United States
                    Environmental Protection
                    Agency
 Office of Health and
 Environmental Assessment
 Washington, DC 20460
                    Research and Development
 EPA/600/S8-90/065 Sept. 1990
&EPA          Project Summary

                    Statistical Methods  for
                    Estimating  Risk  for
                    Exposure  Above  the
                    Reference  Dose
                     A  statistical  method  has been
                   developed  that provides  a risk
                   estimate for noncarcinogenic effects
                   at a given dose.  The method uses a
                   categorical regression procedure to
                   model severity of effect as it relates
                   to experimental dose. Toxicity data
                   are analyzed from  multiple  animal
                   experiments that  span different
                   species, target organs, toxic effects,
                   and exposure conditions.  The data
                   are screened for homogeneity with
                   respect to experiment duration and
                   route  of exposure.  The  resulting
                   dose-response  curve provides an
                   estimate of the risk of adverse effects
                   that may be useful in estimating risk
                   for exposures  above the reference
                   dose (RfD).
                   This Project  Summary was developed
                   by EPA's Environmental Criteria and
                   Assessment Office, Cincinnati, OH, to
                   announce key findings of the research
                   project that is fully documented in  a
                   separate report of the same title (see
                   Project Report ordering information at
                   back).

                   Introduction

                     The U.S.  Environmental Protection
                   Agency (U.S. EPA) is charged with the
                   responsibility of protecting public health
                   from environmental pollutants.  In this
                   capacity,  the U.S.  EPA establishes  a
                   reference dose (RfD) for  noncancer
                   toxicity of individual chemicals (U.S. EPA,
                   1988;  Barnes  and Dourson, 1988). The
                   U.S. EPA's formal definition of the RfD is:
    "An estimate (with  uncertainty
    spanning perhaps an  order of
    magnitude) of a daily exposure to the
    human  population  -(including
    sensitive  subgroups) that is likely to
    be without  appreciable risk of
    deleterious effect during a lifetime."

   The determination for the  RfD for  a
given  chemical involves several
judgmental steps.  First, the literature on
its toxic effects is evaluated. The most
scientifically sound study with the most
appropriate  NOAEL  (no-observed-
adverse-effect level) of the critical effect
is then generally chosen,  and  that
NOAEL is divided by uncertainty factors
to arrive at the RfD. To date, there has
been much concern regarding the  risk of
adverse effects for exposures above the
RfD,  but  no reliable method  for
estimating this risk has been developed.
   The evaluation  of toxicity data for
noncarcinogens is  complicated by  the
multiplicity of possible, endpoints, and the
variation both in the severity of effect and
in the response rate.   Standard  dose-
response models  most  often assume a
fixed severity  (e.g., lethal) and endpoint
(e.g., cancer),  and would then need to be
generalized into a multivariate form to be
applicable to  noncarcinogenic effects.
Since response rates for noncarcinogenic
effects are rarely reported, multivariate
dose-response  models are  seldom
developed, and "dose-response" analysis
usually relates dose only to the severity
of the observed effects.  The approach
presented here assigns the severity
descriptions to ordered  categories  and

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models the "dose-category" relationship.
Modeling the risk of adverse effects using
categorical regression was  proposed
previously (Hertzberg  and Miller,  1985;
Hertzberg, 1987),  but  the  statistical
algorithm then used was limited.

