Comparative risk assessment primer

PII: SO266-9838(96)00004-4

ELSEVIER

Environmental Software. Vol. I I, No. 4, pp. 203-207, 1996 0 1997 Elsevier Science Ltd All riehts reserved. Printed in Great Britain 0266-9838/96/$15.00 + 0.00

Comparative risk assessment primer Karla M. Embleton, Don D. Jones, Bernard A. Engel Agricultural

& Biological

Engineering, (Received

Purdue

31 August

University,

West Lafayette,

1995; accepted

5 April

Indiana

47907-I 146, USA

1996)

Abstract Comparative risk assessment (CRA) is both an analytical process and a methodology for prioritizing environmental problems. It is a useful tool for managers and planners at all levels of government. A personal computer (PC) DOS-based Comparative Risk Assessment Primer has been developed to train and assist those involved in environmental policy formation, and to serve as a detailed information source for persons interested in environmental risk and risk assessment. The primer provides: definitions of key terms; an overview of risk and risk assessment; a breakdown of the CRA methodology; an overview of risk management; summaries of 36 CRA projects; glossary; bibliography; and a listing of environmental information contacts. It is an interactive software program that incorporates text, line drawings and digitized imagery. Supplemental information accessible through hypertext links imbedded in the text passages and on select graphics provides on-line help and more detailed information for interested users. 0 1997 Elsevier Science Ltd. All rights reserved. Keywords: Risk; risk assessment;

Environmental

Protection

Agency;

risk

assessment

(CRA)

is

a tool

hypertext

non-cancer); (2) ecological risks; and (3) quality of life risks, which include such factors as aesthetics, economic well-being and recreation. The basic components and processes of CRA were established by the United States Environmental Protection Agency (EPA) in its 1987 report Unjinished Business (US EPA, 1987). However, each project must adapt to the needs and

1. Introduction Comparative

training;

for

prioritizing environmental problems according to the level of risk they pose (Jones, 1993). Several types of risk may be considered, though the most common categories are: (1) human health risks (both cancer and 203

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goals of the conducting organization. Therefore, projects often differ in structure, personnel and agency involvement, public involvement, environmental problems considered, risk criteria, analytical methods, and final output. CRA is a crucial part of environmental management and planning. At a time when budgets are shrinking and there is growing competition for limited dollars, managers and planners are faced with (1) increasing environmental regulations, (2) the need for environmental protection, and (3) the clean-up and remediation of past environmental problems (Minard, 1991). CRA provides managers and planners with necessary information about environmental risks which they can combine with non-risk related inputs, such as cost, legal mandates, and public opinion to form policy. To date, the EPA has been involved to some degree in at least one federal, 28 state level, eight city level, three tribal, and three foreign federal-level comparative risk assessment projects (US EPA, 1994). A CRA Primer has been developed to train and assist managers and planners in the process and details of CRA. The primer was developed by the Center for Technology Transfer and Pollution Prevention in the Agricultural and Biological Engineering Department at Purdue University. The Center was created in 1992 through the joint efforts of Purdue University and Region 5 of the US EPA to formally oversee the development, distribution and maintenance of a line of environmental software products (Embleton et aE., 1994). The Comparative Risk Assessment Primer is one of approximately 50 EPA-Purdue educational software projects developed and maintained at the Center.

2. CFL4 Primer The CRA Primer was developed to run on personal computers. It was created with the software development tool KnowledgePro (Thompson and Thompson, 1988). There is no runtime fee for compiled programs. The Primer is hypertext-based. The hypertext format allows supplementary textual and graphical information to be stored in user-accessible links embedded within the main body of the program. This creates a multilevel information structure that allows different users to quickly access information particular to their needs and knowledge level. The Primer describes the structure and steps of the CRA process; explains the concept of risk; provides overviews of risk assessment and risk management; contains 38 federal, state, tribal and city CRA project summaries; includes a 161 term glossary and a structured bibliography; and lists federal and state environmental information contacts. It is an easily accessible, self-paced educational tool targeted towards federal, state, tribal, and community government personnel. It is also useful to anyone who might want basic factual

information about risk, risk assessment, the CRA process and environmental planning. The Primer has a hierarchial menu structure. The top two levels are shown in the program flowchart provided in Table 1. The user can investigate any section of interest and terminate the consultation at any time. The program is text-based but contains 84 full-screen graphical images. Graphical hypertext links incorporated onto US maps are particularly useful in the ‘Case Studies’ and ‘Informational Sources’ sections as these maps allow users to quickly access the regional information they are seeking.

