Encyclopedia of Sustainability Science

and Technology Series

Editor-in-Chief: Robert A. Meyers

Michael Evan Goodsite

Matthew Stanley Johnson
Ole Hertel  Editors

Air Pollution
Sources,
Statistics and
Health Effects
A Volume in the Encyclopedia of
Sustainability Science and Technology,
Second Edition
Encyclopedia of Sustainability Science
and Technology Series

Editor-in-Chief
Robert A. Meyers
The Encyclopedia of Sustainability Science and Technology series (ESST)
addresses the grand challenges for science and engineering today. It provides
unprecedented, peer-reviewed coverage in more than 600 separate articles
comprising 20 topical volumes, incorporating many updates from the first
edition as well as new articles. ESST establishes a foundation for the many
sustainability and policy evaluations being performed in institutions
worldwide.
An indispensable resource for scientists and engineers in developing new
technologies and for applying existing technologies to sustainability, the
Encyclopedia of Sustainability Science and Technology series is presented at
the university and professional level needed for scientists, engineers, and their
students to support real progress in sustainability science and technology.
Although the emphasis is on science and technology rather than policy, the
Encyclopedia of Sustainability Science and Technology series is also a com-
prehensive and authoritative resource for policy makers who want to under-
stand the scope of research and development and how these bottom-up
innovations map on to the sustainability challenge.

More information about this series at http://www.springer.com/series/15436

Michael Evan Goodsite
Matthew Stanley Johnson
Ole Hertel
Editors

Air Pollution Sources,

Statistics and Health
Effects
A Volume in the Encyclopedia of Sustainability
Science and Technology, Second Edition

With 188 Figures and 63 Tables

Editors
Michael Evan Goodsite Matthew Stanley Johnson
School of Civil, Environmental and Department of Chemistry
Mining Engineering University of Copenhagen
The Australian School of Petroleum Copenhagen, Denmark
The University of Adelaide
Adelaide, SA, Australia Airlabs, Copenhagen, Denmark

Ole Hertel
Department of Environmental Sciences
Aarhus University
Roskilde, Denmark

ISBN 978-1-0716-0595-0 ISBN 978-1-0716-0596-7 (eBook)

ISBN 978-1-0716-0597-4 (print and electronic bundle)
https://doi.org/10.1007/978-1-0716-0596-7
© Springer Science+Business Media, LLC, part of Springer Nature 2021
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Series Preface

Our nearly 1000-member team recognizes that all elements of sustainability

science and technology continue to advance as does our understanding of the
needs for energy, water, clean air, food, mobility, and health and the relation of
every single aspect of this vast and interconnected body of knowledge to
climate change. Our Encyclopedia content is at a level for university students,
professors, engineers, and other practicing professionals. It is gratifying for our
team to note that our online First Edition has been heavily utilized as evidenced
by over 500,000 downloads, which of course is in addition to scientists’
utilization of the Encyclopedia and individual “spin-off” volumes in print.
Now we are pleased to have a Living Reference online which assures the
sustainability community that we are providing the latest peer-reviewed con-
tent covering the science and technology of the sustainability of the Earth. We
are also publishing the content as a Series of individual topical books for ease
of use by those with an interest in particular subjects, and with expert oversight
in each field to ensure that the Second Edition presents the state-of-the-science
today. Our team covers the physical, chemical, and biological processes that
underlie the Earth system including pollution and remediation and climate
change, and we comprehensively cover every energy and environment tech-
nology as well as all types of food production, water, transportation, and the
sustainable built environment.
Our team of 15 board members includes two Nobel Prize winners (Kroto
and Fischlin), two former Directors of the NSF (Colwell and Killeen), the
former President of the Royal Society (Lord May), and the Chief Scientist of
the Rocky Mountain Institute (Amory Lovins). And our more than 40 eminent
section editors and now book editors assure the quality of our selected authors
and their review presentations.
The extent of our coverage clearly sets our project apart from other publi-
cations which now exist, both in extent and depth. In fact, current compendia
of the science and technology of several of these topics do not presently exist
and yet the content is crucial to any evaluation and planning for the sustain-
ability of the Earth. It is important to note that the emphasis of our project is on
science and technology and not on policy and positions. Rather, policy makers
will use our presentations to evaluate sustainability options.
Vital scientific issues include: human and animal ecological support sys-
tems; energy supply and effects; the planet’s climate system; systems of
agriculture, industry, forestry, and fisheries and the ocean; fresh water and

v
vi Series Preface

human communities; waste disposal; transportation and the built environment

in general and the various systems on which they depend, and the balance of all
of these with sustainability. In this context, sustainability is a characteristic of a
process or state that can be maintained at a certain level indefinitely even as
global population increases toward 9 billion by 2050. The population growth,
and the hope for increase in wealth, implies something like a 50% increase in
food demand by as early as 2030. At the same time, the proportion of the
109 population that lives in an urban environment will go up from about 47%
to 60%. Global economic activity is expected to grow 500%, and global
energy and materials use is expected to increase by 300% over this period.
That means there are going to be some real problems for energy, agriculture,
and water, and it is increasingly clear that conflicting demands among biofuels,
food crops, and environmental protection will be difficult to reconcile. The
“green revolution” was heavily dependent on fertilizers which are
manufactured using increasingly expensive and diminishing reserves of fossil
fuels. In addition, about 70% of available freshwater is used for agriculture.
Clearly, many natural resources will either become depleted or scarce relative
to population.

Larkspur, CA, USA Robert A. Meyers, Ph.D.

July 2020 Editor-in-Chief
Volume Preface

Air pollution causes illness and death regardless of political boundaries. As of

the date of writing (May 2020), our world continues to face the coronavirus
(COVID-19) pandemic. There have been some preliminary observations that
emission and air pollution levels are falling, not unexpectedly, as society
restricts its activities via recommended measures to mitigate the spread of
the virus.
All of this is happening though at great human and societal costs. There is
therefore a pressing need to better understand the interplay of air pollution
sources, statistical analysis, and health effects. More than ever, it is critical to
have and deploy technologies that will help keep the air we breathe clean, both
through technologies that reduce harmful emissions as well as technologies
that keep the air that we breathe in enclosed spaces clean.
We are grateful for the contributions of the authors of this volume: those
who contributed foundational knowledge in the first edition and those who
have expanded the knowledge base for this volume with new or updated
contributions in the second edition. We appreciate the experts at all stages of
their careers who have shared their knowledge so that anyone may advance
their understanding of globally important issues.
We encourage the use of the Encyclopedia of Sustainability Science and
Technology and its Part Air Pollution Sources, Statistics and Health Effects for
teaching or for obtaining a foundational oversight of the important concepts
and technologies in the section. There is a wealth of knowledge relevant not
only in this volume but more broadly across the Encyclopedia, and we encour-
age those who found this part to browse other topics in the Encyclopedia.
This volume is suitable for a spectrum of readers: students in advanced
courses, academics and scholars of all experience levels, and practitioners and
policymakers in air pollution or public health science, engineering, or policy
making or related fields.
We are all very proud to be associated with the Encyclopedia of Sustain-
ability Science and Technology. The benefits of the Encyclopedia are many,
and at a time when several scientists and engineers may focus their efforts on
other types of scientific writing and many citizens may turn their reading to
sources on the Internet, the utility of this Encyclopedia should be commended.
The possibility to update the articles whenever research warrants and without
having to wait for a new edition to be published is both unique and important.

vii
viii Volume Preface

We stand committed to support this effort through a high-quality continu-

ous peer-review process as updates are warranted. We welcome contact from
those wishing to update articles, improve upon entries, or submit new entries to
this volume. This is important knowledge to maintain and improve and it can
only be done so through the efforts of those generous enough with their time
and expertise.
We are humbled and honored to have taken further the work started by the
editors and authors of the first edition. Thanks to the efforts of the authors and
the professional support of the editorial team, we are confident that this
updated edition will be beneficial to readers. We encourage readers to reach
out to authors to pursue more information.
While it was not our intention to promote the field per se, the current
epidemic underlines how important clean air is for life on our planet. We
encourage potential authors to start developing entries now, or reach out with
updates to the entries already part of this volume. It is our hope that the next
edition will bring an even greater number of updates and a renewed focus on
statistical analysis – including the fall in pollution levels due to global events
such as being currently experienced.
In addition to the authors we would like to thank the referees for their
contributions in improving the entries. We would also like to express our
gratitude and appreciation to the editorial team: Ms. Nanna Rahbek Jørgensen
of the University of Southern Denmark whose contribution to this effort was
nothing short of outstanding; the incredible team at Springer Nature:
Ms. Sunali Mull and Ms. Neha Thepa whose professionalism, assistance,
and patience to help make this a success cannot be understated. We would
also like to thank Professor Robert A. Meyers, the editorial team, and the
publisher for inviting us as the editors of this volume and for their assistance,
patience, and inspiration. Lastly, we would like to acknowledge our employers
and colleagues, students, and families for their support in working on this
section all of whom continue to provide helpful support and inspiration.

Adelaide, Australia Michael Evan Goodsite

Copenhagen, Denmark Matthew Stanley Johnson
Roskilde, Denmark Ole Hertel
September 2020
Contents

Air Pollution Sources, Statistics, and Health Effects:

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Ole Hertel, Matthew Stanley Johnson and Michael Evan Goodsite

Part I Ground Level Localized Air Quality . . . . . . . . . . . . . . . . . . . 5

Air Quality Guidelines and Standards . . . . . . . . . . . . . . . . . . . . . . . 7

Roger O. McClellan
Air Quality, Surface Transportation Impacts on . . . . . . . . . . . . . . . 47
Paul Boulter
Airborne Nanoparticles: Control and Detection . . . . . . . . . . . . . . . 85
Mohsen Rezaei and Matthew Stanley Johnson
Indoor Air Quality: Status and Standards . . . . . . . . . . . . . . . . . . . 135
Freja Hasager, Joachim Dithmer Bjerregaard, James Bonomaully,
Hasse Knap, Alireza Afshari and Matthew Stanley Johnson
Urban Air Quality: Meteorological Processes . . . . . . . . . . . . . . . . . 163
David Carruthers, Silvana Di Sabatino and Julian Hunt
Urban Air Quality: Sources and Concentrations . . . . . . . . . . . . . . 193
Michael Evan Goodsite, Ole Hertel, Matthew Stanley Johnson and
Nana Rahbek Jørgensen
Urban Atmospheric Composition Processes . . . . . . . . . . . . . . . . . . 215
William Bloss
Urban Drainage Modelling for Management of Urban
Surface Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
Birgitte Lilholt Sørensen

Part II Regional and Global Air Quality and Effects . . . . . . . . . . 237

Aerosol in Global Atmosphere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239

Colin O’Dowd

ix
x Contents

Air Pollution and Climate Change: Sustainability,

Restoration, and Ethical Implications . . . . . . . . . . . . . . . . . . . . . . . 279
Jiaying Chen, Mie Jul Dahlin, Linnea Luuppala, David Bickford,
Lina Boljka, Vanessa Burns and Matthew Stanley Johnson
Aviation and Atmosphere . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
Hartmut Grassl
Regional Air Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
Erika von Schneidemesser and Paul S. Monks
Stratospheric Pollution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373
Martyn P. Chipperfield

Part III Sensors, Measurement, and Control . . . . . . . . . . . . . . . . . 383

Air Pollution Monitoring and Sustainability . . . . . . . . . . . . . . . . . . 385

Andrew Knox, Greg J. Evans, Colin J. Lee and Jeffrey R. Brook
Low-Cost Sensors for Indoor and Outdoor Pollution . . . . . . . . . . . 423
Louise Bøge Frederickson, Emma Amalie Petersen-Sonn,
Yuwei Shen, Ole Hertel, Youwei Hong, Johan Schmidt and
Matthew Stanley Johnson
Measuring Heatwaves and Their Impacts . . . . . . . . . . . . . . . . . . . . 455
Benjamin Disher, Brandon Edwards, Thomas Lawler and
Douglas Radford
Industrial Emissions Control Technologies: Introduction . . . . . . . 477
Szymon Kwiatkowski, Merve Polat, Weijia Yu and
Matthew Stanley Johnson
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513
About the Editor-in-Chief

Robert A. Meyers
President: RAMTECH Limited
Manger, Chemical Process Technology, TRW Inc.
Post-doctoral Fellow: California Institute of Technology
Ph.D. Chemistry, University of California at Los Angeles
B.A., Chemistry, California State University, San Diego

Biography

Dr. Meyers has worked with more than 20 Nobel laureates during his career
and is the originator and serves as Editor in Chief of both the Springer Nature
Encyclopedia of Sustainability Science and Technology and the related and
supportive Springer Nature Encyclopedia of Complexity and Systems Science.

Education

Postdoctoral Fellow: California Institute of Technology

Ph.D. in Organic Chemistry, University of California at Los Angeles
B.A., Chemistry with minor in Mathematics, California State University,
San Diego

Dr. Meyers holds more than 20 patents and is the author or Editor in Chief of
12 technical books including the Handbook of Chemical Production Pro-
cesses, Handbook of Synfuels Technology, and Handbook of Petroleum

xi
xii About the Editor-in-Chief

Refining Processes now in 4th Edition, and the Handbook of Petrochemical

Production Processes, now in its second edition, (McGraw-Hill) and the
Handbook of Energy Technology and Economics, published by John Wiley
& Sons; Coal Structure, published by Academic Press; and Coal Desulfuri-
zation as well as the Coal Handbook published by Marcel Dekker. He served
as chairman of the Advisory Board for A Guide to Nuclear Power Technology,
published by John Wiley & Sons, which won the Association of American
Publishers Award as the best book in technology and engineering.
About the Editors

Michael Evan Goodsite, B.Sc.C.E., M.Sc.Env.E., MBA, Ph.D., FIEAust,

FIUPAC, MAusIMM, MAICD, is Full Professor of Civil and Environmental
Engineering, Interim Director of The Institute for Mineral and Energy
Resources (IMER), and the Director of the UoA Industry Engagement Priority
for Energy, Mining and Resources (reporting to the Provost in this role).
Professor Goodsite is Seconded from his role as Head of the School of Civil,
Environmental and Mining Engineering. He was Professor of Atmospheric
Chemistry, Climate and Global Processes at the University of Southern Den-
mark and formerly the Region of Southern Denmark’s Chief Operating Officer
with responsibility for Regional Development. A portfolio that included
Regional business development, environment, and natural resources. His
international university service includes Special Advisor to the Peking Uni-
versity Centre for Natural Resource Economics, China, Adjunct Professor at
the University of Iceland, and Honorary Senior Research Fellow to the Insti-
tute for Security and Development Policy (ISDP) in Stockholm, Sweden.
School of Civil, Environmental and Mining Engineering, The Australian
School of Petroleum, The University of Adelaide, Adelaide, SA, Australia

xiii
xiv About the Editors

Matthew Stanley Johnson, Ph.D., B.A., is Professor of Chemistry at the

University of Copenhagen and Chief Science Officer at Airlabs. His research is
in atmospheric chemistry, clean technology, and innovation. This work
includes the kinetics and spectroscopy of pollution and the development of
new pollution control systems. Professor Johnson has published more than
110 peer-reviewed journal articles, 8 patents, and the book Chemistry and the
Environment. He has received the Environmental Prize from the Aase og Ejnar
Danielsen Fond, the Innovation Prize from the University of Copenhagen, and
was voted Best Teacher by the students in the Department of Chemistry.
Professor Johnson has served as an Advisor for NASA and sits on the board
of the Villum (High Arctic) Research Station and Infuser, a successful spin-off
company from the University of Copenhagen.
Department of Chemistry, University of Copenhagen, https://scholar.goo
gle.se/citations?user¼CVtvNmQAAAAJ&hl¼en

Ole Hertel, D.Sc., Ph.D., M.Sc., B.Sc., is Deputy Head of Department, Head
of PhD Program, and Full Professor in the Department of Environmental
Science at Aarhus University. His research is air pollution modelling and
assessment of human exposure to air pollution. In recent years he has worked
with low-cost air pollution sensors for pollution mapping and personal expo-
sure monitoring. Professor Hertel has published more than 110 peer-reviewed
journal articles, more than 100 technical reports, almost 30 textbook contri-
butions, and he has contributed more than 200 conference presentations. He
has been involved in numerous national and international research projects
regarding assessment of air pollution impacts on human health, nature, and
climate. Professor Hertel is former Vice Chair of the Scientific Committee at
About the Editors xv

the European Environment Agency (EEA) and has served in several commit-
tees of the International Union for Pure and Applied Chemistry (IUPAC) and
for the Nordic Council of Ministers. He is Advisor to the Danish Ministry of
Environment, the Danish Ministry of Health, and Copenhagen Municipality.
Professor Hertel is member of editorial committees of several international
peer-reviewed journals. He is Adjunct Professor at the University of Roskilde,
Denmark.
Department of Environmental Science, Faculty of Science and Technology,
Aarhus University, Roskilde, Denmark
Contributors

Alireza Afshari Danish Building Research Institute, Aalborg University

Copenhagen, Copenhagen, Denmark
David Bickford Biology Department, University of La Verne, La Verne, CA,
USA
Joachim Dithmer Bjerregaard Department of Chemistry, University of
Copenhagen, Copenhagen, Denmark
William Bloss School of Geography, Earth and Environmental Sciences,
University of Birmingham, Birmingham, UK
Lina Boljka Department of Atmospheric Science, Colorado State University,
Fort Collins, CO, USA
James Bonomaully Airlabs, Copenhagen, Denmark
Paul Boulter PAEHolmes, Sydney, Australia
Jeffrey R. Brook Department of Chemical Engineering and Applied Chem-
istry, University of Toronto, Toronto, ON, Canada
Air Quality Research Division, Atmospheric Science and Technology Direc-
torate, Environment Canada, Toronto, ON, Canada
Vanessa Burns School of Geography and the Environment, University of
Oxford, Oxford, UK
David Carruthers Cambridge Environmental Research Consultants, Cam-
bridge, UK
Jiaying Chen Department of Chemistry, University of Copenhagen, Copen-
hagen, Denmark
Martyn P. Chipperfield Institute for Climate and Atmospheric Science,
School of Earth and Environment, University of Leeds, Leeds, UK
Mie Jul Dahlin Department of Chemistry, University of Copenhagen,
Copenhagen, Denmark
Silvana Di Sabatino Dipartimento di Scienza dei Materiali, Università del
Salento, Lecce, Italy

xvii
xviii Contributors

Benjamin Disher The School of Civil, Environmental and Mining Engineer-

ing, The University of Adelaide, Adelaide, SA, Australia
Brandon Edwards The School of Civil, Environmental and Mining Engi-
neering, The University of Adelaide, Adelaide, SA, Australia
Greg J. Evans Department of Chemical Engineering and Applied Chemistry,
University of Toronto, Toronto, ON, Canada
Louise Bøge Frederickson Department of Chemistry, University of Copen-
hagen, Copenhagen, Denmark
Airlabs, Copenhagen, Denmark
Michael Evan Goodsite School of Civil, Environmental and Mining Engi-
neering, The Australian School of Petroleum, The University of Adelaide,
Adelaide, SA, Australia
Hartmut Grassl Max Planck Institute for Meteorology, Hamburg, Germany
Freja Hasager Department of Chemistry, University of Copenhagen, Copen-
hagen, Denmark
Ole Hertel Department of Environmental Science, Aarhus University,
Roskilde, Denmark
Youwei Hong Institute of Urban Environment, Chinese Academy of Science,
Xiamen, China
Julian Hunt University College London, London, UK
Matthew Stanley Johnson Department of Chemistry, University of Copen-
hagen, Copenhagen, Denmark
Airlabs, Copenhagen, Denmark
Nana Rahbek Jørgensen Faculty of Engineering, University of Southern
Denmark, Odense M, Denmark
Hasse Knap Airlabs, Copenhagen, Denmark
Andrew Knox Department of Chemical Engineering and Applied Chemistry,
University of Toronto, Toronto, ON, Canada
Szymon Kwiatkowski Department of Chemistry, University of Copenhagen,
Copenhagen, Denmark
Thomas Lawler The School of Civil, Environmental and Mining Engineer-
ing, The University of Adelaide, Adelaide, SA, Australia
Colin J. Lee Department of Chemical Engineering and Applied Chemistry,
University of Toronto, Toronto, ON, Canada
Linnea Luuppala Social and Moral Philosophy, Department of Political and
Economic Studies, University of Helsinki, Helsinki, Finland
Roger O. McClellan Toxicology and Health Risk Analysis, Albuquerque,
NM, USA
Contributors xix

