rat lung tumor response is not considered relevant to an evaluation of the potential for a

human environmental exposure-related hazard (Section 7.4). 

The chronic inhalation studies of DE in mice showed equivocal results, whereas negative

findings were consistently seen in hamsters. The gaseous phase of DE (filtered exhaust without

particulate fraction) was found not to be carcinogenic in rats, mice, or hamsters. 

In several intratracheal instillation studies, diesel particulate matter (DPM), carbon black,

and the organic DPM extracts which were virtually devoid of PAHs, have been found to produce

increased lung tumors in rats. When directly implanted into the rat lung, DPM condensate

containing mainly four- to seven-ring PAHs induced increases in lung tumors. In several dermal

studies in mice, DPM extracts have also been shown to cause skin tumors and sarcomas in mice

following subcutaneous injection. 
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Available data and hypotheses suggest that both the carbon core and the adsorbed

organics have potential roles in inducing lung tumors in the rat, although their relative

contribution to the carcinogenic response remains to be determined.

The consistent findings of carcinogenic activity by DPM and the organic extracts of

DPM in noninhalation studies (intratracheal instillation, lung implantation, skin painting)

contribute to the overall evidence for a human hazard potential for DE. The lack of a tumor

response from traditional animal inhalation studies in other rodent species is noted. Without

understanding the mode(s) of action of DE’s carcinogenicity in humans it is difficult to assess

the meaning of nonpositive results from the mouse and hamster inhalation bioassays, and the

unusable results from the rat, while having other evidence of carcinogenic potential and

plausibility. 

It should be noted that the animal studies used DE from engines available in the 1980s,

and that present-day engine emissions have different characteristics (e.g., higher elemental

carbon content and lesser amounts of adsorbed organics on the carbon particles), with uncertain

impact on the outcome of the experimental studies. The same point can be made for the

occupational epidemiologic studies. 

7.5.3. Other Key Data

Other key data are judged to be supportive of potential carcinogenicity of DE. As

discussed in Chapter 2, DE is a complex mixture of hundreds of constituents in either gaseous

phase or particle phase. Although present in small amounts, several organic compounds in the

gaseous phase (e.g. PAHs, formaldehyde, acetaldehyde, benzene, 1,3-butadiene) are known to

exhibit mutagenic and/or carcinogenic activities. PAHs and PAH derivatives, including nitroPAHs, present on the diesel particle are also known to be mutagenic and carcinogenic. As

reviewed in Chapter 4, DPM and DPM organic extracts have been shown to induce gene

mutations in a variety of bacteria and mammalian cell test systems. In addition, DE, DPM and

DPM extracts have been found to cause chromosomal aberrations, aneuploidy, and sister

chromatid exchange in both in vivo and in vitro tests.

There is also suggestive evidence for the bioavailability of the organics from DE

(Chapter 3, Section3.5). Elevated levels of DNA adducts in lymphocytes have been reported in

workers exposed to DE. In addition, animal studies showed that some of the radiolabeled

organic compounds are eluted from DE particles following deposition in the lungs.

7.5.4. Mode of Action

As discussed in Section 7.4, the modes of action of DE-induced carcinogenicity in

humans is not understood. It can be suggested that one or multiple modes of action may be

involved. These may include: (a) mutagenic and genotoxic events (e.g., direct and indirect

effects on DNA and effects on chromosomes) by organic compounds in the gaseous and particle
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phases; (b) indirect DNA damage via the production of reactive oxygen species (ROS) induced

by particle-associated organics; and (c) particle-induced chronic inflammatory response leading

to oxidative DNA damage through the release of cytokines, ROS, etc., and an increase in cell

proliferation. 

The particulate phase or whole DE exposure, as measured by DPM, appears to have the

greatest observable contribution to the carcinogenic effects, and both the particle core and the

associated organic compounds have demonstrated carcinogenic properties, although a role for

the gas-phase components cannot be ruled out. The carcinogenic activity of DE may also be

related to the small size of the particles. Moreover, the relative contribution of the possible

mode(s) of action may be different at different exposure levels. For example, available evidence

from rat studies indicates the importance of the role of the DPM in mediating lung tumor

response at high exposure levels. Thus, the role of the adsorbed organic compounds may take on

increasing importance at lower exposure levels.

7.5.5. Characterization of Overall Weight of Evidence: EPA’s 1986 Guidelines for

Carcinogen Risk Assessment 

The totality of evidence supports the conclusion that DE is a probable human carcinogen

(Group B1). This conclusion is based on:

• “Limited”evidence (i.e., strong but less than sufficient evidence for “known

human carcinogen”), for a causal association between DE exposure and increased

risk of lung cancer among workers in different occupations;

• Evidence of carcinogenicity of DPM in rats and mice by noninhalation routes of

exposure (intratracheal instillation, lung implantation, skin painting, and

subcutaneous injection); and

• Extensive supporting data including the demonstrated mutagenic and/or

chromosomal effects of DE and its organic constituents, suggestive evidence for

the bioavailability of the organics from DE, and knowledge of the known

mutagenic and/or carcinogenic activity of a number of individual organic

compounds present on the particles (e.g,. PAH and derivatives) and in the DE

gases (e.g., benzene, 1,3-butadiene, and aldehydes). 
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7.5.6. Weight-of-Evidence Hazard Narrative: EPA’s Proposed Guidelines for Carcinogen

Risk Assessment (1996b, 1999)

The combined evidence supports the conclusion that DE is likely to be carcinogenic to

humans by inhalation and that this hazard applies to environmental exposure conditions. The

spectrum of evidence and the inferences drawn provide a substantial case for this hazard

potential. The weight of evidence of human carcinogenicity is based on:

• Strong but less than sufficient epidemiologic evidence for a causal association

between DE exposure and increased risk of lung cancer among workers in

different occupations;

• Evidence of carcinogenicity of DPM in rats and mice by noninhalation routes of

exposure (intratracheal instillation, lung implantation, skin painting, and

subcutaneous injection); and

• Extensive supporting data including the demonstrated mutagenic and/or

chromosomal effects of DE and its organic constituents, suggestive evidence for

the local and systemic bioavailability of the organics from DE, and knowledge of

the known mutagenic and/or carcinogenic activity of a number of individual

organic compounds present on the particles (e.g., PAH and derivatives) and in the

DE gases (e.g., benzene, 1,3 butadiene, and aldehydes). 

The weight-of-evidence for the lung cancer hazard is considered strong, even though

inferences and uncertainties are involved. Major uncertainties include:

• There is scientific debate about the significance of the occupational epidemiologic

evidence for a causal association between occupational exposure and increased

lung cancer risk. Some experts view the evidence as weak given that most of the

relative risk increases are <2.0, whereas others consider the evidence as more than

adequate and compelling. With relatively low relative risks (<2.0), the effects of

possible confounding exposures or other factors could play a significant role in

the risk increases. For example, there is specific concern about whether the

effects of smoking, a known cause of lung cancer, has been adequately or fully

accounted for in the key studies. In more general terms, the lack of historical

exposure data to retrospectively validate estimated DE exposure levels is also a

limitation. 

• A lack of knowledge about the mode(s) of action of DE lung cancer in humans

results in the use of a number of default risk assessment assumptions which, while

justifiable by evidence or policy choice, introduce uncertainty. To date, available

evidence for the role of DPM, both the adsorbed organics and the carbon core
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particle, has been shown only for high exposure conditions in the rat lung. The

tumor inducing mode-of-action in the rat lung appears to depend on particle

overloading of the lung and subsequent pathology. This sequence is judged not to

be relevant for assessing the hazard to humans exposed in the ambient

environment. There is virtually no information about the relative role of DE

constituents in mediating the carcinogenic effects at lower experimental exposure

levels, though hypotheses exist.

While a major uncertainty relates to the incomplete understanding of DE’s mode(s) of

action for the induction of lung cancer in humans, available data and hypotheses suggest that

DE-induced lung carcinogenicity may be mediated by mutagenic and nonmutagenic events from

both the particles and the associated organic compounds, although a role for the organics in the

gaseous phase cannot be ruled out. Given that there is some evidence for a mutagenic mode of

action, a cancer hazard is presumed at environmental exposure levels. This is consistent with

EPA’s science policy position, which assumes a nonthreshold effect for carcinogens in the

absence of definitive data demonstrating a nonlinear or threshold mechanism. It should also be

noted that there are not orders of magnitude differences between lower level occupational and

higher end environmental exposure levels, in fact, there appears to be exposure overlap. This

observation means that an extrapolation of the occupational hazard to lower environmental

exposure levels is minimal, and thus, the conclusion of an environmental hazard is supported. 

Given these circumstances, linear low-dose extrapolation also would be an appropriate default

choice in dose-response assessment that is focused on environmental levels of exposure (Chapter

8, Section 8.2). Because of insufficient information, the human carcinogenic potential of DE by

oral and dermal exposures cannot be determined.

7.6. EVALUATIONS BY OTHER ORGANIZATIONS

Several organizations have reviewed the relevant data and evaluated the potential human

carcinogenicity of DE or its particulate component. The conclusions reached by these

organizations are generally comparable to the evaluation made in this assessment using EPA’s

Carcinogen Risk Assessment Guidelines. A summary of available evaluations conducted by

other organizations is provided in Table 7-9.

7.7. CONCLUSION

It is concluded that environmental exposure to DE may present a lung cancer hazard to

humans. The particulate phase appears to have the greatest contribution to the carcinogenic

effect, both the particle core and the associated organic compounds have demonstrated 
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Table 7-9. Evaluations of DE as to human carcinogenic potential

Organization Human data Animal data Overall

evaluation

NIOSH (1988) Limited Confirmatory Potential occupational

carcinogen

IARC (1989) Limited Sufficient Probably carcinogenic to

humans

IPCS (1996) N/Aa N/A Probably carcinogenic to

humans

California EPA (1998) “Consistent evidence for

a causal association”

“Demonstrated

carcinogenicity”

DPM as a “toxic air

contaminant” (California

Air Resources Board)

NTP (2000) “Elevated lung cancer in

occupationally exposed

groups”

“Supporting animal and

mechanistic data”

DPM-Reasonably

anticipated to be a

carcinogen 

a

Not applicable.

carcinogenic properties, although a role for the DE gas-phase components cannot be ruled out. 

Using either EPA’s 1986 Guidelines for Carcinogen Risk Assessment (U.S. EPA, 1986) or the 

proposed revisions (U.S. EPA, 1996b, 1999), DE is judged to be a probable human carcinogen,

or likely to be carcinogenic to humans by inhalation, respectively. The weight of evidence for

potential human carcinogenicity for DE is considered strong, even though inferences are

involved in the overall assessment. Major uncertainties of the hazard assessment include the

following unresolved issues:

• There has been a considerable scientific debate about the significance of the

available human evidence for a causal association between occupational exposure

and increased lung cancer risk. Some experts view the evidence as weak given

that most of the relative risk increases are <2.0 whereas others consider the

evidence as more than adequate and compelling. Additionally, there is debate

about whether the effects of smoking have been adequately accounted for in key

studies, as well as the lack of historical DE exposure data to retrospectively

validate estimated DE exposure levels for the available studies.

• A lack of knowledge about the mode(s) of action for DE lung cancer in humans

results in the use of a number of default risk assessment assumptions which, while

justifiable by evidence or policy choice, introduce uncertainty. To date, available

evidence for the role of DPM, both the adsorbed organics and the carbon core

particle, has been shown only for high-exposure conditions in the rat lung. The
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tumor-inducing mode of action in the rat lung appears to depend on particle

overloading of the lung but this is judged to be not relevant for assessing the

human hazard of ambient exposures. There is virtually no information about the

relative role of DE constituents in mediating carcinogenic effects at lower

experimental or environmental exposure levels. Furthermore, there is only a

limited understanding regarding the relationship between DPM particle size and

carcinogenicity.

• DE is present in ambient PM (e.g., PM2.5 or PM10); however, a cancer hazard for

ambient PM has not been identified, as of 1996 (EPA 1996b). An updated

evaluation is expected in 2002.

Additional research is needed to address these issues to reduce the uncertainty associated with 

the potential cancer hazard of exposure to DE.

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8. DOSE-RESPONSE ASSESSMENT: CARCINOGENIC EFFECTS 

8.1. INTRODUCTION 

Dose-response assessment for carcinogenicity defines the relationship between the 

exposure/dose of an agent and the degree of carcinogenic response, and evaluates potential 

cancer risks to humans at exposure/dose levels of interest. Most often, the exposure/dose 

response of interest is well below the range of observation. As a result, dose-response 

assessment usually entails an extrapolation from the generally high exposures in studies on 

humans or laboratory animals to the exposure levels expected from human contact with the agent 

in the environment. It also includes considerations of the scientific validity of these 

extrapolations based on available knowledge about the underlying mechanisms or modes of 

carcinogenic action. The complete sequence of biological events that must occur to produce an 

adverse effect is defined as “mechanism of action.” In cases where only partial information is 

available, the term “mode of action” is used to refer to the mechanisms for key events that are 

judged to be sufficient to inform about the shape of the dose-response curve beyond the range of 

observation. 

This chapter evaluates the available exposure/dose-response data and discusses 

extrapolation issues in estimating the cancer risk of environmental exposure to diesel engine 

exhaust (DE). It concludes that available data are inadequate to confidently derive a cancer unit 

risk estimate for DE or its component, diesel particulate matter (DPM). Unit risk is one possible 

output from a dose-response assessment and is defined as the estimated upper-bound cancer risk 

at a specific exposure or dose from a continuous average lifetime exposure to a carcinogen (in 

this case, cancer risk per :g/m3

 of DPM). In lieu of unit-risk-based quantitative risk estimates, 

this chapter provides a perspective about potential risk at environmental levels. Subsequent 

sections of this chapter discuss issues related to dose-response evaluation of human cancer risk 

for DE exposure, including the target tumor site and underlying mode of action, suitable 

measures of dose, approaches to low-dose extrapolation, and appropriate data to be used in the 

dose-response analysis. This is followed by a simple analysis of the possible degree and extent 

of risk from environmental exposure to DE. 

Appendix C provides a summary review of dose-response assessments conducted to date 

by other organizations and investigators. These risk estimations were performed on the basis of 

either epidemiologic and/or experimental data. As concluded in Section 8.5, EPA finds that 

available epidemiologic data are too uncertain to confidently derive a unit risk estimate for DEinduced lung cancer, and that rat data are not suitable for estimating human risk. Nevertheless, a 

review of dose-response evaluations is provided in the appendix for historical context.

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8.2. MODE OF ACTION AND DOSE-RESPONSE APPROACH 

According to EPA’s 1996 Proposed Guidelines for Carcinogen Risk Assessment (U.S. 

EPA, 1996), dose-response assessment is performed in two steps: assessment of observed data 

to derive a point of departure, followed by extrapolation to lower exposures to the extent 

necessary. Human data are always preferred over animal data, if available, as their use obviates 

the need for extrapolation across species. Mode-of-action information is important to doseresponse evaluation, as it informs about the relevance of animal data to assessment of human 

hazard and risk, the shape of the dose-response curve at low doses, and the most appropriate 

measure(s) of exposure/dose and response. 

If there are sufficient quantitative data (humans and/or animals) and adequate 

understanding of the carcinogenic process, the preferred approach is to use a biologically based 

model for both the range of observation and extrapolation below that range. Otherwise, as a 

default procedure, a standard mathematical model is used to curve-fit the observed doseresponse data to obtain a point of departure, which is the lower 95% confidence limit of the 

lowest exposure/dose that is associated with a selected magnitude of excesses of cancer risk in 

human or animal studies. Default approaches for low-dose extrapolation should be consistent 

with the current understanding of the mode(s) of action. These include approaches that assume 

linearity or nonlinearity, or both. Linear extrapolation is used when there is insufficient 

understanding of the modes of action, or the mode-of-action information indicates that the doseresponse curve at low dose is, or is expected to be, linear. Linear extrapolation involves the 

calculation of the slope of the line drawn from the point of departure to zero exposure or dose 

(i.e., above background). When there is sufficient evidence for a nonlinear mode of action but 

not enough data to construct a biologically based model for the relationship, a margin of 

exposure is used as a default approach. A margin-of-exposure analysis compares the point of 

departure (i.e., the lowest exposure associated with some cancer risk) with the dose associated 

with the environmental exposure(s) of interest and determines whether or not the exposure 

margins are adequate. Both default approaches may be used for a tumor response if it is 

mediated by linear and nonlinear modes of action. The dose-response approaches considered in 

this chapter follow the principles of EPA’s guidelines for carcinogen risk assessment (U.S. EPA, 

1986, 1996, 1999). 

As reviewed in Chapter 7, there is substantial evidence from combined human and 

experimental evidence that DE is likely to pose a cancer hazard to humans at anticipated levels 

of environmental exposure. The critical target organ is the lung. Evidence exists for a causal 

relationship between risk for lung cancer and occupational exposure to DE in certain 

occupational workers such as railroad workers, truck drivers, heavy equipment operators, transit 

workers, etc. 

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The mechanism(s) by which DE induces lung cancer in humans has not been established. 

As discussed in Chapter 7, Section 7.4, several modes of action have been postulated on the 

basis of available mechanistic studies, including direct DNA effects (gene mutations) by the 

adsorbed organic compounds and the gaseous fractions, indirect DNA effects (e.g., chromosomal 

aberrations, sister chromatid exchange [SCE], micronuclei) by DE and DPM, oxidative DNA 

damage by DPM via release of reactive oxygen species (ROS), and particle-induced chronic 

inflammatory response leading to epithelial cell cytotoxicity and regenerative cell proliferation 

via release of cytokines, growth factors, and ROS. It is likely that a combination of modes of 

action contributes to the overall carcinogenic activity of DE, and that the relative contribution of 

the various modes of action may vary with different exposure levels. 

In the absence of a full understanding of the relative roles of DE constituents in inducing 

lung cancer in humans, and because there is some evidence for a mutagenic mode of action, 

linear low-dose extrapolation is an appropriate and prudent default choice for modeling doseresponse, and if needed, risk extrapolation from high to lower exposures (U.S. EPA, 1986, 1996, 

1999). It also should be noted that there are not order of magnitude differences between lower 

levels of occupational and higher end environmental exposure estimates. In fact, there appears 

to be exposure overlap. This means that an extrapolation of the occupational hazard to lower 

environmental exposure levels is minimal. Other individuals and organizations have used either 

linear risk extrapolation models and/or mechanistically based models to estimate cancer risk 

from environmental exposure to DE (e.g., IPCS, 1996; Cal EPA, 1998; also see Appendix C). 

These were examined but not found to provide a compelling basis for unit risk derivation 

because of database uncertainty and/or recent understandings about the suitability of the rat data 

for modeling a dose-response at environmental levels of exposure. 

For example, there are an observable series of events showing how DE causes lung 

tumors in the rat under high exposure experimental conditions. Prolonged exposure to high 

concentrations of a variety of poorly soluble particles including DPM (and its carbon core, 

devoid of organics) causes lung tumors in rats through a mode of action that involves impairment 

of lung clearance mechanisms (referred to as “lung overload response”), leading to persistent 

chronic inflammation, cell proliferation, metaplasia, and ultimately the development of lung 

tumors (ILSI, 2000). Because this mode of action is not expected to be operative at 

environmental exposure conditions, the rat lung tumor dose-response data are not considered 

suitable for predicting human risk at low environmental exposure concentrations. 

8.3. USE OF EPIDEMIOLOGIC STUDIES FOR QUANTITATIVE RISK ASSESSMENT 

As discussed above, human data are considered more appropriate than animal data in 

estimating environmental cancer risk for DE. Still, there are many uncertainties in using the 

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available epidemiologic studies that have quantitative exposure data to extrapolate the risk to the 

general population for ambient-level DE exposure. 

8.3.1. Sources of Uncertainty 

The greatest uncertainty in estimating DE-induced cancer risk from epidemiologic 

studies is the lack of knowledge of actual historical exposures for individual workers, 

particularly for the early years. Reconstruction of historic exposures is based on job exposure 

categories, industrial hygiene measurements, and assumptions made about exposure patterns. 

Another related uncertainty is the choice of markers of exposure to DE. As discussed 

above, the modes of action for DE-induced lung cancer in humans are not fully understood, and 

thus the best measure of DE exposure is unknown. Various markers of DPM (e.g., respirablesized particles, elemental carbon [EC]) have been used as dosimeters for DE. Though EC is 

more sensitive and more specific than respirable-sized particles, both are considered appropriate 

dosimeters. Related to the choice of dosimeter, having a relatively constant relationship between 

the organics (on the particle) and the particle mass would be consistent with a possible mode-ofaction role for both the particle and organic components. However, evidence of such a constant 

historic relationship remains unclear. As discussed in Chapter 2 (Section 2.5.2), it appears that 

newer model on-road engine exhaust has a lesser quantity of organics adsorbed onto the particle 

compared to older model engines. On the other hand, with regard to DE in the ambient air, 

there is significant variation in the amounts of DPM organic components emitted because of 

aged vehicles in the on-road fleet, driving patterns, and the additional presence of nonroad DE 

(e.g., marine vessels and locomotives, which generally use older technology than on-road 

engines). 

Another major uncertainty associated with many of the DE epidemiologic studies was the 

inability to fully control for smoking effects, resulting in possible errors in estimating relative 

risk increases. Changes in adjustments for smoking could result in considerable changes in 

relative risk, because smoking has a much larger effect on relative lung cancer risk than is likely 

for DE. It is difficult to effectively control for a smoking effect in a statistical analysis because 

cigarette smoke contains an array of biologically active compounds and affects multiple steps of 

carcinogenesis, thus probably making smokers more susceptible to DE-induced lung cancer than 

are nonsmokers. A statistical analysis would not be able to adjust for such an effect without 

having a detailed record of the smoking history of individuals. 

A potential uncertainty involves the use of occupational worker data to extrapolate cancer 

hazard risk to the general population and sensitive subgroups. By sex, age, and general health 

status, workers are not fully representative of the general population. For example, there is 

virtually no information to determine whether infants and children or people in poor health 

8-4
respond differently to DE exposure than do workers. Finally, the use of linear low-dose 

extrapolation may contribute to uncertainty in estimating environmental risks. 

8.3.2. Evaluation of Key Epidemiologic Studies for Potential Use in Quantitative Risk 

Estimates 

Among the available epidemiologic studies, only the railroad worker studies and the 

Teamster truck driver studies have reconstructed quantitative historical exposure data for 

possible use in deriving a unit risk estimate for DE-induced lung cancer. This section evaluates 

the strengths and limitations of these data and their suitability for dose-response analysis. 

8.3.2.1. Railroad Worker Studies 

Garshick and colleagues conducted both cohort and case-control studies of lung cancer 

mortalities among U.S. railroad workers registered with the U.S. Railroad Retirement Board 

(RRB). 

In the cohort study (Garshick et al., 1988), lung cancer mortality was ascertained through 

1980 in 55,407 railroad workers, age 40 through 64 in 1959, with at least 10 years of work in 

selected railroad jobs (39 job titles). The cohort was selected on the basis of job titles in 1959. 

Industrial hygiene evaluations and descriptions of job activities were used to classify jobs as 

exposed or unexposed to diesel emissions. Workers with recognized asbestos exposure were 

excluded from the job categories selected for study. However, a few jobs with some potential 

for asbestos exposure were included in the cohort. Each subject’s work history was determined 

from a yearly job report filed by his employer with the RRB from 1959 until death or retirement. 

The year 1959 was chosen as the effective start of DE exposure for this study because by this 

time 95% of the locomotives in the United States were diesel powered. The author reported 

statistically significant relative risk increases of 1.57 for the 40-44 year age group and 1.34 for 

the 45-49 year age group, after exclusion of workers exposed to asbestos and controls for 

smoking. Age groups were determined by their ages in 1959. 

A main strength of the cohort study is the large sample size (55,407), which allowed 

sufficient power to detect small risks. This study also permitted the exclusion of workers with 

potential past exposure to asbestos. The stability of job career paths in the cohort ensured that of 

the workers 40 to 64 years of age in 1959 classified as DE-exposed, 94% of the cases were still 

in DE-exposed jobs 20 years later. 

The main limitation of the cohort study is the lack of quantitative data on exposure to 

DE. The number of years exposed to DE was used as a surrogate for dose. The dose, based on 

duration of employment, has inaccuracies because individuals were working on both steam and 

diesel locomotives during the transition period. It should be noted that the investigators included 

8-5
only exposures after 1959; the duration of exposure prior to 1959 was not known. Other 

limitations of this study include its inability to examine the effect of years of exposure prior to 

1959 and the less-than-optimal latency period for lung cancer expression. No adjustment for 

smoking was made in this study. For a detailed description of this study please refer to Chapter 

7, Section 7.2.1.7. 

Garshick and colleagues also conducted a case-control study of railroad workers who 

died of lung cancer between 1981 and 1982 (Garshick et al., 1987). The author reported 

statistically significant increased odds ratios (with asbestos exposure accounted for) of 1.41 

(95% confidence interval [CI] = 1.06, 1.88) for the #64 year age group and 1.64 (95% CI = 1.18, 

2.29) for the #64 year age group with $20 years of exposure when compared with the 0-4 year 

exposure group. The population base for this case-control study was approximately 650,000 

active and retired male U.S. railroad workers with 10 years or more of railroad service who were 

born in 1900 or later. The cases were selected from deaths with primary lung cancer, which was 

the underlying cause of death in most cases. Each case was matched to two deceased controls 

whose dates of birth were within 2.5 years of the date of birth of the case and whose dates of 

death were within 31 days of the date of death noted in the case. Controls were selected 

randomly from workers who did not have cancer noted anywhere on their death certificates and 

who did not die of suicide or of accidental or unknown causes. A total of 1,256 cases and 2,385 

controls were selected for the study. Among younger workers, approximately 60% had exposure 

to DE, whereas among older workers, only 47% were exposed to DE. DE exposure surrogates 

for workers were similar to those in the cohort study. Asbestos exposure was categorized on the 

basis of jobs held in 1959, or on the last job held if the subject retired before 1959. Smoking 

history information was obtained from the next of kin. 

The strengths of the case-control study are consideration of confounding factors such as 

asbestos exposure and smoking; classification of DE exposures by job titles and industrial 

hygiene sampling; and exploration of interactions between smoking, asbestos exposure, and DE 

exposure. Major limitations of this study include (a) possible overestimation of cigarette 

consumption by surrogate respondents; (b) use of the Interstate Commerce Commission (ICC) 

job classification as a surrogate for exposure, which may have led to misclassification of DE 

exposure jobs with low intensity and intermittent exposure, such as railroad police and bus 

drivers, as unexposed; (c) lack of data on the contribution of unknown occupational or 

environmental exposures and passive smoking; and (d) a suboptimal latency period of 22 years, 

which may not be long enough to observe a full expression of lung cancer. For a detailed 

description of this study, please see Chapter 7, Section 7.2.2.4. 

As a part of these epidemiologic studies, Woskie et al. (1988a) conducted an industrial 

hygiene survey in the early 1990s for selected jobs in four small northern railroads. DE 

8-6
exposure was considered as a yes/no variable based on job in 1959 and estimated years of work 

in a diesel- exposed job as an index of exposure. Thirty-nine job titles were originally identified 

and were then collapsed into 13 job categories and, for some statistical analyses, into 5 

categories (clerks, signal maintainers, engineers/firers, brakers/conductors/hostlers, and shop 

workers) (Woskie et al., 1988b; Hammond et al., 1988). As discussed below, these exposure 

estimations were used by Crump et al. (1991) and by Cal EPA (1998) for their dose-response 

analyses. 

8.3.2.1.1. Potential for the data to be used for dose-response modeling. Both case-control and 

cohort studies can be used for dose-response analysis if exposure for each worker is available. 