3. Using the CRA Primer 3.1. Example 1: project leader on a city environmental policy planning committee A project leader on a city policy planning committee is responsible for organizing and supervising a comparative risk assessment project that will provide input needed for the city’s long-term environmental policy formation. The leader must combine the results of scientific technical subcommittees with public opinion, The goal of the project is to develop one ranked list of environmental problems that the city will consider in all future policy decisions. The CRA Primer provides the leader with information required for structuring and planning the project. Most of the information the leader needs can be found in Methodology of CRA section of the Primer (choice number four in the Main Menu shown in Table 1). This section lists the recommended steps to follow for project planning, start-up and risk analysis. These lists are shown in Tables 2 and 3. In the same section of the Primer, the leader can find more detailed information about many of these steps. Items of particular use include guidelines on staffing the project (key members, their roles and responsibilities), methods of defining project goals, things to consider when determining which environmental problems to analyze, and descriptions of possible ranking criteria. The portion outlining analytical methods describes four common ranking alternatives - weighted scoring, negotiated consensus, voting and rules - and seven criteria by which any ranking alternative should be judged. The leader can examine these methods and select those that are best suited to the project based on the preferences of the people involved, the time available and the final output form required. For additional information, the leader can go through selected project summaries provided in the Case Studies section to discover how other teams have conducted city level CRA projects. References and contacts for many of these projects can then be selected from the Bibliography and Information Sources sections.

K. M. Embleton et aLlComparative Table 1 Comparative

risk assessment program flowchart

START-UP [copyright title screen, credits, objectives statement] Main menu 1. Instructions on Use 2. History of CRA (a) Traditional Role of EPA (b) Major Environmental Statutes (c) History of CRA 3. Risk & Risk Assessment (a) Risk (b) Human Health Risks (c) Ecosystem Risks (d) Quality of Life Risks (e) Risk Assessment (f) Environmental Indicators (g) Dose (h) Hazard Identification (i) Dose-Response Evaluation (j) Human Exposure Evaluation (k) Risk Characterization Methodology of CRA 4. (a) Initiating a Project (b) Preliminary Planning Overview (c) Project Planning & Start-up Steps (d) Risk Analysis Steps (e) Risk Management Steps (f) Project Wrap-up (g) The Project Team (h) Targeting Available Resources (i) Defining Project Goals (j) Defining Project Scope (k) Deveioping a Problem List (1) Ranking Environmental Problems (m) Environmental Equity Considerations 5. Risk Management (a) Overview (b) Steps in Risk Management (c) Risk Management Tools 6. Case Studies (a) 1993 & 1994 Project Summaries (36 total) (b) The Strategy for Vermont’s Third Century (c) EPA’s Unfinished Business 7. Information Sources (a) EPA Regional Offices (b) ACCESS EPA (c) State Agencies Responsible for Water Quality 8. Glossary (161 terms) 9. Bibliography EPA -Documents Science Advisory Board Documents NCCR Documents Federal Projects State, City & Tribal Projects Foreign Project Overview: Methods, Themes, Critiques Risk Analysis & Risk Assessment Problem Definitions Ranking: Techniques & Issues Environmental Equity Public Participation (m) Risk Communication & Risk Perception (n) Indicators & Monitoring Results (0) Risk Management Approaches (p) Regulatory Flexibility & Disinvesting

risk assessment primer

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Table 1 Continued

IO.

(q) Legal Issues (r) Bibliographies, Newsletters, Other Sources Program References & Graphics (a) Program Graphics (84 images) (b) Paper References (c) Non-paper References

Table 2 Project planning and start-up steps 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.

Assemble planning team Assess underlying problems Define goals for the project Secure support of key stakeholders Secure letter of support from the governor Select project director Determine organizational structure Select technical work groups and public advisory and steering committees Determine public participation role Determine ranking process and who’s responsible for

1 I.

each ranking Determine process to turn ranking results into risk

12.

reduction strategies/budget decisions Begin identifying and defining problem areas

Table 3 Risk analysis steps 1. 2. 3. 4. 5. 6. 7.