Paul S. Monks Department of Chemistry, University of Leicester, Leicester,

UK
Colin O’Dowd School of Physics and Centre for Climate and Air Pollution
Studies, Ryan Institute, National University of Ireland Galway, Galway,
Ireland
Emma Amalie Petersen-Sonn Department of Chemistry, University of
Copenhagen, Copenhagen, Denmark
Merve Polat Department of Chemistry, University of Copenhagen, Copen-
hagen, Denmark
Douglas Radford The School of Civil, Environmental and Mining Engineer-
ing, The University of Adelaide, Adelaide, SA, Australia
Mohsen Rezaei Department of Chemistry, University of Copenhagen,
Copenhagen, Denmark
Johan Schmidt Airlabs, Copenhagen, Denmark
Yuwei Shen Department of Chemistry, University of Copenhagen, Copen-
hagen, Denmark
Birgitte Lilholt Sørensen Institute of Chemical Engineering, Biotechnology
and Environmental Technology, SDU Life Cycle Engineering, University of
Southern Denmark, Odense M, Denmark
Erika von Schneidemesser Department of Chemistry, University of Leices-
ter, Leicester, UK
Weijia Yu Department of Chemistry, University of Copenhagen, Copenha-
gen, Denmark

Air Pollution Sources, Statistics, and
Health Effects: Introduction
Ole Hertel1, Matthew Stanley Johnson2,3 and
Michael Evan Goodsite4
1
Department of Environmental Science, Aarhus
University, Roskilde, Denmark
2
Department of Chemistry, University of
Copenhagen, Copenhagen, Denmark
3
Airlabs, Copenhagen, Denmark
4
School of Civil, Environmental and Mining
Engineering, The Australian School of Petroleum,
The University of Adelaide, Adelaide, SA,
Australia
Air pollution threatens our health, environment, and
climate. The sources of air pollution are numerous
anthropogenic and natural emissions; some are pol-
lution in their own right, and some trigger the for-
mation of secondary pollution. Detailed knowledge
of the sources of pollution and the transformations
of pollution in the atmosphere is the best possible
basis for effective and cost-effective management
strategies. While this knowledge is the basis of
environmental management as regards emissions
standards and best-practice pollution control sys-
tems, it is also critically important to society as it
seeks to adopt policies and behaviors to reduce air
pollution and its associated impacts and direct
resources toward research and technological devel-
opment to achieve sustainability. In fact, reducing
air pollution emissions and thereby improving air
quality will help us to meet a series of United
Nations Sustainable Development Goals. Environ-
mental pollution contributes to poverty, low crop
yields, and disease, and the fight for resources
leads to political instability. Thus, reducing air pol-
lution helps us achieve sustainability by reducing
poverty and inequality, providing jobs in the clean
technology sector, and reducing and overcoming
climate change. During the 2020 Corona crises,
© Springer Science+Business Media, LLC, part of Springer Nature 2021
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_911
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2020, https://doi.org/10.1007/978-1-4939-2493-6_911-3
air pollution levels have decreased substantially
in urban areas around the world because of reduced
travel and industrial activity. These improvements
in air quality have made real some of the improve-
ments that can be obtained from, e.g., moving
towards a society less dependent on fossil fuels.
Improved cleaning technologies are the result of
both pull and push strategies. This can be seen in
the vehicle industry where strict emission stan-
dards have forced manufacturers to develop new
technologies. These developments have been
important for improving air quality in many parts
of the world over the past two to three decades.
Our knowledge about air pollution is based on
data obtained from field measurements, labora-
tory studies, and air pollution modeling. It is
often through the combination of information
from these very different types of studies and
activities that new and deeper understanding is
established. One example is our understanding
of the pollution distribution inside urban street
canyons, achieved through painstaking analyses
of data from monitoring stations in busy streets,
wind tunnel experiments, and models of traffic
emissions, photochemistry, and air flow. Air pol-
lution assessments are often based on combina-
tions of measurements and model calculations. In
reporting air quality levels in the scientific com-
munity, for industry and environmental agencies,
it is becoming standard practice to include indic-
ative data from air pollution modeling. Indicative
measurements are sometimes also included in
such reporting based, e.g., on passive samplers
with coarse temporal resolution. More recently a
variety of new low-cost sensor-based measure-
ment devices have been designed and deployed.
Electrochemical and metal-oxide sensors can pro-
vide high temporal and spatial resolution and may
be able to substantially extend the abilities of
established monitoring stations to investigate
local air pollution sources and remediation strate-
gies. It should be noted that such devices are not
intended to replace high-quality monitors and
measurement stations since their precision
and accuracy are not sufficient for monitoring
1
2 Air Pollution Sources, Statistics, and Health Effects: Introduction
compliance with guideline values. The require-
ments for using such devices are that the measure-
ment range matches the range of ambient levels,
that their accuracy and precision are sufficiently
high, and that proper calibration and validation are
conducted.
Since the Dockery and Pope studies in the US in
the 1990s, it has been known that exposure to air
pollution poses not only short-term (acute) but also
long-term (chronic) health effects in the popula-
tion. Recent research by the Max Planck Institute
of Chemistry has established that the impact of air
pollution is on the scale of a global pandemic,
causing the loss of 8.8 million lives annually.
Despite substantial improvements in many parts
of the world, globally, air pollution is still the
most hazardous environmental threat. The increas-
ing quality of exposure assessments, access to new
and better statistical methods, and more complete
and precise health data have led to stronger associ-
ations between air pollution exposure and health
effects. More health endpoints have been added to
the list in recent years and health effects are seen at
lower pollutant levels that were previously known
or even expected. During the 2020 Corona crises, it
was even speculated, that the death risk related to
Corona infection may be strongly affected by
simultaneous exposure to high air pollution levels.
Air pollution exposure-effect relationships have
now been established for a wide variety of health
outcomes, and well documented through parallel
studies in many countries around the world using a
variety of approaches and methodologies. Assess-
ments of the health effects in the population are
now performed on a routine basis in many coun-
tries and by many agencies, and often these also
include calculation of externalities associated with
the negative health effects. Again, such knowledge
is essential for pushing development towards a
more sustainable society.
This book has been divided into three sections:
• Ground-Level Localized Air Quality
• Regional and Global Air Quality and Effects
• Sensors, Measurement, and Control
There are eight chapters in the section Ground-
Level Localized Air Quality that focus on
pollution with a variation on local spatial scales
and typically with a shorter lifetime. This section is
of particular interest in pollution exposure, as obvi-
ously, this is where people spend their time.
The article ▶ “Air Quality Guidelines and
Standards” by McClellan details the regulatory
framework used in air quality management.
There is growing recognition of the impacts of
shipping and railways on emissions and air qual-
ity, and Boulter’s entry ▶ “Air Quality, Surface
Transportation Impacts on” seeks to quantify the
issues and place them in context.
Rezaei and Johnson’s ▶ “Airborne Nano-
particles: Control and Detection” discusses the
state of the art for the control and detection of
airborne nanoparticles. Unfortunately, given the
increased attention they are receiving, the chemi-
cal and physical properties of nanoparticles make
them a challenge to detect and control.
▶ “Indoor Air Quality: Status and Standards”
(Hasager et al.) is an essential entry in terms of air
pollution exposure, as people spend nearly 90% of
their time indoors.
The meteorological processes leading to the
vertical mixing of pollutants after emission and
their horizontal transport by the wind are
described in the entry ▶ “Urban Air Quality:
Meteorological Processes” by Carruthers, Di
Sabatino, and Hunt. Computational models used
to describe these processes are also included.
▶ “Urban Air Quality: Sources and Concentra-
tions” by Goodsite, Hertel, Johnson, and
Jørgensen was updated to reflect the latest devel-
opments with particular attention given recent
technological advances, as well as the latest
research from around the world.
The complementary entry ▶ “Urban Atmo-
spheric Composition Processes” (Bloss) describes
the key chemical reactions which serve both to
limit the concentrations of toxic pollutants and
control concentrations of secondary pollutants
such as ozone and airborne particles, important
to human health and regional pollution.
Surface water links climate change and sus-
tainability with the human environment. Poor
management of urban surface water can have seri-
ous effects. The article by Sørensen, ▶ “Urban
Drainage Modelling for Management of Urban
Air Pollution Sources, Statistics, and Health Effects: Introduction
Surface Water” demonstrates how combining
technologies that have previously been taken sep-
arately can assist planners in the management of
urban surface water, an important climate adapta-
tion issue.
The next section, “Regional and Global Air
Quality and Effects,” comprises five chapters
discussing the effects of air pollution in terms of
global climate.
Air pollutants comprise both gases and parti-
cles. The latter are tiny airborne liquid or solid
droplets ranging from nanometers to tens or even
hundreds of micrometers in size. The entry by
O’Dowd ▶ “Aerosol in Global Atmosphere”
details the impact of aerosol on climate. The
impacts are numerous and complex, and aerosol
in the global atmosphere may have both warming
and cooling effects upon climate.
Johnson et al.’s entry ▶ “Air Pollution and
Climate Change: Sustainability, Restoration, and
Ethical Implications” describes air pollution and
its links to climate change, and in addition the
profound philosophical and ethical quandaries
created by our current dilemma.
Aviation is a significant source of pollutant
emissions. Because of the altitude at which most
of these emissions occur, its effects on ground-
level air quality are modest. The main conse-
quences are due to aviation’s climate impacts,
arising from emissions of greenhouse gases and
water vapor, described in Grassl’s entry ▶ “Avia-
tion and Atmosphere.”
As air pollutants are advected from urban
areas, they are subject to atmospheric transport
leading to impacts on ▶ “Regional Air Quality”
which have important human health and ecosys-
tem effects, described in the entry of this name by
von Schneidemesser and Monks.
3
Release of long-lived pollutants at ground-level
as well as aircraft emissions lead to ▶ “Strato-
spheric Pollution” (entry by Chipperfield) with
consequences for stratospheric ozone concentra-
tions, penetration of UV radiation to ground-level,
and global climate.
The last section is titled “Sensors, Measure-
ment, and Control” and comprises four chapters
that primarily focus on monitoring and controlling
air pollution.
The entry ▶ “Air Pollution Monitoring and
Sustainability” (Knox, Evans, Lee and Brook)
discusses the design of monitoring networks and
how monitoring data can inform urban design and
air quality management policy. In addition to
monitoring networks, the monitoring of emissions
sources and remote sensing of the atmosphere on
regional scales from space play important roles.
Frederickson et al.’s ▶ “Low-Cost Sensors for
Indoor and Outdoor Pollution” introduces low-
cost methods for sensing indoor and outdoor pol-
lution. Sensing pollution is the key to monitoring,
mitigating and controlling it. The lower the cost,
the greater the potential deployment, especially in
developing markets and as a way to increase the
spatial resolution of current measurement stations.
Edwards, Lawler, Disher, and Radford’s article
on ▶ “Measuring Heatwaves and their Impacts”
details heatwave events that are forecast to
become more frequent and severe. Heatwaves
contribute to air pollution.
Kwiatkowski, Polat, Yu, W, and Johnson, in their
entry ▶ “Industrial Emissions Control Technolo-
gies: Introduction” explain novel and innovative
technologies for controlling industrial emissions.
The ‘solution to pollution’ is no longer dilution, it
is clean technology, applying basic science in anal-
ogy to natural processes to industrial-scale issues.
 Part I
Ground Level Localized Air Quality
 guidance to the public and government on
Air Quality Guidelines and levels of air pollutant that will improve air
Standards quality.
Air quality monitoring Measurement of the
Roger O. McClellan concentration of various pollutants in air for
Toxicology and Health Risk Analysis, regulatory compliance or research purposes.
Albuquerque, NM, USA Ambient air Air found out of doors, which is a
mixture of gases and suspended particles and
droplets.
Article Outline Ambient concentration-response function A
mathematical description of the relationship
Glossary between ambient air concentrations and asso-
Definition of the Subject ciated morbidity or mortality indicators, usu-
Introduction ally expressed as increased risk for a defined
Air Quality Management Framework increment of increased pollutant.
Context for Air Quality Impacts Anthropogenic Causal by humans, man-made.
The US Legal Framework for Air Quality Background levels The concentration of a pol-
Standards lutant in the air after accounting for all local or
National Ambient Air Quality Standards regional emissions.
US Process for Setting National Ambient Air Biogenic Produced by biological processes.
Quality Standards Carbon monoxide The chemical, CO, that is a
Paradigm Shift product of incomplete combustion. It is regu-
WHO Process for Setting Air Quality Guidelines lated as a Criteria Air Pollutant or Common Air
Assessing Hazards and Risks Pollutant.
Sources of Information for Setting Standards and Emissions The quantities of pollutants emitted
Guidelines by a particular source or multiple sources.
Particulate Matter as an Example Excess risk Risk associated with exposure to an
Ozone agent over and above the baseline risk.
Current Air Quality Standards and Guidelines Exposure Taking materials into the body via
Future Directions inhalation, ingestion, or absorption through
Bibliography the skin.
Guidelines Guidance provided for use by the
Glossary public or government officials.
Hazardous The property of having the potential
Adverse health effect Alteration in the health to cause adverse health effects with sufficient
status of individuals or populations. duration and concentration of exposure.
Aerodynamic diameter The diameter of a Lead Pb, an element that occurs naturally and
spherical particle of unity density with a termi- found many uses including as a paint additive
nal velocity equal to the particle being and as tetraethyl Lead added to gasoline to
sampled. enhance engine performance. Regulated as a
Aerosol Relatively stable suspension of particles Criteria Air Pollutant or Hazardous Air
or droplets in a gaseous media. Pollutant.
Air quality guidelines AQG, established by Mobile sources Mobile sources, such as vehi-
World Health Organization to provide cles, of air pollution emissions.

