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ENVIRONMENTAL ENGINEERING,
SIXTH EDITION

Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
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ENVIRONMENTAL
ENGINEERING,
SIXTH EDITION
Environmental Health and Safety for
Municipal Infrastructure, Land Use
and Planning, and Industry

EDITED BY NELSON L. NEMEROW, FRANKLIN J. AGARDY,

PATRICK SULLIVAN, JOSEPH A. SALVATO

John Wiley & Sons, Inc.

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This book is printed on acid-free paper.

Copyright  2009 by John Wiley & Sons, Inc. All rights reserved.

Published by John Wiley & Sons, Inc., Hoboken, New Jersey.

Published simultaneously in Canada

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Library of Congress Cataloging-in-Publication Data:

Environmental engineering. Environmental health and safety for municipal infrastructure,
land use and planning, and industry / edited by Franklin J. Agardy, Patrick Sullivan.—6th ed.
p. cm.
Selected and revised from earlier work: Environmental engineering / [edited by] Joseph A.
Salvato, Nelson L. Nemerow, Franklin J. Agardy. 5th ed. 2005.
Includes bibliographical references and index.
ISBN 978-0-470-08305-5 (cloth)
1. Municipal engineering. 2. Environmental engineering. 3. City planning.
4. Environmental protection. 5. Factory and trade waste. I. Agardy, Franklin J. II.
Sullivan, Patrick J., Ph.D. III. Title: Environmental health and safety for municipal infrastructure,
land use & planning, and industry.
TD159.E56 2009
628—dc22

Printed in the United States of America

10 9 8 7 6 5 4 3 2 1
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Doctors Agardy and Sullivan would like to dedicate this sixth edition of
Environmental Engineering to Nelson L. Nemerow who passed away in
December of 2006. Dr. Nemerow was born on April 16, 1923 and spent
most of his productive years as an educator and prolific author. He spent
many years teaching at Syracuse University, the University of Miami, North
Carolina State, Florida International, and Florida Atlantic University. He
authored some 25 books dedicated to advancing the art of waste disposal
and utilization. His passion was waste minimization and the title of one of
his most recent publications, Zero Pollution for Industry, summed up more
than fifty years of teaching and consulting. A devoted husband and father,
he divided his time between residences in Florida and Southern California.
Nelson served in the United States Merchant Marine during World War II.
His commitment to excellence was second to none.
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CONTENTS

PREFACE xvii
CONTRIBUTORS xix

CHAPTER 1 INDUSTRIAL SOLID WASTES UTILIZATION AND

DISPOSAL 1
Salah M. El-Haggar
Introduction / 1
Life Cycle Assessment and Cradle-To-Cradle Concept / 4
Industrial Waste / 7
Plastics Industry / 7
Thermo Plastics / 9
Thermosets / 12
Mixed Plastic Wastes / 13
Plastic and Cork Industry / 22
Food Industry / 25
Aerobic Fermentation Process / 25
Anaerobic Fermentation Process / 29
Cement Industry / 31
Utilization through Cleaner Production Techniques / 33
Industrial Ecology Approach / 34
Recycling Opportunities / 36
Final Remarks / 39
Marble and Granite Industry / 40
Marble and Granite Waste / 42
Physical and Chemical Properties of Slurry / 43

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viii CONTENTS

Scrapes / 44
Environmental Impacts and Mitigation / 44
Metal Foundry Industry / 51
Foundry Sand / 53
Uses of Foundry Sand / 54
Iron and Steel Industry / 55
Environmental Impacts / 56
The Problem in Egypt / 58
Potential Utilization of Slag / 58
Final Remarks / 64
Waste Industry / 65
Direct Waste Recycling Industry / 66
Multiple Waste Recycling Industry / 66
Waste Exchange Network Recycling Industry / 67
Environmentally Balanced Industrial Complexes / 69
Multiple Waste Recycling Industry / 70
Mechanical Tests / 71
Environmental Tests / 73
Final Remarks / 75
Disposal of Industrial Wastes / 76
References / 77
Bibliography / 80

CHAPTER 2 RESIDENTIAL AND INSTITUTIONAL

ENVIRONMENT 83
Xudong Yang
Substandard Housing and Its effects / 84
Growth of the Problem / 84
Critical Period / 86
Health, Economic, and Social Effects / 88
Appraisal of Quality of Living / 91
APHA Appraisal Method / 91
Census Data / 96
Health, Economic, and Social Factors / 96
Planning / 96
Environmental Sanitation and Hygiene Indices / 97
Other Survey Methods / 97
Health Principles / 99
Minimum Standards Housing Ordinance / 103
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CONTENTS ix

Housing Program / 104

Approach / 104
Components of a Good Housing Program / 105
Outline of a Housing Program / 107
Solutions to the Problem / 108
Selection of Work Areas / 110
Enforcement Program / 111
Enforcement Procedures / 114
Housing Form Paragraphs for Letters / 118
Structural Safety / 119
Incomplete Bathroom / 119
No Hot Water / 119
Leaking Water Closet / 121
Floors Not Water Repellent / 121
Exterior Paint Needed / 123
Rotted and Missing Siding / 123
Sagging Wall / 123
Loose Plaster / 124
Leaking Roof / 124
No Gutters or Rain Leaders / 124
No Handrails / 125
Lead Paint / 125
Refuse in Attic / 125
Water-Closet Flush Tank Not Operating Correctly / 125
Garbage Stored in Paper Box or Bag / 125
Dilapidated Garbage Shed / 125
Debris in Yard or Vacant Lot / 126
Dirty Apartment / 126
Overcrowded Sleeping Room / 126
No Window in Habitable Room / 127
Unlawful Third-Floor Occupancy / 127
Unlawful Cellar Occupancy / 127
Clogged Sewer / 127
Unvented Heater / 127
Furnace Flue Defective / 128
Rubber-Hose Gas Connection / 128
Rat Infestation / 128
Roach Infestation / 128
Overflowing Sewage Disposal System / 128
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x CONTENTS

Improperly Protected Well-Water Supply / 129

Major Repairs / 129
Minor Repairs / 129
Obtain at Least Three Estimates / 129
Plumbing / 129
Plumbing Code / 129
Backflow Prevention / 134
Indirect Waste Piping / 137
Plumbing Details / 137
Indoor Air Quality / 137
Causes and Sources of Indoor Air Pollution / 137
Biological Contaminants and Health Effects / 140
Other Contaminants / 141
Ventilation / 147
Respiratory Illness Control / 150
Venting of Heating Units / 151
Mobile Home Parks / 154
Institution Sanitation / 155
Institutions as Small Communities / 155
Hospitals and Nursing Homes / 156
Hospital and Related Wastes / 160
Schools, Colleges, and Universities / 163
Correctional Institutions / 163
Environment Inspection and Report Outline / 167
Day-Care Centers / 169
References / 169
Bibliography / 174

CHAPTER 3 SOLID WASTE MANAGEMENT 177

George Tchobanoglous
Definition of Terms / 178
Integrated Waste Management / 180
Source Reduction / 180
Recycling and Composting / 182
Combustion (Waste-to-Energy) / 183
Landfills / 183
Implementing Integrated Solid Waste Management / 184
Sources, Characteristics, and Quantities of Solid Waste / 185
Sources of Solid Waste / 185
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CONTENTS xi

Characteristics of Solid Waste / 185

Commercial and Household Hazardous Waste / 189
Construction and Demolition Debris / 192
Special Wastes Collected Separately / 193
On-Site Handling and Storage / 195
Low-Rise Residential Areas / 196
Low- and Medium-Rise Apartments / 198
High-Rise Apartments / 198
Commercial and Institution / 199
Solid Waste Collection / 199
Type of Service / 199
Collection Frequency / 199
Types of Collection Systems / 202
Personnel Requirements / 204
Health Issues / 207
Transfer and Transport / 209
Economic Analysis of Transfer Operations / 209
Types of Transfer Stations / 210
Vehicles for Uncompacted Wastes / 211
Transfer Station Siting Issues / 213
Waste Reduction and Materials Recovery / 213
Waste Reduction / 214
Materials Recovery and Recycling / 217
Processing Technologies for the Recovery of Materials / 218
Implementation of Materials Recovery Facilities / 218
Technical Considerations in the Planning and Design
of MRFs / 224
Composting / 225
Uses of Compost and Constraints to Its Use / 229
Composting Process / 230
Composting Technologies / 232
Compost Process Design and Operational
Considerations / 236
Issues in the Implementation of Composting Facilities / 239
Health Hazards / 240
Sanitary Landfill Planning, Design, and Operation / 242
Sanitary Landfill Planning / 242
Sanitary Landfill Methods / 246
General Landfill Design Issues / 251
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xii CONTENTS

Leachate Generation, Control, and Treatment / 252

Landfill Gas Generation, Control, and Recovery and
Utilization / 258
Management of Surface Waters / 263
Landfill Mining / 267
Landfill Facilities and Equipment for Disposal by
Sanitary Landfill / 268
Landfill Operation and Supervision / 274
Summary of Recommended Operating Practices / 276
Site Closure or Conversion / 278
Incineration / 279
Description of Operation of MSW Incinerator / 279
Combustion Products and Residues / 281
Types of Incinerators (Combusters) / 283
Control of the Incineration Process / 286
Residue Management / 287
Site Selection, Plant Layout, and Building Design / 289
Issues in the Implementation of Incineration Facilities / 290
Hazardous Wastes / 292
Definition of Hazardous Waste / 292
Legislation / 293
Generation of Hazardous Waste / 296
Hazardous Waste Management / 300
References / 305
Bibliography / 307

CHAPTER 4 AIR POLLUTION AND NOISE CONTROL 309

Robert Jacko and Timothy La Breche
Air Pollution / 309
Health Effects / 310
Economic Effects / 311
Effects on Plants / 314
Effects on Animals / 315
Aesthetic, Climatic, and Related Effects / 315
Sources and Types of Air Pollution / 320
Manmade Sources / 321
Natural Sources / 321
Types of Air Pollutants / 325
Sampling and Measurement / 326
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CONTENTS xiii

Particulate Sampling—Ambient Air / 327

Gas Sampling / 329
Smoke and Soiling Measurement / 331
Stack Sampling / 332
Measurement of Materials’ Degradation / 333
Environmental Factors / 333
Meteorology / 334
Topography / 338
Air Pollution Surveys / 340
Inventory / 340
Air Sampling / 341
Basic Studies and Analyses / 341
Ambient Air Quality Standards / 342
Federal Standards / 342
Clean Air Act of 1990 / 345
Clean Air Act Amendments of 1997 / 346
Pollutant Standards Index (PSI) / 347
Controls / 347
Source Control / 347
Emission Control Equipment / 351
Particulate Collectors and Separators / 351
Gaseous Collectors and Treatment Devices / 357
Dilution by Stack Height / 358
Planning and Zoning / 360
Air Quality Modeling / 361
Program and Enforcement / 363
General / 363
Organization and Staffing / 365
Regulation and Administration / 365
Noise Control / 367
Definitions and Explanation of Selected Terms and
Properties of Sound / 367
Effects of Noise—A Health Hazard / 375
Sources of Noise / 376
Measurement of Noise / 377
Methods for Noise Control / 378
Control of Industrial Noise / 380
Control of Transport Noise / 381
Noise Reduction / 381
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xiv CONTENTS

Federal Regulations / 384

State and Local Regulations / 387
References / 388
Bibliography / 391
Air Pollution / 391
Noise Control / 393

CHAPTER 5 SURVEYING AND MAPPING FOR

ENVIRONMENTAL ENGINEERING 395
Kurt W. Bauer
Introduction / 395
Importance of Maps / 396
Basic Definitions and Concepts / 396
Foundational Elements for Creation of Maps / 396
Map Projections / 398
Tangent Plane Projection / 398
Lambert Projection / 399
Mercator Projection / 401
Transverse Mercator Projection / 401
Other Projections / 401
The State Plane Coordinate System / 402
Survey Control Networks / 402
The National Geodetic Survey Control System / 403
U.S. Public Land Survey System / 405
Map Requirements for Planning and Environmental
Engineering / 407
Desirable Control Survey and Mapping System / 409
Applications of Mapping System / 410
Flood Hazard Area Mapping / 416
Wetland Area Mapping / 416
Public Works Management Information System / 419
Sanitary Sewerage System Attribute Data / 421
Survey Methods / 426
Bibliography / 428

CHAPTER 6 PLANNING AND ENVIRONMENTAL

ASSESSMENT 429
Kurt W. Bauer
Introduction / 429
Definition of Terminology / 430
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CONTENTS xv

Criteria for Good Planning / 431

Institutional Structure for Urban Planning / 432
The Comprehensive Plan / 433
The Planning Process / 437
Definition of Planning Area / 438
Inventory and Analysis / 438
Formulation of Objectives and Standards / 443
Identification of Development Requirements / 443
Development and Evaluation of Alternative Plans / 444
Plan Selection and Adoption / 444
Plan Implementation and Policy Development / 445
Public Works Development Process / 447
Outline for a Sewerage Facilities Planning Report / 447
Outline for a Stormwater Management Facilities
Planning Report / 453
Outline for a Water Supply Facilities Planning Report / 460
Public Participation / 465
Continuing Nature of Comprehensive Planning Process / 466
Project Planning / 467
Site Planning / 469
Introduction / 469
Site Selection / 470
Site Assessment / 471
Generally Desirable Site Features / 472
Site Inventory / 473
Improvements Needed / 478
Site Design / 478
Land Subdivision / 480
Subdivision Design / 482
Site Selection and Assessment / 484
Alternative Subdivision Design Types / 486
Utility Services / 492
Fiscal Analysis / 494
Program Planning / 494
Operational Planning / 496
Public Health Element of Comprehensive Plan / 497
Role of Engineering / 502
Environmental Assessment and Impact Statements / 503
Environmental Impact Analysis / 505
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xvi CONTENTS

National Environmental Policy Act (NEPA) / 505

Terminology / 506
Scoping / 508
Recommended Format for Environmental Impact
Statement / 509
Content of an Environmental Impact Statement / 510
Selection and Analysis of Alternatives / 514
Comprehensive Assessment / 515
Bibliography / 524
INDEX 525
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PREFACE

Today’s scientists, engineers, public health workers and physicians face chal-
lenges which were predicted, but certainly not expected to emerge this soon and
to the magnitude presently occurring. The problems and proposed solutions in this
volume cover a broad spectrum of issues including industrial and domestic solid
wastes, air pollution and associated global warming, noise pollution and housing.
Many engineering elements go into developing solutions to these problems
including the need for more detailed mapping and surveying, developing
improved housing codes, including the development of more eco-friendly
building materials and greater emphasis on conservation. Issues such as site
planning and associated environmental assessments now play a major role in
virtually all proposed developments.
New technologies and approaches are constantly evolving and are being imple-
mented in greater scale that ever before. Old landfills are being mined for fuel
(gasses), new landfills are designed to prevent waste materials from migrating to
groundwater, and new approaches to waste incineration focus on energy recovery
and conversion of waste materials into usable materials.
In many developed communities, noise pollution has been identified as a major
problem and one sees more and more barriers constructed to suppress noise.
Going a step further, home construction codes have lead to the development of
materials for construction which are not only more eco-friendly but act as a much
improved barrier to both noise and heat transfer.
As the earth’s population grows, problems of food, water, land, housing, san-
itation, medical care and global warming, to name a few, continue to place new
challenges on the engineering community. The question always uppermost in our
minds is “Are we able to cope?” The answer lies in the knowledge of engineers
and the resources necessary to not only meet these challenges, but to address
them head on and develop appropriate solutions. This text should help engineers
and scientists meet these challenges.

Franklin J. Agardy
Patrick Sullivan
Nelson Nemerow

xvii
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CONTRIBUTORS

KURT BAUER, PE, RLS, AICP Southeastern Wisconsin Regional Planning

Commission, Waukesha, Wisconsin, kwbauer@sewrpc.org
SALAH M. EL-HAGGAR Professor of Energy and Environment, Mechanical
Engineering Department, The American University of Cairo, Cairo, Egypt,
elhaggar@aucegypt.edu
ROBERT JACKO Department of Civil Engineering, Purdue University, West
Lafayette, Indiana, jacko@ecn.purdue.edu
TIMOTHY LA BRECHE Department of Civil Engineering, Purdue University,
West Lafayette, Indiana
GEORGE TCHOBANOGLOUS, Ph.D. Professor Emeritus of Civil and Envi-
ronmental Engineering, University of California at Davis, Davis, California,
gtchobanoglous@ucdavis.edu
XUDONG YANG Chang-Jiang Professor, Department of Building Science,
Tsinghua University, Beijing, China, xudongy@miami.edu

xix
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CHAPTER 1

INDUSTRIAL SOLID WASTES

UTILIZATION AND DISPOSAL
SALAH M. EL-HAGGAR
Mechanical Engineering Department, The American University in Cairo,
Cairo, Egypt

INTRODUCTION

There are a lot of definitions for the word industry. The most generic definition
is, “An organized manmade activity that provides goods and services essential
for maintaining and developing human life.” As much as there is diversity in
human needs and activities, there is also a great diversity in industry. North
America Industrial Classification System (NAICS) has classified industries into
the following industrial sectors according to their activities:

• Agriculture, forestry, fishing, and hunting

• Mining
• Utilities
• Construction
• Manufacturing
• Wholesale trade
• Retail trade
• Transportation and warehousing
• Information
• Finance and insurance
• Real estate and rental and leasing
• Professional, scientific, and technical services
• Management of companies and enterprises
Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry 1
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
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2 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

• Administrative and support and waste management and remediation Services

• Educational services
• Health care and social assistance
• Arts, entertainment, and recreation
• Accommodation and food services
• Other services (except public administration)
• Public administration

Another approach to classifying industries in different Asian and African

countries is by their potential environmental impact according to three differ-
ent categories. The three main categories are white-list industries, “category A,”
gray-list industries, “category B,” and black-list industries, “category C.”
White-list industries/projects/establishments have minor environmental
impacts. They include the following:

• Textile factories, excluding dying unit and located in approved industrial

sites
• Leather and shoe factories situated in approved industrial sites without
tanneries
• Rubber and plastic factories situated in approved industrial sites
• Smokehouses producing small quantities (500 Kg or less) of foodstuff
per day
• Very small wastewater treatment plants with a capacity of 1,000 person
equivalent or less
• The expansion or modification of an existing road that would be immediately
carried out to lengthen the road or widen it by 15 percent or less
• Breweries, malt houses, and mineral-water factories situated in approved
industrial sites

Gray-list projects or industries for establishments might result in substantial

environmental impacts. They include the following:

• Iron foundries and nonferrous metal foundries

• Engine works and machine shops
• Manufacture and assembly of motor vehicles
• Cleaning establishments and commercial operated laundries
• Tanneries with a production of 1 million square feet/year or less
• Pharmaceutical and chemical factories
• Small wastewater treatment plants with a capacity ranging from 1,000 person
equivalent to 1 million person equivalent, etc.

Black-list projects or industries for establishments have severe potential

impacts. These include the following:
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INTRODUCTION 3

• Iron and steel works with production greater than 150 metric tons/day
• Cement works using dry process and lime works with high capacity
(100 metric tons/hour and above)
• Mining minerals in new areas where the mining excesses a total area of
1,500 acre land
• Pesticide manufacturing plants
• Pulp and paper production
• Lead smelters
• Oil and gas fields development, production, and exploration

A third approach to classify industries into two major sectors: the primary
sector and the secondary sector. The primary sector of industry is responsible for
converting the natural resources into primary products. The major types of indus-
tries that are considered to be primary industry are agricultural industry, mining,
fishing, and forestry. Those types of industry prepare the raw material for other
industries. The secondary industries take the output of the primary industries and,
through processing, manufacturing, and construction provide a finished product
ready to be used by the consumer. The secondary sector can be further clas-
sified into heavy industries and light industries. Heavy industries include iron
and steel industries, marble and granite industries, petroleum and petrochemical
industries, industrial equipments, and cement industry. Light industries include
textile, clothing, food (including sugar and dairy), oil and soap, chemical and
pharmaceutical, pulp and paper, metal finishing, furniture, fertilizers, tanning,
electronics, and telecommunication industries.
Whatever the methodology utilized to classify industries within the industrial
sector, the most important concern here is that these classifications are usually
done to assemble companies into common groups that reflect shared markets and
products or to reflect their degree of impact on the environment so that more
control or waste utilization could be achieved.
Industry has been an open system of materials flow. People transformed natural
materials such as plants, animals, and minerals into tools, clothing, and other
products. When these materials were worn out, they were dumped or discarded,
and when the refuse buildup bothered the habitants, they simply relocated it,
which was easy to do at the time due to the small number of habitants and the
vast areas of land.
An open industrial system—one that takes in materials, energy and water,
creates products and waste materials and then throws most of these—will prob-
ably not continue indefinitely and will have to be replaced by a different sys-
tem. This system would involve, among other things, paying more attention to
where materials end up, and choosing materials and manufacturing processes
that generate a more circular flow through recycling concept. Until today, indus-
trial societies have attempted to deal with pollution and other forms of waste
largely through pollution control, treatment, or disposal regulations according
to life cycle assessment (LCA), following the concept of cradle-to-grave shown
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4 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Cradle to Grave
Extraction and
Manufacturing Packaging Marketing Final disposal
processing of Recycling
processes systems activities system
raw materials

FIGURE 1.1 Traditional life cycle assessment.

in Figure 1.1. Although the “depletion of natural resources” strategy has been
partially successful, the high capital and running costs, as well as the depletion of
natural resources, cause it to be “unsustainable.” Consequently, LCA should be
based on the cradle-to-cradle concept, not cradle-to-grave concept, for industrial
activities for conservation of natural resources.1 The goals of any industry must
include the preservation and improvement of the environment, as well as the
conservation of natural resources. With industrial activities increasing all over
the world today, new ways must be developed to make large improvements in
our industrial interactions with the environment.
Industrial development/modernization is characterized by two main trends.
The first is the establishment of new technologically competitive industries, and
the second is the expansion and renovation of existing industries to increase their
productivity. Industrial modernization is characterized by implementing cleaner
production techniques to approach industrial ecology and reach cradle-to-cradle
concept.1 Industrial development and industrial modernization require establish-
ing a good management system within an existing establishment such as an
environmental management system or ISO 14001 to be able to approach cradle-
to-cradle.
The new strategy for conservation of natural resources according to the
cradle-to-cradle concept discussed in this chapter will help the developing coun-
tries to develop new job opportunities and reduce the cost of products as well as
protecting the environment without any further burden to the investors. As for
developed countries, this will help them conserve the natural resources so they
can stop searching for more and more suitable sites for landfills. According to
the Japan Environmental Agency, Japan currently consumes 1,950 million metric
tons/year of natural resources and imports 700 million metric tons/year from
overseas.2 A total of 450 million metric tons of waste (industrial and municipal)
are generated per year. Over 60 percent of this waste is either incinerated or
landfilled. Current estimates predict that remaining landfill capacity will be
exhausted by 2007. As a result, Japan’s government has created a comprehensive
program for achieving a recycling economy through a series of laws such as the
Basic Law for Promoting the Creation of a Recycling Oriented Society and the
law for the Promotion of Effective Utilization of Recycled Resources.

LIFE CYCLE ASSESSMENT AND CRADLE-TO-CRADLE CONCEPT

Life cycle assessment (LCA) is one of the very important tools to evaluate
the environmental impacts associated with any given industrial activity, from
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LIFE CYCLE ASSESSMENT AND CRADLE-TO-CRADLE CONCEPT 5

the initial gathering of raw materials from the earth to the point at which all
residuals are returned back to the earth, or cradle-to-grave. LCA results will not
be promising for industrial activities that are based on a cradle-to-grave flow of
materials. Unfortunately, most manufacturing processes since the Industrial Revo-
lution began are based on a one way, cradle-to-grave flow of materials—starting
with the extraction of raw materials, followed by processing, producing, and
marketing of the goods, then utilization by consumers, and finally, disposal of
waste generation, as shown in Figure 1.1.3 The technological advancements in
manufacturing processes and the constantly increasing variety of materials and
products have led to a continuous rise in the amounts of waste generated. The
cradle-to-grave flow of materials has proven to be just enough to protect the
environment if proper and efficient disposal facilities are used. In developing
countries, however, improper environmental design and operation of the disposal
facility usually cause severe ecological impact as well as depletion of natural
resources.
LCA helps identify the impact of the product on the environment throughout
its life cycle. The main components of LCA should include the identification and
quantification of not only the waste generated through the entire life cycle but
also the raw materials and energy requirements throughout the entire life cycle
and their environmental impacts.
A lot of work has been done to develop methodologies, guidelines, and bene-
fits for LCA according to the cradle-to-grave concept to protect the environment
throughout the life cycle of the product. The International Organization for
Standardization (ISO) has develop a series of international standards to cover
LCA in a more global sense, such as ISO14040 (LCA—Principles and Guide-
lines), ISO14041 (LCA—Life Inventory Analysis), ISO14042 (LCA—Impact
Assessment), and ISO14043 (LCA—Interpretation). All ISO 1404Xs that are
related to LCA are based on cradle-to-grave approach for environmental pro-
tection. It is time now to change the LCA-ISO standard from cradle-to-grave to
cradle-to-cradle to protect not only the environment but also the natural resources.
LCA is a very important tool to guarantee that there are no harmful impacts on
the environment, starting from extracting the raw material (cradle) all the way to
the final disposal in a landfill (grave). In other words, the product’s design should
be selected, in part, according to safe disposal process. This process protects
the environment but will deplete the natural resources. By contrast, under a
cradle-to-cradle concept, the product’s design would be such that materials could
be reused or recycled, no wastes would get produced or would be recycled, and
accordingly, no negative impacts on the environment would get generated within
the closed loop of life cycle of the product, as shown in Figure 1.2. This can
be achieved by having industries change their products from a cradle-to-grave
design, where the product will eventually get disposed of in a landfill at the end
of its life, to a cradle-to-cradle design, where the materials are circulated in a
closed loop without losing any natural resources. The environmental and health
impacts—as well as the consequences of depleting the natural resources as a
result of using traditional treatment, incineration and/or final disposal through
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6 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Other industry

Extraction of
raw materials

Reuse and
Processing of
recycling of
raw materials
products

Cradle to Cradle

Transportation Packaging of
and marketing raw materials
systems and products

FIGURE 1.2 New life cycle analysis based on the cradle-to-cradle concept.

landfill—are becoming more dangerous, and making sustainable development a

more urgent need. Establishing or approaching a new LCA based on the concept
of cradle to cradle instead of cradle to grave by a full utilization of raw material,
water, and energy is a must for sustainable development.4
Braungart and McDonough [2002] proposed a shift from a cradle-to-grave
approach where waste products are disposed of in a landfill to a cradle-to-cradle
approach, where waste can be used for the production of other products. They
recommended the “eco-effective” recycling approach to enable material reuse
with high quality. They added that combining different materials in one product
prevents the products from being fully recycled. Accordingly, product designers
need to plan for the reuse of their products in order to prevent waste generation.
This shift in a product’s design approach will require an added responsibility to
the producer—extended producer responsibility, or EPR—to be able to recycle
the products after its lifetime.
The cradle-to-cradle concept promotes sustainable development in a practical
approach, as will be discussed throughout this chapter. It is a system of thinking
based on the belief that human endeavors can emulate nature’s elegant system
of safe and regenerative productivity, by transforming industries to sustainable
enterprises and eliminating the concept of waste.
Natural ecosystems are based on principles that can be adopted by humans in
industry. For example, no waste generation—in natural ecosystems, an organ-
ism’s waste is consumed by others. This can be applied in industry such that one
industry’s wastes are another’s raw material. Industrial ecology will be discussed
later in this chapter. This is the fundamental concept of eco-industrial parks,
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PLASTICS INDUSTRY 7

where industries are grouped together to have a continuous flow of material

and no waste generation, as in the case of eco-industrial park in Kalundborg,
Denmark, and other places worldwide.
Adopting cradle-to-cradle principles creates a cyclical flow of materials, as
opposed to the one-way cradle-to-grave concept. The materials consumed in
industry resemble the nutrients that flow cyclically in natural ecosystems and can
circulate in one of two metabolisms, biological or technical.
According to the cradle-to-cradle concept, products would be made of mate-
rials that can be safely manufactured, used, recovered, and reused, while still
maintaining their high value throughout their life cycle. This way, valuable used
material can be continuously cycled in closed loops and transformed for reuse
as other products. By applying the principle of cradle-to-cradle design and trans-
forming industrial systems to a closed-loop system of material flow, not only will
this design save the environment from waste generation and negative impacts,
but industries can even benefit from the continuous availability of products made
of high-value material even after the end of the product’s lifetime.

INDUSTRIAL WASTE

The most common industrial wastes generated from industrial sectors are pack-
aging materials using plastic and paper from almost all industrial sectors, organic
wastes from food and other industries, dust from the cement industry and the mar-
ble and granite industries, glass culets from almost all industries, slag and foundry
sand wastes from smelters or foundries, and waste from iron and steel industries.
Closing the loop for sustainable industrial waste management (SIWM) is very
important for national development. SIWM means all components within the
industrial wastes should be recycled in order to reach the cradle-to-cradle ideal
for industrial waste management. This might require development of innovative
recycling techniques through universities or research centers or added regulations
on producers, such as extended producer responsibility (EPR) to design the prod-
ucts for recyclability. The cradle-to-cradle approach is new worldwide but has
been implemented with success at The American University in Cairo (AUC) for
most types of wastes, as will be discussed in this chapter.1

PLASTICS INDUSTRY

Plastics have played a very significant role in industrial development since their
invention. If we take a look around us, we will discover that most tools, acces-
sories, packaging, and equipment are made out of plastic, as shown in Figure 1.3.
Some of these products have a very short life cycle and are highly consumable.
Others might have longer life cycle. These products are used frequently and, in
most cases, are then discarded and turned to wastes. Recycling of plastics has
become a great industry throughout the world because of its effectiveness and
high profits.
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8 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Mechanical Medical
engineering 2%
Toys/sports Footwear
2% 1%
3%
Other
3%

Agriculture
7% Packaging
35%
Transportation
8%

Furniture/housewares
8%

Electrical and
electronics
8% Building and
construction
23%

FIGURE 1.3 Uses of plastics by industry. (Source: R. J. Crawford, Plastics Engineer-

ing, 3rd ed. (Oxford: Butterworth–Heinemann, 1998).)

Even though plastics have a variety of benefits, they are detrimental to the
environment. Many of the environmental impacts associated with the production
and manufacturing of plastics include the fact that plastic production consumes
a large amount of energy and materials, primarily fossil fuel, which, when com-
busted, emits toxins into the air. It is estimated that 4 percent of the world’s
annual oil production is used as a feedstock for plastics production and an addi-
tional 3-4 percent is used during manufacture.5 Plastics production also involves
the use of potentially harmful chemicals, which are added as stabilizers or col-
orants. Many of these have not undergone environmental risk assessment, and
their impact on human health and the environment is currently uncertain.5 An
example of this is phthalates, which are used in the manufacture of polyvinylchlo-
ride (PVC). PVC has in the past been used in toys for young children, and there
has been concern that phthalates may be released when these toys come into con-
tact with saliva, if the toy is placed in the child’s mouth or chewed by the child.
Risk assessments of the effects of phthalates on the environment are currently
being carried out.5 Other environmental impacts of plastics include the extensive
amount of water that is needed in manufacturing. Also, the numerous plastic bags
that are dispersed as litter in urban areas have also become a plaguing concern.
Due to the magnitude of the problem associated with plastic waste, this section
focuses on methods and mechanisms to reduce this problem for the betterment
of the environment and our lifestyles. A different study concluded that 1.8 metric
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PLASTICS INDUSTRY 9

tons of oil are saved for every metric ton of recycled polythene produced.5 The
benefits of recycling plastics are numerous, and thus should be investigated and
utilized to the fullest extent.
There are numerous benefits to the recycling of plastics:

• Reduce water usage by 90 percent.

• Reduce CO2 emissions by two and a half times.
• Reduce energy consumption by two-thirds.5

Plastic is divided mainly into two types: thermo plastics and thermo sets.
Each type has its own manufacturing processes and its own characteristics.
Most of the plastics are considered thermo plastics and can be recycled eas-
ily without any problems such as polypropylene (PP), Polyethylene terephthalate
(PET), high-density polyethylene (HDPE), low-density polyethylene (LDPE), and
polyvinyl chloride (PVC). The other type of plastics is called thermo sets. This
type is difficult to recycle due to its chemical composition. As a result, products
from this type of plastics are discarded. These include melamine, epoxy, phe-
nolics, and alkyds. It is worth mentioning that most thermo sets have excellent
mechanical properties rather than thermo plastics. Thus, it is considered a total
loss and waste of energy if these wastes are not recycled.

Thermo Plastics
Most thermo plastics can be recycled; however, there are four types of thermo
plastics that are commonly recycled due to their high percentage of usage.
Figure 1.4 shows the distribution and the amount of the plastic materials to be

Plastics Produced/Plastics Recycled

Amount Produced Amount Recycled

PETE 1700 350

HDPE 4120 410

PVC 1230 0

LDPE 5010 110

PP 2580 130

PS 1990 30

OTHER 3130 30
0 1000 2000 3000 4000 5000 6000
In thousands of metric tons

FIGURE 1.4 Amount of thermo plastics produced and recycled in the United States.
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10 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

recycled every year in the United States. These recyclable materials are arranged
from the most frequently used to the least frequently used as follows:

• Polyethylene (PE): it includes high and low density polyethylene

• Polypropylene (PP)
• Polystyrene (PS)
• Polyvinyl chloride (PVC)

Plastic recycling is still a relatively new and developing field of recycling.

The postconsumer items made from PET and HDPE resins have found reliable
markets within the United States, Asia, and Africa. Applications for recycled
plastics are growing every day. Plastic waste can be blended with a certain
percentage to virgin plastic to reduce cost without sacrificing properties. Recycled
plastics are used to make polymeric timbers for use in picnic tables, fences, and
outdoor toys, thus saving natural resources.
About 35 to 50 percent of the total volume of plastic wastes is in the form of
packaging wastes, as shown in Figure 1.3. Once rejected, plastics packages gets
contaminated and reuse creates a more serious problem, which is the so-called
commingled plastics, affecting, in return, the properties of the new recycled
products.6
The recycling of thermoplastics, or plastics, can be accomplished easily with
high revenue. Each type of plastic must go through a different process before
being recycled. Hundreds of different types of plastics exist, but 80 to 90 percent
of the plastics used in consumer products are (1) PET (polyethylene tereph-
thalate), (2) HDPE (high-density polyethylene), (3) PVC (polyvinyl chloride),
(4) LDPE (low-density polyethylene), (5) PP (polypropylene), (6) PS (poly-
styrene), and (7) others (such as vinyl), as shown in Figure 1.5.
Plastics can be recycled mechanically or chemically. Chemical recycling can
solve the problem of composites better than mechanical recycling.7 Each one has
its own pros and cons for recycling plastics. So, it is very important to decide
which techniques will be selected according to the type of waste and the prod-
uct(s) produced. Mechanical recycling is the most famous recycling technique
because of its simplicity to use and ability to be handled by anyone. Mechanical
recycling involve a number of processes such as cleaning, sorting, cutting, shred-
ding, agglomeration, pelletizing, and finally reprocessing by injection molding,
blowing, or extrusion according to the required products. A simplified schematic
diagram for plastic recycling process is shown in Figure 1.6.
Recycled PET has many uses, and there are well-established markets for this
useful resin. By far, the largest usage is in textiles. Carpet manufacturing com-
panies can often use 100 percent recycled resin to manufacture polyester carpets
in a variety of colors and textures. PET is also spun like cotton candy to make
fiber filling for pillows, quilts, and jackets. PET can also be rolled into clear
sheets or ribbon for audiocassettes. In addition, a substantial quantity goes back
into the bottle market. China is currently using it in the manufacturing process
of fiberoptics.
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PLASTICS INDUSTRY 11

1
7
PET
Other (polyethylene terephthalate)
(including multi-layer)

HDPE
(high-density polyethylene)
6

PS
(polystyrene)

5 PVC
(polyvinyl chloride)
PP
(polypropylene)
4

LDPE
(low-density polyethylene)

FIGURE 1.5 Coding of thermoplastics.

Some common end uses for recycled HDPE are plastic pipes, lumber, flow-
erpots, trashcans, or nonfood application bottles. Some end uses for recycled
LDPE are plastic trash bags and grocery sacks, plastic tubing, agricultural film,
and plastic lumber.
There are mainly three stages needed to recycle plastics. The initial stage,
where the wastes are collected, sorted, separated, and cleaned, is labor intensive,
requiring little capital investment and relatively no technical skills. Automating
this stage requires high capital and might not be economically visible to be able
to continue with recycling. Careful attention of this process is very important to
guarantee the economics of recycling. It is always recommended to use plastic
coding system shown in Figure 1.5 to sort plastic easily and to enhance the prop-
erties of recycled plastic. The second-stage, preprocessing, is where the collected
wastes are being prepared for processing. In this stage, the wastes are reduced
in size by undergoing cutting, shredding, and agglomeration. The final stage is
the processing stage, where mixing, extrusion, blowing, injection, and product
manufacturing takes place. All types of thermo plastics can be recycled if they
are sorted and properly cleaned, as shown in Figure 1.6.8
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12 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Plastic waste

Preprocessing

Washing
process

Agglomeration Shredding

Washing
process

Pelletizing

Injection
Film/blowing Hose/extrusion
molding
machine machine
machine

FIGURE 1.6 Process flow diagram for plastic recycling.

Thermosets
Thermosets are the second type of plastic products. Thermosets are formed by aid
of the thermo plastics polymers when they covalently bonded to form chains that
are interconnected and cross-linked to each other, and they differ from thermo
plastics in that once they are formed with the aid of heat or pressure, they cannot
be shaped or remelted again. The chain or the cross-link that forms the thermo
sets occurs by the aid of some chemical reactions or due to heating or adding of
a catalyst. The chemical reactions that are involved in producing the product are
not reversible, and that’s why it is so hard to reform it again. Once the product
is converted from a liquid state to a solid state, it will be referred to as cure.
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PLASTICS INDUSTRY 13

TABLE 1.1 Mechanical Properties for Thermosetting Plastics

Material Tensile Tensile Compressive Yield

Strength Modulus Strength Strength
103 PSI 105 PSI 103 PSI 103 PSI

Epoxy 1–3 30–35 25–40 10–60

Unsaturated Polyester 4–50 7–9 15–50 10–80
Phenolics 4–9 16–20 10–40 5–12
Urea formaldehyde 5–13 10–15 25–40 10–18
Melamine 5–13 11–24 20–45 9–23
Alkyds 3–9 5–30 12–38 6–20

It is considered the last step in polymerization. The structure of all thermo sets
looks like a network. All the molecules are permanently cross-linked together
in a 3D network. This structure makes all thermo sets products maintain their
high strength and hardness in relatively high temperatures. In addition, they have
high chemical and creep resistance. Table 1.1 shows some of the mechanical
properties of thermo sets materials.

Mixed Plastic Wastes

The unrecyclable mixed “different types” plastic waste “plastic rejects” can be
collected and sorted into three groups (according to the technology used for size
reduction): rigid thermoplastics, thin film thermoplastics, and thermo sets, as
shown in Figure 1.7. The plastic rejects can be produced as a result of sorting
and screening of mixed solid waste to separate organics from inorganic waste.

FIGURE 1.7 Mixed plastic waste.

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14 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

The rejects might have some nonplastic waste, such as glass culets. The first
step to recycle plastic rejects is to reduce the size so it can be mixed with other
additives and produce a homogeneous mixture.
The size of rigid plastic can be reduced using horizontal axis shredders shown
in Figure 1.8, while thin film plastics such as black plastic bags used for trash can
be agglomerated using a vertical axis agglomerator machine shown in Figure 1.9
to reduce their sizes. Thermo sets can be crushed using a ball mill, shown in
Figure 1.10.
Melamine, the most common type of thermo sets, will be used as an example
of thermo set. It is usually found in a form of plates, cups, and other products.
In order to recycle Melamine, it must be changed from the rigid forms into a
powder form as to be mixed with the thermo plastics. Changing the Melamine
into powder can be done through the ball mill machine shown in Figure 1.10.
The rigid thermo plastic waste is fed into a shredder shown in Figure 1.8
for size reduction and then cleaning with caustic soda in a warm-water bath
after shredding. The shredder consists of a horizontal drum with four rotating
blades opposite to stationary blades shown in Figure 1.8. The shredded plastics
pass through a grid into a collecting tray. The sizes of shredded plastics range
between 5 to 10 mm in size according to the grid used. The shredded plastics
are collected in bags or containers to be further reprocessed or sold. The end
products of shredding are irregularly shaped pieces of plastic, depending on the
required final product and the type of industry that will use it.

FIGURE 1.8 Shredding “crushing” machine.

 PLASTICS INDUSTRY 15

FIGURE 1.9 Agglomeration machine.

FIGURE 1.10 Ball mill machine.

16 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Shredders can also be used for plastics films, bags, and sheets to be shredded
into small pieces, but the energy consumption is more and the produced capacity
is less. So, it is recommended to use an agglomerator that cuts, preheat, and dry
the plastics into granules. The agglomerator will increase the material’s density
and quality, which will end up with a continuous flow in the extruder and hence
better efficiency. In the process of agglomeration, heat is added indirectly through
friction between plastic film and the rotating blade located at the bottom of the
agglomerator, shown in Figure 1.9. It is therefore important to rapidly cool the
plastic film to obtain the crumb shape desired. This is achieved through adding
a small cup of water.
The ball mill machine used to crush thermo sets consists of an electric motor
with a gearbox to make speed reduction down to 40 revolutions per minute. The
motor is connected with a pulley to translate the motion through a belt to another
pulley, which is connected to the shaft. The shaft carries a cylindrical drum in
which the melamine or other form of thermo sets is inserted. The drum is welded
to the shaft and the shaft is carried by two bearings at both ends of the shaft as
shown in Figure 1.10. The balls within the ball mill machine will convert the
thermo sets into powder by the gravitational force of the balls. Therefore, the
particle size of the powder can be controlled through the number of balls, ball
shape, and the time the machine will operate.
The recycling system for mixing plastic wastes as shown in Figure 1.11 con-
sists of a volume-reduction step to reduce the size using agglomerator to cut
the plastic bags into small pieces (granules), shredder to cut the rigid plastic into
small pieces, and/or ball mill to crush the thermo sets. After the volume-reduction
step, a mixture of the three with a certain percentage will be used with some
additives to adjust the properties and appearance and heated indirectly to 140◦
to 240◦ C depends on the mixture and required applications. The indirect heating
process occurs in an indirect heating furnace shown in Figures 1.12 and 1.13.
Figure 1.12 demonstrates the vertical axis mixing and heating furnace. Figure 1.13
illustrates the horizontal axis mixing and heating furnace. Both designs guaran-
tee a good mixing of the wastes and additives with indirect heating to produce a
homogeneous hot paste for further processing.
The hot paste is then transferred to the mold according to the required shapes
and applications. The mold will be placed in a hydraulic press to be pressed into
the required shape shown in Figure 1.14. The mold will be cooled for 20 to 30
minutes according to the product.
Product development from mix plastic waste recycling, in general, is a must
to maximize the benefits. This leads to a number of economic opportunities to
remanufacture products with the recovered material. Just as market forces can-
not be ignored when introducing a new product, they must also be taken into
account when introducing remanufactured products. The product development
from recycling mix plastic waste is more important and challenging than the
product development of recycling of one type of plastic because the proper-
ties of products from mix plastic waste might change according to the product
and required properties. Therefore, continual checking is a must for appropriate
 PLASTICS INDUSTRY 17

FIGURE 1.11 Process flow diagram for recycling plastic mix.

quality control and quality assurance. A number of products were produced with
very good success according to the standard, such as bricks, interlocks, table
toppings, wheels, manholes, road ramps, and sheets.
Figure 1.15 show the development of bricks from the solid brick (left) to bricks
with holes to facilitate the assembly and disassembly of walls because bricks were
made out of plastics with additives and cannot accept mortar to adhere bricks
together. Any adhesive materials other than mortar are very expensive, which
adds to the cost of the brick. Therefore, it is much more cheaper to bind them
together using pins fitted in holes, as shown in Figure 1.15, for easy assembly
and disassembly. Another problem of bricks made out of plastic rejects is the
weight or density of the brick. The weight of the brick from plastic rejects is
heavy compared with ordinary bricks. Thus, the bricks are not economically
18 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

chimney

gears

mixers

Combustion
Chamber

FIGURE 1.12 Vertical axis mixing and heating furnace.

FIGURE 1.13 Horizontal axis mixing and heating furnace.

 PLASTICS INDUSTRY 19

FIGURE 1.14 Hydraulic press.

FIGURE 1.15 Development of bricks.

profitable when compared to the ordinary bricks, including the cost of adhesives.
This type of bricks might have special application other than ordinary walls for
construction applications.
Figures 1.16a and 1.16b show another application for plastic rejects that is
much more profitable than bricks because it doesn’t need adhesives. This new
product is interlocks that can be used in pavements of roads, pedestrian gardens,
20 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

FIGURE 1.16a Development of interlock.

FIGURE 1.16b Application of interlocks.

 PLASTICS INDUSTRY 21

FIGURE 1.17 Manhole cover and base.

factory floors, backyards, and so on. The interlocks made out of plastic rejects
with additives proved to have higher strength according to ASTM standard than
the normal interlock made out of cement, aggregate, and sand.9 Figure 1.17 shows
another very important application (manhole cover and base) that is much more
profitable than interlock. A manhole or maintenance hole (sometimes called an
inspection cover) is the top opening to an underground vault used to house an
access point for making connections or performing maintenance on underground
and buried public utility and other services including sewers, telephone, electric-
ity, storm drains, and gas. The manhole cover is designed to prevent accidental or
unauthorized access to the manhole. Manhole bases and covers are usually made
out of case iron or reinforced fiber plastic (RFP), or can be produced out of plas-
tic rejects. The main advantages of manholes made out of plastic rejects are less
cost, less energy consumption, durability, and being acid proof. The weight can
be adjusted by adding sand to the mix. Sand will increase the required specific
weight up to a certain percentage (28 percent) to avoid any strength impact. The
carrying load for 40 cm manhole is 1.8 metric tons, which is slightly higher than
fiber-reinforced plastic (FRP) manholes and can be increased by adding steel bars.
Manhole covers are round because manholes are round; they could also
designed with any geometry according to the required dimensions. Round tubes
are the strongest and most material-efficient shape against the compression of
the earth around them. A circle is the simplest shape whereby the lid cannot fall
into the hole. Circular covers can be moved around by rolling. And they need
not be aligned to be replaced.
Manholes are one of the very important applications to be produced from
rejects. They can be used instead of ordinary cast-iron manholes and can be
22 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

FIGURE 1.18 Partitions made out of rejects.

made with different geometry and dimensions. Manhole bases and covers proved
to be an excellent product out of rejects from social, economical and technical
points of view.
Another application made out of rejects is sheets with any dimension and
thickness, according to demand and needs. The partition shown in Figure 1.18 is
120 cm by 120 cm with 10 mm thickness to replace corrugated sheets or plywood.
The sheets made out of rejects are much cheaper and more durable than corru-
gated sheets or plywood. These sheets can replace MDF (medium fiber boards)
as well in many applications. Also, they can handle all weather conditions such
as high/low temperatures, wind speed, and humidity.

PLASTIC AND CORK INDUSTRY

The objective of this case study is to recycle the PVC plastic offcuts from slip-
pers production to produce new slippers from scrap PVC plastics and approach
cradle-to-cradle design. This case study was implemented in a company located
in Sohag, Egypt (upper Egypt), which produces around 1,500 metric tons/year of
PVC sheets, cut to make footwear. The cutting and printing process used around
70 percent of the PVC sheet with the remaining 30 percent being discarded as scrap.
In total, 450 metric tons of scrap PVC were sent to the local landfill each year.
This case study was prepared and implemented in cooperation between
El–Ameer for plastic and Cork Company and Egyptian Environmental Affairs
Agency (EEAA) SEAM project. The company produces 1,050 metric tons of
 PLASTIC AND CORK INDUSTRY 23

products every year from 1,500 metric tons of raw material. This case study led
to the recycling of 450 metric tons of scrap plastic to produce slippers. Capital
investment was $100,000 and resulted in annual savings of $560,000, providing
a payback in two months.
The process flow diagram to produce final product from raw material, as well
as final product from recycled waste, is shown in Figure 1.19. A number of trials
were undertaken to develop the optimum recipe, as shown in Table 1.2. Table 1.2
shows the recipes used for producing PVC sheets using new PVC and that for
recycling scrap PVC.

1,539 metric Raw materials 1,500 metric 1,050 metric

tons/year tons/year Cutting and tons/year
mixing and PVC
Raw materials Sheets assembly Products
sheets production

39 metric tons/year 450 metric tons/year

unrecoverable loss PVC scrap
“dust”

225 metric Raw materials 675 metric 472.5 metric

tons/year tons/year Cutting and tons/year
mixing and PVC
Additives Sheets assembly
sheets production

202.5 metric tons/year

PVC scrap
For recycling

FIGURE 1.19 Process flow diagram for plastic and cork industry according to
cradle-to-cradle concept.

TABLE 1.2 Raw Material Recipes Using Raw Material and Scrap PVC

No. Raw Material Using New PVC Using Scrap PVC

kg/batch kg/batch

1 PVC 45 –
2 Scrap PVC – 50
3 Calcium carbonate 45 10
4 Rubber (NBR) 10 12
5 Zinc stearate 2.5 1.5
6 Fillers 1 –
7 Polyzar 1.5 –
8 Compor (azodicarbonamide) 1.5 1.5
9 DOP oil 2 –
10 Color 1 0.6
11 Sulfur, agriculture grade 0.35 0.05
24 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

The sheet-making process had to be modified to account for use of scrap

plastic. In the case of new plastic, sheets formed are required to be cooled before
imprinting and cutting. When scrap plastic is used in the recipe, the viscosity of
sheets requires that hot sheets are directly subjected to imprinting and cutting.
To cater for this, a new mechanical press was installed that could imprint and
cut directly on the hot sheet.
A comparison of the costs of batch processing for raw PVC and recycled
plastic scrap is given in Table 1.3. Average costs using new PVC is $0.95 per
Kg against $0.46 per Kg using the scrap plastic. Figure 1.20 shows two slippers,
one made from raw PVC and another one made from recycled PVC.

TABLE 1.3 Cost Comparison between Production with New and Scrap PVC

No. Raw Material Using New PVC Using Scrap PVC

kg/batch $/batch kg/batch $/batch

1 PVC 45 63 – –
2 Scrap PVC – – 50 –
3 Calcium carbonate 45 2 10 0.4
4 Rubber (NBR) 10 17.5 12 21
5 Zinc stearate 2.5 3.5 1.5 2.1
6 Fillers 1 0.35 – –
7 Polyzar 1.5 0.66 – –
8 Compor (azodicarbonamide) 1.5 5 1.5 5
9 DOP oil 2.0 3.2 – –
10 Color 1 6.32 0.6 3.8
11 Sulfur, agriculture grade 0.35 0.37 0.05 0.05
12 Electricity 0.1 0.1
13 Water 0.1 0.1
14 Labour 1.75 1.75
15 Fuel 1 1
Total Cost / Batch 110 Kg 104.85 76 Kg 35.3

Made from Made from

recycled plastic raw PVC

FIGURE 1.20 Slippers made from raw PVC and recycled plastic.
 FOOD INDUSTRY 25

FOOD INDUSTRY

Food industry can be classified into a number of industries such as fruit and veg-
etable industry, vegetable oil industry, dairy industry, canning industry, beverage
industry, meat industry, and so on. Most of these industries typically generate
large volumes of effluents and solid waste. The main solid wastes generated
from food industry are organic wastes, including discarded seeds, fruits, and
vegetables. Odor problems can occur with poor management of solid wastes and
effluents, when onions are processed, and when ready-to-serve meals are pre-
pared, for example. So, it is very important to deal with such organic waste with
full understanding of the processes, requirements, and hygiene.
Food waste recycling can take place through aerobic fermentation (compost-
ing) or anaerobic fermentation (biogas) processing. Composting is a process that
involves biological decomposition of organic matter, under controlled conditions,
into soil conditioner or organic fertilizer through aerobic fermentation.10 While
anaerobic fermentation process involves biological decomposition of organic
waste under controlled conditions to produce fertilizer and biogas.11

Aerobic Fermentation Process

Aerobic fermentation is the decomposition of organic material in the presence
of air. During the composting process, microorganisms consume oxygen, while
CO2 , water, and heat are released as result of microbial activity, as shown in
Figure 1.21. Four main factors control the composting process: moisture content,
nutrition (carbon: nitrogen ratio), temperature, and oxygen (aeration).

Odor
Additives

Air
CO2

Water

Organic
wastes

Compost

Hot

FIGURE 1.21 Composting process.

26 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

1. Moisture content. The ideal percentage of the moisture content is 60

percent.10 The initial moisture content should range from 40 to 60
percent, depending on the components of the mixture. If the moisture
content decreases less than 40 percent, microbial activity slows down
and became dormant. If the moisture content increases above 60 percent,
decomposition slows down and odor from anaerobic decomposition is
emitted.
2. Carbon to nitrogen ratio. Microorganisms responsible for the decomposi-
tion of organic matter require carbon and nitrogen as a nutrient to grow and
reproduce. Microbes work actively if carbon to nitrogen ratio is 30:1. If
the carbon to nitrogen ratio exceeds 30, the rate of composting decreases.
Decomposition of the organic waste material will slow down if C:N ratios
are as low as 10:1 or as high as 50:1.
However, in order to compensate the low nitrogen content of organic
waste, nitrogen should be added to obtain more effective compost. To
increase the C:N ratio in rice straw as an agricultural waste, for example,
these techniques may be implemented:
• Chemical additives: This method could be done by the addition of either
uric acid, or urea or ammonia.
• Natural additives (manure): In this technique, nitrogen is obtained from
animal or poultry manure.
3. Temperature. The activity of bacteria and other microorganisms produce
heat while decomposing (oxidize) organic material. The ideal temperature
range within the compost to be efficient varies from 32◦ C to 60◦ C. If the
temperature is outside this range, the activity of the microorganisms slows
down, or might be destroyed. A temperature above 55◦ C while composting
kills the weeds, ailing microbes, and diseases, including shengella and
salmonella; this help to reduce the risk of diseases’ transmission from
infected and contaminated organic wastes.
4. Oxygen (aeration). A continuous supply of oxygen through aeration is a
must to guarantee aerobic fermentation (decomposition). Proper aeration
is needed to control the environment required for biological reactions and
to achieve the optimum efficiency. Different techniques can be used to
perform the required aeration according to the composting techniques. The
most common types of composting techniques are natural composting, pas-
sive composting, forced composting, and vermi composting.
Natural Composting Piles of compost are formed along parallel rows,
as shown in Figure 1.22 and are continuously moisturized and turned. The
distance between rows can be determined according to the type and dimension
of the turning machine.12 Piles should be turned about three times a week at
summer and once a week at winter to aerate the pile and achieve homogenous
temperature and aeration throughout the pile. This method needs large surfaces
of lands, many workers, and running cost.
 FOOD INDUSTRY 27

3–4 m

3–4 m

1.5–2.5 m 3–4 m

FIGURE 1.22 Natural composting process. (Source: F.R. Gouin et al., “On-Farm Com-
posting,” Northeast Regional Agricultural Engineering Services, NRAES-54, Cooperative
Extension, 1993.)

Passive Composting Parallel rows of perforated high-pressure PVC piping

are placed at the bottom, on which compost is added above it. The pipes are
perforated with 10 cm holes to allow air to enter the composting piles, as shown
in Figure 1.23. The pipe manifold helps in distributing the air uniformly. Air
flows through the ends of the pipes to the compost. This system is better than
the natural system because of the limited flow rates induced by the natural ven-
tilation. This method needs limited surfaces of lands, less running cost, and does
not need skilled workers. This method is recommended for cost effectiveness; it
is the most economic aeration method. Therefore, it is the most suitable method
for developing communities that want to achieve maximum benefit from the food
recycling with the minimum capital investment and a good-quality soil condi-
tioner. The soil conditioner can be converted into organic fertilizer by adjusting
the NPK ratio (nitrogen: phosphorous: potassium) through additives.13,14

Forced Aeration Forced aeration works like the previous system except that
the ends of plastic pipes are connected to blowers that force (or suck) the air
through the compost with a specific rate and velocity. Otherwise, if the air rate
exceeded a certain limit, the temperature inside the compost pile would decrease,
affecting the microbial activity. Also, the air velocity during the day should
always be higher than at night. This system needs higher technology with air
velocity control and more energy consumption. That is why it is less economic
compared to the other two systems and it is not recommended for rural or devel-
oping countries that want to make profit out of all recycling processes. This
method needs capital investment, skilled workers, and running cost.
28 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

15 cm of compost or
peat moss cover

s
ter
c en
1-1.5 m ipe
np
ee
tw n
be ee
cm e tw
– 45 b
g row
30 cin the
a
sp thin
cm wi
0
3 le s
ho

15–22 cm base of compost, peat

moss, or straw
10 cm diameter pipe with two
rows of 1.25 cm diameter holes

FIGURE 1.23 Passive aeration process. (Source: F.R. Gouin et al., “On-Farm Com-
posting,” Northeast Regional Agricultural Engineering Services, NRAES-54, Cooperative
Extension, 1993.)

Vermi Composting It is an ecologically safe and economic method that

depends on the worms’ characteristic of transforming the organic wastes to fer-
tilizers that are extremely beneficial to earth. There are two types of earthworms
that are used due to their insensitivity to environmental changes:

1. The red wiggler (Eisensia Foetida)

2. The red worm (Lumbricus Rebellus)

Under suitable aeration, humidity, and temperature, worms feed on organic

wastes and expel their manure (worm castings) that breaks up the soil, providing
it with aeration and drainage. It also creates an organic soil conditioner as well
as a natural fertilizer. Worm castings have more nutrients than soil conditioner
in terms of nitrogen and phosphorous.
A mature worm will produce a cocoon every 8 to 10 days that contains an
average of eight baby worms that mature in approximately 70 days, and in one
year each 1,000 worms produce 1,000,000 worms.15
Vermi composting can be used in houses easily by using a special
container (worm bin) that can be placed anywhere that is not subjected to
light such as kitchen, garage, and basement. The organic waste is put in this
container, and the worms with them. The worms are odorless and free from
disease.
 FOOD INDUSTRY 29

Anaerobic Fermentation Process

Biogas conversion is the anaerobic fermentation of organic matter (organic
waste) by microbiological organisms under controlled conditions. The aim of
fermentation is to produce methane (biogas) that can be used as an energy
source. The fermentation process is done anaerobically—that is, without the
presence of air—to allow the bacteria to perform the breakdown. The byproduct
of fermentation consists of about 60 percent CH4 and 40 percent CO2 , along
with traces of H2 , N2 , and H2 S. Biogas is produced by means of a digester,
which is a device used to process organic waste and produce methane. There
are many types of digesters available; however, the two most famous designs
are the Chinese fixed dome (constant volume) and the Indian floating cover
(constant pressure). A combination of both could also be designed.

Chinese Fixed Dome The Chinese fixed-dome design is one of the oldest
digester designs dating back to the 1930s. It consists of an underground fermen-
tation chamber made of bricks and a dome-shaped tank on top of the chamber.
The biomass mixture is entered through the inlet and fermentation occurs, with
the gas rising to fill the tank and the slurry exiting through the outlet. This design
combines the digester with the holding tank where the gas is stored. The gas then
passes through an outlet pipe at the top, as shown in Figure 1.24.

biogas

manhole gas outlet pipe

inlet outlet

digester

FIGURE 1.24 Chinese fixed-dome digester. (Source: Matthias Plöchl and Monika
Heiermann, “Biogas Farming in Central and Northern Europe: A Strategy for Developing
Countries?” 2006, cigr–ejournal.tamu.edu/submissions/volume8/Invited27Feb2006.pdf.)
30 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

gas outlet

floating gas cover

mixing pit outlet pit

fluid level

inlet pipe slurry

partition
wall

FIGURE 1.25 Indian floating cover. (Source: Matthias Plöchl and Monika Heiermann,
“Biogas Farming in Central and Northern Europe: A Strategy for Developing Countries?”
2006, http://cigr–ejournal.tamu.edu/submissions/volume8/Invited27Feb2006.pdf.)

Indian Floating Cover The Indian floating-cover design is shown in

Figure 1.25. This design was first presented as the Janata design but was
further developed in 1984 to the Deenbandhu model, with both models based
on the Chinese dome design. This model employs the same principles as the
Chinese fixed-dome digester, with the biomass mix entering through the inlet
and decomposed in the underground brick chamber. However, in this design
the cylindrical gas tank is a floating cover that is separate from the mixing
tank. The slurry left from the fermentation process is used as a fertilizer. The
mixing process should occur at a high temperature range (30◦ to 40◦ or 50◦ to
60◦ C), and could take up to two months, depending on the quantity of biomass
processed.16

TABLE 1.4 Uses of Biogas as Energy Sources

Applications 1 m3 Biogas Equivalent

Lighting Equal to 60 to 100 W bulb for 6 hours

Cooking Can cook 3 meals for a family of 5 to 6
Fuel replacement 0.7 kg of petrol
Shaft power Can run a 1 horsepower motor for 2 hours
Electricity generation Can generate 1.25 kilowatt hours of electricity
Source: Practical Action, “Biogas And Liquid Biofuels,” 2006, www.itdg.org/docs/technical
information service/biogas liquid fuels.pdf.
 CEMENT INDUSTRY 31

Biogas can be used in several applications as an energy source, ranging from

light bulbs to internal combustion engines. It has an energy content of about
5,000 Kcal/m3 . Some of the uses of biogas as an energy source are shown in
Table 1.4.

CEMENT INDUSTRY

The cement industry is an important resource for development, and it is an

intensive energy-consuming industry. It produces significant releases to the envi-
ronment, primarily as airborne emissions such as dust emissions (cement bypass
dust) and gaseous emissions of NOx , SOx , COx . It plays an essential role in
the international market because cement, which is the most important ingredient
of concrete, is one of the most dynamic products that directly contribute to the
construction industry. Therefore, the cement industry is necessary for sustainable
development in any country and can be considered the backbone for development.
Cement is a controlled chemical combination of calcium, silicon, aluminum,
iron, and small amounts of other ingredients.17 Lime, which can be extracted
from limestone, shells, or chalk, constitutes 60 to 67 percent, and silica constitutes
17 to 25 percent, while alumina and iron oxide constitute the remaining small
percentage.17 According to Van Oss and Padovani, the chemical composition of
a typical Portland cement clinker is mainly four oxides: calcium oxide or lime
(CaO), about 65 percent; silica (SiO2 ), about 22 percent; alumina (Al2 O3 ), about
6 percent; and iron oxide (Fe2 O3 ), about 3 percent.18
These elements are found in a wide variety of raw materials, and they are also
found in byproducts of different industries such as blast-furnace slag from the
iron and steel industry and fly ash from the electric power industry. From 115
operating plants reporting in the Portland Cement Association, 45 plants used
blast furnace or iron slag as a raw material and over 40 plants used fly ash or
bottom ash from electric power plants as an alternative raw material.17
Input materials for the cement industry are natural resources that are extracted
from earth and have no negative effects on the environment. These materials are
limestone, clay, and sand. Meanwhile, the final product is also an environmentally
friendly product that is composed primarily of calcium silicate.17 This means that
the environmental impacts of the cement industry is associated with the process
rather than with the materials themselves.
A closer look into the production process of cement will provide us with an
insight of how the production system works; further, this will enable us to deter-
mine and identify potential sources of emissions and wastes. There are four main
process routes in the manufacturing of cement: the dry, semi-dry, semi-wet, and
wet process.19 According to World Business Council for Sustainable develop-
ment, common to all four processes are the following subprocesses:20

• Substances containing lime are quarried or shipped in.

• The raw materials are crushed into a fine powder to facilitate mixing and
blending.
32 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

• The fine mixture is heated up to a temperature of 1430o to 1650o C in large

rotating cylinders known as cement kilns to produce clinker.
• Then the clinker is cooled down and gypsum is added to it. The mixture is
then ground into fine powder to form Portland cement.
• A large percentage of the final powder cement is stored in silos to be
further transported or shipped, while a small percentage is packaged in
50 kg sacks.

Within the production process of cement, there are two different types of
process methods, referred to as wet and dry. The major difference between the
two types is the medium used to mix the powdered raw materials prior to heating,
and the amount of moisture content in the materials entering the kiln. Karstensen
added that between these two ends of the spectrum, there are semi-wet and
semi-dry processes.19 In the wet method, water is added to the raw materials
after milling to facilitate thorough mixing, and the mixture is added to the kiln
as slurry containing 30 to 40 percent water.17 In the dry method, the powders are
generally blended in a silo using compressed air. If the material entering the kiln
is wet or has a high moisture content, this will require more energy and more
time for driving off water. The wet process was the dominant older technology,
because, in the age of abundant cheap energy, it was cheaper to burn more fuel
and add length to the kiln than to add extra devices.17
Nowadays, kilns use the dry method. The dry method provides substantial
energy savings, as well as a higher throughput. However, the energy advantages
of the dry process were more fully realized with the addition of pretreatment
equipment to condition the powdered raw materials before their introduction into
the kiln.17,20 A further development, called a precalciner, pumps more heat into
the pretreatment phase, often combining some additional fuel with air from the
clinker cooling stage, which has thus been preheated. The precalciner system is
the most energy-efficient arrangement, and also has the highest throughput, with
the shortest kiln (PCA).
Emissions may come from different stages during cement production pro-
cesses, depending on the raw materials, preparation procedures, kiln type, and
emissions control systems used.20 The largest volume substances emitted during
the production of cement are carbon dioxide, particulate matter (dust), oxides of
nitrogen, and sulfur dioxide.
Dust and particulate matter include emissions of coarse dust, fine dust, soot,
particles, and aerosols.17 The emission of dust, particularly from kiln stacks,
has been the main environmental concern in cement manufacture.19 During the
manufacturing steps of cement, exhaust gas passes through the fine material,
resulting in a dispersed mixture of gas and particulates. According to PCA, the
product is a fine powder, and various process steps involving grinding, both of
the input materials and the final product, have the tendency to emit fugitive dust.
Therefore, particulate control systems on exhaust air from the clinker cooling
and grinding processes produce a waste material known as cement kiln dust
(CKD).
 CEMENT INDUSTRY 33

Reduction and control of dust emissions in a modern cement plant requires

investments and adequate management practices. Dust emissions from cement
kilns have been reduced dramatically over the last two to three decades due to
regular improvements in design and operation, including increased use of modern
dedusting equipment such as electrostatic precipitators or bag filters.
Kiln dust collected from the gas cleaning devices is highly alkaline and may
contain trace elements such as heavy metals corresponding to the contents in
the source materials.19,20 Usually, kiln dust is completely returned to the process
either to the kiln system or to the cement mill, only in rare cases, it is not possible
to recycle kiln dust or bypass dust completely in the process.19 This residual dust
is disposed of on a controlled landfills or is treated and sold to other industries
as additive for waste stabilization or as fertilizer.20
The most popular way of disposal of the cement bypass dust is landfilling,
which—to be done properly with all the required lining and covering—costs a lot
of money and still pollutes the environment and depletes the natural resources.
That is why proper and effective disposal or reuse of cement bypass dust is
always one of the main concerns for both the cement industry and environmental
protection. The chemical analysis for the bypass dust is shown in Table 1.5.

Utilization through Cleaner Production Techniques

Treatment or proper disposal of wastes to be able to comply with environmental
protection regulations has always been considered as an additional cost that has
no return to industry or community, which will also have a bad effect on the
environment one way or another—its cost sometimes represents a significant
portion of the total cost of the produced product, which is passed on to consumers
or deduced from the profits of the industry resulting—either way—in an indirect
waste of money.
The core element of cleaner production techniques is prevention versus
clean-up or end-of-pipe solutions to environmental problems. In other words, its
core element is the establishment of a safe sustainable environment yet doing

TABLE 1.5 Chemical Analysis of Cement

Bypass Dust

Chemical Formula Percentage

SiO2 9.0–13.0
Al2 O3 3.0–4.0
Fe2 O3 2.0–2.5
CaO 45.0–48.0
MgO 1.7–1.9
SO3 4.0–11.0
Na2 O 3.0–8.0
K2 O 2.0–6.0
Cl 4.0–13.0
34 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

it the most efficient way to avoid any unnecessary cost. It is considered a new
and creative approach toward products and production processes.
Cleaner production focuses on reducing the use of natural resources, thus
minimizing the waste generated from the process. It also stresses preventing these
wastes at the source by the use of cleaner production techniques, which does not
mean changing processes, as a process may be made “cleaner” without necessarily
replacing process equipment with cleaner components. It can simply be done by
changing the way a process is operated. Some people might suggest changing
the technology or process from dry technology to wet technology to reduce the
amount of cement bypass dust as one of the cleaner production techniques. This
is true from the bypass dust point of view only, but wet process will increase the
energy consumption and the amount of fuel consumed. This will lead to more
consumption of natural resources, more air pollutant emitted to the atmosphere,
more air pollution control devices installed, and more money spent in terms of
capital cost and running cost. Others might think of recycling the bypass dust
as one of the cleaner production technique options. This option might be cost
effective if the product from the recycling process is competitive with similar
product in the market from the quality and price point of views.
Therefore, cleaner production has many benefits if managed properly; it can
reduce waste disposal cost, raw material cost, and the environmental impact of
the business, and improve profitability and worker safety. It can also improve the
public relations and image, thus also improving the local and international mar-
ket competitiveness. It is simply a win–win concept, and the challenge that rises
here is how to achieve cleaner production in an appropriate manner. The proper
approach to tackle this challenge is: (1) source inventory (Where are wastes and
emissions generated?), (2) cause evaluation (Why are wastes and emissions gen-
erated?), (3) option generation (How can these causes be eliminated?). Knowing
the answer of these questions and achieving a proper cleaner production can be
made using the six-step organized approach:

1. Simply getting started and taking action toward the issue

2. Analyzing process steps, inputs, outputs (flows and emissions)
3. Generating cleaner production opportunities
4. Selecting cleaner production solutions that fit your environment and that
you’re capable of doing
5. Implementing cleaner production solutions
6. Sustaining cleaner productions

Following this simple, logical approach, one can simply help alleviate the
problems of environmental pollution with significant economical benefits.

Industrial Ecology Approach

Under what we may call the same umbrella of cleaner production, a phi-
losophy/strategy/framework of industrial ecology came to life.21 However,
 CEMENT INDUSTRY 35

most definitions of industrial ecology include similar attributes with different

emphases, and these attributes include the following:

• A systems view of the interactions between industrial and ecological systems

• The study of material and energy flows and transformations
• A multidisciplinary approach
• An orientation toward the future
• An effort to reduce the industrial systems’ environmental impacts on eco-
logical systems
• An emphasis on harmoniously integrating industrial activity into ecological
systems
• The idea of making industrial systems emulate more efficient and sustainable
natural systems

The concept of industrial ecology beyond already existing practices is to reduce

negative impacts of industrial using a systems-oriented approach and linking with
natural ecosystems in a twofold manner:

1. Analogy: Natural systems are seen as a “ . . . model of highly efficient use

of resources, energy, and waste,” which industrial systems should try to
adopt.22 This is the same idea that had been introduced and discussed in
the cleaner production approach.
2. Integration: Industrial systems are viewed as only one part of the sur-
rounding systems, with which they must be in concert,23 which is—to a
limit—a new point that can be further studied.

Using the industrial ecology concept, many benefits would be provided, other
than the same gains that are provided by the cleaner production, which are
reduction in the use of virgin materials, reduction in pollution, increased energy
efficiency, and reduction in the volume of waste products requiring disposal,
many other benefits of great importance are to be gained such as increase in the
amount and types of process outputs that have market value,24 and the birth of
new industries which means more work chances and high economic benefits, also
like hidden resource productivity gains, synergies between production and distri-
bution beyond production chain: closed loop, and the creation of eco-industrial
parks and interfirm relations.
This takes us to the recognition of what eco-industrial parks are all about.
Eco-industrial parks actually represent the form that every industrial community
should be according to industrial ecology. In these parks, every single waste
is either reused or retreated in a certain way that sustainability of resources
and environment is assured. Most industrial ecologists believe that Kalundborg,
a small city on the island of Seeland, 75 miles west of Copenhagen, is the
first recycling network in history.25 The four main Industries and a few smaller
businesses feed on each other’s wastes in transforming them into useful inputs.
36 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

As Gertler explains, the basis for the Kalundborg system is “creative business
sense and deep-seated environmental awareness,” and “while the participating
companies herald the environmental benefits of the symbiosis, it is economics
that drives or thwarts its development.”24
The same idea and approach to reaching a sustainable environment is what
the—cradle-to-cradle concept calls for compared with the—cradle-to-grave
approach. The cradle-to-grave concept means that the raw materials of a certain
industry are being used only once and then are dumped in a landfill, which is
a one-way stream of materials. As explained earlier, this has been happening
all over the world one way or another since the Industrial Revolution. But now
to realize environmental reform in the cement industry, the cradle-to-cradle
concept has to get into place, where every material is considered as a nutrient
either to the environment or to the product itself. In order to form a community
to cope with such concept and action, according to Braungart and McDonough,
there are four steps to be made:26

“Phase 1—Creating Community: identification of willing industrial partners

with a common interest in replacing hazardous chemicals with natural one
or less hazardous, targeting of toxic chemicals for replacement;
Phase 2—Utilizing Market Strength: sharing list of materials targeted for
elimination, development of a positive purchasing and procurement list of
preferred intelligent chemicals;
Phase 3—Defining Material Flows: development of specifications and designs
for preferred materials, creation of a common materials bank, design of a
technical metabolism for preferred materials;
Phase 4—Ongoing Support: preferred business partner agreements amongst
community members, sharing of information gained from research and
material use, co-branding strategies.”

Recycling Opportunities
According to cleaner production techniques and industrial ecology concept, a
number of alternatives can be demonstrated to utilize the cement bypass dust as
a raw material in another industry or another process or within the same process,
such as the following:

• Recycling within the cement production process (most efficient in wet pro-
cess) and requiring more research to optimize the percentage of bypass dust
to be recycled without affecting the cement properties
• Production of tiles/bricks/interlocks blended cements
• Production of glass and ceramic glass
• Production of safe organic compost (soil conditioner) by stabilizing munic-
ipal wastewater sludge
• Enhancing the production of road pavement layers
 CEMENT INDUSTRY 37

Recycling through Tiles/Bricks/Interlocks By pressing the cement bypass

dust in molds under a certain pressure force, bricks/interlock/tiles can be formed
with a breaking strength directly proportional to the pressure used to form it, and
sometimes the breaking strength is even higher than the pressure used to form it.
In Cement Turah factory in Egypt, experiments were conducted on the following:

• Using 100 percent cement bypass dust with pressure force of 200 kg to form
a cylindrical cross-section bricks of 50 cm2 area where the breaking pressure
of these bricks reached 120 kg/cm2 . In addition, chemical treatment of these
bricks during the hydraulic molding can achieve a breaking pressure of 360
to 460 kg/cm2 for the 100 percent cement dust bricks.
• Using 15 to 20 percent cement dust with clay and sand along with pressure
thermal treatment to reach breaking pressure of 530 to 940 kg/cm2 .
• Using 50 percent cement dust with sand along with thermal treatment only
to reach breaking pressure of 1,300 kg/cm2

Using cement bypass dust with clay to produce bricks has proven to reduce
the weight of the bricks along with reducing the total linear drying shrinkage. In
addition, this opportunity can utilize very high percentages of the bypass dust.
However, this will still depend on the market needs and the availability of easily
transported bypass dust.

Recycling through Glass and Ceramic Glass Using bypass dust as a main
raw material (45 to 50 percent) along with silica and sand stone and melting the
mix at temperatures ranging 1,250◦ to 1,450◦ C, glass materials were obtained.
The glass product has a dark green color with high durability due to the high
calcium oxide (CaO) content in cement bypass dust. It can be used for bottle
production for chemicals containers. This step was then followed by treatment
for 15 to 30 minutes at temperatures ranging from 750◦ to 900◦ C to form what is
known as ceramic glass. This new product, unlike glass, has a very high strength,
is unbrittle, is untransparent, and looks like marble. The produced ceramic glass
is highly durable and can resist chemical and atmospheric effects. Consequently,
this new product opens the way for utilizing huge quantities of bypass dust
in producing architectural fronts buildings, prefabricated walls, interlocks for
sidewalks and many other engineering applications.

Recycling through Composting of Sewage Sludge Because of the high

alkalinity and pH value of cement kiln dust (11–12), it can be used in stabiliz-
ing municipal sewage sludge. Municipal sludge contains bacteria and parasites.
Therefore, if used directly as a soil conditioner, it will cause severe contamination
to the soil and the environment and may be very hazardous to health.
Two types of sludge from sewage treatment plants can be used. The first one
is from a rural area where no heavy metals were included and the second is
38 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

from an urban area where heavy metals might exist, depending on the level of
awareness and industrial compliance.
Due to the high alkalinity of cement bypass dust, when it is mixed with
municipal sludge, it enhances the quality of sludge by killing the bacteria and
viruses.27 Also, it will fix the heavy metals (if they exist) in the compost and
convert them into insoluble metal hydroxides, thus reducing flowing of metals in
the leachate. Agricultural waste such as rice straw, corn stalk, and so on, which
is considered a major environmental problem in most countries, can be added
to the sludge for composting process to adjust the carbon to nitrogen ratio and
enhance the fermentation process. Agricultural waste will also act as a bulking
agent to improve the chemical and physical characteristics of the compost and
help reduce the heavy metals from the sludge.
The uniqueness of this process is related to the treatment of municipal solid
waste sludge, which is heavily polluted with ascaris eggs (most persistent species
of parasites) using passive composting technique. This technique is very power-
ful and very efficient, with much less cost (capital cost and running cost) than
other techniques, as explained before. First, primary sludge will be mixed with 5
percent cement dust for 24 hours. Second, agricultural waste as a bulking agent
will be mixed for passive composting treatment. Passive composting piles will
be formed from sludge mixed with agricultural waste (bulking agent) and cement
dust with continuous monitoring of the temperatures and CO2 generated within
the pile. Both parameters are good indicators of the performance and digestion
process undertaken within the pile.
Passive composting technique explained before have shown very promising
results, especially by adding cement dust and agricultural wastes. Results show
that ascaris has not been detected after 24 hours of composting, mainly due to
the high temperature elevations reaching 70◦ to 75◦ C for prolonged periods, as
well as the high pH from cement dust. Also, the heavy metal contents were way
beyond the allowable limits for both urban sludge, as well as rural sludge.27
As a result of previous discussion, three major wastes (cement bypass dust,
municipal wastewater sludge MWWS from sewage treatment plants, and agri-
cultural waste) can be used as byproducts to produce a valuable material instead
of dumping them in the landfill or burning them in the field. This technique will
protect the environment and establish a new business where cement bypass dust
exists. If cement bypass dust does not exist, quick lime can be used to treat the
MWW sludge. Sludge has a very high nutritional value but is heavily polluted
with ascaris and other pollutants, depending on location. Direct application of
sludge for land reclamation has negative environmental impacts and is health
hazardous. Cement bypass dust is always considered a hazardous waste because
of high alkalinity. The safe disposal of cement dust costs a lot of money and
still pollutes the environment because it is very fine dust with high pH (above
11) and has no cementing action. Agricultural waste has no heavy metals and
contains some nutrients, which will be used as a bulking agent. The bulking
agent can influence the physical and chemical characteristics of the final product.
 CEMENT INDUSTRY 39

It will also reduce the heavy metal content of the sludge and control C/N ratio
for composting.

Recycling through Road Pavement Layers Cement bypass dust can be

used in three ways in road pavement layers. The first application deals with
subgrade layer. The second application deals with base layer, while the third
application deals with asphalt mixtures.

Subgrade Layer Adding 5 to 10 percent of cement bypass dust to the soil

improves its characteristics and makes it more homogenous and stiff to maintain
loads.

Base Layer Limestone is used in the base layer for road paving in general.
Also, good binding and absence of voids in this layer are crucial to maintain
strength and to prevent settlement and cracking of this layer, which is located
right below the asphalt layer. Therefore, adding cement bypass dust as filler
material to the base layer eliminates the voids formed between rocks and each
other due to its softness. Consequently, it increases the density (weight/volume)
of this layer due to increase of weight and fixation of volume, which improves
the overall characteristics of binding, especially if base layers of thickness more
than 25 cm is required in the design using the same paving equipment. Also,
the absence of voids in the base layer provides protection against the negative
impact of acidic sewage water and underground water, which work on cracking
and settling the base layer.

Asphalt Mixtures The asphalt mixture is a mix of sand, gravel, broken stones,
and soft materials, along with the asphalt. In Marshal’s standard test for designing
asphalt mixtures, it has been found that the percentage of asphalt required can be
reduced as the density of the mixture increases. Therefore, adding cement bypass
dust, which has very fine and soft particles, improves the mixture efficiency by
filling the voids. Also, the bypass dust contains high percentages of dry limestone
powder and some basic salts that, in nature, decrease the creeping percent of the
asphalt concrete, enhance the binding process, and reduce the asphalt material
required, which is very desired in hot climates.
This process was implemented in the road joining the stone mill of Helwan
Portland Cement Company and the company’s factory in Egypt. The results from
binding the base and subgrade layers assured that adding the cement bypass dust
to the layers improved the overall characteristics of the road. The road is still
operating in perfect condition, after 12 years of trucks using the road with a load
capacity not less than 100 metric tons.

Final Remarks
The environmental and socioeconomic benefits as a result of utilizing cement
bypass dust can be summarized as follows:
40 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

• Reducing air pollution problems

• Utilizing high percent of bypass dust, if not all
• Improving the pavement layer characteristics with very low cost
• Reducing the asphalt percent required in the design for the same performance
asphalt mixture
• Providing more job opportunities
• Using low-price product with high quality and strength
• Developing new business opportunities
• Preventing biomass field burning to get rid of the agricultural waste in sludge
treatment process
• Reducing greenhouse gas emissions
• Killing microbes and parasites in sludge, forming a high-quality soil condi-
tioner, as well as improving land reclamation and public health

MARBLE AND GRANITE INDUSTRY

Marble and granite industry is considered one of the oldest and largest industries
in the world. Marble and granite have been used in Egypt since the time of
the ancient Egyptians. Historically, the industry moved from labor-intensive to
capital-intensive with the advent of technological advancement, including devel-
opment of automated production tools such as cranes and diamond-cutting wires.
Marble consists mainly of calcite or dolomite, or a combination of these carbon-
ate minerals. Marble is a type of metamorphic rock formed from limestone. It is
formed from limestone by heat and pressure in the earth’s crust that causes the
limestone to change in texture and makeup (recrystallization process). Impurities
present in the limestone during recrystallization affect the mineral composition
of the marble that forms. The minerals that result from impurities give marble
wide variety of colors. The purest calcite marble is white. Marble containing
hematite has a reddish color. Marble that has limonite is yellow, and marble with
serpentine is green.28 The specific gravity of marble usually ranges from 2.5 to
3, while granite has a very high specific gravity and can go up to 9.
Marble consists of soluble residue (0.89 percent), Fe2 O3 (0.28 percent),
CaCO3 (97.74 percent), MgCO3 (1.22 percent), phosphoric acid –(0.04 percent),
along with the impurities: SiO2 , Fe2 O3 , limonite, manganese, Al2 O3 , and FeS2
(pyrite).29 Granite, the hard natural igneous rock having visible crystalline
texture, is formed essentially of quartz and orthoclase or microcline. It is
formed from volcanic lava. The principal constituents of granite are feldspar,
quartz, and biotite. However, the percentage composition of each varies and
accordingly imparts different color and texture to the final product. The
percentage composition of feldspar varies between 65 and 90 percent, of quartz
can extend from 10 to 60 percent and that of biotite lies between 10 and 15
percent.30 Granite consists of silica (SiO2 ), 70 to 77 percent; alumina (Al2 O3 ),
11 to 14 percent; potassium oxide (P2 O5 ), 3 to 5 percent; soda (Na2 O), 3 to 5
 MARBLE AND GRANITE INDUSTRY 41

percent; lime, 1 percent; iron (Fe2 O3 ), 1 to 2 percent; iron (FeO), 1 to 3 percent;

magnesia (MgO), 0.5 to 1 percent; titina, less than 1 percent (.38 percent); and
water (H2 O), 0.03 percent.30
Nature has gifted Egypt with large deposits of high-quality marble and granite.
Since 2700 b.c., the Ancient Egyptians used granite to build their important tem-
ples and buildings. Ancient Romans, as early as the third century b.c., acquired
the Egyptian knowledge in quarrying and cutting the ornamental stones, espe-
cially granite. This technology was transferred back to Italy and, due to the
natural endowment of Italy coupled with the acquired technical knowledge, the
marble industry flourished and the Italians became world leaders in the produc-
tion of marble. The production of marble passes through several stages.31 The
main stages are demonstrated in Figure 1.26:

1. Exploration and identification of a quarry location. The locations are iden-

tified, followed by testing and verification of characteristics of the marble
quarry.
2. Extraction of marble from the quarries. Extraction of the marble stone
happens in several ways, depending on the technology owned by the quar-
rymen. Marble does not split easily into sheets of equal size and must be
mined carefully.

FIGURE 1.26 Marble production process (Source: Azza Kandil and Tarek Selim,
“Characteristics of the Marble Industry in Egypt,” www.aucegypt.edu/academic/eco-
nomics/papers/wk6.pdf, Accessed July 5, 2007.)
42 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

3. Lifting and transportation. After cutting the rocks of marble, marble blocks
need to be lifted to a truck for transportation to the factories.
4. Inventory management. The inventory of raw stone blocks is very bulky
and requires a very spacious area.
5. Cutting the stone into slabs and tiles. When a certain order is placed, the
raw stone block is transported to the factory to be cut as demanded, either
into tiles or slabs of various thicknesses (usually 2 cm or 4 cm). Stone
cutting is a lengthy process that can take more than a continuous 12 to 16
hours of operation, depending on the model of the cutting machine, as well
as the status of its diamond wire or diamond blades.
6. Polishing. After the stone has been cut to the specific dimensions, there
are different techniques towards reaching a “finished” product. The most
known of these techniques is polishing. The polishing operation is fully
automated, with the use of powdered abrasives that keeps on scrubbing the
surface of the marble until it becomes smooth and shiny. The smoother the
abrasive used, the shinier and smoother is the surface of the marble. Here,
water showers are essential to prevent overheating.
7. Distribution to end users. The distribution channels depend very much on
the end product produced by the factory. If the factory produces finished
tiles and slabs, then this is a finished order, processed according to the
customer requirements, and a customer delivery takes place. Distribution
often goes to workshops that are usually the middleman between the sup-
plier and the end user. These workshops receive the cut plates of marble
and store them in their shops for the end user to choose from.

Marble and Granite Waste

Nearly 70 percent of this precious mineral resource gets wasted due to mining,
processing, and polishing, as shown in Table 1.6. The processing waste being
dumped on the riverbeds is threatening the porosity of aquifer zones.32 However,
for each marble or granite slab of 20 mm produced, a minimum of 5 mm is
crushed into powder during the cutting process. This powder flows along with
the water, forming marble slurry. In other words, a minimum of 20 percent
marble/granite produced results in powder in the form of slurry. This slurry has
approximately 35 to 40 percent water content. In India, about 30 percent weight

TABLE 1.6 Waste Distribution among Different Phases

Process Marble Mine Processing Polishing Total Mine Out

Production Waste Waste Waste Waste Reserve

Quantity 30 percent 50 percent 15 percent 5 percent 70 percent 100 percent

Source: Siddharth Pareek, “Gainful Utilization of Marble Waste: An Effort towards Pro-
tection of Ecology and Environment,” 2007, www.cdos-india.com/papers/18%20-%20Gainful%
20Utilization%20of%20Marble%20Wast%20-%20Siddharth%20Pareek.doc.
 MARBLE AND GRANITE INDUSTRY 43

of marble blocks are converted into powder, and it is about 1.5 million metric
tons per annum. Requirement of water in the processing plants is about 2,750,000
liters per hour.32
Therefore, there are mainly two types of wastes solid wastes and semisolid
or slurry that can be produced from marble and granite processing. Solid waste
consists of stone rubble with inadequate dimension for use in any application.
This rubble is of low commercial value and is usually disposed of in landfills.
Natural stone slurry occurs during physical processes such as extraction, sawing,
and polishing. The equipments used in these activities necessitate the use of large
amounts of water, for cooling, lubrication and cleaning. This mixture of water
and very small particles produces a semiliquid substance that is generally known
as ‘natural stone slurry’ , due to its appearance.33 Thus, a ”filter press” is a key
component in the eco-friendly technology for marble processing. The amount of
water saved can be recirculated as a coolant from the settling tank to the saw
nozzle after collecting the slurry for possible utilization as tiles or bricks, or to
be used in cement industry or paving roads.
Another type of waste can be generated during quarrying. The quarrying waste
disposal practices are as follows:32

• The waste generated during the quarrying operations is mainly in the form
of rock fragments.
• The generated waste by the quarries are usually dumped in empty pits in
the nearby area, thereby creating huge mounds of waste.
• The waste and overburden is dumped on roads, riverbeds, and agriculture
fields, leading to widespread environmental degradation.
• The quarry operators express their inability in proper segregated and disposal
of waste due to the small sizes of the quarry.

Physical and Chemical Properties of Slurry

The dimension of slurry particles was therefore compatible with the filling and
densing of the transition zone (measuring between 10 and 50 µm) and of the
capillary pores (which range from 50 nm to 10 µm of diameter), thus acting as a
microfiller. According to parallel specific testing, it was concluded that the used
slurry had no hydraulic or pozzolanic activity.
The average dimension of the slurry particles was inferior to 74 µm (which
would exclude its use as an aggregate for concrete production, according to the
conventional concrete technology approach). Their chemical nature was exclu-
sively dependent on the original material (without clay or other deleterious
materials), and the test results showed that the slurry was fit to be used in concrete
mixtures.
The chemical analysis of marble slurry is shown in Table 1.7. The high content
of CaO confirmed that the original stones were marble and limestone. It was also
verified that the slurry did not contain any organic matter, thus confirming that
it could be used in concrete mixtures.
44 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

TABLE 1.7 Chemical Analysis of Marble Slurry

Test Carried Out Test Value (in percent)

Loss on ignition 43.46

Silica 1.69
Alumina 1.04
Iron oxide 0.21
Lime 49.07
Magnesia 4.46
Soda Less than 0.01
Potash Less than 0.01
Source: Sanjay Singh and V. Vijayalakshmi, “Marble Slurry—A New
Building Material,” Technology Information, Forecasting, and Assess-
ment Council, 2006, http://www.tifac.org.in/news/marble.htm

The tested slurry had a specific density of 2.72 g/cm3 . Furthermore, by using
an easy particle sizer M6.10 equipment, it was possible to compare both grad-
ing curves of cement and slurry particles. The specific surface area of the slurry
particles was 7128 cm2 /g and its average size was 5.0 µm (smaller than cement
particles).

Scrapes
Another waste is marble/granite scrapes (small pieces), which represent nearly
10 to 15 percent. These are usually dumped into landfills without any precaution.
There are two types of scrapes: bulk stone and polished scrapes. Bulk stone
scrapes are the huge masses produced at the mine when large blocks are cut out of
their natural environment. These masses are usually crushed to small aggregates
with a crusher, and ultimately used in tiles. Polished scrapes are normally 2 to
4 cm thick. Both types of scrapes have the following in common:

• They consume space.

• When piled up, they form hills of scrape that can house harmful animals
like snakes and rats.
• They are not self-degrading materials.

Environmental Impacts and Mitigation

The environmental impacts and mitigation of both marble slurry and scrapes will
be discussed in this section. As a result of disposal of the marble slurry generated
during the processing of marble and granite, the following environmental damage
might occur:

• The porosity and permeability for the topsoil is reduced tremendously, and
in due course of time it results in waterlogging problems at the surface,
which does not allow the water to percolate down.
 MARBLE AND GRANITE INDUSTRY 45

• The fine marble particles with high pH reduce the fertility of the soil by
increasing its alkalinity. The high pH of the dry slurry makes it corrosive
material that is harmful to the lungs, and may cause eyesores.
• Dry slurry diffuses in the atmosphere, causing air pollution to human and
possible pollution to nearby water. It settles down on crops and vegetation,
thus severely threatening the ecology of the marble clusters.
• It may corrode nearby machinery.
• It depletes natural resources in terms of wastewater, marble, and granite
powder, small pieces of marble, and granite.

The solid larger pieces can be easily incorporated in concrete or in sculptures,

as in bonded marble. As for the slurry, it has much potential—from pavement
filler material to agricultural fertilizers. Almedia et al. produced a paper that
briefly describes many of the applications of marble and stone waste:33
• Cement industry
• Tiles
• Red ceramic bricks and tiles
• Mortars and concrete
• Polymer concrete
• Other cement-based products
• Pavement
• Embankment
• Agglomerate marble

Cement Industry Recent research studies concluded that there is technical

viability to incorporate massive quantities of natural stone slurry as “raw material”
in the production of clinker, without any previous complex treatments.
As an example, the Portuguese cement industry is responsible for the con-
sumption of 12 million metric tons of raw materials each year, about 10 million
metric tons of which is limestone. The Portuguese natural stone slurry produced
annually represents 3.5 percent of the total limestone raw material needed by the
national cement industry.

Tiles India also presents successful cases related to the production of tiles
containing 90 percent of stone slurry bonded by 10 percent of resin.

Red Ceramic Bricks and Tiles A European research project concluded that
it is possible to incorporate large amounts of natural stone slurry by substituting
conventional calcium carbonate used in the production of red ceramic bricks,
without compromising the behavior of the obtained final product.
The presence of this slurry in a 2 to 3 percent ratio solved the expansion
problems usually associated with structural ceramic materials. Furthermore,
depending on the kind of basic raw material used, it is possible to use up to 25
percent of slurry.
46 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Confirmation on the behavior of this kind of recycled material was also

obtained from similar research done in Brazil and India, where red ceramic tiles
are produced with 20 percent of stone slurry input.33
Generally speaking, the bricks and floor tiles are heterogeneous because they
consist of natural clays with a very wide-ranging overall composition. Conse-
quently, they can tolerate the presence of different types of wastes, even in
considerable percentages.
The raw materials that will be used in brick type compositions are plastic
red clay (PRC) and low-grade clay (LGC). While in floor tile formulations,
in addition to the PRC, shale clay (SC) is added and the granite sludge is
added to both. Regarding the chemical composition of these three types of
clay, (the PRC is based on illite, kaolinite, montmorilonite and some quartz
and feldspar, while the LGC clay is mainly based on quartz and illite. The SC
consists essentially of a mixture of quartz, mica (muscovite), kaolinite, illite, and
montmorilonite.34
The sludge in general has relatively fine particle size distribution, and this
means that it doesn’t require any further grinding step and can replace the
low-grade clay components used in the fabrication of brick type products or
the feldspar in floor tiles compositions.
There were tests conducted regarding adding the sludge to the bricks and floor
tiles as in the case of incorporating the cutting sludge in industrial porcelain tiles.
The tests were conducted on granite sludge as a trial. The clay materials, together
with the sludge, were mixed at different weight percentages regarding both the
brick type and the floor tiles type, as shown in Table 1.8.
Regarding both compositions, the brick type were fired at 950◦ C in an indus-
trial furnace and then followed by a long cycle of about 9 hours. The floor tile
type were fired at 1100◦ C in an electrical laboratory furnace with a holding time
of 1 hour at the maximum temperature.34 The results were satisfactory concern-
ing the tests, but focused more on the linear shrinkage, the water absorption, and
the flexural strength. The results are shown in Table 1.9.

TABLE 1.8 Tested Brick and Floor Tiles Compositions

Brick-type composition (wt percent)

1 2 3 4 5
PRC 30 35 35 40 45
LGC 70 30 15 0 5
Granite sludge 0 35 50 60 50
Floor tile–type compositions (wt percent)
6 4 7 8 9
PRC 30 40 50 0 0
SC 0 0 0 40 50
Granite sludge 70 60 50 60 50
Source: J. M. F. Ferreira et al. “Recycling of Granite Sludges in Brick-Type and
Floor Tile-Type Ceramic Formulations,” University of Aveiro, 2007.
 MARBLE AND GRANITE INDUSTRY 47

TABLE 1.9 The Properties of the Fired Products

Temperature Composition Fired Properties

Linear Shrinkage Water absorption Flexural Strength
(percent) (percent) (Mpa)

1 0.15 13.02 13.4

950◦ C 2 0.18 12.97 12.3
(BT) 3 0.16 12.92 10.3
4 0.21 13.00 11.8
5 0.29 13.01 11.7
6 0.17 6.04 39.8
1100◦ C 4 0.19 1.60 53.8
(FTT) 7 0.28 0.43 57.4
8 0.26 0.10 68.2
9 0.30 0.00 74.6
* BT = Brick type
* FTT = Floor tiles type
Source: J. M. F. Ferreira et al. “Recycling of Granite Sludges in Brick-Type and Floor Tile-Type
Ceramic Formulations,” University of Aveiro, 2007.

Focusing on the results that were achieved after conducting the tests, it was
found that the granite sludge that is derived from the cutting processes of this
natural stone can be considered and reused to be an interesting raw material for
the brick type and floor tile formulations. The results shown above clarify that
there is a wide range of results regarding all the tests. For instance, focusing
on the results of samples 4 and 5, the granite sludge represents approximately
50 percent of the total weight and the results of these samples regarding the
linear shrinkage, water absorption, and the flexural strength are acceptable. Also
from the results, it is obvious that PRC is beneficial because it enhances the
overall performance and its absence will negatively affect the properties of the
end product.
In the final analysis, “the granite sludge in brick type compositions can be as
high as 60 percent. For floor tile type products, the incorporation of the sludge
can be used in the range of 50 to 60 percent when combined with the SC, or it
can be limited to a maximum of 50 percent in the case of PRC.”34 Therefore,
since the brick type and floor tile type industry requires several tons of raw
materials, it will be economical and environmental to consume the marble and
granite sludge.

Mortars and Concrete Technical possibilities of producing concretes and

mortars containing stone slurry have been studied with positive results in several
countries. Research works in Portugal led to similar conclusions, demonstrating
improvements in several properties. Tests were performed by Almeida et al.
in order to investigate the maximum percentage of marble slurry that can be
incorporated in concrete.33 The mixes used for the tests are shown in Table 1.10.
48 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

TABLE 1.10 Concrete Mix Properties

Mixture Sand Compressive Compressive Spitting Modulus of

Substitution Strength Strength Tensile Elasticity
7 days 28 days Strength (GPa)
(MPa) (MPa) (MPa)

CMSSO 0 60.3 85.1 4.2 40.5

CMSS5 5 66.5 91.1 4.8 43
CMSS10 10 55.3 79.4 4.2 41.4
CMSS15 15 58.1 79.5 4.3 38.8
CMSS20 20 53.9 77.5 4 36.9
CMSS34 34 41.1 60.8 3.3 33.5
CMSS67 67 36.4 58.2 3.2 30.7
CMSS100 100 30.1 50.3 3 26.7
Source: Nuno Almeida, Fernando Branco, and José Roberto Santos “Recycling of Stone Slurry
in Industrial Activities: Application to Concrete Mixtures,” (2005), http://www.sciencedirect.com/
science.

Different concrete mix proportions were tested for compressive strength, tensile
strength and modulus of elasticity as shown in Table 1.10.

Compressive Strength When 5 percent of the initial sand content was replaced
by stone slurry (CMSS5), 10.3 percent higher compressive strength after 7 days,
and 7.1 percent higher compressive strength after 28 days were detected, when
compared with CMSS0. This increase can be related to the higher concentration
of hydrated cement compounds within the available space for them to occupy.
Furthermore, by acting as micro filler, the stone slurry promoted an accelerated
formation of hydrated compounds, thus resulting in a significant improvement of
compressive strength at earlier ages (7 days).33
In fact, the amount of slurry present in CMSS5 enabled the very fine particles
of it to act as nucleation points. This is related to an effect of physical nature
that ensures effective packing and larger dispersion of cement particles, thus
fomenting better hydration conditions. Moreover, the slurry particles completed
the matrix interstices (transition zone and capillary pores) and reduced space-free
water. The combination of these phenomena resulted in a better bonding among
the concrete components.33
CMSS10, CMSS15, and CMSS20 presented a reduction of compressive
strength ranging from 3.6 percent to 10.6 percent at 7 days of age, and from
6.7 percent to 8.9 percent at 28 days of age (when compared to CMSS0).
Lower performance of CMSS10 could seem improbable, taking into account
its water/cement ratio. However, for this extremely low water/cement ratio, the
available space for accommodating hydrated products was insufficient, thus
inhibiting chemical reactions.33
Regarding higher contents of stone slurry (substitution of more than 20 per-
cent of sand), the decrease of compressive strength values was significant. The
 MARBLE AND GRANITE INDUSTRY 49

incorporation of such amounts of very fine material did not permit the microfiller
effect to prevail, which, in addition to a rather inappropriate grading, caused
lower results.33
When substituting all the sand for stone slurry (CMSS100), test results showed
50.3 MPa at 28 days and 30.1 MPa at 7 days. Although these results were accept-
able by comparison with conventional concrete, the relative reduction amounted
to 40.9 percent for 28 days and 50.1 percent for 7 days. Therefore, it is possible
to conclude that full substitution of fine aggregate for stone slurry is not reliable
when compressive strength is a critical aspect to take in consideration.33

Tensile Strength The benefits obtained in compressive strength property due to

the microfiller effect induced by stone-slurry particles was even further important
regarding the splitting tensile strength tests (relative increase of 14.3 percent
detected for CMSS5). These are coherent results, in light of the explanation
advanced regarding the compressive strength variation of CMSS5.33
As for the compressive strength, when the substitution level of sand surpassed
20 percent, the tensile splitting strength was significantly reduced. Nevertheless,
test results show that tensile splitting strength is less sensitive to high content
of very fine particles than compressive strength. CMSS100 presented a result of
3 MPa, correspondent to a quite acceptable reduction of 28.6 percent relatively
to CMSS0.33

Modulus of Elasticity In accordance with the analysis made concerning the

other mechanical properties, CMSS5 test results determined that this was the
concrete mixture with better behavior in terms of modulus of elasticity (6.2
percent higher than CMSS0) and that all mixtures containing less than 20 per-
cent of stone slurry obtained acceptable results. CMSS10 also presented a slight
improvement of 2.2 percent in behavior. In the extreme case of slurry incorpo-
ration (CMSS100), the average of test results for the modulus of elasticity was
26.7 GPa (34.1 percent less than the reference concrete mixture CMSS0).33
It is known that cement paste modulus of elasticity is generally half the mod-
ulus of elasticity of aggregates. Therefore, when introducing stone slurry (very
fine particles, with slightly inferior size than cement particles), the paste could be
considered as increased, thus promoting a negative effect on the modulus of elas-
ticity of the hardened concretes. This fact, in addition to the higher water/cement
ratio, could explain the lower modulus of elasticity attained for more than 15
percent substitution (inclusively).33
Another reason that might explain the negative behavior detected for more
than 15 percent of aggregate replacement for slurry, apart from the higher
water/cement ratio, might be associated with a possible volumetric expansion
occurring among the different materials, withdrawing aggregates (which better
contributes to a higher modulus of elasticity) from one another, thus losing
some ability to restrain deformations (further dependent on the paste).33 In light
of this, better behavior of CMSS5 and CMSS10 can be explained by better
grading and packing of hardened concrete mixture, attained by reduced space
among the different particles.33
50 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

The results showed that the substitution of 5 percent of the sand content
by stone slurry induced higher compressive strength, higher splitting tensile
strength, and higher modulus of elasticity. The feasibility of incorporating up
to 20 percent stone slurry in detriment of the respective amount of fine aggre-
gate without prejudicing mechanical properties in a serious manner was also
determined.

Polymer Concrete (PC) Marble and granite waste, in addition to organic

binders, can be utilized in many different applications. Less-expensive recycled
polymer binders have been used with marble, basalt, and quartz, as well as
rice straw, bagasse, and cotton stalk fibers in polymer concrete (PC) produc-
tion. Reasonable cost, durability under anticipated exposure conditions, adhesion
to aggregate, handling properties, and ease of curing are the most important
considerations in the choice of the resin used. The high cost of the traditional
resins used in the preparation of PC makes it relatively expensive compared
to the cement-based materials and is limiting the growth of PC-based products.
Therefore, recycling of plastic polymers has received a great deal of attention to
reduce the cost of resin production; in addition, it is an acceptable, convenient
solution to some ecological problems resulting from the accumulation of these
wastes.

Other Cement-based Products Applications include cement-based products

such as structural blocks, lightweight blocks, soil–cement bricks, pavement coat-
ings, and even acoustic panels developed at an experimental level that contained
granite slurry, limestone aggregates, cement, and cork industry waste.33

Pavement Stone slurry was not considered as suitable for pavement use, but
some laboratory tests demonstrated that it is possible to incorporate this byproduct
in asphalt mixtures as a commercial filler substitute. The use of slurry in road
works is not common. In fact, some researchers attest that it is possible to use
marble slurry in roadwork layers that account for 25 to 35 percent of the total
pavement thickness.
In Turkey, limestone dust was generally used in asphalt mixtures as filler
material. However, in recent years, many quarries were closed off because of
the environmental protection rules put into use. Therefore, highway authorities
and municipalities have difficulties for finding suitable filler material. As a result,
using the waste material as filler should be investigated for road construction. For
this reason, Almeida et al. has investigated using marble dust in asphalt mixtures
as filler material.33

Embankment As with pavements, opinions about the use of stone slurry in

embankments are not unanimous. Despite the existence of bibliography referring
to the possibility of using stone slurry in embankments (taking advantage of
the insulation capability of the slurry) or mixed in a 25 percent ratio with soil,
there are also several studies referring to environmental impacts related with the
presence of this industrial waste in soil.33
 METAL FOUNDRY INDUSTRY 51

Agglomerate Marble Agglomerate marble is the designation for products that

bind pieces of natural marble together with specially formulated polyester resin.
This process allows the reconstruction of large recycled “marble” blocks, similar
to the ones extracted from quarries, both in quality and visual aspects, which
can be submitted to the same processing activities as natural stone. Research
concerning the reutilization of marble slurry as a substitute of calcium carbonate
was developed for agglomerate marble fabrication. For a total amount of slurry
that reached up to 6 percent of the total compounds, it was technically possible
to adopt this procedure.33
This is sometimes called cast marble. It is a manmade product consisting of
marble dust (calcium carbonate) and polyester resin. The type of resin used in
bonded marble products is crystal clear and sometimes referred to as casting
resin. This type of resin is costly to produce, thus adding more to the cost
of the finished product. The calcium carbonate in the bonded marble creates a
semiporous surface that has a very unique look and feel. The calcium carbonate
also makes the piece pure white and allows for a very high degree of detail.
Most bonded marble products are made in Italy, which has the whitest marble in
the world. Other names for bonded marble are cast marble, cultured marble, and
bonded Carrara marble.35
Natural Carrara marble powder is mixed with a resin. The mixture is then
poured into a mold of the statue design. The resin gives the marble powder
an added strength superior to the natural stone. The finished product bears a
near identical resemblance to the original hand-carved statue. The texture and
features are duplicated and the color is a consistent ivory white. Because of
the characteristics of the resin material, these bonded marble statues shown in
Figures 1.27 are waterproof, and can be washed and cleaned with most agents.
Water and weather will not harm the material, and it is very strong. It will not
yellow over time, can handle high detail, doesn’t have bubbles, and will not
crack.36

METAL FOUNDRY INDUSTRY

The metal foundry industry can be divided into two sectors: ferrous and nonfer-
rous. Ferrous foundries cast iron and steel products, while nonferrous foundries
cast a variety of other metals such as aluminum, copper, zinc, lead, tin, and
nickel. More than 75 percent of products by volume are ferrous. Although non-
ferrous industries use the same basic molding and casting techniques, byproducts
can be different from those produced from ferrous industries.
The casting of metal in foundries is one of the oldest and largest recycling
industries in the world. Metal foundries exist everywhere worldwide to produce
different products such as valves, pipe fittings, pipe accessories used in water, and
wastewater networks made out of cast iron, copper, or aluminum through metal
foundry using sand-molding technology. Many other components in engines,
pumps, blowers, compressors, and so on can also be produced in metal foundries.
The sand molding technology consists of the following processes:
52 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

FIGURE 1.27 Bonded marble with antique stone finish 10 inches H (25 cm) (Source:
www.goddessgift.net/page20.html.)

1. Sand and mold preparation. The sand is first mixed with a hardening mate-
rial, like bentonite slurry for example, inside the sand preparation mixers.
After that the sand molds are formed and are placed on the production line
2. Melting. The main types of metals are used in metal foundry: iron, alu-
minum, and copper. Other metal can also be used according to requests,
such as zinc, aluminum alloy, copper alloy, and so on. A large quantity of
slag, which is about 20 to 25 percent of the melted material, comes out
from the melting process. The utilization of slag will be discussed with
details in the next section.
 METAL FOUNDRY INDUSTRY 53

3. Pouring. The end metal product is then poured into the moulds and left to
cool and gain its strength. Then the moulds are untied to get the product
from.
4. Cleaning and Inspection. All the products are gathered for inspection and
quality assurance. Some of those are rejected and sent back to the furnace
for remelting, and others are approved and cleaned. However, there is a
huge quantity of wasted sand that creates a disaster to the company and
surrounding environment, if it is left without use.
5. Product final preparation phase. The products are sent to workshops for
cutting, making holes, and trimming. This process results in many metal
wastes that are then delivered again to the furnaces for remelting.
6. Assembly and examination phase. After all the products are prepared, they
are assembled according to the specifications, and then their mechanical
properties are tested.
7. Finishing and storage phase. The final product is then painted by spraying
it either with bitumen or epoxy in a controlled outdoor area. After the
product is painted, it is stored in its final shape.

Foundry Sand
Foundry sand is a byproduct waste sand from a foundry or factory that produces
castings of metal. Iron is the most common element used in foundries, but other
heavy metals have been known to be used, including aluminum, copper, lead,
and zinc.37 Foundry sand is essentially uniformly sized sand with high-quality
silica content. It is used as a mold to cast the metals into the desired product. The
sand mold is bonded together using organic binders. The sand-casting system is
the most commonly found system in the metal-molding industry. The foundry
sand is generally clean before it is used in the casting process, but once it has
been used, it may be hazardous.38 The used or spent material often contains
residues of the heavy metals and binder that may act as leachable contaminants.
The residual sand is routinely screened and returned to the system for reuse. As
the sands are repeatedly used, the particles eventually become too fine for the
molding process and, combined with heat degradation from repeated pourings,
requires periodic replacement of “spent” foundry sand with fresh foundry sand.
This spent sand is black in color and contains a large amount of fines (particles
of 100 sieve size or less).39 Most of the sand-cast molds used for iron castings
are of a type of foundry sand called green sand , which consists of high-quality
silica, bentonite clay, sea coal, and water. The green sand is not actually green
in color, but refers to the fact that it is used in the wet state. In the past, once
the casting has been done, the spent foundry sand was often no longer used due
to fears of environmental concerns and contamination. However, an article in
Civil Engineering magazine stated, “Fears of environmental contamination have
recently been laid to rest with new studies indicating that certain types of waste
foundry sand are not only ecologically safe but literally cheaper than dirt in some
cases.”40 According to a study done by the U.S. National Transportation Board,
54 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

“the annual generation of foundry waste, including dust and spend foundry sand,
in the United States is believed to range from 9 to 13.6 million tons. Typically,
about 1 ton of foundry sand is required for each ton of iron or steel casting
produced.”41 Most of this waste is landfilled, sometimes even being a cover
material at landfill sites. It has been shown that spent foundry sand may be used
in a multitude of applications without environmental considerations. A study
done by Oakland–Berkeley Recycling Market Development Zone shows that
spent foundry sand may be used as an addition to asphalt mixes and in the
design of decorative tiles with the sand.42 The physical and chemical properties
of spent foundry sand are shown in Tables 1.11 and 1.12, respectively.

Uses of Foundry Sand

According to a technology brief done by the Clean Washington Center in Seattle,
the uses for spent foundry sand in different applications include the following.43

Agricultural Products

• Amendments
• Commercial soil blends
• Compost
• Top dressing

Geotechnical Applications

• Barriers
• Embankments
• Highway construction
• Landfills
• Road bases
• Structural fills

TABLE 1.11 Physical Properties of Spent Green Foundry Sand

Property Results Test Method

Specific Gravity 2.39–2.55 ASTM D854

Bulk Relative Density, kg/m3 (lb/ft3 ) 2590 (160) ASTM C48/AASHTO T84
Absorption, percent 0.45 ASTM C128
Moisture Content, percent 0.1–10.1 ASTM D2216
Clay Lumps and Friable Particles 1–44 ASTM C142/AASHTO T112
Coefficient of Permeability (cm/sec) 10 –3 –10 –6 AASHTO T215/ASTM D2434
Plastic limit/plastic index Nonplastic AASHTO T90/ASTM D4318
Source: Highway Research Center, U.S Department of Transportation: Federal Highway Admin-
istration, “Foundry Sand,” American Foundrymen’s Society, Inc., http://www.tfhrc.gov/hnr20/
recycle/waste/fs1.htm, Oct. 2, 2006.
 IRON AND STEEL INDUSTRY 55

TABLE 1.12 Chemical Composition of Foundry

Sand

Constituent Value (in percent)

SiO2 87.91
Al2 O3 4.70
Fe2 O3 0.94
CaO 0.14
MgO 0.30
SO3 0.09
Na2 O 0.19
K2 O 0.25
TiO2 0.15
P2 O5 0.00
Mn2 O3 0.02
SrO 0.03
LOI 5.15
TOTAL 99.87
Source: Highway Research Center, U.S Department of Trans-
portation: Federal Highway Administration, “Foundry Sand,”
American Foundrymen’s Society, Inc., http://www.tfhrc.gov/
hnr20/recycle/waste/fs1.htm, Oct. 2, 2006.

Manufactured Products

• Asphalt
• Concrete products
• Flowable fill
• Portland cement

A detailed case study to utilize spent foundry sand as a reinforcement material

to mixed polymeric waste will be discussed later in this chapter.

IRON AND STEEL INDUSTRY

The iron and steel industry is considered one of the most important industries for
the sustainable development. It is considered the base for numerous industries that
could not have been established without the steel industry, such as construction,
automotive, and steel structure industries. There are three basic routes to obtain
finished steel products:

1. Integrated steel production

2. Secondary processing
3. Direct reduction
56 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Integrated steel production involves transforming coal to coke in coke ovens,

while iron ore is sintered or belletized prior to being fed into the blast furnace
(BF). The ore is reduced in the blast furnace to obtain hot metal containing
some 4 percent carbon and smaller quantities of other alloying elements. Next
the hot metal is converted to steel in the basic oxygen furnace (BOF). Then, it is
continuously cast to obtain semifinished products, such as blooms, bars or slabs.
These semifinished products are rolled to the finished shapes of bars, sheet, rail,
and H or I beams.
The secondary processing, often called minimills, starts with steel scrap that is
melted in an electrical arc furnace (EAF). The molten steel produced is possibly
treated in a ladle furnace and then continuously cast and finished in a rolling
operation. Originally, minimills provided only lower grade products, especially
reinforcing bars. But, they recently have been able to capture a growing segment
of the steel market.
In the direct reduction method, production starts with high-grade iron ore
pellets that are reduced with natural gas to sponge pellets. Then, the sponge iron
pellets are fed into an electrical arc furnace. The resulting steel is continuously
cast and rolled into a final shape.
There is a huge amount of solid waste “slag” generated from the iron and steel
industry as a result of the impurities. Usually, slag is collected from the process
and left in a nearby area occupying millions of square meters of land. Slag is
not only hindering the use of millions of square meters of land for more useful
purposes but also contaminating it with heavy metals such as barium, titanium,
and lead. Also, it is well known that toxic substances tend to concentrate in slag
that floats at the top of the furnace. Health hazards of heavy metals and toxic
substances are well known. Based on the concentration levels of heavy metals,
slags may be classified as hazardous waste materials. Furthermore, groundwater,
as well as surface water, is susceptible to serious pollution problems due to the
likely leaching of these waste materials.
Another type of solid waste generated from the secondary processing is the
iron dust produced at the beginning of the process during feeding the scrap to
the electrical arc furnace (EAF) for melting. Small quantity of sludge might also
be produced during the process of iron in blast furnace.
This section describes the different types of solid waste materials generated
from the iron and steel industry and the associated environmental problems. Dif-
ferent techniques of managing these waste materials are presented with a focus
on utilizing slag, dust, and sludge in construction engineering applications. Test
results of many research efforts in this area are summarized. In addition, numer-
ous ideas to mitigate the environmental impacts of this problem are suggested.

Environmental Impacts
Iron making in the BF produces a slag that amounts to 20 to 40 percent of
hot metal production. BF slag is considered environmentally unfriendly when
fresh because it gives off sulfur dioxide and, in the presence of water, hydrogen
 IRON AND STEEL INDUSTRY 57

sulfide and sulphoric acid are generated. These are at least a nuisance and, at
worst, are potentially dangerous. Fortunately, the material stabilizes rapidly when
cooled and the potential for obnoxious leachate diminishes rapidly. However, the
generation of sulphoric acid causes considerable corrosion damage in the vicinity
of blast furnaces. In Western Europe and Japan, virtually all slag produced is
utilized either in cement production or as road filling. In Egypt, almost two-thirds
of the BF slag generated is utilized in cement production. Some 50 to 220 kg of
BOF slag is produced for every metric ton of steel made in the basic oxygen
furnace, with an average value of 120 kg/metric ton. At present, about 50 percent
of BOF slag is being utilized worldwide, particularly for road construction and
as an addition to cement kilns.44
Recycling of slags has become common only since the early 1900s. The first
documented use of BF slag was in England in 1903;45 slag aggregates were used
in making asphalt concrete. Today, almost all BF slag is used either as aggregate
or in cement production. Steel for making slag is generally considered unstable
for use in concrete but has been commercially used as road aggregates for over
90 years and as asphalt aggregates since 1937. Steel-making slag can contain
valuable metal and typical processing plants are designed to recover this metal
electromagnetically. These plants often include crushing units that can increase
the metal recovery yield and also produce materials suitable as construction aggre-
gates. Although BF slag is known to be widely used in different civil engineering
purposes, the use of steel slag has been given much less encouragement.
BF dust and sludge are generated from the processing and cleaning, either
by wet or dry means. The dust and sludge typically are 1 to 4 percent of hot
metal production.46 These materials are less effectively utilized than BF slag. In
some cases, they are recycled through the sinter plant, but, in most cases, they
are dumped and landfilled. Finding better solutions for the effective utilization
of BF dust and sludge is an important problem. BOF dust and sludge are gen-
erated during the cleaning of gases emitted from the basic oxygen furnace. The
actual production rate depends on the operation circumstances. It may range from
about 4 to 31 kg/metric ton of steel produced, and has a mean value of about
18 kg/metric ton.44 The disposal or utilization of BOF dust and sludge is one of
the critical environmental problems in some countries.
Electrical arc furnace produces about 116 kg of slag for every metric ton of
molten steel. Worldwide, about 77 percent of the slag produced in EAFs is reused
or recycled.44 The remainder is landfilled or dumped. Due to the relatively high
iron content in EAF slag, screens, and electromagnetic conveyors are used to
separate the iron to be reused as raw material. The EAF slag remaining is nor-
mally aged for at least six months before being reused or recycled in different
applications such as road building. All efforts in Egypt have focused on separat-
ing the iron from EAF slag without paying enough attention to the slag itself.
However, pilot research work conducted at Alexandria University in Egypt has
investigated the possibility of utilizing such slag.47 The test results proved that
slag asphalt concrete could, in general, fulfill the requirements of the road-paving
design criteria.
58 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

EAF dust contains appreciable quantities of zinc, typically 10 to 36 percent.

In addition, EAF dust holds much smaller quantities of lead, cadmium, and
chromium. EAF dust has been classified as a hazardous waste (K061) by the
U.S. Environmental Protection Agency, and therefore its safe disposal represents
a major problem. Although there are several technologies available for processing
this dust, they are all quite expensive, on the order of US$150 to US$250 per
ton of dust.

The Problem in Egypt

Apart from the granulated BF slag used in producing slag cement, all types of
waste from any steel plant in Egypt were simply dumped in the neighboring
desert. Based on the production figures of the major steel plants in Egypt and the
generation rates of different waste materials per each metric ton of steel produced,
the annual waste materials generated in Egypt was estimated and summarized in
Table 1.13 over and above the accumulated stock pile in the near by area. There
are stockpiles of 10 million metric tons of air-cooled BF slag and another 10
million metric tons of BOF slag laying in the near by area.
Obviously, waste generators will be required to pay a certain fee per metric
ton disposed. In 1993, the cost of disposing one ton of steel plant wastes in the
United States was $15.48 Today, it goes up to $100. Large tonnage of iron and
steel slags are increasingly produced in Egypt, and the huge space needed to
dump them has become a real challenge. To have an idea about the considerable
area needed for disposal, it is quite enough to know that the 20 million metric
tons of BF and BOF slags currently available are estimated to occupy 2.5 million
square meters.

Potential Utilization of Slag

Many of the environmental problems of solid waste materials generated from
the iron and steel industry have been known for some time, and attempts have
been made to tackle them with varying degrees of success. During the past
few years, the iron and steel industry has been able to produce some creative

TABLE 1.13 Waste Materials Generated from Iron and Steel

Industry in Egypt

Type of Waste Annual Amount Generated

(metric tons)

Blast furnace slag 600,000

Basic oxygen furnace slag 200,000
Electrical arc furnace slag 300,000
Blast furnace dust 20,000
Electrical arc furnace dust 15,000
Rolling mill scales and sludge 25,000
 IRON AND STEEL INDUSTRY 59

solutions to some of these environmental problems. It is highly probable that

many other creative solutions also could emerge as a result of well-thought-out
and well-supported research programs.
Processing of slag is a very important step in managing such waste material.
Proper processing can provide slag with high market value and open new fields of
application. Cooper et al. discussed the recent technologies of slag granulation.49
The main steps of the granulation process were addressed with schematic draw-
ings, including verification, filtering, and denaturing systems. The most recent
continuous granulation technology at that time was introduced in detail with the
help of many illustrative figures, as shown in Figure 1.28.
Foster addressed the high cost of disposing wastes generated from the steel
industry and discusses an innovative idea from South Africa to manage BOF slag,
which has a limited usage.48 He came up with a new idea for processing BOF
slag. This process starts with preparing the slag by grinding it, mixing it with a
reductant such as sawdust or charcoal, and feeding it into a modified cyclone-type
preheater. This reduction process removes iron oxide from iron. The slag is then
passed over a magnet, which removes the iron particles. The low-iron slag is
then mixed with other materials, such as clay, to produce an acceptable type of
cement kiln feed.
Featherstone and Holliday introduced the idea of dry slag granulation shown
in Figure 1.29.45 The existing slag treatment methods, the new dry granulation
method, and the value of granulated slag products were reviewed. The develop-
ment, application, and advantages of the dry method of granulating molten slags
were described. The dry granulated slag was proved to have many environmental

1
2

3 4

8
5
1 - Blast furnace 6
2 - Slag runner 7
3 - Blowing box
4 - Cold runner
5 - Receiving hopper 9
6 - Distributer
7 - Dewatering drum
8 - Unloading conveyor
9 - Water tank

FIGURE 1.28 Continuous slag granulation system. (Source: A.W. Cooper, M. Solvi,
and M. Calmes, “Blast Furnace Slag Granulation,” Iron and Steel Engineer , 63, (July
1986): 46–52.)
60 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Air extracted to baghouse

Spinning cup
Slag runner

Static water jacket

Modified fluidized bed Cooling air in

Granulated slag
Main spindle and bearings

FIGURE 1.29 Dry slag granulation. (Source: W. B. Featherstone and K.A. Holliday,
“Slag Treatment Improvement by Dry Granulation,” Iron and Steel Engineer (July 1998):
42–46.)

advantages over conventional processes, while generating a product of equal

quality in addition to its low cost and simplicity.
Swamy presented an extensive and critical examination of the use of ground
granulated BF slag in concrete.50 It was shown that the use of BF slag as aggre-
gate in concrete can lead to high strength concrete with excellent durability. Apart
from its ability to reduce the temperature rise due to hydration, test results showed
that BF slag has a hidden potential to contribute high early age strength, excel-
lent durability and very good chemical resistance. A mix proportioning method
was advanced that assured the development of early strength for slags of nor-
mal surface area of 350 to 450 m2 /kg. Table 1.14 summarizes the compressive
strength development up to 180 days age for mixes with 50 percent (A) and
65 percent (B) slag replacement of coarse aggregates. Curing was shown to be
a critical factor that affects early age strength, continued strength development,
and fine pore structure responsible for durability. It was also shown that with a
well-defined curing period, the mineralogy and chemistry of slag could be mobi-
lized to develop a very fine pore structure that is far superior to that of Portland
cement concrete. Such a fine pore structure can impart a very high resistance to
concrete to the transport of sulfate and chloride ions and water.
Nagao et al. proposed a new composite pavement base material made of
steel-making slag and BF slag. When the new composite base material was pre-
pared by mixing steel-making slag, air-cooled slag, and granulated blast furnace
slag in proportions of 65 percent, 20 percent and 15 percent, respectively, it was
found to have material properties and placeability similar to those of conven-
tional hydraulic and mechanically stabilized slags.51 Also, it was found feasible
to quickly and economically suppress the swelling of steel-making slag by the
hot water immersion that involves hydration reaction at 70◦ to 90◦ C, under which
 IRON AND STEEL INDUSTRY 61

TABLE 1.14 Compressive Strength Development of

Slag Concrete

Mix Age, Days Compressive Strength, (MPa)

A 1 7.20
B 1 4.10
A 3 28.90
B 3 19.00
A 7 39.00
B 7 27.40
A 28 46.80
B 28 34.20
A 90 54.90
B 90 38.20
A 180 57.10
B 180 36.47
Source: R. N. Swamy, “Concrete with Slag: High Performance
and Durability without Tears,” 4th International Conference on
Structural Failure Durability and Retrofitting, Singapore (1993),
pp. 206– 236.

slag can be stabilized in 24 hours at an expansion coefficient of 1.5 percent or

less, as proposed by Japan Iron and Steel Federation.
One of the interesting research efforts in Egypt to find fields of application
for iron and steel slags among other waste materials is the project carried out
by Morsy and Saleh from 1994 to 1996.52 This project was funded by the Sci-
entific Research and Technology Academy to investigate the technically sound
and feasible utilization of two solid-waste materials, iron and steel slags, and
cement dust, in addition to some other different liquid wastes. The study dealt
with BF slag, both air-cooled and water-cooled, and BOF slag. The use of such
slags in road paving as a base, subbase, and surface layers was examined through
laboratory and pilot field tests. The results proved that these slags are suitable for
use in all paving layers. Better performance and higher California bearing ratio
were obtained for slags compared to conventional stones. The Egyptian stan-
dards for ballast require that the weight of cubic meter of ballast not be less than
1.1 metric tons, and that Los Angeles abrasion ratio does not exceed 30 per-
cent. Test results showed that the properties of iron and steel slags surpassed the
requirements of these standards and can be used as ballast provided that suitable
grading is maintained.
Another study performed in Egypt in 1997,47 by the Institute of Graduate
Studies and Research at Alexandria University in conjunction with Alexan-
dria National Iron and Steel Company, was aimed at investigating the use of
EAF slag as road-paving base material and as coarse aggregate for producing
concrete suitable for applications such as wave breakers, sidewalk blocks and
profiles, and manhole covers. The physical and chemical properties of EAF slags
62 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

TABLE 1.15 Marshall Test for Asphalt Concrete Containing Slag

Asphalt Unit Stability Flow/ Voids Voids

Content, Weight (Ib) inch in Agg., in Total
percent (Ib/ft3 ) percent Mix

3.5 2.62 2279 10.2 14.8 9.2

4.5 2.72 2726 11.7 14.3 5.9
5.5 2.77 2550 12.4 14.5 3.5
6.5 2.73 2100 15.9 15.6 1.5
Design criteria – >1800 8–18 >13 3–8
Source: M. El-Raey, “Utilization of Slag Produced by Electric Arc Furnace at Alexandria National
Iron and Steel Company,” Institute of Graduate Studies and Research, Alexandria University— Egypt,
1997.

of different ages were determined. EAF slag was crushed to the desired size
and the applicability of slag in producing asphalt concrete was tested labora-
tory by the Marshall test. Table 1.15 shows some of the results obtained for
asphalt concrete containing slag. The test results proved that slag asphalt con-
crete could, in general, fulfill the requirements of the road-paving design criteria.
EAF slag was successfully used as a coarse material for the base layer in a field-
scale test.
The study also covered the use of EAF slag as coarse aggregate for concrete,
and the obtained results revealed that slump values for slag concrete were lower
than those of gravel concrete by 33 percent for the same water/cement ratio. The
unit weight of slag concrete was found to be 2.6 to 2.7 t/m3 . It ranged from
2.35 to 2.38 t/m3 for gravel concrete. The higher unit weight is attributed to the
higher specific gravity of slag compared to gravel, 3.5 and 2.65, respectively.
For the same cement content and water/cement ratio, and at both early and later
ages, slag concrete exhibited higher compressive strength than gravel concrete,
with an average increase of 20 percent at 7 days age and 10 percent at 28 days
age. The same classical effects of water/cement ratio, aggregate/cement ratio,
and curing on gravel concrete were observed for slag concrete. From a durability
point of view, no sign of self-deterioration was noticed for slag concrete. Slag
concrete has been successfully applied in manufacturing sidewalk blocks and
profiles, manhole covers, and balance weights.
Korany and El-Haggar investigated the utilization of different slag types as
coarse aggregate replacements in producing building materials, such as cement
masonry units and paving stone interlock.53 Cement masonry specimens were
tested for density, water absorption, and compression and flexural strengths. The
paving stone interlocks were tested for bulk density, water absorption, com-
pressive strength, and abrasion resistance. They also studied the likely health
hazards of the proposed applications. The test results proved in general the tech-
nical soundness and suitability of the introduced ideas. Most of the slag solid
brick units showed lower bulk density values than the commercial bricks used
for comparison. All slag units exhibited absorption percentages well below the
ASTM limit of 13 percent. A substantially higher compressive strength results
 IRON AND STEEL INDUSTRY 63

25 3625

Compressive strength (MPa)

Compressive strength (psi)

20 2900

15 ASTM load bearing 2175

10 1450

5 ASTM nonload bearing 725

0 0
0 7 14 21 28
Age (days)

FIGURE 1.30 Development of compressive strength with age for solid brick groups at
100 percent slag replacement levels. (Source: Y. Kourany and S. M. El-Haggar, “Utilizing
Slag Generated from Iron and Steel Industry in Producing Masonry Units and Paving
Interlocks,” 28th CSCE annual conference, June 7–10, 2000, London, Ontario, Canada.)

were reached for all masonry groups at 28-day age compared to the control and
commercial bricks as seen in Figure 1.30. All test groups showed higher com-
pressive strength than the ASTM limit of 4.14 MPa for nonload-bearing units. At
slag replacement levels higher than 67 percent, all groups resulted in compres-
sive strength higher than the ASTM requirement of 13.1 MPa for load-bearing
units. All slag types resulted in paving stone interlocks having water-absorption
values far below the ASTM limit, as shown in Figure 1.31. All slag paving stone
interlocks showed higher compressive strength and abrasion resistance than the
control specimens made of dolomite. Moreover, the proposed fields of applica-
tion were found to be safe to the environment and have no drawbacks based on
the heavy metals content and water-leaching test results.
Szekely proposed a comprehensive research program to reduce fume formation
in the BOF and EAF, find an effective approach to reduce and utilize steel-making
slag, and to effectively use the oily sludge produced in rolling mills.44 Related
environmental problem areas were discussed and preliminary solutions were iden-
tified. From Szekely’s viewpoint, although several technologies are available for
treating EAF dust, they are quite expensive, and satisfactory solutions for the EAF
dust problem have not yet been produced. He suggested some possible solutions
worthy of exploration, such as modifying the charging, blowing, and waste gas
exhaustion system to minimize dust formation. Another proposed solution is to
examine the composition of the dust produced during different phases of furnace
operation and, if appropriate, segregates the recovered dust.
Some of the methods used to turn steel plant dust into a valuable raw material
were described by one of the solid waste processing companies in its article
published 1997.54 One of the commonly used methods is micropelletizing, where
dust is mixed with lime as a binder and is pelletized to produce a fine granular
64 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

5.5

Water Absorption (%)

4.5

4
BF slag
BOF slag
3.5
EAF slag
Commercial paving stone
3

2.5
0 20 40 60 80 100
Replacement Level (%)

FIGURE 1.31 Comparison between absorption ratios of the different slag types with
replacement level. (Source: Y. Kourany and S. M. El-Haggar, “Utilizing Slag Generated
from Iron and Steel Industry in Producing Masonry Units and Paving Interlocks,” 28th
CSCE annual conference, June 7–10, 2000, London, Ontario, Canada.)

form, the major proportion being in the size range of 2 to 3 mm with a total size
range of 1 to 10 mm. The water content is adjusted to 12 percent during mixing
and the pellets are air-cured for a minimum of three days before charging to the
sinter plant, where they account for 3 percent of the total charge. The article
also addressed the direct injection process currently on trial in Germany and the
United Kingdom, where injection is used to pass fine dust into the liquid metal
in the furnace. Fine dust is blended with hydrating dusts such as burnt lime and
carbon. The metal oxide content of the material is about 70 percent and has a
particle size range of 0 to 8 mm, making it ideal for direct injection into a range
of furnaces.

