Working Guidelines and
Procedures for Preparation
of
ORD Scientific and
Technical Assessment Reports (STAR)
Office of Research ami Development
U.S. Environmental Protection Agency
Washington, D.C. 20460
-------
WORKING GUIDELINES AND PROCEDURES
FOR
PREPARATION OF ORD
SCIENTIFIC AND TECHNICAL ASSESSMENT REPORTS
(STAR)
OFFICE CF PROGRAM INTEGRATION
OFFICE OF RESEARCH AND DEVELOPMENT
ENVIRONMENTAL PROTECTION AGENCY
DECEMBER 1974
-------
CONTENTS
SECTION
1. INTRODUCTION 1
2. PROCEDURES 5
Star List 5
Preparation of Development Plans by Star Committee. . . 7
Working Group . . . 9
Report Review .10
Final Editing, Issuance, and Publication 11
3. STANDARDIZED REPORT OUTLINE 13
Appendix A - August 15 Memorandum from Assistant Administrator
for Research and Development A-l
Appendix B - STAR Development Plans and Their Preparation . B-l
Appendix C - Procedures for Development and Succession of
Drafts C-l
General Requirements C-l
Draft Sequence and Designation C-l
Appendix D - Editorial Guidelines and Special Instructions
for Preparation of Assessment Reports D-l
D.I Purpose and Scope D-l
D.2 Star Series . ." D-l
D.3 Use of Word/One D-2
D.4 File of Reference Material D-2
D.5 Cover and Title Page Format D-3
D.6 EPA Review Notice D-3
D.7 Inside Front Cover Page Format D-4
D.8 Paper Size D-5
D.9 Margins D-5
D.10 Type Face D-5
D.ll Units D-5
D.12 Line Spacing D-6
D.13 Indentation D-6
D.14 Lists D-6
D.15 Headings D-7
D.16 References D-9
D.17 Footnotes D-14
-------
Appendix D (cont'd)
D.18 Illustrations D-14
D.19 Table Style D-15
D.20 Page Numbering D-19
D.21 Conformance with ORD Report Specifications D-20
Appendix E - Procedures for Requesting Access to Time Sharing
Services through EPA Contract with Bowne Time
Sharing (Word/One) E-l
-------
1. TNTPpDUCTTgN_ANp_OBJECTIVES
The assessment of known available data on major pollutants
of concern to EPA is one of the major functions of the
Office of Research and Development, whether the data are
generated by EPA through in-hcuse efforts or through grants
or contracts, or by other research institutions, ORD has a
responsibility, as the Agency's technical arm, for assessing
the information available to determine its validity and
significance. The purpose of Scientific and Technical
Assessment Reports (STAR) is to assist the Agency in
complying with the statutory directives for which it is
responsible, in accordance with the Assistant
Administrator's memorandum of August 1T>, 1974 (see Appendix
A). This is a two-fold requirement on the part of ORD,
which involves the close interaction between our
professional staff and: 1) the Program Offices in
developing various standards, guidelines, regulations, and
technical reports, and 2) the office of General Counsel in
defending, as a result of possible litigation, those same
standards, guidelines, regulations and technical reports.
The importance of the Reports, therefore, cannot be
overestimated.
-------
— 2 -
Although the key characteristics desired for STAR are
explained in Appendix A,, it may be useful to briefly
summarize them here:
o Assessment, not just summarization of knowledge on
each pollutant.
o Multi-media, not single media in scope.
o Multi-disciplinary.
o Objective assessment without recommendations.
o Dose-response relationships, not effects thresh-
olds.
o Careful internal and external review.
The objectives of these Working Guidelines and Procedures
are to establish a uniform set of procedures and a
standardized outline, to the extent, practical, for the
preparation of ORD STAR. These guidelines and procedures
supercede all previous ones and with the exceptions noted in
the next paragraph will be used in the preparation of ORD
assessment-type documents.
It is recognized that there are likely to be many cases
where special circumstances will make the standardized
outline impractical and where it will create more
difficulties than it will resolve. In those cases where it
-------
- 3 -
is possible to anticipate this, special detailed outlines
will be prepared. This is likely to be the case when
specific legislative requirements must, be met (as in the
case of criteria documents) or when the documents report on
terminated research. In still other circumstances, the
inappropriateness of the outline will become evident only
during the actual preparation cf a section of a document.
In that case those responsible for the section should
proceed with a more useful structure of their section and
notify the OPI Coordinator if the change is sufficiently
major so as to make the revised section incompatible with
sections being prepared by other laboratories. It is hoped
that in this way the outline will prove to be more of a
guide, and hopefully an aid, to thos.e preparing assessment
documents rather than a set of restrictions on their
activities.
In writing STAR, it is important to keep the English as
simple and straightforward as possible consistent with
maintaining the precision necessary. Professional jargon
should be avoided whenever possible. Where possible, the
English should be understandable to a decision maker in a
program office who may not have technical training in the
particular specialized field being discussed.
-------
Suggestions for revision and changes in these guidelines and
procedures will always be gratefully received by OPI and
should be addressed to John Buckley (202-755-2611) or Alan
Carlin (202-755-0650).
-------
2. PROCEDURES
The procedures to be used in the preparation of STAR will be
briefly summarized in this section. More detailed
dicussions of various aspects cf the process can be found in
Appendixes B, C, and D. Fiqure 2.1 provides a diagramatic
representation of the process as it will normally occur.
STAR_LIST
As outlined in the Assistant Administrator's memorandum of
August 15r 1974 (see Appendix A), OPI will prepare a
periodically updated list of pollutants for which assessment
documents are to be prepared, the dates by which they are to
be' issued after appropriate consultation with other ORD and
Agency components, and OPI Coordinators who will have lead
responsibility for coordinating the preparation of the
document for OPI. This list will be made up on the basis of
periodically solicited inputs from and discussions with
interested program offices and DAAs. In addition, there
will be an obvious need for coordination between these lists
and ORD program plans. Every effort will be made to
coordinate the list with the concerned program area managers
so that there ar£ no conflicts between the EROSs and the
-------
- 6 -
Figure 2.1
STAR PREPARATION PROCESS
ADD POLLUTANT TO
STAR LIST
APPOINT OPI
COORDINATOR
FORM STAR'
COMMITTEE
PREPARE
DEVELOPMENT
PLAN
CONCUR ON
DEVELOPMENT
PLAN
WORKING GROUP
FORMED
PREPARE ROUGH
DRAFTS 1 AND II
REVIEW EXTERNAL
REVIEW DRAFT
REVIEW CLEARANCE
DRAFT
PREPARE EXTERNAL
REVIEW DRAFT
PREPARE EDIT 1
AND 2 AND
CLEARANCE DRAFT
AA CLEARS STAR
-si/
FINAL DRAFT
PUBLISHED
OTHER EPA
OFFICES
(INCLUDING
SAB)
ORD HEADQUARTERS
ORD FIELD
-------
most recent STAR list. Any conflicts that cannot he
otherwise resolved should be presented to the Assistant
Administrator for resolution.
For each pollutant on these lists, the OPI Coordinator will
request each DAA (and KERC Director, where appropriate) to
appoint one staff member to a STAR Committee. He may also
add additional members to the Committee, as from interested
program offices. The Committee will be responsible for
recommending a development plan for each proposed assessment
document and will be chaired by the OPI Coordinator. He'
will prepare or arrange for the preparation of a draft
development plan in time for the STAR Committee's first
meeting usinq the format provided in Appendix B to the
extent possible. The draft plan will detail the document
development deadlines necessary to achieve the deadline for
document issuance, the detailed outline of the document if
different than the general guidelines contained in this
document, and proposed contributors to be responsible for
the development of each module or 'sub-module. When
agreement is reached in the STAR Committee orv this
development plan, the OPI Coordinator will circulate the
revised draft development, plan to all relevant ORD DAAs and
-------
NERC/WERC Directors as well as interested program offices
for detailed comment. Formal concurrence will also be
requested from the relevant ORD DAAs and NERC/WERC Directors
who will be contributing resources to the development of the
STAR. Copies will also be sent for comment to the Directors
of those Laboratories named. Upon further revision and the
resolution of any remaining issues by the Assistant
Administrator, the development plan will be issued in final
form by the Deputy Assistant Administrator for Program
Integration. If as a result of subsequent information it
becomes evident that revisions are required in the
development plan, these will also be made by the OPI
Coordinator with appropriate notification of and agreement-
by those concerned.
The development plan will usually designate one ORD
organizational entity as the pricnary office responsible for
the development and integration of each module and one
individual in that office as the staff member primarily
responsible. The plan may also designate one field
laboratory as responsible for the development of each sub-
module identified, and name one individual in that
laboratory as having primary responsibility. In many cases,
the plan will designate additional contributors or sources
-------
- 9 -
for various modules and sub-modules. The plan will
establish milestones for receipt of various drafts by each
organization and for the production of complete and revised
drafts, and for editing by a designated report assembly
organization.
Those individuals from each laboratory or headquarters
office named in the development plan as having primary
responsibility for a module or sab-module will be members of
a working Group for that document. The Development Plan
will also designate a Working Group Chairperson, often from
the report assembly organization. The OPI Coordinator will
usually serve as an ex-officio member who should receive
copies of STAR drafts circulated to the Working Group and be
informed of only planned Working Group meetings, but may be
assigned additional duties by the Development Plan. The
Chairperson may wish to call cne or more meetings of the
Group to insure better cooperation and coordination, and to
appoint one or more additional members of the Working Group
from the program offices most concerned.
