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Vision 2001: Energy & Environmental Engineering Ricketts Flanagan, Jana. The Fairmont Press 0881732362 9780881732368 9780585193717 English Power resources, Environmental engineering. 1996 TJ163.2.V57 1996eb 620.042 Power resources, Environmental engineering.
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Vision 2001: Energy & Environmental Engineering Published by The Fairmont Press, Inc. 700 Indian Trail Lilburn, GA 30247
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Vision 2001: Energy & Environmental Engineering ©1996 by The Association of Energy Engineers. All rights reserved. No part of this publication may be reproduced or transmitted m any form or by any means, electronic or mechanical, including photocopy, recording, or any information storage and retrieval system, without prior permission in writing from the publisher. Library of Congress Catalog Card No. 95-061895 Published by THE FAIRMONT PRESS, INC. 700 Indian Trail Lilburn, GA 30247 Printed in the United States of America 10 9 8 7 6 5 4 3 2 1 ISBN 0-88173-236-2 FP ISBN 0-13-244633-2 PH While every effort is made to provide dependable information, the publisher, authors, and editors cannot be held responsible for any errors or omissions. Distributed by Prentice Hall PTR Prentice-Hall, Inc. A Simon & Schuster Company Upper Saddle River, NJ 07458 Prentice-Hall International (UK) Limited, London Prentice-Hall of Australia Pty. Limited, Sydney Prentice-Hall Canada Inc., Toronto Prentice-Hall Hispanoamericana, S.A., Mexico Prentice-Hall of India Private Limited, New Delhi Prentice-Hall of Japan, Inc., Tokyo Simon & Schuster Asia Pte. Ltd., Singapore Editora Prentice-Hall do Brasil, Ltda., Rio de Janeiro
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CONTENTS Introduction Contributors Acknowledgements Section 1: Environmental Managment Chapter 1 -Environmental Compliance through Boiler Operator Training and Certification R.M. DeHart Chapter 2 -The Federal Interagency Working Group on Renewable Energy: A Federal Effort to Stop Global Warming L. Good Chapter 3 -Demystifying Green Buildings through Green Building Issues, Case Studies and Resources L.N. Simon Chapter 4 -An Assessment of the U.S. Occupational Safety and Health Market L.A. Little and R.K. Miller Chapter 5 -Climate Wise and BSR: Partnering with Business to Improve the Environment and the Bottom Line R. Calahan Klein Chapter 6 -Closing the Lid on Greenhouse Gas P.E. Herman Chapter 7 -Implementing Climate Wise at Johnson & Johnson H.A. Kauffman Chapter 8 -Comparison of Energy and Waste Management Costs and Opportunities for Reducing Related Costs in Manufacturing Plants R.J. Jendrucko and J.C. Overly Chapter 9 -Converting Environmental Documentation to Management Information M.J. Larsen and H.J. Frentz Chapter 10 -Remediation of Contaminated Soils and Sediments using Daramend Bioremediation S.M. Burwell, P.G. Bucens and A.G. Seech Chapter 11 -The Evolution of Soft Solutions for Coastal Erosion Control: A Study of the Development of Inflatable Sand & Water-Filled Geotextile Devices J.W. Sample Chapter 12 -Going Offshore: Asia Opportunities for Small U.S. Environmental Technology Firms J.D. Hallet and S. Ganguli
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Section 2: Indoor Air Quality and CFC'S 79 Chapter 13 -Ventilation Assessment of an Infectious Disease Ward Housing TB 81 Patients M.S. Crandall and R.T. Hughes Chapter 14 -Tuberculosis Infection Control Strategies in a Biosafety Level-3 Laboratory89 A.M. Weber and K.F. Martinez Chapter 15 -Practical Approaches for Health Care: Indoor Air Quality Management 99 A.R. Turk and E.M. Poulakos Chapter 16 -Improved Building Operation Through the Use of Continuous Multi-Point 129 Monitoring of Carbon Dioxide and Dew Point D.W. Bearg Chapter 17 -Ventilation or Filtration? The Use of Gas-Phase Air Filtration for 135 Compliance with ASRAE Standard 62 C.O. Muller Chapter 18 -Energy Efficient Strategies for Improved Dehumidification 145 C.C. Downing Chapter 19 -Clean Air Act Amendments Overview and Update 149 W.C. Turner and R.S. Frazier Chapter 20 -Title V - Steps To Obtaining An Operating Permit 159 M.E. Piper Section 3: Water Resource Efficiency 165 Chapter 21 -Estimating Water Resource Conservation Potential at Major Military 167 Installations D.R. Dixon, F.V. DiMassa and Q.K. Fitzpatrick Chapter 22 -Preliminary Water Audit at Ft. Carson Colorado Using the REEP Program 175 R.J. Nemeth, R.J. Scholze and P.G. Stroot Chapter 23 -Storm Water Management for Industrial Activities at U.S. Army 183 Installations R.J. Scholze and P.A. Josephson Section 4: Energy Management Strategies 189 Chapter 24 -Photovoltaics: Clean Energy Now and Into the Future 191 A. Catalano Chapter 25 -Wind Energy as a Significant Source of Electricity 195 R.G. Nix Chapter 26 -Cost-Effective Applications of Photovoltaics 203 J.P. Thornton Chapter 27 -Marketing Energy Services in a Competitive Environment 209 R.B. Mykytyn
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Chapter 28 -Efficient Markets or Efficient Loads?: Impacts From Electric Utility 215 Restructuring W.M. Warwick Chapter 29 -Energy as a Strategic Input to the Productive Process 219 C.D. Whelan Chapter 30 -Energy Management Program: Prince William County Public Schools 225 Manassas, Virginia G.T. Colbert and S.F. McTighe Chapter 31 -Improving Your Competitive Position Through Energy Surveys 229 T.D. Mull Chapter 32 -A Case Study of Energy Savings and Environmental Impact Reduction for 233 a Textile Facility D.K. Mowery and J.D. Risi Chapter 33 -Energy Conservation Opportunities in Eastern Europe 237 J.W. Zellhoeffer Chapter 34 -Writing a Performance Based Specification for ASD Systems 245 D.J. Van Son Chapter 35 -Matching Motors to ASD's 249 T.W. Atkins Chapter 36 -A Proposed Framework for a Comprehensive Energy Management 253 Program for Institutions J. Jones, P. Rojeski, H. Singh Chapter 37 -Walt Disney World's Utility Efficiency Awards and Environmental Circles 259 of Excellence P.J. Allen and W.B. Kivler Chapter 38 -Building Energy Codes: Perspectives from the States 263 L.J. Sandhal and Diana L. Shankle Chapter 39 -Post Implementation Variable Speed Drive Study Findings 269 J. Mont and C. Christenson Chapter 40 -Power Factor Benefits of High Efficiency Motors 277 B.J. Capehart and K.D. Slack Chapter 41 -Cost Effective Conversion of Fort Trucks to Compressed Natural Gas 283 L.J. Fields and S. Wharton Chapter 42 -The Oak Ridge National Laboratory and the New Technology 291 Demonstration Program G.E. Courville and P.W. Adcock Chapter 43 -Identifying New Technologies that Save Energy and Reduce Costs to the 299 Federal Sector: The New Technology Demonstration Program D.M. Hunt, D.R. Conover, M.K. Stockmeyer Chapter 44 -Renewables in Federal Facilities 307 B.K. Thomas Chapter 45 -Fuel Procurement strategies for the New York State Office of Mental 313 Health - A Case Study B.A. Raver
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Chapter 46 -ESP for Finding Opportunities 319 J.R. Puskar Chapter 47 -Integrating Energy, Waste and Productivity in a DOE Industrial 323 Assessment Center, Selected Case Studies E.A. Woodroof, C.D. Christenson, W.C. Turner Chapter 48 -Improvements in Industrial Audit Results by the Use of Alternative 327 Implementation Strategies D.K. Kasten and M.R. Muller Chapter 49 -Industrial Demand Side Management Status Report - Synopsis 333 M.E.F. Hopkins, R.L. Conger, T.J. Foley, J.W. Parker M. Placet, L.J. Sandahl, G.E. Spanner and M.G. Woodruff Chapter 50 -Energy Models for Integrated Process Plants 343 V. Venkatesan Chapter 51 -Management of Compressed Air Systems 353 S.R. Brod and S. Ray Chapter 52 -The Energy Smart Pools Computer Program 363 R. Jones, R. Martin and J. Gunn Chapter 53 -Annual Energy Consumption of Heated Pools in the United States 371 B. Lawson, R. Jones and R. Martin Chapter 54 -Power Marketing and Market Forces 381 L. Weiss Chapter 55 -Retail Wheeling: Analysis of Issues 389 H.G. Nezhad Chapter 56 -The Role of Regional Transmission Associations in Providing Open 393 Transmission Access and Services P.K. Bahl Section 5: Advance in Lighting Efficiency & Applications 401 Chapter 57 -New York State Office of Mental Health Lighting Revitalization Program -403 A Case Study C.P. Henry Chapter 58 -Fluorescent Ballast and Lamp Disposal Issues 411 D.L. Leishman Chapter 59 -A Prescription for Quality Lighting in Hospitals 421 T.A. Damberger Chapter 60 -Lighting Designs for Supermarket Applications 431 C.S. Warren
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Section 6: HVAC Systems 437 Chapter 61 -Central Plant Measurement and Diagnostics 439 D.J. Ellner Chapter 62 -Institutional Project Summary: University of Redlands Direct Fired Gas 449 Absorption Chiller System G.R. Tanner Chapter 63 -An Evaluation of Continuous Emissions Monitoring Systems for 453 Improving Industrial Boiler Efficiency H.M. Eckerlin and R.C. Hall Chapter 64 -Chiller Plant CFC, Energy and Operational Improvements... or, Killing 462 Three Birds with One Stone J.P. Waltz Chapter 65 -Industrial Central Chiller Facility Upgrade for Greater System Capacity 471 and Tighter Process Control E.J. Lizardos Chapter 66 -Heating, Ventilating and Air Conditioning Infrastructure Long Range Plan 477 T.W. Waller Section 7: Financing Energy Projects & Performance Contracting 483 Chapter 67 -Evaluation of Energy Saving Opportunities in a Public Education Facility 485 Via Performance Contracting P.F. Hutchins Chapter 68 -Life Cycle Assessment of Utility Options at a Federal Facility 495 G.L. Toole, R. Muschick, S. Balakrisshnan and R. Crane Chapter 69 -Using Operational Cost Reductions to Fund Energy Conservation 501 J.R. Smith Chapter 70 -Financing Performance Contracting 507 M. Heller and F. Wainwright Chapter 71 -Energy Solutions with Performance Based Contracts 517 C. Kane Chapter 72 -Utilities: Emerging Opportunities in Performance Contracting 525 G.W. Wood Section 8: Federal Energy Management Programs 531 Chapter 73 -New Ways of Doing Business in the Federal Sector: Energy Savings, 533 Performance Contracting and More M. Ginsberg Chapter 74 -Verifications of Savings: The Hunter Heat Pump Analysis 539 S.A. Parker
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Page x Chapter 75 -An Integrated Teamwork Approach to Regional FEMP Project Implementation A. Jhaveri Chapter 76 -Key Targets in Efficient Water and Energy Use C.W. Pike Section 9: Facilities Management Chapter 77 -Maintaining the Solution to Operations and Maintenance Efficiency Improvement R.J. Meador Chapter 78 -Energy Savings in Preventative Maintenance Surveys A.W. Rinne Chapter 79 -Power Quality and Harmonic Instrumentation Selection W.L. Stebbins and P. Golden Chapter 80 -Whatever Happened to the 60 Hertz Power? R.M. Waggoner
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INTRODUCTION The World Energy Engineering Congress for nearly two decades has delivered a high powered conference and exposition for suppliers and buyers of gas and electricity. This comprehensive reference represents the contributions of more than 80 authors who presented their findings at the 1995 World Energy Engineering Congress. This year's WEEC reflects the myriad of changes impacting our industryElectrical & Natural Gas Purchase - The emergence of over 100 power marketing firms and retail competition developments in states such as California, Wisconsin and Michigan are paving the way for a reevaluation of electric power purchase agreements. The WEEC addresses deregulation, the role of regional transmission associations on open access, impact on DSM programs, and end user purchasing strategies. In addition, natural gas issues such as unbundling of services and implementation of FERC order 636 are presented. Energy Management - The WEEC is known for the most extensive lineup on energy management. The US Department of Energy, Office of Federal Energy Management Programs has developed a highly focused program highlighting case studies, new tools for federal agencies and the DePartment of Defense. In addition, specific sessions address lighting efficiency, heating ventilation and air-conditioning, industrial process energy optimization and new developments in controls to reduce utility costs. Facilities Management & Pollution Prevention - The concurrent Environmental Technology Conference and Plant & Facilities conferences addresses a wide range of subjects from maintenance management, improving indoor air quality, process safety, meeting the Clean Air Act, boiler environmental compliance, CFC phaseout and reducing risk of infection in laboratories and health care facilities. We congratulate our cosponsors of the WEEC and ETE The Alliance to Save Energy American Gas Association/American Gas Cooling Center National Association of State Energy Officials U.S. Department of Commerce U.S. Department of Energy: Federal Energy Management Programs U.S. Department of Energy: Office of National Programs. U.S. General Services Administration U.S. Environmental Protection Agency: Region IV U.S. Environmental Protection Agency: Technology Innovation Office National of Environmental Professionals for supporting this program and playing a major role in forecasting technology transfer. We also congratulate the Association of Energy Engineers and its 8,000 members for providing the leadership for the development of the energy and environmental industry. The World Energy Engineering Congress continues to provide the essential forum for the energy industry. The sharing of information is important to the continued growth of the energy engineering profession. AEE is proud to play a major role in sponsoring this vital conference. ALBERT THUMANN EXECUTIVE DIRECTOR ASSOCIATION OF ENERGY ENGINEERS
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CONTRIBUTORS Adcock, Patricia w., Oak Ridge National Laboratory Allen, Paul J., Walt Disney World Atkins, Ted W., Baldor Electric Company Bahl, Prem K., Arizona Corporation Commission Balakrisshnan, S., Synergic Resources Corporation Bearg, David W., Life Energy Associates Brod, Steve R., Industrial Technology Institute Bucens, Paul G., Grace Dearborn, Inc. Burwell, Suzanne M., Grace Dearborn, Inc. Calahan Klein, Rebecca, Business for Social Responsibility Capehart, Barney L., University of Florida Catalano, Anthony, National Renewable Energy Laboratory Christenson, Clint D., Oklahoma State University Colbert, G. Thomas, Prince William County Public Schools Conger, R.L., Pacific Northwest Laboratory Conover, David R., Pacific Northwest Laboratory Courville, George E., Oak Ridge National Laboratory Crandall, Michael S., NIOSH Crane, R., Synergic Resources Corporation Damberger, Thomas A., Kaiser Permanente DeHart, Rita M., Cogentrix Energy, Inc. DiMassa, Frank V., Pacific Northwest Laboratory Dixon, Douglas R., Pacific Northwest Laboratory Downing, Chris C., Georgia Institute of Technology Eckerlin, Herbert M., North Carolina State University Ellner, David J., Engineered Automation Systems, Inc. Fields, Londel J., Oklahoma State University Fitzpatrick, Quinn K., Pacific Northwest Laboratories Foley, T.J., Pacific Northwest Laboratory Frazier, Robert Scott, Oklahoma State University Frentz, Hank J., Tracor Technology Resources, Inc. Ganguli, Swarupa, Sanders International Ginsberg, Mark, U.S. Department of Energy, FEMP Golden, Paul, Dranetz Technologies Good, Larry, AEE National Capital Chapter Gunn, Janet, U.S. Department of Energy Hall, Robert C., North Carolina State University Hallett, Jeffrey D., Sanders International Heller, Matthew, Energy Capital Partners Henry, Carol P., Novus Engineering, P.C. Hopkins, Mary Ellen F., ICF Kaiser, Inc. Hughes, Robert T., NIOSH Hunt, David M., Pacific Northwest Laboratory Hutchins, Paul F., Reynold, Smith and Hills, Inc. Jendrucko, Richard J., University of Tennessee Jhaveri, Arun, U.S. Department of Energy Jones, James R., North Carolina A&T State University Jones, Randy, U.S. Department of Energy Josephson, Paul, US Army Construction Engineering Research Lab Kane, Christopher, ER3 Inc. Kasten, Donald J., Rutgers University Kauffman, Harry A., Johnson & Johnson Kivler, William B., Walt Disney World Larsen, Michael J., Tracor Technology Resources, Inc. Lawson, Brian, U.S. Department of Energy Leishman, David J., Alta Resource Management Services, Inc. Little, Laura A., Future Technology Surveys, Inc. Lizardos, Evans J., Lizardos Engineering Associates
Lizardos, Evans J., Lizardos Engineering Associates Martin, Randy, U.S. Department of Energy Martinez, Kenneth F., NIOSH McTighe, Shaun F., Prince William County Public Schools Meador, Richard J., Pacific Northwest Laboratory Miller, Richard K, Richard K. Miller & Associates Mont, Javier, Oklahoma State University Mowery, David K., Virginia Polytechnic Institute Mull, Thomas D., Carolina Consulting Group, Inc. Muller, Christopher O., Purafil, Inc. Muller, Michael R., Rutgers University Muschick, R., Westinghouse Savannah River Company Mykytyn, Russ B., Utility Promotions Group, Inc. Nemeth, Robert J., US Army Construction Engineering Research Lab Nezhed, Hameed G., Moorhead State University Nix, R. Gerald, National Renewable Energy Laboratory Norland, D., Alliance to Save Energy Overly, J.G., University of Tennessee Parker, Steven A., Pacific Northwest Laboratory Parker, J.W., Pacific Northwest Laboratory Pike, Charles W., California Department of Water Resources Piper, Marie E., Dames & Moore Placer, M., Pacific Northwest Laboratory Poulakos, E. Mike, Landis & Gyr Prue, Virginia W., Kaiser Permanente Puskar, John R., CEC Consultants, Inc. Paver, Bruce A., Novus Engineering, P.C. Ray, Sumit, Industrial Technology Institute Rinne, Allan W., Allen Rinne & Associates Risi, John D., Virginia Polytechnic Institute Rojeski, P., North Carolina A&T State University Sample, Jay W., Eagle's Nest Consulting Sandahl, Linda J., Pacific Northwest Laboratory Scholze, Richard, US Army Construction Engineering Research Lab Seech, Alan G., Grace Dearborn, Inc. Shankle, Diana L., Pacific Northwest Laboratory Simon, Lynn, N., Simon and Associates Singh, H., North Carolina A&T State University Slack, Kevin D., University of Florida Spanner, G.E., Pacific Northwest Laboratory Stebbins, Wayne L., Hoechst Celanese Corporation Stockmeyer, M. Karen, Pacific Northwest Laboratory Shoot, Peter G., US Army Construction Engineering Research Lab Tanner, Glenn R., GRT & Associates, Inc. Thomas, B. Karen, National Renewable Energy Laboratory Thornton, John P., National Renewable Energy Laboratory Toole, G. Loren, Westinghouse Savannah River Company Turk, A. Robert, Landis & Gyr Turner, Wayne C., Oklahoma State University Van Son, Darryl J., Baldor Electric Company Venkatesan, V., Refineria ISLA Waggoner, R.M., Enteg Systems, Inc. Wainwright, Fred, Energy Capital Partners Waller, Thomas W., Columbus Air Force Base Waltz, James P., Energy Resource Associates, Inc. Warren, Carlos S., Reynolds, Smith and Hills, Inc. Warwick, W. Michael, Pacific Northwest Laboratory Weber, Angela M., NIOSH Weiss, Larry, CornPower Group Wharton, Shawn, Oklahoma State University Whelan, Casey D., CENERGY, Inc. Wood, George W., A&C Enercom/TRITECH Woodroof, Eric A., Oklahoma State University Woodruff, Madeline G., Pacific Northwest Laboratory
Woodruff, Madeline G., Pacific Northwest Laboratory Zellhoefer, Jon W., Telos Enterprises, Inc.
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ACKNOWLEDGEMENTS Appreciation is expressed to all those who have contributed their expertise to this volume, to the conference chairmen for their contribution to the 18th World Energy Engineering Congress and 5th Environmental Technology Expo, and to the officers of the Association of Energy Engineers for their help in bringing about this important conference. The outstanding technical program of the 18th WEEC and 5th ETE can be attributed to the efforts of the 1995 Advisory Board, a distinguished group of energy managers, engineers, consultants, producers and manufacturers: William W. Camp, P.E. Hydroscience, Inc. Stephen Cole Environmental Science & Technology Magazine Ted Collins U.S. Department of Energy Keith Davidson Gas Research Institute Mike Davies Earth Observation Magazine Douglas A. Decker Johnson Controls, Inc. Douglas Dixon Pacific Northwest Laboratory Shirley Hansen, Ph.D. Hansen Associates, Inc. Jon R. Haviland, P.E., CEM Criterium Haviland Engineers Tom Keenan Industrial Safety & Hygiene News George A. Kritzler Consolidated Edison Co. of New York MaryAnne Lauderdale, P.E. Energy Investment, Inc. Dilip Limaye Synergic Research Corporation Konstantin K. Lobodovsky Consultant William H. Mashburn, P.E. Virginia Polytechnic Institute Malcolm Maze Abbott Laboratories Richard K. Miller, CEM Richard K. Miller & Associates Harvey Morris Independent Power Producers Martin A. Mozzo, Jr., P.E. Kenetech Energy Management Inc. Graham B. Parker Battelle Pacific Northwest Laboratories Steven Parker, P.E., CEM Battelle Pacific Northwest Laboratories W. Curtis Phillips North Carolina Department of Commerce Patricia Rose U.S. Department of Energy Frank Santangelo Consultant Ron Smith General Motors Walter P. Smith, Jr. Energy Technology Services Consulting Jerry A. Taylor, P.E., CEM Jerry A. Taylor Environmental Albert Thumann, P.E., CEM Association of Energy Engineers Wayne C. Turner, Ph.D., P.E., CEM Oklahoma State University Richard A. Young, P.E. National Registry of Environmental Professionals
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The following organizations have given outstanding support in promoting principles and practices to help achieve savings, greater productivity, and lower operating costs. CORPORATE SUSTAINING MEMBERS Association of Energy Engineers ABB Industrial Systems Abbott Laboratories AirCon Energy, Inc. Alliance to Save Energy American Institute of Plant Engineers Association of Physical Plant Administrators of Universities and Colleges Australian Energy Solutions Broward County Government Center Energy Department CEK, Inc. Climate Control Commonwealth Edison Conservation Services Group Consolidated Edison Company of New York, Inc. CP National/Trident Energy Group CPU Service Corporation Diesal & Gas Turbine Publications DMC Services Electrical & Mechanical Services Department Electronic Ballast Technology E-Mon Corporation Energy Initiatives, Inc. Energy Management Specialists, Inc. Engineers Digest Enron Capital & Trade Resources Florida Power & Light Company General Services Administration GPU Service Group Hanson Energy Management Systems HaVAC Control Systems, Inc. H.F. Lenz Company Honeywell, Inc. International District Energy Association International Energy Society Landis & Gyr Powers MagneTek, Inc. MAMAC Systems, Inc. MBNA America M L Systems Corporation Montana Power Company Mission Energy Company MTI International PEP Division NALMCO (intN'l Assoc.of Lighting Management Companies) National Electrical Contractors Association National Wood Energy Association Naval Energy & Environmental Support Activity Naval Facilities Engineering Command NEOS Corporation Niagara Mohawk Power Corporation Northern Illinois Gas Company Obragas N.V. Old Dominion Electric Cooperative Otter Tail Power Company Pima County Facilities Management PSI Energy Public Service Electric & Gas Company Hagler Bailly Consulting, Inc. Rocky Mountain Institute
Rocky Mountain Institute Shanghai Society of Energy Research Siebe Environmental Controls Solium Inc. Staff Lighting Corporation Suncor Inc, Oil Sands Group SYCOM Enterprises Tennessee State University 3M Company Trinidad and Tobago Electricity Commission Universal Energy Control, Inc. University of Mass/Amherst University of Missouri US Army Construction Engineering Research Laboratory US Army Logistics Evaluation Agency V.E.I. Inc. Verle A. Williams & Associates, Inc. Western Area Power Administration/California Western Area Power Administration/Colorado
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SECTION 1 ENVIRONMENTAL MANAGEMENT
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Chapter 1 Environmental Compliance Through Boiler Operator Training and Certification R.M. DeHart Introduction The power plant for the Opa City Electric Works and Boiler Gasket Emporium1 was having its usual Monday morning supervisors' meeting when someone suggested removing the high pressure feedwater heater from service for the sole purpose of ''getting more megawatts.'' Since the feedwater heater was not considered to be "part of the boiler," it was assumed that removal of the heater would not affect air pollution emissions. Fortunately, the suggestion was shot down when calculations revealed that removal of the heater would result in a 7.5% decrease in the overall boiler efficiency along with a 21 lbm/hr increase in SO2 emissions. This document discusses the interface between sound boiler operating practices and compliance with environmental regulations. Good operating practice is most often a combination of comprehensive training, experience, a strong work ethic, and common sense. We will also explore the various aspects operator certification requirements, with a focus on ASME certification standards for high capacity fossil fuel fired boilers. Operator Training and Environmental Engineering For a new or recently modified facility, operator training is the last important step in the implementation of pollution control technology. This training can consist of one or more forms and occur at various times, including pre-start-up, during start-up, and during normal operation. Training can take the form of classroom instruction, self-study materials, interactive training (such as the simulator), and system walk-throughs. Often, companies require demonstration of technical competence such as written examinations, oral examinations, or certification by a licensing agency outside the company. Key elements that identify a comprehensive training program are: The pretest, which identifies students' level of knowledge; Instructor qualifications should have an operations background; Frequent use of example problems; Combining classroom and on-the-job training; The final training program evaluation. Safety No training program is complete without safety training. Power plants present special hazards that are not often obvious to novice (or sometimes experienced) employees. Superheated steam, hydrogen, sulfuric acid, sodium chloride, and chlorine are noticeable hazards that are common to all power plants. A plant operator's job often requires working in high places, around hot surfaces, and in confined spaces. Federal regulations require documented training in safety subjects and the handling of hazardous materials. Simulator Training Perhaps the most valuable tool for training power plant operators is a full-scale simulator coupled with a competent instructor. In today's increasingly competitive power market where cost effectiveness and environmental compliance are crucial, the simulator can be an effective way to teach heat rates, plant efficiency, and environmental consequences of both proper and improper boiler operation. Simulator instructors must have extensive knowledge in power plant 1 A purely fictitious place, of course!