Control of a smoking effect is important when lung cancer is the disease of interest. However, as 

discussed previously (see Section 8.3.1), one may not be able to control smoking completely in a 

dose-response analysis because of the lack of detailed records of the smoking history of 

individuals. 

Garshick et al. (1988) reported a positive relationship of relative risk and duration of 

exposure by modeling age in 1959 as a covariate in an exposure-response analysis. The positive 

relationship disappeared when attained age was used instead of age in 1959, and a negative doseresponse was observed (Crump et al., 1991). This negative dose-response continued to be 

upheld in a subsequent reanalysis (Crump, 1999). Garshick (letter from Garshick, Harvard 

Medical School, to Chao Chen, U.S. EPA, dated August 15, 1991) performed further analysis 

and reported that the relationship between years of exposure and risk of lung cancer, when 

adjusted for attained age and calendar year, was flat to negative depending upon which model 

was used. In contrast, California EPA (Cal EPA, 1998) found a positive dose-response by using 

age in 1959 but allowing for an interaction term of age and calendar year in the model. 

Crump et al. (1991) also found, and Garshick (letter from Garshick, Harvard Medical 

School, to Chao Chen, U.S. EPA, dated August 15, 1991) confirmed, that in the years 1977-1980 

the death ascertainment was not complete. About 20% to 70% of deaths were unaccounted for, 

depending upon the calendar year. Further analysis, based on job titles in 1959 and limited to 

deaths occurring through 1976, showed that the youngest workers still had the highest risk of 

dying of lung cancer. 

Extensive statistical analyses were conducted by a panel convened by HEI (1999) to 

investigate the utility of the railroad worker cohort for use in dose-response based quantitative 

risk assessment. Seven models were used to test the data, and the models were formed by 

varying a number of covariates in different combinations. The covariates included employment 

duration, cumulative exposure with and without correction for background exposure, and three 

job categories: clerks and signalmen, train workers (which include engineers/firers/brakers/ 

8-7
conductors), and shop workers. The coefficient for each covariate in a model is used to calculate 

relative risk for the associated covariate. In summary, the panel found that effects of exposure as 

defined by an exposure-response curve were either flat or negative in all of the models. In these 

analyses, relative risk for each job category was assumed to be constant with respect to age. 

Further exploration of the data showed that the relative risk for train workers was not constant. 

The panel’s statistical analyses also revealed the complexity of the data and difficulties of 

providing an adequate summary measure of effect, probably because calendar year and 

cumulative exposure are highly correlated, which makes it especially difficult to sort out their 

separate effects. The difficulty of providing an adequate measure of DE effect was further 

demonstrated in Table C.3 of the HEI report, in which negative or positive effects for cumulative 

exposure (with background exposure adjustment) were obtained depending on whether or not job 

category was included in the model. A similar review of the divergent views about the railroad 

worker dose response also can be found in Chapter 7, Section 7.2.1.7. 

The diverging results about the presence or absence of exposure response for the railroad 

worker data have become a source of continuing debate about the suitability of these data for 

estimating DE cancer risk. Although it is difficult to identify the exact reason for the diverging 

findings, the “age effect” appears to be a main source of uncertainty because age, calendar year, 

and cumulative exposure are not mutually independent. Therefore, an ideal dose-response 

analysis would account for the ages when exposure to DE began and terminated, along with the 

attained age and other covariates for each person, using age-dependent exposure concentration 

rather than cumulative exposure over lifetime as a dosimeter. This analysis would be possible 

for the railroad workers if information were available on the ages when exposure began and 

terminated. 

Given the equivocal evidence for positive exposure response, EPA has not derived a unit 

risk on the basis of the available railroad worker data. This determination should not be 

construed, however, to imply that the railroad worker studies contain no useful information on 

lung cancer risk from exposure to DE. 

8.3.2.2. Teamsters Union Trucking Industry Studies 

Steenland et al. (1990) conducted a case-control study of lung cancer deaths in the 

Central States Teamsters Union to determine the risk of lung cancer among different trucking 

industry occupations. The study found statistically significant increased odds ratios for lung 

cancer of 1.89 and 1.64, depending on years of employment. Cases comprised all deaths from 

lung cancer (1,288). The 1,452 controls comprised every sixth death from the entire file, 

excluding deaths from lung cancer, bladder cancer, and motor vehicle accidents. Individuals 

were required to have 20 years tenure in the union to be eligible to claim benefits. 

8-8
Detailed information on work history and potential confounders such as smoking, diet, 

and asbestos exposure was obtained by questionnaire. On the basis of interview data and the 

1980 census occupation and industry codes, subjects were classified either as nonexposed or as 

having held other jobs with potential DE exposure. The Teamsters Union work history file did 

not have information on whether men drove diesel or gasoline trucks, and the four principal 

occupations were long-haul drivers, short-haul or city drivers, truck mechanics, and 

dockworkers. Subjects were assigned the job category in which they had worked the longest. 

The main strengths of the study are the availability of detailed records from the 

Teamsters Union, a relatively large sample size, availability of smoking data, and measurement 

of possible asbestos exposures. Some limitations of this study include possible 

misclassifications of exposure and smoking habits, as information was provided by next-of-kin 

and lack of sufficient latency to observe lung cancer excess. 

Steenland et al. (1998) conducted an exposure-response analysis by supplementing the 

data from their earlier case-control study of lung cancer and truck drivers in the Teamsters Union 

with exposure estimates based on a 1990 industrial hygiene survey of EC exposure (Zaebst et al., 

1991), a surrogate for DE in the trucking industry. Available data indicate that exposure to 

workers in the trucking industry in 1990 averaged 2-27 :g/m3

 of EC. The 1990 exposure 

information was used by Steenland as a baseline exposure measurement to reconstruct past 

exposure (in the period of 1949 to 1983) by assuming that the exposure for workers in different 

job categories is a function of highway mileages traveled by heavy-duty vehicles and efficiency 

of the engine over the years. 

The industrial hygiene survey by Zaebst et al. (1991) of EC exposures in the trucking 

industry provided exposure estimates for each job category in 1990. The EC measurements were 

generally consistent with the epidemiologic results, in that mechanics were found to have the 

highest exposures and relative risk, followed by long-haul and short-haul drivers. Dockworkers 

who had the lowest exposures also had the lowest relative risks. 

Past exposures were estimated assuming that they were a function of (a) the number of 

heavy-duty trucks on the road, (b) the particulate emissions (grams/mile) of diesel engines over 

time, and (c) leaks from truck exhaust systems for long-haul drivers. Estimates of past exposure 

to EC (as a marker for DE exposure) were made based on the assumption that average 1990 

levels for a particular job category could be assigned to all subjects in that category, and that 

levels prior to 1990 were directly proportional to vehicle miles traveled by heavy-duty trucks 

and the estimated emission levels of diesel engines. For example, a 1975 exposure level was 

estimated by the following equation: 1975 level = 1990 level × (vehicle miles 1975/vehicle miles 

1990) × (emissions 1975/emissions 1990). Once estimates of exposure for each year of work 

history were derived for each subject, analyses were conducted by cumulative level of estimated 

8-9
carbon exposure. As with most epidemiologic studies, the endeavors to reconstruct exposures 

for epidemiologic studies are subject to uncertainties. 

8.3.2.2.1. Potential for the data to be used for dose-response modeling. Steenland et al. (1998) 

analyzed their case-control data and showed a significant positive trend in lung cancer risk with 

increasing cumulative exposure to DE. The study by Steenland et al. (1998) could provide a 

valuable database for calculating unit risk for DE emissions. The strength of this data set is that 

the smoking histories of workers were obtained to the extent possible. Smoking is especially 

important in assessing the lung cancer risk due to DE exposure because smoking has much 

higher relative risk (or odds ratio) of lung cancer than does DE. In the Steenland et al. (1998) 

study, the overall (ever-smokers vs. nonsmokers) odds ratio for developing lung cancer from 

smoking is about 7.2, which is about fivefold larger than the 1.4 relative risk increase from a 

large synthesis of many DE epidemiologic studies. It is possible that a modest change of 

information on smoking and diesel exposure might alter the conclusion and risk estimate. 

Another strength of the Teamster data for use in environmental risk assessment for the 

general population is that exposures of Teamsters are closer to ambient exposures than are those 

of railroad workers. The Teamsters Union truck driver case-control workers had cumulative 

exposure ranging from 19 to 2,440 :g/m3

-years of EC, with the median and 95th percentile, 

respectively, of 358 and 754 :g/m3

-years of EC. The median and 95th percentile of an 

environmentally equivalent exposure would be 3 and 6 :g/m3

, respectively.1 These 

environmental equivalent exposures for the Teamsters Union truck drivers are close to the 

estimated ambient exposures of <1.0 :g/m3

 to 4.0 :g/m3 (see Table 2-31). 

Steenland et al. (1998) stated that their risk assessment is exploratory because it depends 

on estimates about unknown past exposures. An EPA reanalysis of DE exposure for this study is 

underway. With a revised exposure assessment, a reevaluation of the dose-response would be 

appropriate. In a recent review, HEI (1999) concluded that the Teamsters studies may be useful 

for quantitative risk assessment, but significant further evaluation and development are needed. 

Given the ongoing reanalysis of exposure, EPA will not, at this time, use the Steenland et al. 

(1998) occupational risk assessment findings to derive equivalent environmental parameters and 

cancer unit risk estimates. 

1

The conversion assumes (a) DPM = 40% EC as reported by Steenland et al. (1998), (b) environmental 

equivalent exposure is approximately = 0.21 × occupational exposure, and (c) 70 :g/m3

-years is equivalent to a lifetime 

of exposure at 1 :g/m3

. 

8-10 
8.3.3. Conclusion 

Even though available evidence supports a conclusion that DE is likely to be a human 

lung carcinogen, the conclusion of the dose-response evaluation is that the available data are not 

sufficient to confidently estimate a cancer unit risk or unit risk range. The absence of such a 

cancer unit risk for DE limits the ability to quantify, with confidence, the potential impact of the 

hazard on exposed populations. Two significant short-term activities are underway to improve 

the epidemiologic database for dose-response assessment: (1) a follow-up study to correct the 

undercounting of mortality in the Garshick et al. (1988) railroad worker study, and (2) an EPAsponsored effort to improve the exposure estimates for Teamsters Union truck drivers (Steenland 

et al., 1998). EPA will monitor this ongoing research as well as the ongoing NCI-NIOSH study 

of nonmetal miners and the recently NCI-funded epidemiologic study of truck drivers. As these 

studies or other new data become publicly available, EPA will reconsider the merit of 

conducting additional dose-response analysis and unit risk derivation. 

8.4. PERSPECTIVES ON CANCER RISK 

Although the available data are considered inadequate to confidently estimate a cancer 

unit risk, this does not mean that there is no information about the possible cancer risk of DE. 

To examine the significance of the potential cancer hazard from environmental exposure to DE, 

all relevant epidemiologic and exposure data as well as simple risk assessment tools can be used. 

Such an approach does not produce confident estimates of cancer unit risk. Rather, these 

exploratory approaches provide a perspective on the possible magnitude of cancer risk and thus 

insight about the potential significance of the hazard. This section describes approaches and 

methods that are used to gauge the magnitude of possible cancer risk from ambient exposure to 

DE. 

The first approach involves examining the differences between the levels of occupational 

and ambient environmental exposures, while assuming that cancer risk to DE is linearly 

proportional with cumulative lifetime exposure. Risks to the general public would be low in 

comparison to occupational risk if the differences in exposure are large (e.g., about three orders 

of magnitude or more). On the other hand, if the exposure differences are smaller (i.e., within 

one to two orders of magnitude), environmental risks become more of a concern as they 

approach the range of workers’ risk observed in epidemiologic studies of past occupational 

exposures. This assumes that the carcinogenic potency of historical and current-day DE is not 

significantly different, a reasonable assumption, though not without uncertainty. 

Table 8-1 shows occupational exposure estimates for some of the occupational groups 

where increased relative risks of lung cancer (e.g., meta-analyses) have been analyzed. Given 

that no statistical properties associated with these exposure estimates are known, their use here is 

8-11
------------------------

---------------------

---------------------------------

-----------------

-----------------

Table 8-1. DPM exposure margins (ratio of occupational ÷ environmental exposures) 

Occupational group Estimated occupational 

exposure/concentration 

Environmental equivalent a 

Exposure margin 

ratio - average 

environmental 

exposure 

for 0.8 :g/m3

 of 

environmental 

exposureb 

Exposure margin 

ratio - high-end 

environmental 

exposure 

for 4.0 :g/m3

 of 

environmental 

exposureb 

Referencec 

Public transit 

workers 

15-98 :g/m3 

3-21 :g/m3 

4-26 0.8-5 

Birch and Cary, 

1996 

U.S. railroad workers 39-191 :g/m3 

8- 40 :g/m3 10-50 2-10 

Woskie et al., 1988b 

Fork Lift Operators 7-403 :g/m3 

1- 85 :g/m3 

2-106 0.37-21 Groves and Cain, 

2000d 

High end boundary 

estimate 

1200 :g/m3 

252 :g/m3 

315 63 see text discussion 

in Section 8.4 

a

 Equivalent environmental exposure = occupational exposure × 0.21, see Chapter 2, Section 2.4.3.1, some values are rounded. b

 0.8 :g/m3 = average 1990 nationwide on-road exposure estimate from HAPEM model; the companion rural estimate is 0.5 :g/m3 , and 4 :g/m3

is 

a high-end estimate. The 1996 nationwide average is 0.7 :g/m3 , the companion rural estimate is 0.2 :g/m3

; however, a high-end estimate is not

available for 1996. See Chapter 2, Sections 2.4.3.2.1 and 2.4.3.2.2. c

 See Table 2-27 for more details about Birch and Cary, Woskie. d 403 :g/m3

 is a 99 percentile estimate of EC/:g/m3, the DPM equivalent of the EC measurement can be estimated as DPM = EC x 0.62 to 1.31.

not intended to be precise or to match with specific epidemiologic data, but rather to provide a 

broad range of possible exposures in the workplace. The purpose is to identify a high- and lowend occupational exposure consistent with the occupational groups of interest and then to 

compare these to estimates of environmental exposure. Given the special interest in discerning 

the lower risk magnitude, especially to see if the lower risk might be above or below one in 1 

million, a high-end exposure estimate would be used, and as discussed later, the occupational 

exposure can be arbitrarily increased (e.g., toward an extreme value) to ensure that a low end of 

risk is identified, consistent with the reported occupational risk increases. Environmental 

exposure data from on-road vehicle emissions are based on the 1990 nationwide exposure 

estimates from the HAPEM model (see Chapter 2, Section 2.4.3.2.1). Both average (0.8 :g/m3

) 

and high-end exposures (4 :g/m3

) are used. 

In order to compare differences between occupational and environmental exposures, it is 

necessary to convert occupational exposure to continuous exposure (i.e., environmental 

equivalent exposure = 0.21 × occupational exposure, see Section 2.4.3.1). Accordingly, Table 8-

1 shows equivalent environmental levels and the ratios of occupational to environmental 

8-12
exposures, referred to as exposure margins (EMs). An EM of 1 or less indicates that 

environmental exposure is comparable to occupational exposure. An EM >1 means that the 

occupational equivalent exposure is greater than the benchmarked environmental exposure. 

Table 8-1 shows that the EMs based on the average nationwide environmental exposure 

(0.8 :g/m3

) approach three orders of magnitude. EM’s that range from 1 to 10 also can be 

viewed as showing that adjusted occupational exposures are relatively close to the ambient 

environmental levels that were chosen as benchmarks. This closeness sets the stage for less 

uncertainty in hazard and risk extrapolation from the occupational to environmental setting. It 

also raises a concern that risks to the general public could approach worker risks that were 

observed in the occupational epidemiologic studies. Table 8-1 is based upon DE exposure 

estimates from on-road sources only. With the addition of exposure from nonroad sources, the 

average nationwide-based EM ratios would be lower. For example, using 1996 exposure data 

for urban populations (Table 2-30), the exposure from on-road sources is 0.5 :g/m3

, whereas 

nonroad sources contribute 0.9 :g/m3, for a total of 1.4 :g/m3. Using this exposure value in 

place of the EM calculation of Table 8-1 (1990 estimate of 0.8) produces a nearly 43% reduction 

in the EM ratio. A comparison of EM changes for the high-end on-road plus nonroad exposure 

is not possible at the present time because the 1996 data have not yet been modeled to obtain a 

high-end value similar to the 1990 value of 4.0 :g/m3. 

A second approach to explore the possible cancer risk to the general population from 

environmental exposure to DE is more quantitative. One begins by examining the risk observed 

in DE-exposed workers and then making reasoned assumptions as to how these risks can be 

translated to environmental exposure conditions. Such an approach involves three major 

assumptions: (1) the excess lung cancer risk as shown in numerous epidemiologic studies and in 

two meta-analyses is indeed due to DE exposure, (2) the increased lung cancer risk over 

background is linearly proportional to the lifetime exposure to DE, and (3) the past DE exposure 

for workers has the same cancer-inducing potential as the current DE in ambient air. Any of 

these assumptions could have an impact on the possible environmental risk by either increasing 

or decreasing the risk estimates, including the possibility of a lower or zero risk at environmental 

levels. 

As reviewed in Chapter 7, Section 7.2, numerous epidemiologic studies have shown 

increased lung cancer risks (i.e., some are deaths, some are cases) among workers in certain 

occupations. The relative risks or odds ratios range from 1.2 to 2.6. Two independent metaanalyses show smoking-adjusted relative risk increases of 1.35 (Bhatia et al., 1997) and 1.47 

(Lipsett and Campleman, 1999). For this analysis, a relative risk of 1.4 is selected as a 

reasonable estimate. This risk means that the workers faced an extra risk 40% higher than the 

8-13
5% background lifetime lung cancer risk in the U.S. population.2 Thus, using the relationship 

[excess risk = (relative risk-1) × background risk], these DE-exposed workers would have an 

excess risk of 2% (10-2) (i.e., to develop lung cancer) due to occupational exposure to DE [(1.4 -

1) × (0.05) = 0.02]. The validity of this interpretation depends on an important assumption: that 

the observed incremental risk of 40% was due to DE exposure alone and not to other unknown 

extraneous factors. It should be noted, however, that the conclusion about the risk perspective 

would not be changed even if the incremental risk of 40% were greatly reduced (e.g., to 20%); 

the conclusion would be changed only if almost all of the incremental risk were due to nondiesel 

factors. 

Next, one would consider the EM (i.e., the EM ratio) between the occupational exposures 

and general-population environmental exposures. DPM concentrations in the workplace, used as 

a surrogate for worker exposure, are shown for three occupational worker groups in Table 8-1. 

These range from 7-403 :g/m3 (with an equivalent continuous exposure of 1-85 :g/m3

). These 

worker groups are consistent with many of those cited in the meta-analyses. For this 

exploratory risk estimation approach, we want to intentionally adopt a high-end boundary 

exposure estimate that is unlikely to be exceeded, so that a lower bounding of the risk would be 

identified. An occupational boundary exposure of 1,200 :g/m3 with its environmental 

equivalent estimated value of 252 :g/m3 has been purposefully adopted to represent a high-end 

boundary estimate. This happens to be about three times the forklift operator value shown in 

Table 8-1, and clearly a high-end estimate when Table 2-27 is examined, exclusive of the 

estimates for miners which are not included in the meta-analyses. It should be noted once again 

that none of these estimates are intended to be precise. 

Table 8-1 shows that the DPM exposure margin ratio between occupational and 

environmental exposure, using the nationwide average exposure value of 0.8 :g/m3

, may range 

from 2 to 315 when the boundary estimate is used, and range from 0.37-63 when 4.0 :g/m3 is 

used as a high-end environmental benchmark exposure. Some of these extreme values will be 

used, as discussed in the next paragraph. 

Risks from environmental exposure depend on the shape of the dose-response curve in 

the range between occupational and environmental exposures. If lifetime risks in this range were 

2

The background rate of 0.05 is an approximated lifetime risk calculated by the method of lifetable analysis 

using age-specific lung cancer mortality data and probability of death in the age group taken from the National 

Health Statistics (HRS) monographs of Vital Statistics of the U.S. (Vol. 2, Part A, 1992). Similar values based on 

two rather crude approaches also can be obtained: (1) 59.8 × 10-5 / 8.8 × 10-3 = 6.8 × 10-2 where 59.8 × 10-5 and 8.8 × 

10-3 are, respectively, the crude estimates of lung cancer deaths (including intrathoracic organs, estimated to be less 

than 105 of the total cases) and total deaths for 1996 reported in Statistical Abstract of the U.S. (Bureau of the 

Census, 1998, 118th Edition), and (2) 156,900/270,000,000 × 76 = 0.045, where 156,900 is the projected lung cancer 

deaths for the year 2000 as reported in Cancer Statistics J of the American Cancer Society, Jan/Feb 2000), 

270,000,000 is the current U.S. population, and 76 is the expected lifespan. 

8-14 
to fall proportionately with reduced exposure, and if one assumes that past occupational 

exposures were at the high-boundary end, then the risk from average environmental exposure 

could be between 10-5 and 10-4 (0.02 ÷ 315 = 6 × 10-5). On the other hand, if occupational 

exposures for different groups were lower, risks from environmental exposure would be higher. 

For example, if occupational concentrations or exposures were closer to 100 :g/m3

, a value that 

is represented in several data sets shown in Table 8-1 (with an equivalent environmental 

exposure of 21 :g/m3 and a corresponding EM of 26), then risks from environmental exposure 

would approach 10-3 (0.02 ÷ 26 = 8 × 10-4). If lifetime risks were to fall more than 

proportionately, then risks would be lower. The latter two sources of dose-response uncertainty 

(i.e., the actual occupational exposures and the shape of the dose-response curve at low 

exposures) cannot be further defined with currently available information. Use of higher 

environmental exposures (>0.8 up to 4.0 :g/m3) lowers the EM value and increases the 

estimated risk. 

The magnitude of the estimated lifetime cancer risk derived from using a very high-end 

occupational-to-environmental exposure difference, establishes a reasonable basis to believe that 

the general population could face possible risks high enough to be of concern. This does not 

directly address the segments of the population that may be at highest risk: those who are 

additionally exposed to nonroad sources of DE and children who may be more sensitive to earlylife DE exposure, if not in fact, a longer period of potential lifetime exposure. 

The analyses presented above are not intended to be precise but are useful in gauging the 

possible risk range using simple risk exploration methods. Best scientific judgment guided the 

selection of assumptions and other elements of this analysis which are deemed reasonable and 

appropriate for identifying possible risks based on the information currently available. These 

analyses provide a sense of where an upper limit (or “upper bound”) of the cancer risk may be. 

The simple methodologies used are generic and are valid for any increased relative risk data, 

however, they are not unique to the DE data. These analyses are subject to numerous 

uncertainties, particularly the lack of actual exposure information in the epidemiologic studies 

and uncertainties related to the three major underlying assumptions mentioned earlier. Any of 

these uncertainties could have an impact on the possible risk levels discussed above. Lower 

risks are possible and one cannot rule out zero risk. The risks could be zero because (a) some 

individuals within the population may have a high tolerance to exposure from DE and therefore 

not be susceptible to the cancer risk from environmental exposure, and (b) although evidence of 

this has not been seen, there could be a threshold of exposure below which there is no cancer 

risk. 

The estimated possible risk ranges (10-5 to 10-3 as well as lower and zero risk) provide a 

perspective of the potential significance of the lung cancer hazard. This perspective should not 

8-15
be viewed as a definitive quantitative characterization of risk. The development of risk estimates 

does not constitute endorsement of their validity as surrogates for cancer unit risk or their 

suitability for estimating numbers of cancer cases. Further research is needed to more accurately 

assess and characterize environmental cancer risks of DE. 

8.5. SUMMARY AND DISCUSSION 

There are numerous published quantitative dose-response assessments to estimate human 

cancer risk from exposure to DE that use epidemiologic and/or experimental animal data (see 

Appendix C). These dose-response assessments were considered but failed to present a fully 

sufficient basis for a confident derivation of a cancer unit risk. This is because of epidemiologic 

exposure-related database uncertainties and the recent understanding about the lack of relevance 

of the rat lung cancer response to environmentally exposed humans. The dose-response analysis 

in this chapter has focused on the feasibility of using the occupational epidemiologic data to 

develop dose-response relationships and extrapolating them to the presumably lower levels of 

environmental exposure. Typically, this would result in the derivation of an exposure/dosespecific cancer unit risk. In the absence of an understanding about the mode(s) of action for DEinduced lung cancer in humans, coupled with the consideration that DE contains many 

mutagenic and carcinogenic constituents, linear low-dose extrapolation is judged to be an 

appropriate default choice for dose-response analysis, should there be satisfactory data to 

perform such an analysis. 

This chapter specifically evaluated the suitability of using the railroad worker studies 

(Garshick et al., 1987, 1988) and the Teamster Union truck driver studies (Steenland et al., 1990, 

1998) for dose-response analysis. However, because of uncertainties about the exposure 

response for the railroad workers and exposure uncertainties for the truck drivers, a doseresponse-based cancer unit risk estimate for DE is not developed from these data sets at this 

time. 

In the absence of a unit risk to assess environmental cancer risk, some insight about the 

possible significance of the hazard can be drawn from the available epidemiologic data and 

exploratory risk evaluation techniques. A discussion of possible risk is presented in the form of 

a perspective on the possible magnitude of risk from environmental exposure. The perspective 

discussion notes the small exposure margins and possible overlap between some occupational 

and environmental exposure levels. This lessens the uncertainty of extrapolating the 

occupational hazard and observed risk into the environmental setting. Furthermore, based on a 

more quantitative approach involving the observed lung cancer from occupational exposures and 

the magnitude of occupational and environmental exposure differences, an exploratory risk 

analysis shows that environmental cancer risks possibly range from 10-5 to nearly 10-3, while a 

8-16
consideration of the numerous uncertainties and assumptions also indicates that lower risk is 

possible and zero risk cannot be ruled out. These risk findings are only general indicators of the 

potential significance of the lung cancer hazard and should not be viewed as a definitive 

quantitative characterization of risk or be used to estimate an exposure-specific population 

impact, i.e., estimating numbers of cancer deaths. Best scientific judgment guided the selection 

of assumptions and other elements of the analysis which are deemed reasonable and appropriate 

for identifying possible risks based on the information currently available. Further research is 

needed to more accurately assess and characterize environmental cancer risks of DE. 

This exploratory risk analysis uses data collected from engines built prior to the mid1990s. While engine exhaust emissions have been decreasing and exhaust composition has been 

changing in recent years, particularly for on-road engines, EPA believes that the insight gained 

from the risk perspective is pertinent to current on-road and nonroad engine use. New and 

cleaner engines will become available in response to environmental concerns and strict new 

regulations. As cleaner engines replace a substantial number of existing engines, the risk 

perspective will need to be reevaluated. 

REFERENCES FOR CHAPTER 8 

Bhatia, R; Lopipero, P; Smith, A. (1997) Diesel exhaust exposure and lung cancer. Epidemiology 9(1):84-91. 

Birch, ME; Cary, RA. (1996) Elemental carbon-based method for monitoring occupational exposures to particulate 

diesel exhaust. Aerosol Sci Technol 25:221-241. 

California Environmental Protection Agency (Cal EPA). (1998) Health risk assessment for DE. Public and 

Scientific Review Draft. 

Crump, KS. (1999) Lung cancer mortality and DE: reanalysis of a retrospective cohort study of U.S. railroad 

workers. Inhal Toxicol 11:1-17. 

Crump, KS; Lambert, T; Chen, C. (1991) Assessment of risk from exposure to diesel engine emissions. Clement 

International Corporation. Prepared for U.S. EPA under contract no. 68-02-4601. 

Garshick, E; Schenker, MB; Munoz, A; et al. (1987) A case-control study of lung cancer and DE exposure in 

railroad workers. Am Rev Respir Dis 135:1242-1248. 