-------
- 10 -
|PORT
Provided that the deadlines are met, any laboratory or
Headquarters office responsible for developing a module or
sub-module may seek outside (of ORD) review cf its draft
module or sub-modulo provided that the draft is clearly
labeled as a preliminary draft that does not necessarily
represent ORD or EPA views and that a copy of the external
review is forwarded to the report assembly organization and
the DPI Coordinator as scon as possible after receipt in
ORD. Upon receipt and preliminary in-house review of all
modules and the addition of suitable introductory material,
the report assembly organization will prepare complete
drafts in accordance with the detailed, procedures outlined
in Appendix C and the editorial guidelines and special
instructions in Appendix D. As detailed there, after review
by the individual responsible for the preparation of the
modules and sub-modules in each office and laboratory and by
the OPT Coordinator review copies will be sent by the report
assembly organization or OPI to:
o A list of external reviewers designated by the
Science Advisory Board,
o Program offices involved,
o ORD personnel not involved in the preparation of the
-------
- 11 -
draft who have special knowledge of the subjects
di scussed,
o Relevant headquarters personnel, and
o Other individuals deemed desirable..
Each) organizational component involved in module or sub-
module development is encouraged to send names and addresses
for these lists with their completed draft to the report
assembly organization or the DPI coordinator, if
appropriate.
Upon the completion of the review process and subsequent
draft revision, the report assembly office will arrange for
the editinq of the document and submit it to the OPT
Coordinator. He will promptly send copies to all relevant
DAAs and STAR Committee members. If he receives no adverse
reaction in two weeks, he will recommend issuance to the
Deputy Assistant Administrator for Program Integration, who
will in turn review it and may recommend clearance by the
Assistant Administrator for research and Development. Upon
such clearance, OPI, with the help of the report assembly
-------
12 -
organization, will arrange for whatever publication and
distribution may be appropriate.
-------
- 13 -
3^ STANpAR_DJ2Ep_KEPORT_OUTLTNE
As discussed in the introduction, the standardized report
outline to be presented in this section is intended to be
more a guide and an aid to those preparing Assessment
Reports than a set of restrictions on their activities. The
outline has been annotated in an attempt to indicate the
type of information or questions which should be considered
in preparing each module. Additional sub-headings may be
used as appropriate. The titles of each textual section and
subsection are listed in Table ,3.1 for easy reference.
DOCUMENT_OUTLINE
ABSTRACT
Required by EPA regulations. 200 words or less. Will be
prepared by the report assembly organization.
PREFACE
The preface should state the objective of the document and
acknowledge contributions by the principal authors. It
-------
- 15 -
should also explain why the report has been prepared and the
relation of the document to other similar documents. The
preface should be brief and prepared by the report assembly
organization.
TABLE OF CONTENTS
Will be prepared by the report assembly organization and
carry the heading CONTENTS. First order headings should be
listed in upper case; second order headings should be listed
using upper and lower case style with the first letter of
the first word capitalized. Third order headings (also in
upper and lower case style) may be included if done
uniformly throughout the report and if they are numbered in
the report. Section and subsection numbers should precede
the title. The first line of all titles should have a
uniform indentation from the left margin. Extra space
should be left between sections.
-------
- 16 -
LIST OF FIGURES
Should list all figures that appear in the report by figure
number, title, and page number. The title should be in
upper and lower case style, with the first letter
capitalized. The first line of all titles should have a
uniform indentation from the left margin. Will be prepared
by report assembly organization.
LIST OF TABLES
Should list all tables that appear in the report by table
number, title, and page number. The title should be upper
and lower case style, with the first, letter capitalized.
The first line of all titles should have a uniform
indentation from the left margin. Will be prepared by
report assembly organization.
LIST OF ABBREVIATIONS AND SYMBOLS
Will be prepared by report assembly organization. All
abbreviations used in the text should be listed
-------
- 17 -
alphabetically and the full word(s) listed to the right
using a uniform indentation.
LIST OF CHEMICAL FORMULAS
Will be prepared by report assembly organization. All
chemical formulas mentioned in the text should be listed
alphabetically with their full name listed to the right
using a uniform indentation.
1. SUMMARY AKE CONCLUSIONS
Each primary, module development organization will prepare a
separate sub-section on summary and conclusions to the
specific module of the outline for which it is responsible.
The report assembly organization will use these
contributions in preparing this section.
-------
- 18 -
1.1 SUMMARY
An executive summary in which the most important points,
from the standpoint of decision-making, included in each
major section are presented in concise and simple language.
The summary should contain no information which is not
supported in the rest of the document.
1.2 CONCLUSIONS
The conclusions should concisely assess the degree of
knowledge of various aspects of the problems posed by the
pollutant, what critical data gaps may exist, the extent of
the problem posed by the pollutant, and the range of
possibilities available for doing something about it. There
would be nothing in the conclusions that is not clearly
based on data in the report. Although significant gaps in
knowledge should be noted, no recommendations should be made
as to whether future research should be carried out to fill
them. There should also be no recommendations as to what
action, if any, the Agency should take with respect to the
pollutant.
-------
- 19 -
2. POLLUTANT CHARACTERIZATION
2.1 CHEMICAL AND PHYSICAL PROPERTIES
A discussion of the chemical and physical properties of the
pollutant to he discussed in the report that may he
significant with regard to uses, sampling and analysis,
transport and transformation, effects, and control
technology. This section should discuss why these
properties are important. Include the basic chemical
formulae in the case of compounds as well as a diagram of
compound structure. Emphasize compounds which may be of
concern, whether or not they exist naturally in the
environment, their associations, stability, solubility, etc.
2.2 MEASUREMENT TECHNIQUES
This sub-section should discuss two questions: can the
pollutant be measured and how well? These questions should
be addressed with respect to ambient levels in air, water,
and land materials (soil, sediments, etc.), and
concentrations in food receptors such as plants, animals,
and man, in food consumed by animals and man, and in
-------
- 20 -
effluent emissions from pollution sources. In each case,
these two questions should be answered in terms of assessing
the techniques available for sampling and the preparation
and analysis of samples for the more promising techniques.
Shortcomings of each technique should be discussed. It is
also appropriate to assess the availability of instruments
and of standard reference materials for instrument
calibration and to assess the quality assurance status of
the method described. Additionally, for the methods
described, it is appropriate to indicate the working range
and recommended technique, and equivalent techniques if no
standard reference technique has been established.
Particular attention should be paid to the relationship of
what is measured by the analytical method to the form the
pollutant takes in the various media and on those techniques
used to obtain data presented in other modules of the same
document. where possible, quantitative values for
precision, accuracy, etc., should be stated. Interference
should be discussed specifically, as well as other problems
related to obtaining reliable data. Discussion of
procedures should not be repeated; simply reference previous
paragraphs.
-------
- 21 -
3. ENVIRONMENTAL OCCUPRENCF, AND TRANSPORT
Where possible it would be useful to include somewhere in
this section a figure that conveys an idea as to the total
cycle that the pollutant goes through from source to
receptor including approximate ranges of concentrations in
each medium and the exchange rates and mechanisms between
media and sub-media, where important.
3.1 CONCENTRATIONS
An assessment of available data on observed concentrations
in air, water, land materials, plants, animals, man, and
food for animals and man should be presented.
Characteristic patterns in space and time for both short-
and long-term changes should be emphasized. Dates of data
collection should be included, as well as confidence limits
(quantiative or subjective), measurement methods, and
averaqinq times. Significant, gaps in the data and changes
in measurement methods during the period of record should be
noted. If the term "trace" is used it should be defined.
-------
- 22 -
3.2 TRANSFORMATION AND TRANSPORT MECHANISMS
This sub-section should assess the state of knowledge of
chemical, physical, and biological processes in both natural
and man-made (such as those arising from disposal and
recycling) systems including removal mechanisms and rates
when known, transport within and between media, residence
times, etc., in air, water (including running, standing,
ground marine and estuarine), and soil environments.
Knowledge of mechanisms that influence visibility and
climate should be assessed. The biological discussion
should include food chain transfer as well as biological
magnification. To the extent possible, this section should-
be concerned with the total environmental cycle and the
principal mechanisms that have an impact upon environmental
loading, as well as the extent to which environmental
observations confirm the implications of process
information. Knowledge of the following biological
processes in fresh surface and marine waters should be
assessed where relevant: degradation by algae, bacteria,
fungi, and other hetrotrophic populations; microbial
transformation (product formation); effects on growth; and
incorporation and storage (fcioaccumulation). In the case of
biological processes in groundwater, degradation as a result
of interaction with soil microorganisms and transformation
-------
- 23 -
should he assessed. The following chemical processes should
be discussed in surface waters; fast (equilibrium
conditions) and slow (kinetics) reactions and
transformations for both chemical and photochemical
processes. The following physical processes should be
assessed in the case of fresh surface waters: mass -transport
and dispersion, adsorption, sedimentation, solution,
diffusion, and exchange (substrate-water-air-water). The
same physical processes should be assessed in the case of
marine environments except for the addition of density
(salinity) gradients and currents. In the case of physical
processes in groundwaters, infiltration and retention rates
should be assessed. Chemical processes in air and on
surfaces (such as photo-degradation) should be discussed.