Final Remarks
Besides the economic and technical importance of utilizing waste materials gen-
erated from the iron and steel industry, this activity is of great importance from
the environmental protection point of view, as well as conservation of natu-
ral resources. The first environmental impact is the useful consumption of the
huge stockpiles of these waste materials. When these waste materials are used
as replacements for other products such as cement, the natural resources that
serve as raw materials are preserved. Also, air pollution levels will be reduced
due to the reduction in fuel consumption. All slag types should be treated as
byproducts rather than waste materials. All existing and new steel plants should
have a slag-processing unit within the factory property to extract steel from slag
and to crush the slag and sieve it to the desired grading for ease of promotion.
 WASTE INDUSTRY 65

WASTE INDUSTRY

This is a new industrial sector, and the most challenging industrial sector to
be addressed all over the world. The challenging part came from the nature of
the waste industry because it is a multi-industrial activity containing all types
of wastes, including hazardous wastes. This sector will utilize the wastes as a
byproduct in order to conserve the natural resources through the cradle-to-cradle
concept and reach sustainability. Sustainability or sustainable development will
never be achieved without conservation of natural resources. Therefore, the
main indicator for sustainability is life cycle assessment (LCA), based on the
cradle-to-cradle concept, not cradle-to-grave concept, as discussed before. In
other words, cradle to cradle is the indicator for sustainability. The degree to
which cradle to cradle is achieved will give an indication of how close the
industry or any manmade activity is to sustainability.1
Waste industrial sector can be classified into four categories: (1) direct waste
recycling industry, (2) multiple waste recycling industry, (3) waste exchange net-
work industry, and (4) environmentally balanced industrial complexes (EBICs).
Direct waste industry that can relay on specific type of waste to be recycled
on-site or off-site. This category is the most common type of waste industry
to convert waste into products. Some additives might enhance the quality of
products.
Multiple waste-recycling industries integrate more than one type of waste as a
raw material in order to enhance the properties of the products. For example, use
of spent foundry sand, which is hazardous waste from metal foundry industries,
to enhance the properties of recycled mixed plastics from the plastics industry
will be discussed next section (Multiple Waste Recycling Industry). Each waste
stream represents an environmental problem for their related industry. Combin-
ing each waste together with a certain percentage will enhance the properties of
new products. Some additives might be added according to product’s specifica-
tions. Another example, discussed in Cement Industry section, is adding cement
kiln dust (CKD) with agricultural waste to municipal sludge to produce soil
conditioner. CKD will treat the sludge by killing all parasites including Ascaris
eggs through high PH of CKD. Agricultural waste will act as a bulking agent to
convert this mixture into a soil conditioner suitable for land reclamation.
The third category is the waste exchange network industry by integrating a
new waste-related industry (based on waste generated from the current industry)
into the current industry to recycle their waste, such as different new industries
initiated in Kalunbourg industrial estate in Denmark located 75 miles west of
Copenhagen based on waste generated from the current industries, as will be
discussed later. This category can also be called industrial symbiosis or byproduct
exchange (bpx) network.
The fourth category is environmentally balanced industrial complexes
(EBICs), developed by Professor Nelson Nemerow to approach zero pollution.55
EBICs can be defined as a selective collection of compatible industrial plants
located together in one area “complex” to minimize both environmental impact
and industrial production costs.
66 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Waste Preprocessing Processing Product

Additives

FIGURE 1.32 Direct waste recycling industry.

Direct Waste Recycling Industry

This category is commonly used within the industrial process (on-site recycling)
to recycle the waste from within the process, or it could be off-site recycling
within small microenterprises (SMEs) to recycle a certain type of waste, as shown
schematically in Figure 1.32.
On-site recycling involves returning the waste material either to the original
process as an input material or to another process as input material (inside the
same factory). In other words, on-site recycling means re-entering the waste into
the process as a substitute for an input material or sent as useful by products
or raw material for other processes within the same factory. For example, in the
plastic industry, any plastic waste from the industrial process can be added with a
certain percentage to the virgin raw material to control the mechanical properties
and costs. Another example in the pulp and paper industry, the fiber recovery
from white paper, the surplus pulp fiber, paper mill off cuts and damaged paper
rolls are recycled back into the pulping process. A third example, in oil and soap
industry, the gravity oil separator (GOS) will separate the oil from the industrial
wastewater stream by gravity and return it back to the industrial process.
Off-site recycling implies that the recycling process takes place by another
party that recycles the industrial wastes or at the postconsumer stage such as
municipal solid waste. There are companies that specialize in recycling the spe-
cific wastes. They buy certain types of wastes, recycle them, and then sell them
back to other industries or direct to consumers.
Advanced direct waste recycling industry could also be included within this
category such as converting recycled polypropylene (PP) into the properties of
polycarbonate (PC) blends by adding some additives such as fire-retardant, impact
modifier, ultraviolet stabilizer and antioxidant.56 This additives will modify the
properties of recycled PP into the properties of PC. This new material can replace
the PC blends in some applications such as garden spotlights (outdoor lighting)
and three-phase circuit breaker boxes. This new material based on recycled PP
will maintain a good quality for the product with less cost.

Multiple Waste Recycling Industry

This category can include different wastes together to enhance the properties of a
product and reach a certain specification. The famous waste exchange mechanism
applied in different countries can help developing this category, such as:
 WASTE INDUSTRY 67

Waste 1

Waste 2 Processing Product

Waste 3

Additives
(a)

Additives

Foundry Sand
Waste

Processing Product

Thermo plastic
Waste

(b)

FIGURE 1.33 Multiple waste recycling industry (a) general (b) specific

• Use of foundry sand as a reinforcement to enhance the properties of plas-

tics in different applications as will be discussed in the next section and
represented schematically in Figure 1.33.
• Thermosets such as Milamean cannot be recycled directly by direct waste
recycling method. Adding thermoset waste into thermoplastic waste will
enhance the properties of the products as discussed before.
• Polystyrene foam can be recycled by crushing through shredding machine,
and then melted. The melted product can be crushes again and mixed with
PP to give the product some ductility and recycle the produced mixture.

Waste Exchange Network Recycling Industry

This is the most important category within the waste sector to develop a new
industry within the existing industries and should be developed in coopera-
tion with the mother industries to guarantee sustainability. Promoting this cat-
egory will enhance not only the conservation of natural resources to approach
68 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

cradle-to-cradle concept and the protection of the environment, but also will
disseminate the culture of waste industry within the industrial communities and
decision makers. This promotion will lead to the end of construction of any new
disposal facilities such as landfills or incinerators. The italicized word cooper-
ation mentioned before is very important to guarantee a continuous supply of
raw materials (wastes) and reach sustainable development. This industrial cate-
gory should be located any where between the waste generators to minimize the
transportation cost. The most famous examples of waste integration category are
the new industries established within Kalundborg industrial estate in Denmark.
New industries joined Kalunbork Industrial Estate (eco-industrial park) based on
the waste of the core industries as a byproduct as shown in Figure 1.34. They
ended up with the following added new industries:

• Gyproc —plasterboard production: Asnaes power station “mother com-

pany” installed a desulfurization unit to remove sulfur from its flue gases,
which allows it to produce calcium sulfate (gypsum). This is the main
raw material in manufacturing of plasterboard at Gyproc. By purchasing
synthetic “waste” gypsum from Asnaes power station, Gyproc has been
able to replace the natural gypsum that is imported from Spain.

2. Gas 1972

13. Ammonium thio sulphate Statoil

Refinery 1. Surface water 1961 Lake Tisso
14. Tech 15.
water 1991 Tech
water 11. Cooling 3. 1973 10.
1991 water Surface
Reuse water
1987
basin 9. Steam 1987
Gyproc 1982
18. Drain
water 1995 8. Steam 1982
Asnaes Power
Station
16. Gypsum 1993

5. Fly ash 1979

6. Heat 1980/89 NovoNordisk
+
Cement Novozymes
industry Fish
7. Heat 1982 Farms
4. Biomass/
NovoGro 1976
12.
Yeast
The Municipality slurry
Bioteknisk 19. Sludge 1989
Jordrens of Kalundborg 17. Waste
Soilrem water 1995 Farms

FIGURE 1.34 Waste exchange network recycling industry, Kalundborg Industrial sym-
biosis in 2000. (Source: Laura Saikkuu, “Eco–Industrial Parks: A Background Report for
the Eco-Industrial Park Project at Rantasalmi,” Finland: Publications of Regional Council
of Etela–Savo, 2006.)
 WASTE INDUSTRY 69

• Fish farm —consists of 57 fish ponds: Asnaes Power Station started fish
farming to solve the problem of thermal pollution generated from the cooling
water. The seawater used to cool the condenser of the thermal power plant
was utilized to develop an artificial fish farm; the fish grew faster in such a
warm temperature.
• Fertilizer: Regulation in Denmark placed significant restriction on the dis-
charge of organics into the sea. Since Novo Nordisk (main company) used
to mix the industrial sludge (organic) with wastewater and discharge it to
the sea, it found out the most cost-effective way for sludge disposal is to
convert it into fertilizer and give it to the nearby farmers.
• Cement company —Aalborg Portland and road paving: Asnaes Power Sta-
tion (main company) using coal as a fuel source and produced a huge
quantity of ash to be landfilled. Asnaes Power Station started to sell fly
ash to cement factories to reduce the cost of waste disposal in landfill and
gain money for further development. They built Ash silo with an unloading
facility to accomplish this duty.
• Kemira —a sulfuric acid producer: Statoil refinery process the oil and sep-
arate the sulfur from the oil to produce high quality fuel. Statoil refinery
begins selling sulfur to Kemira in Jutland. Excess gas from the operations at
the Statoil refinery is treated to remove sulfur, which is sold as raw material
for the manufacturing of sulfuric acid at Kemira.

Another subcategory can also be fitted within this category to use the waste of
one plant as one of the raw material to be replaced for another plant. The waste
generated from iron and steel industry, such as water-cooled slag and air-cooled
slag, can be used to replace natural resources as:
• Grinding water-cooled slag produced from iron and steel industry discussed
before to be mixed with raw cement to produce a special type of cement
• Cutting air-cooled slag produced from iron and steel industry discussed
before to be used as an aggregate in flexible pavement or interlocks to
enhance the properties and reduce the use of natural resources

Environmentally Balanced Industrial Complexes

Environmentally balanced industrial complexes are a selective collection of com-
patible industrial plants located together in one area “complex” to utilize the waste
of one plant as the raw materials for another plant with minimum transportation
and storage facilities. This category will reduce the overall production cost sig-
nificantly because it eliminates waste treatment cost, reduces raw material cost
“substituted by waste,” minimizes storage facility and transportation cost as well
as reducing pollution and protects the environment. A number of EBICs were
investigated and proposed to produce zero waste out of such complexes, such as
sugarcane complexes, tannery complexes, textile complexes, pulp and paper mill
complexes, fertilizer–cement complexes, fossil fuel power plant complexes, steel
mill fertilizer–cement complexes, cementlime, and power plant complexes.55
70 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

MULTIPLE WASTE RECYCLING INDUSTRY

Thermoplastics bags generally may be recycled under the condition that they
are not contaminated as discussed before in plastic industry section. If they are
contaminated, then usually they are burned or landfilled. They are often referred
to as plastic rejects, such as black garbage bags. This is basically due to the
fact that it is too expensive to recycle these plastics. They require immense
amounts of water, chemicals, and energy in order to clean them, which defeats
the purpose of conservation in the first place. At this point, it is noteworthy to
mention that the objective of this case study is to use rejected plastic waste that
is no longer usable. Hence, the product that will be produced will naturally have
lower physical and mechanical properties than that of virgin plastic material. It
may be used as a basis of comparison, but the properties of the products can
be improved by using foundry sand waste (hazardous waste) as a reinforcing
material for thermoplastics.
The objective of this case study is to investigate the reinforcement of contami-
nated thermoplastic rejects discussed under “Unrecyclable Plastics” with foundry
sand waste as a reinforcing material. Rejected plastics are either burned, pro-
ducing harmful emissions into the air causing pollution; landfilled, causing the
inefficient use of land that could otherwise be used for more beneficial purposes;
or left on the streets, causing visual pollution and potential health hazards, as well
as depleting the natural resources. The mechanism of utilizing rejected plastics
would be by heating the rejects indirectly at high temperatures (150◦ to 250◦ C)
and then reinforcing it with foundry sand waste and regular sand to enhance its
strength. The case study investigates the mechanical and environmental prop-
erties of this new material. Each of these reinforcing materials will be used in
combination with the rejected plastics in varying quantities. Through this, not
only will this material be able to eliminate the pollution of air, water, and land,
but will also be able to utilize a certain waste as a new material, and thus not
deplete the earth’s natural resources. It will also be able to save energy through
the means of conserving a certain waste, thus conserving material and energy,
and it will be able to save costs of waste material by using it as a raw material
for another product. This will not only save the cost of the waste material, but
also make a profit from the new product made of this new recycled of unrecy-
clable material. It will be a tool in approaching the concept of cradle to cradle
and will ultimately protect the environment by producing zero waste through this
mechanism of efficient use.
Seven different samples were used in this case study to mix plastic rejects with
different percentages of foundry sand waste and regular sand. The two reinforcing
agents that were added to the plastic rejects were added in varying percentages
to determine the most efficient combination. The percentages of each material
are relative to the total weight of the mix. For simplicity and ease, each mix
had a total weight of 1 kg. The seven mixes and their designated percentages are
shown in Table 1.16.
As shown in Table 1.16, there were a total of seven mixes, including the
control mix with 100 percent plastic rejects and no reinforcing agent. All the other
 MULTIPLE WASTE RECYCLING INDUSTRY 71

TABLE 1.16 Combination of Mixes with Designated Percentages

Sample No. Plastic Rejects Foundry Sand Regular Sand

(percent) Waste (percent) (percent)

1 100 0 0
2 90 10 0
3 80 20 0
4 70 30 0
5 90 0 10
6 80 0 20
7 70 0 30
Source: S. M. El-Haggar and L. El-Hatow, “Reinforcing Thermoplastics Rejects with
Foundry Sand Waste,” Submitted for publication to ASCE (2007).

variable mixes are compared to this control mix. The percentage reinforcements
are a percentage of the total weight of the sample.

Mechanical Tests
Tensile strength and flexural strength were investigated for different sand con-
tents to determine their impacts as a reinforcement material on the mechanical
properties of plastic rejects.

Tensile Strength Test To determine the properties of tensile strength of

the specimens, tests were done in accordance with ASTM D3039–00.57 Tensile
strength test was performed in order to determine the ultimate tensile strength.
Specimens were machined to dimensions of 25 by 250 by 2.5 mm in accordance
with ASTM D3039–00. Gauge length was 100 mm, with the grips firmly holding
the tabs. The tensile test occurs on a universal testing machine (UTS). Standard
ribbed grips were used to hold the specimen in place. A constant head speed of
5 mm/min was used to allow for failure anywhere between 1 and 10 minutes.
The tensile properties for the different reinforcing elements showed great sig-
nificance in the way the material behaves, as shown in Figure 1.35. In terms
of foundry sand reinforcement of the plastic rejects, the results show that 10
percent reinforcement was the most suitable percentage that gave the highest
tensile strength of 19.13 MPa. As for regular sand, 10 percent reinforcement
was also the most suitable percentage that gave the highest tensile strength of
19.11 MPa. However the trend of foundry sand reinforcement curve in compar-
ison to the regular sand reinforcement curve shown in Figure 1.34, shows that
both sands reached a highest tensile strength of 19 MPa at 10 percent reinforce-
ment and then declined with 20 percent and 30 percent, however the degree of
decline of the regular sand in comparison to the foundry sand was much steeper.
The regular sand declined much worse than the foundry sand, indicating the pos-
sibility that the heavy metals within the foundry sand, in fact, have a promising
effect on the tensile strength. Foundry sand was shown to be a better reinforcing
72 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

Ultimate Tensile Strength (MPa)

25

20

15

10

0
0 10 20 30
% Sand Content
Foundry sand
Regular sand

FIGURE 1.35 Tensile strengths of Composite material with foundry sand and regular
sand. (Source: S. M. El-Haggar and L. El-Hatow, “Reinforcing Thermoplastics Rejects
with Foundry Sand Waste,” Submitted for publication to ASCE (2007).)

element in plastic rejects than regular sand, which is an optimistic observation

considering the fact that foundry sand is also a hazardous waste.
When the best percentages of both reinforcing elements were selected and
compared, many observations can be seen. First, it can be noted that both
reinforcing elements showed improvement from the 0 percent no-reinforcement
specimens. Second, the highest tensile strength resulted from reinforcement with
foundry sand waste with 10 percent reinforcement, followed by regular sand with
10 percent reinforcement.

Flexural Test To determine the properties of flexural strength of the specimens,

tests were done in accordance with ASTM D 790-03 [2003]. The flexural test was
performed on the specimens in order to determine the ductility of the specimens
as well as their flexural strength. Specimens were machined to dimensions of
127 by 12.7 by 4.5 mm in accordance with ASTM D790-03. Gauge length was
70 mm, with a span to depth ratio of 16. The flexural test occurs on a universal
testing machine (UTS). A flexural apparatus was constructed to hold the specimen
in place and allows for a three-point bending test. The apparatus was placed and
aligned on the UTS machine with two concentric compression plates below and
above the apparatus to allow it to function properly. A constant head speed of
2 mm/min was used to allow for failure anywhere between 1 to 10 minutes. The
flexural strength for the different reinforcing elements showed varying results.
The maximum flexural load of the composite material, reinforced with foundry
sand waste and regular sand, are shown in Figure 1.36.
The foundry sand reinforcement of the plastic rejects, the 10 percent rein-
forcement shown to have the highest flexural strength with a maximum flexural
 MULTIPLE WASTE RECYCLING INDUSTRY 73

40
35

Flexural Strength (N)

30
25
20
15
10
5
0
0 10 20 30
% Sand Content

Foundry sand
Regular sand

FIGURE 1.36 Maximum flexural load of composite material with foundry sand and
regular sand. (Source: S. M. El-Haggar and L. El-Hatow, “Reinforcing Thermoplastics
Rejects with Foundry Sand Waste,” Submitted for publication to ASCE (2007).)

load of 34.3 N, which is higher than the 0 percent no-reinforcement value. The
regular sand reinforcement of the plastic rejects proved that the 10 percent rein-
forcement was the best percentage of regular sand reinforcement, with a 33.3 N
maximum flexural load. This value was significantly greater than the 0 per-
cent no-reinforcement value. All the regular sand and foundry sand percentage
reinforcements were significantly higher than the 0 percent no-reinforcement
specimens and thus showed that their addition was enhancing the flexural strength
of the specimen by reinforcing it with either regular sand or foundry sand. From
Figure 1.36, it is evident that 10 percent foundry sand reinforcement was the
best reinforcement in terms of flexural strength and gave the highest value
that superseded all other values. The 10 percent regular sand value came in
second best.

Environmental Tests
Chemical Resistance Test To determine the properties of chemical resis-
tance of the specimens, tests were done in accordance with ASTM D543-95.58
Thus, the specimens were tested toward their resistance to an acidic solution.
Sulfuric acid with a pH of 3 was chosen, due to the fact that it plays a dual role
of examining the effect of its high acidity and its sulfates content. Sulfates may
also be corrosive and thus must be investigated. The specimens were measured
for dimensions and weight prior to immersion into the acid. They then remain
immersed for seven days in the acid and are then removed and are measured
for dimensions and weight. The difference is recorded, and the differences in the
74 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

specimens are examined and analyzed. It is expected that the acid should not
affect the plastic specimens and that they should be able to withstand chemical
resistance quite well. From this it can be assumed that the specimens will be
quite resilient to chemicals.
The specimens were immersed in sulfuric acid for a week to determine their
resistance to high acidic solutions of pH 3. The specimens’ weight and dimensions
were measured before and after the immersion. The results indicated that the
specimens’ dimensions did not change. Thus, it can be said that the composite
material has high chemical resistance to acids and to sulfates, and will thus be
useful in many applications such as manhole covers and bases.

Leachate of Heavy Metals The leachate test is necessary due to the heavy
metals existing in the reinforcing element of foundry sand. According to both
Abou Khatwa et al.9 and Ibrahim,59 the recycled plastic rejects did not leach
any heavy metals that were worth noting, and thus were deemed safe. The exis-
tence of heavy metals in these specimens with the foundry sand reinforcement is
minimal. The leachate test is done in accordance with ASTM D3987-85.60 The
foundry sand waste was tested separately for heavy metals, as well as the mixed
composite specimen in two separate containers. The specimen and the foundry
sand waste were immersed in distilled water for 18 hours, and then tested for pH,
total hardness, and heavy metals of magnesium and silicon. A MACH DR/2000
direct reading spectrophotometer was used to analyze the heavy metals in the
composition.
The solid specimen and the foundry sand were separately immersed in distilled
water for 18 hours with continuous shaking to allow for any leachate material
to be extracted from the designated samples. The liquid was then filtered. When
this was complete, the pH and total hardness were analyzed, upon which the Mg
hardness and thus the Mg concentration were calculated. In order to determine
the silicon concentration, however, the two samples were heated at 90◦ C until
the liquid evaporated to 10 ml. This is done in order to separate any organic
material from the liquid. The samples are then tested on the spectrophotometer
for silicon concentration. Table 1.17 shows the results of the leachate test; it
can be seen that the foundry sand as a separate entity contained a significant
composition of heavy metals of Mg and Si, while the solid specimen of recycled
plastic with reinforced foundry sand contained no leachate material with these

TABLE 1.17 Results of Leachate Test

Sample pH Total Hardness Mg Hardness Mg Concentration Si Concentration

(mg/L) (mg/L) (mg/L) (mg/L)

Specimen 6.45 0.0 0.0 0.000 0.001

Foundry Sand 9.58 1.6 1.6 0.384 41.11
Source: S. M. El-Haggar and L. El-Hatow, “Reinforcing Thermoplastics Rejects with Foundry Sand
Waste,” Submitted for publication to ASCE (2007).
 MULTIPLE WASTE RECYCLING INDUSTRY 75

heavy metals composition. The pH of the solid specimen is quite close to that of
distilled water, although that of the foundry sand waste was quite alkaline with
a pH of 9.58. From these results it can be inferred that foundry sand waste as
an entity contains the heavy metals of Mg and Si; however, when it is used as a
reinforcing element in plastic rejects, the melting and thus solidification process
enables these heavy metals to dissolve and thus does not pose a threat to the
final recycled plastic specimen in terms of leachate material.

Final Remarks
It was shown from the data within the case study that contaminated plastic rejects
combined with hazardous waste as a reinforcing elements proved to have durable
and environmentally friendly properties that allow this new material to be used
as an application in different products such as manhole cover and base. Through
analysis of the material with difference percentage reinforcements, it was shown
that foundry sand waste at 10 percent reinforcement showed the most promising
results.
The environmental-related tests proved to show that material is highly resistant
to acidity and thus will not corrode away in many applications of highly acidic
applications such as sewer systems. The environmental-related tests also showed
that the material does not produce any harmful leachate that may be toxic to
the waters or surrounding areas, even though the leachate of the foundry sand
contained heavy metals and thus might contaminate the soil and surface water as
a result of land disposal. The heavy metals in the foundry sand dissolved upon
the solidification process with the plastic rejects to become the new paste, and
thus no longer became a problem.
In terms of economics, this new material made out of two hazardous waste
will have a lot of benefits, such as saving the disposal cost and saving the natural
resources, as well as protecting the environment. In order to recycle contaminated
plastic rejects, the plastic first must be washed and cleaned with water in order
to be deemed recyclable. This has often been very costly, and consumes a lot of
water, energy, and labor. However, by recycling this contaminated material as
is, we are not only saving water, energy, and labor, but also using a waste that
previously had been incinerated, causing harmful emissions. This case study has
shown that the mechanical properties of this new recycled material in no way
match the properties of virgin plastic; however, when reinforced with different
reinforcing elements such as foundry sand waste (a potential health hazard and
waste), the properties of this material increase to an extent that enables it to be
used in many applications. Foundry sand waste is in fact a waste material, and
thus generally has no cost. Regular sand has also shown promising results in
terms of durability; however, regular sand may be considered a natural resource
of considerable use and thus might not be the more suitable material. Through this
analysis, it can be seen that the benefits outweigh the costs incurred to produce a
product out of this new composite material to alleviate the environmental hazards
associated with this product.
76 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

DISPOSAL OF INDUSTRIAL WASTES

Disposal of industrial waste can be done according to a cradle-to-grave system

through incineration and/or landfill. Incineration will convert the industrial solid
wastes (hazardous or nonhazardous) into ash that requires landfill for final dis-
posal. According to international regulations, industrial hazardous wastes should
be treated first before landfill.
Incineration is the process of thermally combusting solid waste and converting
it into ash or briefly incinerating it in a thermal treatment process. There are
various types of incinerators. The type used depends on the type of waste to
be burnt. Conceptually, incinerators for solid wastes can be classified into (1)
rotary kiln incinerator, (2) grate type incinerator, and (3) fluidized bed incinerator.
Rotary kiln incinerator can handle both liquid wastes as well as solid wastes.
Grate type incinerators are used for large, irregular-shaped solid waste to allow
air to pass through the grate from below into the wastes. The fluidized-bed type
incinerator is used for liquid, sludge, or uniformly sized solid waste.
The main advantage of the incineration process is to reduce the amount of
solid waste into 10 percent (ash). Energy may be recovered from the incin-
eration process. But, the cost of energy produced from waste is higher than
the traditional system of energy conversion system. The main disadvantages of
incineration are (1) high capital cost, (2) high running cost for operation and
management, and (3) disposal of ash resulting from incineration is another added
cost. The mismanagement of incineration process may cause severe damage to
the environment.
Industrial solid waste and/or ash produced from the incineration process should
be landfilled. A landfill is a very complicated structure, very carefully designed
either into or on top of the ground in which industrial solid waste is isolated
from the surrounding environment. There are many steps before starting to con-
struct a landfill. The first step is to choose a suitable site. Site location is one of
the very important steps to avoid any impacts on the surrounding environment.
After choosing the appropriate location for a landfill, the designing process starts.
Beside the design of the lining and coverage of the landfill, a leachate collection
system, biogas collection system and a stormwater drainage system should also
be designed and planned for implementation during operation. The bottom liner
isolates the industrial solid waste from the soil preventing the groundwater con-
tamination. The liner is usually some type of durable, puncture-resistant synthetic
plastic (polyethylene, high-density polyethylene, polyvinyl chloride). In landfills
constructed below surface level, a side-liner system is used in mechanical resis-
tance to water pressure, drainage of leachate, and prevention of lateral migration
of biogas.

The main disadvantage of landfill is high capital cost for construction as well as
high operation cost for compaction, daily cover, leachate treatment, and so on. The
mismanagement of landfill may cause a severe impact on the environment. The
major disadvantage of both incineration and landfill, over and above the previously
 REFERENCES 77

mentioned disadvantages, is depletion of natural resources that lead to unsustainable

solid waste management system.

Thus, one can see the tragedy of depleting the natural resources under the title
“waste disposal,” through incineration or landfill. For example, 60 percent of our
precious stone resource is wasted in the marble and granite industry, our envi-
ronment is polluted, and our health is put at risk. We need to put an end to this
disaster by conserving the natural resources through cradle-to-cradle concepts as
discussed before. We need to close our material and energy cycles, and apply
cradle-to-cradle concepts. Industrial sectors should be approached as discussed
throughout this chapter. All parties should cooperate to reduce wastes and emis-
sions. The governments should issue strict rules controlling or prohibiting the
use of landfills and/or incinerators and providing alternatives. Alternatives is the
key word for sustainable industrial waste management to be able to develop a
full utilization of natural resources and cradle-to-cradle approaches. Utilization
of the waste needs to be researched through academic institutions and research
centers to add value not only to individuals but also to the globe.

REFERENCES

1. M. El Haggar, Sustainable Industrial Design and Waste Management: Cradle to Cradle

for Sustainable Development , Elsevier Academic Press, 2007.
2. Japan Environmental Agency, Ippan Haikibutsu No Life Cycle to Mondaiten (Life Cycle
and Problem of Waste), Tokyo, 1998.
3. Tec Eco Pty. Ltd. Sustainable Technologies, “Life Cycle Analysis,” 2006, www.tececo.
com/sustainability.life cycle analysis.php
4. S. M. El-Haggar, “Cradle-to-Cradle For Industrial Ecology,” Advances in Science and
Technology of Treatment and Utilization of Industrial Waste, CMRDI and University
of Florida, US–Egypt Joint Fund, Cairo, Egypt, June 6–10, 2004.
5. Recycling Plastics. ODNR, 2005, http://www.dnr.state.oh.us/recycling/plastics/rates.
htm.
6. E. Wogrolly, M. Hofstatter, and E. Langshwert, “Recycling of Plastic Waste,” Advances
in Material Technology Monitor, 2 (4) (1995): 1–6, Vienna: United Nations Industrial
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in Subtropical Climates,” Int. J. Environment and Pollution, 9 (4) (1998).
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(1) (1999): 97–103.
78 INDUSTRIAL SOLID WASTES UTILIZATION AND DISPOSAL

12. G. Tchobanoglous et al. Integrated Solid Waste Management , McGraw–Hill, New York,
1993.
13. S. M. El-Haggar, S. M. Ahmed, and M. M. Hamdy, “Production of Compost from
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14. S. M. El-Haggar, B. E. Ali, S. M. Ahmed, and M. M. Hamdy, “Increasing Nutrients
Solubility from Natural Rocks During Composting of Organic Wastes,” Minia Journal
of Agricultural Research and Development , 24 (1) (2004): 71–88.
15. S. M. El-Haggar, “Solid Waste Management Using Cleaner Production Technologies,”
Chapter 7 from the book titled “Environmental Balance and Industrial Modernization,”
Cairo: Dar El-Fikr El-Araby, 2003.
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umich.edu, National Pollution Prevention Center for Higher Education, University of
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Shaping and Treating of Steel , Herbrick and Held, Pittsburgh, 1985.
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of Plastics by Displacement, ASTM Standards Source, Philadelphia, 2000.
Crawford,R. J., “Plastics Engineering,” 3rd Ed., Butterworth–Heinemann, Oxford, 1998.
El-Haggar,S. M., L. El-Hatow, “Reinforcing Thermoplastics Rejects with Foundry Sand
Waste,” Submitted for publication to ASCE, 2007.
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mental Solutions,” Ed. by Nelson Nemerow and Franklin Agardy, Elsevier Academic
Press, 2005, pp. 313–400.
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Agriculture Enriched with Natural Rocks,” Egyptian Journal of Applied Sciences, 19
(7B), (July 2004c): 784–799.
http://www.euroceram.org/en/news/news 14 1.cfm, Accessed May 11, 2007.
Gouin, F. R., et al, “On-Farm Composting,” Northeast Regional Agricultural Engineering
Services, NRAES-54, Cooperative Extension, 1993.
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gov.it/new settori/main/egitto II 03.pdf. Accessed July 5, 2007.
Lardinois, Inge, and Arnold van de Klunder, “Plastic Waste,” TOOL Publications and
WASTE Consultants, Gouda, The Netherlands, 1995.
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Among Companies,” 1999.
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24 (10–11) (September 2004).
CHAPTER 2

RESIDENTIAL AND INSTITUTIONAL

ENVIRONMENT
XUDONG YANG
Tsinghua University, Beijing, China

The World Health Organization (WHO) Expert Committee on the Public Health
Aspects of Housing defined housing (residential environment) as

the physical structure that man uses for shelter and the environs of that struc-
ture including all necessary services, facilities, equipment and devices needed or
desired for the physical and mental health and social well-being of the family and
individual.1

Every family and individual has a basic right to a decent home and a suitable
living environment. However, large segments of the population in urban and rural
areas throughout the world do not enjoy one or both of these fundamental needs.
Therefore, housing must be considered within the context of and relative to the
total environment in which it is situated, together with the structure, supplied
facilities and services, and conditions of occupancy.
The realization of a decent home in a suitable living environment requires clean
air, pure water and food, adequate shelter, and unpolluted land. Also required are
freedom from excessive noise and odors, adequate recreational and neighborhood
facilities, and convenient community services in an environment that provides
safety, comfort, and privacy. These objectives are not achieved by accident but
require careful planning of new communities and conservation, maintenance, and
redevelopment of existing communities to ensure that the public does not inherit
conditions that are impossible or very costly to correct. In so doing, that which
is good or sound, be it a structure or a natural condition, should be retained,
restored, and reused.

Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry 83
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
84 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

SUBSTANDARD HOUSING AND ITS EFFECTS

Growth of the Problem

Practically all urban and rural areas contain substandard, slum, and blighted
areas.∗ The causes are numerous; they are not easily detected in the early stages
or, for that matter, easily controlled.
In the United States there has been a rapid growth in population in the suburbs.
Many of the older cities have not enlarged their boundaries and are no longer
experiencing a population increase.† Many have shown decline. The population
trend graphs (see Figure 2.1) of the city of Buffalo and Erie County, New York,
are typical of population shifts in older cities and metropolitan areas.
Between 1800 and 1910, a very rapid growth took place in the cities of the
United States due to the mass movement of people from rural to urban areas and
heavy immigration from outside the United States. Many of the newer immigrants

Population
Year Buffalo Erie Co. Total
1900 352,387 81,399 433,686
1910 423,715
1920 506,775 127,913 634,688
1930 573,076 189,332 762,408
1940 575,901 222,476 798,377
1950 580,132 319,106 899,238
1960 532,759 530,931 1,064,688
1970 462,768 650,723 1,113,491
1980 357,381 657,545 1,014,926
1990 328,123 640,409 968,532
2000 292,648 657,617 950,265

FIGURE 2.1 Population trends in city of Buffalo and in Erie County, New York.

∗
Substandard housing is said to exist when there are 1.51 or more persons per room in a dwelling
unit, when the dwelling unit has no private bath or is dilapidated, or when the dwelling unit has no
running water. Other bases used are described under “Appraisal of Quality of Living.” An extensive
definition of substandard buildings is given in the Uniform Housing Code (International Conference
of Building Officials, 5360 South Workman Mill Road, Whittier, CA 90601, 1997 edition, pp. 22–24).
A slum is “a highly congested, usually urban, residential area characterized by deteriorated
unsanitary buildings, poverty, and social disorganization” (Webster’s Third International Dictionary,
1966). A slum is a neighborhood in which dwellings lack private inside toilet and bath facilities,
hot and cold running water, and adequate light, heat, ventilation, quiet, clean air, and space for the
number of persons housed. It is also a heavily populated area in which housing and other living
conditions are extremely poor.
To blight is to “prevent the growth and fertility of; hence to ruin; frustrate” (Webster’s). A
blighted area is an area of no growth in which buildings are permitted to deteriorate.
†
The 1980 U.S. Census of Housing showed a general population increase in the “Sun Belt” states in
the South and the Southwest, but a decline or stabilizing in many other states. The U.S. Department of
Commerce, Bureau of the Census, in Patterns of Metropolitan Area and County Population Growth:
1980 to 1987 , shows continuation of this trend in the South and West but a stabilization or decline
in the Northeast and Midwest regions. Between 1950 and 1986, the percent of the total population
in the suburbs outside metropolitan statistical areas increased from 23.30 to 45.05.
 SUBSTANDARD HOUSING AND ITS EFFECTS 85

sought out their relatives and compatriots, who usually lived in cities, thereby
straining the available housing resources.
With the movement of large numbers of people to cities, urban areas became
congested, and desirable housing became unobtainable. Inadequate facilities for
transporting people rapidly and cheaply to and from work made it necessary for
many people to accept less-desirable housing in the cities, close to their work.
The inability of the ordinary wage earner to economically afford satisfactory
housing left little choice but to accept what housing was available. Some
landlords and speculators took advantage of the situation by breaking up large
apartments into smaller dwelling units, by minimizing maintenance, and by
constructing “cheap” housing.
Unfortunately, assistance or leadership from local government units to control
potential problems is slow; there is usually a lag between the creation of hous-
ing evils and the enactment of suitable corrective legislation and enforcement.
Obsolescence is another factor that causes the growth of slums. Land and property
used for purposes for which they may have been well suited in the first place
may no longer be suitable for that purpose. An example is the slum frequently
found on the rim of a central business area—originally a good residential dis-
trict convenient to work and business. This may start with the expansion or
spillover of business into the contiguous residential areas, thereby making the
housing less desirable. People next door or in the same building, desiring quiet
and privacy, move. Owners are hesitant to continue maintenance work, causing
buildings to deteriorate. The landlord, to maintain income, must either convert
the entire building to commercial use or lower rents to attract lower-income
tenants. If the landlord converts, more people leave. If the landlord lowers the
rents, maintenance of the building is reduced still further, and overcrowding of
apartments frequently follows. The progressive degradation from blight to slum
is almost inevitable. As blight spreads, so do crime, delinquency, disease, fire,
housing decay, and welfare payments.
There are areas that are slums from the start. The absence of or failure to
enforce suitable zoning, building, sanitary, and health regulations leads to the
development of shanty towns, or poor housing areas. Add to this small lots
and cheap, new, and converted dwellings and tenements that are poorly located,
designed, and constructed, just barely meeting what minimum requirements may
exist, and a basis for future slums is assured.
An indifferent or uninformed public can permit the slums to develop. The
absence of immediate and long-range planning and zoning, lack of parks and
playgrounds, poor street layout, weak laws, inadequately trained personnel to
enforce laws, pressure groups, lack of leadership from public officials, and local
key citizens, and poor support from the courts and press make the development
of slums and other social problems only a matter of time.
Population growth has been taking place outside the major older cities
(Figure 2.1), but the rate of housing construction and rehabilitation has not kept
pace with its growing needs. Federal grants and loans encouraging low-cost
housing and rehabilitation of sound housing; the high cost of new housing,
86 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

facilities, and services; and the high cost of gasoline have slowed down
the migration of people from the cities to the suburbs. The loss of housing
due to obsolescence, abandonment, decay, vandalism, and demolition further
compounds the problem. The National Association of Home Builders estimated
that more than 2 million new housing units were needed each year in the 1980s,
but costs are high and construction is not keeping pace.
According to a 1974 housing survey, lack of plumbing, leaking roofs, inade-
quate heating, and generally bad housing repair—common problems in the late
1940s—have almost been eliminated. In 1987, only 2.4 percent of the hous-
ing units lacked complete, private plumbing, compared to 45 percent in 1940.2
Generally, however, low-income families still occupy homes with defects, and
housing and neighborhoods in some sections of U.S. cities show obvious signs of
deterioration.3 In 1983, 8.9 percent of all occupied housing units were considered
physically substandard.4
It is apparent that unless the rate of new home construction is accelerated,
the rehabilitation of sound substandard dwelling units strongly encouraged, and
the conservation and maintenance of existing housing required, a decent home
for every American family will never be realized. Added to this is the continued
need to provide public housing and financial assistance to the low-income family.

Critical Period
There comes a time in the ownership of income property, particularly multiple
dwellings, when the return begins to drop off. This may be due to obsolescence
and reduced rents or an increase in operation and maintenance costs, including
utilities, fuel, and taxes. At this point, the property may be sold (unloaded); repairs
may be made to prevent further deterioration of the property; the property may
be abandoned, sold, or demolished for a more appropriate use; or a minimum
of repairs may be made consistent with a maximum return and tax payments
delayed. This is a critical time and will determine the subsequent character of
a neighborhood. In situations where repairs are not made or where a property
is sold and repairs are not made and taxes are not paid, the annual rental from
substandard property may equal or exceed the assessed valuation of the property.
A complete return on one’s investment in five to seven years is not considered
unusual in view of the so-called risks involved.
Because of this, housing ordinances should be diligently enforced and owners
required to reinvest a reasonable part of the income from a property in its con-
servation and rehabilitation, at the first signs of deterioration. This would tend to
prevent rapid deterioration, the “milking” of a property, and nonpayment of taxes.
The burden on the community to acquire and demolish a worthless structure for
nonpayment of taxes or to maintain an eyesore and fire and accident hazard
would be lessened. Shortening the time, from the usual five years to one or two
years, required for the initiation of in rem ∗ proceedings to foreclose for real estate

∗
Legal actions or judgments to seize property.
 SUBSTANDARD HOUSING AND ITS EFFECTS 87

FIGURE 2.2 Run-down, filthy, vermin-infested backyards present many real health
hazards.

tax delinquencies, while the property still has value, would reduce abandonment
if coupled with firm but reasonable code enforcement. Cause for further prop-
erty devaluation and extension of the blighting influence would also be reduced.
See Figures 2.2 and 2.3. In New York City, in rem proceedings on one- and
two-family dwellings can be taken only after three years, but after one year for
multiple dwellings. An owner can redeem a building after four months and may, at
the city’s discretion, within two years if all back taxes and repair costs are repaid.5
It is an unfortunate practical fact, because of the complexity of the problem,
that effective code enforcement for housing conservation and rehabilitation is
in many places not being accomplished. Efforts suffer from frustration and lack
of support, aided and abetted by government apathy or sympathy and marginal
financial assistance through welfare payments. A greater return can be realized
by giving greater assistance to those communities and property owners demon-
strating a sincere desire to conserve and renew basically sound areas. Evidence
of actual maintenance and improvement of the existing housing supply, code
enforcement, encouragement of private building, low-interest mortgages, and pro-
vision of low- and middle-income housing are some of the facts that should guide
the extent and amount of assistance a community receives.
Rent controls, however, can place the owners of rental properties in poor
neighborhoods in a financially untenable position. An inadequate return on an
investment usually leads to reduced services and maintenance and to property
88 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.3 Rental housing gross income versus total costs with time, showing critical
period. Gross income tends to go down and total costs up as property ages.

deterioration. Since a significant number of renters in poor neighborhoods may

be on welfare, it would appear sound to provide higher welfare rent allowances
and rent subsidies tied to property maintenance and housing code compliance. But
an adequate return or profit may be distorted by the sale and resale of property
by speculators to dummy corporations at increasing cost. Hence, fairness and
caution are necessary.
Another factor may add to the housing problem. When there is a shortage of
dwelling units and rentals are high, there is pressure to purchase rather than rent.
There is also an incentive to purchase since an income-tax deduction can be taken
as a homeowner, which is not available to a renter. However, there is likely to
be a concurrent rise in property values when this occurs because of the shortage
of rental units at a moderate price. These factors favor the conversion of exist-
ing multifamily units to condominiums and construction of new condominiums,
thereby excluding from the housing market many who are poor or not sufficiently
affluent and those on fixed incomes who cannot afford the higher cost of a con-
dominium. If not protected, those displaced may be forced into less desirable
housing and possible exploitation, thus contributing to the spread of slums.

Health, Economic, and Social Effects

The interrelationship of housing and health is complex and not subject to exact
statistical analysis. For example, poverty, malnutrition, and lack of education
 SUBSTANDARD HOUSING AND ITS EFFECTS 89

and medical care also have important effects on health. These may mean long
hours of work with resultant fatigue, improper food, and lack of knowledge
relating to disease prevention, sanitation, and personal hygiene. The problem
is compounded by poor job and income opportunities and by the slum itself,
through the feelings of inferiority and resentment of the residents against others
who are in a better position. In addition, slums are characterized as having high
delinquency, prostitution, broken homes, and other social problems. Who can say
if people are sick because they are poor or poor because they are sick. Although
a real association is perceived to exist between poor health and substandard
housing, it has not been possible to definitely incriminate housing as the cause
of a specific illness. Many factors contribute to the physical and mental health
and social well being of the family and individual, of which housing or the
housing environment is one.6,7 Studies show that as a matter of practical fact,
many factors associated with substandard housing are profoundly detrimental to
the life, health, and welfare of a community. The results of a few early studies
and reports are summarized in Table 2.1.
The higher morbidity and mortality rates and the lower life expectancy asso-
ciated with bad housing are also believed to be the cumulative effect or result of
continual pressures on the human body. Dubos8 points out in a related discussion
that many medical problems have their origin in the biological and mental adap-
tive responses that allowed a person earlier in life to cope with environmental
threats. He adds:

The delayed results of tolerance to air pollutants symbolize the indirect dangers
inherent in many forms of adaptation, encompassing adaptation to toxic substances,
microbial pathogens, the various forms of malnutrition, noise, or other excessive
stimuli, crowding or isolation, the tensions of competitive life, the disturbances
of physiological cycles, and all other uncontrolled deleterious agencies typical of
urbanized and technicized societies. Under normal circumstances, the modern envi-
ronment rarely destroys human life, but frequently it spoils its later years.

Emphasis must be on preventive sanitation, medicine, architecture, and engi-

neering to avoid some of the contributory causes of early and late disability and
premature death. This avoidance includes the insidious, cumulative, long-term
insults to the human body and spirit, as well as maintenance and improvement
of those factors in the environment that enhance the well being and aspirations
of people.
Although this discussion concentrates on the environmental health aspects
of housing, it is extremely important that concurrent emphasis be placed on
the elimination of poverty and on improved education for those living in poor
housing and neighborhoods. It is essential that the causes of poverty and low
income be attacked at the source, that usable skills be taught, and that educa-
tional levels be raised. In this way, more individuals can become more pro-
ductive and self-sufficient and develop greater pride in themselves and their
communities.
90 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

TABLE 2.1 Effects Associated with Substandard Housing

Diseases Tuberculosis Health and Other Police City Costs

CD rate 65% Half of cases Source of 40% Juvenile 20% of area in

higher, VD from of mentally delinquency city brings in
rate 13 times one-fourth of ill in state twice as 6% of real
higher, CD populationa institutionsa higha estate taxf
death rate as
high as 50
years agoa
Tuberculosis Infant death 20% of area in Contributes
rate 8 times rate 5 times city accounts 5.5% of real
higherb highera for 50% of estate tax but
arrests, 45% takes 53% of
of major city servicef
crimes, 50%
of juvenile
delinquencyf
Intestinal Secondary Infant mortality 2.6 times more Slums cost $88
disease rate attack rate as high as 50 arrests, 1.9 more per
100% higher 200%e years agoa times more person than
in homes Death rate Life police calls, they yield;
lacking priv. 8.6 times expectancy 2.9 times good areas
flush toiletb higherc 6.7 years more yield $108 j
20% of area lessd criminal
in city cases, 3.7
accounts times more
juvenile
delinquentsi
Meningococcis for 60% of 64% of out-of- 20% of area in
rate 5.5 casesf wedlock city accounts
c
times higher casesg for 45% of
Infective and city service
parasitic costs, 35% of
disease death fires f
rate 6.6
times
higherd
Pneumonia and Interest rate for 50% of 1.5 times more
influenza mortgages murders, fires, 15.7
death rate 2 higher in 60% of times more
times higherc blighted manslaugh- families on
areas ters, 49% of welfare, 4
Fire robberiesg times more
insurance nursing visitsi
rates higher
 APPRAISAL OF QUALITY OF LIVING 91

TABLE 2.1 (continued )

Diseases Tuberculosis Health and Other Police City Costs

Lead poisoning Accidental Account for

in children death rate most of the
higher. 2.3 times welfare
higherd benefits.
Rat and roach Injuries, burns, Slums yielded
infestation and one-half of
higher. accidental cost of
Carbon poisoning services
monoxide 5–8 times requiredk
poisoning. the national
averageh
a
Release by Dr. L. Scheele, Surgeon General, PHS Pub. 27, 1949, regarding six cities having slums.
b
National Health Survey by U.S. Health Service, 1935– 1936.
c
B. Blum, J. Am. Pub. Health Assoc., 39, 1571– 1577 (December 1949).
d
Erie County Health Department, NY, 1953 Annual Report.
e
Paper on housing and progress in public health by W. P. Dearing, M.D., presented at the University
of North Carolina, April 16, 1950.
f
Miscellaneous city studies.
g
The Twenty-seventh Annual Report of the Buffalo Urban League, Inc., NY.
h
A. H. Stevenson, Airlie House Conference, Department of Health, Education, and Welfare, Wash-
ington, DC, March 17– 19, 1970.
i Report from City of Louisville, Kentucky.
j R. M. Foley, “To Eradicate our Vast Slum Blight,” New York Times, Magazine section, November 27,

1949.
k J. P. Callahan, “Local Units Fight Problem of Slums,” New York Times, July 22, 1956.

APPRAISAL OF QUALITY OF LIVING

APHA Appraisal Method

The American Public Health Association (APHA) appraisal method for measuring
the quality of housing was developed by the Committee on the Hygiene of
Housing between 1944 and 1950. This method attempts to eliminate or minimize
individual opinion to arrive at a numerical value of the quality of housing that
may be compared with results in other cities and may be reproduced in the same
city by different evaluators using the same system. It is also of value to measure
the quality of housing in a selected area, say at five-year intervals, and to evaluate
the effects of an enforcement program or lack of an enforcement program. The
appraisal method measures the quality of the dwellings and dwelling units, as
well as the environment in which they are located.
The items included in the APHA dwelling appraisal (see Tables 2.2 and 2.3) are
grouped under “Facilities,” “Maintenance,” and “Occupancy.” Additional infor-
mation obtained includes rent, income of family, number of lodgers, race, type of
structure, number of dwelling units, and commercial or business use. The envi-
ronmental survey (see Table 2.4) reflects the proximity and effects of industry,
92 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

TABLE 2.2 Appraisal Items and Maximum Standard Penalty Scores (APHA)

Item Maximum Score

A. Facilities
Structure:
1. Main accessa 6
2. Water supplya (source) 25
3. Sewer connectiona 25
4. Daylight obstruction 20
5. Stairs and fire escapes 30
6. Public hall lighting 18
Unit:
7. Location in structure 8
8. Kitchen facilities 24
9. Toileta (location, type, sharing)b 45
10. Batha (location, type, sharing)b 20
11. Water supplya (location and type) 15
12. Washing facilities 8
13. Dual egressa 30
14. Electric lightinga 15
15. Central heating 3
16. Rooms lacking installed heata 20
17. Rooms lacking windowa 30
18. Rooms lacking closet 8
19. Rooms of substandard area 10
20. Combined room facilitiesc
B. Maintenance
21. Toilet condition index 12
22. Deterioration indexa (structure, unit)b 50
23. Infestation index (structure, unit)d 15
24. Sanitary index (structure, unit)d 30
25. Basement condition index 13
C. Occupancy
26. Room crowding: persons per rooma 30
27. Room crowding: persons per sleeping rooma 25
28. Area crowding: sleeping area per persona 30
29. Area crowding: nonsleeping area per person 25
30. Doubling of basic families 10
a
Condition constituting a basic deficiency.
b Item score is total of subscores for location, type, and sharing of toilet or bath facilities.
c Item score is total of scores for items 16–19, inclusive. This duplicate score is not included in the

total for a dwelling but is recorded for analysis.

d Item score is total of subscores for structure and unit.

Notes: (1) Maximum theoretical total dwelling score is 600, broken down as facilities, 360; mainte-
nance, 120; and occupancy, 120. (2) Housing total = Dwelling total + Environmental total.
Source: An Appraisal Method for Measuring the Quality of Housing, Part II, Vol. A, “Appraisal of
Dwelling Conditions,” American Public Health Association, Washington, DC, 1946. Copyright by
the American Public Health Association. Reprinted with permission.
 APPRAISAL OF QUALITY OF LIVING 93

TABLE 2.3 Basic Deficiencies of Dwellings (APHA)

Itema Condition Constituting a Basic Deficiencyb

A. Facilities
2. Source of water supply specifically disapproved by local health department
3. Means of sewage disposal specifically disapproved by local health department
9. Toilet shared with other dwelling unit, outside structure, or of disapproved
type (flush hopper or nonstandard privy)
10. Installed bath lacking, shared with other dwelling unit, or outside structure
11. Water supply outside dwelling unit
13. Dual egress from unit lacking
14. No electric lighting installed in unit
16. Three-fourths or more of rooms in unit lacking installed heaterc
17. Outside window lacking in any room unitc
B. Maintenance
22. Deterioration of class 2 or 3 (penalty score, by composite index, of 15 points
or over)
C. Occupancy
26. Room crowding: over 1.5 persons/room
27. Room crowding: number of occupants equals or exceeds 2 times the number
of sleeping rooms plus 2
28. Area crowding: less than 40 ft2 of sleeping area/person
a
Numbers refer to items in Table 2.2.
b
Of the 13 defects that can be designated basic deficiencies, 11 are so classified when the item
penalty score equals or exceeds 10 points. Bath (item 10) becomes a basic deficiency at 8 points for
reasons involving comparability to the U.S. Housing Census, deterioration (item 22) at 15 points for
reasons internal to that item.
c
The criterion of basic deficiency for this item is adjusted for number of rooms in a unit.
Note: Some authorities include as a basic deficiency unvented gas space heater, unvented gas hot
water heater, open gas burner for heating, and lack of hot and cold running water.
Source: An Appraisal Method for Measuring the Quality of Housing, Part II, “Appraisal of Dwelling
Conditions,” American Public Health Association, Washington, DC, 1946. Copyright by the
American Public Health Association. Reprinted with permission.

heavy traffic, recreational facilities, schools, churches, business and shopping

centers, smoke, noise, dust, and other factors that determine the suitability of an
area for residential use.
The rating of housing quality is based on a penalty scoring system, shown in
Table 2.2. A theoretical maximum penalty score is 600. The practical maximum
is 300; the median is around 75. A score of zero would indicate that all standards
are met. An interpretation of the dwelling and environmental scores is shown in
Table 2.5. It is apparent, therefore, according to this scoring system, that either
the sum of dwelling and environmental scores or a dwelling or environmental
score of 200 or greater would classify the housing as unfit.
94 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

TABLE 2.4 Environmental Survey—Standard Penalty Scores (APHA)

Item Maximuma
Penalty
Score

A. Land Crowding
1. Coverage by structures—70% or more of block area covered 24
2. Residential building density—ratio of residential floor area to 20
total = 4 or more
3. Population density—gross residential floor area per person 150 ft2 10
or less
4. Residential yard areas—less than 20 ft wide and 625 ft2 in 70% of 16
residences
B. Nonresidential Land Areas
5. Areal incidence of nonresidential land use—50% or more 13
nonresidential
6. Linear incidence of nonresidential land use—50% or more 13
nonresidential
7. Specific nonresidential nuisances and hazards—noise and 30
vibration, objectionable odors, fire or explosion, vermin, rodents,
insects, smoke or dust, night glare, dilapidated structure,
unsanitary lot
8. Hazards to morals and the public peace—poolrooms, gambling 10
places, bars, prostitution, liquor stores, nightclubs
9. Smoke incidence—industries, docks, railroad yards, soft coal useb 6
C. Hazards and Nuisances from Transportation System
10. Street traffic— type of traffic, dwelling setback, width of streets 20
11. Railroads or switchyards—amount of noise, vibration, smoke, 24
trains
12. Airports or airlines—location of dwelling with respect to runways 20
and approaches
D. Hazards and Nuisances from Natural Causes
13. Surface flooding—rivers, streams, tide, groundwater, drainage, 20
annual, or more
14. Swamps or marshes—within 1,000 yd, malarial mosquitoes 24
15. Topography—pits, rock outcrops, steep slopes, slides 16
E. Inadequate Utilities and Sanitation
16. Sanitary sewage system—available (within 300 ft.), adequate 24
17. Public water supply—available, adequate pressure, and quantity 20
18. Streets and walks—grade, pavement, curbs, grass, sidewalks 10
F. Inadequate Basic Community Facilities
19. Elementary public schools—beyond 2/3 mi, 3 or more dangerous 10
crossings
20. Public playgrounds—less than 0.75 acres/1,000 persons 8
 APPRAISAL OF QUALITY OF LIVING 95

TABLE 2.4 (continued )

Item Maximuma
Penalty
Score

21. Public playfields—less than 1.25 acres/1,000 persons 4

22. Other public parks—less than 1.00 acres/1,000 persons 8
23. Public transportation—beyond 2/3 mi, less than 2 buses/hr 12
24. Food stores—dairy, vegetable, meat, grocery, bread, more than 6
1/3 mi
a
Maximum environment total = 368.
b
Include other sources of air pollution.
Source: An Appraisal Method for Measuring the Quality of Housing, Part III, “Appraisal of Neigh-
borhood Environment,” American Public Health Association, Washington, DC, 1950. Copyright by
the American Public Health Association. Reprinted with permission.

TABLE 2.5 Housing Quality Scores (APHA)

Factor Good Acceptable Borderline Substandard Unfit

(A) (B) (C) (D) (E)

Dwelling score 0–29 30–59 60–89 90–119 120 or greater

Environmental score 0–19 20–39 40–59 60–79 80 or greater
Sum of dwelling and 0–49 50–99 100–149 150–199 200 or greater
environmental
scores
Source: An Appraisal Method for Measuring the Quality of Housing, Part III, “Appraisal of Neigh-
borhood Environment,” American Public Health Association, Washington, DC, 1950. Copyright by
the American Public Health Association. Reprinted with permission.

Application of the APHA appraisal method requires trained personnel and

experienced supervision.∗ The survey staff should be divorced from other rou-
tine work to concentrate on the job at hand and to produce information that
can be put to use before it becomes out of date. In practice, it is desirable
to select a limited area(s) for pilot study. The information thus obtained can
be used as a basis for determining the need for extension of the survey, need
for new or revised minimum housing standards, extent of the housing problem,
development of coordination between existing official and voluntary agencies,
the part private enterprise and public works can play, public information needs,
and so on.

∗
A trained sanitarian can inspect about 10 dwelling units per day. For every four inspectors, there
should be one trained field supervisor, three office clerks, and one office supervisor.
96 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

Census Data
Much valuable information is collected and summarized by the U.S. Bureau of
the Census. The census data∗ include the number of one family and multifamily
dwelling units, trailers and mobile homes, and condominiums; the population
per owner- and renter-occupied unit† ; the number of dwelling units with private
bath, including hot and cold piped water as well as flush toilet and bathtub
or shower and the number lacking some or all these facilities; the number of
dwelling units occupied by persons of Spanish/Hispanic origin or descent; the
number of rooms and bedrooms per dwelling unit; the number on public water
supply, drilled well, dug well, spring or other; the number on public sewerage,
septic tank or cesspool, or other system; the type of heating and fuel used;
size of plot; information on occupation and income; the monthly rental; and
the value or sale price of owner-occupied one-family homes. Other statistics
on selected population characteristics for areas with 2,500 or more inhabitants
and for counties are available. This information, if not too old, can be used as
additional criteria to supplement reasons for specific program planning. Plotting
the data on maps or overlays will show concentrations sometimes not discernible
by other means.
The accuracy of census data for measuring housing quality has been questioned
and, hence, should be checked locally, particularly if it is to be used for appraisal
or redevelopment purposes. Nevertheless, it is a good tool in the absence of a
better one.

Health, Economic, and Social Factors

It is frequently possible to obtain morbidity and mortality data for specific dis-
eases or causes by census tracts or selected areas. Also available may be the
location of cases of juvenile delinquency, public and private assistance, and pro-
bation cases. Sources of fires, nuisances, and rodent infestation and areas of social
unrest give additional information. Health, fire, police, and welfare departments
and social agencies should have this information readily available. See Table 2.1.
Tabulation and plotting of these data and overlays will be useful in establishing
priorities for action programs.

Planning
The location of existing and proposed recreational areas, business districts,
shopping centers, churches, schools, parkways and thruways, housing projects,
residential areas, zoning restrictions, redevelopment areas, airports, railroads,
industries, lakes, rivers, and other natural boundaries help to determine the

∗
The latest published census data are Census 2000 .
†
The average number of persons per housing unit was 3.28 in 1940, 3.33 in 1960, 3.14 in 1970,
2.76 in 1980, 2.69 in 1985, and 2.62 in 1989.
 APPRAISAL OF QUALITY OF LIVING 97

best usage of property. Where planning agencies are established and are
active, maps giving this, as well as additional information, are usually well
developed. Analysis and comprehensive planning on a continuing basis are
essential to the proper development of cities, villages, towns, counties, and
metropolitan areas. The availability of state and federal aid for communitywide
planning should be investigated. Plans for urban development, housing code
enforcement, rehabilitation, and conservation should be carefully integrated with
other community and state plans before decisions are made. These subjects are
discussed in greater detail in Chapter 5.

Environmental Sanitation and Hygiene Indices

Most modern city and county health departments can carry on a housing inspec-
tion program based on minimum housing standards, provided competent per-
sonnel are assigned. Where housing inspections are made on a routine basis
and records are kept on a computer, data processing punch-card system, visible
card file, or by combination methods, problem streets and areas can be detected
with little difficulty. A survey and follow-up form based on a modern housing
ordinance are shown in Figure 2.4. The form should list recommendations for
correction based on what is practical from field observation so as to serve as the
basis for an accurate confirmatory letter to the owner. The type of deficiencies
found, such as the lack of a private bath and toilet, dwelling in disrepair, or lack
of hot and cold running water, can give a wealth of information to guide program
planning. Usually the origin of complaints—which, if plotted on a map will give a
visual picture of the heavy workload areas—can be added to the survey. Reliable
cost estimates for complete rehabilitation of selected buildings and a simple foot
survey should be made to confirm administrative judgment and decisions before
any major action is taken. Many apparently well-thought-out plans have fallen
down under this simple test. For example, deterioration may have proceeded to
the point where rehabilitation is no longer economically or structurally feasi-
ble under existing market conditions. Other criteria are tax delinquency, welfare
clients, vandalism, age, ownership turnover, housing vacancy, property value,
illnesses, rodent and insect infestation, and the amount of housing demolished.

Other Survey Methods

These include aerial surveys, external ground-level surveys, and the Public
Health Service Neighborhood Environmental Evaluation and Decision System
(NEEDS).9 The selection of a small number of significant environmental
variables can also provide a basis for a rapid survey if checked against a more
comprehensive survey system.

NEEDS This is a five-stage systems technique designed to provide a rapid and

reliable measure of neighborhood environmental quality. The data collected are
adapted for electronic data processing to reduce the time lapse between data
collection, analysis, program planning, and implementation.
98 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.4 Dwelling survey.

 APPRAISAL OF QUALITY OF LIVING 99

Stage I An exterior sidewalk survey is made of 10 to 20 blocks in each

problem neighborhood of a city to determine those in greatest need of
upgrading. The conditions analyzed include structural overcrowding, pop-
ulation crowding, premises conditions, structural condition of housing and
other buildings, environmental stresses, condition of streets and utilities,
natural deficiencies, public transportation, natural hazards and deficien-
cies, shopping facilities, parks and playgrounds, and airport noise. (Time:
1 person-hour per block.)
Stage II The neighborhood(s) selected are surveyed in some depth to determine
the physical and social environmental problems facing the residents. About
300 dwelling units and families are sampled in the study area. This phase
includes interviews to determine demographic characteristics, health prob-
lems, health services, interior housing conditions, and resident attitudes.
Stage III The data collected in stage II are computer processed and analyzed
with local government and community leaders. Problems are identified and
priorities for action are established.
Stage IV Programs are developed to carry out the decisions made in stage III.
The community participates and is kept aware of the study results and
action proposed.
Stage V The decisions made and programs developed are implemented. Fed-
eral fiscal assistance is also solicited, and the information and support made
possible by this technique are used to strengthen applications for grants.9

Health Principles
The APHA Committee on the Hygiene of Housing has listed the criteria to be met
for the promotion of physical, mental, and social health. Thirty basic principles,
with specific requirements and suggested methods of attainment for each, are
reported in Basic Principles of Healthful Housing, originally published by the
APHA in 1938.
The “basic principles” have been expanded to reflect progress made and
present-day aspirations of people to help achieve total health goals such as
defined by the World Health Organization (WHO). The APHA Program Area
Committee on Housing and Health prepared a comprehensive statement of prin-
ciples available to guide public policy and goal formulation.10 These can also
serve as a basis for performance standards to replace specification standards for
building construction, living conditions, and community development. The major
headings, or objectives, of the committee report are quoted as follows.

Basic Health Principles of Housing and Its Environment∗

I. Living Unit and Structure “Housing” includes the living unit for man and
family, the immediate surroundings, and the related community services

∗
From Housing: Basic Health Principles & Recommended Ordinance (ref. 10). Copyright by the
American Public Health Association. Reprinted with permission.
100 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

and facilities; the total is referred to as the “residential environment.”

The following are basic health principles for the residential environment,
together with summaries of factors that relate to the importance and appli-
cability of each principle.
A. Human Factors
1. Shelter against the elements.
2. Maintenance of a thermal environment that will avoid undue but
permit adequate heat loss from the human body.
3. Indoor air of acceptable quality.
4. Daylight, sunlight, and artificial illumination.
5. In family units, facilities for sanitary storage, refrigeration, prepa-
ration, and service of nutritional and satisfactory foods and meals.
6. Adequate space, privacy, and facilities for the individual and
arrangement and separation for normal family living.
7. Opportunities and facilities for home recreational and social life.
8. Protection from noise from without, other units, and certain
other rooms and control of reverberation noises within housing
structures.
9. Design, materials, and equipment that facilitate performance of
household tasks and functions without undue physical and mental
fatigue.
10. Design, facilities, surroundings, and maintenance to produce a
sense of mental wellbeing.
11. Control of health aspects of materials.
B. Sanitation and Maintenance
1. Design, materials, and equipment to facilitate clean, orderly, and
sanitary maintenance of the dwelling and personal hygiene of the
occupants.
2. Water piping of approved, safe materials with installed and sup-
plied fixtures that avoid introducing contamination.
3. Adequate private sanitary toilet facilities within family units.
4. Plumbing and drainage system designed, installed, and maintained
to protect against leakage, stoppage, or overflow and escape of
odors.
5. Facilities for sanitary disposal of food waste, storage of refuse, and
sanitary maintenance of premises to reduce the hazard of vermin
and nuisances.
6. Design and arrangement to properly drain roofs, yards, and premises
and conduct such drainage from the buildings and premises.
7. Design and maintenance to exclude and facilitate control of rodents
and insects.
8. Facilities for the suitable storage of belongings.
 APPRAISAL OF QUALITY OF LIVING 101

9. Program to ensure maintenance of the structure, facilities, and

premises in good repair and in a safe and sanitary condition.
C. Safety and Injury Prevention
1. Construction, design, and materials of a quality necessary to with-
stand all anticipated forces that affect structural stability.
2. Construction, installation materials, arrangement, facilities, and
maintenance to minimize danger of explosions and fires or their
spread.
3. Design, arrangement, and maintenance to facilitate ready escape in
case of fire or other emergency.
4. Protection against all electrical hazards, including shocks and burns.
5. Design, installation, and maintenance of fuel-burning and heat-
ing equipment to minimize exposure to hazardous or undesirable
products of combustion, fires, or explosions and to protect persons
against being burned.
6. Design, maintenance, and arrangement of facilities, including light-
ing, to minimize hazards of falls, slipping, and tripping.
7. Facilities for safe and proper storage of drugs, insecticides, poisons,
detergents, and deleterious substances.
8. Facilities and arrangements to promote security of the person and
belongings.
II. Residential Environment The community facilities and services and the
environment in which the living unit is located are essential elements in
healthy housing and are part of the total residential environment.
A. Community or Individual Facilities
1. An approved community water supply or, where not possible, an
approved individual water supply system.
2. An approved sanitary sewerage system or, where not possible, an
approved individual sewage disposal system.
3. An approved community refuse collection and disposal system
or, where not possible, arrangements for its sanitary storage and
disposal.
4. Avoidance of building on land subject to periodic flooding and
adequate provision for surface drainage to protect against flooding
and prevent mosquito breeding.
5. Provision for vehicular and pedestrian circulation for freedom of
movement and contact with community residents while adequately
separating pedestrians from vehicular traffic.
6. Street and through-highway location and traffic arrangements to
minimize accidents, noise, and air pollution.
7. Provision of such other services and facilities as may be applica-
ble to the particular area, including public transportation, schools,
102 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

police, fire protection, and electric power, health, community, and

emergency services.
8. Community housekeeping and maintenance services, like street
cleaning, tree and parkway maintenance, weed and rubbish control,
and other services requisite to a clean and aesthetically satisfactory
environment.
B. Quality of the Environment
1. Development controls and incentives to protect and enhance the
residential environment.
2. Arrangement, orientation, and spacing of buildings to provide for
adequate light, ventilation, and admission of sunlight.
3. Provision of conveniently located space and facilities for off-street
storage of vehicles.
4. Provision of useful, well-designed, properly located space for play,
relaxation, and community activities for daytime and evening use
in all seasons.
5. Provision for grass and trees.
6. Improved streets, gutters, walks, and access ways.
7. Suitable lighting facilities for streets, walks, and public areas.
C. Environmental Control Programs
Maintenance of a healthy environment necessitates an educational and
enforcement program to accomplish the following.
1. Control sources of air and water pollution and local sources of
ionizing radiation.
2. Control rodent and insect propagation, pests, domestic animals,
and livestock.
3. Inspect, educate, and enforce so that premises and structures are
maintained in such condition and appearance as not to be a blight-
ing influence on the neighborhood.
4. Community noise control and abatement.
5. Building and development regulations.

In an article based on a working paper prepared for the WHO consultation

on housing and implications for health, Schaefer11 listed the following principles
of health need and action to be taken to increase the health potential of housing
internationally:

Principles of Health Needs

1. Communicable diseases can be reduced if housing provides for safe water
supply, sanitary excreta and garbage disposal, adequate drainage of surface
waters, and necessary facilities for domestic hygiene and safe food storage
and preparation.
 APPRAISAL OF QUALITY OF LIVING 103

2. Housing should protect against avoidable injuries, poisonings, and exposure

that contributes to chronic diseases and malignancies.
3. Housing may promote mental well-being; since prehistoric times, the home
has been a place of refuge from danger and stress.
4. The neighborhood and community, as well as the dwelling itself, affect
health.
5. Health depends also on how residents use their housing.
6. The dwelling conditions of certain groups put them at special health risk,
leaving them especially vulnerable to multiple health hazards.

Principles of Health Action

1. Health advocacy in housing decisions should be strongly emphasized by
health authorities, in alliance with other concerned groups, at all levels of
administration and through multiple channels and media.
2. In the government sphere, health advocacy should be directed at a broad
range of policies.
3. To implement socially desirable policies, health advocacy should be inter-
sectoral in its orientation; moreover, it should be integrated into the tech-
nical and social processes that countries use to develop and maintain
community resources.
4. For policies and standards to be effective, extensive public and professional
education is required to promote the provision and use of housing in ways
that improve health status.
5. Finally and emphatically, community involvement at all levels should sup-
port self-help, neighbor-help, and communal cooperative action in dealing
with the needs and problems of the human habitat.

Minimum Standards Housing Ordinance

Building divisions of local governments have traditional responsibility over the con-
struction of new buildings and their structural, fire, and other safety provisions as
specified in a building code. Fire departments have responsibility for fire safety.
The health department and such other agencies with an interest and responsibil-
ity are concerned with the supplied utilities and facilities, their maintenance, and
the occupancy of dwellings and dwelling units for more healthy living. This lat-
ter responsibility is best carried out by the adoption and enforcement of a housing
ordinance.
In an enforcement program, major problems of structural safety or alterations
involving structural changes for which plans are required would be referred to
the building division. Serious problems of fire safety would be referred to the
fire department. Interdepartmental agreements and understanding can be mutually
beneficial and make possible the best use of the available expertise. This requires
competent staffing and day-to-day cooperation.
104 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

Housing and Health APHA-CDC Recommended Minimum Housing Standards

has been prepared for local adoption.12 Other model ordinances are also
available.13 The standards should apply to all existing, altered, and new housing.
These standards give the conditions to be complied with before and during occu-
pancy. They are minimum standards and in many instances should be exceeded.
A housing code or ordinance should reflect the need for safety devices and
the hazards associated with new construction materials. Provision should also be
made for compliance assistance and enforcement flexibility.
Smoke detectors have been found to be effective safety devices that belong
in all dwellings and dwelling units. These devices afford major protection to life
and property, particularly when coupled with alarms and sprinklers in multiple
dwellings.
Energy conservation concerns have emphasized the importance of insulation
materials to prevent heat losses from buildings. It is necessary to ensure that such
materials are not flammable and do not release toxic fumes or materials when
installed or subjected to high temperatures.
The administrative section of a housing code should permit the phased
improvement of sound dwellings and dwelling units first in selected areas
having identifiable grossly substandard living conditions. The expected level
of compliance would be consistent with the intent of the housing code
regulations and the achievable environmental quality of the neighborhood. Low-
interest loans, fiscal and technical guidance, limited grants, craftsmen and
labor assistance, tax relief, and other inducements are essential to encourage
rehabilitation, stem the tide of deterioration and blight, and make possible
compliance with the housing code. Concurrently, community services and
facilities would need to be improved and maintained at an adequate level.

HOUSING PROGRAM

Approach
Housing can be a complex human, social, and economic problem that awakens the
emotions and interests of a multitude of agencies and people within a community.
Government agencies must decide in what way they can most effectively produce
action; that is, whether in addition to their own efforts it is necessary to give
leadership, encouragement, and support to other agencies that also have a job to
do in housing.
Resolution of the housing problem involves just about all official and
non-official groups or agencies. Organization begins with the housing coordina-
tor, as representative of the mayor or community executive officer. The groups
involved include an interagency coordinating committee; citizens advisory
committee; health, building, public works, law, and fire departments; urban
development agency; housing authority; financing clinic; planning board; air
pollution control agency; office of community relations; public library; rent
control office; universities and technical institutes; welfare department; council
 HOUSING PROGRAM 105

of social agencies; neighborhood and community improvement associations;

banking institutions; real estate groups; consulting engineers and architects;
general contractors; builders and subcontractors; press; and service organizations.

Components of a Good Housing Program

Good housing does not just happen. It is the result of far-sighted thinking by
individuals in many walks of life. In some cases, a few houses are built here
and there and areas grow with no apparent thought given to the future pattern
being established. This is typical of small subdivisions of land and developments
where there is no planning. In other instances, typical of large-scale develop-
ments, construction proceeds in accordance with a well-defined plan. The growth
of existing communities, the quality of service and facilities provided, and the
condition in which they are maintained usually depend on the leadership and
coordination provided by the chief executive officer and legislative body and the
controls or guides followed. The more common support activities are described
later in this chapter.

Planning Board A planning board can define the area under control and, by
means of maps, locate existing facilities and utilities. Included, for example,
are highways, railroads, streams, recreational areas, schools, churches, shopping
centers, residential areas, commercial areas, industrial areas, water lines, and
sewer lines. In addition, plans are made for future revisions or expansion for
maximum benefit to the community. A zoning plan is needed to delineate and
enforce the use to which land will be put, such as for residential, farm, indus-
trial, and commercial purposes. This also provides for protection of land values.
Subdivision regulations defining the minimum size of lots, width and grading of
roads, drainage, and utilities to be provided may also be adopted. New roads or
developments would not be accepted unless in compliance with the subdivision
standards. The planning board, if supported, can guide community changes and,
if established early, direct the growth of a community, all in the best interest of
the people.

Department of Public Works A public works department usually has juris-

diction over building, water, sewers, streets, refuse, and, if not a separate depart-
ment, fire prevention and protection.
The building division’s traditional responsibility is regulation of all types of
building construction through the enforcement of a building code. A building code
includes regulations pertaining to structural and architectural features, plumbing,
heating, ventilation and air conditioning, electricity, elevators, sprinklers, and
related items. Fire structural regulations are usually incorporated in a building
code, although a separate or supplementary fire prevention code may also be
prepared. Certain health and sanitary regulations, such as minimum room sizes,
plumbing fixtures, and hot- and cold-water connections, should, of course, be an
integral part of a building code. This ensures that new construction and alterations
106 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

will comply with the health department’s housing code minimum standards reg-
ulating occupancy, maintenance, and supplied facilities.
The water and sewer division would have the fundamental responsibility of
making available and maintaining public water supply and sewerage services
where these sanitary facilities are accessible. In new subdivisions of land, the
provision of these facilities, particularly when located outside the corporate limits
of a city or village, is usually the responsibility of the developer.
The division of streets would maintain streets, including snowplowing, clean-
ing, rebuilding old roads, and ensuring the proper drainage of surface water. In
unincorporated communities the highway department assumes these functions.
New roads would not be maintained unless dedicated to the city, village, or
township and of acceptable design and construction.
Refuse collection would include garbage, rubbish, and trash. This function
may be handled by the municipality, by contract, or by the individual.

Public Housing and Urban Development In existing urban communities,

the housing authority is generally responsible for the construction and operation
of dwellings for low-income families and for the rehousing of families displaced
by slum clearance. The urban development agency assembles and clears land
for reuse in the best interest of the community and rehouses persons displaced
as a result of its actions. In basically good neighborhoods, unsalvable housing
is demolished, good housing is protected, and sound substandard housing is
rehabilitated. In general, large-scale demolition involving the destruction of viable
neighborhoods having structurally sound housing should be avoided.

Health Department State and local health departments have the fundamental
responsibility of protecting the life, health, and welfare of the people. Although
most cities have health departments, many areas outside of cities do not have
the services of a completely staffed county or city–county health department.
However, where provided, the health department responsibilities are given in a
public health law and sanitary code. In addition to communicable disease control,
maternal and child health care, clinics, nursing services, and environmental san-
itation, the health department should have supervision over housing occupancy,
maintenance and facilities, food sanitation, water supply, sewage and solid waste
disposal, pollution abatement, air pollution control, recreation, sanitation, control,
radiation hazards, and the sanitary engineering phases of land subdivision. The
environmental sanitation activities, being related to the planning, public works,
housing, and redevelopment activities, should be integrated with the other munic-
ipal functions. For maximum effectiveness and in the interest of the people, it is
also equally proper that the services and talents available in the modern health
department be consulted and utilized by the other municipal and private agencies.
Health departments have the ideal opportunity to redirect and guide nuisance
and complaint investigations; lead-poisoning elimination; carbon monoxide poi-
soning prevention; and insect, rodent, and refuse control activities into a planned
and systematic community sanitation and housing hygiene program. By coor-
dination with nursing, medical care, and epidemiological activities, as well as
 HOUSING PROGRAM 107

with those of other agencies, the department is in a position to constructively

participate in the elimination of the causes contributing to the conditions asso-
ciated with slums and substandard housing. The health department should also
assist in the training of building, sanitation, welfare, and fire inspectors and oth-
ers who have a responsibility or interest in the maintenance and improvement of
living conditions.

Private Construction New construction and rehabilitation of housing in

accordance with a good building and housing code are essential to meet
the normal needs of people. Private construction and rehabilitation of sound
structures should be encouraged and controlled to meet community goals and
objectives in accordance with an adopted plan. In complete rehabilitation of a
sound structure, the supporting walls, facade, and floor beams are preserved and
new kitchens, bathrooms, bedrooms, living rooms, public areas, and utilities are
installed. The availability of streets, water, sewers, and other utilities minimizes
the total cost of providing “new” rental units, particularly if supported by
some federal grant and low-interest loans. This could be accompanied by the
establishment of cooperative ownership by qualified families and by self-help
programs (Habitat for Humanity).
Rehabilitation is sometimes discouraged by contractors and architects because
it can be full of surprises, depending on the extent of the preliminary investigation
and the completeness of plans and specifications.

Loan Insurance Mortgage loan insurance by the government to stimulate

homeownership has been fundamental to the construction and preservation of
good housing. However, private financial institutions also have a major function
and obligation. The reluctance or refusal of some lending institutions to make
loans in certain urban areas for housing rehabilitation or purchase, known as
redlining, and the similar practice by insurance companies for fire and property
insurance, confound efforts to upgrade neighborhoods. Such practices should be
reviewed.

Outline of a Housing Program

Several approaches have been suggested and used in the development of a housing
program. They all have several things in common and generally include most of
the following steps.14

1. Establishment of a committee or committees with representation from offi-

cial agencies, voluntary groups, the business community, and outstanding
individuals as previously described.
2. Identification of the problem—the physical, social, and economic aspects
and development of a plan to attack each.
3. Informing the community of survey results, housing needs, and the rec-
ommended action.
108 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

4. Designation of a board or commission to coordinate and delegate spe-

cific functions to be carried out by the appropriate agency—for example,
urban renewal, redevelopment, public housing, code enforcement, rehous-
ing, rehabilitation, and refinancing.
5. Appropriation of adequate funds to support staffing and training of
personnel.
6. Appraisal of housing and neighborhoods and designation of urban, subur-
ban, and rural areas for (a) clearance and redevelopment, (b) rehabilitation,
and (c) conservation and maintenance. This involves identification of
structures and sites selected for preservation, interim code enforcement,
rehabilitation of basically sound structures not up to code standards, spot
clearance, provision or upgrading of public facilities and services, and
land-use control.
7. Preparation and adoption of an enforceable housing code and other regu-
lations that will upgrade the living conditions and provide a decent home
in a suitable living environment.
8. Institution of a systematic and planned code enforcement program,
including education of tenants and landlords, prompt encouragement and
requirement of housing maintenance, improvement, and rehabilitation
where indicated.
9. Concurrent provision and upgrading of public facilities and services where
needed.
10. Provision of new and rehabilitated housing units through public housing,
private enterprise, nonprofit organizations, individual owners, and other
means.
11. Aid in securing financial and technical assistance for homeowners.
12. Liaison with federal, state, and local housing agencies, associations, and
organizations.
13. Requirement that payments to welfare recipients not be used to subsidize
housing that does not meet minimum health standards.
14. Evaluation of progress made and continual adjustment of methods and
techniques as may be indicated to achieve the housing program goals and
objectives.

These efforts need to be supplemented by control of new building construction,

land subdivision, and mobile home parks. Also to be included are migrant-labor
camps, camp and resort housing, commercial properties, and housing for the
aged, chronically ill, handicapped, and those on public assistance.

Solutions to the Problem

The more obvious solutions to the housing problem are production of new
housing, rehabilitation of sound housing, redevelopment, slum clearance,
and public housing for low-income families. Increasing emphasis is being
 HOUSING PROGRAM 109

placed on cooperative ownership and on the conservation and rehabilitation

of existing sound housing to prevent or slow down blight.∗ It is probably the
most economical way of providing additional, healthier dwelling units and at
the same time protecting the existing surrounding supply of good housing.
Privately financed housing, redevelopment, and public housing cannot reach
their full usefulness unless the neighborhood in which they are carried out is
also brought up to a satisfactory minimum standard and is protected against
degradation.
Federal, state, and local governments have an essential role in providing
leadership and support. Federal programs usually make assistance available to
finance housing for low- and moderate-income families, for urban development
of programs including rehabilitation and conservation, and for redevelopment
of urban communities. The federal programs include community development
block grants, urban development action grants, low-income housing assistance,
loan guarantees, and rehabilitation loans to eligible communities. Their imple-
mentation varies with the availability of federal funds. A local legally constituted
agency is necessary to represent the municipality.
For example, eligibility for urban redevelopment funds may require formula-
tion of a program to effectively deal with the problem of urban slums and blight
within the community and to establish and preserve a well-planned commu-
nity with well-organized residential neighborhoods of decent homes and suitable
living environment for family life. The program can also make a municipal-
ity eligible for assistance for concentrated code enforcement, special help to
blighted areas, demolition grants, rehabilitation grants and loans, and neigh-
borhood facilities improvement and development. A workable program would
require the following:

1. Adoption of adequate minimum standards of health, sanitation, and safety

through a comprehensive system of codes and ordinances effectively
enforced.
2. Formulation of a “comprehensive community plan” or a “general
plan”—implying long-range concepts—and including land use, thorough-
fare, and community facilities plans; a public improvement program; and
zoning and subdivision regulations. See Chapter 5.
3. Identification of blighted neighborhoods and analysis for extent and inten-
sity of blight and causes of deterioration to aid in delineation for clearance
or other remedial action.
4. Establishment of an adequate administrative organization, including legal
authority, to carry on the urban renewal program.
5. Development of means for meeting the financial obligations and require-
ments for carrying out the program.

∗
Careful analysis is advised, as the hidden costs and problems associated with major building reha-
bilitation cannot as a rule be fully anticipated. (M. Federman, “Building Rehabilitation: The Last
Resort,” Civil Eng., ASCE (July 1, 1981), pp. 72–73.)
110 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

6. Provision of decent, sanitary housing for all families displaced by urban

renewal or other government activities.
7. Development of active citizen support and understanding of the urban
renewal program.

The restoration of a substandard housing area in an otherwise sound and

healthy neighborhood must include removal of the blighting influences to the
extent feasible and where indicated. These include heavy traffic, air pollution,
poor streets, lack of parks and trees, poor lighting, dirty streets and spaces,
inadequate refuse storage and collection, inadequate water supply and sewerage,
unpainted buildings, noisy businesses and industries, and tax increases for housing
maintenance and improvement.
Further explanations and specifics to carry out some of these program functions
are given in the sections that follow.

Selection of Work Areas

A housing program must keep in proper perspective community short- and
long-term plans, special surveys and reports, area studies, pilot block enforce-
ment, and the routine inspection work to enforce a minimum standards housing
ordinance. Continual evaluation of the program is necessary to ensure that the
control of blight and deterioration of buildings and neighborhoods, as well as the
rehabilitation of substandard dwellings, is being carried out where encountered.
When indicated and possible, such action should be carried out on a planned
block or area basis. This makes accomplishments more apparent and also awak-
ens community pride, which can become “infectious.” A blighted block does not
always have a neon sign at the head of the street. The very insidiousness of
blight makes it difficult to recognize and will have to be deliberately sought out
and attacked. It may be only one or two houses in a block, which are recognized
by a dilapidated outward appearance, by the inspector’s intimate knowledge of
the neighborhood and people, by office records showing a history of violations,
or by routine survey reports. Signs of deterioration and dilapidation should be
attacked immediately before decay and blight take over and incentive to make
and support repairs becomes an almost impossible task.
The selection of conservation, rehabilitation, clearance, and redevelopment
areas should take into consideration and adapt the following nine criteria:

1. The grading of socioeconomic areas using a weighted composite consist-

ing of overcrowding, lack of or dilapidated private bath, lack of running
water, and other measurable factors reported by the Bureau of the Census,
including income and education.
2. The grading of areas using health indices and mortality and morbidity data.
3. The grading of areas on the basis of social problems, juvenile delinquency,
welfare and private agency case load, adult probation, early venereal dis-
eases, social unrest, and so on.
 HOUSING PROGRAM 111

4. The areas having the high, average, and low assessed valuation, dilapida-
tion, and overcrowding.
5. The grading of neighborhoods using the APHA or equal appraisal system,
health and building department surveys, and plotted data. A sampling of
20 percent of the dwellings can give fairly good information.
6. Results of surveys and plans made by planning boards, housing authorities,
and redevelopment boards.
7. Selection of work areas with reference to these criteria, as well as exist-
ing and planned housing projects, parks, redevelopment areas, parkways or
thruways, railroads, and industrial or commercial areas; also existing barri-
ers such as streams or lakes, good housing areas, swamps, and mountains.
8. Health department environmental sanitation and nursing division office
records and personal knowledge of staff.
9. Visual foot surveys and combinations of items 1 through 8.

The superimposition of map overlays showing these characteristics will bring

out areas having the most problems.

Enforcement Program
Enforcement of a housing conservation and rehabilitation ordinance involves
use of the same procedures and techniques that have been effective in carrying
out other environmental sanitation programs. The development of a proper atti-
tude and philosophy of the intent of the law and its fair enforcement should be
the fundamental theme in a continuing in-service training program. A housing
enforcement program can proceed along the following lines:

1. Inspection of a pilot area to develop and perfect inspection techniques

and learn of problems and practical solutions to obtain rehabilitation of
substandard areas.
2. Routine inspection of all hotels and rooming and boarding houses for com-
pliance with minimum standards housing ordinance. A satisfactory report
could be a condition to the issuance of a permit and a license to operate.
3. Routine inspection of multiple dwellings. An initial inspection on a two-or
three-year plan will reveal places requiring reinspection.
4. Inspections throughout a city, village, or town on an individual structure,
block, and area basis to obtain rehabilitation and conservation of sound
housing or demolition of unsalvable structures. This may be made a require-
ment by local ordinance before a dwelling or multiple dwelling can be
resold. It could also apply before rerental.
5. Concentration of inspection in and around salvable areas to spread the
border of improved housing so that it will merge with a satisfactory area.
6. Redirection of complaint inspections to complete housing surveys when
practical. This can make available a large reservoir of personnel for more
productive work.
112 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

7. Continuing in-service training with emphasis on law enforcement through

education and persuasion, alteration and reconstruction, letter reporting,
and financing to obtain substantial rehabilitation, not patchwork.
8. Close liaison with all city departments, especially city planning and build-
ing divisions, urban renewal agency, welfare, and the courts.
9. Continuing public education, including involvement of community and
neighborhood organizations, to support the housing program and help or
guide owners to conserve and rehabilitate their homes.

The enforcement program should take into consideration the problems, atti-
tudes, and behavior of the people living in the dwelling units and the changes that
need to be effected with the help of other agencies. The enforcement program
must also recognize that, to be effective, subsidies and other forms of assistance
to low-income families will usually be necessary to support needed alterations
and rehabilitation.

Staffing Patterns Various staffing patterns have been suggested to administer

a housing code enforcement program. One basis is a program director supported
by one assistant to supervise up to eight inspectors, each making an estimated
1,000 inspections per year. Slavet and Levin suggest the following seven ratios15 :

1. One inspector per 10,000 population or one inspector per 1,000 substan-
dard dwelling units (this assumes inspection and reinspection to secure
compliance at an average of 200 substandard dwelling units per year over
a five-year period)
2. One inspector per 3,000 standard dwelling units, assuming inspection of
600 units per year over a five-year period, in addition to the staff needed
to handle complaints
3. One financial specialist for every three or four housing inspectors
4. One community relations specialist for every three or four housing
inspectors
5. One rehabilitation specialist for every two or three inspectors
6. One clerk for every three or four inspectors
7. One supervisor for every six to eight inspectors

Some Contradictions An enforcement program will reveal many contradic-

tory facts relating to human nature. These only serve to emphasize that the
housing problem is a complex one. The social scientist and anthropologist could
study the problems and assist in their solution, provided he or she works in the
field with the sanitarians and engineers:

For example, it has been found that a person or family living in a substandard
housing area may be very reluctant to move away from friends and rela-
tives to a good housing area where the customs, religion, race, and very
environment are different.
 HOUSING PROGRAM 113

A housing survey may show that a structure is not worth repairing, and the
expert construction engineer or architect may be able to easily prove that
conclusion. But the owner of a one-, two-, or three-family building will
rarely agree. He will go on to make certain minimum repairs or even exten-
sive repairs to approach the standards established in the housing ordinance,
leaving you wondering if there really is any such thing as a nonsalvable
dwelling.
There is the not-infrequent situation where two old structures are located on
the same lot, one facing the street and the other one the rear-lot line.
If one structure is demolished, another cannot be built on the same lot
because zoning ordinances usually prohibit such intensive lot usage by
new structures. Therefore, the owner, rather than lose the vested right due
to prior existence of the structure, with respect to the zoning ordinance,
may choose to practically rebuild the dwelling at great cost rather than tear
it down.
Another common occurrence is the tendency for some landlords to seize upon
health or building department letters recommending improvements to bring
the building into compliance with the housing ordinance as the opportunity
to evict tenants and charge higher rentals. This is not to say that the owner
is not entitled to a fair return on an investment, but the intent is that no
one should profit from human misery. (A fair return on one’s investment
has been given as 10 percent of the assessed valuation or purchase price
of the property.) Since the department’s objective is to improve the living
conditions of the people, it should not become a party to such actions. As
a matter of fact, it is the unusual situation where needed housing improve-
ments cannot be made with the tenant living in the dwelling unit, even
though some temporary inconvenience may result. Hence, in such situa-
tions, it is proper for the department to opine that the needed repairs can
be made without evicting tenants, thereby leaving the final determination
in the exceptional cases with the owner and the courts.
A rather unexpected development may be the situation where an owner agrees
to make repairs and improvements, such as new kitchen sink and provision
of a three-piece bath with hot as well as cold water under pressure, only to
be refused admittance by the tenant. The tenant knows that the rent may
be increased and suddenly decides that a new bathroom is a luxury he or
she can get along without. In such case, the courts have granted eviction
orders and have sanctioned the reasonable increase in rent.
Rent control makes possible affordable housing for many families, but inad-
equate rents (income) discourage maintenance and promote decay and
eventual building abandonment. See Figure 2.3. A fair balance must be
reached.

Fiscal Aspects The financing of improvements is sometimes an insurmount-

able obstacle to the lay person. As an aid to the people affected by a housing
enforcement program, a “financing clinic” can be formed to advise homeowners
114 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

in difficult cases. The clinic may be a committee consisting of a banker, an

architect, a general contractor, a plumbing contractor, and a representative of
the building division, redevelopment board, federal agencies, and community.
The department representative would help the owner present the problem. If the
homeowner is instructed to submit estimates of cost from two or three reliable
contractors, a sounder basis for assistance is established.
An enforcement program must recognize that many investors use the criterion
that a dwelling is not worth purchasing unless it yields a gross annual income
equal to one-quarter to one-fifth of the selling price. Another rule of thumb for
rehabilitation of a dwelling is that the cost of alteration plus selling or purchase
price shall not be more than five times the gross annual income, or an individual’s
income shall be at least 25 to 28 percent of the cost of the dwelling unit (taxes,
mortgage, maintenance).

Enforcement Procedures
The fair and reasonable enforcement of the intent of a minimum standards hous-
ing ordinance requires the exercise of trained judgment by the administrators,
supervisors, and field inspectors. Continuing in-service training of the housing
staff is essential to carry out the purpose of the housing ordinance in an effec-
tive manner.18 A trained educator can offer valuable assistance and guidance in
planning the training sessions and in interpreting the program to the public and
legislators. Health department sanitarians are admirably suited to carry out the
housing program because of their broad knowledge in the basic sciences and
their ability to deal effectively with the public.
The enforcement measures and procedures can be summarized as follows:

1. Prepare a housing operating manual giving a background of the housing

program, guides for conduct, inspection report form based on the housing
ordinance, interpretation of sections of the ordinance needing clarification
for field application, suggested form paragraphs for routine letters, includ-
ing typical violations and recommendations for their correction, follow-up
form letters, building construction details, and related information. A few
form paragraphs and architectural details are included in the text to suggest
the type of material that can be included in a housing manual to obtain a
certain amount of uniformity and organization in a housing enforcement
program.
2. Complete an inspection of all types of premises and dwelling units occu-
pied as living units. A comprehensive checklist or survey form based on
the housing ordinance similar to Figure 2.4 could be used.
3. Prepare a complete rough-draft letter by the sanitarian based on field
inspection, listing what was found wrong, together with recommendations
for correction.
4. Review the inspection report and suggested letter by a supervising sanitar-
ian for completeness and accuracy. The letter is signed by the supervisor
and a tickler date confirmed for a follow-up inspection. See Figure 2.5.
 HOUSING PROGRAM 115

FIGURE 2.5 Form letter to confirm findings at time of first inspection.

5. Maintain a visible card-index file or computer entry on each multiple

dwelling, boarding house, rooming house, and hotel, in addition to a file
on each dwelling, including one- and two-family structures.
6. Send a reinspection letter based on the findings reported in the first letter
and remaining uncorrected. This may take the form of an abridged original
letter listing what remains to be done, a letter calling for an informal
hearing, a letter giving 30 days in which to show substantial progress, or
a special letter. See Figure 2.6.
7. In some instances, substantial improvements are requested that justify a
reasonable rent adjustment. This should be brought out at the time of
116 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.6 Administrative hearing letter.

informal hearings when financial hardship is pleaded. Informal adminis-

trative hearings are very useful.
8. Conduct office consultation with owners to investigate long-range
improvement programs within the limits of the law and the federal, state,
and private assistance available.
9. Maintain a list of competent contractors who perform alteration work.
10. Review cost estimates with the owner for completeness.
11. Arrange for expert consultation to finance improvements, including a
hearing before a “financing and construction clinic,” which should have
 HOUSING PROGRAM 117

representation from the lending institutions as well as from the contractors,

architects, and engineers.
12. In recalcitrant cases, secure a letter from the chief city judge or justice
providing for a pretrial hearing to show cause why a summons should
not be issued, followed by the hearing. A similar procedure could be
followed by the corporation counsel or county attorney. The courts could
also establish a special session to hear housing cases.
13. Issue a summons by the corporation counsel at the request of the enforce-
ment agency when other measures have failed, if authorized by local law.
A record of appearances and results should be kept.
14. Issue a summons by an authorized member of the enforcement agency in
emergencies, if authorized by local law.
15. Cooperate with the press with a view toward obtaining occasional special
reports, feature articles, and community support.
16. Cooperate and liaison with all private and public agencies having an inter-
est in housing.
17. Notify the welfare department when public assistance is being given
for rental because payment for housing should be made only when the
facilities and conditions of maintenance and occupancy meet minimum
standards.
18. Educate the legal department to obtain an aggressive, trained, and com-
petent attorney who can become experienced in housing problems and be
able to guide the legal enforcement phase of housing work.
19. Stimulate resurgence of neighborhood pride in the rehabilitation and con-
servation of all buildings on a block or area basis. Information releases
and bulletins explaining what community groups and individuals can do
to improve their housing is an excellent approach.
20. Discourage profit at the expense of human misery by making it possible
through state law to file a lien in the county clerk’s office against a
property that is in violation of health ordinances, for the information of
all interested and affected persons.
21. Notify the mortgage holders and insurance carriers of existing conditions.
22. Propose legislation requiring those who purchase city-owned property at
public auctions to first list all the property they have owned in the past
five years, properties they own with delinquent city taxes, the name and
address of all major stockholders if a corporation, whether the purchaser
owns vacant or abandoned buildings, and whether the city had ever taken
title to the purchaser’s property for back taxes.
23. In the case of corporate ownership, propose legislation requiring that
name, address, and the number or percentage of shares owned in the
corporation be filed in the county clerk’s office.
118 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

24. Require registration and periodic reregistration of current ownership to

facilitate the service of notices and enforcement. Require an in-state agent
for receipt of legal notices.
25. Require a certificate of occupancy each time an apartment is rented to a
new tenant.
26. Propose legislation authorizing payment of rent into an escrow account
to correct code violations, after which the account is turned over to the
owner.
27. Fund a municipal emergency repair program through attachment of rents
or a property lien.
28. Arrange low-interest loans and grants to make repairs.
29. Push for legislation permitting tax foreclosure proceedings within two
years or less to permit acquisition of property while it still has value,
before it has deteriorated beyond hope of economic rehabilitation, with
safeguards for the sincere resident owner who is temporarily in financial
difficulty. This requires a systematic inspection system, early identification
of deficiencies, prompt and vigorous enforcement, or foreclosure, where
indicated.

The enforcement procedure generally includes news releases and informa-

tion bulletins, inspection, notification, reinspection, second notification, third
notification, informal hearings, administrative hearings, pretrial hearings, and
summonses. In brief, therefore, the enforcement procedure consists of education
and persuasion, with legal action being a last resort.
Not to be forgotten is stimulation of the possible role of nongovernment
agencies having a direct or indirect interest and concern in the maintenance of
good housing and in housing rehabilitation. The role could consist of seminars
and individual assistance for home improvement given by banks, material sup-
ply companies, builder and contractor organizations, community colleges, urban
development and redevelopment agencies, and fire insurance companies. The
assistance could include financing methods for improvements; available federal
(and state) grants and loans; filing of applications for assistance; owner-contractor
relations; value of architectural services; and information on materials, supplies,
and equipment for home repairs and improvements, their advantages, disadvan-
tages, and costs.

HOUSING FORM PARAGRAPHS FOR LETTERS

It is necessary to have some reasonable uniformity and accuracy when writing

letters or reports to housing code violators. This becomes particularly important
when a housing code enforcement unit has a large staff and when court action
is taken. By using a dwelling inspection form such as Figure 2.4, and the form
paragraphs listed here, it should be possible for the inspector to readily prepare
 HOUSING FORM PARAGRAPHS FOR LETTERS 119

a draft of a suitable letter for review by that inspector’s supervisor. The form
paragraphs can and should be modified as needed to reflect more precisely the
unsatisfactory conditions actually observed and practical suggestions for their
correction. Reference to the pages that follow will be helpful in describing vio-
lations for use in the form letter (Figure 2.5). All construction must comply with
the local or state building and fire prevention code.

Structural Safety
To be considered structurally safe, a building must be able to support two and a
half to four times the loads and stresses to which it is or may be subjected.
Certain conditions that may be deemed dangerous or unsafe need explanation.
For example, a 12-inch beam that has sagged or slanted more than one-quarter
out of the horizontal plane of the depth of floor structural members in any 10-foot
distance would be more than 3 inches out of level in 10 feet and, hence, unsafe.
An interior wall consisting of 2 × 4-inch studs or 4-inch terracotta tile blocks
more than one-half out of the vertical plane of the thickness of those members
between any two floors would be more than 2 inches out of plumb and, hence,
unsafe. See Figure 2.7.
A stair, stairway, or approach is safe to use when it is free of holes, grooves,
and cracks that are large enough to constitute a possible accident hazard. Rails and
balustrades are expected to be firmly fastened and maintained in good condition.
Stairs or approaches should not have rotting or deteriorating supports, and stairs
that have settled more than 1 inch or pulled away from the supporting or adjacent
structure may be dangerous. Stair treads must be of uniform height and sound
and securely fastened in position. Every approach should have a sound floor and
every tread should be strong enough to bear a concentrated load of at least 400 lb
without danger of breaking through. See Figure 2.8.

Incomplete Bathroom
The (first floor rear apartment) did not have a tub or shower. A complete
bathroom—including a water closet, tub or shower, and washbasin connected
with hot and cold running water—is required to serve each family. See
Figures 2.9 and 2.10. The bathroom shall have a window or skylight not less
than 10 percent of the floor area, with at least 45 percent openable, providing
adequate light and ventilation. A water-repellent floor with a sanitary cove base
or its equivalent is necessary. A ventilation system may be approved in lieu of
a window or skylight.

No Hot Water
There was no piped hot water in the (kitchen of the first floor-front apartment).
This apartment shall be provided with hot water or water-heating facilities of
adequate capacity, properly installed and vented. The heater shall be capable of
heating water to permit water to be drawn at every required kitchen sink, lavatory
basin, bathtub, or shower at a temperature of approximately 110◦ F (43◦ C).
120 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.7 Wall construction.

 HOUSING FORM PARAGRAPHS FOR LETTERS 121

FIGURE 2.8 Stairway details. (Source: Basic Housing Inspection, DHEW Pub. (CDC)
80–8315, U.S. Government Printing Office, Washington, DC, p. 38.)

Leaking Water Closet

The water-closet bowl in the (describe location) apartment was (loose) (leaking)
at the floor. (When the toilet is flushed, the water drains onto the floor and seeps
through the ceiling to the lower apartment.) The water closet should be securely
fastened to the floor, floor flange, and soil pipe so that it will be firm and not
leak when flushed. (It will also be necessary to repair the loose ceiling plaster in
the lower floor and repaint or repaper as needed.)

Floors Not Water Repellent

The bathroom (water-closet compartment) (floor covering) was (worn through)
(broken) (bare wood with open joints). The floor should be (repaired) (made
reasonably watertight), and the floor covering should extend about 6 inches up the
wall to provide a sanitary cove base. Satisfactory material for the floor covering
is inlaid vinyl, rubber or composition tile, smooth cement concrete, tile, terrazzo,
and dense wood with tightly fitted joints covered with varnish or other similar
coating providing a surface that is reasonably impervious to water and easily
cleaned.
122 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.9 Three-piece bathroom showing minimum dimensions.

 HOUSING FORM PARAGRAPHS FOR LETTERS 123

FIGURE 2.10 Alteration for shower and washbasin addition.

Exterior Paint Needed

The exterior paint has (peeled, worn off), exposing the bare wood, rusting the
nails, causing splitting and warping of the siding. This will lead to the entrance
of rainwater, rotting of the siding, sheathing, and studs, as well as inside damp-
ness and falling of the plaster. You are urged to immediately investigate this
condition and make the necessary repairs, including painting or other weather-
and decay-resistant treatment of the house, to prevent major repairs and expenses
in the future.

Rotted and Missing Siding

The (shingles, siding, apron, cornice, exposed rafters) (on the north side of the
house at the second-floor windows and foundation) is (are) (rotted and miss-
ing). Decayed material should, of course, all be removed, the sheathing repaired
wherever necessary, and the shingles, siding, and so on, replaced. Following the
carpentry work, all unpainted or unprotected material exposed to the elements
should be treated to prolong its life.

Sagging Wall
The (door frames and window frames) in the (location) are out of level, making
complete closure of the doors and windows impossible. Outside light could be
easily seen through the openings around the (window rails and door jambs). The
supporting beams, girders, posts, and studs should be carefully inspected, as there
was evidence that some of these members were rotted, causing the outside wall
124 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.11 Window details.

to sag. The building should be shored and made level wherever necessary. The
unsound material should be replaced, and the improperly fitting doors, windows,
and framing repaired to fit and open properly. See Figures 2.7 and 2.11.

Loose Plaster
The plaster is (loose) (and buckled) (and has fallen) from the living room ceiling
and walls in the (name apartment or other location) over an area of approximately
10 ft2 . All loose plaster should be removed and the wall replastered; following
curing, it should be painted or papered to produce a cleanable, smooth, and tight
surface.

Leaking Roof
There is evidence of the roof leaking over or near the (kitchen, living room, etc., in
the tenant apartment). The (paint, paper) was stained and peeling. It is essential
that the leak be found and repaired, not only to prevent the entrance of water and
moisture in the apartment but also to prevent loosening of the plaster, rotting of
the timbers, and extension of the damage to your property.

No Gutters or Rain Leaders

There are no gutters or rain leaders on this building. Gutters and rain leaders should
be placed where needed and connected to the sewer if permitted to ensure proper
 HOUSING FORM PARAGRAPHS FOR LETTERS 125

drainage of rainwater. This will also make rotting and seepage of water through
siding and window frames and entrance of water into the basement less likely.

No Handrails
There are no handrails in the stairway between the (first and second floors at the
rear). This is a common cause of preventable serious accidents. Handrails should
be provided and securely fastened at a height of 30 to 32 in., measured above the
stair tread.

Lead Paint
Children living in apartment (10B) have been screened for lead and were found
to have high levels of lead in their blood . Lead is a cumulative poison that
causes mental retardation, behavioral changes, anemia, and other impairments.
Lead-based paint found on window and door frames in the apartment had flaked
and peeled. Lead-based paint must be removed, but it requires special precautions
to protect children and adults from the paint dust. Use a contractor who has been
licensed to do this type of work.

Refuse in Attic
There are (rags, refuse, paper, and trash) in the attic. These materials are a fire
hazard and provide harborage for mice and other vermin. All rags, paper, and
trash must be removed from the attic, and the attic maintained in a clean and
sanitary condition at all times.

Water-Closet Flush Tank Not Operating Correctly

The (water runs continuously) in the water-closet flush tank in the (John
Jones’s apartment); OR the water closet in the (John Jones’s apartment) cannot
be flushed . The broken, worn, or missing ball-cock valve, ball-cock float,
flush-valve ball, flush lever, or flush handle should be repaired or replaced to
permit proper flushing of the water closet. See Figure 2.12.

Garbage Stored in Paper Box or Bag

Garbage is being stored in (open, uncovered baskets) (paper bags) (paper boxes)
(in the rear yard). This encourages rodent, fly, and vermin breeding. All garbage
should be drained, wrapped, and properly stored in tightly covered containers. It
will be necessary for you to procure needed receptacles for the proper storage of
all garbage until collected.

Dilapidated Garbage Shed

The garbage shed in the (specify location) is in a dilapidated, rotted, and unsani-
tary condition. Garbage sheds tend to accumulate garbage and encourage rodent,
126 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.12 Water-closet tank. (Flapper valve can replace tank ball. Unvented supply
valve requires backflow preventer.)

fly, and vermin breeding. This dilapidated garbage shed should be removed and
the premises cleaned. Store the garbage cans on an elevated rack or concrete
platform. (Enclose pamphlet showing some suggested storage racks.)

Debris in Yard or Vacant Lot

The vacant lot located at (specify location) was found littered with (old lumber,
tin cans, and rubbish). This is unsightly and may serve as rat harborage and as
an invitation to dump on the property. It is requested that you make a personal
investigation of the conditions reported and arrange to have the lot cleared and
cleaned. It is also recommended that you post a “No Dumping” sign to discourage
future littering of the property.

Dirty Apartment
The apartment on the (second floor) is in a very unsanitary condition. (Describe.)
All occupants are expected to keep their apartment and the premises they control
in a clean and sanitary condition at all times. (Give a copy of the letter to the
tenant.)

Overcrowded Sleeping Room

The bedroom(s) in the (specify location) are overcrowded . There are (three) per-
sons in a room having an area of (80) ft2 and (four) persons in a room (85) ft2 .
 HOUSING FORM PARAGRAPHS FOR LETTERS 127

Every room occupied for sleeping purposes shall contain at least 70 ft2 of floor
space for one person and 50 ft2 for each additional person. (Suggest correction.)
This apartment should not be rerented for occupancy by more persons than can
be accommodated in accordance with this standard.

No Window in Habitable Room

No window to the outside air is provided in the (living room, kitchen, bedroom).
Every room used or intended to be used as a living room, kitchen, or bedroom
is required to have a total unobstructed window area of at least 10 percent of
the floor area. Consideration should be given to the possibility of cutting in a
new window or providing a skylight if the room is to be continued in use as a
bedroom, living room, or kitchen.

Unlawful Third-Floor Occupancy

The third floor of this building had been converted and was occupied for living
purposes. The conversion or alteration of a third floor or attic in a frame building
for living or sleeping purposes is prohibited by Chapter X of the city ordinances.
This is a major hazard in case of fire. Discontinue the use of the third floor
immediately. (Refer a copy of the letter to division of buildings.)

Unlawful Cellar Occupancy

The cellar is being used for (sleeping, living, purposes). A cellar may not be used
for living purposes; hence, this space must be permanently vacated. (The housing
ordinance defines a cellar as “a room or groups of rooms totally below ground
level and usually under a building.”)

Clogged Sewer
The (soil stack, building drain, or sewer) is apparently clogged, for sewage from
the upper apartment(s) backs into the (kitchen sink, water closet) in the (first-floor
front apartment). The clogged sewer must be cleared and, if necessary, repaired
to eliminate cause for future complaint.

Unvented Heater
The gas water heater(s) (burning carbonaceous fuel) in the (name room or space
and locate) is (are) not vented . Unvented heaters in bathrooms and sleeping
rooms have been the cause of asphyxiation, carbon monoxide poisoning, and
death. These heaters must be properly vented to the chimney or outside air,
supplied with sufficient air to continuously support combustion of the fuel, and
be protected to prevent fires and minimize accidental burns. See “Venting of
Heating Units,” this chapter.
128 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

Furnace Flue Defective

The furnace flue has rusted through in several places (and the connection to the
chimney is loose), causing waste gases to escape into the basement. Since such
gases rise and seep into the upper apartment(s) and have been known to cause
asphyxiation, it is imperative that the flue be repaired and the collar sealed to
prevent leakage of any waste gases. This should also improve the efficiency of
the furnace.

Rubber-Hose Gas Connection

The gas heater(s) in the (tenant apartment) has (have) (plastic pipe, rubber hose)
connection(s). Such materials eventually leak and may cause death in the house-
hold. It will be necessary to replace all plastic and rubber-hose connections with
rigid, metal pipe.

Rat Infestation
There is evidence of a very bad rat condition existing in this building, as
indicated by (explain condition). All holes in the foundation (floors) should
be sealed with cement mortar and openings around wood framing closed with
metal flashing or with cement mortar where possible. Traps and repeated
use of a rodenticide such as Warfarin are suggested to kill rats inside the
building. All sources of food and harborages must be eliminated. Such control
measures should be continuous for at least two or three weeks to be effective.
(Enclose pamphlet giving additional details dealing with accepted control
measures.)

Roach Infestation
The apartment is apparently infested with roaches, as indicated by the roachy odor
and roaches observed hiding under the sink, baseboard, moldings (stains in the
kitchen cabinet, pellets of excrement in the dish cabinet). Roaches are sometimes
brought in with boxes of food, baskets, or bags; dirt and filth encourage their
reproduction in large numbers. Thorough cleaning, filling of cracks around frames
with plaster or plastic wood, followed by the proper application of an insecticide
in selected places and in accordance with the manufacturer’s directions should
bring the problem under control. (Enclose pamphlet that gives additional detailed
information.)

Overflowing Sewage Disposal System

The sewage disposal system serving the dwelling is (seeping out onto the surface)
(discharging into the ditch in front of your home). This is a health hazard not only
to those living there but also to neighbors and pets. Immediate steps should be
taken to determine the cause and make corrections.
 PLUMBING 129

Improperly Protected Well-Water Supply

A sanitary survey of the well-water supply shows it to be subject to contamina-
tion. The well (is uncapped) (has a hole around the casing where surface water
can drain down and into the well) (does not have a tight seal at the point where the
pump line(s) pass into the casing as noted by drippage observable from looking
into the well). The necessary repairs should be made to prevent contamination
of the water supply and then the well should be disinfected as explained in
(enclosed) instructions.

Major Repairs
In view of the major repairs and improvements needed, only some of which have
been reported above, plans prepared by a registered architect should be submitted
showing the existing conditions and all proposed alterations for approval by
this Department and the Division of Buildings, before any work is done. This
procedure makes possible the receipt of comparable bids from several contractors
and usually results in more orderly prosecution of the work at a minimum cost.

Minor Repairs
In view of the repairs and improvements needed, a sketch drawn to scale should
be prepared showing existing and proposed work to ensure that the work can be
done as intended. The sketch should be submitted to and approved by the Division
of Buildings and this Department before any work is done. This procedure makes
possible the receipt of comparable bids from several contractors and usually
results in more orderly prosecution of the work at a minimum cost.

Obtain at Least Three Estimates

We urge you to obtain at least three estimates from reputable contractors before
having any work done. Written bids should be requested and assurance obtained
from the contractor that the estimate is all inclusive.

PLUMBING

Plumbing Code
Sanitary plumbing principles that are based on the latest scientific studies should
be fundamentally similar but will be varied in application, depending on the
local conditions. Some plumbing designs and standards currently in existence
are based on an unsound old rule of thumb or prejudice. They could be reviewed
with profit in the light of present-day knowledge.
The National Plumbing Code,16 the Uniform Plumbing Code,17 and the Stan-
dard Plumbing Code (also called the Southern Code)18 are the three major
130 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

plumbing codes currently being used in the United States. Public Health Service
Pub. 103819 is also a comprehensive standard code of minimum requirements for
use. Some of the major codes have combined to form the International Plumbing
Code.20 The interested person would do well to have copies in a reference file.
The sizing of water supply, drainage, vent, and storm-drain piping is concisely
covered.
In addition to the major codes, different parts of the country frequently have
their local plumbing codes (state, county, or city level). These local code require-
ments must be checked before doing any plumbing work.
One term used frequently is plumbing fixture. This term includes installed
receptacles, devices, or appliances either supplied with water or receiving on
discharge liquids or liquidborne wastes or both. The bathtub, sink, water closet,
dishwasher, and drinking fountain are examples of plumbing fixtures. In practice,
the probable flow is estimated based on the fixture unit. A fixture unit is the
load-producing flow effect for comparing different plumbing fixtures. One water
supply fixture unit (wsfu) is usually taken as 7.5 gpm. The drainage fixture unit
(dfu) for different fixtures can also be found in most plumbing codes.
Approval of plans for plumbing systems must usually be obtained before
construction is started. Health departments can accomplish more in the inter-
est of public health by seeing that proper standards of plumbing exist and are
enforced than by actually doing the plumbing inspection. For example, the health
department can see to it that plumbing and building codes prohibit dangerous
cross-connections and interconnections and require a private three-piece bath-
room and kitchen sink served by hot and cold water in every new dwelling
unit. This is fundamental to the prevention of disease, the promotion of personal
hygiene, and sanitation. Plumbing codes should prohibit the use of lead piping
for water distribution and the use of tin–lead (50:50 and 60:40) solder for joining
copper piping.
Plumbing codes should specify an adequate number of fixtures for private
public, and industrial use, all properly supplied, trapped, vented, and sewered,
as noted in Tables 2.6 through 2.9. Water connections with unsafe or question-
able water supplies would be prevented, and connections or conditions whereby
used or unsafe water could flow back into the potable water system would be
prohibited. Of course, a safe water supply and proper sewage disposal should be
ensured.
Housing codes should make reference to a modern plumbing code. Housing
codes would be of little value unless they were applicable to all new, altered,
and existing one-, two-, or multifamily dwellings, hotels, boarding houses, and
rooming houses.
The health department should serve as a consultant to the building, plumbing,
water, and sewer divisions. Any new or revised codes or regulations should first
be reviewed and approved by the health department before being considered for
adoption to ensure that the fundamental principles of public health and sanitary
engineering are not violated.
 TABLE 2.6 Minimum Number of Plumbing Facilities
Fixtures
Number of fixtures per number of occupants

Water Closets Bathtubs/ Drinking Service

Building Occupancy Males Females Lavatories Showers Fountains Sink

A Theaters 1 per 125 1 per 65 1 per 200 — 1 per 1,000 1

Night Clubs 1 per 40 1 per 40 1 per 75 — 1 per 500 1
Restaurants 1 per 75 1 per 75 1 per 200 — 1 per 500 1
Halls, museums, etc. 1 per 125 1 per 65 1 per 200 — 1 per 1,000 1
Coliseums, arenas 1 per 75 1 per 40 1 per 150 — 1 per 1,000 1
Churches (b) 1 per 150 1 per 75 1 per 200 — 1 per 1,000 1
Stadiums, pools, etc. 1 per 100 1 per 50 1 per 150 — 1 per 1,000 1
B Business 1 per 25 1 per 40 — 1 per 100 1
M Retail sales 1 per 500 1 per 750 — 1 per 1,000 1
F Factory and industrial 1 per 100 1 per 100 emergency showers and 1 per 400 1
eyewash
S Storage 1 per 100 1 per 100 emergency showers and 1 per 1,000 1
eyewash
E Educational 1 per 50 1 per 50 – 1 per 100 1
H Hazardous 1 per 100 1 per 100 emergency showers and 1 per 1,000 1
eyewash
I Hospitals (c) 1 per room (f) 1 per room (f) 1 per 15 1 per 100 1 per floor
I-1 Nurseries, day care centers, 1 per 15 1 per 15 1 per 15 (g) 1 per 100 1
sanitariums, and nursing
homes with nonambulatory
patients (c)
I-2 Nursing homes for 1 per room (f) 1 per room (f) 1 per 15 1 per 100 1 per floor
ambulatory patients (c)
I-3 Mental hospitals, mental 1 per 15 1 per 15 1 per 15 1 per 100 1
sanitariums, etc.
(continues)

131
 TABLE 2.6 (continued )

132
Fixtures
Number of fixtures per number of occupants

Water Closets Bathtubs/ Drinking Service

Building Occupancy Males Females Lavatories Showers Fountains Sink

I-3 Jails/ 1 per cell 1 per cell 1 per 8 – –

reformatories cells
I-3 Dormitory or other 1 per 12 1 per 8 1 per 12 1 per 8 – –
institutional rooms with 24
hour access to sanitary
facilities
I-3 Exercise rooms 1 per room 1 per room – – –
I-3 Employees (c) 1 per 25 1 per 25 – 1 per 100 –
I-3 Visitors 1 per 75 1 per 100 – 1 per 500 –
R Lodges, dormitories, and bed and 1 per 10 1 per 8 1 per 10 1 per 100 1
breakfast facilities
Hotels and motels 1 per guest room 1 per guest room 1 per guest room – 1
Multiple family housing (d) 1 per dwelling unit 1 per dwelling unit 1 per dwelling unit – 1 kitchen sink
per dwelling
unit

Note (a) The fixtures shown are based on one (1) fixture being the minimum required for the number of persons indicated or any fraction of the number of persons indicated.
Note (b) Fixtures located in adjacent buildings under the ownership or control of the church may be made available during periods the church is occupied.
Note (c) Toilet facilities for employees shall be separate from the facilities for inmates or patients.
Note (d) One (1) automatic clothes washer connection shall be required per twenty (20) dwelling units.
Note (e) One (1) automatic clothes washer connection shall be required per dwelling unit.
Note (f) A single-occupant toilet room and one (1) water closet and one (1) lavatory servicing not more than two (2) adjacent patients rooms shall be permitted where such room is
provided with direct access from each patient room and with provisions for privacy.
Note (g) For nurseries, a maximum of one (1) bathtub shall be required.
Source: Indiana General Assembly. TITLE 675 FIRE PREVENTION AND BUILDING SAFETY COMMISSION. http://www.in.gov/legislative/iac/20080423-IR-675070476FRA
.xml.html.
 PLUMBING 133

TABLE 2.7 Minimum Sizes of Fixture Supply and Drain

Type of Fixture/Device Pipe Size (in.) Supply Drain

1 1
Bathtubs 2 1 2
1 1
Combination sink and tray 2 1 2
3
Drinking fountain 8 1
1 1
Dishwasher, domestic 2 1 2
1 1
Kitchen sink 2 1 2
Residential
3
Commercial 4 1 12
3
Lavatory 8 1 14
1
Laundry tray, 1 or 2 compartments 2 1 12
1
Shower, single head 2 1 12
1
Sink, service, P trap 2 2
3
Sink, service, floor trap 4 3
1
Urinal, flush tank, wall 2 1 12
3
Urinal, direct, flush valve 4 2
Urinal, pedestal, flush valve 1 3
3
Water closet, tank-type 8 3
Water closet, flush valve type 1 3
1
Hose bibs 2 —
1
Wall hydrant 2 —
Note: The minimum water pressure at the outlet, at times of maximum demand, shall not be less than
8 psi, except for direct flush valves, where 15 psi is required, and where special equipment requires
other pressure.
Source: PHS Pub. No. 1038, Department of Health, Education, and Welfare, Washington, DC. See
also Chapter 4 for trap sizes and fixture unit ratings.

TABLE 2.8 Distance of Fixture Trap from Vent

Size of Fixture Drain (in.) Maximum Distance (ft)

1 14 2 21
1 12 3 21
2 5
3 6
4 10

Tables 2.6 through 2.9, respectively, give the minimum number of plumb-
ing fixtures for different building occupancies, the minimum sizes of fixture
supply and drain, maximum distance of fixture trap from vent, and hot-water
demands for different types of buildings. Some plumbing details, with particular
emphasis on backflow prevention, recommended minimum number of plumbing
134 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

TABLE 2.9 Hot Water Demands and Use for Various Types of Buildings

Type of Building Maximum Hour Maximum Day Average Day

Men’s dormitories 3.8 gal/student 22.0 gal/student 13.1 gal/student

Women’s dormitories 5.0 gal/student 26.5 gal/student 12.3 gal/student
Motels: number of units
20 or less 6.0 gal/unit 35.0 gal/unit 20.0 gal/unit
60 5.0 gal/unit 25.0 gal/unit 14.0 gal/unit
100 or more 4.0 gal/unit 15.0 gal/unit 10.0 gal/unit
Nursing homes 4.5 gal/bed 30.0 gal/bed 18.4 gal/bed
Office buildings 0.4 gal/person 2.0 gal/person 1.0 gal/person
Food service establishments
Type A, full-meal 1.5 gal/max. 11.0 gal/max. 2.4 gal/avg.
restaurants and cafeterias meals/hr meals/hr meals/daya
Type B, drive-ins, grilles, 0.7 gal/max. 6.0 gal/max. 0.7 gal/avg.
luncheonettes, sandwich meals/hr meals/hr meals/daya
and snack shops
Apartment houses
20 or less 12.0 gal/apt. 80.0 gal/apt. 42.0 gal/apt.
50 apartments 10.0 gal/apt. 73.0 gal/apt. 40.0 gal/apt.
75 apartments 8.5 gal/apt. 66.0 gal/apt. 38.0 gal/apt.
100 apartments 7.0 gal/apt. 60.0 gal/apt. 37.0 gal/apt.
130 apartments or more 5.0 gal/apt. 50.0 gal/apt. 35.0 gal/apt.
Elementary schools 0.6 gal/student 1.5 gal/student 0.6 gal/studenta
Junior and senior high 1.0 gal/student 3.6 gal/student 1.8 gal/studenta
schools
a Per day of operation

Note: The table remains unchanged in the latest ASHRAE publication— 2007 ASHRAE Handbook:
HVAC Applications. Heaters should be preset to deliver water at 130◦ F (54◦ C). The Consumer
Product Safety Commission (CPSC) recommends a maximum of 120◦ F (49◦ C).
Source: ASHRAE Guide and Data Book , Atlanta, GA, 1970. Copyright by the American Society of
Heating, Refrigerating and Air Conditioning Engineers. Inc. Reprinted with permission.

fixtures, the application of indirect waste piping, and other details are discussed
below.

Backflow Prevention
The backflow of polluted or contaminated water or other fluid or substance into
a water distribution piping system through back pressure or back siphonage
is a very real possibility. The best way to eliminate the danger is to pro-
hibit any connections between the water system and any other system, fixture
vat, or tank containing polluted or questionable water. This can be accom-
plished by terminating the water supply inlet or faucet a safe distance above
the flood-level rim of the fixture. The distance, referred to as the air gap is
1 inch for a 0.5-inch-or-smaller-diameter faucet or inlet pipe, 1.5 inches for a
0.75-inch-diameter faucet, 2 inches for a 1-inch-diameter faucet, and twice the
 PLUMBING 135

effective opening (cross-sectional area at point of water supply discharge) when

its diameter is greater than 1 inch. When the inside edge of the faucet or pipe is
close to a wall—that is, within three or four times the diameter of the effective
opening—the air gap should be increased by 50 percent.
Sometimes, as with water closets and urinals equipped with flushometer
valves, it is not possible or practical to provide an air gap. Under such
circumstances, where the water connection is not subject to back pressure,
an approved nonpressure-type backflow preventer, such as that shown in
Figure 2.13, may be used to prevent back siphonage. The backflow preventer

FIGURE 2.13 Vacuum, nonpressure-type siphon-breakers: (a), (b), (c) Moving parts;
(d ) Nonmoving part. Installed after fixture valve. (Source: R. B. Hunter, G. E. Golden,
and H. N. Eaton, “Cross-Connections in Plumbing Systems,” Research Paper RP 1086,
J. Res. Natl. Bur. Stand ., 20 (April 1938).)
136 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

must be installed on the outlet side of the control valve, at a distance not less
than four times the nominal diameter of the inlet, measured from the control
valve to the flood-level rim of the fixture, and in no cases less than 4 inches.
A pressure-type vacuum breaker (see Figure 2.14) is installed on a pressurized
system and will function only when a vacuum occurs. It should not be installed
where backpressure may occur. Figure 2.14 also shows a hose bib vacuum breaker
and an atmospheric vacuum breaker.

FIGURE 2.14 Vacuum breakers: (a) Generally attached to sill cocks and, in turn, are
connected to hose supplied outlets such as garden hoses, slop sink hoses, and spray
outlets, (b) A spring on top of the disc and float assembly, two added gate valves, test
cocks, and an additional first check make possible its utilization under constant pressure,
(c) Must be installed vertically, must not have shutoffs downstream, and must be installed
at least 6 in. higher than the final outlet. (Source: Cross-Connection Control Manual , EPA
570/9-89-007, U.S. Environmental Protection Agency, Office of Water, Washington, DC,
June 1989, pp. 17–18.)
 INDOOR AIR QUALITY 137

In some instances, an air gap cannot be installed and it is necessary to connect

a potable water supply to a line, fixture, tank, vat pump, or other equipment to per-
mit backflow of nonpotable water due to backpressure or back siphonage. Under
such circumstances, an approved reduced-pressure-principle backflow preventer
may be permitted by the regulatory authority. It is essentially a modified double
check valve with an atmospheric vent capability placed between the two checks.