© Springer Science+Business Media, LLC 2012 7

M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_553
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_553
8 Air Quality Guidelines and Standards
Morbidity A statistical measure of number of
fractions of indicators of illness.
Mortality A statistical measure of number or
fraction of deaths.
National Ambient Air Quality Stand-
ards NAAQS, established under the US
Clean Air Act to protect health and welfare.
Nitrogen oxides NOx, a mixture of NO and NO2
produced in high-temperature combustion pro-
cesses. Regulated as a Criteria Air Pollutant or
Common Air Pollutant.
Ozone O3, a molecule with three atoms of oxy-
gen. It is highly reactive with other chemicals
and biological systems. It is regulated as a
Criteria Air Pollutant or Common Air Pollutant.
Particulate matter Airborne solid material,
unspecified as to chemical composition, regu-
lated as a Criteria Pollutant or Common Air
Pollutant.
Particulate matter, 10 mm PM10, airborne partic-
ulate material included in sampled air size frac-
tion with aerodynamic size of 10 mm and less.
Particulate matter, 2.5 mm PM2.5, particulate
material included in sampled air size fraction
with an aerodynamic size of 2.5 mm or less.
Primary standards or guidelines Air Quality
Standards or Guidelines for Criteria or Com-
mon Pollutants set to protect public health.
Risk The probability of an adverse health out-
come associated with exposure to a hazardous
material for a defined period of time and expo-
sure level. Usually expressed as a level of
adverse effect, morbidity, or mortality, over
and above background.
Risk assessment The analytical process of eval-
uating exposure and the hazard potential of a
material to estimate risk.
Secondary standards or guidelines Air Quality
Standards or Guidelines for Criteria or Com-
mon Air Pollutants set to protect public welfare
such as visibility or effects on plants.
Standards Regulations that are legally binding.
Stationary sources Fixed sources of air pollu-
tion emissions such as power plants.
Sulfur dioxide SO2, released from combustion
of sulfur-containing fossil fuels. It is regulated
as a Criteria Air Pollutant or Common Air
Pollutant.
Definition of the Subject
Air quality is the state of the atmosphere in which
humankind lives and works. The air consists of a
complex mixture of gases and suspended droplets
and particles. Some of the gases, such as oxygen
and carbon dioxide, within rather tight concentra-
tion limits, are essential for sustaining the life of all
living things. Some of the gases and aerosol parti-
cles and droplets, when certain concentrations are
exceeded and with sufficient duration of exposure,
may have adverse effects on humans and other
living things, including vegetation. Various gov-
ernmental agencies around the world have devel-
oped air quality guidelines and standards for
ambient or outdoor air quality. These guidelines
or standards, when achieved or attained, are
intended to be protective of human health and
minimize the potential for other effects such as
impacts on visibility or plants. Some government
entities and statutes characterize the guidelines as
goals to be attained, while other government enti-
ties and statutes treat them as rigid standards which
are legally enforced. Guidelines or standards, when
attained, are intended to improve the quality and
sustainability of human life.
Introduction
The quality of the air that people live in and
breathe has no doubt been of concern to people
since early in the evolution of humans. This con-
cern, which must have preceded recorded history,
likely coincided with man’s use of purposeful
combustion, fire, for cooking and heating and
ultimately, for manufacturing and other activities,
including transportation. There is abundant evi-
dence that early humans found it convenient to
live in caves both for shelter and safety. The poor
quality of the air is apparent from the residual soot
coating the interior of caves used as dwellings.
Indeed, pictographs of the interior of the caves
provide documentation of aspects of the life of
those early cave dwellers. As community life
evolved, people continued to live and use fire for
both cooking and heating in poorly ventilated
dwellings.
Air Quality Guidelines and Standards
Domestication of both plants and animals
played a critical role in the development of
agriculture-based societies and the growth of
communities. The agricultural base influenced
the size of communities and their proximity to
one another. The ability to transport essential
foodstuffs by ship or overland by horses, camels,
and oxen allowed cities to emerge. With larger
communities came increased air pollution and
the impact of an individual family’s pollution on
their neighbors and vice versa.
Coal apparently was first used as a fuel in the
Far East. The introduction of coal as an energy
source in the Western world followed Marco
Polo’s return to the west from his trip to the
more advanced societies of the Far East. As
early as the thirteenth century, there was concern
over coal smoke and odor in London, and the
Queen of England reportedly moved from
London to Nottingham because of the insufferable
smoke. In 1661, John Evelyn published
Fumifugium: Or the Inconvenience of the Air
and Smoke of London Dissipated, which drew
attention to the problem for air pollution.
The industrial revolution in the early years was
dependent on wood as a fuel, and therefore, indus-
try was located near forests. This restriction
served as a throttle on industrial development.
The development of effective steam engines in
the eighteenth century provided a major impetus
for the use of coal as a fuel. With coal, the pace of
industrial activity increased, and factories devel-
oped near sources of coal and along the waterways
that served to efficiently transport the coal. The
smoke and ash from coal-fired boilers in factories,
power plants, and locomotives increasingly
became of concern. Interestingly, this concern
about air pollution was stimulated by impairment
of visibility and soiling as well as effects on
health. In addition, the damage to vegetation
from emissions produced in the smelting of sul-
fide ores gave clear evidence of yet another effect
of air pollution. Air pollution problems were rec-
ognized in many industrial countries in the late
nineteenth century, but the problem was probably
nowhere as apparent as in London. The high
levels of pollutants combined with the notorious
London fog created a serious problem and is
9
reputed to have given rise to the term smog, a
contraction of smoke and fog.
The development of steam engines soon led to
their use in sea-going vessels that initially
depended heavily on coal as a fuel. Later, coal
would be replaced by oil as a fuel. Emissions from
ships did not attract major attention until the late
twentieth century when concern developed for air
emissions when the ships were near land and
especially when in harbor.
With the discovery of electricity a revolution
occurred in the generation and use of energy.
More appropriately, it is the conversion of energy
from one form to another, for example, from coal
to thermal energy to electric energy that could be
easily transmitted. It was now possible to generate
electricity with coal as an energy source at one
location and transport it over long distances for
use at multiple locations. Over the course of the
twentieth century the generation of electricity
from the combustion of fossil fuels in large
power plants continuously grew, first in heavily
industrialized countries and, ultimately, around
the world.
In the 1900s, a series of incidents drew atten-
tion to air pollution as a serious and even acute
health problem. In December 1930, static atmo-
spheric conditions in the Meuse Valley of Bel-
gium resulted in pollution that caused over
60 deaths and hundreds of illnesses. In December
1952, smog in London resulted in about 4,000
deaths, principally among the infirm, the old,
and those with respiratory diseases. The effects
were not restricted to humans. Acute respiratory
symptoms were also reported in cattle at the
Smithfield Club livestock show. The effects may
have been most severe in the heavy-weight prize
cattle, who were well cared for and had their litter
and excreta promptly removed. Other cattle that
were not as well cared for apparently fared better,
perhaps because of some benefits of ammonia
from the excreta neutralizing the effects of sulfur
oxides and sulfuric acid. Another major smog
episode in London during December 1962
resulted in 340 deaths.
In October 1948, a particularly calm and stable
meteorology in Donora, Pennsylvania, about
30 km from Pittsburgh, PA, resulted in a 4-day
10
buildup in levels of oxides and inorganic sulfates
from the local steel and zinc smelters. More than
20 individuals died and 6,000 people developed
respiratory problems. The official government
report [57] on the Donora episode noted that the
health effects were likely related to a combination
of contaminants and identified sulfur dioxide as a
chief culprit. The word smoke did not appear in
the report. The attention previously focused on
smoke was now broadening to include other air-
borne materials and, indeed, more broadly to air
quality.
Despite early concerns about whether airborne
materials could cause disease, relatively little
research was conducted prior to World War I to
improve our knowledge of the relationship
between the air pollution and disease. The unfor-
tunate use of poisonous gases in World War
I provided a stimulus for developing a better
understanding of how these specific agents pro-
duced disease. Unfortunately, the meager litera-
ture generated indicates that research in this area
was not substantial or very long-lasting. In retro-
spect, the lack of research related to airborne
toxicants is probably not surprising considering
the generally low level of biomedical research
activity in the first third of the twentieth century.
The strong preventive medicine orientation that
exists today toward diseases of both occupational
and environmental origin had not yet developed.
Between World War I and World War II, con-
cern for airborne materials impacting on human
health centered primarily on occupational expo-
sures. World War II brought with it renewed con-
cern for purposeful exposures of people to toxic
gases and biological agents. In both the United
Kingdom and the United States, major research
efforts were conducted to better understand the
effects of these agents thereby providing
improved approaches to defending against their
use and effects. World War II also brought with it
major research efforts focusing on the potential
toxic effects of uranium and newly discovered
radionuclides such as plutonium and fission prod-
uct related to the manufacture and use of nuclear
weapons and, later, the development of nuclear
reactors as energy sources to generate electrical
power. These activities are noteworthy since
Air Quality Guidelines and Standards
many of the basic concepts of aerosol science
and inhalation toxicology trace their roots to
those research efforts.
The post-World War II era brought with it an
increased awareness of air pollution arising from
another source – motor vehicles. Perhaps nowhere
was this more the case than in the Los Angeles
basin with its marked increase in population,
industry, and cars. As concern increased for the
Los Angeles smog in the late 1940s and 1950s, the
name “Bay of Smokers,” which was coined in
1542 by Juan Rodrigues Cabrillo for San Pedro
Bay, took on a contemporary tone. Haagen-Smit
[25] of the California Institute of Technology
reported the scientific basis for photochemical
smog – reactions among oxides of nitrogen and
hydrocarbons from vehicle exhaust in the pres-
ence of sunlight produced ozone and other photo-
chemical oxidants that were the key components
of Los Angeles smog. It is noteworthy that his
early research was motivated by understanding
the effects of smog on citrus fruit production.
Haagen-Smith’s findings were another key factor
in broadening the concern for air quality from
smoke to ozone and other air contaminants.
Post WWII then was a major and continuing
increase in the use of airplanes both to transport
people and goods. Indeed, transport of goods by
aircraft is a central element of the global economy
that emerged in the latter part of the twentieth
century. As with ships, aircraft as sources of air
pollution did not attract much attention in the late
twentieth century when attention began to focus
on air quality in the vicinity of major airports. In
the case of some areas, such as the Los Angeles
International Airport and a nearby harbor, concern
has developed for the contribution of multiple
sources: aircraft, cargo ships, locomotives, trucks,
and passenger cars.
So far the discussion has centered on air pollu-
tion from combustion of hydrocarbons, from
recently fixed carbon in wood and other plant
materials to the fossil fuel energy sources, coal,
oil, and natural gas, created in earlier geologic
eras. With each of these fuel sources hydrocar-
bons are combusted releasing thermal energy, CO,
CO2, H2O, variable amounts of Nitrogen Oxides,
and traces of other elements.
Air Quality Guidelines and Standards
There are non-hydrocarbon-based energy sys-
tems that do not depend on combustion of hydro-
carbons that deserve mention. This includes wind,
hydro, nuclear, and solar power. Some of these
such as wind and water have been in use for
centuries to provide power. Nuclear power had
its advent post-WWII. Solar power with its cur-
rent focus on photovoltaic conversion is relatively
new. All of these systems have the advantage of
not creating airborne emissions related to combus-
tion. However, each of these energy sources has
its own disadvantages related to potential impacts
on human health and ecosystems.
It is important to recognize that there are a
multitude of other industrial and personal activi-
ties beyond combustion of hydrocarbons that
result in air emissions that may be harmful to
human health and ecosystems. These range from
mining and extraction of minerals to processes
producing specialized products such as paper,
fabric, silicon chips, and chemicals to the manu-
facture of vehicles and other commercial goods.
Agricultural activities also have unique airborne
emissions. Each of these activities require variable
amounts of energy and, thus, contribute to the
potential for local emissions of combustion prod-
ucts or emissions at a remote location such as a
central facility producing electrical power. In
addition, each of these activities has airborne
emissions unique to the processes being used.
The focus of this entry is on the pollutants that
arise from multiple sources and, thus, are found
Air Quality Guidelines
and Standards, Establish Air
Quality Goals
Fig. 1 Conceptual
framework for air quality
Standard
management
Guidelines
Track and
Evaluate
Results
Monitoring
(emissions and
ambient Air)
Receptor
Modeling
11
everywhere. These common air pollutants are iden-
tified as criteria pollutants in the Clean Air Act, the
principal statute governing air quality in the United
States [14]. Some of these same pollutants have
been identified by the World Health Organization
(WHO) as common air pollutants [94].
Air Quality Management Framework
Air quality guidelines and standards are a key
element of air quality management as practiced
around the world. Bachmann [7] provides an infor-
mative historical review of the evolution of air
quality management in the United States with par-
ticular emphasis on the National Ambient Air
Quality Standards (NAAQS). A conceptual frame-
work for Air Quality Management is depicted in
Fig. 1. Air quality goals, which may be expressed
as air quality guidelines or standards, are the
drivers for all the other elements of the framework.
Emissions from various sources are considered
within the context of the guidelines or standards.
Are specific sources or kinds of sources significant
contributors based on estimates of emissions? If so,
what strategies can be used to reduce their emis-
sions? Do source permits have a role in setting
emission limits? Ambient monitoring can be used
to provide an overall assessment of air.
Quality and, perhaps, over time monitoring can
establish whether the intended improvements in air
quality are being achieved. The total air quality
Determine Emissions
Monitoring Inventories
Analysis and Modeling
Scientific
Research and Develop Programs to
Technological Reduce
Development Emissions and Achieve
Goals
Implement and Identify Sources
Enforce Control Allocate Reductions
Strategies Create Plans to
Achieve Reductions
Source Permits Compliance
12 Air Quality Guidelines and Standards

management cycle shown should be viewed as an
integrated system. The system is dynamic with
new sources being introduced, old sources
retrofitted with controls, and some sources
removed. In addition, as I will discuss later, the
guidelines and standards are periodically reviewed
and the concentration levels reduced. As some
would say, the goal posts are constantly being
moved to lower concentrations making it more
challenging to achieve success and declare victory.
As will be discussed later, how low is low enough?
Another key concept embedded within the air
quality management system is the linkage from
sources to health responses illustrated in Fig. 2.
The schematic rendering in the figure is a general
concept not exclusively linked to air pollution.
The goal of air quality management is to have a
positive impact on human health responses, the
endpoint at the right of the figure. As illustrated in
Fig. 3, multiple factors, not just air quality, influ-
ence human health. Thus, in a specific sense, the
goal is to minimize the health impacts of air pol-
lution relative to all the other factors that influence
human health while achieving an overall improve-
ment in health. Implicit in the setting of air quality
standards and guidelines is the treatment of spe-
cific concentrations of agents in ambient air as
surrogates for human health. Air quality can be
readily characterized with an appropriately
designed monitoring scheme for multiple air pol-
lutants. In contrast, it is challenging to attempt to
determine the association between specific risk
factors, such as air pollution, and the health
response of an individual. This is especially the
case for current ambient concentrations of air
pollutants in industrialized countries, concentra-
tions substantially reduced from those observed
only a few decades ago. Even when the focus of
research investigations shifts from individuals to
large populations, it is a challenge to characterize
an association between a specific air pollutant and
increased probability of a specific kind of
response compared to a baseline. It is rarely pos-
sible to establish a causal relationship.
The complexity of relationships between sources
of air pollution and health responses can be readily
grasped by considering Fig. 4. In this figure, the
concept of outdoor versus indoor exposures is intro-
duced. The situation with regard to indoor exposures
is even more complicated than may initially appear.

RISK COMMUNICATION
Effectively communicate the total risk process and risk characterization to all
stakeholders

RISK RESEARCH RISK ASSESSMENT RISK MANAGEMENT

Understanding the 1. Hazard Identification Risk management
mechanistic linkages 2. Exposure, Dose, and decisions incorporate
between sources of Response Assessment the results of risk
toxicants, exposure, 3. Exposure Assessment characterizations and
dose, and response 4. Risk Characterization public health, economic
5. Identification of social and political
Research Needs considerations

Action
Identification of Research Needs

Air Quality Guidelines and Standards, Fig. 2 The risk paradigm

Air Quality Guidelines and Standards
Workplace
Personal Health
Lifestyle Care
Choices
Personal Public
Environment Environment
Genetics
Air Quality Guidelines and Standards, Fig. 3 Multiple
factors influencing the health status of individuals and
populations
This is the case because most individuals, during the
course of their daily lives, spend variable amounts of
time in multiple indoor environments: home (their
bedroom, kitchen, living room, etc.), workplace,
school, automobile, etc. Each of these micro-
environments may have a different mix of air pol-
lutants, both as to kind and concentration, arising
from multiple sources. Some variable portion of the
indoor pollution may also arise from outdoors, the
ambient environment.
The outdoor air pollution arises from multiple
sources, some local, some regional, and some
quite remote. Indeed, it is increasingly apparent
that emissions arising in one continent such as
Asia soon reach North America and then Europe.
The air trajectory of emissions from coal-fired
power plants in the Midwest extending to the
Northeastern United States is well known. Dust
originating from deserts in China regularly
reaches the United States and Europe. Dust orig-
inating from the Sahara Desert also regularly cir-
culates around the globe.
Context for Air Quality Impacts
Although the focus of this entry is on air quality
and its influence on human health, it is important
that context be provided for considering the role of
air pollution on human health. The introductory
chapter by Ayres et al. [5] in the textbook on
Environmental Medicine [6] provides a useful
review of the multiple factors influencing health.
13
As noted earlier (Fig. 3) multiple factors influence
the health of each individual and, in turn, the health
of populations. Each individual has its own unique
genetic background inherited from its parents. That
genetic background can have a profound influence
on the individual’s potential health status through-
out their life. Each of the other factors shown in the
diagram can have a significant influence on the
health status of an individual. Income and, more
broadly, socioeconomic status are important fac-
tors influencing health.
The role of income and environmental factors
are intertwined. This is readily apparent from con-
sidering Table 1 [31]. This table reports an analy-
sis of the health impact of various risk factors in
low- and middle-income countries versus high-
income countries [31]. Urban air pollution and
indoor smoke from household use of solid fuels
are identified as risk factors. Taken together these
two air pollution risk factors account for 5.2% of
deaths in low- and middle-income countries ver-
sus 1.0% of deaths in high-income countries, the
latter related exclusively to urban air pollution.
It is important to recognize that the role of
socioeconomic status influencing health is a com-
plex issue. Steenland et al. [59] have analyzed this
issue for the US population and their findings are
summarized in Table 2. Several points can be made
using these findings. First, even for a country like
the United States, typically identified as high-
income, there are gradients in socioeconomic sta-
tus and these have associated substantial gradients
in health outcomes. Keep in mind the relative risks
on the order of 2.0 when the relative risks of
particulate matter and ozone are discussed. It is
obvious that the national good will be served by
improving the socioeconomic status of the total
population. Second, a multitude of factors have a
role in influencing the health status of the individ-
uals in the lower quartile. Poor air quality to the
extent it is experienced more by individuals in the
lower quartile than in the upper quartile may be one
of those factors. The substantial influence of socio-
economic status on health emphasizes the impor-
tance of attempting to control for it as a variable in
epidemiological studies of air pollution and to
report findings on it to provide perspective for the
reported effects of air pollution.
14 Air Quality Guidelines and Standards

Industrial Cooking & combustion

Commercial Particle re-suspension
Urban Hobbies
Outdoor Indoor
Mobile Work activities
Sources Sources
Regional Indoor activation
Agricultural Consumer products
Natural Building materials
Heating

Infiltration
Dispersion
Exfiltration
Transformation
Deposition
Deposition
Chemical Reactions

Outdoor Indoor
Concentrations Concentrations

Microenvironmental
Concentrations

Time-Activity
Data

Personal
Exposures

Dose

Internal Dose

Biologically
Effective Dose

Health
Responses

Air Quality Guidelines and Standards, Fig. 4 Schematic rendering of the relationship between outdoor and indoor
sources, personal exposure, biologically effective dose and health responses. (Adapted from Özkaynak [50])
Air Quality Guidelines and Standards 15

Air Quality Guidelines and Standards, Table 1 Deaths by cause: low- and middle-income countries, high-income
countries, and world, 2001
Low- and middle-income High-income World
deaths deaths deaths
Total number (thousands) 48,351 7,891 56,242
Rate per 1,000 population 9.3 8.5 9.1
Age-standardizeda rate per 1,000 11.4 5.0 10.0
Risk factor Number in thousands (percent)
Childhood and maternal undernutrition
Childhood underweight 3,630 (7.5) 0 (0.0) 3,630 (6.5)
Iron-deficiency anemia 613 (1.3) 8 (0.1) 621 (1.1)
Vitamin A deficiency 800 (1.7) 0 (0.0) 800 (1.4)
Zinc deficiency 849 (1.8) 0 (0.0) 849 (1.5)
Other nutrition-related risk factors and Physical activity
High blood pressure 6,223 (12.9) 1,392 (17.6) 7,615
(13.5)
High cholesterol 3,038 (6.3) 842 (10.7) 3,880 (6.9)
Overweight and obesity 1,747 (3.6) 614 (7.8) 2,361 (4.2)
Low fruit and vegetable intake 2,308 (4.8) 333 (4.2) 2,641 (4.7)
Physical inactivity 1,559 (3.2) 376 (4.8) 1,935 (3.4)
Addictive substances
Smoking 3,340 (6.9) 1,462 (18.5) 4,802 (8.5)
Alcohol use 1,869 (3.9) 24 (0.3) 1,893 (3.4)
Illicit drug use 189 (0.4) 37 (0.5) 226 (0.4)
Sexual and reproductive health
Unsafe sex 2,819 (5.8) 32 (0.4) 2,851 (5.1)
Nonuse and use of ineffective methods of 162 (0.3) 0 (0.0) 62 (0.3)
contraception
Environmental risks
Unsafe water, sanitation, and hygiene 1,563 (3.2) 4 (<0.1) 1,567 (2.8)
Urban air pollution 735 (1.5) 76 (1.0) 811 (1.4)
Indoor smoke from household use of solid fuels 1,791 (3.7) 0 (0.0) 1,791 (3.2)
Other selected risks
Contaminated injections in health care setting 407 (0.8) 4 (<0.1) 412 (0.7)
Child sexual abuse 65 (0.1) 6 (<0.1) 71 (0.1)
All selected risk factors together 22,014 (45.6) 3,473 (44.0) 25,488
(45.3)
Source: Adapted from [31]
a
Age-standardized using the WHO World Standard Population

Figure 5 provides a related perspective by
contrasting environmental with non-environ-
mental contributions to specific categories of
disease using disability-adjusted life years as an
endpoint [55]. The merits of monetizing risks and
benefits as statistical life-years versus lives have
been reviewed by Sunstein [61]. Of special note
are four diseases: lower respiratory infections,
chronic obstructive pulmonary disease (COPD),
ischemic heart disease, and lung cancer. The first
three of these conditions account for about 4% of
the total global burden disease in disability-
adjusted life years while lung cancer accounts
for about 1%. Air pollution is generally viewed
as a contributor to global disease burden. How-
ever, its contribution needs to be placed in
perspective relative to other major contributors
to ill health.
16 Air Quality Guidelines and Standards

Air Quality Guidelines

Mortality rate ratio ¼ highest
lowest quartile
quartile of socioeconomical status
and Standards,
Table 2 The impact of Mortality Men Women
socioeconomic status on All cause 2.02 (1.95–2.09)a 1.29 (1.25–1.32)
mortality
Heart disease 1.88 (1.83–1.93) 1.84 (1.76–1.93)
Stroke 2.25 (2.14–2.37) 1.53 (1.44–1.62)
Diabetes 2.19 (2.07–2.32) 1.85 (1.72–2.00)
COPD 3.59 (3.35–3.83) 2.09 (1.91–2.30)
Lung cancer 2.15 (2.07–2.23) 1.31 (1.25–1.39)
Breast cancer – 0.76 (0.73–0.79)
Colorectal cancer 1.21 (1.16–1.27) 0.91 (0.86–0.96)
External causes 2.67 (2.58–2.78) 1.41 (1.35–1.48)
Source: Steenland et al. [59]
a
95% confidence interval

Diarrhoea
Lower respiratory infections
Other unintentional injuries
Malaria
Road traffic injuries
COPD
Perinatal conditions
Ischaemic heart disease
Childhood cluster disease
Lead-caused mental retardation*
Drownings
HIV/AIDS
Malnutrition
Cerebrovascular disease
Asthma
Tuberculosis
Suicide
Depression
Poisonings
Falls
Hearing loss
Violence
Lymphatic filariasis
Lung cancer
0% 1% 2% 3% 4% 5% 6% 7%

Fraction of total global burden of disease in DALYs

Environmental fraction Non-environmental fraction

COPD, Chronic obstructive pulmonary disease.