If relevant, assess the role that other pollutants may have
in the transformation of the subject pollutant in the
various media in which they come together.
-------
- 24 -
4. ENVIRONMENTAL EXPOSURE AND UNDESIRABLE EFFECTS
Although this sect ion is organized in such a way that each
species or group of species would have to be discussed under
four different headings, each STAR Committee should
carefully consider whether it rray prove more efficient and
understandable to subdivide this section by groups of
species, such as plants, animals, and man or non-human and
human, and then to discuss consecutively each of the four
subjects of the subsections shown below for each group. If
this is done, non-human groups should, in general, be
discussed prior to man, the ultimate receptor.
4.1 MECHANISMS OF EXPOSURE
This section is concerned with assessing the mechanisms
operating at anatomical and physiological interfaces. The
discussion of animals should include respiratory, body
surface, and digestive tract routes. Plants should include
epidermal, root, and stomatal systems. Materials should
include mechanisms relating to undesirable effects, such as
corrosion. Mechanisms may be chemical, physical, or
biological.
-------
- 25 -
U.2 MECHANISMS OF RESPONSE
In this sub-section, consider the? receptor's normal handling
of the constituent being reviewed. Include uptake,
distribution, metabolism, and excretion. Include
information on retention sites and times and on response to
various retention levels. Background information necessary
to make judgments concerning potential problems should be
included along with nutritional requirements if applicable.
4.3 UNDESIRABLE EFFECTS
Identify and describe undesirable effects of the pollutant
involved on plants, animals, materials, man, weather and
climate, visibility in air, land materials, and water use
(including aesthetic uses). Effects on ecosystems as well
as effects on individuals and populations should be included
when appropriate. Jh_is discussion should be Structured in
a way .til§.t £ll§fi£ ^Dll^sd.ra^j.e ejfjrectf? can be scaled
^ the jL§Y£l 9^. £.Qvizo™§ntaI contamj.natj.oru In the
case of the effects on plants, animals, materials, and man,
the discussion should include the results of both laboratory
and field studies. Detailed treatment of individual
experiments or studies is not necessary; results should be
-------
- 26 -
emphasized. Information regarding experimental design
should be included if appropriate. A discussion of
reversibility or irreversibility should specifically be
included. Synerqistic effects of the pollutant, if any,
with other pollutants commonly found with it should be
assessed. The discussion should include proved, suspected,
and possible effects, but clearly distinguish among them.
The major gaps and uncertainties in our ability to predict
or measure the effects should be assessed.
4.4 ENVIRONMENTAL EXPOSURE
The purpose of the sub-section is to assess the possible
exposure levels (i.e., the accessability of the pollutant
and the combined exposure) of various receptors and the
probability that the receptors will actually be subjected to
these levels. These exposures may come through a number of
routes, all of which should be discussed where relevant.
These routes include air, water, food (in the case of man
and animals), land materials, occupational activities {in
man) and special routes (man) such as smoking, cosmetics,
and Pharmaceuticals.
-------
- 27 -
The assessment of receptor risks rniqht be treated
analogously to a time and mction concept, that is, by
considering the buildup of body burden or effect from
various environmental (and other) exposures and what
proportion is presented i:y each exposure. Include
population, density aspect, location of source, receptor
location and activities, and chance of contact.
If possible, the exposure estimates presented, summarized,
or cited in this subsection should be sufficiently
quantitative so as to make it possible to calculate the
benefit estimates in Section 6.1. If insufficient data
exist to present such calculations, then a qualitative
estimate should be prepared. Exposure estimates should be
determined for a range of potential control levels, ideally,
the same ones considered in Section 5.2, and including the
case of no further control. In some cases, it may be more
convenient to put this discussion at the beginning of
Section 6.
-------
- 28 -
5. SOURCES AND CONTROLLABILITY
5.1 SOURCES
This sub-section should include a discussion of both current
and projected sources of the pollutant from both natural and
man-made sources. In the case of natural sources, the
section should discuss what they are, how they are
distributed geographically, and what their expected
contribution is to the total emissions and to the ambient
level. In the case of man-made sources, include in addition
production, uses, and emission factors and distinguish
between stationary and mobile sources. If available,
process material balance studies should be cited. At this
point in our discussion, we should be concerned with
quantitative estimates of the man-mad^ contribution to
ambient levels of the pollutant in air, water, biological,
and land materials. The discussion should include the
processing of raw materials as a source of the pollutant.
In discussing the current and projected sources of the
pollutant, the impact of existing and planned reductions
resulting from current environmental regulations should be
identified.
-------
- 29 -
5.2 CONTROL TECHNOLOGY AND CONTROLLABILITY
For each major source listed in Section 5.1 assess the
potential for control by all methods; if it can be
controlled, assess the availability and effectiveness of
technology and/or administrative measures available to do
so, the cost of achieving a range of reduced ambient levels,
such as those considered in Section U.a, their
applicability, and whether their use generates other
pollution problems in the same media. Distinguish between
control measures already in use as a result of existing
environmental regulations, those planned or expected to be
used, and untried and unplanned measures.
5.3 UNDESIRABLE INTERMEDIA EFFECTS OF PRINCIPAL CONTROL
MEASURES
Some or all of the control measures discussed in Section 5.2
may create other pollution problems in the same or other
media. The existence, extent, and possible solutions to
such problems should be discussed for a range of control
alternatives.
-------
- 30 -
6. OVERVIEW, BENEFITS, AND INSTITUTIONAL PROBLEMS OF CONTROL
6.1 ECONOMIC BENEFITS FROM CONTROL
To the extent possible, this sub-section should describe the
total benefits to the nation, various regions, and income
groups from a variety of potential control levels, in that
order of importance. This information should be
quantitative and expressed in dollars to the extent
warranted by the reliability of the data, although
quantitative statements expressed in other units {e^cj^,
deaths avoided, hospital days not required, etc.) or even
qualitative statements should be made if sufficiently
reliable data are not available. Emphasis should be placed
on national economic benefits over a range of potential
control levels, such as those considered in Sections U.4 and
5.2, and including the case of complete control.
6.2 SOCIETAL/INSTITUTIONAL CONSTRAINTS ON CONTROL
The intent of this section is to assess the major
institutional and societal constraints on the implementation
of the potential contrcl measures discussed in Section 5 in
order to reach the control levels discussed in Section 6.1.
-------
- 31 -
Since the relative difficulty cf applying various control
measures should be discussed in Section 6.3, this sub-
section should be devoted to an analysis of any difficulties
likely to be encountered in implementing each of the various
control measures discussed in Section 5. For each
administrative or physical control measure described there,
the analysis should ascertain whether there exists any
Federal legislative authority for carrying out the measure,
what the major difficulties of so doing would be, and
whether there would be any other (non-legislative)
implementation problems of carrying out the measure
including administrative problems given current EPA, state,
and local policies.
6.3 OVERVIEW
This sub-section should provide an overview assessment of
how serious the health, ecological, and materials damage
threats posted by the pollutant are and how serious the
technological, economic, and institutional/societal problems
of control may be. The discussion of how serious the
problem is should include both the current situation and
projections to the year 2000 if possible. The institutional
discussion, unlike that in Section 6.2, should describe the
-------
- 32 -
relative difficulty of a range of reasonable control
measures, including that of the lowest cost measure. In
making this overview assessment, particular attention should
be given to the quality and certainty of key information and
its relevance to regulatory decisions that the Agency may
face.
-------
APPENDIX A
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
AUG 1 5 1974
OFFICE OF
RESEARCH AND DEVELOPMENT
SUBJECT: Scientific and Technical Assessment Documents
FROM: Acting Assistant Administrator for Research and Development
(RD-672)
TO: See Below
Introduction
This memorandum addresses the preparation and issuance by
this Office of assessments of existing data and information to
assist other components of the Agency in regulatory or standard
setting activities. Although provision of such information is perhaps
the most fundamental responsibility of ORD, confusion and misunderstanding
about the development and issuance of summary assessment documents (which
I will call Scientific and Technical Assessment Documents) has resulted
in delays in review and clearance by this Office. It has also become
increasingly evident that there is a need for a series of documents
on major pollutants that will summarize for easy reference by the
program offices, the Administrator, and others both inside and outside
the Agency such available information. 1 hope by this memorandum to
clarify the appropriate objectives and content of such documents,
the means by which the need for such materials can be identified
and the roles of the various organizational components of this Office
in developing these documents.
Overall Objectives
Broadly, the objectives of such documents should be to provide a
scientific basis for proposed/anticipated Agency actions, or an assessment
of the state of knowledge of a major area of completed study that we
do not currently plan to pursue further at this time. The material pre-
sented should cover all aspects of organized knowledge that will be
helpful in regulatory decision-making regarding a specific pollutant or
class of pollutants. This coverage should include an objective assessment
of existing knowledge pointing out the extent to which it is definitive,
the validity of the data on which it is based, and further identifying
uncertainties and gaps that may exist. Most such documents should be multi
media in scope t focusing on single media only to the extent warranted
-------
- 2 -
by the distribution of environmental insult. Documents of this type
should avoid advocacy and present all sides of unresolved scientific
issues. They should be objective in nature so as not to take positions
on issues currently facing the Agency or otherwise foreclose regulatory
options. Recommendations as to the need for future research programs
should be avoided. Further, they should avoid any assessment of current
Agency policies in the light of information presented. The documents
should not, however, be purely expository in nature as would be project
reports. They should have an element of assessment so. that, when
published, they can be said to represent the considered position of
the scientific and technical arm of the Agency regarding organized
knowledge bearing on a given subject. Finally, they should report.
available effects information either in the form of a dose-effect
function or where this is not possible provide as much information as
exists to help the user estimate what the relationship is.