Indirect Waste Piping

Waste pipes from fixtures or units in which food or drink is stored, prepared,
served, or processed must not connect directly to a sewer or drain. Stoppage in the
receiving sewer or drain would permit polluted water to back up into the fixture
or unit. Waste piping from refrigerators, iceboxes, food-rinse sinks, cooling or
refrigerating coils, laundry washers, extractors, steam tables, egg boilers, steam
kettles, coffee urns, dishwashing machines, sterilizers, stills, and similar units
should discharge to an open-water-supplied sink or receptacle so that the end of
the waste pipe terminates at least 2 inches above the rim of the sink or receptacle,
which is directly connected to the drainage system.
A commercial dishwashing machine waste pipe may be connected to the sewer
side of a floor drain trap when the floor drain is located next to the dishwashing
machine, if permitted by the regulatory agency.
An alternate to the installation of a water-supplied sink waste receptor is the
provision of an air gap in the fixture waste line, at least twice the effective
diameter of the drain served, located between the fixture and the trap.
The water-supplied sink or air-gap waste receptor should be in an accessible
and ventilated space and not in a toilet room.

Plumbing Details
A few typical details and principles are illustrated for convenient reference and as
guides to good practice. There are many variations, depending on local conditions
and regulations. See Figure 2.15.

INDOOR AIR QUALITY

Causes and Sources of Indoor Air Pollution

Improved building construction and insulation, including weather stripping,
caulking, and storm and thermopane windows, reduce infiltration and air
exchange, which results in less air dilution and an increase in the concentra-
tion of indoor air pollution. Inadequate ventilation and the recirculation of
contaminated used air to save on energy costs for heating and cooling further
aggravate the problem. Good practice would dictate that at least one-third of
the recirculated air should be clean fresh air, even though this would increase
energy costs, unless an air-to-air heat exchanger is used.
138 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.15 Some fixture plumbing details. (Source: New York State Uniform Fire
Prevention and Building Code, Division of Housing and Community Renewal, New York,
January 1, 1984.)

Household appliances, aerosol applications, cleaning products, pesticides,

photocopying machines (ozone), interior furnishings and building materials
(formaldehyde and volatile organic compounds), tobacco smoke, dry-cleaned
clothing, and radon may also contribute to the indoor air pollution problem.
Noise might also be included. Table 2.10 lists major pollutant/sources, specific
contaminants, and acceptable levels. The contaminants may be found in the new
or rehabilitated home, office, or other workplace; in the automobile, airplane, or
 INDOOR AIR QUALITY 139

TABLE 2.10 Sources and Exposure Guidelines of Indoor Air Contaminants

Pollutant/Sourcesa Guidelines

Asbestos and other fibrous aerosols: friable 0.2 fibers/ml for fibers longer
asbestos—fireproofing, thermal and acoustic than 5 µm (based on
insulation, decoration; hard asbestos—vinyl ASHRAEb guidelines of
floor and cement products, automatic brake 1/10 of U.S. 8-hr
linings (O) occupational standard)
Biological aerosols: human and animal None available
metabolic activity products, infectious
agents, allergens, fungi, bacteria in
humidifiers, bacteria in cooling devices
Carbon monoxide: kerosene heaters, gas 9 ppm for 8 hr (NAAQSc );
stoves, gas space heaters, wood stoves, 35 ppm for 1 hr (NAAQS)
fireplaces, smoking, and automobiles (O)
Formaldehyde: particleboard, paneling, 0.1 ppm (based on Dutch and
plywood, ceiling tile, urea-formaldehyde West German guidelines as
foam insulation, other construction materials reported in ASHRAE
Guidelines, 1981, and
National Research Council
report, 1981)
Inhalable particulates: smoking, vacuuming, 55–110 µg/m3 annuald
combustion sources (O), industrial sources,
fugitive dust (O), and other organic
particulate constituents
Metals and other inorganic paniculate 150–350 µg/m3 for 24 hrd
contaminants:
Lead—old paint, automobile exhaust (O) 1.5 µg/m3 for 3 months
(NAAQS)
Mercury—old paint, fossil fuel combustion (O) 2 µg/m3 for 24 hr (ASHRAE)
Cadmium—smoking, use of fungicides (O) 2 µg/m3 for 24 hr (ASHRAE)
Arsenic—smoking, pesticides, rodent poisons None available
Nitrates—outdoor air None available
Sulfates—outdoor air 4 µg/m3 annual, 12 µg/m3 for
24 hr (ASHRAE)
Nitrogen dioxide: Gas stoves, gas space 0.05 ppm annual (NAAQS)
heaters, kerosene space heaters, combustion
sources (O), automobile exhaust (O)
Ozone: photocopying machines, electrostatic Not exceeding 0.12 ppm once a
air cleaners, outdoor air year (NAAQS)
Pesticides and other semivolatile organics: 5 µg/m3 for chlordane (NRC)e
Sprays and strips, drift from area
applications (0)
Polyaromatic hydrocarbons and other None available
paniculate constituents: woodburning,
smoking, cooking, coal combustion, and
coke ovens (O)
(continues)
140 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

TABLE 2.10 (continued )

Pollutant/Sourcesa Guidelines

Radon and radon progeny: diffusion through 0.01 working level (ASHRAE
floors and basement walls from soil in guidelines)
contact with a residence, construction
materials containing radium, untreated
groundwater containing dissolved radon,
combustion of natural gas used in cooking
and unvented heating, radon from local soil
emanation (O)
Sulfur dioxide: kerosene space heaters, coal 80 µg/m3 annual; 315 µg/m3
and oil fuel combustion sources (0) for 24 hr (NAAQS)
Volatile organics: Cooking, smoking, room None available
deodorizers, cleaning sprays, paints,
varnishes, solvents and other organic
products used in homes and offices,
furnishings such as carpets and draperies,
clothing, furniture, emissions from waste
dumps (O)
a
(O) refers to outdoor sources.
b
American Society of Heating, Refrigerating and Air Conditioning Engineers.
c
U.S. National Ambient Air Quality Standards.
d
These numbers indicate the probable range for the new NAAQS for particulates of 10 µm or
less in size. Based on “Recommendations for the National Ambient Air Quality Standards for
Particulates—Revised Draft Paper,” Strategies and Air Standard Division, Office of Air Programs,
U.S. Environmental Protection Agency, Washington, DC, October 1981.
e
National Research Council, 1982, “An Assessment of Health Risk of Seven Pesticides Used for
Termite Control,” National Academy Press, Washington, D.C.
Source: N. L. Nagada, H. E. Rector, and L. A. Wallace, Project Summary Guidelines for Moni-
toring Indoor Air Quality, EPA-600/S4-83-046, U.S. Environmental Protection Agency, Office of
Monitoring Systems and Quality Assurance, Washington, DC, January 1984.

bus; or in the school, auditorium, indoor ice skating rink, restaurant, enclosed
shopping center, commercial and public building, hospital, and nursing home.
Most urban dwellers spend as much as 80 to 90 percent of their time indoors
including transportation vehicles. The primary types of indoor air quality
problems are inadequate ventilation (52 percent), contamination from inside the
building (17 percent), contamination from outside the building (11 percent),
microbiological contamination (5 percent), contamination from building fabrics
(3 percent), and unknown (12 percent).21

Biological Contaminants and Health Effects

Bacteria, viruses, fungi, pollens, house dust, and mite droppings are found in
indoor air. Fungi, including spores and molds, multiply in the presence of
increased humidity level (greater than 70 percent, some say 45 to 60 percent).22
 INDOOR AIR QUALITY 141

Pollens, fungi, and other allergens are also brought indoors by ventilation
systems, clothing, tracking, and open doors and windows. Substantial reduction
in ventilation rates will tend to increase concentrations of contaminants and the
probability of infection and allergy to the extent contaminants remain viable and
airborne.
Sources of biological contaminants include air-conditioning systems; humid-
ifiers; air ducts; cooling towers; grass, tree, and weed pollens; occupants; and
household pets. Keep air-conditioning systems clean and empty, clean humid-
ifiers and sanitize frequently, and minimize household dust.23 Some unit air
cleaners are effective in removing particulates but may also incubate fungi and
microorganisms. Air cleaners, such as electrostatic precipitators, ionizers, or fil-
ters, are not designed to remove radon or other gases. Humidifiers and filters
require scheduled cleaning or filter replacement. Prevent the accumulation of
water in equipment; ensure proper drainage. Recirculating or independent steam
humidification is said to be preferable to the filter-type humidifier for room
humidification. Ensure that the water used is not contaminated with toxic volatile
compounds.
The spread of respiratory diseases is facilitated by infectious agents and partic-
ulates in contaminated air. Overcrowding and the recirculation of contaminated
air, if not adequately diluted, cleaned, or disinfected, permit continual seeding
and accumulation of pathogenic microorganisms at a rate exceeding the natu-
ral die-off rate. A study at U.S. Army training centers showed a 45 percent
increase in respiratory infection in energy-efficient buildings providing 1.8 ft3
per minute per person outside air. This was compared to older barracks pro-
viding 14.4 ft3 per minute per person outside air where the infection rate was
lower.24
Legionnaires’ disease, meningococcal meningitis, the common cold, influenza,
and other respiratory diseases may be transmitted by airborne aerosols. Compre-
hensive studies on the health effects of long- and short-term exposure to indoor
(and outdoor) contaminants are limited. Young children, the elderly, and people
suffering from respiratory diseases will be the first to show signs of discomfort
from indoor air contamination. Some common complaints are headache; fatigue;
eye, nose, and throat irritation; fever; and dizziness. See also “Respiratory Illness
Control.”

Other Contaminants
Some air contaminants are are associated with noninfectious and communicable
disease and are environmentally related. They may also aggravate respiratory
and heart diseases and cause nausea, headache, eye, nose, and throat irritation,
discomfort, and allergies. Death from chronic or acute exposure may also result.
More information on the health effects of specific indoor contaminants is needed,
but this does not preclude taking preventive action, particularly where information
is available, such as for carbon monoxide, formaldehyde, asbestos, radon, and
biological aerosols. Review of a few air contaminants and sources are given next.
More detailed information can be found from public health literature.
142 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

Radon Radon is an odorless, colorless, and tasteless chemically inert radioac-

tive gas released in the decay of radium from uranium in most soils and rocks.
It is found naturally in soil gas, underground water, and outdoor air. It is 60
times more soluble [at 50◦ F (10◦ C)] than oxygen in water. Radon has a half-life
of 3.8 days. Thorium, one of the uranium decay products, also releases radon.
Radon and primarily its alpha-emitting decay products (especially polonium)
contribute a major portion of the biologically significant dose associated with
natural background radiation. The beta and gamma emissions are not signifi-
cant. The alpha particles, however, adhere to dust particles that, when inhaled,
can become attached to the lungs and remain to irradiate the surrounding tissue,
contributing to the cause of cancer.
It has been estimated that exposure to “one working-level month” over a
lifetime (assumed to be 70 years) would result in about 350 additional lung
cancer deaths per million people exposed. Exposure to a radon level of 4 pCi/1∗
for 12 hours per day would result in an annual exposure of 0.5 working-level
months.25† Working level is explained later. It has also been estimated that radon
causes 13,000 cancer deaths per year.‡ Smokers are at much greater risk. In view
of this, a screening program to identify problem areas and recommend mitigation
alternatives to homeowners is indicated. Also indicated is radon measurement
before the purchase of a new or existing home.
The hazard associated with radon is related to the concentration and time of
exposure. Radon should not exceed 2 to 5 pCi/l indoors. The U.S. Environmental
Protection Agency (EPA) has set a guideline limit of 4 pCi/l per 24 hours for
homes (this is believed to be conservative) and a standard of 20 pCi/l in under-
ground uranium mines. Special problems exist at uranium tailings and phosphate
slag sites. The EPA estimates 20 million homes exceed the 4-pCi/l limit.§ The
action level for existing dwellings in the United Kingdom is 10 pCi/l and 20 in
Canada, with 2.5 in new dwellings in the United Kingdom.27
Major potential entry sources of indoor radon from the soil are cracks in
dwelling concrete floor slabs and basement walls; pores and cracks in concrete
blocks, mortar joints, and floor-wall joints; spaces behind brick veneer walls
that rest on uncapped hollow-block foundations; floor drains; footing drains; and
exposed soil in the bottom of drainage sumps. Radon-contaminated water, when
agitated, aerated, or splashed as in dishwashing, clothes washing, showering,
toilet flushing, and opened faucets or when water is heated, permits the release of
radon. In addition to rock and soil underlying dwellings, construction materials
(some stone masonry, concrete blocks, bricks, concrete), and some well and
seepage waters and gas supplies may be the source of radium and radon. In the
average dwelling, 10,000 pCi/l of radon in the water can be assumed to release

∗
Picocuries per liter: 4 pCi/1 = 150 Bq/m3 (bequerels per cubic meter).
†
Source: Health Risks of Radon and Other Internally Deposited Alpha-Emitters: Bier IV , National
Academy Press, Washington, DC.
‡
National Research Council estimate, 1988 (see ref. 26). Lung cancer may be causing 5000 to 10,000
lung cancer deaths per year in the United States based on an average annual dose of 2.4 rem.
§
See W. W. Nazaroff and K. Teichman, “Indoor Radon,” Environ. Sci. Technol . (June 1990): 777.
 INDOOR AIR QUALITY 143

1 pCi/l to the air, but the actual indoor concentration will be dependent primarily
on the amount of radon entering from the soil and on the extent to which the
indoor air is diluted by outside air.28
The EPA is proposing a level of 200 to 500 pCi/l for drinking water, which
might be increased to perhaps 1,000. A level of 20,000 pCi/l in water is consid-
ered a significant concentration. If the water is high in radon, it can be removed
by filtering through a granular activated-carbon (GAC) filter, by storage until the
radon has decayed, or by aeration before it enters the dwelling water system. But
the carbon becomes radioactive and in decay releases gamma radiation, which
can be a health hazard. Aeration appears to be the most cost-effective proce-
dure for public water systems and a GAC filter for a private dwelling having its
own well-water supply, if needed. Activated carbon concentrates the radon and
decay products and, hence, poses a disposal problem. Consult with the equipment
dealer, the state or local health department, and radiation protection office for the
proper way to dispose of the used carbon.
Radon contamination in an existing dwelling, if it is a problem, can be reduced
by preventing its entry or by removing the radon. It can be reduced by closing
and caulking all cracks, joints, and openings of the structure in the basement
or in contact with the ground, or in the flooring above the crawl space, and by
tightly covering open drains and sumps as previously noted. Good insulation of
water pipes and underflooring beneath living areas would be required in the crawl
space in areas subjected to subfreezing temperatures29 and to reduce heating or
cooling costs. If this is not sufficient to reduce the indoor radon level, natural or
mechanical forced-air ventilation into basement and crawl spaces can be provided,
with openings to allow radon-laden air to exit. Exhaust ventilation would be
needed for tightly covered sumps and footing drains. In Florida, a vent area of
1 ft2 for each 150 ft2 of floor area for wooden flooring or at least 1.5 ft2 of opening
for each 15 feet of linear perimeter wall for nonwooden flooring is required by
the housing code. To reduce radon levels in basements and enclosed crawl spaces,
bring in outside air to dilute and displace the inside air. Forced-air ventilation
may be necessary; exhaust fans in living areas and combustion air for warm-air
furnaces and fireplaces would depressurize the dwelling and draw in radon from
the basement and should not be used. Provide outside air vent for furnace and
hot-water gas heater and outside air duct for wood stove and fireplace.
In a new building, the gravel under the basement floor or floor slab could
have perforated pipe embedded in it to intercept and vent radon gas above the
roof using a mechanical exhaust fan. Wind turbines and natural convection are
not effective. A polyethylene sheet would be placed under the basement concrete
floor slab above the gravel before it is poured. The ventilation method used must
not reduce the air pressure within the dwelling. Sealing major potential sources
of radon entry, as already stated, and ventilation should greatly reduce radon
concentrations to “safe” levels in most cases. The need for radon protection, such
as built-in ventilation under the basement floor or floor slab, is best provided in
new construction and required in building codes where needed. Local geological
information and in-home radon measurements will give an indication of need.
144 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

Measurement for radon exposure is in working-level units, which include

radon’s first four daughter products that will result in MeV of potential alpha
energy per liter of air. A working level of 1.0 is assumed to be equivalent
to a one-month total of 200 pCi/l of radon in most indoor environments (at
50 percent equilibrium).30 A working-level month (WLM) is equivalent to an
average of 173 hour spent in a mine by a uranium worker. Exposure must not
exceed 4 WLMs in any calendar year. The occupational limit for workers is
4.8 WLMs according to the 1985 recommendation of the International Commis-
sion on Radiological Protection.31 The National Council on Radiation, Protection,
and Measurement says radon level should not exceed 2 WLMs per year, or
8 pCi/l.32 The U.S. Mine Safety and Health Administration has set a maximum
exposure level of 8 pCi/l for miners.
State and local health departments or state radiation protection offices can
usually provide a list of companies supplying radon testing services. Federal
and state publications are available to assist the homeowner to understand the
problem and take corrective action if indicated.33 Seek professional advice if a
significant problem exists.

Formaldehyde Formaldehyde, a colorless gas, may cause extreme discomfort

and contact dermatitis indoors. The odor can be detected at less than 1 ppm.
Exposure to 1.0 to 5.0 ppm or less can cause burning of the eyes, tearing, and
general irritation of the upper respiratory passages. Levels of 0.3 to 2.7 ppm
have been found to disturb sleep and to be irritating to some persons. Expo-
sure to 10 to 20 ppm may produce coughing, tightening in the chest, a sense
of pressure in the head, and palpitations. Exposures of 50 to 100 ppm and
above can cause serious injury, including pulmonary edema and pneumonitis,
and possibly death when above 100 ppm. Exposure to formaldehyde solutions, or
urea–formaldehyde-containing resins, is a well-recognized problem.34 However,
a four-year study at the National Cancer Institute concluded that there is “little
evidence that mortality from cancer is associated with formaldehyde exposure at
levels experienced by workers in this study.”35
Sources of formaldehyde are resins and glues to bond particle board and ply-
wood, urea–formaldehyde foam insulation, permanent press fabric, embalming
fluid, drugs, disinfectants, and cosmetics as well as chemicals used in pathology
and anatomy laboratories and in the manufacture of automobiles, furniture, paper,
and electrical equipment.36 Formaldehyde problems are also related to materi-
als in mobile homes and prefabricated housing. Users of formaldehyde should
wear protective clothing, use protective equipment, and apply engineering con-
trols such as hoods and separate exhaust systems. The workplace should provide
a minimum ventilation of five air changes per hour. Some ameliorative measures
suggested, where urea–formaldehyde is a problem, are to remove the product;
seal with a specially formulated coating, vinyl covering, latex paint, or varnish
after two years; and increase ventilation. Sealing will prevent the penetration
of moisture, contact with urea–formaldehyde, and release of formaldehyde gas.
The gas release from materials tends to decline in time. Improper formulation of
 INDOOR AIR QUALITY 145

urea–formaldehyde foam insulation is believed to exacerbate the problem. It is no

longer used in the United States. Phenol–formaldehyde resins are generally used
in outdoor materials and do not release significant quantities of formaldehyde;
however, they cost more than urea–formaldehyde products.
The Occupational Safety and Health Administration (OSHA) 8-hr time-
weighted average occupational exposure has been reduced from 3.0 to 1.0 ppm
with a maximum short-term exposure level of 2.0 ppm for any 15-min period.37∗
The National Research Council has established a limit of 0.1 ppm for space
flights. The Department of Housing and Urban Development (HUD) has set a
limit of 0.4 ppm for indoor air.

Polychlorinated Biphenyls (PCBs) PCBs are considered “probable” human

carcinogens based on animal studies. Although manufacture was banned in 1979,
many products containing PCBs remain in use. Possible major exposure routes to
PCBs are inhalation when electrical transformers and other equipment containing
PCBs are ruptured or burned, breathing PCB-contaminated air or skin contact in
the work environment, the ingestion of food (fish) or drinking water containing
PCBs, and spills or illegal dumping of fluids containing PCBs. Fluorescent light
ballasts and vinyl-coated paper are also a common source of PCBs. It is best
to use caution and seek advice immediately from your health or environmental
protection department should there be an actual or potential exposure to PCBs.
The Occupational Safety and Health Administration has established an air-
borne exposure limit of from 0.5 mg/m3 (54 percent chlorine content) to 1 mg/m3
(42 percent chlorine content) as an 8-hr time-weighted average (skin).† The
National Institute of Occupational Safety and Health (NIOSH) recommends that
the airborne exposure to PCBs in the workplace be 1 µg/m3 or less.‡ The EPA has
proposed a limit of 100 µg/m2 in areas where frequent and regular skin contact
with surfaces is possible.

Tobacco Smoke Environmental tobacco smoke consists of a suspension of

0.01 to 1 µm particles leaving the burning tobacco condensate. Also produced are
numerous hazardous gases including carbon monoxide. The involuntary chronic
exposure to cigarette smoke, also referred to as passive smoking, is associated
with an increased risk of lung cancer, according to a 1986 report of the National
Academy of Science (NAS).38 In addition, children of smoking parents have
increased respiratory illnesses compared with children whose parents do not
smoke; however, data on other diseases such as other cancers and cardiovascular
diseases are insufficient. According to the NAS report, passive smoking causes
irritation of the eyes, nose, and throat of many nonsmokers. Ventilation rates

∗
Average level is proposed to be reduced to 0.75 ppm.
†
Potential contribution to overall exposure by the cutaneous route, including mucous membranes
and eyes.
‡
See “NIOSH, CDC, Recommendations for Occupational Safety and Health Standards, 1988,”
DHHS, PHS, NIOSH, CDC, MMWR. Supplement, August 26, 1988, pp. 23 and 24.
146 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

of up to five times higher in smoking areas are suggested to achieve acceptable

indoor air quality. Office spaces should provide at least 20 ft3 /min per occupant of
clean outside air where smoking is permitted and at least 5 ft3 /min per occupant
in nonsmoking areas.39 Effort should be directed to the prohibition of smoking
in enclosed spaces and the discouragement of smoking.

Volatile Organic Compounds (VOCs) VOCs are a broad range of chemical

compounds, with boiling points in the range of approximately 120 to 480◦ F (50◦
to 260◦ C) and vapor pressures greater than about 4 × 10−5 to 4 × 10−6 in. Hg.40
Several hundred VOCs have been identified in the indoor environment.41 The
Large Buildings Study by the EPA developed a VOC sample target list that
includes aliphatic hydrocarbons, halogenated hydrocarbons, and oxygenated
hydrocarbons such as aldehydes, alcohols, ketones, esters, ethers, and acids.42
Sources of VOCs in nonindustrial environments include building materials,
furniture, furnishings, ventilation systems, household and consumer products,
office equipment, and outdoor-related activities (e.g., traffic, neighborhood
industry).
Little is known about the symptoms of overexposure to VOCs, but some are
suspected of causing adverse health effects such as sensory irritation, odor, and
the more complex set of symptoms of sick-building syndrome. Also researchers
have found that neurotoxic effects may follow from low-level exposures to
gaseous air pollutants.43 Reactions include runny eyes and nose, high frequency
of airway infections, asthmalike symptoms among nonasthmatics, along with
odor or taste complaints. There is also a possible link between the increase in
allergies throughout the industrialized areas of the world and exposure to elevated
concentrations of VOCs.
Emission source control, gas-phase air filtration using activated-carbon fil-
ters or photocatalytic reactors, and ventilation are common ways of controlling
indoor VOCs.44 Sophisticated models have been developed to simulate the VOC
emission, sorption, and transport in the built environment.45 These models can
help explain the physics of VOC transport process, and can be used to guide the
building design.46

Other Emissions Unvented kerosene, fuel oil, and wood stove space heaters,
gas cooking and heating appliances, power equipment including automobiles,
and gas clothes dryers lead to the emission of particulates, in addition to haz-
ardous gases. Portable heaters also present risks of burns, injuries, fires, and
explosions. Their use should be prohibited. Unvented kerosene space heaters can
emit organic compounds, in addition to nitrogen dioxide, carbon dioxide, carbon
monoxide, and sulfur dioxide. The concentrations can exceed the EPA ambient
air standards, particularly in small spaces and where ventilation is inadequate.
Poor-quality kerosene exacerbates the problem. Gas cooking appliances are also
sources of carbon dioxide, nitrogen dioxide, formaldehyde, and other organic
compounds, in addition to carbon monoxide. Carbon monoxide, nitrogen oxides,
and particulates from automobile exhaust in garages can produce increased and
 INDOOR AIR QUALITY 147

hazardous concentrations in office buildings above the garage and in public areas.
Gasoline-powered ice resurfacing machinery can cause the same effect in indoor
ice-skating rinks and forklifts in enclosed spaces.
The smoke from cooking and heating with open fires in houses in some under-
developed countries is the cause of serious respiratory illness in infants. Pregnant
women exposed to the smoke produce lower-birthweight children.47

Thermal and Moisture Requirements

Good ventilation requires that the air contain a suitable amount of moisture
and that it be in gentle motion, cool, and free from offensive body and other
odors, poisonous and offensive fumes, and large amounts of dust. Comfort zones
for certain conditions of temperature, humidity, and air movement are given by
the American Society of Heating, Refrigerating and Air Conditioning Engineers
(ASHRAE).48 Air movement, radiant heat, the individual, and the tasks being
performed must also be taken into consideration.
There is no one temperature and humidity at which everyone is comfortable.
People’s sensations, health, sex, activity, and age all enter into the comfort stan-
dard. McNall49 recommends a temperature range between 73 and 77◦ F (23 and
25◦ C) and humidity between 20 and 60 percent for lightly clothed adults engag-
ing in sedentary activities in residences. Lubart50 suggests a comfort level within
the range of 68◦ F (20◦ C) at inside relative humidity of 50 percent to 76◦ F (24◦ C)
with 10 percent relative humidity. The EPA recommends a relative humidity of
30 to 50 percent for homes.51 Indoor relative humidity of 60 percent or higher
would cause excessive condensation and greater mildew, corrosion, and decay.
Excessive moisture can cause condensation and increasing deterioration of build-
ing materials. Humidities above 70 percent promote germination and growth of
fungal spores. Ordinarily, however, only temperature and ventilation control is
used in the home, with no attempt made to measure or control the relative humid-
ity. Humidity control becomes more important with reduced ventilation because
the products of respiratory and metabolic processes and certain indoor operations
and activities contribute moisture vapor. In a confined space, this can lead to the
accumulation of contaminants and moisture and discomfort or illness.

Ventilation
Indoor air should be free of objectionable odors, unhealthy levels of microorgan-
isms, allergens, and chemical contaminants. The design of a ventilation system
should avoid uncomfortable drafts and large temperature variations. National,
state,52 and local building and energy conservation codes specify ventilation
requirements for various space uses and should be consulted. It has been proposed
that the generally accepted minimum supply of fresh air per occupant be 15 or
20 ft3 /min.53 Much higher fresh air supply is needed in rooms where smoking is
permitted or where other polluting activities are permitted. The OSHA require-
ments must be met in the workplace. In true air conditioning, air is treated to
simultaneously control its temperature, humidity, cleanliness, and distribution to
148 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

meet requirements of the conditioned space. Room air inlets and returns should
be arranged to ensure proper air mixing and ventilation of the space and to avoid
drafts.
The tendency to reduce air infiltration and fresh air makeup in ventilation has
increased the buildup of air contamination, with resultant occupant complaints. To
alleviate the problem, minimum ventilation standards, including fresh air intakes,
have been established or proposed in building codes and other publications.53 In
addition, the use of certain indoor products such as urea–formaldehyde insulation
and unvented kerosene space heaters has been banned in some jurisdictions.
However, owner- or occupant-provided equipment, materials, and furnishings not
under regulatory control and ambient air quality may nevertheless contribute to
indoor air pollution. Ventilation may be provided by natural or mechanical means.
Investigation of an indoor air pollution problem could well start with carbon diox-
ide tests and interrogation of management, employees, and custodial and union
people. If carbon dioxide concentrations are below 600 ppm, with comfortable
temperature and humidity levels, complaints about air quality should be minimal.

Natural Ventilation A minimum of one or two air changes per hour can often
be secured by normal traffic and leakage through walls, floors, and ceilings and
through or around doors and windows, but previously mentioned energy conser-
vation measures may reduce air infiltration and air change by 50 percent or more.
Under ordinary circumstances, adequate ventilation can be obtained in residences
by natural means with properly designed windows. Openable windows, louvers,
or doors are needed to ventilate and keep attics, basement rooms, pipe spaces, and
cellars relatively dry. The tops of windows should extend as close to the ceiling
as possible, with consideration to roof overhang, to permit a greater portion of
the room to be exposed to controlled sunlight. The minimum total window or
skylight area, measured between stops, for a habitable room should be at least 8
percent of the floor area and the openable area at least 45 percent of the window
or skylight area.54 The ventilation of modern buildings is usually dependent on
mechanical air conditioning and air recirculation, including controlled fresh air
intake. Some examples and design criteria are discussed next.

Schools Separate venting of each classroom to the outside is preferred. Good

standards specify that the mechanical ventilating system provide a minimum air
change of 15 to 20 ft3 /min per student to remove carbon monoxide and odors,
without drafts. The air movement should not exceed 25 ft/min, and the vertical
temperature gradient should not vary more than 5◦ F (3◦ C) in the space within 5
feet of the floor and 2 feet or more from exterior walls. Temperature should be
automatically controlled.

Public Areas In recreation halls, theaters, churches, meeting rooms, and other
places of temporary assembly, a system of mechanical or induced ventilation
is usually needed to meet the requirement of at least 15 ft3 of clean air per
minute per person. Any system of ventilation used should prevent short circuiting,
 INDOOR AIR QUALITY 149

uncomfortable drafts, and the buildup of unhealthy levels of air contaminants.

Approximately one-third of the recirculated air should be clean outside air.

Correctional Institutions Where dependence is on natural ventilation, win-

dows or other openings should provide an area of at least 12.5 percent of the
floor space of the sleeping, living, educational, and work areas and be located to
provide cross-ventilation. Gyms and swimming pools require special temperature,
humidity, and ventilation controls. If dependence is on mechanical ventilation, 15
to 20 ft3 /min per person is recommended. Where air is recirculated, approximately
one-third should be fresh, clean outside air.55

Toilets and Bathrooms Bathroom and toilet room ventilation is usually

accomplished by means of windows or ventilating ducts. The common speci-
fication for natural ventilation is that the window or skylight area be at least 8
or 10 percent of the floor area and not less than 3 ft3 , of which 45 percent is
openable. For gravity exhaust ventilation, vents or ducts at least 72 in.2 in area
per water closet or urinal and a minimum of 2 ft3 /min of fresh air per square foot
of floor area should be provided. A system of mechanical exhaust ventilation
providing at least five air changes per hour of the air volume of the bathroom
or toilet room during hours of probable use is usually specified for ventilation
where windows, ducts, or vents are not relied on or are not available for ven-
tilation. ASHRAE53 recommends 50 ft3 /min per water closet and per urinal for
a public restroom. Exhaust fans activated by the opening and closing of doors
or by a light switch do not provide satisfactory ventilation. The recirculation of
air supplied to toilets, lavatories, toilet rooms, bathrooms, and restrooms (also
kitchens, laboratories, and garages) is generally not permitted.56

Air Change Measurement Air in an enclosed space normally diffuses out

and outdoor air filters in at a rate dependent on the tightness of the space or
building and wind direction and velocity. The air change can be determined by
dividing the volume of air entering an enclosed space or room by the volume of
the space or room. For example, if 100 ft3 /min enters a room having a volume of
1,000 ft3 occupied by five people, there would be six air changes per hour (100
× 60 ÷ 1,000) and 20 ft3 /min per occupant.
The air change may be measured by use of tracers. Desirable qualities of
a tracer gas are detectability, nonreactivity, nontoxicity, neutral buoyancy, rel-
atively low concentration in ambient air, and low cost.57 The commonly used
tracers include nitrous oxide (N2 O), carbon dioxide (CO2 ), helium (He), and sul-
fur hexafluoride (SF6 ). Several tracer gas measurement procedures exist, includ-
ing an American Society for Testing and Materials (ASTM) standard.58 In the
measurement, the tracer is released into the building in a specific manner, and
the concentration of the tracer within the building is monitored and related to the
building’s air change rate. Standardization of devices is necessary.

Monitoring The monitoring and measurement of the quality of indoor air

can be accomplished by modification, as needed, of equipment used to sample
150 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

ambient air and occupational exposure and by adapting laboratory equipment and
procedures. Passive measuring devices for carbon monoxide, radon, formalde-
hyde, and asbestos, although not accurate, are acceptable. The Anderson impactor
sampler may be used to collect indoor airborne fungi supplemented by plate
incubation for colony count and identification. Psychrometers for measuring tem-
perature and humidity and smoke tubes for determining air movement are also
generally used. Samplers for volatile organic compounds and continuous samplers
are also available. Standardized methods for the determination of air pollutants
in indoor air are listed in Table 2.11.

Respiratory Illness Control

The NIOSH suggests seven steps to minimize respiratory illness:

1. Promptly and permanently repair all external and internal leaks in the heat-
ing, ventilation, and air-conditioning system (HVAC).
2. Maintain relative humidity below 70 percent in occupied spaces and in
low-air-velocity plenums. (At a higher level of humidity, the germination
and proliferation of fungal spores are enhanced.)
3. Prevent the accumulation of stagnant water in cooling-deck coils of air-
handling units through proper inclination and continuous drainage of drain
pans.
4. Use steam rather than recirculated water as a water source for humidifiers in
HVAC systems; however, such steam sources should not be contaminated
with volatile amines.
5. Replace filters in air-handling units at regular intervals. (These should have
at least a moderate efficiency rating—50 percent or more—as measured by
the atmospheric-dust spot test and should be of the extended-surface type;
prefilters (e.g., roll type) should be used before passage over the higher
efficiency filters.)
6. Discard, rather than disinfect carpets, upholstery, ceiling tiles, and other
porous furnishings that are grossly contaminated.
7. Provide outdoor air into ventilation systems at minimum rates per occu-
pant of at least 20 ft3 /min in areas where occupants are smoking and at
least 5 ft3 /min in nonsmoking areas. (ASHRAE Recommended Standard
62 specifies a minimum of 15 or 20 ft3 /min per person.53 )

These activities should be considered in ongoing preventive maintenance

programs.59
The usual method of air purification by washing and filtration is relatively
inefficient in removing bacteria or viruses from used air, although it can be effec-
tive in removing dust and other airborne particles. Electrostatic air precipitator
units and special air filters effectively reduce indoor particulates. See also Bio-
logical Contaminants and Health Effects, this chapter. Central vacuum cleaning
 INDOOR AIR QUALITY 151

TABLE 2.11 Method for Determination of Air Pollutants in Indoor Air

Method Description Types of

Number Compounds Determined

IP-1A Stainless steel canister Volatile organic compounds

(VOCs) (e.g., aromatic
hydrocarbons, chlorinated
hydrocarbons) having boiling
points in the range of
176–392◦ F (80–200◦ C)
IP-1B Solid adsorbent tubes —
IP-2A XAD-4 (styrene-divinylbenzene) Nicotine (gaseous and particulate)
sorbent tube
IP-2B Treated filter cassette —
IP-3A Nondispersive infrared (NDIR) Carbon monoxide and/or carbon
dioxide
IP-3B Gas filter correlation (GFC) —
IP-3C Electrochemical oxidation —
IP-4A Perfluorocarbon tracer (PTF) Air exchange rate
IP-4B Tracer gas —
IP-5A Continuous luminox monitor Nitrogen oxides
IP-5B Palmes diffusion tube —
IP-5C Passive sampling device —
IP-6A Solid adsorbent cartridge Formaldehyde (CH2 O) and other
aldehydes/ketones
IP-6B Continuous colorimetric analyzer —
IP-6C Passive sampling device —
IP-7 Medium-volume polyurethane Polynuclear aromatic
foam (PUF)/XAD-2 sampler hydrocarbons
IP-8 Low-volume PUF sampler Pesticides (e.g., organochlorine,
followed by gas organophosphorus, urea,
chromatography/electron pyrethrin, carbamate, and
capture detection triazine)
IP-9 Annular denuder system Acid gases/aerosols/particles
(e.g., nitrates, sulfates, and
ammonia)
IP-10A Size-specific impaction Particulate matter
IP-10B Continuous particulate monitor —
Source: W. T. Winberry et al., “EPA Project Summary Compendium of Methods for the Determina-
tion of Air Pollutants in Indoor Air,” EPA/600/S4– 90/010, U.S. Environmental Protection Agency,
Atmospheric Research and Exposure Assessment Laboratory, Research Triangle Park, NC, May 1990.

systems are very effective for the removal of dust and other particulates without
resuspending the finer particles indoors.

Venting of Heating Units

Proper venting is the removal of all the products of combustion through a des-
ignated channel or flue to the outside air with maximum efficiency and safety.
152 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

Gravity-type venting relies largely on having the vent gases inside the vent hot-
ter (thus lighter) than the surrounding air. The hotter the vent gases, the lighter
they are and the greater their movement up through the vent. Thus, in order to
keep the vent gases hot so that they may work at maximum efficiency, proper
installation and insulation are necessary.
Factors that prevent proper venting are abrupt turns; downhill runs; common
vents to small, uninsulated vent pipes; conditions that cause backdrafts; obstruc-
tions in the flue or chimney to which a furnace, heater, or stove is connected
such as birds nests, soot and debris, broken mortar and chimney lining, and old
rags; and unlined masonry chimneys. Stained and loose paper or falling plaster
around a chimney is due to poor construction. A masonry chimney will absorb a
great deal of the heat given off by the vent gases, thus causing the temperature
in the chimney to fall below the dew point. The high moisture in vent gases
condenses inside the chimney, forming sulfuric acid. This acid attacks the lime
in the mortar, leaching it out and creating leaks and eventual destruction of the
chimney. Therefore, it is necessary to line a masonry chimney with an insulating
pipe, preferably terracotta flue lining.
Figure 2.16 shows chimney conditions apt to result in backdrafts. The flue
or vent should extend high enough above the building or other neighboring
obstructions so that the wind from any direction will not strike the flue or vent
from an angle above the horizontal. Unless the obstruction is within 30 feet or is
unusually large, a flue or vent extended at least 3 feet above flat roofs or 2 feet
above the highest part of wall parapets and peaked roof ridges will be reasonably
free from downdrafts.
To ensure proper venting as well as proper combustion, sufficient amounts of
fresh air are required, as shown in Figure 2.16. An opening of 100 to 200 in.2
will usually provide sufficient fresh air under ordinary household conditions; this
opening is needed to float the flue gases upward and ensure proper combustion in
the fire box. Proper venting and an adequate supply of fresh air are also necessary
for the prevention of carbon monoxide poisoning or asphyxiation.
The connection (breeching) between the furnace or stove and chimney should
be tight fitting and slope up to the chimney at least 1/4 in./ft. Chimneys are
usually constructed of masonry with a clay tile flue liner or of prefabricated
metal with concentric walls with air space or insulation in between and should be
Underwriter’s Laboratories approved. All furnaces and stoves should be equipped
with a draft hood, either in the breeching or built into the furnace or stove, as
required, for proper draft. See Figure 2.16.
Before making any vent installations or installing any gas- or oil-fired appli-
ances, consult the building code and the local gas or utility company. Standards
for chimneys, fireplaces, and venting systems, including heating appliances and
incinerators, are given by the National Fire Protection Association,60 building
codes, and other publications.
Portable kerosene heaters are a fire hazard and, since they are not vented,
emit dangerous gases into a room. Their sale and use should be prohibited. The
 INDOOR AIR QUALITY 153

FIGURE 2.16 Some venting details. (Drawings are typical and not necessarily in full
accordance with any code.) See state and local building and fire prevention codes.

concentrations of carbon dioxide, nitrogen dioxide, and sulfur dioxide emitted

into a room usually greatly exceed ambient air standards.
Wood stoves require special fire protection and venting. See Cooperative
Extension Service recommendations and local building code requirements.
Chimneys, vents, and ducts can become blocked by bird nests, squirrel nests,
soot, grease, leaves, and other debris. Such conditions can develop during the
154 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

nonheating season, which will prevent proper venting of the heating unit. Dan-
gerous levels of carbon monoxide can accumulate if chimneys, vents, and ducts
are not kept clear.

MOBILE HOME PARKS

Mobile homes are defined as “transportable, single-family dwelling units suitable

for year-round occupancy and containing the same water supply, waste disposal,
and electrical conveniences as immobile housing.” 61 A mobile home is also
defined as a “manufactured relocatable living unit.”62 Mobile homes produced
since 1954 are 10, 12, and 14 feet wide and up to 60 or 70 feet long. Wider
units are assembled at the home site by combining sections to form double- and
triple-wide units.
The Bureau of the Census identified 5.267 million mobile home units in the
United States in 1987 as year-round housing occupied by over 13 million residents.
There were 3.9 million homes in 1980 and 2.1 million in 1970. In 1987, 99 percent
had complete plumbing, 46 percent were connected to a public sewer, 68 percent
used public water, 81 percent had central heating, and 34 percent had central air
conditioning. Annual sales dropped to 212,000 units in 1975 and increased to
300,000 units in 1977. Between 1980 and 1984, 1,129,000 units were added. Sales
peaked in 1973 with 625,000 units. The typical mobile home is 14 feet wide and
65 feet long. Many are double units; some are triple. In 1974, about one-third
of the buyers were married couples under 35 years of age and one-third were
retired and over 65. In 1987, about 86 percent of the mobile homes were owner
occupied. Modern mobile home parks may have all utilities, swimming pool and
other recreational facilities, laundry, community buildings, paved streets with curbs
or gutters, trees and landscaping, and patio slab, and may look like an established
housing development. Lots are typically 5000 ft2 . Lots larger than 5000 ft2 permit
more flexibility in exposure and siting the mobile home. It must be kept in mind
that, unless the plot is owned by the mobile home owner, continued occupancy is
dependent on the desire and future plans of the park owner; hence, a mobile home
park cannot be considered a permanent realty subdivision. Because of the risk of
property sale and resultant hardships, consideration has been given to protective
laws, cooperative ownership, and contractual arrangements.
The parks established have all of the potential environmental sanitation and
safety problems of a small community. Because of this, standards have been
prepared to guide mobile home manufacturers, operators, owners, and regula-
tory agencies to help promote safe and sound manufacture, site preparation, and
sanitary practices. Compliance with these standards is facilitated by reference
to the pertinent chapters in this text; to the guides cited in the footnotes, which
include recommended ordinances; and to the guides published by HUD.63 − 65∗

∗
The American National Standards Institute, National Fire Protection Association, and Building
Officials & Code Administrators International also have suggested standards for adoption by local
governments.
 INSTITUTION SANITATION 155

Other precautions include stable stands, tiedowns to minimize overturning during

windstorms, smoke detectors and fire extinguishers in homes, with two exits from
each unit, a minimum spacing of 10 feet, minimum site size, protection of water
connections against freezing, sufficient electric power for all electrical equipment
including approved-type inside wiring, and interior materials that do not cause
the release of hazardous pollutants.

INSTITUTION SANITATION

An institution is a complete property with building, facilities, and services having

a social, education, or religious purpose. This includes schools, colleges and
universities, hospitals, nursing homes, homes for the aged, day-care centers, jails
and prisons, reformatories, and the various types of federal, state, city, and county
welfare, mental, and detention homes or facilities.

Institutions as Small Communities

Most institutions are communities unto themselves. They have certain basic
characteristics in common that require careful planning, design, construction,
operation, and maintenance. These include site selection, planning, and devel-
opment for the proposed use, including subsoil investigation, accessibility, and
proximity to sources of noise and air pollution; a safe, adequate, and suitable
water supply for fire protection as well as for institutional use; sewers and a
wastewater disposal system; roads and a stormwater drainage system; facili-
ties for the storage, collection, and disposal of all solid wastes generated by
the institution; boilers and incinerators with equipment and devices to control
air pollution; food preparation and service facilities; fire-resistant housing and
facilities for the resident population; laundry facilities; and insect, rodent, and
noxious weed control. In addition, depending on the particular institution, they
might have recreational facilities, such as a swimming pool or bathing beach.
A hospital or educational institution often has its own laundry. A state training
school or institution might have a dairy farm or produce farm, pasteurization
plant, industrial operation, and food-processing plant. The environmental, health,
engineering, and sanitation concerns at all these places are, in many instances,
quite extensive and complex.
The possibilities for the transmission of illnesses associated with air, water,
food, and contact are increased at institutions. Scrupulous cleanliness, hygiene
(handwashing), and sanitation are essential at all times. Certain institution advi-
sory committees can be helpful. These might include radiation safety, infection
and biohazard control, emergency preparedness, occupational and environmental
health and safety, laboratory safety, animal care and research, diving safety, and
accident prevention. Institutions provide an ideal environment for the spread of
communicable diseases. They require careful surveillance and preventive mea-
sures adapted to the particular use and population. The reader is referred to the
appropriate subject matter throughout this text for details.
156 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

The material that follows will highlight environmental, health, engineering,

and sanitation factors at various types of institutions. The institutions have many
environmental factors in common.

Hospitals and Nursing Homes

Hospital-acquired, or nosocomial, infections result in additional morbidity,
mortality, and costs pointing to the need for greater infection surveillance and
control.66 The majority of nosocomial infections are endemic. They may affect
not only the patient who develops the infection but also other patients, the
hospital staff, and the community as well. Data accumulated over past years
indicate that under certain conditions as much as half of all nosocomial infections
may be preventable.67 Most infections are probably medically or nursing related.
The hospital is expected to provide an environment that will expedite the
recovery and speedy release of the patient. Carelessness can introduce contam-
inants and infections that delay recovery and may overburden the weakened
patient, thereby endangering the patient’s survival. It has been estimated that 1.5
million patients, out of some 300 million, or about 5 percent, incur infections in
hospitals annually.68
The hospital-acquired infection rate in 1983 was highest in large teaching
hospitals and lowest in nonteaching hospitals, 41.2 and 24.4 per 1000 cases dis-
charged, respectively. Another study found a nosocomial infection rate between
5 and 6 percent. The infection rate was highest on the surgical service, followed
generally by medicine, gynecology, and obstetrics. The urinary tract was the most
frequent site of infection, followed by surgical wounds and lower respiratory
tract, accounting for 70 percent of all infections. Escherichia coli, Staphylococ-
cus aureus (coagulase negative), enterococci, and Pseudomonas aeruginosa were
the most frequently reported pathogens—also Klebsiella spp., Enterobacter spp.,
Proteus spp., and Candida spp.69 The experience was very similar in 1984.70
It is unlikely that the air (or surfaces) in an operating room will be sterile
in the strict sense of the word, but it must be maintained at an extremely low
bacterial level. Ultraviolet radiation has great potential for reducing the microbial
flora of the air, where the patient may be especially vulnerable, but to be effec-
tive, particles carrying organisms must make direct contact with the radiation.
Chemicals used include aerosols of triethylene glycol, lactic acid, resorcinol, and
hypochlorous acid.
Numerous reasons have been offered for hospital-acquired infections: an
increase in the number of older patients with chronic diseases; an increase
in high-risk patients and surgical procedures such as open-heart surgery
and organ transplants; innovations in diagnostic and therapeutic procedures,
including widespread use of antibiotics, indwelling catheters, and artificial
kidneys; inadequate disinfection or sterilization of respiratory therapy and other
equipment; prevalence of S. aureus and group A streptococci; and the increasing
identification of gram-negative organisms such as P. aeruginosa, proteus,
E. Klebsiella, and A. aerogenes; as well as the gram-positive, toxin-producing
Clostridium dificile.71 – 73
 INSTITUTION SANITATION 157

Basic to the prevention of nosocomial infections are hygienic medical, nurs-

ing, and staff practices, including frequent handwashing; equipment sterilization;
food, water, plumbing, air, laundering, linen handling, and housekeeping sanita-
tion, including floor cleaning to suppress dust; the prevention of overcrowding,
minimization of movement of patients and hospital personnel from point to point;
and avoidance of antibiotics use when possible. A major control mechanism is
the establishment of a representative infection control committee, which should
include appointment of a full-time environmental control officer with comprehen-
sive responsibility and authority to coordinate and ensure that medical, nursing,
housekeeping, maintenance, and ancillary staffs are following good practices and
procedures, including nosocomial infection surveillance and control, proper waste
handling, food sanitation, safety including radiation, and occupational health
protection. This officer would also have the responsibility of being the liaison
between the institution and federal, state, and local regulatory agencies, including
fire, health, building, and environmental protection.
The duties of the environmental control officer would include assurance of
“satisfactory” responses to all of the items listed in Figure 2.17. Since the survey
form is merely suggestive of the broad scope of each subject and far from com-
plete, it is apparent that the environmental control officer must be broadly trained
through education and experience to recognize and appreciate the full impact of
conditions observed and their possible risk to patients, staff, visitors, and commu-
nity and the promptness with which unsatisfactory conditions must be corrected.
Suggested preparation would include a graduate degree from a recognized insti-
tution in environmental health science or a related degree with an internship
or training in institutional health management, administrative techniques, and
environmental control.
A major concern in hospitals, nursing homes, and other institutions is fire
safety. Basic elements include construction, detection and alarm, containment,
extinguishment, evacuation, and staff training. The Department of Health and
Human Services has a survey report form74 that is used in Medicare–Medicaid
and state programs. The survey report is comprehensive and applicable to a
hospital, skilled nursing facility, intermediate-care facility, and facilities with
15 beds or less.
Construction is required to comply with state and local building codes, which
usually include extensive fire protection regulations. Requirements relate to such
factors as construction materials, exits and exit access, corridors, protection and
enclosure of vertical openings, protection of hazardous areas, smoke detection,
automatic sprinkler systems, and much more.
Special precautions must be taken with kidney dialysis machines. Water for
kidney dialysis machines must be very soft, low in minerals and dissolved
solids, and of good physical and microbiological quality. Distillation, deion-
ization or reverse-osmosis treatment, and granular activated-carbon treatment
are usually required, as ordinary potable water may be toxic for the dialy-
sis patient. Chloramines in water are harmful to the patient. Chloramines pass
through semipermeable membranes.75 Synthetic resins in softening ion exchange
158 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.17 Hospital environmental health survey form. Use federal or state form
where available.
 INSTITUTION SANITATION 159

FIGURE 2.17 (continued )

units are damaged by dioxide, chlorites, chlorates, and chlorine and, hence, are
unsuitable for this purpose. Granular activated-carbon and reverse-osmosis treat-
ment remove chlorite and free chlorine, but the removal of chlorine dioxide and
chlorate is unknown.76 Peracetic acid at 700 ppm for the cleaning and disinfection
of reverse-osmosis equipment and system is reported as a promising, nontoxic
substitute for certain water treatment systems.77 The physician involved should
determine the water quality standards for water used in kidney dialysis. Euro-
pean Pharmacopeia specifies that the water must be free of pyrogens and made
exclusively by distillation for hospital use.
Wash-water temperatures in the hospital laundry have been studied by numer-
ous investigators. A minimum temperature of 160◦ to 167◦ F (71◦ –75◦ C) for
25 minutes is generally specified. It appears that the temperature can be reduced
to 140◦ F (60◦ C) for lightly soiled hospital linens from nonisolation areas, but
more investigation is needed to ensure that this temperature is adequate for the
laundering of all linens, including isolation linens. It appears that dilution, the
use of bleach, and the drying cycle are more important than water temperature
in the laundering of hospital linens. Cycles at 170◦ F (77◦ C) and 72◦ F (22◦ C)
were compared.78 In any case, proper handling of laundered linen to prevent
cross-contamination and contamination in handling is essential.79
Extensive infection surveillance and control program guidelines have been
published by the Joint Commission on Accreditation of Hospitals and others.80 – 82
Guidelines for protecting health care workers have also been prepared.83
Health care is provided in hospitals and nursing homes. A hospital usually
provides acute care, including diagnosis and treatment. A nursing home pro-
vides long-term care, with limited rehabilitation. An adult home or old-age home
160 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

provides room and board but not health care. The nursing home levels of care
vary from “heavy care” to “light care” and may bridge the gap between the
hospital and adult home.
A great deal of special emphasis has been placed on hospital and nursing home
construction, equipment, and inspection or survey of operations and services.
Federal and state standards must be met with respect to fitness and adequacy of
the premises, equipment, personnel, rules and bylaws, standards of medical care,
and hospital services. Plans for new structures and for additions or modifications
of existing facilities are also reviewed for compliance with federal and state
requirements to help ensure the best possible facilities for medical care.
The survey or inspection of hospitals and nursing homes takes into con-
sideration the administration, fire prevention, medical, nursing, environmental
sanitation, nutrition, accident prevention and safety, operational, and related mat-
ters. A proper initial survey of these diverse matters calls for a professionally
trained team consisting of a physician, sanitarian, engineer, nurse, nutrition-
ist, and hospital administrator. Figures 2.17 and 2.18 show suggested hospital
and nursing home environmental survey items. Of course, they can be greatly
amplified.74 The proper interpretation of the environmental health survey form
items requires a well-rounded educational background and specialized training,
as previously noted, including thorough knowledge of applicable federal and
state laws, with support from consultants when indicated. It is good procedure
to coordinate the inspection program with the work of other agencies and to
develop continuing liaison with the health department, county medical society,
accreditation groups, local nursing home association, local hospitals, fire depart-
ments, building departments, social welfare services, and others involved. This
can strengthen compliance and avoid embarrassment resulting from conflicting
recommendations.
Special attention should be given to non-fire-resistive hospitals and nursing
homes, if permitted. Until such places can be replaced with fire-resistive struc-
tures, they should be protected against possible fire. This would include automatic
sprinklers and alarms; horizontal and vertical fire stopping of partitions; enclosure
and protection of the boiler room; outside fire escapes; fire doors in passageways,
vertical openings, and stairways; fire detectors, smoke detectors, and fire extin-
guishers; a fire evacuation plan and drills; 24-hour surveillance; and the housing
of nonambulatory patients on the ground floor. These comments are also gener-
ally applicable to other health care facilities. Building and fire protection codes
must be followed.
Surveillance by official agencies, voluntary organizations, and individuals
should ensure that fire protection, safety, and medical care are not compromised
in spite of increased costs or lack of funds.

Hospital and Related Wastes

Hospital wastes may include pathological, infectious, hazardous chemical, and
radioactive wastes as well as cultures and stocks, blood and blood products, ani-
mal carcasses, pharmaceutical wastes, pressurized containers, batteries, plastics,
 INSTITUTION SANITATION 161

FIGURE 2.18 Nursing home inspection form. Use federal or state form where available.
162 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.18 (continued )

low-level radioactive wastes, disposable needles, syringes, scalpels, and other

sharp items. These are in addition to food service, laboratory, bandage, clean-
ing, and miscellaneous wastes. Proper handling, segregation, packaging, marking,
storage, transport, treatment, and disposal of all hospital wastes are necessary to
minimize the potential risks to the health of the patient, health care worker, vis-
itor, refuse handler, and community.84,85 Only about 15 percent of all hospital
wastes are infectious. Although of public health and aesthetic concerns, they do
not pose a health risk for the general public.
Infectious and pathological wastes, including packaging, disposable needles,
syringes, and scalpels, are best disposed of by incineration providing proper tem-
perature, oxygen, and residence time and by autoclaving followed by compaction
or shredding. Chemotherapy and pathological wastes are incinerated. Autoclaved
wastes are disposed of in a landfill or incinerator. Older hospital incinerator emis-
sions can be expected to be high in participates, chlorinated toxins, hydrochloric
acid, and chlorine (in view of the burning of large quantities of plastic wastes), if
the waste is not well mixed and if proper design and operation, including air pol-
lution control devices, are not provided. Most, if not all, old hospital incinerators
require upgrading.
Recommendations to equal or exceed air quality standards include temperature
of 2,000◦ F (1,093◦ C) with 2 seconds residence time and secondary chamber
exit temperature of 1,800◦ F (982◦ C); 97 percent acid gas removal or 30 ppm;
particulates 0.010 gram/ft3 ; CO emissions 100 ppm hourly average; and opacity
less than 10 percent.86 A controlled starved air incinerator with flue gas scrubbers
has been found satisfactory to control emissions.87
General hospital and kitchen wastes can usually be disposed of through the
community waste collection system. Centralized regional incinerators and auto-
claving with compaction or shredding for hospital wastes are usually recom-
mended over individual plants. Other alternatives include chemical disinfection
of macerated wastes with discharge to the sewer system (if permitted by the
 INSTITUTION SANITATION 163

regulatory agency) and microwave disinfection of shredded wastes. Liquid infec-

tious wastes may be carefully poured to a drain connected to a sanitary sewer.88
The usual method for the disposal of low-level radioactive solid waste is by
storage until decayed, followed by disposal with the general waste. Low-level
liquid waste, including body wastes, can be diluted and disposed of to the sani-
tary sewer. Gaseous radioactive wastes are dispersed directly to the outside air,
away from any indoor air intakes or occupied areas. The entire process requires
responsible regulatory and institutional surveillance.
The EPA regulates the handling of hazardous wastes and OSHA has juris-
diction over chemical carcinogens and other hazardous chemicals in work areas.
Hospital wastes are also controlled by the Nuclear Regulatory Commission, the
Toxic Substances Control Act, and the Resource Conservation and Recovery Act.
State and local regulations must also be followed. It is incumbent upon hospi-
tals and other generators, including clinics, medical laboratories, nursing homes,
doctors, dentists, and veterinarians, to identify infectious and hazardous materi-
als. They must protect workers, patients, and visitors from any hazard within the
institution, clinic, or office and the community from any discharges or releases
to the air, water, and land.89

Schools, Colleges, and Universities

Schools, colleges, and universities may incorporate a full spectrum of facilities
and services not unlike a community. Involved—in addition to basic facilities
such as water supply, sewage, and other wastewater disposal, plumbing, solid
waste management, and air quality—are control of food preparation and service,
on-site and off-site housing, hospital or dispensary, swimming pool, radiation
installations and radioisotopes, insect and rodent infestations, and safety and occu-
pational health in structures, laboratories, and work areas, including fire safety,
electrical hazards, noise, and hazardous materials. In view of their complexity
and their effect on life and health, all institutions should have a profession-
ally trained environmental health and safety officer and staff responsible for the
enforcement of standards, such as in a sanitary code, encompassing the areas
of concern already noted. Such personnel can work closely with federal, state,
and local health and safety regulatory officials and thus provide maximum pro-
tection for the student population and teaching, research, and custodial staffs.90
Figures 2.19 and 2.20 suggest the broad areas to be considered when making
an inspection. Guidance as to what is considered satisfactory compliance can be
found in this text under the appropriate headings and also in federal, state, and
local publications.

Correctional Institutions
Correctional institutions include short-term jails, long-term prisons, and various
types of detention facilities. The health care services may include primary health
care services, secondary care services, health care services for women offend-
ers, mental health care, dental care, environmental concerns, nutrition and food
164 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.19 School sanitation inspection form.

 INSTITUTION SANITATION 165

FIGURE 2.19 (continued )

services, pharmacy services, health records, evaluation services, and staffing.

Environmental health concerns are discussed next.
Incarceration may result in or intensify the need for health care services. The
provision of a safe and healthy environment, services, and facilities would min-
imize the need. Food poisoning, poor and insufficient food, vermin infestations,
inadequate work and recreational programs, and overcrowding are known causes
of prison unrest and illness. Overcrowding and poor food quality and food ser-
vice are major problems at many jails and prisons. Walker91 summarizes the
problem very clearly in pointing out that overcrowded conditions often over-
tax the ventilation system and sanitary facilities, minimize privacy and personal
space. Without privacy and personal space, the basic psychological and physio-
logical needs of the residents are not met; tension and hostility grow; security
requirements increase; and a negative cycle is put into play.
The elimination of overcrowding and improvement in the wholesomeness,
quantity, and sanitation of food service can eliminate major causes of discontent.
The environmental aspects of correctional institutions are, in many respects,
similar to those of other institutions and are concerned with many of the same
basic environmental engineering and sanitation facets of a community.
Designs for new construction and major alterations should be reviewed and
approved by the regulatory agencies having jurisdiction and, in any case, comply
with nationally recognized standards. Regulatory agencies should make annual
166 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

FIGURE 2.20 Abbreviated institution environmental health inspection form. (For com-
prehensive interpretations, see pertinent sections of this text.)
 INSTITUTION SANITATION 167

inspections and reports of the facilities and services in the same manner as is
done for other state, municipal, and public facilities and establishments.

Environment Inspection and Report Outline

A comprehensive inspection and report would involve investigation of the fol-

lowing items:

A. Grounds and Structures

1. Location, accessibility, service entrances, cleanliness, noise
2. Protection from flooding; drainage
3. Construction materials and maintenance; dampness, drafts, leaks; sound
and in good repair
4. Fire protection, municipal and on-site; adequacy; water supply; alarms
5. Safety, accident prevention, road signs, lighting
B. Utilities
1. Water supply: source, treatment, storage and distribution, quality, quan-
tity, pressure; quality surveillance and compliance with federal and state
standards; operation control
2. Wastewater collection and disposal: sewage and all other liquid waste
collection, treatment, and disposal; compliance with federal and state
standards; operation control
3. Solid wastes: storage, collection and disposal; storage areas or rooms,
cans, bins; on-site processing and disposal; hazardous waste handling,
storage, and disposal; compliance with federal and state standards
4. Heating, electricity and air conditioning; adequacy; safety
5. Air quality: power plant, incinerator, institution operations; compliance
with federal and state standards
6. Emergency power and disaster planning; power to vital services and
lighting to vital areas
C. Shelter
1. Temperature control: heat, ventilation, humidity control, cooling
2. Lighting: walkways, assembly areas, cells, kitchens, work areas, special
uses, and facilities
3. Space requirements: cells, assembly areas, recreational areas, dining
rooms, visiting areas
4. Fire safety: fire-resistive construction; compartmentation; interior fin-
ishes; enclosures, doors, stairs; extinguishers and extinguisher systems,
sprinklers, detection and alarm systems; fire water supply; fire plans and
drills
168 RESIDENTIAL AND INSTITUTIONAL ENVIRONMENT

5. Accident prevention: physical design, working conditions, fire and elec-

trical hazards; occupational exposures and recreational facilities; also,
occupational health standards (OSHA) as applied to jails and prisons
(Drugs, pesticides, flammables, and other hazardous materials stored in
a secure place.)
6. Housekeeping: general cleanliness and maintenance; facility interior sur-
faces (walls, floors, ceilings, facilities, equipment); equipment and facil-
ities maintenance; grounds and spaces; roster and cleaning schedule
7. Noise: interior, exterior; mechanical equipment, work areas comply with
OSHA standards
D. Services and Facilities
1. Food and protection: wholesomeness, refrigeration, storage, preparation,
transportation, service; processing; equipment; foodhandler inspection;
ice; vending machines
2. Radiation protection: diagnostic, therapeutic, teletherapy, X-ray units;
radioactive materials storage and use; microwave ovens; industrial uses
3. Vermin control: rodents, insects, and other arthropods; physical and
chemical controls; pesticide storage secure and used as directed on label
4. Laundry facilities: soiled linen and clean linen separate storage, han-
dling, and transportation; laundering process
5. Plumbing: water, soil, and waste lines, drains, toilets, washbasins;
adequacy of hot and cold water for all purposes; service sinks;
ross-connection and backflow control
6. Recreational facilities: bathing beach, swimming pool; other; life-saving
equipment and life guards; water clarity and quality; accident control;
maintenance, operation and sanitation facilities; safety
7. Institutional operations: canning, slaughtering, dairy, pasteurization;
other farm operations; manufacturing; vocational training; hospital;
laundry; bakery
8. Facilities available for public and staff: toilets; dressing rooms; visiting
areas
9. Medical care facility area: storage of drugs; disinfection and sterilization;
refrigeration of blood and drugs; morgue
E. Personal Hygiene
1. Personal hygiene: infestation and disinfestation; showers, towels,
clothes, toiletries, etc.
2. Bedding: mattresses, pillows, sheets, blankets, beds
3. Toilet and bathing facilities: number and type of water closets, squatting
plates, washbasins, showers; removable pail privies
4. Barber and beauty shops: room designated, equipped, staffed
F. Personnel and Supervision
1. In-service training: staff and inmates having environmental sanitation
responsibilities
 REFERENCES 169

2. Self-inspection: qualified person designated, responsible to administrator

3. Regulatory agencies: inspection and approval of facilities and services
annually

Because of the diverse facilities and services involved, it is essential that the
regulatory person assigned to make inspections be broadly trained and have the
experience and maturity to know when to call upon a specialist to investigate in
greater detail and resolve complex problems. Many resources, including specially
trained consultants, laboratory facilities, regulations, and inspection services, are
available from various departments and agencies of the government (including
federal) as well as national organizations. These should be utilized to identify
and help resolve potential and actual deficiencies.
The basic principle involved, the public health rationale, and the basis for
satisfactory compliance for each item just listed are given in Standards for Health
Services in Correctional Institutions.55

Day-Care Centers
Day-care centers provide an environment for children of an age conducive to the
spread of respiratory, contact, and water- and foodborne diseases discussed in
Chapter 1 and in this section. They can also lead to other disease complications. Dia-
pering and food preparation and service are critical activities requiring scrupulous
cleanliness and frequent handwashing. Enteric and respiratory disease transmission
via the fecal–oral route and by intimate contact is more common among children
in a day-care center. Multiple pathogen infection is not uncommon. Cryptosporid-
ium spp., Giardia lamblia, Salmonella, Shigella sonnei, E. coli (toxic strain), and
enteroviruses are some of the more commonly found enteric pathogens in reported
outbreaks. The increased interest and private, federal, and state support of day-care
centers and their consequent expansion make their regulation an important public
health function. Here is an opportunity to apply known preventive measures, includ-
ing frequent handwashing, hygiene, food sanitation, separation of ill children, and
education of staff and management, in disease transmission and prevention.92

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Walton, G., Institutional Sanitation, U.S. Bureau of Prisons, Washington, DC.
CHAPTER 3

SOLID WASTE MANAGEMENT

GEORGE TCHOBANOGLOUS
Professor Emeritus of Civil and Environmental Engineering, University of California,
Davis, California

Aesthetic, land-use, health, water pollution, air pollution, and economic consid-
erations make proper solid waste management an ongoing concern for municipal,
corporate, and individual functions that must be taken seriously by all. Indiscrim-
inate dumping of solid waste and failure of the collection system in a populated
community for two or three weeks would soon cause many problems. Odors,
flies, rats, roaches, crickets, wandering dogs and cats, and fires would dispel any
remaining doubts of the importance of proper solid waste management.
Solid waste management is a complex process because it involves many
technologies and disciplines. These include technologies associated with the gen-
eration (including source reduction), on-site handling and storage, collection,
transfer and transportation, processing, and disposal of solid wastes. All of these
processes have to be carried out within existing legal, social, and environmental
guidelines that protect the public health and the environment and are aesthetically
and economically acceptable. To be responsive to public attitudes, the disciplines
that must be considered in integrated solid waste management include adminis-
trative, financial, legal, architectural, planning, environmental, and engineering
functions. For a successful integrated solid waste management plan, it is nec-
essary that all these disciplines communicate and interact with each other in a
positive interdisciplinary relationship.
In the material that follows, the major issues involved with the management
of solid waste are presented and discussed. These issues include the elements
of integrated solid waste management; the sources, characteristics, and quanti-
ties of solid waste; on-site storage and handling, solid waste collection; transfer
and transport; waste reduction, recycling, and processing; composting; sanitary
landfill planning design and operation; and incineration and hazardous waste.
However, before discussing these topics, it will be useful to define the termi-
nology used in the field of solid waste management. Additional details on solid
waste management may be found in the U.S. Environmental Protection Agency.1
Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry 177
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
178 SOLID WASTE MANAGEMENT

DEFINITION OF TERMS

To understand the elements and technologies involved in integrated solid waste

management it is useful to define some of the more commonly used terms.

Ash residue All the solid residue and any entrained liquids resulting from the
combustion of solid waste or solid waste in combination with fossil fuel
at a solid waste incinerator, including bottom ash, boiler ash, fly ash, and
the solid residue of any air pollution control device used at a solid waste
incinerator.
Biodegradable material Waste material capable of being converted, usually
by bacteria and other microorganisms, into basic elements. Most organic
wastes, such as food remains and paper, are biodegradable in a suitable
environment.
Commercial waste Solid waste generated by stores, offices, institutions,
restaurants, warehouses, and nonmanufacturing activities at industrial
facilities.
Composting The controlled biological decomposition of organic solid waste
under aerobic (in the presence of oxygen) conditions. Organic waste mate-
rials are transformed into soil amendments such as humus or mulch.
Fly ash The ash residue from the combustion of solid waste or solid waste in
combination with fossil fuel that is entrained in the gas stream of the solid
waste incinerator and removed by air pollution control equipment.
Food waste Putrescible solid material including animal and vegetable waste
resulting from the handling, storage, sale, preparation, cooking, or serving
of foods. Food waste originates primarily in home kitchens, stores, markets,
restaurants, and other places where food is stored, prepared, or served.
Garbage An older term that is often used interchangeably with the newer
term food waste.
Geomembrane An essentially impermeable membrane used in landfills to
limit the movement of liquids and or gases resulting from the decomposition
of waste materials.
Groundwater Water below the land surface in the saturated zone of the soil
or rock. Groundwater includes perched water separated from the main body
of groundwater by an unsaturated (zadose) zone.
Hazardous waste Defined later in this chapter.
Incinerator A facility designed to reduce the volume and weight of solid
waste by a combustion process with or without a waste heat recovery
system.
Industrial waste Solid waste generated by manufacturing or industrial pro-
cesses, excluding wastes resulting from oil or gas drilling, production, and
treatment operations (such as brines, oil, and frac fluids); overburden, spoil,
or tailings resulting from mining; or solution mining brine and insoluble
component wastes.
 DEFINITION OF TERMS 179

Integrated solid waste management The comprehensive management of

solid waste involving several complementary activities and or process
including source reduction, recycling, waste transformation, and landfilling.
Leachate A liquid resulting from precipitation percolating through landfills,
which includes liquids resulting from the decomposed waste. With proper
management, the amount of leachate can be minimized. Leachate that is
collected is treated to prevent contamination of environment.
Municipal solid waste Includes nonhazardous waste generated in households,
commercial establishments, institutions, and nonprocess-related industrial
wastes (e.g., waste paper and paperboard); it excludes wastes from munic-
ipal services such as water and wastewater treatment sludges, industrial
process wastes, agricultural wastes, and mining wastes.
Recycling A resource recovery method involving the collection and treatment
of a waste product for use as raw material in the manufacture of the same or
another produce (e.g., ground glass used in the manufacture of new glass).
Refuse A general term often used interchangeably with the term solid waste.
To avoid confusion, the term refuse is not used in this chapter.
Residuals Water and wastewater sludges, septage, air pollution control facility
waste, or any other such waste having similar characteristics or effects and
solid waste remaining after the processing of solid waste by composting
methods that was not made into compost suitable for use.
Resource recovery A term describing the extraction and utilization of mate-
rials that can be used as raw material in the manufacture of new products
or as values that can be converted into some form of fuel or energy source.
Resource recovery is a key element of an integrated solid waste manage-
ment program.
Rubbish A general term for solid wastes, excluding food wastes and ashes,
for materials collected from residences and commercial and institutional
establishments.
Sanitary landfill A method of disposing of solid waste on land without creat-
ing nuisances or hazards to public health or safety. Modern sanitary landfills
have leachate collection and treatment systems, landfill gas controls, and
environmental monitoring systems.
Solid waste Any of a variety of solid materials, as well as some liquids in con-
tainers, which are discarded or rejected as being spent, useless, worthless
or in excess. Usually the term does not include solid waste from certain
community activities (e.g., catch basin cleanings, water and wastewater
treatment sludges). Also excluded are solid, liquid, semisolid, or contained
gaseous material resulting from industrial, mining, and agricultural opera-
tions.
Solid waste management The systematic administration of activities that pro-
vide for the collection, source separation, storage, transportation, transfer,
processing (including recycling), treatment, and disposal of solid waste.
180 SOLID WASTE MANAGEMENT

Source reduction Refers to reducing the amount of waste generated that must
eventually be discarded, including minimizing toxic substances in products,
minimizing volume of products, and extending the useful life of products.
Requires manufacturers and consumers to take an active role in reducing
the amount of waste produced.
Source separation The segregation of various materials from the waste
stream at the point of generation for recycling. For example, householders
separating paper, metal, and glass from the rest of their wastes.
Transfer station A facility with structures, machinery, or devices that
receives deliveries of solid waste by local collection vehicles and provides
for the transfer of the waste to larger vehicles that are used to deliver the
waste to a recycling, treatment, or disposal site.
Waste-to-energy incineration (combustion) Disposal method in which
municipal solid waste is brought to a plant where it is combusted either
as received or after being processed to a more uniform fuel to generate
steam or electricity. Waste-to-energy plants can decrease volume by 60 to
90 percent, while recovering energy from discarded products.

INTEGRATED WASTE MANAGEMENT

Integrated waste management (IWM) can be defined as the selection and applica-
tion of suitable techniques, technologies, and management programs to achieve
specific waste management objectives and goals. Because numerous state and
federal laws have been adopted, IWM is also evolving in response to the regula-
tions developed to implement the various laws. The EPA has identified four basic
management options (strategies) for IWM: (1) source reduction, (2) recycling and
composting, (3) combustion (waste-to-energy facilities), and (4) landfills. As pro-
posed by the EPA, these strategies are meant to be interactive, as illustrated in
Figure 3.1a. It should be noted that some states have chosen to consider the man-
agement options in a hierarchical order, as depicted in Figure 3.1b. For example,
recycling can only be considered after all that can be done to reduce the quantity
of waste at the source has been done. Similarly, waste transformation is only
considered after the maximum amount of recycling has been achieved. Further,
the combustion (waste-to-energy) option has been replaced with waste transfor-
mation in California and other states. Interpretation of the IWM hierarchy will,
most likely, continue to vary by state. The management options that comprise the
IWM are considered in the following discussion. The implementation of IWM
options is considered in the remaining sections of this chapter.2

Source Reduction
The focus of source reduction is on reducing the volume and/or toxicity of gener-
ated waste. Source reduction includes the switch to reusable products and pack-
aging, the most familiar example being returnable bottles. However, legislated
 INTEGRATED WASTE MANAGEMENT 181

Source
Source reduction
reduction
Recycling, Combustion Recycling
composting waste-to-energy composting
Landfilling
Waste
transformation

Landfilling

(a) (b)

FIGURE 3.1 Definition sketch for integrated solid waste management: (a) interactive;
(b) hierarchical.

bottle bills only result in source reduction if bottles are reused once they are
returned. Other good examples of source reduction are grass clippings that are
left on the lawn and never picked up and modified yard plantings that do not
result in leaf and yard waste. The time to consider source reduction is at the
product/process design phase.
Source reduction can be practiced by everybody. Consumers can participate
by buying less or using products more efficiently. The public sector (govern-
ment entities at all levels: local, state, and federal) and the private sector can
also be more efficient consumers. They can reevaluate procedures that need-
lessly distribute paper (multiple copies of documents can be cut back), require
the purchase of products with longer life spans, and cut down on the purchase of
disposable products. The private sector can redesign its manufacturing processes
to reduce the amount of waste generated in the manufacturing process. Reduc-
ing the amount of waste may require closed-loop manufacturing processes and
the use of different raw materials and/or different production processes. Finally,
the private sector can redesign products by increasing their durability, substi-
tuting less toxic materials, or increasing product effectiveness. However, while
everybody can participate in source reduction, it affects how people go about
their business, something that is difficult to mandate through regulation without
getting mired in the tremendous complexity of commerce.
Source reduction is best encouraged by making sure that the cost of waste
management is fully internalized. Cost internalization means pricing the service
so that all of the costs are reflected. For waste management, the costs that need
to be internalized include pickup and transport, site and construction, adminis-
trative and salary, and environmental controls and monitoring. It is important
to note that these costs must be considered, whether the product is ultimately
managed in a landfill, combustion, recycling facility, or composting facility. Reg-
ulation can aid cost internalization by requiring product manufacturers to provide
public disclosure of the costs associated with these aspects of product use and
development.2
182 SOLID WASTE MANAGEMENT

Recycling and Composting

Recycling is perhaps the most positively perceived and doable of all the waste
management practices. Recycling will return raw materials to market by separat-
ing reusable products from the rest of the municipal waste stream. The benefits
of recycling are many. Recycling saves precious finite resources, lessens the
need for mining of virgin materials—which lowers the environmental impact for
mining and processing—and reduces the amount of energy consumed and the
process carbon footprint. Moreover, recycling can help stretch landfill capacity.
Recycling can also improve the efficiency and ash quality of incinerators and
composting facilities by removing noncombustible materials, such as metals and
glass.
Recycling can also cause problems if it is not done in an environmentally
responsible manner. Many Superfund sites are what is left of poorly managed
recycling operations. Examples include deinking operations for newsprint, waste
oil recycling, solvent recycling, and metal recycling. In all of these processes,
toxic contaminants that need to be properly managed are removed. Composting is
another area of recycling that can cause problems without adequate location con-
trols. For example, groundwater can be contaminated if grass clippings, leaves,
or other yard wastes that contain pesticide or fertilizer residues are composted
on sandy or other permeable soils. Air contamination by volatile substances can
also result.
Recycling will flourish where economic conditions support it, not just
because it is mandated. For this to happen, the cost of landfilling or resource
recovery must reflect its true cost and must be at least $40 to $50 per ton
or higher (2008 dollars). Successful recycling programs also require stable
markets for recycled materials. Examples of problems in this area are not
hard to come by; a glut of paper occurred in Germany in the 1984 to 1986
time frame due to a mismatch between the grades of paper collected and the
grades required by the German papermills. Government had not worked with
enough private industries to find out whether the mills had the capacity and
equipment needed to deal with low-grade household newspaper. In the United
States, a similar loss of markets has occurred for paper, especially during the
period from 1994 through 1997. Prices have dropped to the point where it
actually costs money to dispose of collected newspapers in some parts of the
country.
Stable markets also require that stable supplies are generated. This supply-side
problem has been problematic in certain areas of recycling, including metals and
plastics. Government and industry must work together to address the market
situation. It is critical to make sure that mandated recycling programs do not get
too far ahead of the markets.
Even with a good market situation, recycling, and composting will flourish
only if they are made convenient. Examples include curbside pickup for resi-
dences on a frequent schedule and easy drop-off centers with convenient hours
for rural communities and for more specialized products. Product mail-back pro-
grams have also worked for certain appliances and electronic components.
 INTEGRATED WASTE MANAGEMENT 183

Even with stable markets and convenient programs, public education is a crit-
ical component for increasing the amount of recycling. At this point, the United
States must develop a conservation, rather than a throwaway, ethic, especially in
light of the current energy crisis (2008). Recycling presents the next opportunity
for cultural change. It will require us to move beyond a mere willingness to
collect our discards for recycling. That cultural change will require consumers
to purchase recyclable products and products made with recycled content. It
will require businesses to utilize secondary materials in product manufacturing
and to design new products for easy disassembly and separation of component
materials.2

Combustion (Waste-to-Energy)
The third of the IWM options (see Figure 3.1) is combustion (waste-to-energy).
Combustion facilities are attractive because they do one thing very well; they
reduce the volume of waste noticeably, up to ninefold. Combustion facilities can
also be used to recover useful energy, either in the form of steam or in the form of
electricity. Volume reduction alone can make the high capital cost of incinerators
attractive when landfill space is at a premium or when the landfill is distant from
the point of generation. For many major metropolitan areas, new landfills must
be located increasingly far away from the center of the population. Moreover,
incinerator bottom ash has a promise for reuse as a building material. Those who
make products from cement or concrete may be able to utilize incinerator ash.
The major constraints of incinerators are their cost, the relatively high degree
of sophistication needed to operate them safely and economically, and the fact
that the public is very skeptical concerning their safety. The public is concerned
about both stack emissions from incinerators and the toxicity of ash produced by
incinerators. The EPA has addressed both of these concerns through the devel-
opment of new regulations for solid waste combustion (waste-to-energy) plants
and improved landfill requirements for ash. These regulations will ensure that
well-designed, well-built, and well-operated facilities will be fully protective from
the health and environmental standpoints.2

Landfills
Landfills are the one form of waste management that nobody wants but everybody
needs. There are simply no combinations of waste management techniques that
do not require landfilling to make them work. Of the four basic management
options, landfills are the only management technique that is both necessary and
sufficient. Some wastes are simply not recyclable, because they eventually reach a
point where their intrinsic value is dissipated completely so they no longer can be
recovered, and recycling itself produces residuals, and is no longer cost-effective
and or energy efficient.
The technology and operation of a modem landfill can assure protection of
human health and the environment. The challenge is to ensure that all operating
184 SOLID WASTE MANAGEMENT

landfills are designed properly and are monitored once they are closed. It is critical
to recognize that today’s modern landfills do not look like the old landfills that
are on the current Superfund list. Today’s operating landfills do not continue to
take hazardous waste. In addition, they do not receive bulk liquids. They have gas
control systems, liners, leachate collection systems, and extensive groundwater
monitoring systems. Perhaps most importantly, they are better sited and located
in the first place to take advantage of natural geological conditions.
Landfills can also turn into a resource. Methane gas recovery is occurring
at many landfills today, and CO2 recovery is being considered. After closure,
landfills can be used for recreation areas such as parks, golf courses, or ski
areas. Some agencies and entrepreneurs are looking at landfills as repositories
of resources for the future; in other words, today’s landfills might be able to
be mined at some time in the future when economic conditions warrant. This
situation could be particularly true of monofills, which focus on one kind of
waste material like combustion ash or shredded tires.2

Implementing Integrated Solid Waste Management

The implementation of IWM for residential solid waste, as illustrated in
Figure 3.2, typically involves the use of a several technologies and all of the

Residential
source or waste

Commingled Source-separated
waste waste including
yard waste
Principal materials diverted

Curbside
Generator
collection Curbside Household hazardous wastes
returns
collection to an appropriate facility
and/or
generator Drop-off and/or Beverage redemption
returns redemption
center containers, aluminum cans
Paper
Cardboard
Materials recovery facility Plastic
and/or transfer station Aluminum
Glass
Ferrous metal
Waste
transformation Compost
facility Methane
RDF
Energy
Landfill

FIGURE 3.2 Implementation of IWM for management of residential solid wastes. Sim-
ilar diagrams apply to commercial and institutional sources of solid waste. (Source: G.
Tchobanoglous, and F. Kreith, Solid Waste Handbook , 2nd ed., McGraw-Hill, New York,
2002.)
 SOURCES, CHARACTERISTICS, AND QUANTITIES OF SOLID WASTE 185

management options already discussed. At present, most communities use two

or more of the municipal solid waste (MSW) management options to dispose
of their waste, but there are only a few instances where a truly integrated and
optimized waste management plan has been developed. To achieve an integrated
strategy for handling municipal waste, an optimization analysis combining all
of the available options should be conducted. However, at present, there is no
proven methodology for performing such an optimization analysis.2

SOURCES, CHARACTERISTICS, AND QUANTITIES OF SOLID WASTE

In developing solid waste management programs, it is important to identify the

sources, characteristics, and quantities of solid waste. Information on these sub-
jects, as discussed in this section, is of fundamental importance in determining
the types of collection service, the types of collection vehicles to be used, the
type of processing facilities, and the disposal method to be used. Construction
and demolition debris and special wastes that must be collected and processed
separately are also considered.

Sources of Solid Waste

Sources of solid wastes in a community are, in general, related to land use
and zoning. Although any number of source classifications can be developed,
the following categories have been found useful: (1) residential, (2) commer-
cial, (3) institutional, (4) construction and demolition, (5) municipal services,
(6) treatment plant sites, (7) industrial, and (8) agricultural. Typical waste gener-
ation facilities, activities, or locations associated with each of these sources are
reported in Table 3.1. As noted in Table 3.1, municipal solid waste is normally
assumed to include all community wastes with the exception of wastes generated
from municipal services, water and wastewater treatment plants, industrial pro-
cesses, and agricultural operations. It is important to be aware that the definitions
of solid waste terms and the classifications of solid waste vary greatly in the
literature and in the profession. Consequently, the use of published data requires
considerable care, judgment, and common sense.2

Characteristics of Solid Waste

Important characteristics of solid waste include the composition, quantities, and
specific weight.

Composition Typical data on the percentage distribution for the wastes from
the sources identified in Table 3.1 are reported in Table 3.2. As shown in
Table 3.2, residential and commercial waste make up about 60 percent of the
total municipal waste generated per person in the United States, excluding indus-
trial and agricultural wastes. It is important to recognize that most surveys of solid
186 SOLID WASTE MANAGEMENT

TABLE 3.1 Sources Where Solid Wastes Are Generated within a Community
Source Typical Facilities, Activities, or Types of Solid Wastes
Locations Where Wastes Are
Generated

Residential Single-family and multifamily Food wastes, paper, cardboard,

dwellings; low-, medium-, and plastics, textiles, leather, yard
high-rise apartments wastes, wood glass, tin cans,
aluminum other metal, ashes, street
leaves, special wastes (including
bulky items, consumer electronics,
white goods, yard wastes collected
separately, batteries, oil, and tires),
household hazardous wastes
Commercial Stores, restaurants, markets, office Paper, cardboard, plastics, wood, food
buildings, hotels, motels, print wastes, glass, metal wastes, ashes,
shops, service stations, and auto special wastes (see above),
repair shops hazardous wastes
Institutional Schools, hospitals, prisons, As above for commercial
governmental centers
Industrial Construction, fabrication, light and Paper, cardboard, plastics, wood, food
(nonprocess heavy manufacturing, refineries wastes, glass, metal wastes, ashes,
wastes) chemical plants, power plants, special wastes (see above),
demolition hazardous wastes
Municipal solid All of the abovea All of the abovea
waste
Construction and New construction sites, road repair Wood, steel, concrete, dirt
demolition renovation sites, razing of build-
ings, broken pavement
Municipal Street cleaning, landscaping, Special wastes, rubbish, street
services catch-basin cleaning, parks and sweepings, landscape and tree
(excluding beaches, other recreational areas trimmings, catch-basin debris;
treatment general wastes from parks, beaches
facilities) and recreational areas
Treatment plant Water, wastewater, and industrial Treatment plant wastes, principally
sites treatment processes composed of residual sludges and
other residual materials
Industrial Construction, fabrication, light and Industrial process wastes, scrap
heavy manufacturing, refineries materials; nonindustrial waste,
chemical plants, power plants, including food wastes, rubbish,
demolition ashes, demolition and construction
wastes, special wastes, hazardous
waste
Agricultural Field and row crops, orchards, Spoiled food wastes, agricultural
vineyards, dairies, feedlots, farms wastes, rubbish, hazardous wastes
a
The term municipal solid waste (MSW ) normally is assumed to include all of the wastes generated in the
community with the exception of waste generated from municipal services, treatment plants, industrial processes,
and agriculture.
Source: G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Management: Engineer-
ing Principles and Management Issues, McGraw-Hill, New York, 1993.
 SOURCES, CHARACTERISTICS, AND QUANTITIES OF SOLID WASTE 187

TABLE 3.2 Estimated Percentage Distribution by Weight of All MSW Generated

in a Typical Community in 2008, Excluding Industrial and Agricultural Wastesa

Waste Category Percent of Total

Range Typical

Residential and commercial, 50–70 60

excluding special and hazardous
wastes
Special (bulky items, consumer 2–12 5
electronics, white goods, yard
wastes collected separately,
batteries, oil, and tires)
Hazardousb 0.01–1.0 0.1
Institutional 3–5 3.4
Construction and demolition 8–20 14
Municipal services
Street and alley cleanings
2–5 3.8
Tree and landscaping 2–5 3
Parks and recreational areas 1.5–3 2
Catch basin 0.5–1.2 0.7
Treatment plant sludges 3–8 6
—
Total 100.0
a Adapted in part from G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste
Management: Engineering Principles and Management Issues, McGraw-Hill, New York, 1993;
G. Tchobanoglous, and F. Kreith, Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002;
U.S. EPA, Municipal Solid Waste Generation, Recycling, and Disposal in the United States: Facts
and Figures for 2006, Executive Summary, Office of Solid Waste, EPA, Washington, DC, 2006a,
http://www.epa.gov/garbage/pubs/msw06.pdf.
b
Range of reported values varies widely depending on method used to identify and classify hazardous
wastes found in MSW.

waste generation do not consider the wastes from municipal services, industrial
and agricultural sources. The estimate composition of residential and commer-
cial solid waste along with the estimated quantities that are now recycled are
reported in Table 3.3. The percentage data given in Table 3.3 are subject to
adjustment depending on many factors: time of the year; habits, education, and
economic status of the people; number and type of commercial and industrial
operations; whether urban or rural area; and location. Each community should
be studied and actual weighings made to obtain representative information for
design purposes.

Quantities Various estimates have been made of the quantity of solid waste
generated and collected per person per day. The amount of municipal and com-
mercial solid waste generated per capita in the Unites States in 2006 (latest
188 SOLID WASTE MANAGEMENT

TABLE 3.3 Estimated Physical Composition of Residential MSW Generated and

Recycled in 2008, Excluding Food Wastes Discharged with Wastewatera

Percent by Weight
Generated Recycledb
Component Range Typical Range Typical

Organic Waste
Food wastes 6–18 10 1–4 2.5
Paper and paperboard 25–40 34 45–55 52
Plastics 8–14 12 6–8 7
Textiles 2–6 4.5 12–18 15
Rubber 0.5–2 1 8–15 11
Leather 0.5–2 1 1.5–4 2.5
Yard wastes 5–20 13.0 50–65 60
Wood 4–8 5.5 8–12 10
Misc. organics 0.05–0.2 0.1 0.4–1.2 1
Inorganic Waste
Glass 4–10 6.0 20–28 22
Tin cans 2–8 6.0 30–40 36
Aluminum 1–2 1.4 65–80 75
Other metal 1–4 3.0 5–10 67
Dirt, ash, etc 0–5 2.5 0.5
Total 100.0
a Adapted in part from G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste
Management: Engineering Principles and Management Issues, McGraw-Hill, New York, 1993;
G. Tchobanoglous, and F. Kreith, Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002;
U.S. EPA, Municipal Solid Waste Generation, Recycling, and Disposal in the United States: Facts
and Figures for 2006, Executive Summary, Office of Solid Waste, EPA, Washington, DC, 2006a,
http://www.epa.gov/garbage/pubs/msw06.pdf. Reported percentage distributions are exclusive of spe-
cial and hazardous wastes (see Table 3.2).
b
Twenty five percent of the households in the United States assumed to have food waste grinders
and that the percentage of food waste ground up and discharged with wastewater is equal to
25 percent.
c
Current (2008) recycling rate for the United States assumed to be equal to about 50 to 54 percent.

available national data) is estimated to be 4.6 1b/capita•d (pounds of waste gen-

erated per capita per day).3 Additional details on the quantities and characteristics
of the solid waste generated in the United States may be found in Franklin
Associates and U.S. EPA.4 Based on the data given in Table 3.2, if hazardous,
institutional, construction and demolition, and municipal wastes are considered,
the total amount of waste generated per capita is about 7.7 1b/capita•d. Consid-
eration of industrial and agricultural wastes would increase the total per capita
generation rate significantly, more than double the amount (15 to 20 1b/capita•d)
by some estimates. With the emphasis now placed on source reduction (such
as less packaging) and waste recovery and recycling (such as of paper, metals,
cans, and glass), the amount of solid waste requiring disposal has been reduced
 SOURCES, CHARACTERISTICS, AND QUANTITIES OF SOLID WASTE 189

markedly over the past 10 years. For example, the Board of Supervisors of the
City of San Francisco has mandated a goal of 75 percent waste diversion by
the year 2010. It is estimated that in 2008, about 50 to 54 percent by weight of
the waste generated will be recovered for recycling and reprocessing. Recovery
and recycling of hazardous wastes and toxicity reduction by substitution of less
hazardous or nonhazardous materials is continuing to increase.
Typical data on the quantities of waste generated from specific sources are
presented in Table 3.4. Typical data on the quantities of waste generated from
miscellaneous nonresidential sources are presented in Table 3.5. Typical data
on the quantities of waste generated from industrial sources are presented in
Table 3.6, respectively. The data presented in Tables 5.4 through 5.6 are meant
to be used as a general guide to expected quantities for the purpose of preliminary
planning and feasibility assessment. In all cases the quantity information in these
table must be verified locally before final design.

Specific Weight The volume occupied by solid waste under a given set of
conditions is of importance, as are the number and size or type of solid waste
containers, collection vehicles, and transfer stations. Transportation systems and
land requirements for disposal are also affected. For example, the specific weight
of loose solid waste will vary from about 100 to 175 lb/yd3 . Specific weights
of various solid waste materials are given in Table 3.7. The variabilities in the
reported data are due to variations in moisture content.

Commercial and Household Hazardous Waste

The “contamination” of ordinary municipal waste by commercial and house-

hold hazardous wastes has exacerbated the potential problems associated with
the disposal of municipal waste by landfill, incineration, and composting. Based
on a number of past studies, the quantity of hazardous waste typically repre-
sents less than about 0.5 percent of the total waste generated by households.
Typically, batteries and electrical items and certain cosmetics accounted for the
largest amount. The EPA discusses the impact of toxic wastes on solid waste
management.5
From a practical standpoint, it would appear that more can be accomplished by
identifying and prohibiting disposal of commercial hazardous waste with munic-
ipal solid waste. The minimal household hazardous wastes could, with education
and municipal cooperation, be disposed of by voluntary actions. These could
include periodic community collections and provision of central guarded depos-
itories. Many communities have established ongoing programs for the collection
of household hazardous waste. The amount of waste can be expected to decrease
as old stockpiles are discarded. Restricting sales and promoting development
and substitution of nonhazardous household products would also be indicated.
It should also be remembered that a large fraction of the household hazardous
waste ends up in the sewer.
190 SOLID WASTE MANAGEMENT

TABLE 3.4 Approximate Solid Waste Generation Rates from Various Sources in
the United States

Source of Waste Unit lb/unit · day

Municipal Capita 4.0

Household Capita 3.5
Apartment building Capita per sleeping room 4.0
Seasonal home Capita 2.5
Resort Capita 3.5
Camp Capita 1.5
School
With cafeteria Capita 1.0
Without cafeteria Capita 0.5
University Student 0.86 to 1.0
Institution, general Bed 2.5
Hospital Bed 12–15
Occupied bed and 3.7 if staff 9.5
added
Nurses’ or interns’ home Bed 3.0
Home for aged Bed 3.0
Rest home Bed 3.0
Nursing home, retirement Bed 5.0
Infectious waste
Hospital Bed 4.0
Residential health care facility Bed 0.5
Diagnostic and treatment center Patient per week 0–6.5
Hotel
First class Room 3.0
Medium class Room 1.5
Motels Room 2.0
Day use facility, resort Capita 0.5
Trailer camp trailer 6–10
Commercial building, office 100 ft2 1.0
Office building Worker 1.5
Department store 100 ft2 40
Shopping center Survey required Survey required
Supermarket 100 ft2 9.0
Supermarket Person 2.4
Restaurant Meal 2.0
Cafeteria Capita 1
Fast food Capita 0.5
Drugstore 100 ft2 5.0
Airport Passenger 0.5
Prison Inmate 4.5
Retail and service facility 1000 ft2 13.0
Wholesale and retail facility 1000 ft2 1.2
Industrial building, factory 400–3000 employees 7
100–400 employees 3
Warehouse Per 100 ft2 2.0
(continues)
 SOURCES, CHARACTERISTICS, AND QUANTITIES OF SOLID WASTE 191

TABLE 3.4 (continued )

Source of Waste Unit lb/unit · day

National Forest recreational area

Campground Camper 1.2–1.4
Family picnic area Picnicker 8.0–1.2
Organized camps Occupant 1.4–2.2
Rented cabin, with kitchen Occupant 1.2–1.8
Lodge, without kitchen Occupant 0.2–0.8
Restaurant Meal served 0.5–1.2
Overnight lodge, winter sports area Visitor 1.5–2.1
Day lodge, winter sports area Visitor 2.4–3.4
Swimming beach Swimmer 0.02–0.05
Concession stand Per patron 0.10–0.16
Job Corps, Civilian Conservation
Corps camp, kitchen waste Per corpsman 1.8–3.0
Administrative and dormitory Per corpsman 0.5–1.2
Source: Adapted from J. A. Salvato, Environmental Engineering and Sanitation, 4th ed., Wiley, New
York, 1992.

TABLE 3.5 Miscellaneous Solid Waste Generation

Solid Waste Generation Rate

Type Unit Range of Values

Tires Tires discarded per capita per year 0.6–1.0

Waste oil 5 gal per vehicle per year 2.0–3.0
Wastewater sludge, raw Tons per day per 1,000 people, 0.3–0.5
dewatered to 25% solids, with no
garbage grinders
Tons per day per 1,000 people, 0.7–0.9
dewatered to 25% solids, with 100%
garbage grinders
Wastewater sludge, Tons per day per 1,000 people, 0.20–0.30
digested dewatered to 25% solids, or 3 lb per
capita per day dry solids
Water supply sludge Pounds per million gallons of raw water, 200–220
on a dry-weight basis, with
conventional rapid-sand filtration
using alum; raw water with 10
Jackson turbidity units (JTU)
Scavenger wastes Gallons per capita per day 0.25–0.35
Pathological wastes Pounds per bed per day–hospital 0.6–0.8
Pounds per bed per day–nursing home 0.4–0.6
Junked vehicles Number per 1000 population—2002 40–80
Source: Adapted in part from Malcolm Pirnie Engineers, Comprehensive Solid Waste Planning
Study—1969 , Herkimer-Oneida Counties, State of New York Department of Health, Albany, 1969.
192 SOLID WASTE MANAGEMENT

TABLE 3.6 Typical Solid Waste Generation Rates for Industrial Sources
by SIC Codea

SIC Code Industry Waste Production Rate

(tons/employee·yr)

201 Meat processing 6.2

2033 Cannery 55.6
2037 Frozen foods 18.3
Other 203 Preserved foods 12.9
Other 20 Food processing 5.8
22 Textile mill products 0.26
23 Apparel 0.31
2421 Sawmills and planing mills 162.0
Other 24 Wood products 10.3
25 Furniture 0.52
26 Paper and allied products 2.00
27 Printing and publishing 0.49
281 Basic chemicals 10.0
Other 28 Chemical and allied products 0.63
29 Petroleum 14.8
30 Rubber and plastic 2.6
31 Leather 0.17
32 Stone, clay 2.4
33 Primary metals 24
34 Fabricated metals 1.7
35 Nonelectrical machinery 2.6
36 Electrical machinery 1.7
37 Transportation equipment 1.3
38 Professional and scientific institutions 0.12
39 Miscellaneous manufacturing 0.14
a
Standard Industrial Classification (SIC) Code.
Source: R. F. Weston, A Statewide Comprehensive Solid Waste Management Study, New
York State Department of Health, Albany, 1970.

Construction and Demolition Debris

Construction and demolition debris consists of uncontaminated solid waste
resulting from the construction, remodeling, repair, and demolition of structures
and roads and uncontaminated solid waste consisting of vegetation from land
clearing and grubbing, utility line maintenance, and seasonal and storm-related
cleanup. Such waste includes, but is not limited to, bricks, concrete and other
masonry materials, soil, wood, wall coverings, plaster, drywall, plumbing
fixtures, nonasbestos insulation, roofing shingles, asphaltic pavement, glass,
plastics that are not sealed in a manner that conceals other wastes, electrical
wiring and components containing no hazardous liquids, and metals that are
incidental to any of the above.6
Solid waste that is not construction and demolition debris (even if resulting
from the construction, remodeling, repair, and demolition of structures, roads, and
 SOURCES, CHARACTERISTICS, AND QUANTITIES OF SOLID WASTE 193

TABLE 3.7 Weight of Solid Waste for Given Conditions

Condition of Solid Waste Weight (lb/yd3 )

Loose solid waste at curb 125–240

As received from compactor truck at sanitary landfill 300–700
Normal compacted solid waste in a sanitary landfilla 750–850
Well-compacted solid waste in a sanitary landfilla 1000–1250
In compactor truck 300–600
Shredded solid waste, uncompacted 500–600
Shredded solid waste, compacted 1400–1600
Compacted and baled 1600–3200
Apartment house compactor 600–750
In incinerator pit 300–550
Brush and dry leaves, loose and dry 80–120
Leaves, loose and dry 200–260
Leaves, shredded and dry 250–450
Green grass, compacted 500–1100
Green grass, loose and moist 350–500
Yard waste, as collected 350–930
Yard waste, shredded 450–600
a
Initial value.
Source: J. A. Salvato, Environmental Engineering and Sanitation, 4th ed., Wiley, New York, 1992.
and G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Management: Engineering
Principles and Management Issues, McGraw-Hill, New York, 1993. Reproduced with permission
from Cornell Waste Management Institute, Center for the Environment.

land clearing) includes, but is not limited to, asbestos waste, garbage, corrugated
container board, electrical fixtures containing hazardous liquids such as fluores-
cent light ballasts or transformers, carpeting, furniture, appliances, tires, drums
and containers, and fuel tanks. Specifically excluded from the definition of con-
struction and demolition debris is solid waste (including what otherwise would
be construction and demolition debris) resulting from any processing technique,
other than that employed at a construction and demolition processing facility,
that renders individual waste components unrecognizable, such as pulverizing or
shredding.
Some of this material, such as bricks, rocks, wood, and plumbing fixtures, can
be recycled. However, care must be taken to ensure (by monitoring each load)
that hazardous materials such as those mentioned above are excluded and that
fire, odor, and groundwater pollution is prevented. Engineering plans and reports,
hydrogeologic report, operation and maintenance reports, and permits from the
regulatory agency are usually required.

Special Wastes Collected Separately

In every community a number of waste materials are collected separately from
residential and commercial solid waste. Special wastes include (1) medical
194 SOLID WASTE MANAGEMENT

wastes, (2) animal wastes, (3) waste oil, and (4) old tires. These wastes are
considered in the following discussion.

Medical Wastes—Infectious and Pathological The Solid Waste Disposal

Act, commonly referred to as the Resource Conservation and Recovery Act
(RCRA), defines medical waste as “any solid waste which is generated in the
diagnosis, treatment, or immunization of human beings or animals, in research
pertaining thereto, or in the production or testing of biologicals. The term does
not include any hazardous waste identified or listed under Subtitle C (mixtures
with medical wastes are not excluded) or any household waste as defined in reg-
ulations under Code of Federal Regulations, Title 40, Subtitle C (materials found
in waste generated by consumers).”7
Infectious waste usually comes from a medical care or related facility. It
includes all waste materials resulting from the treatment of a patient on isolation
(other than patients on reverse or protective isolation), renal dialysis, discarded
serums and vaccines, pathogen-contaminated laboratory waste and animal car-
casses used in research (including bedding and other waste), and other articles
that are potentially infectious, such as hypodermic and intravenous needles.
Regulated medical waste under the act includes the following waste categories:
cultures and stock of infectious agents and associated biologicals; human blood
and blood products; pathological waste; used sharps (needles, syringes, surgical
blades, pointed and broken glass); and contaminated animal carcasses. The EPA
is authorized to exclude, if there is no substantial threat to human health or the
environment, surgery or autopsy waste, miscellaneous microbiology laboratory
waste, dialysis waste, discarded medical equipment, and isolation wastes. Other
waste categories may be added if they pose a substantial threat. Potential hazards
associated with the handling of infectious waste necessitate certain precautions.
Infectious waste needs to be segregated at the source and clearly color (red) coded
and marked. The packaging is expected to maintain its integrity during handling,
storage, and transportation with consideration of the types of materials packaged.
The storage time should be minimal (treated within 24 hours); the packaging
should be moisture proof, puncture resistant, and rodent and insect proof; and the
storage places and containers clearly marked with the universal biological hazard
symbol and secured. Packaged waste is placed in rigid or semirigid containers
and transported in closed, leak-proof trucks or dumpsters. It must at all times be
kept separate from regular trash and other solid waste. Health care workers and
solid waste handlers must be cautious.
Most infectious waste can be treated for disposal by incineration or autoclav-
ing. The residue can be disposed of in an approved landfill. Liquids may be
chemically disinfected; pathological wastes may also be buried, if permitted, or
cremated; and blood wastes may, under controlled conditions, be discharged to
a municipal sanitary sewer, provided secondary treatment is employed. Infec-
tious waste may also be rendered innocuous by shredding–disinfection (sodium
hypochlorite), thermal inactivation, and gas–vapor treatment. Infectious waste is
only one component of medical waste.
 ON-SITE HANDLING AND STORAGE 195

In all cases, local, state, and federal regulations should be followed closely.
Public concerns and fears associated with the possible spread of the viruses caus-
ing acquired immunodeficiency syndrome (AIDS) and hepatitis B, as well as other
infections, have accelerated legislative and regulatory action, tighter management
practices, and provision of specialized treatment and disposal services. Complete
records (medical waste tracking form) must be kept by the generator and hauler
of infectious waste to the point of final disposal as part of a four-part manifest
system.

Animal Wastes Animal wastes may contain disease organisms causing

salmonellosis, leptospirosis, tularemia, foot-and-mouth disease, hog cholera, and
other illnesses. Manure contaminated with the foot-and-mouth disease virus
must be buried in a controlled manner or otherwise properly treated. The excreta
from sick animals should be stored 7 to 100 days, or as long as is necessary
to ensure destruction of the pathogen, depending on temperature and moisture.
Dead animals are best disposed of at an incinerator or rendering plant or in a
separate area of a sanitary landfill. Large numbers might be buried in a special
trench with due consideration to protection of groundwaters and surface waters
if approved by the regulatory authority.

Waste Oil Large quantities of waste motor and industrial oil find their way
into the environment as a result of accidental spills, oiled roads, oil dumped in
sewers and on the land, and oil deposited by motor vehicles. Used oils contain
many toxic metals and additives that add to the pollution received by sources of
drinking water, aquatic life, and terrestrial organisms. The lead content of oil is of
particular concern. It has been estimated that industrial facilities, service stations,
and motorists produce 1.2 billion gallons of used oil, of which about 60 percent
is used motor oil. Approximately 60 percent of the waste oil is reprocessed and
used for fuel. About 25 to 30 percent is rerefined and reused as a lubricant.
The remainder is used for road oil, dirt road dust control and stabilization, and
other unacceptable uses. Rerefined oil is so classified when it has had physical
and chemical impurities removed and, when by itself or blended with new oil or
additives, is substantially equivalent or superior to new oil intended for the same
purposes, as specified by the American Petroleum Institute.

Used Tires Tire dumps can cause major fires and release many hazardous
chemicals, including oil, contributing to air and groundwater pollution. Tires
collect rain water in which mosquitoes breed and provide harborage for rats and
other vermin. Tires are not suitable for disposal by landfill but may be acceptable
if shredded or split, although recycling is preferred and may be required.

ON-SITE HANDLING AND STORAGE

Where solid waste is temporarily stored on the premises, between collections, an

adequate number of suitable containers should be provided.
196 SOLID WASTE MANAGEMENT

Low-Rise Residential Areas

To a large extent, the type of container used for the collection of residential solid
waste will depend on the type of collection service provided, and whether source

TABLE 3.8 Typical Collection Services for Commingled and Source Separated
Solid Wastea

Preparation Method for Type of Service

Waste Collected

Commingled wastes Single collection service of large container for commingled

household and yard waste
Separate collection service for (1) commingled household
waste and (2) containerized yard waste
Separate collection service for (1) commingled household
waste and (2) noncontainerized yard waste
Source-separated and Single collection service for a single container with
commingled waste source-separated waste placed in plastic bag along with
commingled household and yard wastes
Separate collection service for (1) source-separated waste
placed in a plastic bag and commingled household waste in
same container and (2) noncontainerized yard wastes
Single collection service for source-separated and commingled
household and yard wastes using a two-compartment
container
Separate collection service for (1) source-separated and
commingled household wastes using a two-compartment
container and (2) containerized or noncontainerized yard
waste
Separate collection service for (1) source-separated waste and
(2) containerized commingled household and yard wastes
Separate collection service for (1) source-separated waste, (2)
commingled household waste, and (3) containerized yard
wastes
Separate collection service for (1) source-separated waste, (2)
commingled household waste, and (3) noncontainerized yard
wastes
Separate collection service for (1) source-separated recyclable
materials, (2) source-separated compostable materials (i.e.,
food and yard waste), and (3) nonrecyclable solid waste
a
The method of waste preparation for collection is often selected for convenience and efficiency of
collection services and subsequent materials processing activities.
Source: H. Theisen, “Solid Waste Collection,” in G. Tchobanoglous and F. Kreith (Eds.), Solid Waste
Handbook, 2nd ed., McGraw-Hill, New York, 2002, Chapter 7.
 ON-SITE HANDLING AND STORAGE 197

(a)

(b)

FIGURE 3.3 Typical containers used for collection of residential solid waste: (a)
source-separated recyclable materials are placed in three separate containers (one for
paper, one for glass, and one for cans and plastics), residual nonrecyclable wastes are
placed in separate containers, and yard wastes are place in the street for collection with
specialized collection equipment; (b) commingled mixed wastes in a single large (90-gal)
container.
198 SOLID WASTE MANAGEMENT

separation of wastes is employed (see Table 3.8). The various types of containers
used for residential service are illustrated in Figure 3.3.

Low- and Medium-Rise Apartments

Large containers located in enclosed areas are used most commonly for low and
medium-rise apartments. In most applications, separate containers are provided
for recyclable and commingled nonrecyclable materials. A typical example is
shown in Figure 3.4.
Curbside collection service is common for most low- and medium-rise apart-
ments. Typically, the maintenance staff is responsible for transporting the con-
tainers to the street for curbside collection by manual or mechanical means. In
many communities, the collector is responsible for transporting containers from
a storage location to the collection vehicle. Where large containers are used, the
contents of the containers are emptied mechanically using collection vehicles
equipped with unloading mechanisms.

High-Rise Apartments
In high-rise apartment buildings (higher than seven stories), the most common
methods of handling commingled wastes involve one or more of the following:
(1) wastes are picked up by building maintenance personnel from the various
floors and taken to the basement or service area; (2) wastes are taken to the
basement or service area by tenants; or (3) wastes, usually bagged, are placed by
the tenants in a waste chute system used for the collection of commingled waste

FIGURE 3.4 Typical example of containers used for low- and medium-rise apartments.
Large containers are used for solid waste to be disposed of in a landfill. The smaller
containers in front of the enclosure are used for: (1) glass, tin can, aluminum cans, and
plastic containers (type 1 and 2) and (2) recyclable paper and paperboard products.
 SOLID WASTE COLLECTION 199

at a centralized service location. Typically, large storage containers are located in

the basements of high-rise apartments. In some locations, enclosed ground-level
storage facilities will be provided. In some of the more recent apartment building
developments, especially in Europe, underground pneumatic tran sport systems
have been used in conjunction with the individual apartments chutes.

Commercial and Institution

Bulk containers or solid waste bins are recommended where large volumes of
solid waste are generated, such as at hotels, restaurants, motels, apartment houses,
shopping centers, and commercial places. They can be combined to advantage
with compactors in many instances (see Figure 3.5). Containers should be placed
on a level, hard, cleanable surface in a lighted, open area. The container and
surrounding area must be kept clean, for the reasons previously stated. A concrete
platform provided with a drain to an approved sewer with a hot-water faucet at
the site to facilitate cleaning is generally satisfactory.

SOLID WASTE COLLECTION

Collection cost has been estimated to represent about 60 to 75 percent of the total
cost of solid waste management, depending on the disposal method. Because the
cost of collection represents such a large percentage of the total cost, the design
of collection systems must be considered carefully. The type of service provided,
the frequency of service, and the equipment used for collection are considered
in the following discussion.

Type of Service
The type of collection service provided will depend on the community solid
waste management program. Typical examples of the types of collection service
provided for the collection of (1) commingled and (2) source-separated and com-
mingled wastes, as reported in Table 3.8. It should be noted that numerous other
variations in the service provided have been developed to meet local conditions.
In addition to routine collection services, presented in Table 3.8, annual or semi-
annual special collections for appliances, tires, batteries, paints, oils, pesticides,
yard wastes, glass and plastic bottles, and “spring cleaning” have proven to be an
appreciated community service while at the same time providing environmental
protection.

Collection Frequency
The frequency of collection will depend on the quantity of solid waste, time
of year, socioeconomic status of the area served, and municipal or contractor
responsibility. In residential areas, twice-a-week solid waste collection during
warm months of the year and once a week at other times should be the maximum
200 SOLID WASTE MANAGEMENT

(a)

(b)

FIGURE 3.5 Typical containers used for collection of large amounts of waste from com-
mercial establishments: (a) open top with lids; (b) closed container coupled to stationary
compactor.
 SOLID WASTE COLLECTION 201

FIGURE 3.6 Commercial waste placed on sidewalk in New York City for manual col-
lection at night or in very early morning hours.
202 SOLID WASTE MANAGEMENT

permissible interval. In business districts, solid waste, including garbage from

hotels and restaurants, should be collected daily except Sundays (see Figure 3.6).
Depending on the type of collection system, the containers used for the on-site
storage of solid waste should be either emptied directly into the collection vehicle
or hauled away emptied and returned or replaced with a clean container. Solid
waste transferred from on-site storage containers will invariably cause spilling,
with resultant pollution of the ground and attraction of flies. If other than curb
pickup is provided, such as backyard service, the cost of collection will be high.
Nevertheless, some property owners are willing to pay for this extra service.
Bulky wastes should be collected every three months. Most cities have also
instituted ongoing programs for the collection of household hazardous wastes,
typically every three months.

Types of Collection Systems

Solid waste collection systems may be classified from several points of view, such
as the mode of operation, the equipment used, and the types of wastes collected.
Collection systems can be classified, according to their mode of operation, into
two categories: (1) hauled container systems and (2) stationary container systems.
The individual systems included in each category lend themselves to the same
method of engineering and economic analysis.8 The principal operational features
of these two systems are delineated as follows.

Hauled Container Systems (HCSs) These are collection systems in which

the containers used for the storage of wastes are hauled to a materials recov-
ery facility (MRF), transfer station, or disposal site, emptied, and returned to
either their original location or some other location. There are two main types
of vehicles used in hauled container systems: (1) hoist truck for containers in
the size range from 2 to 12 yd3 and (2) tilt-frame vehicles for containers in the
size range from 10 to 50 yd3 (see Figure 3.7). Typical data on the containers
and container capacities used with these vehicles are reported in Table 3.9. In
addition trash-trailers are used in some locations for construction and demolition
wastes.
Hauled container systems are ideally suited for the removal of wastes from
sources where the rate of generation is high because relatively large containers
are used (see Table 3.9). The use of large containers eliminates handling time
as well as the unsightly accumulations and unsanitary conditions associated with
the use of numerous smaller containers. Another advantage of hauled container
systems is their flexibility: Containers of many different sizes and shapes are
available for the collection of all types of wastes.

Stationary Container Systems (SCSs) In the stationary container system,

the containers used for the storage of wastes remain at the point of generation,
except when they are moved to the curb or other location to be emptied. Stationary
container systems may be used for the collection of all types of wastes. The
systems vary according to the type and quantity of wastes to be handled, as well as
 SOLID WASTE COLLECTION 203

(a)

(b)

FIGURE 3.7 Typical examples of collection vehicles and containers used in hauled
container system: (a) hoist truck; (b) tilt frame unloading a drop box; and (c) drop boxes
used at commercial discount store.
204 SOLID WASTE MANAGEMENT

(c)

FIGURE 3.7 (continued )

the number of generation points. There are two main types: (1) systems in which
manually loaded collection vehicles are used (see Figure 3.8) and (2) systems in
which mechanically loaded collection vehicles are used (see Figure 3.9).
The major application of manual loading collection vehicles is in the collection
of residential source-separated and commingled wastes and litter. Manual loading
is used in residential areas where the quantity picked up at each location is
small and the loading time is short. In addition, manual methods are used for
residential collection because many individual pick-up points are inaccessible
to mechanized mechanically loaded collection vehicles. Special attention must
be given to the design of the collection vehicle intended for use with a single
collector. At present, it appears that a side-loaded compactor, such as the one
shown in Figure 3.8a, equipped with standup right-hand drive, is best suited for
curb and alley collection.

Personnel Requirements
In most hauled container systems, a single collector-driver is used. The
collector-driver is responsible for driving the vehicle, loading full containers
onto the collection vehicle, emptying the contents of the containers at the
disposal site (or transfer point), and redepositing (unloading) the empty
containers. In some cases, for safety reasons, both a driver and helper are
used. The helper usually is responsible for attaching and detaching any chains
or cables used in loading and unloading containers on and off the collection
vehicle; the driver is responsible for the operation of the vehicle. A driver and
helper should always be used where hazardous wastes are to be handled. Labor
 SOLID WASTE COLLECTION 205

TABLE 3.9 Typical Data on Container Types and Capacities Available for Use
with Various Collection Systems
Collection Container Type Typical
System Range of
Container
Capacities

Hauled container system

Hoist truck Used with stationary compactor 6–12 yd3
Tilt-frame Open top, also called debris boxes or roll-off 12–50 yd3
Used with stationary compactor 15–40 yd3
Equipped with self-contained compaction 20–40 yd3
mechanism
Truck-tractor Open-top trash-trailers 15–40 yd3
Enclosed trailer-mounted containers equipped 30–40 yd3
with self-contained compaction mechanism
Stationary container systems Open top and closed top with side loading 1–10 yd3
(compacting type)
Compactor, mechanically
loaded
Special containers used for collection of 90–120 gal
residential wastes from individual residences
Compactor, mechanically Special split cart containers used for collection of 92–120 gal
loaded with divided recyclables and other nonrecyclable
hopper commingled waste
Compactor trailer with Special split cart containers used for collection of 90–120 gal
mechanical lift assembly recyclables and other nonrecyclable
on semitractor commingled waste
Compactor, manually Small plastic or galvanized metal containers, 20–55 gal
loaded disposable paper and plastic bags
Stationary container systems
(noncompacting type)
Collection vehicle with All types of containers used for temporary 32 gal
manually loaded side storage of recyclable materials
dump containers
Collection vehicle with All types of containers used for temporary 32 gal
semiautomatic manually storage of recyclable materials
loaded side troughs
Collection vehicle with All types of containers used for temporary 60–120 gal
semiautomatic manually storage of recyclable materials plus wheeled
loaded side troughs containers
capable of unloading
wheeled containers
Collection vehicle with Special containers used for collection of source 60–120 gal
mechanical lift assembly separated wastes from individual residences

Note: yd3 × 0.7646 = m3 ; gal × 0.003785 = m3 .

Source: H. Theisen, “Solid Waste Collection,” in G. Tchobanoglous and F. Kreith (Eds.), Solid Waste
Handbook, 2nd ed., McGraw-Hill, New York, 2002, Chapter 7,and G. Tchobanoglous, H. Theisen,
and S. Vigil, Integrated Solid Waste Management: Engineering Principles and Management Issues,
McGraw-Hill, New York, 1993.
206 SOLID WASTE MANAGEMENT

(a)

(b)

FIGURE 3.8 Typical examples of manually loaded collection vehicles used in station-
ary container system: (a) side-loaded right-hand standup drive collection vehicle for
commingled solid waste; (b) rear-loaded collection vehicle for commingled solid waste;
(c) side-loading vehicle used for collection of source-separated materials.
 SOLID WASTE COLLECTION 207

(c)

FIGURE 3.8 (continued )

requirements for curbside collection with manually and mechanically loaded

vehicles with a one-person crew are reported in Table 3.10.
Labor requirements for mechanically loaded stationary container systems are
essentially the same as for hauled container systems. Where a helper is used, the
driver often assists the helper in bringing loaded containers mounted on rollers
to the collection vehicle and returning the empty containers. Occasionally, a
driver and two helpers are used where the containers to be emptied must be
rolled (transferred) to the collection vehicle from inaccessible locations, such as
in congested downtown commercial areas. In stationary container systems, where
the collection vehicle is loaded manually, the number of collectors varies from
one to four, in most cases, depending on the type of service and the collection
equipment. While the aforementioned crew sizes are representative of current
practices, there are many exceptions. In many cities, multiperson crews are used
for curb service as well as for backyard carry service.

Health Issues
The frequency and severity of injuries in the solid waste management industry
are very high. The National Safety Council reported that solid waste collection
workers have an injury frequency approximately 10 times the national average
for all industries, higher than police work and underground mining. Workmen’s
compensation rates account for about 9 to 10 percent of payroll for all solid
waste collectors.
208 SOLID WASTE MANAGEMENT

(a)

(b)

FIGURE 3.9 Typical examples of mechanically loaded collection vehicles used in sta-
tionary container system: (a) side-loading vehicle with dual compartment; (b) front-loaded
collection vehicle. (Source: Courtesy of Heil Environmental Industries; reproduced with
permission.)
 TRANSFER AND TRANSPORT 209

TABLE 3.10 Typical Labor Requirements for Curbside Collection with Manually
and Mechanically Loaded Collection Vehicle Using One-Person Crewa

Average Number of Containers Time (min/location)

and/or Boxes per Pickup Location Manual Pickup Mechanical Pickup

1 (60–90 gal) — 0.5–0.6

1 or 2 0.5–0.6
3 or 4 0.6–0.9
Unlimited serviceb 1.0–1.2
a
Values given are for typical residential area with lot sizes varying from 1/4 to 1/3 acre.
b
Not all residents take advantage of unlimited service each collection day.
Source: H. Theisen, “Solid Waste Collection,” in G. Tchobanoglous and F. Kreith (Eds.), Solid Waste
Handbook, 2nd ed., McGraw-Hill, New York, 2002, Chapter 7.

TRANSFER AND TRANSPORT

The urban areas around cities have been spreading, leaving fewer nearby accept-
able solid waste disposal sites. The lack of acceptable sites has led to the
construction of incinerators, resource recovery facilities, or processing facilities
in cities or their outskirts or the transportation of wastes longer distances to new
landfill disposal sites. However, as the distance from the centers of solid waste
generation increases, the cost of direct haul to a site increases. A “distance” is
reached (in terms of cost and time) when it becomes less expensive to construct
a transfer station or incinerator at or near the center of solid waste generation
where wastes from collection vehicles can be transferred to large tractor-trailers
for haul to more distant disposal sites. Ideally, the transfer station should be
located at the centroid of the collection service area.

Economic Analysis of Transfer Operations

A comparison of direct haul versus the use of a transfer station and haul for vari-
ous distances is useful in making an economic analysis of potential landfill sites.
The transfer station site development, transportation system, and social factors
involved in site selection should also be considered in making the comparison.
If the cost of disposal by sanitary landfill is added to the cost comparison, the
total relative cost of solid waste transfer, transportation, and disposal by sanitary
landfill can be compared to the corresponding cost for incineration, if incineration
is an option. The relative cost of incineration with the cost of landfill for various
haul distances and a given population is illustrated in Figure 3.10. Based on
past experience, a direct-haul distance (one-way) of 25 to 30 miles is about the
maximum economical distances although longer distances are common, where
other options are unacceptable or cannot be implemented for a variety of reasons,
including cost. A similar comparison in which distance is shown in terms of times
of travel to the disposal site is presented in Figure 3.11.
210 SOLID WASTE MANAGEMENT

Incineration (including 5-mi haul)

Total Annual Cost—Collection and Disposal

nd ll
ra fi
n sfe land
Tra tary
ni

Total annual cost—disposal

sa

Landfill

filll
nd
y la
itar
san
nd
ul a
ha

Sanitary landfill
ect

(including 5-mi haul)

Dir

0 10 20 30 40 50
Round-trip Haul to Sanitary Landfill Site (miles)

FIGURE 3.10 Effect of haul distances to site on cost of disposal by sanitary landfill
compared to cost of disposal by incineration.

Types of Transfer Stations

Transfer stations are used to accomplish transfer of solid wastes from collection
and other small vehicles to larger transport equipment. Depending on the method
used to load the transport vehicles, transfer stations, as reported in Table 3.11
may be classified into two general types: (1) direct load and (2) storage load (see
Figure 3.12). Combined direct-load and discharge-load transfer stations have also
been developed transfer stations may also be classified with respect to throughput
capacity (the amount of material that can be transferred and hauled) as follows:
small, less than 100 tons/day; medium, between 100 and 500 tons/day; and large,
more than 500 tons/day.

Direct-Load Transfer Stations At direct-load transfer stations, the wastes in

the collection vehicles are emptied directly into the vehicle to be used to transport
them to a place of final disposition or into facilities used to compact the wastes
into transport vehicles (see Figure 3.13) or into waste bales that are transported
to the disposal site. In some cases, the wastes may be emptied onto an unloading
platform and then pushed into the transfer vehicles, after recyclable materials have
been removed. The volume of waste that can be stored temporarily on the unload-
ing platform is often defined as the surge capacity or the emergency storage
 TRANSFER AND TRANSPORT 211

FIGURE 3.11 Cost comparison–incineration versus transfer and haul to landfill.

capacity of the station. Small direct-load transfer stations used to serve industrial
parks, rural areas, and entrances to landfills are illustrated in Figure 3.14.

Storage-Load Transfer Station In the storage-load transfer station, wastes

are emptied directly into a storage pit from which they are loaded into transport
vehicles by various types of auxiliary equipment (see Figure 3.1b). The differ-
ence between a direct-load and a storage-load transfer station is that the latter is
designed with a capacity to store waste (typically one to three days).

Vehicles for Uncompacted Wastes

Motor vehicles, railroads, and ocean-going vessels are the principal means now
used to transport solid wastes. Pneumatic and hydraulic systems have also been
used. However, in recent years, because of their simplicity and dependability,
open-top semitrailers have found wide acceptance for the hauling of uncompacted
wastes from direct-load transfer stations (see Figure 3.15a). Another combination
that has proven to be very effective for uncompacted wastes is the truck-trailer
combination (see Figure 3.15b). Transport trailers used for hauling solid waste
over great distances are all of monoque construction, where the bed of the trailer
also serves as the frame of the trailer. Using monoque construction allows greater
waste volumes and weights to be hauled.
212 SOLID WASTE MANAGEMENT

TABLE 3.11 Types of Transfer Stations Used for Municipal Solid Waste

Type Description

Direct-Load Transfer Stations

Large- and medium-capacity Wastes to be transported to landfill are
direct-load transfer station without loaded directly into large open-top
compaction transfer trailers for transport to landfill.
Large- and medium-capacity Wastes to be transported to landfill are
direct-load transfer stations with loaded directly into large compactors and
compactors compacted into specially designed
transport trailers or into bales, which are
then transported to landfill.
Small-capacity direct-load transfer Small-capacity transfer stations are used in
stations remote and rural areas. Small-capacity
transfer station are also used at landfills
as a convenience for residents who wish
to haul wastes directly to landfill.
Storage-Load Transfer Station

Large-capacity storage-load transfer Wastes to be transported to a landfill are

station without compaction discharged into a storage pit where they
are pulverized before being loaded into
open trailers. Waste is pulverized to
reduce the size of the individual waste
constituents to achieve more effective
utilization of the transfer trailers.
Medium-capacity storage-load Wastes to be transported to a landfill are
transfer station with processing and discharged into a pit where they are
compaction facilities further pulverized before being baled for
transport to a landfill.
Other Types of Transfer Stations

Combined discharge-load and Waste to be transported to a landfill can

direct-load transfer station either be discharged on a platform or
discharged directly into a transfer trailer.
Wastes discharged onto a platform are
typically sorted to recover recyclable
materials.
Transfer and transport operations at Depending on the type of collection service
MRFs provided, materials recovery and transfer
operations are often combined in one
facility. Depending on the operation of
the MRF, wastes to be landfilled can be
discharged directly into open trailers or
into a storage pit to be loaded later into
open-top trailers or baled for transport to
a landfill.
Source: Adapted from G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Manage-
ment: Engineering Principles and Management Issues, McGraw-Hill, New York, 1993.
 WASTE REDUCTION AND MATERIALS RECOVERY 213

(a)

(b)

FIGURE 3.12 Definition sketch for two most common types of transfer stations:
(a) direct discharge; (b) storage-discharge. (Source: LaGrega, M. D., P. L. Bucking-
ham, and J. C. Evans, Hazardous Waste Management, 2nd ed., McGraw-Hill, New York,
2001.)

Transfer Station Siting Issues

A transfer station, resource recovery facility, or processing facility should be
located and designed with the same care as described for an incinerator. Drainage
of paved areas and adequate water hydrants for maintenance of cleanliness and
fire control are equally important. Other concerns are landscaping, weigh scales,
and traffic, odor, dust, litter, and noise control. Rail haul and barging to sea
also involve the use of transfer stations. They may include one or a combina-
tion of grinding, baling, or compaction to increase densities, thereby improving
transportation efficiency.

WASTE REDUCTION AND MATERIALS RECOVERY

Proper solid waste management should first prevent and reduce the generation
of solid wastes, reduce their hazardous characteristics, and recover and recycle
waste to the extent practicable and then dispose of the remaining wastes in a
manner that does not endanger public health or the environment. The focus of
this section is on waste reduction and the recovery and recycling of materials.
214 SOLID WASTE MANAGEMENT

FIGURE 3.13 Direct-discharge transfer station equipped with stationary compactors.

(Courtesy of Malcolm Pirnie, Inc. Reproduced with permission.)

Waste Reduction
The extent to which solid wastes can be reduced, recovered, and recycled should
be an integral part of every solid waste management system study, whether
involving composting, a sanitary landfill, or an incinerator. Composting is also
considered a form of recycling. The first step, however, should be waste reduction
at the point of generation or product formulation. Industrial material, process,
and packaging changes can minimize the waste or substitute a less toxic or
objectionable material. The amount of waste can then be reduced, and what waste
is produced can be recovered, reused, or recycled to the extent feasible, thereby
reducing the amount for final disposal. Additional details on source reduction
may be found elsewhere.9
There has been considerable interest in a returnable bottle deposit law in
some states to reduce highway litter, conserve resources, and reduce the volume
 WASTE REDUCTION AND MATERIALS RECOVERY 215

(a)

(b)

FIGURE 3.14 Small direct-discharge transfer stations: (a) convenience type located in
rural areas at entrance of landfill disposal sites. (b) individuals unloading waste materials
into a convenience type transfer station located at the entrance to a landfill.
216 SOLID WASTE MANAGEMENT

(a)

(b)

FIGURE 3.15 Typical examples of transfer trailers used to transport waste over large
distances to (a) single large trailer with drop bottom and (b) tractor trailer combination
in process of being unloaded at landfill.
 WASTE REDUCTION AND MATERIALS RECOVERY 217

of solid wastes for disposal. The bottle law is usually applicable to all types of
beverage containers, including glass, metal, and plastic, but not to other types of
containers such as food jars, plastic and paper cups, wine and liquor bottles, and
the like. The effectiveness of the bottle deposit law has been debated by some
considering its limited application, the handling involved, and total cost, tangible
and intangible. A substantial number of deposit containers are not returned by
the consumer. This results in an unintended income to the supermarket or other
retailer and what amounts to an additional cost to the consumer. Other alternatives
should be considered. The reduction of all types of litter and insults to the
landscape, including spillage from uncovered vehicles, elimination of junked
cars, debris, and illegal dumps, and education of the public to promote a clean
environment such as through Keep America Beautiful, requires greater support.
Some returnable bottle laws are being amended to include liquor, wine, and wine
cooler bottles and possibly other containers.