* Lead-caused mental retardation is defined in the World Health Organization list of diseases for 2002,
accessed at: www.who.int/evidence.
DALYs represent a weighted measure of death, illness and disability.
For each disease, the fraction attributable to environmental risks is shown in black,
Grey plus black represents the total burden of disease.

Air Quality Guidelines and Standards, disability-adjusted life-year, HIV human immunodefi-
Fig. 5 Diseases with the largest environmental contribu- ciency virus. (Adapted from Pruss-Ustun and Corvalan,
tion. AIDS acquired immune deficiency syndrome, DALY with permission)
Air Quality Guidelines and Standards
In this entry, there is a focus on the development
of air quality standards in the United States since, to
a large degree, these activities have served as a
template for other countries. For comparative pur-
poses, the World Health Organization’s Air Quality
Guidelines have also been summarized. Reference
will be made at several junctures to the distinction
between guidelines providing guidance for
policymakers versus standards that are legally bind-
ing and, in turn, may mandate certain actions. The
omission of detailed discussions of guidelines and
standards as developed and used in other countries
around the globe is not intended as a judgment of
their quality or utility.
The US Legal Framework for Air Quality
Standards
As concern mounted for the poor quality of air,
citizens increasingly turned to the government to
enact laws to restrict emissions and improve air
quality [7, 60]. Bachmann’s perspective is of special
interest since as a US EPA employee for more than
three decades, he had a central role in the setting of
NAAQS. Readers interested in legal details of the
Clean Air Act and NAAQS will find the summary
of Martineau and Novello [33] useful. Initially, these
air quality initiatives were focused at the local level
in major cities around the world. In the United
States, heavily industrialized cities, such as Pitts-
burgh, Chicago, Philadelphia, and Detroit, enacted
legislation setting local standards. In most cases,
these early standards focused on smoke.
By the mid-twentieth century in the United
States, it had become apparent that local efforts
on air pollution control were not sufficient, and
complementary efforts were needed at the state or
national level. At the national level in the United
States post-WWII, the lead agency for air quality
was the Division of Air Pollution of the Public
Health Service within the Department of Health,
Education and Welfare. The Air Pollution Control
Act of 1955 [60] provided funding to the PHS for
air pollution control research and to support the
state’s efforts. However, the impact of this Act on
progress in managing air quality was limited.
In 1963, the Clean Air Act (CAA) was passed,
which became the principal national statute in the
17
United States concerned with air quality [14]. The
original CAA [14] directed the then Department of
Health, Education and Welfare (HEW) to “compile
and publish criteria on the effects of air pollutants,”
hence the identification of “criteria pollutants” and
“criteria documents” summarizing the scientific
knowledge on certain air pollutants arising from
multiple sources and found across the United
States. The National Air Pollution Control Admin-
istration (NAPCA) within HEW was initially
assigned responsibility of administering the CAA.
The role of NAPCA was strengthened with the
CAA Amendments of 1967. However, in the
absence of a specific time schedule progress
remained slow. A single document on SO2 was
developed [32]. When the US Environmental Pro-
tection Agency (EPA) was created in 1970 by
consolidating numerous existing federal agencies,
responsibility for administering the CAA was
effectively transferred from NAPCA to the EPA.
In 1970, almost coincident with creation of the
US Environmental Protection Agency, major
amendments to the CAA were passed that opened
a new era in managing air quality in the United
States [15]. The Clean Air Act as amended is a
very broad piece of legislation. The sections deal-
ing with the establishment of National Ambient
Air Quality Standards are a key part of the Act and
are viewed by many individuals as the core of the
Act. Other sections of the Act provide authority
for implementing processes to achieve attainment
of the NAAQS and otherwise in improving air
quality. This includes a delegation of responsibil-
ity to the individual States for taking steps to attain
the NAAQS. This includes the development of
State Implementation Plans if the States have
areas that are not in attainment with regard to
any specific NAAQS as evaluated by the concen-
tration and statistical form of the Standard.
Other sections of the Act address both Station-
ary and Mobile Sources and the control of their
emissions. This includes specific emission stan-
dards for vehicles and provision for issuance of
fuel efficiency goals that in the course of being
achieved impact on air quality. The rigid “com-
mand and control” and standard-setting approach
of the United States contrasts sharply with the
guidance approach taken by the World Health
Organization (WHO).
18
National Ambient Air Quality Standards
Section 108 of the amended CAA specifies the
development of scientific criteria for certain air
pollutants. It specifies that the Administrator pub-
lish a list for pollutants: (a) which have an adverse
effect on public health or welfare, and (b) which
are derived from numerous or diverse mobile or
stationary sources. It explicitly states – “the
criteria shall accurately reflect the latest scientific
knowledge on the kind and extent of all identifi-
able effects on public health and welfare which
may be expected from the presence of the pollut-
ant in ambient air, in varying quantities” [15].
Section 109 of the CAA [15] directs the
Administrator to propose and promulgate “pri-
mary” and “secondary” NAAQSs for criteria pol-
lutants identified under Section 108. The primary
Standards are to be set to protect public health;
secondary Standards are to be set to protect the
public welfare such as effects on soils, water,
crops, visibility, and deterioration of property. In
this entry, I focus on the setting of the primary
Standards and on the specific NAAQS. However,
the issues discussed are also broadly applicable to
the setting of secondary Standards.
Section 109(b)(1) defines a primary NAAQS
as one that “the attainment and maintenance of
which in the judgment of the Administrator, based
on the criteria and allowing an adequate margin of
safety, is requisite to protect the public health.”
The margin of safety, as interpreted by the EPA, is
intended to address uncertainties associated with
inconclusive scientific and technical information
at the time the Standard is set and to account for
hazards that research has not yet identified.
The primary Standards are intended to protect
against “adverse effects, not necessarily against
all identifiable effects of changes produced by a
pollutant.” Although the US Congress did not
rigorously define an adverse effect, it did provide
general guidance in the legislative history of the
debate on the CAA [30]. Congress was concerned
with effects ranging from cancer, metabolic and
respiratory disease, and impairment of mental
processes to headaches, dizziness, and nausea.
Congress also noted concern for sensitive pop-
ulation groups in setting the NAAQSs. In
Air Quality Guidelines and Standards
particular, Congress noted that the Standards
should protect “particularly sensitive citizens
such as bronchial asthmatics and those with
emphysema who in the normal course of daily
activity are exposed to the ambient environment.”
This has been interpreted to exclude individuals
who are not performing normal activities, such as
individuals who are hospitalized. Further guid-
ance was given noting that the Standard is statu-
torily sufficient whenever there is “an absence of
adverse effect on the health of a statistically
related sample of persons in sensitive groups
from exposure to the ambient air.”
The challenge of interpreting the “adequate
margin of safety” language of the CAA was noted
in an editorial by Donald Kennedy on Risk versus
Risk published when he served as Editor-in-Chief
of Science [27]. He wrote – “In the United States
and some other industrial democracies, where peo-
ple and their governments tend to be risk averse,
legislatures, courts, and administrative entities usu-
ally create a presumption favoring more safety
rather than less. The definitions of risk in law are
often vague (‘reasonable certainty of no harm’ or
‘adequate margin of safety’) and are likely to
encourage an unrealistic belief that risks can be
minimized or even eliminated altogether.” I think
Kennedy has captured the conundrum posed by the
language of the CAA, a conundrum that has been
addressed by US Supreme Court Justice Stephen
Breyer as I will relate later.
In 1977, several key amendments were made
to the CAA [16]. Concern about slow action of the
EPA in preparing criteria documents and
reassessing NAAQSs prompted a legislated
requirement that the NAAQSs be reevaluated not
later than January 1, 1980, and at 5-year intervals
thereafter. Reevaluation was not intended to auto-
matically result in changes in the NAAQSs for a
pollutant; rather, reevaluation was intended to
ensure that the scientific database was reviewed
and that the NAAQSs were consistent with cur-
rent knowledge. To my knowledge, this require-
ment for mandatory review every 5 years is
unique to the setting of the NAAQS in the United
States. Indeed, I know of no other statute calling
for an updating of the science and reconsideration
of the Standard every 5 years.
Air Quality Guidelines and Standards
Peer review of the earliest criteria documents
prepared by the EPA was carried out by various
committees of the agency’s Science Advisory
Board. The 1977 amendments to the CAA insti-
tutionalized the peer-review process for the
NAAQS [16]. The amendment requires the EPA
Administrator to appoint an independent scientific
committee, composed of seven members, includ-
ing at least one member of the National Academy
of Sciences, one physician, and one person
representing state air pollution control agencies
to advise the Administrator on the science
informing the policy judgments made in setting
the NAAQS. The EPA has implemented this pro-
vision of the CAA by appointing a Committee,
which designated itself as the Clean Air Scientific
Advisory Committee (CASAC). The CASAC is
directly responsible to the EPA Administrator,
although it functions administratively as one of
the standing committees of the EPA Science Advi-
sory Board. Traditionally, the requirement for one
CASAC member to be a member of the National
Academy of Sciences has been broadly
interpreted to also include membership in either
the National Academy of Engineering or the Insti-
tute of Medicine. To complement the expertise of
regular members of the CASAC, a number of
consultants, sometimes as many as a dozen, with
specialized expertise usually have been added to
the review panels for specific pollutants.
The CAA was amended again in 1990
[17]. Although major changes were made in the
CAA with these amendments, especially with
regard to the regulation of hazardous air pollut-
ants, there were no changes in the fundamental
approach to dealing with the setting of NAAQS
for criteria pollutants. However, there were
changes in the CAA that have had major impact
on the regulation of emissions of PM and pre-
cursors especially from large power plants.
The pollutants originally designated as
“criteria pollutants” because of their ubiquitous
distribution and potential to endanger health
were photochemical oxidants (later regulated as
ozone), particulate matter (later regulated as Total
Suspended Particulates, then PM10, and PM2.5),
carbon monoxide, sulfur oxides (regulated as sul-
fur dioxide), nitrogen oxides (regulated as NO2),
19
and non-methane hydrocarbons (later dropped as
a criteria pollutant). The EPA [64] established
NAAQS for these pollutants soon after the
Agency was created using existing scientific doc-
umentation, that is, criteria. The original NAAQS
set in 1971 are shown in Table 3. As I will discuss
below, the EPA later added Lead as a criteria
pollutant with legal prodding from the National
Resources Defense Council [49, 72].
US Process for Setting National Ambient
Air Quality Standards
The process for developing and issuing NAAQS
after the initial NAAQS were set is quite complex
as discussed by Bachmann [7] and McClellan [36,
37, 39, 41]. Key elements of the process, as used
until quite recently, include preparation and
review of (a) criteria document, (b) staff paper,
(c) more recently a risk assessment, and (d) a
regulatory decision package leading to the
Administrator’s policy judgment decisions as to
the proposed and final NAAQS which are
published in the Federal Register. Traditionally,
CASAC focused its attention on reviewing the
Criteria Documents and Staff Papers and, more
recently, a formal Risk Assessment. As an aside,
the process was changed at the end of 2006 [51]
with an Integrated Science Assessment and Policy
Assessment Document replacing the Criteria Doc-
ument and Staff Paper. Time will tell if these
changes really improve the overall process.
In addition to the documents noted above, the
Agency now prepares a Regulatory Impact Anal-
ysis which is required under Executive Order
12866 issued by President Clinton [18] that
applies to economically significant rules that
have “an annual effect on the economy of
$100 million or more or adversely effect in a
material way the economy, a sector of the econ-
omy, productivity, competition, jobs, the environ-
ment, public health or safety or site, local, or tribal
governments or communities.” The results of the
Regulatory Impact Analysis are not considered
during the NAAQS rulemaking process given
the prohibition of consideration of cost in the
setting of the NAAQS [93].
20 Air Quality Guidelines and Standards

Air Quality Guidelines and Standards, Table 3 Primary and secondary National Ambient Air Quality Standards
initially set by the US Environmental Protection Agency in 1971a
Averaging
Pollutant (indicator)b Level time Formb
PM (total suspended 75 mg/m3 Annual Geometric mean
particulates) 260 mg/m3 24 h Not to be exceeded more than once per
year
TSP secondary standard 150 mg/m3 24 h Not to be exceeded more than once per
year
SO2 0.03 ppm Annual Arithmetic mean
0.14 ppm 24 h Not to be exceeded more than once per
year
SO2 secondary standards 60 mg/m3 (0.02 ppm) Annual Arithmetic mean
1,300 mg/m3 3h Not to be exceeded more than once per
(0.5 ppm) year
CO 10 mg/m3 (9 ppm) 8h Not to be exceeded more than once per
year
40 mg/m3 (35 ppm) 1h Not to be exceeded more than once per
year
Photochemical oxidants 200 mg/m3 1h Not to be exceeded more than once per
(as O3) (0.08 ppm) year
HC 160 mg/m3 3 h, 6–9 a.m. Not to be exceeded more than once per
(0.24 ppm) year
NO2 100 mg/m3 Annual Arithmetic mean
(0.053 ppm)
a
With the exception of PM and SO2, secondary NAAQS set identical to the primary standards
b
The terms “indicator” and “form” were not used in the 1971 notice