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theory, operating skills, environmental regulations, and the simulator configuration itself. Self-Study Self-study training provides the power plant academics while accommodating varying work schedules due to shift work, outages, and overtime. Traditional materials consist of printed text that is often augmented by audio- or video-based media. The variety of training material is now being expanded to include computer based interactive educational packages that are constantly being upgraded. Although course content must be at a level that actually exceeds the operator's current job requirements, care must be exercised that the technology of the training medium itself is not overwhelming. Classroom Instruction The most expensive packaged training materials in the world do not replace the seasoned instructor who possesses knowledge in environmental regulations, plant specific equipment, and systems technology; and who has understanding of system interactions. One of the most important functions of the instructor is to answer questions and address specific problems. Classroom training is the best way to bridge the gap between generic training materials and plant specific training requirements. Air Contaminants Associated with Boilers Air contaminants are emitted from a many different sources and exist in a variety of physical states and chemical compositions. Sometimes these (primary) emissions can interact with each other in the atmosphere to form secondary contaminants. The following are some of the primary contaminants which are associated with boilers and the combustion process in general. Carbon Monoxide (Co) Carbon monoxide is a gas formed primarily by the incomplete combustion of carbon-based fuels. It is colorless, odorless and tasteless. The "Three T's" of combustion (time, turbulence, and flame temperature), along with oxygen concentration, are variables that determine the emission concentration. In the body, carbon monoxide is absorbed by the lungs and causes a decrease in the oxygen-carrying capacity of the bloodstream. Depending on the level of concentrations and the exposure time, the effects on the body can include impaired motor skills, drowsiness, impaired vision, and death. Lead Lead is a toxic heavy metal with relative abundance throughout the world. Stationary sources of lead emissions include waste incineration, iron and steel production, and battery manufacturing. Lead has many potential pathways through the human body, therefore, it is considered to be more than an air contaminant. Primary exposure occurs from direct inhalation, and secondary exposure is caused by ingestion. Lead affects the body at subcellular, cellular, and organ system levels to cause anemia, dulled awareness, and symptoms of brain and nervous system disease. Nitrogen Oxides (Nox) Nitric oxide (NO) and nitrogen dioxide (NO2) are the most significant air contaminants of the nitrogen oxide group. Nitric oxide is formed by direct combination of nitrogen and oxygen in a high temperature atmospheric combustion. When sunlight is present, nitric oxide combines with atmospheric oxygen to form nitrogen dioxide. Nitrogen dioxide absorbs light, and can reduce visibility even in areas where there is no particulate matter present. In the body, nitrogen oxides can cause various respiratory disorders. Nitrogen oxides can also cause deterioration of certain fabrics, fading of some dyes, and metal corrosion. Extended exposure can cause damage to vegetation. Particulate Matter Particulate matter refers to solid and liquid matter (both organic and inorganic) that is suspended as a result of stack emissions. Particulate matter can cause reduced visibility, eye irritation, and respiratory problems. The adverse effects of sulfur oxides are increased when combined with particulate matter. Sulfur Oxides (Ox) The primary source for sulfur dioxide (SO2) and sulfur trioxide (SO3) is the combustion of fuels containing sulfur (mainly coal) in the presence of oxygen. When coupled with particulate matter, sulfur oxides can cause irritation of the respiratory system, reduced visibility and corrosion of materials. The major contaminant of sulfur oxides is the formation of sulfuric acid (H2SO4). Sulfuric acid causes corrosion in boiler components and ductwork. Sulfuric acid is also responsible for acid rain, which has a pH less than or equal to 2 and is responsible for the acidification of streams and lakes as well as damage to vegetation. Boiler Operation and Environmental Compliance Years of experience in the plant control room does not always ensure best boiler operation. The good operator must have an understanding of boiler theory along with step-by-step operation. In this section, we will look at three operating scenarios, their adverse effects on the environment, and how training can reduce the occurrence of these mistakes. Feedwater Heater(s) Out of Service Feedwater heaters raise the temperature of incoming feedwater to a level which is close to the temperature of boiler water itself. Removing one or more feedwater heaters from service results in a decrease in the feedwater temperature entering the economizer. Every 10°F rise in
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feedwater temperature, results in an increase in the overall boiler efficiency of approximately 1 percent. The following example illustrates what happens when a high pressure feedwater heater is removed from service: Boiler Steam Flow Stem Temperature Coal Heating Value Feedwater Temperature at Economizer Inlet Boiler Steaming Rate Fuel Consumption Air Flow (3.5% Excess O2)
Heater in Service 265,000 lbm/hr 950°F 13,300 Btu/lbm 405°F 10 1 lbm steam/lbm coal 26,237 lbm/hr 281,000 lbm/hr
Heater Out of Service 265,000 lbm/hr 950°F 13,300 Btu/lbm 330°F 952 lbm steam/lbm coal 27,836 lbm/hr 297,000 lbm/hr
In addition to the reduction in boiler efficiency, operating with the high pressure feedwater heater out of service causes increases in both SO2 and NOx emissions.2 Too Much Excess Air Excess air is air supplied above the theoretical amount required for complete combustion. If too much excess air is supplied, the mixture and burning are lean. Excessive heat is carried out of the boiler, resulting in lower efficiency, and dense, white smoke is usually discharged from the stack. Increasing the excess air has the effect of lowering furnace temperature. Radiant heat transfer is a function of the difference in the fourth power of the temperatures, therefore, furnace heat absorption is greatly reduced, resulting in high exit gas temperatures. Insufficient Excess Air Incomplete combustion occurs when there is insufficient oxygen present, inadequate furnace volume, or lack of turbulence. If insufficient excess air or oxygen is supplied, the mixture is fuel-rich, resulting in a dark smoky fire. Unburned fuel (carbon particles and carbon monoxide) is carried from the boiler, and the flue gas exits the stack as black smoke. Does Training Really Help? Understanding the consequences of the first scenario requires knowledge of Rankine power cycles, heat balances, and basic mathematics, none of which is received by osmosis. Training is necessary. Avoiding errors in scenarios two and three requires knowledge in basic heat transfer, combustion controls, and correct hands-on operating techniques. Again, these skills are attained with training and practice. There is no way for a boiler operator to optimize efficiency and avoid environmental blunders without an understanding of both the theory and hands-on operation of steam and power generation. If an organization really wants to measure the importance of training all it has to do is to abolish its training program and observe the consequences (a crazy idea that is not recommended). The seriousness of the lack of knowledge combined with the absence of standardization is described in the paragraphs which follow. Controversy Surrounding Boilers and the Beginning of Codes and Standards From the mid-19th century until the early 20th, approximately 50,000 Americans died as a result of boiler explosions. During the 1850's, these accidents occurred on average one every four days, and were nearly as commonplace as automobile accidents today. Two particularly notable boiler explosions occurred in the 1800's which brought attention to the need for boiler safety. The first explosion took place in Hartford, Connecticut at the Fales and Gray Car Works, killing 21 employees and injuring 50. Three years after this, a group of business men in Hartford formed the Polytechnic Club with the purpose of improving the understanding of steam technology. The second notable explosion occurred shortly after the Civil War aboard the steamship Sultana in which twelve hundred Union soldiers lost their lives. Within two years, two members of the Polytechnic Club formed the Hartford Steam Boiler Inspection and Insurance Company. In 1880, a group of business-oriented professional folks founded the American Society of Mechanical Engineers. ASME members were basically entrepreneurial men who, although concerned about centralized governmental control of business, believed in good citizenship, community service, and enlightening others regarding problems in engineering (boiler explosions among the worst). In 1884, ASME members met in New York City to discuss boiler performance and subsequently authored the boiler test code. By 1911, the ASME had already published several codes pertaining to boiler inspection and testing, and was ready to form a boiler-code committee for the purpose of standardizing the manufacture of boilers. The Uniform Boiler and Pressure Vessel Laws Society came into existence in 1915 to inform political jurisdictions about the new ASME code and to encourage them to adopt the code's provisions as law. In three years the National Board of Boiler and Pressure Vessel Inspectors would become the vehicle by which the ASME boiler code would be put into practice. The National Board was comprised of the chief boiler inspectors in jurisdictions where the ASME boiler code had been adopted as law. 2 Statistics were taken from an operating unit with the high pressure heater removed for maintenance. Operating with the high pressure feedwater heater out of service for one year results in a 94 ton increase in SO2 and a 45 ton increase in NOx. Source: David M. Krebs, Cogentrix Training Center.
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Today, the ASME is an educational and technical organization with over 100,000 members and a wide variety of programs including publishing, education, government relations, and the development of codes and standards. Recently, the ASME expanded its scope of activity to include the certification of individuals. Certification of Boiler Operators The prestigious history and sound reputation of ASME and its Boiler and Pressure Vessel Code are major reasons why the ASME was selected to develop and manage a nationwide certification program for fossil fuel-fired boiler operators. The ASME has already developed certification programs for municipal waste combustors and medical waste incinerators. Fossil-Fuel-Fired Plant Operator Certification Clean Air Act Requirements and EPA Response. Section 129(d) of the Clean Air Act requires the EPA to develop and promote a model training and certification program for boiler operators. In October 1992, the EPA initiated development of a training program for operators of high-capacity fossil fuel-fired boilers. On October 6, 1993, the EPA published the "Availability of Draft Student Handbook and Statement of Intent to Develop Training and Certification Programs for Operators of High Capacity Fossil Fuel-Fired Plants" in the Federal Register. On October 4, 1994, the EPA published the "Availability of Model State Training and Certification Programs for High Capacity Fossil Fuel-rued Plant Operators" announcing that a model state training program and related materials are available. The following are excerpts from the October 4, 1994 Federal Register notice that are applicable to persons involved in the certification process: The EPA Training Course is of modular design; The EPA recommends different levels or classes of certification; The final decision as to who will give examinations will be the decision of the states; The EPA will allow certification by ASME or another state approved certification program; The EPA recommends that the following classifications be certified lead operator, supervisor, chief engineer or equivalent, possibly outside contractors; All persons who have control over the process that can affect process emissions should be certified; The EPA will revise training materials to conform to the final ASME Standard. ASME QFO Committee and Standard. In August 1992, the EPA requested the American Society of Mechanical Engineers to develop and manage a nationwide certification program for fossil-fuel-fired boiler operators. This ensures at least one appropriate national certification program. In a nutshell, the ASME certification will cover persons who operate fossil fuel (or a derivative) fired boilers with an aggregate heat input of 10,000,000 Btu/hr or greater. In April 1993, the ASME Ad Hoc Committee held its first meeting. Follow-up meetings to draft an initial standard were held in October 1993, November 1993, and March 1994. In June 1994 the ASME Board of Safety Codes & Standards and the Council on Codes & Standards approved the formation of the Committee on Qualification of High Capacity Fossil Fuel-Fired Plant Operators (QFO) to develop the program. During the course of the development of the standard, three major areas of concern have materialized. (1) Boiler Size and Type: There is considerable discussion regarding the 10,000,000 Btu/hr entry level limit for boilers. This was clarified by the October 4, 1994 Federal Register Notice which again defines the 10,000,000 Btu/hr limit. The diversity of the fossil-fuel-fired boiler industry also raises logistics concerns regarding classifications of boilers as to fuel, firing equipment, and number of burners (where applicable). (2) Certification Subject Content and Levels: The EPA recommends more than one certification level. Also, the EPA makes it clear that more than air pollution issues should be covered in the certification program ("safety" is given as the example). (3) Approval of Alternate Certification and Training Programs: There are many concerns regarding the EPA approving company training programs and other licensing agencies in lieu of the ASME certification. The EPA has been approached by certification agencies such as the National Institute for the Uniform Licensing of Power Engineers, Inc. (NIULPE). The EPA has indicated that licensing agencies other than the ASME can be recognized if they can demonstrate equivalency. The standard is currently being written and is expected to be complete in 1996. Boiler Certification Programs. Many states, provincial governments, and municipalities require boiler operators to obtain licenses. Among the state and provincial governments which require licensing of boiler operators are Alaska, Arkansas, District of Columbia, Maine, Maryland, Massachusetts, Minnesota, Montana, New Jersey, Ohio, Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland, Labrador, the Northwest Territories, Nova Scotia, Ontario, Prince Edward Island, Quebec, Saskatchewan, and the Yukon Territory. States without
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licensing requirements often contain municipalities that require certification of boiler operators. NIULPE: Many companies which own boiler plants require some type of operator certification; even in locations where there are no government boiler operator license requirements. This certification may be in-house, or may be granted through an outside agency. One such agency is the National Institute for the Uniform Licensing of Power Engineers, Inc. (NIULPE), a third party licensing agency that acts on a national level to establish standards for plant operators and stationary engineers of all levels. NIULPE also establishes standards for licensing agencies currently existing. NIULPE was incorporated on November 22, 1972, for the purpose of developing a standard set of qualifications in the field of Power Engineering to ensure the safe operation of all types of power generating equipment. NIULPE licenses have reciprocity in California, Connecticut, the District of Columbia, Georgia, Illinois, Iowa, Kansas, Massachusetts, Maryland, Missouri, North Carolina, Nebraska, New Hampshire, Nevada, New York, Ohio, Pennsylvania, Rhode Island, South Carolina, the United States Army Corps of Engineers, Virginia, and Washington. There are five classes of licenses and two commissions offered by NIULPE: Fourth Class Engineer (Fireman) Third Class Engineer Second Class Engineer First Class Engineer Chief Engineer A person holding a valid Chief Engineer license may also be commissioned as an Examiner and/or a Technical Instructor contingent upon recommendation by the National Board of Examiners and passing a written examination. Conclusion The fireman watches the water column on the boiler and adjusts the feed-valve so that the level is nearly constant. To keep the pressure of the steam constant he must move the damper, opening it when the pressure fails, or closing it when it rises. If more steam is required than a boiler is producing, the pressure will gradually fall, and, to prevent this, coal must be burned at a higher rate of combustion. This is accomplished by opening the damper and thus allowing more air to be drawn through the fire, consuming more coal. Should the demand for steam decrease, the steam pressure would rise and the damper would be closed to accommodate the new conditions."3 Times certainly have changed since operating procedures like the one quoted above were published. Duties and responsibilities of today's operators extend far beyond merely maintaining proper water levels, checking and maintaining steam pressures, and performing routine lubrication of rotating equipment. Operators now must monitor and manipulate sophisticated controls, understand and perform heat rate and plant efficiency calculations, troubleshoot and correct abnormal conditions, and be knowledgeable of applicable environmental regulations. Modern training programs must be sufficiently comprehensive to provide knowledge that allows operation within specified parameters. Such training is crucial in boiler plant facilities where safety and sound operating practices are essential to continued operation. References The American Society of Mechanical Engineers, The Why & How of Codes & Standards. The Babcock and Wilcox Company, STEAM/its generation and use, The Babcock and Wilcox Company, Barberton, Ohio, 1992. Corbitt, Robert A., Standard Handbook of Environmental Engineering, McGraw-Hill, Inc., New York, 1990. Keenan, Joseph H., Keyes, Frederick G., Hill, Philip G., and Moore, Joan G., Steam Tables, John Wiley & Sons, New York, 1969. Makanski, Jason, "Powerplant Training: Ensure your team's survival in the trenches." Power, McGraw Hill, New York, January, 1995. National Institute for the Uniform Licensing of Power Engineers, Inc., "Green Book," NIULPE, Inc., Verona, Wisconsin, 1972. Nichols, David, "More Confused than a Cat with a Rubber Mouse," National Board Bulletin, The National Board of Boiler and Pressure Vessel Inspectors, Columbus, Ohio, Summer, 1994. O'Keefe, William, and Elliott, Thomas C., Solving Plant Problems, McGraw-Hill, Inc., New York, 1984. Petrocelly, K. L., Physical Plant Operations Handbook, The Fairmont Press, Liburn, Georgia, 1988. Petrocelly, K. L., Stationary Engineering Handbook, The Fairmont Press, Liburn, Georgia, 1989. Potter, Philip J., Power Plant Theory- and Design, Robert E. Krieger Publishing Company, Malabar, Florida, 1988 United States Environmental Protection Agency, High Capacity- Fossil Fuel Fired Plant Operator Training Program Instructor's Guide, USEPA Industrial Studies Branch/ESD, Office of Air Quality Planning and Standards, Research Triangle Park, North Carolina, 1994. 3 Spangler, H. W., Greene, Arthur M. Jr., Marshall, S. M., Elements of Steam Engineering, John Wiley & Sons, New York, 1903, Reprinted by Lindsay Publications, Bradley, IL, 1984.
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Chapter 2 The Federal Interagency Working Group On Renewable Energy: a Federal Effort To Stop Global Warming L. Good Introduction Executive Order 12902, issued by President Clinton in March, 1994, requires that Federal agencies shall significantly increase their use of solar and other renewable energy resources that are cost-effective. Renewable energy 1) stops global warming, 2) saves domestic reserves of fossil fuels and 3) eliminates the need for imported oil, which now exceeds 50%. Today, cost effective applications for all renewables do, indeed, exist. The US Department of Energy's Federal Energy Management Program (DOE-FEMP) is charged with coordinating efforts among Federal agencies to implement the Executive Order. In mid-1994, FEMP formed the Interagency Renewables Working Group (RWG). What makes it unique and gives it a real chance for success is that it is a partnership of industry, DOE and other Federal agencies. The Association of Energy Engineers (AEE) has a seat on RWG. This paper describes the approach RWG is taking in dealing with barriers and getting projects "in the ground." RWG will measure its success by the number of Federal projects it can get into operation and the number of long-term commitments that agencies make to use renewables. Until the barriers to implementation of renewables are correctly identified and dealt with, however, the rest of the plan can only stumble forward. If the Department of Energy survives as a cabinet-level agency until the end of the decade, its Office of Energy Efficiency & Renewable Energy budget will be strong enough to sustain RWG's activity. Assuming success, this Federal effort will jump start the market. The Government's mass buying power will drive prices down and make renewable technologies affordable and familiar to the public. Results Let's get right to the point! What can we expect from the Interagency Renewable Energy Working Group (RWG)? RWG is divided into four subcommittees. Each includes private-sector members. Each wants results. 1. Barriers Purpose "The purpose of this subcommittee is to identify solutions to institutional impediments that prevent utilization of renewable energy technologies. The work of the Barriers subcommittee includes practical approaches to address identified problem areas. The approaches will be developed and submitted to the RWG." (This and subsequent quotes are taken from the RWG Implementation Plan.) Product The first barrier being tackled is direct internal project costs, or "internalities." By the end of 1995, the barriers subcommittee will have issued an assessment tool in the form of a checklist and spreadsheet. It helps the user quantify hidden costs or benefits that are frequently overlooked in project analyses. It compares renewables side-by-side with their conventional counterparts to achieve fair comparison. Examples may be portability or the avoided cost of extending fuel/utility service to the point of use. The internalities tool shows users how to assign value to these phenomena. It front-ends the NIST BLCC software for life-cycle costing of energy projects. 2. Model Plans Purpose "This subcommittee assists agencies in developing an internal agency strategy to plan and
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implement renewable projects. The committee has prioritized the technologies which are available immediately and are 'easy' for the Federal agencies to adopt. In addition, the committee supports each agency in establishing a long-term commitment to implementing the RWG plan. Initially, two or three Federal agencies will be provided specialized assistance by FEMP." Product Here is where agencies will state their long-term commitments. This subcommittee will issue a model plan to promote use of renewable resources within a Federal agency. RWG members from EPA and USDA are first developing sample plans for their own agencies. From that basis will come the model, expected out by early 1996. In turn, other agencies can use the model to develop their own action plans. 3. Project Criteria Purpose "The purpose of this subcommittee is to identify those technologies most suitable for advancement under the auspices of the executive order. A method will be developed to quantitatively determine the competitiveness of the projects. Industry is leading this effort." Product The output of this subcommittee takes the form of a matrix with technologies on one axis and geographical regions on the other. This device is for the very earliest stage of project consideration. It catches the attention of users and draws them into software developed by the next subcommittee. In its first draft, almost every square in the matrix is checked. To render it useful, the criteria subcommittee needs to adopt tougher standards and screen out less likely squares. Another point is that biomass is underplayed. Facilities personnel need much stronger encouragement to tap its vast potential. The matrix should break out the numerous biomass subtechnologies into separate categories. To supplement the matrix, the criteria subcommittee is also issuing US resource maps and a list of questions to help facility managers determine if a technology makes economic sense. The maps are most useful for establishing first communication and getting people interested. 4. Implementation Purpose "This subcommittee focuses on short term projects that are currently under development or will be developed in the next two years. It is the key subcommittee that identifies industry resource teams and offers project assistance to assist Federal agencies and in identifying 'showcase' projects. The industry teams will help agencies gain knowledge about products and technologies from relationships focused on implementation." Product Two excellent tangible results are emerging from the implementation subgroup: 1. FREScA software and 2. Industry resource teams. Federal agencies can call RWG for qualified explanations of specific renewable technologies. RWG will send a small team of representatives from the requested industry to answer questions and encourage interest. The Federal Renewable Energy Screening Assistant (FREScA) is a software tool to be used by energy auditors to prioritize future studies of potentially costeffective renewable energy applications. It was developed at the National Renewable Energy Lab (NREL) under a FEMP support contract. As a screening tool, it precedes building simulation software by one step. This is the group that ensures the ultimate success of RWG. The implementation subcommittee drives projects to startup and counts the score. If you are a Federal facility manager, you can call Bob Westby, committee chair, at 303-384-7534 and request introductions to key players. If you are a renewable contractor with a specific Federal project possibility, call Westby for direction. The Mandate The Implementation Plan's mandate goes a long way toward explaining why RWG is going to all this trouble: "Executive Order 12902 of March 8, 1994 Energy Efficiency and Water Conservation at Federal Facilities, specifies a series of actions. These actions, specifically outlined in sections 304 and 201, explicitly address the use of renewable energy in Federal facilities. Section 304 states that the goal of the Federal Government is to significantly increase the use of solar and other renewable energy sources that are cost-effective and that the Department of Energy (DOE) shall develop a program for achieving this goal cost-effectively. Section 201 states that DOE shah take the lead in implementing this order through the Federal Energy Management Program (FEMP). Section 306 specifically states that each agency involved in the construction of a new facility that is either owned or leased to the Federal Government shall utilize passive solar design and adopt active solar technologies where they are cost-effective. In addition, the Interagency Energy Policy Committee (656 Committee) and the Interagency Energy Management Task Force (Task Force) shall serve as forums to coordinate issues involved in implementing energy efficiency, water conservation, and solar and other renewable energy in the Federal Sector." How Much Impact? US oil imports just passed the 50% mark at the beginning of this year and are still climbing. Can RWG reverse this trend?
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To impact a situation so massive, RWG cannot just wait for new Federal construction. It has to find a way to retrofit most of 500,000 existing facilities. If efforts succeed in converting 10% of the energy needs from fossil to renewable in 10% of the Federal building stock, the impact is 1%, not noticeable. If, however, RWG can convert 50% of the energy systems in 50% of the buildings, the impact is 25% conversion to renewable. That would make a dent. 25% may be wildly optimistic, even over a decade, but that is what it will take to be worth measuring. The Reality The RWG Implementation Plan's opening statement declares, "The use of cost-effective renewable energy technologies is a keystone in reducing Federal sector energy costs and environmental impacts." Reducing costs may not be the real issue. Renewable technologies can be expensive. Environmental impacts should be the main issue. Some in RWG, including myself, believe that the cost of fossils should not be the baseline for justifying the cost-effectiveness of renewables. Quite the opposite, we think, the environmental impacts of renewables should be the baseline for justifying the continued use of fossils. First, force fossils to be cleaner, then force renewables to be cheaper, not the other way around. Renewable energy is dilute. It does not have the advantage of millions of years of compression and concentration that fossils had. The technologies to process it are generally expensive. It is a wonder that any cost effective opportunities for renewables exist. But they do. The reality of the mandate is that they must cost less in their life cycle than fossil counterparts. RWG is determined to make renewables work in the Federal Government, despite this handicap. Objective "The goal of Executive Order 12902 that this plan addresses is to significantly increase the cost-effective use of renewable energy, energy efficiency and water conservation in the Federal Government Federal agencies, DOE (including FEMP and the DOE Renewable Energy development programs) and the renewable energy industry have worked together to develop a process and set of actions that will result in new opportunities and new deployments of renewable energy. We believe this premise of such a collective process is critical to successful implementation of the Executive Order and to stimulate American renewable energy industry." Changing the entire culture is the only way to make significant increases in renewables. Obviously, changing a culture is a enormous job. A mere three dozen people sitting on the Renewable Working Group can have a serious impact only if they find powerful leveraging tools. Their test of effectiveness will be how well they go back to their home organizations and sell the program. Agencies have to specify, even demand renewables. Associations have to match their constituents up to receptive champions with good Federal projects. On another point, the objective of "significant increases" will never happen without support from the top, from those who set priorities. When these people begin to feel a sense of urgency toward renewables, then they are the ones who will change in the culture a) to value the contribution of renewables, and b) to let privatesector financing of Federal projects flourish. So Many Barriers, So Little Time The entire mission of RWG could be expressed in terms of barriers. Without barriers, we would already have renewable energy everywhere, and RWG would stand for something else. But barriers abound. It is downright difficult to tag the most difficult. Like playing king of the mountain, there is not enough room at the top for all the bad guys. Some point to apathy as the biggest culprit. Mission specialists, not infrastructure specialists, rise to the top of agencies. Naturally, then, missions will gobble the budget dollars and leave the small change for the "lowest first cost" energy equipment. Life cycle equipment costs and sustainablity are not what determine prospectus limits on construction projects. To many decision makers, paying utility bills is an irritation to be delegated downward. Of policy makers, one RWG member said, "Renewable energy is not even a blip on their radar screen." Another form of apathy is toward the environment. Global warming and emissions are "someone else's problem." Except for the smaller half of DOE, reverting to 1990 CO2 levels is not even a low mission priority for any cabinet-level agency. (EPA, despite its Herculean efforts toward this end, does not have a seat at the President's oval table.) Others cry "foul" over cheap energy. Most market prices around the world do not reflect the true cost of fossil fuel. Its vendors are not charged for the consequences of their wares. Most environmental damage and health costs attributable to fuel use are paid by other segments of society and remain external to the energy price structure. Hence, these costs are termed "externalities." If prices reflected the whole cost of energy, we would not need a clean air act, an energy policy act or an executive order. Market forces would rule.