Materials Recovery and Recycling

Recovery of materials and energy from solid wastes is not new. Scavengers have
salvaged newsprint and cardboard, rags, copper, lead, and iron for years. These
materials, together with aluminum, glass, plastics, and wood, are being reclaimed
at central collection and processing stations to a greater or lesser extent, depend-
ing on the available market, tax policies, and public interest. Energy recovery,
where feasible, has been an important consideration in which unsorted solid waste
and shredded solid waste, referred to as refuse (solid-waste) derived fuel (RDF),
is burned to produce steam or electricity.
Recycling can effect savings in landfill space and in energy. One ton of news-
papers can save 3.0 to 3.3 yd3 of landfill space. It is estimated that 95 percent less
energy is required to produce aluminum from recycled aluminum than from baux-
ite. Crushed recycled glass melts at a lower temperature than virgin raw material,
thereby conserving energy. Unfortunately, the recycling of glass has essentially
ceased because of a glut of material available, the high cost of handling and
processing recycled glass, and the cost associated with pollution control.
Resource recovery is not a municipal operation to be entered into just because
it seems like the logical or proper thing to do. It is a complex economic and tech-
nical system with social and political implications, all of which require competent
analysis and evaluation before a commitment is made. Included are the capital and
operating costs, market value of reclaimed materials and material quality, poten-
tial minimum reliable energy sales, assured quantity of solid wastes, continued
need for a sanitary landfill for the disposal of excess and remaining unwanted
materials and incinerator residue, and a site location close to the centroid of the
generators of solid wastes. Not all concepts are viable. Incentives and monetary
support may be required to obtain an acceptable site.
Resource recovery is a partial waste disposal and reclamation process. Mate-
rials not recovered may amount to 40 to 55 percent of the original waste by
weight, although a resource recovery system can theoretically be used to sep-
arate up to 90 percent of the municipal waste stream into possibly marketable
218 SOLID WASTE MANAGEMENT

components. It has been estimated that under the best conditions only about 50
to 60 percent of the solid waste will be recovered. In 1979, 7 percent was being
recycled for materials or energy. In 1990, the national average was estimated to
be 11 percent. In the year 2000, the average was about 26 percent. In 2008, the
average is close to 50 percent. As noted previously, the Board of Supervisors
of the City of San Francisco has mandated a goal of 75 percent waste diversion
by the year 2010. In general, it has been found that the recovery of materials
from municipal solid waste is not a paying proposition. Most materials recovery
operations are subsidized, in part, by the collection fees or by added monthly
charges. In most communities, materials recovery facilities are used to help meet
mandated diversion (from landfill disposal) requirements.

Processing Technologies for the Recovery of Materials

In the not-so-distant past, solid-waste processing and disposal methods have
included the open dumping, hog feeding, incineration, grinding and discharge
to a sewer, milling, compaction, sanitary landfill, dumping and burial at sea (pro-
hibited in the United States), incineration, reduction, composting, pyrolization,
wet oxidation, and anaerobic digestion. Currently, the most commonly accepted
processing technologies involve the recovery of materials at materials recov-
ery facilities and composting. Materials recovery facilities are considered next;
composting is considered in the following section.

Implementation of Materials Recovery Facilities

Because the EPA has mandated diversion goals, most communities have
developed a variety of materials recovery facilities. The purpose of this section
is to define the type of materials recovery facilities now in use, to review the
principal unit operations and processes used for the recovery of materials, and to
highlight the planning issues associated with the implementation of a materials
recovery facility. Additional details on materials recovery facilities may be
found in Ref. 10.

Types of Materials Recovery Facilities (MRFs) The separation of house-

hold and commercial waste can be done at the source, at the point of collection by
collection crews or at centralized materials recovery facilities or large integrated
materials recovery/transfer facilities (MR/TFs). The type of MRF will depend
on the type of collection service provided and the degree of source separation
the waste has undergone before reaching the MRF. The two general types of
MRFs are (1) for source-separated material and (2) for commingled solid waste.
The functions of each of theses types of MRFs are reviewed in Table 3.12.
As reported in Table 3.12, may different types of MRFs have been developed,
depending on the specific objective. Further, as reported in Table 3.13, materials
recovery facilities can also be classified in terms of size and the degree of mecha-
nization. Small MRFs associated with the further processing of source-separated
materials tend to be less highly mechanized.
 WASTE REDUCTION AND MATERIALS RECOVERY 219

TABLE 3.12 Typical Examples of Materials and Functions/Operations of MRFs

Used for Processing of Source-Separated Recyclable Materials and Commingled
Solid Waste

Materials Function/Operation

MRFs for Source-Separated Recyclable Materials

Mixed paper and Manual separation of high-value paper and cardboard or
cardboard contaminants from commingled paper types; baling of separated
materials for shipping; storage of baled materials
Manual separation of cardboard and mixed paper; baling of
separated materials for shipping; storage of baled materials
Manual separation of old newspaper, old corrugated cardboard,
and mixed paper from commingled mixture; baling of separated
materials for shipping; storage of baled materials
PETE and HDPE Manual separation of PETE and HDPE from commingled plastics;
plastics baling of separated materials for shipping; storage of baled
materials
Mixed plastics Manual separation of PETE, HDPE, and other plastics from
commingled mixed plastics; baling of separated materials for
shipping; storage of baled materials
Mixed plastics and Manual separation of PETE, HDPE, and glass by color from
glass commingled mixture; baling of separated materials for
shipping; storage of baled materials
Mixed glass With Manual separation of clear, green, and amber glass; storage of
sorting separated materials
Without sorting Storage of separated mixed glass
Aluminum and tin Magnetic separation of tin cans from commingled mixture of
cans aluminum and tin cans; baling of separated materials for
shipping; storage of baled materials
Plastic, aluminum Manual or pneumatic separation of polyethylene terepholate
cans, tin cans, (PETE), high-density polyethylene (HDPE), and other plastics;
and glass manual separation of glass by color, if separated; magnetic
separation of tin cans from commingled mixture of aluminum
and tin cans; magnetic separation may occur before or after the
separation of plastic; baling of plastic (typically two types),
aluminum cans and tin cans, and crushing of glass and
shipping; storage of baled and crushed materials
Yard wastes Manual separation of plastic bags and other contaminants from
commingled yard wastes, grinding of clean yard waste, size
separation of waste that has been ground up, storage of
oversized waste for shipment to biomass facility, and
composting of undersized material
Manual separation of plastic bags and other contaminants from
commingled yard wastes followed by grinding and size
separation to produce landscape mulch; storage of mulch and
composting of undersized materials
Grinding of yard wasted to produce biomass fuel; storage of
ground material
(continues)
220 SOLID WASTE MANAGEMENT

TABLE 3.12 (continued )

Materials Function/Operation

MRFs for Commingled Solid Waste

Recovery of Bulky items, cardboard, paper, plastics (PETE, HDPE, and other
recyclable mixed plastic), glass (clear and mixed), aluminum cans, tin
materials to cans, other ferrous materials
meet mandated
first-stage
diversion goals
Recovery of Bulky items, cardboard, paper, plastics (PETE, HDPE, and other
recyclable mixed plastic), glass (clear and mixed), aluminum cans, tin
materials and cans, other ferrous materials; additional separation of
further source-separated materials, including paper, cardboard, plastic
processing of (PETE, HDPE, other), glass (clear and mixed), aluminum cans,
source-separated tin cans
materials to
meet
second-stage
diversion goals
Preparation of Bulky items, cardboard (depending on market value), glass (clear
MSW for use as and mixed), aluminum cans, tin cans, other ferrous materials
fuel for
combustion
Preparation of Bulky items, cardboard (depending on market value), plastics
MSW for use as (PETE, HDPE, and other mixed plastic), glass (clear and
feedstock for mixed), aluminum cans, tin cans, other ferrous materials
composting
Selective recovery Bulky items, office paper, old telephone books, aluminum cans,
of recyclable PETE and HDPE, and ferrous materials; other materials,
materials depending on local markets
Source: Adapted from H. Leverenz, G. Tchobanoglous, and D. B. Spencer, “Recycling,” in
G. Tchobanoglous and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill, New York,
2002, Chapter 8.

Methods and Equipment for the Separation and Recovery of Materials

Methods and processes used singly and in various combinations to recover and
prepare wastes for reuse and/or disposal are summarized in Table 3.14. Of the
methods reported in Table 3.14, manual sorting is by far the most commonly
used method for processing waste materials (see Figure 3.16). It is interesting to
note that no machine has been developed to date that can match the eye–hand
coordination of humans. The particulate grouping of unit processes and operations
will depend on the characteristics of the material to be separated.

MRF Process Flow Diagrams Once a decision has been made on how and
what recyclable materials are to be recovered, MRF process flow diagrams must
 WASTE REDUCTION AND MATERIALS RECOVERY 221

TABLE 3.13 Typical Types of Materials Recovery Facilities, Capacity Ranges,

and Major Functions and System Components Based on Degree of Mechanization

System Type Capacity Major System Components

(tons/day)

Materials recovery 5–20 Processing of source-separated materials only;

Low enclosed building, concrete floors, elevated
hand-sorting conveyor, baler (optional),
storage for separated and prepared materials
for one month, support facilities for workers
Intermediate 20–100 Processing of source-separated commingled
materials and mixed paper; enclosed
building, concrete floors, elevated
hand-sorting conveyor, conveyors, baler,
storage for separated and baled materials for
two weeks, support facilities for workers,
buy-back center
High >100 Processing of commingled materials or MSW;
same facilities as intermediate system plus
mechanical bag breakers, magnets,
shredders, screens, and storage for baled
materials for up to two months
Composting Low 5–20 Source-separated yard waste feedstock only;
end system grinding equipment, cleared level ground
with equipment to form and turn windrows,
screening equipment (optional)
High-end system >20 Feedstock derived from source-separated yard
waste or processing of commingled wastes;
facilities include enclosed building with
concrete floors, in vessel composting
reactors; enclosed building for curing of
compost product; equipment for processing
(e.g. screening and bagging); and marketing
compost product
Source: H. Leverenz, G. Tchobanoglous, and D. B. Spencer, “Recycling,” in G. Tchobanoglous and
F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002, Chapter 8.

be developed. In developing MRF process flow diagrams, the following factors

must be considered: (1) identification of the characteristics of the waste materials
to be processed, (2) consideration of the specifications for recovered materials
now and in the future, and (3) the available types of equipment and facilities.
For example, specific waste materials cannot be separated effectively from com-
mingled MSW unless bulky items such as lumber and white goods and large
pieces of cardboard are first removed and the plastic bags in which waste mate-
rials are placed are broken open and the contents exposed. The specifications for
the recovered material will affect the degree of separation to which the waste
222 SOLID WASTE MANAGEMENT

TABLE 3.14 Typical Methods and Equipment Used for Processing and Recovery
of Individual Waste Components from MSW

Processing Options Description

Manual sorting Unit operation in which personnel physically remove items

from the waste stream. Typical examples include
(1) removal of bulky items that would interfere with other
processes and (2) sorting material off an elevated conveyor
into large bins located below the conveyor.
Size reduction Unit operation used for the reduction of both commingled
MSW and recovered materials. Typical applications include
(1) hammermills for shredding commingled MSW, (2) shear
shredders for use with commingled MSW and recycled
materials such as aluminum, tires, and plastics, and (3) tub
grinders used to process yard wastes.
Size separation Unit operation in which materials are separated by size and
shape characteristics, most commonly by the use of screens.
Several types of screens are in common use, including
(1) reciprocating screens for sizing shredded yard wastes,
(2) trommel screens used for preparing commingled MSW
prior to shredding, and (3) disc screens used for removing
glass from shredded MSW.
Magnetic field Unit operations in which ferrous (magnetic) materials are
separation separated from nonmagnetic materials. A typical application
is the separation of ferrous from nonferrous materials
(e.g., tin from aluminum cans).
Densification Densification and compaction are unit operations used to
(compaction) increase the density of recovered materials to reduce
transportation costs and simplify storage. Typical
applications include (1) the use of baling for cardboard,
paper, plastics, and aluminum cans and (2) the use of cubing
and pelletizing for the production of densified RDF.
Materials handling Unit operations used for the transport and storage of MSW and
recovered materials. Typical applications include
(1) conveyors for the transport of MSW and recovered
materials, (2) storage bins for recovered materials, and
(3) rolling stock such as fork lifts, front-end loaders, and
various types of trucks for the movement of MSW and
recovered materials.
Automated sorting Unit operation in which materials are separated by material
characteristics. Typical examples include (1) optical sorting
of glass by color, (2) X-ray detection of polyvinyl chloride
(PVC), and (3) infrared sorting of mixed resins.
Source: G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Management: Engineer-
ing Principles and Management Issues, McGraw-Hill, New York, 1993.
 WASTE REDUCTION AND MATERIALS RECOVERY 223

(a)

(b)

FIGURE 3.16 Typical manual separation of waste components at a materials recovery

facility: (a) separating cardboard, paper, plastic, film plastic, glass, tin cans, and alu-
minum cans from mixed municipal solid waste at a facility with a current capacity of
400 tons/day with room to expand to 1200 ton/day by adding two more sorting lines and
(b) separating contaminants from source separated compostable wastes before preprocess-
ing (size reduction) and placement in piles in long rows (windrows) for composting. (See
Figure 3.20(b).) (Courtesy H. Leverenz.)
224 SOLID WASTE MANAGEMENT

Community
MSW

Collection vehicles

Mixed paper Mixed recyclables

receiving area receiving area Bulk
Skid-steer Feed hopper and storage
loader and inclined conveyor bins
inclined
conveyor Magnetic Ferrous Ferrous
separator storage

HDPE HDPE
storage
Skid-steer
Elevated loader and
manual Aluminum Aluminum in-floor
sorting storage conveyor
line
PET PET
storage

Glass Glass Glass receiving

bin Fork lift bunker
Cardboard Cardboard
Elevated Front-end loader
storage
manual
Shipping
sorting
Cardboard Cardboard
line
storage

Sorted paper
Pass
Cardboard Cardboard through
unloading

Baled
materials Loose materials
Storage Baler
Shipping Fork lift Baler feed conveyor

FIGURE 3.17 Process flow diagram for MRF used to further process source-separated
waste. (Source: H. Leverenz, G. Tchobanoglous, and D. B. Spencer, “Recycling,” in
G. Tchobanoglous and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill,
New York, 2002, Chapter 8.)

material is subjected. Three typical MRF process flow diagrams are presented in
Figures 3.17, 3.18, and 3.19 for source-separated recyclable material, for mixed
paper and cardboard, and commingled solid waste, respectively.11

Technical Considerations in the Planning and Design of MRFs

Technical consideration in the planning and design of MRFs involves three basic
steps: (1) feasibility analysis, (2) preliminary design, and (3) final design. These
planning and design steps are common to all major public works projects such as
landfills or wastewater treatment plants. In some cases, the feasibility analysis has
 COMPOSTING 225

Mixed paper
and cardboard
Collection vehicle
[150]
[0]
Receiving area Bulky items

Front-end loader used to

spread waste for presorting
[150]
[3]
Processing area Contaminates

Front-end loader, floor and

inclined conveyor

[18]
Mixed Mixed paper
paper
storage
[109]
Newsprint Newsprint Manual
storage sorting
line
[20]
Cardboard Cardboard
storage

Contaminates
Baler
Disposal
Fork lift

Indoor storage Material balance

of baled paper quantities in tons/day
Fork lift

Shipping

FIGURE 3.18 Process flow diagram for MRF used to separate mixed paper and card-
board. (Source: H. Leverenz, G. Tchobanoglous, and D. B. Spencer, “Recycling,” in
G. Tchobanoglous and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill,
New York, 2002, Chapter 8.)

already been accomplished as part of the integrated waste management planning

process. These topics are considered further in Table 3.15.11

COMPOSTING

Composting is the controlled decay of organic matter in a warm, moist environ-

ment by the action of bacteria, fungi, and other organisms. The organic matter
226 SOLID WASTE MANAGEMENT

Mixed MSW
Collection vehicle

Receiving area

Front-end loader

Manual removal Bulky items

of materials White goods
Cardboard

Shear
Moisture loss
shredder
Residue to Conveyor
landfill Conveyor
Oversize material
Size cut 1
Screening
Screen Shredding
(Trommel)
Conveyor Size cut 2

Magnetic Magnetic
Ferrous metals
separation separation

Ferrous Air
Residue to landfill
metals classification

Cyclone Dust collection Dust

Mainly Air to
organic fraction atomosphere

FIGURE 3.19 Process flow diagram for MRF used to process commingled waste
for recovery of recyclable materials. (Source: H. Leverenz, G. Tchobanoglous, and D.
B. Spencer, “Recycling,” in G. Tchobanoglous and F. Kreith (Eds.), Solid Waste Hand-
book , 2nd ed., McGraw-Hill, New York, 2002, Chapter 8.)

may be in municipal solid waste, wastewater sludge, septage, agricultural waste,

manure, leaves and other yard waste, or combinations of these materials and
other organic wastes. Composting is becoming an increasingly popular waste
management option as communities look for ways to divert portions of the local
waste stream from landfills. The principal applications of composting are for
(1) yard wastes, (2) the organic fraction of MSW, (3) partially processed commin-
gled MSW, and (4) co-composting the organic fraction of MSW with wastewater
sludge. Because of the importance of composting in meeting mandated waste
diversion goals, the number of composting facilities has increased significantly
over the past 10 years. The uses of compost and constraints to its uses; a
 COMPOSTING 227

TABLE 3.15 Important Technical Considerations in the Planning and Design of

MRFs

Step 1: Feasibility Analysis

Function of MRF The coordination of the MRF with the integrated
waste management plan for the community. A
clear explanation of the role and function of the
MRF in achieving landfill waste diversion, and
recycling goals is a key element.
Conceptual design, including What type of MRF should be built, which materials
types of wastes to be sorted will be processed now and in the future, and
what should be the design capacity of the MRF?
Plan views and renderings of what the final MRF
might look like are often prepared.
Siting While it has been possible to build and operate
MRFs in close proximity to both residential and
industrial developments, extreme care must be
taken in their operation if they are to be
environmentally and aesthetically acceptable.
Ideally, to minimize the impact of the operation
of MRFs, they should be sited in more remote
locations where adequate buffer zones
surrounding the facility can be maintained. In
many communities, MRFs are located at the
landfill site.
Economic analysis Preliminary capital and operating costs are
delineated. Estimates of revenues available to
finance the MRF (sales of recyclables, avoided
tipping fees, subsidies) are evaluated. A
sensitivity analysis must be performed to assess
the effects of fluctuating prices for recyclables
and the impacts of changes in the composition of
the waste.
Ownership and operation Typical ownership and operation options include
public ownership, private ownership, or public
ownership with contract operation.
Procurement What approach is to be used in the design and
construction of the MRF? Several options exist,
including (1) the traditional architect-engineer
and contractor process, (2) the turn-key
contracting process in which design and
construction are performed by a single firm, and
(3) a full-service contract in which a single
contractor designs, builds, and operates the MRF
(continues)
228 SOLID WASTE MANAGEMENT

TABLE 3.15 (continued )

Step 2: Preliminary Design

Process flow diagrams One or more process flow diagrams are developed
to define how recyclable materials are to be
recovered from MSW (e.g., source separation or
separation from commingled MSW). Important
factors that must be considered in the
development of process flow diagrams include
(1) characteristics of the waste materials to be
processed, (2) specifications for recovered
materials now and in the future, and (3) the
available types of equipment and facilities.
Materials recovery rates Prediction of the materials flow to the MRF is
necessary to estimate the effectiveness or
performance of the recycling program. The
performance of a recycling program, the overall
component recovery rate, is generally reported as
a materials recovery rate or recycling rate, which
is the product of three factors: (1) participation
factor, (2) composition factor, and (3) source
recovery factor. Component capture rates for the
recyclable materials most commonly collected in
source separation recycling programs must be
estimated. Composition factors are measured in
waste composition studies.a
Materials balances and loading One of the most critical elements in the design and
rates selection of equipment for MRFs is the
preparation of a materials balance analysis to
determine the quantities of materials that can be
recovered and the appropriate loading rates for
the unit operations and processes used in the
MRF.
Selection of processing Factors that should be considered in evaluating
equipment processing equipment include: capabilities,
reliability, service requirements, efficiency, safety
of operation, health hazard, environment impact,
and economics.
Facility layout and design The overall MRF layout includes (1) sizing of the
unloading areas for commingled MSW and
source-separated materials; (2) sizing of
presorting areas where oversize or undesirable
materials are removed; (3) placement of conveyor
lines, screens, magnets, shredders, and other unit
operations; (4) sizing of storage and out-loading
areas for recovered materials; and (5) sizing and
design of parking areas and traffic flow patterns
in and out of the MRF. Many of these layout
steps are also common to the layout and design
of transfer stations.
(continues)
 COMPOSTING 229

TABLE 3.15 (continued )

Staffing Depends on type of MRF (i.e., degree of

mechanization).
Economic analysis Refine preliminary cost estimate prepared in
feasibility study.
Environmental issues Important environmental issues include groundwater
contamination, dust emissions, noise, vector
impacts, odor emissions, vehicular emissions, and
other environmental emissions.
Health and safety issues Important health and safety issues are related to
worker and public access issues.
Step 3: Final Design
Preparation of final plans and Plans and specifications will be used for bid
specifications estimates and construction.
Preparation of environmental The necessary environmental documents (e.g.,
documents Environmental Impact Report) are prepared.
Preparation of detailed cost A detailed engineer’s cost estimate is made based
estimate on materials take-offs and vendor quotes. The
cost estimate will be used for the evaluation of
contractor bids if the traditional procurement
process is used.
Preparation of procurement A bidding process is used to obtain supplies,
documents equipment, and services related to the
construction, operation, and maintenance of the
facility.
a Typicalcomponent recovery rates may be found in Leverenz et al. (2002).
Source: H. Leverenz, G. Tchobanoglous, and D. B. Spencer, “Recycling,” in G. Tchobanoglous and
F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002, Chapter 8.

description of the compost process; descriptions of some of the more common

composting processes, important design and operational considerations, and the
implementation of the compost process are considered in the following discus-
sion. Additional details on the compost process can be found in Refs. 12–15.

Uses of Compost and Constraints to Its Use

Compost improves soil moisture retention; it is a good soil conditioner but a poor
fertilizer. Compost, depending on the waste source and its composition, may be
used as a soil amendment for agricultural soil and landscaping in municipal
parks, golf courses, gardens, and green belts; sod growing; home gardens; and
nursery and greenhouse use. Compost may also be used as landfill cover, land
reclamation, animal litter, and possibly animal feed. It may also be used as an
additive to fertilizer, as a fuel, or in building materials.
The presence of toxic levels of pesticides, heavy metals, and pathogens should
be determined and evaluated to ensure the levels are compatible with the intended
230 SOLID WASTE MANAGEMENT

TABLE 3.16 Maximum Allowable Metal Concentrations for Class I and II

Compost and Allowable Usage

Parameter Concentration
(ppm dry weight)
Class Ia Class IIb

Mercury 10 10
Cadmium 10 25
Nickel 200 200
Lead 250 1000
Chromium, total 1000 1000
Copper 1000 1000
Zinc 1000 2500
Polychlorinated biphenyls (PCBs) total 1 10
a Must not be used on crops grown for direct human consumption (i.e., crops consumed without

processing to minimize pathogens). Can be used on food chain crops and other agricultural and
horticultural uses. Must not exceed 10 mm (0.39 in.) particle size.
b Must be restricted to use on nonfood chain crops. Must not exceed 25 mm (0.98 in.) particle size.

Source: New York State, Municipal Energy Recovery Facilities Handbook , New York State Envi-
ronmental Facilities Corporation, Albany, 1988.

use of the compost. A typical listing of permissible metal concentrations in com-

post is presented in Table 3.16. For pathogen reduction purposes, the temperature
of the mixture must be maintained at or above 131 ◦ F (55 ◦ C) for at least three
consecutive days.
The total composting time, including curing, is determined by the material,
process used, and exposure to the elements. Two weeks to as much as 18 months
may be required for complete stabilization and curing of the compost. Thus, a
plant location distant from habitation is recommended, as odors may become a
problem. Also, because the demand for compost may be seasonal, provision must
be made for compost storage.

Composting Process
Composting involves the biological decomposition of organic materials (sub-
strates) under controlled conditions that allow for the development of an end
product that is biologically stable and free of viable pathogens and plant seeds
and can be applied to land beneficially. The key concepts and objectives contained
in the definition of compost are as follows:

• Composting is a biological process (e.g., aerobic anaerobic).

• Composting results in the production of a biologically stable end product.
• The end products free of viable pathogens.
• The end product is free of viable plant seeds.
• The end product can be applied to land beneficially.
 COMPOSTING 231

(a)

(b)

FIGURE 3.20 Overview of windrow composting operation: (a) preparation (size reduc-
tion) of yard waste for composting and (b) processed waste placed in windrows to undergo
the composting process (see also Figure 3.21).

To meet the above objectives, the composting process, as illustrated in

Figure 3.20, usually involves the following three basic steps:

1. Preprocessing (e.g., size reduction, seeding, nutrient addition, and addition

of bulking agent)
2. Decomposition and stabilization of organic material (two-stage process
comprised of a first-stage high-rate phase followed by second-stage curing
phase)
232 SOLID WASTE MANAGEMENT

3. Postprocessing (e.g., grinding, screening, bagging, and marketing of com-

post product)

Composting of mixed solid waste should be preceded by a separation and

recycling program, including glass, plastic, and metal separation; then usually
shredding or grinding; and a program for the periodic collection of household
hazardous waste. Industrial and other hazardous waste must be excluded.
The two-stage decomposition and stabilization of organic solid waste to a
compost process can be described by the following reaction:

Proteins 


Amino acids 



Lipids  + O + Nutrients + Bacteria → Compost
2
Carbohydrates

 + Newcells + CO2 + H2 O + NO− −2
3 + SO4 + Heat
Cellulose 



Lignin 

Ash
(Principal components (Principally
comprising the organic cellulose,
fraction of MSW) lignin, and ash)

As shown by this reaction, essentially all of the organic matter with the excep-
tion of cellulose and lignin are converted during the compost process. It should be
noted that, in time, both the cellulose and lignin will undergo further biological
decomposition, primarily through the action of fungi and actinomycetes.
Postprocessing will typically include screening and nutrient and other amend-
ment additions, depending on the application. Many municipalities make the
compost available to the residents for a nominal price.

Composting Technologies
The three composting methods used most commonly in the United States are
(1) windrow, (2) aerated static pile, and (3) in-vessel methods. It should be noted
that over the past 100 years more than 50 individual compost processes have
been developed. The more important of these processes based on function and/or
the type of reactor used for the process are summarized in Table 3.17. Some of
the processes are described next.
Although many process variations are in use, odor control is a major concern
in all processes. Aeration and controlled enclosed processing facilities can be
used to minimize the problem. Provision must also be made for vector control,
leachate collection, and the prevention of groundwater and surfacewater pollution.
The stabilized and cured compost may be ground but is usually screened before
sale. Storage space is required.
 COMPOSTING 233

TABLE 3.17 Municipal Composting Systems Grouped by Function or Reactor

Configuration

Function or Configuration Commercial Process

Heaps and windrows, natural aeration, batch operation Indore/Bangalore

Artsiely
Baden-Baden (hazemag) Buhler
Disposals Associates
Dorr-Oliver
Spohn
Tollemache
Vuilafvoer Maatschappij
(VAM)
Cells with natural or forced aeration, batch operation Beccari
Biotank (Degremont)
Boggiano-Pico
Kirkconnel (Dumfriesshire)
Metro-Waste
Prat (Sofranie)
Spohn
Verdier
Westinghouse/Naturizer
Horizontal rotating and inclined drums, continuous Dano Biostabilizer
operation
Dun Fix
Fermascreen (batch)
Head Wrightson
Vickers Seerdrum
Vertical flow reactors, continuous operation, agitated Earp-Thomas
bed, natural or forced aeration
Fairfield-Hardy
Frazer-Eweson
Jersey (John Thompson)
Multibacto
Nusoil
Snell
Triga
Agitated bed Fairfield-Hardy
Source: G. Tchobanoglous, and F. Kreith, Solid Waste Handbook , 2nd ed., McGraw-Hill, New York,
2002.

Windrow Composting In the windrow process, after processing the material

to be composted is placed in long windrows (see Figure 3.20). The windrows are
3 to 6 feet high (1–2 m) and 6 to 15 feet wide (2–5 m) at the base. The windrow
process is conducted normally in uncovered pads and relies on natural ventilation
234 SOLID WASTE MANAGEMENT

with frequent mechanical mixing of the piles to maintain aerobic conditions. The
windrow process can be accelerated if the compost is turned over every four or
five days, until the temperature drops from about 150 ◦ or 140 ◦ F (66 ◦ or 60 ◦ C) to
about 100 ◦ F (38 ◦ C) or less. Under typical operating conditions, the windrows are
turned every other day. The turning is accomplished with specialized equipment
(see Figure 3.21) and serves to aerate the pile and allow moisture to escape. To
meet the EPA pathogen reduction requirements, the windrows have to be turned
five times in 15 days, maintaining a temperature of 55 ◦ C. The complete compost
process may require two to six months.
Because anaerobic conditions can develop within the windrow between turn-
ings, putrescible compounds can be formed that can cause offensive odors,
especially when the windrows are turned. In many locations, negative aeration
is provided to limit the formation of odorous compounds. Where air is provided
mechanically, the process is known as aerated windrow composting.12 Odors
will result if the compost is not kept aerobic. It may be necessary to enclose the
operation and provide fans and collectors of the odorous air, forcing it through
a scrubber or other treatment device for discharge up a stack to the atmosphere.

Aerated Static Pile Composting In the aerated static pile process, the mate-
rial to be composted is placed in a pile and oxygen is provided by mechanical
aeration systems. Most states require paved surfaces for the pile construction areas
to permit capture and control runoff and allow operation during wet weather. The
most common aeration system involves the use of a grid of subsurface piping
(see Figure 3.22). Aeration piping often consists of flexible plastic drainage tub-
ing assembled on the composting pad. Because the drainage-type aeration piping

FIGURE 3.21 View of machine used to aerate compost placed in windrows (Courtesy
H. Leverenz.)
 COMPOSTING 235

Air

Screened
or unscreened
compost cover
Processed
solid waste Low point for
condensate drainage
Bulking Perforated
agent base pipe
Air
Nonperforated pipe Exhaust
fan
Filter pile screened compost

FIGURE 3.22 Schematic of static aerated compost pile.

is inexpensive, it is often used only once. Before constructing the static pile, a
layer of wood chips is placed over the aeration pipes or grid to provide uniform
air distribution. The static pile is then built up to 8 to 12 feet (2.6–3.9 m) using
a front-end loader. A cover layer of screened or unscreened compost is placed
over the sludge to be composted. Typically, oxygen is provided by pulling air
through the pile with an exhaust fan. Air that has passed through the compost
pile is vented to the atmosphere though a compost filter for odor control.

In-Vessel Composting Systems In-vessel composting is accomplished

inside an enclosed container or vessel. Every imaginable type of vessel has
been used as a reactor in these systems, including vertical towers, horizontal
rectangular and circular tanks, and circular rotating tanks. In-vessel composting
systems can be divided into two major categories: plug flow and dynamic
(agitated bed). In plug flow systems, the relationship between particles in the
composting mass stays the same throughout the process, and the system operates
on the basis of a first-in, first-out principle. In a dynamic system, the composting
material is mixed mechanically during the processing.
Mechanical systems are designed to minimize odors and process time by
controlling environmental conditions such as air flow, temperature, and oxygen
concentration. The popularity of in-vessel composting systems has increased in
recent years. Reasons cited for this increased use are process and odor control,
faster throughput, lower labor costs, and smaller area requirements. The detention
236 SOLID WASTE MANAGEMENT

time for in-vessel systems varies from 1 to 2 weeks, but virtually all systems
employ a 4- to 12-week curing period after the active composting period.

Other Composting Technologies Naturizer composting uses sorting, grind-

ing and mixing, primary and secondary composting including three grinding
operations, aeration, and screening. Digested wastewater sludge, raw-wastewater
sludge, water, or segregated wet garbage is added at the first grinding for dust
and moisture control. The total operation takes place in one building in about six
days.
The Dano composting (stabilizer) plant consists of sorting, crushing, biosta-
bilization three to five days in a revolving drum to which air and moisture are
added, grinding, air separation of nonorganics, and final composting in open
windrows. Temperatures of 140 ◦ F (60 ◦ C) are reached in the drum. Composting
can be completed in 14 days by turning the windrows after the fourth, eighth,
and twelfth days. Longer periods are required if the windrows are not kept small,
turned, and mixed frequently and if grinding is not thorough. In a more recent
version, the drum treatment is for 8 hours followed by screening, final compost-
ing in covered aerated piles for about three weeks, and then three weeks of aging
in static piles.
The Fairfield –Hardy process handles garbage and trash and wastewater
sludge. The steps in the process are (1) sorting—manual and mechanical to
separate salvageable materials; (2) coarse shredding; (3) pulping; (4) wastewater
sludge addition, if desired; (5) dewatering to about 50 percent moisture;
(6) three-to five-day digestion with mixing and forced air aeration, temperature
ranges from 140 ◦ to 170 ◦ F (60 ◦ –76 ◦ C); (7) air curing in covered windrows;
and (8) pelletizing, drying, and bagging. Compost from the digester is reported
to have heat values of 4,000 Btu/lb and, when pelletized and dried, 6,450 Btu/lb.
The Bangalore process is used primarily in India. Layers of unshredded solid
waste and night soil are placed in a shallow trench; the top is covered with soil.
The duration of the treatment is 120 to 150 days.

Compost Process Design and Operational Considerations

The principal design considerations associated with the aerobic biological decom-
position of prepared solid wastes are presented in Table 3.18. It can be concluded
from this table that the preparation of a composting process is not a simple task,
especially if optimum results are to be achieved. For this reason, most of the com-
mercial composting operations that have been developed are highly mechanized
and are carried out in specially designed facilities. Because of their importance,
pathogen and odor control are considered further below. Additional details on
the design and operation of compost processes may be found in Refs. 13 and 16.

Pathogen Control Pathogenic organisms and weed seeds exposed to the

higher temperatures for the times indicated in Table 3.19 will be destroyed.
However, because of the nature of solid waste, the processes used, and the
 COMPOSTING 237

TABLE 3.18 Important Design Considerations for Aerobic Composting Process

Item Comment

Particle size For optimum results, the size of solid wastes should be between
25 and 75 mm (1 and 3 in).
Carbon to nitrogen Initial C/N ratios (by mass) between 25 and 50 are optimum for
(C/N) ratio aerobic composting. At lower ratios ammonia is given off.
Biological activity is also impeded at lower ratios. At higher
ratios, nitrogen may be a limiting nutrient.
Blending and Composting time can be reduced by seeding with partially
seeding decomposed solid wastes to the extent of about 1–5% by
weight. Wastewater sludge can also be added to prepared solid
wastes. Where sludge is added, the final moisture content is the
controlling variable.
Moisture content Moisture content should be in the range between 50 and 60%
during the composting process. The optimum value appears to
be about 55%.
Mixing/turning To prevent drying, caking, and air channeling, material in the
process of being composted should be mixed or turned on a
regular schedule or as required. Frequency of mixing or turning
will depend on the type of composting operation.
Temperature For best results, temperature should be maintained between 122 ◦
and 131 ◦ F (50 ◦ and 55 ◦ C) for the first few days and between
131 ◦ and 140 ◦ F (55 ◦ and 60 ◦ C) for the remainder of the
active composting period. If temperature goes beyond 151 ◦ F
(66 ◦ C), biological activity is reduced significantly.
Control of pathogen If properly conducted, it is possible to kill all the pathogens,
weeds, and seeds during the composting process. To do this, the
temperature must be maintained between 140 ◦ and 158 ◦ F (60 ◦
and 70 ◦ C) for 24 hours.
Air requirements The theoretical quantity of oxygen required can be estimated
using the stiochiometrc equation for the conversion of organic
matter. Air with at least 50% of the initial oxygen concentration
remaining should reach all parts of the composting material for
optimum results, especially in mechanical systems.
pH control To achieve an optimum aerobic decomposition, pH should remain
at 7–7.5 range. To minimize the loss of nitrogen in the form of
ammonia gas, pH should not rise above about 8.5.
Degree of The degree of decomposition can be estimated by measuring the
decomposition reduction in the organic matter present using the chemical
oxygen demand (COD) test. Another measurement that has
been used to determine the degree of decomposition is the use
of respiratory quotient (RQ)
Land requirement The land requirements for a plant with a capacity of 50 tons/day
will be 1.5–2.0 acres. The land area required for larger plant
will be less.
Note: 1.8 × ◦ C + 32 = ◦ F.
Source: G. Tchobanoglous, and F. Kreith, Solid Waste Handbook , 2nd ed., McGraw-Hill, New York,
2002; and U.S. EPA, Composting of Municipal Solid Wastes in the United States, EPA, Washington,
DC, 1971.
238 SOLID WASTE MANAGEMENT

TABLE 3.19 Temperature and Time of Exposure Required for Destruction of

Some Common Pathogens and Parasites

Organism Observations

Salmonella typhosa No growth beyond 46 ◦ C; death within 30 min. at

55–60 ◦ C and within 20 min. at 60 ◦ C; destroyed in
a short time in compost environment.
Salmonella sp. Death within 1 hr at 55 ◦ C and within 15–20 min. at
60 ◦ C.
Shigella sp. Death within 1 hr at 55 ◦ C.
Escherichia coli Most die within 1 hr at 55 ◦ C and within 15–20 min. at
60 ◦ C.
Entamoeba histolytica cysts Death within a few min. at 45 ◦ C and within a few sec
at 55 ◦ C.
Taenia saginata Death within a few min. at 55 ◦ C.
Trichinella spiralis larvae Quickly killed at 55 ◦ C; instantly killed at 60 ◦ C.
Brucella abortus or Br. suis Death within 3 min. at 62–63 ◦ C and within 1 hr at
55 ◦ C.
Micrococcus pyogenes var. Death within 10 min. at 50 ◦ C.
aureus
Streptococcus pyogenes Death within 10 min. at 54 ◦ C.
Mycobacterium tuberculosis Death within 15–20 minutes at 66 ◦ C or after
var. hominis momentary heating at 67 ◦ C.
Corynebacterium diphteria Death within 45 min. at 55 ◦ C.
Necator americanus Death within 50 min. at 45 ◦ C.
Ascaris lumbricoides eggs Death in less than 1 hr at temperatures over 50 ◦ C.
Note: 1.8 × ( ◦ C) + 32 = ◦ F.
Source: G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Management: Engineer-
ing Principles and Management Issues, McGraw-Hill, New York, 1993.

range in temperature within compost clumps or zones and between the out-
side and inside of a mass of compost, the required lethal temperatures cannot
be ensured. The EPA requires 131 ◦ F (55 ◦ C) for three days to obtain pathogen
destruction before compost land spreading, but this temperature does not kill all
pathogens. The World Health Organization (WHO) recommends that the compost
attain a temperature of at least 140 ◦ F (60 ◦ C). It has been found that salmonella
repopulation is possible in a soil amendment from composted sludge. Microbial
activity is greatest when mean municipal compost temperature is 114 ◦ to 140 ◦ F
(40 ◦ –60 ◦ C), using aeration to control the temperature to achieve the highest
composting rates. Temperatures above 140 ◦ F (60 ◦ C) tend to slow down the
process as many organisms die off at and above this temperature.

Control of Odor The majority of the odor problems in aerobic composting

processes are associated with the development of anaerobic conditions within the
compost pile. In many large-scale aerobic composting systems, it is common to
find pieces of magazines or books, plastics (especially plastic films), or similar
 COMPOSTING 239

materials in the organic material being composted. These materials normally

cannot be decomposed in a relatively short time in a compost pile. Furthermore,
because sufficient oxygen is often not available in the center of such materials,
anaerobic conditions can develop. Under anaerobic conditions, organic acids will
be produced, many of which are extremely odorous. To minimize the potential
odor problems, it is important to reduce the particle size, remove plastics and
other nonbiodegradable materials from the organic material to be composted, or
use source-separated and uncontaminated feedstocks.

Issues in the Implementation of Composting Facilities

The principal issues associated with the use of the compost process are related
to (1) the production of odors, (2) the presence of pathogens, (3) the presence of
heavy metals, and (4) definition of what constitutes an acceptable compost. The
blowing of papers and plastic materials is also a problem in windrow composting.
Unless the questions related to these issues are resolved, composting may not be
a viable technology in the future.

Production of Odors Without proper control of the composting process, the

production of odors can become a problem, especially in windrow composting.
It is fair to say that every existing composting facility has had an odor event
and in some cases numerous events. As a consequence, facility siting, process
design, and biological odor management are of critical importance.

Facility Siting Important issues in siting as related to the production and move-
ment of odors include proper attention to local microclimates as they affect the
dissipation of odors, distance to odor receptors, the use of adequate buffer zones,
and the use of split facilities (use of different locations for composting and
maturation operations).

Proper Process Design and Operation Proper process design and operation
are critical in minimizing the potential for the production of odors. If composting
operations are to be successful, special attention must be devoted to the follow-
ing items: preprocessing, aeration requirements, temperature control, and turning
(mixing) requirements. The facilities used to prepare the waste materials for the
composting process must be capable of mixing any required additives, such as
nutrients, seed (if used), and moisture with the waste material to be composted
completely and effectively. The aeration equipment must be sized to meet peak
oxygen demand requirements with an adequate margin of safety. In the static
pile method of composting, the aeration equipment must also be sized properly
to provide the volume of air required for cooling of the composting material. The
composting facilities must be instrumented adequately to provide for positive and
effective temperature control. The equipment used to turn and mix the compost
to provide oxygen and to control the temperature must be effective in mixing
all portions of the composting mass. Unmixed compost will undergo anaerobic
240 SOLID WASTE MANAGEMENT

decomposition, leading to the production of odors. Because all of these opera-

tions are critical to the operation of an odor-free composting facility, standby
equipment should be available.

Biological Odor Management Because occasional odor events are impos-

sible to eliminate, special attention must be devoted to the factors that may
affect biological production of odors. Causes of odors in composting operations
include low carbon-to-nitrogen (C/N) ratios, poor temperature control, excessive
moisture, and poor mixing For example, in composting operations where the
compost is not turned and the temperature is not controlled, the compost in the
center of the composting pile can become pyrolyzed. When subsequently moved,
the odors released from the pyrolyzed compost have been extremely severe. In
enclosed facilities, odor control facilities such as packed towers, spray towers,
activated-carbon contactors, biological filters, and compost filters have been used
for odor management. In some cases, odor-masking agents and enzymes have
been used for the temporary control of odors.

Public Health Issues If the composting operation is not conducted properly,

the potential exists for pathogenic organisms to survive the composting process.
The absence of pathogenic organisms is critical if the product is to be marketed
for use in applications where the public may be exposed to the compost. Although
pathogen control can be achieved easily with proper operation of the composting
process, not all composting operations are instrumented sufficiently to produce
pathogen-free compost reliably. In general, most pathogenic organisms found
in MSW and other organic material to be composted will be destroyed at the
temperatures and exposure times used in controlled composting operations (typ-
ically 55 ◦ C for 15–20 days). Temperatures required for the control of various
pathogens were given previously in Table 3.19.

Health Hazards
Exposure of workers to dust at a wastewater sludge and other composting site
might cause nasal, ear, and skin infections, burning eyes, skin irritation, and other
symptoms, pointing to the need for worker protection safeguards.
Other concerns are possible leachate contamination of groundwater and sur-
face water, toxic chemicals remaining in the finished compost, insect and rodent
breeding, noise, and survival of pathogens, including molds and other parasite
spores and eggs. Pathogens may be spread by leachate, air, insects, rodents, and
poor housekeeping and personal hygiene. Tests for pathogens, and the toxic level
of chemicals and metals listed in Table 3.16 should be made periodically. Precau-
tions are indicated in view of the potential hazards. Workers should be advised
of the infectious and hazardous materials likely to be present in the solid waste
handled and the personal hygiene precautions to be taken and be provided with
proper equipment, protective gear, and housing. Their health should be monitored.
All solid waste should be inspected before acceptance to ensure that it does not
 COMPOSTING 241

contain hazardous wastes. A dressing room, including lockers, toilet, lavatory,

and shower facilities, is needed. Equipment cabs should have air conditioning,
including dust filters.

Heavy-Metal Toxicity A concern that may affect all composting operations,

but especially those where mechanical shredders are used, involves the possibility
of heavy-metal toxicity.5 When metals in solid wastes are shredded, metal dust
particles are generated. In turn, these metal particles may become attached to the
materials in the light fraction. Ultimately, after composting, these metals would
be applied to the soil. While many of them would have no adverse effects,
metals such as cadmium (because of its toxicity) are of concern. In general, the
heavy-metal content of compost produced from the organic fraction of MSW is
significantly lower than the concentrations found in wastewater treatment plant
sludges. The metal content of source separated-wastes is especially low. The
co-composting of wastewater treatment plant sludges and the organic fraction of
MSW is one way to reduce the metal concentrations in the sludge.

Product Quality Product quality for compost material can be defined in terms
of the nutrient content, organic content, pH, texture, particle size distribution,
moisture content, moisture-holding capacity, presence of foreign matter, concen-
tration of salts, residual odor, degree of stabilization or maturity, presence of
pathogenic organisms, and concentration of heavy metals. Unfortunately, at this
time, there is no agreement on the appropriate values for these parameters. The
lack of agreement on appropriate values for these parameters has been and contin-
ues to be a major impediment to the development of a uniform compost product
from location to location. For compost materials to have wide acceptance, public
health issues must be resolved in a satisfactory manner.

Cost The cost of composting should reflect the total cost of the operation
less the savings effected. The cost of the operation would include the cost of
the site, site preparation, compost concrete or asphalt platform, worker hous-
ing and facilities, utilities, equipment (grinder, bucket loader, and composting
drum and aeration facilities if part of the process), power, separation and recy-
cling preparation, and disposal of noncompostable materials as well as leachate
collection, treatment and disposal, odor control, final screening, bagging, and
maintenance. Savings would include reduced landfill disposal cost, income from
sale of salvaged material, and sale of stabilized compost. Under favorable con-
ditions, the total net cost of composting might be less compared to other meth-
ods. The size of the operation, labor costs, process used, sustained market for
recovered materials, need for an enclosure, and other factors will determine the
net cost.
A comprehensive market analysis should be made in the planning stage. The
cost of an indoor system is much higher than an outdoor system. The operation
of an outdoor system is significantly affected by the ambient temperature and
precipitation. The indoor system makes possible better temperature, leachate,
242 SOLID WASTE MANAGEMENT

odor, and operation control as well as better public relations. Composting is not
a profit-making operation.

SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION

A sanitary landfill is a controlled method of solid waste disposal. The site must
be geologically, hydrologically, and environmentally suitable. It is not an open
dump. The nuisance conditions associated with an open dump, such as smoke,
odor, unsightliness, and insect and rodent and seagull and other bird problems,
are not present in a properly designed, operated, and maintained sanitary landfill.
The principal types of landfills used for the disposal of residual material after
materials recovery are identified in Table 3.20. Although several types of landfills
are identified in Table 3.20, the primary focus of this section is planning, design
and operation, and landfill closure of municipal landfills. Details on the other
types of landfills may be found in Refs. 2,15, and 17.

Sanitary Landfill Planning

Key elements in the planning and implementation of a landfill include (1) legal
requirements, (2) intermunicipal cooperation, (3) social and political factors, and
(4) long-term planning issues. Landfill design considerations are considered in
the section following the description of the types of landfills.

Legal Requirements State environmental protection agency regulations and

local sanitary codes or laws usually build on federal regulatory requirements.
A new solid waste disposal location may not be established until the site,
design, and method of proposed operation, including waste reduction, resource
recovery, and recycling, have been approved by the agency having jurisdiction.
The agency should be authorized to approve a new solid waste disposal area and
require such plans, reports, specifications, and other necessary data to determine
whether the site is suitable and the proposed method of operation feasible.
Intermunicipal planning and operation on a multimunicipal, multicounty, or
multiregional basis should be given very serious consideration before a new
solid waste disposal site is acquired. Larger landfills usually are more efficient
and result in lower unit costs.
The principal federal requirements for municipal solid waste landfills are con-
tained in Subtitle D of the Resource Conservation and Recovery Act (RCRA)
and in EPA Regulations on Criteria for Classification of Solid Waste Disposal
Facilities and Practices (Code of Federal Regulations, Title 40, Parts 257 and
258). The final version of Part 258—Criteria for Municipal Solid Waste Land-
fills (MSWLFs)—was signed on September 11, 1991. The subparts of Part 258
deal with the following areas:

Subpart A General
Subpart B Location restrictions
Subpart C Operating criteria
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 243

TABLE 3.20 Types of Landfills Used in the United Statesa

Classification of Landfill Description

Conventional, municipal A sanitary landfill is a controlled method of solid waste

disposal, following the recovery of materials for
recycling, which complies with the legal federal
requirements for municipal solid waste landfills
contained in Subtitle D of the Resource Conservation
and Recovery Act (RCRA) and in EPA Regulations
on Criteria for Classification of Solid Waste Disposal
Facilities and Practices (Code of Federal Regulations,
Title 40, Parts 257 and 258) Conventional municipal
landfills are discussed in detail in this section.
Municipal bioreactor Three types are identified: aerobic, anaerobic, and
hybrid. Bioreactor landfills are designed to accelerate
the biological stabilization of the organic fraction of
municipal solid waste.
Aerobic Air is injected into the waste mass, using vertical or
horizontal wells, to promote aerobic activity and
accelerate waste stabilization. Leachate, removed from
the bottom layer, is stored, and recirculated into the
landfill in a controlled manner to obtain optimal
moisture levels and, thus, both stimulate and
accelerate the biological activity within the landfill.
Anaerobic Leachate, removed from the bottom layer, is stored, and
recirculated into the landfill in a controlled manner to
obtain optimal moisture levels and, thus, both
stimulate and accelerate the biological activity within
the landfill. Biodegradation occurs anaerobically (in
the absence of oxygen) and produces landfill gases
(carbon dioxide and methane). Landfill gas, primarily
methane, is captured to minimize greenhouse gas
emissions and for the production of energy.
Hybrid (Aerobic/anaerobic) The biodegradation of the waste degradation is
accelerated by employing a sequential
aerobic-anaerobic strategy to degrade organics in the
upper sections of the landfill and to collect gas from
lower sections.
Construction and demolition There are special landfills for the disposal of construction
(C &D) and demolition waste that is not recovered.
Ash monofill There are special landfills for the disposal of ash from
the combustion of municipal solid waste.
Industrial commercial There are special landfills for the disposal of industrial
wastes such as coal ash, paper mill sludges and
similar materials.
a
Adapted in part from G. Tchobanoglous, and F. Kreith, Solid Waste Handbook , 2nd ed.,
McGraw-Hill, New York, 2002; U.S. EPA, Process Design Manual, Municipal Sludge Landfills,
EPA-625/1-78-010, EPA, Washington, DC. 1978; and U.S. EPA, Bioreactors, Office of Solid Waste,
EPA, Washington, DC. 2008, http://www.epa.gov/garbage/landfill/bioreactors.htm.
244 SOLID WASTE MANAGEMENT

FIGURE 3.23 Schematic diagram of configuration of selected engineering features at

MSW landfills.

Subpart D Design criteria

Subpart E Groundwater monitoring and corrective action
Subpart F Closure and postclosure care
Subpart G Financial assurance

In addition, many state environmental protection agencies have parallel regula-

tory programs that deal specifically with their unique geologic and soil conditions
and environmental and public policy issues.

Intermunicipal Cooperation— Advantages County or regional areawide

planning and administration for solid waste collection, treatment, and disposal can
help overcome some of the seemingly insurmountable obstacles to satisfactory
solution of the problem. Some of the advantages of county or regional areawide
solid waste management are the following:

1. It makes possible comprehensive study of the total area generating the solid
wastes and consideration of an areawide solution of common problems
on short-term and long-term bases. A comprehensive study can also help
overcome the mutual distrust that often hampers joint operations among
adjoining municipalities.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 245

2. There is usually no more objection to one large site operation than to a

single town, village, or city operation. Coordinated effort can therefore be
directed at overcoming the objections to one site and operation, rather than
to each of several town, village, and city sites.
3. The unit cost for the disposal of a large volume of solid waste is less.
Duplication of engineering, overhead, equipment, labor, and supervision is
eliminated.
4. Better operation is possible in an areawide service, as adequate funds for
proper supervision, equipment, and maintenance can be more easily pro-
vided.
5. More sites can be considered. Some municipalities would have to resort to
a more costly method because suitable landfill sites may not be available
within the municipality.
6. County or regional financing for solid waste disposal often costs less, as a
lower interest rate can usually be obtained on bonds because of the broader
tax base.
7. A county agency or a joint municipal survey committee, followed by a
county or regional planning agency, and then an operating department,
district, or private contractor, is a good overall approach because it makes
possible careful study of the problem and helps overcome interjurisdictional
resistance.

Social and Political Factors An important aspect of solid waste disposal

site selection, in addition to the factors mentioned below, is the evaluation of
public reaction and education of the public so that understanding and acceptance
are developed. A long-term program of public information is needed. Equally
important are the climate for political cooperation, cost comparison of alternative
solutions, available revenue, aesthetic expectations of the people, organized com-
munity support, and similar factors. Films and slides that explain proper sanitary
landfill operations are available from state and federal agencies and equipment
manufacturers. Sites having good operations can be visited to obtain first-hand
information and show the beneficial uses to which a completed site can be put.

Long-Term Planning and Design Issues Local officials can make their task
easier by planning ahead together on a county or regional basis for 20 to 40 years
in the future and by acquiring adequate sites at least 5 years prior to anticipated
needs and use. The availability of federal and state funds for planning, collection,
recycling, treatment, and disposal of solid waste on an areawide basis such as
a county or region should be explored. The planning will require compliance
with public health, environmental, planning, and zoning requirements, both state
and local; and an engineering analysis of alternative sites. Also required are
population projections, volume and characteristics of all types of solid wastes
to be handled, cost of land and site preparation, expected life of the site, haul
distances from the sources of solid waste to the site, cost of equipment, cost of
246 SOLID WASTE MANAGEMENT

operation, cost of closure and maintenance, and possible use and value of the
finished site.
Consideration must also be given to the climate of the region, including
precipitation and prevailing winds; geology, soils, hydrology, flood levels, and
topography; and the need for liners, leachate collection and treatment [National
Pollutant Discharge Elimination System (NPDES) permit], and methane gas con-
trol. Location and drainage to prevent surfacewater and groundwater pollution,
groundwater monitoring (at least one well up gradient and three wells down gra-
dient), access roads to major highways, location of airports and wetlands, and
availability of suitable cover material are other considerations. Public informa-
tion and involvement should be an integral and continuing part of the planning
process leading to a decision. The reader is referred to Chapter 6 for a discus-
sion of the broad aspects of community and facility planning and environmental
impact analysis.
Once a decision is made, it should be made common knowledge and plans
developed to show how it is proposed to reclaim, improve, and reuse the site
upon completion. Public education should include a series of talks, slides, news
releases, question-and-answer presentations, and inspection of good operations.
To aid in the planning process, Table 3.21 presents some general guidelines for
landfill design, construction, and operation. Artist’s renderings and architectural
models are very helpful in explaining construction methods and final land use.
Landscape architects can make a contribution in converting the sanitary landfill
to a community asset, such as parks, playgrounds with picnic areas, nature trails,
bicycle and jogging paths, and hills with scenic observation sites. Unfilled land
sites or islands could be set aside for permanent buildings.

Sanitary Landfill Methods

There are many methods of operating a sanitary landfill. The most common are
the trench, area, ramp, and valley fill methods, as illustrated in Figure 3.24. These
landfill methods are described as follows. With the regulatory requirements for
constructed liner and leachate collection and removal systems now imposed by
the EPA as set forth in RCRA, a defined operational area and well-designed
operational plan are essential and must be closely followed to ensure an efficient
and environmentally sound operation.

Trench Method The trench method (see Figure 3.24a) is used primarily on
level ground, although it is also suitable for moderately sloping ground. In this
method, trenches are constructed by making a shallow excavation and using the
excavated material to form a ramp above the original ground. Solid waste is
then methodically placed within the excavated area, compacted, and covered at
the end of each day with previously excavated material. Because of the need to
install landfill control measures (e.g., liners), a number of trenches are typically
excavated at one time. Trenches are made 20 to 25 feet wide and at least twice
as wide as any compacting equipment used. The depth of fill is determined by
the established finished grade and depth to groundwater or rock. If trenches can
be made deeper, more efficient use is made of the available land area.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 247

TABLE 3.21 Some General Sanitary Landfill Design, Construction, and

Operation Guidelines
Benchmark —Survey benchmark measured from U.S. Geological Survey benchmark established
on-site and landfill cells referenced to it; a benchmark for each 25 acres of landfill.
Bottom liners —As specified by the regulatory agency and as indicated by the hydrogeological
survey. See Figure 3.27.
Distance from any surface water —Based on soil attenuation, drainage, natural and manmade
barriers, but not less than 100 feet, preferably 200 feet or more.
Equipment —Adequate numbers, type, and sizes; properly maintained and available.
Equipment shelter —Available for routine maintenance and repair.
Flood plains —No solid waste management facility permitted unless provisions made to prevent
hazard.
Gas control —Prevent hazard to health, safety, and property; provide vents, barriers, collection,
monitoring. Gas monitoring is required, also for volatile organic chemical and toxic emissions.
See Figures 3.34 to 3.35.
Leachate — Not to drain or discharge into surface waters, except pursuant to State Pollutant
Discharge Elimination System, and shall not contravene groundwater quality standards. Leachate
collection system maintained.
Limits of fill —No closer than 100 feet from boundary lines of property. Restrictions primarily on
proximity to water supply aquifers, wellhead areas, wetlands, floodplains, and surface waters.
Monitoring wells —Four or more at new or modified facility; at least three located down gradient
for a small site. Regulatory agency may require wells at existing facility. Off-site wells may be
used. Wells must reflect groundwater flow and quality under the landfill site.

• Water monitoring may be required. Safe Drinking Water Act MCLs are used to determine
pollution and evaluate pollution travel.
• Baseline water quality and annual seasonal data are required at a new site and some existing
sites.

Plans and construction —Engineering plans and specifications as required and approved by
regulatory agency. Construction under supervision of project engineer who certifies construction
is in accordance with approved plans and specifications.
Site —A hydrogeological survey of the site and surrounding land, soil borings, permeability, and
groundwater levels. Check with Federal Aviation Administration.
Termination —Prevent contravention of surface water, groundwater, and air-quality standards and
gas migration, odors, vectors, and adverse environmental or health effects. At least 2 feet final
cover, including an impervious barrier and gas-venting layer, along with an upper grass cover
crop; 4% slope to minimize infiltration, prevent ponding and a surface water drainage system.
Vertical separation —five-foot separation between bottom liner and high groundwater. If natural
soil is equivalent to 10 ft of soil with coefficients of permeability less than 5 × 10−6 cm/sec,
separation may be reduced if a doubleliner system is provided; 10-ft vertical separation required
to bedrock.
Access —Permitted when attendant on duty; controlled by fencing, signs, or other means.
Compaction and cover —Solid waste spread in 2 feet or less layers and promptly compacted.
Working face minimal.

• Ten feet of maximum lift height.

• At least 6 in. daily cover at end of each day, or more often.
• At least 12 in. intermediate cover if solid waste not deposited within 30 days.
• Surface water drainage control during operation.
• Final cover when additional lift is not applied within 1 year; when final elevation is reached
and within 90 days; when a landfill is terminated. Capped as required by regulatory agency.
See Figure 3.37.

(continues)
248 SOLID WASTE MANAGEMENT

TABLE 3.21 (continued )

Hazardous wastes —No industrial or commercial solid waste or septage, or other materials
producing hazardous waste, without specific permit authorization. No bulk liquids or 55-gal
drums filled with liquids.
Litter and papers —Confined by fencing or suitable means. Vehicles confining papers and litter to
be admitted.
Maintenance — Cover material and drainage control designed and maintained to prevent ponding
and erosion, and to minimize infiltration, based on a 25-year storm and from a 24-hour, 25-year
storm. Prepare a landscape plan.

• Grass or ground cover established within 4 months and maintained.

• Soil cover integrity, slopes, cover vegetation, drainage, groundwater and gas monitoring, and
structures maintained for a period of 30 years or longer.
• Leachate collection and removal system, inspection manholes, and lift stations maintained
operational as long as necessary.
• Liner leakage monitored and reported to regulatory agency.
• Establish a trust fund, surety bond, insurance, etc., to ensure long-term maintenance.

Noise —Shall not cause excessive sound levels beyond property lines in residential areas. Level 7
a.m.–10 p.m.: rural 60 dBA, suburban 65 dBA, urban 70 dBA. Level 10 p.m.–7 a.m., rural 50
dBA, suburban 55 dBA, urban 60 dBA.
On-site roads —Maintained passable and safe.
Open burning —Prohibited except under permit.
Personnel shelter —Adequately heated and lighted; includes safe drinking water, sanitary toilet and
shower facilities, telephone or radio communications.
Reports —As required in permit.
Safety —Safety hazards minimized.
Salvaging —Controlled, if permitted.
Small loads —Separate facility (convenience station) at the site for use of local residents and small
trucks.
Solid waste disposal —Confined to an area effectively maintained, operated, and controlled. No
industrial, commercial solid waste, no sludge or septage unless specifically approved. Inspection
for hazardous waste required.
Supervision —Operation supervised by a certified operator, including dumping sequence,
compaction, cover, surface drainage.
Vectors, dust, and odors —Controlled to prevent nuisance or hazard to health, safety, or property.
Weigh station —For weight measurement, fees, and waste inspection.
Note: See also applicable federal and state regulations.
Source: J. A. Salvato, Environmental Engineering and Sanitation, 4th ed., Wiley, New York, 1992.

Area or Ramp Method On fairly flat and rolling terrain, area method (see
Figure 3.24b) can be utilized by using the existing natural slope of the land. The
width and length of the fill slope are dependent on the nature of the terrain, the
volume of solid waste delivered daily to the site, and the approximate number
of trucks that will be unloading at the site at one time. Side slopes are 20 to 30
percent; width of fill strips and surface grades are controlled during operation
by means of line poles and grade stakes. The working face should be kept as
small as practical to take advantage of truck compaction, restrict dumpingto a
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 249

FIGURE 3.24 Schematic view of different types of landfills: (a) trench, (b) area;
(c) canyon or ravine. (Source: G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated
Solid Waste Management: Engineering Principles and Management Issues, McGraw-Hill,
New York, 1993.)
250 SOLID WASTE MANAGEMENT

limited area, and avoid scattering of debris. In the area method, cover material
is hauled in from a nearby stockpile or other source. The base of the landfill is
established by the previously determined elevation of bedrock, groundwater, and
bottom liners and leachate collection and removal systems.

Valley or Ravine Area Method In valleys and ravines, the ravine method
(see Figure 3.24c) is usually the best method of operation. The development
of a large ravine landfill site is illustrated in Figure 3.25. In those areas where
the ravine is deep, the solid waste should be placed in “lifts” from the bottom
up with a depth of 8 to 10 feet. Cover material is obtained from the sides of
the ravine. It is not always desirable to extend the first lift the entire length
of the ravine. It may be desirable to construct the first layer for a relatively
short distance from the head of the ravine across its width. The length of this
initial lift should be determined so that a one-year settlement can take place
before the next lift is placed, although this is not essential if operation can be
controlled carefully. Succeeding lifts are constructed by trucking solid waste over
the first lift to the head of the ravine. When the final grade has been reached
(with allowance for settlement), the lower lift can be extended and the process
repeated. The bottom landfill liner and leachate collection and removal system
must be designed carefully to ensure that slope stability of the liner system and
the waste placed is adequately maintained.

FIGURE 3.25 Development of large ravine landfill site. Equipment is compacting sub-
base of landfill in preparation for placement of geomembrane liner.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 251

General Landfill Design Issues

The general planning process described above is followed by specific site selec-
tion and preparation. Site preparation requires that an engineering survey be
made and a map drawn at a scale of not less than 200 feet to the inch with
contours at 2-foot intervals, showing the boundaries of the property; location of
lakes, streams, springs, marine waters, and structures within 1,000 feet; adjoin-
ing ownership; and topography. Also required are soil borings, including in situ
hydraulic conductivity determinations, designs for liners and leachate collection
systems, groundwater levels, up-gradient and down-gradient monitoring wells,
water quality samples, prevailing winds, and drainage plans.

Location The site location directly affects the total solid waste collection and
disposal cost. If the site is remotely situated, the cost of hauling to the site may
become high and the total cost excessive. It has been established that the normal,
economical hauling distance to a solid waste disposal site is 10 to 15 miles,
although this will vary depending on the volume of solid waste, site availability,
and other factors. Actually, a suitable site and the hauling time and route are more
important than the hauling distance. The disposal site may be as far as 40 to 80
miles away if a transfer station is used. Rail haul and barging introduce other
possibilities. The cost of transferring the solid waste per ton is used to compare
solid waste collection and disposal costs and make an economic analysis. Open
excavations left by surface mining operations may be considered for solid waste
disposal as a means of reclaiming land and restoring it to productive use.

Accessibility Another important consideration in site selection is accessibility.

A disposal area should be located near major highways to facilitate use of existing
arterial roads and lessen the hauling time to the site. Highway wheel load and
bridge capacity and underpass and bridge clearances must also be investigated.
It is not good practice to locate a landfill in an area where collection vehicles
must constantly travel through residential streets to reach the site. The disposal
area itself should normally be located at least 500 feet from habitation, although
lesser distances have been successfully used to fill in low areas and improve
land adjacent to residential areas for parks, playgrounds, or other desirable uses.
Where possible, a temporary attractive screen should be erected to conceal the
operation. To allow vehicular traffic to utilize the site throughout the year, it
is necessary to provide good access roads to the site so that trucks can move
freely in and out of the site during all weather conditions and seasons of the
year. Poorly constructed and maintained roads to a site can create conditions that
cause traffic tie-ups and time loss for the collection vehicles.

Land Area (Volume) Required The volume needed for solid waste disposal
is a function of population served, per-capita solid waste contribution, resource
recovery and recycling, density and depth of the solid waste in place, number of
lifts, total amount of earth cover used, and time in use, adjusted for nonhazardous
commercial and industrial wastes. Because of the high startup costs associated
252 SOLID WASTE MANAGEMENT

with a modern landfill, the capacity of a proposed landfill should be sufficient for
a 20- to 40-year period (see Figure 3.25). Further, because the population in an
area will not usually remain constant, it is essential that population projections and
development be taken into account. These factors plus the probable nonhazardous
solid waste contributions by commercial establishments, industry, and agriculture
must be considered in planning for needed land. A density of compacted fill of
800 to 1,000 lb/yd3 is readily achieved with proper operation; 600 lb/yd3 or less
is poor; 1,200 lb/yd3 or more is very good.

Leachate Generation, Control, and Treatment

The best solution to the potential leachate problem is to prevent its development.
Landfill leachate generation cannot in practice be entirely avoided, particularly
during operation, except possibly in some arid climates. A tight soil cap and/or
liner on completion can greatly minimize the possibility; however, a leachate-free
landfill may not be entirely desirable. Leachate control measures for groundwa-
ter and surface-water quality protection must be incorporated in the site design
and monitoring started before operation (see Figure 3.26). A water balance for
the landfill disposal facility should be established to serve as a basis for the
design of leachate control and surface runoff systems, taking into consideration
heavy rainfall, landfill, cap construction, in addition to runoff, infiltration, and
evapotranspiration.
Leachate from existing community sanitary landfills and from industrial waste
storage and disposal sites can be expected to contain organic and inorganic
chemicals characteristic of the contributing community and industrial wastes.
Household hazardous wastes may include small amounts of cleaning solvents,
paints and paint thinners, oils, pesticides, and drugs if not restricted or their sale
prohibited. The EPA and others have reported that hazardous wastes probably
represent less than 0.5 percent of the total waste generated by households. A
knowledge of the industry and its production will provide a starting point in the
selection of parameters to be analyzed in characterizing the leachate from an
existing site.

Leachate Generation The precipitation less runoff, transpiration, and evapo-

ration will determine the amount of infiltration. Infiltration and percolation will,
in the long term, after field capacity has been reached, determine the amount of
leachate, if any, produced, assuming groundwater and lateral flow are excluded.
A major factor is a cover material that is carefully graded, which ideally permits
only limited infiltration and percolation to support vegetative cover and solid
waste decomposition, with optimal runoff but without erosion to prevent signifi-
cant leachate production. The soil cover should have a low permeability with low
swell and shrink tendency upon wetting and drying. Runoff depends on rainfall
intensity and duration, permeability of the cover soil, surface slope (4 percent,
not greater than 30 percent for side slopes), condition of the soil and its moisture
content, and the amount and type of vegetative cover. Evapotranspiration during
the growing season for grasses and grains may be 20 to 50 inches.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 253

FIGURE 3.26 Typical monitoring well diagram. (Source: New York State, 6 NYCRR
Part 360, Solid Waste Management Facilities, New York State Department of Environ-
mental Conservation, Division of Solid Waste, Albany, 1990a.)

Leachate Control It should be noted that if all infiltration is excluded and the
solid waste kept dry, biodegradation by bacteria, fungi, and other organisms will
cease and the solid waste will be preserved in its original state. Bacterial activity
will generally cease when the moisture content drops below 14 to 16 percent.
The maintenance of an optimal amount of moisture in the fill, as in controlled
composting (an aerobic process), is necessary for biodegradation (an anaerobic
process in a landfill), methane production, final stabilization, and possible future
recycling of the solid waste or reuse of the site.
254 SOLID WASTE MANAGEMENT

The objective in the design of landfill liners is to minimize or eliminate the

infiltration of leachate into the subsurface soils below the landfill so as to elimi-
nate the potential for the groundwater contamination. A number of liner designs
have been developed to minimize the movement of leachate into the subsurface
below the landfill. One of the many types of liner designs that have been pro-
posed is illustrated in Figure 3.27. In the multilayer landfill liner design illustrated
in Figure 3.27, each of the various layers has a specific function. For example,
in Figure 3.27, two composite liners are used as a barrier to the movement of
leachate and landfill gas. The drainage layer is to collect any leachate that may be
generated within the landfill. The final soil layer is used to protect the drainage
and barrier layers. The placement of a geomembrane liner in an area-type land-
fill is illustrated in Figure 3.28. A modification of the liner design shown in
Figure 3.27 is shown in Figure 3.29. The liner system shown in Figure 3.29
is for a monofill (e.g., a landfill for a single waste component such as glass).
Composite liner designs employing a geomembrane and clay layer provide more
protection and are hydraulically more effective than either type of liner alone.
If leachate migration is or may become a problem at an old or existing land-
fill, and depending on the local situation and an engineering evaluation, several
options may be considered. These include a cap on the surface consisting of clay
or a liner regraded with topsoil seeded to grass to effectively shed precipitation;

Min 2 % slope
Refuse
Primary LCRS
24″
Synthetic liner Collection network
(60 mil min) Primary
Low permeability composite
soil liner liner
18″
Filter fabric
Secondary LCRS
Synthetic liner
Collection network 12″
(60 mil min)
Secondary
Low permeability composite
soil liner liner
24″

5 feet to Landfill subgrade

ground water 10 feet to
bedrock

LCRS = Leachate collection and removal system

Composite liner = Synthetic liner + Low permeability soil

FIGURE 3.27 Double-bottom composite liner system. (New York State, 6 NYCRR Part
360, Solid Waste Management Facilities, New York State Department of Environmental
Conservation, Division of Solid Waste, Albany, 1990a.)
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 255

FIGURE 3.28 Placement of geomembrane liner in area-type landfill.

cutoff walls or dams keyed into an impermeable stratum to isolate the fill; pres-
sure treatment and sealing of the bottom and sides of the fill; surface-water drains
up-gradient and around the landfill area; curtain drains or wells to intercept and
drain away the contributing groundwater flow, collection and recirculation of
leachate with treatment of any excess, or, in special cases and if warranted, the
material in the landfill can be excavated, treated, recycled, and/or disposed of at
a controlled site. The excavation of an existing landfill may, however, introduce
other problems if hazardous wastes are involved and hence must be carefully
evaluated in advance.

Leachate Recirculation Waste biodegradation and stabilization of the

biodegradable organic matter in a landfill can be accelerated by leachate
256 SOLID WASTE MANAGEMENT

Approved waste*
LCRS
Synthetic liner Collection 24″
(60 mil min) network
Single composite
Low permeability liner system
soil liner 24″

5′ to groundwater
10′ to bedrock

LCRS = Leachate collection and removal system

Composite = Synthetic liner + Low permeability soil

*Based on volume and the physical, chemical, and

biological characteristics of the solid waste.

FIGURE 3.29 Industrial/commercial and ash monofill waste landfill liner configuration.
(New York State, 6 NYCRR Part 360, Solid Waste Management Facilities, New York State
Department of Environmental Conservation, Division of Solid Waste, Albany, 1990a.)

recirculation. Controlled leachate recirculation, including nutrient addition to

maintain optimum moisture and pH, can enhance anaerobic microbial activity,
breakdown organics as shown by reduced total organic carbon (TOC) and
chemical oxygen demand (COD, convert solid waste organics to methane and
carbon dioxide, and precipitate heavy metals. Complete biological stabilization
can be achieved in four to five years. Heating of recirculated leachate to 86 ◦ F
(30 ◦ C) has been found to accelerate the stabilization process.
A landfill designed for leachate recirculation should, as a minimum, incorpo-
rate a conservatively designed liner system and an effectively maintained leachate
collection, removal, and recirculation distribution system, in addition to a gas col-
lection and venting system (see Figure 3.30). A double-liner system with leak
detection monitoring wells would enable the landfill owner and regulatory agency
to monitor the liner system performance. The leachate collection and removal
system should be designed to be accessible for routine maintenance and clean-
ing in view of the potential for biological film clogging. Recirculation would
increase the strength of the recirculated leachate and accelerate fill stabilization.
Establishment of early gradual recirculation and an active anaerobic biomass is
important as each cell is closed. A final site closure utilizing a relatively imper-
meable crowned cap and surface-water drainage system should be implemented
for final site closure.

Leachate Treatment Leachates containing a significant fraction of biologi-

cally refractory high-molecular-weight organic compounds (i.e., those in excess
of 50,000) are best treated by physicochemical methods, such as lime addition fol-
lowed by settling. Leachates containing primarily low-molecular-weight organic
compounds are best treated by biological methods, such as activated sludge.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 257

Landfill gas to
recovery system Leachate
Active bioreactor cell recirculated
to landfill

Working face

Leachate collection Excess

and storage system leachate
to treatment
facility
(a)

(b)

FIGURE 3.30 Bioreactor type landfill with leachate recirculation: (a) schematic diagram
and (b) photograph of a highly instrumented anaerobic landfill bioreactor located at Davis,
California. Photo of bioreactor was taken shortly after landfill was completed, before
significant decomposition had occurred. (Source: O’Leary, P. R., and G. Tchobanoglous,
“Landfilling,” in G. Tchobanoglous and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed.,
McGraw-Hill, New York, 2002, Chapter 14.)

Combinations of these methods may be required to achieve permit requirements

and stream discharge standards. In the final analysis, the treatment required will
depend on the composition of the fill material, leachate volume and characteris-
tics, and the water pollution control standards to be met.
258 SOLID WASTE MANAGEMENT

TABLE 3.22 Typical Constituents in Landfill Gas

Percent
Component (dry volume basis)

Methane 45–60
Carbon dioxide 40–60
Nitrogen 2–5
Oxygen 0.1–1.0
Sulfides, disulfides, mercaptans, etc. 0–1.0
Ammonia 0.1–1.0
Hydrogen 0–0.2
Carbon monoxide 0–0.2
Trace constituents 0.01–0.6
Characteristic Value
◦
Temperature, F 100–120
Specific gravity 1.02–1.06
Moisture content Saturated
High heating value, Btu/sft3a 475–550
a
sft3 = standard cubic foot.
Source: G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Management: Engineer-
ing Principles and Management Issues, McGraw-Hill, New York, 1993.

Landfill Gas Generation, Control, and Recovery and Utilization

Gases found in landfills include ammonia (NH3 ), carbon dioxide (CO2 ), carbon
monoxide (CO), hydrogen (H2 ), hydrogen sulfide (H2 S), methane (CH4 ), nitrogen
(N2 ), and oxygen (O2 ). The typical percentage distribution of the gases found in
the landfill is reported in Table 3.22. As shown in Table 3.22, methane and carbon
dioxide are the principal gases produced from the anaerobic decomposition of
the biodegradable organic waste components in MSW. In addition, a number of
trace gases will also be found in landfill gas. The type and concentration of the
trace gases will depend to a large extent on the past history of the landfill. Issues
related to the generation, control of migration, and utilization of landfill gas are
considered in the following discussion.

Generation of the Principal Landfill Gases The generation of principal

landfill gases is thought to occur in five more or less sequential phases, as illus-
trated in Figure 3.31. Each of these phases is described briefly here. Additional
details may be found in Ref. 15.

Phase I: Initial adjustment. Phase I is the initial adjustment phase, in which

the organic biodegradable components in municipal solid waste begin to
undergo bacterial decomposition soon after they are placed in a landfill. In
phase I, biological decomposition occurs under aerobic conditions because
a certain amount of air is trapped within the landfill.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 259

FIGURE 3.31 Generalized phases in generation of landfill gases (I—initial adjustment,

II—transition phase; III—acid phase; IV—methane fermentation; V—maturation phase)
(Source: G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Management:
Engineering Principles and Management Issues, McGraw-Hill, New York, 1993.)

Phase II: Transition phase. In phase II, identified as the transition phase,
oxygen is depleted and anaerobic conditions begin to develop.
Phase III: Acid phase. In phase III, the bacterial activity initiated in phase II
is accelerated with the production of significant amounts of organic acids
and lesser amounts of hydrogen gas. The first step in the three-step pro-
cess involves the enzyme-mediated transformation (hydrolysis) of higher
molecular mass compounds (e.g., lipids, organic polymers, and proteins)
into compounds suitable for use by microorganisms as a source of energy
and cell carbon. The second step in the process (acidogenesis) involves
the bacterial conversion of the compounds resulting from the first step into
lower molecular weight intermediate compounds, as typified by acetic acid
(CH3 COOH) and small concentrations of fulvic and other more complex
organic acids. Carbon dioxide (CO2 ) is the principal gas generated during
phase III.
260 SOLID WASTE MANAGEMENT

Phase IV: Methane fermentation phase. In phase IV, a second group of

microorganisms that convert the acetic acid and hydrogen gas formed by
the acid formers in the acid phase to methane (CH4 ) and CO2 becomes
more predominant. Because the acids and the hydrogen gas produced by
the acid formers have been converted to CH4 and CO2 in phase IV, the
pH within the landfill will rise to more neutral values in the range of 6.8
to 8.
Phase V: Maturation phase. Phase V occurs after the readily available
biodegradable organic material has been converted to CH4 and CO2 in
phase IV. As moisture continues to migrate through the waste, portions
of the biodegradable material that were previously unavailable will be
converted.
Control of Landfill Gas Migration When methane is present in the air in
concentrations between 5 and 15 percent, it is explosive. Because only limited
amounts of oxygen are present in a landfill when methane concentrations reach
this critical level, there is little danger that the landfill will explode. However,
methane mixtures in the explosive range can be formed if landfill gas migrates
off site and is mixed with air. The lateral migration of methane and other gases
can be controlled by impermeable cutoff walls or barriers (see Figure 3.32) or
by the provision of a ventilation system such as gravel-filled trenches around the
perimeter of the landfill (see Figure 3.33). Gravel-packed perforated pipe wells or
collectors may also be used to collect and diffuse the gas to the atmosphere, if not
recovered. To be effective, the system must be carefully designed, constructed,
and maintained.
Cutoff walls or barriers should extend from the ground surface down to a
gas-impermeable layer such as clay, rock, or groundwater. Clay soils must be
water saturated to be effective. Perforated pipes have been shown to be of lim-
ited effectiveness and are not recommended for the reduction of gas pressure
when used alone. Gravel-filled trenches may permit migration of gases across
the trench, especially when covered by snow or ice; vertical perforated pipes
reduce somewhat the effect of snow or ice. Gravel-filled trenches require removal
of leachate or water from the trench bottom and are susceptible to plugging
by biomass buildup. Gravel-filled trenches in combination with an imperme-
able barrier provide good protection against gas migration when keyed to a
gas-impermeable strata below the landfill. Induced exhaust wells or trenches with
perforated pipes and pump or blower are reported to be very effective. Where
enclosed structures are constructed over or in close proximity to a landfill, it is
necessary to have these places continuously monitored. A combustible gas detec-
tion system to provide early warning (light and alarm) can alert personnel. The
monitors comprising the detection system can also activate ventilation fans at
present low methane levels. Soil and cement bentonite trenches or cutoff walls
have also been used to prevent lateral gas migration.

Methane Recovery and Utilization Methane is produced in a landfill

when anaerobic methane-producing bacteria are active. The condition shown
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 261

Plan view

FIGURE 3.32 Typical passive gas control synthetic membrane.

in Figure 3.31 may be reached in six months to five years depending on

the landfill. Acidic conditions inhibit growth of methane-producing bacteria;
alkaline conditions have the opposite effect. Methane production is quite variable
depending on the amount and type of decomposable material in the landfill,
moisture content, temperature, and resulting rate of microbial decomposition
under anaerobic conditions.
Methane is odorless, has a heat value of about 500 Btu/ft3 compared to
1000 Btu for commercial gas, has a specific gravity less than air, and is nearly
insoluble in water. The gases from landfills, after anaerobic conditions have been
established, are quite variable, ranging from 50 to 60 percent methane and 40
262 SOLID WASTE MANAGEMENT

FIGURE 3.33 Passive gas control using permeable trench. (Source: SCS Engineers,
Inc., Procedural Guidance Manual for Sanitary Landfills: Volume I Landfill Leachate Mon-
itoring and Control Systems and Volume II Landfill Gas Monitoring and Control Systems,
California Waste Management Board, Sacramento, CA, April, 1989.)

to 50 percent carbon dioxide. Included are small amounts of nitrogen, oxygen,

water, mercaptans (very odorous), and hydrocarbons. Hydrogen sulfide may also
be released if large amounts of sulfates are in the landfill. Vinyl chloride, ben-
zene, and other toxics in trace amounts may also be produced by the action of
bacteria on chlorinated solvents deposited in the fill. The presence of oxygen and
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 263

nitrogen with methane gas would indicate the entrance of air into the landfill due
to methane being withdrawn too rapidly. If methane extraction is not controlled
to reduce or eliminate the entrance of oxygen and nitrogen, the production of
methane will slow down or stop.
In the early stages the landfill gases are primarily carbon dioxide, with some
methane. The carbon dioxide is heavier than air and can dissolve in water to
form carbonic acid, which is corrosive to minerals with which it comes into
contact. Mercaptans, carbon dioxide, and water are usually extracted to upgrade
the methane to pipeline quality. Removal of carbon dioxide may improve Btu
content to 900 or 1,000 Btu/ft3 . Methane as it comes from a landfill is often very
corrosive. Deep landfills, 30 feet or deeper, and 30 acres or more in area with a
good cover are better methane producers. Actually, gas will be generated as long
as biodegradable material remains and is primarily dependent on precipitation,
infiltration, and moisture content. Gas can be extracted using plastic tube wells
in each cell with perforations or well screens toward the bottom connected to
a controlled vacuum pump (see Figure 3.34) or a series of covered horizontal
gravel trenches connected to a pipe collection system (see Figure 3.35). The
extracted gas may be used for heating and generating electricity.

Management of Surface Waters

The runoff from the drainage area tributary to the solid waste disposal site must
be determined by hydraulic analysis to ensure that the surface-water drainage
system, such as ditches, dikes, berms, or culverts, is properly designed and that
flows are diverted to prevent flooding, erosion, infiltration, and surface-water and
groundwater pollution, both during operation and on completion. The design basis
should be the maximum 25-year, 24-hour precipitation. The topography and soil
cover should be examined carefully to ensure that there will be no obstruction
of natural drainage channels. Obstructions could create flooding conditions and
excessive infiltration during heavy rains and snow melt. Uncontrolled flooding
conditions can also erode the cover material.
A completed landfill for residential solid waste that is properly capped should,
ideally, not present any serious hazard of groundwater pollution, provided surface
water (and groundwater) and most of the precipitation are drained, transpired,
and evaporated off the landfill and the landfill site. Two different types of land-
fill covers are presented in Figures 5.36 and 5.37. The major source of water
for leachate production would then be precipitation–infiltration during operation,
before the final cap is put in place. Precipitation–infiltration can be minimized
by the temporary use of impervious geo-membrane sheets over the completed
landfill. A small amount of infiltration is desirable to support biological decom-
position of the solid waste, as already noted. It becomes essential, therefore, that
the solid waste working face be kept at a minimum, that the final cover be placed
and graded promptly, and that a surface-water drainage system be installed as
soon as possible.

Cover Material The site should preferably provide adequate and suitable cover
material. The most suitable soil for cover material is one that is easily worked and
264 SOLID WASTE MANAGEMENT

Plan view

Gas collection
header

FIGURE 3.34 Typical gas extraction system. (Source: U.S. EPA, Handbook Reme-
dial Action at Waste Disposal Sites, EPA/625/6-85/006, Hazardous Waste Engineering
Research Laboratory, Office of Research and Development, EPA, Cincinnati, OH, 1985.)

yet minimizes infiltration; however, this is not always available. It is good practice
to stockpile topsoil for final cover and other soil for cold-weather operation and
access road maintenance. Shredded (milled) solid waste in a landfill does not
cause odors, rodent or insect breeding, or unsightliness, and it may not require
daily earth cover. However, precipitation will be readily absorbed and leachate
produced unless the waste is covered with a low-permeability soil that is well
graded to shed water.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 265

FIGURE 3.35 Typical gas extraction well. (Source: U.S. EPA, Handbook Reme-
dial Action at Waste Disposal Sites, EPA/625/6-85/006, Hazardous Waste Engineering
Research Laboratory, Office of Research and Development, EPA, Cincinnati, OH, 1985.)

The control of leachate and methane and the role played by the final earth
cover, including the importance of proper grading of the landfill final cover
(4 percent slope) to minimize infiltration, promote runoff, and prevent erosion,
have been previously discussed. A final cover to minimize infiltration of precip-
itation, support vegetation, and encourage evapotranspiration is recommended.
The vegetation, such as seeded grass (hydroseeded for rapid cover), will prevent
266 SOLID WASTE MANAGEMENT

FIGURE 3.36 Typicalmultiplayer landfill cap. Minimum of 4 percent surface slope

is usually preferred (Source: U.S. EPA, Handbook Remedial Action at Waste Disposal
Sites, EPA/625/6-85/006, Hazardous Waste Engineering Research Laboratory, Office of
Research and Development, EPA, Cincinnati, OH, 1985.)

wind and water erosion and contribute to transpiration and evaporation. The final
slope should be maintained at 1:30. A tight cover or membrane cap requires
provision for effective gas collection and release.

Landfill Vegetation Four feet or more earth cover is recommended if the area
is to be landscaped, but the amount of cover depends on the plants to be grown.
Native grasses may require 2 feet of topsoil, and large trees with deep tap roots
may require 8 to 12 feet. The carbon dioxide and methane gases generated in a
landfill may interfere with vegetation root growth, if not prevented or adequately
diffused. The gases can be collected and disposed of through specially designed
sand or gravel trenches or a porous pipe gas-venting system. Oxygen penetration
to the roots is necessary. Carbon dioxide as low or lower than 10 percent in
the root zone can be toxic to roots; methane-utilizing bacteria deplete the oxy-
gen. Precautions to help maintain a healthy vegetation cover include selecting
a tolerant species and seeking professional advice, avoiding areas of high gas
concentrations, excluding gas from root zone (use built-up mounds for planting
or line with membrane or clay soil barrier and vent trench and plant in suit-
able backfill soil), avoiding heavily compacted soil (loosen first if necessary and
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 267

K = Co

FIGURE 3.37 Final cover with passive gas vent. (Source: New York State, Municipal
Energy Recovery Facilities Handbook , New York State Environmental Facilities Corpo-
ration, Albany, 1988.)

supplement soil fertility and improve its physical condition following good nurs-
ery practice), using smaller plant stock, and providing adequate irrigation (see
Figure 3.38).

Landfill Mining
The excavation and recycling of a landfill waste appears to be feasible where
there has been adequate moisture to permit decomposition and stabilization of
the waste. On the one hand, in locations where rainfall averages 60 inches/year
or more, a portion of the decomposed waste is generally suitable for recycling or
for use as cover material for a new landfill at the same location excavated. On
the other hand, in arid regions where the rainfall averages 10 to 20 inches/year or
less, the waste placed in landfills is often well preserved after more than 20 years.
Other factors such as landfill design, type of cover material, waste composition,
and age of the landfill must be evaluated and regulatory approval obtained.
268 SOLID WASTE MANAGEMENT

FIGURE 3.38 Completed landfill with irrigation system.

A thorough hydrogeological investigation of an old landfill site is necessary

before considering its excavation (mining), recycling, and possible reuse. The
up-gradient and down-gradient groundwater levels and quality, the depth and
type of soil beneath the fill, the thickness of the fill and its composition, includ-
ing the possible presence of hazardous wastes, are among the conditions to be
investigated. Numerous tests are necessary as landfill waste is not homogeneous.
If reuse of the excavated site as a municipal landfill site is proposed, preliminary
discussions with the regulatory agency are essential.

Landfill Facilities and Equipment for Disposal by Sanitary Landfill

In addition to the control of leachate and landfill gases, a number of other facil-
ities and operating equipment are required for the effective implementation of a
sanitary landfill. Personnel requirements are discussed in the following section.

Fire Protection The availability of fire protection facilities at a site should

also be considered as fire may break out at the site without warning. Protective
measures may be a fire hydrant near the site with portable pipe or fire hose, a
watercourse from which water can be readily pumped, a tank truck, or an earth
stockpile. The best way to control deep fires is to separate the burning solid
waste and dig a firebreak around the burning solid waste using a bulldozer. The
solid waste is then spread out so it can be thoroughly wetted down or smothered
with earth. Limiting the solid waste cells to about 200 tons, with a depth of
8 feet and 2 feet of compacted earth between cells (cells 20 × 85 feet assuming
1 yd3 of compacted solid waste weighs 800 lb), will minimize the spread of
underground fires. The daily 6-inch cover will also minimize the start and spread
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 269

of underground fires. Fires are a rare occurrence at a properly compacted and

operated sanitary landfill.

Weigh Station It is desirable to construct a weigh station at the entrance to the

site. Vehicles can be weighed upon entering and, if necessary, billed for use of
the site. Scales are required to determine tonnage received, unit operation costs,
relation of weight of solid waste to volume of in-place solid waste, area work
loads, personnel, collection rates, organization of collection crews, and need for
redirection of collection practices. However, the cost involved in construction of
a weigh station cannot be always justified for a small sanitary landfill handling
less than 20 to 50 tons/day. Nevertheless, estimates of volume and/or weights
received should be made and records kept on a daily or weekly basis to help
evaluate collection schedules, site capacity, usage, and so on. At the very least,
an annual evaluation is essential.

Equipment Requirements To attain proper site development and ensure

proper utilization of the land area, it is necessary to have sufficient proper
equipment available at all times at the site (see Figure 3.39). One piece of
solid waste compaction and earth-moving equipment is needed for approximately
each 80 loads per day received at the solid waste site. The type of equipment
should be suitable for the method of operation and the prevailing soil conditions.
Additional standby equipment should be available for emergencies, breakdowns,
and equipment maintenance. Typical equipment requirements are summarized in
Table 3.23.

Excavating, Spreading, and Compaction Equipment The type of

equipment used at landfills for the spreading and compaction of the material
to be landfilled include the crawler, rubber-tired, and steel-wheeled types
equipped with bulldozer blade, bullclam, or front-end loader. The crawler tractor
with a front-end bucket attachment is an all-purpose piece of equipment (see
Figure 3.40). It may be used to excavate trenches, place and compact solid
waste, transport cover material, and level and compact the completed portion of
the landfill. Some types can also be used to load cover material into trucks for
transportation and deposition near the open face. The steel-wheeled compactor
is a common piece of equipment at landfills.
A bulldozer blade on a crawler tractor is good for landfills where hauling
of cover material is not necessary. It is well suited for the area method landfill
in which cover material is taken from nearby hillsides. It can also be used for
trench method operation where the trench has been dug with some other type of
equipment. A bulldozer is normally used in conjunction with some other type
of earth-moving equipment, such as a scraper, where earth is hauled in from a
nearby source.
The life of a tractor is figured at about 10,000 hours. Contractors usually
depreciate their equipment over a five-year period. On a landfill, if it is
assumed that the equipment would be used 1,000 hours a year, the life of the
270 SOLID WASTE MANAGEMENT

FIGURE 3.39 Typical equipment used for operation of sanitary landfill.

 TABLE 3.23 Typical Minimum Landfill Equipment Requirements

Service Daily Equipment

Population Tonnage Number Type Size (lb) Accessory

0–15,000 0–50 1 Tractor, crawler, or 10,000–30,000 Dozer blade, landfill blade,

rubber-tired front-end loader (1–2 yd3 )
15,000–50,000 50–150 1 Tractor, crawler, or 30,000–60,000 Dozer blade, landfill blade,
rubber-tired front-end loader (2–4 yd)
multipurpose bucket
1 each Scraper or dragline,
water truck
50,000–100,000 150–300 1–2 Tractor, crawler, or 30,000 or more Dozer blade, landfill blade,
rubber-tired front-end loader (2–5 yd),
multipurpose bucket
1 each Scraper or dragline,
water truck
100,000 or more 300 or more 2 or more Tractor, crawler, or 45,000 or more Dozer blade, landfill blade,
rubber-tired front-end loader,
multipurpose bucket
1 each Scraper, dragline,
steel-wheeled
compactor, road
grader, water truck
Source: Adapted from D. R. Brunner, and D. J. Keller, Sanitary Landfill Design and Operation, EPA (SW-65ts), Washington, DC, 1972.

271
272 SOLID WASTE MANAGEMENT

(a)

(b)

FIGURE 3.40 Common types of compaction equipment used at sanitary landfills:

(a) track compactor with with trash blade and (b) wheeled compactor with trash blade.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 273

equipment could be 10 years. After 10 years, operation and maintenance costs can
be expected to approach or exceed the annual cost of new equipment. Lesser life
is also reported. Equipment maintenance and operator competence will largely
determine equipment life.
The size and type of machine needed at the sanitary landfill are dependent
on the amount of solid waste to be handled, availability of cover material, com-
paction to be achieved, and other factors.18 A rule that has been used is that a
community with a population of less than 10,000 requires a 1 1/8-yd3 bucket on
a suitable tractor. Communities with a population between 10,000 and 30,000
should have a 2 1/4-yd3 bucket, and populations of 30,000 to 50,000 should
have at least a 3-yd3 bucket. Larger populations will require a combination of
earth-moving and compaction equipment depending on the site and method of
operation. A heavy tractor (D-8) can handle up to 200 tons of solid waste per
day, although 100 to 200 tons per day per piece of equipment is a better average
operating capacity. Tire fill foam and special tire chains minimize tire puncture
and other damage on rubber-tired equipment.
Many small rural towns have earth-moving equipment that they use for high-
way maintenance and construction. For example, a rubber-tired loader with spe-
cial tires can be used on a landfill that is open two days a week. On the other
three days the landfill can be closed (with fencing and locked gate), and the
earth-moving equipment can be used on regular road construction work and
maintenance. The people and contract users of the site should be informed of
the part-time nature of the operation to receive their full cooperation. The public
officials responsible for the operation should establish a definite schedule for the
assignment of the equipment to the landfill site to ensure the operation is always
under control and maintained as a sanitary landfill.

Other Equipment The dragline is suitable for digging trenches, stockpiling

cover material, and placing cover material over compacted solid waste. An addi-
tional piece of equipment is necessary to spread and compact the solid waste and
cover material. Although not commonly used, the backhoe is suitable for dig-
ging trenches on fairly level ground, and the power shovel is suitable for loading
trucks with cover material.
In large operations, earth movers can be used for the short haul of cover
material to the site when adequate cover is not readily available nearby. Dump
trucks may also be needed where cover material must be hauled in from some
distance. Other useful equipment is a grader, a sheepsfoot roller, and a water
tank truck equipped with a sprinkler to keep down dust or a power sprayer to
wet down the solid waste to obtain better compaction.

Equipment Shelter An equipment shelter at the site will protect equipment

from the weather and possible vandalism. The shelter can also be used to store
fire protection equipment and other needed materials and for routine equipment
maintenance and repair. Operators of sanitary landfills have found a shelter to
be of great value during the winter months since there is much less difficulty
274 SOLID WASTE MANAGEMENT

in starting motorized equipment. However, the shelter location must be on solid

ground, not subject to gas migration from the landfill.

Landfill Operation and Supervision

Operational issues for modern landfills include operational control, personnel and
operation, salvaging policy, area policing, insect and rodent control, maintenance,
and operational policies (see also Table 3.21).

Operation Control The direction of operation of a sanitary landfill should

be with the prevailing wind to prevent the wind from blowing solid waste back
toward the collection vehicle and over the completed portion of the landfill. To
prevent excessive wind scattering of solid waste throughout the area, snow fenc-
ing or some other means of containing papers should be provided. The fencing
can be utilized in the active area and then moved as the operation progresses.
In some instances, the entire area is fenced. Other sites have natural barriers
around the landfill, such as is the case in heavily wooded areas. It is desirable
to design the operation so that the work area is screened from the public line of
sight. Noise levels between 7 a.m. and 10 p.m. are generally required to be kept
below 60 dBA in rural areas, 65 in suburban areas, and 70 in urban areas beyond
property lines.
Large items such as refrigerators, ranges, and other “white goods” and tires
should be recycled. Brush and yard wastes are preferably composted. Other bulky
items not recyclable should be placed in a separate area of the landfill for periodic
burial. Prior compression or shredding of bulky objects will improve compaction
of the fill, reduce land volume requirements, and allow more uniform settlement.
Consideration should always be given to resource recovery and recycling where
possible. Tires are usually not acceptable in landfills but may be if chipped or
properly cut.
Drivers of small trucks and private vehicles carrying rubbish and other solid
wastes interfere with the operation of a landfill. To accommodate these individuals
on weekends and avoid traffic and unloading problems during the week, it is good
practice to provide a special unloading area (convenience station) adjacent to the
landfill entrance. A satellite transfer station is also an alternative, in conjunction
with a regional landfill.

Personnel and Operation Proper full-time supervision is necessary to control

dumping, compaction, and covering. Adequate personnel are needed for proper
operation. Depending on the size of the community, there should be a minimum
of one man at a site and six men per 1,000 yd3 dumped per day that the site is
open. The supervisor should erect signs for direction of traffic to the proper area
for disposal. It is essential that the supervisor be present at all hours of operation
to ensure that the landfill is progressing according to plan. Days and hours of
operation should be posted at the entrance to the landfill. A locked gate should
be provided at the entrance to keep people out when closed. It is also advisable
to inform the public of the days and hours of operation.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 275

Solid waste treatment and disposal facilities represent very large investments.
They have the potential for grave air, water, and land pollution and contain com-
plex equipment and controls. Proper operation meets regulatory agency permit
conditions and requires continuous, competent operational control. The training
and certification of operators of resource recovery facilities, landfills, incinerators,
and hazardous waste sites are provided by various state and private organizations.
In supervising an operation, the length of the open face should be controlled,
since too large an open face will require considerably more cover material at the
end of a day’s operation. Too small an open face will not permit sufficient area for
the unloading of the expected number of collection vehicles that will be present at
one time. After vehicles have deposited the solid waste at the top or, preferably, at
the base of the ramp as directed, the solid waste should be spread and compacted
from the bottom up into a 12- to 18-inch layer (24 in. maximum) with a tractor.
Three to five passes should give a compaction of 1,000 to 1,250 lb/yd3 . Passing
over the waste should be done continually throughout the day to ensure good
compaction and vermin and fire control. If solid waste is allowed to pile up
without spreading and compaction for most of the day, proper compaction will
not be achieved, resulting in uneven settlement and extra maintenance of the site
after the fill is completed. At the end of each day, the solid waste should be
covered with at least 6 inches of earth or a suitable foam. For final cover of solid
waste, at least 2 feet of earth is required.

No Burning or Salvaging Air pollution standards and sanitary codes generally

prohibit any open burning. Limited controlled burning might be permitted in some
emergency cases (for uncontaminated wood and stumps), but special permission
would be required from the air pollution control agency, health department, and
local fire chief. Arrangements for fire control, complete burning in one day,
control over material to be burned (no rubber tires or the like), and restrictions
for air pollution control would also be required. Salvaging at sanitary landfills is
not recommended since, as usually practiced, it interferes with the operation. It
will slow down the entire operation and thus result in time loss. Salvaging can
also result in fires and unsightly stockpiles of the salvage material in the area.

Area Policing Since wind will blow papers and other solid waste around
the area as the trucks are unloading, it will be necessary to clean up the area
and access road at the end of each day. One of the advantages of portable snow
fencing is that it will usually confine the papers near the open face, thereby make
the policing job easier and less time consuming. At many sanitary landfills, dust
will be a problem during dry periods of the year. A truck-mounted water sprinkler
can keep down the dust and can also be used to wet down dry solid waste to
improve compaction. The bulldozer operator should be protected by a dust mask,
special cab, or similar device.

Insect and Rodent Control An insect and rodent control program is not
usually required at a properly designed and operated landfill. However, from
276 SOLID WASTE MANAGEMENT

time to time, certain unforeseen conditions may develop that will make control
necessary. For this reason, prior arrangement should be made to take care of such
emergencies until the proper operating corrections can be made. Prompt covering
of solid waste is necessary.

Maintenance Once a sanitary landfill, or a lift of a landfill, is completed or

partially completed, it will be necessary to maintain the surface to take care of
differential settlement. Settlement will vary, ranging up to approximately 20 to
30 percent, depending on the compaction, depth, and character of solid waste.
Ninety percent of the settlement can be expected in the first five years. Settlement
maintenance is required for perhaps 20 or 30 years. Maintenance of the cover is
necessary to prevent excessive precipitation and surface-water infiltration, ero-
sion, ponding, and excessive cracking, allowing insects and rodents to enter the
fill and multiply.
It is necessary to maintain proper surface-water drainage to reduce
precipitation–infiltration and minimize percolation of contaminated leachate
through the fill to the groundwater table or the surface. A final 4 percent
grade, with culverts and lined ditches as needed, is essential. The formation of
water pockets is objectionable since this will promote surface-water infiltration.
Vehicular traffic over these puddles will wash away the final earth cover over
the solid waste and cause trucks to bog down. The maintenance of access roads
to the site is also necessary to prevent dust and the formation of potholes, which
will slow down vehicles using the site. Finally, provision must be made for
groundwater, surface-water and gas monitoring, and control. The landfill surface
should be properly capped, graded, and planted with suitable tolerant vegetation
as previously noted.

Summary of Recommended Operating Practices

1. The sanitary landfill should be planned as an engineering project, to be con-

structed, operated, and maintained by qualified personnel under technical
direction, without causing air, land, or water pollution, safety or health haz-
ards, or nuisance conditions. Surveying benchmarks should be established
and maintained to guide fill progression and site closure. Careful super-
vision must be given to landfill bottom separation and soil compaction,
construction of primary and secondary composite liners, synthetic liner
placement and seals, and leachate drainage and collection system. Con-
struction of the landfill cap requires similar supervision.
2. The face of the working fill should be kept as narrow as is consistent with
the proper operation of trucks and equipment in order to keep the area of
exposed waste material to a minimum.
3. All solid waste should be spread as dumped and compacted into 12- to
18-inch-thick layers as it is hauled in. Operate tractor up- and downslope
(3:1) of fill to get good compaction—three to five passes.
 SANITARY LANDFILL PLANNING, DESIGN, AND OPERATION 277

4. All exposed solid waste should be covered with 6 inches of earth at the
end of each day’s operation.
5. The final earth covering for the surface and side slopes should minimize
infiltration, be compacted, and be maintained at a depth of at least 24
inches. See state regulations.
6. The final level of the fill should provide a 4 percent slope to allow for
adequate drainage. Side slopes should be as gentle as possible to prevent
erosion. The top of the fill and slopes should be promptly seeded. Drainage
ditches and culverts are usually necessary to carry away surface water
without causing erosion.
7. The depth of solid waste should usually not exceed an average depth of 8
to 10 feet after compaction. In a landfill where successive lifts are placed
on top of the preceding one, special attention should be given to obtain
good compaction and proper surface water drainage. A settlement period
of preferably one year should be allowed before the next lift is placed.
8. Control of dust, wind-blown paper, and access roads should be maintained.
Portable fencing and prompt policing of the area each day after solid waste
is dumped are necessary. If possible, design the operation so that it is not
visible from nearby highways or residential areas.
9. Salvaging, if permitted by the operator of the solid waste disposal area,
should be conducted in such a manner as not to create a nuisance or interfere
with operation. Salvaging is not recommended at the site.
10. A separate area or trench may be desirable for the disposal of such objects
as tree stumps, large limbs, if not shredded and recycled, and nonrecyclable
miscellaneous materials.
11. Where necessary, provision should be made for the disposal, under con-
trolled conditions, of small dead animals and septic tank wastes. These
should be covered immediately. The disposal of wastewater sludge, indus-
trial or agricultural wastes, and toxic, explosive, or flammable materials
should not be permitted unless study and investigation show that the inclu-
sion of these wastes will not cause a hazard, nuisance, or groundwater or
air pollution. See appropriate regulatory agency for details.
12. An annual or more frequent inspection maintenance program should be
established for completed portions of the landfill to ensure prompt repair
of cracks, erosion, and depressions.
13. Sufficient equipment and personnel should be provided for the spreading,
compacting, and covering of solid waste. Daily records should be kept,
including type and amount of solid wastes received. At least annually,
an evaluation should be made of the weight of solid waste received and
volume of solid waste in place as a check on compaction and rate at which
the site is being used.
14. Sufficient standby equipment should be readily available in case there is a
breakdown of the equipment in use.
278 SOLID WASTE MANAGEMENT

15. The breeding of rats, flies, and other vermin; release of smoke and odors;
pollution of surface waters and groundwaters; and causes of fire hazards
are prevented by proper operation, thorough compaction of solid waste in
12- to 18-inch layers, daily covering with earth, proper surface-water and
groundwater drainage, and good supervision.
16. Leachate and gas-monitoring wells should be sampled periodically to detect
significant changes. This should include methane concentrations in on-site
or other nearby buildings.

Site Closure or Conversion

If a disposal site is to be closed, the users, including contractors, should be notified
and an alternate site designated. A rat-poisoning (baiting) program should be
started at least two weeks before the proposed closing of a site that has not been
operated as a sanitary landfill and continued until the site has been completely
closed. The site should be closed off and made inaccessible; it should be covered
with at least 2 feet of compacted earth on the top and all exposed sides or as
required by the regulatory agency, graded to shed water, seeded to grass, and
then posted to prohibit further dumping. Side slopes should be no greater than 3:1
to reduce erosion and maintenance. Steps must be taken to prevent contravention
of surface-water and groundwater standards, gas migration, or adverse health or
environmental hazards. If the site is adjacent to a stream, the solid waste must be
moved an appropriate distance back from the high-water level to allow for the
construction of an adequate and substantially protected earth dike. Legal closure
requirements may be quite onerous if groundwater pollution is suspected or if
enclosed structures are in a vicinity that might be affected by methane migration.
Where adequate land is available and the site is suitable as determined by
an engineering and hydrogeological analysis, it may be possible to convert the
landfill into a properly designed, constructed, operated, and maintained sani-
tary landfill. Conversion of a suitable existing site can overcome the problems
associated with the selection of a new site.

Landfill Closure Requirements The state regulatory agency closure require-

ments must be followed.

Use of Completed Landfill A sanitary landfill plan should provide for land-
scaping and a specific use for the area after completion. Final grades for a sanitary
landfill should be established in advance to meet the needs of the proposed future
use. For example, the use of the site as a golf course can tolerate rolling terrain
while a park, playground, or storage lot would be best with a flat graded surface.
Other uses of completed landfills include toboggan and ski runs for children,
nature areas, bicycle and hiking paths, open areas, and airport runway exten-
sions. In planning for the use of such an area, permanent buildings or habitable
dwellings should not be constructed close to or over the fill since gas production
beneath the ground may migrate into sewers, utility conduits, and basements or
 INCINERATION 279

through floor slabs and sump drains of such dwellings or buildings, reaching
explosive levels. Some open structures that would not require excavation, such
as grandstands and open equipment shelters, can be built on a sanitary landfill
with little resulting hazard. Buildings constructed on sanitary landfills can be
expected to settle unevenly unless special foundation structures such as pilings
are provided; however, special provisions must be made to monitor and dissipate
gas production. When the final land use is known beforehand, selected undis-
turbed ground islands or earth-fill building sites are usually provided to avoid
these problems, but gas monitoring is still necessary.

INCINERATION

The incineration (also referred to as combustion) of solid waste involves the

conversion of solid wastes into gaseous, liquid, and solid conversion products
with the concurrent or subsequent release of heat energy. Incineration is typically
implemented to reduce the volume of solid waste and, to the extent possible,
recover energy. A properly designed and controlled incinerator is satisfactory
for burning combustible municipal solid waste and chemical, infectious, and
pathological wastes. In general, incineration is not generally recommended for
small towns, villages, apartment buildings, schools, institutions, camps, and hotels
unless good design and supervision can be ensured and cost is not a factor.
Further, a landfill is a necessary adjunct for the disposal of incinerator residue
and unrecycled solid waste. The purpose of this section is to review (1) the basic
operations involved in the incineration of solid waste, (2) briefly the principal
combustion products and residues formed during combustion, (3) the types of
incinerators that are used for solid waste, (4) factors that must be controlled
in the incineration process, (5) residuals management, (6) site selection, plant
layout, and building design, and (7) issues in the implementation of incineration
facilities.

Description of Operation of MSW Incinerator

The basic operations involved in the combustion of commingled MSW are iden-
tified in Figure 3.41. The operation begins with the unloading of solid wastes
from collection trucks (1) into a storage pit (2). The length of the unloading
platform and storage bin is a function of the size of the facility and the number
of trucks that must unload simultaneously. The depth and width of the storage
bin are determined by both the rate at which waste loads are received and the
rate of burning. The capacity of the storage pit is usually equal to the volume of
waste for two to four days. The overhead crane (3) is used to batch load wastes
into the feed (charging) chute (4), which directs the wastes to the furnace (5).
The crane operator can select the mix of wastes to achieve a fairly even moisture
content in the charge. Large or noncombustible items are also removed from the
wastes. Solid wastes from the feed (charging) chute fall onto the grates (6), where
280 SOLID WASTE MANAGEMENT

FIGURE 3.41 Definition sketch for operation of modern mass-burn incinerator.

they are mass fired. Several different types of mechanical grates are commonly
used. Typical physical and chemical characteristics of incinerator solid waste are
reported in Table 3.24.
Air may be introduced from the bottom of the grates (under-fire air) by means
of a forced-draft fan or above the grates (over-fire air) to control burning rates
and furnace temperature. Because most organic wastes are thermally unstable,
various gases are driven off in the combustion process taking place in the furnace.
These gases and small organic particles rise into the combustion chamber (7) and
burn at temperatures in excess of 1600 ◦ F. Heat is recovered from the hot gases
using water-filled tubes in the walls of the combustion chamber and with a boiler
(8) that produces steam that is converted to electricity by a turbine generator
(9). When 30 percent or less of the solid waste is rubbish or when the solid
waste contains more than 50 percent moisture, additional supplemental fuel will
be needed.
Air pollution control equipment is required on all new incinerators. Air pollu-
tion control equipment may include ammonia injection for NOx (nitrogen oxides)
control (10), a dry scrubber for SO and acid gas control (11), and a bag house
(fabric filter) for particulate removal (12). To secure adequate air flows to pro-
vide for head losses through air pollution control equipment, as well as to supply
air to the combustor itself, an induced-draft fan (13) may be needed. The end
products of combustion are hot combustion gases and ash. The cleaned gases
are discharged to the stack (14) for atmospheric dispersion. Ashes and unburned
materials from the grates fall into a residue hopper (15) located below the grates
where they are quenched with water. Fly ash from the dry scrubber and the bag
house is mixed with the furnace ash and conveyed to ash-treatment facilities (16).
Details on incinerator design, air pollution control equipment, and ash treatment
and disposal may be found in Refs. 2 and 15.
 INCINERATION 281

TABLE 3.24 Physical and Chemical Characteristics of Incinerator Solid

Wastea

Constituents Percent by Weight (as received)

Proximate analysis
Moisture 15–35
Volatile matter 50–65
Fixed carbon 3–9
Noncombustibles 15–25
Ultimate analysis
Moisture 15–35
Carbon 15–30
Oxygen 12–24
Hydrogen 2–5
Nitrogen 0.2–1.0
Sulfur 0.02–0.1
Noncombustibles 15–25
Higher heating value (Btu/lb as received)
Without recycling 3000–6000
With recycling 3000–5000
a
Principally residential–commercial waste.
Source: J. DeMarco, D. J. Keller, J. Leckman, and J. L. Newton, Incinerator
Guidelines—1969 , PHS Pub. 2012, Department of Health and Education, Washington,
DC, 1969;. and G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Man-
agement: Engineering Principles and Management Issues, McGraw-Hill, New York, 1993.

In addition to these operational aspects, complex instrumentation, including

transmission to a central control panel, is necessary to properly operate a modern
incinerator. Included are temperature indicators, air and water flows, pressure
indicators, alarms, waste feed cutoffs when combustion and emission regula-
tions are violated, and other indicators and controls that may be required by the
regulatory authority.

Combustion Products and Residues

Municipal solid waste burned in incinerators will result in the production of
combustion gases, particulates, and bottom and fly ash. The characteristics of
these products will depend on the types of wastes burned and the incinerator
design, operating temperature, residence time, and controls.

Combustion Essentials The three essentials for combustion, as outlined pre-

viously, are (1) time, (2) temperature, and (3) turbulence, including sufficient
oxygen. There must be sufficient time to drive out the moisture, the tempera-
ture must be raised to the ignition point, and there must be sufficient turbulence
to ensure mixing of the gases formed with enough air to burn completely the
volatile combustible matter and suspended particulates. The combustion process
282 SOLID WASTE MANAGEMENT

involves first, drying, volatilization, and ignition of the solid waste and, second,
combustion of unburned furnace gases, elimination of odors, and combustion of
carbon suspended in the gases. The second step requires a high temperature, at
least 1500 to 1800 ◦ F (816–982 ◦ C) sufficient air, and mixing of the gas stream
to maintain turbulence until burning is completed. The temperature in the furnace
may range from 2100 to 2500 ◦ F (1149–1371 ◦ C) if not controlled. A combus-
tion temperature of 2500 ◦ F (1371 ◦ C) is normal for steam generation and energy
recovery.
When the gases leave the combustion chamber, the temperature should be
between 1500 and 1800 ◦ F (816 and 982 ◦ C), and the gas entering the stack should
be 1000 ◦ F (538 ◦ C) or less. The minimum temperature for burning carbonaceous
wastes to avoid release of smoke is 1500 ◦ F (816 ◦ C). A temperature of less than
1500 ◦ F will also permit the release of dioxins and furans. The exit temperature
will have to be lowered to 200 ◦ F (93 ◦ C) for wool or cotton filters, 450 ◦ to
500 ◦ F (232 ◦ –260 ◦ C) for glass fiber filters before the gas is filtered, or 600 ◦ F
(316 ◦ C) or less if electrical precipitators are used. At a temperature of 1200
to 2000 ◦ F (649–1093 ◦ C) or higher, depending on temperature and residence
time, oxides of nitrogen are formed that contribute to air pollution. Hospital
wastes require incineration at a temperature of 1800 to 2000 ◦ F (982–1093 ◦ C)
to ensure degradation of organic compounds. Inorganic agents are not destroyed.

Gaseous Combustion Products The principal elements of solid wastes

are carbon, hydrogen, oxygen, nitrogen, and sulfur. Under ideal conditions, the
gaseous products derived from the combustion of municipal solid wastes would
include carbon dioxide (CO2 ), water (H2 O, flue gas), oxygen (O2 ), nitrogen
(N2 ), and small amounts of sulfur dioxide (SO2 ). Because many different reac-
tion sequences are possible, depending on the exact nature of the wastes and
the operating characteristics of the combustion reactor, the gaseous emissions
from combustion may include sulfur and nitrogen oxides and smaller amounts
of hydrogen chloride, mercury, lead, arsenic, cadmium, dioxins and furans, and
organic compounds. The amounts and concentrations going up the stack are deter-
mined also by the combustion effectiveness and the efficiency of air pollution
control equipment.
The basic reactions for the oxidation (combustion) of the carbon, hydrogen,
and sulfur contained in the organic fraction of MSW are as follows:

C + O2 −→ CO2 (for carbonA) (3.1)

(12) (32)

2H2 + O2 −→ 2H2 O (for hydrogen) (3.2)

(4) (32)

S + O2 −→ SO2 (for sulfur) (3.3)

(32.1) (32)

If it is assumed that dry air contains 23.15 percent oxygen by weight, then
the amount of air required for the oxidation of 1 lb of carbon would be equal
 INCINERATION 283

to 11.52 lb [(32/12)(1/0.2315)]. The corresponding amounts for hydrogen and

sulfur are 34.56 and 4.31 lb, respectively. Thermal processing systems are often
categorized on the basis of their air requirements. Combustion with exactly the
amount of oxygen (or air) needed for complete combustion is known as stoi-
chiometric combustion. Combustion with oxygen in excess of the stoichiometric
requirements is termed excess air combustion.

Combustion Residues The principal solid residues are (1) bottom ash,
(2) fly ash, and (3) noncombusted organic and inorganic materials. The residue
after burning (bottom and fly ash) is about 25 percent of the original weight
(10 to 15 percent by volume), 5 percent where intensive recycling is practiced.
Other residuals associated with the incineration of solid waste may include
scrubber sludge and wastewater treatment plant sludge, both of which will tend
to concentrate contaminants. It is essential, therefore, that the fly ash, bottom
ash, and scrubber and wastewater sludge be analyzed for contaminants likely to
be present and evaluated for their significance. The disposal method and facility
should be tailored to ensure protection of the public health and the environment.

Types of Incinerators (Combusters)

A variety of incinerator types have been used for the combustion of solid waste,
including (1) mass-fired combustors, (2) refuse-derived fuel- (RDF) fired com-
bustors, (3) modular combustion units, and (4) on-site commercial and industrial
incinerators.

Mass-Fired Combustors In a mass-fired combustor, minimal processing is

given to solid waste before it is placed in the hopper used to feed the combus-
tor. The crane operator in charge of loading the charging hopper can manually
reject obviously unsuitable items. However, it must be assumed that anything in
the MSW stream may ultimately enter the combustor, including bulky oversize
noncombustible objects (e.g., broken tricycles) and even potentially hazardous
wastes deliberately or inadvertently delivered to the system. For these reasons,
the combustor must be designed to handle these objectionable wastes without
damage to equipment or injury to operational personnel. The energy content of
mass-fired waste can be extremely variable, dependent on the climate, season,
and source of waste. In spite of these potential disadvantages, mass-fired com-
bustors have become the technology of choice for most existing and planned
incineration facilities.25
A typical mass-burn incinerator schematic showing steam and electricity pro-
duction is illustrated in Figure 3.42. Types of furnaces used are the rectangular
refractory lined, the rotary kiln, and the rectangular furnace with waterwalls.
In the rectangular furnace, two or more grates are arranged in tiers. The rotary
kiln furnace incorporates a drying grate ahead of a rotary drum or kiln where
burning is completed. Waterwall furnaces substitute water-cooled tubes for the
exposed furnace walls and arches. Other types of furnaces are also available.
284 SOLID WASTE MANAGEMENT

Steam turbine

Quench Induced
tank draft
fan

FIGURE 3.42 Schematic of typical mass-burn municipal waste combustion facility with
energy production facilities. (Source: County Sanitation Districts of Los Angeles County.)

All furnaces should be designed for continuous feed. Reciprocating or moving

and traveling grates are the most common. Mass-burn incinerators usually burn
raw solid wastes in a refractory-lined rotary kiln after drying and combustion,
with underfire and overfire air and a tube boiler to generate steam, hot water, or
electricity. In a cogeneration incinerator, steam and electricity are produced.
Modern furnace walls are usually lined with tile or have waterwalls. With
tile refractories, repairs can be readily made without the need for expensive and
time-consuming rebuilding of entire solid brick walls found in old plants. Special
plastic or precast refractories can be used for major or minor repairs. Waterwalls
in a furnace actually consist of water-cooled tubes that also serve as heat exchang-
ers, thereby reducing the outlet gas temperature and simplifying dust collection.
The tubes also cover and protect exposed furnace walls and arches. Less air is
required: 100 to 200 percent excess air for refractory walls compared to less than
80 percent for waterwalls. External pitting of the water-cooled tubes may occur
if the water temperature drops below 300 ◦ F (149 ◦ C) due to condensation of the
corrosive gases. Internal tube corrosion must also be prevented by recirculation
of conditioned water.

RDF-Fired Combustors Compared to the uncontrolled nature of unprocessed

commingled MSW, RDF can be produced from the organic fraction of MSW
with fair consistency to meet specifications for energy content, moisture, and
ash content. The RDF can be produced in shredded or fluff form or as densified
pellets or cubes. Densified RDF (d-RDF) is more costly to produce but easier to
transport and store. Either form can be burned by itself or mixed with coal and
combusted in a waterwall furnace (see Figure 3.13) equipped with a traveling
gate for ash management.
Because of the higher energy content of RDF compared to unprocessed MSW,
RDF combustion systems can be physically smaller than comparatively rated
 INCINERATION 285

mass-fired systems. However, more space will be required if the front-end pro-
cessing system needed to prepare the RDF is to be located adjacent to the
combustor. A RDF-fired system can also be controlled more effectively than a
mass-fired system because of the more homogeneous nature of RDF, allowing for
better combustion control and better performance of air pollution control devices.
Additionally, a properly designed system for the preprocessing of MSW can effect
the removal of significant portions of metals, plastics, and other materials that
may contribute to harmful air emissions.15

Modular Combustion Units Modular combustion units are available for

capacities of less than 700 lb/hr to 250 tons/day and include a secondary combus-
tion chamber. These units may be used for the batch incineration of municipal,
hospital, commercial, and industrial wastes. Volume reduction of 80 to 90 percent
and energy recovery of about 55 percent are claimed. Emission control (scrubber
and/ or baghouse) is needed and skilled operation is required.

On-site Commercial and Industrial Incinerators When possible, a large

municipal incinerator should be used in preference to a small on-site incinerator.
Better operation at lower cost with less air pollution can usually be expected.
Based on past experience, conventional mass-fired incinerators generally are not
economically feasible for communities with a population of less than 50,000 to
100,000, but modular controlled air units incorporating heat recovery are suitable
for smaller volumes of waste. However, on-site incinerators are used in hospi-
tals, schools, and commercial and industrial establishments. Their continued use
is being severely limited by air pollution control requirements. Many of the units
now in use need to be replaced or redesigned to meet modern air-pollution con-
trol standards. The controlled-air incinerator with a waste-heat boiler for energy
recovery can overcome many, if not all, of the deficiencies.

Incinerator Capacity and Stack Heights Incinerators are rated in terms of

tons of burnable or incinerable waste per day. For example, an incinerator having
a furnace capacity of 600 tons/day can theoretically handle 600 tons in 24 hours
with three-shift operation, 400 tons in 16 hours with two-shift operation, and
200 tons in 8 hours with one-shift operation. Hence, if 400 tons of incinerable
wastes collected per day are to be incinerated in 8 hours, an incinerator with a
rated capacity of 1,200 tons per day will be required plus a 15 percent downtime
allowance for repairs. In determining design capacity, consideration must also be
given to daily and seasonal variations, which will range from 85 to 115 percent
of the median.
High stacks (chimneys) 150 to 200 feet above ground level are usually con-
structed to provide natural draft and air supply for combustion. Stack heights
of 300 to 600 feet are not uncommon. Discharge of gases at these heights also
facilitates dilution and dispersal of the gases. In some designs, short stacks are
used for aesthetic reasons, and the equivalent effective stack height is obtained
by induced draft. Meteorological conditions, topography, adjacent land use, air
pollution standards, and effective stack height should govern.
286 SOLID WASTE MANAGEMENT

Control of the Incineration Process

The poor image that incineration has in the eyes of many people is due largely
to the failure to control the operation, with resultant destruction of the equipment
and air pollution. A properly designed and operated incinerator requires control
instrumentation for (1) temperature, (2) draft pressures, (3) smoke emission, (4)
weights of solid wastes coming in and leaving the plant, and (5) air pollution
control equipment. Competent well-trained operators are also essential.

Temperature Temperature monitoring is necessary for control purposes to

monitor the incoming air and gases leaving the combustion chamber at the settling
chamber outlet, the cooling chamber outlet, the dust collector inlet and outlet,
and the stack temperature. Furnace temperature can be controlled by adjusting
the amount of overfire or underfire air. The temperature of the gases leaving the
furnace is reduced by spraying with water (causes a white stack plume unless the
flue gas is reheated before discharge), dilution with cool air (high equipment cost
to handle large volumes of diluted gases), or passing through heat exchangers
(ready market for heat, steam, electricity, or high-temperature water needed).
Gas scrubbers using water sprays can be used to cool effluent gas so that an
induced-draft fan can be used to reduce the chimney height; large particulates
can also be removed.

Draft Pressure Draft pressure measurements are needed to control the

induced-draft fan and the stack draft. Measurements should be made at the
underfire air duct, overfire air duct, stoker compartment, sidewall air duct,
sidewall low-furnace outlet, dust collector inlet and outlet, and induced fan
inlet. Control of underfire air can provide more complete combustion with less
fly-ash carryover up the stack.

Smoke Density The smoke emission can be controlled by continuous mea-

surement of the particulate density in the exhaust gas. A photoelectric pickup
of light across the gas duct is used, preferably located between the particulate
collector and the induced fan duct.

Weigh Station Platform scales to weigh and record the incoming solid waste
and outgoing incinerator residue, fly ash, siftings, and other materials are gener-
ally required.

Instrumentation Devices should include those to keep record of overfire and

underfire air flow rates; temperature and pressure in the furnace, along gas pas-
sages, in the particulate collectors, and in the stack; electrical power and water
use; and grate speed.

Odor Odor control requires complete combustion of hydrocarbons—that is,

excess air and a retention time of 1 sec at 1500 ◦ F (816 ◦ C) [above 1400 ◦ F
(760 ◦ C) at the exit of the furnace]. Adequate dilution of gases leaving the stack
 INCINERATION 287

by an effective stack height (actual stack height plus plume rise) is another
possible method for odor control, but its effectiveness is related to meteorological
conditions and persistence of the odors. Wet scrubbers can also be used to absorb
odors while removing particulates.

Gaseous Emissions The principal gaseous emissions from the combustion of

mixed wastes are: carbon dioxide, water vapor, sulfur oxides, nitrogen oxides,
carbon monoxide, and hydrogen chloride. Hydrogen chloride and other acids can
cause corrosion of air pollution control equipment. A lime spray dry scrubber
followed by a baghouse (fabric) filter is effective in greatly reducing sulfur diox-
ide and hydrogen chloride gases, metals, dioxins, furans, and organic emissions,
as well as fly ash. There is some evidence that the lower the temperature of
flue gases [below about 300 ◦ F (149 ◦ C)] entering the pollution control devices,
the greater the amount of phenols, benzenes, dioxins, and other organics con-
densed and collected on the particulates. Typical gaseous emission guidelines are
presented in Table 3.25.

Particulate Emissions These can be controlled by settling chambers, wetted

baffle spray system, cyclones, wet scrubbers, electrostatic precipitators, and fabric
filters. Apparently, only wet scrubbers, electrostatic precipitators, and bag filters
can meet air pollution code requirements. Cyclones in combination with other
devices might approach the standard. Typical particulate emission design and
operating guidelines are presented in Table 3.25.