Content
The format of these documents should be modular in character,
containing either all or some subset of a group of generic topics
on which ORD plays the central advisory role for the Agency.
Ordinarily these documents will contain all of the modules listed
below; however, in special situations as, for example, when the document
assesses an area of research being terminated or when the document is
being prepared to meet a specific legislative requirement with a
smaller scope, such as those prepared pursuant to Sec. 108 of the Clean
Air Act, fewer modules may be needed. I would suggest that the set of
modules should include the following:
o A discussion of pollutant characterization that would cover
how the pollutant is measured in various media, capabilities
of different measuring techniques, forms which the pollutant
may take, etc.
o A discussion of environmental occurrence that should cover
known information on the presence of the pollutant in various
media and should address the movement and chemical transformation
of the pollutant in all media and defining, to the extent
possible, routes of exposure to receptors.
o A discussion of the ecological, materials, and health effects
associated with the pollutant, after it leaves the media and
enters the receptor structured in such a way that these effects
can be scaled against the level of environmental contamination.
o A discussion of current and projected sources of the pollutant,
available control technologies, their costs and applicability,
and the general controllability of the pollutant.
-------
— 3 —
o Finally, an overview/environmental appraisal that would consider
societal/economic factors associated with the pollutant,
including available information on the benefits of and known
institutional constraints on control.
Origination, Preparation and Clearance.
The need for these documents may be identified either from within
ORD or elsewhere in the Agency. We have already received numerous
requests for materials of this type from several of the program offices.
Similarly, both the DAAs and the MERC/WERC Directors are in positions
to be sensitive to needs for specific background documents.
In order to bring into being this scientific background series,
I feel it is essential to be able to look across all ORD Program Areas
in order to put the contribution of each in proper perspective. Further,
it is crucial that ORD coordinate these outputs with the potential users,
particularly in the program offices. For those reasons, I am assigning
overall responsibility for the appropriate development and clearance
of such documents to the Office of Program Integration. Specifically,
it will be their responsibility in close cooperation with DAAs, NERCs,
and program offices to:
o Prepare and periodically update a list of major pollutants
for which documents are to be prepared, and the dates by
which they are to be issued,
o Develop detailed substantive and editorial guidelines for
the development of such documents,
o Prepare and obtain the concurrence of relevant DAAs and WERC/
NERC Directors on a detailed plan for the development of each
document that: specifies the modules required, identifies
responsible contributors, and specifies the date for the
completion of each major task,
o Folloxtf the preparation of each module in enough detail to
anticipate delays or major problems so that the necessity of
remedial action can be brought to the attention of the relevant
DAA or NERC Director or the schedule adjusted,
o Arrange for appropriate internal and external review of the
full documents, and
-------
o Arrange for editing of the final document to ensure necessary
uniformity of style and consistency of content, and prepare
any additional overview section that may be useful.
I should like to emphasize that it is not my intent that OPI
should prepare any major portion of the material in each document or
alter the scientific content thereof except as necessary to obtain
uniformity of style and maintain consistency with overall ORD policy
with regard to such materials, as stated earlier in this memorandum.
Implementation of New Procedures
The Office of Program Integration should proceed as rapidly as
possible to implement the new procedures outlined in this memorandum.
In order not to delay assessments now under development, however,
existing plans, deadlines, procedures and organizational relationships
will continue in effect until changed by follow-up memoranda from the
Deputy Assistant Administrator for Program Integration except that an
information copy of all such assessment documents not yet cleared by
me, and regardless of whether fragmentary or comprehensive in nature,
will be sent to the Deputy Assistant Administrator for Program Integration
prior to any review external to ORD of the full document (or in the case
of those already under external review, immediately) by the person
coordinating such review. The Deputy Assistant Administrator will also
approve the completed package after the review and prior to clearance
by me. He will at that time edit the. documents now being prepared
to conform to the overall objectives section of this memorandum to the
extent possible without causing major delays. Obviously, independent
action by those now responsible for the development of such documents
to make them better conform with this memorandum will^speed the review
process.
Addressees:
Acting Deputy Assistant Administrator for Program Integration (RD-675)
Acting Deputy Assistant Administrator for Environmental Engineering (RD-676)
Deputy Assistant Administrator for Environmental Sciences (RD-682)
Deputy Assistant Administrator for Monitoring Systems (RD-685)
Director, Office of Program Management (RD-674)
Director, Washington Environmental Research Center (RD-690)
-------
— 5 —
Director, National Environmental Research Center, Cincinnati
Director, National Environmental Research Center, Corvallis
Director, National Environmental Research Center, RTF
Director, National Environmental Research Center, Las Vegas
Director, Control Systems Laboratory, RTF
Director, Chemistry and Physics Laboratory, RTF
Director, Meteorology Laboratory, RTF
Director, Quality Assurance and Environmental Monitoring Laboratory, RTF
Director, Pesticides and Toxic Substances Effects Laboratory, RTF
Director, Experimental Biology Laboratory, RTF
Director, Special Studies Staff, RTF
Director, Human Studies Laboratory, RTF
Director, National Marine Water Quality Laboratory, Corvallis
Director, National Water Quality Laboratory, Corvallis
Director, Arctic Environmental Research Laboratory, Corvallis
Director, Pacific Northwest Environmental Research Laboratory, Corvallis
Director, Grosse lie Laboratory, Corvallis
Director, Robert S. Kerr Environmental Research Laboratory, Corvallis
Director, Gulf Breeze Environmental Research Laboratory, Corvallis
Director, Southeast Environmental Research Laboratory, Corvallis
Director, National Ecological Research Laboratory, Corvallis
Director, Advanced Waste Treatment Research Laboratory, Cincinnati
Director, Environmental Toxicology Research Laboratory, Cincinnati
Director, Industrial Waste Treatment Research Laboratory, Cincinnati
Director, Methods Development and Quality Assurance Research Laboratory,
Cincinnati
Director, Solid and Hazardous Waste Research Laboratory, Cincinnati
Director, Water Supply Research Laboratory, Cincinnati
Director, Monitoring Operations Laboratory, Las Vegas
Director, Monitoring Systems Research and Development Laboratory, Las Vegas
Director, Technical Support Laboratory, Las Vegas
-------
APPENDIX B
STAR DEVELOPMENT PLANS AND THEIR PREPARATION
This Appendix contains a format for STAR Development Plans
together with notes on most items. These notes follow:
t on which. STAR is to be prepared. Be
precise yet brief.
2. Reasons for producing STAR and use that, will made
of it.
2-1 BSSS2DS whY ORD regards the STAR as high priority.
2-2 Usfrjsj^: Principal expected EPA using of f ice (s) —
detail to at least. DAA level.
2.3 Usej;s]_: Principal expected EPA using of f ice (s) —
detail to at least DAA level.-
2l-^I!SS : Include month and year for all significant
milestones, including both those already achieved (show
actual date) and those not yet reached (show current
best estimate) .
3.2 Target, date for approval by all relevant DAAs, WERC,
NERCs, and requesting offices outside ORD.
3.3 Besides date, specify nature of input.
3.4 Besides date, specify nature of input.
14 • 2iitli.ne: Specify precisely what document outline is
now planned to be used if other than that .in Section
3 of these guidelines. (Example: Special Studies
Staff outline, sections 1 throucrh 12) . Attach
copy if OPI does not already have one.
I:J:5I} : Sections refer to any speci-
fied by item U or in attached outline. If individual not
known, specify organization if possible. Indicate whe-
ther preparer believes informal approval has been
obtained from all responsible ORD officials that
individual/organization shown has agreed to prepare
section.
7- B£l52£i_£5S2JI!Lvi^_2^£3£!I!J:2^±J:£L1: ORD organization respori-
-------
B-2
sible for assembling Rough Draft and subsequent STAR
drafts.
Check those ORD organizations
whose concurrence is required pursuant to Section 2
of the working Guidelines and Procedures.
10* rjrj§2£»I§d_b.y: Name of individual primarily responsible
for preparing this development plan.' Telephone number
would be helpful.
11. I:£l;e_.i>r£;Dared: Cate on which preparer finished the
plan .
12. I?§t.e_a2prgyed_bY_STAP_Con;mj:ttee: To be filled in when
this actua3 ly occurs.
13. P3i-2^Jl^OD£u£J[£J3C£S_oM^j.ned: To be filled in when
concurrences have been~~obtained from the Directors/DAAs
of all organizations indicated in item 9.
14. Other_cpmrnents: List any respect not indicated else-
where in the plan in which this STAR or the preparation
of it will differ from the OPI working guidelines and
Procedures for Preparation of ORD STARs.
-------
B-3
2.2
2.3
•3* ^ilSfltODf-s: See separate page.