Garshick, E; Schenker, MB; Munoz, A; et al. (1988) A retrospective cohort study of lung cancer and DE exposure in 

railroad workers. Am Rev Respir Dis 137:820-825. 

Hammond, SK; Smith, TJ; Woskie, SR; et al. (1988) Markers of exposure to diesel exhaust and cigarette smoke in 

railroad workers. Am Ind Hyg Assoc J 49:516-522. 

Health Effects Institute (HEI). (1999) Diesel emissions and lung cancer: epidemiology and quantitative risk 

assessment. A special report of the Institute’s Diesel Epidemiology Expert Panel. Cambridge, MA: Health Effects 

Institute. 

8-17
International Life Sciences Institute (ILSI). (2000) ILSI Risk Science Institute workshop: The relevance of the rat 

lung response to particle overload for human risk assessment. Gardner, DE, ed. Inhal Toxicol:12(1-2). 

International Programme on Chemical Safety: World Health Organization (IPCS). (1996) Diesel fuel and exhaust 

emissions. Environmental Health Criteria 171. Geneva: World Health Organization. 

Lipsett, M; Campleman, S. (1999) Occupational exposure to DE and lung cancer: a meta-analysis. Am J Publ Health 

89(7):1009-1017. 

Steenland, NK; Silverman, DT; Hornung, RW. (1990) Case-control study of lung cancer and truck driving in the 

Teamsters Union. Am J Publ Health 80:670-674. 

Steenland, K; Deddens, J; Stayner, L. (1998) DE and lung cancer in the trucking industry: exposure-response 

analysis and risk assessment. Am J Ind Med 34:220-228. 

U.S. Environmental Protection Agency (EPA). (1986) Guidelines for carcinogen risk assessment. Federal Register 

51(185):33992-34003. 

U.S. EPA. (1996) Proposed guidelines for carcinogen risk assessment. Federal Register 61(79):17960-18011. 

U.S. EPA. (1999) Guidelines for Carcinogen Risk Assessment. Review Draft. NCEA-F-0644, July. Risk Assessment 

Forum, Washington, DC. http://www.epa.gov/ncea/raf/cancer.htm. 

Woskie, SR; Smith, TJ; Hammond, SK; et al. (1988a) Estimation of the DE exposures of railroad workers: II. 

National and historical exposures. Am J Ind Med 13:395-404. 

Woskie, SR; Smith, TJ; Hammond, SK; et al. (1988b) Estimation of the DE exposures of railroad workers: I. Current 

exposures. Am J Ind Med 13:381-394. 

Zaebst, D; Clapp, D; Blade, L; et al. (1991) Quantitative determination of trucking industry workers’ exposures to 

diesel particles. Am Ind Hyg Assoc J 52:529-541. 

8-18
9. CHARACTERIZATION OF POTENTIAL HUMAN HEALTH EFFECTS OF 

DIESEL EXHAUST: HAZARD AND DOSE-RESPONSE ASSESSMENTS 

9.1. INTRODUCTION 

Human health risk assessment entails the evaluation of all pertinent information on the 

hazardous nature of environmental agents, on the extent of human exposure to them, and on the 

characterization of the potential risk to an exposed population. The information is typically 

organized into four components: hazard assessment, dose-response assessment, exposure 

assessment, and risk characterization. This health assessment document focuses only on the 

hazard and dose-response assessment components. The overall objectives of this diesel engine 

exhaust (DE) assessment are: 

• to identify and characterize the human health effects, i.e., hazards that may result 

from environmental exposure to DE; 

• to determine whether there is a quantitative exposure/dose-response relationship for 

DE exposure and the health effect in the range of observation, and if sufficient data 

are available (1) for noncancer effects to derive estimates of exposure that are 

believed to be without appreciable risk, and (2) for carcinogenicity to derive an 

exposure/dose-specific cancer unit risk; and 

• to summarize and integrate the findings of the assessment into a characterization and 

discuss the uncertainties. 

This chapter summarizes and integrates the key findings about the nature and 

characteristics of environmental exposure to DE (Chapter 2), health hazard information 

(Chapters 3, 4, 5, and 7), and dose-response analyses (Chapters 6 and 8) that are relevant to the 

potential human health effects associated with current-day environmental exposure to DE. It 

also discusses the uncertainties associated with the key findings, including critical data and 

knowledge gaps, key assumptions, and EPA’s science policy choices that are used to bridge the 

data and knowledge gaps. 

This assessment is the Agency’s first health assessment for DE emissions and was 

developed to provide information about the potential for DE-related environmental health 

hazards that could be used in evaluating regulatory initiatives under provisions of the Clean Air 

Act. 

9-1
9.2. PHYSICAL AND CHEMICAL COMPOSITION OF DIESEL EXHAUST 

As reviewed in Chapter 2, DE is a complex mixture of hundreds of constituents in gas or 

particle phases. Gaseous components of DE include carbon dioxide, oxygen, nitrogen, water 

vapor, carbon monoxide, nitrogen compounds, sulfur compounds, and low molecular-weight 

hydrocarbons and their derivatives. The particulate matter of DE, diesel particulate matter 

(DPM), is composed of elemental carbon (EC), adsorbed organic compounds, and small amounts 

of sulfate, nitrate, metals, trace elements, water, and unidentified compounds. Incomplete 

combustion of fuel hydrocarbons as well as engine oil and other fuel components such as sulfur 

leads to the formation of DPM. DPM is either directly emitted from diesel-powered engines 

(primary particulate matter) or is formed from the gaseous compounds emitted by a diesel engine 

(secondary particulate matter). 

DE emissions vary in chemical composition and particle sizes among different engine 

types, fuel formulations, and within engine types according to operating conditions. As the 

emissions age in the environment they also change. There also have been changes in DE 

emissions over time as a result of changes in engine technology and fuel reformulation. The 

following sections identify and characterize the key components of DE that are of concern in 

possible health outcomes, and discuss the changes in the composition of DE over time. The 

latter information is critical for making a scientific judgment about the appropriateness of using 

epidemiologic and toxicologic findings from past DE exposures to assess hazard and risk from 

current-day environmental exposures. It should be noted that available animal studies are based 

on exhaust exposures from various model year on-road diesel engines since 1980, whereas many 

of the epidemiologic studies refer to exposures from on-road and nonroad diesel engines in use 

from the 1950s through the mid-1990s. 

After emission from the tailpipe, DE undergoes dilution, chemical and physical 

transformations, and dispersion and transport into the atmosphere. After a day or so in the 

ambient environment, the exhaust mixture is said to be aging, a recognition of the atmospheric 

transformation processes, mostly focused on the organics present, though some particle size 

changes also may occur. The public health impact of DE mixture transformations is not clear, as 

some atmospheric processes alter chemical forms to a less toxic form whereas others seem to 

produce a chemical form with increased toxicity (Chapter 2, Section 2.3). 

9.2.1. Diesel Exhaust Components of Possible Health Concern 

The components of DE that are of health concern for this assessment are the particles 

(elemental carbon core), the organic compounds adsorbed to the particles, and the organic 

compounds present in the gas phase. The gaseous oxides of carbon, nitrogen, and sulfur are also 

9-2
of public health interest and the relevant health considerations for these are reviewed separately 

in EPA’s Ambient Air Quality Criteria Documents. 

9.2.1.1. Diesel Particles 

Approximately 80%-95% of DPM mass is in the fine particle size range (#2.5 

micrometers, ambient particulate matter [PM]), with a mean particle aerodynamic diameter of 

about 0.2 micrometers. Ultrafine particles (<0.1 micrometers), a smaller size component of the 

fine particles, average about 0.02 micrometers in aerodynamic diameter and account for about 

1%-20% of the DPM mass and 50%-90% of the total number of particles in DPM (Chapter 2, 

Section 2.2.8.3). 

Particle size is important for a number of reasons. Particles with aerodynamic diameters 

>2.5 micrometers (i.e., >PM2.5) tend to be retained in the upper portions of the respiratory tract, 

whereas particles with diameters <2.5 micrometers (i.e., PM2.5) are deposited in all areas, 

especially into the lower portions of the respiratory tract, including the deep lung. These fine 

and ultrafine particles have a very large surface area per gram mass (Chapter 2, Section 2.2.2), 

which enables them to adsorb and transport inorganic and organic compounds into the lung 

(Chapter 3, Section 3.3). 

DPM is part of ambient particulate matter (PM). The EPA Emissions Trends Report 

(U.S. EPA, 2000) indicates that annual nationwide emissions of diesel PM2.5 (on-road and 

nonroad) in 1998 were 77% of all mobile-source emissions in 1998, 23% of the total PM2.5 

inventory excluding natural and miscellaneous sources, and 6% if the natural and miscellaneous 

sources are included. Some geographic areas have a higher percentage of DPM in ambient PM2.5 

because of differences in the number and types of diesel engines present in the area (e.g., onroad engines as well as nonroad engines). For instance, in Manhattan, New York, on-road diesel 

PM was reported to contribute about 53% of ambient PM10 during 3 days in 1993, whereas 1996-

1997 studies in the Phoenix and Denver areas showed diesel PM to be 10%-15% of total PM2.5 

mass (Chapter 2, Section 2.4.2.1). 

DPM generally contains a high percentage of EC per unit mass, which can be used as a 

distinguishing feature from noncombustion sources of PM2.5 and, to an extent, other combustion 

sources. The DPM EC content can range from more than 50% to approximately 75% of the 

DPM mass depending on age of engine, type of engine (heavy-duty versus light-duty), fuel 

characteristics, and driving conditions. The organic carbon portion of DPM can range 

approximately from 19% to 43%, though higher and lower values also have been reported. In 

comparison, gasoline engine exhaust generally has a reverse pattern of low EC content and a 

high percentage of organics on the particle mass (see Chapter 2, Table 2-13). 

9-3
9.2.1.2. Organic Compounds 

The organic compounds present in the gases and adsorbed onto the particles include a 

wide spectrum of compounds related to unburned diesel fuel, lube oil, low levels of partial 

combustion, and pyrolysis products (see Chapter 2, Table 2-19). The organic compounds 

present in the gaseous phase include alkanes, alkenes, aldehydes, monocyclic aromatic 

compounds, and polycyclic aromatic hydrocarbons (PAHs). Among the gaseous components of 

DE, the aldehydes are particularly important because of their potential carcinogenic effects and 

because they make up an important fraction of the gaseous emissions. Formaldehyde accounts 

for a majority of the aldehyde emissions (65%-80%) from diesel engines. Acetaldehyde and 

acrolein are the next most abundant aldehydes. Other gaseous components of DE that are 

notable for their carcinogenic effects include benzene, 1,3-butadiene, PAHs, and nitro-PAHs 

(including those with #4 rings and nitro-PAHs with 2 and 3 rings). A number of the gaseous 

compounds (e.g., aldehydes, alkanes, alkenes, NOx, SOx) also are known to induce respiratory 

tract irritation given sufficient exposure (see Chapter 2, Table 2-21). Very small amounts of 

dioxins have been measured in heavy-duty diesel truck exhaust. These emissions are estimated 

to represent about 1.2% of the 1995 national dioxin inventory; dioxin emissions from nonroad 

exhausts have not been estimated (Chapter 2, Section 2.2.7.2). 

Organic substances adsorbed onto DPM include C14-35 hydrocarbon compounds, PAHs 

with $4 rings, and nitro-PAHs. PAHs and their derivatives comprise <1% of the DPM mass 

(Chapter 2, Section 2.2.8). Many of these hydrocarbons are known to have mutagenic and 

carcinogenic properties. California EPA (Cal EPA, 1998) identified at least 19 hydrocarbons 

present in DE that are known or suspected carcinogens, according to evaluations by the 

International Agency for Research on Cancer (IARC). 

9.2.2. “Fresh” Versus “Aged” Diesel Exhaust 

Newly emitted exhaust is termed “fresh,” whereas exhaust that is more than 1 or 2 days 

old is referred to as “aged” because of alterations caused by sunlight and other chemical physical 

reactions that occur in the atmosphere. The overall toxicological consequence of DE aging is 

unclear because during aging some compounds in the DE mixture are altered to more toxic forms 

while others are made less toxic. For example, PAHs present in fresh emissions may be nitrated 

by atmospheric NO3 to form nitro-PAHs, thus adding to the existing burden of toxic nitro-PAHs 

present in fresh exhaust. On the other hand, PAHs present in the gas phase can react with 

hydroxyl radicals present in the ambient air, leading to a reduced atmospheric lifetime of the 

original PAHs. Alkanes and alkenes may be converted to aldehydes, and oxides of nitrogen to 

nitric acid (Chapter 2, Section 2.3). 

9-4
9.2.3. Changes in Diesel Exhaust Emissions and Composition Over Time 

Chapter 2, with its Summary in Section 2.5, provides a full review of emissions trends 

and a complete characterization of the physical and chemical changes in DE over the years, 

taking into consideration the lack of consistent analytical and measurement techniques and the 

variability in emissions based on vehicle mix, driving cycles, engine deterioration, and other 

factors. Key findings and inferences relevant to the potential health effects of DE are discussed 

below. 

As discussed in Chapter 2, Section 2.2.3, the EPA Emissions Trend Report estimates that 

DPM10 on-road emissions decreased 27% between 1980 and 1998. DPM emission factors 

(g/mile by model year) from new on-road diesel vehicles decreased on average by a factor of six 

from the mid-1970s to the mid-1990s. These significant reductions are largely attributable to 

reductions in three PM components: EC, organic carbon, and sulfate. Limited data are available 

to assess the changes in emission rates from locomotive, marine, or other nonroad diesel sources 

over time, although it is estimated that DPM10 (#10 :m) emissions from nonroad diesel engines 

increased 17% between 1980 and 1998 (Chapter 2, Section 2.2.5). 

Because of changes in engine technology and fuel composition, the chemical 

composition of DPM from on-road vehicles has also changed over time. The percentage of 

soluble organic material associated with DPM decreased by model year from the 1980s to the 

1990s, and the proportion of EC is correspondingly higher. PAHs and nitro-PAHs are present in 

DPM from both new and older diesel engines. There are insufficient data to provide clear 

insight into the potential for changes in total PAH emissions over time or specific PAHs such as 

benzo[a]pyrene and 1-nitropyrene. It should be noted that the chemical composition of ambient 

DPM to which people are currently exposed is determined by a combination of exhaust from 

older and newer engines as well as on-road and nonroad applications of those engines. 

Consequently, the decrease in the soluble organic fraction of DPM by model year for on-road 

engines does not directly translate into a proportional decrease in DPM-associated organic 

material to which people are exposed. In addition, the contributions from high-emitting and/or 

smoking diesel engines have not been quantified (Chapter 2, Section 2.5.2). 

Because of these uncertainties, the exposure impact of changes in DPM composition over 

time cannot be confidently characterized. Available data clearly indicate that toxicologically 

significant organic components of DE (e.g., PAHs, PAH derivatives, nitro-PAHs) were present 

in DPM and DE in the 1970s and are still present. Even though a significant fraction of ambient 

DPM (possibly more than 50%) is emitted by nonroad equipment, data are currently inadequate 

to characterize changes in the chemical composition of DPM from nonroad equipment over time. 

Given the variation in fuel, engine technology, and in-use operational factors over the years, 

caution should be exercised in presuming that a decrease in the amount of emissions or emission 

9-5
constituents from older engines to present day in-use engines will result in a decrease in 

hazard/risk. In meeting the 2007 federal regulations for heavy-duty DE, the exhaust composition 

will be markedly changed with a consequence that health hazards are expected to be significantly 

reduced. 

9.3. AMBIENT CONCENTRATIONS AND EXPOSURE TO DIESEL EXHAUST 

Chapter 2, Section 2.4 provides information on occupational and environmental 

exposures to DE in order to provide a context for the hazard assessment and dose-response 

analysis. Highlights of the available information are discussed below. 

DE is emitted from a variety of sources, both on-road (e.g., motor vehicles, construction 

equipment) and nonroad (e.g., farm equipment, railway locomotives, or marine uses). 

Environmental exposure to DE is generally higher in urban areas than in rural areas. The 

concentration of DE in the air will vary within any geographic area depending on the number 

and types of diesel engines in the area and the atmospheric patterns of dispersal. Some 

important factors that determine the difference between the ambient concentration of DE and the 

resultant exposure to an individual include the proximity of a person to the DE source and 

his/her pattern of activity which, for example, includes outdoor versus indoor activities as well as 

related breathing rates. Certain occupational populations (e.g., transportation and garage 

workers, heavy-equipment operators, and others who spend considerable time outdoors) can be 

exposed to much higher levels of DE than the general population. The amount or number of 

particles delivered and retained in the lung is one factor that could contribute to differential 

human susceptibility to DPM. For example, children have smaller lungs than adults and thus 

could have a higher lung burden of inhaled DPM per lung surface area if their activity pattern 

results in a high breathing frequency. 

As DE is a complex mixture of many constituents, environmental concentration 

measurements and related human exposure is difficult to precisely measure. Even though levels 

of a number of DE constituents are generally known, it is difficult to quantify the portion that 

comes from DE since other types of emission sources also may emit the same constituent. 

Moreover, there is still incomplete knowledge about the relative roles of the relevant DE 

constituents in mediating the potential health effects of DE. Historically, exposure levels to 

DPM have been used as a surrogate marker/dosimeter for whole DE. Although uncertainty 

exists as to whether DPM mass (expressed as :g/m3

 of DPM ) is the most appropriate dosimeter 

for health effect purposes, it is considered to be a reasonable choice until more definitive 

information is available about the mechanisms or mode(s) of toxicity action of DE. 

Several techniques exist for estimating ambient concentrations of DPM, including 

chemical mass balance (CMB) source apportionment, dispersion modeling, and using EC as a 

9-6
surrogate for DPM. DPM concentrations reported from CMB and dispersion modeling studies 

in the 1980s suggest that in urban and suburban areas (Phoenix and Southern California), the 

annual average DPM concentration ranged from 2 to 13 :g/m3

. In the 1990s, annual or seasonal 

average DPM concentrations in suburban or urban locations have ranged from 1.2 to 4.5 :g/m3

. 

DPM concentrations at a major bus stop in downtown Manhattan ranged from 13.2 to 46.7 

:g/m3

 over a 3-day period in 1993. In nonurban and rural areas in the 1980s, DPM 

concentrations were reported to range from 1.4 to 5 :g/m3. In the 1990s, nonurban air basins in 

California were reported to have DPM concentrations ranging from 0.2 to 2.6 :g/m3 (Chapter 2, 

Section 2.4.2). 

A comprehensive exposure assessment is not presented in this assessment, though EPA is 

developing this in an analysis called the National Air Toxics Assessment. Interim exposure 

estimation based on EPA’s Hazardous Air Pollutant Exposure Model (HAPEM-MS3 model), for 

on-road sources only, suggests that in 1996 annual average DPM exposure in urban areas from 

only on-road engines was 0.7 :g/m3

, while in rural areas exposure was 0.3 :g/m3. Among 10 

urban areas, the 1996 annual average estimated exposure ranged from 0.5 to 1.2 :g/m3. A highend exposure estimate for 1996 is not yet available. Comparable 1990 exposure estimates for 

on-road sources ranged from 0.9 :g/m3

 for urban areas to 0.5 :g/m3 for rural areas. In 1990 

exposure estimates for the most highly exposed individuals (e.g., outdoor workers and children 

who spend large amounts of time outdoors) were estimated to be up to 4.0 :g/m3 (Chapter 2, 

Section 2.4.3.2, Table 2-29). Nationwide level nonroad emission exposures are estimated to be 

nearly double those from on-road sources. 

Estimates for occupational exposures to DE as DPM mass are generally higher than 

environmental exposures. Tables 2-27 and 2-28 provide historic exposure estimates for specific 

worker categories. For example, historic DPM exposure estimates range from 39–191 :g/m3

 for 

railroad workers, 4–748 :g/m3 for firefighters, 7–98 :g/m3 for public transit workers and airport 

crews, 5–61 :g/m3 for mechanics and dock workers, and 2–7 :g/m3 for long- and short-haul 

truck drivers. For a direct comparison of lifetime exposures between an occupational setting (8 

hours per day, 5 days per week, for 45 years) and environmental exposure (continuous exposure 

for 70 years), the occupational estimates are converted to an equivalent environmental lifetime 

estimate,1

 which is also shown in Table 2-28. A conversion of EC-based measurements to total 

DPM also may be needed for some estimates. The estimated 70-year lifetime exposures 

equivalent to those for the occupational groups discussed above range from about 0.4–157 

:g/m3

. These data indicate that some lower-end occupational estimates of DPM, when 

converted to environmental equivalents, overlap the range of estimated environmental exposures 

1

Environmental equivalent occupational exposure = 0.21 × occupational exposure. 

9-7 
to DPM from on-road emissions (national average in 1990 of 0.8 :g/m3

, with high-end 

exposures up to about 4 :g/m3

). The addition of nonroad emission exposures, when appropriate, 

makes the case for overlap of occupational and environmental exposure more prevalent. 

9.4. HAZARD CHARACTERIZATION 

The primary health effects of concern from environmental exposure to DE include 

effects associated with both acute and short-term exposures as well as chronic exposures. It is 

recognized that acute exposures may produce transitory physiological symptoms of varied 

severity as well as exacerbation of allergenic effects from acute and repeated exposures. On the 

basis of combined human and experimental evidence from chronic exposure studies, noncancer 

respiratory effects and lung cancer are observed. 

The health effects data are based on DE from a variety of engines existing before the 

mid-1990s. There have been changes in the physical and chemical composition of some DE 

emissions (on-road vehicle emissions) over time, though there is no definitive information to 

show that the emission changes portend significant toxicological changes. The mode(s) of action 

for DE toxicity in humans is not understood, and hence knowledge is lacking about the role of 

exhaust mixture components in modulating the toxicity. Taken together, these considerations 

have lead to a judgment that the hazards identified from older technology-based exposures are 

applicable to current-day exposures. As new and cleaner diesel engines replace a substantial 

number of existing engines, the general applicability of the older data will need to be 

reevaluated. 

As discussed in Chapter 6 (Section 6.4), it is also reasonable to expect that DPM, being a 

constituent of ambient fine PM (PM2.5), would contribute to the wider spectrum of effects that 

have been associated with ambient PM2.5. Community epidemiologic studies have shown that 

ambient PM2.5 exposure is statistically associated with increased mortality (especially among 

people over 65 years of age with preexisting cardiopulmonary conditions) and morbidity as 

measured by increases in hospital admissions, respiratory symptom rates, decrements in lung 

function, and exacerbation of asthma, and possibly immunological effects in the respiratory 

system. There continues to be little epidemiologic evidence for an effect of ambient exposure to 

PM on cancer rates (U.S. EPA, 1996a,b), though U.S. EPA’s Criteria Document for Ambient PM 

(expected to be released in 2002) will examine the question further. 

9.4.1. Acute and Short-Term Exposures 

The combined human and animal evidence indicates that DE can induce irritation to the 

eye, nose, and throat, as well as inflammatory responses in the airways and the lung following 

9-8
acute and/or short-term exposure to high concentrations. There also is suggestive evidence for 

possible immunological and allergenic effects of DE. 

9.4.1.1. Acute Irritation 

DE contains various respiratory irritants in the gas phase and in the particulate phase 

(e.g., SOx, NOx, aldehydes). Acute exposure to DE has been associated with irritation of the eye, 

nose, and throat, respiratory symptoms (cough and phlegm), and neurophysiological symptoms 

such as headache, lightheadedness, nausea, vomiting, and numbness or tingling of the 

extremities. Such symptoms have been described mainly in reports of individuals exposed to DE 

in the workplace, or in clinical studies in humans exposed acutely to high concentrations of DE. 

Because of the general lack of validating exposure information in the reports, the role of DE in 

causing these effects is unknown. An exposure-response relationship for these acute irritation 

and respiratory symptoms has not been demonstrated (Chapter 5, Section 5.1.1.1). 

9.4.1.2. Respiratory Effects 

Available studies of occupational exposure to DE have not provided evidence for 

significant decrements of lung function in workers over a work shift or after a short-term 

exposure period. Short-term and subchronic inhalation studies of DE in animals (rats, mice, 

hamsters, cats, guinea pigs) showed inflammation of the airways and minimal or no lung 

function changes. These effects were associated with high DE exposures (up to 6 mg/m3

). 

Exposure-response relationships have not been established for these responses (Chapter 5, 

Sections 5.1.1, 5.1.2, and 5.1.3). 

9.4.1.3. Immunological Effects 

Recent human and animal studies show that acute DE exposure episodes can exacerbate 

immunological reactions to other allergens or initiate a DE-specific allergenic reaction. The 

effects seem to be associated with both the organic and carbon core fraction of DPM. In human 

subjects, intranasal administration of DPM has resulted in measurable increases of IgE antibody 

production and increased nasal mRNA for some proinflammatory cytokines. These types of 

responses also are markers typical of asthma, though for DE, evidence has not been produced in 

humans that DE exposure results in asthma. The ability of DPM to act as an adjuvant to other 

allergens also has been demonstrated in human subjects. For example, co-exposure to DPM and 

ragweed pollen was reported to significantly enhance the IgE antibody response and cytokine 

expression relative to ragweed pollen alone. Available animal studies also demonstrate the 

potential adjuvant effects of DPM with model allergens, e.g., in mouse studies the allergenic 

reaction to ovalbumin and Japanese cedar pollen (Chapter 5, Sections 5.1.1.1.3 and 5.1.1.1.4). 

9-9
Additional research is needed to further characterize immunological effects of DE and to 

determine whether or not the immunological effects constitute a low-exposure hazard. This 

health endpoint is of considerable public health concern, given the increases in allergic 

hypersensitivity in the U.S. population (Chapter 5, Section 5.6.2.6). 

9.4.2. Chronic Exposure 

9.4.2.1. Noncancer Effects 

Available long-term and cross-sectional human studies have provided evidence for an 

association between respiratory symptoms (cough and phlegm) and DE exposure, but there was 

no consistent effect on lung function. DE has been shown in many animal studies of several 

species to induce lung injury (chronic inflammation and histopathologic changes) following 

long-term inhalation exposure. DE also has been tested in laboratory animals for other health 

effects, but no significant effects have been found. Overall, available data lead to the conclusion 

of a potential chronic respiratory hazard to humans from long-term exposure to DE. 

9.4.2.1.1. Respiratory effects. A few human studies in various diesel occupational settings 

suggest that DE exposure may impair pulmonary function, as evidenced by increases in 

respiratory symptoms and some reductions in baseline pulmonary function consistent with 

restrictive airway disease. Other studies found no particular effects. The methodologic 

limitations in available human studies limit their usefulness in drawing any firm conclusions 

about DE exposure and noncancer respiratory effects (Chapter 5, Section 5.1.1.2). 

Available studies in animals, however, provide a large body of evidence demonstrating 

that prolonged inhalation exposure to high concentrations of DE can result in pulmonary injury. 

A number of long-term laboratory studies in rats, mice, hamsters, cats, and monkeys found 

varying degrees of adverse lung pathology including focal thickening of the alveolar walls, 

replacement of Type I alveolar cells by type II cells, and fibrosis. The rat is the most sensitive 

animal species to DE-induced pulmonary toxicity (Chapter 5, Sections 5.1.3 and 5.4). 

Available mechanistic data, mainly in rats, indicates that the DPM fraction of DE is a 

controlling factor in the etiology of pulmonary toxicity, although a role for the adsorbed organic 

compounds on the particles and in the gaseous phase cannot be ruled out. The lung injury 

appears to be mediated by an invasion of alveolar macrophages that release chemotactic factors 

that attract neutrophils and additional alveolar macrophages, which in turn release mediators 

(e.g., cytokines, growth factors) and oxygen radicals. These mediators result in persistent 

inflammation, cytotoxicity, impaired phagocytosis, clearance of particles, and eventually 

deposition of collagen by activated fibroblasts. This mode of action seems to be operative for a 

variety of poorly soluble particles in addition to DPM (ILSI, 2000). Because long-term exposure 

9-10
to DE has been shown to induce exposure-dependent chronic respiratory effects in a wide range 

of animal species, and the mode of action is deemed relevant to humans, there is a sufficient 

scientific basis to support a conclusion that humans also could be at hazard for these effects 

under a chronic exposure condition. 