Residue Management
Incinerator ash and fly ash leaving the furnace (collected by scrubber, baghouse,
electrostatic precipitator) may contain various concentrations of hazardous pollu-
tants. These may require treatment and disposal so as not to endanger the public
health or the environment. Concentrations of pollutants in incinerator bottom
ash and fly ash will be determined by the characteristics of the waste burned,
plant design, operation, efficiency of air cleaning devices, and other factors. It
should also be noted that the EPA does not consider ash from an incinerator
burning residential solid waste a hazardous waste, even though it may contain
some metals.
To minimize the potential for the release of leachate from incinerator ash, there
is a trend toward stabilization of the ash by cementing, vitrification, or asphalting.
Recycling of ash into a useful material is the preferred solution. Prevention of
hazardous leachate is the goal. Up to 30 percent ash, by weight, can be used
as an additive to cement for building materials and solidification in ceramics or
glass. Incinerator bottom ash can be mixed with fly ash and lime from a dry
scrubber. When properly moistened, the resultant ash–lime mixture will form a
pozzolanic-like cement in which the metals are immobilized and cannot leach out
under normal conditions. It can be used as a road base or for similar purposes.
It is recommended that bottom and fly ash, if not reused, be disposed of
in a properly designed and constructed sanitary landfill with a double liner or a
288 SOLID WASTE MANAGEMENT

TABLE 3.25 Some Municipal Solid Waste Incineration Emission Design

and Operation Guidelines

Control Guidelines

Particulate emissions Not greater than 0.010 grainsa per dry standard cubic
foot of exhaust (stack) gas, corrected to 7% oxygen;
not greater than 0.015 grains at startup; existing, small
to midsize units, up to 0.030 grains.
Carbon monoxide Outlet concentration not greater than 50 ppm on an 8-hr
average; 4-hr average and 100 ppm maximum
proposed.
Hydrogen chloride A running 8-hr average emission of not greater than
emissions 10% by weight of uncontrolled emissions reduced by
not less than 90%, or less than 50 ppm stack
concentration (25 ppm proposed); flue gas at control
device outlet not greater than 300 ◦ F (149 ◦ C); RCRA
requires, for hazardous waste, 99% HCl removal,
unless less than 4 lb/hr.
Sulfur dioxide Not greater than 30 ppm or not less than 70% reduction,
24-hr daily average.
Nitrogen oxides Best available technology to limit emissions, additional
requirements in nonattainment areas.
Furnace design—operating Residence time for flue gas of at least 1 sec at no less
temperature and residence than 1800 ◦ F (982 ◦ C) in combustion zone or a
time furnace design to provide a residence time for flue gas
and a temperature which, in combination, are shown
to be equivalent; auxiliary burner required;
combustion indexb of 99.9% for 8-hr average or
99.5% based on 7-day average; minimum furnace
temperature of 1500 ◦ F (816 ◦ C) after last overfire air
injection and 10% plume opacity, 15 min average;
auxiliary burners to maintain furnace temperature.
Stack testing (at startup and Within specified periods for carbon monoxide, carbon
at 18-month interval) dioxide, sulfur dioxide, nitrogen dioxide, oxygen,
hydrogen chloride, and trace contaminants including
arsenic, beryllium, cadmium, chromium, copper, zinc,
lead, mercuryc , nickel; polychlorinated
dibenzo-p-dioxins, polychlorinated dibenzofurans,
benzo-a-pyrene, total aromatic hydrocarbons,
formaldehyde, and polychlorinated biphenyls; also
particulates.
Continuous emission Instrumentation for continuously monitoring emissions
monitoring and operation parameters, including oxygen, plume
opacity, sulfur dioxide, hydrogen chloride, nitrogen
oxides, carbon monoxide, carbon dioxide,
temperatures, and combustion indexb ; file is kept of
measurements and operation parameters, including
steam pressure and flow, auxiliary fuel used, operation
controls of electrostatic precipitators, fabric filters,
gaseous contaminant emission control devices.
(continues)
 INCINERATION 289

TABLE 3.25 (continued )

Control Guidelines

Dioxin or furan emissionsd Minimize to approach 0.2 ng/dry m3 corrected to 7%

oxygen, but not in excess of 2.0 ng/dry m3e .
Startup shutdown Plan of practices and procedures to avoid unacceptable
or excess emissions.
Operator certification Operator training program; operation is directed at all
times by certified operator.
Noise Not greater than 60 dBA between 7 a.m. and 10 p.m. in
rural area, 65 dBA suburban, and 70 dBA urban;
between 10 p.m. and 7 a.m., 50 dBA rural, 55 dBA
suburban, and 70 dBA urban.
Opacity No emissions having average opacity of 10% or greater
for any consecutive 6-min period, but may exceed
20% in 60-min period.
Operating records As specified, retained at least 3 years; plan prepared for
proper operation and maintenance prior to operation.
a
1 grain = 0.064 g ≤ 180 mg/dry m3 (RCRA).
b
Cl = CO2 × 100/CO2 + CO; CO2 and CO in the exhaust gas, ppm by volume (dry) = combustion
Index at 7% oxygen (≤99.80% 8-hr average). Continuous monitoring is required.
c Mercury and mercury compounds in flue gas exist as a gas. They are not captured by fabric filters

or electrostatic precipitators and hence may escape out of the stack. Mercury release should not
exceed 0.002 lb Hg/ton of solid waste. Wet scrubbers remove mercury by condensing, but sludge
requires treatment.
d RCRA requires 99.9999% destruction and removal efficiency.
e Approximately equivalent to 70 nanograms per normal cubic meter (ng/Nm3 ) (EPA). One nanogram

= one billionth of a gram. A limit of 30 ng/m3 has been proposed.

Note: Plants and animals around incinerators can cumulate pollutants (contaminants) and serve as
biological monitors for airborne metal and organic pollutants. Additional guidelines (and regulations)
are being developed. See the Clean Air Act of 1990 and state regulations.
Source: J. A. Salvato, Environmental Engineering and Sanitation, 4th ed., Wiley, New York, 1992.

dedicated monofill. Bottom ash alone or bottom ash combined with fly ash may be
disposed of in a sanitary landfill with a single liner. Control of dioxin, cadmium,
and lead in ash is the major concern. The preferred landfill design would have two
liners with groundwater monitoring and leachate collection above and between
the liners, or the equivalent, to prevent the migration of hazardous leachate into
groundwater.

Site Selection, Plant Layout, and Building Design

It is extremely important that a careful investigation be made of the social,
physical, and economic factors involved when incineration is proposed. Some of
the major factors are the following:

1. Public acceptance in relation to the surrounding land use and precautions

to be taken in location and design to offset public objections should be
290 SOLID WASTE MANAGEMENT

considerations. A location near the wastewater treatment plant, for example,

may meet with less objection. Heat utilization for sludge drying or burning
and use of treated wastewater for cooling are possibilities.
2. Site suitability in reference to foundation requirements, prevailing winds,
topography, surface water and groundwater, floods, adjacent land uses, and
availability of utilities should be considered. A location central to the source
of wastes for minimum haul distance and smooth movement of traffic in and
out of the site and readily accessible to major highways without interrupting
traffic are important considerations.
3. Plant layout should be arranged to facilitate tasks to be performed and
provide for adequate space, one-way traffic, parking, paving, drainage, and
equipment maintenance and storage.
4. Building design should be attractive and provide adequate toilets, show-
ers, locker room, and lunchroom. A control room, administrative offices,
weighmaster office, maintenance and repair shops, and laboratory should be
included. Adequate lighting contributes to attractiveness, cleanliness, and
operating efficiency. Good landscaping will promote public acceptance.
5. Also to be evaluated are the availability and cost of providing electric
power, water supply, sanitary sewers, and pretreatment required before
plant wastewater can be discharged to the sewer and availability of storm
sewers, telephone, and fuels.
6. The proposed method and cost of handling bulky and nonincinerable wastes
should be taken into consideration when incineration is proposed. Also to
be determined are the location and size of the sanitary landfill and its ability
to receive incinerator residue as well as the bulky and nonincinerable solid
wastes that are not recycled.
7. The incinerator design should provide for resource and energy recovery to
the extent feasible.

The reader is referred to Chapter 2 for the broad aspects of community and
facility planning and environmental impact analysis.

Issues in the Implementation of Incineration Facilities

The principal issues associated with the use of the incineration facilities for the
transformation of MSW are related to (1) siting, (2) management of emissions,
(3) public health, and (4) economics. Unless the questions related to these issues
are resolved, implementation of solid waste incineration facilities will continue
to be an uphill battle. These subjects are introduced briefly as follows.

Siting As with the siting of MRFs, discussed previously, it has been possible to
build and operate combustion facilities in close proximity to both residential and
industrial developments; however, extreme care must be taken in their operation if
they are to be environmentally and aesthetically acceptable. Ideally, to minimize
 INCINERATION 291

the impact of the operation of combustion facilities, they should be sited in more
remote locations where adequate buffer zones surrounding the facility can be
maintained. In many communities, combustion facilities are in remote locations
or at the landfill site.

Management of Emissions The operation of incineration facilities, as

noted previously, results in the production of a variety of emissions, including
(1) gaseous and particulate emissions, many of which are thought to have
serious health impacts; (2) solid residuals, including bottom ash, fly ash, and
scrubber product; and (3) liquid emissions, which can result from one or
more of the following sources: wastewater from the ash removal facilities;
effluent from wet scrubbers; wastewater from pump seals, cleaning, flushing,
and general housekeeping activities; wastewater from treatment systems used
to produce high-quality boiler water; and cooling tower blowdown. The
demonstrated ability to control these emissions from an incineration facility
effectively is of fundamental importance in the siting of incineration facilities.
The proper design of control systems for these emissions is a critical part of the
design of incineration facilities. In some cases, the cost and complexity of the
environmental control system(s) are equivalent to or even greater than those of
the combustion facilities.

Public Health Issues Emissions from a modern, properly designed and oper-
ated incineration facility are considered to be of little, if any, health significance
but are perceived by some to be a serious hazard. The evidence is not conclu-
sive as emissions are widely dispersed and their effects are difficult to evaluate.
Nevertheless, pollution controls to prevent accidental emissions must be ensured.
Sensitive individuals who have been exposed to high concentrations of dioxin
have developed chloracne, a persistent skin dermatitis, and suffered liver and
other disorders. Birth defects and cancer have not been demonstrated. Additional
studies are needed to better identify and measure the effects of air pollutants
inhaled and the effects of fallout. The significance of the types and amounts of
pollutants and their persistence in the environment remain to be clarified.

Economics The economics of incineration must be evaluated carefully to

choose between competing systems. The least expensive operation for a particular
community would be determined by comparing the total annual cost, including
operating costs and fixed charges on the capital outlay, for each method. It will
generally be found that, for large cities, three-shift operation will be the least
expensive. The two- or one-shift operation will be somewhat cheaper for the
smaller community. The relative cost of maintenance, however, will be higher
and the efficiency poor because of startup and shutdown of the furnace, with
accompanying refractory brick spalling due to differential expansion and air pol-
lution from fly ash. The best way to compare alternatives is by the use of life-cycle
costing, which accounts for operating and maintenance costs over the lifetime of
the system. The solid waste industry has developed a standardized approach to
life-cycle costing through the use of the pro forma income statement.
292 SOLID WASTE MANAGEMENT

HAZARDOUS WASTES

The identification and management of hazardous waste have become a major

environmental undertaking and are the subject of a number of textbooks and
numerous reference books. The purpose here is to introduce the subject of haz-
ardous waste management. Topics to be considered include (1) definition of
hazardous waste, (2) a review of pertinent legislation, (3) the generation of
hazardous wastes, and (4) an introduction to hazardous waste management. Addi-
tional details may be found in Ref. 19.

Definition of Hazardous Waste

Under the RCRA of 1976, the term hazardous waste means a solid waste, or com-
bination of solid wastes, that, because of its quantity, concentration, or physical,
chemical, or infectious characteristics, may do one of two things:

1. Cause or significantly contribute to an increase in mortality or an increase

in serious irreversible or incapacitating reversible illness.
2. Pose a substantial present or potential hazard to human health or the envi-
ronment when improperly treated, stored, transported, or disposed of or
otherwise managed.

Hazardous wastes include chemical, biological, flammable, explosive, and

radioactive substances. They may be in a solid, liquid, sludge, or gaseous (con-
tained) state and are further defined in various federal acts designed to protect
the public health and welfare, including land, air, and water resources.
A waste is regarded as hazardous if it is lethal, nondegradable, and persistent
in the environment, can be magnified biologically (as in food chains), or other-
wise causes or tends to cause detrimental cumulative effects. The EPA lists four
characteristics of hazardous wastes:

1. Ignitability —wastes that pose a fire hazard during routine management.

Fires not only present immediate dangers of heat and smoke but also can
spread harmful particles (and gases) over wide areas.
2. Corrosivity —wastes requiring special containers because of their ability
to corrode standard materials or requiring segregation from other wastes
because of their ability to dissolve toxic contaminants.
3. Reactivity (or explosiveness)—wastes that, during routine management,
tend to react spontaneously, react vigorously with air or water, are unstable
to shock or heat, generate toxic gases, or explode.
4. Toxicity —wastes that, when improperly managed, may release toxicants
in sufficient quantities to pose a substantial hazard to human health or the
environment. Toxic wastes are harmful or fatal when ingested or absorbed.
When toxic wastes are disposed of on land, contaminated liquid may
 HAZARDOUS WASTES 293

drain (leach) from the waste and pollute groundwater. Toxicity is iden-
tified through a laboratory procedure called the toxicity characteristics
leaching procedure, which replaces the extraction procedure leach test.
Organic chemicals, metals, and pesticides regulated under the toxicity rule
are reported in Table 3.26.

Not included in RCRA hazardous waste regulations are domestic wastewater,

irrigation waters or industrial discharges permitted under the federal Water Pollu-
tion Control Act, certain nuclear materials as defined by the Atomic Energy Act,
household wastes (including toxic and hazardous waste), certain mining wastes,
agricultural wastes (excluding some pesticides), and small-quantity wastes from
businesses generating fewer than 220 lb of hazardous waste per month.
The Comprehensive Environmental Response, Compensation, and Liability
Act of 1980 (CERCLA), as amended in 1986, defines hazardous substances as
used in the Clean Air Act and the Clean Water Act (federal Water Pollution Con-
trol Act). The Department of Transportation, the Food and Drug Administration,
the Occupational Safety and Health Administration, and the Consumer Product
Safety Commission also define toxic or hazardous substance exposure.

Legislation
The RCRA of 1976, as amended, expands the purposes of the Solid Waste Dis-
posal Act of 1965. It promotes resource recovery and conservation and mandates
government (federal and state) control of hazardous waste from its point of gen-
eration to its point of ultimate disposal, including a manifest identification and
permitting system. Legislation was prompted by the serious dangers associated
with the improper handling and disposal of hazardous waste. The most common
problems associated with the disposal of hazardous waste, in addition to pub-
lic opposition, are groundwater pollution from lagoons, landfills, dumps, sludge
disposal, other land disposal systems, spills, and unauthorized dumping.

RCRA Amendments In 1984, the RCRA was amended to require double lin-
ers or the equivalent and leachate collection systems at hazardous waste surface
impoundments and landfills. Variances from groundwater monitoring to charac-
terize the water quality before, during, and after operation are not allowed. The
act as amended in 1984 applies to generators producing as little as 220 lb (100 kg)
of hazardous waste in a calendar month, which must be sent to a state or federal
approved facility.
The RCRA as amended also prohibits land disposal of certain classes of
untreated hazardous wastes beyond specified dates unless it can be demonstrated
to the EPA that there will be no migration of hazardous constituents from the
land disposal unit for as long as the wastes remain hazardous. Land disposal
includes landfill, surface impoundment (treatment and surface storage), waste
pile, injection well, land treatment facility, salt dome or salt bed formation, and
underground mine or cave.
 TABLE 3.26 Organic Chemicals, Metals, and Pesticides Regulated under RCRA Toxicity Characteristic Rulea

294
New Constituents Regulatory Levelsb (mg/l) Old EP Constituents Regulatory Levelsc (mg/l)

Benzene 0.50 Arsenic 5.0

Carbon tetrachloride 0.50 Barium 100.0
Chlordane 0.03 Cadmium 1.0
Chlorobenzene 100.0 Chromium 5.0
Chloroform 6.0 Lead 5.0
m-Cresol 200.0d Mercury 0.2
o-Cresol 200.0 Selenium 1.0
p-Cresol 200.0 Silver 5.0
1,4-Dichlorobenzene 7.5 Endrin 0.02
1,2-Dichloroethane 0.50 Lindane 0.4
1,1-Dichloroethylene 0.70 Methoxychlor 10.0
2,4-Dinitrotoluene 0.13e Toxaphene 0.5
Heptachlor (and its hydroxide) 0.008 2,4-Dichlorophenoxycetic acid 10.0
Hexachloro-1,3-butadiene 0.5 2,4,5-Trichlorophenoxy propionic acid 1.0
Hexachlorobenzene 0.13e
Hexachloroethane 3.0
Methyl ethyl ketone 200.0
Nitrobenzene 2.0
Pentachlorophenol 100.0f
Pyridine 5.0e
Tetrachloroethylene 0.7
Trichloroethylene 0.5
2,4,5-Trichlorophenol 400.0
2,4,6-Trichlorophenol 2.0
Vinyl chloride 0.20
a
Based on the Toxicity Characteristics Leaching Procedure (TCLP)
b
Added in 1990.
c
Based on old Extraction Procedure (EP) leach test
d If o-, m-, and p-Cresol concentrations cannot be differentiated, the total cresol concentration is used. The regulatory level for total cresol is 200.0 mg/L.
e
Quantification limit is greater than the calculated regulatory level. The quantification limit, therefore, becomes the regulatory level.
f The agency will propose a new regulatory level for this constituent, based on the latest toxicity information.

Source: U.S. EPA (1990).

 HAZARDOUS WASTES 295

It should be noted that domestic wastewater, any mixture of domestic wastew-

ater and any other waste that passes through a sewer system to a publicly operated
treatment works (POTW) for treatment, and industrial wastewater discharges that
are point-source discharges subject to NPDES permits are not considered to be
solid or hazardous wastes. The POTW is then responsible to ensure that dis-
charges to its sewers or plant do not contravene its NPDES permit or interfere
with plant operation or sludge management.

Comprehensive Environmental Response, Compensation, and Liability

Act of 1980 CERCLA (Superfund) regulates leachate and other releases of
hazardous substances from inactive and abandoned hazardous waste sites or from
sites operating prior to November 1980. Businesses that produce between 220
and 2,000 lb of hazardous wastes in a calendar month are also regulated.
Most of the existing hazardous waste sites were created by the petroleum
and chemical industries. Some municipal landfills received mixed solid waste,
including toxic and hazardous commercial and industrial waste, in addition to
small quantities of household cleaners, solvents, and pesticides. The result was
pollution of the soil, groundwater, and surface water due to the infiltration and
percolation of rain and snow melt, dissolution, and migration in the waste. In
addition, toxic gases could be released from evaporating liquids, sublimating
solids, and chemical reactions. CERCLA comes into play when hazardous waste
sites are identified and classified.
The federal government can require the “person” who generated or transported
the waste or owned or operated the disposal site to clean up the site. If a respon-
sible person cannot be found, the federal government can perform the cleanup
using a special fund (Superfund) established mainly by a tax on chemical pro-
duction. Under such circumstances, states are required to contribute 10 percent
of the cost of the cleanup. The federal and state governments may recover the
cost, if the responsible person can be found.

Toxic Substances Control Act of 1976 The Toxic Substances Control Act
(TSCA) of 1976 regulates the production, use, and disposal of chemical sub-
stances that may present an unreasonable risk of injury to health or environment.
Manufacturers must give notice of plans to produce a new chemical or market
a significant new use for an old chemical; they may be required to provide and
keep records and reports.

Other Laws Other laws controlling hazardous substances include the

following:

Clean Air Act (EPA)—regulates the emission of hazardous air pollutants.

Clean Water Act (EPA)—regulates the discharge of hazardous pollutants into
the nation’s waters.
Marine Protection, Research, and Sanctuaries Act (EPA)—regulates waste
disposal at sea.
296 SOLID WASTE MANAGEMENT

Occupational Safety and Health Act (OSHA)—regulates hazards in the work-

place, including worker exposure to hazardous substances.
Hazardous Materials Transportation Act (Department of Transportation)—
regulates the transportation of hazardous materials.
Atomic Energy Act (Nuclear Regulatory Commission)—regulates nuclear
energy production and nuclear waste disposal.
Surface Mining Control and Reclamation Act (Department of the
Interior)—regulates the environmental aspects of mining (particularly
coal) and reclamation.

Priority Toxic Pollutants and Hazardous Wastes Twenty-four toxic

substances have been identified by the EPA, the Consumer Products Safety
Commission (CPSC), the Food and Drug Administration (FDA), and the
Occupational Safety and Health Administration (OSHA) for joint attack. The
National Institute for Occupational Safety and Health (NIOSH) is also concerned
with the control of toxic substances. The substances include acrylonitrile, arsenic,
asbestos, benzene, beryllium, cadmium, chlorinated solvents (trichloroethylene,
perchloroethylene, methylchloroform, and chloroform), chlorofluorocarbons,
chromates, coke oven emissions, diethylstilbestrol (DES), dibromochloropropane
(DBCP), ethylene dibromide, ethylene oxide, lead, mercury and mercury com-
pounds, nitrosamines, ozone, polybrominated biphenyls (PBBs), polychlorinated
biphenyls (PCBs), radiation, sulfur dioxide, vinyl chloride and polyvinyl chlo-
ride, and toxic waste disposals that may enter the food chain. Initially, the EPA
listed 129 specific toxic pollutants, as reported in Table 3.27, for priority action.
Although legislation is very important, control also requires consideration of
the social, political, and economic impacts of hazardous materials, in addition
to health and environmental factors. Continual surveillance of spills and existing
and abandoned waste sites for the present and for as long as the waste remains
hazardous will be necessary.

Generation of Hazardous Waste

The major generators of hazardous waste among 15 industries studied by the
EPA are as follows, more or less in order of the quantities produced:

• Primary metals
• Organic chemicals
• Electroplating
• Inorganic chemicals
• Textiles
• Petroleum refining
• Rubber and plastics

Examples of hazardous waste types generated by businesses and industries

are given in Table 3.28. Hazardous wastes that are characterized as ignitable,
 TABLE 3.27 Original 129 Priority Toxic Pollutants Identified by Council on Environmental Quality

Pollutant Characteristics Sources Remarks

Pesticides: Generally Readily assimilated by aquatic Direct application to farmland Several chlorinated
chlorinated hydrocarbons animals, fat soluble, and forestland, runoff from hydrocarbon pesticides already
concentrated through food lawns and gardens, urban restricted by EPA; aldrin,
chain (biomagnified), persistent runoff, discharge in industrial dieldrin, DDT, DDD, endrin,
in soil and sediments wastewater heptachlor, lindane, chlordane
Polychlorinated biphenyls Readily assimilated by aquatic Municipal and industrial waste TSCA ban on production after
(PCBs): used in electrical animals, fat soluble, subject to discharges disposed of in June 1, 1979, but will persist in
capacitors and transformers, biomagnification, persistent, dumps and landfills sediments; restrictions on many
paints, plastics, insecticides, chemically similar to freshwater fisheries as result of
other industrial products chlorinated hydrocarbons PCB pollution (e.g., lower
Hudson, upper Housatonic,
parts of Lake Michigan)
Metals: antimony, arsenic, Nonbiodegradable, persistent in Industrial discharges, mining
beryllium, cadmium, copper, sediments, toxic in solution, activity, urban runoff, erosion
lead, mercury, nickel, subject to biomagnification of metal-rich soil, certain
selenium, silver, thallium, zinc agricultural uses (e.g., mercury
as fungicide)
Asbestos May cause cancer when Manufacture and use as
inhaled, aquatic toxicity not retardant, roofing material,
well understood brake lining, etc.; runoff from
mining
Cyanide Variably persistent, inhibits Wide variety of industrial uses
oxygen metabolism
(continues)

297
298
TABLE 3.27 (continued )

Pollutant Characteristics Sources Remarks

Halogenated aliphatics: used in Largest single class of “priority Produced by chlorination of Large-volume industrial
fire extinguishers, refrigerants, toxics,” can cause damage to water, vaporization during use chemicals, widely dispersed,
propellants, pesticides, solvents central nervous system and but less threat to environment
for oils and greases and dry liver, not very persistent than persistent chemicals
cleaning
Ethers: Used mainly as Potent carcinogen, aquatic Escape during production and Though some are volatile,
solvents for polymer plastics toxicity and fate not well use ethers have been identified in
understood some natural waters
Phthalate esters: Used chiefly Common aquatic pollutant, Waste disposal vaporization
in production of polyvinyl moderately toxic but during use (in nonplastics)
chloride and thermoplastics as teratogenic and mutagenic
plasticizers properties in low
concentrations; aquatic
invertebrates are particularly
sensitive to toxic effects;
persistent and can be
biomagnified
Monocyclic aromatics Central nervous system Enters environment during
(excluding phenols, cresols, depressant; can damage liver production and byproduct
and phthalates): used in and kidneys production states by direct
manufacture of other volatilization; wastewater
chemicals, explosives, dyes,
and pigments and in solvents,
fungicides, and herbicides
 Phenols: large-volume Toxicity increases with degree Occur naturally in fossil fuels,
industrial compounds used of chlorination of phenolic wastewater from coking ovens,
chiefly as chemical molecule; very low oil refineries, tar distillation
intermediates in production of concentrations can taint fish plants, herbicide
synthetic polymers, dyestuffs, flesh and impart objectionable manufacturing, and plastic
pigments, pesticides, and odor and taste to drinking manufacturing; can all contain
herbicides water; difficult to remove from phenolic compounds
water by conventional
treatment; carcinogenic in mice
Polycyclic aromatic Carcinogenic in animals and Fossil fuels (use, spills, and
hydrocarbons: used as indirectly linked to cancer in production), incomplete
dyestuffs, chemical humans; most work done on air combustion of hydrocarbons
intermediates, pesticides, pollution; more is needed on
herbicides, motor fuels, and aquatic toxicity of these
oils compounds; not persistent and
are biodegradable though
bioaccumulation can occur
Nitrosamines: used in Tests on laboratory animals Production and use can occur
production of organic have shown nitrosamines to be spontaneously in food cooking
chemicals and rubber; patents some of most potent operations
exist on processes using these carcinogens
compounds
Source: Council on Environmental Quality, Environmental Quality, the Ninth Annual Report of the Council on Environmental Quality, U.S. Government Printing
Office, Washington, DC, 1978.

299
300 SOLID WASTE MANAGEMENT

TABLE 3.28 Examples of Hazardous Waste Generated by Business and Industries

Waste Generators Waste Type

Chemical manufacturers Strong acids and bases, spent solvents, reactive

wastes
Vehicle maintenance shops Heavy-metal paint wastes, ignitable wastes, used
lead acid batteries, spent solvents
Printing industry Heavy-metal solutions, waste inks, spent solvents,
spent electroplating wastes, ink sludges
containing heavy metals
Leather products manufacturing Waste toluene and benzene
Paper industry Paint wastes containing heavy metals, ignitable
solvents, strong acids and bases
Construction industry Ignitable paint wastes, spent solvents, strong acids
and bases
Cleaning agents and cosmetics Heavy-metal dusts, ignitable wastes, flammable
manufacturing solvents, strong acids and bases
Furniture and wood manufacturing Ignitable wastes, spent solvents
and refinishing
Metal manufacturing Paint wastes containing heavy metals, strong acids
and bases, cyanide wastes, sludges containing
heavy metals
Source: U.S. EPA Solving the Hazardous Waste Problem, EPA/530-SW-86-037, EPA, Office of Solid
Waste, Washington, DC, 1986.

corrosive, explosive, or toxic should be removed from industrial wastes prior to

discharge to a municipal sewer. Many toxic wastes upset biological wastewater
treatment processes and are transferred to the effluent and sludge, adding to the
disposal problem.

Hazardous Waste Management

Hazardous waste management is a major health and environmental challenge. The
ultimate goal should be zero discharge. However, until that goal is approached,
the elements of hazardous waste management that must be dealt with include (1)
source reduction at the point of generation; (2) recycling both on- and off-site;
(3) transportation to processing and/or disposal facilities; (4) treatment and pro-
cessing to reduce or eliminate toxicity, to reduce the volume, and to immobilize
contaminants; and (5) secure long-term storage and disposal. Each of these sub-
jects is considered briefly in the following discussion. Details on hazardous waste
management may be found on the EPA web site and in Ref. 19.

Hazardous Waste Reduction In plant waste, reduction measures can be most

effective in reducing the air, liquid, and solid waste contaminants generated, and
hence the treatment needed to meet disposal standards, with resultant cost savings.
In addition, treatment can result in the recovery of valuable materials that can
 HAZARDOUS WASTES 301

offset, in whole or in part, the cost of treatment. However, treatment to recover

valuable materials may result in the production of other hazardous wastes, which,
in turn, would require treatment and disposal.

Hazardous Waste Recycling Often, it may not be possible to reduce the vol-
ume or toxicity of some hazardous wastes. However, it may be possible to reuse
the waste material in other processes within the same facility or other related facil-
ities. Hazardous wastes that may be recycled either directly or after processing
include water, solvents, spent oils, and selected solids. To enhance the recycling
of waste materials at other facilities, waste exchange clearinghouses have been
developed to facilitate such exchanges. Information that is required for waste
exchange programs includes company ID code, category (acid, solvent, cutting
fluid, etc.), primary usable constituents, contaminants, physical state, quantity,
packaging, and geographic location.19

Hazardous Waste Transportation The transportation of hazardous wastes

always introduces the possibility of accidental spills. Should this happen, the
transporter is required to immediately notify the appropriate authorities (state
police, environmental protection agency) and take whatever action is necessary
to protect the public health and the environment. Information and advice on
what to do and on the characteristics of the chemicals involved (see manifest)
in an emergency is available 24 hours a day, 365 days a year, from the Chem-
ical Emergency Center (CHEMTREC) operated by the Chemical Manufacturers
Association. CHEMTREC’s telephone number is 800-424-9300.
In case of fire or other emergency at a facility having hazardous materi-
als, information concerning the site, materials, and precautions to be taken can
be immediately obtained by response personnel from the National Oceanic and
Atmospheric Administration (NOAA). A Computer-Aided Management Emer-
gency Operations (CAMEO) system has been developed to facilitate immediate
communication. More information is available from NOAA at 206-526-6317.
Information availability is required by the Superfund Amendments and Reautho-
rization Act (SARA).

Hazardous Waste Processing Technologies The principal objectives of

hazardous waste treatment are (1) toxicity reduction, (2) conversion to forms that
can subsequently be processed by other technologies, (3) total elimination (e.g.,
complete destruction), (4) volume reduction, and (5) immobilization. Treatment
technologies used to process hazardous wastes may be classified as (1) biological
methods, (2) physicochemical processes, (3) stabilization and solidification, and
(4) thermal destruction. The principal processes comprised by these technologies
are reported in Table 3.29.19 – 23

Long-Term Storage of Hazardous Wastes So-called secure land burial

and deep-well disposal under carefully controlled conditions, where permitted ,
302
TABLE 3.29 Typical Treatment Methods for Hazardous Wastes

Method Typical Processes Description

Biological (1) Suspended growth processes (aerobic, anoxic, and Biological processes are used to treat (1) liquids
methods anaerobic); (2) attached growth processes (aerobic, (contaminated groundwater, industrial process
anoxic, and anaerobic); (3) combined suspended wastewaters, and landfill leachate); (2) slurries
and attached growth processes (aerobic, anoxic, (sludges and contaminated soils with clean or
and anaerobic) contaminated water); (3) solids (contaminated
soils); and (4) vapors (from other treatment
processes).
Physicochemical (1) Carbon adsorption; (2) chemical oxidation; (3) Granular activated carbon adsorption is used for the
processes gas stripping; (4) steam stripping; (5) membrane sorption of organic compounds from liquids.
separation; (6) supercritical fluids extraction and Powdered activated carbon is typically used in
supercritical water oxidation conjunction with the activated sludge treatment
process. Chemical oxidation is used to detoxify a
wide array of organic compounds. Stripping
processes are used to remove volatile and
semivolatile organics from industrial process
waters. Membrane separation is used to remove
contaminants from a variety of process waters and
liquids. Supercritical fluids extraction and
supercritical water oxidation are used to remove
organics from water, sediments, and soil.
 Stabilization and (1) Cement-based solidification; (2) pozzolan-based Stabilization and solidification processes are used for
solidification aggregate; (3) thermoplastic; (4) organic polymers the (1) treatment of industrial wastes; (2) treatment
of a variety of wastes, including incinerator bottom
and fly ash, before placement in a secure landfill;
and (3) treatment of large quantities of
contaminated soil. These processes are all used to
immobilize hazardous waste contaminants.
Thermal methods (1) Vapor, liquid, and solid combustion; (2) catalytic Thermal processes are used to destroy organic
volatile organic chemical (VOC) combustion; (3) fraction of hazardous waste contaminants found in
fluidized-bed incinerators; (4) pyrolysis reactors all types of waste streams, including gases and
vapors, liquids, slurries, and solids.
Land disposal (1) Municipal landfills; (2) monofill landfills; (3) land The objective of land disposal is to ensure that wastes
farming; (4) impoundment and storage facilities; placed in such facilities do not migrate off-site. In
(5) deep-well injection land framing the objective is to bring about natural
and biological decay of hazardous waste materials.
The problem with deep-well injection is that the
final location of the injected wastes is unknown.
Source: Adapted in part from LaGrega, M. D., P. L. Buckingham, and J. C. Evans, Hazardous Waste Management, 2nd ed., McGraw-Hill, New York, 2001.

303
304 SOLID WASTE MANAGEMENT

are a last resort. In general, these types of disposal are strongly discouraged as
they simply transfer the problem to another environmental media and must be
monitored for the life of the hazardous waste. Some hazardous wastes, both solid
and liquid, may be temporarily stored in clay, asphalt, concrete, soil cement, or
(sodium) bentonite–soil lined basins, or in polymeric membrane lined basins,
pending a decision on the best methods for treatment and disposal. Membrane
linings are made of special rubber, polyethylene, polyolefin, polychloroprene,
and polyvinyl chloride. All are usually suitable for wastewater and biodegradable
industrial wastes. However, solvents, strong acids and caustics, and brines could
damage clay or soil-based linings. Benzene and toluene, for example, are not
contained by a clay liner, but when mixed with a small proportion of water
and placed in a landfill, clay remains a good barrier. These chemicals, including
pesticides, are best destroyed by controlled incineration. Petroleum-based organic
wastes could damage some polymeric membranes and asphaltic materials. Carbon
tetrachloride and xylene cause soil dehydration and possible cracking of clay
soil. Clay liners must be carefully constructed with concern for lift thickness,
soil moisture, type and weight of roller and number of passes, soil texture, and
dry density to achieve the required permeability.
In view of the many limitations, wastes and lining materials should be tested
for effectiveness and compatibility before use. In any case, all liners should be
carefully placed on well-compacted subbases and, in addition, all basins storing
hazardous wastes should incorporate a groundwater monitoring and surveillance
system, including a leachate collection system and peripheral well monitoring.
Two layers of linings with intermediate collection systems to collect possible
leachate percolation and a groundwater monitoring system are required by the
EPA. It can be assumed that all liners, cutoff walls, or other containments will
eventually leak to some degree. Storage should be considered a temporary expe-
dient. In all cases, strict compliance with approved design and construction
specifications, and continuous professional inspection during construction must
be ensured.
Monitoring of the air, surface water, and groundwater for as long as the
waste remains a threat to the public health and the environment is an essential
component of any site. Surface-water runoff and groundwater would be monitored
for organic and inorganic chemicals. The air would be monitored for odors,
volatile organics, and indicated toxic chemicals.

Basic Control Principles for Hazardous Waste Management As with

most air, water, solid waste, and other pollution control activities, certain general
and basic control principles can also be applied, as appropriate, to hazardous
wastes. These include the following nine:

1. Elimination and reduction of waste at the source—This is done by pre-

vention of leakage, segregation of hazardous waste, product reformulation,
process or materials change, good housekeeping practices, and inventory
control.
 REFERENCES 305

2. Recovery, reuse, and recycling of wastes—This includes return to the

manufacturer, energy recovery, and waste exchange among compatible
industries.
3. Concentration of waste by treatment—centrifugation, coagulation, sedi-
mentation, filtration, flotation, surface impoundment, distillation, reverse
osmosis, precipitation, solidification, encapsulation, evaporation, electro-
dialysis, absorption, or blending.
4. Thermal decomposition—controlled high-temperature incineration and
proper disposal of residue, also ocean incineration. Incinerators used
include refractory lined, fixed hearth (controlled air), rotary kiln, cement
kiln furnace, and fluidized bed.
5. Chemical treatment—chemical oxidation, precipitation, reduction, neutral-
ization, chlorination, pyrolysis, detoxification, ion exchange, absorption, or
chemical dechlorination processes.
6. Burial in a secure landfill—storage or containment with proper monitoring
and surveillance (may be banned by the EPA or state).
7. Biological degradation accomplished through activated sludge, lagoon, or
other biological treatment.
8. Stabilization, solidification, or encapsulation, including in-place vitrifica-
tion.
9. Deep-well, mine, and ocean disposal under controlled conditions and if
permitted; possibly composting and microwave decomposition. Ocean dis-
posal of sludge has been banned effective December 31, 1991, but this
prohibition is being reevaluated.

The methods available are not always completely effective and must be tailored
to specific contaminants.

REFERENCES

1. U.S. EPA, Decision-Makers Guide to Solid Waste Management, EPA/530-SW89-072,

EPA, Washington, DC, 1989; U.S. EPA, Analysis of the Potential Effects of Tox-
ics on Municipal Solid Waste Management Options, EPA/600/R-95/047, EPA Office of
Research and Development, Risk Reduction Engineering Laboratory, EPA, Cincinnati,
OH, 1995, pp. xiv, xv.; G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid
Waste Management: Engineering Principles and Management Issues, McGraw-Hill,
New York, 1993; H. L. Hickman, Principles of Integrated Solid Waste Manage-
ment , American Academy of Environmental Engineers Publication, Annapolis, MD,
1999; New York State, A Planning Guide For Communities Recycling, New York
State Department of Environmental Conservation, Division of Solid Waste, Albany,
1990; G. Tchobanoglous, and F. Kreith, Solid Waste Handbook , 2nd ed., McGraw-Hill,
New York, 2002; U.S. EPA, Decision Makers Guide to Solid Waste Management, Vol.
II, EPA 530-R-95-023, EPA, Washington, DC, 1995; U.S. EPA, Full Cost Account-
ing for Municipal Solid Waste Management: A Handbook , EPA 530-K-95-041, EPA,
306 SOLID WASTE MANAGEMENT

Washington, DC, 1997; and U.S. EPA, Greenhouse Gas Emissions from Management
of Selected Materials in Municipal Solid Waste, EPA 530-R-92-013, EPA, Washington,
DC, 1998.
2. G. Tchobanoglous, F. Kreith, and M. Williams, “Introduction,” in G. Tchobanoglous
and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002,
Chapter 1.
3. U.S. EPA, Municipal Solid Waste Generation, Recycling, and Disposal in the United
States: Facts and Figures for 2006 , Executive Summary, Office of Solid Waste, EPA,
Washington, DC, 2006. http://www.epa.gov/garbage/pubs/msw06.pdf; U.S. EPA, Solid
Waste Management And Greenhouse Gases: A Life-Cycle Assessment of Emissions and
Sinks, 3rd ed., Office of Solid Waste, EPA, Washington, DC, 2006.
4. U.S. EPA, Characterization of Municipal Solid Waste in the United States: 1998
Update, EPA 530-R-99-021, EPA, Office of Solid Waste and Emergency Response,
Washington, DC, 1999, and yearly updates; U.S. EPA, Municipal Solid Waste in the
United States: 1999 Facts and Figures, Executive Summary, EPA530/S-01/014, Office
of Solid Waste, EPA, Washington, DC, 2001; U.S. EPA, Municipal Solid Waste Gener-
ation, Recycling, and Disposal in the United States: Facts and Figures for 2005,
Executive Summary, EPA530/S-01/014, Office of Solid Waste, EPA, Washington, DC,
2005, http://www.epa.gov/garbage/pubs/mswchar05.pdf; U.S. EPA, Municipal Solid
Waste Generation, Recycling, and Disposal in the United States: Facts and Figures
for 2006, Executive Summary, Office of Solid Waste, EPA, Washington, DC, 2006,
http://www.epa.gov/garbage/pubs/msw06.pdf.
5. U.S. EPA, Analysis of the Potential Effects of Toxics on Municipal Solid Waste Man-
agement Options, EPA/600/R-95/047, EPA Office of Research and Development, Risk
Reduction Engineering Laboratory, EPA, Cincinnati, OH, 1995, pp. xiv, xv.
6. U.S. EPA, Characterization of Construction and Demolition Debris in the United States,
EPA/530-R-96-010, EPA, Washington, DC, 1998.
7. CFR, Title 40, Code of Federal Regulations, U.S. Government, Washington, DC.
8. H. Theisen, “Solid Waste Collection,” in G. Tchobanoglous and F. Kreith (Eds.), Solid
Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002, Chapter 7.
9. U.S. EPA, Spotlight on Waste Prevention: EPA’s Program to Reduce Solid Waste at the
Source, EPA 530-K-95-002, EPA, Washington, DC, 1995; U.S. EPA, The Consumer’s
Handbook for Reducing Solid Waste, EPA 530-K-96-003, EPA, Washington, DC, 1996;
U.S. EPA, Municipal Solid Waste Source Reduction: A Snapshot of State Initiatives, EPA
530-R-98-017, EPA, Washington, DC, 1998.
10. U.S. EPA, Material Recovery Facilities for Municipal Solid Waste Handbook,
EPA625/6-91/031, Office of Research and Development, EPA, Washington DC,
1991.
11. H. Leverenz, G. Tchobanoglous, and D. B. Spencer, “Recycling,” in G. Tchobanoglous
and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002,
Chapter 8.
12. A. H. Benedict, E. Epstein, and J. Alpert, Composting Municipal Sludge: A Technology
Assessment , Noyes Data Corporation, Park Ridge, NJ, 1988.
13. L. F. Diaz, G. M. Savage, and C. G. Golueke, “Composting of Municipal Waste,” in
G. Tchobanoglous and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill,
New York, 2002, Chapter 10.
 BIBLIOGRAPHY 307

14. R. T. Haug, The Practical Handbook of Compost Engineering, Lewis Publishers, Boca
Raton, FL, 1993.
15. G. Tchobanoglous, H. Theisen, and S. Vigil, Integrated Solid Waste Management: Engi-
neering Principles and Management Issues, McGraw-Hill, New York, 1993.
16. R. T. Haug, Compost Engineering. Ann Arbor: Ann Arbor Science Publishers, Inc.,
1980.
17. A. Bagchi, Design of Landfills and Integrated Solid Waste Management, 3rd ed., John
Wiley and Sons, Hoboken, NJ, 2004.
18. D. R. Brunner, and D. J. Keller, Sanitary Landfill Design and Operation, EPA (SW-65ts),
Washington, DC, 1972.
19. M. D. LaGrega, P. L. Buckingham, and J. C. Evans, Hazardous Waste Management ,
2nd ed., McGraw-Hill, New York, 2001.
20. G. W. Dawson and B. W. Mercer, Hazardous Waste Management , Wiley, New York,
1986.
21. U.S. EPA, Handbook Remedial Action at Waste Disposal Sites, EPA/625/6-85/006, Haz-
ardous Waste Engineering Research Laboratory, Office of Research and Development ,
EPA, Cincinnati, OH, 1985.
22. U.S. EPA Solving the Hazardous Waste Problem, EPA/530-SW-86-037, EPA, Office of
Solid Waste, Washington, DC, 1986.
23. U.S. EPA, A Compendium of Technologies Used in the Treatment of Hazardous Wastes,
U.S. EPA/625/8-87/014, Center for Environmental Research Information, EPA, Cincin-
nati, OH, 1987.

BIBLIOGRAPHY

Benedict, A. H., E. Epstein, and J. Alpert, Composting Municipal Sludge: A Technology

Assessment, Noyes Data Corporation, Park Ridge, NJ, 1988.
Corey, R. C., Principles and Practices of Incineration, Wiley-Interscience, New York,
1969.
Council on Environmental Quality, Environmental Quality, the Ninth Annual Report of
the Council on Environmental Quality, U.S. Government Printing Office, Washington,
DC, 1978.
Dawson, G. W., and B. W. Mercer, Hazardous Waste Management, Wiley, New York,
1986.
DeMarco, J., D. J. Keller, J. Leckman, and J. L. Newton, Incinerator Guidelines—1969 ,
PHS Pub. 2012, Department of Health and Education, Washington, DC, 1969.
Franklin Associates, Characterization of Municipal Solid Waste in the United States: 1998
Update, EPA/530-R-99-021, EPA, Washington, DC, 1999.
Haug, R. T. The Practical Handbook of Compost Engineering, Lewis Publishers, Boca
Raton, FL, 1993.
Hickman, H. L., Principles of Integrated Solid Waste Management , American Academy
of Environmental Engineers Publication, Annapolis, MD, 1999.
Leverenz, H., G. Tchobanoglous, and D. B. Spencer, “Recycling,” in G. Tchobanoglous
and F. Kreith (Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002,
Chapter 8.
Malcolm Pirnie Engineers, Comprehensive Solid Waste Planning Study—1969 ,
Herkimer-Oneida Counties, State of New York Department of Health, Albany, 1969.
308 SOLID WASTE MANAGEMENT

New York State, Municipal Energy Recovery Facilities Handbook , New York State Envi-
ronmental Facilities Corporation, Albany, 1988.
New York State, 6 NYCRR Part 360, Solid Waste Management Facilities, New York State
Department of Environmental Conservation, Division of Solid Waste, Albany, 1990a.
New York State A Planning Guide For Communities Recycling, New York State Depart-
ment of Environmental Conservation, Division of Solid Waste, Albany, 1990b.
O’Leary, P. R., and G. Tchobanoglous, “Landfilling,” in G. Tchobanoglous and F. Kreith
(Eds.), Solid Waste Handbook , 2nd ed., McGraw-Hill, New York, 2002, Chapter 14.
Salvato, J. A., Environmental Engineering and Sanitation, 4th ed., Wiley, New York,
1992.
SCS Engineers, Inc., Procedural Guidance Manual for Sanitary Landfills: Volume I Land-
fill Leachate Monitoring and Control Systems and Volume II Landfill Gas Monitoring
and Control Systems, California Waste Management Board, Sacramento, CA, April,
1989.
U.S. EPA, Composting of Municipal Solid Wastes in the United States, EPA, Washington,
DC, 1971.
U.S. EPA, Process Design Manual, Municipal Sludge Landfills, EPA-625/1-78-010, EPA,
Washington, DC. 1978.
U.S. EPA, Municipal Waste Combustion Study, Report to Congress, EPA/530-SW-87-021a,
EPA, Washington, DC, 1987.
U.S. EPA, Organic Chemicals, Metals, and Pesticides Regulated Under the RCRA Toxicity
Characteristic Rule, U.S. EPA Environmental Fact Sheet, U.S. EPA/530-SW-89-045,
Office of Solid Waste and Emergency Response, EPA, Washington, DC, 1990.
U.S. EPA, Material Recovery Facilities for Municipal Solid Waste Handbook ,
EPA625/6-91/031, Office of Research and Development, EPA, Washington DC, 1991.
U.S. EPA, Analysis of the Potential Effects of Toxics on Municipal Solid Waste Manage-
ment Options, EPA/600/R-95/047, EPA Office of Research and Development, Risk
Reduction Engineering Laboratory, EPA, Cincinnati, OH, 1995, pp. xiv, xv.
UU.S. EPA, Spotlight on Waste Prevention: EPA’s Program to Reduce Solid Waste at the
Source, EPA 530-K-95-002, EPA, Washington, DC, 1995.
U.S. EPA, The Consumer’s Handbook for Reducing Solid Waste, EPA 530-K-96-003, EPA,
Washington, DC. 1996,
U.S. EPA, Greenhouse Gas Emissions from Management of Selected Materials in Munic-
ipal Solid Waste, EPA 530-R-92-013, EPA, Washington, DC, 1998.
U.S. EPA, Characterization of Construction and Demolition Debris in the United States,
EPA/530-R-96-010, EPA, Washington, DC, 1998.
UU.S. EPA, Solid Waste Management And Greenhouse Gases: A Life-Cycle Assessment
of Emissions and Sinks, 3rd ed., Office of Solid Waste, EPA, Washington, DC, 2006.
U.S. EPA, Bioreactors, Office of Solid Waste, EPA, Washington, DC. 2008,
http://www.epa.gov/garbage/landfill/bioreactors.htm.
Weston, R. F., A Statewide Comprehensive Solid Waste Management Study, New York
State Department of Health, Albany, 1970.
CHAPTER 4

AIR POLLUTION AND NOISE CONTROL

ROBERT JACKO AND TIMOTHY LA BRECHE
Department of Civil Engineering, Purdue University, West Lafayette, Indiana

AIR POLLUTION

Air pollution is the presence of solids, liquids, or gases in the outdoor air in
amounts that are injurious or detrimental to humans, animal, plants, or property or
that unreasonably interfere with the comfortable enjoyment of life and property.
Air pollution inside dwellings or places of assembly is discussed under Indoor
Air Quality in Chapter 5, “Environmental Emergencies and Emergency Prepared-
ness” by Pedro M. Armenante, James P. Mack in Environmental Engineering,
Sixth Edition: Prevention and Response To Water-, Food-, Soil-, and Air-Borne
Disease And Illness. The composition of clean air is shown in Table 4.1. The
effects of air pollution are influenced by the type and quantity of pollutants and
their possible interactions∗ as well as wind speed and direction, typography, sun-
light, precipitation, vertical change in air temperature, photochemical reactions,
height at which pollutant is released, and susceptibility of the individual and
materials to specific contaminants—singularly and in combination. Air pollution
is not a new or recent phenomenon. It has been recognized as a source of dis-
comfort for centuries as smoke, dust, and obnoxious odors. The solution of any
air pollution problem must avoid transferring the pollutant removed to another
medium, without adequate treatment.

∗
Synergism, antagonism, additive.
Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry 309
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
310 AIR POLLUTION AND NOISE CONTROL

TABLE 4.1 Composition of Clean, Dry Air near Sea Level

Component Percent by Volume Content (ppm)

Nitrogen 78.09 780,900

Oxygen 20.94 209,400
Argon 0.93 9,300
Carbon dioxide 0.0318 318a
Neon 0.0018 18
Helium 0.00052 5.2
Krypton 0.0001 1
Xenon 0.000008 0.08
Nitrous oxide 0.000025 0.25b
Hydrogen 0.00005 0.5
Methane 0.00015 1.5c
Nitrogen dioxide 0.0000001 0.001
Ozone 0.000002 0.02
Sulfur dioxide 0.00000002 0.0002
Carbon monoxide 0.00001 0.1
Ammonia 0.000001 0.01
a 352 ppm in 1989; 369 ppm in 2000, Mauna Loa, Hawaii.
b 0.304 ppm in 1985; 0.314 ppm in 1999 based on Advanced Global Atmospheric Gases Experiment
(AGAGE), Cape Grim, Tasmania, Australia monitoring sites.
c 1.7 ppm in 1990; 1.73– 1.84 ppm in 1999 based on AGAGE values from Cape Grim, Tasmania,

Australia and Mace Head, Ireland monitoring sites.

Note: The concentrations of some of these gases may differ with time and place, and the data for
some are open to question. Single values for concentrations, instead of ranges of concentrations, are
given to indicate order of magnitude, not specific and universally accepted concentrations.
Sources: Cleaning Our Environment—The Chemical Basis for Action, American Chemical Society,
1969, p. 4 (copyright 1969 by the American Chemical Society; reprinted with permission); with
C. E. Junge, Air Chemistry and Radioactivity, Academic, New York, 1963, p. 3; A. C. Stern (ed.),
Air Pollution, Vol. 1, 2nd ed., Academic, New York, 1968, p. 27; E. Robinson and R. C. Robbins,
Sources, Abundance, and Fate of Gaseous Atmospheric Pollutants, prepared for American Petroleum
Institute by Stanford Research Institute, Menlo Park, CA, 1968.

Health Effects

Humans are dependent on air. We breathe about 35 lb of air per day as compared
with the consumption of 3 to 5 lb of water and 1∼HF lb (dry) of food. Pollution
in the air may place an undue burden on the respiratory system and contribute
to increased morbidity and mortality, especially among susceptible individuals in
the general population. Particulates greater than 3 µm in diameter are likely to
collect in the lung lobar bronchi; smaller particulates (less than 3 µm) end up in
the alveoli, the thoracic or lower regions of the respiratory tract, where more harm
can be done. Health effects are discussed under under illnesses associated with air
pollution—lung disease in Chapter 3 “Control of Diseases of The Air and Land”
by Nabarun Dasgupta in Environmental Engineering, Sixth Edition: Prevention
and Response To Water-, Food-, Soil-, and Air-Borne Disease And Illness.
 AIR POLLUTION 311

Some well-known air pollution episodes are given in Table 4.2. The illnesses
were characterized by cough and sore throat; irritation of the eyes, nose, throat,
and respiratory tract; and stress on the heart. The weather conditions were typ-
ically fog, temperature inversion, and nondispersing wind. The precise levels at
which specific pollutants become a health hazard are difficult to establish by
existing surveillance systems, but they probably are well in excess of levels cur-
rently found in the ambient air. Meteorological factors, sample site, frequency and
measurement methods, including their accuracy and precision, all enter into data
interpretation. Nevertheless, standards to protect the public health are necessary
and have been established. (See Tables 4.5 through 4.7 later in the chapter.)
It should be noted that whereas smoking is a major contributor to respira-
tory disease in the smoker, air pollution, climate, age, sex, and socioeconomic
conditions affect the incidence of respiratory disease in the general population.
Occupational exposure may also be a significant contributor in some instances.
However, the effects may be minimized by engineering and individual con-
trols. Where engineering controls are not adequate, respirators can provide good
protection if adapted to the type and concentration of airborne contaminants,
provided they are properly fitted, maintained, and actually used. However, respi-
rators should never be considered an equivalent alternate to engineering controls.
They should only be used after a thorough review of engineering controls has
determined that process modifications and engineering controls are absolutely
infeasible or where the risk to human health associated with the failure of an
engineering control is excessive.

Economic Effects

Pollutants in the air cause damage to property, equipment, and facilities, in

addition to increased medical costs, lost wages, and crop damage. Sulfur and
formaldehyde pollution attack copper roofs and zinc coatings. Steel corrodes two
to four times faster in urban and industrial areas due to moisture, chloride, sulfate,
and ammonium pollution. The usual electrical equipment contacts become unre-
liable unless serviced frequently; clothing fabric, rubber, plastics, and leather are
weakened; lead-based paints, banned in home construction but still in use in cer-
tain industrial applications, are degraded by hydrogen sulfide and oil-based paints
by sulfur dioxide; and building surfaces and materials (especially carbonate rock
by sulfur dioxide) and works of art are corroded and deteriorate. In addition,
particulates (including smoke) in polluted air cause erosion, accelerate corro-
sion, and soil clothes, buildings, cars, and other property, making more frequent
cleaning and use of indoor air-filtering equipment necessary. Ozone reduces the
useful life of rubber and other elastomers, attacks some paints, discolors dyes,
and damages textiles. See also “Measurement of Materials’ Degradation,” later
in this chapter.
The U.S. Environmental Protection Agency (EPA) is required to periodically
assess the cost and benefit of the Clean Air Act (CAA). These reviews have
 TABLE 4.2 Some Major Air Pollution Episodes

312
Location Excess Deaths Illnesses Causative Agents

Meuse Valley, Belgium

December 1930 63 6000 Probably SO2 and oxidation products with
particulates from industry—steel and
zinc.
Donorra, Pennsylvania
October 1948 20 7000 Not proven; particulates and oxides of sulfur
high; probably from industry—steel and
zinc; temperature inversion
Poza Rica, Mexico 1950 22 320 H2 S escape from a pipeline
London, England
December 1952 4,000 Increased Not proven; particulates and oxides of
sulfur high; probably from household
coal-burning; fog
January 1956 1,000 — —
December 1957 750 — —
January 1959 200–250 — —
December 1962 700 — —
December 1967 800–1,000 — —
New York, New York
November 1953 165 — Increased pollution
October 1957 130 — Increased pollution
January–February 1963 200–400 — SO2 unusually high (1.5 ppm maximum)
November 1966 152,168 — Increased pollution and inversion
New Orleans, Louisiana
October 1955 2 350 Unknown
1958 — 150 Believed related to smoldering city dump
 Location Excess Deaths Illnesses Causative Agents

Seveso and Meda, Italya

July 1976 Unknown, long-term 200+ Dioxin, an accidental contaminant formed
in the manufacture of 2,4,5-T and
hexachlorophene—a bactericide
Bhopal, India
December 1985 2,000–5,000 8,000 disabled, 200,000 injured Leak of methyl isocyanate from pesticide
factory
Chernobyl, Soviet Unionb
April 1986 31 on site, more than 300 total 130,000 evacuated; 6,000 workers Nuclear power plant accidental release,
explosion and fire
a
A reactor overheated, the safety valve opened, and 4∼HF lb of dioxin discharged for 30 min to the atmosphere. About 50 persons were hospitalized, 450 children
had a skin disease, 200 families (735 persons) were evacuated, and 40,000 contaminated animals were killed. (Conserv. News, December 1, 1976, pp. 8–9;
Associated Press, Seveso, Italy, July 10, 1977.) Contaminated soil and vegetation over 272 acres was stripped and incinerated. By July 1977, many homes
were cleaned and 500 persons were ready to be admitted. No major illnesses or effects reported other than chloracine (dermatitis) and increased stress-related
cardiovascular mortality. [P. Bertazzi et al., Am. J. Epidemiol ., 129, 1187 (1989).]
b
Excess fallout-related cancer cases over the lifetime of the populations of Europe and the Soviet Union are estimated at 800,000– 950,000. (R. H. Nussbaum,
Comments on “Health Effects from Radiation,” Environ. Sci. Technol . (July 1988).) The actual risk is not likely to be known. Excess lifetime cancer deaths
are estimated at 17,000. (T. G. Davis, “Chernobyl: The Aftermath,” J. Environ. Health, (March/April 1989): 185–186.) Perhaps 150,000 people suffered some
sort of thyroid illness, of which 60,000 were children, 13,000 very seriously. An estimated 6000 workers became ill. (F. X. Clines, “A New Arena for Soviet
Nationalism: Chernobyl,” New York Times, December 30, 1990, p. 1.) The United Nations International Atomic Energy Agency concluded in May 1991 that the
major harm was that due to anxiety and stress rather than physical illness. (“Ten Years after Chernobyl,” Ann. Med ., (April 1996).) Thyroid cancers increased
dramatically in Belarus, Ukraine, and Bryansk regions of Russia. [Radioactive Contamination of Wood and Its Products,” J. Environ. Radioactivity, 55 (2),
(2001): 179– 86.] Contamination of timber and subsequent distribution of irradiated products such as furniture and lumber will likely lead to increase in radiation
exposure.

313
314 AIR POLLUTION AND NOISE CONTROL

been both retrospective and prospective. In a retrospective review of the cost

and benefit of the CAA between 1970 and 1990, a mean monetized benefit of
$22.2 trillion (in 1990 dollars) was estimated. The cost of compliance in the same
period was estimated at $0.5 trillion. Specific benefits included in these estimates
were as follows:

• Agriculture; net surplus due to ozone reduction, $23 billion

• IQ (intelligence quotient, lost IQ points + children with IQ < 70 points),
$399 billions
• Chronic bronchitis, $3.3 trillion
• Reduced mortality due to particulate matter reduction, $16.6 billion

All of these values are mean values and have varying ranges based on the
uncertainty associated with estimating each parameter. For example, the 5th per-
centile “low” benefit associated with the period of 1970 to 1990 was $5.6 trillion,
while the 95th percentile “high” benefit was $49.4 trillion. The costs associated
with complying with the CAA are more easily monetized and have much less
variability because they are primarily associated with pollution control equipment
design, purchase, and maintenance. Other control costs include policy develop-
ment, regulatory enforcement, and regulatory pollution monitoring, all of which
are eventually borne by shareholders, customers, and taxpayers.1 The daily per-
sonal cost of air pollution can be tallied by over-the-counter medicines to treat
the medical symptoms of air pollution as well as lost work days and decreased
productivity and quality of life.2

Effects on Plants
It has been suggested that plants be used as indicators of harmful contaminants
because of their greater sensitivity to certain specific contaminants. Hydrogen
fluoride, sulfur dioxide, smog, ozone, and ethylene are among the compounds
that can harm plants. Urban smog is likely to contain carbon monoxide, soot,
dust, and ozone from the reaction of sunlight on nitrogen oxides, hydrocarbons,
and other volatile organic compounds. Assessment of damage shows that the
loss can be significant, although other factors such as soil fertility, temperature,
light, and humidity also affect production. Ozone has been indicated in forest
decline and in damage to a variety of other agriculture products.3 Among the
plants that have been affected are truck garden crops (New Jersey), orange trees
(Florida), orchids (California), and various ornamental flowers, shade trees, ever-
green forests, alfalfa, grains, tobacco, citrus, lettuce (Los Angeles), and many
others. In Czechoslovakia more than 300 mi2 of evergreen forests was reported
severely damaged by sulfur dioxide fumes.4 Smog such as the type found in Los
Angeles is the product of a photochemical reaction involving nitrogen oxides,
hydrocarbons and oxygen. Where local topography and meteorology inhibit dis-
persion, smog can accumulate to unhealthy concentrations. Photochemical smog
has also been reported in New York, Japan, Mexico City, Madrid, the United
 AIR POLLUTION 315

Kingdom, and other congested areas with high motor vehicle traffic. The brown
clouds associated with smog are due to excess NOx , which preferentially absorbs
light from the blue-green spectrum. The remaining colors result in the brown-
ish color associated with smog that can reduce visibility and is aesthetically
displeasing.5
Injury to plants due to ozone shows up as flecks, stipple and bleaching, tip
burns on conifers, and growth suppression. Peroxyacyl nitrate∗ (PAN) injury is
apparent by glazing, silvering, or bronzing on the underside of the leaf. Sulfur
dioxide injury shows up as bleached and necrotic areas between the veins, growth
suppression, and reduction in yield. Hydrogen fluoride injury is evidenced by
plant leaf tip and margin burn, chlorosis, dwarfing, abrupt growth cessation, and
lowered yield.6 See also “Acid Rain (Acidic Precipitation),” later in this chapter.

Effects on Animals
Fluorides have caused crippling skeletal damage to cattle in areas where fluorides
absorbed by the vegetation are ingested. Animal laboratory studies show dele-
terious effects from exposure to low levels of ozone, photochemical oxidants,
and PAN. Lead and arsenic have also been implicated in the poisoning of sheep,
horses, and cattle. All of the canaries and about 50 percent of the animals exposed
to hydrogen sulfide in the Poza Rica, Mexico, incident (see Table 4.2) were
reported to have died. Morbidity and mortality studies are ongoing to determine
actual impacts of air pollutants on animals.

Aesthetic, Climatic, and Related Effects

Insofar as the general public is concerned, smoke, dust, and haze, which are
easily seen, cause the greatest concern. Reduced visibility not only obscures
the view but is also an accident hazard to air, land, and water transportation.
Soiling of statuary, clothing, buildings, and other property increases municipal
and individual costs and aggravates the public to the point of demanding action
on the part of public officials and industry. Correction of the air pollution usually
results in increased product cost to the consumer, but failure to correct pollution
is usually more costly.
Air pollution, both natural and manmade, affects the climate. Dust and other
particulate matter in the air provide nuclei around which condensation takes place,
forming droplets and thereby playing a role in snowfall and rainfall patterns.
Haze, dust, smoke, and soot reduce the amount of solar radiation reaching the
surface of the earth. Aerosol emissions from jet planes also intercept some of the
sun’s rays.
Certain malodorous gases interfere with the enjoyment of life and property. In
some instances, individuals are seriously affected. The gases involved include
hydrogen sulfide, sulfur dioxide, aldehydes, phenols, polysulfides, and some

∗
Also cause of eye irritation.
316 AIR POLLUTION AND NOISE CONTROL

olefins. Air pollution control equipment such as thermal oxidizers and carbon
absorbers are available to eliminate or control these objectionable compounds.

Effect of Carbon Dioxide and Other Gases on Global Warming Solar

energy, as light in the form of short-wavelength radiation, that reaches the earth
is absorbed and reradiated back to the atmosphere as long-wavelength infrared
radiation or heat energy. (Ultraviolet radiation has little effect on earth warm-
ing.) However, carbon dioxide, methane, chlorofluorocarbons (CFCs), clouds and
atmospheric water vapor, and nitrous oxides tend to trap the reradiated heat,
causing a reflection of that heat back to the earth and a warming of the lower
atmosphere, oceans, and the earth’s surface—known as the greenhouse effect.
According to the EPA, carbon dioxide constitutes 49 percent of the greenhouse
effect, as compared to methane 18 percent, CFCs 14 percent, nitrous oxides 6
percent, and other gases 13 percent.7 Still other estimates place the relative contri-
butions as carbon dioxide 57 percent, CFCs 25 percent, methane 12 percent, and
nitrous oxide 6 percent.8 The relative contributions will always be flux depend-
ing on the concentration in the atmosphere and because all greenhouse gases are
not equal in their warming potential. Certain manmade compounds are far more
effective greenhouse gases than other naturally occurring compounds. Nitrous
oxide, both man made and naturally occurring, is 310 times more effective than
carbon dioxide. Hydrofluorocarbon (HFC) 23, a manmade refrigerant, is 11,700
times more effective than carbon dioxide.9
Industrial, power plant, and automobile emissions and the burning of fossil
fuels and forests contribute carbon dioxide and other gases to the atmosphere.
This is in addition to the carbon dioxide naturally released during respiration
and decomposition. Methane is produced by the decay of organic matter in wet-
lands, rice paddies, ruminant animals and termites, forest fires and wood burning,
landfills, and gas drilling and releases. Chlorofluorocarbon sources include refrig-
erants, solvents, and plastic foam manufacture. Sources of nitrogen oxides include
burning coal and other fossil fuel, fertilizer breakdown, and soil bacteria reac-
tions. Other gases involved to a lesser extent are carbon monoxide and sulfur
dioxide.
The warming effect of the gases in the lower atmosphere is offset to some
extent by the cooling effect of the haze, dust, smoke, soot, and dust from vol-
canic eruptions that intercept and reduce the solar radiation reaching the earth.
However, evaporation from the warmed oceans and other bodies of water and
land surfaces due to greenhouse warming would be increased, as would vegeta-
tion transpiration, causing further cooling. The increased evaporation would also
cause an increase in precipitation in some areas. In addition, the oceans, rain, and
growing forests and other vegetation during photosynthesis altogether remove or
absorb significant quantities of carbon dioxide. These processes that remove car-
bon dioxide from the environment are often referred to as carbon dioxide “sinks.”
Tropical rain forests are a major carbon dioxide sink, and their destruction both
adds carbon dioxide to the atmosphere and removes a carbon repository.
There seems to be agreement that the destruction of tropical rain forests should
be brought under control and that a massive global reforestation program is
 AIR POLLUTION 317

desirable. However, the planting of even a billion trees a year for 10 years is
estimated to absorb only about 1 to 3 percent of the carbon dioxide produced
by human activity in the United States. Federal analysts have reached similar
conclusions. They estimated that planting 20 billion trees per year could capture
up to 67 percent of the nation’s annual emissions of carbon dioxide under the best
of conditions. Although trees take in carbon dioxide and return oxygen to the air,
storing the carbon in the wood, fully mature trees neither store nor emit carbon.
Eventually, annual tree growth roughly equals the loss and decay of branches
and leaves.10 But there are many other ecological and aesthetic reasons to save
the tropical forests.
Ultimately, large reductions in oil and coal burning are needed to substantially
reduce carbon dioxide emissions. Energy conservation and greater use of renew-
able resources such as hydroelectric power, solar energy, wind power, geothermal
energy, wave energy, and biomass energy, where possible, can all reduce the net
increase of global warming gases. However, they are not without their own tech-
nical and feasibility issues. Nuclear power generation is essentially carbon dioxide
emission free, but political as well as safety concerns have prevented wider adop-
tion of the technology in the United States. The result has been the expansion of
fossil-fueled power plants. The release of carbon dioxide will expand for many
years to come if alternate sources of energy are not developed.
New-generation nuclear reactors such as pebble bed systems offer the
possibility of intrinsic safety and even decentralized power systems. Recent
research has shown that if the full production process is considered when
comparing nuclear to coal-fueled power systems, the actual damage to human
health has been far greater historically with coal power production than with
nuclear production. These analyses consider the total product cycle from
raw-material extraction to power delivery. When the dangers of fuel extraction
and processing are factored into the risk associated with coal power production,
the nuclear options appear safer.11
In addition to temperature rise, the probable net projected effects of increased
greenhouse gases include changes in rain, snow, and wind patterns that affect agri-
culture, overall precipitation, humidity, soil moisture, and storm frequency. The
growing season would be lengthened. Melting polar ice would raise ocean levels.
In spite of many uncertainties, according to Climate Change 2001: The Science
Basis, and Climate Change 2007: The Physical Science Basis,12 it appears that
the carbon dioxide level and global warming are increasing. However, many
scientists believe that the facts (and assumptions) do not adequately support the
predictions.13 A recently published journal article points out that the earth has
been in a warming cycle since the year 1800 and the increased use of fossil fuels
beginning in about 1950 has had no effect on glacier shortening. Moreover, Artic
air temperature appears to correlate well with solar activity, while hydrocarbon
use does not correlate.14 An astrophysicist with the Harvard Smithsonian Centre
for Astrophysics commented that the “best current science offers little justification
for rapid cuts in carbon dioxide” and believes “human-made global warming is
relatively minor and will be slow to develop.”15 In any case, there is agreement
318 AIR POLLUTION AND NOISE CONTROL

on the need to maintain and improve environmental quality and conserve natural
resources.

Effect of Ozone and Chlorofluorocarbons Another global factor is the

ozone layer in the upper atmosphere (stratosphere), about 8 to 30 miles above
the earth’s surface. It helps shield the earth by filtering out or absorbing harmful
UV solar radiation. Ozone is formed naturally by the action of sunlight on the
oxygen molecule. When released in the lower atmosphere (troposphere), CFCs
and halons (a compound consisting of bromine, chlorine, and carbon) migrate
upward to the stratosphere through the mixing force of wind, where they remain
chemically stable as long as 400 years. When exposed to UV solar radiation,
CFCs release chlorine atoms and certain other gases that react with ozone in the
stratosphere, reducing the total amount of ozone available to intercept destructive
UV radiation. The chlorine in one CFC molecule is believed to destroy tens of
thousands of ozone molecules. Bromine is more than 40 times as destructive as
chlorine. Nitrous oxide also contributes to ozone depletion.16 Chemical fertilizers,
soil bacteria, burning forests, and fossil fuels are sources of nitrous oxide.
The destruction of ozone by CFCs, halons, and other compounds permits more
of the solar radiation to reach the earth, which could cause an increase in skin
cancer, eye cataracts, and changes in climate and animal and plant life. This
additional solar radiation could also overexpose and kill phytoplankton, a major
source of food for fish, seals, penguins, and whales. Subsequent phytoplankton
reduction, including algae, would result in less uptake of carbon dioxide. This
would cause an increase in the atmospheric carbon dioxide level and contribute
to the earth’s warming and a reduction in aquatic life and our food supply, as
previously noted.
Chlorofluorocarbons remain in the stratosphere for 75 to 110 years.17 Because
of the potential health and environmental effects, steps have been taken to phase
out products containing CFCs and halons throughout the world. The product
sources include refrigerants (dichlorodifluoromethane, or freon), industrial sol-
vents, volatile paints, plants manufacturing plastic foams, and aerosol spray cans
containing CFC propellant. The CFCs are no longer used as blowing agents in
the manufacture of food service disposables.18 Bromine from halons used pri-
marily in fire extinguishers and from chemicals used to make fire retardants, soil
fumigants, and agricultural products also destroy ozone by reacting with chlo-
rine synergistically in the absence of oxygen and sunlight.19 Methyl chloroform
and carbon tetrachloride contribute to the problem. Existing refrigerating systems
using CFCs that are scrapped remain future sources of CFC release if not con-
tained, recycled, or otherwise controlled. Suggested alternatives to CFCs include
hydrochlorofluorocarbons (HCFCs),20 which, although not as harmful as CFCs,
should nevertheless be recycled. A global attack was started in 1987—the Mon-
treal Protocol on Substances that Deplete the Ozone Layer—was signed by 32
countries, with a goal to reduce the 1986 level of use of CFCs and halons by 50
percent.21 In May 1989, representatives of the European Economic Community
(EEC) and 81 other countries, including the United States and Canada, agreed to
phase out all CFC use by the year 2000, if possible, as well as the use of halons,
 AIR POLLUTION 319

carbon tetrachloride, and methyl chloroform.22 In June 1990, environment min-

isters from 93 nations met in London and agreed to phase out the production and
use of CFCs and related chemicals, including halons and carbon tetrachloride,
by the end of the century and methyl chloroform by 2005. The HCFCs are to be
phased out between 2000 and 2040.
Ozone is also formed in the lower atmosphere (troposphere), which extends
upward for about 8 miles. There, nitrogen oxides, gasoline vapors, and other
hydrocarbon emissions from refineries, motor vehicles, solvents, and the like
react with sunlight and heat. However, the EPA believes that ozone in the lower
atmosphere near the ground level does not replace ozone lost from the upper
levels.23 Ozone at ground level causes lung dysfunction and irritation of the
mucous membranes of the eyes, nose, and throat as well as tree and crop dam-
age. Under stable conditions, ozone interactions cause smog and deterioration of
exterior paints, rubber, synthetic fibers, and plastics.

Acid Rain (Acidic Precipitation) Releases of nitrogen and sulfur oxides and
carbon dioxide, as well as other pollutants, are carried into the atmosphere, where
they interact with sunlight and vapor and may be deposited as acid rain many
miles from the source. The term includes rain, snow, sleet, fog, mist, and clouds
containing sulfuric acid, nitric acid, and carbonic acid, as well as direct dry
deposition. Large regional emissions and then deposition over a limited area
exacerbate the acid rain problem, such as in the northeast United States and
eastern Canada. The Southeast, Midwest, West, Rocky Mountain states, western
Europe, Scandinavia, and eastern Europe are also affected. In New York and the
Northeast, 60 to 70 percent of the reported acidity is due to sulfuric acid, 30 to
40 percent to nitric acid. The relative proportion of each is indicative of the prob-
able preponderant pollutant sources.24 Major sources of sulfur dioxide, nitrogen
oxides, and carbon dioxide are coal- and oil-burning power plants, refineries, and
copper and other metal smelters. Principal sources of nitrogen oxide emissions25
are electric utility and industrial boilers and motor vehicles. Nitrogen oxides
from motor vehicle and high-temperature combustion not only contribute to pho-
tochemical smog but to changes in the atmosphere, and they return to earth in
acid form mixed with precipitation.
High stacks permit the discharge of pollutants into the upper air stream that
are then carried great distances by prevailing winds, usually from west to east in
the United States. Natural sources of sulfur dioxide, such as active volcanoes, the
oceans, and anaerobic emissions from decaying plants, fertilizers, and domestic
animals, contribute to the problem. However, the risk to the public health and
welfare is complex and very difficult to quantify.26 There does not appear to be
any significant threat to the public health,27 although this is debatable. About half
of all atmospheric sulfur worldwide is reported to come from natural sources.28
The main contributor to natural acidity is carbon dioxide. The natural acidity of
precipitation may vary from pH 5.4 to 5.7∗ (with the lower pH in the northeast

∗
Lemon juice has a pH of 2, vinegar 3, pure rain 5.6, distilled water 7, and baking soda 8.2.
320 AIR POLLUTION AND NOISE CONTROL

United States according to the National Acid Deposition Program of 1978 to

1984) and may be as low as 4.0 to 4.6 or lower. While a forest canopy may reduce
acidity and ammonia, particulates in the air may, in part, neutralize the acid.
As previously noted, acidic precipitation contributes to deterioration of
buildings, monuments and statues, roofing materials, and automobiles. It is also
believed to adversely affect trees (mainly conifers at high altitudes), possibly
crops and other vegetation. Ozone at ground level is also reported to be a major
cause of forest decline.29 Acidic precipitation may be temporarily beneficial to
some vegetation.30 However, a second stage of acid rain can kill nitrogen-fixing
microorganisms and cause decreased production, and then death, as acidity
penetrates the soil profile and root system. Calcium and magnesium, necessary
for tree growth, are leached from the soil. Aluminum in the soil also becomes
available for vegetative uptake. The calcium and magnesium/aluminum ratio is
decreased, impairing tree and root growth as the toxic aluminum accumulates
in the roots. Susceptibility to insects and stresses due to cold, drought, and heat
increase.31 Forest management, climate, soil nutrients, and geology may also
play a role.
Acid rain also adversely affects lakes and streams, where the pH may be
reduced to less than 5.0, with resultant reduced fish production. The decomposi-
tion of organic deposits contributes to lake acidity. Acidification and demineral-
ization of soils cause higher input of toxic aluminum and other metals to lakes
and streams. The condition is more apparent in a lake or groundwater when its
buffering capacity and that of the surrounding soil (alkalinity and calcium) are
reduced or exhausted. This leads to the release of toxic metals to water supply
sources, particularly to shallow well-water supplies. There could also be accumu-
lation in fish, as, for example, increased levels of mercury, aluminum, cadmium,
and zinc of 10 to 100 times the normal range.
Control measures should start with coal desulfurization at mining sites and
source reduction, such as at high-sulfur oil- and coal-burning plants, and with
nitrogen oxides from motor vehicles. Further reduction can be achieved by flue
gas desulfurization and the use of scrubbers and other emission control devices.
The use of alternative, low-sulfur fuels, as well as hydroelectric, nuclear, and
solar power, should also be considered. The application of lime or limestone to
lakes and their watersheds is only a temporary measure, a long-term solution
must be found.
Acid rain is only one aspect of air pollution. Other toxic stack emissions
requiring control include hazardous air pollutants (HAPs) such as lead, mer-
cury, cadmium, zinc, vanadium, arsenic, copper, selenium, and organic pollutants.
These must be eliminated or reduced to innocuous levels.

SOURCES AND TYPES OF AIR POLLUTION

The sources of air pollution may be manmade, such as the internal combustion
engine, or natural, such as plants (pollens). The pollutants may be in the form
 SOURCES AND TYPES OF AIR POLLUTION 321

of particulates, aerosols, and gases or microorganisms. Included are pesticides,

odors, and radioactive particles carried in the air.
Particulates range from less than 0.01 to 1000 µm∗ in size; generally they are
smaller than 50 µm. Smoke is generally less than 0.1 µm size soot or carbon
particles. Those below 10 µm can penetrate the lower respiratory tract; particles
less than 3 µm reach the tissues in the deep parts of the lung. Particles over
10 µm are removed by the hairs at front of nose. Included are dust and inorganic,
organic, fibrous, and nonfibrous particles. Aerosols are usually particles 50 µm
to less than 0.01 µm in size; although generally they are less than 1 µm in
diameter. Gases include organic gases such as hydrocarbons, aldehydes, and
ketones and inorganic gases (oxides of nitrogen and sulfur, carbon monoxide,
hydrogen sulfide, ammonia, and chlorine).

Manmade Sources
Air pollution in the United States is the result of industrialization and mecha-
nization. The major sources and pollutants are shown in Table 4.3. It can be seen
that carbon monoxide is the principal pollutant by weight and that the motor
vehicle is the major contributor, followed by industrial processes and stationary
fuel combustion. However, in terms of hazard, it is not the tons of pollutant that
is important but the toxicity or harm that can be done by the particular pollu-
tant released. Lead has shown the most dramatic reduction, due to the use of
nonleaded gasoline.
Agricultural spraying of pesticides, orchard-heating devices, exhaust from var-
ious commercial processes, rubber from tires, mists from spray-type cooling
towers, and the use of cleaning solvents and household chemicals add to the
pollution load. Toxic pollutant emissions and their fate in the environment need
further study.
Particulates, gases, and vapors that find their way into the air without being
vented through a stack are referred to as fugitive emissions. They include uncon-
trolled releases from industrial processes, street dust, and dust from construction
and farm cultivation. These need to be controlled at the source on an individual
basis.
Wood stoves contribute significantly to air pollution. This type of pollution
is a potential health threat to children with asthma and elderly people with
chronic lung problems. Wood stove use may have to be limited. Stoves are
being redesigned to keep the air pollution at acceptable levels.

Natural Sources
Discussions of air pollution frequently overlook the natural sources. These include
dust, plant and tree pollens, arboreal emissions, bacteria and spores, gases and
dusts from forest and grass fires, ocean sprays and fog, esters and terpenes from

∗
A micron (µm) is 1/1000 of a millimeter, or 1/25,000 of an inch. Particles of 10 µm and larger in
size can be seen with the naked eye.
322 AIR POLLUTION AND NOISE CONTROL

TABLE 4.3 Air Pollution According to Source and Type of Pollutant: United
States, Selected Years 1970–1998

Year All Sources On-Road Nonroad Stationary Industrial Waste Other

Transportation Engines Fuel Process Disposal
and Combustion and
Vehicles Recycling

Carbon Monoxide (Millions of Short Tons)

1970 129.4 88.0 12.0 4.6 9.8 7.1 7.9
1975 116.8 83.1 13.1 4.5 7.5 3.2 5.3
1980 117.4 78.0 14.5 7.3 7.0 2.3 8.3
1985 117.0 77.4 16.0 8.5 5.2 1.9 8.0
1987 108.4 71.2 14.5 7.0 4.9 1.9 8.9
1988 118.7 71.1 17.3 7.4 5.2 1.8 16.0
1989 106.4 66.1 17.8 7.4 5.2 1.7 8.2
1990 98.5 57.8 18.2 5.5 4.7 1.1 11.2
1991 100.9 62.1 18.6 5.9 4.6 1.1 8.7
1992 97.6 59.9 19.0 6.2 4.5 1.1 7.0
1993 98.2 60.2 19.4 5.6 4.6 1.2 7.1
1994 102.6 61.8 19.8 5.5 4.6 1.2 9.7
1995 93.4 54.1 20.2 5.9 4.6 1.2 7.3
1996 95.5 53.3 20.2 6.1 3.5 1.1 11.2
1997 94.4 51.7 20.3 5.4 3.6 1.1 12.2
1998 89.5 50.4 19.9 5.4 3.6 1.2 9.0
Nitrogen Oxides (Millions of Short Tons)
1970 20.9 7.4 1.9 10.1 0.8 0.4 0.3
1975 22.6 8.6 2.6 10.5 0.5 0.2 0.2
1980 24.4 8.6 3.5 11.3 0.6 0.1 0.2
1985 23.2 8.1 3.9 10.0 0.8 0.1 0.3
1988 24.1 7.7 4.4 10.5 0.8 0.1 0.7
1989 23.9 7.7 4.5 10.5 0.8 0.1 0.3
1990 24.0 7.1 4.8 10.9 0.8 0.1 0.4
1991 24.2 7.5 4.9 10.8 0.7 0.1 0.3
1992 24.6 7.6 4.9 10.9 0.8 0.1 0.3
1993 25.0 7.8 4.9 11.1 0.7 0.1 0.2
1994 25.4 8.1 5.0 11.0 0.8 0.1 0.4
1995 24.9 7.8 5.1 10.8 0.8 0.1 0.3
1996 24.7 7.8 5.2 10.4 0.7 0.1 0.5
1997 24.8 7.9 5.3 10.4 0.8 0.1 0.4
1998 24.5 7.8 5.3 10.2 0.8 0.1 0.3
Volatile Organic Compounds (VOCs) (Millions of Short Tons)
1970 31.0 13.0 1.9 0.7 3.2 2.0 10.2
1975 26.1 10.5 2.1 0.7 3.3 1.0 8.5
1980 26.3 9.0 2.3 1.0 3.5 0.8 9.7
1985 24.4 9.4 2.4 1.6 2.0 1.0 8.0
1988 24.3 8.3 2.6 1.4 2.1 1.0 9.0
1989 22.5 7.2 2.6 1.4 2.1 0.9 8.4
1990 20.9 6.3 2.5 1.0 1.8 1.0 8.3
 SOURCES AND TYPES OF AIR POLLUTION 323

TABLE 4.3 (continued )

Year All Sources On-Road Nonroad Stationary Industrial Waste Other

Transportation Engines Fuel Process Disposal
and Combustion and
Vehicles Recycling

1991 21.1 6.5 2.6 1.1 1.9 1.0 8.1

1992 20.7 6.1 2.6 1.1 1.9 1.0 8.0
1993 20.9 6.1 2.6 1.0 1.9 1.0 8.2
1994 21.5 6.4 2.7 1.0 1.9 1.0 8.5
1995 20.8 5.7 2.7 1.1 1.9 1.1 8.4
1996 18.7 5.5 2.7 1.0 1.4 0.4 7.7
1997 18.9 5.3 2.6 0.9 1.4 0.4 8.2
1998 17.9 5.3 2.5 0.9 1.4 0.4 7.4
Sulfur Dioxide (Millions of Short Tons)
1970 31.2 0.4 0.1 23.5 7.1 a 0.1
1975 28.0 0.5 0.1 22.7 4.7 a a
1980 25.9 0.5 0.2 21.4 3.8 a a
1985 23.7 0.5 0.6 20.0 2.4 a a
1988 23.1 0.6 0.7 19.8 2.0 a a
1989 23.3 0.6 0.8 19.9 2.0 a a
1990 23.7 0.5 0.9 20.3 1.9 a a
1991 23.0 0.6 0.9 19.8 1.7 a a
1992 22.8 0.6 1.0 19.5 1.7 a a
1993 22.5 0.5 1.0 19.2 1.6 0.1 a
1994 21.9 0.3 1.0 18.9 1.6 0.1 a
1995 19.2 0.3 1.0 16.2 1.6 a a
1996 19.1 0.3 1.0 16.3 1.4 a a
1997 19.6 0.3 1.0 16.7 1.5 a a
1998 19.6 0.3 1.1 16.7 1.5 a a
PM10 (Millions of Short Tons)
1988 61.1 0.4 0.5 1.4 0.9 0.3 57.7
1989 53.1 0.4 0.5 1.4 0.9 0.3 49.7
1990 30.0 0.3 0.5 1.2 0.9 0.3 26.7
1991 29.6 0.3 0.5 1.1 0.9 0.3 26.4
1992 29.5 0.3 0.5 1.2 0.9 0.3 26.3
1993 28.0 0.3 0.5 1.1 0.8 0.3 25.0
1994 30.9 0.3 0.5 1.1 0.8 0.3 27.9
1995 27.1 0.3 0.5 1.2 0.8 0.3 24.0
1990 30.0 0.3 0.5 1.2 0.9 0.3 26.7
1991 29.6 0.3 0.5 1.1 0.9 0.3 26.4
1992 29.5 0.3 0.5 1.2 0.9 0.3 26.3
1993 28.0 0.3 0.5 1.1 0.8 0.3 25.0
1994 30.9 0.3 0.5 1.1 0.8 0.3 27.9
1995 27.1 0.3 0.5 1.2 0.8 0.3 24.0
1996 33.0 0.3 0.5 1.2 0.6 0.3 30.2
1997 34.2 0.3 0.5 1.1 0.6 0.3 31.5
1998 34.7 0.3 0.5 1.1 0.6 0.3 32.0
(continues)
324 AIR POLLUTION AND NOISE CONTROL

TABLE 4.3 (continued )

Year All Sources On-Road Nonroad Stationary Industrial Waste Other

Transportation Engines Fuel Process Disposal
and Combustion and
Vehicles Recycling

PM2.5 (Millions of Short Tons)

1990 8.0 0.3 0.4 0.9 0.5 0.2 5.6
1991 7.7 0.3 0.4 0.9 0.5 0.2 5.4
1992 7.6 0.3 0.4 0.9 0.5 0.2 5.2
1993 7.3 0.3 0.4 0.9 0.4 0.3 5.1
1994 8.0 0.3 0.4 0.8 0.5 0.3 5.7
1995 7.2 0.2 0.4 0.9 0.5 0.2 4.9
1996 8.2 0.2 0.4 0.9 0.3 0.2 6.1
1997 8.5 0.2 0.4 0.8 0.4 0.2 6.5
1998 8.4 0.2 0.4 0.8 0.4 0.2 6.4
Lead (Thousands of Short Tons)
1970 220.9 172.0 9.7 10.6 26.4 2.2 b
1975 159.7 130.2 6.1 10.3 11.4 1.6 b
1980 74.2 60.5 4.2 4.3 3.9 1.2 b
1985 22.9 18.1 0.9 0.5 2.5 0.9 b
1988 7.1 2.6 0.9 0.5 2.3 0.8 b
1989 5.5 1.0 0.8 0.5 2.4 0.8 b
1990 5.0 0.4 0.8 0.5 2.5 0.8 b
1991 4.2 a 0.6 0.5 2.3 0.8 b
1992 3.8 a 0.6 0.5 1.9 0.8 b
1993 3.9 a 0.5 0.5 2.0 0.8 b
1994 4.0 a 0.5 0.5 2.2 0.8 b
1995 3.9 a 0.5 0.5 2.3 0.6 b
1996 3.9 a 0.5 0.5 2.3 0.6 b
1997 4.0 a 0.5 0.5 2.3 0.6 b
1998 4.0 a 0.5 0.5 2.3 0.6 b
a Emissions less than 0.05 million short tons per year (less than 0.05 thousand short tons per year in

the case of lead emissions).

b No emissions calculated.

Note: Data are calculated emissions estimates, PM10 , PM2.5 = particulate matter, particles less than
10 and 2.5 µm in diameter.
Sources: Office of Air Quality Planning and Standards, National Air Pollutant Emission Estimates,
1900–1998 , EPA 454/R-00-002, U.S. Environmental Protection Agency, Research Triangle Park,
NC, March 2000.

vegetation, ozone and nitrogen dioxide from lightning, ash and gases (SO2 , HCl,
HF, H2 S) from volcanoes, natural radioactivity, and microorganisms such as
bacteria, spores, molds, or fungi from plant decay. Most of these are beyond
control or of limited significance.
Ozone is found in the stratosphere at an altitude beginning at 7 to 10 miles.
The principal natural sources of ozone in the lower atmosphere are lightning
 SOURCES AND TYPES OF AIR POLLUTION 325

discharges and, in small amount, reactions involving volatile organic compounds

released by forests and other vegetation. Ozone is also formed naturally in the
upper atmosphere by a photochemical reaction with UV solar radiation.

Types of Air Pollutants

The types of air pollutants are related to the original material used for combustion
or processing, the impurities it contains, the actual emissions, and reactions in
the atmosphere. See Table 4.3. A primary pollutant is one that is found in the
atmosphere in the same form as it exists when emitted from the stack; sulfur
dioxide, nitrogen dioxide, and hydrocarbons are examples. A secondary pollutant
is one that is formed in the atmosphere as a result of reactions such as hydrolysis,
oxidation, and photochemistry; photochemical smog is an example.
Most combustible materials are composed of hydrocarbons. If the combus-
tion of gasoline, oil, or coal, for example, is inefficient, unburned hydrocarbons,
smoke, carbon monoxide, and, to a lesser degree, aldehydes and organic acids
are released.
The use of automobile catalytic converters to control carbon monoxide and
hydrocarbon emissions causes some increase in sulfates and sulfuric acid emis-
sions, but this is considered to be of minor significance. The elimination of lead
from gasoline has, in some cases, led to the substitution of manganese for anti-
knock purposes, with the consequent release of manganese compounds, which
are also potentially toxic.
Impurities in combustible hydrocarbons (coal and oil), such as sulfur, combine
with oxygen to produce SO2 when burned. The SO2 subsequently may form
sulfuric acid and other sulfates in the atmosphere. Oxides of nitrogen, from
high-temperature combustion in electric utility and industrial boilers and motor
vehicles [above 1,200◦ F (649◦ C)], are released mostly as NO2 and NO. The
source of nitrogen is principally the air used in combustion. Some fuels contain
substantial amounts of nitrogen, and these also react to form NO2 and NO.
Fluorides and other fuel impurities may be carried out with the hot stack gases.
(The role of sulfur and nitrogen oxides in acid rain is discussed earlier in this
chapter.)
Photochemical oxidants∗ are produced in the lower atmosphere (troposphere)
as a result of the reaction of oxides of nitrogen and volatile organics in the
presence of solar radiation, as previously noted. Ozone may contribute to smog,
respiratory problems, and damage to crops and forests (as previously stated).
Of the sources just noted, industrial processes are the principal source of
volatile organics (hydrocarbons), with transportation the next largest contributor.
Stationary fuel combustion plants and motor vehicles are the major sources of
nitrogen oxides. Ozone, the principal component of modern smog, is the photo-
chemical oxidant actually measured, which is about 90 percent of the total (see
p. 9 of Ref. 23). Ozone and other photochemical products formed are usually
found at some distance from the source of the precursor compounds.

∗
Including ozone, PANs, formaldehydes, and peroxides. Nitrogen dioxide colors air reddish-brown.
326 AIR POLLUTION AND NOISE CONTROL

SAMPLING AND MEASUREMENT

State and local government agencies participate in the EPA national air qual-
ity monitoring system. The EPA focuses on the National Ambient Air Quality
Standards—airborne particulate matter, sulfur dioxide, ozone, and lead—in over
4,000 locations across the United States.32
Air-sampling devices are used to detect and measure smoke, particulates, acid
deposition, and gaseous contaminants. The equipment selected and used and its
siting are determined by the problem being studied and the purpose to be served.
Representative samples free from external contamination must be collected and
readings or analyses standardized to obtain valid data. Supporting meteorological
and other environmental information are needed to properly interpret the data col-
lected. Continuous sampling equipment should be selected with great care. The
accuracy and precision of equipment needs to be demonstrated to ensure that it
will perform the assigned task with a minimum of calibration and maintenance.
Reliable instruments are available for the monitoring of ambient air parame-
ters, such as those listed in Table 4.4. Other instruments such as for opacity,
hydrocarbons, and sulfur are also available.

TABLE 4.4 Measurement Methods for Ambient Air Quality Parameters

Pollutant Measurement Methods

SO2 Ultraviolet pulsed fluorescence, flame photometry,

coulometric; dilution or permeation tube calibrators
CO Nondispersive infrared tank gas and dilution calibration,
gas filter correlation
O3 Gas-phase chemiluminescence ultraviolet (UV)
spectrometry; ozone UV generators and UV
spectrometer or gas-phase titration (GPT) calibrators
NO2 Chemiluminescence permeation or GPT calibration
Lead High-volume sampler and atomic absorption analysis
PM10 a Tapered-element oscillating microbalance, automated
beta gauge
PM2.5 Twenty-four-hour filter sampling
TSPsb High-volume sampler and weight determination
Sulfates, nitrates High-volume sampler and chemical analysis—deposit
dissolved and analyzed colorimetrically
Hydrocarbons Flame ionization and gas chromatographyc ; calibration
with methane tank gas
Asbestos and other Induced oscillation/optical scattering, microscope, and
fibrous aerosols electron microscope
Biologic aerosols Impaction (Petri dish), incubated 24 hr and microbial
colonies counted
a
10 µm or small particle.
b
Total suspended particulates. type, size, and composition are important.
c
Not generally required to measure these if O3 is measured.
 SAMPLING AND MEASUREMENT 327

A continuous air-quality monitoring system for the measurement of selected

gaseous air pollutants, particulates, and meteorological conditions over a large
geographical area can make possible immediate intelligence and reaction when
ambient air quality levels or emissions increase beyond established standards. In
the system, each monitoring station sends data to a data reception center, say
every hour, via telephone lines or other communication network. The collected
data are processed by computer and visually displayed for indicated action. Field
operators who can perform weekly maintenance and calibration checks and a
trained central technical staff to coordinate and scrutinize the overall daily mon-
itoring system operation and data validation are essential for the production of
usable and valid “real-time” data.33
The air monitoring data can be used to measure ambient air quality and its
compliance with state and national standards; detect major local source air quality
violations; provide immediate information for a statewide air pollution episode
alert warning system; provide long-term air quality data to meet public and private
sector data needs, such as for environmental planning and environmental impact
analysis; determine long-term air pollution concentrations and trends in a state;
and provide air quality information to the public.
A continuous air quality monitoring system requires use of continuously
operating analyzers of a design that measures ambient concentrations of speci-
fied air pollutants in accordance with EPA “reference methods” or “equivalent
methods.”34 The EPA designates air pollution analyzers after reviewing extensive
test data submitted by the manufacturers for their instrumentation. Only analyz-
ers designated as reference or equivalent methods may be used in ambient air
monitoring networks to define air quality. This is necessary to ensure correct
measurements and operation, thereby promoting uniformity and comparability of
data used to define national ambient air quality.
The EPA has specified35 a detailed ambient monitoring program for use by
states, local government, and industry. Included in the program are formal data
quality assurance programs, monitoring network design, probe (air intake) siting,
methodology, and data reporting requirements. The EPA has specified a daily
uniform air pollution index known as the pollutant standard index (or PSI) for
public use in comparing air quality. The PSI values are discussed and summarized
later in Table 4.7.
Types of analyzers used to measure national ambient air quality parameters
are summarized in Table 4.4. Continuous analyzers utilizing “gas-phase” mea-
surements with electronic designs, rather than “wet chemistry” measurements,
are preferred as they are more accurate and reliable. However, inasmuch as not
all regulatory agencies, particularly those at a local level, have the resources or
need for sophisticated equipment, other devices are also mentioned here.

Particulate Sampling—Ambient Air

Measurements needing much more development are in the area of particulates,
where inhalable particles sizing (less than 10−3 µm), identification, metals, sul-
fates, and nitrates are important. Particulates can also be collected and tested for
328 AIR POLLUTION AND NOISE CONTROL

their mutagenic properties. Of all the particulate ambient air sampling devices,
the high-volume sampler is the one most commonly used in the United States,
although alternate continuous monitoring devices are increasingly being used.
Other devices also have application for the collection of different-sized particu-
lates.
High-volume (Hi-vol ) samplers pass a measured high rate of (40–60 cfm)
through a special filter paper (or fiberglass), usually for a 24-hour period. The
filter is weighed before and after exposure, and the change in weight is a measure
of the suspended particulate matter in (PM) in micrometers per square meter
of air filtered. The particulates can be analyzed for weight, particle size (usu-
ally between 50 and 0.1 µm), composition (such as benzene solubles, nitrates,
lead, and sulfates), and radioactivity. Particle size selective inlets can be put
on high-volume samplers, and samples can be separated into two parts using
impactor principles, those in the particle size ranging above and below 2 to
3 µm. There is more interest in measuring 10 µm or smaller particles (PM10 )
since they penetrate deeper into the respiratory tract and are more likely to cause
adverse health effects.
High-volume sampling is the EPA reference method. Air flow measurement
is very important. An orifice with a manometer is recommended for flow mea-
surement.
Sedimentation and settling devices include fallout or dustfall jars, settling
chambers or boxes, Petri dishes, coated metal sheets or trays, and gum-paper
stands for the collection of particulates that settle out. Vertically mounted adhe-
sive papers or cylinders coated with petroleum jelly can indicate the directional
origin of contaminants. Dustfall is usually reported as milligrams per centimeter
squared per month. Particulates can also be measured for radioactivity.
The automatic (tape) smoke sampler collects suspended material on a filter
tape that is automatically exposed for predetermined intervals over an extended
period of time. The opacity of the deposits or spots on the tape to the transmission
or reflectance of light from a standard source is a measure of the air pollution.
This instrument provides a continuous electrical output that can be telemetered
to give immediate data on particulates. Thus, the data are available without the
delay of waiting for laboratory analysis of the high-volume filter. The equipment
is used primarily to indicate the dirtiness of the atmosphere and does not directly
measure the particulate total suspended particulate (TSP) ambient air quality
standard.
Inertial or centrifugal collection equipment operates on the cyclone collection
principle. Large particles above 1 µm in diameter are collected, although the
equipment is most efficient for the collection of particles larger than 10 µm.
Impingers separate particles by causing the gas stream to make sudden changes
in direction in passing through the equipment. The wet impinger is used for the
collection of small particles, the dry impinger for the larger particles. In the dry
impinger, a special surface is provided on which the particles collide and adhere.
 SAMPLING AND MEASUREMENT 329

In the cascade impactor, the velocities of the gas stream vary, making possi-
ble the sorting and collection of different-sized particles on special microscopic
slides. Particulates in the range of 0.7 to 50 µm are collected.
Electrostatic precipitator-type sampling devices operate on the ionization prin-
ciple using a platinum electrode. Particles less than 1 µm in size collect on an
electrode of opposite charge and are then removed for examination. Combustible
gases, if present, can affect results.
Nuclei counters measure the number of condensation nuclei in the atmosphere.
They are a useful reference for weather commentators. A sample of air is drawn
through the instrument, raised to 100 percent relative humidity, and expanded
adiabatically, with resultant condensation on the nuclei present. The droplets
formed scatter light in proportion to the number of water droplets, which are
counted by a photomultiplier tube. Concentrations of condensation nuclei may
range from 10 to 10,000,000 particles/cm3 .36 Condensation nuclei are believed
to result from a combination of natural and man-made causes, including air
pollution. A particle count above 50,000 is said to be characteristic of an urban
area.
Pollen samplers generally use petroleum-jelly-coated slides placed on a cov-
ered stand in a suitable area. The slides are usually exposed for 24 hours, and the
pollen grains are counted with the aid of a microscope. The counts are reported as
grains per centimeter squared. See Chapter 2 for ragweed control and sampling.

Gas Sampling
Gas sampling requires separation of the gas or gases being sampled from other
gases present. The temperature and pressure conditions under which a sample is
collected must be accurately noted. The pressure of a gas mixture is the sum of
the individual gas pressures, as each gas has its own pressure. The volumes of
individual gases at the same pressure in a mixture are also additive. Concentra-
tions of gases when reported in terms of ppm and ppb are by volume rather than
by weight.∗ Proper sampling and interpretation of results require competency
and experience, knowledge concerning the conditions under which the samples
are collected, and an understanding of the limitations of the testing procedures.
Automated and manual instruments and equipment for gas sampling and analysis
include the following.

Pulsed Fluorescent Analyzer This instrument measures sulfur dioxide by

means of absorption of UV light. 37 Pulsating UV light is focused through a
narrow-bandpass filter that reduces the outgoing light to a narrow wavelength
band of 230 to 190 nm and directs it into the fluorescent chamber. Ambient
air containing SO2 flows continuously through this chamber where the UV
light excites the SO2 molecules, which, in turn, emit their characteristic decay
radiation. This radiation, specific for SO2 , passes through a second filter and

∗
In either metric (SI) or customary (U.S.) units.
330 AIR POLLUTION AND NOISE CONTROL

onto a sensitive photomultiplier tube. This incoming light energy is transformed

electronically into an output voltage that is directly proportional to the con-
centration of SO2 in the sample air. The World Health Organization (WHO)
Global Environmental Monitoring System determinations use the following meth-
ods: acidimetric titration or hydrogen peroxide, the colormetric pararosaniline or
West-Gaeke, the amperometric or coulometric, and the conductimetric.

Atomic Spectrometry In atomic spectrometry a sample solution is atomized

into a flame that produces a characteristic and measurable spectrum of light wave-
lengths. Gas chromatography separates compounds that can be volatilized, while
liquid chromatography separates compounds that are not volatile. Mass spec-
trometry identifies a separated pure component by its characteristic mass spec-
trum. Sampling analytical methods for the examination of toxic and hazardous
organic materials include gas chromatography with flame ionization detector,
gas chromatography–mass spectrometry, gas chromatography–photoionization
detector, and electron capture. Calibration is accomplished through laboratory
standards and certified permeation tubes.
Some continuous monitoring instruments for atmospheric measurement of
pollution are quite elaborate and costly. The simplest readily available instru-
ment should be selected that meets the required sensitivity and specificity. Power
requirements, service, maintenance, calibration frequency, and time required to
collect and transmit information are important considerations.

Nitrogen Oxide Chemiluminescence Analyzer Nitric oxide (NO) is mea-

sured by the gas-phase chemiluminescent reaction between nitric oxide and
ozone.37 This technique is also used to determine nitrogen dioxide (NO2 ) by
catalytically reducing NO2 in the sample air to a quantitative amount of NO.
Sample air is drawn through a capillary into a chamber held at 25 in. Hg vac-
uum. Ozone produced by electrical discharge in oxygen is also introduced into
the chamber.
The luminescence resulting from the reaction between NO and ozone is
detected by a temperature-stabilized photomultiplier tube and wavelength filter.
An automatic valving system periodically diverts the sample air through a
heated activated-carbon catalyst bed to convert NO2 to NO before it enters
the reaction chamber. The sample measured from the converter is called NOx .
Since it contains the original NO plus NO produced from the NO2 conversion,
the differences between the sequential NOx and NO readings are reported as
NOx . Primary dynamic calibrations are performed with gas-phase titration using
ozone and nitric oxide standards and with NO2 permeation tubes.

Ozone Chemiluminescence Analyzer Ozone is measured by the gas-phase

chemiluminescence technique, which utilizes the reaction between ethylene and
ozone (O3 ).37 Sample air is drawn into a mixing chamber at a flow rate of 1 1/min,
where it is mixed with ethylene gas and introduced at a flow rate of 25 cc/min.
The luminescence resulting from the reaction of the ethylene with ambient ozone
 SAMPLING AND MEASUREMENT 331

in the air supply is detected by a temperature-stabilized photomultiplier tube.

This signal is then amplified and monitored by telemetry and on-site recorders.
These ozone instruments contain provision for weekly zero and span checks.
Primary dynamic calibrations are periodically performed that require standard-
ization against a known, artificially generated ozone atmosphere. Ozone is also
measured by UV light instrumentation.

Carbon Monoxide Infrared (IR) Analyzer This method utilizes dual-beam

photometers with detection accomplished by means of parallel absorption cham-
bers or cells that are separated by a movable diaphragm.37 The IR energy passes
into each chamber—one containing the sample with CO, the other containing the
reference gas. The reference gas heats up more than the ambient air sample with
CO because CO absorbs more of the IR energy. This results in higher temperature
and, hence, the volume–pressure in the reference chamber that is transmitted to
the separating diaphragm designed to provide an electrical output to measure the
CO concentration. However, it is necessary to remove water vapor interference
as the humidity in ambient air absorbed by IR energy can introduce a significant
error in CO readings. In one instrument (the EPA reference method), the interfer-
ence due to water vapor is eliminated by first passing one portion of the ambient
air sample through a catalytic converter, where CO is converted to CO2 prior to
entry into the reference chamber. The other half of the air sample containing CO
passes directly into the sample chamber. This procedure cancels out the effect of
moisture since both gas streams are identical except for the presence of CO.42
Carbon monoxide is also measured by gas-phase correlation.

Smoke and Soiling Measurement

Historically, smoke and/or opacity was measured by The Ringelmann smoke
chart.38 This consists of five∗ rectangular grids produced by black lines of definite
width and spacing on a white background. When held at a distance, about 50
feet from the observer, the grids appear to give shades of gray between white
and black. The grid shadings are compared with the pollution source (stack), and
the grid number closest to the shade of the pollution source is recorded. About
30 observations are made in 15 minutes, and a weighted average is computed
of the recorded Ringelmann numbers. The chart is used to determine whether
smoke emissions are within the standards established by law; the applicable law
is referenced to the chart. The system cannot be applied to dusts, mists, and
fumes. Inspectors need training in making smoke readings. A reading of zero
would correspond to all white; a reading of five would correspond to all black.
The Ringelmann chart has been replaced by a determination of the percent
opacity of a particular emission as seen by a trained observer.† For example,

∗
Reduced to four grids or charts in the United States. The width or thickness of lines and their
spacing in each grid or chart vary. A handy reduction of the Ringelmann smoke chart is the Power’s
Micro-Ringelmann available from Power, 33 West 42nd Street, New York, NY 10036.
†
See U.S. EPA Method 9, Appendix A, 40 CFR 60, 2001.
332 AIR POLLUTION AND NOISE CONTROL

a Ringelmann reading of 1 would correspond to an opacity of about 20 per-

cent.

Tape Sampler—Soiling Soiling can be indicated as RUDS (reflectance units

of dirt shade). One RUDS is defined as an optical reflectance of 0.01 caused
by 10,000 feet of air passing through 0.786 in.2 (1-in.-diameter circle) of filter
paper. A vacuum pump draws the air to be sampled through the filter tape. The
particles collected soil a spot on the tape. The tape is advanced automatically after
a 2-hour period; the air flow rate used is 0.455 cfm. A filter is used with the light
source that admits light with a wavelength of approximately 400 nm to measure
the light reference; this information can be sent to a monitor. The sampling time
period and air flow rate were chosen to conform with ASTM (American Society
for Testing and Materials) standards.

Tape Sampler—Coefficient of Haze (COH) The tape sampler can be

designed to measure light transmittance rather than reflectance. This will produce
soiling measurements expressed as COH, an index of contaminant concentration,
which is the EPA preferred method. The method is similar to that previously
outlined except the photocell is under the tape. White light is used. It is neces-
sary to automatically rezero the instrument near each spot to compensate for tape
thickness variation. The compensation is performed by solid-state electronics.
The automated filter tape air sampler can also be used to monitor some gases.
Special filter tapes are used to measure hydrogen sulfide, fluorides, and other
gases. The spots produced by the gaseous pollutant are chemically treated and
evaluated using the reflectance or transmission method.
Many of these measures of smoke and or opacity have been moved back to the
source (smoke stack) where more enforceable standards can be applied. Indus-
trial operation permits can require the installation of electronic opacity monitors.
These monitors measure either the transmission of light from a source to a sen-
sor across the stack (extinction) or the variability of light transmission across the
stack (scintillation). Inspectors may request operation records and maintenance
logs during facility inspection.

Stack Sampling
The collection of stack samples, such as fly ash and dust emissions, requires
special filters of known weight and a measure of the volume of gases sampled.
The sample must be collected at the same velocity at which the gases normally
pass through the stack. The gain in weight divided by the volume of gases
sampled corrected to 0◦ C (or 21◦ C) temperature and 760 mm Hg gives a measure
of the dust and fly ash going out of the stack, usually as grains per cubic foot.
When a series of samples is to be collected or measurements made, a sampling
train is put together. It may consist of a sampling nozzle, several impingers, a
freeze-out train, a weighed paper filter, dry gas meter, thermometers, and pump.
A common piece of equipment for boiler and incinerator stack sampling is
the Orsat apparatus. By passing a sample of the stack gas through each of three
 ENVIRONMENTAL FACTORS 333

different solutions, the percent carbon dioxide, carbon monoxide, and oxygen
constituents in the flue gas are measured. The remainder of the gas in the mixture
is usually assumed to be nitrogen. Special methods are used to test for other gases
and metals.
Tracer materials may be placed in a stack to indicate the effect of a pollution
source on the surrounding area. The tracer may be a fluorescent material, a dye,
a compound that can be made radioactive, a special substance or chemical, or
a characteristic odor-producing material. The tracer technique can be used in
reverse—that is, to detect the source of a particular pollutant, provided there are
no interfering sources.

Measurement of Materials’ Degradation

The direct effects of air pollution can be observed by exposing various materials
to the air at selected monitoring stations. The degradation of materials is mea-
sured for a selected period on a scale of 1 to 10, with 1.0 representing the least
degradation and 10.0 the worst, as related to the sample showing the least degra-
dation. Materials exposed and conditions measured include steel corrosion, dyed
fabric (nonspecific) for color fading, dyed fabric (NOx sensitive), dyed fabric
(ozone sensitive), dyed fabric (fabric soiling), dyed fabric (SO2 sensitive), silver
tarnishing, nylon deterioration, rubber cracking (crack depth), leather deteriora-
tion, copper pitting, and others. The samples are exposed for a selected period,
such as rubber, 7 days at a time; silver, 30 days at a time; nylon, 30 or 90 days
at a time; cotton, 90 days at a time; steel, 90 days and 1 year at a time; and zinc,
1 year at a time. Shrubs, trees, and other plants sensitive to certain contaminants
or pollutants can also be used to monitor the effects of air pollution.

ENVIRONMENTAL FACTORS

The behavior of pollutants released to the atmosphere is subject to diverse and

complex environmental factors associated with meteorology and topography.
Meteorology involves the physics, chemistry, and dynamics of the atmosphere
and includes many direct effects of the atmosphere on the earth’s surface, ocean,
and life. Topography refers to both the natural and manmade features of the
earth’s surface. The pollutants can be either accumulated or diluted, depending
on the nature and degree of the physical processes of transport, dispersion, and
removal and the chemical changes taking place. Because of the complexities of
pollutant behavior in the atmosphere, it is important to distinguish between the
activity of short-range primary pollutants (total suspended solids, sulfur dioxide),
to which micrometeorology applies, and long-range secondary pollutants (ozone,
acid rain), to which regional meteorology applies.
Within the scope of this text, the intention is not to provide a complete techni-
cal understanding of all the meteorological and topographical factors involved but
to provide an insight into the relationships to air pollution of the more important
processes.
334 AIR POLLUTION AND NOISE CONTROL

Meteorology
The meteorological elements that have the most direct and significant effects
on the distribution of air pollutants are wind speed and direction, solar radia-
tion, stability, and precipitation. Therefore, it is important to have a continuing
baseline of meteorological data, including these elements, to interpret and antic-
ipate probable effects of air pollution emissions. Data on temperature, humidity,
wind speed and direction, and precipitation are generally available through offi-
cial government weather agencies. The National Weather Service (formerly U.S.
Weather Bureau), Asheville, North Carolina, is a major source of information.
Other potential sources of information are local airports, stations of the state fire
weather service, military installations, public utilities and industrial complexes,
and colleges and universities.

Wind Wind is the motion of the air relative to the earth’s surface. Although it
is three-dimensional in its movement, generally only the horizontal components
are denoted when used because the vertical component is very much smaller
than the horizontal. This motion derives from the unequal heating of the earth’s
surface and the adjacent air, which in turn gives rise to a horizontal variation in
temperature and pressure. The variation in pressure (pressure gradient) constitutes
an imbalance in forces so that air motion from high toward low pressure is
generated.
The uneven heating of the surface occurs over various magnitudes of space,
resulting in different magnitudes of organized air motions (circulations) in the
atmosphere. Briefly, in descending order of importance, these are:

1. The primary or general (global) circulation associated with the large-scale

hemispheric motions between the tropical and polar regions
2. The secondary circulation associated with the relatively large-scale motions
of migrating pressure systems (highs and lows) developed by the unequal
distribution of large land and water masses
3. The tertiary circulation (local) associated with small-scale variations in
heating, such as valley winds and land and sea breezes

For a particular area, the total effect of these various circulations establishes
the hourly, daily, and seasonal variations in wind speed and direction. With
respect to a known source or distribution of sources of pollutants, the frequency
distribution of wind direction will indicate toward which areas the pollutants will
most frequently be transported. It is customary to present long-term wind data at
a given location graphically in the form of a wind rose, an example of which is
shown in Figure 4.1.
The concentration resulting from a continuous emission of a pollutant is
inversely proportional to wind speed. The higher the wind speed, the greater
the separation of the particles or molecules of the pollutant as they are emitted,
and vice versa. This is shown graphically in Figure 4.2a. Wind speed, therefore,
is an indicator of the degree of dispersion of the pollutant and contributes to the
 ENVIRONMENTAL FACTORS 335

FIGURE 4.1 Example of wind rose for a designated period of time, by month, season,
or year. The positions of the spokes show the direction from which the wind was blowing.
The total length of the spoke is the percentage of time, for the reporting period, that the
wind was blowing from that direction. The length of the segments into which each spoke
is divided is the percentage of time the wind was blowing from that direction at the
indicated speed in miles per hour. Horizontal wind speed and direction can vary with
height.

determination of the area most adversely affected by an emission. Although an

area may be located in the most frequently occurring downwind direction from a
source, the wind speeds associated with this direction may be quite high so that
resulting pollutant concentrations will be low as compared to another direction
occurring less frequently but with lower wind speeds.
Smaller in scale than the tertiary circulation mentioned, there is a scale of air
motion that is extremely significant in the dispersion of pollutants. This is referred
to as the micrometeorological scale and consists of the very short term, on the
order of seconds and minutes, fluctuations in speed and direction. As opposed to
the “organized” circulations discussed previously, these air motions are rapid and
random and constitute the wind characteristic called turbulence. The turbulent
nature of the wind is readily evident upon watching the rapid movements of
a wind vane. These air motions provide the most effective mechanism for the
dispersion or dilution of a cloud or plume of pollutants. The turbulent fluctuations
occur in both the horizontal and vertical directions. The dispersive effect of
fluctuations in horizontal wind direction is shown graphically in Figure 4.2b.
336 AIR POLLUTION AND NOISE CONTROL

(a)

(b)

FIGURE 4.2 (a) Effect of wind speed on pollutant concentration from constant source;
(b) Effect of variability of wind direction on pollutant concentration from constant source
(continuous emission of 4 units/sec).

Turbulent motions are induced in the air flow in two ways: by thermal con-
vective currents resulting from heating from below (thermal turbulence) and by
disturbances or eddies resulting from the passage of air over irregular, rough
ground surfaces (mechanical turbulence).
It may be generally expected that turbulent motion and, in turn, the dispersive
ability of the atmosphere would be greatly enhanced during a period of good
solar heating and over relatively rough terrain.
Another characteristic of the wind that should be noted is that wind speed
generally increases with height in the lower levels. This is due to the decrease with
height of the “frictional drag” effect of the underlying ground surface features.

Stability and Instability The stability of the atmosphere is its ability to

enhance or suppress vertical air motions. Under unstable conditions the air motion
is enhanced, and under stable conditions the air motion is suppressed. The con-
ditions are determined by the vertical distribution of temperature.
In vertical motion, parcels of air are displaced. Due to the decrease of pressure
with height, a parcel displaced upward will encounter decreased pressure and
expand. If this expansion process is relatively rapid or over a large area so that
there is little or no exchange of heat with the surrounding air or by a change of
 ENVIRONMENTAL FACTORS 337

state of water vapor, the process is dry adiabatic and the parcel of air will be
cooled. Likewise, if the displacement is downward so that an increase in pressure
and compression is experienced, the parcel of air will be heated.
The rate of cooling of a mass of warm dry air in a dry environment with height
is the dry adiabatic process lapse rate and is approximately −5.4◦ F/1,000 feet
(−1◦ C/100 m). The normal lapse rate (cooling) on the average is −3.5◦ F/1,000
feet (−0.65◦ C/100 m). This relationship holds true in the troposphere up to about
10 km (6 miles). Temperature increases above this level in the stratosphere.
The prevailing or environmental lapse rate is the decrease of temperature with
height that may exist at any particular time and place. It can be shown that if the
decrease of temperature with height is greater than −5.4◦ F/1,000 feet, parcels
displaced upward will attain temperatures higher than their surroundings. Air
parcels displaced downward will attain lower temperatures than their surround-
ings. The displaced parcels will tend to continue in the direction of displacement.
Under these conditions, the vertical motions are enhanced and the layer of air is
defined as unstable.
Furthermore, if the decrease of temperature with height is less than
−5.4◦ F/1,000 feet, it can be shown that air parcels displaced upward attain
temperatures lower than their surroundings and will tend to return to their
original positions. Air parcels displaced downward attain higher temperatures
than their surroundings and also tend to return to their original position. Under
these conditions, vertical motions are suppressed and the layer of air is defined
as “stable.”
Finally, if the decrease of temperature with height is equal to −5.4◦ F/1,000
feet, displaced air parcels attain temperatures equal to their surroundings and tend
to remain at their position of displacement. This is called neutral stability.

Inversions Up to this point, the prevailing temperature distribution in the verti-

cal has been referred to as a lapse rate, which indicates a decrease of temperature
with height. However, under certain meteorological conditions, the distribution
can be such that the temperature increases with height within a layer of air. This
is called an inversion and constitutes an extremely stable condition.
There are three types of inversions that develop in the atmosphere: radiational
(surface), subsidence (aloft), and frontal (aloft).
Radiational inversion is a phenomenon that develops at night under condi-
tions of relatively clear skies and very light winds. The earth’s surface cools
by reradiating the heat absorbed during the day. In turn, the adjacent air is also
cooled from below so that within the surface layer of air there is an increase of
temperature with height.
Subsidence inversion develops in high-pressure systems (generally associated
with fair weather) within a layer of air aloft when the air layer sinks to replace
air that has spread out at the surface. Upon descent, the air heats adiabatically,
attaining temperatures greater than the air below.
A condition of particular significance is the subsidence inversion that develops
with a stagnating high-pressure system. Under these conditions, the pressure gra-
dient becomes progressively weaker so that the winds become very light, resulting
338 AIR POLLUTION AND NOISE CONTROL

in a great reduction in the horizontal transport and dispersion of pollutants. At

the same time, the subsidence inversion aloft continuously descends, acting as
a barrier (lid) to the vertical dispersion of the pollutants. These conditions can
persist for several days so that the resulting accumulation of pollutants can cause
a serious health hazard.
Frontal inversion forms when air masses of different temperature characteris-
tics meet and interact so that warm air overruns cold air.
There are many and varied effects of stability conditions and inversions on
the transport and dispersion of pollutants in the atmosphere. In general, enhanced
vertical motions under unstable conditions increase the turbulent motions, thereby
enhancing the dispersion of the pollutants. Obviously, the stable conditions have
the opposite effect.
For stack emissions in inversions —depending on the elevation of emission
with respect to the distribution of stability in the lower layers of air—behavior
of the plumes can be affected in many different ways. On the one hand, pollutants
emitted within the layer of a surface-based (radiational) inversion by low stacks
can develop very high and hazardous concentrations at the surface level. On
the other hand, when pollutants are emitted from stacks at a level aloft within
the surface inversion, the stability of the air tends to maintain the pollutant at
this level, preventing it from reaching the surface. However, after sunrise and
continued radiation from the sun resulting in heating of the earth’s surface and
adjacent air, the inversion is “burned off.” Once this condition is reached, the
lower layer of air becomes unstable and all of the pollutant that has accumulated
at the level aloft is rapidly dispersed downward to the surface. This behavior is
called “fumigation” and can result in very high concentrations during the period.
See Figure 4.3.

Precipitation Precipitation constitutes an effective cleansing process of pol-

lutants in the atmosphere in three ways: the washing out or scavenging of large
particles by falling raindrops or snowflakes (washout), accumulation of small
particles in the formation of raindrops or snowflakes in clouds (rainout), and
removal of gaseous pollutants by dissolution and absorption.
The most effective and prevalent process is the washout of large particles,
particularly in the lower layer of the atmosphere, where most of the pollu-
tants are released. The efficiencies of the various processes depend on complex
relationships between properties of the pollutants and the characteristics of the
precipitation.

Topography
The topographic features of a region include both the natural (e.g., valleys,
oceans, rivers, lakes, foliages) and manmade (e.g., cities, bridges, roads, canals)
elements distributed within the region. These elements, per se, have little direct
effect on pollutants in the atmosphere. The prime significance of topography is its
effects on the meteorological elements. As stated previously, the variation in the
distribution of land and water masses gives rise to various types of circulations.
 ENVIRONMENTAL FACTORS 339

FIGURE 4.3 Diurnal and nocturnal variation of vertical mixing. (Source:

M. I. Weisburd, Field Operation and Enforcement Manual for Air Pollution, Vol. 1:
Organization and Basic Procedures, U.S. Environmental Protection Agency, Office of
Air Programs, Research Triangle Park, NC, 1972, p. 1.24.)

Of particular significance are the local or small-scale circulations that develop.

These circulations can contribute either favorably or unfavorably to the transport
and dispersion of the pollutants.
Along a coastline during periods of weak pressure gradient, intense heating of
the land surface, as opposed to the lesser heating of the contiguous water surface,
develops a temperature and pressure differential that generates an onshore air
circulation. This circulation can extend to a considerable distance inland. At
times during stagnating high-pressure systems, when the transport and dispersion
of pollutants have been greatly reduced, this short-period afternoon increase in
airflow may well prevent the critical accumulation of pollutants.
In valley regions, particularly in the winter, intense surface inversions are
developed by the drainage down the slopes of air cooled by the radiationally
cooled valley wall surfaces. Bottom valley areas that are significantly populated
and industrialized can be subject to critical accumulation of pollutants during
these periods.
The increased roughness of the surface created by the widespread distribution
of buildings throughout a city can significantly enhance the turbulence of the
airflow over the city, thereby improving the dispersion of the pollutants emitted.
340 AIR POLLUTION AND NOISE CONTROL

But at the same time the concrete, stone, and brick buildings and asphalt streets
of the city act as a heat reservoir for the radiation received from the sun during
the day. This, plus the added heat from nighttime space heating during the cool
months of the year, creates a temperature and pressure differential between the
city and the surrounding rural area so that a local circulation inward to the city
is developed. The circulation tends to concentrate the pollutants in the city. This
phenomenon called the urban heat island effect.
Areas on the windward side of mountain ranges can expect added precipitation
due to the forced rising, expansion, and cooling of the moving air mass with
resultant release of available moisture. This increased precipitation serves to
increase the removal of the pollutants.
It is apparent, then, that topographical features can have many and diverse
effects in the meteorological elements and the behavior of pollutants in the atmo-
sphere.

AIR POLLUTION SURVEYS

An air pollution survey of a region having common topographical and meteoro-

logical characteristics is a necessary first step before a meaningful air resources
management plan and program can be established. The survey includes an inven-
tory of source emissions and a contaminant and meteorological sampling network,
supplemented by study of basic demographic, economic, land-use, and social
factors.

Inventory
The inventory includes the location, height, exit velocity, and temperature of
emission sources and identification of the processes involved; the air pollution
control devices installed and their effectiveness; and the pounds or tons of specific
air pollutants emitted per day, week, month, and year, together with daily and
seasonal variations in production. Inventories of area sources (e.g., home heating,
small dry cleaners) can be done simply through fuel use and solvent sales data.
The emissions are calculated from emission tables or by material balance. An esti-
mate can then be made of the total pollution burden on the atmospheric resources
of any given air basin.39 Tables have been developed to assist in the calculation
of the amounts and types of contaminants released; they can also be used to check
on information received through personal visits, questionnaires, telephone calls,
government reports, and technical and scientific literature.40 Additional sources
of information are the complaint files of the health department, municipal and pri-
vate agencies, published information, university studies, state and local chamber
of commerce reports and files, and results of traffic surveys as well the Census
of Housing local fuel and gasoline sales. Much of this material is now available
electronically via the Internet. Data about concentration of primary pollutants, for
example, are available via the Aerometric Information Retrieval System (AIRS)
at www.epa.gov/airs.
 AIR POLLUTION SURVEYS 341

Air Sampling
Air and meteorological sampling equipment located in the survey area will vary,
depending on a number of factors such as land area, topography, population den-
sities, industrial complexes, and manpower and budget availability. A minimum
number of stations is necessary to obtain meaningful data.
Specific sampling sites for a comprehensive survey or for monitoring are
selected on the basis of objective, scope, and budgetary limitations; accessibil-
ity for year-round operation, availability of reliable electrical power, amount
and type of equipment available, program duration, and personnel available to
operate stations; meteorology of the area, topography, adjacent obstructions, and
vertical and horizontal distribution of equipment; and sampler operator problems,
space requirements, protection of equipment and site, possible hazards, and pub-
lic attitude toward the program.41 The EPA can provide monitoring and siting
guidance.42 Careful attention must also be given to the elimination of sampling
bias and variables as related to size of sample, rate of sampling, collection and
equipment limitations, and analytical limitations.

Basic Studies and Analyses

Basic studies include population densities and projections; land-use analysis;
mapping; and economic studies and proposals, including industrialization, trans-
portation systems, community institutions, environmental health and engineering
considerations, relationship to federal, state, and local planning, and related fac-
tors. Liaison with other planning agencies can be helpful in obtaining needed
information that may already be available.
When all the data from the emission inventory, air sampling, and basic studies
are collected, analyzed, and evaluated, a report is usually prepared. The analy-
sis step should include calculations to show how the pollutants released to the
atmosphere are dispersed and their possible effects under existing conditions and
with future development.
Mathematical models could be developed, or commercially available mod-
eling packages could be utilized, based on certain assumptions and the data
collected, to estimate the pollution levels that might result under various emis-
sion, topographical, and meteorological conditions. A data bank and a system
for the collection and retrieval of information would generally be indicated. The
approximate cost to achieve selected levels of air quality (for health, aesthetic,
plant, and animal considerations) and the possible effect on industrial expansion,
transportation modes and systems, availability and cost of fuel, and community
goals and objectives should be determined. See also “Planning and Zoning” and
“Air Quality Modeling,” later in this chapter.
The report would recommend air quality objectives based on EPA standards
for areas in the region studied based on existing and proposed land uses. This will
require consultation and coordination with state and local planning agencies.43
Short- and long-term objectives and priorities should be established to achieve
the desired air quality. Recommendations to reduce air pollution might include
342 AIR POLLUTION AND NOISE CONTROL

control of pollutant emissions and limits in designated areas and under hazardous
weather conditions and predictions; time schedules for starting control actions;
control of fuel composition; requirement of plans for new or altered emission
sources and approval of construction for compliance with emission standards;
denial of certain plan approvals and prohibition of activities, or requirement of
certain types of control devices; and performance standards to be met by existing
and new structures and facilities.
The report is then formally submitted to the regulatory agency, board, or
commission for further action. It would generally include recommendations for
needed laws, rules, and regulations and administrative organization and staffing
for the control of existing and new sources of air pollution.

AMBIENT AIR QUALITY STANDARDS∗

Topographic, meteorological, and land-use characteristics of areas within an air

region will vary. The social and economic development of an area will result in
different degrees of air pollution and demands for air quality. Because of this,
it is practical and reasonable to establish different levels of air purity for certain
areas within a region. However, any standards adopted must ensure, at a very
minimum, no adverse effects on human health.†

Federal Standards
The federal Air Quality Act of 1967 (Public Law 90-148) was amended in 1970,
1974, 1977, 1990, and 1997 and is now known as the Clean Air Act (CAA). The
original act was passed in 1955. Emissions from stationary sources and motor
vehicles are regulated under the act. Stationary sources must obtain permits that
specify the amount and type of allowable emissions from the air quality regula-
tory agency. Modifications to an existing facility are subject to the provisions of
the Act. The Act requires that the administrator of the EPA develop and issue

∗ “Ambient air” means that portion of the atmosphere, external to buildings, to which the general

public has access.