It is important to recognize that the NAAQS
process in the United States started as an informal
rulemaking process [7, 41, 52]. The DC Court of
Appeals found that the informal process was not
sufficiently well documented with regard to the
four key elements (indicator, averaging time, con-
centration, and statistical form) that the Court
could perform a judicial review of the rules that
were promulgated. This resulted in a judicial deci-
sion to overturn the secondary SO2 NAAQS in
1973 [10]. This in turn led the US Environmental
Protection Agency to develop more rigorous pro-
cedures including formal documentation [52].
Bachmann [7] summarized the adoption of
these procedures in the late 1970s noting the fol-
lowing points: “(1) EPA was to make available to
the public the information and technical method-
ologies it relied upon by the time of proposal;
(2) the preambles to proposal and final rules
were to provide a detailed explanation of EPA’s
decision; (3) EPA was required to respond to all
“significant” comments on the proposal by the
time it issues its final rule; and (4) all of the
above documents, analyses, preambles, and
responses constituted the record that the court
would examine in reviewing the final standard
decision. Objections not raised in the record
could not be raised in court. The halcyon days of
a speedy NAAQS process were over.” I agree that
the speed of the process was reduced, however,
I would add that transparency of the process was
also substantially improved. Congress apparently
agreed and these provisions were substantially
codified by the CAA Amendments of 1977 [16].
EPA’s implementation of the CAA, especially
its setting of NAAQS even with improved docu-
mentation, has been a matter of continuing con-
troversy and litigation. Some persons might note
that controversy and litigation were enhanced by
improved documentation. Bachmann [7] summa-
rizes many of the key legal cases in his review. In
this entry, I will only highlight several key legal
cases. The 1997 revisions of the Ozone NAAQS
[65] and Particulate Matter NAAQS [66] proved
Air Quality Guidelines and Standards
to be very contentious including within CASAC.
For example, the members of the CASAC PM
Panel, chaired by George Wolff, had a range of
views on the PM2.5 standard that was being set for
the first time replacing, in part, the PM10 standard.
This range of views was clearly articulated in the
CASAC Chair’s letter [97] to the Administrator
by including a Table showing the views of each
individual member of the CASAC Panel. This
approach stands in stark contrast to the approach
of more recent CASAC Panels that have empha-
sized consensus advice.
The contentious nature of the debate over these
revised NAAQS prompted Administrator
Browner to involve President Clinton. Bachmann
[7] recounts that Administrator Browner had a 1-h
meeting on these standards with the President –
“she reported that the President quickly accepted
her decision and spent much of the time
discussing how to reduce unnecessary burdens in
the implementation process. This resulted in some
of us writing the first draft of a letter that was later
sent by President Clinton [19] to EPA directing
implementation be carried out so as to “maximize
common sense, flexibility, and cost effective-
ness.” Not surprisingly, President Clinton [46]
had a role in announcing the tighter standards
which included for the first time a separate
PM2.5 standard to complement the PM10 standard
and a shift from a 1-h averaging time to an 8-h
averaging time standard for Ozone.
The issuance of a revised PM NAAQS triggered
the legal case of American Trucking Associations
v. EPA [4]. The Court found “the growing empiri-
cal evidence demonstrating a relationship between
fine particle pollution and adverse health effects
amply justifies establishment of new fine particu-
late standards.” The Court went on to find “ample
support” for EPA’s decision to regulate coarse par-
ticulate pollution, but vacated the 1997 PM10 stan-
dards, concluding in part that PM10 is a “poorly
matched indicator for coarse particulate pollution”
because it includes fine particulates. Subsequently,
EPA removed the vacated 1997 PM10 standard
allowing the 1987 PM10 standard to remain in
place along with the new PM2.5 issued in 1997.
In addition, the three-judge panel held, two to
one, that EPA’s approach to setting the level of the
21
PM and Ozone standards in 1997 effected “an
unconstitutional delegation of legislative author-
ity.” The Panel found that “the factors EPA uses in
determining the degree of public health concern
associated with different levels of ozone and par-
ticulate matter are reasonable.” However, it
remanded the rule to EPA. The Judicial Panel
stated that when the Agency considers these fac-
tors for potential non-threshold pollutants “what
EPA lacks is any determinate criterion for drawing
lines” to determine the level at which the stan-
dards should be set. The Panel also found that the
Administrator, under the CAA, is not permitted to
consider the cost of implementing these standards
in setting them.
Not surprisingly, the nature of the Circuit Court
opinion resulted in cross appeals being filed on the
several issues and the involvement of the US
Supreme Court. The Supreme Court in February
2001 issued a unanimous opinion upholding
EPA’s position on both the constitutional and
cost issues [93]. On the constitutional issue, the
Supreme Court held that the statutory requirement
that the NAAQS be “requisite” to protect public
health with an adequate margin of safety suffi-
ciently guided EPA’s discretion, affirming EPA’s
approach of setting standards that are neither more
nor less stringent than necessary.
Supreme Court Justice Breyer, who partici-
pated in the Whitman v. American Trucking Asso-
ciations case, is well known and highly regarded
for his opinions and writings on risk assessment
[11, 12]. Thus, it is not surprising that he took the
opportunity in Whitman v. American Trucking
Associations [93] to offer comments on the
standard-setting process and, specifically, the
identification of the level of the NAAQS and
the associated level of health risk. While concur-
ring that EPA cannot consider the costs of
implementing the Standards, he went on to
note – “this interpretation of §109 does not require
the EPA to eliminate every health risk, however
slight, at any economic cost, however great, to the
point of “hurtling” industry over “the brink of
ruin,” or even forcing “deindustrialization.”
(Id. At 494) (Breyer, J., concurring in part and
concurring in judgment) (citations omitted).
Rather, as Justice Breyer explained:
22
The statute, by its express terms, does not compel
the elimination of all risk; and it grants the Admin-
istrator sufficient flexibility to avoid setting ambient
air quality standards ruinous to industry.
Section 109(b)(1) directs the Administrator to set
standards that are “requisite to protect the public
health” with “an adequate margin of safety.” But
these words do not describe a world that is free of
all risk – an impossible and undesirable objective
(citation omitted). Nor are the words “requisite” and
“public health” to be understood independent of con-
text. We consider football equipment “safe” even if its
use entails a level of risk that would make drinking
water “unsafe” for consumption. And what counts as
“requisite” to protecting the public health will simi-
larly vary with background circumstances, such as the
public’s ordinary tolerance of the particular health risk
in the particular context at issue. The Administrator
can consider such background circumstances when
“deciding what risks are acceptable in the world in
which we live.” (Citation omitted).
The statute also permits the Administrator to take
account of comparative health risks. That is to say,
she may consider whether a proposed rule promotes
safety overall. A rule likely to cause more harm to
health than it prevents is not a rule that is “requisite to
protect the public health.” For example, as the Court
of Appeals held and the parties do not contest, the
Administrator has the authority to determine to what
extent possible health risks stemming from reduc-
tions in tropospheric ozone (which, it is claimed,
helps prevent cataracts and skin cancer) should be
taken into account in setting the ambient air quality
standard for ozone. (Citation omitted).
The statute ultimately specifies that the standard
set must be “requisite to protect the public health”
“in the judgment of the Administrator,” §109(b)(1),
84 Stat. 1680 (emphasis added), a phrase that grants
the Administrator considerable discretionary
standardsetting authority.
The statute’s words, then, authorize the Admin-
istrator to consider the severity of a pollutant’s
potential adverse health effects, the number of
those likely to be affected, the distribution of the
adverse effects, and the uncertainties surrounding
each estimate (citation omitted). They permit the
Administrator to take account of comparative health
consequences. They allow her to take account of
context when determining the acceptability of small
risks to health. And they give her considerable
discretion when she does so.
The discretion would seem sufficient to avoid
the extreme results that some of the industry parties
fear. After all, the EPA, in setting standards that
“protect the public health” with “an adequate mar-
gin of safety,” retains discretionary authority to
avoid regulating risks that it reasonably concludes
are trivial in context. Nor need regulation lead to
deindustrialization. Preindustrial society was not a
Air Quality Guidelines and Standards
very healthy society; hence a standard demanding
the return of the Stone Age would not prove “req-
uisite to protect the public health.”
Although I rely more heavily than does the
Court upon legislative history and alternative
sources of statutory flexibility. I reach the same
ultimate conclusion, Section 109 does not delegate
to the EPA authority to base the National Ambient
Air Quality Standards, in whole or in part, upon the
economic costs of compliance.
The case of Whitman v. American Trucking Asso-
ciations [93] is widely cited for the conclusion
that EPA cannot consider the economic costs of
compliance in the setting of NAAQS. Unfortu-
nately, in my opinion, insufficient attention is
given to the thoughtful guidance of Justice Breyer
on exercising policy judgment informed by sci-
ence in deciding on an acceptable level of health
risk, a judgment that in turn determines the level
and statistical form of each NAAQS. It is interest-
ing that Justice Breyer’s opinion appeared in
Administrator Johnson’s notice of the Ozone
NAAQS [81], but did not appear in Administrator
Jackson’s “reconsideration” proposal for Ozone
[85] that will be discussed later.
Paradigm Shift
At this juncture, it is appropriate to note that it is
my view that a paradigm shift has taken place in
the selection of the level of each NAAQS over the
past four decades. In my opinion, the paradigm
shift has been driven in part by the changing
nature of the scientific evidence of pollution
effects. In the 1970s, most scientists and regula-
tions viewed the criteria pollutants as having a
threshold in their ambient concentration- response
relationship, sometimes referred to as a hockey
stick function [36, 39]. In contrast cancer-causing
agents have been assumed to have linear, non-
threshold, concentration-response relationships.
In the late 1960s and early 1970s, the available
data on each criteria pollutant were quite modest,
with attention focusing on only a few epidemio-
logical studies. For those few studies, attention
often focused on whether a relative risk on the
order of 2.0 was statistically significant or not. For
Air Quality Guidelines and Standards
a given pollutant there were few, if any, controlled
human exposure studies. The data from laboratory
animal studies with specific pollutants had fre-
quently been acquired in studies with exposure
concentrations much higher than ambient concen-
trations of the pollutants. The results of these
studies raised questions about extrapolation both
from laboratory animals to humans and high to
low exposure concentrations. The general
approach taken was to identify the lowest levels
where effects were statistically significant and
assume this was the inflection point in the
concentration-response relationship. It could be
argued that setting the Standard at a lower con-
centration satisfied the requirement for “an ade-
quate margin of safety.”
In contrast, the most recent reviews have
involved thousands of papers with observations
ranging from human population level to studies
of intact laboratory animals to studies of effects
of air pollutants on cells and molecules. Despite
the huge number of published studies, attention has
ultimately focused on the results of a few studies
where attention turns to the critical issue of how
they inform the setting of the level and statistical
form of the standard. In the epidemiological stud-
ies, the debate often focuses on whether relative
risks of less than 1.1 for excess morbidity and
mortality are significant. Of course, the specific
relative number is dependent on the denominator
being used, for example, per 10 ppb of ozone (24-h
average). For controlled exposure clinical studies,
attention has focused on the lowest levels with
statistically significant changes, which in turn, trig-
gers debate over whether the changes are adverse.
A news report [63] in Science that I view as a
classic report highlighted the issues involved in the
search for subtle links between diet, lifestyle, or
environmental factors and disease, especially using
retrospective observational studies. I especially
liked the quote at the end attributed to Sander
Greenland, a well-known epidemiologist, in offer-
ing advice to his “most sensible, level-headed,
estimatable colleagues.” Remember, he says –
“there is nothing sinful about going out and getting
evidence, like asking people how much do you
drink and checking breast cancer records. There’s
nothing sinful about seeing if that evidence
23
correlates. There’s nothing sinful about checking
for confounding variables. The sin comes in believ-
ing a casual hypothesis is true because your study
came up with a positive result, or believing the
opposite because your study was negative.”
It is interesting to note that CASAC discus-
sions of criteria pollutant effects have frequently
focused initially on the level of the standard some-
times devoid of any consideration of the statistical
form of the level. This approach was in keeping
with traditional practice in the setting of standards
such as Threshold Limit Values for occupational
exposures to chemicals based on scientific judg-
ments [34–36, 40]. That approach has involved a
review of the available human data on a toxic
chemical to determine a no-observed effect level,
or the lowest observed effect level, and then using
safety factors to arrive at an acceptable exposure
level set at a lower level. In the absence of ade-
quate human data, laboratory animal data are used
and an additional safety factor used to account for
the potential that the animal observations might
not adequately predict human effects. This
approach was routinely used for a wide range of
health responses that were assumed to have an
exposure-response relationship that exhibited
either a true or practical threshold, an excess of
effects above some level and an absence of effects
below that level. A review of the earliest Criteria
Documents and, indeed, also the Staff Papers,
documents that a similar line of reasoning was
used in the setting of the NAAQS.
The implementation of standards set with this
approach soon revealed that if the standard was to
be rigorously enforced, that is, no exceedances of
the specific level of the standard, the practical
effect would be to cause average levels of the
pollutant to be reduced to levels far below the
standard so as to avoid the occasional high value
exceeding the standard. Fortunately, common
sense prevailed and the EPA, over time, moved
to the practice of routinely linking the specific
level of the standard with a statistical form such
as the 98th percentile 24-h concentration averaged
over 3 years or the fourth highest 8-h average
concentration during a 3-year period. In my opin-
ion, most of the attention of the CASAC in the
NAAQS setting process has focused on the level
24
of the standard with limited discussion of the
statistical form of the Standard. In doing so,
there has been a failure to recognize that the
stringency of the standard and the degree of health
protection provided depends on both the level and
statistical form of the standard for a particular
indicator and averaging time.
The challenges of selecting appropriate averag-
ing times and statistical forms for the NAAQS are
substantial. The original epidemiological and toxi-
cological studies that provide the scientific informa-
tion that should inform the setting of the NAAQS do
not always report results with an averaging time that
is the same as that ultimately selected for the Stan-
dard. Hence, the need to make extrapolations from
results reported based on one metric, such as aver-
age daily exposure to a second metric such as an 8-h
averaging time. The setting of standards at extreme
values, the 98th percentile for NO2 [86] or, even the
99th percentile form as done with the 1-h averaging
time standard for SO2 [87], results in extremely
stringent standards that at best are only very loosely
related to the underlying data. In my view, selection
of the specific level and statistical form for a specific
averaging time is clearly policy judgments beyond
the dominion of the science. It is my opinion that
decisions on the selection of specific averaging
times are ultimately policy judgments reserved to
the Administrator by the language of the CAA.
In the 1990s, concurrent with the increasingly
widespread use of formal risk analysis procedures
across society [35, 40], EPA moved to quantify the
health benefits associated with setting the NAAQS
at various levels, with an associated statistical
form. I must admit to being an early advocate of
formal quantification of health benefits. I viewed
the approach then and I still do today, as providing
useful guidance for making policy decisions. I did
not envision that some enthusiastic advocates of
quantitative risk analysis would actually view the
results of the analyses as being highly accurate
projections of potential health benefits expressed
to two or more significant figures, sometimes with-
out any indication of uncertainty.
The quantification of health effects potentially
associated with various levels and forms of the
Standards requires several kinds of input. Examples
are the risk assessments conducted by the USEPA
Air Quality Guidelines and Standards
for particulate matter [69], ozone [77, 78, 79] and
sulfur dioxide [83]. Guidance has also been pro-
vided by the US National Research Council
[48]. First and foremost, conduct of a risk assess-
ment requires some knowledge of the nature of the
ambient concentration-response relationships for
various temporal metrics for the pollutant in ques-
tion. Typically, the response term is expressed as
excess risk per unit of increased concentration over
some range of ambient concentrations. The question
then becomes one of whether the relationship is
linear and whether there is a threshold level below
which the coefficient for excess risk holds or does
not hold. The issue of whether there are or are not
thresholds for noncancer health endpoints from
exposure to many agents is very contentious [56,
92]. It is well recognized that the use of linear
no-threshold exposure-response relationships for
cancer-causing agents is closely linked to experience
with radiation [47]. An additional issue becomes the
selection of suitable reference baseline statistics for
the particular health effects to use along with a given
ambient concentration-response coefficient. Yet
another question becomes the appropriate popula-
tion to be evaluated, a single city, multiple cities, or
the population of the United States. It is obvious that
there are substantial uncertainties associated with
each component of the analysis of benefits of poten-
tial reductions in a given pollutant.
With the use of linear, no-threshold, ambient
concentration-response models, the EPA has, on
some occasions, calculated estimated excess mor-
bidity and mortality effects attributable to the spe-
cific pollutant down to background concentrations.
The Health Risk Assessment [77] and the Regula-
tory Impact Analysis [82] for the 2008 Ozone
NAAQS [81] serve as examples. Further, dependent
on the assumptions made with regard to how ambi-
ent concentrations of the pollutant would change in
response to various levels and forms of the standard,
substantial health effects avoided, that is, health
benefits can be calculated. Expressing the benefits
in monetary units raises some critical issues. Typi-
cally, mortality effects drive the monetized benefits
calculations because of the substantial value placed
on deaths avoided. Sunstein [61] has addressed this
contentious issue and has argued that years of life
loss is a more appropriate metric than is the use of
Air Quality Guidelines and Standards
lives lost as is the typical approach used by the
USEPA.
A key consideration as to whether these benefits
can be realized relates to whether the roll-back in
air concentrations that is assumed in the analysis as
a result of the new standard can actually be real-
ized. In part, this relates to how realistic the
assumptions have been with regard to background
levels. The analysis of benefits of reducing a given
pollutant, say Ozone, becomes even more convo-
luted when the analysis includes postulated reduc-
tions in a second pollutant, such as particulate
matter, associated with achieving the Ozone Stan-
dard. A discussion of this issue for Ozone can be
found in McClellan et al. [43]. Indeed, as the levels
of the standards are ratchetted down toward back-
ground levels, there is increasing uncertainty as to
whether there are any health effects attributable to
single pollutants and even greater uncertainty as
to the magnitude of the health benefits associated
with any new lower standard. The use of single
pollutant models for estimating benefits raises the
issue of double-counting of benefits as the benefits
of the individual pollutants are aggregated.
Hence, the paradigm shift. It is apparent that in
setting the earliest NAAQS some individuals,
including CASAC members, envisioned that the
standards were being set at levels protective of pub-
lic health with an adequate margin of safety based on
threshold ambient concentration-response models.
In short, if there were health effects at the level and
form of the NAAQS, they were de minimis. It is
useful to recall the Editorial by Kennedy [27]. In
contrast, more recent NAAQS have been set at
levels which both the CASAC and EPA characterize
as having residual health effects even if the standard
were to be attained. The central question remains –
how low is low enough? I view the answer as a
policy judgment informed by science that can only
be made by the EPA Administrator [41].
WHO Process for Setting Air Quality
Guidelines
The approach taken by the World Health Organi-
zation (WHO) contrasts with the USEPA approach.
WHO was established in 1948 as a specialized
25
Agency of the United Nations to be the directing
and coordinating authority for international health
matters and public health. WHO develops air qual-
ity guidelines (AQG) designed to offer guidance in
reducing the health impacts of air pollution. The
first AQG were produced in 1987 [94]. Updates
were published in 2000 and 2005 [95, 96]. The
AQG are intended to inform policymakers and to
provide appropriate targets for a broad range of
policy options for air quality management in dif-
ferent parts of the world, despite the more recent
documents being titled AQG for Europe.
The WHO AQGs are developed by working
groups of scientific experts [95, 96]. In addition to
preparing AQG for the classical air pollutants
(Particulate matter, Ozone, Nitrogen dioxide, and
Sulfur dioxide) the WHO also developed AQG for
(a) inorganic air pollutants, (b) certain indoor air
pollutants, (c) polychlorinated biphenyls, dioxins,
and furans, and (d) volatile organic compounds. The
WHO AQG process does not include any opportu-
nity for the involvement of interested parties such as
the public, national governments, nongovernmental
organizations, or industry. They represent expert
judgment exercised by scientists knowledgeable of
the subject material. This approach contrasts
sharply with the more formal and complex approach
followed by the US Environmental Protection
Agency in developing NAAQS.
The primary aim [95] of the AQG is “to pro-
vide a uniform basis for the protection of public
health and ecosystems from adverse effects of air
pollution and to eliminate or reduce to a minimum
exposure to those pollutants that are known or
likely to be hazardous.” “They have the character
of recommendations, and it is not intended or
recommended that they simply be adopted as
standards.” The WHO [95] report notes:
In the process of moving from a “guideline” or a
“guideline value” to a “standard,” a number of
factors beyond the exposure-response relationship
need to be taken into account. These factors include
current concentrations of pollutants and exposure
levels of a population, the specific mixture of air
pollutants, and the specific social, economic and
cultural conditions encountered. In addition, the
standard-setting procedure may be influenced by
the likelihood of implementing the standard.
These considerations may lead to a standard above
or below the respective guideline value.
26
Assessing Hazards and Risks
The risk approach used around the world today
(Fig. 2) developed within the USEPA in parallel
with the process for setting NAAQS [35, 36, 38,
39]. The setting of air quality standards and guide-
lines may be viewed as a specialized use of the risk
characterization paradigm illustrated in Fig. 2
[35]. In particular, the establishment of air quality
standards and guidelines draws on the schematic
rendering in the box labeled “risk assessment.” An
initial step in that process is to determine the hazard
potential of the agent, in short, to determinewhether
the specific agent has the potential for causing
adverse health effects in humans. In the case of the
criteria or common air pollutants discussed in this
entry, there is sufficient evidence to establish that
with exposure of sufficient duration and concentra-
tion the agent is capable of causing disease in peo-
ple, based on epidemiological evidence. The key
issue then becomes the nature of the relationship
between ambient concentrations and duration of
exposure and increased disease. The specific char-
acteristics of that complex relationship are crucial to
determining for a particular ambient concentration
the estimated health impacts including the ambient
concentration level. Moreover, the same informa-
tion is required if one is to estimate the health
benefits associated with a postulated improvement
in air quality, that is, reductions in ambient
concentrations.
Characterization of Hazard and Estimation
of Potency
Extrapolation Across
Species Not Required
Clinical Case
Observations in
Species of Interest
Controlled Exposure
Studies in Species
of Interest
Epidemiological of
Epizootological Studies
in Species of Interest
Air Quality Guidelines and Standards, Fig. 6 Sources of information for evaluating potential health effects
Air Quality Guidelines and Standards
Sources of Information for Setting
Standards and Guidelines
The multiple sources of information for evaluat-
ing the potential health effects of any air pollutant
are illustrated in Fig. 6 [35–39, 41]. In the case of
all the criteria air pollutants, the dominant sources
of information are those based on the study of
humans, the left side arm of the figure. However,
all of the common air pollutants have been viewed
as being sufficiently innocuous, and with effects
that are readily reversible when exposures are
discontinued, that controlled human exposure
studies can be conducted with the pollutant.
Such studies have provided very useful informa-
tion on short-term exposures, typically a few
hours in duration as will be discussed later for
ozone. A limitation of such studies is the appro-
priate requirement for the conduct of such studies
only in healthy adults or individuals with modest
preexisting disease. Controlled exposure studies
in individuals with serious preexisting disease
would not be ethical. The paramount advantage
of controlled human exposure studies is that the
exposures can be well characterized unlike the
situation for field studies or epidemiological
studies.
For some of the common air pollutants, valu-
able data on shorter-term exposures have been
acquired from field studies of individuals exposed
to ambient concentrations of pollutants. In these
Extrapolation Required Across
Species
Studies in Laboratory Animals
Extrapolation to Intact Organism,
May Require Cross Species Extrapolation
Studies with Cells and Tissues From
Species of Interest and Other Species
Multiple Extrapolations
Structure-Activity Analyses
Air Quality Guidelines and Standards
studies, the investigators can obviously only study
air concentrations that are present and the extent
they can be characterized and then relate the ambi-
ent concentrations to one or more health indices
such as changes in lung function.
The predominant source of information on the
health effects of the common air pollutants has
been from epidemiological studies. It is beyond
the scope of this entry to discuss the conduct and
results of those studies in detail. The reader inter-
ested in more detail will find the textbook on
Environmental Medicine edited by Ayres et al.
[6] useful. Suffice it to note that most epidemio-
logical studies of air pollution are a kind of cohort
study or a time-series study. None of the studies
are strict cohort studies in which a population is
randomly assigned to one or more treatment
groups. This is rarely possible in studying air
pollution. Investigators are constrained to study-
ing populations under natural conditions of ambi-
ent exposure and other risk factors associated with
the natural course of life. The study that may come
closest to the ideal cohort study is the Six-City
Study [20, 23] which will be discussed later. In
such a study, the investigators may use regulatory
compliance monitoring data supplemented by
research monitoring to characterize ambient air
concentrations of the various pollutants. Health
outcomes information may be obtained by contact
with the enrollees supplemented by information
acquired from Administrative databases such as
records of deaths. Other studies such as those
using the ACS populations, for example, Pope
et al. [54] are totally dependent upon regulatory
compliance modeling and administrative data-
bases for health outcomes. As might be expected,
the quality of these studies is dependent upon the
quantity and quality of the monitoring data, the
availability of data on other risk factors, the dura-
tion of follow-up, the quality of the health out-
come data, and the rigor of the analyses.
A second type of study design is that used in
the time-series studies as pioneered by the Johns
Hopkins University investigators in the National
Morbidity and Mortality Air Pollution Studies
(NMMAPS). These studies utilize regulatory
compliance monitoring data to characterize ambi-
ent concentrations of pollutants and administra-
tive databases for morbidity and mortality. These
27
studies seek to characterize the relationship
between ambient concentrations on a given day
or series of days and excess morbidity or mortality
occurring concurrently or on subsequent days. An
example is the study of Bell et al. [8, 9] and Smith
et al. [58] that will be discussed later. An advan-
tage is that it is assumed that many other risk
factors that may be influencing the health of the
population is not varying on a day-to-day basis,
for example, socioeconomic status. Other factors
such as temperature may vary along with pollu-
tion levels.
In the next section, information on the health
effects of particulate matter and ozone will be
briefly reviewed as examples of the kind of infor-
mation used in setting NAAQS. In this section
I draw heavily on a previous review of risk assess-
ment/risk management [40].
Particulate Matter as an Example
The Particulate Matter (PM) NAAQS was initially
set in 1971 using Total Suspended Particulate
(TSP) Matter as an indicator [36, 37, 39, 42,
64]. Later, the standard was revised with the TSP
indicator replaced by PM10. PM10 is defined as
the size fraction collected using a device that
includes 50% of the particle with an aerodynamic
diameter of 10 mm. A progressively smaller frac-
tion of PM mass is collected as the particle size
increases above 10 pm and a progressively larger
fraction of PM mass is sampled as particle size
decreases below 10 mm. Later, the standard was
again changed with PM2.5 introduced as an indi-
cator to complement the PM10 indicator. PM2.5,
the fine particle fraction indicator is defined as for
PM10 indicator with a 50% cut point at 2.5 mm
aerodynamic diameter. To state the obvious, the
PM2.5 fraction is contained within the PM10 frac-
tion which is contained within the TSP sample. In
recent years, increased attention has been focused
on the ultrafine particle number which is
contained within the PM2.5 size range. There has
also been interest in characterizing health effects
of the PM10–2.5 fraction which has been called the
course particle fraction. Consideration is given to
regulating this fraction with a separate NAAQS.
28
A detailed review of the evidence for health
effects of PM is beyond the scope of this entry.
Suffice it to say, abundant data are available on the
health effects of PM, characterized using different
PM indicators, from epidemiological and labora-
tory animal studies using a range of indicators of
morbidity and mortality [65, 68, 84]. In setting the
PM standards, the greatest weight, appropriately,
has been given to the epidemiological evidence
and, specifically, to those studies which can pro-
vide quantitative exposure-response information.
Two large studies have yielded especially valu-
able information that has played a key role in the
setting of the PM NAAQS using the PM10 and
PM2.5 indicators. The first of these is the Harvard
Six Cities study designed by Ferris and colleagues
[20, 23] to specifically evaluate the health effects
of criteria air pollutants. In my opinion, this is one
of the best studies ever conducted of the influence
of air quality on health. It involves a 14–16-year
follow-up of 8,000 subjects living in six commu-
nities in the United States selected to provide a
gradient in several indices of air quality. Extensive
efforts were made to characterize air quality.
A second air quality study made opportunistic
use of data from a population of 500,000 individ-
uals who self-enrolled in 1982–1989 in an Amer-
ican Cancer Society Study [54]. A subgroup of
240,000 of these individuals lived in 50 metropol-
itan areas in which PM2.5 measurements were
made for regulatory compliance purposes.
The vast amount of information available from
the Six Cities and ACS studies has been reviewed
by the EPA [68, 70, 84]. Selected data will be
presented here to illustrate some of the key results
that have influenced the setting of the PM
NAAQS. Figure 7 summarizes an impressive
array of information from the ACS study on all-
cause mortality, cardiopulmonary mortality, lung
cancer mortality, and all other cause mortality
[54]. With control for smoking, education, and
national status, the controlled forward stepwise
inclusion of additional covariants had little influ-
ence on the estimated associations between fine
particulate (PM2.5 indicator) air pollution on car-
diopulmonary and lung cancer mortality. As may
be noted, the inclusion of cigarette smoking atten-
uated the estimated relative risk of PM2.5, which is
Air Quality Guidelines and Standards
not surprising. When this is done it is necessary to
normalize the smoking history to pack-years, for
example, 1 pack/day for 25 years or 2 packs/ day
for 12.5 years equals 25 pack-years. The relative
risks for an average current smoker (men and
women combined, 22 cigarettes per day for
33.5 years with smoking initiated before age
18 years) (equivalent to 37 pack-years) were
equal to 2.58, 2.89, and 14.80 for all-cause, car-
diopulmonary, and lung cancer mortality, respec-
tively. The magnitude of these relative risks is
substantially greater than that of PM2.5 and
emphasizes the critical importance of considering
cigarette smoking in any study of air pollution.
Moreover, it is important that investigators follow
the lead of the ACS investigators and report the
results of the analyses done for cigarette smoking
at the same time they report relative risks for
various air pollutants. These results on cigarette
smoking provide valuable perspective for consid-
ering the results of analyses for the various air
pollution indicators. A comparison of the relative
risk estimates they obtain for smokers with those
of other investigators serves as a “reality check”
on their analyses.
The results from the Six Cities study and ACS-
based studies are generally similar [28, 53]. Sum-
mary information from the two studies is given in
Table 4 with a comparison made of the risk ratios
for the most polluted versus least polluted cities.
For comparison, results are also shown for typical
smokers. Note that in this case the typical smoker
has been defined as about a 25 pack-year smoker,
about two thirds that of the current smoker
discussed earlier for the ACS study. Interestingly,
the relative risk, for example, for lung cancer
mortality is about two thirds of the value cited
earlier, 9.73 versus 14.80. The range of the confi-
dence intervals for the association between PM2.5
and cardiopulmonary mortality, even for these
studies with thousands of subjects, emphasizes
the challenges faced in teasing out small effects
of air pollution in developed countries.
Laden et al. [29] extended the observations for
the Six Cities Study Cohort by including deaths
for 1990–1998 and compared those observations
to the earlier time period (1974–1984) and for the
entire period. The estimated city-specific average
Air Quality Guidelines and Standards 29