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Although other agencies are already addressing externalities, RWG is deferring this battle. The National Park Service and the army's Construction Engineering Research Labs (CERL) both have programs to quantify and account for external costs. A very real fear of backlash, however, is preventing an offensive on this front by RWG. Members and the agencies they represent are not unanimous in their opinions on externalities. Without overwhelming buy-in, rocking the boat with a tidal wave of externalities could sink the boat. Sunk boats are as useful as dead heros. On the other hand, dealing with internalities (internal project costs) is not a controversy. It is a good starter project that everybody can love. RWG's internalities tool will expand people's thinking to consider what they previously overlooked. As a result, project analyses will be more complete and objective. This should work in favor of renewables. Room For Improvement At the moment, one weakness of RWG is in metrics. The Implementation Plan calls for RWG to establish a measurement policy, but it does not establish one. Agencies need to commit to tangible goals, and I suggest that the time is now. RWG should start counting, one project at a time, until the movement picks up steam. Then transition over to measuring percentage reduction of emissions at Federal facilities. Agree on a schedule, and do whatever it takes to stick to it. Another opportunity for strengthening RWG is to get full participation from the biomass industry. So far there is none. Overtures to this market segment have been weak, and response nil. Biomass fuels, in solid, liquid or gas form, are every bit as powerful in reversing atmospheric CO2 levels as all other forms of renewable energy. In the full cycle of planting and harvesting, the net CO2 accumulation is zero because plants consume as much alive as they produce dead. When displacing fossil fuels for combustion, biomass fuels keep on producing energy, even on the coldest nights, even after the sun has set or the wind has stopped. In terms of kwh or Btus, the biggest potential in renewables may lie with biomass. This merits attention. Plan For Success To meet Federal environmental goals, renewables need to be mainstreamed, not stuck beyond the grid. To summarize its best effort, RWG is determined to change Federal thinking into renewable terms. Training courses and continuing publicity campaigns will do that. Then employees will call on the industry resource teams, the criteria matrix, FREScA, the internalities tool, and the model plan. By the end of the decade, renewable thinking will be mainstreamed, although renewable technologies will still be in the sorter. In the beginning, my greatest fear was that RWG would produce nothing more than a report. My greatest hope was that we would actually turn the trends around in the Federal Government and pave the way for the entire country before the end of the decade. Reality will fall somewhere in between. RWG is leading a Federal effort that the United States can be proud of, and AEE is part of it. If RWG succeeds in budging the country, then oil imports can drop back to 50% and keep dropping. Then CO2 emissions will drop to 1990 levels and keep dropping. Then the pH of April showers will rise to 7 and stop. Then the President should declare a national holiday!
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Chapter 3 Demystifying Green Buildings Through Green Building Issues, Case Studies and Resources L.N. Simon Demystifying Green Buildings Information and research on sustainability, energy and environmental efficiency, and "green" technologies and products is emerging at a rapid rate. Worldwide, organizations are developing green databases, resource guides, standards, specifications, videos, assessment methods, and research tools to educate the building industry, non-profit organizations, governmental agencies, and the general public. Learning what information is available, knowing where to locate the resources, and accessing this information is the first step in designing and building green buildings. The American Society for Testing Materials (ASTM) describes green buildings as residential, industrial and commercial structures that are designed, constructed, renovated, operated, and reused in an environmentally and energy-efficient manner. Specifically, green buildings aim to lessen their global impact through energy and resource efficiency, to provide good indoor environmental and air quality, to assure occupant health and productivity, to encourage efficient modes of transportation, and to improve the site where they are located. These concepts need to be addressed not as a single issue, however, but in an integrated approach. Green designers and builders recognize that a decision made in one area often affects decisions made in others. Ideally, green building concepts are applied throughout the "whole building", and over its entire life cycle. Below is a list of green building resources organized by the life cycle of a green building, beginning with their Significance, and including Site Design, Building Design, Construction Process, Building Management and Operations & Maintenance. The resources include books, newsletters, sourcebooks, government publications, and electronic tools. Significance of Green Buildings Resources The Next American Metropolis, Ecology Community and the American Dream. Peter Calthorpe; Princeton Architectural Press, 1993. Gray World, Green Heart, Technology, Nature and the Sustainable Landscape. Robert L. Thayer, Jr.; John Wiley & Sons, Inc., 1994. State of the World. Lester Brown, A World Watch Institute Report, 1994. Ecology of Commerce. Paul Hawken; Harper Collins Publishers, Inc., 1993. Site Design Resources Energy-Efficiency and Environmental Landscaping. Anne Simon Moffat, Marc Schiler and the Staff of Green Living; Appropriate Solutions Press, 1994. Regenerative Design For Sustainable Development. John Tillman Lyle; John Wiley & Sons Inc., 1994. The Resource Guide to Sustainable Landscape. Wesley A. Groesbeck and Jan Striefel; Environmental Resources Inc., 1994. Building Design Resource Efficient Design & Systems Resources The Energy Design Handbook. Edited by Donald Watson, FAIA; The American Institute of Architects Press, 1993.
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Solar Living Source Book. John Schaeffer & The Real Goods Staff; Chelsea Green Publishing Company, VT., 1994. Indoor Environmental Quality Resources Indoor Air Quality, Solutions and Strategies. Steve M. Hays, Ronald V. Gobbell, Nicholas R. Ganick; McGraw-Hill, Inc., New York., 1995. Designing for Good Indoor Air Quality, An Introduction for Design Professionals. United States Environmental Protection Agency; Office of Air and Radiation, 1993. Materials Resources Environmental Building News. Alex Wilson, Editor; West River Communications, Inc.; Environmental Building News, RR 1 Box 161, Brattleboe, VT, 053019033. Environmental by Design, Professional Edition. Kim LeClair and David Rousseau; 1994, P.O. Box 95016, South Van C.S.C., Vancouver, BC, V6J 4W4. Interior Concerns Resource Guide. Victoria Schomer, ASID; Interior Concerns Publications, 1993, PO Box 2386, Mill Valley, CA 94942. REDI Guide Database, Andy Johnson, Editor, Iris Communications Inc., 258 East 10th Ave., Suite E, Eugene, OR, 97401-3284. Harris Directory: Recycled Content Building Materials, Second Edition, B.J. Harris, Editor, Stafford-Harris, Inc. 1916 Pike Place, #705, Seattle, WA 98101-1056, 206-682-4042. Construction Process Resource A Building Revolution: How Ecology and Health Concerns are Transforming Construction, David Malin Roodman and Nicholas Lenssen, A World Watch Institute Report, 1995. Building Management, Operations & Maintenance Resources Building Commissioning Guidelines, Portland Energy Conservation, Inc., Bonneville Power Administration, and United States Department of Energy, 1992. Building Air Quality, A Guide for Building Owners and Facility Managers. United States Environmental Protection Agency; Office of Air and Radiation, 1991. Protecting the Built Environment: Cleaning for Health. Michael Barry; Tricomm 21st Press, 1994. Additional Resources AIA Environmental Resource Guide; The American Institute of Architects Press, 1992; 1735 New York Ave., NW, Washington, DC, 20006. Environmental Code of Practice for Buildings and Their Services, S.P.Halliday; The Building Services Research and Information Association, 1994; Old Bracknell Lane West, Bracknell, Berkshire, RG12 7AH. A Primer on Sustainable Building, Rocky Mountain Institute, (970) 927-3851. Additional Electronic Tools AIA On-line, 800-864-7753 American Society of Landscape Architects Design Net, 4401 Connecticut Ave, NW, Washington, DC 20008-2369. Internet Environmental Section on Gopher EPA Public Access Gopher Green Building Activities AIA Committee on the Environment Chris Gribbs, Director, Design Practice Development 1735 New York Avenue, NW Washington, DC 20006-5292 (202) 626-7515
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U.S. Green Building Council Tom Cohn, Executive Director 7900 Wisconsin Ave. Suite 404 Bethesda, Maryland 20814 (301) 657-3469 Rocky Mountain Institute Bill Browning, Director of Green Development Services 1739 Snowmass Creek Road Snowmass, CO 81654-9199 (970) 927-3851 End Note: This resource list is not meant to be exhaustive, but merely a starting point. Please do not regard this list as an endorsement of the resources and organizations included, but rather as a bibliographical aid to resources which have been identified as helpful or the best currently available. This information is changing daily as a wealth of new research is completed and as new or existing codes and standards are update to reflect the available data.
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Chapter 4 An Assessment of the U.S. Occupational Safety and Health Market L.A. Little and R.K. Miller To date there is a scarcity of market data in the area of occupational safety and health. According to the only publication we found, Occupational Safety and Industrial Hygiene Markets, (Richard K. Miller & Associates, Inc., 1995), the total estimated U.S. occupational safety and health market is 17.4 billion dollars. Due to the size of this market and the consequent need for information, Future Technology Surveys, Inc. (FTS) undertook a series of surveys focussing on the occupational safety and health industry. Although much of the data is still being compiled and analyzed at the time of this writing, in September, 1995, FTS will have completed a series of 28 market research reports: Industrial Hygiene and Safety Engineering Consulting Services Industrial Hygiene Laboratory Services Industrial Noise Control Vibration Isolators Safety and Health Training Safety Training Materials Software for Industrial Safety and Health Ergonomics IAQ Consulting Services Industrial Medical Surveillance Industrial Audiometric Testing Hearing Protection Eye and Face Protection Head Protection Respiratory Protection Hand and Arm Protection Protective Clothing Foot Protection Toxic Gas Monitors Hazardous Chemical Containment and Storage Equipment Safety Signs, Tags, and Labels Fall Protection Industrial First Aid and Medical Equipment Radon Abatement Lead-Based Paint Abatement Fume Hoods Industrial Air Filtration Eye/Face Washes and Emergency Showers
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Market data resulting from FTS research, covering all of the topics given above, will be presented at the Congress. For the purpose of these Proceedings, however, the following information is excerpted from two recently completed FTS survey reports, Industrial Hygiene and Safety Engineering Consulting Services and Industrial Hygiene Laboratory Services. Within the consulting service industry, the consensus of expert opinion predicts steady growth over the next decade for the U.S. market, provided the trend continues toward an increased attention to quality of service. Increased acquisitions and consolidations give large corporations a marked advantage; however, smaller consulting firms can prosper as well. As a result of corporate downsizing, outsourcing for consulting services has increased. Overwhelmingly FTS panelists indicate regulation as the greatest factor contributing to market growth. Deregulation and a recessionary economy are likewise noted as primary threats to the marketplace. Business management trends include service cost reductions, efforts to lower overhead expenses, and further development of management teams. In short, although the industrial hygiene and safety engineering consulting market is forecast to show greater opportunities for growth, consulting firms need to become ''lean and mean,'' without sacrificing the quality of their work, if they are to survive and succeed over the coming decade. For the industrial hygiene laboratory market, the FTS panel of experts also indicate steady growth throughout the next ten years, but not without reservations. In an increasingly competitive atmosphere, laboratories must provide their clients with the highest quality services at the lowest possible prices, if they are to remain viable in the marketplace. Customer service, with an emphasis on "quicker turnaround times," is a trend predicted to extend will into the next five years. In line with customer service, communication with the client providing consulting as well as testing services is additionally noted as important for maintaining a strong client base. Other important trends include increased computerization and automation, certification of personnel, and a need for a wider range of advertising. Although careful management, particularly in the areas of cost control and customer service, is essential in this ever tightening market, opportunities exist for small as well as large laboratories in such areas as indoor air quality, lead analyses, and bioidentification. Laboratories that survive and succeed will be those managed with an eye to quality as well as cost, technology as well as client need.
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Market Distribution by Client for Industrial Hygiene Laboratory Services
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Chapter 5 Climate Wise and Bsr: Partnering with Business To Improve the Environment and the Bottom Line R. Calahan Klein Abstract American companies consume nearly 50 percent of the nation's energy. These companies, along with the utilities who provide them energy, produce nearly twothirds of the nation's greenhouse gas emissions. Developing and nurturing partnerships among companies, utilities and government agencies, and nonprofit organizations can lead to dramatic increases in the efficiency and productivity of American companies while simultaneously decreasing pollution and greenhouse gas emissions. The Business for Social Responsibility (BSR) Education Fund is a not-for-profit business organization that supports energy efficiency and pollution prevention practices within the business community and serves as a catalyst for change toward more environmentally sustainable development. The BSR Education Fund has joined forces with Climate Wise, a voluntary program of the U.S. Environmental Protection Agency and U.S. Department of Energy, to help companies to improve their environmental and enconomic efficiency by forming partnerships with their local utilities and other business resource providers. Environmental and Economic Sustainability In his book the Ecology of Commerce, business leader Paul Hawken describes his vision of a more sustainable economic system. In this system, a combination of market forces and public policies provide incentives to business to use energy and natural resources efficiently, increase the use of recycled content. make all products easier to disassemble and recycle, and reduce or eliminate the use of persistent toxic materials. Today, however, we are far from Hawken's vision, and the consequences for the environment and the economy are profound. American business, which often serves as the model for commerce around the world, is rapidly using large amounts of natural resources and creating volumes of waste that are quickly outstripping the natural environment's ability to assimilate them. More than 90 percent of the energy consumed in the United States for industrial and residential use, and transportation is produced by burning fossil fuels. Carbon dioxide from fossil fuel energy production and use is the largest contributor to greenhouse gas emissions. Without changes to current patterns of energy consumption, net carbon emissions are projected to grow to more than 1.3 million metric tons by the year 2000. Commercial and industrial companies consume nearly 50 percent of all the energy produced and 65 percent of all of the electricity generated by the U.S. each year. As a result, business activity generates more than 48 percent of the carbon dioxide emissions created each year.
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Businesses generate approximately 13 billion tons of waste per year. Because few products are designed to be disassembled or recycled, 98 percent of the products used in the U.S. are ultimately disposed in landfills or incinerators. The environmental consequences of business as usual can diminish economic competitiveness by generating large amounts of waste which increases production costs, business risks. and future liabilities. As the CEO of a Fortune 500 company recently remarked, "Pollution is a product we can't sell." Innovative companies are learning how to continuously reduce waste and energy use while increasing their productivity and benefits to their bottom line. Opportunities for Business To Benefit the Environment and the Bottom Line Business leaders have identified strategies to reduce waste while benefiting their bottom line. Companies that undertake energy efficiency strategies typically reduce their energy bill by 10 to 30 percent. Partnering with utilities and other technical and financial research providers enables companies to identify and implement process improvements that have significantly improved the efficiency and productivity of their operations. In 1991. one Breyer's Ice Cream plant and Boston Edison designed and implemented an energy efficiency project which cut electricity and water use at the plant by 30 percent. eliminated CDCs at the facility. cut production time for a quart of ice cream from 12 hours to 4 hours. and saved 160 jobs at the plant. The facility went from being one of the most inefficient to the second most productive plant in the Unilever system. (Unilever is Breyer's corporate parent and is the largest manufacturer of ice cream products in the world.) During the past year, the Breyer's plant has increased production and added 40 employees. A partnership between the Sacramento Municipal Utility District and Campbell's Soup Company implemented energy efficiency measures and on-site energy generation to retain 1700 jobs at Campbell's Sacramento plant. The company is now planning a major expansion site. Greenfield Tap and Dye. a manufacturer of tools and molds, worked jointly with Western Massachusetts Electric Company to redesign it's manufacturing process. Throughout this partnership. the company and the utility were able to take steps to reduce energy costs by $90,000 per year, eliminate the creation of hazardous waste at the facility cutting waste disposal costs by $180,000 each year, and improving productivity by reducing production time from 11 days to one. Business Leadership: Climate Wise and Business for Social Responsibility The Business for Social Responsibility (BSR) Education Fund works with the business community to integrate environmental considerations into business decision making and help companies to form partnerships and demonstration projects that benefit the environment and the bottom line. The BSR Education Fund is working with the Climate Wise program to encourage companies to realized the value of voluntary programs and partnerships to spur innovation and efficiency through performance oriented objectives. Climate Wise helps companies to identify opportunities to use new technologies, new processes and best management practices to improve their energy and environmental efficiency. Climate Wise member companies identify specific projects and strategies for reducing greenhouse gas emissions and forming partnerships to improve their economic and environmental performance. Climate Wise member company, DuPont has identified opportunities to reduce their emissions by more than 40 percent by the year 2000, with an annual cost savings of more than 30 million. Innovation Many companies are finding that a commitment to energy and environmental efficiency promotes innovation. Not only are companies appreciating considerable cost savings, energy efficiency and waste reduction, but they are looking far beyond the short term benefits and focusing on designing their products and production processes fight from the start. Quad/Graphics, Inc., a member of both Climate Wise and BSR, has recently developed a new ink jet printer head which can reduce the amount of ink used in the printing process by 50 percent and at the same time recapture 80 to 90 percent of the emissions from ink jet printing. Fetzer Vineyards, another Climate Wise and BSR member, has taken steps to reduce their energy use by 50%, use 100% recycled materials for packaging, and have completely solar powered facilities by the year 2015.
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The Opportunities Ahead Businesses are increasingly realizing the benefits of integrating environmental considerations into every aspect of their business, from the design of their products and facilities to the ultimate end use of their product. Business leadership is paving the way for innovation and new partnerships between government agencies, businesses and utility companies. The BSR Education Fund and the Climate Wise program are demonstrating that voluntary partnerships with the business community can lead to significant environmental achievements and spur increased efficiency, innovation and productivity.
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Chapter 6 Closing the Lid On Greenhouse Gas P.E. Herman In June 1992 the United States participated in the Earth Summit at Rio de Janeiro and joined other nations in signing the International Convention on Climate Change. Under the Convention, developed nations agreed to draft action plans for reducing greenhouse gas emissions which are harmful to the environment and may cause global warming. In October 1993, the Clinton administration led participating nations by releasing its Climate Change Action Plan prior to ratification of the convention. The plan articulates the U.S. pledge to reduce greenhouse-gas emissions to 1990 levels by the year 2000. Projects suggest that without the Climate Change Action Plan, net emissions of these gases in the United States will increase by about 7 percent reaching dangerous levels between 1900 and 2000. 1 Environmental onlookers were initially skeptical about the United States' ability to achieve these ambitious goals. In part, the skepticism centered on the fact that the U.S. Climate Change Action Plan, unlike the traditional, command-and-control programs of the past, was founded on the belief that voluntary programs could achieve results by enlisting the creative resources of the business community. Furthermore, the U.S. plan reflects the belief that various levels of government can work cooperatively with citizens, businesses, and industry to achieve results. The Climate Change Action Plan includes more than 47 voluntary initiatives designed to achieve stabilization of greenhouse gases. One Climate Change Action Plan initiative, Climate Wise, is a joint program of the U.S. Environmental Protection Agency (EPA) and the U.S. Department of Energy (DOE) that encourages and rewards voluntary efforts by industry to reduce gas emissions. The program encourages industry to take actions that reduce emissions cost-effectively. Climate Wise participants from industry have voluntarily set performance-improvement targets, identified emissions-reduction actions, and will monitor and report results. The program provides participants with access to technologies and information through workshops, seminars, and case studies that document successful private- and public-sector efforts. The program also gives public recognition to companies for their commitment to the initiative and their actual reductions in emissions. Climate Wise companies have been recognized at two White House conferences in the year since the program's inception. And local and on-site awards presented at such events, along with press releases and journal articles, will continue to highlight and recognize corporate achievements. The Climate Wise program currently enjoys the commitment of 12 companies: DuPont, Lockheed Martin, AT&T, Quad/Graphics, Weyerhauser, Georgia-Pacific Corp., Johnson & Johnson, Fetzer Vineyards, Etta Industries, Majestic Metals, Coors Brewing Co., and General Motors. Collectively, these companies represent approximately four percent of U.S. industrial energy use, and have pledged to eliminate more than five million metric tons of carbon equivalent greenhouse-gas emissions. In addition to reducing greenhouse-gas emissions, companies participating in the Climate Wise program are achieving tremendous cost savings based on more efficient energy use and waste stream reductions. U.S. companies sponsoring programs to reduce greenhouse gases have achieved cost savings on the order of $40,000 annually per facility. By the year 2000, DuPont has pledged to reduce equivalent energy use by 15 percent per unit of production.
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American Ingenuity Climate Wise incorporates four main tenets based on cooperation and voluntary compliance. First, in contrast to traditional regulatory schemes, the program does not use a one-size-fits-all approach to pollution control. Instead, it relies on the people closest to the pollution problems to use their insight to solve them. As president Clinton said in introducing the Climate Change Action Plan, the need for action regarding climate change is "a call, not for more bureaucracy or regulation or unnecessary costs, but instead for American ingenuity and creativity." Climate Wise provides a flexible framework that encourages industries to put their best ideas to work and offers them technical information and assistance. For example, EPA and DOE, along with Climate Wise companies and major utilities, are sponsoring 10 workshops across the country to share ideas and achievements. This type of consultation and peer exchange creates opportunity for continuous improvement. Second, the program reflects an important shift away from the practice of looking at single technology improvements in isolation or regulatory approaches that require investment in end-of-pipe pollution-control technologies. Instead, Climate Wise encourages a holistic, comprehensive approach to pollution prevention. Participants, for instance, are asked to scrutinize their operations in search of pollution prevention and energy efficiency opportunities that pose the most value for the enterprise as a whole. International pharmaceutical company Johnson & Johnson has taken such a holistic approach by pledging to improve equivalent energy efficiency by 10 percent by 1996; reduce office waste by 50 percent by 1996; and reduce production waste by 50 percent for nonhazardous waste and 10 percent for hazardous waste by 2000. Johnson & Johnson is also participating in several other voluntary programs including Green Lights, Waste Wise, and Motor Challenge. Indeed, Climate Wise companies take actions that achieve better environmental performance and yield bottom-line results. These companies are making process improvements that increase their productivity while simultaneously reducing energy and resource use. They are also switching to lower-carbon fuel sources, altering raw materials selections, and increasing their use of renewable energy. DuPont, an international leader in the chemicals industry, was the first company to sign on as a participant in the Climate Wise program and has committed to reducing its facilities' annual emissions below 1990 levels, by 2000. DuPont plans to meet this commitment by improving energy efficiency in their manufacturing operations, essentially eliminating nitrous-oxide emissions through capital projects that will either eliminate these emissions or recapture them for beneficial use 2; and reducing emissions of hydrofluorocarbons and polyfluorocarbons. These actions are producing excellent returns, and in many cases the energy efficiency improvements require no capital investment. DuPont expects to save $30 million this year from their efficiency initiatives. Beyond those initiatives, other Climate Wise participants are looking past their factory door for ways to positively affect greenhouse gas emissions. For instance, some companies - including Georgia-Pacific and Fetzer Vineyards are planting trees to absorb carbon dioxide, encouraging employees to use mass transit or car pool, and adjusting shift schedules to reduce employee commuting. Third, Climate Wise encourages collaboration among the many players involved, including those in industry; federal, state, and local government; financial institutions; and trade associations. For instance, in Colorado, Climate Wise is working with an established group of industrial companies that are members of the Pollution Prevention Partnership. These companies include Lockheed Martin, Coors, Kodak, Hewlett Packard, and AT&T. Partners include Public Service of Colorado and government and public interest groups. In the fall of 1994 this group formed an Energy Efficiency Committee to help member companies develop innovative energy efficiency programs. Climate Wise personnel organized a technical conference on "Industrial Energy Efficiency Opportunities" to bring technical assistance providers together with select employees from the member companies. Companies will be creating energy efficiency plans that include a 1990 energy baseline, metrics, potential efficiency projects, company technical and financial needs, and discussion of barriers and solutions to energy efficiency. Fourth, Climate Wise acknowledges the achievements of participating companies. Recently, companies received plaques at a White House Conference on Environmental Technology, and were also recognized at a White House Conference on Climate Action. This recognition translates into positive perceptions among customers, investors, and other key stakeholders. Fifth, the Climate Wise program provides an "umbrella" under which companies can take part in more than one program. Lockheed Martin, a major defense contractor, is cornmingling its Climate Wise initiatives with several other projects tied into the Climate Change Action Plan. Among these other projects are Green Lights, which involves installation of energy-efficient lighting, Waste Wise, which supports recycling and reduction in waste generation, and Motor Challenge, which supports industry's use of high-efficiency motors.
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Agency officials are confident that the pledges these and other Climate Wise companies make, once carried out, will translate into significant reductions in greenhouse gas emissions. These reductions could play a crucial part in meeting the nation's commitment to cleaner air and a healthier environment. What's more, for most Climate Wise companies these reductions are also making a difference where it matters most in the private sector on the bottom line by boosting their competitiveness and productivity. <><><><><><><><><><><><> In summary, a diverse group of U.S. companies have joined the Climate Wise effort. Telecommunications giant AT&T, one of the first companies to participate in the Climate Wise initiative to reduce greenhouse gas emissions, is requiring its business units to develop and implement five-year energy-management plans for each of their facilities. To date, 75 percent of AT&T's business units have completed five-year plans, and the company now expects to offset its greenhouse gas emissions by approximately 170,000 metric tons, and, as a result, save $50 million, by the year 2000. 3 Prior to joining the Climate Wise effort, California-based Fetzer Vineyards was already converting company vehicles to natural gas and/or electric, and encouraging employee mass transit and carpooling. Additionally, Fetzer was increasing its renewable energy use, and making various process improvements to reduce greenhouse gas emissions. As a Climate Wise participant, Fetzer has promised to work toward reducing its energy use by 50 percent by 2005. Fetzer also plans to provide company transportation via electric-powered busses to save on fossil fuel use, and to make its packaging from 100 percent recycled material and non-toxic, environmentally safe inks. Long-term plans include becoming 100 percent solar-powered companywide by 2015. Quad/Graphics, the largest privately held printer in North America, estimates that its participation in Climate Wise will result in a savings of 1.5 million kilowatthours of electricity per year and prevent emissions of 2.25 million grams of nitrogen oxides. Its goal is to reduce energy use by three percent annually while the company expects 50 percent growth. Savings from current energy-efficiency programs will save the company $450,000 each year beginning in 1995. <><><><><><><><><><><><> Footnotes: 1. Climate Change Action Plan, copyright 1994, Clinton Administration. 2. DuPont Energy News. Vol. 3 #1 Spring 1994. (DuPont corporate publication) 3. AT&T Personal communication with Jim Walton, AT&T environment and safety engineer. Note: Specific pledge information was taken directly from pledge letters written by officials of the Climate Wise companies mentioned.
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Chapter 7 Implementing Climate Wise at Johnson & Johnson H.A. Kauffman Abstract Johnson & Johnson has had a formal energy program since the early 1970's. A corporate energy department was formed as a result of the disruption of energy supplies and rising energy costs. Johnson & Johnson is a decentralized company with many independent operating companies throughout the world. The corporate energy department cuts across the different levels of management to delivery energy related information to the actual implementers at all of our locations worldwide. Like many other energy programs, Johnson & Johnson's program had highs and lows depending on worldwide energy activities. Unlike many other corporate programs that were disbanded in the late 1980's, our program remained in place, although there was not a high level of interest or attention. In the early 1990's, the link was made between electricity generation and greenhouse gas emissions, initially by the Green Lights program and strongly reinforced by the United Nations agreement (U.N. Framework Convention on Climate Change in June 1992 at the Rio "Earth Summit") and the U.S. Climate Change Action Plan. As a result, our energy program at Johnson & Johnson received renewed attention and a significant effort is now underway to reduce our greenhouse gases through energy reductions. This paper will describe how Johnson & Johnson, a Climate Wise Partner, is undertaking various energy efficient programs and technologies throughout the U.S. to reduce greenhouse gas emissions. Our Pledge As a Climate Wise Partner, Johnson & Johnson committed to efforts to reduce greenhouse gas emissions. The major components of this pledge include: Complete a 10% equivalent (indexed to production, area and climate) energy reduction (1991-1996). Complete commitment to Green Lights (1991-1995). Complete commitment to Waste Wi$e. Participate in Motor Challenge. Eliminate the use of CFC's in our products, processes, refrigeration and chilling equipment (units of less than 5 tons exempted). Reduce office waste by 50% (1991-1996). Reduce production waste by 50% for non-hazardous waste and 10% for hazardous waste (1991-2000). Continue to conduct annual Earth Day in April of each year. Continue to conduct annual Energy Awareness Week in October of each year.