† In the United States national primary and secondary ambient air quality standards were promulgated

effective April 30, 1971. Primary ambient air quality standards are those that, in the judgment of
the EPA administrator, based on the air quality criteria and allowing an adequate margin of safety,
are required to protect the public health. Secondary ambient air quality standards are those that, in
the judgment of the administrator, based on the air quality criteria, are required to protect the public
welfare from any known or anticipated adverse effects associated with the presence of air pollutants
in the ambient air (on soil, water, vegetation, materials, animals, weather, visibility, personal comfort,
and well-being). In England (Ministry of Housing and Local Government 1966B), the standard states,
in part: “No emission discharged in such amount or manner as to constitute a demonstrable health
hazard in either the short or long term can be tolerated. Emissions, in terms of both concentration and
mass rate of emission, must be reduced to the lowest practicable amount.” In the Soviet Union, the
goal is protection from any agent in the atmosphere that can be demonstrated to produce physiological
effect, even if the effect cannot be shown to be harmful.
 AMBIENT AIR QUALITY STANDARDS 343

to the states criteria of air quality for the protection of public health and welfare
and further specifies that such criteria shall reflect the latest scientific knowl-
edge useful in indicating the kind and extent of all identifiable effects on health
and welfare that may be expected from the presence of an air contaminant, or
combination of contaminants, in varying quantities.
The act requires the administrator to designate interstate or intrastate air quality
control regions throughout the country as considered necessary to ensure adequate
implementation of air quality standards. These regions are to be designated on
the basis of meteorological, social, and political factors, which suggests that a
group of communities should be treated as a unit.
The federal Clean Air Act, as amended, requires that the administrator of
the EPA promulgate national ambient air quality standards (NAAQSs) for sulfur
oxides, particulate matter, carbon monoxide, photochemical oxidants, hydrocar-
bons, and nitrogen oxides. These standards are included in Table 4.5.
The act requires each state to adopt a plan that provides for the implementation,
maintenance, and enforcement of such national ambient air quality standards
within each air quality control region (or portion thereof) within the State (Title I,
Sec. 110 (a)(1)).
States are expected to attain the national primary ambient air quality standards
after approval by the administrator of the state plan. Both primary and secondary
federal standards apply nationwide; however, state standards may be more strin-
gent, except for motor vehicle emission standards, which are prescribed by law
(California is exempt).
The 1977 amendments to the Clean Air Act allow each state to classify clean
air areas as class I, where air quality has to remain virtually unchanged; class II,
where moderate industrial growth would be allowed; or class III, where more
intensive industrial activity would be permitted.
Class I areas shall include international parks, national wilderness areas
exceeding 5,000 acres, national memorial parks exceeding 5,000 acres, and
national parks exceeding 6,000 acres. This classification and designation was
made by Congress.
The EPA has expanded its concerns beyond the conventional air pollutants,
because of government agency and public concern and accidental toxic chemical
releases, to include the regulation of some 188 chemicals and chemical categories
that may be classified as hazardous air pollutants.∗ Chemicals may fall into an
acutely hazardous category depending on their dermal, oral, and inhalation effects,
which are based on the dose or concentration that will kill one-half of a group
of test animals (LD50 or LC50 ). A dermal dose less than 50 ppm, an oral dose
less than 25 ppm, and an inhalation dose less than 0.5 mg/l for up to 8 hrs would
qualify the chemical as an acutely hazardous air pollutant.44 Some hazardous
pollutants that deserve attention are listed in Table 4.6.
Air quality issues also arise from federal legislation, especially the Resource
Conservation and Recovery Act (RCRA), Comprehensive Environmental

∗
See the Clean Air Act of 1990.
 TABLE 4.5 National Ambient Air Quality Standards (NAAQS) in Effect in 1988

344
Primary (Health Related) Secondary (Welfare Related)
Standard Level
Pollutant Average Time Concentrationa Averaging Time Concentration
b 3
PM10 Annual arithmetic mean 50 µg/m Same as primary
24 hrb 150 µg/m3 Same as primary
PM2.5 Annual arithmetic mean 15 µg/m3 Same as primary
24 hr 65 µg/m3 Same as primary
SO2 Annual arithmetic mean 0.03 ppm (80 µg/m3 ) 3 hrc 1300 µg/m3 (0.50 ppm)
24 hrc 0.14 ppm
(365 µg/m3 )
CO 8 hrc 9 ppm No secondary
(10 mg/m3 ) standard
1 hrc 35 ppm No secondary
(40 mg/m3 ) standard
NO2 Annual arithmetic mean 0.053 ppm (100 µg/m3 ) Same as primary
O3 1 hr 0.12 ppm (235 µg/m3 ) Same as primary
Maximum daily 0.08 ppm Same as primary
8-hr averaged (157 µg/m3 )
Pb Maximum quarterly average 1.5 µg/m3 Same as primary
a
Parenthetical value is an approximately equivalent concentration.
b
TSP was the indicator pollutant for the original particulate matter (PM) standards. This standard has been replaced with the new PM10 standard and it is no
longer in effect. New PM standards were promulgated in 1987 using PM10 (particles less than 10 µm in diameter) as the new indicator pollutant. The annual
standard is attained when the expected annual arithmetic mean concentration is less than or equal to 50 µg/m3 ; the 24-hr standard is attained when the expected
number of days per calendar year above 150 µg/m3 is equal to or less than 1; as determined in accordance with Appendix K of the PM NAAQS .
c
Not to be exceeded more than once per year.
d
The standard is attained when the expected number of days per calendar year with maximum hourly average concentrations above 0.12 ppm is equal to or less
than 1, as determined in accordance with Appendix H of the Ozone NAAQS.
Source: National Ambient Air Quality Standards (NAAQS ) 2002 , U.S. Environmental Protection Agency, Office of Air Quality Planning and Standards Technical
Support Division, Research Triangle Park, NC, March 2002. Available: www.epa.gov/airs/criteria.html.
 AMBIENT AIR QUALITY STANDARDS 345

TABLE 4.6 Some Hazardous Air Pollutants

Acrylontrile Ethylene oxide

Arsenic Formaldehyde
Benzene Methylene chloride
1,3-Butadiene Nickel
Cadmium Perchloroethylene
Carbon tetrachloride Polycyclic organic matter
Chloroform Radionuclides
Chromium Trichloroethylene
Ethylene dichloride Glycol ethers

Response, Compensation, and Liability Act (CERCLA or Superfund), and the

Emergency Planning and Community Right-to-Know Act, also called Superfund
Amendments and Reauthorization Act Title III (SARA Title III). Of these, SARA
Title III has the most dramatic and far-reaching impact on industry regarding the
control of toxic chemicals in air. In addition, the EPA has proposed standards
limiting emissions of volatile organic pollutants from process vents and equip-
ment leaks at new and existing hazardous waste transfer, storage, treatment,
and disposal facilities. These regulations will impose additional air monitoring
and emission control responsibilities on RCRA-permitted facilities. Current air
quality aspects of RCRA apply to hazardous waste incinerators and land treat-
ment and disposal facilities as well as to remedial action to clean designated
sites.

Clean Air Act of 1990

The Clean Air Act amendments of 1990 have added significantly to potential
ambient air quality improvement. Some of the major features follow.
Title I deals with the attainment of ambient air quality standards. The EPA
may establish geographical boundaries and grade nonattainment areas that exceed
standards for carbon monoxide, ozone, and particulate matter. States must reduce
overall emissions, and the EPA can impose sanctions (loss of funds for highways
and construction) against states and cities for noncompliance.
Title II deals with mobile sources of air pollution. Stricter tailpipe emission
limits are established for oxides of nitrogen, hydrocarbons, and carbon monoxide.
Cleaner fuel and vehicles will be required in certain cities having ozone, smog,
or carbon monoxide problems.
Title III deals with the reduction and regulation of 188 toxic air emissions from
commercial and industrial sources and municipal incinerators. The “maximum
achievable control technology” will be required at existing, new, or modified
sources.
Title IV deals with the control of acid deposition, commonly referred to as
acid rain, primarily from plants burning fossil fuels. Reductions in sulfur dioxide
emissions will be required on an EPA-phased-time basis, taking into consideration
346 AIR POLLUTION AND NOISE CONTROL

location of sources and existing emissions. Emissions of nitrogen oxides are to

be reduced, and standards are to be issued by the EPA. Continuous monitoring of
sulfur dioxide, nitrogen oxides, and opacity will be required. Utilities may save,
buy, or sell pollution emission allowances.
Title V deals with the development and requirement of a permit system by the
EPA similar to the National Pollutant Discharge Elimination System used under
the Clean Water Act. All sources of toxic air pollutants will be required to obtain
an operating permit valid for up to five years. The permit will list the compliance
requirements; the program will be administered by the states.
Title VI deals with the phasing out of ozone-depleting chemicals, including
CFCs. halons, HCFCs, carbon tetrachloride, and methyl chloroform. Under the
law, CFCs, halons, and carbon tetrachloride are to be phased out by the year
2000. Methyl chloroform is to be phased out in 2002 and HCFCs by 2030.
Recycling of refrigerants from motor vehicle air-conditioning units is required.
The Act requires that assistance be provided to developing countries.
Title VII deals with enforcement. Corporations and corporate officials are sub-
ject to civil and criminal liabilities. The EPA may issue administrative penalties
of up to $200,000 and field citations up to $5,000. Also, private citizens or groups
may take action against violators.
Title VIII deals with the study of visibility impairment, regulation of air
pollution from outer continental shelf activities, monitoring of carbon dioxide
emissions by utilities, and grants for air pollution planning and control pro-
grams.
Title IX requires that the EPA conduct a research program that includes sam-
pling, measurement, monitoring, analysis, and modeling of air pollution.
Title X requires that the EPA ensure, to the extent possible, that 10 percent of
research funding be made available to disadvantaged business concerns.
Title XI authorizes a training and benefits program for workers who become
unemployed because of the Act.

Clean Air Act Amendments of 1997

In 1997, the EPA proposed more restrictive NAAQSs for ozone and particulate
matter. A new standard for particulate matter was drafted that regulated par-
ticulates less than 2.5 µm in diameter. These fine particulates are implicated in
respiratory distress because of their ability to penetrate deep into the lungs. The
proposed ozone standard reduced the permissible concentration to an 8-hour aver-
age of 0.080 ppm. This is in contrast to the previous 12-hour 0.120-ppm standard.
The EPA estimated these standards would affect 125 million people, including
35 million children in the United States. The proposed rules were challenged in
court in 1997 and remained in litigation until the Supreme Court of the United
States and subsequently the District of Columbia Circuit Court sided with the
EPA in 2002. The standards will should have a significant effect on the number of
communities that will have to address ground-level ozone issues. Mobile sources
of PM2.5 , such as heavy-duty diesel trucks, may also be significantly affected by
these amendments.
 CONTROLS 347

Pollutant Standards Index (PSI)

The pollutant standards index is a uniform method recommended∗ to classify and
report urban air quality. Five criteria pollutants are judged for the amount and
adverse effects on human health, as shown in Table 4.7. On that basis, the air
quality evaluated is designated as presenting “hazardous conditions” if the PSI
is greater than 300; “very unhealthful conditions” if the PSI is between 200 and
300; “unhealthful conditions” if the PSI is between 100 and 200; “moderate” if
the PSI is 50 to 100; and “good” if the PSI is between 0 and 50. The PSI for
one day rises above 100, that is, to the “Alert” level or higher, when any one
of the five criteria pollutants reaches a level that may be judged to have adverse
effects on human health.

CONTROLS

Air pollution involves a source such as a power-generating plant burning heavy

fuel oil; a production byproduct or waste such as particulates, vapors, or gases;
release of pollutants into the atmosphere, such as smoke or sulfur dioxide; trans-
mission by airflows; and receptors who are affected, such as people, animals,
plants, structures, and clothing. Controls can be applied at one or more points
between the source and the receptor, starting preferably at the source. The appli-
cation of control procedures and devices is more effective when supported by
public information, raw-material or production and process revision, and instal-
lation of proper air-cleaning equipment. Regulatory persuasion and, if necessary,
legal action would follow.

Source Control
Processes that are sources of air pollution include chemical reaction, evaporation,
crushing and grinding, drying and baking, and combinations of these operations.
For stationary combustion installations, such as fossil-fuel-fired electric gen-
erating stations and plants generating steam for space heating or processes, the
amounts and types of pollutants can be kept to a minimum using a fuel with less
air pollution potential. Some examples of the types and amounts of contaminants
from different types of fuels are given in Table 4.8. As can be seen, sulfur dioxide
is a major pollutant in all fuels. Its removal for health and environmental (acid
rain) reasons has a high priority.
Processes can also be designed and modified to reduce waste and the pollu-
tants produced at the source. This has been a fundamental step in the reduction
of industrial wastewater pollution and can certainly be applied to air pollution
control.

∗
Recommendation of task force consisting of the Council on Environmental Quality, the EPA,
Department of Commerce, National Oceanic and Atmospheric Administration, and the National
Bureau of Standards.
348
TABLE 4.7 Comparison of PSI Values with Pollutant Concentrations and Health Effects

Pollutant Levels
Index Air PM2.5 , SO2 , CO, O3 , NO2 , Health General Cautionary
Value Quality 24 hr 24 hr 8 hr 8 hr 1 hr Effect Health Statements
Level (µg/m3 ) (ppm) (ppm) (ppm) (ppm) Descriptor Effects

500 Significant harm 500 1.004 50.4 — 2.04 Hazardous Premature death of ill All persons should
and elderly. remain indoors,
Healthy people will keeping windows
experience adverse and doors closed.
symptoms that All persons should
affect their normal minimize physical
activity. exertion and avoid
traffic.
400 Emergency 350 0.804 40.4 — 1.64 Hazardous Premature onset of Elderly and persons
certain diseases in with existing
addition to diseases should
significant stay indoors and
aggravation of avoid physical
symptoms and exertion. General
decreased exercise populations should
tolerance in healthy avoid outdoor
persons. activity.
 300 Warning 250 0.604 30.4 0.374a 1.24 Very unhealthful Significant Elderly and persons
aggravation of with existing heart
symptoms and or lung disease
decreased exercise should stay indoors
tolerance in and reduce physical
persons with heart activity.
or lung disease,
with widespread
symptoms in the
healthy population.
200 Alert 150.4 0.304 15.4 0.124 0.65 Unhealthful Mild aggravation of Persons with existing
symptoms in heart or respiratory
susceptible persons, ailments should
with irritation reduce physical
symptoms in the exertion and
healthy population. outdoor activity.
100 Moderate 40.4 0.144 9.4 0.084 b Moderate
b
50 Good 15.4 0.034c 4.4 0.064
a
When 8-hr O2 concentrations exceed 0.374 ppm, air quality index (AQI) values of 301 or higher must be calculated with 1-hr O3 concentrations.
b NO
2 has no short-term NAAQS and can generate an AQI only above AQI value of 200.
c Annual primary National Ambient Air Quality Standards (NAAQS); see Table 4.5.

Source: Guideline for Public Reporting of Daily Air Quality— Pollutant Standards Index (PSI ), EPA 454/R-99-010, U.S. Environmental Protection Agency,
Office of Air Quality Planning and Standards (OAQPS), Research Triangle Park, NC, 1999, Table 7, p. 13.

349
350 AIR POLLUTION AND NOISE CONTROL

TABLE 4.8 Uncontrolled Contaminant Emissions (lb/106 Btu of Fuel)a

Contaminant Bituminous Anthracite Residual Distillate Natural

Coalb Coal Fuel Oil Fuel Oil Gas

Solids 0.39 (A)c 0.39 (A) 0.112 0.085 0.018

SO2 1.52 (S)d 1.52 (S) 1.046 (S) 1.120 (S) 0.006
NO2 0.82 0.70 0.439 0.365 0.200
Organics, 0.003 0.003 0.020 0.021 0.020
volatile
organic
carbon
Organic acids 1.150 0.595 0.714 0.765 0.003
Aldehydes <0.001 <0.001 0.007 0.014 0.005
NH3 0.078 0.040 0.047 0.050 0.020
CO 0.023 0.023 0.001 0.014 0.004
a
Typical fuel values:
Bituminous coal=25.629 m × 106 Btu/ton
Anthracite coal=25.721 m × 106 Btu/ton
Residual fuel oil=149.7 m × 106 Btu/106 gal
Distillate fuel oil=138.7 m × 106 Btu/106 gal
Natural gas=1029 Btu/ft3
b
Utility.
c
Contaminant emission in pounds=0.0630 × (A), where (A) is ash content in percent.
d
Contaminant emission in pounds=1.407 × (S), where (S) is sulfur content in percent.
Source: From E. W. Davis, Division of Air Resources, New York State Department of Environmental
Conservation, Albany, personal communication, 1990. An extensive collection of emission factors
is available from the EPA AP-42 at http://www.epa.gov/ttn/chief/ap42/index.html.

The internal combustion engine is a major producer of air pollutants. A change

from gasoline to another fuel or a major improvement in the efficiency of the
gasoline engine would attack that problem at the source. Inspection of cars and
light trucks for compliance with exhaust emissions standards can significantly
reduce hydrocarbon and carbon monoxide levels in the ambient air. Heavy-duty
gasoline trucks also add a large percentage of carbon monoxide and hydrocar-
bons; however, their reduction will require phasing out old trucks and catalytic
converter installation on new trucks. Reducing the lead content of gasoline and
capturing gasoline evaporation during handling from filling stations, petroleum
storage tanks, auto tanks, and carburetors are other means of source control.
Improved mass transit, use of bus lanes, reduced travel by personal car, better
traffic control for faster vehicle travel, and less stop-and-go are other means to
reduce emissions.
Significant air pollution control can be achieved by process and material
changes, recovery and recycling of waste materials, or product recovery, as by
collection of combustion product particles of value.
 CONTROLS 351

Proper design of basic equipment, provision of adequate solid waste collec-

tion service, elimination of open burning, and the upgrading or elimination of
inefficient apartment house, municipal, institutional, and commercial incinerators
also attack the problem at the source.
Proper operation and maintenance of production facilities and equipment will
often not only reduce air pollution but also save money. For example, air–fuel
ratios can determine the amount of unburned fuel going up the stack, combustion
temperature can affect the strain placed on equipment when operated beyond rated
capacity, and the competency of supervision can determine the quantity and type
of pollutants released and the quality of the product.

Emission Control Equipment

Municipal waste incinerators can emit hazardous levels of dioxins and other
organic chemicals, metals, and acid gases if not regulated. In view of this,
the EPA is requiring strict controls on air emissions from such facilities.45 In
addition to dioxins, the organics include furans, chlorobenzenes, chlorophenols,
formaldehyde, polycyclic aromatic hydrocarbons, and polychlorinated biphenyls.
The metals are arsenic, beryllium, cadmium, chromium, lead, and mercury. The
EPA believes that proper incinerator combustion, acid gas scrubber, and partic-
ulate removal can achieve 99 percent or greater reduction of dioxins and furans,
95 percent or greater reduction of organics, 90 percent or greater reduction of
hydrogen chloride, and 97 to 99 percent reduction of metals.
Emission control equipment is designed to remove or reduce particulates,
aerosols (solids and liquid forms), and gaseous byproducts from various sources
and, in some instances, emissions resulting from inefficient design and operation.
Here are four operating principles of aerosol collection equipment:

1. Inertial entrapment by altering the direction and velocity of the effluent

2. Increasing the size of the particles through conglomeration or liquid mist
entrainment to subject the particles to inertial and gravitational forces within
the operational range of the control device
3. Impingement of particles on impact surfaces, baffles, or filters
4. Precipitation of contaminants in electrical fields or by thermal convection.46

The collection of gases and vapors is based on the particular physical and
chemical properties of the gases to be controlled.

Particulate Collectors and Separators

Some of the more common collectors and separators are identified in this section.
These have application in mechanical operations for dust control such as in pul-
verizing, grinding, blending, woodworking, and handling flour as well as at power
stations, incinerators, cement plants, heavy metallurgical operations, and other
dusty operations. In general, collector efficiencies increase with particle size and
352 AIR POLLUTION AND NOISE CONTROL

from a low efficiency with baffled settling chambers, increasing with cyclones,
electrostatic precipitators, spray towers, scrubbers, and baghouses, depending also
on design, operation, and combinations of collectors used.
Settling chambers cause velocity reduction, usually to slower than 10 fps,
and the settling of particles larger than 40 µm in diameter in trays that can be
removed for cleaning. Special designs can intercept particles as small as 10 µm.
Cyclones impose a downward spiraling movement on the tangentially directed
incoming dust-laden gas, causing separation of particles by centrifugal force and
collection at the bottom of the cone. Particle sizes collected range from 5 to
200 µm at gas flows of 30 to 25,000 ft3 /min. Removal efficiency below 10 µm
particle size is low. Cyclones can be placed in series or combined with other
devices to increase removal efficiency. See Figures 4.4 and 4.5.
Sonic collectors can be used to facilitate separation of liquid or solid particles
in settling chambers or cyclones. High-frequency sound pressure waves cause
particles to vigorously vibrate, collide, and coalesce. Collectors can be designed
to remove particles smaller than 10 µm.
Filters are of two general types: the baghouse and cloth screen. The filter
medium governs the temperature of the gas to be filtered, particle size removed,
capacity and loading, and durability of the filter. Filter operating temperatures

FIGURE 4.4 Flow of dust through cyclone. (Source: Adapted from Air Pollution Con-
trol Field Operations Manual , PHS Pub. No. 937, Department of Health, Education, and
Welfare, Washington, DC, 1962.)
 CONTROLS 353

FIGURE 4.5 Diagram of cyclone separator. (Source: Air Pollution Control Field Oper-
ations Manual , PHS Pub. No. 937, Department of Health, Education, and Welfare,
Washington, DC, 1962.)

vary from about 200◦ F (93◦ C) for wool or cotton to 450◦ to 500◦ F (232◦ –260◦ C)
for glass fiber.
A baghouse filter is shown in Figure 4.6. The tubular bags are 5 to 18 inches in
diameter and from 2 to 30 feet in length. The dust-laden gas stream to be filtered
passes through the bags where the particles build up on the inside and, in so doing,
increase the filtering efficiency. Periodic shaking of the bags (tubes) causes the
collected dust to fall off and restore the filtering capacity. The baghouse filter has
particular application in cement plants, heavy metallurgical operations, and other
dusty operations. Efficiencies exceeding 99 percent and particle removal below
10 µm in size are reported, depending on the major form and buildup. Baghouses
are usually supplemented by scrubber systems.
Cloth-screen filters are used in the smaller grinding, tumbling, and abrasive
cleaning operations. Dust-laden air passes through one or more cloth screens
in series. The screens are replaced as needed. Other types of filters use packed
fibers, filter beds, granules, and oil baths.
354 AIR POLLUTION AND NOISE CONTROL

FIGURE 4.6 Simplified diagram of a baghouse. (Source: Air Pollution Control Field
Operations Manual , PHS Pub. 937, Department of Health, Education, and Welfare, Wash-
ington, DC, 1962.)

Electrostatic precipitators have application in power plants, cement plants, and

incinerators as well as in metallurgical, refining, and heavy chemical industries
for the collection of fumes, dusts, and acid mists. Particles, in passing through
a high-voltage electrical field, are charged and then attracted to a plate of the
opposite charge where they collect. The accumulated material falls into a hopper
when vibrated. See Figure 4.7.
The gases treated may be cold or at a temperature as high as 1,100◦ F
(593◦ C), but 600◦ F (316◦ C) or less is more common, typically 280◦ to 300◦ F
(138◦ –149◦ C). Precipitators are efficient for the collection of particles less
than 0.5 µm in size; hence, cyclones and settling chambers, which are better
for the removal of larger particles, are sometimes used ahead of precipitators.
Single-stage units operate at voltages of 25,000 V or higher; two-stage units
(used in air conditioning) operate at 12,000 V in the first or ionizing unit and at
6,000 V in the second collection unit.
 CONTROLS 355

FIGURE 4.7 Diagram of plate-type electrostatic precipitator used to collect catalyst

dust. (Source: Adapted from Air Pollution Control Field Operations Manual , PHS Pub.
937, Department of Health, Education and Welfare, Washington, DC, 1962.)

Electrostatic precipitators are commonly used at large power stations and incin-
erators to remove particulates from flue gases. Particulate removal of at least 98
to 99 percent can be achieved. They are considered one of the most effective
devices for this purpose. Flue gases may be cooled by water spray, air cooling,
or passage through a boiler.
Scrubbers are of different types, selected for specific applications. They
include spray towers, ejector venturis, venturi scrubbers, and packed-bed, plate,
moving-bed, centrifugal, impingement, and entrainment types. See Figures 4.8
and 4.9.
Wet collectors are generally used to remove gases such as hydrogen chloride,
nitrous oxides, and sulfur dioxide and particles that form as a dust, fog, or mist. A
high-pressure liquid spray is applied to the gas passing through the washer, filter,
venturi, or other device. In so doing, the gas is cooled and cleaned. Although
356 AIR POLLUTION AND NOISE CONTROL

FIGURE 4.8 Centrifugal wash collector. (Source: Air Pollution Control Field Opera-
tions Manual , Department of Health, Education, and Welfare, Washington, DC, 1962.)

water is usually used as the spray, a caustic may be added if the gas stream is
acidic. Where the spray water is recirculated, corrosion of the scrubber, fan, and
pump impeller can be a serious problem. Particle size collected may range from
40 µm to as low as 1 µm with efficiency as high as 98 to 99 percent, depending
on the collector design. Required removal efficiencies for hydrogen chloride,
sulfur dioxide, and hydrogen fluoride can usually be met.
Controls for sulfur dioxide emissions include wet and dry flue gas desulfuriza-
tion and fuel switching and physically cleaning coal. Nitrogen oxide emissions
can be controlled by special burners or by catalytic or selective noncatalytic
reduction. A duct injection technology (dry scrubber) is being emphasized by
the Department of Energy (DOE) to reduce sulfur dioxide emissions from exist-
ing coal-fired power plants: “Lime is sprayed into existing ductwork located just
after the combustion chamber. Fly ash in the exhaust stream reacts with the small
pieces of lime, then with sulfur oxides and is finally captured by a filter fabric.”47
For every ton of sulfur removed, 3 to 6 tons of sludge from wet scrubbers
will require safe disposal.
 CONTROLS 357

FIGURE 4.9 Venturi scrubber. (Source: Air Pollution Control Field Operations Man-
ual , PHS Pub. 937, Department of Health, Education, and Welfare, Washington, DC,
1962.)

Gaseous Collectors and Treatment Devices

The release of gases and vapors to the atmosphere can be controlled by com-
bustion, condensation, absorption, and adsorption. Combustion devices include
thermal afterburners, catalytic afterburners, furnaces, and flares.
Thermal afterburners are used to complete the combustion of unburned fuel,
such as smoke and particulate matter, and to burn gaseous hydrocarbons and
odorous combustible gases. Apartment house and commercial incinerators and
meat-packing plant smokehouses are examples of smoke and particulate emit-
ters. Rendering, packing house, refinery, and paint and varnish operations; fish
processing; and coffee roasting are examples of odor-producing operations. After-
burners usually operate at around 1200◦ F (649◦ C) but may range from 900◦ to
1600◦ F (482◦ –871◦ C), depending on the ignition temperature of the contaminant
to be burned.
Catalytic afterburners may be used for the burning of lean mixtures of com-
bustible gaseous air contaminants. They are also used to reduce nitrous oxides,
with ammonia injection.
Condensers are best used to remove vapors by condensation, generally prior
to passage to other air pollution control equipment, thus reducing the load on
this equipment. Condensers are of the surface and contact types. In the surface
condenser, the vapor comes into contact with a horizontal cool surface and con-
denses to form liquid droplets with a pure saturated vapor or, more commonly,
358 AIR POLLUTION AND NOISE CONTROL

a film. In the contact condenser, the coolant, vapors, and condensate are all in
intimate direct contact.
Adsorbers are of the fixed-bed stationary or rotating type, in horizontal or ver-
tical cylinders, usually with activated-carbon beds or supported screens, through
which the gas stream passes. In adsorption, the molecules of a fluid such as a
gas, liquid, or dissolved substance to be treated are brought into contact with the
adsorbent, such as activated carbon, aluminas, silicates, char, or gels that collect
the contaminant in the pores or capillaries. The material adsorbed is called the
adsorbate. In some cases, the adsorbent, such as activated carbon, is regenerated
by superheated steam at about 650◦ F (343◦ C); the contaminant is condensed
and collected for proper disposal. In other cases, the adsorbent and adsorbate
are separated from the fluid and discarded. Solid adsorbents have very large
surface-to-volume ratios and different adsorptive abilities, depending on the par-
ticular adsorbate. The life of an activated-carbon adsorption bed is reduced if
particulate matter is not first removed.
In absorption, the gaseous emission to be treated is passed through a packed
tower, spray or plate tower, and venturi absorbers, where it comes in contact with
a liquid absorbing medium or spray that selectively dissolves or reacts with the
air contaminants to be removed. For example, oxides of nitrogen can be absorbed
by water; hydrogen fluoride, by water or an alkaline water solution. Absorption
is generally also used to control emissions of sulfur dioxide, hydrogen sulfide,
hydrogen chloride, chlorine, and some hydrocarbons. Lime injection controls acid
gas emissions from incinerators.
Vapor conservation equipment is used to prevent vapors escaping from the
storage of volatile organic compounds such as gasoline. A storage tank with a
sealed floating roof cover or a vapor recovery system connected to a storage tank
is used. Vapors that can be condensed are returned to the storage tank.

Dilution by Stack Height

Since wind speed increases with height in the lower layer of the atmosphere,
the release of pollutants through a tall stack enhances the transport and diffusion
of the material. The elevated plume is rapidly transported and diffused down-
wind. This generally occurs at a rate faster than that of the diffusion toward the
ground. The resulting downwind distribution of pollutant concentrations at the
ground level is such that concentrations are virtually zero at the base of the stack,
increase to a maximum at some downwind distance, and then decrease to negli-
gible concentrations thereafter. This distribution and the difference due to stack
height are shown schematically in Figure 4.10. This applies to uncomplicated
weather and level terrain. Obviously, if the plume is transported to hill areas,
the surfaces will be closer to the center of the plume and hence will experience
higher concentrations.
Meteorological conditions will determine the type of diffusion the pollutant
plume will follow. See Figure 4.3. With heavy atmospheric turbulence associated
with an unstable lapse rate, the plume will “loop” as it travels downwind. With
 CONTROLS 359

FIGURE 4.10 Variation of ground-level pollutant concentration with downwind dis-

tance. (The distance may be hundreds of miles.)

lesser turbulence associated with a neutral lapse rate, the plume will form a series
of extended, overlapping cones called coning. With stable air conditions and
little turbulence associated with an inversion, the plume will “fan” out gradually.
With the discharge of a plume below an inversion, the plume will be dispersed
rapidly downward to the ground surface, causing fumigation. With the discharge
of a plume within the inversion layer, the plume will spread out horizontally
as it moves downwind with little dispersion toward the ground. Erratic weather
conditions can cause high concentrations of pollutants at ground level if the
plume is transported to the ground.
It has been general practice to use high stacks for the emission of large quan-
tities of pollutants, such as in fossil-fueled power production, to reduce the
relatively close-in ground-level effects of the pollutants. Stacks of 250 to 350
feet in height are not unusual, and some are as high as 800 to 1,250 feet. It
should be recognized, however, that there is a practical limit to height beyond
which cost becomes excessive and the additional dilution obtained is not sig-
nificant. There may also be legal permitting restrictions on the maximum stack
height.
Although local conditions are improved where a tall stack is used, adverse
environmental effects continue to be associated with the distant (long-range)
transport of pollutants. For example, the pollutants contribute to acid rain,
heavy-metal particle deposition, and toxic metal dissolution from surrounding
or downwind soils and rocks into surface and groundwaters, which adversely
affect the flora and fauna hundreds or more miles away (as previously noted).
Therefore, emphasis should be placed on reduction of emission concentrations,
360 AIR POLLUTION AND NOISE CONTROL

rather than on dispersion from a tall stack, to improve ambient air quality. The
EPA is also considering requiring pollution control devices on tall stacks and
limiting tall stacks for emission dispersion by requiring removal instead.

Planning and Zoning

The implementation of planning and zoning controls requires professional analy-
sis and the cooperation of the state and regional planning agencies and the local
county, city, village, and town units of government.
The local economic, social, and political factors may limit what can realis-
tically be achieved in many instances. For example, a combination of factors,
including planning and zoning means, should be considered in locating a new
plant. These means could include plant siting downwind from residential, work,
and recreational areas, with consideration given to climate and meteorological
factors, frequency of inversions, topography, air movement, stack height, and
adjacent land uses. Additional factors are distance separation, open-space buffers,
designation of industrial areas, traffic and transportation control, and possible reg-
ulation of plant raw materials and processes. All these controls must recognize
the present and future land use and especially the air quality needed for health
and comfort, regardless of the land ownership.
The maintenance of air quality that meets established criteria requires regula-
tion of the location, density, and/or type of plants and plant emissions that could
cause contravention of air quality standards. This calls for local and regional
land-use control and cooperation to ensure that the permitted construction of
plants would incorporate practices and control equipment that would not emit
pollution that could adversely influence the air quality of the community in the
airshed. See Tables 4.6 and 4.7 and “Ambient Air Quality Standards,” later in
this chapter.
Monitoring of the air at carefully selected locations would continually inform
and alert the regulatory agency of the need for additional source control and
enforcement of emission standards. Conceivably, under certain unusually adverse
weather conditions, a plant may have to take previously planned emergency
actions to reduce or practically eliminate emissions for a period of time.
Air zoning establishes different air quality standards for different areas based
on the most desirable and feasible use of land. As discussed earlier in this chapter,
the 1977 amendments to the Clean Air Act allow each state to classify air areas as
either class I, II, or III. Class I areas would remain virtually unchanged and class
III could permit intensive industrial activity. Specific standards are established for
each classification level. In all levels, however, protection of the public health
is paramount. Insofar as air zoning is concerned, an industry should be able
to choose its location and types of emission controls provided the air quality
standards are not violated.
Although air zoning provides a system or basis for land use and development,
sound planning can assist in greatly minimizing the effects of air pollution. A
WHO Expert Committee suggests seven steps:48
 CONTROLS 361

1. The siting of new towns should be undertaken only after a thorough study
of local topography and meteorology.
2. New industries using materials or processes likely to produce air contami-
nants should be so located as to minimize the effects of air pollution.
3. Satellite (dormitory) towns should restrict the use of pollution-producing
fuels.
4. Provision should be made for greenbelts and open spaces to facilitate the
dilution and dispersion of unavoidable pollution.
5. Greater use should be made of hydroelectric and atomic power and of
natural gas for industrial processes and domestic purposes, thereby reducing
the pollution resulting from the use of conventional fossil fuels.
6. Greater use should be made of central plants for the provision of both heat
and hot water for entire (commercial or industrial) districts.
7. As motor transport is a major source of pollution, traffic planning can
materially affect the level of pollution in residential areas.

It is apparent that more needs to be learned and applied concerning open

spaces, bodies of water, and trees and other vegetation to assist in air pollution
control. For example, parks and greenbelts appear to be desirable locations for
expressways because vegetation, in the presence of light, will utilize the car-
bon dioxide given off by automobiles and release oxygen. In addition, highway
designers must give consideration to such factors as road grades, speeds and
elevations, natural and artificial barriers, interchange locations, and adjacent land
uses as means of reducing the amounts and effects of automobile noise and
emissions.

Air Quality Modeling

It is possible to calculate and predict, within limits, the approximate effects of
existing and proposed air pollution sources on the ambient air quality.49 A wide
variety of models are used to estimate the air quality impacts of sources on
receptors, to prepare or review new industrial and other source applications, and
to develop air quality management plans for an area or region.
Air quality models can be categorized into four classes:

1. Gaussian: Most often used for estimating the ground-level impact of non-
reactive pollutants from stationary sources in a smooth terrain.
2. Numerical: Most often used for estimating the impact of reactive and non-
reactive pollutants in complex terrain.
3. Statistical: Employed in situations where physical or chemical processes
are not well understood.
4. Physical: Involves experimental investigation of source impact in a wind
tunnel facility.
362 AIR POLLUTION AND NOISE CONTROL

Because of the almost limitless variety of situations for which modeling may be
employed, no single model can be considered “best.” Instead, the user is encour-
aged to examine the strengths and weaknesses of the various models available
and select the one best suited to the particular job at hand.
The EPA has made a number of models available to the general public through
its User’s Network for Applied Modeling of Air Pollution (UNAMAP). These
models can be obtained from the National Technical Information Service (NTIS).
The information needed to use an air quality model includes source emission
data, meteorological data, and pollutant concentration data.

Source Emission Data Sources of pollutants can generally be classified as

point, line, or area sources. Point sources are individual stacks and are identified
by location, type and rate of emission, and stack parameters (stack height, diam-
eter, exit gas velocity, and temperature). Line sources are generally confined to
roadways and can be located by the ends of roadway segments. Area sources
include all the minor point and line sources that are too small to require individ-
ual consideration. These sources are usually treated as a grid network of square
areas, with pollutant emissions totaled and distributed uniformly within each grid
square.

Meteorological Data The data needed to represent the meteorological char-

acteristics of a given area consist of (as a minimum) wind direction, wind speed,
atmospheric stability, and mixing height. The representativeness of the data for
a given location will depend on the proximity of the meteorological monitoring
site to the area being studied, the period of time during which data are collected,
and the complexity of terrain in the area. Local universities, industries, airports,
and government agencies can all be used as sources of such data.

Pollutant Concentration Data In order to assess the accuracy of a model

for a particular application, predicted concentrations must be compared against
observed values. This can be done by obtaining historical pollutant concentration
data from air quality monitors located in the study area. Air quality data from
monitors located in remote areas should also be obtained to determine if a back-
ground concentration should be included in the model. Data should be verified
using appropriate statistical procedures.
The accuracy of the model used depends on the following factors:

1. How closely do the assumptions upon which the model is based correspond
to the actual conditions for which the model is being used? For example,
a model that assumes that the area being modeled is a flat plain of infinite
extent may work well in Kansas but not in Wyoming.
2. How accurate is the information being used as input for the model? Of
particular importance here is verifying the accuracy of source emission
data. Some points to consider are as follows:
 PROGRAM AND ENFORCEMENT 363

a. Should the source emission data be given in terms of potential, actual,

or allowable emissions? “Actual” emissions should always be used for
model verification.
b. Does emission rate vary by time of day or time of year?
c. What level of production, percent availability, and so on should be
assumed for each emission source? The emission rates for industrial
sources will often decline significantly during periods of economic reces-
sion. Similarly, stationary fuel combustion sources (for space heating)
will vary according to the severity of the winter.
d. Are stack parameters correct? Are there nearby structures or terrain fea-
tures that could influence the dispersion patterns of individual sources?
e. Is the source location correctly identified?
f. How reliable is the pollution control equipment installed on each emis-
sion source?

The user will often find that the job of verifying the input data are the most
difficult and time-consuming part of the modeling process.
As the cost of computer services continues to decline, it is expected that air
quality modeling will become an available technology for smaller agencies such
as local health and planning departments. The person who performs this mod-
eling will have to be knowledgeable not only in traditional air pollution control
engineering but also in the fields of air pollution meteorology and computer
programming.

PROGRAM AND ENFORCEMENT

General
A program for air resources management should be based on a comprehensive
areawide air pollution survey including air sampling, basic studies and analyses,
and recommendations for ambient air quality standards. The study should be
followed by an immediate and long-term plan to achieve the community air
quality goals and objectives, coupled with a surveillance and monitoring system
and regulation of emissions.
MacKenzie proposes six conclusions and decisions for the implementation of
a study:43

1. Select air quality standard, possibly with variations in various parts of the
area.
2. Cooperate with other community planners in allocating land uses.
3. Design remedial measures calculated to bring about the air quality desired.
Such measures might include several or all of the following: limitations on
pollutant emissions, variable emission limits for certain weather conditions
and predictions, special emission limits for certain areas, time schedules for
364 AIR POLLUTION AND NOISE CONTROL

commencing certain control actions, control of fuel composition, control

of future sources by requiring plan approvals, prohibition of certain plan
approvals, prohibition of certain activities or requirements for certain types
of control equipment, and performance standards for new land uses.
4. Outline needs for future studies pertaining to air quality and pollutant
emissions and design systems for collection, storage, and retrieval of the
resultant data.
5. Establish priorities among program elements and set dates for implemen-
tation.
6. Prepare specific recommendations as to administrative organization needed
to implement the program, desirable legislative changes, relationships with
other agencies and programs in the area and adjoining areas and at higher
governmental levels, and funds, facilities, and staff required.

As in most studies, a continual program of education and public information

supplemented by periodic updating is necessary. People must learn that air pol-
lution can be a serious hazard and must be motivated to support the need for its
control. In addition, surveys and studies must be kept current; otherwise, the air
resources management activities may be based on false or outdated premises.
International treaties, interstate compacts or agreements, and regional organiza-
tions are sometimes also needed to resolve air pollution problems that cross juris-
dictional boundaries. This becomes more important as industrialization increases
and as people become more concerned about the quality of their environment.
It becomes apparent that the various levels of government each have important
complementary and cooperative roles to play in air pollution control.
The federal government role includes research into the causes and effects of
air pollution, as well as the control of international and interstate air pollution
on behalf of the affected parties. It should also have responsibility for a national
air-sampling network, training, preparation of manuals and dissemination of infor-
mation, and assisting state and local governments. In the United States, this is
done primarily through the EPA. Other federal agencies making major contri-
butions are the U.S. Weather Service; the Nuclear Regulatory Commission, in
relation to the effects of radioactivity; the Department of Agriculture, in relation
to the effects of air pollution on livestock and crops; the Department of Interior;
the Department of Commerce, including the National Bureau of Standards; and
the Civil Aeronautics Administration.
The state role is similar to the federal role. It would include, in addition,
the setting of statewide standards and establishment of a sampling network, the
authority to declare emergencies and possession of appropriate powers during
emergencies, the delegation of powers to local agencies for control programs, and
the conducting of surveys, demonstration projects, public hearings, and special
investigations.
The role of local government is that delegated to it by the state and could
include complete program implementation and enforcement.
 PROGRAM AND ENFORCEMENT 365

Organization and Staffing

Organization and staffing will vary with the level of government, the legislated
responsibility, funds provided, government commitment, extent of air pollution,
and other factors. Generally, air pollution programs are organized and staffed
on the state, county, large-city, and federal levels. In some instances, limited
programs of smoke and nuisance abatement are carried out in small cities, towns,
and villages as part of a health, building, or fire department program. Because of
the complexities involved, competent direction, staff, and laboratory support are
needed to carry out an effective and comprehensive program. A small community
usually cannot afford—and, in fact, might not have need for—a full staff, but
it could play a needed supporting role to the county and state programs. In this
way, uniform policy guidance and technical support could be provided and local
on-the-spot assistance utilized. The local government should be assigned all the
responsibilities it is capable of handling effectively.
An organization chart for an air resources management agency is shown in
Figure 4.11. There are many variations.

Regulation and Administration

A combination of methods and techniques is generally used to prevent and control
air pollution after a program is developed, air-quality objectives established, and
problem areas defined:

• Public information and education

• Source registration
• Plan review and construction operation approval
• Emission standards
• Monitoring and surveillance
• Technical assistance and training
• Inspection and compliance follow-up
• Conference, persuasion, and administrative hearing
• Rescinding or suspension of operation permit
• Legal action—fine, imprisonment, misdemeanor, injunction

Effective administration requires the development and retention of competent

staff and the assignment of responsibilities. In a small community, the respon-
sibilities would probably be limited to source location and surveillance, data
collection, smoke and other visible particulate detection, complaint investigation,
and abatement as an arm of a county, regional, or state enforcement unit.
Regulatory agencies usually develop their own procedures, forms, and tech-
niques to carry out the functions just listed. Staffing, in addition to the director
of air pollution control, may include one or more of the following: engineers,
scientists, sanitarians, chemists, toxicologists, epidemiologists, public information
366
FIGURE 4.11 Air resources management functional organization chart.
 NOISE CONTROL 367

specialists, technicians, inspectors, attorneys, administrative assistants, statisti-

cians, meteorologists, electronic data processing specialists, and personnel in
supporting services.
Important in regulation is the development of working relationships and mem-
oranda of agreements with various public and private agencies. For instance,
government construction, equipment, and vehicles could set examples of air pol-
lution prevention. The building department would ensure that new incinerators
and heating plants have the proper air pollution control equipment. The police
would enforce vehicular air pollution control requirements. The fire department
would carry out fire prevention and perhaps boiler inspections. The planning and
zoning boards would rely on the director of air pollution control and the direc-
tor’s staff for technical support, guidance, and testimony at hearings. Equipment
manufacturers would agree to sell only machinery, equipment, and devices that
complied with the emission standards. The education department would incorpo-
rate air pollution prevention and control in its environmental health curriculum.
Industry, realty, and chain-store management would agree to abide by the rules
and police itself. Cooperative training and education programs would be provided
for personnel responsible for operating boilers, equipment, and other facilities
that may contribute to air pollution. These are but a few examples. With ingenu-
ity, many more voluntary arrangements can be devised to make regulation more
acceptable and effective.

NOISE CONTROL

One of the most important tasks of architects, builders, acoustic engineers, urban
planners, industrial hygiene engineers, equipment manufacturers, and public
health personnel is to ensure that noise and vibration are kept to an acceptable
level in the general environment, in the workplace, and inside dwellings.
Noise is of special concern in occupational health where hearing loss has been
documented.
The discussion that follows will touch on some of the fundamentals of noise
and its effects, measurement, reduction, and control. Special problems should
involve experts such as acoustical consultants.

Definitions and Explanation of Selected Terms and Properties of Sound

Sound Sound and, therefore, all noise, is physically a rapid alteration of air
pressure above and below atmospheric pressure. Basically, all sounds travel as
sound pressure waves from a vibrating body such as a human larynx, radio, TV,
record player speaker, or vibrating machine.
A sound that contains only one frequency is a pure tone, which is expressed in
Figure 4.12 as a sine curve. Most sounds contain many frequencies. In general,
the waves travel outward from the source in three dimensions. The pitch of a
sound is determined primarily by frequency: vibrations per second. The amplitude
or magnitude of sound is the sound pressure.
368 AIR POLLUTION AND NOISE CONTROL

FIGURE 4.12 Pure tone, sine wave.

The distance that a sound wave travels in one cycle or period is the wavelength
of the sound. This is illustrated in Figure 4.12. Wavelength is given by the
equation
c
λ=
f
where
λ = wavelength, ft
f = frequency, Hz (cycles/sec)
c = speed of sound, ft/sec
Sound travels through gases, liquids, and solids but not through a vacuum. The
speed with which sound travels through a particular medium is dependent on the
compressibility and density of the medium. Our own voice reaches us primarily
through the bony structures in our head. Most sound reaches us through the
air and less frequently through solids and liquids. The speed of sound through
various media is given in Table 4.9.
As sound travels through a medium, it loses energy or amplitude in two ways:
molecular heating and geometric spreading. For example, drapes absorb sound,
releasing the energy as heat to the surrounding air. Air itself also absorbs sound
to a smaller degree because it is not perfectly elastic. Plane waves emitted from
a large distant source travel in a plane or front perpendicular to their direction of
travel. There is no geometric spreading or energy loss in plane waves, neglecting
molecular heating. Spherical waves, resulting from a small vibrating sphere in
close proximity, spread in three dimensions. They lose energy according to the
inverse square law, given by
W
Iave =
4πr 2
where
I = sound intensity, watts/cm2
r = distance to the source, cm
W = total source power, watts
 NOISE CONTROL 369

TABLE 4.9 Speed of Sound in Various Media

Media Speed
m/s fps
◦ ◦
Air, 69.8 F (21 C) 344 1,129
1,213◦ C) 331 1,086
Alcohol 1,213 3,980
Lead 1,220 4,003
Hydrogen, 32◦ F (0◦ C) 1,269 4,164
Water, fresh 1,480 4,856
Water, salt, 69.8◦ F (21◦ C), at 3.5% salinity 1,520 4,987
Human body 1,558 5,112
Plexiglas 1,800 5,906
Wood, soft 3,350 10,991
Concrete 3,400 11,155
Fir timber 3,800 12,468
Mild steel 5,050 16,570
Aluminum 5,150 16,897
Glass 5,200 17,061
Gypsum board 6,800 22,310
Copper 3,901 12,800
Brick 4,176 13,700
Source: A. J. Schneider, Noise and Vibration Rocket Handbook , Bruel & Kjaer, Cleveland. OH.
p. 18; IAC Noise Control Handbook , Industrial Acoustics Co., New York, 1982, p. A-6.

For every doubling of distance, the intensity is reduced by a factor of four,

or 6 dB. The sound from an infinite line source spreads geometrically in two
dimensions so that energy is halved, or loses 3 dB, when the source distance
doubles. When reflecting objects are near, a more complex sound field results.

Noise Noise is unwanted sound. It may be unwanted for a variety of rea-

sons: causing hearing loss, interfering with communication, causing loss of sleep,
adversely effecting human physiology, or causing just plain annoyance.

Noise Pollution Noise pollution is the condition in which noise has char-
acteristics and duration injurious to public health and welfare or unreasonably
interferes with the comfortable enjoyment of life and property in such areas as
are affected by the noise.

Ambient Noise Ambient noise is the total noise in a given situation or envi-
ronment.

Noise Level Noise level is the weighted sound pressure level in dBA∗ obtained
by the use of an approved type [American National Standards Institute (ANSI)]

∗
The A-weighted scale approximates the frequency response of the human ear.
370 AIR POLLUTION AND NOISE CONTROL

FIGURE 4.13 Absolute auditory threshold for a typical group of Americans. Curves
are labeled by percent of group that could hear tones below the indicated level. (Source:
Toward a Quieter City, A report of the Mayor’s Task Force on Noise Control, New York,
1970.)

sound-level meter. See “Decibel” and “Sound Pressure,” as well as “Sound-Level

Meter,” later in this chapter.

Frequency Frequency of sound is the number of times a complete cycle of

pressure variation occurs in 1 second, both an elevation and a depression below
atmospheric pressure. The frequency of a sound determines its pitch. Frequency
is expressed in hertz (Hz), which is the metric unit for cycles per second (cps).
For example, sounds with a frequency of 30 Hz are considered very low pitch;
sounds with a frequency of 15,000 Hz are very high pitch. A young, healthy
ear can detect frequencies over a range of about 20 to 20,000 Hz, but the most
common sensitive hearing range is between 1,000 and 6,000 Hz. Normal speech
is in the range of 250 to 3,000 Hz. However, the audibility of sound is dependent
on both frequency and sound pressure level. This is illustrated in Figure 4.13
for a typical group of Americans. Since most sounds are made up of several
frequencies, a narrow-band analyzer is used to determine the various frequencies
in a sound. Most sounds are in the sonic frequency range of 20 to 20,000 Hz.
Ultrasonic range is 20,000 Hz and above; infrasonic range is 20 Hz and below.
See “Sound Analyzer” and “Octave-Band Analyzer” later in this chapter.

Decibel Decibel (dB) is a dimensionless unit to express physical intensity or

sound pressure levels. The starting or reference point for noise-level measurement
is 0 dBA, the threshold of hearing for a young person with very good hearing.
The threshold of pain is 120 dBA. The decibel is one-tenth of the bel, a unit
using common logarithms named for Alexander Graham Bell.
 NOISE CONTROL 371

Sound Pressure The sound pressure level of a noise source is expressed by

this relationship:
P
Sound pressure level (SPL) in dB = 20 log10
P0
where
P = pressure of measured sound, micropascals (µPa)
P 0 = sound pressure reference level of 20 µPa∗ ; for measurements in
air, this is the threshold of human hearing at 1,000 Hz
A change in sound pressure level with distance from a source can be deter-
mined by
d2
P2 = P1 − 20 log
d1
where
P1 = sound pressure level at location 1, dB
P2 = sound pressure level at location 2, dB
d1 = distance from noise source to location 1
d2 = distance from noise source to location 2
The sound pressure level is measured by a standard sound-level meter. The
meter has built-in electrical characteristics or weighting that simulates the way
the ear actually hear sound.
Pascal (Pa) is a unit of pressure corresponding to a force of 1 N acting uni-
formly upon an area of 1 m2 ; 1 Pa = 1 N/m2 .
Newton (N) is the force required to accelerate 1 kg mass at 1 m/s2 . It is approx-
imately equal to the gravitational force on a 100 g mass. The A-weighting, which
simulates the frequency bias of the human ear, is most commonly used in mea-
surements regarding impact on humans and the sound levels are read in dBA. The
B, C, and D scales are normally used only for special occasions. For example, the
D scale is used to measure and compare the effect of airplane noise on the human
ear. The C scale is used for very loud sounds and the B scale for moderately
loud sounds. See “Sound-Level Meter” for further discussion.
Table 4.10 shows the calculated sound pressure levels in decibels for selected
sound pressure values.
To add sound-level values, it is first necessary to convert each decibel reading
to sound intensity using these formulas:
I
Sound intensity level in dB = 10 log10
I0
I1 + I2
= 10 log10
I0

∗
Equals 10−12 W for sound power and 10−12 W/m2 for intensity, also 0.0002 dyn/cm2 , or
0.0002 µbar, or 0.00002 N/m2 or 20 µN/m2 .
372 AIR POLLUTION AND NOISE CONTROL

TABLE 4.10 Sound Pressures for Selected Decibel Values

Sound Pressurea Sound Pressure Level (dB)b

µbar µPa

0.0002 20 0c
0.00063 63 10
0.002 200 20
0.0063 630 30
0.02 2,000 40
0.063 6,300 50
0.2 20,000 60
0.63 63,000 70
1.0 100,000 74
2.0 200,000 80
6.3 630,000 90
20 2,000,000 100
63 6,300,000 110
200 20,000,000 120
2,000 200,000,000 140
a 0.0002 microbars (µbar) for sound pressure in air = 20 µPa = 0.00002 N/m2 (20 µN/m2 ) = 2.9 ×

10−9 psi = 0.0002 dyn/cm2 .

b Relative to 20 µPa or 0.0002 µbar = standard reference value.
c 0 dB = 2.9 × 10−9 psi = 1016 W/cm2 = 10−12 W/m2 for sound intensity = threshold of human

hearing.

where
I = unknown sound intensity, watts/m2
I0 = sound intensity reference base = 10−12 W/m2
I1 = sound intensity from source 1
I2 = sound intensity from source 2
All sound intensities are added and then the sum is converted to a resul-
tant decibel reading. A similar procedure is followed to subtract the numbers of
decibels. For example, to add two sound levels dB1 and dB2 , find the I 1 , cor-
responding to dB1 ; find I 2 corresponding to dB2 and add to I 1 yielding I ; then
reconvert to decibels using the formulas just given. This rather complex process
is much simplified by use of Table 4.11. For example, consider the summation
of a 50-dB sound with a 56-dB sound. For a difference of 6 dB, we find from
Table 4.11 that 1 dB is added to the higher of the two sounds. The combined
sound level is 57 dB. In adding several sound levels, start with the lowest.
Consider another example involving three noise sources. An industrial safety
engineer wants to compute the total sound pressure level in a work area from
the machinery nearby. An air compressor, a drill press, and ventilation fans
contribute 85, 81, and 75 dB sound pressure levels, respectively. Starting with
the lowest, according to Table 4.11, an 81-dB level and a 75-dB level sum to
82 dB. The 82-dB level and the 85-dB level sum to 86.8 dB. Note that if the
75-dB level were missing, the total would have been 86.5 dB, almost the same.
 NOISE CONTROL 373

TABLE 4.11 Approximate Increase When Combining Two Sound Levels

Difference between Levels (dB) Decibels to Be Added to Higher Level

0 3.0
1 2.6
2 2.1
3 1.8
4 1.5
5 1.2
6 1.0
7 0.8
8 0.6
10 0.4
12 0.3
14 0.2
16 0.1
Source: A. C. Hosey (Ed.), Industrial Noise, A Guide to Its Evaluation and Control , PHS
Pub. No. 1572, Department of Health, Education, and Welfare, Washington, DC, 1967.

A noise contribution less than 10 dB lower than the other noise contributions can
usually be neglected.
It should be noted that in using the previous formula the following gener-
alization can be made: Any two identical sound levels will have the effect of
increasing the overall level by 3 dB and any three will increase the overall level
by 4.8 dB.

Intensity Intensity of a sound wave is the energy transferred per unit time
(in seconds) through a unit area normal to the direction of propagation. It is
commonly measured in W/ml2 or W/cm2 . For a pure tone (single frequency),
there is a one-to-one correspondence between loudness and intensity. However,
almost all sound contains multiple frequencies. The relationship is not simple
because of the interference effects of the sound waves.50 For example, increasing
the sound pressure level by 3 dB is equivalent to increasing the intensity by
a factor of 2. Increasing the sound pressure level by 10 dB is equivalent to
increasing the intensity by a factor of 10, and increasing the sound pressure level
by 20 dB is equivalent to increasing the intensity by a factor of 100. Expressed
in another way, whereas 10 dB is 10 times more intense than 1 dB, 20 dB is 100
times (10 × 10) more intense, and 30 dB 1,000 times (10 × 10 × 10) more
intense.

Loudness Loudness, or amplitude, of sound is the sound level or sound

pressure level as perceived by an observer. The apparent loudness varies with
the sound pressure and frequency (pitch) of the sound. This is illustrated in
Figure 4.14. It is specified in sones or phons. For a pure tone, each time the
sound pressure level increases by 10 dB, the loudness doubles (sones increase
374 AIR POLLUTION AND NOISE CONTROL

FIGURE 4.14 Equal loudness contour. (Source: Toward a Quieter City, A report of the
Mayor’s Task Force on Noise Control, New York, 1970.)

by a factor of 2). Sound levels of the same intensity may not sound the same
since the ear does not respond the same to all types of sound.
A 1,000-Hz pure tone 40 dB above the listener’s hearing threshold (0 dB)
produces a loudness of 1 sone, which is a unit of loudness. 51 This loudness of
1 sone is equal to 40 phons. Loudness levels are usually expressed in phons. For
practical purposes, each doubling of the sones increases the phons by 10—that
is, 1 sone = 40 phons; 2 sones = 50 phons; 4 sones = 60 phons. Also for pure
tones, a 10-dB increase in sound level would be perceived as a 10-phon increase
in loudness by a person with good hearing in the frequency range of 600 to
2,000 Hz.
For example, take a human listener with normal hearing who hears a 100-Hz
pure tone with a SPL of 90 dB. What loudness does the listener perceive?
From Figure 4.14, a SPL of 40 dB at approximately 100 Hz equals a loudness
of 10 phons. Since a 50-dB increase in SPL is equivalent to a 50-phons increase
in loudness, the tone’s loudness is 60 phons, or 4 sones.

Noys Noys is a measure of the perceived noise level (PNL) (in decibel) in
relation to the noisiness or acceptability of a sound level. Although similar to
loudness, the ratings by observers when tested were different.
Procedures for the calculation of loudness and noisiness are given in standard
texts.52
 NOISE CONTROL 375

Day–Night Average Sound Level (DNL) System The day–night average

sound level is the 24-hour average sound level, expressed in decibels, obtained
after the addition of a 10-dB penalty for sound levels that occur at night between
10 p.m. and 7 a.m. It is recorded as Ldn . The DNL system has been adopted by the
EPA, the Department of Defense, the Department of Housing and Urban Devel-
opment (HUD), and the Federal Aviation Administration (FAA), specifically for
describing environmental impacts for airport actions.53

Effects of Noise—A Health Hazard

Noise pollution is an environmental and workplace problem. Excessive noise can
cause permanent or temporary loss of hearing. Loud sounds affect the circulatory
and nervous systems, although the effects are difficult to assess. It interferes with
speech, radio, and TV listening; disturbs sleep and relaxation; affects performance
as reduced work precision and increased reaction time; and causes annoyance,
irritation, and public nuisance. There is a hearing loss with age, particularly at
the higher frequencies, and in younger people who have been exposed to loud
noises. Occupation-related hearing loss has been documented since the sixteenth
century and is still a serious problem. An estimated $835 million compensation
was paid workers from 1978 to 1987.54 Sonic booms can cause physical dam-
age to structures. David G. Hawkins, assistant EPA administrator reported the
following:55

A poll conducted by the U.S. Bureau of the Census showed that noise is considered
to be the most undesirable neighborhood condition—more irritating than crime and
deteriorating housing.

Criteria for hearing protection and conservation have been established primar-
ily for the worker. The major factors related to hearing loss are intensity (sound
pressure levels in decibels), frequency content, time duration of exposure, and
repeated impact (a single pressure peak incident). In measuring the potential harm
of high-level noise, frequency distribution as well as intensity must be consid-
ered. Continuous exposure to high-level noise is more harmful than intermittent
or occasional exposure. High- and middle-frequency sounds at high levels gen-
erally are more harmful than low-frequency sounds at the same levels. Greater
harm is done with increased time of exposure.
Individuals react differently to noise depending on age, sex, and socioeconomic
background. The relation of noise to productivity or performance is contradictory
and not well established.
For workers, a sound level over 85 dBA calls for study of the cause. A level
above 90 dBA should be considered unsafe for daily exposure over a period of
months and calls for noise reduction or personal ear protection if this is practical.
An EPA report identified a 24-hour exposure level of 70 dBA as the level of
environmental noise that will prevent any measurable hearing loss over a lifetime.
Levels of 55 dBA outdoors and 45 dBA indoors are identified as preventing
376 AIR POLLUTION AND NOISE CONTROL

annoyance and not interfering with spoken conversation and other activities such
as sleeping, working, and recreation.56 Some common sound levels and human
responses are noted in Table 4.12.
Other effects of noise are reduced property values; increased compensation
benefits and possible accidents, inefficiency, and absenteeism; and increased
building construction costs.

Sources of Noise
Transportation, industrial, urban, and commercial activities are the major sources
of noise, plus the contributions made by household appliances and equipment.

TABLE 4.12 Sound Levels and Human Response

Sources Noise Level (dBA) Response

Carrier deck, jet operation 140 Painfully loud

Live rock music 130 Limits amplified speech
Jet takeoff (200 ft) 120 Maximum vocal effort
Discotheque 115
Rock band (10 ft) 115
Auto horn (3 ft) loud 110
Riveting machine 110
Jet takeoff (2000 ft) 110
Garbage truck, snowmobile 100
Power lawn mower (operator) 95
New York subway station 90 Very annoying
Heavy truck (50 ft) 90 Hearing damage (8 hr)
Food blender 90
Pneumatic drill (50 ft) 85
Diesel truck, 40 mph (50 ft) 85
Dishwasher 80
Alarm clock 80 Annoying
Garbage collection 80
Freeway traffic (50 ft) 70 Telephone use difficult
Vacuum cleaner 70
Normal speech 60
Air-conditioning unit (20 ft) 60 Intrusive
Light auto traffic (100 ft) 50 Quiet
Living room 40 Quiet
Bedroom 40
Public library 35
Soft whisper (15 ft) 30 Very quiet
Broadcasting studio 20
Breathing 10 Just audible
0 Threshold of hearing
Sources: Sound Levels and Human Responses, Office of Planning Management, U.S. Environmental
Protection Agency, Washington, DC, July 1973; MMWR, March 1986, p. 185.
 NOISE CONTROL 377

The major sources of transportation noise are motor vehicles, including buses
and trucks, aircraft, motorcycles, and snowmobiles.
Industrial, urban, and commercial noises emanate from factories, equipment
serving commercial establishments, and construction activities. Construction
equipment sources are power tools, air compressors, earthmovers, dump trucks,
garbage collection trucks, diesel cranes, pneumatic drills, and chain saws.
Compactor trucks manufactured after October 1, 1980, may not exceed a noise
level of 79 decibels and may not exceed 76 decibels after July 1, 1982, measured
on the A-weighted scale 7 m from the front, side, and rear of the vehicle while
empty and operating.
Residential noise is associated with dishwashers, garbage disposal units, air
conditioners, power lawn mowers, and home music amplifier units.

Measurement of Noise

Noise measurement equipment selection depends on the task to be performed.

For an initial survey, a sound-level meter is adequate for a rapid evaluation
and identification of potential problem areas. To study and also determine the
characteristics of a noise problem area, a sound-level meter, frequency analyzer,
and recorder are needed to determine sound pressure distribution with frequency
and time. More sophisticated equipment would be needed for research or solution
of special noise problems.

Sound-Level Meter A sound-level meter is used to measure the sound pres-

sure level; it is the basic instrument for noise measurement.
Meters are available to cover the range of 20 to 180 dB. The specifications
usually refer to the American National Standards Institute (ANSI) and partic-
ularly to the standard Specification for Sound Level Meters, ANSI S1.4-1971.
Three weighting networks, A, B, and C , are provided to give a number that best
approximates the total loudness level for a particular situation, with considera-
tion of the sound frequency, intensity, and impact levels. There are three types
of meters. Type I is highest quality; type III is lowest quality and not suitable
for public health professionals. Type II is the most common type used by public
health officials. Most noise laws and regulations permit either type I or II but not
type III meters.
The B and C networks are no longer normally used. The A-weighted scale is
most commonly used. It discriminates against frequencies below 500 Hz and most
nearly encompasses the most sensitive hearing range of sound—that is, 1,000 to
6,000 Hz. The symbol dBA is used to designate the A-weighted decibel scale,
which combines both frequency and pressure levels; it measures environmental
noise and should be supplemented by the time or duration to determine the total
quantity of sound affecting people. The sound level meter provides the total
quantity of sound affecting people. The sound-level meter provides settings for
“F” (fast time response) and “S” (slow time response).
378 AIR POLLUTION AND NOISE CONTROL

The most important part of the equipment is a calibrator that generates a

known decibel standard. Without a calibration before and after a measurement,
the measurement is suspect.

Noise Dosimeter The noise dosimeter will measure the amount of poten-
tially injurious noise to which an individual is exposed over a period of time. A
dosimeter can be set to the desired level and will then total the exposure time to
noise above the set level. The noise dosimeter does not, however, identify noise
sources. Therefore, if a study is being conducted to determine noise exposure
and culpability, it is imperative that the dosimeter be coupled with a frequency
analyzer or better still with a human observer to record noise source identities.

Sound Analyzer A frequency analyzer may be necessary to measure complex

sound and sound pressure according to frequency distribution. It will supple-
ment readings obtained with a sound-level meter. Noise analyzers cover different
frequency bands. The octave-band analyzer is the most common. The impact
noise analyzer is used to measure the peak level and duration of impact noise.
Examples of impact noises are drop hammer machines and gun fire.

Cathode-Ray Oscillograph This makes possible observing the wave form of

a noise and pattern. The magnetic tape recorder makes possible the collection of
noise information in the field and subsequent analysis of the data in the office or
laboratory. Environmental noise monitors are now available that can be located
in a community and will retain noise levels in a memory.

Octave-Band Analyzer This has filters that usually divide a noise into eight
possible frequency categories. Each category is called an octave band, with fre-
quency ranges of 45 to 90, 90 to 180, 180 to 355, 355 to 710, 710 to 1,400, 1,400
to 2,800, 2,800 to 5,600, and 5,600 to 11,200 Hz (or cps). The bands are iden-
tified by their center or midfrequencies: 63, 125, 250, 500, 1,000, 2,000, 4,000,
and 8,000 Hz. With center-frequency bands at 31.5 and 16,000 Hz, the audible
frequency range of 20 to 20,000 Hz is then covered with 10 octave bands.

Background Noise Background noise is noise in the absence of the sound

being measured that may contribute to and obscure the sound being measured.
A rough correction could be made by applying the correction factors given in
Table 4.13. However, such subtractions typically introduce significant error in the
final result. The message to be obtained from Table 4.13 is that the background
noise should be at least 10 dB lower than the noise being measured. This will
introduce negligible error (less than 0.5 dB) due to interfering background.

Methods for Noise Control

Noise can be controlled at the source, in its path of transmission (through a
solid, air, or liquid), or where it is received. Sometimes, because no one method
 NOISE CONTROL 379

TABLE 4.13 Correction for Background Noise

Total Noise Level Less Background Decibels to Subtract from Total Noise Level to
Level (dB) Get Noise Level Due to Source

10 0.5
9 0.6
8 0.7
7 1.0
6 1.2
5 1.6
4 2.2
3 3.0
2 4.3
1 6.9
Source: H. H. Jones, “Noise Measurement,” Industrial Environment. . . Its Evaluation and Control ,
PHS Pub. No. 614, Department of Health, Education, and Welfare, Washington, DC, 1958, p. B-21.

is sufficiently effective, controls are instituted at two or at all three steps in the
path of noise travel from the source to the receptor. In general, it is best to reduce
the noise at the source. This should include establishment of clear, reasonable,
and enforceable noise design objectives for manufacturers and installers.
Noise control generally involves adoption and effective enforcement of reason-
able and workable regulations; protection of workers from hazardous occupational
noise levels; building quieter machines, use of vibration isolators, new product
regulation, and product labeling for consumer information; improved building
construction and use of rubber sleeves, gaskets, paddings, linings, seals, and
noise barriers; compatible land-use planning and zoning; and informing the pub-
lic of harmful effects of noise and methods to reduce noise to acceptable levels.
Regulations may encompass ambient noise in general and industrial noise, motor
vehicle noise, and aircraft noise as well as building and construction codes,
housing occupancy codes, sanitary codes, and nuisance codes.
A WHO Expert Committee57 suggests the following preventive measures to
control noise and vibration:

• General measures such as locating noisy industrial plants, airports, landing

fields for helicopters, railway stations and junctions, superhighways, and so
on, outside city limits
• Improving technical processes and industrial installations with a view to
reducing noise and vibration and installing noise suppressors (mufflers) on
automobiles, motorcycles, and so on
• Improving the quality of surface highways and urban streets (also tire tread
designs)
• Creating green spaces in each neighborhood district
• Perfecting procedures for acoustic insulation
380 AIR POLLUTION AND NOISE CONTROL

• Adopting administrative regulations with a view to limiting the intensity of

background noise within the urban environment

The committee recommends close international collaboration and close coop-

eration between metropolitan planners and environmental health personnel to
reduce noise and vibration to a minimum.

Control of Industrial Noise

Noise control should start in the planning of a new plant or when planning
to modernize an existing plant. Consideration should be given at that time to
minimizing the effects of noise on the workers, office personnel, and nearby
residents. The control of an existing noise problem first requires suitable noise
standards and an identification of the location, extent, and type of noise sources.
This would be followed by the application of needed noise-control measures to
achieve the required or desired levels.
Eight factors are considered in industrial noise control:58

1. Select building site that is isolated or an area where there is a high back-
ground noise level. Topography and prevailing winds should be considered,
as well as the use of landscaping and embankments, to reduce the noise
travel where it may cause a nuisance.
2. Building layout should separate and isolate noisy operations from quiet
areas.
3. Substitute low-noise-level processes for noisy operations, such as welding
instead of riveting, metal pressing instead of rolling or forging, compression
riveting instead of pneumatic riveting, and belt drives in place of gears.
4. Select new equipment with the lowest possible noise level (also modifica-
tion of existing equipment with better mufflers).
5. Reduce noise at its source through maintenance of machinery, covers and
safety shields, and replacement of worn parts; reduction of driving forces;
reduction of response of vibrating surfaces; intake and discharge sound
attenuation and flexible connections or collars; use of total or partial enclo-
sures, with sound-absorbing materials (also coatings or sound-absorbing
materials on metals to dampen vibration noise); and isolation of vibration
and its transmission. See “Noise Control” and “Noise Reduction,” earlier
in this chapter.
6. Use acoustic absorption materials to prevent noise reflections.
7. Control noise in ventilation ducts or conveyor systems.
8. Use personnel shelters.

Sometimes the only practical and economical method of noise control is

through the use of personal protective devices. These may also be a supplement
to the applied engineering, worker, and education controls. Personal ear protector
 NOISE CONTROL 381

types include properly fitted and sized earplugs, earmuffs, and helmets providing
a good seal around the ear. They should meet established criteria for comfort,
tension, sound attenuation (at least 15 dBA), simplicity, durability, and so on. To
be effective, however, the worker must cooperate by wearing the protective device
where needed. Dry cotton plugs do not provide significant sound attenuation.

Control of Transport Noise

Noise from various forms of transport and its transmission into the home may
be reduced as follows:59

• At the source, that is, by controlling the emission of noise

• By means of town and country planning and traffic engineering, that is, by
controlling the transmission of noise
• In the home, that is, by controlling the reception of noise by the occupants

Eight specific measures can be used to reduce the effect of highway noise:

1. Enclose highways going through residential areas.

2. Use wider rights-of-way, that is, separation or buffer zone between the
source and the receptor.
3. Design walls to deflect or absorb noise (earth berms covered with vegetation
are more effective).60
4. Change highway alignment and grade to avoid sensitive areas, minimizing
stop-and-go traffic, and shifting to low gears.
5. Set lower speed limits for certain sections of a highway.
6. Use adjacent barriers, nonresidential buildings in sound transmission path,
earth embankments or berms, and elevation or depression of highways. It is
reported, however, that barriers provide little attenuation of low-frequency
sounds and that a thick band of deciduous trees 200 to 300 ft in width is
relatively ineffective in cutting down traffic noises, reducing them only on
the order of 4 or 5 dB.61 Separation distance is most effective in reducing
noise from highways.
7. Establish alternate truck routes.
8. Write building codes to require building insulation to limit interior trans-
mission of noise. Additional measures are masonry walls, elimination of
windows, use of double windows or glazing, soundproofing of ceilings,
thick carpeting, overstuffed furniture, and heavy drapes.

Noise Reduction
Sound Absorption The amount of sound energy a material can absorb (soak
up) is a function of its absorption coefficient (α) at a specified frequency. The
382 AIR POLLUTION AND NOISE CONTROL

sound absorption coefficient is the fractional part of the energy of an incident

sound wave that is absorbed by a material. A material with an absorption coeffi-
cient of 0.8 will absorb 80 percent of the incident sound energy. A material that
absorbs all incident energy, such as an open window, has an absorption coeffi-
cient of 1. The sound absorption of a surface is measured in sabins. A surface
having an area of 100 ft2 made of material having an absorption coefficient of
0.06 has an absorption of 6 sabin units (100 × 0.06). To determine the noise
reduction in a room, the floor, walls, and ceiling surface areas multiplied by
the absorption coefficient of each surface, at a given frequency, before and after
treatment, must be added to obtain the total room surface absorption in sabin
units.
The noise reduction (NR) in decibels at a given frequency of a surface before
and after treatment can be determined by the following equation:

A2
NR = 10 log10
A1

where
A2 = total room surfaces absorption after treatment, sabins
A1 = total room surfaces absorption before treatment, sabins
Incremental noise reduction from a piece of machinery can be obtained by
a rigid, sealed enclosure, plus vibration isolation of a machine from the floor
using spring mounts or absorbent mounts and pads, plus acoustical absorbing
material on the inside of the enclosure, plus mounting the enclosure on vibra-
tion isolators and enclosing, without contact, in another enclosure having inside
acoustical absorbing material. If machinery air cooling and air circulation are
needed, provide baffled air intakes. Insert a flexible connector, if a physical pipe
or duct connection is needed between the machinery and other building piping
or duct work, to reduce noise transmission.
However, sound energy can go around or through a particular material (around
corners) or pass through openings (cracks, windows, ducts) and thereby nullify
the sound absorption as well as transmission reduction efforts. For example,
1 in.2 of opening transmits as much sound as about 100 ft2 of a 40-dB wall.62
This emphasizes the importance of sealing all cracks, pipe and conduit sleeves,
electrical receptacles, or openings with nonsetting caulking compound.
Sound-absorptive materials include rugs, carpets with felt pads, heavy drapes,
stuffed furniture, and ceiling and wall acoustical materials designed to absorb
sound. These materials absorb high-frequency sounds much more effectively than
low frequency. Sound absorptive materials are most effective to the occupant
when used in and near the areas of high-level noise. These materials can control
interior noise, sound reflection, and reverberation∗ ; however, noise easily passes
through. Hard, smooth, impervious materials reflect sound. Some absorption coef-

∗
The sound that persists in an enclosed space after the sound source has stopped, which is reflected
by the wall, floor, or ceiling.
 NOISE CONTROL 383

ficients at 1000 Hz are plate glass 0.03; brick wall 0.01 to 0.04; linoleum, asphalt,
or rubber tile on concrete 0.03; smooth plaster on brick or hollow tile 0.03; 38 -in.
plywood paneling 0.09; felt-lined carpet on concrete 0.69; velour (14 oz/yd2 )
0.75; painted concrete block 0.07; and unpainted concrete block 0.29.

Sound Transmission Sound transmission loss (TL) is the ratio of the energy
passing through a wall, floor, or ceiling to the energy striking it—that is, how
effective a material is in stopping the passage of sound. The sound transmission
varies with the frequency of the sound, the weight or mass, and the stiffness
of the construction. Hence, any reduction of noise transmission from outside to
inside a building is accomplished through control of the design, thickness, and
weight of wall, floor, door, window, and ceiling materials. Improved design of
building equipment and its installation, noise and vibration isolation, and discon-
tinuance or gaps in structural members are interior factors also to be considered.
The transmission loss increases as the frequency increases. Hollow doors readily
transmit sound; solid wood or solid core doors do not.
Mechanical equipment, household appliances, and other stationary sources of
noise should be isolated from the floors or walls or on mountings by means
of rubber or similar resilient pads to absorb vibration and prevent or reduce
sound transmission to the structure, as noted previously under “Sound Absorp-
tion.” Small-diameter pipe carrying water at high velocity causes noise to travel
long distances. Air chambers on pipelines may also be needed to prevent water
hammer.
Sound transmission class (STC) loss ratings for various types of materials are
given in decibels in design handbooks, texts, and standards such as the National
Bureau of Standards, Building Materials and Structures Report BMS 144 for
“Insulation of Wall and Floor Construction.” For example, 4-inch cinder block
weighing 25 lb/ft2 has an average approximate STC loss rating of 25 dB; if the
block is plastered on one side, its rating is 40 dB. A 4-inch brick wall weighing
40 lb/ft2 has a rating of approximately 45 dB. A 4-inch concrete slab with a
resiliently suspended ceiling has a rating of 55 dB. A quarter-inch plywood sheet
nailed to studs has an STC rating of 24 dB; half-inch gypsum board on studs
has a rating of 32 dB. The frequency of the sound affects the sound transmission
loss. In general, the sound transmission loss rating increases with frequency
increase. Theoretically, transmission loss increases at the rate of 6 dB per doubling
of the weight of the construction. Some building codes recognize the need to
prevent sound transmission between apartments in a multiple dwelling or in
row houses. A double separated wall with two layers of insulation is effective.
A sound-pressure-level reduction of about 50 dB in the normal speaking range
(250–3000 Hz) is suggested.
Since a room floor, wall, and ceiling are usually constructed of different
materials, an average transmission coefficient must be calculated taking into con-
sideration the coefficient for each material (including doors, windows, and vents)
and its area to determine the room noise insulation factor in decibels. The total
noise reduction level accomplished by a wall or other divider is a function of the
384 AIR POLLUTION AND NOISE CONTROL

wall transmission loss, the room absorption characteristics, and the absorption
in the rooms separated. It is determined by measuring the difference in sound
levels in the rooms. The types of windows (single or double-hung) and doors can
have a major effect on the overall noise insulation factor. For example, opening
a window can double the interior noise.
Numerous sample calculations for sound and vibration control situations are
given in various texts, including the ASHRAE Guide and Data Book, Systems,
1970 .63
Mechanical noises such as high-velocity noises require proper design of ven-
tilation systems and plumbing systems to reduce flow velocity. Hammering noise
in a plumbing system is usually due to a quick-closing valve in the plumbing
system, which requires installation of an air chamber on the line or a pressure or
vacuum-breaker air-relief valve to absorb the pressure change created when the
momentum of the flowing water suddenly stops.
Separation distance between the sound source and receptor should be empha-
sized and not overlooked in the planning stages as a practical noise reduction
method. In general, if there are no sound-reflecting surfaces in the vicinity, a
sound pressure level will be reduced approximately 6 dB for each doubling of
the distance. Doubling the air space between panels increases the transmission
loss by about 5 dB. When a sound barrier, such as a wall, is erected between
a source and a receptor, some sound is reflected back toward the source, some
is transmitted through the barrier, and some is diffracted over and around the
barrier. With a partition close to the source, part of the sound is absorbed, part
is reflected back, and part is transmitted through.

Federal Regulations
Maximum acceptable or permissible noise levels are established for certain cat-
egories by federal or state regulations or by local ordinances. Some guides are
given in Table 4.14.
In May 1969 the Department of Labor issued the first federal standards for
occupational exposure to noise. The Occupational Safety and Health Adminis-
tration (OSHA) sets and enforces regulations, under the Occupational Safety and
Health Act of 1970, for the protection of workers’ hearing. These standards have
been made more stringent over the years as more human hearing loss research
has become available. Table 4.15 shows the year 2000 American Conference of
Governmental Hygienists suggested daily durations and sound pressure levels.
The federal regulatory approach is to start control at the point of manufacture.
The Federal Highway Act of 1970 led to design noise levels related to land
use as a condition to federal aid participation. If the design noise levels shown in
Table 4.16 are exceeded, noise abatement measures are required in the highway
design. Federal highway funds may also be used to abate noise on previously
approved highway projects.
The Noise Control Act of 1972 [Public Law (PL) 92-574] directed the EPA
to promote an environment for all Americans free from noise that jeopardizes
 NOISE CONTROL 385

TABLE 4.14 Some Guides for Maximum Acceptable Sound

Levels

Space Sound Level (dBA)

Maximum Design

Auditoriums 30–45 25–30

Drafting rooms 55 35–50
Hospital rooms 40 25–35
Hotel rooms 45 30–40
Indoor recreational areas 30–45
Libraries 40–45 30–40
Manufacturing, light machinery 45–70
Movie theaters 35–45 30–35
Private offices 40–45 30–40
Residences, rural or suburban 20–30
Residences, urban 25–35
Restaurants 50 35–45
School rooms 30–40 30–40
Secretarial offices 55–60 35–50
Small conference rooms 35–40 25–35
Sports arenas 30–40
Stores, department and supermarkets 35–50

their health and welfare. It is required to set limits on noise emission, and the
Act requires manufacturers to warrant product performance and label products.
Regulation of noise from a broad range of sources and products is required.
The EPA and the Department of Transportation (DOT) have been given the
responsibilities to implement the law. The EPA estimates that 16 million people
are exposed to aircraft noise levels with effects ranging from moderate to very
severe.
The Aviation Safety and Noise Abatement Act of 1979 requires the FAA
to develop a single system for measuring noise at airports and under certain
conditions to prepare and publish noise maps. The Noise Abatement Criteria
established by the Federal Highway Administration for residential areas, schools,
parks, hospitals, and other sensitive areas is 67 dBA equivalent steady state and
72 dBA for commercial land use.∗
The FAA, in the Department of Transportation, has primary authority for
aircraft noise regulations and standards. The FAA has adopted noise emission
standards for new aircraft and has a plan to retrofit older aircraft.
The Quiet Communities Act of 1978 amended the Noise Control Act of 1972
to encourage noise control programs at the state and community levels.

∗
A. Charabegian, “GIS/CAD Enhance Traffic Noise Study,” Public Works, November 1990,
pp. 61–62.
386 AIR POLLUTION AND NOISE CONTROL

TABLE 4.15 Sound Pressure Levels as Suggested by American Conference of

Governmental Industrial Hygienists for Permissible Noise Levels at Various
Durations of Exposurea

Duration per Day Sound Pressure Duration per Day Sound Pressure
Level (dBA)b Level (dBA)b

24 hr 80 28.12 sec 115

16 hr 82 14.06 sec 118
4 hr 88 7.03 sec 121
2 hr 91 3.52 sec 124
1 hr 94 1.76 sec 127
30 min 97 0.88 sec 130
15 min 100 0.44 sec 133
7.50 minc 103 0.22 sec 136
3.75 minc 106 0.11 sec 139
1.88 minc 109
0.94 minc 112
a 2000 TLVs and BEIs, American Conference of Governmental Industrial Hygienists. No exposure

to continuous, intermittent, or impact noise in excess of a peak C-weighted level of 140 dB.
b
Sound level in decibels is measured on a sound-level meter, conforming as a minimum to the
requirements of the American National Standards Institute Specification for Sound Level Meters,
S1.4 (1983)(2) Type S2A, and set to use the A-weighted network with slow meter response.
c
Limited by the noise source, not by administrative control. It is also recommended that a dosimeter
or integrating sound-level meter be used for sounds above 120 dB.

TABLE 4.16 Design Noise Level–Land Use Relationships

Design Noise Level (dBA) Description of Land-Use Category

60 (exterior) Areas such as amphitheaters, certain parks, or open

spaces in which local officials agree serenity and
quiet are of extraordinary significance
70 (exterior) Residences, motels, hotels, public meeting rooms,
schools, churches, libraries, hospitals, recreational
areas
75 (exterior) Developed land, properties, or activities not included
in above two categories
55 (interior) Residences, motels, hotels, public meeting rooms,
schools, churches, libraries, hospitals, auditoriums
Source: U.S. Department of Transportation, Policy Procedure Memorandum 90-2 Appendix B, Trans-
mittal 279, February 8, 1973.

The Housing Act of 1949 (PL 81-171), among other things, sets forth the
national goal of “a decent home and suitable living environment for every Amer-
ican family.” This goal was affirmed by the Housing and Urban Development
Act of 1968 (PL 89-117).64
 NOISE CONTROL 387

TABLE 4.17 Noise Levels for Sleeping Quarters in New Structures

Exterior Interior

Does not exceed 45 dBA for more than Not greater than 55 dBA for more than
30 min per 24 hr (Acceptable) an accumulation of 60 min in any
24-hr day
Does not exceed 65 dBA for more than Not greater than 45 dBA for more than
8 hr per 24 hr (normally acceptable) 30 min during nighttime sleeping hr
11 p.m. to 7 a.m. and not greater than
45 dBA for more than an
accumulation of 8 hr in any 24-hr day
Note: Not greater than 30 dBA preferred for bedrooms.
Source: Department of Housing and Urban Development, Circular 1390, amended September 1,
1971.

The Department of Housing and Urban Development has criteria for the sound
insulation characteristics of walls and floors in row houses, nursing homes, and
multifamily housing units. These criteria must be met by housing of this type in
order to qualify for HUD mortgage insurance.
The National Bureau of Standards and the National Science Foundation are
concerned with research in noise control and abatement in factories, homes,
offices, and commercial work areas.
The EPA has issued noise control regulations for interstate trucks, interstate
railroad carriers, new medium and heavy-duty trucks, and new air compressors.
The EPA and DOT regulations establish a maximum noise level of 90 dBA
for interstate trucks and buses over 10,000 lb in speed zones over 35 mph and
86 dBA at 35 mph or less, measured 50 feet from the center line of the lane
of travel. New trucks over 10,000 lb must achieve a sound level no higher than
83 dBA.
The EPA program for certain noise-emitting and noise-reducing products
requires a noise rating giving the number of decibels (dBA) a product emits and
a noise reduction rating. Noise emissions from new products (including portable
air compressors) are not to exceed 76 dBA at 23 feet (7 m).
The HUD noise levels for new sleeping quarters are given in Table 4.17.

State and Local Regulations

New York State enacted a state highway antinoise law in 1965 and California
followed in 1967. Chicago put into effect a comprehensive noise control program
in July 1971. Regulations require reduced noise levels after 1979 for vehicles,
construction machinery, home-powered equipment, and like-manufactured equip-
ment. St. Louis County has a noise code that limits noise in residential areas to
55 dBA and in industrial areas to 80 dBA. New Jersey enacted comprehensive
noise legislation January 1972. Most states in the snow belt have established a
maximum noise level for snowmobiles of 78 dBA at 50 ft. Some 12,000 states
388 AIR POLLUTION AND NOISE CONTROL

and municipalities have noise control legislation, but enforcement has been weak
and spotty.
Local regulations consistent with federal and state laws and enforced locally
are encouraged as being more practical for enforcement. Model noise control
ordinances are available to assist local communities in the development of a
local program.71∗
Maximum acceptable sound levels for different situations are given in
Tables 4.14, 4.16, and 4.17. Maximum permissible sound levels for workers in
industrial plants and factories regulated by the Occupational Safety and Health
Act are given in Table 4.15.

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390 AIR POLLUTION AND NOISE CONTROL

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CHAPTER 5

SURVEYING AND MAPPING FOR

ENVIRONMENTAL ENGINEERING
KURT W. BAUER, PE, RLS, AICP
Executive Director Emeritus, Southeastern Wisconsin Regional Planning
Commission, Waukesha, Wisconsin

INTRODUCTION

The practice of environmental engineering often entails the use of maps and
map-based land information systems and the conduct of related surveying opera-
tions. Accordingly, this chapter is intended to set forth certain basic surveying and
mapping concepts, the understanding of which is required for the practice of envi-
ronmental engineering. Historically, surveying and mapping constituted a highly
specialized branch of civil engineering, just as city and regional planning once
did. And, historically, university civil engineering curriculums included extensive
course work in surveying and mapping, and textbooks in surveying and mapping
were often authored by practicing civil engineers. The American Society of Civil
Engineers maintains a division of surveying and mapping—a field now known
as geomatics —and annually awards a prize for notable achievement in the field.
Surveying and mapping have, however, increasingly become a discipline sepa-
rate from civil and environmental engineering, and some branches—such as land
surveying, which could once be practiced by licensed engineers—are now prac-
ticed by a separately licensed profession. Some universities no longer include
any courses in surveying and mapping as a part of the civil and environmental
engineering curriculum. Nevertheless, the practice of environmental engineer-
ing will inevitably involve the use of maps, and, in some cases, the conduct of
related surveying operations. Therefore, an understanding of the basics concepts
underlying surveying and mapping is essential to the competent practice of envi-
ronmental engineering. Accordingly, this chapter sets forth these basic concepts
in summary—and in some cases greatly simplified—form.
Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry 395
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
396 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

IMPORTANCE OF MAPS

The most efficient and effective way of not only presenting, but of integrating,
information about a number of factors that must be considered in any envi-
ronmental engineering effort, is through the preparation of good maps designed
specifically for engineering application. Good maps serve at least two important
purposes in environmental engineering: (1) to provide a graphic representation
of the geographic area concerned; and (2) to relate pertinent data to geographic
location. Before considering the specific map requirements for environmental
engineering, a review of some of the basic concepts and definitions involved in
the preparation and use of maps is in order.

BASIC DEFINITIONS AND CONCEPTS

A map may be defined as a flat, true-scale, graphical representation of a portion

of the earth’s surface. In this respect, it should be recognized that the spherical
surface of the earth cannot be presented on a flat surface without some distortion.
Map scale may be defined as the relationship that exists between a distance on a
map and the corresponding distance on the surface of the earth. Map scale may
be expressed as an equivalence, a ratio, or a graph.

Foundational Elements for Creation of Maps

The creation of a map requires three foundational elements. The first of these is
a system for accurately locating features on the surface of the earth. The system
used consists of spherical coordinates expressed as latitude in degrees, minutes
and seconds north or south of the equatorial plane, and longitude expressed
in degrees, minutes and seconds east or west of the prime meridian through
Greenwich, England.
The topographic surface of the earth constitutes the physical entity upon which
the measurements of latitude and longitude, and indeed all survey measurements,
are made. The surface of the earth is an irregular, roughly spherical surface;
flattened at the poles and elongated through the equatorial plane. The latitude
of a point on this surface is given as the angular distance north or south of the
equator, and can be determined by direct astronomic observation as, for example,
by observation of the angular elevation of the pole star—using a transit or sextant.
The longitude of a point on this surface can be determined by observation of
the time difference between the meridian of longitude concerned, east or west
of a reference meridian—or prime—meridian—the longitude of Greenwich,
England, being the reference meridian in universal use today. See Figures 5.1
and 5.2.
The geoid is defined as a surface everywhere perpendicular to the direction of
gravity—conceptually equivalent to the surface that would be assumed by mean
 BASIC DEFINITIONS AND CONCEPTS 397

Z1

Point on surface
of the earth
P1

H
P2
Geoid

φ = latitude

W φ O E

ane
λ Equatorial pl
λ = ∆ time =
longitude
N
Meridian
through P

Prime Meridian
Longitude O

Z2

FIGURE 5.1 Ellipsoid latitude (φ), longitude (λ), and the orthometric height (H ) of a
point P 1 .

Orthometric height
P1
spirit level measurement
H
Ellipsoid height
GPS measurement h P2
Physical N
Earth Ellipisoid
P3
ψ Geoid
Direction of gravity-
Normal to geoid
ψ deflection of
Geoid height the vertical
Normal to ellipsoid

FIGURE 5.2 Relationships between the topographic surface of the earth, the geoid, and
a reference ellipsoid.

sea level if the seas extended under the continents. The geoid is the figure to
which all survey measurements are referenced and to which surveying instruments
are oriented through the use of spirit level vials or plumb lines. The geoid is,
however, an irregular, undulating surface.
398 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

Since it is impossible to make survey computations on the irregular surface

of the geoid, a mathematical surface is substituted that closely approximates the
geoid. This surface is created by rotating a two-dimensional ellipse about its
semiminor axis to create a three-dimensional, mathematically defined surface,
known as the ellipsoid.
Geographic locations and relationships—distances and directions—are
expressed as though they were located on the ellipsoid. Historically, a number of
ellipsoids have been used as a basis for surveying and mapping operations. Within
the continental United States, the historically most widely used ellipsoid is know
as the Clark spheroid of 1866. This ellipsoid was adopted for use in geodetic sur-
veying and in hydrographic mapping operations in the continental United States
by the U.S. Coast and Geodetic Survey—now known as the National Geodetic
Survey—and for use in topographic mapping operations by the U.S. Geological
Survey in the later part of the nineteenth century. This ellipsoid is the basis for
the North American Datum of 1927 (NAD-27), and for the older State Plane
Coordinate Systems still in use within the United States. The grid coordinate val-
ues under these older systems are expressed in U.S. survey feet. The newer State
Plane Coordinate Systems in use within the United States are based on the Geode-
tic Reference System of 1980. This spheroid is the basis for the North American
Datum of 1983 (NAD-83), and for the revised State Plane Coordinate Systems.
The grid coordinate values under these newer systems are expressed in meters.

Map Projections
The second of the foundational elements required for the creation of a map is
a map projection. A map projection typically consists of a set of mathematical
equations for converting the spherical surface of the earth to a flat surface upon
which maps may be constructed. Map projections thus serve to convert the spher-
ical geometry of the mapping ellipsoid to the plane geometry of the flat mapping
surface. A number of projection systems are in use for surveying and mapping.

Tangent Plane Projection

The tangent plane projection was the most common form of projection once
used by land surveyors and civil engineers. It is the basis for “plane” surveying
procedures, the procedures usually taught in introductory courses in surveying.
This projection is applicable only to the surveying and mapping of small areas and
is being replaced by more sophisticated projections and attendant and mapping
surveying procedures. Many land surveyors and civil engineers engaged in the
application of plane surveying may not even be aware that they are using this
type of projection in the preparation of maps and plats attendant to their work.
In application, the surveyor selects a point in, or near, the area to be surveyed
and mapped, at which point the survey is oriented to some form of directional
control that is recoverable. The directional control may be provided by magnetic
observation; celestial observation; or by the direction of a line defined by two
 BASIC DEFINITIONS AND CONCEPTS 399

monumented U.S. Public Land Survey system one-quarter section corners. The
surveyor then measures the angles formed by the lines of the survey and the
central direction. This is very different from independently measuring a magnetic
or astronomic direction for each line as is the case in projection-less mapping.
The angles so measured may then be drawn to scale on the map. Bearings shown
on tangent projection maps do not represent the astronomic or geodetic bearings
of the survey lines. The curvature of the earth and convergence of the meridians
are ignored. The distances are measured as, or reduced to, horizontal distances.
The distances are assumed to be measured at the mean elevation of the area
surveyed, and are horizontal and not level distances. No adjustments are made
for differences between distances as measured on the surface of the earth and
these same distances on the flat plane of the projection. The map—often termed
a plat —derived from the measured angles and distances is, in effect, a projection
of the curved surface of the earth onto a flat plane.
The principal advantage of this system is its simplicity. Straight lines are
considered to have a constant bearing; parallel straight lines are considered to
have the same bearing; level surfaces are considered to be flat planes; and plumb
lines are considered to be parallel. The errors introduced by these assumptions
become noticeable when the areas concerned exceed about 75 square miles,
and then approximate 0.05 foot and 0.1 second of arc. Individually compiled
maps cannot be coordinated and become diagrams rather than true maps. Other
surveys conducted in the same manner will disagree in the lengths and directions
of common lines, and directions between identical points on adjacent parcels will
have different values. This means that discrepancies, gaps, and overlaps will not
be apparent from mere review of plats of survey of adjacent parcels. Resurveys
are entirely dependent on recovery of survey markers or monuments set during
the original work.
Tangent plane projection surveys are of limited use to comprehensive planners
and to civil and environmental engineers concerned with areawide projects. The
lack of a common reference system makes the task of relating individual parcels
to each other difficult or impossible. Indeed, existing municipal maps compiled
from plats of survey are often no more than representations of the compilations
of paper records, so poorly done as to make their use in planning and engineering
difficult and costly, and the use of such plan implementation devices as official
mapping legally questionable.
The need to identify real property boundaries permanently and precisely, and
the need for large-scale, areawide planning and engineering has led to the use of
projection systems that eliminate the disadvantages of the tangent plane system.

Lambert Projection
The Lambert conformal conic projection conceptually uses a cone passed through
two parallels of the ellipsoid—known as standard parallels—to develop the
spherical surface into a plane surface. See Figures 5.3, 5.4, and 5.5. Meridi-
ans of longitude are represented on the projection by converging straight lines;
and parallels of latitude are represented as arcs of circles with a common center.
400 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

Earth axis and

conic axis

Intersecting Intersecting
cone cone

Scale Zone boundary

Zone limit too
small Standard parellel
Standard
φZN Parallels
scale exact
Scale too large
φS (meas. dist.
P
φSP larger than
φZS grid distance) Standard parellel
Scale scale exact
Zone limit too Zone boundary
small
Ellipsoid

Scale error kept to

max of 1 part in
10,000

FIGURE 5.3 Concepts underlying creation of a conic projection.

Northing x = x’ + C = R sin θ + C
N N y = R b − y’ = R b − R cos θ
x−C
tan θ = (lat)
Rb − y
b
R

Theta angle
Rb − y
R= (lat)
Xo(Eo) Grid North cos θ
θ
R from latitude ∆λ= where = ratio
λo
Y Northings

of change of
Rb Theta angle = angle on plane
y’ ∆ long to angle on
φZ Xo (No) sphere
N Geodetic
φS North x’
P
φS P P(x, y)
P
φZ y
S Orgin
c Easting
Xb (Nb) X Eastings
x

FIGURE 5.4 Concepts underlying creation of a State Plane Coordinate System grid
from conic projection.

Horizontal ground
level distance
Ground
level

State plane grid Ellipsoid or sea

level distance
Ellipsoid

Normals to State plane grid distance

the ellipsoid

FIGURE 5.5 Relationship of ground level distances to state plane grid distances.
 BASIC DEFINITIONS AND CONCEPTS 401

Angles are correctly represented on this projection. The scale is exact only along
the standard parallels, and is continuously changing along the meridians. Since
more than one cone may be fitted to the ellipsoid to create projection zones, the
projection concerned is also known as the Lambert conformal polyconic projection.
With respect to projections, the term conformal has a special meaning. Since
it is impossible to develop a spherical surface onto a plane, all maps will contain
distortions according to the projection used in their compilation. The distortions
may relate to scale; area; angles; or to the shape of figures. The unique properties
of a conformal projection include the following:

• All figures on the surface of the earth retain their shape on the map.
• Angles measured on the map approximate their true values on the surface
of the earth.
• The map scale at any point is uniform in all directions.

These properties are important to all who use grid coordinates in their work,
including surveyors, engineers, and planners. The Lambert conformal conic pro-
jection is typically used as the basis for the State Plane Coordinate Systems in
states having the greatest dimension in the east–west direction.

Mercator Projection
The Mercator projection is a projection that conceptually uses a cylinder tangent
to the ellipsoid at the equator to develop the spherical surface of the earth into a
plane surface. The equator is represented as a straight line true to scale; meridians
of longitude are represented as straight lines perpendicular to the equator; and
parallels of latitude are represented by straight lines parallel to the equator. The
scale is exact only along the equator and expands along the meridians north and
south of the equator. A line of constant bearing—called a rhumb line —appears
as a straight line on this projection. Therefore, the course between two points
can be scaled from the map, a useful characteristic for mariners. This will not,
however, be the shortest distance between the two points concerned.

Transverse Mercator Projection

The transverse Mercator projection is equivalent to a Mercator projection
rotated 90 degrees. Neither meridians of longitude—except for the central
meridian—nor parallels of latitude appear as straight lines. This projection is
used as a basis for the State Plane Coordinate Systems in states having the
greatest dimension in a north–south direction.

Other Projections
There are a number of other projections in use for various mapping purposes,
including the Universal Transverse Mercator (UMT) projection system. This is
402 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

a system devised for military purposes, but is used for some civil purposes.
It divides the entire earth into 62 zones, much larger than the zones used for
the State Plane Coordinate System. The later systems are to be preferred for
use in most public planning, engineering, surveying, and large-scale mapping
efforts. Unlike the Transverse Mercator projection used as a basis for the state
plane coordinate systems, which is a tangent projection, the transverse Mercator
projection used as a basis for the UMT projection is a secant projection.

The State Plane Coordinate System

The State Plane Coordinate System converts the spherical coordinates—latitude
and longitude—of the projection, as measured in degrees, minutes and seconds,
to rectangular grid coordinates measured in feet. The x axis values are known
as eastings, the y axis values are known as northings. See Figure 5.4. The State
Plane Coordinate Systems permit the conduct of surveys using plane survey-
ing methods, while accounting for the curvature of the earth, and maintaining
distortions within specified limits.
In the use of the State Plane Coordinate System, it is important to determine
whether the system concerned is the older system based on the North American
Datum of 1927, in which the grid coordinate values and related distances are
expressed in U.S. survey feet; or is the newer system based on the North American
Datum of 1983, in which the grid coordinate values and related distances are
expressed in meters. It is also important to understand the relationship of ground
level distances to State Plane Coordinate distances; see Figure 5.5. The following
definitions may be helpful in examining Figure 5.4, and are essential to the
proper understanding and use of the State Plane Coordinate Systems. The term
scale factor is defined as the state plane coordinate distances divided by the
ellipsoidal, or sea level, distances. The term sea level reduction factor is defined
as the ellipsoidal, or sea level, distances, divided by the horizontal ground level
distances. The combination scale and sea level reduction factor is defined as
the product of the scale factor and the sea level reduction factor so that State
Plane Coordinate grid distances are equal the horizontal ground level distances
multiplied by the combination factor.

Survey Control Networks

The third fundamental element required for the creation of a map is a system of
survey control that makes manifest on the surface of the earth the map projection
used, and makes it possible to accurately relate the measurements involved in
surveying and mapping to the map projection. A survey control network consists
of a framework of monumented points, or stations, the locations of which, on
the surface of the earth, are accurately known—either relatively or absolutely.
The control survey stations are used to locate, orient, and adjust local surveys,
to provide a means of verification and check for such surveys, and in the use of
surveys in the preparation of maps. Survey control networks are of two types:
 BASIC DEFINITIONS AND CONCEPTS 403

horizontal, in which the locations of the monumented stations are given either
in terms of latitude and longitude, or in terms of State Plane Coordinates; and
vertical in which the orthometric heights—elevations—of the monumented sta-
tions (called bench marks) are given in feet above the geoid—mean sea level
configuration—of the earth.
There are, in fact, two horizontal survey control networks in place and used
within much of the United States: (1) the geodetic control survey network cre-
ated by the federal government through the National Geodetic Survey, formerly
known as the U.S. Coast and Geodetic Survey; and (2) the U.S. Public Land
Survey System, also created by the federal government through the Bureau of
Land Management and its predecessor agencies. The National Geodetic Sur-
vey also provides a vertical control network complimentary to the horizontal
control network. The geodetic control survey system provides the basis for all
federal topographic mapping efforts, and for the preparation of all nautical and
aeronautical charts within the continental United States, including Alaska.
The U.S. Public Land Survey System provides the basis for all real property
boundary surveys and mapping in much, but not all, of the continental United
States. The states in which the Public Land Survey System has been established
include the 30 states that were created out of the public domain—that is, out of
the lands originally ceded to, and owned by, the federal government. These states
are Alabama, Alaska, Arizona, Arkansas, California, Colorado, Florida, Idaho,
Illinois, Indiana, Iowa, Kansas, Louisiana, Michigan, Minnesota, Mississippi,
Missouri, Montana, Nebraska, Nevada, New Mexico, North Dakota, Oklahoma,
Ohio, Oregon, South Dakota, Utah, Washington, Wisconsin, and Wyoming.

The National Geodetic Survey Control System

As already noted, the national geodetic survey control system actually consists of
two networks: a horizontal survey control network and a complimentary vertical
survey control network. The system is a scientific system designed to provide, as
already noted, the basic control for all federal topographic mapping and hydro-
graphic and aeronautical charting operations.
The horizontal survey control network consists of thousands of monumented
points whose positions on the surface of the earth—expressed in terms of lat-
itude and longitude—were established to known high orders of accuracy by
the U.S. Coast and Geodetic Survey (USC and GS), now National Geodetic
Survey. The positions were established by high-order triangulation and traverse
surveys. The stations are relatively widespread, being typically located on topo-
graphic high points, and are often relatively inaccessible. The use of the stations
requires knowledge and skill in the use of geodetic survey techniques and equip-
ment, knowledge, and skills, not generally historically available to public works
engineers and land surveyors.
In order to make the national horizontal survey control network more readily
available to and usable by local surveyors, the USC and GS in 1933 devised
the State Plane Coordinate System. As already noted, the State Plane Coordinate
404 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

System, as originally developed, is based on the Clark Spheroid of 1866 and the
attendant North American Datum of 1927 (NAD-27). The State Plane Coordinate
grid values are expressed in U.S. survey feet. Also as noted, the system translates
the spherical coordinates—latitude and longitude—of the primary federal survey
control stations into rectangular coordinates on a plane surface mathematically
related to the ellipsoid on which the spherical coordinates have been determined.
The State Plane Coordinate System is designed so that the effect of the distortion
inherent in the projection of the curved surface of the ellipsoid onto the plane
used for the rectangular grid is not more than one part in 10,000. The State Plane
Coordinate System, thus, permits local engineers and surveyors to connect sur-
veys by simple, well established plane surveying techniques tied to the extensive
network of precisely located triangulation and traverse stations of the national
geodetic control survey network.
If the location of a point is defined by stated coordinates on the State Plane
Coordinate System grid, then the location of that point is also known by its cor-
responding latitude and longitude. Thus, the precise location on the surface of the
earth of all survey stations and landmarks established in local engineering and
land surveys can be accurately described by stating their coordinates referred to
the common origin of the State Plane Coordinate System grid. Once plane coor-
dinates are established for any survey station or landmark, these coordinates may
become the best available evidence for the original positions concerned, should
physical monuments be lost. Computations relating to the lengths and bearings
of lines and to related coordinate values using the State Plane Coordinate System
are simple, being made with the well-established formulas of plane surveying.
The National Geodetic Survey (NGS) readjusted the horizontal survey con-
trol network in 1983, creating the North American Datum of 1983 (NAD-83).
This datum has been further refined in some areas of the United States, such
refined datums being identified by a suffix attached to the notation NAD-83.
For example, in Wisconsin the refined datum is indicated as NAD-83(91). As
already noted, NAD-83 is based on the Geodetic Reference System ellipsoid
of 1980. The attendant State Plane Coordinate values are given in meters. The
shifts in latitude and longitude values between the two datums can be significant.
For example, in Southeastern Wisconsin, the maximum shift in latitude between
NAD-27 and NAD-83(91) approximates 11 feet; while the maximum shift in
longitude approximates 39 feet. Although these shifts are important globally,
affecting courses and distances between intercontinental locations, the shifts do
not significantly affect the relative bearings and distances between monumented
points and control stations within local areas.
The vertical survey control network of the national geodetic control system
consists of a network of monumented benchmarks, the elevations—orthometric
heights—of which have been determined by the USC and GS through differential
spirit level surveys. The original vertical datum is known as National Geodetic
Vertical Datum of 1929 (NGVD-29). This datum was also known as Mean Sea
Level Datum. The national level net concerned was based on 26 tide stations
 U.S. PUBLIC LAND SURVEY SYSTEM 405

located along the coasts of the United States and Canada, interconnected by
high-order-accuracy differential spirit level surveys.
The NGS readjusted the level network in 1988 to produce a new vertical
datum known as the North American Vertical Datum of 1988 (NAVD-88). The
differences in elevations on the two datums can be significant. For example, in
Southeastern Wisconsin, the difference between NGVD-29 and NAVD-88 eleva-
tions ranges from 0.08 to 0.32 foot.
Some local vertical control survey datums are still in use. These can
present significant problems when engineering efforts requiring an areawide
approach—such as the hydrologic and hydraulic studies that are required to be
conducted on a watershed bases—are involved. The use of the national datums
and the conversion of local datums to the national datums is to be encouraged.

U.S. PUBLIC LAND SURVEY SYSTEM

After the Revolutionary War and Louisiana Purchase, the newly created federal
government found itself to be the owner of a vast wilderness area stretching
westward from the original 13 colonies. Subsequent additions of territory through
treaty and purchase greatly expanded this already vast area. In order to facilitate
the sale of the public lands and their development through private ownership, it
was necessary to provide a convenient and certain method of land description
and identification. To this end, the U.S. Public Land Survey (USPLSS) system
was devised, and the federal lands were surveyed and monumented by the federal
government before sale. The USPLSS is a brilliantly devised system providing
a simple means of writing short, unique legal descriptions for each and every
parcel of land to be conveyed in the vast area concerned. However, the system
depends, as a control survey system, on being able to identify, in the field, the
location of the original monuments established by the government surveyors.
This is a significant weakness in an otherwise virtually ideal system for real
property boundary description and field location identification.
The scheme of subdivision can be summarized as follows (see Figure 5.6): The
primary unit of subdivision is the survey township, a nominally 36-square-mile
area. The secondary unit of subdivision is the section, a nominally one-square-
mile, or 640-acre, area. These units are located with respect to a set of coordinate
axes consisting of an initial point, a principal meridian through that point, and
a base line, surveyed as a parallel of latitude and therefore a curved line on the
surface of the earth, through that point. A set of standard lines, consisting of
standard parallels, or correction lines, and guide meridians are used to control
for the convergence of the meridional lines. The subdivision of areas enclosed
by standard lines into survey townships is accomplished by running range lines
(meridional lines) and township lines (latitudinal lines). It should be noted
that in the identification system it is the ranges and tiers of townships that are
numbered and not the lines. The townships are subdivided into 36 sections
as shown and numbered in Figure 5.6. The sections can be further subdivided
406 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

1st Std. Parallel North Prime Meridian

1st Guide
Base Closing Standard
Meridian
Line- Township Township
West
Parallel Corner Corner

2nd Guide 2nd Guide

Meridan 1st Std. Initial Principal 24 Miles Less
Meridian
West Parallel Point Meridian Convergency
in 24 Miles East
South

1st Guide
2nd Std. Meridian
Parallel East
24 Miles
South

Principle Meridian
1st Standard
Parallel
2nd Guide
North T4N
Twp4N
R3W Meridian
Twp3N East
Std. Twp.
Corners T2N
Twp2N
R2W Base 1 chain = 66 ft. of 100 links
Line Twp1N 40 chains = 2,640 ft. = 1/2 mi.
80 chains = 5,280 ft. = 1 mi.
Twp1S
10 sq.ch. = 1 acre
2nd Guide Initial Twp2S 1 acre = 43,560 ft.2
Meridian Closing Twp. (Six mi. less
Corners Convergency Point Twp3S
West in 24 mi.) Section = 640 acres ±
Twp4S One-quarter section =
Twp5S 160 acres ±
Six Miles
etc.
R1W
R6W
R5W

R1E
R2W

R5E
R4W

R3E
R4E
R3W

R2E

etc.

2nd std. parallel south

6 mi. less convergency

1 mi. less Fractional Lots
convergency
in meridians
1 mi. ±
6 5 4 3 2 1 error

7 12

18 13
Fractional Regular NW 1/4 SE 1/4
lots Sections Sec. 10,
19 24 T5N, R21E,
4th PM
(40 acres ±)
30 25
Range Line
31 Township Line 36
6 mi. or six miles
less convergency

FIGURE 5.6 Standard lines, township and range lines, and township subdivisions.
 MAP REQUIREMENTS FOR PLANNING AND ENVIRONMENTAL ENGINEERING 407

into one-quarter sections—nominally 160 acre areas, and smaller areas such as
80, 40, 20, 10 and 5 acre areas—by simple descriptions.
A typical legal description might read: NE 1/4 of SE 1/4 of Section 10, Town-
ship 5 North, Range 21 East of the Fourth Principle Meridian. Often, the reference
to the numbered meridian is dropped and a county and state location substituted.
In this example, a nominally 40-acre tract is simply and unambiguously identi-
fied. This type of description can readily identify parcels down to a nominal 5
acre size.
The U.S. Public Land Survey System not only provided a simple, unambiguous
means for describing and locating real property boundaries for, but also provided
the first maps and natural resource inventories of the vast areas covered by the
survey system. The instructions to the government surveyors provided that, as the
township, range, and section lines were run, notes had to be kept indicating where
such lines crossed streams, together with the width of the streams shown and the
direction of flow, intersected lake shores, which were then meandered, where
wetlands were entered and left, and where woodlands were entered and left. The
government surveyors also had to make notations concerning the types of trees in
the woodlands, the types and potential fertility of the soils encountered, and the
potential presence of gravel, stone, and other mineral deposits. The survey data,
when assembled on township plats, provided the first maps of the area surveyed,
and the first resource inventory. The survey notes can be used to readily construct
an accurate map of the surface water system, wetlands, woodlands, and prairies
as they existed at the time of settlement by Europeans.
It should be noted that the two control systems—topographic and real prop-
erty boundary line—are not on a common datum. This was not critical when
topographic maps were compiled by field survey methods, but is critical today
when topographic maps are compiled photogrammetrically.

MAP REQUIREMENTS FOR PLANNING AND ENVIRONMENTAL

ENGINEERING

The proper planning and design of land development projects and of support-
ing public works facilities and the proper conduct of environmental studies and
assessments require constant attention to two factors: The land itself with its
topography and other physical characteristics; and the boundaries of real prop-
erty ownership. Definitive information about these two factors is essential if land
is to be properly developed, if supporting public works are to be soundly con-
ceived and effectively executed, and if environmental studies and assessments
are to be properly completed. The need to provide this information, in turn, gen-
erates the need for a control survey network, both as a basis for the production
of adequate maps and as a basis for the cost-effective execution of land and
engineering surveys that can be properly integrated on an areawide basis.
408 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

Two basic types of maps are required to adequately meet municipal planning
and engineering and environmental study and assessment needs:

1. Large-scale topographic maps. Such maps accurately show the configu-

ration and elevation of the ground (hypsometry); stream and watercourse
lines, and other natural and cultural (manmade) features of the land and
cityscapes (planimetry). The desirable scale of such maps for planning and
engineering purposes may range from one inch equals 50 feet to one inch
equals 200 feet, with vertical contour intervals ranging from 1 to 2 feet.
The maps should be prepared on a map projection to National Map
Accuracy Standards (i.e., all horizontal control survey stations and all map
projection tick markers should be plotted to an accuracy of 0.01 inch on
the map sheet). All well-defined planimetric features should be plotted to
an accuracy of 1/30th of an inch; 90 percent of all contour lines should be
accurate to within one-half contour interval; and all spot elevations should
be accurate to within one-quarter of a contour interval.
2. Large-scale cadastral maps. Such maps accurately show the location,
arrangement, and dimensions of all real property boundary lines, including
all street and other public rights-of-way. The cadastral maps should
be prepared on the same map projection and at the same scale as the
topographic maps. The use of a common map projection is essential so
that the data presented on the cadastral maps can be readily and precisely
correlated with the data presented on the topographic maps by simple
“overlay” processes—that is, so that the two types of maps can be readily
and accurately integrated by analog or digital means.

These two types of maps, if properly prepared, are not only useful in the conduct
of day-to-day planning and engineering functions, but can provide the basis for the
economical preparation of a number of other maps such as zoning district maps
and official maps, and to create planning base maps. The later show specific types
of fundamental information—such as, for example, real property lines, copies of
which can then be utilized to display other information. Importantly, these two
types of maps, if carefully designed and constructed on a common map projection,
can be used to create automated, parcel-based, land information systems.
Topographic maps should be prepared by photogrammetric methods. Cadastral
maps will normally be prepared by conventional plotting techniques that require
the interpretation of the legal descriptions of real property boundaries. As already
noted, the maps should be prepared on a common map projection. All horizontal
control survey stations and all map projection grid tick marks should be shown
with an accuracy of 0.01 inch on the map sheet; all real property boundary lines
should be plotted to an accuracy of 2.5 feet, and all gaps and overlaps of 2.5 feet
or more should be shown; all smaller gaps and overlaps should be annotated. A
peculiar feature of cadastral maps that is not in accord with the basic definition
of a map is that the dimensions and bearings of real property boundary lines are
typically shown on the maps. However, the dimensions given are ground-level
 MAP REQUIREMENTS FOR PLANNING AND ENVIRONMENTAL ENGINEERING 409

figures and are not reduced to sea level and grid values. This introduces small
differences in the values concerned, usually less than 0.01 foot in 100 feet.

Desirable Control Survey and Mapping System

It is essential that the control survey system meet two basic design criteria if
the maps based on it are to be effective planning and engineering tools. First,
the control survey system must facilitate the accurate correlation of real property
boundary line maps with topographic maps. Second, the control survey network
must be monumented on the ground so that lines on the maps can be correctly
reproduced in the field when planned land-use development and supporting pub-
lic works projects reach the construction stage. That is, the control survey system
should provide not only the foundation for the preparation of maps that accurately
reflect topographic and cadastral conditions, but also maps the lines of which can
be readily and accurately reproduced on the ground as well. The topographic and
cadastral maps should be prepared at scales large enough not only for use in
comprehensive planning, but also for use in site-development planning, prelim-
inary engineering, and environmental studies and assessments. Importantly, the
topographic and cadastral maps should be based on a common control survey
network so that the two types of maps can be accurately correlated.
In areas covered by the U.S. Public Land Survey System, the control survey
network should entail the relocation and monumentation of all U.S. Public Land
Survey section and quarter section corners, including the centers of sections, and
the use of these corners as stations in high-order surveys tied to the national
horizontal control survey and national vertical control survey systems. The hori-
zontal control surveys should establish the grid lengths and grid bearings of all
quarter section lines, as well as the geographic positions in the form of state plane
coordinates, of the U.S. Public Land Survey corners; while the vertical control
surveys should establish orthometric heights—elevations—for the monuments
marking the U.S. Public Land Survey corners and of certain accessories thereto.
The adopted control survey system provides the desirable common system of
control for real property boundary line, as well as for topographic mapping, and
for the conduct of both land and engineering surveys. Since all new land sub-
division plats must typically, in states covered by the U.S. Public Land Survey
System, by state law be tied to corners established in that system, and since the
accuracy of these plats can be controlled by state and local land subdivision reg-
ulations, the cadastral maps can be readily and accurately updated and extended
into newly developed areas. By locating and monumenting the U.S. Public Land
Survey System corners and accurately placing those corners on the State Plane
Coordinate System, it becomes at once possible to prevent the future loss of these
corners and to make the use of the State Plane Coordinate System practical for
land and engineering surveys.
The ability to accurately correlate topographic and real property boundary line
data by simple overlay techniques—analog or digital—can provide great sav-
ings in research time during the planning and design phases of municipal public
410 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

projects and in the conduct of environmental engineering studies and environ-

mental assessments. Such correlated information makes possible the consideration
and analysis of many alternative configurations for such public works facilities
as drainage and flood control works, trunk sewers, water transmission mains and
major traffic ways, and thereby of many alternative solutions to drainage, flooding,
sewerage, water supply, and transportation problems. The control survey system
and attendant maps also facilitate the preparation, calibration, and validation of
the hydrologic and hydraulic simulation models essential to drainage and flood
control, sanitary sewerage, and water supply system planning and engineering.
The control survey system provides a common bearing basis for all surveys and
plats and permits elevations to be referenced to a common datum. The system
places a monumented recoverable control survey station accurately located on
both the U.S. Public Land Survey System and on the State Plane Coordinate
System, and an attendant monumented reference benchmark at approximately
one-half-mile intervals throughout the area covered so that a user is never more
than about one-quarter mile from a monumented control survey station of known
location on the two control survey systems concerned and of known elevation.
The system thus facilitates the conduct of surveys required for certain types
of environmental engineering efforts such as, among others, the delineation of
floodlands, wetlands, woodlands, wildlife habitat, and contaminated areas, and
facilitates the preparation of maps displaying the delineated areas.
The system permits lines drawn on maps—whether marking the limits of land
to be reserved for various public and private uses, the limits of regulatory dis-
tricts, or the selection and alignment (horizontal and vertical) of proposed public
works to be accurately and precisely reproduced in the field. The system and
attendant maps facilitate the administration of zoning, land subdivision control,
the official map ordinances and the delineation of flood hazard areas. The system
and attendant maps also facilitate the preparation of derived maps, such as land
use maps, base maps for planning and engineering studies, and utility system
maps, and facilitate the graphic display of planning data. The control survey sys-
tem and attendant maps facilitate the preparation of accurate facility “as-built”
records. Importantly, the system and attendant maps provide the foundations for
the creation of automated parcel based land information systems and public works
managements systems.
If a county or municipality has a properly staffed engineering department, the
basic mapping work should be the responsibility of that department—thereby,
freeing the city planning and other departments to conduct long-range and current
planning operations. Planners, environmental engineers, and other users must, in
any case, be familiar with the use and limitations of maps in the conduct of their
work.

APPLICATIONS OF MAPPING SYSTEM

The utility of the described control survey and mapping system in the conduct
of environmental engineering studies and assessments may be illustrated by the
 APPLICATIONS OF MAPPING SYSTEM 411

presentation of the types of control survey data and maps envisioned, and a few
examples of the application of particularly the maps to environmental studies and
assessments. The control survey data should be presented in a series of summary
diagrams covering the area concerned—typically a county or metropolitan region.
The diagrams, as shown in Figure 5.7, should show the State Plane Coordinates
of the monumented U.S. Public Land Survey System corners; the ground level
lengths, sea level–grid lengths, and grid bearings of the exterior boundaries
of each one-quarter section, the number of degrees, minutes, and seconds in
the interior angle of each one-quarter section; and the elevations of the control
survey station monuments. Any national control survey stations within the area
concerned, and used to tie the U.S. Public Land Survey system corners to the
National Geodetic Control Survey Network, should be shown, together with the
coordinates of those stations. The angle between geodetic and grid north (theta
angle) should be given, as should the combination scale and sea-level reduction
factor used to convert grid to horizontal ground level distances. In addition, the
area in acres of the one-quarter sections, as computed using ground level distances
and grid bearings, should be given.
A data sheet similar to the one shown in Figure 5.8 should be prepared for
each control survey station to facilitate the ready recovery and use of the station.
These sheets should identify the U.S. Public Land Survey corner concerned, the
State Plane Coordinates of the corner, and the elevation (orthometric height) of
the corner monument and of one or more attendant reference benchmarks. The
grid bearing to an azimuth mark visible from the station should be given. The
sheets should contain a land surveyor’s affidavit certifying to the validity of
the corner location, and its use in the conduct of land surveys.
The attendant topographic maps (such as that shown in Figure 5.9) should be
constructed upon the State Plane Coordinate System grid and the adopted control
survey network. The State Plane Coordinate grid tick marks should be shown at
five-inch intervals, and the monumented control survey stations—the U.S. Public
Land Survey System corners—and the related one-quarter section lines should be
shown, together with the State Plane Coordinates of the monumented corners, and
the grid and ground level lengths, and grid bearings of the one-quarter section
lines. The maps should be prepared to National Map Accuracy standards and
should accurately show the hypsometry and planimetry of the mapped area.
Matching cadastral maps, such as that shown in Figure 5.10, should be com-
piled on the same coordinate grid as the topographic maps, and should show in their
correct location and orientation, the U.S. Public Land Survey System corners and
the State Plane Coordinates of those corners, together with the one-quarter section
lines and the ground-level lengths and grid bearings of those lines as established
by the control surveys. State Plane Coordinate System grid ticks should be shown
at five-inch intervals. In addition to showing the real property boundary and street
and railway rights-of-way lines, the maps should contain an identification num-
ber for each ownership parcel. These parcel identification numbers can be used
to link the map parcels to a computerized database containing attribute data for
each parcel, thus providing the foundation for the creation of a parcel-based land
412
FIGURE 5.7 Example: control summary diagram.
 APPLICATIONS OF MAPPING SYSTEM 413

FIGURE 5.8 Example: control survey station recovery sheet.

information system. Such data may include—among a virtually infinite variety

of physical, social and economic data—street address, parcel area, ownership,
valuation, existing land use, zoning, and presence of such conditions as flood
hazard, and environmental contamination. The topographic maps, cadastral maps,
and related attribute data should be prepared and maintained in digital format for
ready computer manipulation and automated display.
414
-6-

FIGURE 5.9 Typical topographic map.

 -8-

FIGURE 5.10 Typical cadastral map.

415
416 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

Flood Hazard Area Mapping

Figure 5.11 illustrates the use of the control survey and mapping system in the
delineation of flood hazard areas. The figure illustrates the accuracy and precision
with which flood hazard lines can be delineated. It should be noted, however, that
the maps also greatly facilitate the conduct of the engineering studies required to
delineate the flood hazard areas, particularly the hydrologic and hydraulic studies
that provide the flood stage elevations that are projected on the map hypsometry to
produce the flood hazard lines. The control survey and mapping system facilitates
the delineation of the channel profiles and cross-sections and the conduct of the
field surveys necessary to determine bridge and culvert waterway openings and
related hydraulic characteristics. The maps permit the accurate delineation of both
natural and artificial watershed and drainage boundaries essential to determining
drainage areas for use in the hydrologic analyses. It should also be noted that
since the map planimetry accurately displays rooftops, driveways, paved parking
areas, and street and alley pavements, it permits the accurate determination of
the impervious surface areas within a water shed, data useful in determining the
C values used in the rational method, and the runoff factors in the SCS-TR55
method used in calculating runoff. The control survey network also facilitates the
conduct of any field surveys that might be necessary to validate the flood hazard
delineation and to relate such delineation to historic flood events and attendant
flood damages.

Wetland Area Mapping

Figure 5.12 illustrates the use of the control survey and mapping system for the
delineation of wetland areas. In wetland delineation, an experienced biologist, soil
scientist, or specially trained environmental engineer visits the site concerned and
marks (stakes) the boundaries of the wetland and associated plant communities
and animal habitats in the field. This visit and survey is facilitated by having
a copy of the large-scale topographic map of the area concerned in hand. A
registered land surveyor then surveys the boundaries as marked, utilizing plane
surveying techniques; and then delineates the surveyed boundaries on a plat of
survey tied to the control survey network. This permits integration of the resulting
wetland maps into the existing base maps and into a parcel-based land information
system for the area concerned.
For some environmental reconnaissance surveys and inventories, somewhat
cruder survey techniques may be utilized. These could involve the use of com-
mercially available handheld global positioning system instruments that—with
an attendant proper software program—can provide State Plane Coordinate loca-
tions with an accuracy of about three to five meters. In this manner, the biologist
or soil scientist involved can obtain crude coordinates for the wetland boundaries
as they are marked in the field. These boundaries can then be plotted on the
topographic maps, cadastral maps, or on a combination of the topographic and
cadastral maps for use in the environmental engineering effort.
 W. HARRISON AVENUE

STREET
100-YEAR RECURRENCE
CHA
NNE INTERVAL FLOOD HAZARD

STREET
LIZE
D LINE

STREET
RIV
ER

8TH
7TH

9TH
S.
S.
S.

W. CLEVELAND AVENUE

FIGURE 5.11 Example: flood hazard area delineation.

417
418
780
314,500N

LAKE

Carex-
Bromus-Poa Calamagrosis
Association Typha-
Association
Scirpus Typha-
Association Decodon
Association

WLINE OF SW 1/4 SEC 31, T5N, R20E

LEGEND
Soil and vegitation samplesites Wetland Boundary
and transect
Plant Association

FIGURE 5.12 Example: wetland delineation.

 APPLICATIONS OF MAPPING SYSTEM 419

Public Works Management Information System

Public works facilities—water mains, sanitary sewer lines, storm drains, and
street improvements—provide the infrastructure essential for urban life. The
efficient management of public works requires detailed knowledge about the con-
figuration, condition, and performance of each of the various systems of public
works serving the urban area. Such knowledge requires not only the collection
of data about the system to be managed, but also the conversion of that data
through analyses into pertinent information, and then, by the exercise of pro-
fessional judgment, into intelligence on the basis of which sound management
decisions can be made.
Historically, data about public works were kept on paper records, such as
file index cards, construction plans, as-built construction records, special-purpose
maps and plats, and written reports. Sometimes, the data resided only in the living
memory of staff. The records were often duplicative, poorly maintained, difficult
and time-consuming to access and use, and not well coordinated between dif-
ferent functional areas such as tax assessment, planning, and engineering. When
meticulously kept and well indexed, such manual systems have worked toler-
ably well, particularly in smaller communities. As the size and complexity of
a community increases, however, the use of manually kept records becomes
increasingly difficult and unsatisfactory. The means now exist for the moderniza-
tion of these records and, therefore, of their conversion into an efficient and
effective computer-based public works management information system. The
existence of such systems greatly facilitates the conduct of environmental engi-
neering studies and assessments, as well as the preparation of facility system
plans.
Two developments make such computer-based public works management
information systems possible: the development of powerful, yet relatively
low-cost and user-friendly, microcomputer systems; and the development of
high-quality, automated base maps. Together, these two developments provide
the basis for the creation of parcel-based, automated, land information systems,
and in turn, automated public works management information systems. The
control survey and mapping system described herein provide a sound foundation
for the creation of these land information and public works management
information systems.
Figure 5.13 illustrates use of the control survey and mapping system in the
development of a public works management information system for a sanitary
sewerage system. The addition of sanitary sewerage facilities to an automated
base map is valuable in and of itself. Such addition permits sewerage system
maps to be readily produced at various scales for analytical and display pur-
poses. If a common control survey and mapping system is used, the sewerage
system mapping can be readily correlated with other public and private util-
ity system maps. Importantly, service areas can be delineated for analytical and
design purposes, and these service areas can be correlated with real property
boundary maps. The sanitary sewerage facilities should be delineated on a base
map consisting of a combination of selected features drawn from the available
420 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

FIGURE 5.13 Portion of a public works information system base map with sanitary
sewerage system overlay.

topographic and cadastral maps to provide the necessary foundational element

for the facility mapping. The topographic map provides information on build-
ing locations and pavement lines; the cadastral map on property boundary and
street rights-of-way lines. Since the two maps are constructed on a common
projection—the State Plane Coordinate System—the existing sewerage system
can be readily inventoried by field surveys using global positioning system tech-
niques for both horizontal and vertical positioning determination. New facilities
can then be readily added through the preparation of proper as-built records tied to
 APPLICATIONS OF MAPPING SYSTEM 421

the State Plane Coordinate System and common vertical datum. Spatial location
identification numbers are provided for manholes, and attendant data on manhole
rim and sewer invert elevations, and on segment sizes, lengths, and grades added
together with service area delineations.
Although the accurate mapping of the facilities is valuable in and of itself,
the creation of a public works management information system requires the sys-
tematic development of a set of facility attribute data that can be linked by
computer to the geographic location data provided by the automated base map.
The attribute data files provide information on the structural type, condition, and
performance of the facilities concerned. Creation of the attribute data file for
each facility system should be accomplished in accordance with detailed mem-
oranda that clearly specify the form and content of the computerized attribute
data file. Attribute data for the sanitary sewerage system should be structured to
facilitate efficient planning, design, construction, operation, and maintenance of
the system. The scope and conduct of the data file should be structured in close
cooperation with the director of public works, the city engineer, and system oper-
ating and maintenance personnel. A typical list of attribute data is provided in
the following.