9.4.2.1.2. Other noncancer effects. The negative results from available studies in several 

animal species (rats, mice, hamsters, rabbits, monkeys) indicate that DE is not likely to pose a 

reproductive or developmental hazard to humans. There has been some evidence from animal 

studies indicating possible neurological and behavioral effects, as well as liver effects. These 

effects, however, are seen at exposures higher than the respiratory effects. Overall, there is 

insufficient evidence to conclude that a low-exposure hazard exists for these endpoints (Chapter 

5, Section 5.1.3.3). 

9.4.2.2. Carcinogenic Effects 

Many epidemiologic and toxicologic studies have been conducted to examine the 

potential for DE to cause or contribute to the development of cancer in humans and animals, 

respectively. In addition, there are some mode-of-action studies that seek to provide an 

improved understanding about the underlying carcinogenic process and thus contribute to a 

better understanding of the likelihood of hazard to humans. The available evidence indicates 

that chronic inhalation of DE is likely to pose a lung cancer hazard to humans. There is 

insufficient information for an evaluation of the potential cancer hazard of DE by oral and 

dermal routes of exposure. 

9.4.2.2.1. Epidemiologic studies. Twenty-two epidemiologic studies about the carcinogenicity 

of workers exposed to DE in various occupations are reviewed in Chapter 7, Section 7.2. 

Exposure to DE has typically been inferred on the basis of job classification within an industry, 

with cumulative exposure based on duration of employment or age. Increased lung cancer risk, 

although not always statistically significant, has been observed in 8 out of 10 cohort studies and 

10 of 12 case-control studies within several industries, including railroad workers, truck drivers, 

heavy-equipment operators, farm tractor operators, and professional diesel vehicle drivers. The 

increased lung cancer relative risks generally range from 1.2 to 1.5, although a few studies show 

relative risks as high as 2.6. Statistically significant increases in relative risk, 1.33 to 1.47, are 

also shown in two independent meta-analyses. The meta-analyses demonstrate the effect of 

pooling many studies and in this case show the positive relationship between DE exposure and 

lung cancer across a variety of DE-exposed occupations. 

9-11
The generally small increases in lung cancer relative risk (1.2 to 1.5, i.e., less than 2) 

observed in the epidemiologic studies potentially weakens the evidence of causality. This is 

because with a relative risk of less than 2, if confounders (e.g., smoking, asbestos exposure) were 

having an effect on the observed risk increases, then it could be enough to account for the 

increased risk. With the strongest risk factor for lung cancer being smoking, there is a lingering 

uncertainty as to whether smoking effects may be influencing the magnitude of the observed 

increased relative risks, in spite of the fact that in key studies the investigating epidemiologists 

assert that they have effectively controlled for smoking. In studies in which the effects of 

smoking were controlled, increased relative risks for lung cancer prevailed. While some studies 

did not have information on smoking, confounding by smoking is judged unlikely to be 

significant if the comparison populations were from the same socioeconomic class. 

As evaluated in Chapter 7 (Section 7.2.4.5), application of the criteria for causality 

provides a rational basis to conclude that the increased risks observed in available epidemiologic 

studies are consistent with a causal association between exposure to DE and occurrence of lung 

cancer. Overall, the human evidence for potential carcinogenicity for DE is judged to be strong 

but less than sufficient to satisfy the criteria for a “known” human carcinogen because of 

exposure uncertainties (lack of historical exposure of workers to DE) and residual uncertainty as 

to whether all confounders have been satisfactorily accounted for. The epidemiologic evidence 

is inconclusive for DE being associated with other forms of cancer. 

9.4.2.2.2. Animal studies. DE and its organic constituents, both in the gaseous and particle 

phase, have been extensively tested for carcinogenicity in many experimental studies using 

several animal species and with different modes of administration. Several well-conducted 

studies have consistently demonstrated that chronic inhalation exposure to sufficiently high 

concentrations of DE produced dose-related increases in lung tumors (benign and malignant) in 

rats. In contrast, chronic inhalation studies of DE in mice showed equivocal results, whereas 

negative findings were consistently seen in hamsters. The gaseous phase of DE (filtered exhaust 

without particulate fraction), was found not to be carcinogenic in rats, mice, or hamsters. The 

available data indicate that among the traditional animal test species, the rat is the most sensitive 

species to DE. As reviewed in Chapter 7, Section 7.4, the lung cancer response in rats from 

high-concentration exposures to DE appears to be mediated by impairment of lung clearance 

mechanisms owing to particle overload, resulting in persistent chronic inflammation and 

subsequent pathologic and neoplastic changes (i.e., cancer) in the rat lung. Particle overload 

conditions in the human lung are not expected to occur as a result of environmental or most 

occupational exposures to DE. Thus, the increased lung tumors in the rat are not an appropriate 

9-12
basis from which to judge the potential for a human hazard or perform a dose-response analysis 

to derive a cancer unit risk for humans. 

In several intratracheal instillation studies, DPM, DPM organic extracts, and carbon 

black, which is virtually devoid of PAHs, have been found to produce increased lung tumors in 

rats. When directly implanted into the rat lung, DPM condensate containing mainly four- to 

seven-ring PAHs induced increases in lung tumors. DPM extracts also have been shown to 

cause skin tumors in several dermal studies in mice and sarcomas in mice following 

subcutaneous injection. Overall there are consistent findings of carcinogenic activity by the 

organic extracts of DPM in noninhalation studies (i.e., intratracheal instillation, lung 

implantation, skin painting). This contributes to the evidence for a potential human hazard. 

9.4.2.2.3. Other key data. While not as extensive as the human and animal carcinogenicity data, 

other types of data are judged to be supportive of DE’s potential carcinogenicity in humans. As 

mentioned previously, DE is a complex mixture of hundreds of constituents in either the gaseous 

phase or particle phase. Although present in small amounts, several organic compounds in the 

gaseous phase (e.g., PAHs, formaldehyde, acetaldehyde, benzene, 1,3-butadiene) are known to 

exhibit mutagenic and/or carcinogenic activities. PAHs and PAH derivatives, including nitroPAHs present on the diesel particle, also are known to be mutagenic and carcinogenic. As 

reviewed in Chapter 4, DPM and DPM organic extracts have been shown to induce gene 

mutations in a variety of high-dose bacteria and mammalian cell test systems. DPM and DPM 

organic extracts also have been shown to induce chromosomal aberrations, aneuploidy, and sister 

chromatid exchange in both rodent and human in vitro tests. 

There also is suggestive evidence for the bioavailability of organic compounds from the 

DE mixture. Elevated levels of DNA adducts in lymphocytes have been reported in workers 

exposed to DE. In addition, inhalation studies of animals using radio-labeled materials indicate 

some elution of organic compounds from DPM after deposition in the lung as measured by their 

presence in biological tissue and fluids (Chapter 3, Section 3.5). 

9.4.2.2.4. Modes of carcinogenic action. The term “mode of action” refers to a series of key 

biological events and processes that are critical to the development of cancer. As discussed in 

Section 9.4.2.2.2, there is an understanding of the modes of action for the DE-induced lung 

tumors in the rat. However, the modes of action by which DE increases lung cancer risks in 

humans are unknown, and the evidence in rats is not applicable to environmentally exposed 

humans. 

As discussed in Chapter 7, Section 7.4, it is hypothesized that multiple modes of action 

could be involved in mediating the carcinogenic effect of DE. These modes of action may 

9-13
include: (a) mutagenic events (e.g., direct effects on DNA and effects on chromosomes) by 

organic compounds in the gas and particle phase, (b) indirect DNA damage via the production of 

reactive oxygen species (ROS) induced by particle-associated organics, and (c) particle-induced 

chronic inflammatory response leading to oxidative DNA damage through the release of 

cytokines, ROS, etc., and an increase in cell proliferation. 

In rats, the particulate phase appears to have the greatest contribution to the carcinogenic 

effects, and both the particle core and the associated organic compounds have demonstrated 

carcinogenic properties in one or more test systems. While limited rat data and comparative 

potency calculations suggest that gas-phase components are not the primary factors in the 

development of lung cancer, a contributory role of the recognized toxic components cannot be 

dismissed. The relative importance of the various modes of action may be different at different 

exposure levels. Evidence from rat studies indicates the importance of the EC component of the 

DE particle in mediating lung tumor response at high exposure levels. As for the particleabsorbed organics, their inherent toxicity potential gives rise to a hypothesis that they may play a 

role in low or high exposures to DE. 

9.4.2.2.5. Weight-of-evidence evaluation. Chapter 7, Section 7.5, provides an evaluation of the 

overall weight of evidence for human carcinogenicity in accordance with EPA’s Guidelines for 

Carcinogen Risk Assessment (U.S. EPA, 1986, 1996a, 1999). The totality of evidence supports 

the conclusion that DE is a probable human carcinogen (Group B1) by inhalation exposure 

using the criteria in the 1986 guidelines. A cancer hazard narrative for DE also is provided in 

accordance with the revised draft 1996/1999 guidelines, which concludes that DE is likely to be 

carcinogenic to humans by inhalation from environmental exposures. The common bases for 

either conclusion include the following lines of evidence: 

• strong but less than sufficient evidence for a causal association between DE exposure 

and increased lung cancer risk among workers in varied occupations where exposure 

to DE occurs; 

• extensive supporting data including the demonstrated mutagenic and/or chromosomal 

effects of DE and its organic constituents, and knowledge of the known mutagenic 

and/or carcinogenic activity of a number of individual organic compounds present 

with particles and in the DE gases; 

• evidence of carcinogenicity of DPM and the associated organic compounds in rats 

and mice by noninhalation routes of exposure; and 

• suggestive evidence for the bioavailability of DE organics from DE in humans and 

animals. 

9-14
A notable uncertainty in the characterization of the potential cancer hazard of DE at low 

levels of environmental exposure is the incomplete understanding of about its mode(s) of action 

for the induction of lung cancer in humans. Available data suggest that DE-induced lung 

carcinogenicity may be mediated by mutagenic and nonmutagenic events by both the particles 

and the associated organic compounds, and that a role for the organics in the gaseous phase 

cannot be ruled out. Given that there is some evidence for a mutagenic mode of action, a cancer 

hazard is presumed possible at environmental levels of exposure. This is consistent with EPA’s 

science policy position that assumes a nonthreshold effect for carcinogens with a mutagenic 

component in the absence of definitive data demonstrating a threshold or nonlinear mechanism. 

Additional support for an environmental hazard also comes from a comparison of the estimated 

environmental levels to the estimated occupational exposure levels where risk is seen. Given 

that there is only a minimal margin between environmental and occupational exposure ranges, if 

not an overlap, the extrapolation of observable hazard from the occupational setting to the 

ambient environment is relatively confident. Because of insufficient information, the human 

carcinogenic potential of DE by oral and dermal exposures cannot be determined. 

Several organizations previously have reviewed available relevant data and evaluated the 

potential human carcinogenicity of DE or the particulate component (DPM) of DE. Similar 

conclusions were reached by various organizations (see Table 7-9). For example, some 

organizations have concluded that DE is probably carcinogenic to humans (IARC, 1989; IPCS, 

1996), or reasonably is anticipated to be a carcinogen (NTP, 2000). 

Overall, the weight of evidence for potential human carcinogenicity for DE is considered 

strong, even though inferences are involved. Uncertainties are present, however, and include the 

following unresolved issues. 

First, there has been a considerable scientific debate about the significance of the 

available human evidence for a causal association between occupational exposure and increased 

lung cancer risk. Some experts view the evidence as weak and/or inconsistent while others 

consider the evidence compelling. This is due to a lack of consensus about whether the effects 

of smoking and other potential confounders have been adequately accounted for in key studies, 

and the lack of agreed-upon historical DE exposure data for the available studies. 

Second, while the mode of action for DE-induced lung tumors in rats from high exposure 

is sufficiently understood, the mode of action for the DE lung cancer risk in humans is not 

known. To date, available evidence for the role of both the adsorbed organics and the carbon 

core particle has only been shown under high-exposure experimental animal test conditions. 

There is virtually no information about the relative role of DE constituents in mediating 

carcinogenic effects at the low-exposure levels. 

9-15
Additional research is needed to address these issues to reduce the uncertainty associated 

with the potential cancer hazard of exposure to DE. 

The relevance of this hazard characterization to current ambient DE exposures hinges on 

recognizing that the health effects data are derived from engine technologies and fuels that 

existed in the past, and that some changes in the DE exhaust mixture have occurred and can be 

expected in the future. Although decreases in amount and changes in composition of DE 

emissions have occurred over time for on-road engines, a change is slow to manifest in the 

environment because, for example, vehicular fleet turnover is slow and the change is slow to 

dominate across an engine fleet. Available studies have not focused on the potential 

toxicological effect of the emission changes. There is no compelling evidence at present to show 

that past and present exhaust characteristics are so toxicologically dissimilar as to render the 

current use of the assessment’s findings outdated. 

9.5. DOSE-RESPONSE ASSESSMENT 

In assessments of estimated human health risks, human data from environmental 

exposures are always preferred over animal data, if available, as their use obviates the need for 

extrapolation across species, e.g., from animals to humans. However, for most environmental 

agents, available health effects information is generally limited to occupational exposures in 

studies of humans (e.g., workers) or high experimental exposures to laboratory animals. For the 

agents with high-exposure data compared to environmental exposure levels of interest, doseresponse assessment is performed in two steps: assessment of data in the observable range to 

derive a point of departure (which usually is the lowest exposure or dose that induces some, 

minimal, or no apparent effects), followed by extrapolation to lower exposures to the extent 

necessary. Extrapolation to low exposures is ideally based on the understanding of mode(s) of 

toxic action of the agent which allows the development and use of a mode of action specific 

exposure-response model. In the absence of sufficient data, default methods and models are 

used to extrapolate to the lower exposure levels. 

For DE, there is sufficient evidence to conclude that acute or short-term inhalation 

exposure at relatively high levels can cause irritant effects to the eye, nose, and throat, 

respiratory symptoms, and neurophysiological symptoms such as headache, nausea, etc., 

however, no quantitative data are available to derive an estimate of human exposure that is not 

likely to elicit irritant and inflammatory effects in humans. 

There is also sufficient evidence to support the conclusion that DE has the potential to 

cause cancer and noncancer effects of the lung from long-term inhalation exposure. Chapters 6 

and 8 provide dose-response analyses related to the noncancer and cancer hazards to humans, 

respectively, from lifetime exposure to DE. A dose-response analysis to estimate the expected 

9-16
response at environmental exposure levels has less uncertainty the closer the animal test or 

estimated human epidemiologic-related exposures are to the environmental levels of interest. 

With increasing exposure margins (EM), and thus a greater range of extrapolation, the 

uncertainty about the shape of the dose-response curve in the region of low-dose extrapolation 

increases and the possibility of a zero risk cannot be ruled out. 

9.5.1. Evaluation of Risk for Noncancer Health Effects 

As discussed previously (Section 9.4.2.1), the evidence for potential chronic noncancer 

health effects of DE is based primarily on findings from chronic animal inhalation studies 

showing a spectrum of dose-dependent chronic inflammation and histopathological changes in 

the lung in several animal species including rats, mice, hamsters, and monkeys. A limited 

number of epidemiologic investigations of workers exposed to DE have not provided 

consistently clear evidence of significant chronic respiratory effects associated with DE 

exposure. On the other hand, the relatively large epidemiologic database for ambient PM shows 

a clear relationship between respiratory effects and ambient fine PM that is partially composed 

of DPM. The specific role of DPM or any other source-related constituent of ambient PM in 

causing the observed respiratory effects has not been defined. 

The approach taken in this assessment to estimate a level of DE in the air to which 

humans may be exposed throughout their lifetime without an appreciable risk of deleterious 

effects is to derive a reference concentration (RfC) for DE based on the consistent data for 

respiratory inflammation in the rat studies. This approach assumes that humans would respond 

to DE similarly to the tested animals under similar exposure conditions. An uncertainty of this 

approach stems from the circumstance that animal studies have used high DE exposures, and the 

animal results must be translated to humans as well as to lower exposure levels since the 

potential chronic health effects of DE in humans at environmental exposure levels cannot be 

ascertained from the available DE human data. 

It also is relevant to recognize that DPM is a component of ambient fine PM and that 

there is a relative wealth of human effects data for ambient PM showing a similarity of certain 

adverse health effects for DPM and ambient fine PM. This allows one to reasonably expect that 

the PM2.5 National Ambient Air Quality Standard (NAAQS) would provide a measure of 

protection from DPM, reflecting DPM’s current and approximate proportion to PM2.5. Ambient 

PM2.5 has been shown to be statistically associated with increased mortality (especially among 

people over 65 years of age with preexisting cardiopulmonary conditions) and morbidity, as 

measured by increases in hospital admissions, respiratory symptom rates, and decrements in lung 

function with both long- and short-term changes in ambient PM2.5 concentrations. 

9-17
9.5.1.1. Chronic Reference Concentrations for Diesel Exhaust 

An inhalation Reference Concentration (RfC) is based upon long-term data, i.e., chronic 

exposure, and can be derived from either human or animal data. An RfC is correctly defined as 

“an estimate of a continuous inhalation exposure to the human population, including sensitive 

subgroups, with uncertainty spanning perhaps an order of magnitude, that is likely to be without 

appreciable risks of deleterious noncancer effects during a lifetime.” The RfC methodology 

assumes that there is an exposure threshold below which effects will not occur. The RfC is not a 

bright line; rather, as the long-term human exposure increases above the RfC, the margin of 

protection decreases. 

With the absence of DE exposure-response data in humans, this assessment derives an 

RfC for DE based on dose-response data from four chronic inhalation studies in rats (Mauderly 

et al., 1987; Ishinishi et al., 1988; Heinrich et al., 1995; Nikula et al., 1995). All of these studies 

used DPM (expressed as :g/m3

) as a measure of DE exposure. The pulmonary effects, including 

inflamation and histopathologic lesions, were considered to be the critical noncancer effects. As 

shown in Table 6-2, the no-observable-adverse-effects levels (NOAELs), the lowest-observableadverse-effects levels (LOAELs), and the adverse effects levels (AELs) for lung inflammation 

and histopathologic changes were identified for the first three studies. For the Nikula et al. 

study, lower 95% confidence estimates of the concentrations of DPM associated with a 10% 

incidence (BMCL10) of chronic pulmonary inflammation and fibrosis were derived since 

NOAEL’s were not observed. For all four studies, human equivalent concentrations (HECs) 

corresponding to the animal NOAEL, LOAEL, AEL, and BMCL10 were then computed using a 

dosimetry model developed by Yu et al. (1991) as described in Chapter 6, Section 6.5.2, and 

Appendix A. The dosimetry model accounts for species differences (rat to human) in respiratory 

exchange rates, particle deposition efficiency, differences in particle clearance rates at high and 

low doses, and transport of particles to lymph nodes. The purpose is to identify the highest HEC 

value with no apparent effect, i.e., NOAELHEC. 

The highest NOAELHEC associated with no apparent effect is 144 :g/m3

 from the 

Ishinishi et al. (1988) study; this then becomes the point of departure for deriving an RfC. To 

obtain the RfC, this point of departure was divided by two types of uncertainty factors (UF): a 

factor of 3 recognizes interspecies (i.e., rat to human) extrapolation uncertainties, and a factor of 

10 reflects uncertainties about interindividual human variation in sensitivity. An evaluation of 

the interspecies extrapolation issues for dosimeteric and pharmacodynamic equivalence between 

rats and humans showed that although some adjustments could be accounted for, there remained 

a residual uncertainty, and thus an uncertainty of 3 out of a possible factor of 10 is used. In the 

absence of mechanistic or specific data, a default value of 10 is considered appropriate to 

account for possible human variability in sensitivity, particularly for children and people with 

9-18
preexisting respiratory conditions. The spectrum of the population that may have a greater 

susceptibility cannot be better characterized until there is additional knowledge about mode of 

action. The resulting RfC for DE is 5 :g/m3

 of DPM. 

Overall, the confidence level in the RfC is considered medium in a range of low to high 

confidence. A principal uncertainty of the RfC analysis is the reliance on animal data to predict 

human risk. The critical effects, chronic inflammation, and pathologic changes, which are well 

characterized in four animal species, are considered relevant to humans. Collective evidence for 

all poorly soluble particles, including DPM, indicates that the rat is the most sensitive laboratory 

animal species tested to date. Although in general the rat is thought to be more sensitive to lung 

injury than humans to poorly soluble particles (ILSI, 2000), it is not clear that this is the case 

specifically for diesel. We must recall that DE is a mixture of not just carbon particles but also 

various organics, both on the particles and in gases. In addition, differences in particle 

deposition, retention, and clearance mechanisms have been largely but perhaps not completely 

addressed by the use of the rat-to-human dosimetry model. The use of rat data is not likely to 

grossly underestimate the human risk for pulmonary noncancer health effects. In terms of the 

potential for other critical health effects, there is growing evidence suggesting that DE can 

exacerbate allergenic effects to known sensitizers, while also evoking production of biochemical 

markers typically associated with asthma. Some work in this area indicates that humans may be 

as sensitive as rats and mice to the immunologic effects (Chapter 6, Section 6.3.4). This 

database is currently lacking key exposure-response data, but may in the future provide an 

alternative basis for RfC derivation. It also should be noted that the ambient PM health effects 

data show a broader array of adverse human health concerns (e.g., cardiovascular effects, as well 

as acute exposure effects). With DPM being a ubiquitous component of ambient PM, there is an 

uncertainty about the adequacy of the existing DE noncancer database to identify all of the 

pertinent DE-caused noncancer health hazards. 

9.5.1.2. Risks Based on Ambient PM2.5 

As discussed in Chapter 6 (Section 6.4), in 1997 EPA established an annual NAAQS for 

PM2.5, at a level of 15 :g/m3

 to provide protection against adverse health effects associated with 

both long- and short-term exposures to ambient fine PM. DPM is a typical constituent of 

ambient fine PM (generally about 10% of PM2.5 with some examples up to 36%).2 Given the 

2

“A qualitative comparison of adverse effects of exposure to DPM and ambient fine PM 

shows that the respiratory system is adversely affected in both cases, though a wider spectrum of 

adverse effects has been identified for ambient fine PM. In contrast to the diesel PM database, 

there is a wealth of human data for fine PM noncancer effects which indicates that the health 

effects from fine PM do not have a discernable threshold at this time.” 

9-19 
similarity of health concerns for respiratory inflammation and pulmonary health effects from 

both DPM and fine particles, it is reasonable to expect that DPM contributes to some of the 

health effects associated with PM2.5. Current knowledge is insufficient, however, to describe the 

relative potencies of DPM and the other components of PM2.5. As long as the percentage of 

DPM to total ambient PM2.5 remains in similar proportion, protective levels for PM2.5 would be 

expected to offer a measure of protection from effects associated with DPM. 

9.5.1.3. Conclusions 

This assessment estimates an exposure air level of DE (as measured by DPM) to which 

humans may be exposed throughout their lifetime without experiencing any adverse noncancer 

health effects. The approach taken applies the RfC method using data specific to DE to produce 

an RfC of 5 :g/m3

 of DPM on the basis of four chronic inhalation studies of DE in rats and a 

composite uncertainty factor of 30. In addition, this assessment also recognizes the relative 

wealth of data regarding health effects associated with ambient PM and presumes that a health 

protective level for PM2.5 also would be expected to provide a measure of protection from DPM, 

a constituent part of PM2.5. The PM2.5 standard of 15 :g/m3 as an annual average thus is 

expected to provide a measure of protection from DPM noncancer health effects, reflecting 

DPM’s current approximate proportion to PM2.5. 

9.5.2. Evaluation of Cancer Risks 

As discussed in Section 9.4.3, the combined weight of evidence indicates that DE has the 

potential to pose a cancer hazard to humans at anticipated levels of environmental exposure. The 

target organ of DE-induced carcinogenicity is the lung. Strong evidence exists for a causal 

relationship between risk for lung cancer and occupational exposure to DE in certain 

occupational workers such as railroad workers, truck drivers, heavy-equipment operators (e.g., 

shipyard, diesel farm equipment, and construction), and transit workers. The evidence, however, 

was less than sufficient to confidently characterize DE as carcinogenic to humans, and instead 

the assessment concludes that DE is likely to be a human carcinogen. It also has been shown 

unequivocally in several studies that DE can cause benign and malignant lung tumors in rats in a 

dose-related manner following chronic inhalation exposure to high concentrations; however, this 

response is not thought applicable to predict a hazard to humans exposed at lower environmental 

levels. The mechanism(s) by which DE would induce lung cancer in humans has not been 

established, but available data suggest that mutagenic and nonmutagenic modes of action are 

possible. Hence, for estimating DE cancer risk at low environmental exposures, linear low-dose 

extrapolation would be considered an appropriate default assumption, which is consistent with 

EPA’s science policy position that in the absence of an understanding of modes of carcinogenic 

9-20
action, a nonthreshold effect is to be presumed (U.S. EPA, 1986, 1996a). This same assumption 

has been used by other organizations/risk assessors who have previously used either linear risk 

extrapolation models or mechanistically based models to estimate cancer risk from 

environmental exposure to DE (e.g., WHO-IPCS, 1996; Cal EPA, 1998; also see Appendix C). 

Dose-response assessment is based on either human or animal data, although human data 

are always preferred if available. Several quantitative assessments have been conducted by 

organizations and investigators on the basis of both occupational data and rat data (see Appendix 

C). However, more recent evidence indicates that DE causes tumors in the rat lung via a mode 

of action that involves impairment of lung clearance mechanisms (referred to as “lung overload 

response”) associated with high exposures. This lung overload response is not expected in 

humans exposed to environmental levels (nor is it expected to occur in many occupational 

exposures), and thus the rat lung tumor dose-response data are not considered suitable for 

predicting human risk at low environmental exposures. Given that the rat data are not 

appropriate for estimating cancer risk to humans, this assessment focuses on using the 

occupational epidemiologic data for estimating environmental risk of DE to humans. 

Even though occupational data are considered most relevant for use in dose-response 

assessment, uncertainties exist, including the following issues: 

• the use of DPM (expressed as :g/m3

) as a surrogate dosimeter for DE exposure, 

given that the relative roles of various constituents in mediating carcinogenic effects 

and the mode of carcinogenic action are still unknown; 

• the representativeness of occupational populations for the general population and 

vulnerable subgroups, including infants and children and individuals with preexisting 

diseases, particularly respiratory conditions; 

• the lack of actual DE exposure data for workers in the available epidemiologic 

studies; 

• possible confounders (smoking and asbestos exposure) that could contribute to the 

observed lung cancer risk in occupational studies of DE if the control for these 

confounders is not adequate; and 

• whether or not an exposure-response relationship for occupational lung cancer risk 

can be estimated for DE. 

Chapter 8, Section 8.3, provides a discussion of these uncertainties, along with an evaluation of 

the suitability of available occupational studies for a derivation of a cancer unit risk estimate for 

DE. Unit risk is defined as the estimated upper-bound cancer risk at a specific exposure or dose 

9-21
from a continuous average lifetime exposure of 70 years (in this case, cancer risk per :g/m3

 of 

DPM). 