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Our Energy Program I am going to focus on the energy aspects of our pledge since these are the specific areas for which I am responsible. Our environmental group is responsible for the non-energy related components. First, let me cover our energy department. The department is made up of 3-1/2 people reporting to Corporate Engineering Services. The group includes a director, assistant, secretary, and a part-time engineering student. Up until 1992, there were only two people in the department, but with the renewed emphasis on energy, the department was expanded, even during a time of downsizing. This alone highlights the significance of our efforts. The major responsibilities of the department include: Managing Energy Reporting System Increasing Energy Awareness Communication/Technology Transfer Coordinate Joint Programs Act as Internal Consultant Energy Reporting System Although completing reports is a highly undesirable task, we must have an energy reporting system to manage our efforts and track our progress. From a corporate standpoint, we don't try to micro-manage our independent operating companies but rather provide them with the tools that they can use, if they want, to achieve the desired results. One example is a spreadsheet that tracks and graphs energy usage and costs on a monthly basis. This is for their own use only. The reporting requirement to Corporate is only a yearly summary, provided on a single sheet, with options to submit the report in one of several different formats. In addition, energy usage is indexed to production levels. Each individual location develops their unique production index and then their progress is measured against themselves on a year to year basis. The energy report highlights the trademarks of our energy program. We like to think that it is flexible. Numerous options are typically offered so that the appropriate components of the program can be selected for a customized program at the different locations. Awareness To enhance awareness, we conduct a yearly Energy Awareness Week, Worldwide. We attempt to heighten awareness of energy usage and reduction opportunities for the employees at home and in the workplace. A yearly event that stimulates a lot of interest is the Children's Coloring Contest. Competition and recognition occur at each location during energy week, followed by Corporate wide recognition. In 1994, we received entries from 120 Johnson & Johnson companies in 60 countries. In 1995, Energy Week was celebrated the week of October 23 with the theme "Keep the Future Bright: Save Energy". This theme, as well as the previous three themes have enabled us to highlight the link between pollution prevention and energy reduction. Communications/Technology Transfer Communications and technology transfer are enhanced through Regional committees, an Energy Manual, and newsletters. The energy manual includes recommendations for energy practices and technologies as well as Project Summaries of energy related projects completed at our various facilities. Regional committees meet every 1-2 years in Asia/Pacific, North America, Europe, Latin America, Canada and Puerto Rico as well as different geographic regions within the U.S. The real workhorse, though, is our Technical Advisory Council, which meets monthly to explore and test new energy related technologies and communicate the results worldwide. The T.A.C. consists of engineering managers, engineers, and maintenance managers or supervisors from all of our locations in New Jersey and Pennsylvania with voluntary representation from some of our remote sites; i.e., Ohio, California, and Massachusetts. We usually have 15-20 members in attendance at each meeting. The minutes of the T.A.C. meetings and the Regional conferences are distributed via newsletters Worldwide. Other special energy highlights, Green Lights, etc. are also communicated via newsletter. Coordinate Joint Programs The coordinated programs include: fuel purchasing, CFC phaseout, demand side management programs, all of the Climate Change Action Plans (Climate Wise, Green Lights, Motor Challenge, and Energy Star Buildings), and our Worldwide Energy Reduction Goal. The energy reduction goal, which is just one of our Pollution Prevention Goals, is really the umbrella, similar to Climate Wise, for all of our efforts. Using the goal as a basis for action, we offer the operating companies programs and recommended actions from which to select to achieve the goal. For example, while Green Lights is a U.S. program, information is distributed Worldwide. As a result, our Canadian companies used lighting as one of their first steps to
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achieve the goal. The initial energy reduction goal was a 10% reduction goal from 1991-1996. With increased awareness and a higher level of activity, the results have been outstanding. As a result, we have proposed expansion of the goal through the year 2000 to 25% for the U.S., Canada, and Latin America and 15% for Asia/Pacific and Europe. Although these are indexed reductions, if we meet these goals, we should be able to reduce our energy usage to the 1990's levels in actual terms. Internal Consultant As an internal consultant, we act as a clearing house for technical information. We develop and publish energy efficient recommendations for retrofit as well as new construction. We've developed a model for achieving the energy reduction goals to include two strong recommendations: completion of an energy survey and development of an energy profile. The energy profile is simply a breakdown of energy usage by major component and is presented in a pie chart. To complete energy surveys, we have developed national agreements with several companies from which they can choose. In addition, I conduct energy surveys upon request and have actually surveyed 70% of our space in the U.S., as well as 15% internationally. Recent Results Using 1991 as a base year, we have reduced our equivalent energy usage by 9.3% Worldwide with the U.S. achieving a 9.5% reduction. As part of the Green Lights program, we have upgraded 92% of our eligible space or 11.7 million square feet in the U.S. alone. We are participating in 3 Motor Challenge Showcase projects. Three different Johnson & Johnson companies volunteered to participate with projects. The applications include: Oxidizer: Variable Seed Drive, Energy Efficient Motor, Controls. Process Cooling Tower Pumps: Variable Speed Drives Dust Collector: Variable Speed Drive, Energy Efficient Motor, Controls We are presently rolling out the Energy Star Buildings program and have expanded the different stages of upgrades to include successful projects at various Johnson & Johnson locations. Whats in It for Us/You? All of the programs are being positioned under the Climate Wise banner which will allow our facilities to select what is most appropriate for them to achieve their long range energy and cost saving goals. We will continue to link the benefits of energy reduction to pollution prevention and greenhouse gas emission reductions. By making this link and increasing the awareness, we are now in a better position to focus on many readily available cost effective technologies. We are able to package a project that includes additional benefits beyond cost savings to include environmental, employee health, and productivity. We are taking a comprehensive approach, evaluating all of the options in the facility as well as the manufacturing processes. Being a flexible program, Climate Wise fits in perfectly with our decentralized philosophy and the approach that we have used in our energy program. By offering options and various recommendations, the Climate Wise program can enhance our efforts. Within Johnson & Johnson, all of the Climate Change Action Plans have allowed us to focus on energy efficient improvements, more so than since the early 1970's. Information provided by the EPA and the Department of Energy have added validity to manufacturers' claims as well as increased awareness significantly. Beyond this, we are forming a network of Climate Wise Partners to share information which enables us to accelerate our progress. Benchmarking is a natural outcome of this network which can highlight many additional opportunities. Can we or you achieve similar results without participating in these voluntary government programs? Of course, we could. But let me suggest, that in most cases, we would not. Climate Wise, along with other voluntary programs, can act as the catalyst, to stimulate energy reduction efforts, to accelerate them, and to identify additional opportunities. At least at Johnson & Johnson, these programs have moved our energy reduction efforts to the front burner.
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Chapter 8 Comparison of Energy and Waste Management Costs and Opportunities for Reducing Related Costs in Manufacturing Plants R.J. Jendrucko and J.C. Overly Introduction Both energy use and waste generation directly impact profitability in the industrial setting. While it is clearly desirable to reduce both energy use and waste generation, the attention given to these areas varies widely depending principally on managements' attention to these component costs of operation and previous efforts at reducing energy consumption and waste generation. From the early days of the ''energy crisis'' to the more recent case of growing concern with changing environmental regulations, plants have established incentives for the implementation of energy conservation and waste minimization measures based mainly on the payback period for specific recommendations considered and their ultimate effect on the company's profitability. Although most companies give periodic attention to operational costs related to energy use and waste generation, data has not been assembled which demonstrates the cost relationship between energy consumption and waste management for different industries (with a variety of SIC codes). In addition, the relative potential savings related to the undertaking of new measures for energy conservation and waste minimization in the industrial sector has not been clarified. In order to gain some useful insight into the current status of financial incentives for energy conservation and waste minimization in industrial manufacturing plants, actual plant data is required. For this purpose the authors utilized data recently obtained from industrial clients served under the University of Tennessee's Industrial Assessment Center (IAC) Program. The IAC Program, funded by the US Department of Energy, currently supports twenty-two universities to utilize engineering faculty and student teams to perform no-cost one-day assessments for the purpose of recommending measures for energy conservation and waste minimization in regional small- to medium-sized manufacturing plants. Client Plant Characteristics Background and Selected Characteristics Since the inception of The University of Tennessee IAC Program in 1992, 32 clients in a variety of industries have received a no-cost industrial assessment. Among these randomly-solicited participating companies, data analysis and reporting have been completed for 21 plants. The clients in the pool analyzed included companies with manufacturing operations encompassing 11 different two-digit SIC codes. Annual sales for the plants served ranging from $6 to $88 million (with the exception of one plant having sales of $232 million) for an average (excluding the exceptional case) of $34 million per year (see Table 1).
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TABLE 1: Client Pool SIC Codes and Annual Business Sales SIC Code Sales ($M/yr) SIC Code Sales ($M/yr) 22 19 27 30 24 15 28 50 24 36 30 21 25 20 30 52 26 18 32 60 27 8 33 5 27 13 33 65
SIC Code 34 34 37 37 37 37 37
Sales ($M/yr) 6 88 14 28 65 71 232
Methods of Determination of Plant Energy and Waste Management Costs For the client pool, only electricity and natural gas energy forms were used. Total annual energy costs for a recent twelve-month period were calculated directly from historical records of utility billings. This method of summing energy costs did not differentiate between electricity and natural gas use. Also, it should be noted that the yearly total energy use quantity included energy use for all purposes including plant utilities (e.g. steam, hot water, compressed air), lighting, space conditioning, and thus, was not limited solely to manufacturing process energy use.' In contrast to the relatively straightforward accounting for annual energy costs for the analyzed plants, the determination of total waste management costs was considerably more difficult and required several cost element approximations. For all waste streams reported by participating plants, including hazardous and nonhazardous wastes and air and wastewater emissions, total net waste management costs were summed to obtain a total annual cost. Cost categories considered included raw materials replacement, handling labor, administrative labor, and shipping and disposal. The elements of these categorical costs and typical sources of cost estimates are summarized below in Table 2. Distribution of Plant Energy and Waste Management Costs In the client pool annual energy purchase costs ranged from approximately $43,000 to $1.3 million while annual waste management costs ranged from about $60,000 to $1.8 million. The distributions of the ratio of energy to waste management costs for each individual plant was calculated and the ratio values are presented in a descending-magnitude order histogram (Figure 1). While there is a modest range of energy to waste management cost ratios for most small- to medium-sized companies served, these costs were clearly of the same order of magnitude. For the plant data analyzed, the ratio of annual energy costs to annual sales was found to range from 0.3% to 8.4% with an average of 2.1%. The comparative ratio of annual waste management costs to reported annual sales ranged from 0.1% to 11.5% with an average of 2.4%. These results Table 2: Waste Related Cost Sources Cost Category Typical Source Raw material replacementPurchasing records or purchasing officer estimates Handling and labor Plant manager's estimates Record keeping Plant manager's estimates Waste offsite removal Shipping receipts or manifests
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Figure 1: Ratio of Energy Costs/Waste C, vs. Plant SIC Code appear to support the conclusion that energy and waste management costs are typically a relatively small fraction of a plants cost of doing business as reflected in reported sales. Energy Conservation and Waste Minimization Opportunities Identified Based on the in-plant assessments performed for each client in the pool, several energy conservation and waste minimization measures were recommended. A list of energy conservation and waste reduction measures for consideration was obtained based on client preferences, the auditing team's experience and familiarity with a variety of manufacturing systems and the use of a checklist. Energy measures included those related to process equipment, plant utilities, lighting and HVAC equipment. Waste reduction measures included those related to process modification, material substitution, improved operating practices, and recycling and reuse. While energy conservation measures selected for recommendation typically had payback periods of less than three years, waste reduction measures having paybacks of up to five years were recommended occasionally (in the case of a reduction in a regulated waste). For clients in the pool, from 5 to 11 energy conservation measures were recommended with an average of 7 recommendations per plant. Waste reduction recommendations ranged from 2 to 5 per facility and averaged 4. The ratio of the number of energy conservation to waste reduction recommendations ranged from 1.0 to about 2.8 with an average of 1.9. This result suggests that the relative number of opportunities for economically attractive measures favor energy conservation over waste reduction by almost 2:1. This finding may reflect in part (1) the much longer time that The University of Tennessee IAC has performed energy audits (19 years) relative to waste assessments (7 years) (2) the fact that energy use in plants is ubiquitous while significant waste streams tend to be process-specific and (3) environmental regulations for many clients may have resulted in many potential waste reduction measures already having been implemented. Potential Cost Savings from Energy Conservation and Waste Minimization Recommendations The total potential cost savings for all energy conservation measures recommended for all companies in the pool ranged from approximately
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Figure 2: Ratio of Energy Conservation Cost Savings/Waste Reduction Cost vs. Plant SIC Code $6,000/yr to $415,000/yr with an average of about $50,000/yr. For the waste reduction measures recommended, the potential cost savings ranged from approximately $11,000/yr to $1.2 million/yr with an average savings of about $177,000/yr. For the 21 clients represented, the distribution of the ratio of potential energy conservation to waste reduction costs savings is depicted in Figure 2. From the data depicted in Figure 2 it can be seen that the ratio of energy conservation to waste reduction cost savings varied from 0.05 to just over 2.00 for which the average ratio was found to be approximately 0.5. Conclusion The results presented here demonstrate that while plant energy and waste management costs are of a similar percentage of sales, during assessments, about twice as many energy conservation versus waste reduction recommendations are typically made. However, the potential for cost savings achieved following measure implementation for waste reduction is over five times that for energy measures on average. In addition to this relatively greater financial incentive for waste minimization, many industrial plant-managers perceive added incentive in avoided future liability and risk. Liability avoidance alone associated with waste reduction may result in more frequent attention given to waste minimization relative to energy conservation in industrial plants. Fortunately, in many cases, there are direct linkages between waste generation and energy use in manufacturing operations (1) so that even if waste reduction is the primary focus of future process modifications, significant energy will frequently be saved when waste is effectively reduced. References 1. Thomas, T., Jendrucko, R. and J. Peretz. "The Distribution of Industrial Waste Generation and Energy Use Characteristics in Available Federal and State Databases." Proceedings of the 17th World Energy Engineering Congress and the 4th Environmental Technology Conference and Expo, p. 73-79, Atlanta, GA, December 7-9, 1994.
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Chapter 9 Converting Environmental Documentation To Management Information M.J. Larsen and H.J. Frentz Introduction The growth of environmental, health, and safety regulations and their reporting requirements has been extraordinary. Penalties for missteps in environmental documentation also grow more serious. Every major piece of environmental legislation requires facilities to collect data and maintain records, in many cases detailed records for long periods of time, on raw materials, processes, emissions, events, personnel, and many other facets of business operations. Unfortunately, for some organizations, the collection of data that satisfies regulatory requirements is an end in itself. Data acquired in this manner may result in little useful information that managers can use to foster their business goals. For organizations of any appreciable size, the volume of environmental data, in manual form, makes analysis difficult to impossible. For example, in 1993 a Fortune 50 chemical manufacturer with a superior environmental program received a notice from the Center for Disease Control that working with sulfuric acid might carry a risk of occupational cancer. Senior environmental managers posed the question, "Where in our facilities do we use sulfuric acid?" Two industrial hygienists spent six weeks researching the question. When they finished, they could state unequivocally where the material was used, but they could not say how much was being used, or who was routinely or occasionally exposed to the material or at what levels. The information was available, but not accessible and not in a useable format. Too often, data resides in disparate databases, in different locations, and within incompatible information management systems. There are many reasons for this. Perhaps chief among them is the compartmentalization of data that occurs primarily because of our legislator's and regulator's desire to foster environmental compliance in single unit elements, namely, air, water, land, waste, health, safety, and radiation. Thus, organizations develop and maintain individual databases that reflect the reporting requirements of the Clean Air Act, the Resource Conservation and Recovery Act, the Occupational Safety and Health Act, and so on. Each law produces a separate regulatory enforcement structure. Companies are forced to produce separate internal organizations to respond to these distinct regulatory declarations, even though environmental matrices are intimately linked in nature, and even though an organization's production processes are intimately linked within a similar corporate framework. Environmental data also becomes compartmentalized because of industry's inclination to decentralize business components, including environmental issues related to the component's operation. Though there may be a corporate environmental executive overseeing facets of environmental activities for the overall Organization, day-to-day decisions emanate from plant, or even department, environmental staff. This is frequently true of decisions regarding information systems. Individual business entities usually are free to purchase, install, and utilize whatever hardware or software is deemed appropriate to fulfill their unique business and environmental management goals. However, the information a company owns is nothing unless it is readily available in a useable form. Data that exists but cannot be accessed may be worse than no data at all. This simple point is abundantly clear to those companies unfortunate enough to experience an environmental "incident" resulting in extensive media coverage. At times like these, management decisions are
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critically important and must originate from the highest quality data available. The corporate costs associated with less than optimal environmental decisions can be very high in terms of adverse impact on reputation and community relations. The quality of these decisions is based directly on the quality of information available at the time the decision is made. These issues: 1. the compartmentalization of critical data, 2. data that exists on inaccessible computer platforms, and 3. data that cannot be accessed readily and intelligently by decision makers can impede management's ability to function quickly, efficiently, and cost-effectively. And today, the most successful companies make the best possible environmental decisions with the highest quality information available. This paper's central theme is simple. By managing environmental information faster and more efficiently, organizations can, first, manage environmental risk and its associated financial, legal, and public relations liabilities faster and more efficiently; second, create business opportunities not considered even a few years ago; and, third, operate the organization at a competitive advantage. Several tools to allow organization's to convert environmental data to management information, or more importantly, management knowledge, are discussed herein. Levels of Strategic Response An organization's response to environmental matters will take one of three forms: reactive, proactive, or innovative. The reactive organization focuses on achieving compliance with existing regulations. It focuses its environmental budget towards mitigation, remediation, and litigation. Action and direction relating to environmental affairs usually is initiated by low-level managers as a bottoms-up response. These organizations very likely comprise greater than 90 percent of all business enterprises. The proactive organization focuses on anticipating the direction of environmental regulation to minimize long-term compliance costs. This organization factors future environmental costs and risks into basic business decisions. Furthermore, existing environmental exposures are well understood by managers throughout the company. This category probably comprises less than 10 percent of American business organizations. The truly innovative organization uses environmental issues to create market opportunities and a competitive advantage. (Consider the reasoning behind so-called "clear" products for the home, "green" computers, recycled and recyclable packaging.) Senior managers initiate action and direction relating to environmental matters. Furthermore, the organization has clear environmental objectives and priorities, which it constantly integrates into planning, budgets, and performance evaluations. This category may comprise, at most, three to five percent of businesses today. All organizations must acquire environmental data according to the mandates of federal, state, and local statutes. We expect the reactive organization simply to collect, verify, and report data, as required by regulation. The proactive organization not only collects, verifies, and reports but also analyzes and, from this analysis, develops plans to advance distinct business goals. In addition, proactive firms collect data that is not required by regulation. For example, the regulatory agendas published by federal and state regulatory agencies may have a significant impact on the organization and can provide critically important information on pending or future regulatory initiatives. By making optimal use of existing data and by compiling data not required by statute, we can say that the proactive organization has converted data into information. The innovative organization, however, has advanced from the analysis of data, and planning for future needs, to utilization. Meta-data is data derived from data. Multiple data streams are organized in a way to produce new layers of information. For example, if SARA Title III high hazard chemical storage sites are mapped on a geographical information system, they can be compared to census data of adjacent neighborhoods and subsurface hydrogeology. Overlaying air dispersion and ground water flow models results in a planning tool of considerable value. In such instances, the innovative organization has converted information into knowledge. Information Management Tools In the past, many environmental data management tasks were performed manually and with limited corporate resources. Advances in software technology have resulted in significant improvements in data collection, assimilation, and analysis. In our experience, many organizations, even those with sophisticated technical programs, lack an integrated information management plan. This is illustrated by multiple software application programs being used in different parts of the organization. In decentralized companies we have seen inventories maintained on paper,
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spreadsheets, and word processing programs, as well as advanced database management programs. To further complicate matters, we find every possible computer platform and operating system. This patchwork of hardware and software results in manual data manipulation whenever it is necessary to utilize one data set with another. Translation programs are complex and time-consuming to use. Many stand-alone systems are designed with proprietary software and resist efficient consolidation. Furthermore, much of the software used for environmental management was written for character-based operating systems and, hence, does not incorporate the modern graphical user interface techniques that appeal to all levels of users today. A new approach to environmental information management can address and remedy each of the issues described above. The requirement we address is for a comprehensive information management system that utilizes a software architecture that can access all existing environmental, health, and safety data throughout the corporation, access regulatory information from a diverse set of sources, and integrate all environmental search and retrieval, and analysis tasks. The system should have an intuitive, easy-to-use interface, and present current corporate and regulatory information in optimal formats to all authorized members of the organization, thus increasing management efficiency. A migration path to an open systems environmental program can be provided by shifting to fourth generation language programming tools, including distributed client/server computing with object-oriented programming technology. Thus, portability across platforms, graphical user interfaces, relational database management systems, and local area networks are supported. The requirements of interoperability and application integration are driving the development of open standards and component-based reusable software. These open standards address not only the multiple platforms, operating systems, and local area networks in use today, but provide a means to be directly compatible with future platforms and operating systems. Geographical Information Systems All environmental information has a spatial component. In other words, all data is linked to a specific location. Geographical information systems (GIS) provide the ability to couple the data stored in a relational database management system (RDBMS) with software to map the data in formats unique to a single facility or multiple facilities in dispersed geographic locations. The system is infinitely flexible. The geography displayed may be worldwide facilities, or a single building. Categories of data are stored as layers. Table I provides several examples of the data layer options available. Data stored in a RDBMS is available for analysis and presentation to a user in several ways through the GIS. User analysis may be initiated by spatial queries and by logical queries. Spatial queries result in the display of tabular results and logical queries result in the display of spatial information. Additionally, the user may activate analytical tools such as air or groundwater dispersion models to operate on the data stored in a RDBMS. The results of the analysis may be graphically displayed with other spatial data for assessment. The block diagram shown in Figure 1 illustrates the major functional elements of the system. The RDBMS and GIS functions provide the core elements of the system for data storage, access, manipulation, and analysis. The GIS stores spatial data with links into the RDBMS for structure data related to the spatial data. The RDBMS additionally stores tabular data and raw data not directly linked to spatial data. The GIS/RDBMS technologies provide processes to index, store, and retrieve the system data efficiently. In the Data Entry function, the system data is prepared for loading into the RDBMS and the GIS. Data typically consists of diverse items such as floor plans, maps, safety equipment locations, organization charts, photographs, and other graphical and tabular data. The data to be stored in the system is captured, pre-processed, digitized, geocoded, formatted, and post-processed, as appropriate, before it is loaded into the RDBMS and GIS. In an operational system, this function includes the provision for editing, updating, and maintaining the data. The Data Analysis functions provide for user-initiated analytical processing of the stored data. The analysis functions can include simple statistical processing of selected data, creation of analytical data sets from modeling functions, such as air dispersion models, or the graphical intersection of spatial data. The Query Tools function provides the user with graphical interactive techniques for performing queries about the data stored in the system. Spatial queries of geographical data yield graphical and tabular results. Similarly, logical queries result in graphical and tabular results. The User Interface provides the user with a means to interact with the GIS, RDBMS, and other tools with a point-and-click style interface. The interface consists of
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forms, menus, and graphical displays through which the user passes commands and receives information resulting from the commands. The elements of the interface are organized logically and are consistent to promote ease of use. The Information Display consists of both video and hard copy outputs. The video output is the same as used for the user interface. This allows the user to dynamically review and analyze data in the system. Hard copy units are provided to make permanent records for later reference and review, or to produce presentation materials. These units provide for both color graphic plots and tabular reports. Intelligent Databases and On-Line Text Retrieval An intelligent database disseminates corporate policies and procedures to all members of the management team in a manner that permits rapid access to such information. It typically contains an inventory of regulated items, policies, procedures, compliance criteria, definitions, and synonyms, where appropriate. The intelligent database also may contain images, such as Material Safety Data Sheets, standard operating procedures, frequently inspected equipment, such as fire extinguishers, RCRA storage facilities, and critical control devices, plus sufficient geographical data to locate these items. Querying is accomplished using natural language techniques. Additionally, an intelligent database may provide connections to other facility information systems tools, such as metric-driven environmental audit systems and dispersed environmental sensor arrays. An on-line text retrieval system provides the ability to organize large bodies of information, typically regulatory information applicable to a given facility, that can be readily accessed by many levels of users. Searches are accomplished with a variety of natural language query techniques. Natural language querying is an important component of any high resolution environmental information management system. A natural language interface allows users to obtain information not available through specified screens. Users can also retrieve and save information in word processing, spreadsheet, or statistical analysis formats. Since the natural language interface is a very simple tool for users to learn, users are productive after a few hours of training. Figure 2 shows the relationship between a functional intelligent database and an on-line text retrieval system. The intelligent database uses smart agent technology to provide an information filter to the user by means of document prioritization and contextual grouping. The user interacts with the database to tailor and cull the information retrieved by the search. Smart agents, intelligent background processors that are activated by the system to complete an action required to satisfy or further a user request, can support the clustering of documents based on similarity to the terms of the user's query or by inferring a document's relevancy to general subject categories and other retrieved documents. For example, a request for information on toluene, a common solvent, would be recognized by the smart agent as the chemical toluene CAS No. 108-88-3, as a flammable liquid, and as a waste solvent. The information request is processed on all aspects of toluene. Smart agents can also alert the user to new regulations and resolve version conflicts by analyzing effective dates of regulations. Finally, a smart agent supports the extraction and formatting of selected information resulting from a search. The intelligent database gives the user an easy means of navigating through and paring down the potentially enormous amount of material that a search can uncover. This minimizes the need to submit additional refined queries. In Figure 2, the Database Viewer accepts queries from the user. It furnishes details on database items for viewing by the user and it provides a text link to the online text viewer. Furthermore, it provides an important connection to other information management system tools, such as automated data collection devices or auditing systems, which are discussed in the following sections. The On-Line Text Viewer allows text searches in four modes: document/section search, Boolean word search, synonym search, and hypertext links. The Viewer displays selected regulatory, facility, or corporate text. Indirect searches are accomplished using links to the intelligent database or via other information system tools. Expert Auditor An expert auditor program provides a uniform and consistent framework for regulatory self-audits. It fills several important needs. It provides management with a measure of the effectiveness of the environmental, health, and safety program within the company. It also supplies information on the allocation of corporate resources for risk and compliance management purposes. Furthermore, it reduces the need for expensive outside consultants to review operations on a regular basis to provide management with compliance status. The program uses all current information on regulatory and corporate requirements for environmental, health, and safety activities. The auditing function is interactive.