4. Outline:
5. Se ct^on_^ev_e 1 o_pment_ pLan : See separate page
6. OPI^.Co ordi riator :
5- Cone ur r ences_r e^uired : CPI ___ OEE ___ OES ___ QMS
WERC ___ NERC-Cin __ NERC-Cor ___ NERC-RTP __
NERC-LV
10- P£5I?3red_by: 11. Da t e_pre£a r ed :
1 2 . Da t e_aoprove d_h_y__STA_R_Corrim_i t.hee :
1 3 . pa t_e_a_l JL_c pjic u r r e.ncft s_ob_ta ined :
14. O the r __commen t_s :
-------
B-3
3. KIL E STON ES
3.1 Request (if any) first received from program office:
3.2 Development plan approved:
3.3 Major required input (specify) received other than
contractor report:
3.4 Contract signed to develop inputs (specify) for report:
3.5 Final contractor report received:
3.6 All EPA drafts received fcy report assembly organization:
3.7 Rough Draft 1 sent tc Working Group:
3.8 External Review Craft available:
3.9 Edit 2 sent to Working Group:
3.10 Clearance draft sent to Office of Program Integration:
3.11 Clearance draft approved by AA for Research and Devel-
opment:
3.12 Final draft published:
-------
5. SECTION DEVELOPMENT PLAN
To be preparej_jr£
Sec- Orqani- Indivi- Informal Due
tion
-------
APPENDIX C
Since numerous assessment documents are being' prepared, it
is useful to formalize the procedures for handling the
drafts as they progress to the final document. This will
assist i-n identifying the most up-to-date draft, the purpose
of each draft, and the availability of drafts for
circulation.
§ENERAL_ REQUIREMENTS
Each laboratory should ensure that each author's submission
is identified as to document, date submitted, and author.
These submissions should, if possible, be made using the
Word/One System of Bowne Time Sharing, Inc. If not
available, IBM magnetic cards or hard copy should be
submitted to the report assembly organization, in that order
of preference.
Special care should be taken by 'typists to ensure that
numbers and symbols are accurately typed from one draft to
another. Errors in thes.e are hardest to catch.
One copy of each draft should be filed for office reference
purposes and kept for 6 months after the document is
published.
Experience has indicated that a sequence of drafts, as
described below, is necessary. In individual cases,
additional drafts at one stage or another might be required.
Where action by an individual is indicated in the draft
sequence below, this indicates responsibility of that person
for the action being carried out but does* not mean that the
duty may not be delegated.
Rough_ Dr a f ts
The report assembly organization should assemble a rough
draft document from the module submissions using the
standard outline. This will be identified as ROUGH DRAFT 1.
Rough Draft. 1 will be sent to the Working Group for review,
which may meet as a group to discuss the draft and propose
-------
02
revisions. New writing and/or rewriting assignments may be
necessary. When comments and new material are incorporated
into a new draft, this will be identified as ROUGH DRAFT 2.
This draft may be omitted at the discretion of the Working.
Group Chairman if there are only minor changes suggested in
Rouqh Draft 1 provided that the pre-editing described in the
next paragraph is carried out on Rouqh Draft 1.
Rough Draft 2 will be submitted to the Working Group for
comment and revision. The report assembly organization may
address specific questions to section authors where
clarification or further information is required. While
Rouqh Draft 2 is being reviewed by the Working Group, it
should undergo a rough editing process to make certain that
the next draft will, te reasonably comprehensible. This pre-
editing should ensure that at least the meaning of the text
is clear, the units are metric, the tables comprehensible,
and the numbers in the text and the tables are consistent.
External^ Review^Draft
Author comments and ether material identified as necessary
or desirable by the report assembly organization or the OPI
Coordinator will be incorporated into a new draft along with
the results of the pre-editing. This draft will be
identified as EXTERNAL REVIEW CRAFT. When completed, a copy
will be transmitted to the OPI Coordinator for a one week
review to determine consistency with the Development Plan
and these working guidelines and procedures. If no
objection has been raised by the OPI Coordinator seven days
after he receives the draft, the report assembly
organization should, proceed with the formal internal and
external review.
This and the Clearance Draft are the only drafts in the
sequence intended for review purposes and are to be the only
ones formally distributed as a draft of that respective
Workinq Group. Other drafts should not be represented as
reflecting the views of the Workinq Group; they may,
however, be circulated to a limited number of persons other
than those engaged in drafting that document provided that a
copy of any resulting reviews are sent to the report
assembly organization and the OPI coordinator as soon as
received in ORD.
The report assembly organization will be responsible for
sending or arranging for sending copies with manuscript
review forms to:
-------
C-3
o Suitable individuals in the program offices
concerned.
o Non-"-Headquarters OKD personnel not on the Working
Group who are believed to have special knowledge of
the subjects discussed.
o Those reviewers external to ORD designated by the
Science Advisory toajd pursuant to a prior request
by the report assembly organization through the OPI
Coordinator for SAB to arrange for scientific
review.
o Any other individuals they deem desirable.
The OPI will be responsible for sending or arranging
for sending review copies with .manuscript review forms to
the following Headquarters personnel:
o Appropriate OPI staff members and consultants^
o Members of the STAR Committee.
o Relevant DAAs.
o Any other individuals CPI deems desirable.
Both OPI and the report assembly organization will ensure
that the other receives a copy of all reviews as soon as
possible after receipt.
Two months after the initial release of the external review
draft by the OPI Coordinator, the report, assembly
organization should proceed with revising the draft report
in response to the comments received whether or not all.
reviews have been received back unless requested to delay by
the OPI coordinator.
When the document is complete in respect to its substantive
content, a draft will be prepared by the report assembly
office and identified as EDIT 1.
The report assembly organization will next arrange to have
Edit 1 edited. The edited draft will-be reviewed by the
report assembly organization to determine whether editorial
changes are acceptable or not. They will also consider EPA
-------
C-4
required style and general technical aspects of the document
and add required forms.
Edit_2
When the report assembly organization is satisfied with the
edited Edit 1, a draft will be prepared and identified as
EDIT 2. " This draft will be distributed to members of the
Working Group for comment.
C1 ea r.ance Dra ft
When the comments on Edit 2 have been received, the revised
draft as finally agreed upcn by the working Group will be
typed and identified as CLEARANCE DRAFT. The report
assembly organization should ensure that all final elements
are included, such as the table of contents, and proofread
by at least one ether person.
The report assembly organization will send the draft to the
OPI Coordinator for final Headquarters review together with
a- signed printing requisition and proposed distribution
list. The OPI Coordinator will send a copy of the Clearance
Draft to all members of the STAR Committee and all relevant
DAAs with a maximum of two weeks for review. If no
objections that cannot be readily resolved are received in
two weeks after receipt by these individuals,, the OPI
Coordinator will submit the draft to the Deputy Assistant
Administrator for Proqram Integration and the Assistant
Administrator for Research and Development for final
clearance. If objections arise, the OPI coordinator will
attempt to resolve them if they are minor in nature, or
request the report assembly organization to revise the
Clearance Draft if any substantial effort, is required.
Final_Draf t
When the Assistant Administrator for Research and
Development has cleared the document for publication, that
draft will be designated as FINAL DRAFT.
The OPI Coordinator will arrange for inputing necessary
codes usinq Word/One for final photo composition and for
delivery of the finished camera ready copy to the Office of
Program Management or other appropriate organization for
printing arid distribution.
-------
APPENDIX D
These editorial guidelines and special instructions have
been prepared to ensure material consist'ency within each
document and to ensure that all documents are consistent
with each other with respect to format. These guidelines
and special instructions should be carefully read by all
those tyoing any portion of a Scientific and Technical
Assessment Report. The following elements will be
discussed:
Section
D
D
,2
3
D.4
D.5
D.6
D.7
D.8
D.9
D.10
D.ll
D.12
D.13
D.14
D.15
D.16
D.17
D.18
D.19
D.20
D.21
STAR Series
Use of word/One
File of Reference Material
Cover and Title Page Format •
EPA Review Notice and Other Disclaimers
Inside Front Cover Page Format
Paper Size
Margins
Type Face
Units
Line Spacing
Indentation
Lists
Headings
References
Footnotes
IIlustrations
Table Style
Page Numbering
Conformance with CRD Report Specifications
Dj, 2 STAR_SERIES
All STAR will be in a new ORD report, series number 6 called
the STAR Series. All STAR will accordingly carry an
identification number EPA- 600/G-7X-OYZ where X is the last
digit, of the year and YZ is the soouential number in the
STAR series issued by Cynthia Holley (202) 426-2175. The
number will be assigned when the final draft is prepared.
-------
D~2
All drafts should he typed and photo-composed using the
Word/One system of Bowne Time Sharing, Inc. Where possible,
drafts should he transmitted to other EPA offices by
messaging the draft report over the Bowne System to the
recipient. A supplementary telephone call will insure
prompt receipt.
If it is not possible to prepare all drafts on Word/One,
every effort should be made to prepare at least the External
Review and later Drafts en it. Information on obtaining
access to Word/One can be found in Appendix E. In order for
clerical personnel to become proficient in the use of the
Word/One system, it is strongly advisable that they take a
one week course provided by Cowne Time Sharing, Inc. If a
sufficient number of these requests have accumulated, ORD
can arranqp> a special course oriented towards the STAR
documents. Requests for the course in connection with STAR
should accordingly bfi sent to Dr. Alan Carlin, RD-675,
Headquarters on form DI-5ICA, Request, Authorization and
Record of Employee Training, for forwarding to Mr. Harvey
Weiner in Personnel after negotiations for any special
course are completed.