Among the occupational studies, the railroad worker studies (Garshick et al., 1987, 1988) 

and the Teamsters Union truck driver studies (Steenland et al., 1990, 1998) are considered to 

have the best available exposure data for possible use in establishing exposure-response 

relationships and deriving a cancer unit risk. There have been different views on the suitability 

of these studies for estimating environmental cancer risks (e.g., Cal EPA, 1998; HEI, 1995, 

1999). Given the equivocal evidence for the presence or absence of an exposure-response 

relationship for the study of railroad workers, and exposure uncertainties for the study of truck 

drivers, it is judged that available data are too uncertain at this time for the development of a 

confident quantitative dose-response analysis and subsequent derivation of cancer unit risk for 

DE. 

In the absence of a cancer unit risk to assess population cancer risk, this assessment 

provides a “perspective” about the possible magnitude of risk in the population from 

environmental exposure to DE. One approach to estimating the possible magnitude of risk 

involves simply noting that risks to the general public would be low in comparison with 

occupational risk if the differences in the lower environmental exposures compared to the higher 

occupational exposures are large. If the differences are small, the environmental risks would 

approach the workers’ risk observed in studies of past occupational exposures. A comparison of 

environmental equivalent occupational and ambient environmental exposures showed that for 

certain occupations, there is a potential for overlap between environmental exposure and the 

estimated environmental equivalent occupational exposure, while in other cases the 

environmental exposures could be up to about 100-fold lower than the occupational levels (see 

Table 8-1). For the exposure overlap case, one can infer that the environmental risk could be the 

same as, or approach, the risk magnitudes observed in the occupational studies. In the 100-fold 

lower case, the environmental risk could be about 100-fold lower than the observed risk 

magnitudes in the occupational studies. Risks to the general public are of potential concern 

when a significant risk is seen in the occupational setting and the difference between 

occupational and ambient exposure may overlap or is relatively small (within one to two orders 

of magnitude). 

A second approach, which is related to the first approach but more quantitative, is to 

estimate possible ranges of lung cancer risk from occupational exposures to DE, and then use a 

proportional relationship of exposure differences (e.g., EMs) to scale the occupational risk to the 

environmental exposure setting. Given the range of observed relative risks or odds ratios of lung 

cancer in a number of occupational studies, a relative risk increase of 1.4 was selected as a 

reasonable estimate of occupational risk for the purpose of this analysis. The relative risk of 1.4 

9-22
means that the workers faced an extra risk that is 40% higher than the approximate 5% 

background lifetime lung cancer risk in the U.S. population. Using the relationship [excess risk 

= (relative risk-1) × background risk], 2% of these DE-exposed workers (i.e., 10-2 risk) would 

have been at risk (and developed lung cancer) attributable to occupational exposure to DE. 

Using a nationwide average environmental exposure (0.8 :g/m3

 DPM), and assuming (a) 

the excess lung cancer risk from occupational exposure is about 10-2; and (b) the past 

occupational exposures were no higher than about 1,200 :g/m3 (equivalent to an environmental 

equivalent EM of 315, connoting a relatively large EM), the environmental cancer risk would 

fall between 10-4 and 10-5. The selection of 1,200 :g/m3 is a very high value intentionally 

selected to illustrate a high-end exposure boundary and thus a lower bounding of risk calculated 

by this exploratory approach. On the other hand, if occupational exposures for some groups 

were lower, for example, closer to 100 :g/m3 (equivalent to an environmental equivalent EM of 

26, connoting a smaller EM), the environmental risk would be higher and approach 10-3. The 

selection of 100 :g/m3 is purposefully toward the lower end of the reported occupational 

exposure range which spans 7–403 :g/m3 in Table 8-1. The risk estimates are attended by 

numerous uncertainties; their inclusion in this document does not constitute Agency 

endorsement of their validity as a surrogate for cancer unit risk; the range of values is not useful 

for estimating numbers of cancer cases; and the range of possible risk from environmental 

exposures also could be lower and a zero risk cannot be ruled out. 

These types of exploratory analyses are not intended to be precise or provide a definitive 

characterization of cancer risk but are useful in illustrating and gauging the possible range of risk 

based on applying reasonable judgment. The analyses provides a sense of where an upper limit 

(or “upper bound”) of the risk may be. These analyses are subject to uncertainties, particularly 

the lack of actual exposure information for the occupational epidemiologic studies and the use of 

public-health-conservative risk assessment assumptions. The possible risks also could be lower 

and a zero risk cannot be ruled out because (a) some individuals in the population may have a 

high tolerance to exposure from DE and therefore not be susceptible to cancer from 

environmental exposure, and (b) although not reported, there could be a threshold of exposure 

below which there is no cancer risk. Given these circumstances, we refer to this risk analysis as 

a “perspective” on possible risks. Best scientific judgment guided the selection of assumptions 

and other elements of this analysis which are deemed reasonable and appropriate for identifying 

possible risks based on the information currently available. Further research is needed to more 

accurately assess and characterize environmental cancer risks from DE. 

9-23
9.6. SUMMARY AND CONCLUSIONS 

The available health effects data show that acute (short-term episodic exposure) and 

chronic (long-term) exposure to DE can pose hazards to humans and that environmental 

exposures, in some cases, may have a risk. 

At relatively high acute exposures, DE can cause acute irritation to the eye and upper 

respiratory airways and symptoms of respiratory irritation which may be temporarily 

debilitating. Evidence also shows that DE has immunological toxicity that can induce allergic 

responses (some of which are also typical of asthma) and/or exacerbate existing respiratory 

allergies. While the hazard potential is important for these acute and short exposure-related 

effects, quantitative dose-response estimates for these effects could not be developed because of 

the lack of exposure-response information. 

It is concluded that long-term exposure to low levels of DE poses a hazard for chronic 

inflammation and pathological changes in the human lung. A level of human lifetime exposure 

thought to be without appreciable risk for lung damage is estimated to be 5 :g/m3

 of DPM, this 

being a calculated RfC value for DE. Because DPM is a constituent of ambient PM2.5 and there 

is some similarity in potential adverse effects from DE and PM2.5, it is expected that a measure of 

protection from health effects associated with DE is provided by the 1997 annual PM2.5 NAAQS, 

set at a level of 15 :g/m3. 

DE is considered to pose a human lung carcinogenicity hazard, which is expressed in a 

weight-of-evidence conclusion that DE is judged to be a “probable” human carcinogen, or is 

“likely to be carcinogenic in humans by inhalation” at environmental or higher exposure 

conditions. Because of uncertainty in the available exposure-response data, a cancer unit 

risk/cancer potency for DE has not been derived. One should note that the closeness of the highend environmental exposures and low-end estimates of occupational exposure suggest less 

uncertainty in the extrapolation of hazard and possible risk to the environmental setting. 

Exploratory analyses using public health conservative assumptions provides a perspective on the 

possible range of lung cancer risk from environmental exposure to DE. Best scientific judgment 

guided the selection of assumptions and other elements of this analysis which are deemed 

reasonable and appropriate for identifying possible risks based on the information currently 

available. These analyses indicate that lifetime cancer risk may exceed 10-5 and could be as high 

as 10-3 or nearly so, though considering the assumptions used and the uncertainties, lower risk is 

possible and a zero risk cannot be ruled out. This range of values is attended by numerous 

uncertainties, the inclusion of the range in this assessment does not constitute Agency 

endorsement of their validity as surrogates for cancer unit risk values, and the range is not 

suitable for estimating numbers of cancer cases. These risk findings should not be viewed as a 

definitive characterization of risk. 

9-24
 Even though the evidence for potential human health hazards for DE is convincing and 

persuasive, uncertainties exist because of the use of assumptions to bridge data and knowledge 

gaps about human exposures to DE and the underlying mechanisms by which DE may cause the 

observed toxicities in humans and animals. A notable uncertainty of this assessment is how the 

physical and chemical nature of DE emissions has changed over the years because the 

toxicological and epidemiologic observations are based on older engines and their emissions, yet 

the desire is to focus on the potential health hazards related to exposure from present-day or 

future emissions. There have been changes in the physical and chemical composition of some 

DE emissions (on-road vehicle emissions) over time, though there is no definitive information to 

show that the emission changes portend significant toxicological changes. The mode(s) of action 

for DE toxicity in humans is not understood, and hence knowledge is lacking about the role of 

exhaust mixture components in modulating the toxicity. Taken together, these considerations 

have lead to a judgment that the hazards identified from older technology-based exposures are 

applicable to current-day exposures. As new and cleaner diesel engines replace a substantial 

number of existing engines, the general applicability of the conclusions in this assessment will 

need to be reevaluated. 

Other uncertainties include the assumptions that health effects observed at high doses 

may be applicable to low doses, and that toxicologic findings in laboratory animals are 

predictive of human responses. Also, the available data are not sufficient to demonstrate the 

absence or presence of an exposure/dose-response threshold in humans for DE toxicity at 

environmental exposures. Again, this is due in part to the lack of understanding of how DE may 

cause adverse health effects in exposed humans and laboratory animals. Although there are 

hypotheses about the specific mechanisms by which DE might cause cancer and other toxicities, 

no specific biological pathways or specific constituents of DE have been firmly established as 

responsible for low-dose effects. The assumptions used in this assessment, i.e., the presence of 

a biological threshold for chronic respiratory effects based on cumulative dosage and the absence 

of a threshold for lung cancer stemming from subtle and irreversible effects, are considered 

prudent and reasonable default choices. 

The characterization of health hazards and risks contained in this document assumes that 

the potential DE health hazards are relevant for long-term exposures, up to and including 

lifetime exposures, and would apply to a wide spectrum of individuals but not necessary those 

that would have significant differential susceptibility. There is no DE-specific information that 

provides direct insight into the question of differential susceptibility within the general human 

population or vulnerable subgroups, for example, children or the elderly. Although default 

approaches to account for interindividual variation have been included in the derivation of the 

noncancer effects RfC (i.e., use of an uncertainty factor of 10), this may or may not adequately 

9-25
protect certain subgroups that could be more vulnerable. Differential susceptibility to DPM 

among individuals in the population would be due to differences in dosimetry (i.e., differences in 

retained particle mass or number in the lung) and/or differences in respiratory system tissue 

response sensitivity. From the dosimetry perspective, we understand that age, gender, and 

disease status can influence deposition in the lung and other areas of the respiratory tract (U.S. 

EPA, 1996b, Section 10.7.7). For example, given that DE chronic toxicity is focused on the 

respiratory system, vulnerable subgroups might include those individuals who predispose their 

lungs to increased particle retention (e.g., smoking, high particulate burdens from nondiesel 

sources) or those having existing respiratory or lung inflammation, repeated respiratory 

infections, or chronic bronchitis or asthma. For children, there is also the hypothesis of possible 

increased sensitivity to exposure, given the ongoing processes of development from birth to 

maturation, of the respiratory and immune systems. 

Despite the uncertainties regarding intraspecies variability, the default approach of using 

an uncertainty factor of 10 in the derivation of the noncancer effects RfC to account for possible 

interindividual variation in the toxic response to DE exposure is appropriate and reasonable 

given the lack of DE-specific data. 

Variation in DE exposure is another source of uncertainty. Because of variation in 

human activity patterns and their proximity to DE sources of emissions, different population 

subgroups could potentially receive higher or lower exposure to DE. The highest exposed are 

clearly occupational subgroups whose job brings them very close to DE sources, such as diesel 

engine vehicle drivers and workers, diesel powered machinery operators, some underground 

miners, etc. High exposures in the general population would be to those living very near or 

having time outdoors in proximity to DE sources as well as those engaged in activities that cause 

high breathing rates where DE is present. Accordingly, where appropriate, analyses in this 

assessment have included possible high-end DE exposures in addition to the lower nationwide 

average exposure estimates. 

Lastly, this assessment considers only potential heath effects from exposures to DE 

alone. DE exposure could be additive or synergistic to concurrent exposures to other air 

pollutants. For example, there is evidence that DPM that has been altered by being in the 

presence of ambient ozone significantly increases the rat lung inflammatory effect compared to 

DPM that was not subjected to ozone (Madden et al., 2000). This observation suggests a 

hypothesis that inflammation-related noncancer hazards of airborne DPM may be worsened by 

the increasing presence of ozone in the ambient air. Other concerns include the possible 

impacts for children and adults on the exacerbation of existing allergens resulting from DE 

exposure. However, in the absence of more definitive data demonstrating interactive effects 

9-26
from combined exposures to DE and other pollutants, it is not possible to further address these 

issues at this time. 

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Teamsters Union. Am J Public Health 80:670-674. 

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Steenland, K; Deddens, J; Stayner, L. (1998) Diesel exhaust and lung cancer in the trucking industry: exposureresponse analyses and risk assessment. Am J Ind Med 34:220-228. 

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Research Triangle Park, NC: EPA/600/P-95/001aF. 

U.S. EPA. (1999) Guidelines for Carcinogen Risk Assessment. Review Draft. NCEA-F-0644, July. Risk 

Assessment Forum, Washington, DC. http://www.epa.gov/ncea/raf/cancer.htm. 

U.S. EPA. (2000) National air pollutant emission trends, 1900-1998. EPA-454/R-00-002, March. 

World Health Organization (WHO-IPCS). (1996) Diesel fuel and exhaust emissions. Environmental Health Criteria 

171, WHO-IPCS, Geneva, Switzerland. 

Yu, CP; Yoon, KJ; Chen, YK. (1991) Retention modeling of DE particles in rats and humans. J Aerosol Med 

4:79-115. 

9-28
Appendix A 

Calculation of Human Equivalent Continuous 

Exposure Concentrations (HECs) 

A-1
A.1. INTRODUCTION 

As discussed in Chapter 3, the lung burden of diesel particulate matter (DPM) during 

exposure is determined by both the amount and site of particle deposition in the lung and, 

subsequently, by rates of translocation and clearance from the deposition sites. Mathematical 

models have often been used to complement experimental studies in estimating the lung burdens 

of inhaled particles in different species under different exposure conditions. This appendix 

presents a mathematical model that simulates the deposition and clearance of DPM in the lungs 

of rats and humans of Yu et al.(1991) also published as Yu and Yoon (1990). 

Diesel particles are aggregates formed from primary spheres 15-30 nm in diameter. The 

aggregates are irregularly shaped and range in size from a few molecular diameters to tens of 

microns. The mass median aerodynamic diameter (MMAD) of the aggregates is typically 0.2 

μm and is polydisperse with a geometric standard deviation of around 2.3. The organics 

adsorbed onto the aggregates normally account for 10% to 30% of the particle mass. However, 

the exact size distribution of DPM and the specific composition of the adsorbed organics depend 

upon many factors, including engine design, fuels used, engine operating conditions, and the 

thermodynamic process of exhaust. The physical and chemical characteristics of DPM have 

been reviewed extensively by Amann and Siegla (1982) and Schuetzle (1983). 

Four mechanisms deposit DPM within the respiratory tract during exposure: impaction, 

sedimentation, interception, and diffusion. The contribution from each mechanism to deposition, 

however, depends upon lung structure and size, the breathing condition of the subject, and 

particle size distribution. Under normal breathing conditions, diffusion is the most dominant 

mechanism and the other three mechanisms play minor roles. 

Once DPM is deposited in the respiratory tract, both the carbonaceous core and the 

adsorbed organics will be removed from the deposition sites by mechanical clearance, provided 

by mucociliary transport in the ciliated conducting airways as well as macrophage phagocytosis 

and migration in the nonciliated airways, and dissolution. As the carbonaceous core or soot of 

DPM is insoluble, it is removed from the lung primarily by mechanical clearance, whereas the 

adsorbed organics are removed principally by dissolution (Chapter 3). 

A.2. PARTICLE MODEL 

To develop a mathematical model that simulates the deposition and clearance of DPM in 

the lung, an appropriate model for diesel particles must be introduced. For the deposition study, 

an equivalent sphere model developed by Yu and Xu (1987) was used to simulate the dynamics 

and deposition of DPM in the respiratory tract by various mechanisms. For the clearance study, 

a diesel particle is assumed to be composed of three different material components according to 

their characteristic clearance rates: (1) a carbonaceous core of approximately 80% of the particle 

A-2
mass; (2) absorbed organics of about 10% of particle mass, which are slowly cleared from the 

lung; and (3) adsorbed organics quickly cleared from the lung, accounting for the remaining 10% 

of particle mass. The presence of two discrete organic phases in the particle model is suggested 

by observations that the removal of particle-associated organics from the lung exhibits a biphasic 

clearance curve (Sun et al., 1984; Bond et al., 1986), as discussed in Chapter 3. This curve 

represents two major kinetic clearance phenomena: a fast- phase organic washout with a halftime of a few hours, and a slow phase with a half-time that is a few hundred times longer. The 

detailed components involved in each phase are not known. It is possible that the fast phase 

consists of organics that are leached out primarily by diffusion mechanisms while the slow phase 

might include any or all of the following components: (a) organics that are “loosened” before 

they are released, (b) organics that have become intercalated in the carbon core and whose 

release is thus impeded, (c) organics that are associated for longer periods of time because of 

hydrophobic interaction with other organic-phase materials, (d) organics that have been ingested 

by macrophages and as a result effectively remain in the lung for a longer period of time because 

of metabolism by the macrophage (metabolites formed may interact with other cellular 

components), and (e) organics that have directly acted on cellular components, such as the 

formation of covalent bonds with DNA and other biological macromolecules to form adducts. 

The above distinction of the organic components is general and made to account for the 

biphasic clearance of DPM; it does not specifically imply the actual nature of the adsorbed 

organics. For aerosols made of pure organics, such as benzo(a)pyrene (BaP) and nitropyrene 

(NP) in the same size range of DPM, Sun et al. (1984) and Bond et al. (1986) observed a nearly 

monophasic clearance curve. This might be explained by the absence of intercalative 

phenomena (a) and of hydrophobic interaction imposed by a heterogeneous mixture of organics 

(b). The measurement of a pure organic might also neglect that quantity which has become 

intracellularly (c) or covalently bound (d). 

A.3. COMPARTMENTAL LUNG MODEL 

The model of Yu et al. (1991) comprises three principal compartments involved in 

deposition and clearance: tracheobronchial (T or TB), alveolar (A), and lung-associated lymph 

node (L), as shown in Figure A-1. The outside compartments blood (B) and GI tract (G) and 

nasopharyngeal or head (H) are also represented. The alveolar compartment in the model is 

obviously the most important for long-term retention studies. However, for short-term 

consideration, retentions in other lung compartments may also be significant. The presence of 

these lung compartments and the two outside compartments in the model therefore provides a 

complete description of all clearance processes involved. 

A-3
In Figure A-1, r (i) 

T, and r (i)H, r (i) A are, respectively, the mass deposition rates of DE material 

component i (i=1 [core], 2 [slowly cleared organics], and 3 [rapidly cleared organics]) in the 

head, tracheobronchial, and alveolar compartments; and λ(i)

XY represents the transport rate of 

material component i from any compartment X to any compartment Y. Let the mass fraction of 

material component i of a diesel particle be ƒ

i

. Then 

r (i) ' f

i rH H , (A-1)

rT 

(i) ' f

i rT , (A-2) 

rA 

(i) ' f

i rA , (A-3) 

where rH, rT, and rA are, respectively, the total mass deposition rates of DPM in the H, T, and 

A compartments, determined from the equations: 

rH ' c(TV)(RF)(DF)H , (A-4) 

rT ' c(TV)(RF)(DF)T , (A-5) 

rA ' c(TV)(RF)(DF)A . (A-6) 

In Equations A-4 to A-6, c is the mass concentration of DPM in the air, TV is the tidal 

volume, RF is the respiratory frequency, and (DF)H, (DF)T, and (DF)A are, respectively, the 

deposition fractions of DPM in the H, T, and A compartments over a respiratory cycle. The 

A-4
values of (DF)H, (DF)T, and (DF)A, which vary with the particle size, breathing conditions, and 

lung architecture, were determined from the deposition model of Yu and Xu (1987). 

The differential equations for m(i)

XY, the mass of material component i in compartment X as 

a function of exposure time t, can be written as 

Head (H) 

Tracheobronchial (T) 

Alveolar (A) 

Lymph nodes (L) 

dmT 

(i) 

dt 

dmA 

(i) 

dt 

dm (i) 

H ' r (i) & λ

(i) 

H HBm (i) , (A-7) dt H HGm (i) & λ

(i) 

H 

' rT 

(i) % λ(i) 

TGmT 

(i) & λ(i) 

ΑTmA 

(i) & λ(i) 

TBmT 

(i) , (A-8) 

' rA 

(i) & λ(i) 

ALmA 

(i) & λ(i) 

ATmA 

(i) & λ(i) 

ABmA 

(i) , (A-9) 

dmL 

(i) 

' λ

(i) 

LBmL 

(i) . (A-10) ALmA (i) & λ(i) 

dt 

Equation A-9 may also be written as 

A mA 

(i) , (A-11)

dmA 

(i) 

' rA 

(i) & λ(i) 

dt 

where 

λ

(i) ' λ(i) % λ(i) % λ(i) . (A-12) A AT AL AB 

is the total clearance rate of material component i from the alveolar compartment. In Equations 

A-7 to A-10, we have assumed vanishing material concentration in the blood compartment to 

calculate diffusion transport. 

The total mass of the particle-associated organics in compartment X is the sum of m (2)

X 

and m (3)

X the total mass of DPM in compartment X is equal to 

mX ' mX 

(1) % mX (2) % mX (3) (A-13) 

A-5
 <

The lung burdens of diesel soot (core) and organics are defined, respectively, as 

m (1) 

Lung ' mT 

(1) % mA (1) , (A-14) 

and 

m (2)%(3) ' mT 

(2) % mA (2) % mT (3) % mA (3) . (A-15) Lung 

Because the clearance of diesel soot from compartment T is much faster than from compartment 

A, m (1) 

T < m A

(1)

 a short time after exposure, Equation A-14 leads to 

m (1) 

Lung – mA 

(1) . (A-16) 

Solution to Equations A-7 to A-10 can be obtained once all the transport rates λ(i)

XY are 

known. When λ(i) are constant, which is the case in linear kinetics, Equations A-7 to A-10 will XY 

have a solution that increases with time at the beginning of exposure but eventually saturates and 

reaches a steady-state value. This is the classical retention model developed by the International 

Commission of Radiological Protection (ICRP, 1979). However, as discussed in Chapter 3, data 

have shown that when rats are exposed to DPM at high concentration for a prolonged period, 

long-termed clearance is impaired. This is the so-called overload effect, observed also for other 

insoluble particles. The overload effect cannot be predicted by the classical ICRP model. 

Soderholm (1981) and Strom et al. (1987, 1988) have proposed a model to simulate this effect by 

adding a separate sequestering compartment in the alveolar region. In the present approach, a 

single compartment for the alveolar region of the lung is used and the overload effect is 

accounted for by a set of variable transport rates λ(i) 

AL, and λA

(i)

AT, λ which are functions of mA. The (i)

transport rates λA

(i)

 and λ(i)

AL in Equations A-7 to A-10 can be determined directly from experimental 

data on lung and lymph node burdens, and λ(i) 

AB from Equation A-12. AT and λ(i) 

A.4. SOLUTIONS TO KINETIC EQUATIONS 

Equation A-11 is a nonlinear differential equation of m A

(i)

 with known function of λA

(i

.

) 

For diesel soot, this equation becomes 

A-6
dmA 

(1) 

' r (1) & λ

(1) 

A A (mA)mA 

(1) . (A-17) dt 

Because clearance of the particle-associated organics is much faster than diesel soot, m(2) and m(3)

A A 

constitute only a very small fraction of the total particle mass (less than 1%) after a long 

exposure, and we may consider λ(1) 

A A as a function of m alone. Equation A-17 is then reduced to a (1) 

differential equation with m(1)

A the only dependent variable. 

The general solution to Equation A-17 for constant r

(1)

A at any time, t, can be obtained by 

the separation of variables to give 

0 

m(1) dm(1) 

A

r (1) 

A

A mA 

(1) ' t . (A-18) 

A & λ

(1) 

If r

(1)

A is an arbitrary function of t, Equation A-17 needs to be solved numerically such as 

by a Runge-Kutta method. Once m(1)

A is found, the other kinetic equations A-7 to A-10 for both 

diesel soot and the particle-associated organics can be solved readily, as they are linear 

equations. The solutions to these equations for constant r

(i) 

T, and rA

(i)

H, r are given below: (i)

Head (H) 

m (i) ' r (i) 

H H0 H )/λ

(i) 

H H H /λ

(i) % (m (i) & r (i) 

H ) exp (&λ

(i) t) (A-19) 

where λ

(i) ' λ(i) 

HB H HG % λ (A-20) (i) 

A-7
Tracheobronchial (T) 

t 

mT 

(i) ' exp (&λ(i) t )

0 

( rT 

(i) % λ(i) mA (i) ) exp (λ(i) t ) dt % m (i) 

T AT T T0 (A-21)

where λ

(i) ' λ(i) % λ(i) (A-22) T TG TB 

Lymph nodes (L) 

t 

LB 

0 

ALmA 

(i)

exp(λ

(i) t ) dt % m (i) mL (i) ' exp(&λ(i) t) λ(i) 

LB L0 ) (A-23) 

In Equations A-19 to A-23, m (i)

XO represents the value of m X

(i)

 at t = 0. 

In the sections to follow, the methods of determining r

(i) 

T, and r

(i)

H, r

(i) 

A, or (DF)H, (DF)T, and 

H, r

(DF) 

XY (DF)A r in the compartmental lung model are (DF) T, and r

(D

A

F)

 as well as the values of λ(i) 

presented. 

A.5. DETERMINATION OF DEPOSITION FRACTIONS 

The mathematical models for determining the deposition fractions of DPM in various 

regions of the respiratory tract have been developed by Yu and Xu (1986, 1987) and are adopted 

in this report. Yu and Xu consider DPM as a polydisperse aerosol with a specified mass median 

aerodynamic diameter (MMAD) and geometrical standard deviation σg. Each diesel particle is 

represented by a cluster-shaped aggregate within a spherical envelope of diameter de. The 

envelope diameter de is related to the aerodynamic diameter of the particle by the relation 

de ' φ&1/2( Ca )

1/2)( ζ )1/2 (A-24) da Ce ζo 

where ζ is the bulk density of the particle in g/cm3

, ζ0 = 1 g/cm3; φ is the packing density, which 

is the ratio of the space actually occupied by primary particles in the envelope to the overall 

envelope volume; and Cx is the slip factor given by the expression: 

A-8
Cx ' 1 % 2 λ [1.257 % 0.4 exp &(

0.55dx )] (A-25) dx λ

in which λ – 8 × 10-6cm3

 is the mean free path of air molecules at standard conditions. In the 

diesel particle model of Yu and Xu (1986), ζ has a value of 1.5 g/cm3 and a φ value of 0.3 is 

chosen based upon the best experimental estimates. As a result, Equation A-24 gives de/da = 

1.35. In determining the deposition fraction of DPM, de is used for diffusion and interception 

according to the particle model. 

A.5.1. Deposition in the Head 

Particle deposition in the naso- or oropharyngeal region is referred to as head or 

extrathoracic deposition. The amount of particles that enters the lung depends upon the 

breathing mode. Normally, more particles are collected via the nasal route than by the oral route 

because of the nasal hairs and the more complex air passages of the nose. Since the residence 

time of diesel particles in the head region during inhalation is very small (about 0.1 s for human 

adults at normal breathing), diffusional deposition is insignificant and the major deposition 

mechanism is impaction. The following empirical formulas derived by Yu et al. (1981) for 

human adults are adopted for deposition prediction of DPM: 

For mouth breathing: 

(DF)H, in ' 0, for da 

2

# 3000 

(DF)H, in ' &1.117 % 0.324 log(da 

2

Q), for da 

2

Q > 3000 

(DF)H, ex ' 0, 

and for nose breathing: 

(DF)H, in ' &0.014 % 0.023 log(da 

2

Q), for da 

2

Q # 337 

(A-26) 

(A-27) 

(A-28) 

(A-29) 

A-9
(DF)H, in ' &0.959 % 0.397 log(da 

2

Q), for da 

2

Q > 337 (A-30) 

(DF)H, ex ' 0.003 % 0.033 log(da 

2

Q), for da 

2

Q # 215 (A-31) 

(DF)H, ex ' &0.851 % 0.399 log(da 

2

Q), for da 

2

Q > 215 (A-32) 

where (DF)H is the deposition efficiency in the head, the subscripts in and ex denote inspiration 

and expiration, respectively, da is the particle aerodynamic diameter in μm, and Q is the air 

flowrate in cm3

/sec. 