a All-cause mortality
1.50
1.40
1.30
RR (95% CL)

1.20
1.10
1.00
0.96
0.80

b Cardiopulmonary mortality
1.50
1.40
1.30
RR (95% CL)

1.20
1.10
1.00
0.96
0.80

c Lung cancer mortality

1.50
1.40
1.30
RR (95% CL)

1.20
1.10
1.00
0.96
0.80

d All other cause mortality

1.50
1.40
1.30
RR (95% CL)

1.20
1.10
1.00
0.96
0.80
3

10 )

(P 5 )

19 ,2.5 )

90

80

98

80

80

ar 8
98

00

ag

98

98

98

98

99

19 199

98

99

qu 99
1
M

PM

19

19

19

19

19

r
te
er
–1

–2

–1

–1

–1

–1

–1

–1

–1

1
15
(P

ird –
Av

(
79

99

80

79

82

80

82

82

82

80

82

th 82
6

3
99

98
19

19

19

19

19

19

19

19

19

19
3
–1

–1

98
87

79

–1
19

19

79

Fine particles Total suspended Sulphate Sulphur Nitrogen Carbon Ozone

19

(PM2.5) particles particles dioxide dioxide monoxide

Inhalable, coarse particles Gaseous pollutants

Air Quality Guidelines and Standards, Fig. 7 Relative PM10 particles measuring less than 10 mm in diameter,
risk (RR) ratio for adjusted mortality evaluated at subject- PM15 particles measuring less than 15 mm in diameter,
weighted mean concentrations. CI confidence interval, PM2.5–15 particles measuring between 2.5 and 15 mm in
PM2.5 particles measuring less than 2.5 mm in diameter, diameter. (Adapted from Pope et al. with permission)

PM2.5 levels were lower in the extended follow-up A critical issue in interpreting the data shown
period in the 1990s than in 1974–1989 and the in Fig. 8 is the nature of the exposure-response
mortality risk ratios were lower. relationship. It must be noted that this is the
 30

Air Quality Guidelines and Standards, Table 4 Comparison of mortality risk ratios (and 95% C.I.) for smoking and air pollution from the six cities and American Chemical
Society (ACS) Prospective Cohort Studies
Current smokera Particulate air pollution (most vs least polluted city)
Cause of death Six cities ACS Six cities (PM2.5) ACS (PM2.5) ACS (504)
All 2.00 (1.51–2.65) 2.07 (1.75–2.43) 1.25 (1.08–1.47) 1.17 (1.09–1.26) 1.15 (1.09–1.22)
Cardiopulmonary 2.30 (1.56–3.41) 2.28 (1.79–2.91) 1.37 (1.11–1.68) 1.31 (1.17–1.46) 1.26 (1.16–1.37)
Lung cancer 8.00 (2.97–21.6) 9.73 (5.96–15.9) 1.37 (0.81–2.31) 1.03 (0.80–1.33) 1.36 (1.11–1.66)
All others 1.46 (0.89–2.39) 1.54 (1.19–1.99) 1.01 (0.79–1.30) 1.07 (0.92–1.24) 1.01 (0.92–1.11)
Source: Adapted from Pope and Dockery [53]
a
Risk ratios for current cigarette smokers with approximately 25 pack-years (about average at enrollment for both studies) compared with never smokers
Air Quality Guidelines and Standards
Air Quality Guidelines and Standards 31

a All-cause mortality b Cardiopulmonary mortality

0.2
0.1
Log RR (95% CI)

0
–0.1
–0.2
–0.3
–0.4

c Lung cancer mortality d All other cause mortality

0.2
0.1
Log RR (95% CI)

0
–0.1
–0.2
–0.3 10
–0.4

10 15 20 10 15 20
PM2.5 (µg/m3) PM2.5 (µg/m3)

Air Quality Guidelines and Standards, plot of mean fine particulate pollution. CI confidence interval,
Fig. 8 Nonparametric smoothed exposure-response relation- PM2.5, fine particles measuring less than 2.5 mm in diameter,
ship. Vertical lines along the x-axes indicate a rug or frequency RR relative risk. (Adapted from Pope et al. with permission)

ambient concentration for PM that is being eval-
uated for an association, not PM exposure. The
PM exposure cannot be evaluated since the esti-
mated indoor PM concentrations cannot even be
estimated. Pope et al. [54], using the ACS cohort
data, evaluated the nonparametric smoothed
exposure-response relationships between cause-
specific and average PM2.5 (Fig. 8) [54]. They
observed that the log-relative risk for all-cause,
cardiopulmonary, and lung cancer mortality
increased across the gradient of PM2.5 concentra-
tions. Goodness-of-fit tests indicated that the asso-
ciations were not significantly different from
linear associations. The mean concentration of
PM2.5 across the ACS cohort was 14 mg/m3.
Enstrom [22] evaluated the relationship
between fine particulate air pollution and total
mortality among nearly 50,000 elderly
Californians for 1973–2002 using a subpopulation
of the ACS enrollees. He concluded that the results
did not support a current relationship between fine
particulate pollution and total mortality, although
he could not rule out a small effect, particularly
before 1983. The 2006 EPA analysis used to revise
the PM NAAQS interpreted the available epidemi-
ological data as not clearly supporting or refuting
the existence of a threshold. The EPA analysis did
calculate added risks down to an assumed thresh-
old of 7.5 mg/m3; a level on the order of the ambient
PM2.5 concentrations found in many US cities.
While the estimated or excess risk for the var-
ious PM indicators are quite small, it is apparent
that when used in company with standard baseline
data for specific cities with populations measured
in the millions, the calculated number of excess
deaths appears large. The USEPA Administrator
can consider such quantitative risk assessment
results in making a “judgment call” in setting the
standards. However, the Administrator is explic-
itly prohibited from considering cost when setting
the standard. In separate regulatory impact ana-
lyses, the risk assessment results are monetized in
32
economic analyses used to estimate the benefits
associated with achieving a revised standard com-
pared to maintaining an existing standard. The
regulatory impact analysis prepared for ozone
and particulate matter [67] and separately for par-
ticulate matter [76] and ozone [78] are examples.
Substantial controversy developed in the final
stages of revision of the PM2.5 standard
announced in 2006. A majority of the EPA’s
Clean Air Scientific Advisory Committee’s
(CASAC) PM Panel recommended that the EPA
Administrator reduce the PM2.5 24-h averaging
time standard from the previous level of 65 mg/
m3 to a level in the range of 25–35 mg/m3 and that
for the PM2.5 annual averaging time the standard
be reduced from the previous level of 15 mg/m3 to
a level in the range of 12–14 mg/m3. I was in the
minority and argued that identifying a specific
bright line, upper bound such as 14 mg/m3 was
an issue that went beyond scientific interpretation
of data and was a policy judgment as to acceptable
risk. The Administrator, ultimately, revised the
PM2.5 NAAQS, 24-h averaging time standard, to
35 mg/m3 and retained the annual standard at
15 mg/m3 [74, 75]. Obviously, the majority of
CASAC was not happy with the Administrator’s
policy judgment call.
Ozone
Ozone is an interesting air pollutant because it is
not directly emitted from industrial sources except
in rare circumstances. The majority of Ozone
found in the ambient environment is formed
from reactions of Volatile Organic Compounds
(VOC) and Nitrogen Oxides (NOx) in the pres-
ence of sunlight. The VOCs originate both from
natural and industrial sources and the NOx is
largely from combustion of hydrocarbon fuels.
Ozone concentrations typically have distinct diur-
nal cycles with the highest levels observed at
midday and the lowest concentrations at night in
the summer. Lower concentrations are typically
observed in the winter than in the summer. This is
the case because of the manner in which ozone is
formed with sunlight driving the reactions
between NOx and VOCs.
Air Quality Guidelines and Standards
To provide context for the discussion of the
Ozone NAAQS it is important to understand the
background levels of ambient ozone. A team of
investigators at Harvard University led by Daniel
Jacob have made major contributions to under-
standing tropospheric ambient ozone levels
around the world using a global chemical trans-
port model (GEOS-Chem). The Harvard team
[90] reported the use of the GEOS-Chem model
with 1 latitude by 1 longitude spatial resolution
to quantify the effects of anthropogenic emissions
from Canada, Mexico, and outside North America
to estimate daily maximum 8-h average ozone
concentrations in US surface air. Their simula-
tions for summer 2001 estimated mean North
American and US background contributions of
26  8 ppb and 30  8 ppb, as obtained by
eliminating anthropogenic emissions in North
America versus in the United States only. The
background 8-h highest Ozone concentrations
approached 60 ppb. The frequency distribution
of the simulated daily 8-h-maximum surface
Ozone concentrations are shown in Fig. 9. It is
important to recognize that the statistical form of
the Ozone NAAQS is directed at minimizing the
occurrence of the highest ozone events, the right
side tail of the distributions in the figure. The high
levels of background Ozone will make it challeng-
ing to achieve any Ozone NAAQS set in the range
of 60–80 ppb (8-h daily maximum).
The initial Ozone NAAQS in the United States
was set in 1971 using photochemical oxidants as
an indicator and with a 1-h averaging time [7,
64]. The standard was later revised with ozone
as the indicator. Later the averaging time was
changed from a 1-h maximum during a 24-h
period to an 8-h rolling average maximum.
There is an abundant database on the health
effects of ozone from epidemiological investiga-
tions and toxicity studies conducted in laboratory
animals [38, 71, 80, 81]. In addition, there is a
substantial amount of data acquired from studies
conducted with human volunteers exposed to con-
trolled levels of ozone for short periods of time. In
the setting of the Ozone NAAQS, quantitative
exposure-response data from human studies have
been given the greatest weight. This is especially
appropriate since there are well-established
Air Quality Guidelines and Standards
0.05
0.04
0.03
ppb−1
0.02
0.01
0.00
0 20
Air Quality Guidelines and Standards,
Fig. 9 Frequency distribution of the simulated daily 8-h-
maximum surface ozone (black solid line). North Ameri-
can background (red dotted line) and US background (blue
quantitative differences between laboratory ani-
mal species and humans in the disposition of
inhaled ozone which minimize the utility of the
data from laboratory animals for quantitatively
estimating human risk of ozone exposures.
The effects of ozone on the respiratory tract are
well known, thus it is not surprising that consid-
eration of these effects has had a primary influence
on the setting of the Ozone NAAQS. In the review
culminating with a revised standard in March
2008, the information from pulmonary function
evaluations conducted on young adult volunteers
undergoing moderate exercise while exposed to
various concentrations of ozone for 6.6 h played a
prominent role. The key parameter evaluated,
changes in the forced expiratory volume in 1 s
(FEV1), are shown in Fig. 10 [1–3, 13, 24, 26, 44,
45]. Data from individuals exposed to 0.08 ppm
ozone and higher were considered in the previous
review of the ozone standard. In the most recent
review, data were available from the studies of
Adams and colleagues [3] with 0.06 and
0.04 ppm exposures conducted to complement
earlier studies conducted with 0.08 and
0.012 ppm, Adams [3] interpreted his studies as
showing a statistically significant effect at
0.08 ppm, effectively reproducing the effects
seen in earlier studies. However, he interpreted
his studies at 0.06 and 0.04 ppm as not showing
statistically significant changes compared to
exposure to clean air. The USEPA reanalyzed the
data of Adams and colleagues using different sta-
tistical procedures [13]. The USEPA reanalysis
33
40 60 80 100
Ozone (ppb)
dashed line), for the contiguous United States during June–
August 2001. The frequency distributions are constructed
from the 1  1 daily model output. (From [90])
was included in the final compilation of informa-
tion provided to the EPA Administrator to render a
judgment on the revision of the Ozone NAAQS.
A key piece of information on the health effects
of ozone came from the time-series study of Bell
et al. [8, 9]. Their analysis used a 24-h averaging
time and, thus, was not directly applicable to
setting the Ozone NAAQS with an 8-h averaging
time. Smith et al. [58] extended the analyses of
Bell et al. [8] focusing on the development of city-
specific ozone mortality estimates. The analyses
of both Bell et al. [8] and Smith et al. [58] used the
National Air Pollution Morbidity and Mortality
air pollution database assembled at Johns Hopkins
University. The results for the 8-h averaging time
are shown in Fig. 11. The degree of intercity
heterogeneity is noteworthy including recognition
that only 5 cities of the 98 cities evaluated had
statistically significant effects of ozone on acute
mortality.
Smith et al. [58] called attention to this
intercity heterogeneity across the United States
(Fig. 12). The ozone effects are most striking in
the Northeastern United States and absent in the
Western United States including the Los Angeles
Basin. It is not surprising that Smith et al. [58]
caution against the use of national estimates of
ozone concentration-response functions.
The EPA’s CASAC recommended to the
Administrator that he revise the Ozone NAAQS
with an 8-h averaging time, from 0.08 ppm to a
level within the range of 0.060–0.070 ppm. Ulti-
mately, the Administrator exercised his judgment
34
Air Quality Guidelines
and Standards,
Fig. 10 Changes in the
lung function of young
health adults following a
6.6-h exposure to ozone.
FFV1 decrement (%)
FFV1 forced expiratory
Ozone-induced
volume in 1 s, ppm parts per
million. (Adapted from
Brown et al. with
permission)
in revising the standard to 0.075 ppm. The
CASAC Ozone Panel expressed its displeasure
at the Administrator’s setting the NAAQS at a
level higher than they recommended. In my opin-
ion, the science alone can never be sufficient for
establishing a specific numerical standard. The
setting of the standard also involves judgment as
to acceptable risk, a judgment call I viewed as
being delegated to the Administrator, not the
Advisory Committee, by the Clean Air Act.
After the revised standard was promulgated, the
EPA’s statistical reanalysis [13] was published
with a conclusion that the Adams [3] data demon-
strated a statistically significant, but small biolog-
ical effect at 0.060 ppm. These published findings
as well as any new data that may become available
from studies conducted with human volunteers
exposed to ozone at concentrations of less than
0.080 ppm will certainly be considered in the
current review (post-2008) and potential revision
of the Ozone NAAQS.
The setting of both the PM and Ozone NAAQS
serves to illustrate the complex interplay between
science and policy judgment in the setting of
guidelines and standards [41]. In my opinion, the
selection of any specific numerical standard for
exposure to a chemical involves both science and
a policy judgment as to an acceptable risk. The
scientific information can identify for a particular
level of exposure an associated level of risk
Air Quality Guidelines and Standards
20
Adams (2006)81
x Adams (2002)82
Adams (2003)83
15 Folinsbee et al. (1988)84 x
Horstman et al. (1990)85
McDonnell et al. (1991)86
McDonnell et al. (2007)87
10
x
0
0.02 0.04 0.06 0.08 0.1 0.12 0.14
Ozone (ppm)
(including an absence of excess risk) and the
associated uncertainty in the estimate. However,
the selection of a specific level for the standard
goes beyond the science and represents a policy
judgment or decision. The issue of the role of
science and judgment in standard setting is
drawn to the forefront by agents that do not have
clear thresholds in their exposure-response rela-
tionships. In these cases, some level of excess risk
may be calculated for exposures that extend down
to ambient levels routinely observed in developed
countries.
In March 2008, then EPA Administrator Ste-
phen Johnson announced a revised Ozone
NAAQS (8-h averaging time) of 75 ppb, a reduc-
tion from the previous level of 0.08 ppm (which
by rounding convention was effectively 84 ppb)
set in 1997 [81]. In setting the 75 ppb level, he
explicitly noted that he was not explicitly follow-
ing the advice of the CASAC which advised that
he set the standard in the range of 60–70 ppb. He
noted that he viewed the CASAC advice as a
blend of science and policy judgment which he
was not compelled to follow. The previous statis-
tical form for the standard was not changed.
The Administrator also elected to set the Sec-
ondary (Welfare) Standard equal to the Primary
(Health) Standard. The 1997 Secondary Standards
for Ozone [65] had been set equal to the Primary
Standard based on the view that attainment of the
Air Quality Guidelines and Standards 35