Questions by ORD field personnel as to the use of Word/One
can be answered by the following KEFC employees:
NERC-Cincinnati -- Ed Nime (513) 684-4442
NKRC-Corvallis — Ken Eyram ('JO 3) 752-4385
NERC-RTP -- Mel Myers (919) 549-2613
If they are unable to help, the following Washington based
people may be able to do so:
Ms. Denise Swink — ORD ACP Consultant — (202) 426-
4180
Mr. Ronald A. Webb — fiowne Account Representative,
1C25 Connecticut Avenue
Washington, D.C. 20036
(202) 785-8800
Ms. Mary Janet casserly -- Bov:ne customer Service
Representative --
(202) 705-8800
D.4
Copies of all references or sources cited in any STAR should
be obtained by the report assembly organization and retained
in an easily referenced form in the files until such time as
-------
n-3
the report may be revised and updated. Each report assembly
organization may, with OPI approval, arrange for not more
than one other EPA organization to carry out this
responsibility provided that that organization can quickly
respond to inquiries concerning the reference or source.
P.. 5 __ C 0 V F, RAN DT J T L E_P Afi E F ORK AT
The oriqinal for the printed cover (camera ready) will be
prepared by the publications staff at OKD Headquarters, The
title which should be centered in capital letters in the
upper half of the cover and title page should read as
f ollows;
SCIENTIFIC AND TECHNICAL ASSESSMENT REPORT
CK
(POLLUTANT)
The orginating organization should te shown as follows in a
single centered block near the bottom of the title page:
Assembled by
(name and location of report assembly organization)
for
Office of Program Integration
Office of Research and Development
U.S. Environmental Protection Agency
Washington, D.c. 20460
On the 'cover page, this should he abbreviated by including
only the last three lines in the lower ric'.it-hand corner.
The cover should be printed on 100 pound buff stock using
dark blue GP-240-B ink and reverse printing.
P.. 6 __ EPA REVIEW NOTICE
All drafts except the Final Draft should also include the
following wording on the title page:
NOTICE
This draft report has not been reviewed by the office
of Research and Development, EPA, and has not as yet
been aipproved for publication. Accordingly, the
contents do not necessarily reflect the views and
policies of the Environmental Protection Aqency.
Mention of trade names cr commercial products does not
constitute endorsement or recommendation for use.
-------
D-4
In addition, all hard copy drafts except the final draft
should carry the following statement in capital letters on
each page:
CRAFT
DO NOT QUOTE OR CITE
The Final Draft should carry the following wording on the
second page (to. be included on' the inside front cover of the
printed report) :
EPA REVIEW NOTICE
This report has been reviwed by the Office cf Research
and Development, EPA, and approved for publication.
Mention of trade names cr commercial products does not
constitute endorsement or recommendation for use.
D.7 INSIDE FRONT COVER PAGE ICRKAT
The inside front cover page of
read as follows:
the printed report should
RESEARCH REPORTING SERIES
Research reports of the Office .of Research and
Development, U.S. Environmental Protection Agnecy,
have been grouped into series. These broad categories
were established to facilitate further development and
appl'ication of environmental technology- Elimination
of traditional grouping was consciously planned to
foster technology transfer and a maximum interface in
related fields. These series are:
1. Environmental Health Effects Research
2. Environmental Protection Technology
3. Ecological Research
H. Environmental Monitoring
5. Socioeconomic Environmental Studies
6. Scientific arid Technical Assessment Reports
(STAR)
This report har, been assigned to the SCIENTIFIC AND
TECHNICAL ASSESSMENT REPORTS (STAR) series. This
seriftn assesses the available scientific and technical
knowledge on major pollutants that would he helpful in
possible EPA regulatory decision-making regarding the
pollutant or assesses the state of knowledge of a mjaor
area of completed study. The series endeavors to
-------
D-5
present an objective assessment of existing knowledge,
pointing out the extent to which it is definitive, the
of the data on which it is based, and
and gaps that, may exist. Most of the
•>^. multi-media in scope, focusing
validity
uncertainties
reports will
single media
on
only to the extent warranted by the
distribution of environmental insult.
EPA KEVIFK NOTICE
This report has been reviewed by the Office of Research
and Development, EPA, and approved for publication.
Mention of trade names or commercial products does not
constitute endorsement or recommendation for use.
DISTRIBUTION STATEMENT
This report is available to the public from
Superintendent of Documents, U.S. Government Printing
Office, Washington, D.C. 20^02.
1X8 PAPER_SIZE
The paper size should be 8 x 10-1/2 inch paper; where this
is not available use 8-1/2 x 11 inch paper and adjust
margins as noted below.
Pi.9__MAR(iINS
Margins should be as follows en all drafts as well as the
printed report:
o
For 8 x 10-1/2 inch faper, use left margin of 1-
inches, type text six inches wide with upper and
lower margins of one inch; on Word/One, determine
margins by entering as w60;50.
For 8-1/2 x 11 inch paper, use left margin of 1-1/2
inches, type text six inches wide with upper and
lower margins of 1-1/H inches.
The printed Report should be set in Times Roman, or if
Word/One is not used for photo composition for some reason,
a type face as similar to it as possible.
D. 1 1 UNITS
-------
D-6
All measurements shall
modernized metric system.
parentheses followinq the
references may be helpful:
l:e expressed in terms of the
Equivalent, units may he given in
metric expression. The following
Page, Chester, and Paul Vigoureux, The
iJDtfrn^ionaj. 5y.st.rir3 of Units, NBS Special
Publication 330, US GPO, Washington, D.C. , 20U02,
price 30 cents.
o
• Standard E 3J3.0-7 i! (Metric
i£5 Guide]_, American Society for Testing and
Materials, 916 Race Street, Philadelphia,
Pennsylvania 19103.
D.I 2 LINE
5ACING
Spacing should be as follows:
o For review drafts, spacing betweeen lines and
.between paragraphs should be two (2) spaces,
including subsection headings;
Section titles shall te centered three (3)
above the the text, but within the margins.
spaces
D.I 3 INDENTATION
Indentation should be as follows:
o All text except lists should begin at left margin,
i.e., no indentation;
o Lists: See below.
14 LISTS
Lists of items in a paragraph should be •• preceded by small
circles (o) except where there is a reason for them to he
preceded by Arabic numerals in parentheses. The circles
should be indented five (5) spaces from the left margin.
All text should be indented three (3) more spaces, or a
total of eight (8) spaces where small circles are used. The
text of each item should be followed by a period at the end
of the item...
-------
D-7
D..15 HEADINGS
Sections and major subsections are to be numbered using the
decimal system as in the standardized document outline.
Headings are to follow the style presented below. The
instructions are written using the appropriate numbering and
heading format.
Each section heading should start a new page, be in capital
letters, and be underlined.
SFCONDORDER
Each subsection title should be in capital letters and be
underlined, but need not start a new page. Start paragraph
two spaces below heading with no identation.
Capital and lower-case letters are set flush with left
margin and two spaces above paragraph. ilnder.li.ne third
order headings. Third order subsections may be numbered at
the discretion of the report assembly organization, but
should be done consistently throughout the report if at all.
Such subsections should be numbered by adding a period and a
number to the second order number. In this case the number
would be 1.1.1.
£J2urth_Order ~~ Capital and lower case letters are set flush
with left underlined, and followed with two dashes. Text in
this fourth order follows on same line.
FiJL£h_Q£.<3.§£ ~~ Initial capital letter on first word only and
on .proper nouns, underlined, and followed with two dashes.
Text follows on same line. (Note: Fifth order should be
avoided whenever- possible) .
•EXAMPLES CF NUMBERING AND HEADING STYLE-
Sulfur oxides and suspended particulates, here considered
together, often have common origins in that both may be
-------
D-8
produced by the burning of fossil fuels. Sulfur dioxide is
produced by the combustion of sulfur compounds present as
impurities in many coals and heavy oils.
The results of animal studies suggest that the addition of
various particles to sulfur dioxide may potentitate or
enhance its effect. There is no convincing evidence from
experimental work on healthy human beings that particles
added to inhaled sulfur dioxide potentiate its effects in
short-term exposures.
2
There have been some reports of studies that can be used to
establish dose- response relationships or associations for
sulfur dioxide and suspend particulates . These studies are
limited in number, however, and at present there is little
information available concerning the effect of varying one
of these pollutants while the ether is kept constant.
Effects
Epidemioloqical techniques have been used in attempts to
evaluate the separate or combined effects of sulfur dioxide
and parti culaten. In London, implementation of the Clean
Air Act has greatly reduced pollution by particulate matter,
• and this reduction has been a'ccompanieu by a much smaller
drop in sulfur dioxide concentrations. Lawther evt. al.
studied the association of daily levels of smoke and sulfur
dioxide with the reported state of health of patients with
respiratory disease.
ic Bf fleets
In any discussion of the effects of air pollution on people
a distinction must be made between acute, subacute, and
chronic effects, Kith very high concentrations such as have
occurred in London, England, the Meuse Valley (Belgium) ,
Donora, Pa. , New York, the Ruhr, Osaka, and Rotterdam, the
immediate f facts were clearly manifest in terms of nortality
or increased morbidity, especially among those already ill,
old, or otherwise enfeebled.