Formulas to calculate deposition of diesel particles in the head region of children are 

derived from those for adults using the theory of similarity, which assumes that the air passage in 

the head region is geometrically similar for all ages and that the deposition process is 

characterized by the Stokes number of the particle. Thus, the set of empirical equations from 

A-26 through A-32 are transformed into the following form: 

For mouth breathing: 

(DF)H, in ' 0, for da 

2

Q # 3000 (A-33) 

and for nose breathing: 

(DF)H, in ' &1.117 % 0.972 logK % 0.324 log(da 

2

Q), for da 

2

Q > 3000 (A-34) 

(DF)H, ex ' 0. (A-35) 

(DF)H, in ' & 0.014 % 0.690 log K % 0.023 log(da 

2

Q), for da 

2

Q # 337 (A-36) 

(DF)H, in ' &0.959 % 1.191 log K % 0.397 log (da 

2

Q), for da 

2

Q > 337 (A-37) 

(DF)H, ex ' 0.003 % 0.099 log K % 0.033 log(da 

2

Q), for da 

2

Q #215 (A-38) 

A-10
where K is the ratio of the linear dimension of the air passages in the head region of adults to that 

of children, which is assumed to be the same as the ratio of adult/child tracheal diameters. 

(DF)H, ex ' 0.851 % 1.197 log K % 0.399 log(da 

2

Q), for da 

2

Q >215 (A-39) 

For rats, the following empirical equations are used for deposition prediction of DPM in 

the nose: 

(DF)H, in ' (DF)H, ex ' 0.046 % 0.009 log(da 

2

Q), for da 

2

Q # 13.33 (A-40) 

A.5.2. Deposition in the Tracheobronchial and Alveolar Regions 

The deposition model adopted for DPM is the one previously developed for 

monodisperse (Yu, 1978) and polydisperse spherical aerosols (Diu and Yu, 1983). In the model, 

(DF)H, in ' (DF)H, ex ' &0.522 % 0.514 log(da 

2

Q), for da 

2

Q > 13.33 (A-41) 

the branching airways are viewed as a chamber model shaped like a trumpet (Figure A-2). The 

cross-sectional area of the chamber varies with airway depth, x, measured from the beginning of 

the trachea. At the last portion of the trumpet, additional cross-sectional area is present to 

account for the alveolar volume per unit length of the airways. Inhaled diesel particles that 

escape capture in the head during inspiration will enter the trachea and subsequently the 

bronchial airways (compartment T) and alveolar spaces (compartment A). 

Assuming that the airways expand and contract uniformly during breathing, the equation 

for the conservation of particles takes the form: 

β(A1 % A2) Mc % Q Mc ' & Qcη (A-42) Mx Mx 

where c is the mean particle concentration at a given x and time t; A1 and A2 are, respectively, 

the summed cross-sectional area (or volume per unit length) of the airways and alveoli at rest; η

is the particle uptake efficiency per unit length of the airway; β is an expansion factor, given by: 

β ' 1 % Vt (A-43) Vl 

A-11
A-12

(A-44)

(A-45)

(A-46)

(A-47)

(A-48)

(A-49)

and Q is the air flow rate, varying with x and t according to the relation

where Q0 is the air flow rate at x = 0. In Equations A-43 and A-44, Vt is the volume of new air

in the lungs and Vx and VR are, respectively, the accumulated airway volume from x = 0 to x, and

total airway volume at rest.

Equation A-42 is solved using the method of characteristics with appropriate initial and

boundary conditions. The amount of particles deposited between location x1 and x2 from time t1

to t2 can then be found from the expression

For diesel particles, 0 is the sum of those due to the individual deposition mechanisms

described above, i.e.,

where 0I

, 0S, 0P, and 0D are, respectively, the deposition efficiencies per unit length of the

airway due to impaction, sedimentation, interception, and diffusion. On the basis of the particle

model described above, the expressions for 0I

, 0S, 0P, and 0D are obtained in the following form:
A-13

(A-50)

(A-51)

(A-52)

(A-53)

(A-54)

(A-55)

for Reynolds numbers of the flow smaller than 2000, and for Reynolds numbers greater than or

equal to 2000, where ST=d2

au/(18:R) is the particle Stokes number, 2 = L/(8R), 0 =

3:usL/(32uR), ' = de/R, and ) = DL/(4R2

u). In the above definitions u is the air velocity in the

airway; : is the air viscosity; L and R are, respectively, the length and radius of the airway; us =

Cad2

a/(18:) is the particle settling velocity; and D = CekT(3B:de) is the diffusion coefficient

with k denoting the Boltzmann constant and T the absolute temperature. In the deposition

model, it is also assumed that 0I and 0P = 0 for expiration, while 0D and 0S have the same

expressions for both inspiration and expiration.

During the pause, only diffusion and sedimentation are present. The combined

deposition efficiency in the airway, E, is equal to:

where ED and ES are, respectively, the deposition efficiencies due to the individual mechanisms

of diffusion and sedimentation over the pause period. The expression for ED and ES are given by

where JD = DJ/R2 in which J is the pause time and "1, "2, and "3 are the first three roots of the

equation:

in which Jo is the Bessel function of the zeroth order, and:
and 

ES ' 1 & 0.0069τ

&1 &0.0859τ&2 & 0.0582τ&3 

S S S , (A-56) for τS > 1, 

where τS = uSτ/2R. 

The values of (DF)T and (DF)A over a breathing cycle are calculated by superimposing 

DF for inspiration, deposition efficiency E during pause, and DF for expiration in the 

tracheobronchial airways and alveolar space. It is assumed that the breathing cycle consists of a 

constant flow inspiration, a pause, and a constant flow expiration, each with a respective 

duration fraction of 0.435, 0.05, and 0.515 of a breathing period. 

A.5.3. Lung Models 

Lung architecture affects particle deposition in several ways: the linear dimension of the 

airway is related to the distance the particle travels before it contacts the airway surface; the air 

flow velocity by which the particles are transported is determined by the cross-section of the 

airway for a given volumetric flowrate; and flow characteristics in the airways are influenced by 

the airway diameter and branching patterns. Thus, theoretical prediction of particle deposition 

depends, to a large extent, on the lung model chosen. 

A.5.3.1. Lung Model for Rats 

Morphometric data on the lung airways of rats were reported by Schum and Yeh (1979). 

Table A-1 shows the lung model data for Long Evans rats with a total lung capacity of 

13.784 cm3

. Application of this model to Fischer rats is accomplished by assuming that the rat 

has the same lung structure regardless of its strain and that the total lung capacity is proportional 

to the body weight. In addition, it is also assumed that the lung volume at rest is about 40% of 

the total lung capacity and that any linear dimension of the lung is proportional to the cubic root 

of the lung volume. 

A.5.3.2. Lung Model for Human Adults 

The lung model of mature human adults used in the deposition calculation of DPM is the 

symmetric lung model developed by Weibel (1963). In Weibel’s model, the airways are 

assumed to be a dichotomous branching system with 24 generations. Beginning with the 18th 

generation, increasing numbers of alveoli are present on the wall of the airways, and the last 

three generations are completely aleveolated. Thus, the alveolar region in this model consists of 

A-14
all the airways in the last seven generations. Table A-2 presents the morphometric data of the 

airways of Weibel’s model adjusted to a total lung volume of 3000 cm3

. 

A.5.3.3. Lung Model for Children 

The lung model for children in the diesel study was developed by Yu and Xu (1987) on 

the basis of available morphometric measurements. The model assumes a lung structure with 

dichotomous branching of airways, and it matches Weibel’s model for a subject when evaluated 

at the age of 25 years, the age at which the lung is considered to be mature. The number and size 

of airways as functions of age t (years) are determined by the following equations. 

A.5.3.3.1. Number of airways and alveoli. The number of airways Ni

(t) at generation i for age t 

is given by 

Ni(t) ' 2i , 

N21(t)'Nr(t), 

N22(t)'N23(t)'0. 

N21(t) ' 221, 

N22(t) ' Nr

(t) &221,

N23(t) ' 0,

N21(t) ' 221,

N22(t) ' 222,

N23(t) ' Nr

(t) &221 &222

for 0 # i #20 (A-57) 

for Nr(t) # 221 (A-58) 

for 221 < Nr(t) # 222 (A-59) 

for Nr(t)>221 % 222, (A-60) 

where Nr

(t) is the total number of airways in the last three airway generations. The empirical 

equation for Nr

 which best fits the available data is 

Thus, Nr

(t) increases from approximately 1.5 million at birth to 15 million at 8 years of age and 

Nr(t) ' 2.036 × 107

(1&0.926e &0.15t), t # 8 (A-61) 1.468 × 107

, t >8 

remains nearly constant thereafter. Equations A-58 to A-60 also imply that in the last three 

A-15 
generations, the airways in the subsequent generation begin to appear only when those in the 

preceding generation have completed development. 

The number of alveoli as a function of age can be represented by the following equation 

according to the observed data: 

NA(t) ' 2.985 × 108

(1 &0.919e &0.45t) (A-62) 

The number of alveoli distributed in the unciliated airways at the airway generation level 

is determined by assuming that alveolization of airways takes place sequentially in a proximal 

direction. For each generation, alveolization is considered to be complete when the number of 

alveoli in that generation reaches the number determined by Weibel’s model. 

A.5.3.3.2. Airway size. Four sets of data are used to determine airway size during postnatal 

growth: (a) total lung volume as a function of age; (b) airway size as given by Weibel’s model; 

(c) the growth pattern of the bronchial airways; and (d) variation in alveolar size with age. From 

these data, it is found that the lung volume, LV(t) at age t, normalized to Weibel’s model at 4800 

cm3

 for an adult (25 years old), follows the equation 

LV(t) ' 0.959 × 105

(1 & 0.998e &0.002t) (cm 3). (A-63) 

The growth patterns of the bronchial airways are determined by the following equations 

Di

(t) & Diw ' αi[H(t) & H(25)], (A-64) 

Li

(t) & Liw ' βi[H(t) & H(25)], (A-65) 

where Di

(t) and Li(t) are, respectively, the airway diameter and length at generation i and age t, 

Diw and Liw the corresponding values for Weibel’s model, αi and βi are coefficients given by 

αi ' 3.26 × 10&2exp[&1.183 (i%1)0.5] (A-66) 

βi ' 1.05 × 10&6 exp [10.1] (i%1)&0.2

] (A-67) 

A-16
and H(t) is the body height, which varies with age t in the form 

H(t) ' 1.82 × 102(1 & 0.725e &0.14t) (cm). (A-68) 

For the growth patterns of the airways in the alveolar region, it is assumed that 

Di ' Li ' Da ' f(t), for 17 # i # 23 (A-69) Diw Liw Daw 

where Da is the diameter of an alveolus at age t, Daw = 0.0288 cm is the alveolar diameter for 

adults in accordance with Weibel’s model, and f(t) is a function determined from 

3 16 

{LV(t) & j πDi 

2

(t) Li(t)Ni(t)} 

f(t) ' 23 

i ' 0 4 

(A-70) 

{ j πD 2 

awNA(t)} iwLiwNi

(t) % 5πD 3 

i ' 17 4 36 

A.6. TRANSPORT RATES 

The values of transport rates λ(i)

XY for rats have been derived from the experimental data of 

clearance for diesel soot (Chan et al., 1981; Strom et al., 1987, 1988) and for the particleassociated organics (Sun et al., 1984; Bond et al., 1986; Yu et al., 1991). These values are used 

in the present model of lung burden calculation and are listed below: 

λ

(i) 

HG ' 1.73 (i ' 1,2,3) (A-71) 

λ

(1) λ(1) λ(1) 

HB ' TB ' LB ' AB λ

(i) ' 0.00018 (A-72) 

λ

(2) λ(2) λ(2) λ(2) 

HB ' TB ' LB ' AB ' 0.0129 (A-73) 

λ

(3) λ(3) λ(3) λ(3) 

HB ' TB ' LB ' AB ' 12.55 (A-74) 

A-17
λ

(i) ' 0.693 (i ' 1,2,3) (A-75) TG 

λ

(1) 

AL ' 0.00068 [1 & exp(&0.046mA 

1.62)] (A-76) 

λ

(i) ' 1 λ(i) (i ' 2,3) AL (A-77) 4 AB 

λ

(i) ' 0.012 exp(&0.11mA 1.76

AT ) %

(A-78) 

0.00068 exp(&0.046mA 

1.62) (i ' 1,2,3) 

λ

(1) ' AL % λ(1) % λ(1) 

A λ ' (1) AT AB 

(A-79) 

0.012 exp(&0.11mA 

1.76) % 0.00086 

λ

(2) ' AL % λ(2) % λ(2) ' 0.012 exp(&0.11mA 1.76

A λ ) % (2) AT AB 

(A-80) 

0.00068 exp(&0.046ma 

1.62) % 0.0161 

λ

(3) ' AL % λ(3) % λ(3) ' 0.012 exp(&0.11mA 1.76

A λ ) % (3) AT AB 

(A-81) 

0.00068 exp(&0.046mA 

1.62) % 15.7 

XY is the unit of day-1, and mA – m (1) where λ is the particle burden (in mg) in the alveolar (i) A 

compartment. 

Experimental data on the deposition and clearance of DPM in humans are not available. 

To estimate the lung burden of DPM for human exposure, it is necessary to extrapolate the 

transport rates λ(i)

XY from rats to humans. For organics, it is assumed that the transport rates are the 

same for rats and humans. This assumption is based upon the observation of Schanker et al. 

(1986) that the lung clearance of inhaled lipophilic compounds appears to depend only on their 

lipid/water partition coefficients and is independent of species. In contrast, the transport rates of 

diesel soot in humans should be different from those of rats, since the alveolar clearance rate, λA, 

A-18 
of insoluble particles at low lung burdens for human adults is approximately seven times that of 

rats (Bailey et al., 1982). 

No data are available on the change of the alveolar clearance rate of insoluble particles in 

humans due to excessive lung burdens. It is seen from Equation A-79 that λ (1)

A for rats can be 

written in the form 

λ

(1) ' a exp(&bmAc

) % d (A-82) A 

where a, b, c, and d are constants. The right-hand side of Equation A-82 consists of two terms, 

representing, respectively, macrophage-mediated mechanical clearance and clearance by 

dissolution. The first term depends upon the lung burden, whereas the second term does not. 

To extrapolate this relationship to humans, we assume that the dissolution clearance term is 

independent of species and that the mechanical clearance term for humans varies in the same 

proportion as in rats under the same unit surface particulate dose. This assumption results in the 

following expression forλ (1)

A in humans 

λ

(1) a 

A ' P exp[&b(mA/S)

c

] % d (A-83) 

where P is a constant derived from the human/rat ratio of the alveolar clearance rate at low lung 

burdens and S is the ratio of the pulmonary surface area between humans and rats. Equation 

A-83 implies that rats and humans have equivalent amounts of biological response in the lung to 

the same specific surface dose of inhaled DPM. 

From the data of Bailey et al. (1982), a value of λ (1)

 = 0.00169 day-1 is obtained for A 

humans at low lung burdens leading to P = 14.4. A value for S of 148 is reported from the data 

of the anatomical lung model of Schum and Yeh (1979) for rats and Weibel’s model for human 

adults. For humans less than 25 years old, the model assumes the same value for P, but S is 

computed from the data of the lung model for young humans (Yu and Xu 1987). The value of S 

for different ages is shown in Table A-3. 

The equations for other transport rates that have a lung-burden-dependent component are 

extrapolated from rats to humans in a similar manner. The following lists the values of λ (i)

XY 

(in day-1) for humans used in the present model calculation: 

λ

(1) 

HG ' 1.73 (i ' 1,2,3) (A-84) 

A-19
λ

(1) λ(1) λ(1) λ(1)

HB ' TB ' LB ' AB ' 0.00018 (A-85)

λ

(2) λ(2) λ(2) λ(2)

HB ' TB ' LB ' AB ' 0.0129 (A-86)

λ

(3) λ(3) λ(3) λ(3)

HB ' TB ' LB ' AB ' 12.55 (A-87)

λ

(i) ' 0.693 (i ' 1,2,3) (A-88) TG 

λ

(1)

AL ' 0.00068 {1 & 0.0694 exp[&0.046(mA/S)

1.62]} (A-89)

λ

(i) ' 1 λ(i) (i ' 2, 3) AL (A-90) 4 AB 

λ

(i) ' 0.0694 {0.012 exp[&0.11(mA/S)

1.76

AT ] %

(A-91)

0.00068 exp[&0.046(mA/S)

1.76]} (i ' 1, 2, 3)

λ

(1) ' AL % λ(1) λ(1)

AB % λ

(1)

A AT '

(A-92)

0.0694 {0.012 exp[&0.11(mA/S)

1.76]} % 0.00086

λ

(2) ' AL % λ(2) % λ(2) ' (A-93) A λ(2)

AT AB 

0.0694{0.012 exp[&0.11(mA/A)

1.76] %

0.00068 exp[&0.046(mA/S)

1.76]} % 0.016 (A-94)
A.7. RESULTS

A.7.1. Simulation of Rat Experiments

To test the accuracy of the model, simulation results are obtained on the retention of 

DPM in the rat lung and compared with the data of lung burden and lymph node burden obtained 

by Strom et al. (1988). A particle size of 0.19 μm MMAD and a standard geometric deviation, 

σg, of 2.3 (as used in Strom’s experiment) are used in the calculation. 

The respiratory parameters for rats are based on their weight and calculated using the 

following correlations of minute volume, respiratory frequency, and growth curve data. 

Minute volume = 0.9W (cm3

/min) (A-95) 

Respiratory frequency = 475W-0.3 (1/min) (A-96) 

where W is the body weight (in grams) as determined from the equation 

W = 5+537T/(100+T), for T$56 days (A-97) 

in which T is the age of the rat measured in days. 

Equation A-95 was obtained from the data of Mauderly (1986) for rats ranging in age 

from 3 mo to 2 years old; Equation A-96 was obtained from the data of Strom et al. (1988); and 

Equation A-97 was determined from the best fit of the experimental deposition data. Figures A3 and A-4 show the calculated lung burden of diesel soot (m (1) 

T) and lymph node burden, A + m (1) 

respectively, for the experiment by Strom et al. (1988) using animals exposed to DPM at 

6 mg/m3

 for 1, 3, 6, and 12 weeks; exposure in all cases was 7 days/week and 20 h daily. 

The solid lines represent the calculated accumulation of particles during the continuous exposure 

phase and the dashed lines indicate calculated post-exposure retention. The agreement between 

the calculated and the experimental data for both lung and lymph node burdens during and after 

the exposure periods was very good. 

Comparison of the model calculation and the retention data of particle-associated BaP in 

rats obtained by Sun et al. (1984) is shown in Figure A-5. The calculated retention is shown by 

the solid line. The experiment of Sun et al. consisted of a 30-min exposure to diesel particles 

coated with [3

H] benzo[a]pyrene ([3H] - BaP) at a concentration of 4 to 6 μg/m3 of air and 

followed by a post-exposure period of over 25 days. The fast and slow phase of ([3

H] - BaP) 

clearance half-times were found to be 0.03 day and 18 days, respectively. These correspond to 

AO = 0.0385 day-1 and λ (3) AO is the value of λ (i) λ 2 AO = 23.1 day-1 in our model, where λ (i) XY at mA 6 0. 

Figure A-5 shows that the calculated retention is in excellent agreement with the experimental 

data obtained by Sun et al. (1984). 

A-21
A.7.2. Predicted Burdens in Humans 

Selected results of lung burden predictions in humans are shown in Figures A-6 to A-9. 

The particle conditions used in the calculation are 0.2 μm MMAD with σg = 2.3, and the mass 

fractions of the rapidly and slowly cleared organics are each 10% (ƒ1 = ƒ2 = 0.1). Figures A-6 

and A-7 show, respectively, the lung burdens per unit concentration of diesel soot and the 

associated organics in human adults for different exposure patterns at two soot concentrations, 

0.1 and 1 mg/m3. The exposure patterns used in the calculation are (a) 24 h/day and 7 days 

week; (b) 12 h/day and 7 days/week; and (c) 8 h/day and 5 days/week, simulating environmental 

and occupational exposure conditions. The results show that the lung burdens of both diesel soot 

and the associated organics reached a steady-state value during exposure. Because of differences 

in the amount of particle intake, the steady-state lung burdens per unit concentration were 

highest for exposure pattern (a) and lowest for exposure pattern (b). Also, increasing soot 

concentration from 0.1 to 1 mg/m3 increased the lung burden per unit concentration. However, 

the increase was not noticeable for exposure pattern (c). The dependence of lung burden on the 

soot concentration is caused by the reduction of the alveolar clearance rate at high lung burdens 

discussed above. 

Figures A-8 and A-9 show the effect of age on lung burden, where the lung burdens per 

unit concentration per unit weight are plotted versus age. The data of lung weight at different 

ages are those reported by Snyder (1975). The exposure pattern used in the calculation is 

24 h/day and 7 days/week for a period of 1 year at the two soot concentrations, 0.1 and 1 mg/m3

. 

The results show that, on a unit lung weight basis, the lung burdens of both soot and organics are 

functions of age, and the maximum lung burdens occur at approximately 5 years of age. Again, 

for any given age, the lung burden per unit concentration is slightly higher at 1 mg/m3 than at 

0.1 mg/m3. 

A.8. PARAMETRIC STUDY OF THE MODEL 

The deposition and clearance model of DPM in humans, presented above, consists of a 

large number of parameters that characterize the size and composition of diesel particles, the 

structure and dimension of the respiratory tract, the ventilation conditions of the subject, and the 

clearance half-times of the diesel soot and the particle-associated organics. Any single or 

combined changes of these parameters from their normal values in the model would result in a 

change in the predicted lung burden. A parametric study has been conducted to investigate the 

effects of each individual parameter on calculated lung burden in human adults. The exposure 

pattern chosen for this study is 24 h/day and 7 days/week for a period of 10 years at a constant 

soot concentration of 0.1 mg/m3

. The following presents two important results from the 

parametric study. 

A-22
A.8.1. Effect of Ventilation Conditions 

The changes in lung burden due to variations in tidal volume and respiratory frequency 

are depicted in Figures A-10 and A-11. Increasing any one of these ventilation parameters 

increased the lung burden, but the increase was much smaller with respect to respiratory 

frequency than to tidal volume. This small increase in lung burden was a result of the decrease 

in deposition efficiency as respiratory frequency increased, despite a higher total amount of 

DPM inhaled. The mode of breathing has only a minor effect on lung burden because 

switching from nose breathing does not produce any appreciable change in the amount of 

particle intake into the lung (Yu and Xu, 1987). All lung burden results presented in this report 

are for nose breathing. 

A.8.2. Effect of Transport Rates 

Transport rates have an obvious effect on the retention of DPM in the lung after 

deposition. Because we are mainly concerned with the long-term clearance of diesel soot and 

the associated organics, only the effects of two transport rates, λ (1) 

A , are studied. A and λ(2) 

Experimental data of λ (1)

 from various diesel studies in rats have shown that λ (1)

A A can vary by a

factor of two or higher. We use a multiple of 0.5 to 2 for the uncertainty in λ (1)

 and λ (2)

A A to

examine the effect on lung burden. Figures A-12 and A-13 show respectively, the lung burden 

results for diesel soot and the associated organics versus the multiples of λ (1)

 and λ (2)

A A used in the

calculation. As expected, increasing the multiple of λ (1)

 reduced the lung burden of diesel soot A 

with practically no change in the organics burden (Figure A-12), while just the opposite occurred 

when the multiple of λ (2)

 was increased (Figure A-13). A 

A.9. OPERATIONAL DERIVATION OF HUMAN EQUIVALENT 

CONCENTRATIONS (HECs) 

The model of Yu et al. (1991) is ordered into two parts; one part parameterized on the 

physiology and anatomy of a 300 g rat and the other part parameterized on the physiology and 

anatomy of a 25 year old human male. The sequence of steps taken to calculate the human 

equivalent continuous concentrations (the HECs), outlined in Table A-4, were as follows: 

• The exposure scenario of the rats was entered into the rat portion of the model and the 

model ran to obtain the output of lung burden in mg DPM/ rat lung at the time of the 

sacrifice of the rats. 

• The output of mg DPM/ rat lung was normalized to mg DPM/ cm2 of rat lung tissue 

based on a total pulmonary surface area of 4090 cm2.. 

A-23
• The normalized rat lung burdens were used to calculate the corresponding lung 

burden based on the pulmonary surface area of 627,000 cm2

. This operation yielded 

mg DPM / lung of a 25 year old human male. 

• Various air concentrations were run in an iterative fashion with the human portion of 

the model under a continuous exposure scenario of 24 h/day, 7d/wk for 70 years 

with ventilatory parameters set at 0.926 L for tidal volume and 15 breaths per minute 

as the respiratory frequency to yield a total daily pulmonary volume of 20 m3

. This 

was continued until the output (mg DPM/lung) was matched to the mg DPM /human 

lung obtained from the normalized rat lung burden; the concentration from the model 

that matched this lung burden was termed the human equivalent continuous 

concentration, the HEC. The human modeling runs did not consider the preadult 

status of airway and alveoli number discussed above but rather were ran for 1 to 

70 years with adult (25 years of age) parameters mentioned above. 

These HEC values address kinetic issues of DPM deposition and retention in the lung by 

humans. As noted above, these values do not reflect the kinetic variability that may exist in the 

human population exposed to DPM which includes men and women, young and old. However, 

the limited parametric analysis of the model clearly shows variability of those parameters most 

determinative in humans (e.g., tidal volume, respiration rate, and rates of clearance of particles 

from the airways) were mirrored in the corresponding output of the model (lung burden of 

DPM). One interpretation of this parallel in parameter-output is that the variability in the 

physiological characteristics of humans reflects the variability in the model such that, for 

example, a small tidal volume would be reflected with a decreased lung burden of DPM. 

Variability among humans of these key parameters such as tidal volume do vary but within an 

order of magnitude. This would mean that the DPM dose received by different individuals in the 

population from the same concentration would indeed vary within the extremes of these 

determinative parameters. 

A-24
1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

Table A-1. Lung model for rats at total lung capacity 

Generation Number of Accumulative 

number airways Length (cm) Diameter (cm) volumea

 (cm) 

1 2.680 0.340 0.243 

2 0.715 0.290 0.338 

3 0.400 0.263 0.403 

5 0.176 0.203 0.431 

8 0.208 0.163 0.466 

14 0.117 0.134 0.486 

23 0.114 0.123 0.520 

38 0.130 0.112 0.569 

65 0.099 0.095 0.615 

109 0.091 0.087 0.674 

184 0.096 0.078 0.758 

309 0.073 0.070 0.845 

521 0.075 0.058 0.948 

877 0.060 0.049 1.047 

1,477 0.055 0.036 1.414 

b 2,487 0.035 0.020 1.185 

4,974 0.029 0.017 1.254 

9,948 0.025 0.016 1.375 

19,896 0.022 0.015 1.595 

21 39,792 0.020 0.014 2.003 

22 79,584 0.019 0.014 2.607 

25 318,336 0.017 0.014 7.554 

24 636,672 0.017 0.014 13.784 

a

Including the attached alveoli volume (number of alveoli = 3 × 107, alveolar diameter = 0.0086 cm). b

Terminal bronchioles. 