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Audit scoring is done automatically. An expert auditor also builds a history of cumulative scores and provides compliance diagnostics. Managers receive a metric to gauge progress towards regulatory compliance upon completion of an auditing task. For companies involved in quality management programs such as Total Quality Management, or one of the continuous improvement models, this auditing program is only one part of an overall system. On a regular basis, the status of the program must be reviewed by an outside (independent) group to assure the integrity of the data and determine if systematic errors are occurring. Figure 3 provides a functional diagram of an expert auditing system. Note that Figure 3 can be placed within Figure 2 where the link to other information systems tools is specified. The expert auditor contains three system data classes. The first is a database of audit questions, the second is the text of regulatory and corporate requirements, and the third is a database of auditable inventory items. The links with an intelligent database and an on-line text retrieval system are apparent. Each works in concert with the other to provide management with the tools necessary to make informed environmental and business decisions regarding the facility. The expert auditor presents audit questions and, if necessary, audit assistance, to the user. The audit questions may be pre-programmed, based on previous experience or a particular situation at the facility, or the audit questions may be developed and initiated through a link with the intelligent database. The user answers the questions, which the expert auditor accepts and stores as a metric to provide management with an objective measure of compliance. Additionally, the auditor provides a link to the on-line text retrieval system to offer a regulatory basis, including guidance, for the audit question. Operating in the background as a separate system, and collaborating with the other expert systems, is an ancillary routine referred to as a "facilitator". The facilitator works to build the audit question database, build the intelligent database, which may contain the inventory of regulated or auditable items, and maintain regulatory text and corporate policies and procedures. Operating as an audit question builder, the facilitator builds, updates, and allows for the editing of the audit question database. As a database builder, it constructs the links to the audit questions, and the regulatory and corporate text items, and it creates and updates the auditable item inventory. Finally, in its maintenance role, the facilitator can merge regulatory text updates by flagging text differences, and building search and hypertext links. Automated Environmental Sensing Private and public sector organizations have collected data from dispersed sensor arrays for years. In many instances, however, the data collected are only minimally processed. A comprehensive analysis may be dependent on other user-generated activities, such as a comparison with regulatory or community standards. A more useful and efficient program collects and analyzes data in real-time from the dispersed sensor arrays, correlates the results with the appropriate standards, and provides guidance to the user if excursions, or the threat of excursions, exist. Figure 4 provides a functional diagram of an automated data collection, retrieval, and reporting system. Note that, like Figure 3, Figure 4 indicates a link to other information systems tools. The dispersed sensor array continually provides raw data to a central processing unit. User inquiries result in raw or processed data, reports, or compliance statistics, which are generated seamlessly through the link with the information management tools discussed previously. Sensor data is compared, via an intelligent database or a regulatory text retrieval system, to the appropriate regulatory mandates. The system alerts the user if a data excursion occurs. If this happens, the ancillary system links provide immediate information to mitigate non-compliance, either with regulated items or organization standards. The possibilities of such a system span all sensor types with analog output, all environmental media, and all potential events. Examples include environmental noise, wastestream pH, stack emissions, or weather-related events. Note that the system need not be constrained to a single parameter. Primary data can be correlated with subsidiary data from similar sensor arrays. All processing is performed centrally, either in the compilation of raw data or processed information outputs, or after correlation with other facility, community, or regulatory information. Information and Communications Security Environmental data, and the management decisions derived therefrom, are among the most sensitive information possessed by any organization. The executives of many corporations realize, either from personal experience or from viewing the unfortunate situations of their colleagues; that the protection of such data is critical to preserve corporate resources and goodwill. However, with the proliferation of hardware and software that simplifies unauthorized access to
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information of all types residing on any system or platform, the need for electronic protection has increased dramatically. Figure 5 illustrates how information may flow electronically in a typical organization. Not shown here, but equally vulnerable, is data collected and processed by off-site sensors. Unauthorized intrusion into the information stream can occur at any point by persons associated with the organization or by unapproved third parties. Data security is now a paramount concern. Security devices range from the simple to the complex. Passwords allow users to gain access to the system, but only for items under their control, and can limit queries only to those with a need-to-know. Extra passwords can be issued for summary reports or for access to higher level decision support information. Ancillary security may involve sophisticated backup routines that restore files destroyed accidentally or deliberately. High-end data security involves encryption. Encryption can be implemented throughout the entire data and information transfer path shown in Figure 5 via hardware devices or software. Sophisticated codes encrypt data at the point of origin and decrypt it for authorized users at the point of reception. On-site data transfer may use software routines. Off-site receptors may use a combination of hardware and software. Dedicated communications lines are unnecessary. Security is assured whether the transfer is via land-based systems or satellite transfer links. Summary "Information is nothing unless it is available and in usable form." Too often, corporate managers seek to transform minimally processed data into the information necessary to develop a management decision that has important implications for the entire organization. Given the potentially serious legal, financial, and public relations implications attendant with a decision based on poor information, it is essential that all decisions result from an analysis of the best information available. This is a daunting task, especially in the absence of the appropriate data assimilation and analysis tools, and a proactive and supporting corporate culture. In simplest terms, three things are necessary to convert environmental data to management information. The first is a software architecture that accesses all existing data throughout the corporation. Second, managers must have immediate access to the full spectrum of federal, state, and local regulations that affect corporate operations. Finally, there must exist a way to continually integrate all environméntal search, retrieval, and analysis tasks. These are the three integral components of the advanced decision support tools discussed here. The benefits are obvious. First, managers have complete access to all historical databases. There is no need to replace existing systems. Second, the time necessary to search and complete an inquiry is greatly reduced because the linked databases provide quick access to regulatory and corporate information. Third, the tools discussed herein offer single system efficiency. There is no need to log-off of one system to process a query or result on another. Finally, redundant systems are eliminated, thus reducing overhead and increasing competitiveness. Converting environmental data into management information may require, in many cases, a change in corporate culture or attitude. Organizations comfortable in a reactive mode will find little of interest in this paper. Proactive firms, those seeking to anticipate the future direction of environmental legislation to minimize longterm compliance costs, may benefit greatly from these ideas. This is true not only because they may perceive ways to improve an environmental program that appears to be operating efficiently, but also because they will recognize that there are tools available to allow them to factor environmental information into their longer term business decisions. From that point, it is a relatively short journey to the ranks a truly innovative organization where they begin to use their environmental knowledge to create business and market opportunities. Organizations that are the true innovators may use these tools to improve a program that is, or that is close to being, world class. For example, firms with far flung business enterprises each with superlative environmental management programs will be able to view these programs synergistically to affect decisions made worldwide. Managing information faster and more efficiently to control environmental risk and its associated financial liabilities, to create business opportunities, and to operate at a competitive advantage is what we refer to as the power of information engineering.
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Table 1. Examples of GIS Data Layers DATA LAYER DESCRIPTION GIS TYPEDATA LAYER DESCRIPTION FACILITY DATA HEALTH AND SAFETY Aerial Photo Image Exposure Zones Area/Regional Map Line I.H. Monitoring Data Site Map by Division Area Heavy Metal-Based Paint Site Organization Chart Image Training Data Facility Floor Plan Polygonal Inspection Data Occupants by Division Point Asbestos Material Locations Process Flow Charts Image Chemical Lab Locations Audit Findings Image Chemical Hygiene Plans EH&S Cost Tracking Image Standard Op. Procedures Ergonomic Evaluations WASTE MANAGEMENT Repetitive Trauma Air Emissions Heat/Cold Stress Sites Air Emissions Sources Point NRC Licensed Sources Permit Conditions Image Results of Wipe Tests Test and Evaluation Data Image Location of Postings Waste Water Eye Bath Locations Waste Water Discharges Point Emergency Action Plans Waste Water Test Data Image Emergency Exits Sanitary Discharge Points Point Evacuation Routes Hazardous Waste Fire Extinguisher Locations Hazardous Waste Storage Point Individuals Trained Generator Data Image Lifting Devices Locations Waste Characterization Image Hoist/Crane Locations Notice of Registration Image Groundwater FACILITY SENSORS Monitoring Well Location Point Smoke Detector Locations Test and Evaluation Data Image Emergency Alarms Badge Sensors HAZMAT CONTROL HVAC Output Locations Chemical Storage Locations Point Security Camera Locations High Hazard Locations Point Reproductive Hazards Point COMMUNITY RELATIONS MSDS Database Image Remote Sensors UST Locations Point Residential Database UST Permit Conditions Image Complaint Database Leak Test Data Image Land Use Data
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GIS TYPE Polygonal Image Polygonal Image Image Polygonal Polygonal Point Image Point Point Point Point Image Point Point Image Point Line Point Image Point Point
Point Point Point Point Point
Point Polygonal Point Polygonal
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Figure 1. GIS/RDBMS Functional Diagram
Figure 2. Intelligent Database/On-line Text Retrieval Functional Diagram
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Figure 3 Functional Diagram of an Expert Auditing System
Figure 4. Functional Diagram of an Atumated Data Collection, Retrieval, and Reporting System
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Figure 5. Schematic of the Flow of Environment Data in a Typical Organization
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Chapter 10 Remediation of Contaminated Soils and Sediments Using Daramend Bioremediation S.M. Burwell, P.G. Bucens and A.G. Seech Abstract Soils and sediments containing polyaromatic hydrocarbons (PAH), petroleum hydrocarbons, heavy oils, chlorinated phenols, pesticides, herbicides and phthalates, either individually or in combination, have been difficult to remediate in the past. Not only the species of contaminant, but contaminant concentrations were roadblocks to successful use of bioremediation. DaramendTM remediation has removed many of these obstacles through extensive research. Bench-scale, pilot-scale and full-scale demonstrations have been conducted at a variety of industrial sites. At a manufactured gas site, 295 days of Daramend remediation reduced concentrations of chrysene and fluoranthene from 38.9 mg/kg to 5.9 mg/kg and 84.6 mg/kg to 7.8 mg/kg respectively. Elsewhere, the total PAH concentration in a silty soil was reduced from 1,442 mg/kg to 36 mg/kg. Concentrations of even the most refractory PAHs (e.g. pyrene, benzo(a)pyrene) were reduced to below the established clean-up guidelines. Total petroleum hydrocarbons (diesel fuel) have also been reduced from 8,700 mg/kg to 34 mg/kg after 182 days of treatment. Similarly, in a clay soil contaminated by crude oil processing, the concentrations of high molecular weight aliphatic hydrocarbons were rapidly reduced (138 days) to below the remediation criteria. Demonstrations with wood treatment site soils have proven Daramend remediation effective in enhancing the target compound degradation rates. Soils containing 2170 mg PCP/kg were shown to contain only 11 mg PCP/kg after 280 days of Darmend remediation. The issue of toxicity of soil containing increased amounts of pentachlorophenols was solved. Industrial soils containing phthalates have also been shown amenable to Daramend remediation with concentrations being reduced from 4350 mg/kg to 26 mg/kg in 130 days. Pesticide concentrations in soils have been lowered from 680 mg p,p-DDT/kg to 1.9 mg p,p-DDT/kg in 147 days using a cyclic Daramend technology. Daramend products are composed of non-toxic organic materials prepared to soil-specific particle size distribution, nutrient profiles and nutrient-release kinetics. The treatment process is based on the use of the Daramend products, specialized tillage/aeration apparatus, and strict control of soil moisture. Performance data collected during these projects indicate that Daramend remediation provides a cost effective method for clean-up of soils and sediments containing a variety of organic compounds. Introduction Bioremediation of contaminated soils and sediments is a natural process, relatively non-intrusive, cost-effective, and there is no residue to dispose of at the completion of the process. Early bioremediation processes were based on the addition of air, moisture, and inorganic nutrients to the contaminated soil. In general, early bioremediation technologies did not adequately address the difficulties associated with treating soils containing higher
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concentrations of refractory and highly toxic organic compounds, soils containing mixtures of contaminants, or soils having a high clay content. If any of these conditions were present, the required clean-up criteria were, frequently, not attained. In 1988, under the sponsorship of Environment Canada, Grace Dearborn initiated research on the development of an enhanced bioremediation technology which would overcome these limitations, and provide a reliable, technically effective approach to bioremediation. A more detailed understanding of the factors limiting microbial biodegradation of organic pollutants in contaminated soils and sediments was required: once these limiting factors were identified, effective means of addressing them were developed. Over the course of this fundamental research, a wide range of contaminated soils, from a physical, chemical, and microbiological perspective, were examined. The research identified certain physical and chemical conditions common to most contaminated soils and sediments which were limiting the activity of indigenous microorganisms that were capable of degrading the compounds of concern. Much of the research then focused on developing reliable, cost-effective methods of altering these physical and chemical limiting parameters, thereby permitting the native microorganisms to biodegrade the contaminants and bioremediate the soil. Addition of non-indigenous microbes was found to be unnecessary, since most soils contained microorganisms with the ability to degrade the contaminants of concern. The research resulted in the development of a proprietary bioremediation technology, DaramendTM. The technology, which is owned by Environment Canada, and licensed to Grace Dearborn Inc. is applicable to bioremediation of many soils and sediments previously thought to be unsuitable for bioremediation due to the nature or concentrations of the contaminants present, or the need to reduce contaminants to very low levels. Technology Description The core of the technology is alteration of one or more physical or chemical parameters of the soil or sediment to enhance the activity of naturally occurring microorganisms. The key to the success of the technology lies in a combination of theoretical and practical understanding of bioremediation with the use of soilspecific organic amendments. The amendments are solid-phase organic materials which alter the physical structure and chemical properties of contaminated soils and sediments, and enhance bioremediation by increasing the number of biologically active microsites. Implementation of the technology also includes management of soil water content and nutrients to provide an optimum balance of biologically available water, oxygen, and nutrients. Successful application of bioremediation depends on an understanding of how the process works in the soil type, and what factors are limiting microbiological activity. Prior to commencement of field operations, each soil is examined in the laboratory and soil-specific organic amendments are engineered. Factors which can influence bioremediation include soil water relations, the quantity and composition of available nutrients, the types of contaminants present, their concentrations, and soil physical properties. The contaminant concentration reduction required will also affect the approach used. Optimization of the technology prior to its application in the field results in increased certainty of successful results, shorter remediation time, and lower remediation costs. In-situ (without excavation) and ex-situ (after excavation) site remediation are suitable for application of Daramend bioremediation of soil. Treatment cells for excavated soil/sediment are constructed with HDPE liners; the excavated soil or sediment is screened to 4'' and deposited to a depth of 2.5 feet. The soil or sediment is then homogenized with specialized tillage equipment to reduce the variation in physical and chemical characteristics, and the appropriate organic amendments are uniformly distributed through the soil/sediment. Moisture content is maintained within a specific range, to facilitate rapid growth of a large and active microbial population. The soil/sediment is tilled regularly to increase oxygen diffusion to the lower layers to ensure the soil being treated is well aerated and to ensure uniform distribution of moisture, following irrigation. Impermeable covers are constructed to allow facilitate control of soil/sediment moisture content during treatment. In-situ treatment areas are maintained using similar protocols with the exception that no greenhouse type structure or liner system is used. The treatment regime used in both in-situ and ex-situ scenarios is optimized in the laboratory through soil/sediment specific treatability investigations, prior to the commencement of work in the field. Results Wood Preserving Sites Several demonstrations, including a full-scale demonstration audited under the US EPA SITE Demonstration program have been carried out at wood preserving plant sites. These sites had soils containing
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Figure 1. Influence of Daramend Bioremediation on Concentration of High Molecular Weight PAHs chlorophenols (e.g. PCP), creosote (e.g. PAHs), and carrier fuels (e.g. TPH). Development of the technology was based on compounds found in wood preserving soils. Early bench scale successes with soils from wood preserving sites included the reduction of PCP concentrations from 2170 mg/kg to 11 mg/kg in only 280 days. This far surpasses the concentrations of PCP which were previously thought to be too toxic for direct bioremediation. During one field demonstration, the total PAH concentration was reduced from 1,442 mg/kg to 36 mg/kg in 209 days and the concentrations of all target compounds were reduced to below the site remediation criteria (less than 10 mg/kg). During treatment some of the compounds were reduced to non-detectable levels. Figure 1 illustrates the high molecular weight PAH compounds biodegraded during treatment. During the same demonstration total chlorophenol concentrations were reduced from 702 mg/kg to 4 mg/kg in 345 days (Figure 2). The site clean up criteria for each listed chlorophenol is 5 mg/kg. It should be noted here that the time count is continuous, that even days when the soil was too cold for biological activity to occur were counted. Manufactured Gas Plant Sites An ex-situ demonstration was performed using excavated soil from a manufactured gas plant. The soil was monitored for PAH and total petroleum hydrocarbons (TPH). Initially, the average PAH concentration was 659 mg/kg. After 227 days of active Daramend treatment, a 75% reduction in PAHs was observed (from 659 to 167 mg/kg). It is significant to note that the total PAH concentration was reduced to below the 200 mg/kg criteria by the end of the active treatment program. The predominant species after 227 days of active Daramend treatment were some of the more recalcitrant species with 4-6 fused benzene rings. The concentrations of benzo(a)pyrene and benzo(b)fluoranthene for example were reduced from 47 to 19 mg/kg and 39 to 16 mg/kg respectively during the 227 days of active treatment.
Figure 2. Influence of Daramend Bioremediation of Chlorophenol Concentrations in Wood Preserving Site Soils
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The treatment plot was then decommissioned to accommodate other previously scheduled site activities. As a result it was necessary to stockpile the amended soil at another location and to end the active maintenance program. The stockpile was later sampled to determine the residual concentration of PAHs after 68 days of ''passive" treatment. At that time the concentration of total PAHs was 106 mg/kg(Figure 3). The data also indicate that even the more recalcitrant PAHs continued to be degraded after completion of the demonstration program.
Figure 3. Influence of Daramend Bioremediation on the Concentration of Total PAHs in Manufactured Gas Plant Site Soils The initial average total TPH concentration in the soil from the manufactured gas plant site was 4416 mg/kg. After 295 days of treatment, an 89% reduction to 478 mg/kg, was observed. Dredged Harbour Sediment Approximately 90 tonnes of sediment were removed from Hamilton Harbour using a modified Cable-Arm dredging bucket. A silt curtain and containment boom were deployed to contain sediment suspended as a result of the dredging. Data from pilot-scale Daramend bioremediation of dredged sediments from Hamilton harbour is presented in Figure 4. Initial concentration of total PAHs was 1,140 mg/kg. After 312 days of treatment, the total PAH concentration had been reduced to 110 mg/kg. Oil Processing Site The organic amendments are engineered not only for the type and concentration of contaminant(s), but also for the soil texture and characteristics. Clay soils are usually more difficult to remediate as a direct result of their soil structure. Dispersion of air, water and nutrients is affected by the presence of large clay platelets. The use of Daramend amendments has been successful in overcoming this physical barrier. The concentration of heavy hydrocarbons was reduced from 2,372 mg/kg to 226 mg/kg in 154 days in a clay soil (Figure 5).
Figure 4. Influence of Daramend Bioremediation on Total PAHs in Dredged Harbour Sediments. Plastics Manufacturing Site Field-scale operations based on several bench-scale studies expect to be started in 1995, in particular, remediation of a site with soils containing phthalates Soils containing phthalates at concentrations up to 4,350 mg/kg have been remediated during bench-scale optimization work. A concentration of 26 mg phthalates/kg was attained in 130 days (Figure 5).
Figure 5. Influence of Daramend Bioremediation on Phthalate and Petroleum Hydrocarbon Concentrations. Pesticide Manufacturing Site Similarly the feasibility of using Daramend bioremediation on soils containing organochlorine pesticides was investigated. Basic principles were again revisited with regards to the biodegradation of
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pesticides as the bioremediation approaches used in the remediation of soils containing PAHs, PCP and phthalates was not entirely applicable to these highly recalcitrant compounds. Bench-scale microcosm studies using three North American soils, containing (I) Metolachlor, (II) 2,4-D and 2,4,5-T, (III) chlorinated pesticides (including DDT, DDD, DDE and Toxaphene) were conducted. The most effective approach involved successive establishment of anoxic and oxic conditions in the soil. The anoxic/oxic cycling process, controlled by the addition of Daramend organic amendments and other agents, enhanced reductive decomposition of soil contaminants (in the anoxic phase) and contaminant biodegradation (in the oxic phase). Substantial reductions in contaminant concentrations have been observed. Metolachlor concentrations were reduced from 139 to 4 mg/kg, p,p-DDT from 684 to 2 mg/kg, and Toxaphene from 1,045 to 244 mg/kg(Figure 6). A patent on this technology has been granted.
Figure 6. Influence of Daramend Bioremediation on Concentration of Selected Pesticides Explosive Organics Site Soils impacted by explosive organics, including such nitroaromatics as 2,4,6-trinitrotoluene (TNT), due largely to past military activities, are also common. Bench scale treatability optimization investigations resulted in the reduction of TNT concentrations from 7,000 mg/kg to less than 20 mg/kg, in 125 days (see Figure 7). Again the patented cyclic approach of anoxic and oxic conditions was used in the optimal protocol. Soil Toxicity High concentrations of organic pollutants in soil/sediment can result in high toxicity. The effect of Daramend on soil toxicity was evaluated by standard toxicological assays (seed germination and earthworm mortality). The results indicated that soil toxicity had been substantially reduced or eliminated by the bioremediation. Earthworms exposed to the untreated soil from an industrial site historically contaminated with PAHs, chlorophenols and petroleum hydrocarbons died in four days, while worms exposed to the bioremediated soil, or an uncontaminated agricultural soil included as a control, remained healthy, even after 28 days (Figure 8). Seed germination assays provided similar results, indicating that before treatment the soil was very toxic, but after bioremediation the soil was as supportive of seed germination as an uncontaminated agricultural soil (Figure 9).
Figure 7. Influence of Daramend bioremediation on concentration of TNT in soil containing explosive organics.
Figure 8. Influence of Daramend Bioremediation on Soil Toxicity as Measure by Earthworm Mortality Conclusions The development and demonstration of an enhanced bioremediation technology, Daramend, has shown that bioremediation can be a cost-effective method for remediation of soils or sediments containing organic pollutants, even when the compounds are toxic to
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microorganisms and stringent remediation criteria must be attained. The cost range of the technology is from $30 to $150/ton (USD) depending upon the soil type, site conditions, the contaminants present, their concentrations, and the degree to which contaminant concentration must be reduced.
Figure 9. Influence of Daramend Bioremediation of Soil Toxicity as Measured by Seed Germination Daramend is a registered trademark of Grace Dearborn Inc.
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Chapter 11 The Evolution of Soft Solutions for Coastal Erosion Control: a Study of the Development of Inflatable Sand & Water-Filled Geotextile Devices J.W. Sample Abstract The Dutch people are the first known to have employed sand-filled containers in erosion control. The myriad of enormous dikes surrounding Holland provide continuous protection to a nation which is sited largely below sea level. The earliest fabric material used in the containment of sand for the construction of dikes and levees was a burlap type material which had severe limitations. The concept of filling sand bags for erosion control is long time proven. The problem has been primarily related to the inadequacies of the fabric materials containing the sand fill. A comparable analogy exists in the aerospace industry. Incredible achievements in high speed flight which have been accomplished in the last thirty years were previously impossible due to the inadequacies of the aircraft construction materials available in the first half of the twentieth century. The earlier concept of flight speeds exceeding the speed of sound were soundly based. The limiting factors were related to the then existent state of the art in aircraft (and later spacecraft) construction materials. Materials were gradually developed to allow the continual expansion of the known limitations of the flight envelope into outer space. The development of these ''Space Age'' materials were the result of alliances between government and private industry. It is of particular interest to note that many of the "Space Age" materials originally conceived through these initial alliances were later incorporated by entrepreneurs and private industry into applications and products far beyond the initial scope of their creators. The ultra light weight "Voyager" composite aircraft which accomplished the first non-stop flight around the world (without refueling) was designed and constructed by the Rutan brothers and funded through private donations. Developments in synthetic materials during the latter half of this century have also allowed the expansion of the known limitations of the "Flight Envelope" into inner space. The combination of high strength materials such as woven multi-filament dacron thread, extrusion coated with poly vinyl chloride (PVC Plastic) has resulted in the development of heretofore unknown materials known as "Geotextiles". Geotextile materials are high strength fabrics which have been specifically created for use in, on, under and around the earth. They incorporate exceptional strength with unique abrasion, puncture and ultraviolet resistance characteristics previously not available. State of the art geotextiles can even be color coated to match the specific beach sand color within the project area. The application of these space age geotextiles in the field of coastal erosion control has resulted in the development of a multitude of patented sand and water-filled erosion control devices which provide significant levels of storm protection for coastal homes and properties. Their use on sandy recreational beaches has proven to be more "user friendly" than the traditional hard structures such as rock and concrete revetments which prohibit recreational use of these areas. This paper reviews the evolutionary development of sand and water filled geotextile systems for erosion control.