_ . °.D £di:lt;.§ — Holland and co-workers studied
outdoor postal and telephone workers' in the United Kingdom
-------
D-9
and the USA and found a graduation of respiratory disease
symptoms across polluted levels, particularly in the 50-59
year old cateqory.
-- Colds and related infections provide a
measurable effect. Much data has been collected.
Colds — Study of this -condition has been confusing. Large
sums have been spent,
d_ in£§.ctj.ons_ — Those who ventured into collecting
this data are to be praised. Their work has left a mark on
the scientific community.
J2i^^T-P£Y ~~ These effects are difficult to separate
from other causes. Many studies have been of poor design.
•END OF EXAMPLE -
P.. 16 REFERENCES
Scientific and Technical Assessment Reports should use as
references, only those that have been verified by the writer
at the time these documents are prepared. Proper
preparation of reference listings in the initial drafts
results in a considerable saving of time and error in final
editing.
Where unpublished data or personal communications are
referenced, permission to cite the data or personal
communication must be obtained from the source by the person
citing that reference.
Bibliographic style and format should be consistent.
References to published material in the text should .be cited
in the author's last name (or, in the cases where there are
no individual authors, the name or recognized acronym of an
institutional author without any preceding .article) , year
(in parenthesis), and page number if relevant (also in
parenthesis), e.g., Jonen (1946, p. 136), and should be
listed in full alphabetically at the end of the report. Tf
an author has more than one referenced publication in a
year, thwn these should be identified consecutively in the
list of references using lower case letters following the
year and should also appear following the year in the text.
If there is morp than one author, normally reference only
the first in the text, followed by a comma, et a_l. , another
comma, and then the year. If the same first author has
-------
D-10
different co-authors of referenced publications in the same
year, include enough co-authors in the text reference to
make clear which is which.' If reference is made to an
individual's work as discussed in a secondary source, the
reference should be to the secondary source, e_._cj_._, see the
work of A. .J. Smith as discussed in NAS {1974b, p. 322) .
tables that have been extracted or are based on other
materials should be acknowledged by reference, with tho
source shown by author and date under Source at the end of
the table and listed in full at the end of the section. The
sources for figures must also be shown, but may be in the
text or on the figure.
Journal article (and reprint) entries should be in the
following order (unless an element is missing, in which case
it should be omitted):
o Author's last name, comma, initials, comma, names
of additional authors, comma, year of publication,
lower case letter (if more than one publication is
listed for the same author in the same year),
period. If there is more than one author, use
regular initials and surname order for these other
than the first author, and use comma before the and
preceding the last author.
o Title should be in quotes and in upper- and lower-
case style. Follow with comma. If title is in a
foreign language, follow with English title in
brackets.
o Name of journal -- City where journal is published
should be listed in parentheses after journal name
if the journal is foreign. Abbreviations of the
names of periodicals should follow in the style
as listed in the ACj_Haudbooj<__for_Auj-hgrs.
Follow with comma.
o Volume number of journal should be cited and under-
scored. The issue number should be listed in
parentheses after the volume number. Follow
with a colon.
o Page numbers -- Immediatly after colon, inclusive
page numbers are given. Separate them with hyphen.
-------
D-ll
Follow with a period.
Smith, E. A., R. A. Jones, and A. T. Brown, 1969. "Effects of
Air Pollution on Painted Surfaces," Aust. Chem.
(Sidney)., 22:17-21.
Bookjs
o Author (s) and date — Same treatment as for journal
articles.
o Title — Same treatment as for journal article
titler, except, that title should be underlined instead
of in quotation marks. List edition, if relevant,
and follow with corr.ma.
o Name of publisher -- Follow with comma.
o P-lace of publication — Use city name. Follow with
comma.
o Pages cited -- Whole hook: 500 pp.
Chapter: pp. 321-347
Pa g e : p . 336.
End with period.
Example --
Smith, A. R. , 1971. Aj.r^oj.j.ut_ion_J.n_yrhan_ America, 2nd Ed.,
U. of Chicago Press, Chicago, 316 pp.
o r P roc e e d i. ri s
o Author and date -- Same treatment as for journal
article. Follow with period.
o Title of article or chapter — Put in quotation
marks and follow with comma.
o In: Book title -- Follow with comma.
o Follow with editor's last name, initials, and
{ed. ) -- Follow with coirma.
o Name ct" publisher -- Follow with comma.
o Place of publication ---Use city name. Follow
with comma.
-------
D-12
o Pages -- pp. 321-327 or p. 333. End with period,
Example --
Doe, J. C., 1962. "Air Pollution form Stockyards,: in:
Air_Pollutj.on_i.n_Unj.ted_5taj:es, Kiercynski, Y.A.
(ed.)f Livestock Publishers, Kansas City, pp. 312-316.
Regorts
o Author and date -- Same treatment as for journal
articles. Follow with period.
o Title -- Same as for took. If no author, start
citation with title. Follow with comma.
o Source -- Name of company, institution, or
government agency. If a contractor-sponsor rela-
tion exists, identify the performing organization.
Follow with comma.
o Location of publisher -- Follow with comma.
o Report number -- Follow with comma.
o Issuing agency or (co)sponsoring organization
which issued report -- Follow with a comma.
o Pages cived or total pages — Follow with period.
ExampJ.e --
James, L. P., J. T. Frederick and P. J. Williams, 1971.
_ti_^£i2iiS_Or^ho<_MPthod_s
U.S. Environmental Protection Agency, Raleigh, N. C. ,
Publication Number AP-485, 185 pp.
Preorint_s
o Author and title -- same treatment as for journal
articles. Follow with comma.
o Source or author's affiliation — Follow with comma.
o Name of meeting -- Precede with parenthesis.
-------
D-13
Preface name of meeting with statement of relation
such as "prepared for" or "Presented at". Follow
meeting name with comna .
o Place of meeting -- City only. Follow with comma.
o Date of meeting -- Exact month and day. Close
parenthesis, then follow with comma.
o Number of pages -- Follow with period.
Example --
Smith, R. F. , 1972. "Air Pollution in River Basins,"
Riverview University, (presented at Annual River Basin
Preservation Society Meeting, Riverview Heights, June 5-9),
14 pp.
o Governmental legal code or series of regulations --
Follow with comma.
o Title of act or law, if there is a name — Follow
with comma .
o Associated title, act number, section number, or
paragraph identification -- Follow with comma.
o Publisher (if relevant) -- Follow with comma.
o Place of publication (if relevant) .
o Date -- Place in parenthesis. Follow with
coin ma .
o Pages — Follow with period.
Example —
5 USC, Freedom of Information Act, Sec 552 (b) (1967).
o Investigator cr other individual who provided
data and date collected, summarized or otherwise
identified — Follow wit-h period.
-------
D-14
o Title of report, file, or project where data can be
found -- Follow with comma.
o Source -- Name cf ccmrany, institution, or agency.
Follow with comma.
o Location -- City and state or foreign country,
Follow with ccmma.
o Unpublished. End with period.
ExamojLe
Smith, R. R. , 1971. Car Count Project, State Department
of Transportation, Baltimore, Maryland, unpublished.
o Name of individual and date — Follow with period.
o Affiliation -- Follow with comma.
o Location -- Follow with comma.
o Personal communication with — Give name of EPA
employee or other individual who received the
communication. Follow with comma.
o Exact date — Specify month and day if known. End
with noriod.
Jones, F. R., 1973. North Carolina Board of Lumber
Control, Raleiqh, North Carolina, personal communication
with I. M. Epa of EPA, July 8,
FOOTNOTS
Footnotes are indicated in text by superscript arabic
.numerals. The footnotes for each section should be
collected at the end of the section.
1D..18 __ ILLUSTRATIONS
To assure good reproduction, illustrations should be black
ink line drawings without large gray-shaded or solid-black
-------
D-15
areas. Areas to be defined may be designated with cross
hatching or dot patterns, which do reproduce well.
Illustrations should be proportioned to correspond with the
6- by.8-1/2 inch page frame. Since illustrations cannot be
stored in Word/One, xerox copies of illustrations should be
sent to j_ recipients of draft copies and adequate space left
for them in the text.
Graphs
All callouts on graphs should he in capital letters except
for chemical and mathematical terms and symbols, which
cannot be changed as a matter cf style. The ordinate and
abscissa should be labeled with capital letters followed by
a comma and units in lower case letters. Units should be
broken out of the description: "CONCENTRATION (ug/m)" is
preferable to "CONCENTRATION IK MICROGPAMS PER CUBIC METER."
(See Figure B.I)
The style for figure titles is upper case. Example: Figure
1.1-MONTHLY VARIATION OF DUSTFALl'IN PHOENIX,' ARIZONA, IN
1962.
Figure titles should be as concise as possible. They should
describe the figure without adding other explanatory
material. Commentary on illustrations should be included in
the text of the report; it should not be placed under the
illustrations,
Arabic numerals are to be used for figure numbers. Figures
are to be numbered first with the section number followed by
a decimal then with the number of the table in sequence of
appearance in the section.