OZONE−MORTALITY COEFFICIENTS AND 95% PIs

8−HOUR OZONE

Orlando
Denver
Kansas City, KS
Jersey City Posterior Mean
Little Rock
Des Moines National Prior
Jacksonville
San Antonio
Los Angeles
Atlanta
Posterior Mean
Lexington
Fresno
Regional Prior
Tampa
Birmingham
Lafayette Raw Estimate
Boston
El Paso
Charlotte
St. Petersburg
Seattle
Sacramento
Cedar Rapids
New Orleans
Las Vegas
Indianapolis
Wichita
Coventry
Santa Ana/Anaheim
Jackson
Riverside
Austin
Buffalo
Miami
Omaha
Salt Lake City
Evansville
Stockton
Milwaukee
San Diego
Modesto
Washington
Greensboro
Akron
Columbus, OH
Muskegon
Dayton
Baton Rouge
Raleigh
Lake Charles
Albuquerque
Fort Wayne
Louisville
Oakland
Biddeford
Johnstown
Spokane
Oklahoma City
Baltimore
Pittsburgh
Phoenix
Corpus Christi
Arlington
Kansas City, MO
San Jose
Mobile
Tacoma
Nashville
Portland
Bakersfield
Grand Rapids
Columbus, GA
Tucson
Rochester
Honolulu
Toledo
Houston
Providence
Kingston
Colorado Springs
Lincoln
Memphis
Shreveport
San Bernardino
St. Louis
Tulsa
Madison
Cleveland
Worcester
Knoxville
Cincinnati
Detroit
Syracuse
Chicago
Huntsville
Philadelphia
Dallas/Fort Worth
Newark
New York

National
−1.5 −1 −0.5 0 0.5 1 1.5 2 2.5 3 3.5
% rise mort. per 10 ppb 8−hr O3

Air Quality Guidelines and Standards, Fig. 11 Ninety- are shown alongside those for the “regional prior”
five percent posterior intervals for the ozone-mortality (squares) and the raw maximum likelihood estimates
coefficients, based on 8-h ozone, all-year data. The Bayes- (triangles). (Adapted from [58])
ian posterior estimates under the “national prior” (circles)
36
8H: all-year
24H: all-year
Air Quality Guidelines and Standards, Fig. 12 Map of spatially dependent ozone-mortality coefficient for 8-h ozone
(all-year data), 8-h ozone (summer data), 24-h ozone (all-year data), and 1-h ozone (all-year data). (Adapted from [58])
Primary Standard would be protective of welfare
impacts and effects on plants. The CASAC had
recommended that the averaging time form of the
Secondary Standard be changed to a more com-
plex form that used a weighted average of the
Ozone concentration over a growing season.
Thus, it was not as easy to compare the Primary
and Secondary Standards. As an aside, the revi-
sion of the Ozone NAAQS in March 2008 also set
the dates for completing the next regularly sched-
uled 5-year review, March 2013.
The failure of the EPA Administrator to explic-
itly follow the advice of CASAC was greeted with
outrage by the CASAC Ozone Panel. The Com-
mittee took the unusual step, post-final announce-
ment of the new Ozone NAAQS, of holding a
Panel meeting to discuss the new Standard and
writing a letter to the Administrator reminding
him of their previous advice and calling for the
Administrator to follow their advice in future
revisions of the standard [41].
In January 2009, President Barak Obama took
office and Lisa Jackson was appointed EPA
Administrator. Coincident with Obama taking
office his Chief of Staff, Rahm Emanuel, took
the customary step of reminding newly designated
Air Quality Guidelines and Standards
8H: summer
1.0 1.0
0.8 0.8
0.6 0.6
0.4 0.4
0.2 0.2
0.0 0.0
1.0 1H: all-year 1.0
0.8 0.8
0.6 0.6
0.4 0.4
0.2 0.2
0.0 0.0
Senior Agency officials of the opportunity to
review and, perhaps, revise any rules and regula-
tions that originated with the prior Administration
and not yet finalized [21]. Administrator Lisa
Jackson took the bold step of announcing that
she was going to reconsider the Ozone NAAQS
set by Administrator Johnson in March 2008. In
taking this action she was in essence saying – if
I had been in office as EPA Administrator earlier
I would have made a different policy decision.
Administrator Jackson proceeded to publish a
proposal to “reconsider” the Ozone NAAQS
using the same science used as a basis of the
March 2008 standard [81]. The proposal indicated
Administrator Jackson intended to follow the
advice of CASAC and set a primary standard
(8-h averaging time) in the range of 60–70 ppb.
The proposed date for release of a final standard
was announced, a target date that was revised on
multiple occasions. A Presidential Executive
Order issued by President Clinton [18] requires
that any proposed federal rule or action that will
result in annual costs in excess of $100 million per
year must be reviewed by the Office of Informa-
tion and Regulatory Affairs in the Office of Man-
agement and Budget. On September 2, 2011,
Air Quality Guidelines and Standards
President Obama announced in a press release that
he had advised EPA Administrator Jackson to not
proceed with the “reconsideration” of the Ozone
NAAQS [91]. At the same time, a brief summary
of the conclusions of the OIRA review was
released by the Director of that Office, Cass
Sunstein [62]. It briefly noted that the EPA “recon-
sideration” proposal (a) was discretionary and not
required by the CAA 5-year review schedule,
(b) was not based on the best available science
(the record was based on scientific literature that
had been published in most cases before 2006),
and (c) was not consistent with the President’s
desire for regulations that reduced uncertainty.
Environment groups greeted the President’s
announcement with dismay, while Business
applauded it. A Forum (Forum.HSPH.org) held
on September 21, 2011 at the Harvard School of
Public Health entitled “Smog or Jobs: The Impact
of Tighter Ozone Control” provides insight into
the controversial nature of President Obama’s
decision informed by the views of his advisor,
Sunstein. The current review of the Ozone
NAAQS initiated in 2008 will now proceed.
A key initial step in the review process occurred
with release in March 2011 of new integrated
science assessment for ozone [88]. A proposal
for the Ozone Standard should be issued in 2012
for public comment and a final rule for continuing
or revising the Ozone NAAQS should be issued in
March 2013 if EPA adheres to the 5-year schedule
specified in the Clean Air Act [16].
Current Air Quality Standards and
Guidelines
As noted earlier, the National Ambient Air Qual-
ity Standards established by the US Environmen-
tal Protection Agency are constantly changing.
Indeed, the Clean Air Act specifies that each
NAAQS should be reviewed every 5 years.
Although this schedule has been rarely met, the
reviews continue and changes in the NAAQS
have occurred. There is no specified schedule for
review of the WHO Air Quality Guidelines. How-
ever, it would be reasonable to assume that they
37
will be periodically reviewed and possibly revised
as new information is required.
The NAAQS as of September 18, 2011 are
shown in Tables 5 and 6 in summary form. The
reader interested in the details that support each of
the NAAQS is referred to the US EPA’s Website
for criteria air pollutants where detailed docu-
ments can be found on each of the Criteria Pollut-
ants. This includes information on previous
reviews as well as reviews that are currently in
progress.
The final rule for each of the primary (health)
NAAQS published in the Federal Register are as
follows: particulate matter [75], Lead [73], Ozone
[82], Nitrogen dioxide [86], Sulfur dioxide [87],
and Carbon monoxide [89]. Each of these final
rules contains references to the Criteria Document
(or Integrated Science Assessment), Risk and
exposure assessment, and proposed rule that
undergirds the final rule. In addition, the EPA
Web site for criteria pollutants provides linkages
to the Regulatory Impact Analyses (RIA) that has
been conducted on the proposed final rule. The
RIA contain information on the monetized bene-
fits of the rule and the associated costs of achiev-
ing the NAAQS. In accordance with the US
Supreme Court ruling in American Trucking Asso-
ciations v. EPA [4] and Whitman v. American
Trucking Associations [93], the costs of
implementing the NAAQS may not be considered
by the EPA Administrator in the setting of the
NAAQS. However, these costs can be considered
in developing a schedule for implementation of
each NAAQS.
The current WHO air quality guidelines are
summarized in Tables 7, 8, 9, and 10. The basis
for these guidelines is contained in WHO docu-
ments [95, 96].
Future Directions
This entry has provided an overview of Air Qual-
ity Guidelines and Standards focusing on the stan-
dards developed by the US Environmental
Protection Agency and the Guidelines developed
by the World Health Organization. The latter
Guidelines, although stated to provide guidance
38
Air Quality Guidelines and Standards, Table 5 Summary information on criteria air pollutants regulated as NAAQSa
by the USEPA
Pollutant Sources
Ozone Photochemical oxidation of nitrogen
oxides (primarily from combustion)
and volatile organic compounds (from
stationary and mobile sources)
Nitrogen Photochemical oxidation of nitric oxide
dioxide (primarily from combustion of fossil
fuels) and direct emissions (primarily
from combustion of natural gas)
Sulfur Primarily combustion of sulfur-
dioxide containing fossil fuels; also smelters,
refineries, and others
Particulate Direct emission of particles during
matter combustion, industrial processes, gas
reactions and condensation and
coagulation natural sources
Carbon Combustion of fuels, especially by
monoxide mobile sources
Lead Leaded gasoline (prior to phase-out in
gasoline);point sources such as Pb
mines, smelters, and recycling
operations
a
NAAQSs are specified by indicator concentration, averaging time, and statistical form. The latter used to determine
compliance and is too complex for coverage here. However, suffice it to note that both the specific numerical level and the
statistical form determine the stringency of the standard
for use around the world, have focused on Europe.
For Europe, the WHO Guidelines have provided
valuable input to national and local authorities for
developing legal binding air quality standards.
The Standards developed by European nations
and other nations round the world have not been
reviewed in detail in this entry.
The section on “Air Quality Management
Framework” emphasized that Air Quality Stan-
dards and Guidelines were a key element of the
overall scheme; however, the Standards and
Guidelines are just one element of an integrated
air quality management scheme. It is noteworthy
that substantial progress has been made in
improving air quality in the United States and in
western European countries. That progress has no
doubt been facilitated by the Standards and
Guidelines. However, setting up goal posts
(Standards and Guidelines) does not necessarily
mean the goals will be achieved. Specific emis-
sion reductions informed by the Standards and
Guidelines are ultimately required to achieve the
Air Quality Guidelines and Standards
Subpopulations of
Key effects of concern concern
Decreased pulmonary Children, people with
function, lung inflammation, preexisting lung disease
increased respiratory hospital outdoor-exercising health
admissions people
Respiratory illness, decreased Children, people with
pulmonary function preexisting lung disease
Respiratory injury or death, Children, people with
decreased pulmonary function preexisting lung disease
(especially asthma)
Injury and death Children, people with
preexisting heart and lung
disease
Shortening of time to onset People with coronary
angina and other heart effects artery disease
Developmental neurotoxicity Children
goals. In the United States, major regulations have
mandated reductions in emissions of particulate
matter, SO2, and NO2 from stationary sources
such as power plants and from mobile sources
such as passenger cars and on-road trucks and,
more recently, from off-road equipment, rail loco-
motives, and ships. These regulations have
resulted in substantial reductions in the emissions
of the criteria pollutants or their precursors while
the economy also grew until recently. A stagnant
economy in 2011 is raising questions as to the
wisdom of further reductions in NAAQS and
aggressive regulatory actions to further reduce
emissions.
Since the Clean Air Act Amendments of 1970
were passed in the United States there has been a
steady increase in research on the health effects of
air pollutants. The increase in research has been
most notable since the mid-1990s when major
controversies arose over the health effects of
PM2.5. Indeed, what has developed might be char-
acterized as a “clean air enterprise” involving air
Air Quality Guidelines and Standards 39

Air Quality Guidelines and Standards, Table 6 National Ambient Air Quality Standards for criteria pollutants
Primary standards Secondary standards
Pollutant Level Averaging time Level Averaging time
Carbon monoxide 9 ppm (10 mg/m3) 8-ha None
35 ppm (40 mg/m3) 1-ha
Lead 0.15 mg/m3 b Rolling 3-month average Same as primary
Nitrogen dioxide 53 ppbc Annual (arithmetic average) Same as primary
100 ppb 1-hd Nonel
Particulate matter (PM10) 150 mg/m3 24-he Same as primary
Particulate matter (PM2.5) 15.0 mg/m3 Annualf (arithmetic average) Same as primary
35 mg/m3 24-hg
Ozone 0.075 ppm (2008 std) 8-hh Same as primary
0.08 ppm (1997 std) 8-hi
0.12 ppm 1-hj
Sulfur dioxide 0.03 ppm Annual (arithmetic average) 0.5 ppm 3-ha
0.14 ppm 24-ha
75 ppbk 1-h Nonel
Source: Taken from US EPA Website, July 26, 2011
a
Not to be exceeded more than once per year
b
Final rule signed October 15, 2008. The 1978 lead standard (1.5 mg/m3 as a quarterly average) remains in effect until
1 year after an area is designated for the 2008 standard, except that in areas designated nonattainment for the 1978
standard, the 1978 standard remains in effect until implementation plans to attain or maintain the 2008 standard are
approved
c
The official level of the annual NO2 standard is 0.053 ppm, equal to 53 ppb, which is shown here for the purpose of
clearer comparison to the 1-h standard
d
To attain this standard, the 3-year average of the 98th percentile of the daily maximum 1-h average at each monitor within
an area must not exceed 100 ppb (effective January 22, 2010)
e
Not to be exceeded more than once per year on average over 3 years
f
To attain this standard, the 3-year average of the weighted annual mean PM2.5 concentrations from single or multiple
community-oriented monitors must not exceed 15.0 mg/m3
g
To attain this standard, the 3-year average of the 98th percentile of 24-h concentrations at each population-oriented
monitor within an area must not exceed 35 mg/m3 (effective December 17, 2006)
h
To attain this standard, the 3-year average of the fourth-highest daily maximum 8-h average ozone concentrations
measured at each monitor within an area over each year must not exceed 0.075 ppm (effective May 27, 2008)
i
(a) To attain this standard, the 3-year average of the fourth-highest daily maximum 8-h average ozone concentrations
measured at each monitor within an area over each year must not exceed 0.08 ppm(b) The 1997 standard – and the
implementation rules for that standard – will remain in place for implementation purposes as EPA undertakes rule making
to address the transition from the 1997 ozone standard to the 2008 ozone standard(c) EPA is in the process of
reconsidering these standards (set in March 2008)
j
(a) EPA revoked the 1-h ozone standard in all areas, although some areas have continuing obligations under that standard
(“antibacksliding”)(b) The standard is attained when the expected number of days per calendar year with maximum hourly
average concentrations above 0.12 ppm is 1
k
Final rule signed June 2, 2010. To attain this standard, the 3-year average of the 99th percentile of the daily maximum 1-h
average at each monitor within an area must not exceed 75 ppb
l
On July 12, 2011, the EPA Administrator proposed to set Secondary NAAQS for NO2 and SO2 for a 1-h averaging time at
concentrations equal to the Primary Standards, NO2 – 100 ppb and SO2 – 75 ppb (Note: This footnote was added by Roger
O. McClellan)

quality regulators, the academic research commu-
nity, and nongovernmental organization advocacy
groups. Some individuals would quickly note that
this enterprise is counterbalanced by corporations
and industrial groups advocating for the status quo
or “dirty air.” This polarized approach has fre-
quently resulted in the focus being on a single
risk factor, air quality, rather than the overall
well-being of the health of societies around the
world.
40 Air Quality Guidelines and Standards