Results and Conclusions
   Several different  computer programs
and  groupings of the data  have been
investigated  in  order  to  find the  best
approach for   applying categorical
rogression  to  this  dose-severity
modeling.   Much progress  has been
made: available data were put in a form
conducive to such an  analysis, a model
was  selected, a  statistical  algorithm was
found to perform the  analysis, ways of
presenting the   results were explored,
some goodness-of-fit  measures were
evaluated, and a mainframe programming
package  was written  to  perform  the
analysis.  For this document, a  logistic
transform was  used  to regress  the
severity of effects on the covariate, dose.
Graphs  displaying  s-shaped  dose-
response curves with 95%  confidence
bands were then generated. The curves
are statistically derived and use all of the
available toxicity data  in determining the
risk of adverse effects at given doses.
   The  proposed regression  procedure
should be useful in risk-based decisions
that can directly use  animal data.  For
example, the Margin of Exposure (MOE)
method compares the existing exposure
with  the  NOAEL for  the  critical effect.
The  MOE method  could then  be
augmented by considering the estimated
risk at the existing exposure and not just
the MOE ratio.
   The  progress described  above does
 not, however, provide a final solution  to
 the  risk problem.  Some difficulties arise
 because of the data available for analysis.
Almost all of these data are from animal
studies,  so the  risk estimates produced
by  the   regression  are  animal  risk
 estimates that  must  be  a manipulated
 further to produce human risk estimates.
 Thus,  more  research  is  needed  to
 produce human  risk  estimates  for
 exposures above the RfD.  Also, each
 record  in  the  data set  represents
 information from an  entire  dose group,
 not  from an individual  animal.   The
 interpretation of the animal risk estimate
 depends, then, upon the fact that the unit
 of input to the  regression  is the dose
 group.

 Recommendations
    Additional research is necessary  to
 ensure  that  this categorical regression
 procedure is successful in estimating risk
levels at specific doses.  Examples  of
areas requiring  further  research are  as
follows:
 1. Methods need to be developed that
    will  validate  the assumptions  made
    by  the  model  whenever  the
    regression is performed.
 2. The goodness-of-fit  measures
    provided   by  the  regression
    procedure  need to  be evaluated
    relative to their usefulness for dose-
    response modeling.  New goodness-
    of-fit  measures  need  to  be
    developed.
 3. Data should be  found and  analyzed
    that allow  characterization  of
    individual animal effects, instead of
    dose group effects.
 4. An  investigation should be made of
    other models that may be superior in
    their predictive abilities to the logistic
    model.
 5. The enigma of  the extrapolation of
    animal risk  to human risk is thus far
    unsolved by this process.  Ways to
    develop a human risk estimate need
    to be found.

 References
 Barnes, D.G. and  M.L. Dourson.  1988,
     Reference  Dose (RfD):  Description
     and Use in Health  Risk Assessment.
     Reg.  Toxicol. Pharm-acol.   8: 471-
     486.
 Hertzberg, R. 1987. Fitting  a  model to
     categorical response data  with
     application  to species extrapolation
     of  toxicity.  In: Proceedings  of  the
     26th  Hanford   Life  Sciences
     Symposium, Modeling for .Scaling to
     Man.  October 20-23, 1987.   Battelle
     Pacific  Northwest  Laboratories,
     Richland, WA.  (In press) .

 Hertzberg, R. and M.  Miller.  1985.  A
     statistical model for  species extrap-
     olation  using categorical  response
     data.   Toxicol. Ind. Health.  1(4): 43-
     57.

 U.S. EPA. 1988. Reference Dose (RfD):
     Description  and Use in Health  Risk
     Assessments. Integrated  Risk
     Information  System  (IRIS).   Online.
     Intra-agency Re-ference Dose (RfD)
     Work  Group, Office of Health and
     Environmental Assessment, Environ-
     mental  Criteria  and  Assessment
     Office, Cincinnati, OH.
                                                                           •fr U.S. GOVERNMENT PRINTING OFFICE: 1990/748-012/20096

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  Rick Hertzberg is the EPA Project Officer (see below).
  The complete report, entitled "Statistical Methods  for Estimating for Exposure
        Above the Reference Dose," (Order No. PB  90-261 504/AS; Cost: $.8,00
        subject to change) will be available only from:
            National Technical Information Service
            5285 Port Royal Road
            Springfield, VA 22161
            Telephone: 703-487-4650
  The EPA Project Officer can be contacted at:
            Environmental Criteria Assessment Office
            Cincinnati, OH 45268
United States
Environmental Protection
Agency
Center for Environmental Research
Information
Cincinnati OH 45268
Official Business
Penalty for Private Use S300

EPA/600/S8-90/065

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