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Introduction The evolution of soft solutions for coastal erosion control has occurred over the past four hundred years since the Dutch first employed small sand-filled fabric containers to shore up their dike and dam structures in the 17th century. The design and construction of coastal protective structures employing sand-filled containers has significantly increased in recent years due to the availability of engineered systems, geotextile developments, and the desire for "softer", more "user-friendly" shore protective structures for recreational beach users on sandy recreational beaches Public and environmental groups have become wary of the traditional "Hard'' erosion control structures such as steel and concrete seawalls and rock revetments within the sandy recreational beach environment. Miles of sand-filled container structures have been constructed along Florida's shorelines since 1981. Projects incorporating more advanced engineering designs and specialized geotextile materials have successfully weathered multiple major storms and hurricanes over many years. North Carolina has prohibited all coastal protective structures, except for the use of sand fill or sand-filled containers. Although severely overtopped, a four row sand-filled geotextile project permitted and constructed in Myrtle Beach, South Carolina survived a direct hit by Hurricane Hugo. A fourteen course sand-filled container project in Vero Beach, Florida weathered a direct hit by Hurricane Felix. Researchers at the Virginia Institute of Marine Sciences have also studied the use of sand-filled containers to protect eroding shorelines along the Chesapeake Bay [Byrne and Anderson, 1978]. The term "sand-filled containers" is used in this text to differentiate between the smaller "sand-bags," whose size limit slope stabilization applications to inland waterway and upland uses, and the much larger sand-filled containers, whose size allows them to be utilized on the open ocean coast. Traditional sand-bags are filled with approximately one cubic foot (0.03 cubic meters) of sand, and weigh approximately 90 pounds (40 kilograms). This allows filling of the small sand-bags from a centralized source, with subsequent placement at remote locations. The larger sand-filled containers must be filled in-situ, i.e. after they have been positioned while empty, in their final design position. The most common "pillow shaped" sand-filled containers are fabricated in various lengths, with a roughly elliptical cross-section of approximately four feet (1.2 meters) in width and one to two feet (0 3 to 0 6 meters) in height. A typical sand-filled container with a length of 20 feet (6 meters) has a dry weight of approximately six tons (six metric tons), with other lengths having proportional weights. One of the earliest of these types of containers was manufactured under the trade name "Dura-Bag", and has been used for emergency erosion control for many years. Sandbags and geotextile containers have also been used to construct harder, more rigid structures by filling them with grout or concrete. In these applications, the primary function of the container material is to provide a temporary form within which the concrete can harden. If the concrete-filled fabric units are joined together utilizing steel or fabric connecting/reinforcing elements, the engineering design and performance of these concrete-filled container structures is similar to that of other concrete structures. If individual units with no connecting elements are employed, their design and performance is similar to other rock or concrete unit rubble-mound structures. Geotextile erosion control structures employing sand or water as the fill material are inherently "softer" and more flexible than the more traditional "hard" rocks, concrete or steel structures. The primary functions of the more advanced sand-filled geotextile container systems is to contain the sand and present a specifically designed shape to the oncoming waves. To accomplish these tasks over time, the materials must be sufficiently strong and durable. Sand-filled containers have been utilized to construct a variety of traditional coastal erosion control structures, including both shore-parallel and shoreperpendicular structures. In recent years, many more shore-parallel structures (such as seawalls, revetments, and sills) have been constructed than the shoreperpendicular structures (such as groins and jetties), due to the potentially adverse effects of the latter to downdrift beaches. The use of sand-filled containers for groins offers the advantages of easy adjustments in lengths and heights by opening the containers and allowing the enclosed sand to enter the littoral system. Hence, groin systems and/or terminal groins for stabilizing beach nourishment projects, may be advantageous applications for sand-filled containers. This paper discusses the engineering designs of structures, principally revetment and sill type configurations. Container Material Evolution The prevailing weakness observed throughout the history of sand-filled containers employed in the coastal environment is the susceptibility of the fabric container materials to the ravages of nature at her worst. When uncovered by storm waves, the container materials may be subjected to high levels of abrasion, puncture and tear by wave borne debris Large storm waves routinely hurl dislodged timbers and pilings like javelins, into the face of ocean front structures. The earliest available fabric materials were unable to withstand even the ultraviolet deterioration resulting from long term sunlight exposure, much less the above onslaught.
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Humiliation and embarrassment can prove to be powerful motivational factors Disastrous experiments in the early 1980's with commercially available fabric containers, sewn together from PVC wipe coated dacron fabrics, resulted in the author's quest for geotextile materials equal to the challenges at the edge of the sea The author found that adequate materials simply did not exist. The majority of the evolutionary developments in specialized geotextile container materials and engineered systems have been accomplished in over a decade of purely empirical research. This ongoing research has resulted in three patents being issued to the author for sand and water filled geotextile erosion control systems. Today's space age geotextile containers are constructed of high strength, multi-stranded dacron threads, individually extrusion coated with proprietary, UV resistant PVC and woven into super strong, heat set fabrics State of the art geotextile containers are color coded to match the beach sand in the project area ProTec-Cell geotextile containers [Patent #4,919,567] are heat sealed together, not sewn, and may be fabricated in one piece over the entire project length. The ProTec-Shield II upper armor layer employs a much stronger, coarser weave material than the inner fabrics which contain the sand or water. This significantly increases resistance to abrasion, puncture, tear and ultraviolet deterioration. It also provides better traction for pedestrian traffic across the containers during exposed periods between storm attack and the post storm sand recovery cycle. Sill & Mound Structures The earliest use of sand-filled container structures for erosion control within the United States has been as a temporary or short term emergency measure, employed before, during or after storm events Smaller sand bags are routinely deployed during storm events in a scattered, random fashion in futile attempts to prevent further erosion. A more effective use of larger sand-filled containers (10' to 20' in length) is in the construction of a shore parallel row of containers along the shoreline. This configuration is referred to as a "sill," and can be further classified by its location as either a nearshore sill or backshore sill. The nearshore sill is placed near the mean high water line to help stabilize the shoreline by "tripping" the waves. The backshore sill is placed further landward and at a higher elevation to provide toe-scour protection for the eroding escarpment or sand dune. To increase the vertical dimension above one container height, two rows of containers with a third row on top are used. This design has been referred to as a "mound" structure, and is also the basic configuration employed in the cross-sectional design of sand-filled container groins or jetty structures. Although the height of the mound structure can be doubled by tripling the number of containers, higher mound structures are seldom utilized due to the exponential increase in cost to achieve an increase in height. Sill structures assist in stabilizing the shoreline by "tripping" incoming waves, causing them to break further seaward, thus reducing the wave action in their lee. Sills can also produce sand accretion through the deposition of the sand carried in suspension by the waves being deposited landward of the sill. Due to the limited "vertical protection window" (vertical dimension) of the sill structures, they are highly susceptible to being undercut and dislodged if the beach is lowered by erosion immediately seaward of the structure. Additionally, sill structures are less effective during storm surge conditions when the water levels and waves attack the shoreline at elevations significantly higher than the structures. These structures have proven to function best in areas with small tide ranges and/or gentle beach slopes, low-energy wave climates, and minimal storm surge susceptibility. The backshore sill, first developed and implemented along the east coast of Florida in 1981 by the author [Patent #4,729,691], has been used extensively along Florida's sandy beaches. The performance of sand-filled backshore sill container structures in Florida has shown that they can assist in providing toe-scour protection for the sand dune in low level storm events, but storms and erosion beyond the design limitations can cause movement and dislodgment of the individual containers. Although overtopping of the sill structures has occurred, the structures still provide some protection by tripping the waves and reducing the wave energy that is attacking the base of the sand dune. The principal vulnerability of the backshore sill configuration is due to the lack of adequate toe penetration, which allows the structures to be undercut. When the beach elevation immediately seaward of the structures drops significantly during an erosion event, the force of gravity causes the containers to slide down the escarpment, thereby being displaced both downward and seaward. The dislodgment of the containers is not generally uniform across the length of the structure, so that a jumbled mass of containers can result in a structure which is not aesthetically pleasing. Furthermore, the reduced elevation of the crest of the displaced structure reduces the level of protection afforded to the upland dune. Filter Cloth Foundations The first efforts to prevent the differential settlement of the sand-filled containers Consisted of underlying the containers with filter cloth foundation to help stabilize the soil supported structure, as is commonly done with rock structures. The filter cloth was also extended seaward of the containers forming a "toe-scour protection apron,"
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[Patent #4,729,691] and was sewn back on itself forming a tube that was filled with sand at the seaward end. This apron is intended to drop down as the beach erodes seaward of the containers, thereby preventing the containers from being undercut. The toe-scour protection apron has proven to function effectively in this manner, resisting undercutting as the beach drops seaward of the containers, thereby extending the effective penetration of the toe of the sill structure as much as three feet (one meter). A drop in beach elevation in excess of this amount, however, can still result in differential settlement and movement of the containers. Strap Restraint Systems Strap restraint systems have been developed to assist in maintaining the overall structural integrity of the sand-filled container structures. The purpose of the straps is to tie the individual containers together, to increase the stability of the overall structure, and to prevent individual containers from being displaced. The first strap system developed by the author employed a single strap tied completely around the cross-section of the containers. This circumferential strap system [Patent #4,729,691] was typically used at five-foot (1.5 meter) intervals along the length of the entire structure. Due to the ability of the individual containers to flex throughout their length, this strap system provided only a minor increase in structural stability. The next strap restraint system developed by the author consisted of a strap that went completed around each individual container, crossing between containers as it also completed encircled the cross-section of the structure. This strap system, referred to as a triple-loop strap [Patent #4,729,691], held the individual containers more securely. Over time and multiple storm events, the author observed a predisposition of the containerized sand to return to a "supersaturated" semi-liquid state during long duration, heavy wave attack. This phenomena allowed the sand to move around inside the containers, and to move away from the strap encircled areas, thereby loosening the straps and allowing individual containers to again be displaced. More recent developments in strap restraint systems utilize PVC pipes placed inside and running the length of each container with the straps tied directly to the internal PVC pipes, rather than around the outside of the sand-filled containers. The PVC pipe within each container is connected by internal straps between each row of the entire structure, and serves as a flexible "spine". The entire strap system is attached to a crest anchor tube that is buried landward of the structure, similar to the dead-man anchors used in seawalls and bulkheads. This state of the art strap restraint system greatly enhances overall structural stability and has proven effective in preventing the individual containers from being dislodged. A unique advantage of this internal strap restraint system is that all of the straps are underneath the containers, preventing them from being damaged by waterborne debris or vandalism. This strap restraint system requires the use of ProTec-Cell sand-filled containers [Patent #4,919,567] which are specifically fabricated to employ the PVC pipes inside the containers. The PVC pipe and the sand-filled containers are filled with sand after being placed in position. This strap restraint system is routinely employed in the "Subsurface Dune Restoration System" [Patent # 4,919,567], a sloped sand-filled container design which will be discussed in more detail in the subsequent section of this paper. Revetment Structures Sandbags and sand-filled containers have been employed to construct both vertical seawall or bulkhead structures and sloped revetment structures with varying degrees of success [U S Army Corps of Engineers, 1981]. The sloped revetment configurations have been more effective than the vertical structures in abating coastal erosion in areas experiencing significant wave climate activity. The sloped revetment type configuration is also the most efficient use of the containers, with a linear relationship between the required number of rows of containers and the vertical height of the structure. In the summer of 1983, the first large scale sand-filled container revetment structure was constructed by the author along the Atlantic coast in Jensen Beach, Florida. The project bridged the 750 foot (230-meter) gap between two existing rock revetments on adjacent coastal properties. This experimental proof of concept project consisted of eight tiers (or rows) of 20' long sand-filled containers, placed atop a filter cloth underlay on a slope of three horizontal to one vertical. The pillow shaped sand-filled containers employed were constructed of single thickness PVC coated dacron fabric manufactured under the trade name "Dura Bags". These containers were originally developed for temporary or emergency use, and were not designed for long term exposure to the elements. No strap restraint systems were employed to hold the containers in place, as they had not yet been developed. The completed sand-filled container structure was covered with beach sand to affect dune restoration and was revegetated with sea oats and other indigenous salt tolerant plant species. The project was partially stripped of sand while being attacked by large waves from an offshore tropical storm in the fall of 1983. The structure naturally recovered with sand which returned to the beach during the post storm recovery cycle. This project was repeatedly stripped of sand, followed by natural sand recovering, many times each year.
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The most notable erosion event to test this proof of concept structure was the November, 1984 "Thanksgiving Day Storm" which caused extensive erosion along the central east coast of Florida. The sand-filled container revetment provided substantial protection to the uplands during that major storm event, allowing only minor erosion of the uplands even though the structure experienced overtopping. Significant damage occurred to the sand-filled containers over the northernmost end of the project, due to puncture and tearing caused by massive wave borne rocks which were dislodged from the neighboring project. The project owners refused to allocate the financial resources necessary to accomplish the needed repairs to the fragile, single layer containers. This financial decision proved to be short sighted and fatal to the long term performance of this initial project. No maintenance of the structure (other than minor repair of puncture holes) or addition of sand to the area was performed during the first five years. During the fall storm erosion season of 1988, a severe drop in the beach elevation fronting the structure occurred. Individual containers in the lower rows were dislodged, allowing the upper rows of containers to slide down due to gravity. The sand-filled containers comprising the revetment project were undermined and displaced throughout the northern 2/3 of the project Eventually, the entire project deteriorated due to neglect and the lack of the required maintenance. Even without the use of a strap restraint system, the sloped sand-filled containers revetments have exhibited better structural stability than the mound or sill type structures. This is primarily due to the increased toe penetration of the revetments which have prevented the structure from being undercut, and the more gentle slope in the frontal area which is subject to direct wave attack. As discussed in the preceding section, the more recent developments in strap restraint systems utilizing PVC pipes inside the containers have provided additional increases in stability. The sloped revetment-type sand-filled container structures have also been utilized as nearshore and backshore sills, using three or four tiers of containers. Even with the same limitations in vertical height as the three-container mound structures, the sloped structures have exhibited better structural stability. The first "Subsurface Dune Restoration System (SDRS)" backshore sill installations using the internal strap restraint system and PVC pipes were constructed by the author in the Lost Tree Village oceanfront development along the Atlantic coast of south Florida during the summer of 1987 [Patent #4,919,567]. A four course SDRS installation, permitted and installed in Myrtle Beach, South Carolina, successfully weathered a direct hit from Hurricane Hugo. The largest installation to date, a 14 course SDRS constructed in Vero Beach, Florida weathered a direct hit by Hurricane Felix. Time and repeated exposure to significant storm events have proven the performance of this state of the art design in providing significant levels of uplands protection against coastal erosion. Emergency Deployable Devices The earliest known emergency deployable sand filled device of massive proportions was the "Longuard Tube", originally developed in Germany. This geotextile tube came in 30" and 70" diameters and could be fabricated in lengths to 300". This concept proved viable and has been installed in both near shore and backshore sill configurations in many areas of the world over the past twenty-five years. The primary disadvantage of the round or ellipse shaped sand-filled tube is that it becomes dynamically unstable when toe scour erosion undercuts the soil or sand foundation upon which it rests. This undercutting is caused by currents in the nearshore configuration and downward wave reflection in the backshore configuration. Differential displacement and profile lowering occurs, thus lowering effective height. In an effort to protect ongoing coastal projects during construction, a form of emergency coastal protection which could be temporarily inflated with water, then deflated for future use, was developed by the author. The first water-filled "ProTecTube" was deployed on the west coast of Florida in 1985. The 5' diameter tube, constructed of PVC coated dacron fabric, measured 300' in length. It could be deployed from the back of a pickup truck and water-filled in several hours with pumps or fire hoses. Although it proved viable in low level storm events, if it was severely overtopped, it's mass could be displaced and cease to function. Additionally, it suffered from the same toe scour vulnerability as the previously mentioned "longuard Tube". Empirical observations caused the author to determine that the primary toe scour problem was caused by the downward wave reflection produced by the round shape. In an effort to overcome those limitations, a triangular device incorporating a series of three connected parallel tubes of increasing diameter was developed by the author in 1987. The wedge-shaped unit measured approximately 17' wide on the base by approximately 5.5' in height at the most landward tube. The first full scale 300' "ProTecTube II" unit was deployed and installed on the beaches of Long Boat Key, Florida in 1988 Two of the 300' units were placed end to end to provide storm protection for a slab supported condominium. The units could be filled with water to effect the desired shape, then the water was displace with a sand water slurry to provide permanent protection. This emergency deployable device was issued Patent #4,966,491 and has continued to provide significant storm protection through multiple storms and hurricane impacts.
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Engineering Design Recommendations The engineering design considerations for sand-filled container revetment structures are similar to those for traditional rock revetments in that they are designed with adequate crest elevations to resist wave runup and overtopping, and with adequate toe penetration to resist undercutting and toe scour. Due to the smaller specific weight of sand compared to rocks, as well as the flexibility of an individual sand-filled container, a more gentle slope is recommended for the sand-filled container structures. The three horizontal to one vertical slope has functioned well in sand-filled container revetments constructed in Florida, compared to the steeper (1.5 or 2 horizontal to 1 vertical) slopes used for rock revetments. Data for performing wave runup calculations on sand-filled container structures are given by Kobayashi and Jacobs (1985), and calculations based on this data agree with field observations of the experimental sand-filled container revetment constructed in Florida in 1983. In comparison, the wave runup calculations for a stepped-face structure based on data in the Shore Protection Manual [U.S. Army Corps of Engineers, 1984] predict wave runup elevations that are overly conservative. Analysis of the stability of sand-filled container structures is more difficult than with rigid units such as rock or concrete, as the sand within the individual containers is free to move around inside the container under sustained wave attack. The use of strap restraint systems to structurally link the containers together also increases the stability, especially when the straps are linked to an upland crest anchor tube as is done in the latest SDRS design. Additional field and wave tank studies are needed for final stability assessments. The determination of the placement of backshore sill structures of limited vertical height is more difficult, as the crest of the structure needs to be at an elevation sufficient to resist erosion during elevated water levels due to storm surge, but the toe of the structure needs to be deep enough to prevent undercutting. The final design elevation is often a gamble as to which type of erosion, overtopping or undercutting, will occur. There are several advantages of the sloped revetment-type design of sand-filled container structures over the mound structures, including: (1) the use of a more gentle slope in the frontal area that is subjected to direct wave attack, which reduces the wave forces and runup on the structure, (2) a more efficient use of the containers with a lower number of containers required, allowing a greater vertical dimension for improved toe penetration and crest elevation, and (3) the allowances for an improved strap restraint system, which includes PVC pipes and hidden straps that are tied back to a crest anchor tube. The sloped revetment-type sand-filled container structures are more difficult to install, and require more technical expertise in engineering design and supervision than the mound-type configuration. Typical costs of the mound-type structures are $40 per linear foot of structure for each row, which is a cost of $120 per linear foot for a typical three-row backshore sill. Typical costs of the revetment-type structures are $50 per linear foot of structure for each row, which is a cost of $150 per linear foot for a typical three-row sill. Due to the exponential increase in the number of rows of containers required to achieve a larger vertical height for the mound-type structure, the revetment type configuration becomes less expensive than the mound or sill type structures for larger vertical heights. Site specific costs such as additional offsite sand fill, heavy equipment, construction access, etc must also be included in the overall cost of a sand-filled container structure. Sand-filled containers have excellent potential for use in conjunction with beach nourishment projects. Terminal groins and/or groin fields may be necessary to retain the beach fill, and may provide ways to lower the required frequency of renourishment. Another potential for sand-filled container structures assisting in beach nourishment is the use of an offshore sill as a submerged breakwater, designed primarily to help hold the beach fill as a "perched beach" landward of the sill. This application also would reduce the required frequency of renourishment, and further, would provide the benefit of keeping the sand landward of the sill, so that valuable offshore natural resources, such as reefs, rock outcroppings, and vegetation, are not buried by the offshore movement of the fill. Summary and Conclusion Sand-filled containers can be successfully used in engineering designs for coastal erosion control. Developments in the designs of these structures, such as improved strap restraint systems, have increased the stability of these structures. The slopped revetment-type designs, employing tiers of containers on a gentle slope, offer more efficient uses of the containers and provide better overall structural stability than the mound-type structures that use a triangular cross-sectional design. The sloped structures can be used in the design of a full revetment structure, with adequate crest elevation to resist overtopping by the design storm, and adequate toe penetration to prevent undercutting by the beach erosion accompanying the design storm. The sloped structures can also be employed in the design of a backshore or nearshore sill structure which may be frequently overtopped by waves and storm surge.
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Sand-filled containers are 'softer" and more "user-friendly" than structures constructed of rock, concrete and steel, making these types of coastal structures more desirable in areas of recreational and natural beach use. The advances in geotextile systems engineering and composite materials technology, including the geotextile materials used for sand-filled containers, has and will continue to extend the strengths and applications of these materials. References U.S. Patent # 4,729,691 - March 8, 1988, Jay W Sample, Inventor. U.S. Patent # 4,919,567 - April 24, 1990, Jay W. Sample, Inventor. U.S. Patent # 4,966,491 - October 30, 1990, Jay W Sample, Inventor. U.S. Army Corps of Engineers. (1993) Technical Letter No 1110-2-353. Byrne, R.K., and Anderson, G.L. (1978) "Application of the perched beach technique in the Chesapeake Bay". Virginia Institute of Marine Sciences, Gloucester Point, Virginia. Hardaway, S., and Anderson, G.L. (1980). "Shoreline erosion in Virginia." Virginia Institute of Marine Sciences, Gloucester Point, Virginia. Harris, L.E. (1987). "Evaluation of sand-filled containers for beach erosion control, an update of the technology." Coastal Zone '87 ASCE, New York, N.Y. Vol. 3, 2479-2487. Kobayashi, N., and Jacobs, B.K. (1985) "Experimental study on sandbag stability and runup." Coastal Zone '85 ASCE, New York, N.Y Vol. 2, 1612-1626. U. S. Army Coastal Engineering Research Center. (1984). Shore Protection Manual. U. S. Government Printing Office, Washington, D.C. Vol. 2. U.S. Army Corps of Engineers (1981) "Final report on the Shoreline Erosion Control Demonstration Program (Section 54)." Low-cost Shore Protection. U.S. Government Printing Office, Washington, D. C.
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United States Patent Sample
[19][11]Patent Number: [45]Date of Patent:
4,729,691 Mar. 8, 1988
BACKSHORE SILL BEACH AND DUNE [54]EROSION CONTROL SYSTEM [76]Inventor: [21]Appl. No.: [22]Filed: [51]Int. Cl.4....................... [52]U.S. Cl.................. [58]Field of Search.......