Sgurcejs]_
The sources for the information in all figures should be
indicated either in the text or in the figure. If it is not
evident to a nonexpert how the data has been manipulated,
this should be carefully explained in the text.
0^19 TABLE_STYLE
See Table B.I for example.
Size and Prouortion
-------
JJ-16
70
*°
c
f
u
k
l>
(X
IU
U
<
f»
X <0
UJ
0£
SO
\
%.
.'• t
-'%:-
'f<-'\
*/,<•'• \
^-••\
2^%\
^^•\
— %..<:•;••>'.:•:.•. v.
1 •-»
OUST AT 5 TO 10 Hlg/m
OH METALLURGICAL FUME
AT i mg/m-5
REVERSE JCT OPERATION', percent
Figure B.I—EFFECT OF CLEANING FREQUENCY
ON FILTER RESISTANCE IN
REVERSE-JET BAGHOUSE
-------
D-ir
Table B.I EMISSION FACTORS FOR CALCIUM CARBIDE PLANT
(kq/MT)
Electric Furnace Main stack2
Coke furnace room (irop 'ingement
Pollutant drier1 hood vents scrubbers)
Acetylene — 100 1.8
Sulfur trioxide 0.2. 20 — 0.8
All other gases 0.2 17 — 1.9
measured
Notes.:
1 Equipped with cyclone and sr.ray drier.
2Equipped w.ith impingement scrubbers.
Source:
Based on Smith {1973, pp. 35-36). Numbers shown are average of
his ranae.
-------
D-18
Page frame proportion is roughly 6 by 8 1/2 inches. Tables
appearing upriqht. should be nc more than 6 inches wide, and
tables appearing on turn -pages should be no more than 8 1/2
inches wide. if a table is larger than these dimensions, it
should be kept in the 6- by 8 1/2-inch proportion so that
when it is reduced, it will fit the page frame.
Title
The title is centered above the table. The word "Table" has
an initial capital letter only. The table number is
followed by two spaces. The table title is typed in all
capital letters, except when alteration would change the
meaning, e.g., chemical and mathematical terms.
Arabic numerals are to be used for table numbers. Tables
are to be numbered first with the chapter number followed by
a decimal, then with the number (within the section) of the
Table. Table numbers are repeated in each section.
Example: Tables 1.1, 1.2, 1.3, and l.U. Tables 2.1, 2.2,
2.3, and 2.<4.
If data in a table are all in the same units, the units
should be designated in lower case letters in parentheses
centered below the title for example:
Table 1.1 - COAL CONSUMPTION IN OHIO
(metric tens/year)
If an explanatory subtitle is needed, it should be typed in
lower-case style under the main title.
Example -
Table 3.5 -
(based on 1
COMBUSTION DATA
kg dry ash-free
FOR PATHOLOGICAL WASTE
combustible material)
Spacing
Double space between title and table. Separate title and
table with a heavy line. Scan information in table to
determine space needed for longest item, and plan column
width accordingly.
Hea.dj.ncjs
Build headinos from the baseline of
the most vertical scace.
the heading requiring
-------
D-19
Headings are to he initial capital letter on first word
only. Units should be in parentheses centered under column
heading.
Treatment of Data
Separate headings and data with a heavy line.
If the information in the table consists
phrases, use initial capital letter on first
Type flush left. The second line of a phrase
hand column should be indented two snaces.
of words or
word only.
in the left-
When the item description in the left-hand column is on
or more lines, type tabular data opposite first line.
two
Do not. use vertical column rules unless absolutely necessary
to make separations clear.
If the table contains columns cf numbers, type whole numbers
flush right with respect to each other, usinq longest number
of center column. If numbers are whole numbers and
decimals, line up the decimal points. Put zeros in front of
decimal point for all numbers smaller than 1.
Separate data from footnotes or sources with a heavy .line.
If there are no footnotes or sources, still follow data with
the heavy line.
Designate footnotes in tables with arabic numerals after and
superior to data: Footnotes should be typed flush left and
may extend the full width of the table under a heading
Notejs]_. Double space between footnotes if space permits;
otherwise single space. Single space within each footnote.
Sourcejs)_
All tables should indicate thr source(s) of the information
in them, even if the same information is in the text. If it
is not evident to a non-expert how the data has been
manipulated, .this should be carefully explained. Sources
should be listed under a heading Sotnrcejf-l following any
footnotes.
D.20 PAGE NUMBRRTNG
-------
D-20
All preforatory material should be numbered except for the
inside title page (which would be page i) using lower case
Roman numerals. Regular text (beginning with Section 1)
should numbered consecutively using arabic numerals.
Pi 21 CONFC^^CEJ^JTH_CRp__REJPOiRT_SPFCrFICATigNS
In addition to the specificafions listed in this Appendix,
all STAKs should conform with the intre.rj.rn Specifica_fcions f_or
ORSM Grant.^ Contract and In-jnous_e Report^, March 1973, or
later -revised versions thereof as issued, including the
requirement that the last page must be a completed EPA 2220-
1 Technical Report Data form.
-------
APPENDIX E
^
TH3PUGH_EPA CONTRACT . KjTH POKN£ TIME .SHA^ING_jjjQHp/ONEj
In order to use Uord/one, it is necessary for each user to
obtain .a user ID and account number. After filling out the
necessary information oh the .attached form, it is very
important, if you are part of one of the National
Environmental Research Centers, to obtain approval for funds
{under Concurrence - Funding) from the following people:
Robert Snelling, NERC-Las Vegas, (702) 736-2969
John Knight, NERC-RTP, '(919) 549-2141
Kenneth Byrani, NERC-Corvallis, (503) 752-4385
Robert Bridges, NERC-Cincinnati, (513) 871-6320
After approval for funding has been obtained through one of
the above four persons, the form is then sent to Ms. Denise
Rwink, ADP Coordinator, Room 3817, RD-674, 401 M Street,
S.W., Washington, D.C. 20460.
-------
E-2
EDP SERVICES REGISTRATION
PLEASE PRINT OR TYPE
SERVICE (Check one)
\ \ TIME SHARING
I j TECHNICAL
' ' ASSISTANCE
j | OTHER (Spocily):
LJ DATA REDUCTION
SUPPLI ER (Chock one)
DOS,
D NIH
| J WORD/ONE
1 j EN VIRON
(~j OTHER (Spocily):
PROJECT TITLE (Limit: 60 characters, including spaces.)
ENVIRONMENTAL
SYSTEM IDENTIFI-
CATION NUMBER
PROJECT MANAGER
MAIL CODE (or room)
ORGANIZATION SYMBOLS
PROGRAM ELEMENT TITLE
NAME (Last, lirst, middle initial)
PHONE (Include area code)
OFFICE OR LOCATION
ADDRESS (Street or P.O. Box)
CITY
USER (NAME (Last, llrst, middle Initial)
MAIL CODE (or room)
STATE ZIP
PHONE (Include area code)
OFFICE OR LOCATION
ADDRESS (Street or P.O. Box)
CITY
USER JNAME (Last, tlrat, middle initial)
MAIL CODE for room)
STATE ZIP
PHONE (Include area code)
OFFICE OR LOCATION
ADDRESS (Street or P.O. Box)
CITY
USER JNAME (Last, first, middle initial)
MAIL CODE for roonO
STATE ZIP
PHONE (Include urea coda)
OFFICE OR LOCATION
ADDRESS fSfrocf or P.O. Box)
CITY
USER (NAME (Last, [irst, middle initial)
MAIL CODE for room)
STATE ZIP
PHONE (Include nrcn code)
OFFICE OR LOCATION
ADDRESS (Street or P.O. Box)
TO
U.S. Environmental Protection Agency
Director, Management Information and
Data Systems Division (PM 218)
Washington, D.C. 20460
CITY
STATE ZIP
ORIGINATED BY DATE
CONCURRENCE (h'undinS) DATE
CONCURRENCE (Oilier; DATE
MID'SD USE ONLY
DATE RECEIVED
POSTED
UPDATED
PROOFED
PROJECT CODE
ORGANIZATION CODE
PROGRAM ELEMENT CODE
DISTANCE
CODE
ACCESS
CODE
DISTANCE
CODE
ACCESS
CODE
DISTANCE
CODE
ACCESS
CODE
DISTANCE
CODE
ACCESS
CODE
DISTANCE
CODE
REFER-
ENCE
INITIALS
PROJECT
INITIAL-S
MAILING LIST CODE
M O S D
P D T D
c D u n
^D a
REFER-
ENCE
INITIALS
LOGON
MAILING LIST CODE
Ma S a
PD T D
CD u a
PQ a
REFER-
ENCE
INITIALS
LOGON
MAILING LIST CODE
M D S D
P D T D
cQ u D
rD D
REFER-
ENCE
INITIALS
LOGON
MAILING LIST CODE
MO s a
p D T D
c a u a
FQ D
REFER-
ENCE
INITIALS
LOGON
MAILING LIST CODE
M D S D
pQ TO
c a u D
FD a
MAILING LIST KEY:
M - MANAGEMENT P At*
P - PROP ERTY
C • CONTRACTOR
F- FEDERAL NON-EP
S- STATE OR LOCAL
T • TERMINAL CONTA
U • UNIVERSITY
JEL
A
GOVT
CT
EPA Form 2800-3 (5-74)
------- |