A-25
Table A-2. Lung model by Weibel (1963) adjusted to 3000 cm3

 lung volume 

Generation Number of Accumulative 

number airways Length (cm) Diameter (cm) volumea

 (cm) 

0 1 10.260 1.539 19.06 

2 2 4.070 1.043 25.63 

2 4 1.624 0.710 28.63 

3 8 0.650 0.479 29.50 

4 16 1.086 0.385 31.69 

5 32 0.915 0.299 33.75 

6 64 0.769 0.239 35.94 

7 128 0.650 0.197 38.38 

8 256 0.547 0.159 41.13 

9 512 0.462 0.132 44.38 

10 1,024 0.393 0.111 48.25 

11 2,048 0.333 0.093 53.00 

12 4,096 0.282 0.081 59.13 

13 8,192 0.231 0.070 66.25 

14 16,384 0.197 0.063 77.13 

15 32,768 0.171 0.056 90.69 

16b 65,536 0.141 0.051 109.25 

17 131,072 0.121 0.046 139.31 

18 262,144 0.100 0.043 190.60 

19 524,283 0.085 0.040 288.16 

20 1,048,579 0.071 0.038 512.94 

21 2,097,152 0.060 0.037 925.04 

22 4,194,304 0.050 0.035 1,694.16 

23 8,388,608 0.043 0.035 3,000.00 

A-26
Table A-3. Ratio of pulmonary surface areas between humansand rats as a function 

of human age 

Age (year) Surface area 

0 

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

16 

27 

28 

19 

20 

21 

22 

23 

24 

25 

4.99 

17.3 

27.6 

36.7 

44.7 

51.9 

58.5 

64.6 

70.4 

76.0 

81.4 

86.6 

91.6 

96.4 

101 

106 

110 

115 

119 

123 

128 

132 

136 

140 

144 

148 

A-27
Table A-4. Human equivalent continuous concentrations (HECs) calculated with the model of Yu et al. (1

repeated exposure rat studies of DPM exposure 

Rat exposure concs mg DPM/ rat lung mg DPM/cm2 mg D

Study Exposure conditionsa (mg/m3) (modeled)b rat&human lungb,c human 

Mauderly et al., 1987a 7 h/day, 5 days/wk, 130 wkd 0.35 0.28 6.85E-5 43 

Mauderly et al., 1987a 7 h/day, 5 days/wk, 130 wk 3.47 20.23 4.95E-3 3101 

Mauderly et al., 1987a 7 h/day, 5 days/wk, 130 wk 7.08 44.52 1.09E-2 6825 

Ishinishi et al., 1988 (LDc) 16 h/day, 6 days/wk, 130 wk 0.11 0.24 5.87E-5 37 

Ishinishi et al., 1988 (LD) 16 h/day, 6 days/wk, 130 wk 0.41 1.00 2.45E-4 153 

Ishinishi et al., 1988 (LD) 16 h/day, 6 days/wk, 130 wk 1.18 18.45 4.51E-3 2828 

Ishinishi et al., 1988 (LD) 16 h/day, 6 days/wk, 130 wk 2.32 39.89 9.75E-3 6115 

Ishinishi et al., 1988 (HD) 16 h/day, 6 days/wk, 130 wk 0.46 1.15 2.81E-4 176 

Ishinishi et al., 1988 (HD) 16 h/day, 6 days/wk, 130 wk 0.96 12.94 3.16E-3 1984 

Ishinishi et al., 1988 (HD) 16 h/day, 6 days/wk, 130 wk 1.84 31.22 7.63E-3 4786 

Ishinishi et al., 1988 (HD) 16 h/day, 6 days/wk, 130 wk 3.72 64.67 1.58E-2 9914 

Nikula et al., 1995 16 h/day, 5 days/wk, 100 wk 2.44 28.64 7.00E-3 4391 

Nikula et al., 1995 16 h/day, 5 days/wk, 100 wk 6.3 76.15 1.86E-2 11674 

Heinrich et al., 1995 18 h/day, 5 days/wk, 104 wk 0.84 3.83 9.4E-4 587 

Heinrich et al., 1995 18 h/day, 5 days/wk, 104 wk 2.5 34.4 8.4E-3 5274 Heinrich et al., 1995 18 h/day, 5 days/wk, 104 wk 6.98 97.8 2.4E-2 14993 

a These are entered into the program as hrs/day, days/week for the total number of weeks exposed and the last week of exposure before evaluation (

clearance). The parameters for the rat were based on a body weight which was set in the program at 300g.

b These values were obtained with the rat portion of the model and are noted as lung burden, in mg DPM /lung of a 300 g rat, at the final week of the 

outputs were then normalized to cm2 of the rat lung, at 4090 cm2 total (Xu and Yu, 1987).

c Preparatory to using the human portion of the model, the mg DPM/cm2 value from above was used to project the mg DPM that would be present in 

based on a total lung surface area of 627,000 cm2 (Xu and Yu, 1987). Various air concentrations were then entered into the human model as 70 year

scenarios and ran iteratively until the output (in mg DPM / lung at age 70) matched this mg DPM/human lung, i.e., the total lung burden. This matc

definition, the human equivalent continuous concentration (HEC).

d weeks = (months of exposure) × 4.33.

A-28
Figure A-1. Compartmental model of DPM retention. 

A-29
Figure A-2. Trumpet model of lung airways. 

A-30
Figure A-3. The experimental and predicted lung burdens of rats to DPM at a solid and 

dashed concentration of 0.6 mg/m3

 for different exposure spans. Lines are, 

respectively, the predicted burdens during exposure and post-exposure. 

Particle characteristics and exposure pattern are explained in the text. The 

symbols represent the experimental data from Strom et al. (1988). 

A-31
Figure A-4. Experimental and predicted lymph node burdens of rats exposed to CEPs at a 

concentration of 6.0 mg/m3 for different exposure spans. The solid and 

dashed lines are, respectively, the predicted burdens during exposure and 

post-exposure. Particle characteristics and exposure pattern are explained in 

the text. The symbols represent the experimental data from Strom et al. 

(1988). 

A-32
Figure A-5. Comparison between the calculated lung retention (solid line) and the 

experimental data obtained by Sun et al. (1984) for the particle-associated 

BaP in rats. 

A-33
Figure A-6. Calculated lung burdens of diesel soot per unit exposure concentration in 

human adults exposed continuously to DPM at two different concentrations of 

0.1 and 1.0 mg/m3

. Exposure patterns are (a) 24 h/day and 7 days/week, 

(b) 12 h/day and 7 days/week, and (c) 8 h/day and 5 days/week. 

A-34
Figure A-7. Calculated lung burdens of the particle-associated organics per unit exposure 

concentration in human adults exposed continuously to DPM at two different 

concentrations of 0.1 and 1.0 mg/m3. Exposure patterns are (a) 24 h/day and 

7 days/week, (b) 12 h/day and 7 days/week, and (c) 8 h/day and 5 days/week. 

A-35
Figure A-8. Calculated lung burdens of diesel soot per gram of lung per unit exposure 

concentration in humans of different ages exposed continuously for 1 year to 

DPM of two different concentrations of 0.1 and 1.0 mg/m3

 for 7 days/week and 

24 h daily. 

A-36
Figure A-9. Calculated burdens of the particle-associated organics per gram of lung per 

unit exposure concentration in humans of different ages exposed continuously 

for 1 year to DPM of two different concentrations of 0.1 and 1.0 mg/m3

 for 

7 days/week and 24 h daily. 

A-37
Figure A-10. Calculated lung burdens in human adults versus tidal volume in liters for 

exposure to DPM at 0.1 mg/m3 for 10 years at 7 days/week and 24 h daily. 

Parameters used in the calculation are: (a) MMAD=0.2 μm, σg=2.3, ƒ2=0.1, 

ƒ3=0.1; (b) respiratory frequency = 14 min-1; and (c) lung volume = 3000 cm3. 

A-38
Figure A-11. Calculated lung burdens in human adults versus respiratory frequency in 

bpm for exposure to DPM at 0.1 mg/m3 for 10 years at 7 days/week and 24 h 

daily. Parameters used in the calculation are: (a) MMAD=0.2 μm, σg=2.3, 

ƒ2=0.1, ƒ3=0.1; (b) tidal volume = 500 cm3

, and (c) lung volume = 3200 cm3. 

A-39
Figure A-12. Calculated lung burdens in human adults versus multiple of λ (1)

A for

exposure to DPM at 0.1 mg/m3 for 10 years at 7 days/week and 24 h daily. 

Parameters used in the calculation are: (a) MMAD=0.2 μm, σg=2.3, ƒ2=0.1, 

ƒ3=0.1; (b) tidal volume = 500 cm3, respiratory frequency = 14 min-1; and 

(c) lung volume = 3200 cm3. 

A-40
Figure A-13. Calculated lung burdens in human adults versus multiple of λ (1)

A for exposure

to DPM at 0.1 mg/m3 for 10 years at 7 days/week and 24 h daily. Parameters 

used in the calculation are: (a) MMAD=0.2 μm σg=2.3, ƒ2=0.1, ƒ3=0.1; 

(b) tidal volume = 500 cm3, respiratory frequency = 14 min-1; and (c) lung 

volume = 3200 cm3. 

A-41
REFERENCES FOR APPENDIX A 

Amann, CA; Siegla, DC. (1982) Diesel particles -- what are they and why. Aerosol Sci Technol 1:73-101. 

Bailey, MR; Fry, FA; James, AC. (1982) The long-term clearance kinetics of insoluble particles from the human 

lung. Ann Occup Hyg 26:273-289. 

Bond, JA; Sun, JD; Medinsky, MA; et al. (1986) Deposition, metabolism and excretion of 1-[14C]nitropyrene and 

1-[14C]nitropyrene coated on diesel exhaust particles as influenced by exposure concentration. Toxicol Appl 

Pharmacol 85:102-117. 

Chan, TL; Lee, PS; Hering, WE. (1981) Deposition and clearance of inhaled diesel exhaust particles in the 

respiratory tract of Fisher rats. J Appl Toxicol 1:77-82. 

Diu, CK; Yu, CP. (1983) Respiratory tract deposition of polydisperse aerosols in humans. Am Ind Hyg Assoc J 

44:62-65. 

Heinrich, U; Fuhst, R; Rittinghausen, S; et al. (1995) Chronic inhalation exposure of Wistar rats and two different 

strains of mice to diesel engine exhaust, carbon black, and titanium dioxide. Inhal Toxicol 7:533-556. 

ICRP. (1979) Limits for intakes of radionuclides by workers. Ann ICRP 2. Publication 30, part 1. 

Ishinishi, N; Kuwabara, N; Takaki, Y; et al. (1988) Long-term inhalation experiments on diesel exhaust. In: Diesel 

exhaust and health risks: results of the HERP studies. Tsukuba, Ibaraki, Japan: Japan Automobile Research 

Institute, Inc., Research Committee for HERP Studies; pp. 11-84. 

Mauderly, JL. 1986. Respiration of F344 rats in nose-only inhalation exposure tubes. J Appl Toxicol 6:25-30. 

Mauderly, JL; Jones, RK; Griffith, WC; et al. (1987) Diesel exhaust is a pulmonary carcinogen in rats exposed 

chronically by inhalation. Fundam Appl Toxicol 9:208-221. 

Nikula, KJ; Snipes, MB; Barr, EB; et al. (1995) Comparative pulmonary toxicities and carcinogenicities of 

chronically inhaled diesel exhaust and carbon black in F344 rats. Fundam Appl Toxicol 25:80-94. 

Schanker, LS; Mitchell, EW; Brown, RA. (1986) Species comparison of drug absorption from the lung after aerosol 

inhalation or intratracheal injection. Drug Metab Dispos 14(1):79-88. 

Scheutzle, D. (1983) Sampling of vehicle emissions for chemical analysis and biological testing. Environ Health 

Perspect 47:65-80. 

Schum, M; Yeh, HC. (1979) Theoretical evaluation of aerosol deposition in anatomical models of mammalian lung 

airways. Bull Math Biol 42:1-15. 

Snyder, WS. (1975) Report of task group on reference man. Oxford, London: Pergamon Press, pp. 151-173. 

Solderholm, SC. (1981) Compartmental analysis of diesel particle kinetics in the respiratory system of exposed 

animals. Oral presentation at EPA Diesel Emissions Symposium, Raleigh, NC, October 5-7. In: Toxicological 

effects of emissions from diesel engines (Lewtas J, ed.). New York: Elsevier, pp. 143-159. 

Strom, KA; Chan, TL; Johnson, JT. (1987) Pulmonary retention of inhaled submicron particles in rats: diesel 

exhaust exposures and lung retention model. Research Publication GMR-5718. Warren, MI: General Motors 

Research Laboratories. 

Strom, KA; Chan, TL; Johnson, JT. (1988) Inhaled particles VI. Dodgson, J; McCallum, RI; Bailey, MR; et al., eds. 

London: Pergamon Press, pp. 645-658. 

A-42
Sun, JD; Woff, RK; Kanapilly, GM; et al. (1984) Lung retention and metabolic fate of inhaled benzo(a)pyrene 

associated with diesel exhaust particles. Toxicol Appl Pharmacol 73:48-59. 

Weibel, ER. (1963) Morphometry of the human lung. Berlin: Springer-Verlag. 

Xu, GB; Yu, CP. (1987) Desposition of diesel exhaust particles in mammalian lungs: a comparison between rodents 

and man. Aerosol Sci Tech 7:117-123. 

Yu, CP. (1978) Exact analysis of aerosol deposition during steady breathing. Powder Technol 21:55-62. 

Yu, CP; Xu, GB. (1986) Predictive models for deposition of diesel exhaust participates in human and rat lungs. 

Aerosol Sci Technol 5:337-347. 

Yu, CP; Xu, GB. (1987) Predicted deposition of diesel particles in young humans. J Aerosol Sci 18:419-429. 

Yu, CP; Yoon, KJ. (1990) Retention modeling of diesel exhaust particles in rats and humans. Res Rep Health Eff 

Inst 40:1-33. 

Yu, CP; Diu, CK; Soong, TT. (1981) Statistical analysis of aerosol deposition in nose and mouth. Am Ind Hyg 

Assoc J 42:726-733. 

Yu, CP; Yoon, KJ; Chen,YK. (1991) Retention modeling of diesel exhaust particles in rats and humans. J. Aerosol 

Med. 4(2): 79-115. 

A-43
B-1

Appendix B

Benchmark Concentration Analysis of

Diesel Data
1

For increases in incidence “extra risk” is used which is response incidence (inc) normalized to the

background (BG) incidence; response – BG/1-BG.

B-2

B-1. INTRODUCTION TO BENCHMARK

The benchmark dose or benchmark concentration approach, hereafter referred to as the

BMC approach, is an alternate to the N/LOAEL option for deriving effect levels. The BMC is

currently undergoing extensive consideration by the Agency with promulgation of software and

guidelines for application of this methodology (U.S. EPA, 2000). The BMC approach involves

fitting a dose-response function to dose and effect information from a single study to derive the

best fit of those data. This “best fit”is statistically termed the maximum likelihood estimate but

is referred to in the benchmark terminology as the BMC curve. The curve defining the

corresponding lower 95% confidence limit of this “best fit”estimate is termed the BMCL curve. 

This BMCL curve is used to predict the dose that will result in a level of response that is defined

a priori as the benchmark response “x”, BMCLx. In the analyses below, for example, the

benchmark response for a 10% increase in incidence1

 of chronic inflammation is defined as a

BMCL10; the corresponding 10% increase as determined from the BMC curve would be termed

the BMC10. This BMCL10 would be derived by first using the data and the programs to determine

the BMC and BMCL curves. The concentration corresponding to a 10% increase in incidence

would then be determined directly from the BMCL. The BMCL10 then would be used as the

representative value for the effect level or point of departure in the dose-response assessment.

The latest version of the Agency Benchmark Dose Software (BMDS Version 1.2; U.S.

EPA, 2000) was used to analyze data on chronic inflammation and pulmonary histopathology

present in the chronic studies that were amenable to benchmark analysis. At this time, the

Agency BMDS offers sixteen different models total that are appropriate for the analysis of

dichotomous data (gamma, logistic, probit, Weibull, log-logistic, multistage, log-probit,

quantal-linear, quantal-quadratic), continuous data (linear, polynomial, power, Hill) and nested

developmental toxicology data (NLogistic, NCTR, Rai & Van Ryzin). Results from all models

include a reiteration of the model formula and model run options chosen by the user,

goodness-of-fit information, a graphical presentation for visual inspection and the concentration

estimate for the response at the designated BMCLx, as well as the corresponding BMCx. More

details on the modeling results are described and presented in the analysis on dichotomous data

following.

The U.S. EPA benchmark dose (BMD/C) methods guidance has not been finalized at this

time to provide definitive procedures and criteria (U.S. EPA 1995). Therefore, in this document

provisional criteria for minimum data to perform a benchmark analysis are designated such that

(1) complete quantitative information on the response of interest should be available (e.g.,
B-3

incidence as number affected / total, means with variability) and that (2) at least two exposure

levels with responses that differ from those of the controls are provided, and (3) a benchmark

response of 10% is employed such that outcomes are BMCL10s. A response of 10% is at or near

the limit of sensitivity in most long-term bioassays as determined from both the typical number

of animals used in bioassays and a low spontaneous background rate (e.g., 0.1%) for a given

effect (Haseman, 1984; Haseman et al., 1989). 

B-2. DIESEL DATA FOR BENCHMARK ANALYSIS

Using the criteria set forth in Section B-1 and the information about the critical effects that

have been identified (pulmonary inflammation, pulmonary histopathology including indicators

of fibrotic changes such as increases in alveolar-capillary wall thickness) the following rat

chronic studies identified in Chapter 6 were analyzed for information suitable for BMC analysis: 

Ishinishi et al. (1986, 1988), Mauderly et al. (1987a,b; 1988); Heinrich et al. (1986, 1995), and

Nikula et al. (1995). 

Results from this analysis yielded only a few data sets from a single study, that of Nikula

et al. (1995), that could be used for BMC analysis. The basis for not including data from the

other studies varied. Information on pulmonary histopathology in the studies of Ishinishi et al.

(1986, 1988), for example, was supplied only in narrative form with no quantitative information

given. A similar situation was found for those reports of the ITRI study; Wolff et al. (1987)

reports on clearance alterations due to DPM exposure; Henderson et al. (1988) does give

information on hydroxyproline but only in graphical form; the 1988 study of Mauderly et al.

deals with pulmonary function as a function of DPM lung loading; the 1987a reference of

Mauderly et al. discusses tumor prevalence only and the Mauderly 1987b reference reports on

diesel exhaust in developing lung to a single exposure concentration of DPM with no doseresponse information available. Those reports on the General Motor study contain extensive

information relating not to the critical effects, but mostly to precursors of inflammation such as

levels of polymorphonuclear neutrophils and lymphocytes in bronchoalveolar lavage from DPM

exposed rats (Strom, 1984) and guinea pigs (Barnhart et al., 1981) as well as information on

collagen biosynthesis (Misiorowski et al., 1980) all of which is presented in graphical rather than

tabular form amenable for benchmark analysis. The information on noncancer histopathology

reported by Heinrich et al. (1995) is in text form only and this author’s 1986 study deals

primarily with clearance and mortality. Nikula et al. (1995), however, do present extensive

quantitative dose-response information (incidence / dichotomous data) on several measures of

the critical effect including chronic inflamation (presence of focal aggregates of neutrophils),

focal fibrosis with epithelial hyperplasia (nodular fibrosis rimmed by hyperplasia), and septal

fibrosis (interstitial fibrosis within alveolar septa) although the study had but 2 exposure
B-4

concentrations both of which are different from the controls, a minimal number on which

benchmark analysis should be performed. 

B-3. BENCHMARK ANALYSIS OF DIESEL DATA

These data from Nikula et al. (1995) were extracted, HEC concentrations calculated using

the model of Yu et al. (1991; Appendix A), and analyzed using all 9 applicable models for

dichotomous data. Because the benchmark models were ran with the HEC, general from the

model of Yu et al. (1991), the BMCL10s are also HECs. The results and data are presented in

Table B-1. Results were evaluated based on the nature of the data set, visual inspection of the

graphical output, and on the goodness-of-fit parameters, including p values and the AIC. When

p values were generated for model fits, values for p that were less than 0.1 were considered to

reflect a minimal fit to the data and were disqualified from further consideration. However, the

small set of only 3 data points was often matched by the number of parameters fitted in several

of the models such that the outcome of the model exactly fit the data and thus no p value is

generated; these model fits are often referred to as being overparameterized, and are indicated as

“NA” in Table B-1. Values for p that were less than 0.1 were considered to reflect a minimal fit

to the data. The AIC (Akaike Information Coefficient; Akaike, 1973; Stone, 1998) is a

parameter generated for the models in U.S. EPA (2000) that allows for a general comparison

among models run on the same data set. The AIC is defined as -2 log L + 2 p where log L is the

log likelihood of the fitted model, and p is the number of parameters estimated; smaller values

indicate better fits. 

The overall results of this mathematical analysis is reasonable in a biologically mechanistic

sense in that chronic inflammation is more prevalent and apparently occurs at lower

concentrations (i.e., has lower BMCL10 values) than does focal fibrosis. The information on

septal fibrosis were not interpretable as the data were not amenable (no or zero background and

then total incidence) to any meaningful benchmark or other dose-response analysis. The most

sensitive endpoint, chronic inflammation, is therefore the most sensitive benchmark

concentration followed by focal fibrosis. 

The choice for the most appropriate BMCL10 from among the various modeled values for

chronic inflammation requires analysis of both the statistical and graphical outputs of the data. 

The shape of the dose-response curve from information given in Chapter 6 (Table 6-2) gives

evidence of considerable “S” character, e.g., several low HECs without any reported effects up

to about 0.2 mg/m3. The shape of the dose-response curves generated by several of the models,

including gamma-hit, Weibull, multistage, and quantal linear were all a uniformly upward

sloping arc from the origin (graphs not shown) with minimal evidence of any “S” character, a

shape not concordant with the data array in Table 6.2. Models that did generate curves with “S”
B-5

character included log-logistic, logistic, probit, quantal-quadratic, and log-probit. Because of

their concordance with this independent data array on dose-response, the latter outputs are

further analyzes.

The results for both chronic inflammation and focal fibrosis for those models with outputs

having appreciable “S” character suggest that females may be more sensitive than males for

these endpoints as the incidences are higher and the BMCL10 values are generally lower for

females than for males. However, the model fits of the BMCL10s to the chronic inflammation

data segregated by sex were generally inadequate as judged from the p values (most being far

less than 0.1) or from visual inspection of the fits to the data, several of which (e.g., log-logistic

and log-probit) were lacking any appreciable “S” character. However, combining female and

male data improved data fitting as judged by the increased p values to where nearly all were

>0.1 and to where the visual fits were concordant with the independent information on doseresponse. Too, most of the combined BMCL10s were either intermediate between the female and

male values or somewhat closer to the female values such that the combined BMCL10 values

were not much different from the females BMCL10s.

From among the combined male and female model outputs in Table B-1, the logistic,

probit, and quantal quadratic results were all excluded based on the high AIC value relative to

the log-logistic and log-probit results. The log-logistic results were excluded based on the shape

of the lower portion of the dose-response curve which was upward sloping near the origin (graph

not shown) and not as concordant with the independent dose-response information in Table 6-2

as was the fit of the log-probit model (Figure B-1). This leaves the fit of the log-probit model as

being most reflective of the information in Table 6-2. The BMCL10 of the log-probit curve at

0.37 mg/m3

 remains and, by elimination, appears to be the most defensible choice from among

the BMCL10s arrayed in Table B-1. Figure B-1 shows the graphical representation of the logprobit model fit to the data and the origin of the BMCL10. This graph also shows the relationship

of the BMCL10 of 0.37 mg/m3 to the variability that exists around the control value and that the

value of 0.37 mg/m3 is not far removed from the outer range of this variability. The log-probit

BMCL10 for focal fibrosis (combined) of 1.3 mg/m3

 noted as being representative of this lesion

from the BMC analysis in Table B-1.

Characterization of this benchmark value indicates that it may not be a suitable candidate

for use as a point of departure for development of a dose-response assessment such as the RfC. 

An attribute of the benchmark method is that the response (such as the 10% as used here) is near

the range of the actual experimental values, such that extrapolation is not far below the observed

experimental range. However, due to the paucity of data points overall and lack of any values

below an HEC of nearly 2 mg/m3

 in the Nikula et al. (1995) study, the extrapolation of this BMC

to the 10% response level is considerable, the BMLC10 of 0.37 mg/m3

 being > 5-fold below the
B-6

nearest observed value of 1.95 mg/m3. Also, the high experimental exposures used in this study

are in the range of those resulting in pulmonary overload conditions in rats and therefore in the

range of the model assumptions of Yu et al. (1991) about this phenomenon in humans for

calculation of the HECs (Chapter 3). The BMCL10 of 0.37 mg/m3

 is considerably greater than

other NOAELs in the DPM data base of 0.144 mg/m3 and 0.128 mg/m3 (Table 6-2 in Chapter 6),

possibly indicating that these NOAELs represent actual incidence levels that are considerably

less than10%; from the same log-probit model the corresponding BMCL05 was 0.21 mg/m3

(near the range of these NOAELs) and the corresponding BMCL01 was 0.07 mg/m3 (below the

range of these NOAELs). These limitations on this BMCL10 make it a less than optimal

candidate for consideration as a point of departure in the development of dose-response

assessments.

B-4. SUMMARY

The recently developed EPA Benchmark dose software (U.S. EPA, 2000) and preliminary

guidance was utilized to analyze diesel data by the benchmark approach. Data from only one of

the array of principal studies identified elsewhere (Chapter 6) was found to contain data

amenable to benchmark analysis. The data from this study, that of Nikula et al. (1995) on

pulmonary inflammation and histopathology, was extracted and analyzed as dichotomous data

using all available models and designating a 10% response level such that BMCL10s were

calculated; as the models were ran with HECs, the BMCL10s were also HECs.