Jay W. Sample, 7315 S. Indian River Dr., Fort Pierce, Fla. 33482 926,663 Nov. 4, 1986 ................................................E02B 3/06
[56] 752,781 2,301,592 3,374,635 4,420,275
2/1904 11/1942 3/1968 12/1983
.........................................405/21; 405/15 ...............................................405/1519, 405/30-35 References Cited U.S. PATENT DOCUMENTS Kerr............ ......................405/15 Teuber......... ......................405/16 Crandall....... ......................405/18 Ruse............ ..................405/15 X
FOREIGN PATENT DOCUMENTS 2062477 7/1971 Fed. Rep. of Germany 405/16 Primary ExaminerDennis L. Taylor Attorney, Agent, or FirmCharles R. Engle [57] ABSTRACT A backshore sill beach and dune erosion control system including a supporting apron of a permeable fabric spread across a shoreline area of beach and dune being protected and held in place by a toe scour protection tube and further including a plurality of sand-filled geotextile containers which are placed upon the supporting apron in an end to end relationship along the shoreline providing a predesigned soft force absorbative horizontal surface decreasing water velocity upon impact therewith. 9 Claims, 9 Drawing Figures
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Chapter 12 Going Offshore: Asia Opportunities for Small U.S. Environmental Technology Firms J.D. Hallet and S. Ganguli In response to growing environmental crises in the developing world, and to a rare and fortunate meeting of global commercial and environmental interests, the U.S. government has, over the past five years, crafted and implemented a number of innovative programs aimed at encouraging and facilitating U.S. environmental equipment and technology exports. A number of these programs have begun to show significant and measurable results in assisting U.S. environmental technology and service providers in identifying and developing international business opportunities leading to joint ventures, licensing arrangements and export sales of plant and equipment. Sanders International, a Washington, D.C.- based environmental business development firm, has had the opportunity to implement and manage two of these programs for the U.S. Agency for International Development (USAID): the Capital Development Initiative (CDI) for Central and Eastern Europe and the Trade in Environmental Services and Technologies (TEST) program for India. The firm has developed a significant body of experience and evidence that programs like these are providing critical intermediary assistance and support to small U.S. environmental technology and service suppliers in opening and developing overseas markets that would otherwise be beyond their reach. While the programs are proving successful and useful to the beleaguered U.S. environmental industry, the larger question remains how and whether technology trade intermediation can be sustained without federal programs by a needful and under-capitalized U.S. environmental industry whose fortunes are increasingly found in overseas markets. Up to the 1990s, developing country governments, for the most part, considered black smoke from factory stacks as a status symbol evidencing progress away from third world poverty. The U.S. environmental movement was viewed by the developing world largely as a curiosity in a nation that, at the time, controlled far too much of world's wealth and whose people apparently had too much leisure time on their hands to focus on such peripheral issues as industrial pollution. The situation has changed markedly. Megacities around the world are now choked with all types of pollution, creating life-threatening health hazards for their inhabitants. No longer peripheral issues, environmental threats are at the top of the agenda for all industrializing country governments, and their business communities are mobilizing to address today's pollution problems and tomorrow's need for new and cleaner production technologies. The developing world's new focus on environmental issues in Asia, Eastern Europe and Latin America contrasts with the general slowdown observed in the U.S. environmental industry. Therefore, it is clear that tomorrow's U.S. environmental firms will be international firms or they probably won't survive. Those left onshore are and will be scrapping for an ever-smaller and cleaner piece of the market. The U.S. Environmental Industry in Transition In fact, the roots of today's environmental industry shake-out are traceable directly back to the industry's 1970's-1980's salad days when Congress established the new market drivers such as the Resource Conservation and Recovery Act (RCRA) and Superfund. In many cases, no cost was too high to deal with a real or perceived environmental threat. This was good news to the rapidly growing U.S. environmental industry whose market grew
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at double digit rates for almost two decades with talent and capital pouring into hundreds of new companies throughout the country. 5 However, the recession of 1990-91 hit the U.S. environmental industry hard with market growth tapering off to today's relatively modest levels of 3-4%.5 Other factors emerged to re-shape environmental business in the U.S. including: a shift in emphasis from pollution control and waste minimization to pollution prevention; a progressive decline in the net inventory of sites to be remediated; and a growing bottom-line mentality in American industry that has taken every opportunity to eliminate and or re-cycle wastes. With the industry shrinking, large environmental firms have started to consolidate, and the market is beginning to be dominated by a handful of industry winners, mostly large, full service firms and a few niche players. Small companies, who are busy developing innovative, low cost technologies, are learning the bitter lesson that, in the environmental industry, successful companies are market driven rather than technologically driven. Moreover, in a highly distorted, regulations-driven market, new and cheaper environmental technology solutions are not necessarily what the U.S. market is asking for. Asia Beckons As the U.S. environmental industry continues to restructure, its future is being re-created abroad. The greatest opportunities for U.S. firms are in Asia's fast growing markets that have the resources to invest in environmental protection and the public pressures to demand it. Asia's export boom, which began in the early 1980s, forged new middle classes with expanded purchasing power and higher expectations for improved quality of life. Black smoke and fumes were recognized as the health hazards and nuisances they always were rather than symbols of modernization. Greater wealth brought on strengthened democratic institutions which provided a political lever for demands for cleaner air, soil and water. Green candidates appeared on ballots throughout democratic Asia, and mainstream political parties have rushed in to co-opt green issues and mobilize government and industry to address pollution problems and their consequences. Air, water and soil pollution laws have been passed and implemented in almost all Asia-Pacific countries and are being enforced at varying levels of effectiveness throughout the region. In India, the Supreme Court plays a unique role in responding to citizen's demands for environmental improvement. In 1993, prompted by a lawsuit brought by an environmental activist, the Indian Supreme Court took the unprecedented step of ordering foundries in the city of Agra, home to the world famous Taj Mahal, to install adequate air pollution control equipment or face closure. The Court has ordered numerous other closures of polluting firms throughout the Indian sub-continent and is a major force in driving environmental compliance by Indian industry. These economic and political changes, combined with both a growing ability and willingness to pay for pollution control and remediation, have created a new and growing environmental industry in Asia. Out of the $305-billion world-wide environmental market, the Asia-Pacific region (including Japan) amounts to about $55 billion. Moreover, it is estimated that the environmental market in the rest of Asia outside of Japan is growing at 12-14%.2 Taiwan, one of the most densely populated and industrialized economies in the world, has taken the lead in cleaning up the region with a huge public spending program for environmental and infrastructure improvements amounting to US$12 billion over its 1992-1997 five-year plan. 2 Multinational environmental, energy and infrastructure giants have jumped in to take their share of the big-ticket dam, power, highway and big industry projects that have opened up throughout Asia. However, particularly in India's case, the bulk of the untreated industrial pollution problems lie in its huge small-and medium-scale industrial sector and, for the most part, the multinational giants have neither been able nor interested in offering the low cost environmental solutions that countries like India and China are clamoring for. In India, the small-and medium-scale industrial sector is comprised of thousands of small factories dispersed throughout the country in industries like food processing, tanning, spinning and dyeing, pulp and paper mills, alcohol distilleries, metal plating plants and iron foundries. These firms typically do not have the capital to invest in expensive pollution control equipment or clean production technologies. Indian environmental officials face a serious dilemma because, while these industries contribute a disproportionate amount of pollution, they represent huge employment and foreign exchange earnings, and consequently are too important to shut down. The leather industry in India illustrates this dilemma. This industry consists of both export oriented units and a number of manual small scale units producing mainly for the domestic market. Both employment and foreign exchange earnings in this industry are large and growing. In 1993-94, leather exports amounted to $1.3 billion or approximately 7% of total exports. 6 The environmental side of the equation, however, tells a different story. Most of these facilities are primitive and do not meet minimum discharge standards. The release of wastewater and heavy metals often compromises groundwater quality. Toxic solid
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residues and sludge are disposed without treatment often producing noxious gases. This industry, which has not escaped the government's threats of closure, is now desperately looking for low cost wastewater treatment and solid waste recycling technologies. Overall, the tried and true industrialized country approaches to industrial pollution problems will not be accepted in the developing world, or if forced, will not be sustained. Simple economics accounts for most of this phenomenon, i.e. the systems are too expensive too buy, too expensive to operate, or require inputs that are also too expensive or in short supply. Many traditional approaches also fail because they consume too much electricity or require too much water or land to operate. Or, as in a now famous case of a European waste-to-energy incineration system that was constructed outside of New Delhi and still stands there as a silent monument, they do not take into sufficient account the local characteristics and constraints that make a standard approach possible or practical. In the case of the incinerator, the municipal refuse used as fuel could not generate sufficient BTUs because the high calorie items had been picked out by scavengers. Smaller Firms Meeting the Challenge The good news is that the small, the nimble and the aggressive technology-based U.S. environmental firms are finding opportunity and success in emerging environmental markets like India. The size and diversity of India's industrial base (India is one of the top ten industrial producers in the world) has opened up avenues for new approaches to environmental and pollution problems which have not and often can not be tried or adopted in the U.S. Both the severity of the pollution problems faced and the absence of forces opposing new technological approaches to environmental problems have created this atmosphere of possibility. Having built better environmental mousetraps, many U.S. firms are finding it is the Asian markets that are knocking at their doors. The problem, however, is that most of these firms lack both the resources and expertise to develop Asian business opportunities. TEST has been able to identify and work with many companies among this new class of internationally-focussed U.S. environmental firms. The project demonstrates that overseas markets are recognizing the inherent value of many of the environmental technologies the U.S. market has rejected, no longer requires, or has, as yet, failed to embrace. In exploring international market opportunities, U.S. environmental firms face several sets of obstacles for which they usually lack both the resources and expertise to surmount. The first set of obstacles includes the lack of financial resources and know-how to find and evaluate prospective business collaborators and opportunities and to navigate through both U.S. and foreign technical, legal and financial requirements necessary to develop the transaction or linkage. The second set of obstacles revolves around the difficulty in securing funds, authorizations and commitments to adequately demonstrate how and whether given environmental technologies function under various operating conditions in foreign countries. Lacking some external support, most small environmental technology firms do not have the resources to carry through to the closure of a deal. The Role of Federal Programs In the last few years, the U.S. government has developed and executed a number of international environmental business development projects that have demonstrated a remarkable degree of success in promoting and facilitating environmental business linkages. These new federal initiatives for international environmental business and technology development involve diverse agencies like USAID, the Department of Commerce (DOC), Overseas Private Investment Corporation (OPIC), Department of Energy (DOE), and the Environmental Protection Agency (EPA). These initiatives were developed, among other reasons, to meet foreign aid commitments to developing countries, to spur greater cooperation and exchange in environmental technology development and commercialization, to enhance U.S. competitiveness in an important and growing industrial sector, and to contribute to international efforts to address global environmental threats. The TEST program for India represents one of the most refined and, to date, successful projects of this type. Developed to assist India with its industrial pollution problems, TEST has been instrumental in linking U.S. and Indian environmental firms to provide long term and cost-effective solutions to India's critical industrial environmental problems. Programs like TEST are filling a critical gap between the industrializing world's need for appropriate and affordable environmental solutions and the U.S. industry's need for information on the existence and nature of overseas environmental business opportunities. In addition, in India, TEST is helping U.S. firms to find and qualify prospective Indian partners, to define the nature and scope of the environmental or pollution problem and to provide critical technical support in negotiating alternative business relationships and moving both sides to closure of long-term and mutually beneficial business relationships. In the past 18 months, the project has directly contributed to the successful closure of more than a dozen
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environmental business deals between U.S. and Indian firms, including joint ventures for industrial air filter and air pollution control equipment manufacturing, technical licensing agreements for fluidized bed boiler and vapor recovery technology, and distribution agreements for biological treatment products and wastewater treatment equipment. TEST is currently working on an active pipeline of about 20 other potential deals. However, more important than the funding and support provided by the four-year TEST program, is the fact that, with an entirely unexpected momentum, Indian environmental firms are proving their willingness and ability to apply, adapt and market U.S. pollution control, pollution prevention and energy technologies to provide much-needed environmental solutions. In its first year of operation, a joint venture between the Indian firm Kirloskar and the Dallas-based Snyder General for the production of air pollution control equipment that was financed in part by a loan from the TEST program, booked $20 million in sales in the Indian market alone. In some cases, the U.S. technologies are finding applications in industries and settings unique to India and other potential developing country markets. The following examples of completed and ongoing projects further illustrate this important trend and demonstrate the role that government programs can plan in helping small U.S. firms. Enders Process Equipment Corporation Enders Process Equipment, a small Illinois-based environmental engineering company, has adapted and begun to market in India a fluidized-bed incineration and caustic soda recovery technology for paper mill wastes. With financial and technical assistance from the TEST program, Enders is in the final phase of completing its first demonstration unit scheduled to begin operation in October, 1995. While the U.S. market for this technology no longer exists because of the relatively small size of the paper mills for which it is designed, the technology is very appropriate for most Indian paper mills. Out of approximately 300 Indian mills, only 90 have effective systems to treat effluents and recover chemicals for recycling. The remaining 210 mills empty their spent effluent pulping liquors directly into fields and rivers. Most paper mills in India have been unable to install effluent treatment systems due to their high costs. The Enders system is marketable because it costs half as much as the conventional systems currently used in India, recycles a valuable industrial input and indirectly provides major energy savings through foregone production of caustic soda. Upon successful demonstration of the technology, Enders and its Indian partner anticipate numerous follow-on orders. They also plan to pursue further adaptation of the technology to treat effluents from Indian sugar refineries, steel mills, and petrochemical refineries. Intermediary assistance from the TEST program was critical in helping Enders to rapidly identify, conclude and finance its initial demonstration project. Castone International Castone International, a small Tennessee-based firm, has developed a practical, energy-efficient process to make high quality bricks using ash from coal-fired thermal power plants. Castone's brick making equipment employs an innovative, low-energy process that can utilize up to 90 percent ash in the brick-making process. The bricks may be sized and colored to fit local customs and preferences. The technology was developed and commercialized in the 1970s and 1980s, but it has not made any significant headway in the U.S. market. This technology is especially attractive to India, where the poor quality Indian coal (with up to 50 percent ash content) is the principal fuel source for energy production. Fly ash management and disposal remain as tremendous problems for Indian industry and the Castone technology is showing great promise to provide a cost-effective approach to meeting part of the problem. With intermediary assistance from the TEST program in the form of introductions, plant-site visits from prospective Indian partners, and mediation assistance during commercial negotiations, Castone has entered into a distribution agreement with a Bombay-based Indian boiler manufacturer that is developing sales for the Castone equipment. 3i Systems 3i Systems, a New Jersey based technology development firm, is marketing an innovative fixed-film, spiral bio-reactor technology for the small-and medium-scale industrial sector in India. The technology was originally the property of a division of a major U.S. industrial conglomerate. Despite promising bench and pilot-scale data, the firm had no interest in developing the technology for the environmental market and put the division up for sale. TEST learned of the technology and of 3i's interest in developing and adapting it for India and assisted the firm in developing its approach to the Indian market. With support from the TEST program, principals from 3i Systems travelled to India in February 1995, for a series of presentations throughout the country on 3i's technology and other U.S. bio-treatment processes and technologies. 3i received an immediate and enthusiastic response from Indian environmental firms and potential end-users who recognized the technology's potential for widespread and low-cost application to a range of effluent treatment
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problems from Indian distilleries, dye manufacturers, tanneries and pulp and paper mills. The heart of the 3i technology's attractiveness and appropriateness for the Indian market is its comparative low cost, ease of operation and maintenance, and very low energy requirement. The treatment systems will be sold as turn-key, skid-mounted units complete with all necessary tanks, piping, and pumps. For the target market identified in India, in most cases and absent direct cash infusions from organizations like the World Bank, standard treatment technologies (e.g. large, cement aeration ponds and energy-intensive pumping stations) are not affordable or sustainable under current circumstances and infrastructure limitations. Thus, for the pollution problems of India's small and medium-scale industrial sectors, due to lack of adequate space, energy, water and funds, it will either be innovative systems like those being developed by 3i Systems or no treatment at all. Since the latter is not an acceptable long-term option, the potential is great for innovative treatment systems like those offered by 3i in this untapped market. 3i is in the process of establishing a joint venture with a local Indian company to manufacture and produce its bioreactor systems for the Indian market. The TEST program's intermediary assistance was an important factor in helping 3i to identify and define its target market in India and develop its initial approach to the market. TEST is currently working closely with 3i to identify sources of financing for initial demonstration projects. Conclusion: the Middleman's Role For many small and under-capitalized U.S. environmental technology firm, its future is overseas and likely to be in Asia. However, the price of admission is still high and direct sources of support are quite limited and mostly confined to a number of small U.S. government environmental business and technology development programs or private intermediaries whose costs are usually prohibitively high for small firms. Given the current political climate of government cutbacks, federal programs such as these are not sustainable in the long term. Absent government support, the difficult question for policymakers is how and through what mechanisms to encourage small environmental technology firms to pursue international opportunities, drawing upon intermediary services when necessary. While over 60 percent 8 of U.S. exports currently pass through the hands of some kind of intermediary, e.g. a wholesaler, distributor or export management firm, intermediation is not the practice in the U.S. environmental technology or pollution control industry. If the U.S. environmental industry, as exemplified by the small firms that are bringing forth innovative approaches to various pollution problems, is to build upon the kinds of success stories presented in this paper in emerging environmental markets like India, the role of the technology trade intermediary will have to be recognized and reinforced. Despite the important, but overlooked role of trade intermediaries in U.S. exports, the role of trading companies and brokers in the U.S., particularly outside commodity-based industries, is neither widely recognized nor well-respected. In international technology trade, intermediaries can and do perform a variety of critical functions including: establishing, verifying and solidifying linkages established between prospective partners; identifying and acquiring rights to relevant technologies; locating potential projects or end-users, facilitating financing, licensing or investment arrangements, and providing valuable management, technical and cross-cultural advice. Federally-funded programs like TEST are providing these services today and are showing real results in terms of commercial ties between both large and small U.S. and Indian firms and improvements in India's environmental situation. In light of these results, it is worth considering how best to engage both public and private mechanisms to strengthen and support the role of intermediaries in developing and promoting U.S. technology trade in all industrial sectors. References 1. Asian Development Bank. Asian Development Outlook, 1993, Oxford University Press, 1993. 2. ''Asia Weighs Costs of Prosperity'' in Asia Environmental Business Journal, Vol 1, No. 1, March/April, 1995. 3. Banks, D.R., Ditz, D.W., and Heaton Jr., G.R. Missing Links: Technology and Environmental Improvement in the Industrializing World, World Resources Institute, October, 1994. 4. Brandon, C. and Ramankutty, R. "Toward an Environmental Strategy for Asia", World Bank Discussion Papers, The World Bank, Washington, D.C., 1993. 5. "Foundation For The Future" in Environmental Business Journal, Volume VII, No. 4, April, 1994. 6. "Leather: Moving On To The Limelight" in The Economic Times, Databank '95.
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7. Rocco, V. "The Globalization of International Markets", Environmental Business Journal, Volume VIII, No. 1, January, 1995. 8. U.S. Department of Commerce, International Trade Administration. A Profile of United States Exporters, September, 1993.
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SECTION 2 INDOOR AIR QUALITY AND CFC'S
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Chapter 13 Ventilation Assessment of an Infectious Disease Ward Housing Tb Patients M.S. Crandall and R.T. Hughes Abstract The National Institute for Occupational Safety and Health (NIOSH) assisted the National Center for Infectious Diseases and the National Center for Prevention Services, Centers for Disease Control (CDC), in their investigation of nosocomial transmission of tuberculosis (TB) at a Veterans Administration Medical Center. NIOSH was asked to determine whether ventilation requirements expected of TB patient isolation facilities were being met. In the Infectious Disease ward (5B), 24 staff were given a tuberculin skin test (TST) in the summer of 1991. Eleven (46%) were positive then, and 13 were negative. Ten of the 13 testing negative in 1991 were retested within a year, and 5 (50%) converted to a positive TST. NIOSH investigators made ventilation measurements on Ward 5B, an infectious diseases ward housing patients with acquired immune deficiency syndrome (AIDS), two of them with infectious TB, to determine the status of the systems serving the area. Airflow measurements showed that in all the single-patient rooms, exhaust airflow was essentially zero. The average supply airflow varied above and below the designed value. These rooms were all positively pressurized, which would not be recommended for the isolation of infectious patients. Based on the measurements made during this evaluation, it was recommended that a separate isolation facility be constructed in the hospital to house infectious patients. Interim corrective measures for the systems in place were also recommended. Introduction The transmission of tuberculosis is a recognized risk in health-care settings. 1 Several recent outbreaks of tuberculosis (TB) in health-care settings, including outbreaks involving multidrug-resistant strains of Mycobacterium tuberculosis, have heightened concern about nosocomial transmission. In addition, increases in TB cases in many areas are related to the high risk of tuberculosis among persons infected with the human immunodeficiency virus (HIV). Transmission of tuberculosis to persons With HIV infection is of particular concern because they are at high risk of developing active tuberculosis if infected. Health-care workers should be particularly alert to the need for preventing TB transmission in settings in which persons with HIV infection receive care, especially settings in which cough-inducing procedures (e.g., sputum induction and aerosolized pentamidine [AP] treatments) are being performed. An effective TB infection-control program requires early identification, isolation, and treatment of persons who have active TB. The primary emphasis of TB infection-control plans in health-care facilities should be achieving these three goals by the application of a hierarchy of control measures, including a) the use of administrative measures to reduce the risk for exposure to persons who have infectious TB, b) the use of engineering controls to prevent the spread an reduce the concentration of infectious droplet nuclei, and c) the use of personal respiratory protective equipment in areas where there is still a risk for exposure to M. tuberculosis (e.g., TB isolation rooms). The National Institute for Occupational Safety and Health (NIOSH) was requested in June 1992 to provide technical assistance to the National Center for Infectious Diseases and the National Center for Prevention Services, Centers for Disease Control (CDC), Atlanta, Georgia. The CDC asked for technical support during an investigation of nosocomial transmission of tuberculosis (TB) at a Veterans Administration Medical Center (VAMC) in the middle eastern United States. Their request was for NIOSH to determine whether the ventilation requirements expected of TB patient isolation facilities were being met.
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Background The VAMC was constructed in 1953. This 640 bed hospital had a staff of about 2200 workers. The CDC investigators collected preliminary tuberculin skin test (TST) information from the VAMC. A positive TST prevalence of 20 to 25% was expected due to the large number of foreign born staff (mainly from the Philippines), and the fact that many staff come from the Newark/New York City area where the prevalence is high. A 29% positive TST was found among the VA staff who had been tested, 514 of 1768. Among the 270-300 medical doctors on staff, 105 were TST positive (35-39%). Many had not been tested, so this prevalence rate may have been low. Of 604 nursing staff, 476 had been tested and 239 (50.2%) were positive. In the Infectious Disease ward (5B), 24 staff were tested in the summer of 1991. Eleven (46%) were positive then, and 13 were negative. Ten of the 13 testing negative in 1991 were retested within a year, and 5 (50%) had converted to a positive TST. Areas of concern in the hospital were the wards where TB patients were potentially admitted to, and diagnostic and treatment rooms. These areas included wards 5B, 5D, 7B, the Pentamidine administration room (5-196A, on 5B), and the Pulmonary Lab (7-101, on 7A). The ventilation investigation discussed in this report was focussed on Ward 5B. Ward 5B is a residence ward for AIDS patients. During the investigation there were two patients with infectious TB in isolation on 5B. Ward 5B Description Ward 5B is an infectious diseases ward having a capacity of 24 beds. There are 12 single-bed patient rooms and four three-bed patient rooms. The orientation (inset) and layout of the ward can be seen in Figure 1. The HVAC system serving the patient rooms on 5B (system 1-AC1) also served rooms on A-level (below the first floor) and on floors one through 13. This system supplied tempered, 100% outdoor air through 85% efficient filters (ASHRAE dust-spot efficiency) via supply fan 1-SF1. The main air supply duct traverses the length of Ward 5B's main corridors. Smaller branch ducts extend off the main supply and provide outside air to each patient room through wall-mounted rectangular diffusers. Air was exhausted from the patient rooms on 5B through a system which serves floors 1,2,4,5, and 6 (1-EF4). The exhaust air travels through bathroom exhaust grilles (one bathroom for two adjoining patient rooms) to a large duct branch above the main corridor and then to a rooftop stack. This singlepass supply and exhaust system was designed (according to the plans) to provide an equal amount of supply and exhaust airflow for the patient rooms. A fan-coil unit was mounted near the ceiling over the door to each room to temper and recirculate the air within the room. The VAMC's heating, ventilating, and airconditioning (HVAC) systems underwent extensive renovation in the late 1980's.
Figure 1. Orientation and approximate layout of Ward 5B, VAMC
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One patient room (5-190) on this ward was designed to be an isolation room, using a variable supply airflow (20 to 80 cubic feet per minute [cfm]) and a fixed amount of exhaust(50 cfm). In this fashion, either a negative pressure or positive pressure isolation environment could be established. The ability of this system to work as designed was not evaluated, however, it was reported by the VAMC engineering staff that it did not. This room had a fan-coil unit for air tempering. The aerosolized-pentamidine therapy room on 5B had supply air delivered through its fan-coil unit located over the entrance and exhausted air through a dedicated system to the outside. The operation of this system was not evaluated because of maintenance being performed on the fan-coil unit on the day of the survey. There was no local exhaust system for use during AP administration. The corridors for the ward were supplied air from a different HVAC system (1-AC4) than that serving the patient and therapy rooms. This system supplied a mixture of outdoor air and return air from the central core areas of the hospital to the 5B corridors, floor 2, and floors 4-12. Evaluation Methods A walk-through was conducted of the main mechanical unit (1-AC1) supplying air to Ward 5B. The outside air dampers, filters, ductwork, and heat transfer coils in the supply systems were visually inspected. The exhaust system (1-EF4) serving 5B was evaluated from a design standpoint using the mechanical plans. Airflow measurements were made in ten rooms on Ward 5B, seven single-patient, two three-patient rooms, and the day room (5-172). Airflow measurements were made using an airflow capture hood. Using this instrument, airflow through a supply diffuser or exhaust grille can be read directly in cubic feet per minute (cfm). The measured airflows were compared to the design specifications on the mechanical plans and to the CDC, the American Institute of Architects (AIA) and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ASHRAE) guidelines. 1,2,3 Airflow measurements were obtained under the following four conditions: 1) with the door to hallway open and the door to bathroom closed; 2) with the door to hallway closed and the door to bathroom closed; 3) with the door to hallway closed and the door to bathroom open; and 4) with both doors open. Smoke tests using chemical smoke tubes were conducted to visually observe the relative pressures of the rooms with respect to the main ward corridor, and the main corridor with the core area of the 5th floor. The direction of smoke, either into or out of the rooms, was observed at the gap between the floor and the bottom of the door, with the door closed, for each of the patient rooms on the ward. Tuberculosis Control The prevention of tuberculosis transmission in health-care settings requires that all of the following basic approaches be used: a) prevention of the generation of infectious airborne particles (droplet nuclei) by early identification and treatment of persons with tuberculous infection and active tuberculosis, b) prevention of the spread of infectious droplet nuclei into the general air circulation by applying source-control methods, c) reduction of the number of infectious droplet nuclei in air contaminated with them, and d) surveillance of health-care-facility personnel for tuberculosis and tuberculous infection. Experience has shown that when inadequate attention is give to any of these approaches, the probability of tuberculosis transmission is increased. Items b) and c) are addressed through the use of ventilation and filtration to isolate infected patients. In high-risk settings, source-control methods can be applied to reduce the spread of infectious droplet nuclei into the general air circulation. These methods trap the droplet nuclei as they are emitted by the patient, or "source." These techniques are especially important during performance of medical procedures likely to generate aerosols containing infectious particles, such as AP administration or sputum induction. Once infectious droplet nuclei have been released into room air, they should be eliminated or reduced in number by ventilation, which may be supplemented by additional measures (high-efficiency particulate air [HEPA] filtration or ultraviolet [UV] irradiation). Health-care facility workers may also reduce the risk of inhaling contaminated air by using personal respirators (PR). The risk of TB transmission in any setting is proportional to the concentration of viable TB bacilli in the air. All suggested control measures may reduce occupational exposure to TB to some extent; however, there are no currently-available methods to quantify the degree of reduction that may be achieved by each control measure. Although ventilation is frequently relied upon to control TB in the health-care setting, ventilation systems sometimes can be complex and difficult to evaluate. Satisfactory performance of ventilation systems requires oversight by engineers or industrial hygienists. Incorrect design applications or inadequate maintenance can, in fact, increase the risk of TB transmission.3,4Consensus guidelines for ventilation and ancillary measures of worker protection have been formulated and are based on what are believed to be the most effective combination of feasible control strategies.1,5,6
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Ventilation Considerations There are two types of ventilation used for control of airborne transmission of TB; general dilution ventilation and local exhaust ventilation. Dilution ventilation provides an exchange of contaminated indoor air with uncontaminated air thereby diluting the airborne concentration of the infectious agent and reducing potential exposures for workers and other susceptible persons (i.e., patients and visitors). Each of these types of ventilation is explained more fully below. General Dilution Ventilation General dilution ventilation performs a variety of functions, including providing sufficient outside air to maintain comfort, controlling the direction of airflow in a facility, controlling airflow patterns within rooms, and diluting and removing contaminated air. ASHRAE recommends a range of 15 to 30 cubic feet per minute (cfm) per person of outdoor air for hospitals. 2,5 ASHRAE and AIA suggest airflow ranging from 4 to 25 air changes per hour (ACH), depending on the functional area of the hospital. 2,3 These guidelines recommend appropriate pressure relationships with respect to adjacent areas, minimum outdoor air and total air changes, exhaust location, and recirculation restrictions. In addition to supplying the specified airflow, ventilation systems should also provide satisfactory anirflow patterns both from area to area and within each room. Air flow should be from "clean" to contaminant source areas, such as from hallways to treatment rooms. This can be accomplished by creating negative (lower) pressure in the area into which flow is desired relative to adjacent areas. Negative pressure is attained by exhausting more air from the area than is being supplied. For large areas this will require careful balancing of the ventilation system. Within a room or small area, a ventilation system should be designed to: 1) circulate air to all areas of the room (prevent stagnation of the air), 2) prevent short circuiting of the supply to the exhaust (i.e., passage of air directly from the supply site to the exhaust point without mixing of room air), and 3) direct the clean air past the worker without recirculation within the room. These conditions are not always achievable but should be attempted to the fullest extent feasible. One way to accomplish this is to supply low velocity air at one end of a room and exhaust it from the opposite end. Another method is to supply low velocity air near the ceiling and exhaust it near the floor. However, air flow patterns are also affected by air temperature, the precise location of supply vents and exhaust vents, diffuser design, the location of furniture, movement of workers, and the physical configuration of the space. Each room or space must be evaluated individually. Ideally, ventilation systems used in areas where Mycobacterium tuberculosis may be present should supply non-contaminated air (a portion should be outside air), discharge exhaust air to the outside, and should not recirculate air back into the facility. Where TB may be present, an area of the hospital should be selected where the ventilation can be optimized or simply rebalanced to provide the desired ventilation parameters. Where this is not possible, less desirable alternative approaches may be used. Rooms connected to recirculating ventilation systems could utilize high efficiency particulate air (HEPA) filtration in the room exhaust or filter the air before it is recirculated. In cases where a room has no ventilation, a HEPA-filtered recirculating duct system for that room might be considered. In no case should a room or area without mechanical exhaust ventilation be used for patients with M. tuberculosis. Recommended ventilation rates in hospitals are frequently expressed in terms of air changes per hour (ACH). An ACH is defined by the theoretical number of times that the air volume of a given space will be replaced in a one-hour period. Assuming perfect mixing, a rate of six ACH would require 46 minutes to remove 99.0% of contaminants from a room.1 Hence, the air is not actually "changed" six times per hour. The amount of air required to maintain six ACH in a smaller room will be less than a larger room. For purposes of general ventilation, all supplied air does not have to be outside air. For example, AIA recommends that operating rooms be ventilated with a minimum of three ACH outside air with a minimum total of fifteen ACH. The remaining twelve air changes only need be "clean" air (often referred to as "transfer air"), not necessarily outside air. It is always advisable, however, to use the most stringent and protective alternative possible. A final function of general ventilation is to provide sufficient exchange of potentially contaminated air with clean air to minimize the risk of infection. The CDC, AIA, and ASHRAE ventilation guidelines for TB (infectious) patient isolation rooms are presented in Table 1.1,2,3 AIA and ASHRAE recommend that hospital infectious isolation rooms should provide six ACH, based on comfort and odor control. 2,3 CDC has recommended that an airflow of 6 ACH be provided to TB isolation and treatment rooms in existing facilities. This airflow rate should be increased to 12 ACH, where feasible, by HVAC adjustment or modification, or by auxiliary means. New or renovated facilities should be designed to provide 12 ACH in these rooms.1 All agree that all air should be exhausted directly to the outside. Exhaust locations should not be near areas that may be populated (e.g., sidewalks or windows that may be opened). Exhaust points should also be away from air intakes, so that exhaust air is not recirculated into the facility.