Finalize problem area list and problem area definitions Gather data Assess risks for each problem area Prioritize risks by ranking them Document risk analysis Identify areas of uncertainty requiring more research/data gaps Identify environmental indicators that will help monitor risks in the future

3.2. Exumple 2: urban planning student A student studying the influence of environmental issues on policy formation would use the CRA Primer in a very different way than the project leader, described in Example 1. Unlike the project leader who must focus on the organizational details of CRA, the student is trying to gain a more general understanding of the aims and uses of CRA. A student’s use of the Primer will also vary depending on the individual learning goals and interests of the student and the amount of time he or she spends with the program. A student will typically start at the beginning of the Main Menu and methodically go through most, or all, of the sections in the Primer. However, because the Primer contains a significant amount of information, it

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is recommended that students pace their exploration through the program, exploring different sections during different consultation sessions rather than trying to absorb all the information at one sitting. A significant amount of time should be spent on the background and the overview components of each section. In particular, the Risk & Risk Assessment section should be carefully studied, as it introduces the core concepts of CRA. While working through the Primer, the student should open hypertext links to access supplementary information, definitions and examples related to the material currently being reviewed. This will help the student understand both the particular detail being discussed, and how the detail fits into the overall CRA process. For example, the student will see the screen shown in Fig. 1 when the Risk option is chosen from the Risk & Risk Assessment submenu. All terms shown in boxes in the figure are hypertext links in the program that are displayed in colored boxes on the computer monitor. The student can click the mouse on a link to discover its contents. Figure 2 shows the screen after the student has opened the ‘qualitative’ link. The Information Sources, Bibliography and Program References & Graphics sections will prove very useful should the student require more information or wish to further research some aspect of CRA described in the Primer. The Primer’s copyright allows a student to copy and make use of much of the information contained in the program provided appropriate credit is given to the program developers and the information is not used for profit.

risk assessment primer

OVERVIEW OF RISK RISK: the probability of injury, disease or death under specific circumstances. terms.

May be express in-1

ol-@ZZGl

ENVIRON1 QUALITATIVE risks a~ those risks njuru, disease or dea* from h’ that csn only be described in terms such as “high”, “low” and “trivial”.

lenta’ Ih;ll;ud.l

Ecolo&al Risks: threats to habitat, species diversity and interrelationships, ecological processes Qualitv of Life Risks: threats to aesthetics, economic well being in cost and benefit distribution, future g-t-ions, peace of mind, and sense of community

Pagelof2

Fig. 2. A sample screen from the Risk & Risk Assessment section of the CRA Primer with an open hypertext link.

mental management and risk assessment. The Primer is a very large, structured collection of textual and graphical information. The Primer has a hierarchical menu system and users can manipulate their way through the program with a mouse. This makes the program very easy to use. The Primer provides an overview of the basic concepts of risk and risk assessment, described the CRA methodology, outlines the concept of risk management, provides numerous project summaries, and contains a large glossary and a structured bibliography.

Acknowledgements 4. Summary A Comparative Risk Assessment Primer has been developed to train and assist those involved in environ-

OVERVIEW OF RISK

References

RISK: the probability of injury, disease or death under specific circumstances. terms.

May be express in LquantitatiPel or -1

ENVIRONMENTAL death from human -1

RISK: the liieliiood (of injury, disease or to a po ntiaienvironmental -1

Individual Health Risk: hazard X exposure Ecolo~cal Risks: threats to habitat, species diversity and interrelationshtps, ecoklgical p’ocesses Qualitv of Life Risk

This work was supported in part by funds provided by Region V of the United States Environmental Protection Agency.

threats to aesthetics, economic well being, in cost and benefit distribution, future generations, peace of mind, and sense of community

Page 1 of 2

Fig. 1. A sample screen from the Risk & Risk Assessment section of the CRA Primer.

Embleton, K. M., Engel, B. A., Jones, D. D. and Strickland, R. M. (1994) Environmental Hypermedia & Water Quality Models CD-ROM. ASAE Paper No.

94-3049, St. Joseph, Michigan. Jones, K. (1993) Indicators, Planning, and Comparative Risk: Complementary Tools for Environmental Management. NCCR Issue Paper No. 9, The Northeast

Center for Comparative Risk, Vermont Law School, South Royalton, Vermont. Minard, R. (1991) Hard Choices: States use Risk to Re$ne Environmental Priorities. NCCR Paper 1, The Northeast Center for Comparative Risk, Vermont Law School, South Royalton, Vermont. Thompson, B. and Thompson, B. (1988) KnowledgePro (DOS). Knowledge Garden Incorporated, Nassau, New York.

K. M. Embleton et aLlComparative US EPA (1987) Unfinished Assessment

Business: A Comparative of Environmental Problems, Overview

Report, Vol. 1, Overview. Office of Policy Analysis, Office of Policy, Planning and Evaluation, United States Environmental Protection Agency, 100 p.

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US EPA (1994) Road Map. Electronic version from the World Wide Web (Futures.WIC.EPA.GOV Port 70).