Sanitary Sewerage System Attribute Data

I. General
A. System name
B. System number
C. Primary contact
II. Gravity flow sanitary sewers—data by segment between manholes
A. Identification number
B. Date of construction
C. Material
D. Pipe size in inches
E. Pipe length in feet
F. Grade in feet per foot
G. Manholes
1. Type
2. Cover
3. Location—State Plane Coordinates, NAD-27
4. Rim elevation in feet, NGVD-29
5. Invert elevations in feet, NGVD-29
H. Capacity flowing full in cubic feet per second
I. Flow in cubic feet per second
1. Average daily
2. Instantaneous peak
422 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

J. Surcharge elevation in feet, NGVD-29

K. Overflow
1. Gravity flow
a. Size in inches
b. Length in feet
c. Location in State Plane Coordinates, NAD-27
d. Invert elevation in feet, NGVD-29
e. Materials of construction
f. Capacity in cubic feet per second
g. Frequency
h. Duration
i. Rate in gallons per day
j. Receiving watercourse
2. Pumped
a. Type
b. Location in State Plan Coordinates, NAD-27
c. Rated capacity
d. Idling capacity
e. Frequency
f. Duration
g. Receiving watercourse
L. Condition
M. Service connections
1. Identification number
2. Date installed
3. Location in cumulative feet from downstream manhole
4. Lateral size in inches
5. Material
6. Service street address
N. Service area in acres
O. Construction plans
P. Construction as-built drawings
Q. Plan proposals
R. Instrumentation
1. Flow meter
a. Manufacturer
b. Model and serial number
c. Date installed
d. Calibration
 APPLICATIONS OF MAPPING SYSTEM 423

e. Supervisory control and data acquisition system

f. identification link to historical database
g. Correction factors
2. Flume
a. Manufacturer
b. Model and serial number
c. Date installed
d. Calibration
3. High-level/surcharge monitor
a. Manufacturer
b. Model and serial number
c. Date installed
d. Calibration
e. Supervisory control and data acquisition system
f. identification link to historical database
S. Pumping and lift stations data by station
1. Identification number
2. Date of construction
3. Location in State Plane Coordinates, NAD-27
4. Floor elevation, NGVD-29
5. Type
6. Capacity
a. Pump
(1) Manufacturer
(2) Model and serial number
(3) Date installed
(4) Life in feet
(5) Capacity at operating head in cubic feet per second
(6) Motor
(a) Manufacturer
(b) Model and serial number
(c) Date installed
(d) Starter type
(e) Horsepower
(f) Voltage
b. Wet well storage–gallons
c. Power
d. Auxiliary
(1) Generator
424 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

(a) Manufacturer
(b) Model and serial number
(c) Horsepower
(2) Engine
(a) Manufacturer
(b) Model and serial number
(c) Horsepower
(d) Fuel
(e) Cooling
T. Influent pipes
1. Sizes in inches
2. Invert elevations in feet, NGVD-29
3. Capacities flowing full in cubic feet per second
U. Effluent force main
1. Size in inches
2. Length in feet
3. Receiving facility
4. Materials of construction
5. Capacity in cubic feet per second
V. Emergency bypass
1. Outfall
a. Location—State Plane Coordinates, NAD-27
b. Size in inches
c. Length in feet
d. Invert elevation in feet, NGVD-29
e. Materials of construction
f. Capacity in cubic feet per second
g. Receiving watercourse
2. Bypassing
a. Frequency
b. Duration
c. Rate in gallons per day
W. Construction plans
X. Construction as-build drawings
Y. Service area
1. Size in acres
2. Resident population
3. Commercial area in acres
4. Industrial area in acres
 APPLICATIONS OF MAPPING SYSTEM 425

Z. Plan proposals
AA. Instrumentation and controls
1. Controller
a. Manufacturer
b. Model and serial number
c. Date installed
d. Date serviced by
e. As-built drawings
2. Instrumentation
a. Manufacturer/model and serial number
b. Date installed
c. Date calibrated
d. Date last serviced
III. Treatment plant: data by plant
A. Plant identification number
B. Type of plant
C. Date of construction by major treatment units
D. Site, location—State Plane Coordinates, NAD-27—of site bound-
ary, site area, in acres
E. Hydraulic capacity by major treatment units
F. Hydraulic loading by major treatment units
G. Biological capacity by major treatment units
H. Biological loading by major treatment units
I. Plant capacity in population equivalent
J. Plant loading in population equivalent
K. Permit effluent quality
L. Operating effluent quality
1. Dry weather flows
2. Wet weather flows
M. Outfall
1. Size in inches
2. Length in feet
3. Invert elevation in feet, NGVD-29
4. Materials of construction
5. Capacity in cubic feet per second
6. Receiving watercourse
N. Bypassing
1. Frequency
2. Duration
426 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

3. Rate in gallons per day

O. Construction plans
P. Construction as-built drawing
Q. Replacement cost by major treatment unit and total service area
1. Size in square miles
2. Resident population
R. Plan proposals

Similar tables listing attribute data for public water supply, stormwater man-
agement and street systems can be developed to provide a comprehensive public
works management information system. The existence of the resulting public
works management information system can greatly facilitate the conduct of envi-
ronmental planning and engineering studies and assessments; the assessment of
the condition and performance of existing systems; the existence of environ-
mental problems relating to the existing systems; and the preparation of system,
preliminary engineering, and construction plans.

SURVEY METHODS

Many environmental engineering studies and assessments can be facilitated by

direct use of the mapping system herein described; that is, by direct use of the
topographic maps, cadastral maps, or maps that combine selected elements of
these two types of maps. The maps can be used directly in the field during
the conduct of reconnaissance studies and of certain types of inventories, the
findings of which can be directly sketched on copies of the maps. The maps,
together with the attribute data residing in attendant land information and public
works management information systems, can be used in the preparation of maps
displaying such information as ownership, valuation, historic and existing land
use, soils and soil capabilities, flood hazard areas, wetlands, utility facilities, and
utility service areas, among others. In the presence of attendant land information
and public works management information systems, many of the display and
analytical maps required can be provided by computer plots.
The conduct of some environmental engineering studies and assessment will,
however, require the conduct of field surveys. Such surveys may be required
for the accurate location of site boundaries and of features such as buildings
and other structures; existing and abandoned wells, waste outfalls, and old mine
shafts; above and underground active and abandoned storage tanks; areas of
contaminated soils; plant and animal habitat areas; and active and abandoned
waste treatment, storage and disposal areas, among others. The field surveys
may require the determination of vertical, as well as horizontal, locations and
alignments, and information on, for example, the crown and invert elevations of
buried conduits and tanks.
If the control survey network such as herein described is available, the
surveys can usually be efficiently and effectively conducted utilizing plane
 SURVEY METHODS 427

surveying techniques. Modern instrumentation, including total stations equipped

with electronic distance measuring capabilities, automated spirit levels, and
computerized data collectors, facilitate the connection of the needed surveys to
monumented control survey stations of known position on both the State Plane
Coordinate and U.S. Public Land Survey Systems, and to the National Vertical
Datum. This will permit the survey results to be accurately plotted on the
available maps, and correlated with data residing in attendant parcel-based land
information and public works management systems. With respect to required
elevations (orthometric heights), spirit level surveys initiated at control survey
bench marks will directly provide such elevations.
The control survey network herein described, will also facilitate obtaining
needed data through traditional photogrammetric means, or through the con-
duct of newer light detection and ranging (LiDAR) surveys. Properly controlled,
such remote sensing technology can be used to quickly obtain information on
such features as the location and volume of stock and waste piles that, due to
their ephemeral nature, may not be shown on the available topographic maps.
Indeed, use of LiDAR technology is being promoted by the Federal Emergency
Management Administration for flood plain mapping.
Global positioning system (GPS) equipment can, in many situations, be used in
place of the more conventional plane surveying instrumentation. In areas where
base stations are available, GPS instrumentation can be used in the real-time
kinematic mode to provide horizontal positions to control survey accuracy levels.
The surveys can, moreover, be conducted by one person, greatly reducing costs.
In the use of GPS instrumentation, care must be exercised to ensure that the
instrumentation and attendant software programs are providing coordinate and
elevation data referred to the proper datums that are used for the control survey
and mapping systems concerned.
The GPS instrumentation can also be used to provide vertical survey control
data in the form of ellipsoid heights, as indicated in Figure 5.2. The conver-
sion of such heights to the needed orthometric heights requires knowledge of the
geoid heights. Geoid heights are available from the National Geodetic Survey,
but the accuracy of the known values (2.5 to 3.0 centimeters) is generally insuf-
ficient to provide survey accuracies adequate for many engineering purposes.
The availability of the control survey network herein described, however, per-
mits GPS instrumentation to provide orthometric heights to within an accuracy
of a few one-hundredths of a foot. This can be done by occupying the monu-
mented control survey stations (e.g., the four corners of a one-quarter section for
which orthometric heights are available) and determining the geoid heights at
these four locations by comparison of the known orthometric heights to the GPS
measured ellipsoid heights. These four values can then be averaged to provide a
value for the one-quarter section, and the GPS instrumentation can then be used
to obtain both horizontal and vertical positions of utilities and other features
located within the one-quarter section. The relationship utilized in the previously
described procedure (H = h - N ) is an approximation, but can be used with excel-
lent results for municipal engineering purposes. Theoretically, as is apparent from
428 SURVEYING AND MAPPING FOR ENVIRONMENTAL ENGINEERING

an examination of Figure 5.2, the ellipsoid height, H , and the geoid height, N ,
are measured along the normal to the ellipsoid, while the orthometric height, h,
is measured along the plumb line. Because the ellipsoid and geoid heights are
not parallel with the orthometric height, the measurements involved must theo-
retically be added as vectors, not as scalars. The nonparallelism of the normal to
the ellipsoid and the plumb line is known as the deflection of the vertical, and
in most cases is small enough to be neglected in surveys conducted for public
works and similar engineering purposes.

BIBLIOGRAPHY

Davis, R. F., Foot, J. Anderson, and E. Mikhael, “Surveying Theory and Practice,”
McGraw-Hill, New York, 1981.
National Research Council, “Procedures and Standards for a Multipurpose Cadastre,”
National Academy Press, 1983.
CHAPTER 6

PLANNING AND ENVIRONMENTAL

ASSESSMENT
KURT W. BAUER, PE, RLS, AICP
Executive Director Emeritus, Southeastern Wisconsin Regional Planning
Commission, Waukesha, Wisconsin

INTRODUCTION

The practice of environmental engineering requires an understanding of urban

planning objectives, principles, and practices. Accordingly, this chapter is
intended to serve as an introduction to what was, for a time, a highly specialized
branch of civil engineering, namely, city and regional planning. Historically,
university courses in city and regional planning were often taught in the civil
engineering departments, and textbooks in city and regional planning were
often authored by practicing civil engineers. The American Society of Civil
Engineers, to this day, maintains a division of urban planning and development,
and annually awards the Harland Bartholomew Prize for notable achievement
in planning. City and regional planning has, however, increasingly become
a discipline separate from civil and environmental engineering—a discipline
practiced by the now-separate planning profession. A close association and
mutual understandings between these two professions is needed.
This chapter considers city and regional planning as a rational process that
seeks the orderly and economic development of urban and urbanizing areas—a
process that is oriented to the formulation and attainment of sound urban devel-
opment objectives, and the formulation and application of standards that specify
desirable physical arrangements of cities and urban regions. This view of city
planning assumes that the orderly physical development of urban areas is in
the public interest, and that public planning should be oriented to furthering
the public health, safety, and general welfare. Other views of city and regional
Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry 429
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
430 PLANNING AND ENVIRONMENTAL ASSESSMENT

planning exist, such as user-oriented, participatory planning; advocacy planning;

and incremental or market-oriented planning. These other views are not, in this
chapter, regarded as sound models. Emphasis in this chapter is placed on the cen-
tral concept of the comprehensive plan, and on plan implementation devices such
as zoning, land subdivision control, official mapping, and capital improvement
programming. Emphasis is also given to the concept of environmental assess-
ment, which should be an integral part of the planning process, or closely related
to that process.

DEFINITION OF TERMINOLOGY

The term planning is defined and used in different ways by different profes-
sions. Planning is often defined as one of the five functions of management:
planning, organizing, directing, coordinating, and controlling. Used in this way,
planning is an analytical and creative process that involves the establishment
of goals or objectives for organizations, and the establishment of a systematic
means for the attainment of these goals or objectives over time. Used in this way,
planning, then, is concerned with identifying needs and problems; gathering and
analyzing relevant data concerning these needs and problems; developing and
testing alternative means for meeting the identified needs and alternative solu-
tions to the identified problems; and adopting and implementing the solution that
is judged best. Used in this way, planning is an activity of people who decide
matters within an organization, and it encompasses three core tasks, or func-
tions: inventory, goal formulation, and plan design. Techniques aside, planning
in this general sense is essentially the same process in whatever milieu it may
be applied.
Planning may be classified in a number of ways:

• According to the realm within which the planning decisions lie—as public-
or private-sector planning
• According to the disciplines involved in the planning—as economic, social,
or physical planning
• According to the jurisdiction concerned as—regional, state, or national plan-
ning
• According to the facility or service being planned—as school, hospital,
highway, sewerage, water supply, or park planning

Often, several types of resources may be affected by the planning effort, so

that planning for the development of any one of these resources may affect one
or more others. When this occurs, then one of the resources concerned will be
of primary concern, and the others will be of secondary concern in the planning
process. Thus, planning for a cultural activity may be defined as social planning,
while planning a building for the conduct of this activity may be defined as
physical planning. In this case, the physical planning is secondary to the primary
 CRITERIA FOR GOOD PLANNING 431

social planning. Planning for the development of physical resources is almost

always intended to serve primary social and economic development objectives.
Planners operating within municipal government have appropriated the term
planning, as heretofore considered in its broadest and most general sense, for their
own use, giving it a more narrow and restricted meaning. This is the meaning
that will be used in the rest of this chapter.
Under this narrower definition, city—and, by extension, regional—planning is
a process concerned with guiding the amount, rate, character, and quality of urban
change; and is concerned primarily with the arrangement of land uses and with
the provision of the necessary supporting transportation, utility, and community
facilities and services. Under this definition, planning is directly concerned with
the physical development of cities and metropolitan areas. It does not attempt to
establish the broader policies to be pursued with respect to the social and eco-
nomic development of these areas, but is concerned with providing the physical
infrastructure required for such development. It thereby greatly influences the
quality of life within cities and urban regions. Under this narrower definition, the
core function of city planning includes the preparation of plans for land use, and
for the supporting transportation, utility, and community facilities; and the prepa-
ration and administration of plan implementation devices such as zoning, land
subdivision control, official mapping, and capital improvement programming.
City planning takes effect largely through the operation of government, and
requires the application of specialized survey, analysis, forecast, and design tech-
niques. City planning may, therefore, be viewed as a social movement, as a local
governmental function, or as a technical profession. Each viewpoint has, to a cer-
tain extent, its own concepts, history, and principles of practice. Together, they
fuse into the effort of modern societies to shape and improve the environment
within which increasing proportions of humanity live and work: cities and their
urban regions.

CRITERIA FOR GOOD PLANNING

Good urban planning should meet at least three criteria:

1. Good planning should be comprehensive, considering all aspects of the

physical development of an area, and relating these to common unifying
objectives. A comprehensive approach is essential to the making of intel-
ligent decisions concerning relative needs and the effective allocation of
resources to areas of greatest need.
2. Good planning should be relatively long-range, looking well beyond obvi-
ous needs of the moment and attendant expedient solutions.
3. Good planning should encompass a geographic area that permits a
sound technical approach to the issues and problems concerned. Thus,
for example, drainage and flood control planning must consider natural
watersheds as rational planning areas; and transportation system planning
must consider entire commuter sheds as rational planning areas.
432 PLANNING AND ENVIRONMENTAL ASSESSMENT

Consideration of these criteria leads to the conclusion that some important

aspects of local urban planning can only be properly conducted within the frame-
work of broader regional planning. Moreover, regional planning can best be
conducted within a framework provided by formally adopted state development
objectives, and should serve to make these objectives operational at the mul-
ticounty regional or metropolitan area. Thus, an adopted state policy might be
to maintain floodlands in essentially naturally open uses. The hydrologic and
hydraulic studies required to establish flood flows and stages, and to map the
attendant flood hazard areas, can best be accomplished at the regional level based
on areawide land-use inventories and plans. The adopted regional plans are then
made operational through preparation of local plans that are consistent with the
regional plans. In the example used, the local land use and community facility
plans would identify the mapped floodlands and recommend their preservation
in park and open space uses. Local zoning, land subdivision control, and official
mapping can then be used to implement the local plans in a manner consistent
with regional plans and the state development objectives.

INSTITUTIONAL STRUCTURE FOR URBAN PLANNING

In the United States, municipalities are creatures of the states and have only such
powers, duties, and functions as the state legislatures grant to them. Accord-
ingly, states must enact city and regional planning enabling legislation to per-
mit municipalities—cities, villages, and civil towns—counties and multicounty
regions to engage in planning. Many state enabling acts follow the approach
recommended in the federal model city planning enabling act of 1927, which
delegates the urban planning function to advisory bodies known as plan commis-
sions. In theory, this delegation entrusts this important municipal function to a
continuing body of public officials and citizens qualified for the task, free from
the distractions of routine matters of administration, and somewhat detached and
insolated from partisan politics. The state enabling legislation provides for the
creation of such commissions and specifies their composition, functions, duties,
and powers. The enabling legislation will normally provide that the plan com-
mission may retain a staff and, as necessary, consultants, in accordance with an
annual budget provided by the governing body of the municipality. The staff that
serves the commission will normally be a department of a municipal government.
Some planners argue that the planning function should be under the direction of
the chief executive officer of the municipality, rather than under the direction of
the plan commission.
The state enabling legislation usually provides that the plan commissions are
entirely advisory to the executive and legislative branches of municipal govern-
ment. The commissions may make reports and recommendations relating to the
development of the municipality, not only to municipal officials and agencies,
but also to public utility companies, other organizations and citizens. Importantly,
the commissions are usually responsible for recommending long-term capital
 THE COMPREHENSIVE PLAN 433

improvement programs to the executive and legislative branches, for example,

to the mayor and common council. In addition, certain matters usually must be
referred to the plan commission before the municipal governing body, or other
public officer having final authority, thereon acts. These matters usually include,
among others, the location and architectural design of public buildings; and the
location, extension, alteration, vacation, or acquisition of land for streets and
other public ways, and for parks, playgrounds, and other open spaces; and the
location, extension, abandonment, or authorization for any public utility; and
all land subdivision plats. The enabling legislature usually also provides for the
municipal government to adopt, upon recommendation by the plan commission,
certain plan implementation devices such as zoning, land subdivision control,
and official map ordinances.

THE COMPREHENSIVE PLAN

The most important function and duty of a municipal or regional plan commission
is to make and adopt a comprehensive plan for the physical development of the
city or region. The plan should show the commission’s recommendations for the
physical development of the area concerned. The plan is intended to be made with
the general purpose of guiding and accomplishing a coordinated, adjusted, and
harmonious development of the municipality that will best promote the public
health, safety, and general welfare, as well as efficiency and economy in the
process of development. In some states, the enabling legislation may specify the
permissible content of the comprehensive plan only very generally—in other
states, in specific detail.
A comprehensive plan report may be expected to have the following com-
position:

Chapter 1 Introduction
This chapter should include background information on the geographic
limits of the planning area and on its regional setting; the need for and
purpose of the plan; the planning process; the planning organization and
staff structure; and the scheme of presentation.
Chapter II Demographics and Economic Base
This chapter should provide for the planning area information on the pop-
ulation size, distribution, characteristics, and on historic growth trends
in these factors. It should also provide information on the labor force,
economic base and structure, trade area, personal income, and property
tax base; and on historic trends in these factors.
Chapter III The Natural Resource Base
This chapter should provide for the planning area information on such
factors as climate; air quality; geology and physiography, topography and
drainage patterns and areas; soils, ground and surface water resources;
wetlands, woodlands, wildlife habitat and environmental corridors.
434 PLANNING AND ENVIRONMENTAL ASSESSMENT

Chapter IV Land Use

This chapter should provide information on historic urban growth patterns
in the planning area; and on the existing land use patterns, including the
amount and areal distribution of the residential, commercial, industrial,
and institutional land uses.
Chapter V Transportation
This chapter should provide information on the location, configuration,
capacity and utilization of the transportation facilities of the planning
area, including the arterial streets and highways and public transit facil-
ities and, as applicable, railway and airport facilities.
Chapter VI Public Utilities
This chapter should provide information on the location, configuration,
capacities, and use of the utilities in the planning area, including the san-
itary sewerage, water supply, stormwater management and flood control,
and solid waste management facilities.
Chapter VII Community Facilities
This chapter should provide information on the existing parks, public build-
ings, such as fire and police stations, administrative offices, libraries,
and, in some cases, hospitals and public housing facilities of the plan-
ning area.
Chapter VIII Housing
This chapter should provide information on the existing housing stock
by number of units; distribution, occupancy, and vacancy statistics;
structure types, and costs in terms of valuations and rents. The chapter
may also include descriptions of existing governmental and private
activities in providing decent, safe and sanitary low-income housing
within the planning area together with data on housing costs and
affordability.
Chapter IX Adopted Plans and Land Use Regulations
This chapter should provide information on areawide plans affecting the
local planning area; on past comprehensive plans; on existing land use
regulations, including zoning, subdivision control, and official mapping;
and on any special purpose districts such as metropolitan sewerage dis-
tricts, and the relationship of these districts to the local planning area.
Chapter X Anticipated Growth and Change
This chapter should present projections and forecasts of future population,
household, and employment levels; and on the demand for the various
types of land uses within the planning area.
Chapter XI Objectives, Principles, and Standards
This chapter should set forth agreed-upon land use, transportation, utility,
and community facility development objectives, together with a set of
supporting standards that can be used to quantitatively link the objectives
to alternative and recommended plan elements.
 THE COMPREHENSIVE PLAN 435

Chapter XII Plan Elements

A. Land Use
This plan element should consist of a recommended future land use
pattern for the planning area, including recommendations on the
amount and distribution of land proposed to be used for residential,
commercial, industrial, and institutional uses. The plan should iden-
tify existing land uses to be retained and areas to be devoted in the
future to each of the various types of land uses. The plan should
identify environmentally sensitive lands that should be maintained
in essentially open use, such as in parks, parkways, and open space
reservations. The plan should include recommendations concerning
the desirable densities and intensities of the various recommended
uses. In some cases, provisions may have to be made for lands to
be devoted to mineral extraction, sanitary landfills, cemeteries, and
other special use areas. At the regional level, the plan should contain
recommendations for the preservation of prime agricultural lands.
B. Transportation
This element should include recommendations for the future configu-
rations and capacities of the arterial streets and highway system and
of the transit system, and in some cases may address vehicular park-
ing, railway, airport, and seaport facilities. The plan should identify
the location, configuration, and proposed capacities of facilities to
be retained; those to be improved or otherwise altered, and of new
facilities proposed to be constructed.
C. Utilities
This plan element should include recommendations for the future
configuration and capacities of the sanitary sewerage, water supply,
stormwater management and flood control, and solid waste
management facilities, including the location and capacity of
needed conveyance, storage and treatment facilities; and for the
control of both point and non-point sources of water pollution.
The plan should identify the locations and proposed capacities and
levels of treatment to be provided by sewage and water treatment
plants and of trunk sewer and water transmission lines.
D. Community Facilities
This element should include recommendations for park and parkway
development; and for the location, size, and design of public build-
ings, such as administrative centers, fire and police stations, libraries,
and hospitals. The plan should identify facilities to be retained,
remodeled and expanded.
E. Special
Depending on the characteristic of the community concerned, the
comprehensive plan may include special plan elements relating
to the provision of low- and moderate-income housing, including
436 PLANNING AND ENVIRONMENTAL ASSESSMENT

public housing; for urban revitalization and redevelopment; for

historic preservation; and for railway facility realignment and airport
facility development.
Chapter XIII Plan Implementation
The comprehensive plan report should also contain recommendations for
plan implementation. The chapter should contain recommendations for
the adoption of a new, or for the amendment of the existing, zoning
ordinance to help carry out the land-use plan by regulating the use
of land, the height and bulk of buildings, and the density of popula-
tion. The chapter should contain recommendations for the adoption of
a new, or for the amendment of the existing, land subdivision control
ordinance, regulating the development and redevelopment of land. The
chapter may contain recommendations for the adoption of an official
map to help implement and reserve land for the arterial street, park, and
parkway elements of the plan, the official map being final and conclu-
sive as to the location and extent of all exiting and proposed streets,
parks, and parkways. The chapter may also contain recommendations
for the preparation and maintenance of a five-year capital improvement
program identifying improvements needed to implement the various
recommended plan elements. Finally, the chapter may address the adop-
tion of new or the amendment of the existing, housing and building
codes.
Chapter XIV Summary

Each individual plan element is intended to deal with identified developmental

or environmental problems. The individual plan elements are coordinated by
being related to the land-use plan. Thus, the land-use plan comprises the most
basic element of a comprehensive plan, an element upon which all of the other
elements are based.
A comprehensive plan for the physical development of the community is
essential if land-use development is to be properly coordinated with the develop-
ment of supporting transportation, utility, and community facility systems; if the
development of each of these individual systems is to be coordinated with the
development of the others; if serious and costly environmental and developmen-
tal problems are to be minimized; and if a more healthful, attractive and efficient
settlement pattern is to be evolved.
The preparation, adoption, and use of the comprehensive plan are considered
to be the primary objectives of the planning process. All planning and plan
implementation techniques are based on, or otherwise related to, the comprehen-
sive plan.
In the late 1960s and early 1970s, the validity of the concept of the comprehen-
sive plan was questioned and its application was opposed by some academicians
and even some practicing planners. The critics, however, suggested no construc-
tive replacement that would prevent public planning from becoming an arbitrary
and capricious process—more destructive than constructive. The comprehensive
 THE PLANNING PROCESS 437

plan has, therefore, remained a viable and valid concept, a concept essential to
coping with the environmental and developmental problems generated by urban
development and redevelopment in a rational manner.
The comprehensive plan not only provides the necessary framework for coor-
dinating and guiding development, but also provides the best conceptual basis
available for the application of system engineering techniques to the growing
problems of urban areas. This is because systems engineering focuses on the
design of physical systems. It seeks to achieve good design by setting good objec-
tives; assessing the ability of alternative plans to meet those objectives through
quantitative analyses; cultivating interdisciplinary team activity; and consider-
ing all of the relationships involved, both within the system being defined and
between that system and its environment.

THE PLANNING PROCESS

As shown in Figure 6.1, the comprehensive planning process consists of seven

major steps: the definition of the planning area; inventory and analysis; for-
mulation of development objectives, principles, and standards; identification of

Definition of planning area

Inventory and analysis

of planning data

Formulation of community
development objectives,
principles, and standards
Citizen participation and input

Reevaluation and feedback

Identification of
community development
requirements

Development and evaluation

of alternative plans

Plan selection and adoption

Plan implementation
and policy development

FIGURE 6.1 Comprehensive plan preparation process. (Source: SEWRPC.)

438 PLANNING AND ENVIRONMENTAL ASSESSMENT

development requirements; development and evaluation of alternative plans; plan

selection and adoption; and plan implementation policy development.

Definition of Planning Area

The proper definition—or delineation—of the planning area to be considered
requires careful study. For comprehensive urban planning, the planning area
should include the existing corporate boundaries and current urbanized areas
plus such adjacent open areas as general growth prospects and likely direc-
tions of expansion may indicate. Considerations should include, among others,
natural drainage basins; existing and proposed transportation facilities; salient
topographic features such as large wetlands, woodlands, and open space reserva-
tions; and prime agricultural lands. Considerations should also include adopted
state, regional, county, and preexisting local plans, and importantly, statutory
extraterritorial planning, zoning, and plat approval jurisdictions. Planning areas
may be defined by state law and federal administrative regulations—such as
the federal regulations governing water quality management and transportation
system planning. Some types of planning efforts may require the delineation of
planning areas such as water sheds and a commuter shed.

Inventory and Analysis

Reliable planning data are absolutely essential to the formulation of workable
development plans. Consequently, inventory becomes the first operational step in
the planning process. The crucial nature of factual information in the planning
process should be evident, since no intelligent forecast can be made, or alternative
courses of action formulated and evaluated, without definitive knowledge of the
current state of the area or system being planned.
The necessary inventory and analysis step not only provides data definitively
describing the existing conditions, but also provides a basis for identifying exist-
ing and potential problems, as well as opportunities and potentials for good
development. The inventory data are also crucial to the preparation of forecasts
and to the formulation and evaluation of alternative plans.
It is important to recognize that, to a considerably extent, urban development
and redevelopment can be guided and shaped in the public interest through the
task of collecting, analyzing, and disseminating accurate planning and engineer-
ing data. Experience has shown that if the inventory function is properly carried
out, the resulting information will indeed be used and acted on by federal, state,
and local units and agencies of government and by private investors. This will
contribute positively to the shaping and guiding of development in the public
interest, even in the absence of a comprehensive plan. For example, the develop-
ment and dissemination of accurate flood hazard maps will influence the location
of new flood-prone development and of redevelopment in the planning area.
Similarly, the development and dissemination of detailed operational soils data
will influence the location, configuration, and design of land subdivision plats
 THE PLANNING PROCESS 439

that are to be served by on-site sewer disposal systems. The development and
dissemination of accurate data on the location and configuration of wetlands will
similarly shape development decisions.
The proper preparation of comprehensive plans requires the collection of a
wide range of definitive data, including data in the following list:

I. Maps
A. Large-scale topographic maps
B. Large-scale cadastral maps
C. Aerial photographs
D. Base maps that can serve as a basis for the collection, analysis, and
display of planning data and plans
II. The Demographic and Economic Base
A. Demographic base
1. Existing and historic population size and distribution
2. Components of population change
3. Population distribution
4. Population characteristics
a. Age and sex composition
b. Race and Hispanic origin
c. Marital status
d. Educational attainment
5. Diurnal changes in population distribution
6. Number and characteristics of households
B. Economic base
1. Labor force
a. Labor force size and distribution
b. Labor force characteristics
2. Employment
a. Number and distribution of jobs
b. Occupational characteristics by place of work
C. Personal income
D. Property tax base
1. Equalized property values
2. Property tax levies and rates
III. The Natural Resource Base
A. Climate
B. Air quality
1. Ozone
2. Particulate matter
440 PLANNING AND ENVIRONMENTAL ASSESSMENT

C. Geology and physiography

1. Surface geology and physiography
2. Bedrock geology
D. Topography and drainage patterns
E. Soils
1. Detailed operational soils maps
2. Soil suitability interpretations
3. Suitability for urban development served by public sanitary sewers
F. Suitability for onsite sewage disposal systems
1. Conventional systems
2. Mound systems
3. Aerobic treatment systems
G. Suitability for agriculture
H. Suitability for extraction of minerals
I. Groundwater resources
1. Groundwater systems
2. Aquifer recharge and discharge
3. Groundwater quality
4. Vulnerability to contamination
5. Radium concentrations
J. Surface water resources
1. Lakes
2. Rivers and streams
3. Floodlands
K. Wetlands
L. Woodlands
M. Wildlife habitat
N. Natural resource-base-related elements
1. Major park and open space sites
2. Historic sites
3. Natural area and critical species habitat sites
O. Environmental corridors
1. Primary
2. Secondary
3. Isolated natural areas
IV. Land Use
A. Historic urban growth patterns
B. Existing land use
1. Urban land uses
2. Nonurban land uses
 THE PLANNING PROCESS 441

C. Residential land use

1. Residential building permit authorizations
2. Residential platting activity
D. Commercial land use
E. Industrial land use
F. Governmental and institutional land use
G. Agricultural land use
H. Extractive land use
I. Inefficient and conflicting land uses and blighted areas
J. Housing
1. Housing stock
2. Housing occupation and vacancy rates
3. Housing building activity
4. Housing value and costs
V. Transportation and Public Utility Facilities
A. Transportation facilities—locations and capacities
1. Freeways
2. Surface arterial streets and highways
3. Public transit facilities
4. Intracity transit facilities
5. Intercity transit service
6. Specialized transportation services
7. Railway facilities
8. Airports
9. Bikeways
B. Public utility systems—locations and capacities
1. Sanitary sewerage
2. Water supply
3. Stormwater drainage
4. Quasi-public utilities—electric power, gas, communications
C. Solid waste management facilities
1. Landfills
2. Recycling
3. Yard waste
VI. Community Facilities
A. Parks, parkways, and open space
B. Schools
C. Libraries
D. Administrative buildings
E. Police and fire stations
F. Medical care facilities
442 PLANNING AND ENVIRONMENTAL ASSESSMENT

VII. Adopted Plans and Land Use Regulations

A. Land-use regulations
B. Local zoning regulations
1. Background
2. General zoning
3. Floodland zoning
4. Shoreland zoning
5. Land-use pattern proposed under existing zoning
C. Land subdivision regulations
D. Official mapping
E. Special-purpose districts
1. Tax incremental financing districts
2. Town sanitary districts
3. Public inland lake protection and rehabilitation districts
4. Business improvement districts
5. Redevelopment areas

The focus, scope, and depth of the inventory and analysis step will differ
at the regional, as opposed to the local, level of planning. This difference has
important implications for the use of the inventory data in environmental engi-
neering. At the regional level, the inventory efforts will focus on such matters as
the accurate delineation of watershed boundaries and the collection of the hydro-
logic and hydraulic data needed to assess stream flows and attendant stages and
the location and extent of floodways and floodplains; surface and groundwater
quality, and related point and nonpoint sources of pollution; location, extent, and
quality of woodlands, wetlands, and wildlife habitat areas; the location of sites
having historic cultural and recreational value; existing land uses determined on
a uniform, areawide basis; preparation of detailed soil maps and attendant inter-
pretations for various rural and urban uses; commuter sheds and attendant travel
habits and patterns; and transportation system capacity and use. At the regional
level, the inventories may involve costly travel inventories, stream gaging and
water-quality monitoring efforts, and the formulation, calibration, and validation
of simulation models of travel and traffic; stream flows and stages; water qual-
ity, and air pollution. Horizontal and vertical control surveys may be conducted,
and the large-scale topographic and cadastral maps may also be prepared at the
regional level. Automated, parcel-based land information systems may also be
developed at the regional level. These systems have uses in many areas, includ-
ing planning, engineering, assessing, and general public administration. The local
inventories will focus on the more detailed factors affecting the preparation of
plans, including the configuration, capacity, and use of the total street system;
on the sanitary sewerage, water supply and storm water management facilities;
 THE PLANNING PROCESS 443

and such community facilities, as parks and parkways, libraries, police and fire
stations, administrative centers, and housing.
The inventory efforts should be carried out in accordance with a predesigned
structure for the creation of an automated planning information system and of a
companion automated public works management system.

Formulation of Objectives and Standards

Planning is a rational process for formulating and attaining objectives. The objec-
tives are intended to guide the preparation and evaluation of alternative plans,
and the selection of recommended plans from among the alternatives considered.
The comprehensive plan and its various elements should be clearly related to
the defined objectives through a set of quantitative standards. The formulation
of objectives should involve the active participation of public officials, business
and industrial leaders, and citizens and citizen groups.
Some planners make a distinction between the terms goals and objectives.
Under this distinction, the goals are defined as ideal ends toward which the plan-
ning process is directed. Objectives are defined as the realistically obtainable
ends toward the attainment of which plans and policies are directed. In any case,
it should be understood that goals and objectives may change over time as new
information is developed, as objectives are achieved through plan implementa-
tion, or as objectives fail to be achieved owing to changing public attitudes and
values. The objectives should recognize the economic, social, and physical devel-
opment and redevelopment aspirations of the community, and should include
environmental quality objectives. These latter may include a safe and sustainable
water supply adequate to meet domestic, industrial, recreational, and firefighting
needs; adequate sewage and other wastewater collection, treatment, and disposal
facilities; adequate drainage and flood-control facilities; water and air pollution
abatement; proper solid waste collection, reduction, treatment, and disposal; ade-
quate parks and outdoor recreational facilities; noise abatement and control; a
safe, convenient, and efficient transportation system; decent, safe and sanitary
housing; elimination of sources and causes of diseases such as mosquitoes,
ticks, black flies, rats, and other vectors; adequate schools; adequate hospi-
tals and other medical care facilities; and adequate power and communication
facilities.

Identification of Development Requirements

Any development plan must, to the extent possible, anticipate future require-
ments as a basic for the formulation of alternative plans and the selection of a
recommended plan. Therefore, in the comprehensive planning effort, forecasts
are required of future events and conditions that lie outside the scope of the
system to be planned. The future demand for land and facilities will depend,
to a considerable extent, on the size of the future population and the number
of households, and on the nature of future economic activity. Therefore, future
444 PLANNING AND ENVIRONMENTAL ASSESSMENT

levels of population, households, and economic activity must be forecast. These

forecast levels can then be used to determine the probable future demand for the
various land uses and for the supporting infrastructure facilities. This is not to
say that public policies at the local level cannot influence the course of economic
development and, consequently, of population and economic activity growth
rates.

Development and Evaluation of Alternative Plans

Having forecast the probable future demand for the various land uses and
supporting facilities, alternative plans that meet those demands can be developed.
The alternative plans should be evaluated based on their relative ability to obtain
the agreed upon development objectives. This is done through the application
of quantitative standards that relate the objectives to physical development.
The plan that is judged best to meet those objectives should be selected for
adoption.

Plan Selection and Adoption

The plan that is judged best to meet the agreed-upon development objective,
together with the alternative plans considered, should then be subjected to inten-
sive public review. The public should be involved in the review of the preferred
plan and of the alternatives considered through such techniques as the creation
and use of advisory committees, public educational programs; and presentation
at a series of well-organized public informational meetings supported by the
dissemination of information about the plans and the planning process. Spe-
cial briefings on the plan should be held with cognizant elected and appointed
public officials and interested and concerned business and community organi-
zations. In this respect it should be noted that one of the most meaningful
ways of providing public participation in the planning process is through the
plan commission itself, which directs the work and which should contain citizen
members.
The public participation process should culminate in a formal public hearing,
or hearings. Based upon the testimony presented at the hearing, or hearings,
the preliminarily preferred plan may be revised prior to presentation to the plan
commission and governing body concerned for consideration and adoption. This
may result in further changes to the plan. Following its adoption the plan should
be certified to the appointed public officials responsible for implementation, and
as may be necessary to concerned state and federal agencies.
Following plan adoption, the plan commission should guide plan implemen-
tation, and monitor changing conditions in the planning area that might affect
the structure of the adopted plan. Observed changes in conditions that would
require changes in the forecasts upon which the plan is based should initiate
a plan review and revision process, as should failure to implement key recom-
mendations in the plan. In any case, the adopted plan should be reevaluated and
revisions considered at a minimum of ten-year intervals.
 THE PLANNING PROCESS 445

Plan Implementation and Policy Development

Implementation of adopted public plans usually involves the application of several
planning tools of a legal and administrative nature. Land subdivision regulations
are used to assure that any proposed land subdivision plats conform to the adopted
plans with respect to both the proposed land uses to be accommodated, and to
such details as street, block, and lot layout, and required infrastructure improve-
ments. The zoning ordinance and attendant zoning district map are used to legally
assure that private development and redevelopment occur in conformance with
the adopted plans. The zoning regulation should govern the types of the var-
ious land uses permitted in the various parts of the planning area; the height
and arrangement of buildings on the land; the intensity of use of the land; and
the supporting facilities required; all as necessary to carry out the intent of the
adopted plans. An official map is used to assure that the land required for pro-
posed streets, parks, and parkways included in the adopted plan is reserved for
public use.
A building code sets forth detailed standards and regulations for the construc-
tion and alteration of buildings, including materials of construction; structural
and fire safety; light and ventilation; and electrical, heating and air conditioning
and plumbing facilities. The building code provides authorization for construc-
tion plan and specification review, approval of construction and alterations, and
the issuance of occupancy permits.
A sanitary code sets forth standards and regulations for the following:

• Disease control
• Qualification of personnel responsible for the operation of food services
• Safe water supply, wastewater disposal, air-pollution prevention
• Solid waste management
• Food, including milk, sanitation
• Radiation
• Noise
• Disease vectors
• Hospitals, nursing homes, and other institutions
• Schools, camps, and resorts
• Bathing beaches and swimming pools
• Occupational health and other preventative measures required to ensure the
protection of public health

A housing code sets forth standards and regulations for the provision of decent
safe and sanitary dwellings; for necessary utilities and services; occupancy; and
maintenance. All of these codes authorize inspection to determine compliance,
and are intended to promote the public health, safety, and welfare.
A capital improvement program is used to guide the investment of public
funds in improvements that carry out the adopted plan. Project priorities are
446 PLANNING AND ENVIRONMENTAL ASSESSMENT

established. Approximate costs are estimated, and sources of revenue and means
for financing are determined. The estimated costs should include operation and
maintenance costs, as well as capital costs. The program is usually prepared for
a five-year period into the future. When the governing body of the municipality
concerned considers the annual budget for the next calendar or fiscal year, the
first year of the capital improvement program is considered for incorporation
into the adopted budget, either as proposed or as may be modified by the budget
deliberations. At that time, the remaining four years of the capital improvement
program are reviewed and an additional year added, so that the program always
looks at least five years ahead.
The program should consider all public works construction contemplated by
the municipality concerned, and should coordinate such construction within the
municipality concerned, and with county, state, and private utility construction.
Moreover, the proposed public works construction projects should be coordi-
nated with committed and contemplated public and private land use development
projects. Programs should incorporate (as may be appropriate) probable state and
federal funding assistance, special assessment and impact fee revenues, and the
local tax burden. The program should treat the public works infrastructure as an
asset, and should provide for the timely maintenance of existing facilities, as well
as the construction of needed new facilities.
The preparation of a capital improvement program requires a working knowl-
edge of engineering economics and of the financing of municipal improvements.
Such financing may involve the use of revenue, general obligation and special
assessment bonds, and taxes and other revenues. If bonding is used, the effects of
debt service on the program must be considered. State laws will usually impose
specific limitations on the amount of debt that a municipality may incur. Such
debt limits are often set at a percentage of the average full value real property
assessment of the municipality concerned. Sometimes, indebtedness for an essen-
tial revenue-producing service, such as water supply, may be excluded from such
state limitations.
General obligation bonds are issued by a governmental agency such as a
municipality. Repayment is guaranteed through the municipal power of taxation.
Revenue bonds are repaid from a special source of revenue, such as water service,
sewer service, or toll bridge and toll road charges. The cost of the service made
possible by the bond issue is, thereby, directly related to the monthly, quarterly,
or annual billing for a specific service. Revenue bonds are not backed by the full
credit of the municipality. Therefore, interest rates may be somewhat higher than
for general obligation bonds.
Although these legal and administrative plan implementation actions are pri-
marily the prerogative of county and municipal governments, federal and state
regulations may also be involved. The protection of floodways and floodplains;
the delineation of areas to be served, by public sanitary sewer and water supply
facilities; the location, capacity, and level of treatment to be provided by wastew-
ater and water treatment plans; and the protection of woodlands and wildlife
habitat areas, are often specified by federal and state legislation and attendant
 PUBLIC WORKS DEVELOPMENT PROCESS 447

regulations. Federal grants for the improvement of highway and transit facilities in
metropolitan areas require the preparation and adoption of transportation system
plans and of capital improvement programs that serve to implement such plans.

PUBLIC WORKS DEVELOPMENT PROCESS

The foregoing description of capital improvement programming clearly implies

that plan implementation will involve the development of the public works
infrastructure required to support planned land-use development, as well as the
application of legal and administrative devices. The public works development
process should take place in three successive stages:

1. System planning
2. Preliminary engineering
3. Final engineering and construction

Most public works facilities are composed of integrated systems, and each
existing and each new facility must function as an integral part of the system
concerned—transportation, sanitary sewerage, stormwater management, flood
control, parks, and open space. The systems planning stage will often involve the
application of mathematical models that can be used to simulate the performance
of the system concerned, and the systems planning process should be accom-
plished as an integral part of the comprehensive planning process. System plans
for sanitary sewerage water supply and stormwater management are often termed
facility plans. If such plans are developed outside of the comprehensive plan-
ning process, the effort may require heroic assumptions to be made concerning
future population, household, and employment levels, and future land-use pat-
terns within the service areas concerned; as well as about such matters as surface
and groundwater quality objectives and the sustainability of water supply sources.
Outlines for typical sewerage, stormwater management, and water-supply facili-
ties planning reports follow.

Outline for a Sewerage Facilities Planning Report

I. Introduction
A. Purpose of planning effort and plan report
B. Brief description of planning area
C. Impetus and authority for planning effort
D. Description of sewerage system planning and development process
1. Areawide framework plan
2. Facilities plan
3. Preliminary engineering plans
4. Final engineering and construction
5. Required approvals
448 PLANNING AND ENVIRONMENTAL ASSESSMENT

II. Historic Studies and Plans

A. Pertinent areawide framework plan recommendations
1. Service area
2. Treatment
B. Pertinent local plans
1. Land use and zoning
2. Utility service
3. Stormwater management
III. Description of Existing Conditions
A. Available mapping
1. Survey control and datums
2. Topographic maps
3. Cadastral maps
4. Parcel-based land information systems
B. Demographic
1. Population—historic and existing
a. Levels
b. Distribution and densities
c. Seasonal
2. Households—historic and existing
a. Size and numbers
b. Distribution
c. Type, including group quarters
d. Seasonal
C. Employment
1. Type
2. Distribution
3. Special industrial and institutional
D. Land use—historic, existing, planned
E. Topography and drainage patterns
F. Geology and depth to bedrock
G. Soils
1. Suitability for development with convention septic tanks
2. Suitability for development with mound systems
3. Suitability for development with sewer systems
H. Climate and weather
1. Rainfall and snowfall
2. Temperature
3. Wind
4. Frost depth
 PUBLIC WORKS DEVELOPMENT PROCESS 449

I. Physical, chemical, biological, and hydrological characteristics of

receiving water
J. Characteristics of municipal and industrial wastewater volumes,
strengths, flow rates
K. Existing sanitary and combined sewer facilities
1. Location, configuration, service areas, and capacities of con-
veyance and storage facilities
a. Trunk sewers
b. Collection sewers
c. Manholes
d. Junction chambers
e. Pumping stations
f. Storage facilities
(1) Near surface
(2) Deep tunnel
g. Pumping stations
2. Location, type, capacities, and performance of treatment facilities
3. Existing flows and related problems such as surcharging and base-
ment backups
4. Surface and groundwater quality impacts
L. On-site sewage disposal facilities—septic tank systems and holding
tanks
1. Number and age
2. Distribution and densities
3. Soil suitability
4. Sanitary records
5. On-site inspections results
6. Well water testing
7. Leachate detector surveys
8. Household questionnaire surveys
M. Water supply facilities and service area
N. Stormwater management facilities and drainage areas
O. Natural resource base
1. Surface water
a. Use objectives
b. Quality conditions
(1) In stream quality
(2) Fishery resources
(3) Benthic organisms
(4) Aquatic habitat
450 PLANNING AND ENVIRONMENTAL ASSESSMENT

c. Sources of pollution
(1) Point
(2) Nonpoint
2. Groundwater
a. Depth to water table
b. Quality
3. Floodlands
4. Wetlands
5. Woodlands
6. Wildlife habitat
7. Environmental corridors
P. Archaeologic and historic sites
Q. Problems and needs with geographic differentiation
1. Surcharging
2. Basement backups
3. Sanitary sewer overflows
R. Water pollution control requirements; federal, state and interstate
receiving water classifications and efficient standards
IV. Forecast of Future Conditions to Design Year
A. Demographic
1. Population
a. Levels
b. Distribution and densities
c. Seasonal
2. Households
a. Size and number
b. Distribution
c. Type, including group quarters
d. Seasonal
B. Employment
1. Type
2. Distribution
3. Special industrial
C. Land use
D. Problems and needs with geographic differentiation
V. Sanitary Sewerage Objectives, Standards, and Design Criteria
A. Objectives and supporting standards
1. Quantity management
2. Quality management
3. Land-use relationship
 PUBLIC WORKS DEVELOPMENT PROCESS 451

B. Design criteria
1. Flows
a. Per capita sewage contribution by size of contributing area
(1) Average daily
(2) Peak daily
(3) Instantaneous peak
b. Clear water infiltration by size of contributing area
(1) Average daily
(2) Peak daily
(3) Instantaneous peak
c. Clear water inflow by size of contributing area
(1) Average daily
(2) Peak daily
(3) Instantaneous peak
d. Waste water reduction, reclamation and reuse
e. Total flows by size of contributing area
(1) Average daily
(2) Peak daily
(3) Instantaneous peak
2. Hydraulics of gravity and pressure flow sewers
a. Computational methodologies
b. Flow to depth relationships
c. Minimum size
d. Minimum grade and velocity
e. Minimum depth
C. Pumping and lift stations
VI. Alternative Plans
A. General description of alternatives
1. On-site sewage disposal
2. Conventional gravity flow sewerage systems
3. Pressure flow sewerage systems
B. On-site treatment and disposal
1. Description
a. Replace existing systems
b. Mound system
c. Holding tanks
d. Aerobic systems
2. Performance and environmental impacts
3. Costs
452 PLANNING AND ENVIRONMENTAL ASSESSMENT

C. Centralized treatment and disposal—may have multiple alternatives

and may include pressure flow as well as gravity flow systems
1. Description
a. Collection
b. Conveyance
c. Storage
d. Treatment
(1) Pollution loads
(2) Degree of treatment required
(3) Land requirements and buffer zones
(4) Outfall sewer
(5) Sludge disposal
e. Flows
2. Performance evaluation—simulation modeling
3. Environmental assessment
4. Costs
a. Capital
b. Operating and maintenance
D. Comparative evaluations of alternatives considered
1. Costs
a. Capital
b. Operation and maintenance
c. Present worth
d. Cost effectiveness
2. Attainment of objectives and standards
3. Environmental impacts
VII. Recommended Plan
A. Description
B. Performance and environmental assessment
C. Costs
1. Capital
2. Operation and maintenance
D. Implementation
1. Institutional structure
2. Procedure
a. Plan adoption
b. Capital improvement programming, financing, and cost allo-
cation
c. Preliminary engineering
d. Final engineering and construction
 PUBLIC WORKS DEVELOPMENT PROCESS 453

e. As-built documentation
f. Operation and maintenance
VIII. Public Participation
A. Cognizant authority structure
B. Advisory committee
C. Public information meetings and hearing
D. Reflection in recommended plan

Outline for a Stormwater Management Facilities Planning Report

I. Introduction
A. Purpose of planning effort and plan report
B. Brief description of planning area
C. Impetus and authority for planning effort
D. Description of stormwater management planning and development
process
1. Areawide framework plans
2. Local system plans
3. Preliminary engineering
4. Final engineering and construction
5. Required approvals
E. Basic concepts involved in storm water management planning
1. Difference between stormwater management and flood control
planning
2. Areawide flood control plans
3. Major and minor storm water drainage systems
4. Performance simulation
5. Relation of sanitary sewerage and stormwater management sys-
tem planning and performance
F. Planning approach
1. Cognizant public body oversight and guidance
2. Public participation
3. Adoption
II. Historic Studies and Plans
A. Introduction
B. Pertinent areawide framework plans
1. Land use
2. Flood control
C. Pertinent local plans
454 PLANNING AND ENVIRONMENTAL ASSESSMENT

1. Land use and zoning

2. Utility service
3. Drainage
III. Stormwater Management System Components
A. Introduction
B. Drainage components
1. Overland flow
2. Collection
a. Drainage swales
b. Roadside ditches
c. Roadway curbs and gutters
d. Stormwater inlets
e. Stormwater catch basins
3. Conveyance
a. Open channels
b. Culverts
c. Sewers
d. Manholes
e. Junction chambers
f. Outfalls
g. Pumping stations
4. Storage facilities
C. Water quality management components
1. Infiltration devices
2. Sedimentation—floatation basins
3. Outfall treatment
4. Construction erosion control
5. Street sweeping and litter control
6. Leaf collection
7. Wetlands
a. Natural
b. Constructed
IV. Description of Existing Conditions
A. Introduction
B. Available mapping
1. Survey control and datums
2. Topographic maps
3. Cadastral maps
4. Parcel-based land information systems
 PUBLIC WORKS DEVELOPMENT PROCESS 455

C. Land use—historic, existing, planned

D. Geology and depth to bedrock
E. Soils
1. Suitability for development
2. Hydrologic classification
F. Climate and weather
1. Rainfall and snowfall
2. Temperature and seasonal considerations
3. Snow cover and frost depth
G. Sanitary sewerage
1. Service areas
2. Facility configuration
3. Areas of surcharging and basement flooding
H. Existing flood control and storm water management systems
1. Topography and drainage patterns
2. Flood stages and inundation areas along receiving streams
3. Overland flow paths
4. Street cross-sections
a. Rural—ditches and swales
b. Urban—curbs and gutters
5. Storm sewers
a. Sewers, manholes, and junction chambers
b. Inlets
c. Catch basins
d. Pumping stations
e. Outfalls
6. Roadside ditches and culverts
7. Drainage channels
8. Storage
9. Off-street culverts
10. Catchment areas and subbasins
11. Pollution control facilities
I. Natural resource base
1. Surface water
a. Use objectives
b. Quality conditions
(1) In-stream quality
(2) Fishery resources
(3) Benthic organism
(4) Aquatic habitat
456 PLANNING AND ENVIRONMENTAL ASSESSMENT

c. Sources of pollution
(1) Point
(2) Nonpoint
(a) Agricultural runoff
(b) Urban runoff
(c) Leaks and spills
(d) On-site sewage disposal
2. Groundwater
a. Depth to water table
b. Quality
3. Floodlands
4. Wetlands
5. Woodlands
6. Wildlife habitat
7. Environmental corridors
J. Archaeologic and historic sites
K. Existing storm water drainage problems
1. History of significant rainfall events
2. Areas of ponding and inadequate drainage
a. Location and extent
b. Relation to sanitary sewerage
system surcharging and backup
c. Monetary damages
L. Summary and conclusions
V. Stormwater Management Objectives, Standards, and Design Crite-
ria
A. Objectives and supporting standards
1. Quantity management
a. Minor system, 10-year recurrence interval level of protection
b. Major system, 100-year recurrence interval level of protec-
tion
2. Quality management
3. Land-use relationship
B. Analytical procedures and design criteria
1. Rainfall intensity—duration—frequency data
2. Time distribution of design rainfall
3. Hydraulic design criteria
a. Open channel flow
b. Inlet capacity
c. Piped flow
d. Culvert flow
 PUBLIC WORKS DEVELOPMENT PROCESS 457

C. System performance simulation

1. Flow delivery
2. Pollutant delivery
3. Flow control
4. Pollutant control
D. Assumptions
1. Site grading
2. Street cross sections
3. Open drainage channels
4. Outlet conditions
E. Summary
VI. Performance Evaluation of Existing System
A. Introduction
B. Comparative evaluation of existing hydraulic capacities and antici-
pated stormwater flows
1. Minor system
2. Major system
C. Identification of problem areas
1. Structure flooding
2. Yard flooding
3. Street flooding
4. Relationships to sanitary sewer system surcharging
D. Evaluation of nonpoint source pollutant abatement characteristics of
existing system and required pollutant reductions
E. Summary and conclusions
VII. Design of Alternative Stormwater Management System Plans
A. Introduction
B. Alternative measures
1. Structural measures for drainage and pollution abatement
a. Storm sewer conveyance
b. Roadside ditch and swale conveyance
c. Centralized detention
d. Decentralized, on-site detention
e. Centralized retention
f. Decentralized, on-site retention
g. Wetland storage
h. Outfall treatment
2. Nonstructural measures for pollution abatement
458 PLANNING AND ENVIRONMENTAL ASSESSMENT

C. Alternative stormwater drainage system plans considered

1. Maximum conveyance alternative
a. Configuration
b. Capacity
c. Performance
2. Maximum storage alternative
a. Configuration
b. Capacity
c. Performance
3. Composite alternative
a. Configuration
b. Capacity
c. Performance
4. Comparative evaluation of alternatives considered
a. Costs
(1) Capital
(2) Operating and maintenance
(3) Cost effectiveness
b. Attainment of objectives and standards
5. Selection of preliminary recommended system plan
a. Configuration
b. Performance
VIII. Recommended Stormwater Management System Plan
A. Integration of preliminary recommended storm water drainage, san-
itary sewerage, and water quality management plans
B. Description of recommended drainage component
1. Configuration
a. Minor drainage system
(1) Overland flow
(2) Curb and gutter street cross sections and locations
(a) Inlets and catch basins
(b) Sewers
(c) Storage
(d) Outfalls
(e) Open channels
(3) Rural street cross-sections and locations
(a) Roadside ditches
(b) Parallel culverts
(c) Cross culverts
 PUBLIC WORKS DEVELOPMENT PROCESS 459

(d) Storage
(e) Open channels
b. Major drainage system
(1) Flow paths
(2) Storage and areas of inundation
(3) Storage
2. Capacity
3. Performance
4. Cost
a. Capital
b. Operating and maintenance
C. Description of recommended water pollution abatement component
1. Configuration
a. Structural measures
(1) Infiltration
(2) Sedimentation—flotation basins
(3) Outfall treatment
b. Nonstructural measures
(1) Constructions erosion control
(2) Street sweeping and litter control
(3) Leaf collection
(4) Wetlands
2. Capacity
3. Performance
4. Cost
a. Capital
b. Operating and maintenance
D. Performance and environmental impacts
1. Ability to meet objectives and standards
a. Land use
b. Hydrologic and hydraulic performance
c. Water quality management performance
d. Cost effectiveness
e. Environmental impacts
2. Relationship to adopted areawide flood control plans
E. Summary
IX. Plan Implementation
A. Introduction
B. Institutional structure
460 PLANNING AND ENVIRONMENTAL ASSESSMENT

1. General-purpose municipal government

2. Stormwater utility district
C. Procedure
1. Plan adoption
2. Capital improvement programming, financing and cost alloca-
tion
3. Preliminary engineering
4. Final engineering and construction
5. As-built documentation
6. Operation and maintenance
D. Capital improvement program
1. Prioritization of required capital improvements and sequencing
of projects
2. Financing and cost allocations
E. Regulatory consideration
1. Stormwater management ordinance
2. Administrative code and ordinance requirements
X. Summary

Outline for a Water Supply Facilities Planning Report

I. Introduction and Background
A. Background
B. Study area
C. The water supply planning program
1. Previous planning efforts
2. Initiation of water supply planning program
3. Plan purpose
4. Relationship to other planning program
5. Staff, cooperating agencies, consultants, and committee structure
6. Plan presentation and organization
II. Description of the Planning Area
A. Manmade features
1. Regional setting of watershed and political boundaries
a. Civil divisions
b. Special-purpose units of government with water supply man-
agement responsibilities
2. Demographic
a. Demographic base
b. Population and housing unit size and distribution
3. Economic base
 PUBLIC WORKS DEVELOPMENT PROCESS 461

4. Land use
a. Historical development
b. Existing land use
5. Public and private utility base
a. Sanitary sewer service
b. Water supply service
B. Natural resource base
1. Topographic and physiographic features
a. Topographic maps
b. Cadastral maps
c. Survey control and datums
d. Geology
2. Soils
3. Vegetation
a. Wetlands
b. Woodlands
c. Grasslands
d. Natural and critical plant species areas
4. Surface-water resources
a. Streams
b. Lakes
c. Floodlands
5. Groundwater resources
6. Fish and wildlife resources
a. Fish and aquatic life
b. Wildlife habitat
7. Park and open space sites
8. Environmental corridors
III. Existing Water Supply Conditions in the Region
A. Water Supply Sources
1. Groundwater
a. Shallow Aquifer
(1) Water uses
(2) Aquifer-quantity characteristics
(3) Water-quality characteristics
b. Deep aquifer
(1) Water uses
(2) Aquifer-quantity characteristics
(3) Water-quality characteristics
462 PLANNING AND ENVIRONMENTAL ASSESSMENT

2. Surface water
a. Availability
b. Quality
B. Existing Water Supply Facilities
1. Public utility
2. Private utility
a. Industrial
b. Commercial
c. Agricultural
d. Domestic (residential)
IV. Legal Structures Affecting Water-Supply Planning
A. Water law
1. Surface water
2. Groundwater
3. State water-supply regulations
4. Source water assessment requirements
5. Water-supply facility requirements
6. Other related state water-quality management regulations
B. Local water-supply management regulations and policies
V. Water-Supply Management Objectives and Standards
A. Basic concepts and definitions
B. Water-supply planning objectives
C. Design and planning standards for water supply facilities
1. Water demand standards
a. Residential demand
b. Commercial demand
c. Industrial demand
d. Public demand
e. Firefighting demand
f. Unaccounted for water
g. Water used in treatment
2. Water quality standards
a. Raw water
b. Finished water
3. Water system design standards
a. Design objective
b. Water demand standards
(1) Peak day to average day pumpage ratio
(2) Peak hour to peak day pumpage ratio
 PUBLIC WORKS DEVELOPMENT PROCESS 463

(3) Distribution system pressures

(4) Fire flow considerations
c. Pumping and storage standards
(1) Source capacity
(2) Peak hour storage
(3) Fire flow
(4) Emergency supply
d. Main looping and sizing
4. Cost-effectiveness analysis
D. Other related land and water-resource management planning objec-
tives and standards
VI. Analysis and Forecasts
A. Population
B. Households
C. Employment
D. Land-use demand
E. Water supply service areas
F. Forecast water uses and evaluation of existing systems
1. Public utility
2. Private utility
a. Industrial
b. Commercial
c. Agricultural
d. Domestic (residential)
G. Groundwater systems
1. Shallow aquifer
2. Deep aquifer
3. Groundwater contamination potential analysis
4. Important groundwater recharge areas
5. Groundwater quantity and sustainability analysis
H. Surface water systems
VII. Problem Identification and Issues to Be Addressed
A. Problem identification
1. Groundwater quantity and quality
a. Shallow aquifer
b. Deep aquifer
2. Surface water quantity and quality
3. Groundwater–surface water interrelationships
464 PLANNING AND ENVIRONMENTAL ASSESSMENT

B. Issues to be addressed
1. Groundwater sustainability and relationships to areas of ground-
water recharge and use
2. Groundwater quality
3. Surface water quantity sustainability
4. Surface water quality
5. Relationship of water supply to land use
6. Groundwater–surface water issues
7. Relationship of water-supply systems to sanitary sewerage sys-
tems
VIII. Future Scenarios and Alternative Plan Descriptions and Evaluation
A. Applicable water-supply management measures
1. Water conservation
2. Preservation of groundwater recharge areas
3. Groundwater supply options
4. Surface water–supply options
5. Water-supply system optimization
6. Water-supply system interconnection
7. Water-supply treatment
8. Options for areas outside water-supply service areas
B. Alternative plan 1–expansion of existing systems with current
groundwater use and probable loss of recharge areas
C. Alternative plan 2–expansion of existing systems with high level of
water conservation and recharge area protection
D. Alternate plan 3–expansion of existing systems using existing
sources
E. Alternate plan 4–expansion of existing systems using groundwater
sources
F. Alternate plan 5–expansion of existing systems using surface water
sources
G. Alternate plan 6–combination alternatives
H. Evaluation of alternative water supply plans
1. Evaluation criteria
2. Cost analysis
3. Nonmonetary factors analysis
4. Ranking of alternatives
I. Description of preferred alternative combination plan
IX. Recommended Water Supply Plan
A. Public reaction to the preliminary recommended regional water sup-
ply plan
B. Final recommended regional water supply plan
C. Relationship of recommended plan to identified water supply issues
 PUBLIC PARTICIPATION 465

X. Plan Implementation
A. Basic concepts and principles
B. Plan implementation organizations
1. Local agencies
2. Areawide-level agencies
3. State agencies
4. Federal agencies
5. Private concerns
C. Plan adoption and integration
D. Financial and technical assistance
E. Subsequent adjustment of the plan and continuing planning process
F. Summary
XI. Summary and Conclusions
A. Study organization and purpose
B. Recommended water supply plan
C. Plan implementation
D. Resolution of major issues
E. Conclusions

PUBLIC PARTICIPATION

For comprehensive plans to be effective, it is necessary that the planning process

provides for public participation during important stages in the process. Increas-
ingly, citizens of more economically prosperous and technically advanced nations
are demanding, as a fundamental right, not only clean air and pure water and
food, but also decent, safe, and sanitary housing; unpolluted land; freedom from
excessive noise and glare; adequate outdoor recreational facilities; and commu-
nities that provide convenient access to work, shopping, medical services, and
educational opportunities. The historic, single purpose type of planning for high-
way, sanitary sewerage, water supply and drainage and flood control facilities,
and for development projects should be set within a comprehensive approach,
and thereby broadened to consider a full range of the potential economic, social,
and environmental effects produced by the proposed development projects. The
planning efforts must ensure that potential problems are avoided in the planning
stages; that the solution of one pollution problem is not transferred from one
medium to another, such as from water to land; and that projects are designed
so as to enhance the overall quality of life.
Public participation is particularly important in the initial formulation of the
scope and content of a proposed planning effort; in the formulation and develop-
ment objectives and standards; in the formulation and evaluation of alternatives,
and in the selection of recommended plan elements. Public participation can result
in plan improvement, and in implementation programs that achieve agreed upon
466 PLANNING AND ENVIRONMENTAL ASSESSMENT

development objectives. Public participation is not only a critical function in com-

prehensive planning, but must also be a part of subsequent plan implementation
efforts through the preliminary and final engineering phases.
Public participation can be achieved through various means. One of the most
meaningful means is through the composition of official planning bodies such as
city plan commissions. The composition of such planning bodies should include
the chief executive of the municipality concerned, who should serve as chair-
man of the planning body, a member of the legislative body of the municipality
concerned, and a number of qualified citizens. The director of the planning staff
should not be a member of the planning body, but together with the munici-
pal engineer, should constitute the necessary technical advisors to the planning
body. Other forms of public participation may include informational meetings
and public hearings. Behavioral observational and attitudinal surveys can consti-
tute particularly objective and meaningful means for public participation in the
planning process.
Informational meetings should be held with concerned interest groups, as well
as with the general public. Such meetings should be carefully planned in order
to provide the citizens concerned with the essential information necessary for
intelligent participation in the planning work. The process should be supported
by newsletters and Internet web sites, as well as through plan commissioners and
staff presentations to business, civic, and environmental organizations. Special
efforts should be made to bring community leaders into the public participation
process. Although state law may specify the means by which public hearings
must be advertised, efforts should be made to contact community leaders directly
in order to encourage attendance at the hearings.
Good minutes should be kept of the public hearings, and the public reaction to
alternative and recommended plans summarized in the planning reports. Sincere
efforts should be made to address the issues raised and comments made at the
hearings.

CONTINUING NATURE OF COMPREHENSIVE PLANNING PROCESS

The comprehensive planning process should be viewed as a continuing, cyclical

process, alternating between comprehensive planning and project planning. With
respect, for example, to transportation facility development and management,
plan proposals are initially advanced at the areawide, systems level of planning.
Attempts are then made to implement the plans through local project planning. If,
for whatever reasons, a particular facility construction or management proposal
advanced at the areawide systems level of planning cannot be implemented at
the local project level, that situation must be taken into account in the next
round of systems level planning. Similar situations may exist in land use, park
and open space, flood control, and water-pollution-abatement planning, among
others. In addition to monitoring the success in plan implementation—or lack
thereof—the continued validity of the basic data, analyses, and forecasts and of
 PROJECT PLANNING 467

the objectives and standards upon which the plans are based should be continually
monitored, and the plans revised as may be found necessary by the findings of
the monitoring efforts. In any case, plans should be reviewed and revised at
approximately 10-year intervals.
Community development objectives and goals may be expected to change
with time. New land-use concepts; means of transportation; housing needs and
designs; economic, technological, and sociological developments; and changing
public aspirations require periodic reevaluation of the comprehensive plan, and
revisions of the plan as may be indicated. Keep in mind that human wants
are insatiable; as soon as an objective is approached, or reached, another will
be sought. This tendency should be kept within realistic bounds, however, and
continuing planning should help to accomplish this.
Not be forgotten, is the continuing need for the extension by the planning
agency of information, and of descriptions of plans and plan proposals to fed-
eral, state, and county agencies; to school districts; to other municipalities; to
other sister departments such as public works and engineering, police and fire
protection, and tax assessment; to businesses and industries, realtors, apprais-
ers, developers, utilities, and to the general public. Properly carried out, this
extension function can be of major assistance in achieving plan adoption and
implementation.
The entire process of comprehensive planning can at best be only of limited
value unless provision is made for competent direction, staffing and adminis-
tration, particularly during plan implementation following plan preparation and
adoption. Plan implementing ordinances, improvement programs, codes and rules
and regulations have little meaning unless administered by competent personnel
who are adequately compensated.

PROJECT PLANNING

Following completion and adoption of the comprehensive plan and the attendant
capital improvement program, selected improvement projects can move to more
definitive planning and engineering phases. The comprehensive planning function
is the responsibility of municipal, county, and regional planning agencies, utiliz-
ing staff and, as may be necessary, consultants. Responsibility for the execution
of the preliminary and final engineering phases of plan implementation projects
will normally shift to a municipal, county, or state engineering agency, utilizing
staff and consultants. If federal or state grants are involved in the funding of the
projects, state agencies, such as state departments of transportation, and federal
agencies, such as the Federal Highway Administration may become involved in
oversight roles.
As the projects move from preliminary engineering into final engineering
and construction, the agencies involved in administration of the projects will
become involved in such matters as engineering design, right-of-way acquisi-
tion; and funding, including establishment of service districts, levying of special
468 PLANNING AND ENVIRONMENTAL ASSESSMENT

assessments, approval of bond issues, rate setting and debt retirement. Detailed
construction plans and specifications must be completed, advertisements for bids
issued, and contracts awarded to construction firms. Construction should be under
the supervision of a resident engineer employed by the implementing agency.
Importantly, upon completion of construction, the owner of the facility con-
cerned should be provided with adequate as-built documents. In some cases, the
final engineering may require the provision of operating manuals, and consultants
may be responsible for placing a facility into operation and training staff for the
continued operation and maintenance of the facilities concerned.
In the systems planning stage, general consideration is given to site and
right-of-way requirements, and the location and alignment of proposed facili-
ties will be approximate and subject to refinement and detailing in latter stages
of development. Accordingly, the types of environmental impacts normally con-
sidered are areawide, including the probable impacts of the proposed systems
on existing and planned land-use patterns, on travel habits and patterns, on
the provision of sewerage and water supply sources, on air and on surface and
groundwater quality, and on the natural resource base, including on woodlands,
wetlands, floodlands, and prime agricultural areas. Public hearings should be held
to solicit public reaction to each of the alternatives considered and to the recom-
mended plan.
For certain types of major public infrastructure development projects, a corri-
dor planning stage may be inserted between the systems planning and preliminary
engineering stages. Corridor planning may be required by federal regulations for
major transportation system improvement proposals supported by federal grants.
In corridor planning, the transportation improvements recommended in the com-
prehensive plan for certain major travel corridors are reviewed and detailed.
If, for example, the comprehensive plan calls for the development of a fixed
guideway transit facility in a given major travel corridor of the planning area,
corridor planning will consider alternative applicable fixed guideway modes such
as busway, light rail, heavy rail, or commuter rail. The alternatives will include
a no-build alternative, and will be evaluated in terms of cost-effectiveness and
potential environmental impacts. Such corridor planning may also be conducted
for major arterial highway, electric power transmission line, and high-pressure
gas transmission line development proposals.
As projects move from system planning through preliminary engineering
to final engineering and construction, the proposals become increasingly
more definitive and detailed. In the preliminary engineering phase, greater
consideration will be given to alternative site and right-of-way requirements, and
to the horizontal location and vertical alignment of facilities. In transportation
improvement projects, consideration will be given to alternative alignments,
facility cross-sections and intersection treatments. In sanitary sewerage, drainage
and flood control, and water supply development, consideration will be given to
alternative locations for storage, transmission, and treatment facilities, and to
alternative types of treatment. Environmental factors considered will become
more detailed and include consideration of such factors as specific impacts on
 SITE PLANNING 469

existing land uses; wetlands, floodlands, woodlands, and wildlife habitats, as well
as of costs attendant to alternative facility alignments, and treatment options.
At the preliminary engineering stage, no detailed engineering or architectural
construction plans are prepared. However, the probable engineering, legal,
economic, social, and environmental impacts of each alternative considered
are presented together with cost estimates and methods of financing for each
alterative. Public meetings and hearings should be held to solicit public reaction
to each of the alternatives considered, and to the recommended plan.
Final engineering involves the completion of engineering design, and the
preparation of construction plans, specifications, and bid documents. The assess-
ment of environmental impacts and incorporation of environmental protection
measures becomes even more detailed in the final engineering stage of a project.
For example, the design of a major highway improvement must take into consid-
eration the need for service and rest areas with picnic spaces, adequate sanitary
facilities, safe drinking water, insect and weed control, and adequate wastewater
and solid waste storage and disposal. It must also consider the effects of impervi-
ous surfaces on the quantity and quality of stormwater runoff; potential spills of
toxic and hazardous chemicals; accident hazards; landscaping, and buffer zones;
and the effects of entrance and exit routes on adjoining urban and rural com-
munities. The long-term control of noise vibration and air pollution; the need
for dust and weed suppression; and the control of chemical pesticides and her-
bicides and other pollutants must be carefully considered, particularly to avoid
adverse effects on water supply wells, reservoirs, watersheds and recreational
areas, as well as on wildlife and vegetation. Beyond these direct environmental
concerns, the potential impacts of the project on community cohesion; population
and employment levels, infrastructure costs; urban design and quality of life must
be considered. Environmental effects during, as well as after, construction must
also be considered, including erosion control, control of noise, vibration, and
dust; potential pollution effects on lakes and streams, and on fish and wildlife;
and the safe disposal of demolition materials without causing air, water, or land
pollution.

SITE PLANNING

Introduction
Comprehensive public planning is generally focused on large planning areas
such as entire cities, counties, and metropolitan areas. Urban development and
redevelopment normally proceed through the conversion of existing land uses
to proposed land uses on discrete sites. Such development must then be pre-
ceded by a process known as site planning. Site planning is usually undertaken
in response to a perceived market demand for the type of proposed development
concerned and is generally conducted in the private, as opposed to public, sec-
tor. It should, however, take place within the framework provided by adopted
470 PLANNING AND ENVIRONMENTAL ASSESSMENT

publically prepared comprehensive city, county or metropolitan plans. Site plan-

ning is concerned with site selection and the design of land developments that
are economically and environmentally sound.

Site Selection
Site selection for major developments such as large manufacturing plants, major
shopping and office centers, recreational and entertainment complexes, research
and medical centers, prisons and other detention centers, major electric power
generation stations, and military installations usually involves a two-stage pro-
cess. The first stage will usually be conducted by a multidisciplinary location
team retained by the developer—usually a private corporation, but in some
instances a public utility or a federal or state agency. In the first stage, rela-
tively large alternative areas may be considered such as—for some types of
proposed developments—alternative metropolitan areas; for other types of pro-
posed developments, alternative prime agricultural regions; and for yet others,
prime recreational resource areas. Considerations in this initial stage will be pri-
marily economic. The location selection criteria will be primarily cost oriented,
involving the following factors:

• Market study findings, labor availability, and costs

• Availability of business and industrial service support, including legal,
accounting, and marketing services
• Availability and adequacy of transportation facilities and services, includ-
ing airport, freeway, and, for some developments, railway and waterway
facilities
• In some cases, availability of raw or semimanufactured material sources
• Tax structure and burden

Increasingly, the quality of the infrastructure of the alternative areas being

considered will be an important factor, considered together with the available
amenities that contribute to a high quality of life. In some cases, the criteria will
be primarily functional, such as in the case of electric power-generation facilities
and military installations. The kinds of information collected for regional and
local comprehensive planning will be most useful to the location teams.
In the second stage of site location for major developments, specific sites
within the selected metropolitan area, prime agricultural area, or prime recre-
ational resource area are considered. At this stage, more definitive physical site
requirements are defined, including the desirable site size, accessibility to free-
way interchanges and airport facilities, and in some cases, accessibility to railway
and waterway facilities. The need for sanitary sewerage, water supply, telecom-
munication electric power and gas service, the need for police and fire protection,
and the need for emergency medical service will be specified, together with any
special liquid or solid waste disposal requirements, foundation conditions, buffer
area needs, and zoning requirements.
 SITE PLANNING 471

Sites for the development of such public facilities as parks and parkways,
schools, sewage and water storage facilities and treatment plants, stormwater
detention or retention facilities, libraries, police and fire stations, and administra-
tive buildings should be identified on the comprehensive plan. The comprehensive
plan should also contain standards for the size of the sites required for the pro-
posed facilities of the type concerned, together with, as may be appropriate,
service radii or areas. Thus, the comprehensive plan, if technically sound and
valid, greatly facilitates and simplifies that process,

Site Assessment
The site selection process should be followed by a site suitability assessment.
This assessment is intended to provide the definitive information required for
site design, and to identify any physical, environmental, or regulatory constraints
on the design, or any obstacles to site development. The assessment should also
provide information on the availability and adequacy of required sanitary sewage
and water supply facilities; on the availability and adequacy of electric power, gas
and telecommunications facilities; and on the adequacy of the arterial street and
highway network serving the site. The assessment should identify the presence
of flood hazards, contaminated soils, and contaminated groundwater, and should
determine if the site was historically used as a hazardous or other solid waste
disposal site. The presence of any old burial areas, areas of archeological and
cultural significance, and of any old buried tanks, foundation walls, abandoned
wells, active or abandoned agricultural drain tiles, or other structures should be
determined. Information required for the assessment will include the location
and configuration of the boundaries of the site, the existing land uses on the site,
the presence of easements and other encumbrances, the topography as depicted
by 1 foot or 2 feet vertical interval contours, the soils and soil characteristics,
depths to water table and bedrock, and the presence of wetlands, woodlands,
and wildlife habitat areas. Information on the frontages along, and attendant
access to, public streets. The relationship of the site to existing and proposed
freeway interchanges, public transit stations, and aircraft flight patterns should
be determined. The existing zoning and recommendations concerning planned
future land uses on the site and environs, as set forth in the comprehensive plan,
should be obtained.
Much of the required information should be available from the planning
database assembled for, and maintained under, the comprehensive planning
process. Obtaining this information in a readily usable format will be greatly
facilitated if the county or municipality involved has developed an automated,
parcel-based, land information system. The comprehensive planning agency
should also be able to provide topographic and cadastral maps, and ratioed
and rectified aerial photographs, or ortho photographs, of the site and environs.
These maps and photographs can be used, together with real property boundary
land survey, to prepare a base map that can be used to display the required
information in an integrated and useful manner. Soil survey information,
472 PLANNING AND ENVIRONMENTAL ASSESSMENT

together with interpretations of the characteristics of the mapped soils for

various rural and urban uses, should be available from the U.S. Natural
Resources Conservation Service, preferably through the local land information
system. U.S. Geologic Survey 1-to-24,000 scale quadrangle maps may be useful
in providing a general setting for the site. Such maps are, however, at too small
a scale and have too large a contour interval to be useful in a site assessment,
or in urban planning, for that matter.
The site assessment should include an inspection by a qualified and expe-
rienced engineer. A base map, or aerial photograph, displaying the pertinent
information, as collated from the existing sources, should be prepared for use in
the field inspection. The purpose of the inspection should be to verify the infor-
mation shown on that map or photograph. The inspection may include personal
interviews with former owners or users of the site, and present owners and occu-
pants of surrounding sites,. Based on the field inspection findings, the map or
photograph should be annotated to show any conflicts with existing data shown;
desirable features such as attractive overviews, and undesirable features such as
unattractive land uses or adjacent sites, should be noted; together with locations
of the locations of safe ingress and egress along bordering streets and highways.

Generally Desirable Site Features

The desirable features of a site will depend on the specific intended use. Generally
desirable site features, however, will include the presence of ten characteristics
or features:

1. An adequate groundwater or surface-water source not subject to pollution

that can be developed into a satisfactory supply at an accessible and conve-
nient location on the site if an adequate public water supply is not available.
The water supply source should meet federal and state standards.
2. Permeable soils that will readily absorb rainwater, and permit the disposal
of sanitary sewage and other wastewater by conventional, on-site, anaer-
obic subsurface means—septic tanks and drain tile fields—where public
sewer service is not available. Depths to watertable, impervious subsoil, or
bedrock should be at least 5 feet.
3. Land to be used for the location of buildings and other structures should
have soils with suitable load-bearing characteristics, and should be well
above flood levels. Ground slopes should normally not exceed 10 percent;
slopes of more than 10 percent require careful soil analyses for stability
and careful site design.
4. Areas of well-drained, dry land, open to sunshine part of the day, on gently
sloping, partly wooded hillsides or ridges. The cleared land should have
a firm, grass-covered base to prevent erosion and dust. Slopes having a
southern or eastern exposure protected from strong north and west winds
are generally desirable.
 SITE PLANNING 473

5. The area of the site should be large enough to provide privacy, avoid
crowding, accommodate needed buildings and structures in a well-sited
manner, and allow for future expansion. The property should be accessible
by automobile; and, for some intended uses, by public transit. For some
intended uses, the site should have access to railway and waterway services,
and be conveniently located for airport service. Careful attention should be
given to traffic conditions on arterial streets and highways serving the site
area. Inner-city locations should facilitate ready pedestrian and bicycle, as
well as public transit access.
6. For sites intended for certain types of major recreational use, area for the
provision of bathing, swimming, and other water sport facilities should be
available. The facilities may include a clean stream or lake or an artificial
swimming pool. A stream should not have a strong current, or remain
muddy during its period of use. An artificial swimming pool equipped with
filtration, recirculation, and chlorination equipment may be proposed to
advantage.
7. Noxious plants, poisonous reptiles, harmful insects, excessive dust, steep
cliffs, old dumps, chemical burial grounds, old mine shafts or wells, dan-
gerous rapids, dampness, and fog should be absent.
8. Availability of centralized public sewerage, water supply, solid waste dis-
posal, police and fire protection, and emergency medical services is desir-
able and may be essential for some intended uses. Electric power, gas, and
telecommunication services should be readily available.
9. An adopted land-use plan and implementing zoning ordinance should pro-
vide for the development and protection of the intended use. A modern
building construction code vigorously enforced by competent people should
be ensured.
10. Air pollution, noise, and traffic problems from adjoining areas should not
interfere with the proposed use.

Site Inventory
The information required as a basis for good site planning and design will also
depend on the specific intended use. A good site inventory, however, will consist
of the following general data collation and collection efforts.

Topography and Site Survey A boundary and topographic survey of the

property, at a scale of 1 to 1,200 or larger, with the topography depicted by
contours with 1 foot or 2 feet vertical intervals and with roadways, watercourses,
wetlands, woodlands, existing structures, powerlines, rock outcrops, and other
significant physical features indicated, is essential to the proper study and analysis
of a site. If such a survey map is not available, a large scale ratioed and rectified
aerial photograph, or orthophotograph may be used.
If a natural bathing and swimming area is to be involved in the intended
use, the bathing and swimming area should be sounded and the slope of the
474 PLANNING AND ENVIRONMENTAL ASSESSMENT

bottom determined. The need for cleaning and removal of mud, rocks, and aquatic
growths should be noted. The drainage area tributary to the stream or lake to
be used for bathing should be determined, and the probable minimum flow, or
level, should be determined to ascertain if an adequate quantity of water will be
available during the dry months of the year. Long-term hydrological data, such
as provided by U.S. Geological Survey stream gaging stations, would be very
valuable in this report.
In most cases, the watershed area tributary to a beach on a stream or lake will
extend beyond the boundary of the land under consideration. Therefore, it will
be important to determine the existing and planned land uses in the watershed.
The existing level of water quality of the streams or lakes concerned, existing
and probable future sources of pollution, and probable future levels of water
quality should be determined. This should permit determination of whether or
not chemical, bacterial, or physical pollution may be expected to make the stream
or lake concerned unsuitable for bathing and swimming use, or for water supply
purposes. It may be necessary to collect water samples at different times of the
year for chemical, physical, and microbiological analyses. Municipal, county,
environmental, and agricultural agencies may be able to provide assistance. In
addition to satisfactory quantity and quality, the water should be relatively clear
and slow moving. Study of the stream bottom, and float or weir measurements
to determine the velocity and quantity of water at different seasons of the year
will provide supplemental information.
The presence of any flood hazard should be determined. This should involve
delineation of the 10- and 100-year recurrence interval flood flows, stages,
and attendant inundation areas. Evidence of high-water levels, as indicated by
stranded tree trunks and debris; discoloration of rocks and trees; the width, depth,
and slope of the stream channel; pertinent highway and railway culvert and
bridge waterway openings; and the limits of terrestrial and aquatic vegetation,
should be observed.
The presence of old orchards may indicate the presence of pesticide-
contaminated soil and groundwater. Municipal, county, and state government
agencies should be questioned regarding past agricultural, industrial, and com-
mercial land uses on the site; permits issued; known accidental spill occurrences
of toxic and hazardous materials; old dumps; and illegal dumping.

Geology, Soil, and Drainage Detailed, operational soil maps prepared

by the U.S. Natural Resources Conservation Service (formerly the U.S. Soil
Conservation Service), together with attendant soil properties and use suitability
interpretations should be obtained. It may be necessary to obtain soil samples
at representative locations to supplement the information provided by the
soil maps. Borings should be made to a depth of about 15 feet in order to
record variations in the strata penetrated, and the elevation of the groundwater
level, if encountered, with respect to the ground surface. Borings may also
indicate the depth to bedrock and the presence and thickness of clay or hardpan
layers that might interfere with proper drainage, or construction of foundations
 SITE PLANNING 475

for buildings and other structures. Old dump sites will require careful inves-
tigation with respect to the presence of toxic and hazardous wastes, ground-
water pollution by leakage of septage, leakage of methane with attendant fire
hazard, and stability of foundations for buildings, other structures, roadways,
driveways, service walks and parking areas. Soil percolation tests may be
required to determine the suitability of the site for subsurface sewage disposal, if
needed.
If a proposed development is to be located on the side of a long hill or slope,
the necessity and feasibility of providing stormwater runoff diversion facilities
should be noted. The possibility of erosion and earth slides should be given
careful study. Slopes with a greater than 10 percent incline require special engi-
neering study and treatment to control and prevent erosion, slides, and runoff.
All wetlands, as defined by federal and state laws and regulations, need to be
identified and mapped for consideration in the site design. Where appropriate,
wetland mitigation and banking may be considered.

Utilities The need for and existence of centralized sanitary sewerage, water
supply, solid waste collection and disposal, electric power and gas, and telecom-
munications services should be determined. This will indicate the type of on-site
services that may be needed.
If an adequate, satisfactory, and safe water supply is not obtainable on- or
off-site at a reasonable cost—with or without treatment—further consideration
of the site should be abandoned. This is of particular importance in large-scale res-
idential, commercial, industrial and institutional developments that are dependent
on the availability of large volumes of safe water.
The probable cost of wastewater collection and treatment should be estimated
before any commitment to a site is made. The use classification, minimum flow,
and effluent standards for recovering streams and lakes, and water pollution abate-
ment requirements will govern the degree of treatment required, and hence the
wastewater treatment facility capital operating and maintenance costs. For large
developments, elaborate wastewater treatment plants may be required. For small
developments, subsurface sewage treatment and disposal system may suffice if
the soil conditions are satisfactory.
The ready availability of centralized electric power for lighting, the operation
of water and wastewater pumps, kitchen equipment, refrigerator compressors, and
other electrical and mechanical equipment is often taken for granted. If the pro-
vision of adequate electric power requires the construction of long transmission
lines, the purchase of electric-generating units, or gasoline motor-driven equip-
ment, then the capital, operating, maintenance, and replacement cost should be
estimated.
Roads to the buildings and structures forming the intended uses, will be needed
for access, for the provision of freight and package deliveries, and for the provi-
sion of various maintenance services. The distance from the main arterial roads
to the property, the length and condition of secondary roads, and the length and
width of access roads within the property should be determined, as well as the
476 PLANNING AND ENVIRONMENTAL ASSESSMENT

need for culverts and bridges. The traffic generation potential of the intended
use should be considered, together with the impacts on the existing street and
highway system. Options for alternative sites in urban areas served by public
transit facilities should be given weight.
If a proposed electric power generation of industrial plant will cause air pol-
lution, prevailing winds, temperatures, and air-pollution requirements will have
to be studied, and the cost of treatment devices will have to be determined in
evaluating the suitability of a proposed site. If a plant process will result in the
production of large quantities of solid wastes, the treatment and disposal of the
residue must also be considered. If a brownfield site involving redevelopment of
an urban area is involved, the need for and cost of remedial measures required
to restore polluted soil and groundwater should be determined.

Meteorology In North America, slopes having an eastern or southern exposure

are preferred for building locations in order to obtain the benefit of the morning
sun. This possibility can be ascertained by inspection of available topographic
maps and by field inspection. The potential for solar space and water heating
should be considered; this will require knowledge of the latitude of the site
and of existing and proposed buildings and other structures and of tree growth.
Information about the direction of prevailing winds under both summer and winter
conditions is valuable. Needed information on maximum, minimum, and average
monthly temperatures, humidity, snowfall, and rainfall should be available from
federal and state agencies and some water and power companies.

Location The relative location of the property can best be appreciated by mark-
ing its outline on planning base maps available from the cognizant municipal
or county planning agencies. In the absence of such base maps, a recent U.S.
Geological Survey quadrangle map may be used. In this way, the distances to
freeway interchanges, airports, railway and bus stations, shopping and employ-
ment centers, recreational areas, schools, and medical facilities will be apparent.
The plan proposals of municipal, county, and state transportation agencies should
be obtained and proposed new or widened arterial street and highway should
be marked on the site maps to determine the probable effects of the planned
facilities.

Natural Resource Base For large tracts, the presence, location, content, and
character of significant elements of the natural resource base should be deter-
mined. Much useful natural resource base information can be obtained from
municipal, county, state, and federal agencies. The location, size, and type of
wetlands, woodlands, and prairies and of economically workable sand, gravel
and bedrock formations should be determined.
Broad knowledge and extensive investigation are needed to properly evaluate
the presence and importance of animal and plant life on the site and environs and
the need for protection and conservation measures. The presence of poison ivy,
for example, must be accepted as a potential source of serious skin irritations, and
 SITE PLANNING 477

ragweed and other noxious plants as sources of allergic reactions. It is important

to mark the location of any infested areas on the site map so that attention is
directed to their existence in the construction and planning program. This would
also apply to the presence of mosquitoes, flies, ticks, chiggers, rodents, poisonous
reptiles, and dangerous animals. Attention should also be given to the presence
of wildflowers, useful reptiles and wild animals, and native trees. The location
and extent of rare and endangered species habit should be determined.

Environmental Corridors Beginning with its first regional land use plans
proposed and adopted in the early 1960s, the Southeastern Wisconsin Regional
Planning Commission advanced the concept of the environmental corridor. This
concept was not originated by the Commission, but had its roots in the earliest
parkway system planning for Milwaukee County early in the turn of the twentieth
century. In the late 1950s, this concept was articulated and advanced in an aca-
demic sense by Professor Phillip H. Lewis Jr. of the Department of Landscape
Architecture of the University of Wisconsin, Madison. The Commission then
advanced the concept in its land-use planning efforts, and thereby accomplished
the first practical application of the concept on a regional scale.
Environmental corridors were defined by the Commission as linear areas in
the landscape that encompass the most important elements of the natural resource
base. Constituting about 17 percent of the 2,700 square mile southeastern Wiscon-
sin region, the corridors encompass about all of the best remaining elements of
the natural resource base, including the best remaining woodlands, wetlands, and
wildlife habitat areas; surface waters and associated shorelands and floodlands;
areas covered by organic soils; areas containing rough topography and significant
geological formations; sites having scenic, historic, and scientific value; and areas
of groundwater recharge and discharge. The delineation of the corridors required
the conduct of detailed inventories of the various elements of the natural resource
base, and the integration of the inventory data into an, at first, graphic database,
later an automated, geographic information system.
Through its land-use planning efforts, the Commission collected the detailed,
definitive information necessary to delineate these corridors, accurately delineated
the corridors, and promoted their protection and preservation in essentially natural
open uses. The Commission has found the corridors to be essential to the protec-
tion and wise use of the natural resource base, to the preservation of the cultural
heritage and natural beauty of the region, and to the enrichment of the physical,
intellectual, and spiritual development of the resident population of the region. The
preservation of the corridors not only helps to ensure the maintenance of the over-
all quality of the environment in the region, but also helps to prevent the creation
of serious and costly environmental and developmental problems. These problems
include surface and groundwater pollution; poor drainage and flooding; failing
on-site sewage disposal systems; excessive infiltration of clear water into sanitary
sewerage systems; wet basements and excessive operation of sump pumps; and set-
tlement and structural failure of roadways, parking areas, utilities, and buildings.
Importantly, the corridors help to give form and structure to urban development
within the region.
478 PLANNING AND ENVIRONMENTAL ASSESSMENT

Through the Commission planning efforts, the environmental corridor concept

has been institutionalized not only in southeastern Wisconsin but throughout the
state of Wisconsin, finding its way into county, and local land-use plans, county
and local zoning and land subdivision control ordinances, and state water pol-
lution abatement and sanitary sewer extension regulations, state land acquisition
programs for park and resource conservation purposes, and into federal and state
wetland protection regulations. The concept of the environmental corridor has
become well established in contemporary planning practice within the region.

Improvements Needed
Inasmuch as the ideal site for an intended use is rarely, if ever, found, the
work that needs to be done to make the site suitable should be determined. An
undesirable feature may, for example, be a low, swampy area on and adjacent
to the site. It may not be possible to fill this area unless mitigative measures
have been arranged with federal and state regulatory agencies. With careful site
design, that swamp may be retained as needed for open space, stormwater storage
area, and wildlife preserve. Each possibility and constraint should be examined
and reviewed with the regulatory agencies having jurisdiction, the cost of the
work estimated, and the probable value of the improvement appraised. Needed
clearing, seeding, and reforestation should be considered.
The need for new roads and drives within the site connecting with the existing
municipal, county, or state roads is an important consideration. The need for the
widening of existing public arterial streets and highways and, for intersection
improvements and traffic signalization engendered by the proposed develop-
ment should be determined. The needed road improvements may involve major
earth work and culvert and bridge construction, all of which may mean high
costs. Other needed physical improvements may include surface-water diversion
ditches, brush clearing, boat docks, parking areas, and the preparation of areas for
recreational purposes. All such improvements will have environmental impacts
that must be assessed.

Site Design
After a site has been selected and its properties have been inventoried and ana-
lyzed, site design may be undertaken. If not already available as a part of the site
inventory, this will require a preparation of a property boundary and topographic
map of the proposed site at a scale of 1 to 1,200 or larger, with 1 foot or 2 feet as
vertical interval contour lines, displaying the information collated and collected
in the site inventory and assessment. Desirable and undesirable features of the
site should be noted on the map. Alternative plans for the development of the
site should then be prepared. The location of buildings; access roads, parking and
truck loading and unloading areas; sanitary sewage, water supply, refuse disposal
facility locations; and other needed facility locations determined. Particular atten-
tion should be given to drainage requirements and to the design of stormwater
 SITE PLANNING 479

runoff conveyance and storage facilities. The alternatives should be evaluated

on the basis of costs, effectiveness, and environmental impacts, and a final site
plan prepared. For major developments, preparation of a scale model may be
desirable. Such a model will help others visualize the proposed buildings and
structures to each other and to roadways, streams, lakes, hills, and neighboring
land uses. Scheduled public information and participation sessions should be an
essential component of the site planning process for major developments.
For major projects a design team consisting of an architect, landscape architect,
planner, and engineer should be assembled to prepare the site plan and engineer-
ing designs. State, county, and municipal planning and engineering agencies
should be consulted on applicable regulations and requirements. Environmental
protection and conservation agencies should be consulted about required measures
for the protection of the flora, fauna, and ecology of the site and environs, and the
need for an environmental impact assessment or environmental impact statement.
Such consultation is particularly important when a large housing development,
industrial plant, office complex, shopping center, landfill, wastewater treatment
plant, hospital, or other major development is contemplated. The agency staff
may also be in a position to offer valuable information regarding former uses of
the site and possible hazards not readily apparent.
The site plan should show, in addition to the improvements already noted,
such other details as may be required by the regulatory agencies having jurisdic-
tion in order to permit their staffs to review and approve the plans. After plan
approvals are received and permits issued, contract drawings and specification can
be prepared, bids solicited, contracts let, a construction schedule established, and
the work carried on in accordance with a preconceived, carefully thought-out
plan. There should then be no looking back at useless, inefficient, wasteful
structures or spaces; but instead, satisfaction with the realization of a good
development.
The importance of obtaining competent professional advice in the site selection
and planning process cannot be emphasized too strongly. All too often, developers
may seek the cheapest, rather than the best, professional services, while charitable
institutions may often solicit “free” engineering and architectural services. This
represents poor policy. The consultants so engaged may, for economic reasons,
have to conclude the site selection, planning, and design process as quickly as
possible; and the recipients of the services may proceed with development on the
basis of a possibly inadequately studied site and incompetently conceived plans,
detailed drawings, specifications, and contract documents. For major site devel-
opments, it may be useful to assemble a committee of outside experts to assist
in the selection of the design team, contractors, and construction equipment and
techniques; to review plans, specifications, and contracts; and to evaluate bids
received. The fee for consultant services, in comparison to the cost of a project,
is usually relatively small. Moreover, these fees pale in comparison to the costs
associated with such errors as the incorrect sizing of building; the use of improper
materials; poor planning and design of equipment and facilities; foundation and
structural weaknesses; and bad location or exposure of buildings. When savings
480 PLANNING AND ENVIRONMENTAL ASSESSMENT

in the selection of proper materials and equipment for minimum long-term main-
tenance and operating costs, and compliance with plans and specifications, are
considered, the savings far outweighs the professional fees involved.

LAND SUBDIVISION

The design of land subdivisions may be viewed as a special case of site planning,
often involving large tracts of land ranging in area from 80 acres to 1,200 or
more acres. The process of land subdivision may be described as the division of
land into smaller parcels, usually for the purpose of urban development. Land
subdivision, however, is more than a means of describing, marketing, and taxing
land; it is, in effect, the first step in the process of building a community. Much
of the form and character of a community is determined by the quality of its land
subdivisions. Once land has been divided into blocks and lots, streets constructed,
schools and park sites dedicated, and utilities installed, the urban development
pattern is established and is unlikely to be changed. Residential, commercial,
and industrial structures will be built on the sites created by the land subdivision.
After many decades of use, some of the structures may be razed to make way for
new structures and, thereby, accommodate new uses. Yet the street pattern estab-
lished by the initial land subdivision will probably remain basically unchanged.
For generations the entire community, as well as the individuals who occupy the
subdivision, will be influenced by the quality of its design and by the character of
its improvements. Many of the environmental problems that affects communities,
such as traffic congestion, drainage, flooding, high street and utility operation and
maintenance costs, inadequate park and school sites and facilities, high fire and
police protection costs, and urban blight may be directly attributable to the manner
in which areas of the community were originally subdivided. Just as important,
in this respect, in the design of land subdivisions is the issue of whether or
not the areas concerned should have been subdivided at all. The scattering land
subdivisions— often referred to as urban sprawl —located too far from essential
community services such as sanitary storage, water supply, fire and police pro-
tection, emergency medical services, public transportation and schools, not only
create a less desirable place in which live and work, but also tax the resources
of the community in attempting to furnish the necessary public facilities and
services. The continued availability of agricultural areas may also be destroyed
through scattered land subdivision development. Also important in this respect is
the issue of whether an excess of building sites is being created at any one time,
thereby leaving the community with scattered, partially developed neighborhoods.
The community is required in one way or another to provide the public facili-
ties and services that make urban life possible. Therefore, the community should
be able to require that street rights-of-way and roadway pavements be wide
enough to accommodate firefighting, emergency service, solid-waste collection
and snow removal equipment; that street configuration, grades, and curves are
adequate for the safe movement of traffic, good access to building sites, and snow
 LAND SUBDIVISION 481

storage; that building sites are adequately drained and not subject to flooding;
and, if public sanitary sewer facilities are not be provided, that lots are of suf-
ficient size and have soil characteristics that can accommodate on-site sewage
disposal facilities without creating a public health hazard. Land subdivisions will
have impacts extending beyond the site boundaries and the subdivision itself, and
the community should be able to require that the developer bear a fair and pro-
portionate share of required off-site improvement costs, considering the impacts
of the proposed subdivision development on arterial traffic, on sanitary sewerage
conveyance, storage, and treatment facilities; on water supply transmission, stor-
age, and treatment facilities; on stormwater management facilities; and on school,
library, and park facilities. Subdivision development will also have important fis-
cal impacts. These impacts may be positive or negative, depending on whether
the revenues obtained from the new development exceed the costs of the facilities
and services to be provided or are less than those costs. In the latter case, some
development may results in higher incremental costs of services than the taxable
value of the development may provide in revenues. The potential fiscal impacts
of a proposed subdivision development warrant careful analysis, even though the
developer may be required to pay the costs of all on-site improvement, costs that
the developer will pass on to the lot purchasers.
Because land subdivision affects a broad spectrum of interests, and the welfare
of the community in many respects, the public regulation of land subdivision has
become widely accepted as a function of municipal, county, and state government.
Land subdivision regulation is an exercise of control by the community over the
conversion of land into building sites. It is through such regulation that the public
interest in land subdivision is expressed and directed. Land subdivision regulation
is intended to accomplish the following seven purposes:

1. Ensure that proposed land subdivision will fit harmoniously into the existing
land-use pattern, and will serve to implement the community comprehen-
sive plan for the physical development of the community.
2. Ensure that adequate provision is made for the necessary and planned
neighborhood and community facilities, including parks, access ways to
navigable waters, schools, and shopping areas, so that a healthy, attractive,
and efficient urban environment results.
3. Ensure that sound standards for the development of land are met with partic-
ular attention to such factors as street layouts, widths, and grades; vehicular
and pedestrian circulation; park and open space requirements; block con-
figurations and lot sizes; and street, utility, stormwater management, and
transit improvements.
4. Provide a basis for clear and accurate property boundary line, demarcations
and records. This was the sole purpose of many original state subdivision
control enabling acts dating back to the early nineteenth century.
5. Ensure the fiscal stability of the community, minimizing the capital, oper-
ating and maintenance costs of public facilities and services, and protecting
against the development over time of blighted areas.
482 PLANNING AND ENVIRONMENTAL ASSESSMENT

6. Promote the public health safety and general welfare.

7. Balance private property rights against the need to protect and preserve the
public health safety and general welfare.

The community zoning ordinance relates to the type of building development

that can be placed on the land, whereas the land subdivision control ordinance
relates to the way in which land is divided and made ready for building develop-
ment. The purpose of a land subdivision control ordinance should be to ensure
compliance with at least minimum standards for sound development, and to pre-
vent further occurrence of the abuses in land development that have occurred in
the past.
Because of its importance to sound community development, subdivision
design and development is highly regulated. State statutes provide the enabling
authority for the exercise of subdivision control at the county and municipal
levels. State statutes and administrative codes will usually also provide for the
review and approval of proposed land subdivision plats by such state agencies
as the departments of transportation and natural resources. State administrative
codes will often specify in great detail the survey data that must be shown on
final subdivision plats, as well as the levels of precision and accuracy required
for the surveys and survey computations on which the plats are based. County
and municipal ordinances will usually specify in great detail design standards and
required improvements such as of streets, sanitary sewers, water mains, stormwa-
ter management facilities, and street trees, lighting, and signing. Approved plats
must be recorded with the county register of deeds in order to permit reference
to plats in the conveyance of title to real properties, to levy real property taxes,
and to prevent fraud. State statutes normally require that the plats be prepared
by registered land surveyors, and the surveyors are usually made responsible for
the compliance with subdivision control regulations.

Subdivision Design
Land subdivision design is an art requiring a high degree of technical skill
and full realization of the importance of the design of the various interests
involved and affected. Good land subdivision design requires imagination and
creativity, as well as adherence to sound principles of land planning and engi-
neering practices and to sound design and development standards. For these
reasons, public regulation alone is no guarantee of good land subdivision design.
For large subdivisions, a design team consisting of a land planner, a land-
scape architect, a civil engineer, and a land surveyor should be employed. In
undertaking a subdivision design, a designer, or design team, may face one of
three situations that will determine the manner in which the design must be
approached:

1. The land proposed to be subdivided is located within a community that has

not prepared and adopted a comprehensive plan.
 LAND SUBDIVISION 483

2. The land proposed to be subdivided is located within a community that has

prepared and adopted a comprehensive plan, but that plan does not include,
as a component, detailed neighborhood unit development plans or platting
layouts.
3. The land proposed to be subdivided is located within the community that
has prepared and adopted a comprehensive plan, and that plan includes
detailed neighborhood unit development plans or platting layouts.

In the case where a community has not prepared and adopted a comprehensive
plan, the designer or design team will have no overall planning framework within
which to work. Accordingly, great skill and experience are required, together with
intimate knowledge of the principles and practices governing good subdivision
design. Substantially greater effort will be required on the part of the designer,
or design team, than would be the case if sound local planning had provided a
framework for the design process.
In the case where the land proposed to be subdivided is located within the
community that has prepared and adopted a comprehensive plan, but has not
prepared and adopted detailed neighborhood unit development plans or platting
layouts as an element of that plan, the adopted community plan will provide a
broad, invaluable guidance to the designer, or design team. The comprehensive
plan should contain specific recommendations relative to such matters important
to good subdivision design as the location and width of arterial streets, the gen-
eralized location of needed school and park sites; and the generalized location
and configuration of needed drainage ways and stormwater retention or deten-
tion areas. The plan should also provide much of the information essential to
good design, including current aerial photography, large-scale topographic and
cadastral maps; detailed soil maps with attendant use interpretations; definitive
information on the location and configuration of flood hazard areas; and on the
location and configuration of such elements of the natural resources base as wet-
lands, woodlands, and wildlife habitat areas. Importantly, the comprehensive plan
should specify the type and densities of land uses to be accommodated within the
proposed subdivision; the densities for residential use usually being expressed as
the maximum number of dwelling units permitted per gross acre. In this case,
the designer, or design team, can focus on the creation of an efficient and attrac-
tive street, block, and lot layout, and on the creation of a unified design for the
proposed subdivision.
In the case where the land proposed to be subdivided lies within a commu-
nity that has adopted a comprehensive plan that includes detailed neighborhood
development plans or platting layouts, the local unit of government concerned
will have provided not only data concerning the types of and entities of land
use to be accommodated on the land concerned, but proposed specific locations
for neighborhood schools, parks and drainage ways, together with a specific lay-
out for collector and land access, as well as arterial, streets. In this case, the
designer or design team will be responsible for reviewing the design provided in
the comprehensive plan, for proposing design improvement to that plan, and for
484 PLANNING AND ENVIRONMENTAL ASSESSMENT

ensuring the unity of design with the subdivision itself. In this case, the adopted
neighborhood unit plans or platting layouts should be viewed as points of depar-
ture for the design of the subdivisions of individual tracts of land included within
the neighborhood units. The adopted neighborhood unit plan should not unduly
constrain the designer, or design team, in seeking more creative or cost-effective
approaches to the subdivision design concerned. Changes in the adopted neigh-
borhood unit development plan may be particularly warranted if that plan no
longer adequately reflects current market conditions.
Figure 6.2 depicts a neighborhood unit plan that incorporates sound design
principles. It provides, for example, a centrally located neighborhood park in con-
junction with a neighborhood school site. The collector street layout is designed
to carry traffic into and out of the neighborhood, rather than through it; and
neighborhood shopping center having access to the collector and arterial street
system is provided. The collector and land access streets are carefully designed
to fit the topography of the site in order to minimize grading, and the destruction
of existing tree growth, ground cover, and top soil; to facilitate good drainage;
and to facilitate the design of gravity drainage sanitary sewers. The street layout
facilitates good lot layout; and access to arterial streets is limited. The system
of natural drainage ways, together with the street rights-of-way, form a viable
major stormwater drainage system. The neighborhood shown is an area slightly
larger than one square mile and a development density of about 5,200 persons
per square mile, or about eight persons per gross acre. The elementary school
would have an enrollment of about 450 children.
It should be noted that the principles underlying the design of the particular
neighborhood unit shown predate the recent interest in what has been termed new
urbanism design. The new urbanism design is, however, in essence little more
than a return to older subdivision designs used in developing the central cities
and first-ring suburbs of American cities. The neighborhood unit shown would
meet the new urbanism design principles in many respects, such as the provision
of neighborhood shopping, park and playground, and school facilities. A new
urbanism design would probably favor a higher density of development—perhaps
up to about 10,000 persons per square mile—and the promotion of mixed land
uses, particularly in the provision of commercial and residential subareas.

Site Selection and Assessment

As in any site planning effort, the land subdivision design process should be pre-
ceded by site selection and assessment. Site selection should be determined by
market analyses and land availability and value studies, but should be constrained
by the recommendations contained in adopted comprehensive plans and in the
implementing zoning ordinances. The comprehensive plan should identify the
areas recommended for new residential, commercial, industrial, and institutional
development within the municipal planning area, including the extraterritorial
areas envisioned as being part of the municipal sphere of interest. The com-
prehensive plan should recommend the placement of new land-use development
in time as well as space, while the zoning ordinance, in accordance with the
 FIGURE 6.2 Depicts a neighborhood unit design that incorporates the five design principles described herein. It provides, for example, a
centrally located neighborhood park in conjunction with a neighborhood school site, allowing dual use of the facilities and efficient maintenance.
The collector street layout is designed to carry traffic into and out of the neighborhood, rather than through it. A neighborhood shopping center

485
convenient to the collector and arterial street system is provided. The collector and land access streets are carefully adjusted to the topography
of the site to minimize grading a destruction of tree growth and ground cover. Access to arterial streets is limited by backing lots against such
streets. The street layout facilitates good lot layout. A system of natural drainageways, together with the streets rights-of-way, form a viable
major stormwater drainage system.
486 PLANNING AND ENVIRONMENTAL ASSESSMENT

comprehensive plan, should set aside holding areas for future development. As
the market for additional building sites develops, appropriate portions of the hold-
ing zones can be redistricted to provide for the needed additional development.
The placement of new development in time and space should be such as to facil-
itate the completion of all partially development neighborhood units before the
development of part or all of other such units is contemplated.
Site assessment should be based on field inspection. The assessment should
include the following:

• A topographic analysis, identifying areas of steep slopes, the locations of

hilltops, ridges, and scenic overviews
• Analysis of drainage patterns
• Delineation of areas of existing vegetation and, particularly, of fine stands
of trees
• Identification of water bodies and associated flood hazard areas, and of
wetlands
• Identification of the boundaries and characteristics of environmental corri-
dors
• Identification of existing structures having historic or other cultural value

The assessment should also identify the classification of existing streets and
highways located adjacent to the development parcel or tract, and the location
of desirable and safe points of entrance to and exit from the site. Proposed
streets within, or adjacent to, the parcel depicted on the adopted comprehensive
plan or official map should be identified. Pertinent existing physical conditions
surrounding the parcel, and recommendations in municipal, county, regional, or
state plans affecting the parcel, should be identified. The availability of public
sanitary sewerage and water-supply services should be determined. Certain areas
within a proposed subdivision may be considered for maintenance in permanent
open space, including land within any 100-year recurrence interval flood hazard
areas, wetlands, and areas of steep slopes. The results of the field assessment
should be presented in a site analysis map, similar to the one shown in Figure 6.3.

Alternative Subdivision Design Types

There are three basic subdivision design types in current use at the municipal
scale of development: conventional curvilinear, urban cluster, and new urban-
ism. Selection of the design type that should be used for any given tract of
land depends on many factors, including market identification and conditions,
surrounding land uses, and site conditions. Site conditions are a particularly
important consideration in this respect, as some sites are more suited to a given
design type due to the topographic and natural resource features present on the
site. The application of these three subdivision design types to the 80-acre tract
depicted in the site analysis map given in Figure 6.3 are set forth in Figure 6.4.
 LAND SUBDIVISION 487

STREET ACCESS TO NEIGHBORING

POTENTIAL STREET ACCESS TO NEIGHBORING AGRICULTURAL PROPERTY
POTENTIAL ENTRY POINT
RESIDENTIAL PROPERTY

VIEWS INTO
PROPERTY DIRECTION OF
SURFACE RUNOFF

HIGH POINT WITH

PROMINENT VIEWS
CULTIVATED FARMLAND
POSSIBLE
RETENTION
ARTERIALSTREET

EXISTING AREA
FARM
BUILDINGS

POSSIBLE SECONDARY ENVIRONMENTAL

RETENTION CORRIDOR BOUNDARY
AREA
WETLANDS
WETLANDS
DRAIN
INLET VIEWS INTO WOODLAND
PROPERTY HIGHPOINT INTERMITTENT
WITH STREAM
PROMINENT
VIEWS

POTENTIAL STREET ACCESS TO

PROPERTY LINE
NEIGHBORING RESIDENTIAL PROPERTY

FIGURE 6.3 A site analysis should be conducted before a subdivision design type is
selected and any subdivision layout created. In general, the analysis should include a
topographic analysis, identifying areas of steep slopes; the locations of hilltops, ridges,
and scenic overviews; an analysis drainage patterns; a vegetation analysis; a delineation of
soil types and characteristics; an identification of water bodies, wetlands, woodlands, and
flood hazard areas; an identification of the boundaries and characteristics of environmental
corridors; and identification of structures having historic or other cultural value. The site
analysis should also identify the classification of existing streets and highways adjacent to
the development parcel, and the location of desirable and undesirable points of entrance
to and exit from the site.

It is important to note that the subdivision layouts shown were prepared assum-
ing that a local comprehensive plan was available to specify the type and density
of land use to be accommodated, and assuming further that the comprehensive
plan concerned did not include a neighborhood unit development plan or platting
layout. The comprehensive plan was assumed to set forth a specific overall res-
idential development density for the 80-acre tract concerned; and identified the
arterial street pattern and related right-of-way widths. It is particularly important
that the comprehensive plan set forth a specific maximum density of develop-
ment in order to ensure that the public infrastructure and services are adequate
and appropriate to serve development within the community.
Table 6.1 sets forth a comparative analysis of the three designs shown. To
facilitate the comparison, a common development density of approximately two
dwelling units per gross acre—or a total of 160 dwelling units for the tract—was
assumed. In an actual design setting, the density used might be varied between
the three designs, as long as it did not exceed the maximum density specified in
the comprehensive plan.
488 PLANNING AND ENVIRONMENTAL ASSESSMENT

The curvilinear subdivision design type has been

the most common type of subdivision developed in
the United States in the post–World War II era.
The curvilinear subdivision has generally been
designed to provide relatively large lots that permit
larger homes with more private open space on
each lot. The design of a curvilinear subdivision
facilitates adjustment to fit the topography and
minimize required grading while providing good
drainage and efficient sewerage.

(a)

The urban cluster subdivision design type maintains

a significant portion of a site in common open space
bye minimizing individual lot sizes while maintaining
the required overall density of development. The cluster
subdivision, whether located in an urban or rural area,
can effectively protect environmentally sensitive areas
by maintaining such areas in open space, while
concentrating lot into small groups or “clusters.” Each
residential lot in this subdivision layout has direct
access to the common open space, and the use of
cul-de-sac streets enhances residential quiet, privacy,
seclusion, and safety.

(b)

The new urbanism design type is based on urban

development patterns of the past, with consideration
given to the open space concerns of the present. New
urbanism subdivisions attempt to provide a central
public common that is surrounded by residential
lots, or, in some larger subdivisions, may provide for
a neighborhood business or civic center. Residential
lots are often double-fronted, with one face to the
street and one to a utility corridor or alley running
behind the lots, where garages are located. The new
urbanism design is better suited to relatively level sites
where the desired density of development is easily
achieved without substantial grading. The grid street
pattern provides more connections to adjoining tracts,
and often results in shorter walking and bicycling
distances, but may also result in higher volumes of
through traffic using subdivision streets, increasing
noise levels and safety concerns.

(c)

FIGURE 6.4 (a) Conventional curvilinear subdivision layout, (b) urban cluster subdi-
vision layout, and (c) new urbanism subdivision layout.

The curvilinear subdivision design is intended to maximize the use of devel-

opable land for lots, while limiting open space to environmentally sensitive areas
that are to be protected based on recommendations contained within the local
comprehensive plan, or restrictions contained in the local zoning ordinance. The
design process focuses on the street layout, considering desirable block lengths
and widths, and desirable lot configuration. The curvilinear street pattern is fitted
to the topography of the site to minimize earth work, achieve good drainage, and
facilitate the provision of gravity drainage sanitary sewerage. The design provides
 LAND SUBDIVISION 489

TABLE 6.1 Comparative Analysis of Subdivision Designs

Subdivision Type
Conventional Urban Cluster New Urbanism
Curvilinear

Lot information
Number of lots 160 lots 160 lots 160 lots
Average lot size 17,002 square feet 6,028 square feet 7,325 square feet
Average lot width 95 feet 60 feet 62 feet
Average lot depth 179 feet 101 feet 118 feet
Total area within lots 62.5 acres 22.1 acres 27.3 acres
Percent of site area 77.0 percent 27.3 percent 33.2 percent
within lots
Street information
Total street length 10,363 lineal feet 10,730 lineal feet 17,154 lineal feet
Total area within street 14.7 acres 12.8 acres 16.6 acres
rights-of-way
Percent of site area 18.1 percent 15.8 percent 20.7 percent
within street
rights-of-way
Open space information
Total area within open 4.0 acres 46.4 acres 37.4 acres
space
Percent of site area in 4.9 percent 57.2 percent 46.1 percent
open space
Grading information
Volume of earth work 51,000 cubic yards 93,000 cubic yards 130,000 cubic
yards

relatively large lots that can accommodate larger homes with more private open
space on each lot. Grading for a curvilinear subdivision is typically minimum
and preserves much of the existing topography and vegetation. Disadvantages of
a curvilinear subdivision design may include higher costs of infrastructure per
lot due to the relatively large size of the individual lots. Also, such subdivisions
usually provide smaller areas of land for public or common open space. The
urban cluster design type maximizes the provisions of common open space by
minimizing individual lot size while maintaining the required overall density of
development.
A cluster subdivision can be used to effectively protect environmentally sensi-
tive areas by maintaining such areas in open space, while concentrating lots into
smaller groups or clusters. The urban cluster design provides relatively small
lots fronting on a public street, with all lots being adjacent to common open
space. This design type usually results in the lowest percentage of combined
area devoted to streets and lots, thus providing the greatest amount of common
open space. The design is somewhat more conducive to use with more level sites,
where terracing of the small lots making up the clusters is not necessary.
490 PLANNING AND ENVIRONMENTAL ASSESSMENT

The advantages of a cluster subdivision design include protection of natural

resource features and the opportunity to maintain a significant portion of the site
in common open space. This can provide attractive recreational opportunities for
residents of the subdivision; maintain the scenic beauty and biodiversity of the
site; and decrease the amount of impervious surface area. If the subdivision is
laid out in a way that concentrates lots on a limited portion of the site, the cost
of providing infrastructure may be less than that required for a curvilinear type
subdivision. Disadvantages of cluster subdivisions may include relatively small
lots that require careful design of lot arrangements and building placement in
order to provide privacy for the individual residences. The control of architectural
design may be needed in urban cluster subdivisions due to the relatively small
lots and the proximity of the clustered homes. A homeowners associations is
required to own and maintain the common open space and related facilities.
Provision must be made, however, for public assumption of the maintenance if
the homeowners association fails to meet its responsibilities, with the associated
costs assessed back to the lots in the subdivision.
Because the subdivision design shown in Figure 6.4 is assumed to be located
in an area provided with a full range of urban services, including public sewer
and water supply, the design presented is for an urban cluster. Cluster subdivi-
sions may also be located in rural areas, in which case they are often known
as conservation subdivisions. Although such rural locations may, in the absence
of a comprehensive plan, raise concerns about urban sprawl, the cluster design
can be effectively used to maintain agricultural uses in an area, preserve and
protect wildlife habitat, and provide outdoor recreational opportunities. A rural
cluster—or conservation—design subdivision is shown in Figure 6.5. Such rural
conservation subdivisions may also facilitate the provision of sanitary waste dis-
posal and the provision of water supply in rural areas not served by centralized
sewerage and water supply systems. This may be illustrated by a simple example.
If a rural area is planned and zoned to permit residential use at a gross density not
to exceed one dwelling unit per 5 acres, a 100-acre tract might be subdivided into
twenty 5-acre lots, using a curvilinear design each with its own on-site sewage
treatment and disposal system—usually a septic tank system—and with its own
on-site well for water supply. If the development were to use a cluster design
with a net lot size of 1 acre, while maintaining the overall density of the tract at
20 dwelling units, approximately 24 acres of the site would be used for residen-
tial development, including supporting streets, and 76 acres would be maintained
in common open space. This would permit the provision of a sanitary sewage
collection and conveyance system tributary to an integrated anaerobic or aerobic
treatment unit and an integrated soil drainage tile disposal facility located on a
carefully selected part of the open space area. This approach could even be used
with a centralized holding tank, the accumulated wastes in the tank being tracked
to a recovery wastewater treatment plant. Similarly, water mains properly sized,
valved, and equipped with fire hydrants and served by a common well could
be provided. In this way occupants of the subdivision would perceive no dif-
ference between the sanitation services provided and such services provided in
 LAND SUBDIVISION 491

ACTIVE RECREATION AREA

(REMAINDER OF SITE IS PASSIVE) TRAIL

STREAM
OPEN SPACE NETWORK
WETLAND

POND

POND

FIGURE 6.5 The open space system should be connected and contiguous; active and
passive recreation areas should be designed.

an area served by public centralized sanitary sewer and water supply services.
The common sewer and water supply facilities could be owned and operated
by a homeowners association. In such an arrangement, however, it is important
that public oversight be provided in order to assure proper operation and main-
tenance of the sanitation facilities. Failure to properly perform these functions
should result in the facilities being taken over by a public entity—a civil town
or sanitary district—for proper operation and maintenance, with the associated
costs being assessed back to the lots in the subdivision. Alternatively, a public
sanitary district could be created to oversee the design and construction of the
facilities concerned, and to operate and maintain those facilities.
The new urbanism design type subdivision layout is conceptually based on
the urban development patterns of the past, with consideration given to the open
space concerns of the present. Large-scale new urbanism subdivisions typically
attempt to provide a central focal point in the form of a public “common” that
is surrounded by mixed-use residential and commercial lots, and which may
provide a neighborhood business and community center. Residential lots are
often double-fronted, with one frontage on a public street and a second frontage
on a utility corridor or alley running behind the lots and on which garages are
492 PLANNING AND ENVIRONMENTAL ASSESSMENT

located. The lots are smaller than typical in a curvilinear or even cluster design
type subdivision, and residences are intended to be located close to the street line.
The hierarchy—functional classification—of the streets is typically less distinct
in a new urbanism design type subdivision than in a curvilinear or cluster design,
and street rights-of-way and street pavement widths are often narrower. A grid,
or modified grid street pattern, is typically favored. The closely spaced lots and
small front yards are intended to contribute to an increased sense of neighborhood
for the subdivision residents, but may demand a uniform architectural treatment
of the buildings. The disadvantages associated with the new urbanism design type
include smaller on-lot areas for private outdoor use due both to the smaller lot
sizes and the location of garages adjacent to alleys. The grid street pattern may
encourage the use of residential land access streets by through traffic, reducing
desirable residential quiet, privacy, seclusion, and safety. Importantly, the grid
street pattern cannot be readily adjusted to the topography of even gently rolling
sites and may require excessive grading.

Utility Services
The type and quality of subdivision design will affect the location and cost of
the utilities required to serve the development. In each of the three design types
presented, sanitary sewers, water mains, and storm sewers would typically be
located in the street rights-of-way. In a curvilinear design type subdivision, elec-
tric power and telecommunications facilities would typically be located within
easements along side and rear lot lines. In a new urbanism design type subdi-
vision, the electric power and telecommunications facilities would typically be
located within the alley rights-of-way. The location and configuration of utilities
to serve the urban cluster design type subdivision requires particularly careful
consideration on site specific bases. Where narrow street rights-of-way and road-
way pavements are used, utilities can only be located under the street pavements
to the extent that required horizontal separation distances between sanitary sew-
ers, storm sewers, gas mains and water mains can be maintained within the limits
of the narrower pavements.
The provision of adequate treatment and disposal of sanitary wastes, and the
provision of a safe water supply are particularly important to the sound devel-
opment of land subdivisions. The preferred method of providing these essential
services is through the provision of centralized public sanitary sewer and water
supply services. If a subdivision is not located within the boundaries of an existing
service district, the needed services may become available through annexation to
the central municipality, through the formation of a sanitary district, or through a
utility corporation. In some situations, developers may propose to construct their
own facilities including treatment plants. Rising federal and state environmental
standards, together with the need to operate and maintain the systems over time,
makes this approach problematic in the absence of public over sight and regula-
tion. An increase in the number of connections required to sustain a financially
viable sanitary sewerage or water supply system means that a growing number
 LAND SUBDIVISION 493

of small systems may no longer be financially viable. Therefore, questions of the

future size, ownership, and quality of management need to be addressed as part
of the development proposal.
In some situations, on-site well water and septic tank treatment and disposal
systems may offer the only practical means of serving scattered low-density resi-
dential developments. To be acceptable, the individual sanitary facilities must be
carefully designed, constructed, and maintained in accordance with good prac-
tices. Where the soils are unsuitable for the proper treatment and disposal of
septic tank wastes by conventional subsurface means, every effort should be
made to prevent the subdivision and development of the land concerned until
public sewer service becomes available.
Where individual on-site wells are proposed for a subdivision, a hydrogeo-
logic study, including test wells, may be indicated to ensure that the aquifer
concerned can supply adequate water for the proposed development. It may also
be desirable to require that wells drilled on-site be tested for yield and for micro-
biological, chemical, and physical quality before a permit to build is given. To
constitute an adequate water supply for a single-family home, a well should have
a sustained yield of 8 to 10 gallons per minute. In some situations, a lesser yield
may be acceptable, but a special engineered design, including storage, may be
required.
When either individual well or septic tank systems are required, or when
both are required, the preparation of a proper set of plans for the subdivision
development will make possible the orderly installation of these facilities on
individual lots. Details to be included on the development plans should include
the site topography; soil maps; location of required soil borings and test pits, and
the attendant soil tests and test results; depth to water table; lot layouts showing
the proposed location of houses, wells, and sewage disposal systems; together
with the provision for good lot, block, and street drainage; diagrams showing,
typical well construction, pump connections, and sanitary seals. Similar diagrams
showing details of typical septic tank, distribution box, and soil absorption field
details should be given. In some situations, mound-type systems may be required.
Each lot requires careful study and adaptation of general principles and typical
details so that proper development results. For example, the soil percolation tests
and soils information should determine the type and size of the required on-site
sewage disposal facility. The final lot grade and house, driveway, walks, and
patio locations should determine the locations of the on-site well and sewage
disposal system. The type of well, required minimum depth of casing, need for
grouting of the annular space around the casing, and sealing of the bottom of
the casing in solid rock will vary with each location. These are some of the
considerations requiring the adequate engineering services.
Counties, cities, villages, and towns should adopt sanitary, building and plumb-
ing codes, and zoning ordinances regulating the use, installation, operation, and
maintenance of on-site sewage treatment and disposal and water-supply facilities.
These codes and ordinances should be adopted within the context of a compre-
hensive plan. Individuals proposing to install an on-site sewage treatment and
494 PLANNING AND ENVIRONMENTAL ASSESSMENT

disposal, or an on-site water-supply facility, should be required to make appli-

cation to a designated department for a permit to build and to use and install
attendant proposed sewage disposal and water supply facilities. The applica-
tions should be accompanied by soil maps, percolation tests, and facility-location
design details. The cognizant public agency staff should be responsible for inspec-
tion during construction of the facilities to ensure compliance with the plans.
When the facilities concerned have been properly installed, an occupancy permit
may be issued for the residence concerned.

Fiscal Analysis
A proposed land subdivision should be accompanied by a fiscal impact, as well as
an environmental assessment. The fiscal impact assessment requires estimates to
be made of the total cost of providing the required public infrastructure, including
capital investment, operation, maintenance, and replacement costs, together with
estimates of the total public revenues to be derived from the proposed develop-
ment. The types of infrastructure and attendant public services to be considered
should include, among others, sanitary waste treatment and disposal; water sup-
ply; solid-waste collection and disposal; parks and playgrounds; libraries; street
cleaning, snow plowing and pavement maintenance; traffic control; police and
fire protection; emergency medical services; street lighting; street trees and other
plantings; and schools, The costs of providing these facilities and services should
be estimated based on local conditions and experience. Sources of revenue may
include real property taxes, impact fees, sales taxes, income taxes, property trans-
fer fees, permit and license fees, user charges, interest earnings and federal and
state loans and grants. An analysis of the potential cost of the required facil-
ities and services versus the potential revenues derived from the development
will provide important information on the probable fiscal impact of the proposed
development on the community. This impact, together with other factors, such
as compatibility with the adopted comprehensive plan and findings of an envi-
ronmental assessment should be considered in granting approval, or conditional
approval, for the proposed development, or in rejecting the proposed develop-
ment. Generally, fiscal impact assessment will show that low- and moderate-value
residential development does not yield enough in property taxes to pay for
the municipal services required unless supplemented by user charges or other
revenues.