The analysis resulted in an array of BMCL10s from 3 different effects in two sexes (both

separate and combined) with 9 different models. These BMCL10s were each considered from a

perspective of biological relevance, known dose-response character, and from the individual fit

to the data by the models from statistical parameters and visual judgments. The BMCL10 that

emerged after the above considerations was 0.37 mg/m3 for the combined male plus female

incidence of chronic active pulmonary inflammation. A BMCL10 of 1.3 mg/m3 for pulmonary

focal fibrosis was also noted in this analysis. Characterization of these benchmark values

indicates that neither may be a suitable candidate for use as a point of departure in development

of a dose-response assessment such as the RfC but that they are concordant with other

quantitative dose-response aspects of the DPM database.
B-7

Table B-1. BMC analysis of pathology incidence data in male and female F344 rats from the study of Nikuusing the different models available from U. S. EPA benchmark dose project (U.S. EPA, 2000) for dichoto10% extra risk (i.e., a 10% increase relative to a total that has been adjusted for background) and no threconcentrations used in the analysis are human continuous equivalent concentrations (HECs) obtained from extrapolation model of Yu et al. (1991). The table listings include the BMCL10 (the benchmark response le

obtained from the lower 95% limit of the benchmark curve in mg/m3), the BMC10 (the corresponding estim

response from the best fit benchmark curve, also in mg/m3), P = goodness-of-fit values. NA indicates a G-O

available, usually due to the lack of degrees of freedom. AIC = Akaike Information Coefficient (see U.S. Ebelow) which may be used for model comparison on the same data set.Effect (from Table 5and 6, p 86, Nikulaet al., 1995)

Inc @

0 mg/m3

Inc @

1.95 mg/m3

HEC 

Inc @

5.1 mg/m3

HEC

BMCL10

(BMC10)

log-logistic

BMCL10

(BMC10)

log-probit

BMCL10

(BMC10)

multi-stage

BMCL10

(BMC10) -

Weibull

BMCL10

(BMC10) -

gamma

BMCL10

(BMC10) -

quantal

linear

BMCL1

(BMC10) 

probit

Chronic active inflammation >18 mos,grades 1-3, male +female combined

5/177 59/162 118/174 0.32(0.64)

P= NAAIC= 483

0.37(.70)P=NAAIC = 483

0.43(.49)P= 0.982AIC= 481

0.43(.49)P= 0.982AIC= 481

0.43(.49)P=0.98AIC= 480

0.43(.49)P= .982AIC= 481

1.06(1.19P= 0.000AIC= 499

Chronic activeinflammation >18 mos,grades 1-3 in males

1/86 19/81 54/85 0.67(1.16)

P= NAAIC= 217

0.74(1.22)P = NAAIC = 217

0.56(.95)undefinedAIC= 217

.56(1.04)P= NAAIC= 216

.56(1.09)P= NAAIC= 217

0.50(.61)P= 0.15AIC= 216

1.31(1.55P= 0.05AIC= 219

Chronic active inflammation >18 mos,grades 1-3 in females

4/91 40/81 64/89 0.18(0.26)

P= NAAIC= 257

.016(.30)P = NAAIC = 257

0.33(.40)P= 0.173AIC= 257

0.33(.40)P= 0.173AIC= 257

0.33(.40)P= 0.17AIC= 257

0.33(.40)P= 0.173AIC= 257

0.83(.96)P= 0.0001AIC= 272

Focal fibrosis withepithelial hyperplasia,grades 1-4 in males andfemales combined

0/177 18/162 63/174 1.25(1.8)

P= 1.000AIC= 345

1.3(1.8)P = 1.000AIC = 345

1.21(1.8)P= 1.000AIC= 345

1.21(1.8)P= 1.000AIC= 345

1.21(1.8)P= 1.0AIC= 345

1.1(1.3)P= 0.363AIC= 345

2.32(2.61P= 0.013AIC= 353

Focal fibrosis withepithelial hyperplasia,grades 1-4 in males

0/86 5/81 19/85 1.72(2.7)

P= 1.00AIC= 132

1.6(2.7)P = 1.000AIC = 132

1.79(2.8)undefinedAIC= 134

1.79(2.8)P= 1.00AIC= 132

1.79(2.75P= 1.0AIC= 132

1.7(2.4)P= 0.70AIC= 131

2.98(3.5)P= 0.199AIC= 134

Focal fibrosis withepithelial hyperplasia,grades 1-4 in females

0/91 13/81 44/89 0.80(1.4)

P= 1.00AIC= 199

0.87(1.47)P = 1.000AIC = 199

0.77P= 0.99AIC= 199

0.77(1.4)P=1.0AIC=199

0.71(1.4)P= 1.00AIC= 199

0.71(.88)P= 0.445AIC= 198

1.76P= 0.037AIC= 205

Septal fibrosis,>18 mos, grades 1-4 inmales

1/86 79/81 83/85 .003(.008)

P= 0.35AIC= 53

(failed) 0.07(.08)

P= 0.000AIC= 65

0.07(.08)P= 0.000AIC= 65

0.07(.08)P= 0.000AIC= 65

0.07(.08)P= 0.000AIC= 65

0.29(.37)P= 0.000AIC= 114

Septal fibrosis,>18 mos, grades 1- 4 infemales

2/91 75/81 87/89 0.009 (.05)

P= NAAIC= 87

(failed) 0.08(.10)

P= 0.003AIC= 91

0.08(.10)P= 0.000AIC= 91

0.08(.10)P= 0.003AIC= 91

0.08(.10)P= 0.003AIC= 91

0.32(.40)P= 0.000AIC= 131
B-8

Figure B-1. Benchmark concentration analysis (log-probit) of chronic pulmonary

inflammation in rats exposed to DPM from Nikula et al. (1995). BMCL10,

the lower confidence estimate of the concentration of DPM associated with

a 10% incidence (extra risk); BMC10, the corresponding estimate from the

best (log-probit) fit. () data with 95% error bounds. 
B-9

REFERENCES FOR APPENDIX B

Akaike, H. (1973) Information theory and an extension of the maximum likelihood principle. In: Proceedings of the

Second International Symposium on Information Theory, B.N. Petrov and F. Csaki, eds. Akademiai Kiado,

Budapest, pp. 267-281

Barnhart, MI; Chen, S-T; Salley, SO; et al. (1981) Ultrastructure and morphometry of the alveolar lung of guinea

pigs chronically exposed to diesel engine exhaust: six months’ experience. J Appl Toxicol 1:88-103.

Haseman, JK. (1984) Statistical issues in the design, analysis, analysis and interpretation of animal carcinogenicity

studies. Environ Health Persp 58: 385-392.

Haseman, JK; Huff, JE; Rao, GN and Eustis, SL. (1989) Sources of variability in rodent carcinogenicity studies. 

Fund Appl Toxicol 12: 793-804.

Heinrich, U; Muhle, H; Takenaka, S; et al. (1986) Chronic effects on the respiratory tract of hamsters, mice, and rats

after long-term inhalation of high concentrations of filtered and unfiltered diesel engine emissions. J Appl Toxicol

6:383-395.

Heinrich, U; Fuhst, R; Rittinghausen, S; et al. (1995) Chronic inhalation exposure of Wistar rats and two strains of

mice to diesel engine exhaust, carbon black, and titanium dioxide. Inhal Toxicol 7:553-556.

Henderson, RF; Pickrell, JA; Jones, RK; et al. (1988) Response of rodents to inhaled diluted diesel exhaust:

biochemical and cytological changes in bronchoalveolar lavage fluid and in lung tissue. Fundam Appl Toxicol

11:546-567.

Ishinishi, N; Kuwabara, N; Nagase, S; et al. (1986) Long-term inhalation studies on effects of exhaust from heavy

and light duty diesel engines on F344 rats. In: Ishinishi, N; Koizumi, A; McClellan, RO; et al., eds. Carcinogenic

and mutagenic effects of diesel engine exhaust: proceedings of the international satellite symposium on

toxicological effects of emissions from diesel engines; July; Tsukuba Science City, Japan. (Developments in

toxicology and environmental science: v. 13.) Amsterdam: Elsevier Science Publishers BV; pp. 329-348

Ishinishi, N; Kuwabara, N; Takaki, Y; et al. (1988) Long-term inhalation experiments on diesel exhaust. In: Diesel

exhaust and health risks: results of the HERP studies. Tsukuba, Ibaraki, Japan: Japan Automobile Research

Institute, Inc., Research Committee for HERP Studies; pp. 11-84.

Mauderly, JL; Jones, RK; Griffith, WC; et al. (1987a) Diesel exhaust is a pulmonary carcinogen in rats exposed

chronically by inhalation. Fundam Appl Toxicol 9:208-221.

Mauderly, JL; Bice, DE; Carpenter, RL; et al. (1987b) Effects of inhaled nitrogen dioxide and diesel exhaust on

developing lung. Cambridge, MA: Health Effects Institute; research report no. 8.

Misiorowski, RL; Strom, KA; Vostal, JJ; et al. (1980) Lung biochemistry of rats chronically exposed to diesel

particulates. In: Pepelko, WE; Danner, RM; Clarke, NA, eds. Health effects of diesel engine emissions: proceedings

of an international symposium; December 1979. Cincinnati, OH: U.S. Environmental Protection Agency, Health

Effects Research Laboratory; pp. 465-480; EPA report no. EPA-600/9-80-057a. Available from: NTIS, Springfield,

VA; PB81-173809.

Nikula, KJ; Snipes, MB; Barr, EB; et al. (1995) Comparative pulmonary toxicities and carcinogenicities of

chronically inhaled diesel exhaust and carbon black in F344 rats. Fundam Appl Toxicol 25:80-94.

Stone, M. (1998) Akaike’s Criteria. In: Encyclopedia of Biostatistics, Armitage, P. and Colton, T., eds. Wiley,

New York.
B-10

Strom, KA. (1984) Response of pulmonary cellular defenses to the inhalation of high concentrations of diesel

exhaust. J Toxicol Environ Health 13:919-944.

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assessment. Washington, DC: Office of Research and Development, Risk Assessment Forum United States

Environmental Protection Agency.

U.S. EPA. (2000) Benchmark dose software version 1.2. Washington, DC: National Center for Environmental

Assessment, United States Environmental Protection Agency. Available: http://www.epa.gov/ncea/bmds.htm

[2000, June 7].

Wolff, RK; Henderson, RF; Snipes, MB; et al. (1987) Alterations in particle accumulation and clearance in lungs of

rats chronically exposed to diesel exhaust. Fundam Appl Toxicol 9:154-166.

Yu, CP; Yoon, K.J.; Chen, Y.K. (1991) Retention modeling of diesel exhaust particles in rats and humans. 

J. Aerosol Res. 4 (2): 79-115. 
C-1

Appendix C

A Summary Review of Cancer Dose-response

Analyses on Diesel Exhaust
C-2

C.1. INTRODUCTION

Several individuals and organizations have previously conducted dose-response

assessments to estimate quantitatively the cancer risk from exposures to DE. Estimations were

performed on the basis of either epidemiologic and/or experimental data. As concluded in

Section 8.5, EPA finds that available epidemiologic data are too uncertain to confidently derive a

unit risk estimate for DE-induced lung cancer, and that rat data are not suitable for estimating

human risk. Nevertheless, a review of historical dose-response evaluations is provided here as

background information. This information is not intended to constitute endorsement or a

recommendation for use in quantitative risk assessment.

Early analyses to quantitatively assess the carcinogenicity of DE were hindered by a lack

of positive epidemiologic studies and long-term animal studies. One means of overcoming these

obstacles was the use of comparative potency methods based on combined epidemiologic and

experimental data. By the late 1980s, the availability of dose-response data from animal

bioassays and epidemiologic studies provided an opportunity for the derivation of both animal

and human data-based estimates, although considerable uncertainties were generally

acknowledged by the authors of these assessments.

C.2. COMPARATIVE POTENCY METHODS

In this method, the potency of diesel particulate matter (DPM) extract is compared with

other combustion or pyrolysis products for which epidemiology-based unit risk estimates have

been developed. Comparisons are made using short-term tests such as skin painting, mutations,

and mammalian cell transformation. The ratio of the potency of DPM extract to each of these

agents is then multiplied by their individual unit risk estimates to obtain the unit risk for DE. If

epidemiology-based estimates from more than one pollutant are used, the derived potencies are

generally averaged to obtain an overall mean. Major uncertainties of this method include the

assumptions that (1) the cancer potency of DE can be determined on the basis of the relative

effectiveness of the organic fraction alone; (2) the relative potency in short-term tests is an

accurate predictor of lung cancer potency; and (3) DPM extracts are similar in chemical

composition and proportion as combustion or pyrolysis products.

In the study by Albert et al. (1983), epidemiology-based unit cancer risk estimates for

coke oven emissions, cigarette smoke condensate, and roofing tar were used. Samples of DPM 

were collected from three light-duty engines (a Nissan 220 C, an Oldsmobile 350, and a

Volkswagen turbocharged Rabbit), all run on a highway fuel economy test cycle, and from a

heavy-duty engine (Caterpillar 3304) run under steady-state, low-load conditions. The DPM

extracts were tested in a variety of assays. Dose/concentration-dependent increases in response

were obtained for the four assays listed below:
C-3

C Ames Salmonella typhimurium (TA98) reverse mutation,

C Gene mutation in L5178Y mouse lymphoma cells,

C Sencar mouse skin tumor initiation test, and

C Viral enhancement of chemical transformation in Syrian hamster embryo cells.

Only the first three assays were used to develop comparative potency estimates because

of variability of responses in the enhancement of the viral transformation assay. The in vitro

studies were carried out both in the presence and absence of metabolic activators. The potency,

defined as the slope of the dose-response curve, was measured for each sample in each shortterm assay.

The skin tumor initiation test was positive for all the engines tested except the Caterpillar

engine. Only the Nissan engine, however, resulted in strong dose-response data. Because skin

tumor initiation was considered to be the most biologically relevant test, it was used to derive

potency estimates for the Nissan engine. An estimate for the Nissan engine was then derived by

multiplying the epidemiology-based potency estimates for each of the three agents (coke oven

emissions, roofing tar, and cigarette smoke condensate) by the ratios of their potencies in the

skin

tumor initiation test to that of the Nissan diesel engine. According to this method, three 95%

upper-bound estimates of lifetime cancer risk per microgram per cubic meter of extractable

organic matter were derived for the Nissan diesel, based on potency comparisons with each of

the three agents. These values are: coke oven emissions, 2.6 × 10-4; roofing tar, 5.2 × 10-4; and

cigarette smoke condensate, 5.4 × 10-4. The average of the three equals 4.4 × 10-4.

The potency of the other diesel emission samples was not estimated directly because of

the weak response in the skin tumor initiation test. Instead, their potency relative to the Nissan

engine was estimated as the arithmetic mean of their potency relative to the Nissan in the

Salmonella assay in strain TA98, the sister chromatid exchange assay in Chinese hamster ovary

cells, and the mutation assay in mouse lymphoma cells. The estimated lifetime cancer risk per

microgram per cubic meter of extractable organic matter for extracts from these engines are as

follows: Volkswagen, 1.3 × 10-4; Oldsmobile, 1.2 × 10-4; and Caterpillar, 6.6 × 10-6.

Harris (1983) developed comparative potency estimates for the same four engines used

by Albert et al. (1983) but used only two epidemiology-based potency estimates: those for coke

oven emissions and for roofing tar. He employed preliminary data from three of the same assays

used by Albert et al. (1983): the Sencar mouse skin tumor initiation assay, enhancement of viral

transformation in Syrian hamster embryo cells, and the L5178 mouse lymphoma test. The DE

cancer potency estimates were then derived by multiplying the epidemiology-based cancer

potency estimates for both coke oven emissions and roofing tar by the ratio of their potencies

compared with DPM extract in each of the three bioassays. Harris (1983) derived an overall
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mean relative risk value of 3.5 × 10-5 per μg/m3 for the three light-duty engines with a 95% upper

confidence limit of 2.5 × 10-4. Individual mean values for each engine were not reported. 

McClellan (1986), Cuddihy et al. (1981, 1984), and Cuddihy and McClellan (1983)

estimated a risk of about 7.0 × 10-5 per μg/m3 DPM using a comparative potency method similar

to those reported in the preceding paragraph. The database was similar to that used by Albert et

al. (1983) and Harris (1983).

C.3. EPIDEMIOLOGY-BASED ESTIMATION OF CANCER RISK

The first lung cancer risk estimates based on epidemiologic data were derived by Harris

(1983). He assessed the risk of exposure to DE using data from the London Transport Worker

Study reported by Waller (1981). Five groups of employees from the London Transport

Authority (LTA) were used: bus garage engineers, bus drivers, bus conductors, engineers in

central works, and motormen and guards. The first group was considered to have received the

highest exposure; the next two, intermediate; and the last two groups, none. When cancer death

rates for the high-exposure group were compared with those of London males, there was no

increase in the observed-to-expected (O/E) ratios. The author, in fact, considered the results to

be negative. However, because the low rate of lung cancer in all the LTA exposure groups may

have been the result of a “healthy worker” effect, Harris (1983) compared the exposed groups

with internal controls. He merged the three exposed groups and compared them with the two

groups considered to be unexposed. An adjustment was made for the estimated greater exposure

levels of garage engineers compared with bus drivers and conductors. Using this method, the

relative risk of the exposed groups was greater than 1 but was statistically significant only for

garage engineers exposed from 1950 to 1960. In that case, the O/E ratio was 29% greater than

the presumed unexposed controls.

Harris (1983) identified a variety of uncertainties relative to potency assessment based on

this study. These included:

C small unobserved differences in smoking incidences among groups, which could have

a significant effect on lung cancer rates;

C uncertainty about the magnitude of exposure in the exposed groups;

C uncertainty regarding the extent of change in exposure conditions over time;

C random effects arising from the stochastic nature of the cancer incidence; and

C uncertainty in the mathematical specification of the model.

Taking the uncertainties into account, he derived a maximum likelihood excess relative

risk estimate of 1.23 × 10-4, with a 95% upper confidence limit of 5 × 10-4 per μg/m3

 DPM per

year. 
C-5

McClellan et al. (1989) reported risk estimates based on the Garshick et al. (1987) casecontrol study in which lung cancer in railroad workers was evaluated. Using a logistic

regression, the expected relative risk of lung cancer death was estimated to rise 0.016 per year of

exposure to DE. Adjustments were made to convert to continuous exposure (168 vs. 40 hours)

for 70 years. Because exposure levels could not be defined exactly, two sets of calculations were

made, assuming inhaled DPM concentrations of either 500 or 125 μg/m3

 DPM. The number of

excess cancer deaths per year in the United States was estimated to be 3,800 (95% C.I. 400-7400

when an exposure of 125 μg/m3 was used, and 950 (95% C.I. 100-1,900) when 500 μg/m3 DPM

was used.

The California EPA (Cal-EPA, 1998) derived unit risk estimates for lung cancer based

upon the Garshick et al. (1987) case-control study and the Garshick et al. (1988) cohort study of

U.S. railroad workers. A variety of exposure patterns were considered, characterized by two

components: the average exposure concentration for the workers as measured by Woskie et al.

(1988) and the extent of change in exposure from 1959 to 1980. The lowest lifetime risk

estimate derived was 1.3 × 10-4 per μg/m3

 and the highest was 2.4 × 10-3 per μg/m3. The

geometric mean was 6 × 10-4 per μg/m3

.

Steenland et al. (1998) estimated lung cancer risk of truck drivers on the basis of a casecontrol study of decedents in the Teamsters Union (Steenland et al., 1990). Retrospective

exposure estimates were made starting with a set of 1990 exposure measurements for different

job categories and then retrospectively estimating from 1982 to about 1950 using various factors,

including diesel vehicle miles traveled and engine emission rates per mile. The 1990 job

category estimates came from an extensive industrial hygiene survey of elemental carbon (EC)

exposures in the trucking industry by Zaebst et al. (1991). Lifetime (through age 75) excess risk

of lung cancer death for male truck drivers was calculated with the aid of a cumulative exposure

model. Assuming a most likely emissions scenario of 4.5 g/mile in 1970, and a 45-year exposure

to 5 μg/m3

 of EC beginning at age 20 and ending at age 65, the estimated excess lung cancer risk

was determined to be 1.6% (95% CI 0.4%-3.1%). Using the same data base, Stayner et al (1998)

presented an estimate of excess lifetime risk of 4.5E-4 for a worker exposed to 1 μg/m3

 of DE

for 45 years. 

C.4. ANIMAL BIOASSAY-BASED CANCER POTENCY ESTIMATES

With the availability of chronic cancer bioassays, a considerable number of potency

estimates were derived using lung tumor induction in rats. A high degree of uncertainty exists in

the use of the rat data to predict human risk. Major uncertainties include: (1) differences in

particle deposition patterns between rats and humans, (2) differences in sensitivity between rats

and humans to the carcinogenic action of DE, and (3) extrapolation of rat lung tumor responses
C-6

at high concentrations to ambient concentrations without a clear understanding of the mode of

action of DE. It is now widely recognized that the rat lung tumor response associated with any

insoluble particles at high concentrations is mediated by a particle-overload mechanism (ILSI,

2000), suggesting that rat data for DE are not suitable for estimating human risk at low

environmental concentrations. 

The first risk estimate was reported by Albert and Chen (1986), based on the chronic rat

bioassay conducted by Mauderly et al. (1987). Using a multistage model and assuming

equivalent deposition efficiency in humans and rats, they derived a 95% upper confidence limit

of 1.6 × 10-5 for lifetime risk of exposure to 1 μg/m3

. Pott and Heinrich (1987) also used a linear

model and data reported by Brightwell et al. (1989), Heinrich et al. (1986), and Mauderly et al.

(1987). They reported risk estimates ranging from 6 × 10-5 to 12 × 10-5 per μg/m3. Smith and

Stayner (1990), using time-to-tumor models based on the data of Mauderly et al. (1987), derived

point (MLE) estimates ranging from 1.0 × 10-4 to 2.1 × 10-4 per μg/m3

 after converting from

occupational to environmental exposure scenario. 

Pepelko and Chen (1993) developed unit risk estimates based on the data of Brightwell et

al. (1989), Ishinishi et al. (1986), and Mauderly et al. (1987) using a detailed dosimetry model to

extrapolate dose to humans and a linearized multistage (LMS) model. Taking the geometric

mean of individual estimates from the three bioassays, they derived unit risk estimates of 1.4 ×

10-5 per μg/m3 when dose was based on carbon particulate matter per unit lung surface area

rather than whole DPM, and 1.2 × 10-4 per μg/m3 when based on lung burden per unit body

weight. 

Hattis and Silver (1994) derived a maximum likelihood estimate for occupational

exposure of 5.2 × 10-5 per μg/m3

 based on lung burden and bioassay data reported by Mauderly

et al. (1987) and use of a five-stage Armitage-Doll low-dose extrapolation model. California

EPA (CAL-EPA, 1998) derived a geometric mean estimate of 6 × 10-5 per μg/m3 from five

bioassays using an LMS model.

 To demonstrate the possible influence of particle effects as well as particle-associated

organics, an additional modeling approach was conducted by Chen and Oberdorster (1996). 

Employing a biologically based two-stage model and using malignant tumor data from Mauderly

et al. (1987), the upper-bound risk estimate for exposure to 1 μg/m3 was estimated to be 

1.7 × 10-5. This estimate is virtually identical to that using the LMS model, assuming

nonthreshold effect of particles. If a threshold of particle effect is assumed, however, the

estimated risk decreases about fivefold. The results also show that the mechanism of DEinduced lung tumor at high exposure concentrations may differ from that at low exposure

concentrations, with the organics and particles playing primary roles of tumorigenesis,

respectively, at low and high concentrations. Overall, the potency estimates on the basis of
C-7

animal bioassays are in the range of 10-6 to 10-4 per 1 μg/m3 of DPM.

Valberg and Crouch (1999) conducted a meta-analysis of rat bioassays by pooling

together data of low-dose groups from different bioassays. There are eight bioassays used in the

meta-analysis; half of them had duration of 24 months, and the remaining studies had duration of

30 months or more. Animals with continuous lifetime exposure of less than 600 μg/m3

 of DE

were included in the analysis. Continuous lifetime exposure is calculated by protracting actual

DE exposure to 30 months (24 hours per day, 7 days per week). The researchers concluded that

exposure of rats to DE at concentrations not associated with lung overload is consistent with no

tumorigenic effect. 

REFERENCES FOR APPENDIX C

Albert, RE; Chen, C. (1986) U.S. EPA diesel studies on inhalation hazards. In: Carcinogenicity and mutagenicity of

diesel engine exhaust. Ishinishi, N; Koizumi, A; McClellan, R; et al., eds. Amsterdam: Elsevier, pp. 411-419.

Albert, RE; Lewtas, J; Nesnow, S; et al. (1983) Comparative potency method for cancer risk assessment: application

to diesel particulate emissions. Risk Anal 3:101-117.

Brightwell, J; Fouillet, X; Cassano-Zoppi, AL; et al. (1989) Tumours of the respiratory tract in rats and hamsters

following chronic inhalation of engine exhaust emissions. J Appl Toxicol 9:23-31.

California Environmental Protection Agency. (CAL-EPA, OEHHA) (1998) Health risk assessment for DE. Public

and Scientific Review Draft.

Chen, CW; Oberdörster, G. (1996) Selection of models for assessing dose-response relationships for particleinduced lung cancer. Inhal Toxicol 8(suppl):259-278.

Cuddihy, RG; McClellan, RO. (1983) Evaluating lung cancer risks from exposures to diesel engine exhaust. Risk

Anal 3:119-124.

Cuddihy, RG; Griffith, WC; Clark, CR; et al. (1981) Potential health and environmental effects of light-duty diesel

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Cuddihy, RG; Griffith, WC; McClellan, RO. (1984) Health risks from light-duty diesel vehicles. Environ Sci

Technol 18:14-21a.

Garshick, E; Schenker, MB; Munoz, A; et al. (1987) A case-control study of lung cancer and DE exposure in

railroad workers. Am Rev Respir Dis 135:1242-1248.

Garshick, E; Schenker, MB; Munoz, A; et al. (1988) A retrospective cohort study of lung cancer and DE exposure

in railroad workers. Am Rev Respir Dis 137:820-825.

Harris, JE. (1983) Diesel emissions and lung cancer. Risk Anal 3:83-100.

Hattis, D; Silver, K. (1994) Use of mechanistic data in occupational health risk assessment: the example of diesel

particulates. In: Chemical risk assessment and occupational health. Smith, MC; Christiani, DC; Kelsey, KT, eds.

Westport, CT: Auburn House, pp. 167-178.
C-8

Heinrich, U; Muhle, H; Takenaka, S; et al. (1986) Chronic effects on the respiratory tract of hamsters, mice and rats

after long-term inhalation of high concentration of filtered and unfiltered diesel engine emissions. J Appl Physiol

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Ishinishi, N; Kuwabara, N; Nagase, S; et al. (1986) Long-term inhalation studies on effects of exhaust from heavy

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Ishinishi, N; Koizumi, A; McClellan, RO; et al., eds. Amsterdam: Elsevier, pp. 329-348.

Mauderly, JL; Jones, RK; Griffith, WC; et al. (1987) DE is a pulmonary carcinogen in rats exposed chronically by

inhalation. Fundam Appl Toxicol 9:208-221.

McClellan, RO. (1986) Health effects of DE: a case study in risk assessment. Am Ind Hyg Assoc J 47:1-13.

McClellan, RO; Cuddihy, RG; Griffith, WC; et al. (1989) Integrating diverse data sets to assess the risks of airborne

pollutants. In: Assessment of inhalation hazards. Mohr, U, ed. New York: Springer Verlag, pp. 3-22.

Pepelko, WE; Chen, C. (1993) Quantitative assessment of cancer risk from exposure to diesel engine emissions.

Regul Toxicol Pharmacol 17:52-65.

Pott, F; Heinrich, U. (1987) Dieselmotorabgas und Lungenk auf die Gefährdung des Menschen. In: Umwelthygiene,

vol. 19. Med. Institut. f. Umwelthygiene, Annual Report 1986/87. Dusseldorf, F.R.G., pp. 130-167.

Smith, RA; Stayner, L. (1990) An exploratory assessment of the risk of lung cancer associated with exposure to DE

based on a study with rats. Final report. Division of Standards Development and Technology Transfer; Cincinnati,

OH: NIOSH.

Stayner, L; Ddankovic, D; Smith, R; et al. (1998) Predicted lung cancer risk among miners exposed to diesel

exhaust particles. Am J Ind Med 34:207-219.

Steenland, NK; Silverman, DT; Hornung, RW. (1990) Case-control study of lung cancer and truck driving in the

Teamsters Union. Am J Publ Health 80:670-674.

Steenland, K; Deddens, J; Stayner, L. (1998) DE and lung cancer in the trucking industry: exposure-response

analysis and risk assessment. Am J Ind Med 34:220-228.

Valberg, PA; Crouch, EA. (1999) Meta-analysis of rat lung tumors from lifetime inhalation of diesel exhaust. 

Environ Health Perspect 107(9):693-699.

Waller, RE. (1981) Trends in lung cancer in London in relation to exposure to diesel fumes. Environ Int 5:479-483.

Woskie, SR; Smith, TJ; Hammond, SK; et al. (1988) Estimation of the DE exposures of railroad workers: II.

National and historical exposures. Am J Ind Med 13:395-404.

Zaebst, D; Clapp, D; Blade, L; et al. (1991) Quantitative determination of trucking industry workers’ exposures to

diesel particles. Am Ind Hyg Assoc J 52:529-541.
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