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Table 1. CDC, AIA and ASHRAE ventilation guidelines for infectious and protective isolation rooms 1,2,3 Air movement Minimum air Minimum total Recirculated by All air relationship to changes per hour air changes per means of room exhausted to adjacent area outside air hour units outside Infectious (TB) Isolation CDC In 6-12 Yes AIA In 1 6 No Yes ASHRAE In 2 6 No Yes Protective Isolation AIA Out 1 6 No ASHRAE Out 2 15 No Yes ASHRAE recommends that two of the six ACH should be outside air and the AIA recommends only one. CDC does not set a minimum outdoor air amount. ASHRAE also recommends a minimum of 25 cubic feet per minute/person (CFM/person) of outside air for patient rooms.5 Infectious isolation rooms should be under negative pressure with respect to adjacent areas.1,2,3,5,7 Local Exhaust Ventilation Local exhaust ventilation captures the infectious agent in the immediate field of an infectious patient (i.e., scavenging booths or tents) without exposing other persons in the area. A negative pressure is always maintained inside the local exhaust device. It is the preferred type of ventilation because the TB organisms are removed before they can disperse throughout the work area. Local exhaust ventilation is used most effectively in a fixed location. The hood portion of a local exhaust system may be of exterior design, where the infection source is near but outside the hood, or enclosing, where the infectious source is within the hood. Enclosures (booths) are available for aerosol-generating activities, such as sputum collection and aerosol therapy. These devices may be exhausted directly to the outside, or they can exhaust through a HEPA filter back into the room. Hiv Patient Considerations Since immunosuppressed patients are highly susceptible to diseases, they require protective isolation conditions. In cases where the patient is immunosuppressed but not contagious, a positive pressure should be maintained between the patient room and adjacent areas. ASHRAE recommends that rooms for AIDS patients (protective isolation) be positively pressurized, and be supplied a minimum of 15 ACH, two of which should be outdoor air (Table 1).2 Filtration of this air should be at the 90% efficiency level or above. ASHRAE also recommends an anteroom which is negative with respect to the patient room. AIA recommendations for protective isolation are similar to theirs for infectious isolation except airflow should be out of the room.3 Both AIA and ASHRAE recommend no recirculation of room air by in-room air-tempering units. Evaluation Results and Discussion During the inspection of HVAC system 1-AC1, we observed that the outdoor air dampers were closed. This situation was corrected. The results of the ventilation measurements on Ward 5B are presented in Table 2. Individual measurements made under the four conditions listed above, the average of these measurements, the room design airflows, and the pressure relationship of the room with the corridor (+/-) are shown for each of the rooms. The single-patient rooms are grouped in the table according to the shared bathroom exhaust. The design plans indicated that the rooms should be neutrally pressurized (equal supply and exhaust airflow). The measurements made under the different conditions in the rooms were quite variable. From the single-patient rooms, exhaust airflow was essentially zero. The average supply airflow varied above and below that specified in the design. The rooms were all positively pressurized, which was good under protective isolation guidelines, but which would not be recommended for the isolation of infectious patients. Based on an average volume of 1250 cubic feet for these rooms the number of ACH ranged from one to three and one-half.
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Page 86 Table 2. Ventilation and pressure relationship measurements, VAMC Configuration Average Room/Area a1 b2 c3 d4 (cfm) 1896 supply 547 19 48 47 42 exhaust 0 0 0 0 0 188 supply 208 ----186 supply 59 50 87 90 72 exhaust 0 0 0 0 0 187 supply -----180 supply 28 25 22 28 26 exhaust 0 0 0 0 0 179 supply 30 28 24 34 29 176 supply -----exhaust 0 0 0 0 0 175 supply 36 59 33 35 41 Three-patient rooms Door open Door closed 172 supply 37 27 32 (Day room) exhaust +25 +48 +37 171D supply 88 68 78 exhaust 0 +43 +22 17lB supply 120 140 130 exhaust +45 +16 +30 1 - Main door open, bathroom door closed 2 - Both doors open 3 - Main door closed, bathroom door open 4 - Both doors closed 5 - Pressure relationship between patient room and corridor 6 - Single-patient rooms are grouped according to a shared bathroom exhaust 7 - Average of three measurements 8 - Estimated airflow, based upon air velocity and diffuser area
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Design (cfm) 20 -40 20 30 -50 20 40 -70 30 30 -60 30
PR5 +/+
50 -50 50 -50 80 -80
+
+ + +
+ + +
+ +
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Most of the single patient rooms had a shared bathroom (only 5-190 had a private bathroom). If the HVAC system were operating as designed a patient using the bathroom would be exposed to any infectious agent from the other room In the current state of operation there will be room to room flow depending on open and closed doors. CDC guidelines suggest that only private rooms be used for TB patient isolation. Two of the rooms with a shared bathroom were being used for TB isolation. The three-patient room measurements were similarly variable with regard to the design specifications. The most remarkable feature in these rooms was that the exhaust airflows in all rooms were measured to be positive, that is, the exhausts were actually supplying air to the rooms. Room 5-171D received 1.75 ACH using only the airflow through the supply diffuser, while 5-17lB received about 2.3 ACH. The evaluation showed that all of the patient rooms measured were positively pressurized but did not meet the AIA or ASHRAE air exchange guidelines for protective isolation. These figures should be compared to six ACH recommended by the AIA and 15 ACH recommended by ASHRAE. The fact that none of the rooms were under negative pressure indicated that the TB isolation guidelines also were not being met. If the exhaust ventilation were repaired and functioning as designed, in concert with the supply system, providing at least 2 ACH with a neutrally pressurized room, the AIA and ASHRAE guidelines will be met for "normal" patient rooms. Corridor supply air measurements were also made but not included in the table. In the single-patient room wing, a total of 280 cfm was measured from two supply diffusers. This figure is within the range of the design specification of 260-320 cfm. The supply diffuser in the three-patient room wing measured 364 cfm (260 cfm design). Smoke tube traces were also used to judge the relationship of Ward 5B to the core area of the hospital. There was a general flow of air from 5B to the core area. In fact, the air flowed through the core area and into the adjacent wing of the hospital (Ward 5C). There were no doors separating these hospital areas. This condition could cause the circulation of infectious agents to the other floors of the hospital served by HVAC 1-AC4. It was observed that 5C also had no exhaust flow as indicated by smoke tube tests at the exhaust grilles. The flow of air into 5C was apparently caused by several open windows in the ward. In addition to the lack of TB-patient isolation on Ward 5B, other practices were observed which were compromising to the healthcare worker's health. Patient rooms on 5B which were marked as isolation rooms did not have closed doors, and respiratory protection other than surgical masks was not being used in these rooms. The first orinasal, single-use (disposable) dust and mist respirators arrived on the ward the afternoon of the NIOSH walk-through. Two of the nurses on 5B attempting to don respirators for the first time (without prior instruction) were unsuccessful in correctly using the respirators. They were instructed in the correct procedure. One nurse disliked the respirator because it chafed her face. No one used these respirators at any other time. Pulmonary Laboratory The Pulmonary Laboratory evaluation consisted only of determining the pressure relationship between it and the corridor. It was strongly positively pressurized. This is indicative of an exhaust flow deficiency similar to 5B. Since bronchoscopy, endotracheal suctioning, sputum induction and other procedures which could generate droplet nuclei take place here, it should be under negative pressure with respect to adjacent areas and the room air should be exhausted directly to the outside. Recommendations Hvac Systems Because of the number, nature, and potential consequences of the problems present at this facility, the ideal solution recommended was to dedicate a hospital wing or floor to be renovated and correctly configured for TB isolation. An alternative solution would be to locate an area in the hospital which had properly operating ventilation systems and room configurations to permit effective isolation. The short-term solution was to correct the problems which existed on 5B and in other areas housing TB patients. 1. The first, and mandatory step, was to correct the faulty exhaust system A systematic inspection of all exhausts connected to 1-EF4 was recommended. Flow rates should be brought up to design specifications or greater in all areas. Minimally they should be increased to a flow rate which provides room negative pressure in all areas with TB patients. Increasing supply air flow, to the extent possible, was also recommended so that a sufficient quantity of outdoor air (the ASHRAE guideline is an example) was supplied to each room, or that the required number of ACH were provided. 2. Performance of the corrections would be based on establishing correct directional corridor and room air flow. Some quantity of corridor supply air should be exhausted through the negative pressure rooms, however, some would still flow out of the wing. Doors should be installed at the ward entrance to help in
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containing the flow and providing some pressurization of the corridor to assist airflow into the negative pressure rooms. 3. As a last resort, failing the establishment of negative pressure using the 1-EF4 system, the use of individual centrifugal-type window fans with HEPA filters may be considered. This alternative must be carefully considered since this will affect the overall HVAC system balance. Other Issues 1. It was recommended that the VAMC use the services of the industrial hygiene staff of the VA to respond to the variety of health and safety problems encountered in the hospital environment. They should routinely interact with local infection control program coordinators and assist in resolving nosocomial infections and exposures to health care workers. 2. Also the VAMC should review current work practices and procedures to assure that they are consistent with current CDC, and other (ASHRAE, AIA, etc.) guidelines regarding isolation procedures, infection control, and medical surveillance of staff and patients. Specifically, isolation room doors should remain closed and health care workers should always wear respiratory protection when entering TB isolation areas. Patients with infectious TB should not be allowed to directly interact with immunocompromised persons (HIV ward patients) or general community environments (day room, corridor areas, or patient visiting lounges). HVAC systems supplying air to rooms occupied by AIDS patients should be HEPA filtered. 1,2 3. Pentamidine administration, sputum induction, and other aerosol producing procedures should be conducted in properly ventilated and designed settings. Ultraviolet lights used in Pentamindine administration rooms should remain on during treatment periods. Patients being administered Pentamindine should remain in the room until all coughing subsides, and only one patient at a time should be treated. 4. VAMC should have a policy for health care workers regarding the use of respiratory protection against potential inhalation hazards when working with known or suspected TB infected patients. A respirator program consistent with the guidelines found in NIOSH Publication No. 87-116, Guide to Industrial Respiratory Protection and the requirements of OSHA standards (29 CFR 1910.134) should be in place at the facility. Surgical masks do not meet these guidelines. For exposure to aerosols containing TB organisms, the respirator offering the highest level of protection should be selected that is consistent and feasible with the tasks to be performed by the workers. The 1994 CDC Guidelines for preventing the transmission of Mycobacterium tuberculosis in healthcare facilities should be referenced for specific respiratory protection guidelines. The use of respiratory protection is required to help minimize the risk of exposure to droplet nuclei for health-care-facility workers performing certain high-risk procedures or entering specific areas in hospitals. References 1. CDC [1994]. Guidelines for preventing the transmission of Mycobacterium tuberculosis in healthcare facilities, 1994. Atlanta, GA: U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention. MMWR 43, No. RR-13, October 28, 1994. 2. ASHRAE [1995]. Health Care Facilities. In: ASHRAE Applications Handbook. Atlanta, GA. American Society of Heating, Refrigerating, and AirConditioning Engineers, Chapter 7. 3. AIA [1993]. Committee on Architecture for Health. Guidelines for construction and equipment of hospital and medical facilities. Waldorf, MD: American Institute of Architects. 4. CDC [1989]. Mycobacterium tuberculosis transmission in a health clinic Florida. Atlanta, GA: U.S. DEPARTMENT of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention. MMWR 38:256-64. 5. ASHRAE [1989]. American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ASHRAE) Standard 62-1989, Ventilation for acceptable indoor air quality. Atlanta, GA: American Society of Heating, Refrigerating, and Air-Conditioning Engineers. 6. Riley RL [1988]. Ultraviolet air disinfection for control of respiratory contagion. In: Kundsin RB, Ed. Architectural design and indoor microbial pollution. New York: Oxford University Press, pp. 175-197. 7. CDC [1983]. Guidelines for isolation precautions in hospitals. Atlanta, GA: U.S. DEPARTMENT of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention. Infection Control, July/August 1983 (Special Supplement); 4(Suppl.): 2245-325.
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Chapter 14 Tuberculosis Infection Control Strategies in a Biosafety Level-3 Laboratory A.M. Weber and K.F. Martinez Abstract The National Institute for Occupational Safety and Health (NIOSH) received a request to conduct an evaluation at a state public health mycobacteriology laboratory. The request concerned the potential for transmission of Mycobacterium tuberculosis (Mtb) in the laboratory resulting from the handling of incoming samples, from the preparation of acid-fast bacilli (AFB) smears, and from culturing clinical specimens potentially containing Mtb. NIOSH representatives evaluated the tuberculin skin testing (TST) program, assessed laboratory practices, reviewed the use of safety equipment, and determined the operational status of the ventilation system. Criteria used for the evaluation consisted of guidelines recommended by the Centers for Disease Control and Prevention (CDC) and the National Institutes of Health (NIH) for biosafety in microbiological and biomedical laboratories. In summary, NIOSH representatives concluded that a health hazard existed for the laboratory employees who may be exposed to infectious aerosols generated in the laboratory. These hazards were present due to deficiencies in the design of the laboratory and operation of the ventilation system, and the lack of appropriate respiratory protection. Exhaust ductwork, located in the ceiling plenum above the ante-room in the TB containment laboratory, was disconnected thereby allowing potentially contaminated air to reach the return air plenum. Perforated ceiling tiles were present throughout the containment laboratory, rather than a ''hardsurfaced'' sealed ceiling which is recommended by CDC and NIH. An attempt had been made to glue the tiles to their aluminum supports to prevent laboratory air from entering the return air plenum. The results of airflow measurements and observation of airflow direction in the three rooms of the containment laboratory were highly dependent on the operation of the biological safety cabinet (BSC). Without the BSC fan operating, the TB laboratory was under positive pressure. The laboratory should be under negative pressure regardless of the operation of the BSC. According to the calculated air changes per hour (ACH), all three rooms were achieving greater than six ACH. Based on the observations and measurements compiled during the evaluation, recommendations regarding the maintenance of the existing ventilation system and the design of the laboratory were provided. Introduction Tuberculosis Tuberculosis (TB) is an infectious disease caused by the bacterium Mycobacterium tuberculosis (Mtb). Mtb is a rod-shaped bacterium and is transmitted by airborne droplets generated when persons with pulmonary or laryngeal TB sneeze, cough, or speak. 1 Due to the small size of the droplet nuclei (less than 5 micrometers in diameter), normal air currents keep them airborne and can spread them throughout a room or building. Infection occurs when a susceptible person inhales Mtb and the bacilli become established in the alveoli of the lungs, where they multiply and spread throughout the body. Two to ten weeks after the initial infection, the body's immune system usually limits further multiplication and spread of the organisms. However, in approximately 1% of newly infected persons, the initial infection rapidly progresses to active TB. Another 5-10% of those infected will develop active TB over a period of months, years, or decades. In 1994, a total of 24,361 cases of TB (9.4 cases per 100,000) were reported to the Centers for Disease Control (CDC). 2 The growing number of TB cases has been accompanied by an increase in the number of clinical samples collected and processed by laboratories. Mtb has been identified as posing a significant risk to laboratory personnel.3,4Studies have shown that the incidence of Mtb infection in those who work with Mtb in the laboratory is 3 to 5 times higher than the incidence among laboratory personnel who do not work with the bacterium. 5-7 The route of
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infection of most laboratory-acquired illnesses has been attributed to the inhalation of aerosols. Some aerosol-generating procedures that have been shown to produce droplet nuclei in the respirable range include: pouring of cultures and supernatant fluids, using fixed volume automatic pipettors, mixing a fluid culture with a pipette, dropping tubes or flasks of cultures, spilling suspensions from pipettes, and breaking tubes during centrifugation 8-10 Additional concerns for microbiologists processing clinical samples include: (1) the increasing numbers of multiple drug resistant (MDR) organisms, and (2) the increasing numbers of individuals who are co-infected with the human immunodeficiency virus (HIV). Background Facility Description The laboratory is located on the second floor of a two-story building which was reportedly built in the early 1950s. The laboratory consists of three offices; a conference room; serology, bacteriology, strep, and mycobacteriology laboratories; incubator, gas chromatography, and refrigeration rooms; and dishwashing and glassware rooms. There are two mechanical heating, ventilating, and air-conditioning (HVAC) systems for the building, each serving a separate floor. The HVAC system serving the laboratory is a variable air volume (VAV) system. A fixed amount of outside air enters the air handling unit (AHU) through dampers, mixes with return air from the occupied spaces, and passes through a bank of pleated fiberglass filters. Although the air from the TB laboratory is not recirculated, air from other areas of the second floor is returned to the AHU. Therefore, a portion of the supply air received by the TB laboratory is recirculated air. Supply air is delivered to the occupied spaces through ceiling diffusers. There are reportedly four dedicated exhaust systems (i.e., 100 percent exhaust to the outside) for the laboratory which serve the following areas or equipment: (1) the chemical fume hood located in the bacteriology laboratory, (2) the biological safety cabinet (BSC), (3) the TB laboratory and (4) the autoclave room and TB preparation room. Supplemental radiant heat is supplied to the area by baseboard radiators. There were no HVAC drawings available for the building, and there were no test and balance reports. The evaluated area of the facility, the containment laboratory, consists of three separate rooms (see Figure 1). Entrance to this laboratory is through an anteroom which leads to a preparation room. The preparation
Figure 1. Tuberculosis Containment Laboratory.
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room is used for assembling materials and equipment prior to the culturing of specimens. The preparation room contains a through-the-wall autoclave for the sterilization of contaminated wastes. The third area, the TB laboratory, contains a BSC which is used for all procedures which may generate aerosols. In addition, the TB laboratory contains centrifuges and incubators for the processing of samples. Static pressure sensors control the quantity of make-up air provided to the laboratory to accommodate the operation of the BSC. When the fan of the BSC is turned on, the ventilation system adjusts the supply airflow via the static pressure sensors to provide a larger quantity of make-up air (Figure 1 indicates the location of the sensors). Laboratory Preparation of Specimens There were 13 laboratory employees, including three clerical staff employees, seven microbiologists (three of whom are involved with tuberculosis; two part-time and one full-time), and three laboratory technicians. Approximately 6,000 to 6,500 suspected Mtb-infected specimens are processed annually by the laboratory with less than one percent resulting in a positive identification of Mtb in the sample. Specimens are received by the laboratory in the main office area either by local courier or in the mail. Samples received by courier are delivered in paper bags, and samples received through the mail are delivered in screw-cap cylinders. When mailing samples, the shipper is responsible for complying with the packaging. and labeling requirements of the U. S. Public Health Service (PHS) 11,12and the U. S. Department of Transportation (DOT).13 Samples are transported to the syphilis laboratory where they are sorted; TB samples are identified by exterior coding on the shipping container. This particular mycobacteriology laboratory performed three types of diagnostic procedures: 1) detect and isolate mycobacteria, 2) identify the isolated species, and 3) test for drug susceptibility. Detailed instructions for culturing and identifying Mtb in clinical specimens are outlined by the CDC. 14 The following is a brief description of the methods used by the laboratory to identify Mtb in sputum samples. Specimens were digested and disinfected by transferring sputum from sample vials to centrifuge tubes with a pipette containing a solution of N-acetyl-L-cysteine and sodium hydroxide. N-acetyl-L-cysteine digests the sputum and the sodium hydroxide decontaminates the sample. The solution was allowed to stand for decontamination to occur, then was diluted and centrifuged. The concentrated sediment was recovered and the supernatant solution was discarded in a glass flask within the BSC. The concentrated sediment was then re-suspended and used to prepare samples for microscopic examination and culture. The initial step in the laboratory diagnosis of TB is the microscopic examination of AFB smears stained by an acid-fast procedure. Smears were prepared on slides within the BSC and placed on an electric slide warmer, located on the open bench, for heat fixing. It should be noted that Mtb organisms are still viable during the heat fixing stage.15 Slides were stained and microscopically examined. A definitive diagnoses of mycobacterial disease is based on standard culture methods. Two different types of media (agar-based 7H-10 plates and egg-based Lowenstein-Jensen slants) were inoculated and placed in CO2 incubators. Three to six weeks are necessary before sufficient growth is obtained to identify organisms. Specific identification is accomplished by using DNA probes and standard biochemical test methods. The remaining, unused sediment was refrigerated for future drug susceptibility testing. A BACTEC system (BACTEC® 460 TB Hood; Becton Dickinson Diagnostic Instrument Systems) was recently purchased by the laboratory; however, the system was not operating at the time of the site visit. The BACTEC system will allow for the identification and testing for drug susceptibility to be completed in approximately one to two weeks. Personal protective equipment worn by the microbiologist during specimen preparation and analysis included a double-strapped surgical mask, latex gloves, and a laboratory gown with a solid front. All potentially infectious laboratory wastes were disinfected in the autoclave located in the preparation room. Autoclaved wastes are collected by a contractor for incineration. Evaluation Methods A microbiologist was observed during the processing of samples to evaluate work practices and procedures. A walk-through survey of the laboratory and a visual assessment of the ventilation system were conducted. Smoke tubes were used to visualize the pressure relationship between the containment laboratory and adjacent areas, as well as between the three rooms of the containment laboratory. The direction of smoke was observed at each cracked doorway. Additionally, quantitative airflow measurements were collected using a Shortridge Instruments, Inc. Flowhood® Model CFM 88. Using this instrument, airflow through supply diffusers and exhaust grilles was read directly in cubic feet per minute (cfm). Measurements were obtained under the following two conditions: (1) when the fan of the BSC was on, and (2) when the fan of the BSC was off. Measurements were taken with all of the doors in the containment laboratory closed in order to simulate a
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"real-use" situation. The measured volumes of supply air were used to calculate the total number of air changes per hour (ACH) in the laboratory. Evaluationguidelines Recommendations for biosafety in microbiological laboratories are provided in the CDC and NIH document: Biosafety in Microbiological and Biomedical Laboratories (BMBL). 3 For laboratories which are handling concentrated cultures of Mtb and testing for drug susceptibility, a Biosafety Level (BSL)-3 laboratory is recommended. CDC and NIH have recommended a hierarchy of controls to prevent TB transmission in mycobacteriology laboratories. Listed in the order of importance, they include: (1) safe work practices, (2) use of containment equipment, and (3) specially-designed laboratory facilities. Utilizing a combination of these methods should reduce exposures to Mtb. These control measures are discussed below. Hierarchyof Control Measures Safe Work Practices Personnel working in laboratories must receive training in laboratory procedures (e.g., use of safety equipment, decontamination procedures, clean-up of spills, use of an autoclave, and waste disposal). The laboratory door should be kept closed at all times during the processing of samples. All activities involving potentially infectious materials must be conducted inside a biological safety cabinet (BSC). The laboratory should also prepare a biosafety manual which identifies hazards associated with processing specimens containing Mtb, and recommends procedures to minimize or eliminate the risks which are involved with these procedures. Personnel should enter the laboratory, only after they have been advised of the potential hazards related to Mtb. A biohazard warning sign should be posted on the door of the TB laboratory. The sign should include the following information: who to contact in case of an emergency, the identity of the infectious organisms present in the laboratory, requirements for the use of personal protective clothing, and any special entry requirements such as tuberculin skin testing. To minimize the transmission of Mtb, early identification and treatment of infected employees, both with and without active disease is necessary. New employees should receive a tuberculin skin test and have a chest roentgenograph performed upon initial employment. Screening for the identification of individuals with tuberculous infection is accomplished using the tuberculin skin test (Mantoux test). There are standardized guidelines for interpreting the test.16 A "two-step" test procedure is recommended by CDC for the first skin test administered to a person being enrolled in a tuberculosis surveillance system. 17 If the first test is negative, a second skin test is given one week later. If the second test is also negative, the person is considered to be free of Mtb infection and can then be enrolled in the periodic screening program (they need only receive a single skin test at each subsequent periodic screening). A formal employee tuberculin screening and follow-up program should be established in accordance with current CDC guidelines.1 In addition to identifying individuals for whom prophylactic treatment is appropriate, routine screening can also serve as a surveillance tool to identify areas where there may be an increased risk of tuberculosis transmission. If a person with a previously negative skin test converts to positive, the test should be followed by a chest x-ray to determine whether active TB has developed. 16 Results of PPD skin testing should be recorded in individual employee health records, as well as in a central file for all PPD test results. Containment Equipment Several activities have been shown to produce aerosols in the mycobacteriology laboratory.18 All culture tube samples should be sealed tightly and placed in centrifuge safety cups (safety carriers) within the BSC. Following centrifugation, the safety cups should be transported to the BSC before opening them. The Orings on the safety cups should be inspected frequently to ensure that there is an adequate seal. All contaminated supplies should be placed in a leak-proof, biohazard container then placed in an autoclave container before removal from the BSC. Biological safety cabinets (BSCs) are enclosed work stations intended to protect both the worker and the biological specimen from contamination. According to the agent summary statement in the BMBL, a Class II cabinet should be used when working with Mtb. Class II cabinets are designed to operate with an inward flow velocity of 75 - 100 linear feet per minute (lfpm) depending on the type (A or B) of BSC. Air is drawn across the cabinet face opening to prevent the escape of microorganisms. Another air stream is HEPA-filtered and moves over the specimens to protect them from external airborne contamination. All air which is exhausted passes through a HEPA filter to protect the environment and to minimize the potential for reentrainment of infectious aerosols. A listing of appropriately designed Class II BSCs, as well as performance standards are available from the National Sanitation Foundation International Standard 49. 19 The BSC should be certified at least annually, and additionally, if the cabinet is moved to another location, or if there are changes to the room's ventilation system.
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Employees should receive training on the appropriate use of the BSC which addresses actions or behaviors that could disturb the airflow patterns within the cabinet and/or at the face of the cabinet. Respiratory Protection Protective clothing should be worn to provide an additional measure of personal protection. Protective laboratory clothing, such as solid-front gowns, should be worn in the laboratory and decontaminated before being laundered. Laboratory gowns protect against splatter and minimize the back-flow of cabinet air that may travel along the arms of the worker. Gloves should be worn when handling infectious materials. Laboratories need to assess their risk of exposure when performing work with Mtb and determine the need for splatter or respiratory protection. Surgical masks and respirators offer different types of protection to the wearer. Surgical masks are designed to block outward discharges of large drops of saliva before they have had an opportunity to evaporate down to droplet nuclei. Masks also protect the face from spattered droplets; however, they are not efficiently designed filters. Surgical masks do not offer appropriate protection from the inhalation of droplet nuclei containing Mtb, due to poor face seal characteristics and potential leakage of small particles through the filter media. Respirators, however, typically afford greater protection, since the filters are more efficient, and can be fit-tested and fit-checked to ensure a tight seal to the wearer's face. A variety of manipulations of fluid suspensions of cultured Mtb in the laboratory produce aerosols in the same size range as when an individual, who has active TB, produce