PROGRAM PLANNING

A number of laws related to environmental protection have emerged at the federal

and state levels. These include, at the federal level:

• National Environmental Policy Act of 1969 (NEPA)

• Chemical Safety Information, Site Security and Fuels Regulatory Relief Act
 PROGRAM PLANNING 495

• The Clean Air Act (CAA)

• The Clean Water Act (CWA)
• Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA, or Superfund)
• The Emergency Planning and Community Right-to-Know Act (EPCRA)
• The Endangered Species Act (ESA)
• Federal Insecticide, Fungicide and Rodenticide Act (FIFRA)
• Federal Food, Drug, and Cosmetic Act (FFDCA)
• Food Quality Protection Act (FQPA)
• The Freedom of Information Act (FOIA)
• The Occupational Safety and Health Act (OSHA)
• The Oil Pollution Act of 1990 (OPA)
• The Pollution Prevention Act (PPA)
• The Resource Conservation and Recovery Act (RCRA)
• The Safe Drinking Water Act (SDWA)
• The Superfund Amendments and Reauthorization Act (SARA)
• The Toxic Substances Control Act (TSCA)

States have adopted similar legislation mirroring the federal legislation in order
to maintain some level of state control over the issues concerned. Many of these
federal and state laws contain planning requirements. Some of these federal laws
have included substantial grant programs intended to encourage the conduct of
planning at the state and local levels of government. Other federal laws support
the development of infrastructure facilities and include grant programs that pro-
mote planning for the physical development of urban areas. Historically, such
programs have included the Federal Housing Act of 1954, Section 701, which
provided grants to local municipalities, counties, and areawide planning agen-
cies in partial support of the development of comprehensive plans. The Section
701 planning program, which was initially administered by the Federal Hous-
ing and Home Finance Agency (HHFA), did indeed result in the preparation of
a large number of municipal comprehensive plans. Section 208 of the Federal
Demonstration Cities and Metropolitan Development Act of 1966, administered
by the U.S. Department of Housing and Urban Development (HUD), the suc-
cessor agency to the HHFA, required that all applications for federal loans and
grants be submitted to cognizant metropolitan planning agencies for review and
comment prior to federal consideration. This requirement provided a powerful
incentive for areawide planning and plan implementation.
These types of federal laws and grant programs often led to the establishment
of federally driven areawide planning programs. Perhaps the most important
and far reaching of such federally driven programmatic planning requirements
were those initiated by the Federal Aid Highway Act of 1962. This act required
the preparation of metropolitan transportation system plans as a prerequisite for
the receipt of federal grants in support of highway system improvements. The
496 PLANNING AND ENVIRONMENTAL ASSESSMENT

engineering staffs of the U.S. Bureau of Public Roads, the predecessor agency to
the Federal Highway Administration, understood and were firmly committed to
the need for areawide transportation system planning in metropolitan areas and,
unlike other federal agencies, such as the U.S. Environmental Protection Agency,
remained steadfastly committed to the support of such planning over time. The
program was instrumental in developing the current state-of-the-art of transporta-
tion system planning, requiring the integration of land use and transportation
system planning, and the application of mathematical simulation models in the
design of transportation system plans. The program was also instrumental in the
development of the present state-of-the art of environmental assessment of trans-
portation system plans, particularly with respect to the abatement of air pollution
emissions and the pursuit of air quality management. Successive amendments
broadened the required planning to include transit as well as highway facilities.
The inclusion of strong implementation measures, including the required biennial
preparation of metropolitan transportations improvement programs, is evidence
of the federal transportation engineers’ commitment to effective system planning.
The latest version in the chain of acts initiated by the 1962 Act is known as the
Safe, Accountable, Flexible, Efficient Transportation Equity Act of 2005. Without
the Federal Aid Highway Act of 1962, and its successor acts, it is highly unlikely
that strong metropolitan and regional planning programs would have developed
in the United States as they indeed have.
Similar federal programs, exemplified by the programs administered by the
Federal Aviation Administration (FAA) for airport system planning and by the
U.S. Environmental Protection Agency (EPA) for water quality management
planning have been less successful. This is particularly true of the planning
requirements contained in Section 208 of the Federal Water Quality Act of 1972.
Although the federal planning requirement and attendant grant program pro-
duced some very good areawide water-quality management plans, the lack of a
firm commitment to those plans and the planning process over time by the EPA
staff has hampered the ability to achieve the national objective of fishable and
swimable surface waters. Other federal and state planning requirements have been
established in, among others, the fields of solid-waste management, coastal zone
management, and air-quality management. Unfortunately, with the exception of
the transportation planning program, most of these federal and state planning
initiatives are not well integrated at the federal or state levels, and often ignore
the needed foundation in comprehensive metropolitan or regional planning. Ide-
ally, all such federal and state programmatic planning requirements should be
coordinated through metropolitan or regional planning agencies so that the plans
and plan implementation actions may be effective rather than counterproductive.

OPERATIONAL PLANNING

All of the planning efforts previously considered in this chapter have dealt with
planning for the physical development of municipalities, counties, metropolitan
 OPERATIONAL PLANNING 497

areas, and regions; recognizing, however, that all physical development is

intended to serve social and economic needs, and that planning for such devel-
opment must contain a strong environmental assessment and protection orien-
tation. Such physical planning is appropriate in both developed and developing
countries.
A parallel need exists, however, to promote strong public heath organizations
and services, and, as a basis for such promotion, to develop sound public health
agency operational plans, perhaps as operational public health plans. Such plans
should be directed at guiding the organization and operation of public agencies
responsible for the protection and enhancement of public health. In the United
States, this need is recognized at the federal level by the existence of the U.S.
Public Health Service. This need was also recognized in the past by the his-
toric development of strong public health departments within the structures of
state and large city governments. The city departments were often headed by
medical doctors, and employed competent staffs of public health nurses, sanitary
engineers, and sanitation officers. A decline in the importance attached to such
departments with respect to the containment of contagious diseases and the pro-
vision of pure food and water appears to have occurred following the close of
World War II and the introduction of antibiotics, new immunization techniques,
and advanced medical treatments to control, and in some cases eliminate, infec-
tious diseases such as tuberculosis, poliomyelitis, and some socially transmitted
diseases. The development of intercontinental travel based on rapid air transport,
together with the emergence of often-fatal diseases, such as human immun-
odeficiency virus–acquired immunodeficiency syndrome (HIV–AIDS), bovine
spongiform encephalopathy (mad cow disease), avian influenza (bird flu), and
severe acute respiratory syndrome (SARS), among others, is creating a critical
need to strengthen public health agencies and services at all levels of government.
Good public administration would dictate that the operation of public health agen-
cies be focused through the preparation of sound operational plans. An outline
for a potential public health element of a comprehensive plan follows.

Public Health Element of Comprehensive Plan

I. Introduction
A. Purpose of planning effort and plan report
B. Brief description of planning area
C. Impetus and authority for planning effort
D. Planning approach
1. Cognizant public body oversight and guidance
2. Adoption
II. Historic Studies and Plans
A. Pertinent federal and state public health planning efforts, plans and
programs
B. Pertinent local public health planning efforts, plans and programs
498 PLANNING AND ENVIRONMENTAL ASSESSMENT

III. Description of Existing Conditions

A. Epidemiological and demographic
1. Population—historic and existing
a. Levels
b. Fertility, mortality and morbidity rates
c. Age and sex distribution
d. Diseases—types and prevalence, age and sex specific occur-
rences
(1) Infectious
(2) Noninfectious
(3) Chronic
e. Disease vectors
(1) Waterborne
(2) Rodent and Insect borne
(3) Foodborne
(4) Domestic and wild animal related
(5) Air related
(6) Pesticide and other chemical poisonings
(7) Congenital malformations, mental disorders
2. Households—historic and existing
a. Levels
b. Types
c. Housing conditions
3. Health Services
a. Types
b. Availability
B. Cultural and Natural Resource Base
1. Land use—historic, existing, planned
2. Topography and drainage patterns
3. Geology and depths to water and bedrock
4. Soils
5. Climate and weather
6. Surface water resources
7. Groundwater resources
8. Floodlands, wetlands
C. Public water supply
1. Sources, treatment, storage, distribution
a. Operator qualifications
b. Quality control
 OPERATIONAL PLANNING 499

c. Cross-connection control
d. Well construction control
e. Fire protection
f. Costs
2. Areas and populations served
D. Wastewater disposal
1. Domestic and industrial wastewater flows and characteristics
2. Collection, transmission, treatment, disposal
a. Centralized sewerage systems
(1) Areas and populations served
(2) Adequacy of collection, transmission, storage, treatment
(3) Operator qualifications
(4) Cross-connection
(5) Costs
b. On-site treatment and disposal systems
(1) Areas and populations served
(2) Soil and groundwater conditions
(3) Performance and failure rates
(4) Regulation
(5) Costs
3. Water pollution
a. Surface waters
b. Groundwaters
E. Solid waste management
1. Sources, amounts, types and characteristics of wastes
a. Managed refuse
b. Industrial wastes
c. Agricultural wastes
2. Storage, collection, transport, processing and disposal
3. Resource recovery, salvage, recycling
4. Hazardous wastes
a. Handling
b. Prevention of contact
5. Air, water, land pollution
6. Areas and populations served
7. Costs
F. Air resources
1. Air-quality conditions
2. Pollution sources
500 PLANNING AND ENVIRONMENTAL ASSESSMENT

3. Emission standards
4. Effects on human, livestock, vegetation
5. Meteorological and topographic factors
G. Housing
1. Amount, condition, availability—historic and existing
2. Building, plumbing, electrical, heating and ventilating, occupancy
codes and code enforcement
3. Overcrowding
H. Schools—elementary and secondary
1. Locations
2. Buildings and attendant recreation facilities
3. Adequacy of water supply, sewage and solid wastes disposal, food
service, sanitary facilities, indoor air quality
I. Health care institutions
1. Type, location, capacity, adequacy
a. Hospitals
b. Clinics
c. Nursing homes
d. Rehabilitation centers
e. Day care centers
2. Staffing, budgets, workloads
J. Recreational Facilities
1. Parks, pools, bathing beaches, marinas
K. Environmental Factors
1. Drainage, mosquito breeding
2. Noise and vibration
3. Insect, rodent, and other vermin control
4. Natural and manmade hazards slides, earthquakes, brush and forest
fires, storms
5. Radiological hazard
6. Laws, codes, and ordinances
7. Health criteria and standards
IV. Projected Conditions and Problem Identification
A. Epidemiological and demographic
B. Water supply
C. Wastewater collection and disposal
D. Solid waste collection and disposal
E. Air-quality conditions
F. Housing
G. Schools
 OPERATIONAL PLANNING 501

H. Healthcare institutions
I. Recreational facilities
J. Environmental factors
V. Needed Public Health Facilities and Programs
A. Staffing
1. Medical doctors
2. Public health nurses
3. Sanitary engineers
4. Sanitation officers
5. Laboratory technicians
B. Facilities
1. Office
2. Laboratory
3. Motor vehicle and support equipment
C. Legal authority
D. Programs
1. Water supply and food inspection including restaurant and food
service inspection
2. Environmental monitoring
a. Air quality including indoor
b. Water quality including swimming pool and bathing beach
c. Insect, rodent and other vermin
d. On-site sanitary waste disposal and attendant ground and surface
water pollution
e. On-site water supply
f. Health care institutions
3. Code enforcement
a. Housing
b. Sanitation
c. Health care institutions
4. Health care monitoring
a. Infant
b. Elementary school pupils
c. Secondary school pupils
d. Immunization
5. Emergency preparedness
a. Water supply
b. Waste disposal
c. Toxic hazardous and radiological contamination
d. Immunization
502 PLANNING AND ENVIRONMENTAL ASSESSMENT

e. Quarantine
f. Medical services
6. Educational and training programs
a. Personal hygiene
b. Sanitation
c. Nutrition
d. Infant and child care
e. Emergency response
7. Other

It should be noted that a number of the inventories required for operational

public health emergency planning are identical to those required for compre-
hensive physical planning. Close coordination of and cooperation between the
agencies involved in these kinds of planning effort is, therefore, high desirable.
The need for public health services, while clearly important in rich developed
countries, is critical in poor, developing countries. Improving public health should
be a high priority in such countries that have large populations lacking sufficient
supplies of safe, potable water, adequate sanitation systems, and adequate electri-
cal power and road systems. Primary environmental problems include insufficient
water supplies and rapid rural to urban migration, which exacerbate waste man-
agement problems and constitute threats to human health. Contagious diseases,
high infant mortality rates, and unsatisfactory life expectancy rates should make
the provision of strong public health services and the promotion of good indi-
vidual health in such countries a major objective. Many lives could be saved,
and a great deal of human misery avoided, through the provision, at a relatively
low cost, of simple measures to promote good sanitation, safe potable water, and
pure food nutritional guidance and assistance, and immunization programs. Pub-
lic health agencies should be ready to react promptly, efficiently, and effectively
to potential epidemics, and pandemics and to abate, or eliminate, any endemic
diseases such as malaria and cholera. The effectiveness of good public health
services has been demonstrated historically by examples, such as the control of
malaria and yellow fever that permitted the construction of the Panama Canal.

ROLE OF ENGINEERING

There is a need for sound engineering in the conduct of all types of planning
for the physical development of an area, and more sensitivity to comprehensive
planning in engineering, with emphasis on areawide metropolitan and regional
approaches. Certain key elements of a comprehensive plan dealing with
sewerage, stormwater management, water supply, and transportation should
be prepared by competent engineers. Environmental protection and natural
resource conservation must be successfully integrated into essential engineering
efforts. Engineering factors that are essential for continued community survival
 ENVIRONMENTAL ASSESSMENT AND IMPACT STATEMENTS 503

and growth, and for the social and economic well being of the community
residents, need to be carefully considered in the planning and engineering
of any proposed development projects. Public awareness demands a quality
environment that provides such fundamental needs as pure water, clean air,
unpolluted land, the absence of traffic congestion, the availability of convenient
public transit services; decent, safe, and sanitary housing; adequate recreational
facilities, and the preservation of open space and historic values. These goals
and objectives cannot be attained without the involvement in the planning and
plan implementation processes of competent engineers.
State and local health and environmental protection agencies have vital plan-
ning, plan approval, and regulatory responsibilities to ensure that the public health
and welfare are protected. The performance of these responsibilities requires com-
petent engineering staff to deal with such issues as water-quality management
and pollution abatement; wastewater treatment and disposal; provision of safe and
adequate water supplies; air-pollution control; solid hazardous and nonhazardous
waste disposal; radiation protection; land subdivision development; disease vec-
tor control; and safe use of herbicides and pesticides. The responsibility of health
and environmental protection agencies extends to issuance of permits and con-
tinual environmental monitoring to protect the public health and welfare, and to
enhance the home, work, and recreational environments. Hence, such agencies
have an important stake in all planning programs to ensure that the public does not
inherit situations that are dangerous, costly, and difficult or impossible to correct.
Sound, comprehensive, community planning that gives proper attention to
environmental health considerations, followed by phase, detailed planning, engi-
neering, and capital budgeting, are among the most important functions a com-
munity can engage in for the immediate and long-term benefit of its residents.
The potential environmental effects of projects such as new highway or industrial
and housing developments should be considered in the planning and engineering
design phases, and then during the construction and operational phases. Alter-
natives should be proposed and comparatively evaluated on the basis of costs,
benefits, and environmental impacts. For major projects, the responsible engi-
neers should seek the assistance, as necessary, of other professions, including,
among others, landscape architects, soil and water conservationists, and fish and
wildlife biologists.
It is also important to understand that environmental criteria and standards
that implement laws and regulations and affect engineering will vary significantly
with time and place. It is, therefore, essential that current criteria and standards
be used in the planning, engineering, and environmental assessment processes.
Sometimes, there will be proposed criteria and standards available that may have
not yet been adopted, but that deserve careful consideration.

ENVIRONMENTAL ASSESSMENT AND IMPACT STATEMENTS

The preceding text has indicated that comprehensive plans, project plans,
site plans—including land subdivision plans—and program plans should be
504 PLANNING AND ENVIRONMENTAL ASSESSMENT

accompanied by environmental assessments. An environmental assessment

may also be related to an existing site or plant. The environmental assessment
attempts to identify all existing and past activities that may have a deleterious
effect on human health, the environment, or safety. In so doing, compliance
with all applicable federal, state, and local laws, rules, and regulations, and
required permit conditions are also determined.
An environmental assessment may be conducted for different purposes. It may
be used to help validate comprehensive project and site plans. It may emphasize
compliance with existing regulations and permit requirements, respond to a toxic
or hazardous material spill, or relate to the existing or potential environmental
risks and liabilities associated with the acquisition of a property.
An assessment to determine compliance with regulatory requirements may be
referred to as an environmental audit. It may be carried out by regulatory person-
nel, in-plant personnel, or a consultant. The audit may relate to a single-purpose
facility, such as an incinerator, wastewater treatment plant, hazardous waste oper-
ation, or water system, or to all operations and procedures at a plant or site. An
assessment that is concerned with a property or its acquisition may be referred
to as an environmental property assessment. It includes investigation for possi-
ble above-ground and subsurface contaminants and hazards, violations associated
with structures on the property—including health and safety—and real property
title searches.
At an existing operating site or facility, pollutant, emission, water, wastew-
ater, solid waste, and soil samples may be collected, if indicated, for physical,
chemical, and microbiological examinations and evaluations. Volume or weight
measurements may be made. Materials balances of input versus output may
be compared where possible. Raw-material and process changes to reduce and
eliminate toxic or polluting discharges of product or wastes are considered. Defi-
ciencies are identified, and a correction and prevention program is developed.
In making an environmental property assessment, local residents, employees,
and retirees may be interviewed regarding present and past products stored or
manufactured, operations, practices, wastes produced, waste disposal methods,
and previous land uses. Plant records, reports, and other documents may be
useful.
A site investigation may include acquisition and analysis of old and recent
land deeds, zoning district maps and ordinances, topographic maps and aerial
photographs, historical reports, state archive records, regulatory agency and uni-
versity reports, fire department and insurance files, and library files. Evidence of
old mines, dumps, burial grounds, swamps, vegetation-free areas, wells, pipelines,
buried tanks, impoundments, orchards, farmlands, laboratories, and factories may
be found. Investigations and old reports and industrial directories may reveal
types of waste materials generated and discarded at the site. Adjacent properties
and uses may impact on the study site and should be explored. Site field surveys
should be made at properties to be acquired and include—if indicated—soil,
groundwater, waste, and air sampling for physical, chemical, radiological, and
microbiological analyses and evaluation.
 ENVIRONMENTAL IMPACT ANALYSIS 505

The value of an environmental assessment is dependent on the types and com-

petencies of the professionals employed, the comprehensiveness of the survey,
and the quality of the supporting laboratory results. Professionals who may be
involved include engineers, land surveyors, geologists, hydrogeologists, archae-
ologists, historical geographers, chemists, biologists, health physicists, attorneys,
toxicologists, and others who have the proper, specialized training and experi-
ence. Professional organizations, governmental agencies, institutions, and others
may provide useful environmental assessment information, including guidelines,
checklists, manuals, and texts that can be of value.
Purchasers of real estate, including plants and other properties, are advised to
have an environmental site and facility assessment completed before purchase.
The legal and financial liabilities assumed due to the presence of potentially
hazardous contaminants on the site, or to building violations that may exist—
structural, fire hazard, asbestos materials, polychlorinated biphenyls (PCBs), leak-
ing underground petroleum and chemical storage tanks—should be understood
and evaluated before ownership is finalized. Consultants performing environmen-
tal site assessments and audits may become involved in legal actions as a result
of their studies and reports. They may be sued for having knowledge of the
existence of hazardous conditions and not acting thereon. A consultant should
be careful not to guarantee that a property is free of all contamination or what
level of cleanliness a regulatory agency may require. Therefore, it is prudent for
a consultant to limit liability in an agreement with a client, as the extent of the
environmental assessment or audit to be prepared.

ENVIRONMENTAL IMPACT ANALYSIS

Concurrent with site selection and planning is the necessity to consider the effects
of all proposed land uses, development activities, and required services and facil-
ities on the environment or geography of the area concerned. It is extremely
difficult to identify and evaluate in depth all possible factors that may affect, and
be affected by, a particular development project or action. Good comprehensive
regional, county, and municipal plans constitute a good source of pertinent data
and greatly simplify preparation of an environmental impact assessment, and, if
necessary, an environmental impact statement (EIS).

National Environmental Policy Act (NEPA)

Planning, design, and implementation of a project, without regard to its environ-
mental effects, shirk the custodial responsibility and moral obligation of society
to protect the environment for future generations and ensure their survival. Public
concern over environmental pollution, aided by scientific and professional prod-
ding and support, has led to federal and state legislation mandating consideration
and documentation of the beneficial and adverse effects of proposed actions in
the project planning stage for official and public scrutiny and indicated poten-
tial adjustments. This concept was given national recognition by the National
506 PLANNING AND ENVIRONMENTAL ASSESSMENT

Environmental Policy Act (NEPA) of 1969, as amended. This act established a

national policy that requires consideration of the effects of any significant federal
actions on the environment. The act recognizes the impact of human activity on
all components of the natural environment and the importance of environmental
quality to public welfare. The act is intended to improve federal actions in order
to achieve a number of objectives. Included among these are the following:

• To assure all Americans safe, healthful, productive, and aesthetically and

culturally pleasing surroundings
• To attain the widest range of beneficial use of the environment without
degradation, risk to health or safety, or other undesirable and unintended
consequences
• To preserve important historic, cultural, and natural values

The act directs that all agencies of the federal government do the following:

• Utilize a systematic, multidisciplinary approach that will ensure the inte-

grated use of the natural and social sciences and the environmental design
arts in planning and in decision making that may impact on the environment.
• Identify and develop methods and procedures that will ensure that unquanti-
fied environment amenities and values may be given appropriate considera-
tion in decision making, along with economic and technical considerations.
• Include a detailed environmental statement prepared by a cognizant offi-
cial in every recommendation for legislation or other major federal actions
significantly affecting the quality of the environment.

That statement is to set forth the environment impact of the proposed action,
including any adverse environmental effects which cannot be avoided should
the proposal be implemented; alternatives to the proposed action; the relation-
ship between local short-term uses and the environment and the maintenance
and enhancement of long-term productivity; and any irreversible and irretriev-
able commitments of resources involved in the proposed action. The NEPA also
permits these statements to be prepared under specific conditions by state agen-
cies or officials. The Act requires that prior to completing the required detailed
statement, consultations shall be held with other federal agencies, and the views
of appropriate state and local agencies obtained.
A number of states have also adopted legislation and prepared procedures
for environmental assessment of proposed actions, and for the preparation of
environmental impact statements similar to the federal legislation.

Terminology
The federal regulations for implementing the procedural provisions of the
National Environmental Policy Act define certain terms. These definitions
warrant inclusion here because of the important concepts contained within them.
 ENVIRONMENTAL IMPACT ANALYSIS 507

The term categorical exclusion is defined to mean a category of actions that

do not individually, or cumulatively, have a significant effect on the human
environment, and for which, therefore, neither an environmental assessment nor
an environmental impact statement is required.
The term cumulative impact is defined as the impact on the environment
that results from the incremental impact of the action when added to other
past, present, and reasonably foreseeable future actions, regardless of what
agency—federal or nonfederal—or person undertakes such other actions.
Cumulative impacts can result from individually minor but collectively
significant actions taking place over time.
The term effects is defined with two parts:

1. Direct effects are caused by the action and occur at the same time and
place.
2. Indirect effects are caused by the action, and are delayed in time or farther
removed in distance, but are still reasonably foreseeable. Indirect effects
may include growth-inducing effects and other effects related to induced
changes in the pattern of land use, population density or growth rate, and
related effects on air and water and other natural systems, including ecosys-
tems.

The term effects and impacts as used in the federal regulations are synony-
mous. Effects include ecological—such as the effects on natural resources and on
the components, structures, and functioning of affected ecosystems—aesthetic,
historic, cultural, economic, social, and health, whether direct, indirect, or cumu-
lative. Effects may also include those resulting from actions that may have both
beneficial and detrimental effects, even if on balance the agency believes that the
effect will be beneficial.
The term environmental assessment is defined to mean a concise public doc-
ument, the preparation of which is the responsibility of a cognizant federal
agency—or delegated state agency—and which serves to do three things:

1. Provide sufficient evidence and analysis for determining whether the prepa-
ration of an environmental impact statement or a finding of no significant
impact is required.
2. Aid in compliance with the Natural Environmental Policy Act when no
environmental impact statement is required.
3. Facilitate preparation of an environmental impact statement when one is
required.

An environmental assessment is similar to an environmental impact statement

but is not necessarily as comprehensive or in the same depth. It can be used
to determine if a negative declaration is indicated, or if an environmental
impact statement is required. An environmental assessment is not required
if it has been determined in any case to prepare an environmental impact
508 PLANNING AND ENVIRONMENTAL ASSESSMENT

statement. An environmental assessment should include a brief description of

the need for the proposed action concerned; of the alternatives thereto; of the
potential environmental impacts of the proposed action, and of the alternatives
thereto. It should also list the agencies and persons consulted in preparing the
assessment.
The term environmental impact statement is defined as a detailed written state-
ment required by Section 102(2)C of the NEPA.
The term federal agency is defined to include all agencies of the federal
government. It does not mean the Congress, the judiciary, or the president. It also
includes, for purposes of the federal regulations, states, units of local government,
and Indian tribes assuming National Environmental Protection Act responsibilities
under Sec. 104(h) of the Housing and Community Development Act of 1974 as
amended.
The term finding of no significant impact is defined as a document prepared
by a federal agency briefly presenting the reasons why an action, not otherwise
excluded, is not expected to have a significant effect on the human environment
and for which an environmental impact statement therefore need not be prepared.
The term is intended to include the environmental assessment concerned with it
and any other environmental documents related to it.
The term human environment is defined to include the natural and physical
environment, and the relationship of people with that environment. This means
that actions having purely economic or social effects are not intended by them-
selves to require preparation of an environmental impact statement. However,
when an environmental impact statement is prepared and economic or social
and natural or physical environmental effects are interrelated, then the envi-
ronmental impact statement is to describe all of these effects on the human
environment.

Scoping
Scoping is an important element of all planning processes because it defines what
will and what will not be included in the process. Scoping must be conducted
early in the planning process, preferably at the beginning of the public partici-
pation effort. The federal regulations relating to environmental assessments and
environmental impact statements address scoping. Under those regulations, scop-
ing is defined as an early and open process for determining the scope of issues to
be addressed, particularly the significant issues related to a proposed action. As
soon as practicable after a decision is made to prepare an environmental impact
statement, and before initiation of the scoping process, the lead agency must
publish a notice of intent in the Federal Register. As part of the scoping process
the lead agency shall take these steps:

1. Invite the participation of affected other federal, and of state and local
agencies, any affected Indian tribe, the proponent of the action, and other
interested persons—including those who might not be in accord with the
action on environmental grounds.
 ENVIRONMENTAL IMPACT ANALYSIS 509

2. Determine the cope and the significant issues to be analyzed in depth in

the environmental impact statement.
3. Identify and eliminate from detailed study the issues that are not considered
to be significant, and explain why those issues are not expected to have a
significant effect on the human environment.
4. Allocate assignments for preparation of the environmental impact statement
among the lead and cooperating agencies, with the lead agency retaining
responsibility for the statement.
5. Indicate any public environmental assessments and other environmental
impact statements that are being, or are expected to be, prepared, that are
related to, but are not a part of, the scope of the impact statement under
consideration.
6. Identify other environmental review and consultation requirements so the
lead and cooperating agencies may prepare other required analyses and
studies concurrently, and in an integrated manner with, the environmental
impact statement.
7. Indicate the relationship between the timing of the preparation of environ-
mental analyses and the agency’s tentative planning and decision-making
schedule.
8. The lead agency may hold an early scoping meeting, or meetings, which
may be integrated with any other early planning meetings the agency holds.
Such a scoping meeting, or meetings, will often be particularly appropriate
when the impacts of a particular action are confined to a specific site or sites.

Recommended Format for Environmental Impact Statement

A format should be used for environmental impact statements that will encourage
good analysis and clear presentation of the alternatives, including the proposed
action. The following standard format for environmental impact statements may
be followed unless the agency determines that there is a compelling reason to
do otherwise:

1. Cover sheet
2. Summary
3. Table of contents
4. Purpose of and need for action
5. Alternatives including proposed action
6. Affected environment
7. Environmental consequences
8. List of preparers
9. List of agencies, organizations, and persons to whom copies of the state-
ment are sent
10. Index
11. Appendices
510 PLANNING AND ENVIRONMENTAL ASSESSMENT

Content of an Environmental Impact Statement

The environmental impact statement (EIS) required under the National Environ-
mental Policy Act is intended to be a detailed written statement prepared by
a responsible official on every proposal for legislation, or other major federal
action, significantly affecting the quality of the human environment. Guidelines
for the preparation of an EIS have been published by the Council on Environ-
mental Quality, and a number of states have adopted similar guidelines. A draft
EIS is generally first prepared and circulated for comment. The EIS may be for
a proposed legislative act, program, planning study, or construction project. The
comments received are then evaluated and considered in the decision-making
process.
The EIS should include a description of the proposed action; a statement of
the purpose or purposes of the action; and a description of the environment
affected, including summary technical data, and maps and diagrams, as may be
required. The description should be adequate to permit an assessment of the
potential environmental impacts by commenting agencies and the public. Highly
technical and specialized analyses and data should be avoided in the body of the
draft impact statement. Such materials should be attached as appendices, or foot-
noted with adequate bibliographic references. Importantly, the statement should
succinctly describe the environment of the area affected as it exists prior to the
proposed action. The interrelationships and cumulative environmental impacts of
the proposed action and other related federal projects should be presented in the
statement. The amount of detail provided in such descriptions should be commen-
surate with the extent and expected impact of the action, and with the amount
of information required at the particular level of decision making—planning,
design, construction. Agencies should also take care to identify, as appropriate,
the following:

• Population and growth characteristics of the affected area

• Any population and growth assumptions used to justify the project or
programs
• Growth impacts resulting from the proposed action and its alternatives
• Sources of data used to identify, quantify, or evaluate any and all environ-
mental consequences

The relationship of the proposed action to land-use plans, policies, and regula-
tions for the affected area should be described, including the plans developed in
response to the Federal Clean Air Act, Federal Water Pollution Control Act, and
Federal Transportation Act. Where a conflict or inconsistency exists, the state-
ment should describe the extent to which the agency has reconciled its proposed
action with the plans, policies or regulations concerned, and the reasons why the
agency has decided to proceed notwithstanding the absence of full reconciliation.
The statement should contain a clear description of the probable impact of the
proposed action on the environment. This requires assessment of the positive and
 ENVIRONMENTAL IMPACT ANALYSIS 511

negative effects of the proposed action on the environment. The attention given
to different environmental factors should vary according to the nature, scale,
and location of the proposed actions. Among factors to consider should be the
potential effect of the action on these aspects of the environment:

• Air quality, water quality, shellfish sanitation

• Stream flows and stages, fish and wildlife, solid waste, noise, radiation,
toxic and hazardous substances, contamination of foodstuffs, herbicides and
pesticides, transportation and handling of hazardous materials
• Energy supply, renewable resource development, natural resource conser-
vation
• Land use and management
• Protection of environmentally critical areas—floodplains, wetlands, beaches
and dunes, unstable soils, steep slopes, aquifer recharge areas
• Land use in coastal areas, redevelopment, and construction in built-up areas
• Density and congestion mitigation
• Neighborhood character and continuity
• Impact on low-income populations
• Historic architectural and archeological preservation
• Soil and plant conservation, hydrology
• Outdoor recreation

Primary attention should be given in the statement to those factors most evi-
dently impacted by the proposed action. Secondary, or indirect, as well as primary
or direct, consequences for the environment should be included in the analysis.
Many actions, in particular those that involve the construction of infrastructure
investments, stimulate or induce secondary effects in the form of changed patterns
of social and economic activities and related land-use patterns. Such secondary
or indirect effects—through their impacts on existing community facilities and
activities, through inducing new facilities and activities, or through changes in
natural conditions—may often be more substantial than the primary effects of the
proposed action itself. The effects of the proposed action on population growth
and land-use development may be among the most significant secondary effects.
Alternatives to the proposed action, including, where relevant, those not within
the existing authority of the responsible agency, should be described. A rigorous
exploration and objective evaluation of the environmental impacts of all rea-
sonable alternative actions, particularly those that might enhance environmental
quality, or that might avoid some or all of the adverse environmental effects, is
essential. Examples of such alternatives include the following:

• The alternative of taking no action, or of postponing action pending further

study
• Alternatives requiring actions of a significantly different nature that would
provide similar benefits with different environmental impacts—as, for
512 PLANNING AND ENVIRONMENTAL ASSESSMENT

example, nonstructural alternatives to flood control projects, or mass transit

alternatives to highway construction
• Alternatives related to different designs or details of the proposed action that
would present different environmental impacts—as, for example, cooling
ponds, in place of cooling towers for an electric power generation power-
plant or alternatives that will significantly conserve energy
• Alternative measures to provide for compensation of fish and wildlife losses,
including the acquisition of land, waters, and interests therein

In each case, the analysis should be sufficiently detailed to reveal the compar-
ative evaluation of the environmental benefits, costs, and risks of the proposed
action and of each reasonable alternative thereto.
Any probable adverse environmental effects that cannot be avoided—such
as water or air pollution, undesirable land-use patterns, damage to life systems,
urban congestion, or threats to public health—should be described. Included for
purposes of contrast should be a clear statement of how avoidable adverse effects
will be mitigated.
The trade-offs between short-term environmental gains at the expense of
long-term losses, or vice versa, should be described, together with the extent
to which the proposed action forecloses future options. In this context, the terms
short-term and long-term should be viewed in terms of the environmentally sig-
nificant consequences of the proposed action, without reference to any fixed level
period.
Any irreversible and irretrievable commitments of resources that would be
involved in the proposed action, should it be implemented, should be described.
Construing the term resources to mean only the labor and materials devoted to
an action should be avoided. Resources should also be defined as the natural and
cultural resources committed to loss or destruction by the action.
An indication of other considerations that are thought to offset the adverse
environmental effects of the proposed action should be described. The statement
should also indicate the extent to which these countervailing benefits could be
realized by following reasonable alternatives to the proposed action that would
avoid some or all of the adverse environmental effects. In this connection, agen-
cies that prepare cost–benefit analyses of proposed actions should attach such
analysis, or summaries thereof, to the environmental impact statement, and should
indicate the extent to which environmental costs have not been reflected in such
analyses.
Every effort should be made to convey the required information succinctly
in a form easily understood, both by members of the public and by public
decision makers, giving emphasis to the substance of the information conveyed
rather than to the particular form, length, or detail of the statement. Each of the
points of attention need not always occupy a distinct section of the statement if
an action is otherwise adequately covered in the descriptions of the impact of
the proposed action and of the alternatives thereto. The statements should indi-
cate at appropriate points in the text any underlying studies, reports, and other
 ENVIRONMENTAL IMPACT ANALYSIS 513

information obtained and considered in preparing the statement, including any

available cost–benefit analyses. A suggested outline for the content of an EIS
follows:

I. Project Description
A. Purpose of action
B. Description of action
1. Name
2. Summary of activities
C. Environmental setting
1. Environment prior to proposed action
2. Other related federal activities
II. Land-Use Relationships
A. Conformity or conflict with other land-use plans, policies, and con-
trols
1. Federal, state, and local
2. Clean Air Act and Federal Water Pollution Control Act Amend-
ment of 1972
B. Conflicts and/or inconsistent land-use plans
1. Extent of reconciliation
2. Reasons for proceeding with action
III. Probable Impact of the Proposed Action on the Environment
A. Positive and negative effects
1. National and international environment
2. Environmental factors
3. Impact of proposed action
B. Direct and indirect consequences
1. Primary effects
2. Secondary effects
IV. Alternatives to the Proposed Action
A. Reasonable alternative actions
1. Those that might enhance environmental quality
2. Those that might avoid some or all adverse effects
B. Analysis of alternatives
1. Benefits
2. Costs
3. Risks
V. Probable Adverse Environmental Effects that Cannot Be Avoided
A. Adverse and unavoidable impacts
B. How avoidable adverse impacts will be mitigated
514 PLANNING AND ENVIRONMENTAL ASSESSMENT

VI. Relationship Between Local Short-Term Uses of Man’s Environment

and the Maintenance and Enhancement of Long-Term Productivity
A. Trade-off between short-term environmental gains at expense of
long-term losses
B. Trade-off between long-term environmental gains at expense of
short-term losses
C. Extent to which proposed action forecloses future options
VII. Irreversible and Irretrievable Commitments of Resources
A. Unavoidable impacts irreversibly curtailing the range of potential
uses of the environment
1. Labor
2. Materials
3. Natural
4. Cultural
VIII. Other Interests and Considerations of Federal Policy that Offset the
Adverse Environmental Effects of the Proposed Plan
A. Countervailing benefits of proposed action
B. Countervailing benefits of alternatives

Selection and Analysis of Alternatives

The selection and analysis of alternatives is an important element of all planning
processes and of the impact analysis process. It is important to make sure that the
alternatives that are studied are reasonable. This means that the group of alterna-
tives that will be considered is not selected so as to make a favored alternative
“look good.” This is important and suggests that the “preferred” alternative not be
identified as proposed in the regulation. It is also important that alternatives are
discrete, which means that each alternative can on its own fulfill the objectives of
the plan or project concerned. The analysis of the null , or no-action, alternative
is also important from a policy point of view to show the value of the project or
plan. Finally, it is important to identify the specific criteria, such as cost, environ-
mental impact, and feasibility, by which each alternative is to be analyzed. The
proposed alternatives and the criteria for their analysis are important elements of
the early public participation process.
The analysis concerned should present the environmental impacts of the pro-
posal and the alternatives thereto in a comparative form, thus sharply defining the
issues and providing a clear basis for choice among the options available by the
decision makers concerned and the public. The analysis should rigorously and
objectively evaluate all reasonable alternatives including, importantly, the alter-
native of no action. For alternatives that were eliminated from the detailed study,
the analysis should set forth the reasons for elimination. The analysis should
also include appropriate potential mitigation measures not already included in
the proposed action or alternatives thereto.
 ENVIRONMENTAL IMPACT ANALYSIS 515

Comprehensive Assessment
To be comprehensive, the environmental assessment should include, to the extent
possible, a description of all of the environmental impacts of the alternatives
considered, including the proposed action; any adverse environmental effects
which cannot be avoided should the proposal be implemented; the relationship
between short-term uses of the environment and the maintenance and enhance-
ment of long-term productivity; and any irreversible or irretrievable commitments
of resources that would be involved in the proposed action. The assessment should
include eight factors:

1. Direct effects and their significance

2. Indirect effects and their significance
3. Possible conflicts between the proposed action and the objectives of fed-
eral, regional, state, and local—and in the case of a reservation, Indian
tribe—land use plans, policies and regulations for the area concerned
4. The environmental effects of alternatives including the proposed action
5. Energy requirements and conservation potential of various alternatives and
mitigation measures
6. Natural or depletable resource requirements and conservation potential of
various alternatives and mitigation measures
7. Urban quality, historic and cultural resources, and the design of the built
environment, including the reuse and conservation potential of various alter-
native and mitigation measures
8. Means to mitigate adverse environmental impacts

Various methods and techniques have been devised to assist in making a

comprehensive impact analysis. Each method needs to be adapted to the particular
plan, project, or action under consideration to properly reflect the action and
assess its impact. It is unlikely that any analysis, no matter how carefully made,
will satisfy everyone, but it is important to describe the method or criteria used in
the analysis early in the public participation process in order to attain consensus.
The methods used for analysis have certain steps in common. The first involves
identification and grouping of the environmental categories or factors involved.
One possible grouping is by social and physical factors as illustrated in Table 6.2.
Another category grouping used might be physical/chemical, ecological, aes-
thetic, social, with appropriate subcategories under each as illustrated in Table 6.3.
The second step in the method used for analysis includes selection of criteria,
or standards within each subcategory that will measure the quality of the category.
The third step involves measurement and interpretation of the significance of the
criteria or standards and effect on each of the categories. These may include
value judgments—that is, evaluation of scientific knowledge by an expert—and
assessment of the value that society places on a factor.
516 PLANNING AND ENVIRONMENTAL ASSESSMENT

TABLE 6.2 Social and Physical Factors Grouping

Social Services Safety Sense of Community

Education facilities Structures Structural organization

Employment Materials Homogeneity and diversity
Commercial facilities Site Hazards Physical stock and facilities
Health care/social Circulation conflicts
services
Liquid waste disposal Road safety and design Psychological well being
Solid waste disposal Physical threat
Water supply Physiological well-being Crowding
Stormwater drainage Noise Nuisance
Police Vibration
Fire Odor Historic value
Recreation Light Historic structures
Transportation Temperature Historic sites and districts
Cultural facilities Disease
Visual quality
Visual content
Formal coherence
Apparent access
Physical Geology Special Features Biota
Unique features Sanitary landfill Plant and animal special
lists
Resource value Wetlands Vegetative community types
Slope stability/rockfall Coastal zones/shorelines Diversity
Foundation stability Mine dumps/spoil areas Productivity
Depth of impermeable Nutrient cycling
layers
Subsidence Water
Weathering/chemical Hydrologic balance Climate and air
release
Tectonic Aquifer yield Macroclimate hazards
activity/volcanism
Groundwater recharge Forest and range fires
Groundwater flow direction Heat balance
Soils
Slope stability Depth to water table Wind alteration
Foundation support Drainage/channel form Humidity and precipitation
Shrink-swell Sedimentation Generation and dispersion
of contaminants
Frost susceptibility Impoundment leakage and
slope
Liquefaction failure Shadow effects
Erodibility Flooding
Permeability Water quality Energy
Energy requirements
Conservation measures
Environmental significance
 ENVIRONMENTAL IMPACT ANALYSIS 517

TABLE 6.3 Physical/Chemical, Ecological, Aesthetic, and Social Factors Grouping

Physical/Chemical
Water Land
Biochemical oxygen demand Soil erosion
Groundwater flow Floodplain usage
Dissolved oxygen Buffer zones
Fecal coliforms Soil suitability for use
Inorganic carbon Compatibility of land uses
Inorganic nitrogen Solid waste disposal
Inorganic phosphate
Heavy metals Air
Pesticides Carbon monoxide
Petrochemicals Hydrocarbons
pH Nitrogen oxides
Stream flow Particulate matter
Temperature Photochemical oxidants
Total dissolved solids Sulfur oxides
Toxic substances Methane
Turbidity Hydrogen and organic sulfides
Other
Noise
Intensity
Duration
Frequency

Ecological
Species and populations Habitats and Communities
Game and non-game animals Species diversity
Natural vegetation Rare and endangered species
Managed vegetation Food chain index
Resident and migratory birds
Sports and commercial fisheries Ecosystems
Pest species Productivity
Biogeochemical cycling
Energy flow

Aesthetic
Land Biota
Geologic surface material Animals—wild and domestic
Relief and topography Vegetation type
Vegetation diversity
Air
Odor Manmade Objects
Visual Consonance with environment
Sounds
(continues)
518 PLANNING AND ENVIRONMENTAL ASSESSMENT

TABLE 6.3 (continued )

Composition
Water Composite effect
Flows and stages Unique composition
Clarity Mood atmosphere
Interface of land and water
Floating materials

Social
Individual Interests Individual well being
Educational/scientific Physiological health
Cultural Psychological health
Historical Safety
Leisure/recreation Hygienic

Community well being

Social Interactions
Political
Socialization
Religious
Family
Economic

To ensure proper consideration of potential impacts requires an interdisci-

plinary approach. Among the disciplines required may be the following:

• Land related: geography, geology, soils, geomorphology, land resources eco-

nomics
• Air related: meteorology, bioclimatology
• Water related: hydrology, limnology
• Plant related: botany, forestry, microbiology
• Animal related: zoology, wildlife
• Human related: anthropology, sociology, medicine, economics, geography

The more significant or critical parameters or variables affected by the pro-

posed actions or activities are identified for further study. This should include
measurement of the effects—primary and secondary, or indirect—of the activ-
ities of humans on themselves and on the environment, and of the environment
on humans. The effects of the actions or activities are evaluated as positive or
negative and summarized as in Figure 6.6. The results are weighed and the total
effects noted as none, moderate, or significant. Tables 6.4 and 6.5 can be help-
ful in this regard. Evaluation and interpretation of the data assembled, including
methods to mitigate adverse effects, can then assist in making the environmental
impact assessment and in preparing the environmental impact statement, if found
necessary.
 Economic

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46
Per capita consumption
Socioeconomic

Public sector revenue

Regional economic stability
Community needs
Human

Physiological systems
Psychological needs
Lifestyles

Summary form for the potential environmental effects of proposed actions.

Social behavior effects
Performance effects
Sound

Communication effects
Psychological effects
Physiological effects
Aquatic plants
Natural land vegetation
Threatened species
Ecology

Field crops
Fish, shellfish, and waterfowl
Small game
Predatory birds
Large animals (wild and domestic)

Project Number
Land-use patterns

Project Name
Land

Alternative
Natural hazard
Erosion
Fecal coliform
Aquatic life
Toxic compounds

*Positive impacts are shown above the attribute number and negative impacts below.
Nutrients
Dissolved solids
Dissolved oxygen (DO)
Water

Biochemical oxygen demand

Acid and alkali
Thermal pollution
Suspended solids
Radioactivity
Oil
Flow variations
Aquifer safe yield
Odor
Hazardous toxicants
Photochemical oxidants
Carbon monoxide
Air

Nitrogen oxide
Hydrocarbons
FIGURE 6.6

Sulphur oxides
Particulates
Diffusion factor
No significant impact
ATTRIBUTE NUMBER

Significant impact
Moderate impact
*Net Positive

Net Negative
Impact X
Impact +

519
 TABLE 6.4 Air Quality Parameters

520
Pollutant High Moderate Poor Federal Air Quality Notes
Standards

Particulates (µg/m3 )a 0 to 80 80 to 230 230 to 500+ 15b 35c 150d Visibility affected as low as 25 µg/m3 ;
PM2.5 PM10 human health effects begin at about 200
µg/m3 ; condensation nuclei less desirable
in concentrations less than 25 µg/m3 .
Sulfur oxides (ppm)e 0 to 0.10 0.10 to 0.17 0.17 to 0.25+ 0.03 0.24f The minimum SO2 concentration for
vegetation damage is 0.03 ppm; less than
0.03 ppm can denote a safe environment;
increased mortality observed at 0.2 ppm
SO2 .
Hydrocarbons (ppm)g 0 to 0.19 0.19 to 0.27 0.27 to 0.40+ — Conditions for smog development approached
at 0.15 to 0.25 ppm.
Nitrogen oxides (ppm)h 0 to 0.025 0.025 to 0.075 0.075 to 0.20+ 0.05 Nitrogen dioxide is about four times more
toxic than nitric oxide. Nitrogen dioxide
below 0.05 ppm does not pose a health
problem, but above that level begins to act
as a toxic agent.
Carbon monoxide (ppm) — — — 9i 35j Concentrations of 10 to 15 ppm for 8 hours or
more can cause adverse health effects;
30 ppm can cause physiologic stress in
patients with heart disease; 8 to 14 ppm
correlated with increased fatality in
hospitalized heart patients.
Photochemical oxidants — — — 0.08k Ozone can irritate lung airways and cause
(ppm) ozone inflammation. Even at very low levels,
ground-level ozone triggers a variety of
health problems including aggravated
asthma, reduced lung capacity, and
increased susceptibility to respiratory
 illnesses like pneumonia and bronchitis.
Leaf injury in sensitive species after 4-hour
exposure to 0.005 ppm. Polymers and
rubber adversely affected. Smog develops
at concentrations of 0.15 to 0.25 ppm.
Asbestos 0.0 None visible Visible — Long-term exposure to high concentrations of
asbestos dust can cause asbestosis.
Beryllium (mg/m3 ) 0.01 0.10 >0.10 — Above 0.01 µg/m3 produces disease; at 0.10
or above larger number develop disease;
should not exceed 0.01 µg/m3 over 30-day
period.
Mercury (mg/m3 ) 0.0 0.1 >1.0 — Mercury should not exceed 1.0 µg/m3 over
30-day averaging period.
Odor No odor to odor Odor threshold to Slight odor to strong — Odor threshold can be detected by 5 to 10
threshold slight odor odor percent of panelists. Moderate odor can be
detected by about 40 percent; strong odor
by 100 percent.
a Based on 24-hour annual geometric mean.
b
Based on a 3-year average of the weighted annual mean PM2.5 concentrations.
c Based on a 3-year average of the 98th percentile of 24-hour PM2.5 concentrations.
d
Based on a maximum PM10 concentration not to be exceeded more than once a year
e
Based on 24-hour annual arithmetic mean.
f
Based on maximum 24-hour concentration not to be exceeded more than once a year.
g
Based on 3-hour average annual concentration.
h
Based on average annual concentration.
i
Based on maximum 8-hour concentration not to be exceeded more than once a year.
j Based on maximum 1-hour concentration not to be exceed more than once a year.
k
Based on 3-year average of the 4th highest daily maximum 8-hour average.
Source: Information abstracted from Environmental Quality handbook for Environmental Impact Analysis, Department of the Army, April 1975, pp. A-1 to A-1. Superintendent of
Documents, GPO, Washington, D.C., 2402 and United States Environmental Protection Agency.

521
 TABLE 6.5 Selected Attributes (Variables) and Environmental Impact Categories—Water Quality

522
Selected Attributes Observed Condition 1a 2a 3a 4a 5a

Physical aquifer safe Changes occurring in physical No change No change Slight change Significant Extensive change
yieldb attributes of aquifer change
(porosity, permeability,
transmissibility, storage
coefficient, etc.)
Flow variationsc Flow variation attributed to None None Slight Significant Extensive
activities: Qmax /Qmin
Oild Visible silvery sheen on None None Slight Significant Extensive
surface, oily taste and odor
to water and/or to fish and
edible invertebrates, coating
of banks and bottom or
tainting of attached
associated biota
Radioactivityd,e Measured radiation limit 10−7 Equal to or less Equal to or less Exceed limit Exceed limit Exceed limit
µci/ml 5pCi/l
Suspended solidsc Sample observed in a glass Clear Clear Fairly clear Slightly turbid Turbid
bottle
Turbidity in Jackson Turbidity 3 or less 10 40 60 140
Units
Suspended solids mg/l 4 or less 10 15 20 35
Thermal dischargec Magnitude of departure from 0 1 2 4 6
natural condition
Chemical Departure from natural 0 1 2 3 4
condition
pH units 10
Acid and alkali mg/l 1 2 3 5 Low
BODd Percent saturation 100 85 75 60 High
DOc mg/l 300 or less 400 500 1,000 Large
 Dissolved solidsd Total phosphorus, mg/l 0.02 or less 0.05 0.10 0.20 Large
Nutrientsc
Toxic compoundse Concentration, mg/l Not detected
Pharmaceuticals and Concentration, mg/l Not detected Traces Traces Small Large
personal care products
Synthetic organic Concentration, mg/l Not detected Traces Traces Small Large
compounds (pesticides
and herbicides)d
Biological fecal Number per 100 ml 50 or below 200 1,000 20,000 Large
coliforms and E-colid
Aquatic lifec Green algae Scarce Moderate Plentiful in Abundant Abundant
quantities in shallows
shallows
Gray algae Scarce Scarce Scarce Present Plentiful
Delicate fish; trout, grayling May be plentiful Plentiful Probably absent Scarce Absent
Coarse fish; chub, dace, carp, May be present Plentiful Plentiful Scarce Absent
roach
Mayfly naiad, stonefly nymph May be plentiful Plentiful Scarce Absent Absent
Bloodworm, sludge worm, May be absent Scarce May be present Plentiful Abundant
midge larvae, rat-tailed
maggot, swage fly larva and
pupa
a
Environmental Impact Category. Category 1 indicates most desirable condition; Category 5 indicates an extensive adverse condition. Because all attributes are related to environmental
quality between 0 and 1, it is possible to compare attributes and five categories on a common base. Each category is equivalent to approximately 10 percent of the overall environmental
quality. In the physical sense, water quality for five categories will be very clean, clean, fairly clean, doubtful and bad. Environmental impact may be adverse or favorable. Adverse
impact will deteriorate the environmental quality while favorable impact will improve the quality. Proper signs and weights must be used to achieve overall effects.
b Applies to groundwater systems only.
c
Applies to surface water systems only.
d Applies to both the groundwater and surface water.
e
Surface combined radium— 226 and radium—228.
Source: Adapted from Environmental Quality Handbook for Environmental Impact Analysis, Headquarters, Department of the Army, April 1975, Supt. Of Documents, GPO, Washington,
D.C.

523
524 PLANNING AND ENVIRONMENTAL ASSESSMENT

Since the goal is to measure the impact of the project being considered on the
environmental attributes, a great deal of expert professional judgment is needed
to identify, evaluate, and weigh the significance of the information assembled.
Engineering is one of the important areas of expertise required.

BIBLIOGRAPHY

Kent, T. J., “ The Urban General Plan, ” APA Planners Press, 1990.
Dion, Thomas R., “ Land Development for Civil Engineers, ” John Wiley and Sons, New
York, 1993.
Dewberry, Sidney O., “ Land Development Handbook , ” McGraw Hill, New York, 2003.
Anderson, L. T., “ Planning the Built Environment, ” Planners Press, 2000.
Bruegman, Robert, “ Sprawl—A Compact History, ” University of Chicago Press,
Chicago, 2005.
Environmental Audits—Internal Due Diligence, MOP FD-18, Water Pollution Control
Federation, Alexandria, VA, 1989.
Environmental Impact Assessment Methods: An Overview, NTIS, PB-226 276, U.S.
Department of Commerce, Washington, DC, 1973.
Handbook for Environmental Impact Analysis, Department of the Army, U.S. Government
Printing Office, Washington, DC, 1975.
National Environmental Policy Act of 1962 as amended 42 USC 4321-4347 .
INDEX

A Agglomeration machine, 15f

Aggregates, elasticity (modulus), 49
Aalborg Portland, 69 Air change, measurement, 149
Absolute auditory threshold, 370f Air circulation
Absorption ratios, slag type comparison, levels, 334–335
64f organized circulations, 335
Acid rain (acidic precipitation), Air composition, 310t
319–320 Air contaminants, 141
control measures, 320 production, 361
impact, 320 Air cooling rate. See Warm dry air
Activated carbon, usage, 358 Air flow, turbulence (impact), 336
Activated-carbon adsorption bed, life Air infiltration, reduction, 148
(reduction), 358 Air layer, instability, 337
Adhesive materials, expense, 17 Air monitoring
Adjacent barriers, usage, 381 data, usage, 327
Administrative hearing letter, 116f updates, 360
Administrative plan implementation Air motion, 334
actions, prerogative, 446–447 order of importance, 334
Adsorbers, 358 Air opacity, 326
Adsorption, process, 358 Air parcels, vertical motion/displacement,
Advanced direct waste recycling industry, 336–337
inclusion, 66 Air pollutants. See Hazardous air
Aerated static pile, composting, 232 pollutants; Indoor air
process, 234–235 behavior, 333
Aeration. See Forced aeration concentration, 334–335
composting factor, 26 model, accuracy, 362–363
Aerobic composting process, design plume diffusion, meteorological
considerations, 237t conditions (impact), 358–359
Aerobic fermentation process, 25–26. See types, 325
also Anaerobic fermentation process wind speed, impact, 336f
Aerosol collection equipment, operating Air pollution, 309–310
principles, 351 aesthetic/climatic impact, 315–320
Aerosols, inertial entrapment, 351 analyses, 341–342
Aesthetic factors grouping, 517t–518t carbon monoxide, contribution, 322t
African countries, industry classifications, 2 concentration data, 362–363
Agglomerate marble, 51 control equipment
Environmental Engineering: Environmental Health and Safety for Municipal Infrastructure, Land Use and Planning, and Industry 525
Sixth Edition Edited by Nelson L. Nemerow, Franklin J. Agardy, Patrick Sullivan, Joseph A. Salvato
Copyright © 2009 by John Wiley & Sons, Inc. ISBN: 978-0-470-08305-5
526 INDEX

Air pollution (Continued ) Air quality. See Indoor air

design, 351 maintenance, 360
requirement. See Incinerators modeling, 361–363
controls, 347–363 models, categorization, 361
achievement, 350 monitoring system, 327
dilution, stack height (impact), parameters, 520t–521t
358–360 measurement methods. See Ambient
direct impact, observation, 333 air
economic impact, 311–320 public/private agencies, working
effects (minimization), steps (WHO relationships/memoranda of
Expect Committee agreements (development), 367
recommendations), 360–361 real-time data, 327
emission inventory, data, 341 standards. See Hospitals; Nursing homes
environmental factors, 333–340 Air Quality Act of 1967, 342
episodes, 311 Air resources management functional
list, 312t–313t organization chart, 366t
health impact, 310–311 Air sampling
impact. See Animals; Plants devices, usage, 326
interference, absence, 473 sites, 341
inventory, 340
Air zoning, air quality standards, 360
lead, contribution, 324t
Airborne exposure limit, OSHA limit, 145
manmade sources, 321
Air-cooled slag, cutting, 69
mathematical models, 341
Alexandria National Iron and Steel
measurement, 326–333
Company, slag study, 61–62
meteorological data, 362
Alkyds, 9
model, accuracy, 362–363
Ambient air
natural sources, 321, 324–325
federal standards, 342–345
nitrogen oxides, contribution, 322t
particulate sampling, 327–328
organization/staffing, 365
quality
particulates, range, 321
planning/zoning, 360–361 improvement, CAA (impact), 345
PM2.5 , contribution, 324t parameters, measurement methods,
PM10 , contribution, 323t 326t
program/enforcement, 363–367 standards, 342–347
information, 363–364 sedimentation/settling devices, usage, 328
regulation/administration, 365, 367 TSP measurement, 328
sampling, 326–333, 341 Ambient noise, 369
short-term/long-term objectives/priorities, American Conference of Governmental
341–342 Hygienists, sound pressure
source control, 347–351 recommendations, 384
source emission data, 362 American National Standards Institute
sources/types, 320–325 (ANSI) specifications, 377
standards, 275 American Public Health Association
studies, 341–342 (APHA)
implementation, proposal, 363–364 appraisal items, 92t
sulfur dioxide, contribution, 323t appraisal method. See Quality of living
surveys, 340–342 application, 95
U.S. source/type, 322t–324t development, 91
VOCs, contribution, 322t–323t basic deficiencies of dwellings, 93t
 INDEX 527

Committee on the Hygiene of Housing, Automobile catalytic converters, impact,

health criteria, 99–103 325
environmental survey, standard penalty Average transmission coefficient. See Sound
scores, 94t–95t
housing quality scores, 95t B
maximum standard penalty scores, 92t
American Society of Civil Engineers Backflow prevention, 134–137
Background noise, 378
surveying/mapping division, 395
correction, 379
urban planning development division,
Baghouse filters, 352–353
429
diagram, 354f
American Society of Heating, Refrigerating
Ball mill machine, 15f
and Air Conditioning Engineers
usage, 16
(ASHRAE), comfort zone description,
Bangalore composting, 236
147
Base road pavement layer, usage, 39
American University in Cairo (AUC),
Basic oxygen furnace (BOF)
cradle-to-cradle approach, 7
dust/sludge, generation, 57
Anaerobic fermentation process, 29
fume formation, reduction, 63
Animals
slag
air pollution, impact, 315
management, 59
wastes, collection, 195
production, 57
ANSI. See American National Standards stockpiles, 58
Institute study, 61
Apartments, dirt, 126 usage, 56
APHA. See American Public Health Basic Principles of Healthful Housing
Association (APHA), 99
Area landfill, 249f Bell, Alexander Graham, 370
Area method. See Sanitary landfill Bench marks, 403
Area-type landfill, geomembrane liner BF. See Blast furnace
(placement), 255f Biodegradable material, 178
Ash monofill waste landfill liner Biogas
configuration, 256f applications, 31
Ash residue, 178 energy source uses, 30t
ASHRAE Guide and Data Boo, Systems Biological contaminants
(1970), 384 health effects, 140–141
Asian countries, industry classifications, 2 sources, 141
Asnaes Power Station, fish farm, 69 Bioreactor type landfill, leachate
Asphalt concrete containing slag, Marshall recirculation, 257f
Test, 62t Blast furnace (BF)
Asphalt mixtures, 39 dust/sludge, generation, 57
Assembly/examination phase, sand molding usage, 56
process, 53 BOF. See Basic oxygen furnace
Atmosphere, stability/instability, 336–337 Bonded marble, example, 52f
Atmospheric vacuum breaker, 136f Bottle law. See Returnable bottle deposit
Atomic Energy Act, 293, 296 law
Atomic spectrometry, usage, 330 Bottom ash, disposal, 287, 289
Attic, refuse (presence), 125 Bricks
AUC. See American University in Cairo development, 17, 19
Automatic (tape) smoke sampler, usage, photo, 19f
328 tiles, compositions, 46t
528 INDEX

Buffalo (New York), population trends, 84f chemical combinations, 31

Buildings cleaner production, natural resources
acid rain, impact, 320 (usage), 34
code, 445 dry production, 32
department letters, landlord seizures, 113 industrial ecology approach, 34–36
hot water demands/use, 134t industry, 31–40
location, 478 kilns, usage, 32
land use, 472 natural stone slurry, incorporation, 45
roads, access, 475–476 passive composting technique, 38
Bulldozer. See Tracked bulldozer process routes, 31–32
blade, usage. See Crawler tractor production
emissions, 32
C process, 31–32
techniques, core element, 33–34
CAA. See Clean Air Act
recycling
Cadastral maps. See Large-scale cadastral
glass/ceramic glass, usage, 37
maps
opportunities, 36
usage, 471
road pavement layers, usage, 39
Candida spp., impact, 156
sewage sludge, composting, 37–38
Canyon landfill, 249f
tiles/bricks/interlocks, usage, 37–39
Capacity ranges. See Materials recovery
facility utilization, production techniques, 33–34
Capital improvement program wastes
completion/adoption, 467 exchange, recycling, 69
preparation, 446 treatment/disposal, 33
usage, 445–446 usage, 38–39
Carbon dioxide wet production, 32
impact. See Global warming Cement kiln dust (CKD), 32–33
release, 319 addition, 65
Carbon monoxide collection, 33
infrared (IR) analyzer, usage, 331 Cement-based products, 50
NAAQS, 343 Census data, 96
Carbon tetrachloride, phaseout, 346 Centralized electric power, availability, 475
Carbon to nitrogen ratio, composting factor, Centrifugal collection equipment, 328
26 Centrifugal scrubber, 355
Cascade impactor, usage, 329 Centrifugal wash collector, 356f
Cast marble, 51 Ceramic glass, usage. See Cement
Casting resin, 51 CERCLA. See Comprehensive
Catalytic afterburners, 357 Environmental Response,
Categorical exclusion, term (usage), 507 Compensation, and Liability Act of
Cathode-ray oscillograph, usage. See Noise 1980
Celestial observation, 398 Certificate of occupancy, requirement, 118
Cellar occupancy, unlawfulness, 127 CFCs. See Chlorofluorocarbons
Cement Chemical additives, usage, 26
bypass dust Chemical Emergency Center
alkalinity levels, 38 (CHEMTREC), operation, 301
chemical analysis, 33f Chemical recycling, 10
disposal, 33 Chemical resistance
environmental/socioeconomic benefits, properties, determination, 73–74
39–40 test, 73–74
 INDEX 529

Chemical Safety Information, Site Security Collection. See Solid waste

and Fuels Regulatory Relief Act, 494 containers, examples, 203f
CHEMTREC. See Chemical Emergency systems, container types/capacities (data),
Center 205t
Chinese fixed dome, 29 vehicles
digester, 29f application. See Manual loading
Chloramines, impact, 157, 159 collection vehicles
Chlorobenzenes, organics, 351 examples, 203f. See also Commingled
Chlorofluorocarbons (CFCs) solid waste; Front-loaded
impact, 318–319. See also Ozone collection vehicle; Mechanically
phaseout, 346 loaded collection vehicles
stratosphere existence, 318 Collector-driver, usage, 204
Chlorophenols, organics, 351 Colleges, sanitation, 163
Circular covers, movement, 21 Combined direct-load/discharge load solid
City planning waste transfer stations, development,
rational process, 429–430 210
usage, 431 Combustible hydrocarbons, impurities,
CKD. See Cement kiln dust 325
Clark Spheroid of 1866, 398, 404 Combustion, 279. See also Waste-to-energy
Class I compost, metal concentrations combustion
(maximum), 230t chamber
Class II compost, metal concentrations gases, exit, 282
(maximum), 230t temperature monitoring, 286
Clean Air Act (CAA), 293, 295, 342, 495 essentials, 281–282
amendments, 343 particulate emissions, 287
usage, 346 products/residues, 281–283
cost/benefit, EPA assessment, 311, 314 residues, 283
mean values, 314 time/temperature/turbulence, impact, 281
Title IV, 345–346 units. See Modular combustion units
Title V–XI, 346 Combustors, 283–287. See also Mass-fired
Titles I–III, 345 combustors; Refuse derived fuel
usage, 345–346 Comfort zones, 147
Clean dry air, composition, 310t Commercial discount store, drop boxes
Clean Water Act, 293, 295, 495 (usage), 204f
Cleaning/inspection, sand molding process, Commercial noise, 377
53 Commercial solid waste
Climate Change 2001, 217 containers, usage, 200f
Closed container, stationary compactor handling/storage, 199
(connection), 200f placement, manual collection (example),
Cloth screen filters, 352–353 201f
Cluster subdivision, advantages, 490 Commercial waste, 178
Coal contamination, 189
burning, reductions (necessity), 317 Commingled solid waste
coke transformation, 56 MRF, usage, 218
source reduction, 320 examples, 219t–220t
Code of Federal Regulations, Title 40, Parts rear-loaded collection vehicle, example,
257–258, 242 206f
Coefficient of haze (COH), tape sampler side-loaded right-hand standup drive
(usage), 332 collection vehicle, example, 206f
530 INDEX

Community biological odor management, 240

development objectives/goals, 467 cost, 241–242
fiscal stability, 481 discussion, 225–242
physical development, plan, 436 facilities
planning, environmental health implementation, issues, 239–240
considerations, 503 odor production, 239
sanitary landfills, leachate, 252 public health issues, 240
solid waste, sources, 186t siting, 239
zoning ordinances, 482 factors, 26
Community facilities, 101–102 growth, 182
comprehensive plan requirement, 441 health hazard, 240–241
plan component, 434 market analysis, 241–242
plan element, 435 mechanical systems, 235–236
Compaction equipment, 272f operation. See Windrow composting
Completed landfill, use, 278–279 heavy metal toxicity, 241–242
Composite material perception/usages, 182–183
maximum flexural load, 73f process, 25, 230–232
tensile strengths, 82f design/operation, 239–240
Composite pavement base material, diagram, 25f
steel-making/BG slag combination steps, 231–232
(usage), 60–61 systems, function/reactor configuration.
Compost See Municipal composting systems
aeration, machine (usage), 234f technologies, 232
chemicals, presence, 240 discussion, 236
definition, concepts/objectives, 230 time, determination. See Total
metal concentrations, maximum. See composting time
Class I compost; Class II compost Comprehensive Environmental Response,
microbial activity, 238 Compensation, and Liability Act of
odor control, 238–239 1980 (CERCLA), 293, 295, 495
operational considerations, 236–239 air quality issues, 343, 345
organic material, Comprehensive plan, 433–437
decomposition/stabilization, 231 preparation process, 437f
pathogen control, 236, 238 preparation requirements, 439–443
pesticides/heavy metals/pathogens, toxic public health element, 497–502
levels (determination/evaluation), public participation, 465–466
229–230 Comprehensive planning
pile, schematic. See Static aerated alternatives, development/evaluation, 444
compost pile development requirements, identification,
postprocessing, 232 443–444
preprocessing, 231 implementation, policy development
process design, 236–239 (relationship), 445–447
product quality, 241 inventory analysis, 438–443
salmonella repopulation, 238 objectives/standards, formulation, 443
temperature, WHO recommendation, 238 process, 437–447
uses/constraints, 229–230 continuing nature, 466–467
Composting, 178. See also Natural value, 467
composting; Passive composting; public participation process, 444
Vermi composting Comprehensive public planning,
applications, 226 469–470
 INDEX 531

Concrete Cradle-to-grave approach, shift (proposal),

compressive strength, 48–49 6
elasticity, modulus, 49–50 Cradle-to-grave concept, 3–4
ground granulated BF slag, usage, 60 flowchart, 4f
marble slurry, usage, 47–50 usage. See Sustainable development
mix properties, 48t Crawler tractor, bulldozer blade (usage),
tensile strength, 49 269
Condensers, usage, 357–358 Cumulative impact, term (usage), 507
Conformal, term (usage/meaning), 401 Curbside collection
Conformal projection, properties, 401 labor requirements, 209t
Conic projection, creation (concepts), 400f service, 198
Construction debris, 192–194 Curvilinear subdivision
Consumer Products Safety Commission design, 488–489
(CPSC), 296 grading, 489
Contagious diseases, containment, 497 layout, 488f
Container types/capacities, data, 205t Cyclones
Contaminants, 141–147. See also Air dust flow, 352
contaminants; Biological contaminants separator, diagram, 353f
precipitation, 351 spiraling movement, 352
separation, 223f
Contaminated water, backflow, 134 D
Continuous slag granulation system, 59f Dano composting, 236
Control survey, 409–410 Day-care centers, sanitation, 169
network, 409 Day-Night Average Sound Level (DNL)
system, adoption, 409 system, 375
Cork industry, 22–24 Decent home environment, 83
cradle-to-cradle concept, process flow realization, 83
diagram, 23f Decibel (dB), 370. See also Sound
Correctional institutions Demographics
food service sanitation, improvement, comprehensive plan requirement, 439
165 plan component, 433
overcrowding, elimination, 165 Demolition debris, 192–194
sanitation, 163–167 Densified RDF (d-RDF), costliness, 284
ventilation, usage, 149 Department of Public Works, jurisdiction,
Corridor planning stage, insertion. See 105–106
Public infrastructure development Design noise level-land use relationships,
projects 386
Cost internalization, 181 Deterioration, first sign. See Housing
Cover material, usage. See Surface water Development plans, requirements
CPSC. See Consumer Products Safety anticipation, 443–444
Commission Development requirements, identification.
Cradle-to-cradle approach. See American See Comprehensive planning
University in Cairo Dichlorodifluoromethane (Freon), CFC
sustainability indicator, 65 source, 318
Cradle-to-cradle concept, 4 Direct astronomic observation, 396
importance, 4–7 Direct discharge solid waste transfer station
material manufacture/recovery, 7 definition sketch, 213f
usage, 36 stationary compactors, inclusion, 214f
Cradle-to-cradle principles, adoption, 7 Direct effects, cause, 507
532 INDEX

Direct load solid waste transfer stations, EBICs. See Environmentally balanced
210–211 industrial complexes
uncompacted wastes, hauling Eco-industrial parks
(acceptance), 211 concept, 6–7
Direct reduction, 55 recognition, 35–36
method, 56 Ecological factors grouping, 517t–518t
Direct waste recycling industry, 65, 66 Economic base
flowchart, 66f comprehensive plan requirement, 439
DNL. See Day-Night Average Sound Level plan component, 433
Domestic wastewater, RCRA regulations EEC. See European Economic Community
(absence), 293 Effects, term (usage), 507
Double separated wall, usage, 383 Egypt
Double-bottom composite liner system, iron/steel waste materials, generation,
254f 58t
Drag line, 270f marble/granite deposits, 40–41
suitability. See Trenches slag cement, problems, 58
Drainage area tributary, runoff EIS. See Environmental impact statement
(determination), 263 Eisensia Foetida. See Red wiggler
Drainage survey, 474–475 Ejector venturis, 355
d-RDF. See Densified RDF Elasticity, modulus. See Concrete; Mortars
Drinking water, radon level (EPA Electric power generation, proposal, 476
proposal), 143 Electrical arc furnace (EAF), 56
Drop boxes, usage, 204f dust, zinc (presence), 56
Dry adiabatic process lapse rate, 337 fume formation, reduction, 63
Dry scrubber technology, 356 slag
Dry slag granulation, 60f production, 56
Dry slurry, atmospheric diffusion, 45 usage, study, 62
Duct injection technology, 356 Electrostatic precipitators, 354
Dust emission usage, 355
impact, 32
Electrostatic precipitator-type sampling
reduction/control, 33
devices, usage, 329
Dust flow. See Cyclones
Ellipsoid latitude/longitude, 397f
Dwellings
Embankment, stone slurry (usage), 50
basic deficiencies (APHA), 93t
Emergency Planning and Community
survey, example, 98f
Right-to-Know Act (EPCRA), 495
air quality issues, 345
E Emergency storage capacity, 210–211
EAF. See Electrical arc furnace Emissions
Earth control equipment, 351
curvature, 399 impact, 146–147
mover, 270f Endangered Species Act (ESA), 495
surface, features (location), 396 Engineering. See Environmental
topographic surface, 396 engineering
geoid/reference ellipsoid, relationship, role, 502–503
397f Enterobacter spp., impact, 156
warming, UV radiation (impact), 316 Entrainment scrubber, 355
Earth cover Environmental assessment, 429
leachate/methane control, 265–266 conducting, 504
recommendation, 266–267 impact statements, relationship, 505
 INDEX 533

term, usage, 507–508 Environmentally balanced industrial

value, 505 complexes (EBICs), 65, 69
Environmental control officer, duties, 157 development, 65
Environmental control programs, 102 EPA. See U.S. Environmental Protection
Environmental corridors Agency
assessment, 477–478 EPCRA. See Emergency Planning and
concept, advancement, 477 Community Right-to-Know Act
Environmental engineering Epoxy, 9
map requirements, 407–410 EPR. See Extended producer responsibility
surveying/mapping, 396 Equal loudness contour, 374f
Environmental impact analysis, 505–524 Equipment. See Landfills
scoping, 508–509 shelter, 273–274
terminology, 506–508 Erie County (New York), population trends,
Environmental impact statement (EIS), 505 84f
actions/activities, impact, 519f ESA. See Endangered Species Act
aesthetic factors grouping, 517t–518t Ethylene, plant impact, 314
air quality parameters, 520t–521t European Economic Community (EEC),
alternatives, selection/analysis, 514 CFC phaseout, 318–319
assessment, factors, 515 Excess air combustion, 283
attention, 511 Extended producer responsibility (EPR), 7
attributes, 522t–523t Exterior paint, necessity, 123
comprehensive assessment, 515–524
content, 510–514 F
disciplines, requirement, 518 Facilities. See Community facilities;
ecological factors grouping, 517t–518t Individual facilities
environmental impact categories, environment inspection/report outline,
522t–523t 168
factors, consideration, 511 plans, 447
format, recommendation, 509 Fairfield-Hardy composting, 236
impact description, 510–511 FDA. See Food and Drug Administration
outline, recommendation, 513–514 Federal agency, term (usage), 508
physical/chemical factors grouping, Federal Aid Highway Act of 1962,
517t–518t 495–496
proposed action Federal Aviation Administration (FAA), 496
alternatives, 511–512 Federal Demonstration Cities and
description, 510 Metropolitan Development Act of
social/physical factors grouping, 1966, 495
516t–518t Federal Food, Drug, and Cosmetic Act
term, usage, 508 (FFDCA), 495
Environmental inspection/report outline, Federal Highway Act of 1970, 384
167–169 Federal Housing Act of 1954, Section 701,
Environmental lapse rate, 337 495
Environmental protection, 68 Federal Housing and Home Finance
cradle-to-grave approach, 5 Agency (HHFA), 495
LCA, usage, 5–6 Federal Insecticide, Fungicide, and
Environmental quality, 102 Rodenticide Act (FIFRA), 495
Environmental sanitation. See Housing Federal model city planning enabling act of
Environmental survey, standard penalty 1927, 432
scores (APHA), 94t–95t Federal Water Quality Act of 1972, 496
534 INDEX

Fertilizer, restriction, 69 maximum flexural load, 73f

FFDCA. See Federal Food, Drug, and reinforcement. See Plastics
Cosmetic Act tensile strengths, 72f
Fiber-reinforced plastic (FRP) manholes, 21 usage, 67
FIFRA. See Federal Insecticide, Fungicide, uses, 54–55
and Rodenticide Act FQPA. See Food Quality Protection Act
Filters. See Particulates Freedom of Information Act (FOIA), 495
Final engineering/construction, 447 Freon. See Dichlorodifluoromethane
involvement, 469 Frequency. See Sound
movement, 467–468 Fresh air makeup, reduction, 148
Financing clinic, usage, 113–114 Frontal inversion, 338
Finding of no significant impact, term Front-end loader, 270f
(usage), 508 bullclam, inclusion, 270f
Finished steel products, routes, 55 Front-loaded collection vehicle, example,
Finishing/storage phase, sand molding 208f
process, 53 FRP. See Fiber-reinforced plastic
Fired products, properties, 47t Fugitive emissions, 321
Fires, smoke (impact), 147 Furans, organics, 351
Fish form, 69 Furnace flue, defect, 128
Fixture plumbing, details, 138f
Fixture supply/drain, minimum sizes, G
133t GAC. See Granular activated-carbon
Fixture trap, vent distance, 133t Garbage, 178
Flexural test, 72–73 shed, dilapidation, 125–126
Flood hazard, presence (determination), 474 storage, 125
Floor tiles, compositions, 46t Gaseous collectors/treatment devices,
Floors, water protection, 121 357–358
Fly ash, 178 Gases. See Landfills
disposal, 287, 289 combustion products, 282–283
reaction, 356 extraction system, 264f
FOIA. See Freedom of Information Act extraction well, diagram, 265f
Food and Drug Administration (FDA), 296 impact. See Global warming;
Food industry, 25–31 Greenhouse gases
Food Quality Protection Act (FQPA), 495 release, 357
Food waste, 178 sampling, 329–331
Forced aeration, 27 treatment, 354
Forests, burning (impact), 316 warming effect, 316
Formaldehyde, 144–145 Gas-monitoring wells, sampling, 278
occupational exposure, reduction, 145 Gaussian air quality modeling, 361
organics, 351 General obligation bonds, issuance, 446
sources, 144–145 Geodetic Reference System ellipsoid of
Fossil fuels, burning (impact), 316 1980, 404
Fossil-fuel-fired electric generating Geodetic Reference System of 1980, 398
stations/plants, 347 Geographic area, graphic representation,
Foundry sand, 53–54 396
agricultural products, 54 Geographic location, data (relationship),
chemical composition, 55t 396
geotechnical applications, 54 Geoid, 396–397
manufactured products, 55 Geology, study, 474–475
 INDEX 535

Geomatics, 395 Haul distances, impact. See Incineration;

Geomembrane, 178 Sanitary landfill
placement. See Area-type landfill Hauled container systems (HCSs), 202
Glass, usage. See Cement personnel requirements, 204
Global warming suitability, 202
carbon dioxide, impact, 316–318 Hawkins, David G., 374
gases, impact, 316–318 Hazardous air pollutants, 345t
Goals, objectives (planner distinction), 443 Hazardous Materials Transportation Act,
GOS. See Gravity oil separator 296
Government surveyors, instructions, 407 Hazardous waste, 178, 292–305
Granite biological degradation, 305
environmental impacts/mitigation, 44–51 business/industry generation, examples,
industry, 40–51 300t
scrapes, 44 characteristics, 292–293
semisolid/slurry waste, 43 chemical treatment, 305
solid wastes, 43 corrosivity, 292
waste, 42–43 definition, 292–293
application, 45 generation, 296, 300
distribution, 42t ranking, 296
types, 43 ignitability, 292
usage. See Polymer concrete inclusion, 292
Granular activated-carbon (GAC) filter, in-place vitrification, 305
usage, 143 land disposal, prohibition. See Untreated
Gravity oil separator (GOS), 66 hazardous waste
Gray-list projects/industries, environmental landfill burial, 305
impacts, 2–3 laws, 295–296
Green sand, 53 legislation, 293
Greenbelts, provisions, 361 lining materials,
Greenhouse gases, impact, 317 effectiveness/compatibility, 304
Ground granulated BF slag, usage. See long-term storage, 301, 304
Concrete management, 300–305
Ground-level ozone issues, addressing, 346 control principles, 304–305
Ground-level pollutant concentration, material, 75
variation, 359f meaning, RCRA (usage), 292
Grounds, environment inspection/report processing technologies, 301
outline, 167 RCRA regulations, absence, 293
Groundwater, 178 reactivity (explosiveness), 292
leachate contamination, 240 recycling, 301
source, adequacy, 472 reduction, 300–301
Growth/change (anticipation), plan toxicity, 292
component, 434 identification, 296
Gutters, absence, 124–125 transportation, 301
Gyproc, 68 treatment methods, 302t–303t
zero discharge, goal, 300
H HCFC, phaseout, 346
HCSs. See Hauled container systems
Habitable room, window (absence), 127 HDPE. See High-density polyethylene
Halons, phaseout, 346 Health
Handrails, absence, 125 action, principles, 103
536 INDEX

Health (Continued ) Household hazardous waste, contamination,

criteria (APHA), 99–103 189
department, impact, 106–107 Housing
letters, landlord seizures, 113 apartments, dirtiness, 126
needs, principles, 102–103 attic, refuse (presence), 125
Hearing protection/conservation, criteria, cellar occupancy, unlawfulness, 127
375 codes, 445
Heating units, venting, 151–154 enforcement program, staffing patterns,
Heavy metals, leachate, 74 112
HFC. See Hydrofluorocarbon plumbing code reference, 130
HHFA. See Federal Housing and Home conservation/rehabilitation ordinance,
Finance Agency enforcement, 111–114
High-density polyethylene (HDPE), 9 criteria, consideration, 110–111
High-rise apartments, solid waste deterioration, first sign, 86
handling/storage, 198–199 early/late disabilities, avoidance, 89
High-volume samplers, usage, 328 economic factors, 96–104
Highway noise, reception (control), 381 enforcement measures, summarization,
Hoist truck, example, 203f 114–118
Horizontal axis mixing/heating furnace, 18f enforcement procedures, 114–118
Horizontal axis shredders, usage, 14 enforcement program
Horizontal control network, 403 contradictions, 112–113
Horizontal survey control network, steps, 111–112
402–403 environmental control programs, 102
Hose Bibb vacuum breaker, 136f environmental health aspects, 89
Hospitals environmental quality, 102
air quality standards, 162 environmental sanitation, 97
construction, 157 estimates, obtaining, 129
environmental health survey form, exterior paint, necessity, 123
158f–159f federal/state/local governmental
fire resistance, attention. See leadership/support, 109
Non-fire-resistive hospitals/nursing first inspection, findings (form letter),
homes 115f
fire safety, concerns, 157 floors, water protection, 121
health care, providing, 159–160 form paragraphs, usage, 118–129
hospital-acquired infection rate, 156 furnace flue, defect, 128
infection surveillance/control program garbage
guidelines, 159 shed, dilapidation, 125–126
infectious/pathological wastes, disposal, storage, 125
162 gutters/rain leaders, absence, 124–125
laundry, wash-water temperatures, 159 habitable room, window (absence), 127
low-level radioactive solid waste, handrails, absence, 125
disposal, 163 health
sanitation, 156–160 criteria (APHA), 99–103
survey/inspection, 160 factors, 96–104
wastes, 160, 162–163 interrelationship, 88–89
Hot paste, transfer, 16 principles, 99–103
Hot water health hazards, example, 87f
absence, 119 hot water, absence, 119
demands/uses, 134t human factors, 100
 INDEX 537

hygiene indices, 97 results, 113

improvements, financing, 113–114 third-floor occupancy, unlawfulness, 127
incomplete bathroom, 119 unvented heater, usage, 127
lead paint, presence, 125 wall
life expectancy, 89 construction, 120f
major repairs, 129 sag, 123–124
minor repairs, 129 water closet
morbidity/mortality rates, 89 flush tank, operation problem, 125
ordinances. See Minimum standards leakage, 121
housing ordinance tank, diagram, 126f
enforcement, 86–87 wellwater supply, protection (problem),
plan component, 434 129
planning, 96–97 WHO definition, 83
plaster, looseness, 124 window details, 124f
plumbing, 129–137 yard/vacant lot debris, 126
premature deaths, avoidance, 89 Housing Act of 1949, 386
problems Housing and Health APHA-CDC
complexity, 87 Recommended Minimum Housing
elimination, 86 Standards, 104
factors, 87–88 Housing and Urban Development Act of
resolution, 104–105 1968, 386
solutions, 108–110 Human environment, term (usage), 508
program, 104–118 Human misery, expense, 117
approach, 104–105 Hydraulic press, 19f
community short-term/long-term plans, Hydrocarbons
perspective, 110 complete combustion, 286–287
components, 105–107 NAAQS, 343
outline, 107–108 Hydrofluorocarbon (HFC) 23, impact, 316
quality Hydrogen fluoride, plant impact, 314
Hygiene indices. See Housing
rating, 93
scores (APHA), 95t
radon, presence, 143 I
rat infestation, 128 Illnesses, transmission (possibilities), 155
reinspection letter, sending, 115 Impact statements, usage, 503–505
roach infestation, 128 Impacts, term (usage), 507
roof, leakage, 124 Impingement scrubber, 355
rotted/missing siding, 123 Impingers, usage, 328
rubber-hose gas connection, 128 Incarceration, health care services
safety/injury prevention, 101 (increase), 165
sanitation/maintenance, 100–101 Incineration, 76, 279–291
sewage disposal system, overflow, 128 building design, 289–290
sewer, clog, 127 attractiveness, 290
sleeping room, overcrowdedness, cost comparison, 211f
126–127 disposal cost, haul distances (impact),
social factors, 96–104 210f
stairway details, 121f draft pressure measurements, 286
structural safety, 119 economics, 291
survey electric power, availability/cost, 290
methods, 97–99 emissions, management, 291
538 INDEX

Incineration (Continued ) contaminants, sources/exposure

facilities guidelines, 139t–140t
implementation issues, 290–291 pollution, causes/sources, 137–140
siting, 290–291 quality, 136–154
gaseous emissions, 287 Indoor radon, entry sources, 142–143
industrial solid waste/ash production, Industrial development/modernization,
76–77 characterization, 4
instrumentation, necessity, 286 Industrial discharges, RCRA regulations
odor control, 286–287 (absence), 293
particulate emissions, 287 Industrial ecology, 6–7
plant layout, 289–290 concept, usage, 35
arrangement, 290 Industrial noise, 377
process, control, 286 control, 380–381
public health issues, 291 factors, 380
site selection, 289–290 Industrial solid wastes utilization/disposal, 1
site suitability, 290 Industrial sources, solid waste generation
smoke density, 286 rates, 192t
smoke emission, control, 286 Industrial waste, 7, 178
temperature monitoring, 286 disposal, 76–77
wastes, handling method/cost, 290 Industrial/commercial waste landfill line
water supply, availability/cost, 290 configuration, 256f
weight station, usage, 286 Industries
Incinerators, 178. See also On-site classification, 1–3
commercial/industrial incinerators methodology, 3
air pollution control equipment, definition, 1
requirement, 280 environmental impact, 2
ash/fly ash, exit, 287 negative impacts (reduction),
capacity, 285 system-oriented approach (usage),
constraints, 183 35
operation Inertial collection equipment, usage, 328
definition sketch. See Mass-burn Infants, respiratory illness, 147
incinerator Infectious medical wastes, collection,
description. See Municipal solid waste 194–195
residue management, 287, 289 Infectious wastes
solid waste, physical/chemical source, 194
characteristics, 281t treatment, 194
stack heights, 285 Informational meetings, usage, 466
types, 283–287 Infrastructure quality, impact, 470
Income property, ownership, 86 Inhalable particulates, sampling, 327–328
Incomplete bathroom, 119 Institutions
Incremental noise reduction, 382 environment, 83
Indian floating cover, 30–31 environmental health inspection form,
diagram, 30f 166f
Indirect effects, cause, 507 sanitation, 155–169
Indirect waste piping, 137 small communities, 155–156
Individual facilities, 101–102 solid waste handling/storage, 199
Indoor air Integrated solid waste management, 179
air pollutants, determination methods, definition sketch, 181f
151t implementation, 184–185
 INDEX 539

Integrated steel production, 55 L

involvement, 56
Integrated waste management (IWM), Lakes/streams, acid rain (impact), 320
180–185 Lambert projection, 399, 401
hierarchy, interpretation, 180 Land
Interlocks development projects, planning/design
application, 20f (map requirements), 407–410
development, 20f feasible use, 360
plastic rejects, usage, 21 Land subdivision, 480–494
Internal combustion engine, air pollutant design, 482–484
producer, 350 assumptions, 490–491
International Organization for comparative analysis, 488f, 489t
Standardization (ISO), LCA standards, types, alternative, 486–492
5 design/development, regulation, 482
International treaties, necessity, 364 fiscal analysis, 494
Interstate compacts/agreements, necessity, impact, 481–482
364 information, importance, 483
Inventory analysis. See Comprehensive layouts, 487
planning plans, 503–504
focus/scope/depth, 442 proposal, 482–483
Inversion, 337. See also Frontal inversion; site analysis, 487f
Radiational inversion; Subsidence site selection/assessment, 484, 486
inversion; Surface field inspection, 486
impact. See Stacks Land use
In-vessel composting system, 235–236 comprehensive plan requirement,
In-vessel methods, composting, 232 440–441
Iron industry, 55–64 plan component, 434
environmental impacts, 56–58 plan element, 435
waste materials, 58t regulation
Iron slags, application, 61 comprehensive plan requirement, 442
Irregular surface, survey computations, 398 plan component, 434
Irrigation waters, RCRA regulations Landfills, 183–184
(absence), 293 access roads, maintenance, 277
ISO. See International Organization for accessibility, 251
Standardization area policing, 275
IWM. See Integrated waste management biodegradable organic matter, waste
biodegradation/stabilization,
255–256
J
burning/salvaging, absence, 275
Japan, natural resources consumption, 5 cap. See Multi-layer landfill cap
closure requirements, 278
K compactor, illustration, 270f
cutoff walls/barriers, usage, 260
Kalundborg Industrial Estate, 68 design issues, 251–257
Kalundborg system, 35–36 dust/paper, control, 277
Kemira, sulfuric acid production, 69 equipment
Kidney dialysis machines, precautions, 157, requirements, 269
159 requirements, minimum, 271t
Kiln dust, collection, 33 shelter, 273–274
Klebsiella spp., impact, 156 usage. See Sanitary landfill
540 INDEX

Landfills (Continued ) resource, 184

excavating/spreading/compaction salvaging, conducting, 277
equipment, usage, 269, 273 site
facilities/equipment, usage. See Sanitary closure, 256, 278–279
landfill conversion, 278–279
fill stabilization, acceleration, 256 hydrogeological investigation, 268
final cover, 267f location, 251
fire protection facilities, 268–269 space/energy, recycling (impact), 217
full-time supervision, 274 supervision, 274–276
gas technology/operation, 183–184
constituents, 258t types, schematic view, 249f
control, 258 usage, types, 243t
migration, control, 260 use. See Completed landfill
production, early stages, 263 vegetation, usage, 266–267
recovery/utilization, 258 weight station construction, 269
gas generation, 258–260 working fill, face, 276
acid phase, 259 Land-use development, placement, 484, 486
initial adjustment phase, 258 Land-use plan
maturation phase, 260 adoption, 473
methane fermentation phase, 260 execution, 436
phases, diagram, 259f relationship, 510
transition phase, 259 Land-use planning efforts, 477
geomembrane placement. See Area-type Lapse rate, 337. See also Dry adiabatic
landfill process lapse rate; Environmental
hauling, cost comparison, 211f lapse rate; Prevailing lapse rate
infiltration, determination, 252 Large-scale cadastral maps, 408
insect/rodent control, 275–276 Large-scale topographic maps, 408
inspection maintenance program, 277 Latitudinal lines, 405
irrigation system, inclusion, 268f LCA. See Life cycle assessment
land area/volume, requirement, 251–252 LDPE. See Low-density polyethylene
leachate Leachate, 179
control, 252–255 control. See Earth cover; Landfills
generation, 252 generation. See Landfills
migration, problem, 254–255 recirculation. See Bioreactor type landfill
recirculation, 255–256 control, 256
treatment, 252, 256–257 example, 257f
liners, objective, 254 release, minimization, 287
location, 251 treatment. See Landfills
maintenance, 276 wells, sampling, 278
methane recovery/utilization, 260–263 Leachate test, results, 74t
mining, 267–268 Lead, contribution. See Air pollution
monitoring well, diagram, 253f Lead paint, presence, 125
operation, 274–276 Legal plan implementation actions,
control, 274 prerogative, 446–447
practices, 276–278 LGC. See Low-grade clay
passive gas vent, usage, 267f Life cycle assessment (LCA), 3–4
personnel, operation (relationship), cradle-to-cradle basis, 4
274–275 flowchart, 6f
rats/flies/vermin, breeding (control), 278 flowchart, 4f
 INDEX 541

identification. See Products cradle-to-grave materials flow, 5

importance, 4–7 private sector redesign, 181
standards. See International Organization Manure, usage, 26
for Standardization Mapped soils, characteristics
sustainability indicator, 65 (interpretations), 472
usage. See Environmental protection Mapping
Living unit/structure, definitions/concepts, 396–405
housing/environmental principles, system, 409–410
99–101 Maps
Loan insurance, construction stimulation, comprehensive plans, 439
106 creation, foundational elements, 396–398
Local government, role, 364 importance, 396
Local health/environmental protection
projections, 398
agencies, planning/plan
usage, 408
approval/regulatory responsibilities,
requirements, 407–410
503
types, requirements, 408
Local topography/meteorology, study, 361
Marble. See Agglomerate marble; Cast
Location, appreciation. See Property
Location selection criteria, cost-oriented marble
factors. See Sites components, 40–41
Long-term, term (usage), 512 cutting, 42
Loudness. See Sound end user distribution, 42
contour. See Equal loudness contour environmental impacts/mitigation, 44–51
Low-density polyethylene (LDPE), 9 industry, 40–51
Low-grade clay (LGC), 46 inventory management, 42
Low-interest loans, arrangement, 118 lifting/transportation, 42
Low-level radioactive solid waste, disposal. polishing, 42
See Hospitals; Nursing homes production process, 41f
Low-rise apartments quarry extraction, 41
containers, usage, 198f scrapes, 44
solid waste handling/storage, 198 semisolid/slurry wastes, 43
Low-rise residential areas, solid waste slurry, chemical analysis, 43
handling/storage, 196, 198 list, 44t
Lumbricus Rebellus, usage. See Red worm slurry, usage. See Concrete; Mortars
Lung disease, 310 solid wastes, 43
waste, 42–43
M applications, 45
Magnetic observation, 398 distribution, 42t
Malodorous gases, impact, 315–316 types, 43
Manholes usage. See Polymer concrete
cover/base, 21f Marine Protection, Research, and
rejects application, 21–22 Sanctuaries Act, 295
Manual loading collection vehicles, Mass-burn incinerator, operation (definition
application, 204 sketch), 280f
Manually loaded collection vehicles Mass-burn municipal waste combustion
examples, 206f facility, energy production facilities
one-person crew, labor requirements, (schematic), 284f
209t Mass-fired combustors, 283–284
Manufacturing processes furnace walls, description, 284
542 INDEX

Materials degradation, measurement, 333 collection, 194–195

Materials flow regulation, 194–195
closed-loop system, 7 Medium-rise apartments
open system, 3 containers, usage, 198f
Materials recovery, 217–218 solid waste handling/storage, 198
methods/equipment, 220 Melamine, 9
processing technologies, 218 usage, example, 14
relationship. See Waste reduction Melting, sand molding process, 52
Materials recovery facility (MRF) Mercator projection, 401. See also
capacity ranges, 221t Transverse Mercator projection
feasibility analysis, 227t Meridional lines, 405
final design, 229t Metal foundry industry, 51–55
flow diagrams, 220–221, 224 Metals
functions/operations, usage (example), casting, 51
219t–220t RCRA Toxicity Characteristic Rule
functions/system components, regulation, 294t
mechanization degree basis, 221t Meteorology, 334–338
implementation, 218–224 study, 476
materials, usage (examples), 219t–220t usage, 341
planning/design, technical considerations, Methane
224–225 characteristics, 261–262
issues, 227t–229t control. See Earth cover
preliminary design, 228t–229t fermentation phase. See Landfills
process flow diagram, 224f. See also production, 260–261
Mixed paper/cardboard separation Methane-utilizing bacteria, impact,
types, 218 266–267
list, 221t Methyl chloroform, phaseout, 346
usage, 202. See also Commingled solid Microcline, marble component, 40
waste; Source-separated material Micrometeorology, application, 333
waste components, manual separation, Milamean thermoset, recycling inability, 67
223f Minimills. See Secondary processing
Materials recovery/transfer facility Minimum standards housing ordinance,
(MR/TF), 218 103–104
Materials recycling, 217–218 Mining sites, coal desulfurization, 320
Materials separation, methods/equipment, Mixed MSW, materials separation, 223f
220 Mixed paper/cardboard separation, MRF
Mean Sea Level Datum, 404–405 process flow diagram (usage), 225f
Mechanical noises, 384 Mixed plastics wastes, 13–22
Mechanical recycling, 10 photo, 13f
Mechanically loaded collection vehicles Mixed solid waste, composting, 232
examples, 208f Mixed wastes, combustion, 287
one-person crew, labor requirements, Mobile home parks, 154–155
209t Modular combustion units, 285
Mechanically loaded stationary container Moisture
systems, labor requirements, 207 content, composting factor, 26
Media requirements. See Ventilation
sound speed, 369t Monitoring well, diagram. See Landfills
sound travel, 368 Montreal Protocol on Substances that
Medical wastes Deplete the Ozone Layer, 318–319
 INDEX 543

Mortars Municipal wastewater sludge (MWWS),

compressive strength, 48–49 usage, 38
elasticity, modulus, 49–50
marble slurry, usage, 47–50 N
tensile strength, 49
Motor grader, 270f NAD-27. See North American Datum of
Moving-bed scrubber, 355 1927
MRF. See Materials recovery facility NAD-83. See North American Datum of
MR/TF. See Materials recovery/transfer 1983
National Acid Deposition Program of 1978,
facility
data, 320
MSW. See Municipal solid waste
National ambient air quality standards
MSWLFs. See Municipal Solid Waste
(NAAQS), 343. See also Carbon
Landfills
monoxide; Hydrocarbons; Nitrogen
Multi-layer landfill cap, 266f
oxide; Particulate matter;
Multiple waste recycling industry, 66–67,
Photochemical oxidants; Sulfur oxide
70–75
usage, 344t
case study, 70
National Environmental Policy Act of 1969
environmental tests, 73–75
(NEPA), 494, 505–506
mechanical tests, 71–73
terminology, 506–508
mixes, combination, 71t
National Geodetic Survey (NGS), 398, 403
relationship, 67f
Control System, 403–405
waste integration, 65 horizontal survey readjustment, 4040
Municipal composting systems, National Geodetic Vertical Datum of 1929
function/reactor configuration, 233t (NGVD-29), 404–405
Municipal emergency repair program, National Institute for Occupational Safety
funding, 118 and Health (NIOSH), 296
Municipal plan commission National Plumbing Code, 129
function/duty, 433–437 National Pollutant Discharge Elimination
plan elements, 435–436 System (NPDES), 246
Municipal Solid Waste Landfills (MSWLFs) CAA, Title V (similarity), 346
configuration, schematic diagram, 244f permit
criteria, 242, 244 considerations, 295
Municipal solid waste (MSW), 179, 185 usage. See Sanitary landfill
compost usage, percentage, 241 National primary ambient air quality
incineration emission design/operation standards (NAAQS), state approval,
guidelines, 288t–289t 344
incinerator operation, description, National Weather Service, information
279–281 source, 334
organic portion Natural additives, usage, 26
co-composting, 226 Natural Carrara marble powder, mixture, 51
composting, 226 Natural composting, 26–28
oxidation/combustion, reactions, 282 process, 27f
percentage distributions, estimates, 187t Natural drainage basins, considerations, 438
physical composition, estimates. See Natural ecosystems, principles (basis), 6–7
Residential MSW Natural resource base
processing/recovery, methods/equipment comprehensive plan requirement,
(usage), 222t 439–440
transfer stations, usage, 212t plan component, 433
transformation, 290 survey, 476–477
544 INDEX

Natural resources, conservation strategy, 4 regulations, involvement, 379

Natural stone slurry, 43 dosimeter, 378
incorporation. See Cement exposure level, EPA report, 375
usage. See Red ceramic bricks/tiles federal regulations, 384–387
Natural ventilation, 148 health hazard, 374–375
Naturizer composting, 236 impact, 375–376
NAVD-88. See North American Vertical interference, absence, 473
Datum of 1988 level, 369–370
Neighborhood land use relationships. See Design
pride, resurgence (stimulation), 117 noise level-land use relationships
unit design, 485f measurement, 377–378
unit plan, 483 octave-band analyzer, usage, 378
Neighborhood Environmental Evaluation pollution, 369
and Decision System (NEEDS), reaction, 375
97–99 reception, control. See Highway noise
stages, 99 source control, 378–379
Nemerow, Nelson (EBIC development), 65 sources, 376–377
Neutral lapse rate, turbulence (association), consideration, 372
359 state/local regulations, 387–388
Neutral stability, 337
term, usage, 369
New PVC production, scrap PVC
Noise control, 309–310
production (cost comparison), 24f
discussion, 367–388
New urbanism design, 484
health impact, 310–311
New urbanism design type subdivision
Noise Control Act of 1972 (P.L. 92–574),
layout, conceptual basis, 491–492
384–385
New urbanism subdivision layout, 488f
amendments, 385
New York City, commercial waste
Noise reduction (NR), 381–384
placement (manual collection), 201f
decibel measurement, 382
New-generation nuclear reactors, benefits,
Non-fire-resistive hospitals/nursing homes,
317
Newton (N), force requirement, 371 attention, 160
NGS. See National Geodetic Survey Nongovernment agencies, role, 118
NGVD-29. See National Geodetic Vertical Nonincinerable wastes, handling
Datum of 1929 method/cost, 290
Nitrogen, release, 319 North America Industrial Classification
Nitrogen dioxide (NO2 ), determination, 330 System (NAICS), industry
Nitrogen oxide (NO) classification, 1–2
chemiluminescence analyzer, usage, 330 North American Datum of 1927 (NAD-27),
NAAQS, 343 398, 404
ozone reaction, luminescence, 330 basis, 402
Noise. See Ambient noise; Background North American Datum of 1983 (NAD-83),
noise 398
cathode-ray oscillograph, usage, 378 creation, 404
control. See Industrial noise; Transport NAD-83(91), 404
noise North American Vertical Datum of 1988
methods, 378–380 (NAVD-88), 405
preventive measures, WHO Expert Northings, 402
Committee, 379–380 Nosocomial infections, prevention, 157
regulations, EPA regulations, 387 Noys, 374
 INDEX 545

NPDES. See National Pollutant Discharge system, connection/contiguousness, 491f

Elimination System Open top container, lids (inclusion), 200f
NR. See Noise reduction Operational planning, 496–502
Nuclear reactors, benefits. See Operational soil maps, U.S. Natural
New-generation nuclear reactors Resources Conservation Service
Nuclei counters, usage, 329 preparation, 474–475
Numerical air quality modeling, 361 Organic chemicals, RCRA Toxicity
Nursing homes Characteristic Rule regulation, 294t
air quality standards, 162 Organic material,
construction, 157 decomposition/stabilization, 231
fire resistance, attention. See Organic solid waste,
Non-fire-resistive hospitals/nursing decomposition/stabilization, 232
homes Ortho photographs, 471
fire safety, concern, 157 Orthoclase, marble component, 40
health care, providing, 159–160 Orthometric height, 397f
infectious/pathological wastes, disposal, Owners, office consultations, 116
162 Ownership, registration/reregistration
inspection form, 162f–163f (requirement), 118
low-level radioactive solid waste, Oxygen (aeration), composting factor, 26
disposal, 163 Ozone (O3 )
sanitation, 156–160 chemiluminescence analyzer, usage,
survey/inspection, 160 330–331
destruction, CFCs (impact), 318
O formation, 319, 324–325
impact, 318–319
O3 . See Ozone NAAQS restriction, EPA proposals, 346
Occupational Safety and Health Act, 296, ozone-depleting chemicals, phaseout, 346
495 plant impact, 314
Occupational Safety and Health
Administration (OSHA) P
establishment. See Airborne exposure
limit Packed-bed scrubber, 355
regulations, setting/enforcement, 384 Parasites, temperature/exposure time
Octave-band analyzer, usage. See Noise (requirement), 238t
Odor-producing operations, 357 Partially processed commingled MSW,
Off-site recycling, 66 composting, 226
Oil burning, reductions (necessity), 317 Particles, impingement, 351
Oil Pollution Act of 1990 (OPA), 495 Particulate matter
Old orchards, presence (pesticide presence), impact, 32
474 NAAQS, 343
On-site commercial/industrial incinerators, restriction, EPA proposal, 346
285 Particulates
On-site recycling, 66 collectors/separators, 351–356
On-site well water, availability, 493 emissions, 146–147
OPA. See Oil Pollution Act of 1990 filters, 352, 354
Opacity. See Air opacity Partitions, rejects (usage), 22f
determination. See Percent opacity Pascal (Pa), pressure unit, 371
Open industrial system, 3–4 Passive composting, 27
Open spaces process, 28f
provisions, 361 technique. See Cement
546 INDEX

Passive gas control, permeable trench function/duty. See Municipal plan

(usage), 262f commission; Regional plan
Passive gas control synthetic membrane, commission
261f state enabling legislation, impact, 432
Passive gas vent, usage. See Landfills Plan elements, 435–436
Pathogens Plan implementation, 436
control. See Compost policy development, relationship,
destruction, temperature/exposure time 445–447
(requirement), 238t Plan report, components, 433–437
Pathological medical wastes, collection, Plan selection/adoption, 444
194–195 Plane surveying procedures, 398
Pavement, stone slurry (usage), 50 Plane waves, emission, 368
PC. See Polycarbonate; Polymer concrete Planning. See Comprehensive planning;
PCA. See Portland Cement Association Operational planning; Program
PCBs. See Polychlorinated biphenyls planning; Project planning; Sites;
PE. See Polyethylene System planning
Pebble bed systems, 317 area, definition, 438
Perceived noise level (PNL), 373 assessment, 429
Percent opacity, determination, 331–332 board, impact, 105
classification, 430
Permeable soils, rainwater absorption
criteria. See Urban planning
ability, 472
data, reliability (importance), 438
Permeable trench, usage. See Passive gas
database, usage, 471–472
control
process, 437–447. See also
Personal hygiene, importance, 168
Comprehensive planning
Pesticides
stage. See Systems planning stage
agricultural spraying, 321
term
RCRA Toxicity Characteristic Rule
appropriation, 431
regulation, 294t
usage, 430–431
PET. See Polyethylene terephthalate
Plants, air pollution (impact), 314–315
Phenolics, 9 Plaster, looseness, 124
Phons, specification, 373 Plasterboard production, 68
Photochemical oxidants Plastic red clay (PRC), 46
NAAQS, 343 Plastics
production, 325 benefits/detriments, 8
Photogrammetric methods, usage. See industry, 7–24
Topographic maps cradle-to-cradle concept, process flow
Phthalates, usage, 8 diagram, 23f
Physical air quality modeling, 361 mix, recycling, process flow diagram, 17f
Physical development, engineering recycling
(necessity), 502–503 benefits, 9
Physical factors grouping, 516t process flow diagram, 12f
Physical/chemical factors grouping, stages, 11
517t–518t rejects, 70
Pitch (sound), 367 application, 19, 21
determination, 370 foundry sand reinforcement, 72–73
Plan alternatives, development/evaluation, usage, 8f
444 wastes. See Mixed plastics wastes
Plan commissions mixing, recycling system, 16
 INDEX 547

Plate scrubber, 355 Portable kerosene heaters, fire hazard,

Plate-type electrostatic precipitator, 152–153
diagram, 355f Portland cement, chemical composition, 31
Plumb lines, 397 Portland Cement Association (PCA)
Plumbing, 129–137 kiln information, 32
code, 129–134 operating plants, report, 31
impact, 130 POTW. See Publicly operated treatment
details, 137. See also Fixture plumbing works
facilities, minimum number, 131t–132t Pouring, sand molding process, 53
fixture, 130 PP. See Polypropylene
systems, plans (approval), 130 PPA. See Pollution Prevention Act
PNL. See Perceived noise level PRC. See Plastic red clay
Pollen samplers, usage, 329 Precalciner, usage, 32
Pollutant standards index (PSI), 347 Precipitation, 338
values, comparison, 348t–349t Preliminary engineering, 447
Pollutants. See Air pollutants movement, 467–468
concentrations/health effects, 348t–349t Preprocessing, 11
discharge, high stacks (impact), 319–320 Pressure gradient, impact, 339
emission, high stacks (usage), 359 Pressure vacuum breaker, 136f
Polluted water, backflow, 134
Pressure-type vacuum breaker, 136
Pollution, causes/sources. See Indoor air
Pretrial hearing, providing, 117
Pollution Prevention Act (PPA), 495
Prevailing lapse rate, 337
Polycarbonate (PC) blends, 66
Primary sector, 3
Polychlorinated biphenyls (PCBs), 145
Prime movers, 270f
organics, 351
Principal landfill gases, generation,
Polycyclic aromatic hydrocarbons, organics,
258–260
351
Private construction, 107
Polyethylene (PE), usage, 10
Processed waste, composting process, 231f
Polyethylene terephthalate (PET), 9
Polymer concrete (PC), marble/granite Processing
waste (usage), 50 stage, 11
Polymerization, 13 technologies. See Materials recovery
Polypropylene (PP), 9 Products
conversion. See Recycled PP development, mix plastic waste recycling
usage, 10 (usage), 16–17
Polystyrene (PS) environmental impact, LCA
foam, recycling, 67 identification, 5
usage, 10 final preparation phase, sand molding
Polyvinylchloride (PVC) process, 53
case study, 22–24 Profit, discouragement, 117
manufacture, 8 Program planning, 494–496
plastic offcuts, recycling, 22 Project planning, 467–469
production, cost comparison. See New Property, location (appreciation), 476
PVC production Proteus spp., impact, 156
usage, 10. See also Scrap PVC PS. See Polystyrene
Population PSI. See Pollutant standards index
growth, 85–86 Public areas, ventilation (usage),
trends, 84f 148–149
548 INDEX

Public facilities Rain leaders, absence, 124–125

community provision, 480–481 Ramp method. See Sanitary landfill
site development, 471 Range lines, 406f
Public Health Service Pub. 1038, 130 Rat infestation, 128
Public health services, necessity, 502 Ravine area method. See Sanitary landfill
Public housing and urban development, 106 Ravine landfill, 249f
Public infrastructure development projects, development, 250f
corridor planning stage (insertion), Raw material, usage, 23f
468 Raw PVC, product creation (example), 24f
Public participation, 465–466. See also RCRA. See Resource Conservation and
Comprehensive plan Recovery Act
achievement, 466 RDF. See Refuse derived fuel
process. See Comprehensive planning Real estate, purchases (advice), 505
Public sewerage, availability, 473 Real property boundaries
Public utilities, plan component, 434 description, 407
Public works legal descriptions, interpretation,
construction, consideration, 446 408–409
development process, 447–465 lines, correlation ability. See
facilities Topographic data
integrated systems, 447 Rear-loaded collection vehicle, example.
support, map requirements, 407–410 See Commingled solid waste
Publicly operated treatment works Recreational use sites, 473
(POTW), 295 Rectified aerial photographs, 471
Pulsed fluorescent analyzer, usage, Recycled glass, melting temperature, 217
329–330 Recycled HDPE, end uses, 11
Pure tone, 367 Recycled LDPE, end uses, 11
hearing, 374 Recycled PET, uses, 10
sine wave, 368f Recycled plastic, product creation
PVC. See Polyvinylchloride (example), 24f
Recycled PP, conversion, 66
Q Recycling, 179
growth, 182
Quality of living
opportunities. See Cement
APHA appraisal method, 91–95
perception/usage, 182–183
appraisal, 91–96
problems, 182
Quarry location, exploration/identification,
public education, impact, 183
41
Red ceramic bricks/tiles, natural stone
Quartz, marble component, 40
slurry (usage), 45–47
Quiet Communities Act of 1978, 385–386
Red wiggler (Eisensia Foetida), usage, 28
Red worm (Lumbricus Rebellus), usage, 28
R
Refuse, 179
Radiational inversion, 337 Refuse derived fuel (RDF)
Radon burning, 217
contamination, 143 costliness. See Densified RDF
entry sources. See Indoor radon energy content, 284–285
exposure, measurement, 144 RDF-fired combustors, 284–285
hazard, 142 Regional organizations, input (necessity),
impact, 142–144 364
level, EPA proposal. See Drinking water Regional plan commission
 INDEX 549

function/duty, 433–437 Resurveys, survey markers (recovery), 399

plan elements, 435–436 Returnable bottle deposit law, interest, 214,
Regional planning, rational process, 217
429–430 RFP. See Reinforced fiber plastic
Regulatory requirements, compliance Rigid plastic, size (reduction), 14
assessment (determination), 504 Rigid thermoplastic waste, shredder
Reinforced fiber plastic (RFP), usage, 21 (usage), 14
Reinspection letter, sending, 115 Ringelmann smoke chart
Rejects, application, 21–22 replacement, 331–332
Rent controls, impact, 87–88 usage, 331
Rental housing gross income, total costs Roach infestation, 128
(contrast), 88f Road pavement layers, usage. See Cement
Reradiated heat, trapping, 316 Road paving, 69
Residential environment, 83 Roof, leakage, 124
community/individual facilities, 101–102 Rotted/missing siding, 123
housing/environmental principles, Rubber-hose gas connection, 128
101–102 Rubbish, 179
human factors, 100
safety/injury prevention, 101
S
sanitation/maintenance, 100–101
Residential MSW, physical composition Safe, Accountable, Flexible, Efficient
(estimates), 188t Transportation Equity Act of 2005,
Residential solid waste 496
collection, containers (usage), 197f Safe Drinking Water Act (SDWA), 495
completed landfill, usage, 263 Sand. See Foundry sand; Green sand; Spent
IWM implementation, 184–185 sand
flowchart, 184f maximum flexural load, 73f. See also
Residuals, 179 Foundry sand
Residue management. See Incinerators tensile strengths, 72f. See also Foundry
Resource Conservation and Recovery Act sand
(RCRA), 495 Sand and mold preparation, 52
air quality issues, 343, 345 Sand molding technology, processes, 51–53
amendments, 293 Sand-casting system, 53
usage, 293, 295 Sanitary code, 445
Subtitle D, 242 Sanitary landfill, 179
usage. See Hazardous waste area method, 248, 250
Resource recovery, 179 area policing, 275
municipal operation consideration, 217 burning/salvaging, absence, 275
partial waste disposal/reclamation compaction equipment, 272f
process, 217–218 construction guidelines, 247t–248t
Resources county agency/joint municipal survey
planning, impact, 430–431 committee, impact, 246
term, usage, 512 design, 242
Respiratory diseases guidelines, 247t–248t
smoking, impact, 311 issues, 251–256
spread, 141 disposal
Respiratory illness cost, haul distances (impact), 210f
control, 150–151 landfill facilities/equipment, usage,
NIOSH recommendations, 150 268–274
550 INDEX

Sanitary landfill (Continued ) usage, 23f

excavating/spreading/compaction Scrapes. See Granite; Marble
equipment, usage, 269, 273 characteristics, 44
insect/rodent control, 275–276 Scrubbers, 355
inspection maintenance program, 277 SCSs. See Stationary container systems
intermunicipal cooperation, 242, SDWA. See Safe Drinking Water Act
244–245 Sea level reduction factor, 402
leachate. See Community sanitary Secondary processing (minimills), 55, 56
landfills Secondary sector, 3
legal requirements, 242, 244 Sedimentation/settling devices, usage. See
long-term planning/design issues, 242, Ambient air
245–246 Septic tank treatment/disposal systems, 493
machines, size/type usage, 273 Setting chambers, 352
maintenance, 276 Severe acute respiratory syndrome (SARS),
methods, 242, 246–250 497
NPDES permit, 246 Sewage disposal system, overflow, 128
operation, 242 Sewage sludge, composting. See Cement
equipment, usage, 270f Sewer, clog, 127
guidelines, 247t–248t Sewerage facilities planning report, outline,
practices, 276–278 447–453
operation, direction, 274 Shale clay (SC), 46
plan, provisions, 278–279 Shanty towns, development, 85
planning, 242–246 Sheet-making process, 23–24
engineering project, 276 Shelter, environment inspection/report
ramp method, 248, 250 outline, 167–168
rats/flies/vermin, breeding (control), 278 Short-term, term (usage), 512
ravine area method, 250 Shower addition, alteration, 123f
site closure/conversion, 278–279 Shredders, usage, 16
social/political factors, 242, 245 Shredding crushing machine, 14f
supervision, 274–275 Side-loaded right-hand standup drive
total area, study, 244 collection vehicle, example. See
trench method, 246 Commingled solid waste
valley area method, 250 Side-loading vehicle
Sanitary wastes, treatment/disposal dual compartment, inclusion (example),
(provision), 492–493 208f
SARS. See Severe acute respiratory example. See Source-separated materials
syndrome Single transfer trailer, drop bottom
SC. See Shale clay (inclusion), 216f
Scale and sea level reduction factor, 402 Sites
Scale factor, 402 area, size, 473
Schools assessment, 471–472. See also Land
sanitation, 163 subdivision
inspection form, 164f–165f inspection, inclusion, 472
ventilation, usage, 148 design, 478–480
Scoping. See Environmental impact team, components, 479
analysis development, 471
Scrap PVC features, 472–473
production, cost comparison. See New improvements, necessity, 478
PVC production inventory, 473–478
 INDEX 551

investigation, 504 Soil fertility (pH reduction), marble

location particles (impact), 45
selection criteria, cost-oriented factors, Soil moisture retention (improvement),
470 compost (usage), 229
stages, 469–471 Soil survey, 474–475
plan, display, 479 information, usage, 471–472
planning, 469–480 Soiling
introduction, 469–470 measurement, 331–332
process, professional advice, 479–480 tape samplers, usage, 332
selection, 470–471. See also Land Solid brick groups, compressive strength
subdivision (development), 63f
process, 471 Solid uncompacted wastes, vehicles
professional advice, 479–480 (usage), 211
suitability assessment, 471 Solid waste, 179
survey, 473–474 characteristics, 185–189
SIWM. See Sustainable industrial waste collection, 199–209
management service, type, 199
Slag systems, types, 202–204
concrete, compressive strength combination, 292
development, 61t composition, 185, 187
generation, 56 depth, 277
granulation, 59–60. See also Dry slag disposal
granulation availability, 473
system. See Continuous slag facilities, investment, 275
granulation system sites, number (reduction), 209
processing, importance, 59 generation, 191t
recycling, 57 generation rates, 190t–191t
replacement levels, 63f industrial sources, 192t
types, utilization (investigation), 62–63 health issues, 207
utilization, potential, 58–64 on-site handling/storage, 195–199
Sleeping quarters, noise levels, 387t personnel requirements, 204–207
Sleeping room, overcrowdedness, 126–127 quantities, 185, 187–189
Sludge, particle size distribution, 46 reduction/recovery/recycling, extent, 214
Slums, 85 sources, 185. See also Community solid
development, public (impact), 85 waste
Slurry. See Granite; Marble; Natural stone specific weight, 189
slurry transfer, 209–213
atmospheric diffusion. See Dry slurry landfill haul, cost comparison, 211f
particles, dimension, 43 operations, economic analysis, 209
physical/chemical properties, 43–44 trailers, examples, 216f
presence, 48 transfer stations. See Direct load solid
Small direct-discharge solid waste transfer waste transfer stations; Storage
stations, 215f load solid waste transfer stations
Smog, plant impact, 314 definition sketch, 213f
Smoke, measurement, 331–332 development. See Combined
Social factors grouping, 516t–518t direct-load/discharge load solid
Soil amendment, salmonella repopulation, waste transfer stations
238 siting issues, 213
552 INDEX

Solid waste (Continued ) travel, 368. See also Media

types, 210. See also Municipal solid wave
waste distance, 368
transport, 209–213 intensity, 373
treatment facilities, investment, 275 A-weighting, 371
weight, 193t weighting networks, 377
Solid Waste Disposal Act of 1965, purposes Sound transmission class (STC), 383
(expansion), 293 Sound-absorptive materials, 382–383
Solid waste management, 177 Sound-level meter, 377–378
complexity, 177 time response, 377
definition, 179 Source reduction, 180
terms, definitions, 178–180 encouragement, 181
Solid waste slag, generation, 56 focus, 180–181
Sones practice, 181
loudness unit, 374 Source separation, 180
specification, 373 Source-separated compostable wastes,
Sonic collectors, usage, 352 separation, 223f
Sound Source-separated materials
absorption, 381–383 MRF, usage, 218
analyzer, 378 side-loading vehicle, example, 207f
average transmission coefficient, Source-separated recyclable materials, 197f
383–384 Source-separated recyclable materials, MRF
decibel, 370 examples, 219t–220t
energy Source-separated waste (processing), MRF
absorption, 381–382 (usage), 224f
travel, 382 Southeastern Wisconsin Regional Planning
frequency, 370 Commission, environmental corridor
intensity, 372 concept, 477
distance, doubling, 369 Specifications for Sound Level Meters, 377
measurement, 373 Spent green foundry sand, physical
inverse square law, 368 properties, 54t
levels Spent sand, 53
combination, 373t Spherical waves, 368
human response, 376t Spirit level, usage, 397
maximum, 385t SPL, increase, 374
loudness, 373–374 Spray towers, 355
pressure, 367 Spring cleaning, community service, 199
decibel values, 372t Stacks
level, change, 371 emissions, inversion, 338
levels, American Conference of heights. See Incinerators
Governmental Industrial inversion, impact, 338
Hygienists (recommendation), sampling, 332–333
386t Stairway details, 121f
term, usage, 371–373 Standard lines, 046f
source/receptor, separation distance, 384 Standard Plumbing Code (Southern Code),
speed. See Media 129
terms/properties, definitions/explanations, State administrative codes, impact, 482
367–375 State health/environmental protection
transmission, 383–384 agencies, planning/plan
 INDEX 553

approval/regulatory responsibilities, Structures, environment inspection/report

503 outline, 167
State Plane Coordinate grid values, 404 Subdivision. See Land subdivision
State Plane Coordinate Systems, 398 Subgrade road pavement layer, usage, 39
basis, 401 Subsidence inversion, 337
creation, 403–404 Substandard housing
grid critical period, 86–88
coordinates, 404 effects, 90t–91t
creation, concepts, 400f health/economic/social impact, 88–89
spherical coordinate conversion, 402 impact, 84–91
State plane grid distances, ground level problem, growth, 84–86
distances (relationship), 400f local government control, 85
Static aerated compost pile, schematic, 235f restoration, 110
Stationary combustion installations, 347 Suitable living environment, 83
Stationary compactors, inclusion. See Sulfur dioxide
Direct discharge solid waste transfer contribution. See Air pollution
station emissions, reductions (EPA-phased-time
Stationary container systems (SCSs), 202, basis), 345–346
204 plant impact, 314
Sulfur oxide
manually loaded collection vehicles,
NAAQS, 343
examples, 206f
release, 319
Statistical air quality modeling, 361
Sulfur removal, 356
STC. See Sound transmission class
Superfund
Steel industry, 55–64
air quality issues, 345
environmental impacts, 56–58
list, landfills (presence), 184
wastes
Superfund Amendments and
disposal, cost, 59
Reauthorization Act (SARA), 495
materials, generation, 58
Superfund Amendments and
Steel plant dust, transformation, 63–64
Reauthorization Act Title III (SARA
Steel products, routes. See Finished steel Title III), air quality issues, 345
products Surface
Steel slags, applications, 61 inversions, 339
Stoichiometric combustion, 283 uneven heating, occurrence, 334
Stone slurry Surface Mining Control and Reclamation
substitution, 49 Act, 296
usage, 47–50. See also Embankment; Surface water
Pavement cover material, usage, 263–266
Storage load solid waste transfer stations, drainage, 276
210, 211 leachate contamination, 240
Storage-discharge solid waste transfer management, 263–267
station, definition sketch, 213f Surface-water source, adequacy, 472
Stormwater management facilities planning Surge capacity, 210–211
report, outline, 453–460 Survey. See Control survey
Straight lines, constant bearing, 399 Survey control networks, 402–403. See
Streets also Horizontal survey control
hierarchy, 492 network; Vertical survey control
right-of-way, 480–481, 492 network
Structural safety, 119 Surveying, definitions/concepts, 396–405
554 INDEX

Sustainability indicators, 65 Topography, term (usage), 333

Sustainable development (promotion), Topsoil, porosity/permeability (reduction),
cradle-to-grave concept (usage), 6 44
Sustainable environment, achievement, 36 Total composting time, determination, 230
Sustainable industrial waste management Total suspended particulate (TSP), 328
(SIWM), importance, 7 measurement. See Ambient air
System planning, 447 Township lines/subdivisions, 406f
movement, 468–469 Toxic pollutants
Systems planning stage, 468 Council on Environmental Quality
identification, 297t–299t
T identification, 296
Toxic Substances Control Act of 1976
Tangent plane projection, 398–399 (TSCA), 295, 495
surveys, usage (limitation), 399 Track compactor, trash blade (inclusion),
Tangent projection maps, bearings 272f
(display), 399 Tracked bulldozer, 270f
Tape sampler, usage. See Coefficient of Tractor
haze; Soiling life, estimation, 269, 273
Tax foreclosure proceedings, permission, trailer combination, example, 216f
118 Traffic problems, interference (absence),
Temperature, composting factor, 26 473
Tensile strength test, 71–72 Transfer station, 180. See also Solid waste
Thermal afterburners, 357 Transfer trailers. See Solid waste
Thermal decomposition, 305 Transport noise, control, 381
Thermal requirements. See Ventilation Transportation
Thermoplastics, 9–11 facilities, considerations, 438
coding, 11f plan component, 434
recycling, 10 plan element, 435
U.S. production/recycling, amount, 9f Transverse Mercator projection, 401
Thermosets, 9, 12–13 system. See Universal Transverse
recycling inability. See Milamean Mercator projection system
thermoset Trash blade, inclusion. See Track
Thermosetting plastics, mechanical compactor; Wheeled compactor
properties, 13t Trench landfill, 249f
Third-floor occupancy, unlawfulness, 127 Trench method. See Sanitary landfill
Three-piece bathroom, dimensions, 122f Trenches (digging), drag line (suitability),
Till frame, drop box (unloading), 203f 273
Tobacco smoke, 145–146 Tropical rain forests, destruction (control),
Toilets/bathrooms, ventilation (usage), 149 316–317
Topographic data, real property boundary TSCA. See Toxic Substances Control Act
lines (correlation ability), 409–410 of 1976
Topographic maps. See Large-scale TSP. See Total suspended particulate
topographic maps Turbulence, 335
overlay processes, 408 impact. See Air flow
preparation, photogrammetric methods
(usage), 408–409 U
usage, 471
Topography, 338–340 UNAMAP. See User’s Network for
survey, 473–474 Applied Modeling of Air Pollution
usage, 341 Uncompacted wastes, vehicles (usage), 211
 INDEX 555

Uncontrolled contaminant emissions, 350t U.S. Natural Resources Conservation

Uniform Plumbing Code, 129 Service. See Operational soil maps
Universal testing machine (UTM), usage, U.S. Public Land Survey, one-quarter
72 section corners, 399
Universal Transverse Mercator (UMT) U.S. Public Land Survey System
projection system, 401–402 (USPLSS), 405–407
Universities, sanitation, 163 creation, 403
Untreated hazardous waste, land disposal Used tires, collection, 195
(prohibition), 293 User’s Network for Applied Modeling of
Unvented heater, usage, 127 Air Pollution (UNAMAP), 362
Urban areas, congestion, 85 USPLSS. See U.S. Public Land Survey
Urban cluster subdivision layout, 488f System
Utilities
Urban development/redevelopment,
environment inspection/report outline,
guidance/shape, 438–439
167
Urban heat island effect, 340
necessity, determination, 475–476
Urban noise, 377
plan element, 435
Urban planning
services, 492–494
comprehensiveness, 431
criteria, 431–432 V
geographic area, control, 431
implementation devices, 433 Vacuum, nonpressure-type siphon-breakers,
institutional structure, 432–433 135f
long-range perspective, 431 Vacuum breakers, types, 136f
objectives/principles/practices, Valley area method. See Sanitary landfill
understanding, 429 Vapors
Urban redevelopment funds, eligibility, conservation, 358
109–110 release, 357
Urban sprawl, 480 Ventilation, 147–150. See also Natural
U.S. Bureau of Public Roads, 496 ventilation
U.S. Bureau of the Census, data, 96 air change, measurement, 149
U.S. Coast and Geodetic Survey (USC and air infiltration/fresh air makeup,
reduction, 148
GS), 403
monitoring, 149–150
U.S. Environmental Protection Agency
prevention factors, 152
(EPA)
thermal/moisture requirements, 147
air pollutant concern, 344
usage. See Correctional institutions;
air quality criteria, development,
Public areas; Schools;
342–343 Toilets/bathrooms
ambient monitoring program, 327 Venting
District of Columbia Circuit Court, details, 153f
agreement, 346 ensuring, 152
EPA-phased-time basis. See Sulfur prevention, factors, 152
dioxide Venturi scrubbers, 355
high-volume sampling, 328 diagram, 357f
planning support, 496 Vermi composting, 28
reference methods, 327 Vertical axis mixing/heating furnace, 18f
standards, 341 Vertical mixing, diurnal/nocturnal mixing,
U.S. Geologic Survey, 1-to-24,000 scale 339f
quadrangle maps (usefulness), 472 Vertical survey control network, 403
556 INDEX

Vibration control, preventive measures Water Pollution Control Act, 293

(WHO Expert Committee Water quality, 522t–523t
recommendation), 379–380 Water supply availability, 473
Volatile organic compounds (VOCs), 146 consideration, 475
contribution. See Air pollution Water supply facilities planning report,
outline, 460–465
W Water-cooled slag, grinding, 69
Watershed area tributary, extension, 474
Wall Wellwater supply, protection (problem),
construction, 120f 129
sag, 123–124 Wet collectors, usage, 355–356
Warm dry air, cooling rate, 337 Wetlands, consideration, 438
Washbasin addition, alteration, 123f Wheeled compactor, trash blade (inclusion),
Waste exchange network industry, 65, 272f
67–69 White goods, recycling (avoidance), 274
Kalundborg Industrial symbiosis, 68f White-list
waste-related industry, integration, 65 industries/projects/establishments,
Waste industrial sector, classification, 65 environmental impacts, 2
Waste industry, 65–69 Wind
Waste oil, collection, 195 impact, 334–336
Waste reduction, 214, 217 speed, increase, 357
materials recovery, relationship, 213–225 Wind rose, 334
Wastes example, 335f
biodegradation/stabilization. See Wind speed, impact. See Air pollutants
Landfills Window details, 124f
collection, 11 Windrow, anaerobic conditions, 234
concentration, treatment (usage), 305 Windrow composting, 233–236
conservation, 70 operation, 231f
generation, quantities (data), 189 technology, 232
materials, unloading (example), 215f Wood stoves, air pollution contribution, 321
recovery/reuse/recycling, 305 Woodlands, consideration, 438
separate collection, 193–195 Work areas, selection, 110–111
source elimination/reduction, 304 Working fill, 276
Waste-to-energy combustion, 183
Waste-to-energy incineration, 180 X
Wastewater collection/treatment, cost
(estimation), 475 Yard wastes, composting, 226
Water and sewer divisions, responsibility, preparation, 231f
106 Yard/vacant lot debris, 126
Water closet
flush tank, operation problem, 125 Y
leakage, 121
tank, diagram, 126f Zero discharge, goal. See Hazardous waste