Air Quality Guidelines and Standards, Table 7 WHO air quality guidelines and interim targets for particulate mattera
Annual mean concentration
PM10 PM2.5
(mg/m3) (mg/m3) Basis for the selected level
Interim Target-1 70 35 These levels are associated with about a 15% high long-term mortality
(IT-1) risk relative to the AQG level
Interim Target-2 50 25 In addition to other health benefits, these levels lower the risk of
(IT-2) premature mortality by approximately 6% (2–11%) relative to the IT-1
level
Interim Target-3 30 15 In addition to other health benefits, these levels reduce the mortality risk
(IT-3) by approximately 6% (2–11%) relative to the IT-2 level
Air Quality 20 10 These are the lowest levels at which total, cardiopulmonary and lung
Guideline (AQG) cancer mortality have been shown to increase with more than 95%
confidence in response to long-term exposure to PM2.5
24-h concentrations [99th percentile (3 days/year)]
PM10 PM2.5 Basis for the selected level
(mg/m3) (mg/m3)
Interim Target-1 150 75 Based on published risk coefficient from multi-center studies and meta-
(IT-1) analyses (about 5% increase of short-term mortality over the AQG value)
Interim Target-2 100 50 Based on published risk coefficients from multiple-center studies and
(IT-2) meta-analyses (about 2.5% increase of short-term mortality over the
AQG value)
Interim Target-3 75 37.5 Based on published risk coefficients from multi-center studies and meta-
(IT-3)a analyses (about 1.2% increase in short-term mortality over the AQG
value)
Air quality 50 25 Based on relationship between 24-h and annual PM levels been shown to
increase with more than 95%
Source: WHO [96]
a
The use of PM2.5 guideline value is preferred

The earlier section on “Context for Air Quality
Impacts” noted the multitude of risk factors that
impact on health. That section contrasted the burden
of disease attributed to the various risk factors
including urban air pollution and indoor smoke
from household use of solid fuels. The contrast
between the burden of disease for low- and
middle-income countries versus high-income coun-
tries was striking. In the former, 3.7% of deaths were
associated with indoor smoke and 1.5% from urban
air pollutions. In contrast, in the high-income coun-
tries urban air pollution was estimated to be associ-
ated with 1.0% of the deaths and no deaths were
estimated to be associated with indoor smoke. The
health hazards associated with indoor smoke from
use of solid fuels for cooking and heating has not
been reviewed in this entry. It is sufficient to note
here that the greatest hazards from indoor cooking
are those related to burning of wood, agricultural
residue, and coal in the same manner as was
commonplace around the world centuries ago. It is
clear that in the future a major challenge exists to
improve the income of families in low- and middle-
income countries so they can move away from
uncontrolled combustion of solid fuels indoors. It
is well recognized that improving the economy of a
country or region inevitably requires increases in
energy usage and the availability of clean water
and adequate foodstuffs. A major challenge exists
in providing adequate energy, in the form of distrib-
uted electricity and liquid fuels for transportation
and also avoiding negative impacts on air quality.
Major progress has been made in the highest income
countries in the world in developing low-emission
stationary sources for generating electrical power
and low emission internal combustion [both spark
ignition and compression ignition (diesel)] engines
for on- and off-road use. The challenge is to facili-
tate the transfer of those low emission technologies
to the rest of the world.
Air Quality Guidelines and Standards 41

Air Quality Guidelines and Standards, Table 8 WHO air quality guideline and interim target for ozone: 8-h
concentrations
Daily maximum 8-h
mean (mg/m3) Basis for selected level
High levels 240 Significant health effects; substantial proportion of vulnerable
populations affected
Interim Target-1 160 Important health effects; does not provide adequate protection of public
(IT-1) health
Exposure to this level of ozone is associated with:
Physiological and inflammatory lung effects in healthy exercising
young adults exposed for periods of 6.6 h
Health effects in children (based on various summer camp studies in
which children were exposed to ambient ozone levels)
An estimated 3–5% increase in daily mortalitya (based on findings of
daily time-studies)
Air Quality 100 Provides adequate protection of public health, though some health effects
Guideline (AQG) may occur below this level. Exposure to this level of ozone is associated
with:
An estimated 1–2% increase in daily mortalitya (based on findings of
daily time-series studies)
Extrapolation from chamber and field studies based on the likelihood
that real-life exposure tends to be repetitive and chamber studies exclude
highly sensitive or clinically compromised subjects, or children
Likelihood that ambient ozone is a marker for related oxidants
a
Deaths attributable to ozone. Time-series studies indicate an increase in daily mortality in the range of 0.3–0.5% for every
10 mg/m3 increment in 8-h ozone concentrations above an estimated baseline level of 70 mg/m3

Air Quality Guidelines and Standards, Table 9 WHO air quality guidelines and interim targets for SOx: 24-h and
10-min concentrations
24-h
average 10-min average
(mg/m3) (mg/m3) Basis for selected level
Interim 125 –
Target-1 (IT-1)a
Interim Intermediate goal based on controlling either motor vehicle
Target-2 (IT-2) emissions, industrial emissions, and/or emissions from power
production. This would be a reasonable and feasible goal for
some developing countries (it could be achieved within a few
years) which would lead to significant health improvements that,
in turn, would justify further improvements (such as aiming for
the AQG value)
Air Quality 20 500
Guideline
(AQG)
a
Formerly the WHO Air Quality Guideline [95]

With the above as background, it is appro-
priate to return to the central focus of this
entry – air quality standards and guidelines
and their role in the future. The past 40 years
have been a period of major activity in creating
a science based on the health effects of air
pollutants and the use of that science to inform
the development of air quality standards and
guidelines and to inform the development and
implementation of strategies and technologies
42
Air Quality Guidelines and Standards,
Table 10 WHO (European) guideline values for carbon
monoxide
100 mg/m3a 15 min
60 mg/m3 a 30 min
30 mg/m3 a 1h
10 mg/m3 8h
a
Exposure at these levels should be no longer than the
indicated times and should not be repeated within 8 h
Source: WHO [95]
to improve air quality. The field is at an inter-
esting juncture that may be framed with the
question – “how low is low enough for air
quality standards and guidance?”
Science should have an important role in
addressing that question, however, scientific
knowledge alone will not be sufficient to answer
the question. Epidemiological studies with
improved design and execution may give us
some marginal improvement in estimates of the
health risks associated with exposure to low ambi-
ent concentrations of various air constituents. It
will be especially challenging to demonstrate the
shape of the ambient concentration-response rela-
tionship at concentrations that include back-
ground levels. Rather than a singular focus on
health effects attributable to air pollution as in
the past, future epidemiological studies will better
serve the needs of Society when they consider
more broadly the multiple factors that influence
disease outcomes. A finding of relative risks of 1.1
or less for a specific air pollutant begs the question
of what are the dominant risk factors driving the
baseline health risks.
It has become commonplace for scientists
using cellular and molecular approaches to argue
for more research using their tools to investigate
the mechanisms of action of various air pollutants.
Based on the evidence that air pollution in the
highest income countries of the world is not a
major influence on the health of the population it
is appropriate to ask whether a more detailed
understanding of this specific risk factor, air pol-
lutants, will be of value in guiding critical societal
decisions. An alternative would be to focus on the
broader range of risk factors that influence the
baseline risk.
Air Quality Guidelines and Standards
Irrespective of the specifics of the science
available, it can be anticipated that increasing
attention will focus on how science is used to
decide on the level and statistical form of air
quality standards and guidelines. The issue is rel-
evant to both the setting of Standards and Guide-
lines, however, it is especially critical as it relates
to standards which are legally binding. A review
of all the existing Guidelines and Standards for
criteria or common air pollutants suggests they
have been based on judgment. In some cases,
those judgments were made exclusively by scien-
tists, that is, the WHO Air Quality Guidelines. In
other cases, as in the setting of National Ambient
Air Quality Standards by the US EPA, the deci-
sions were made by appointed government offi-
cials and informed by the science reviewed by the
Clean Air Scientific Advisory Committee. As best
it can be determined none of the Guidelines or
Standards were set at a specific defined level of
risk. This is remarkable since each level (and its
associated statistical form) for a Guideline or
Standard reflects a level of acceptable risk:
above this level and statistical form the health
risks are not acceptable and below this level and
statistical form the health risks of exposure are
deemed acceptable. If scientists argue that there
is a linear, nothreshold relationship between ambi-
ent concentrations of an air pollutant and associ-
ated health responses down to background
concentrations, then no concentration is free of
some level of calculated excess risk.
In this author’s view, decisions on acceptable
health risks for the public should be informed by
the best science available. However, scientists
alone are not in a position to make broad policy
decisions on acceptable risk. Indeed, pronounce-
ments by individual scientists or scientific com-
mittees need to be recognized as a statement of the
individual preference for a particular policy out-
come or the collective view of the Committee. The
current worldwide economic crisis results in every
major financial investment made by either public
or private entities being considered in the context
of the future return on the investment in terms of
the public or private good that will result. The
focus increasingly is on choices that must be
made between alternative uses of funds,
Air Quality Guidelines and Standards
irrespective of whether the funding is from the
public or private sector. Clean air is universally
viewed as a right. The question increasingly for
policy makers, as representatives of the public, is
how clean is clean enough? This question cannot
be addressed in isolation; it should be addressed in
the context of all the risk factors influencing
human health. The question for scientists is how
to create the scientific knowledge on air pollutants
and other risk factors that affect human health to
inform these important societal decisions.
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(1999) Air pollution and health. Academic, San Diego
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Air Quality, Surface
Transportation Impacts on
Paul Boulter
PAEHolmes, Sydney, Australia
Article Outline
Glossary
Definition of the Subject
Introduction
Historical Trends
Air Pollution Pathways
Emission Processes
Modelling Transport Emissions
Pollutant Dispersion and Transformation
Modelling Air Pollution from Transport
Reducing Air Pollution from Transport
Future Directions
Bibliography
Glossary
DPF Diesel particulate filter, the preferred and
most effective technology for removing partic-
ulate matter from diesel exhaust. DPFs can be
broadly divided into two types: “full flow” and
“partial flow.” The latter are more permeable
and are less effective, but need no maintenance.
DPFs physically capture particles and can fill up
rapidly. They must therefore be periodically
“regenerated,” and several passive and active
systems have been developed for this purpose.
Emission standard A value that specifies the
maximum amount of a pollutant that can be
released into the environment per unit activity
(e.g., g/km or g/kWh).
NO2 Nitrogen dioxide, a gaseous air pollutant
produced as a result of combustion. NO2 is
also a precursor for a number of harmful sec-
ondary air pollutants such as ozone, and plays a
role in the formation of acid rain. Long-term
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_554
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_554
exposure to high concentrations of NO2 causes
adverse health effects, and levels regularly
exceed air quality standards.
O3 Ground-level ozone, a secondary pollutant
produced by reactions between NO2, hydrocar-
bons, and sunlight. High levels of ozone are
generally observed during hot, sunny weather,
and concentrations tend to be higher in rural
areas than in urban areas.
PM10 Mass concentration of particles with an aero-
dynamic diameter of less than 10 mm. Particles
smaller than 10 mm (also known as “thoracic”
particles) can settle in the bronchi and lungs.
PM2.5 Mass concentration of particles with an
aerodynamic diameter of less than 2.5 mm,
sometimes referred to as “fine” or “respirable”
particles. Particles in this size range can pene-
trate deep into the lungs.
Primary particles Particles emitted directly to
the atmosphere, typically as a result of com-
bustion or abrasion processes.
SCR Selective catalytic reduction, an exhaust
aftertreatment method that is used to reduce
emissions of nitrogen oxides. It will be the
main technology for enabling compliance
with future emission standards.
Secondary particles Particles formed within the
atmosphere from gas-phase precursors. These
include particles originating from atmospheric
oxidation of sulfur and nitrogen oxides, and
their reaction products with ammonia, and
from the oxidation of organic compounds.
Ultrafine particles Particles with a diameter of
less than 0.1 mm. These can pass through cell
membranes and migrate from the lungs into
other organs. There is evidence to indicate
that they may be more damaging to the cardio-
vascular system than PM10 and PM2.5.
Definition of the Subject
Until the middle of the twentieth century poor air
quality in populated areas was usually associated
47
48
with domestic and industrial combustion, with
coal burning leading to high concentrations of
smoke and sulfur dioxide. A recent retrospective
analysis has indicated that the most famous exam-
ple of this type of pollution – the great London
smog of 1952 – was responsible for 12,000 deaths
[1]. However, during the 1940s and 1950s an
altogether different type of pollution was observed
in the United States. Haagen-Smit identified a
mechanism by which air pollutants reacted with
the Los Angeles sunlight to produce a noxious
photochemical smog [2], and it became clear that
the pollution originated not from the use of coal
but from road vehicles.
In the subsequent decades urban air pollution
has become synonymous with road transport, the
link being attributable primarily to the growth in
the ownership and use of private cars. Photochem-
ical smog has remained a problem in some of the
largest cities in the world, and many people are
exposed to pollutant concentrations which exceed
health-based air quality standards. It has also
become evident that some transport-derived pol-
lutants can travel thousands of kilometers before
deposition and damage occur and, in the case of
greenhouse gases, can have a global effect over
long timescales. If transport systems are to become
environmentally sustainable, then the scale of such
adverse effects will have to be greatly reduced.
The aim of this entry is to provide an overview
of the impacts of surface transport (road, rail, and
shipping) on emissions and air quality. Different
regions of the world have different air pollution
problems, and not all countries and issues can be
covered here. The entry refers mainly, but not
exclusively, to the European Union (EU), and
the emphasis is on local air pollution in populated
areas. Inevitably, the entry deals predominantly
with road transport, but some consideration is
also given to the other modes.
Introduction
Surface transport is an important, and in many
respects, the most important source of air pollu-
tion. The pollutants released from road, rail, and
waterborne traffic are implicated in a variety of
Air Quality, Surface Transportation Impacts on
direct and indirect detrimental impacts on amenity,
health, ecosystems, and cultural heritage over dif-
ferent time periods and on different geographical
scales. The effects of transport pollution can be
very local and immediate, such as the nuisance
caused by a plume of black smoke from the
exhaust pipe of a car or a diesel train. More seri-
ously, repeated exposure to exhaust gases and
particles is linked to aggravated respiratory and
cardiovascular disease, changes to lung tissue,
changes in the function of the nervous system,
and premature mortality [3, 4]. Threats to cultural
heritage posed by atmospheric pollutants include
the soiling of historical buildings – a common
sight alongside busy urban roads – and indoor
damage to works of art and museum exhibits.
Transport emissions also contribute to the regional
degradation of air quality, to eutrophication, and to
acidification (see Chapter, ▶ “Regional Air Qual-
ity”). Moreover, stable pollutants, including the
greenhouse gases carbon dioxide (CO2), methane,
and nitrous oxide can contribute to environmental
problems on a global scale for decades and even
centuries.
The pollutants that are currently causing the
greatest concern in terms of air quality, primarily
because of their impact on human health, are air-
borne particulate matter (PM), nitrogen dioxide
(NO2), and ground-level ozone (O3). Surface
transport is an important contributor to all three
[5], but road transport is the main culprit, espe-
cially in population centers, and it presents some of
the greatest challenges in terms of sustainability.
The importance of road transport as a source of
pollution can be illustrated by reference to sectoral
emissions in Europe. Figure 1 shows emission
data for the EU-27 countries, based on submis-
sions to the UNECE Convention on Long-range
Transboundary Air Pollution (CLRTAP). In 2008,
road transport was the largest contributor to NOx
emissions in Europe (41%), and was also a major
contributor to PM10 emissions. By comparison,
non-road transport was responsible for just 7% of
total NOx emissions and only 2% of total PM10
emissions. However, it is important to observe
that the totals in Fig. 1 are based on national
reporting, and do not include international avia-
tion or international maritime shipping. The latter
Air Quality, Surface Transportation Impacts on 49

NOx Commercial, PM10

institutional and
households Industrial
Non-road 14% processes
transport Solvent and
2% product use
7%
1%
Industrial
Solvent and
processes
product use Waste
17% Agriculture
0% 2%
12%
Road transport Agriculture Commercial, Other
41% 2% institutional and 0%
Energy households
Waste 35%
production and 0% Energy
distribution Energy use in production and
Other
20% industry distribution
Energy use in 0%
10% 7%
industry Road transport
14% 14%

Non-road
transport
2%
Total = 10.4 million tonnes Total = 2.1 million tonnes

Air Quality, Surface Transportation Impacts on, Fig. 1 NOx and PM10 emissions in 2008 by sector, based on data
submitted by EU-27 countries to CLRTAP [8]

is an important source of NOx and sulfur oxides
(SOx). Recent studies have indicated that around
15% of global NOx emissions and 5–8% of global
SOx emissions are attributable to oceangoing
ships [6, 7].
At the local level, the impacts of road transport
are exacerbated by the proximity of vehicles (and
their emissions) to the population, although the
other surface transport modes can contribute sig-
nificantly to poor air quality at specific sites such
as busy railway stations, underground systems,
and large ports.
Rail transport only contributes a small propor-
tion to total emissions from the transport sector,
but individual diesel locomotives have large
engines, and exhaust aftertreatment equipment is
not currently used on traction units. Elevated pol-
lutant concentrations have therefore been
observed where diesel locomotives are running
with the engine at idle in enclosed stations
[9]. Several studies have addressed the exposure
of passengers to air pollution in underground rail
systems, where pollutant concentrations appear to
be considerably higher than those above ground.
For example, consistently high concentrations of
PM10 and PM2.5 have been reported [10–12].
Many major ports are also major cities, and so
emissions from seagoing ships in such ports can
directly affect a large population [13]. Ships at
berth are the main source of shipping emissions
in ports; the time spent at berth is typically 1 or
more days, whereas the time spent maneuvering is
typically only a few hours [14]. Moreover, almost
70% of maritime ship emissions occur within
400 km of land, and ships therefore have the
potential to contribute significantly to pollution
in coastal communities [13]. On the global scale,
PM emissions from marine shipping are thought
to be responsible for around 60,000 deaths annu-
ally, with impacts concentrated in coastal regions
on major trade routes. Most mortality effects are
seen in Asia and Europe where high populations
and high shipping-related PM concentrations
coincide [13].
The literature on transport-related air pollu-
tion is very extensive, and it is not possible to
cover every aspect in depth in this entry. The
emphasis is therefore on key areas such as his-
torical trends in transport activity and emissions,
the processes of pollutant formation, and model-
ling approaches. Importantly, given the context
of this encyclopedia, a substantial part of the
entry is devoted to policies and measures which
can be implemented to reduce the impacts of
surface transport on air quality, and thus contrib-
ute to sustainability.
50
Historical Trends
The general trend in motorized transport has been
one of unremitting growth, driven primarily by the
association of personal mobility with quality of life
[15] and its consequence in terms of passenger car
ownership. In the United States the number of cars
grew from 140,000 in 1907 to more than 20 million
in 1927 [15]. A similar pattern occurred in Europe
several decades later – Fig. 2 shows car ownership
in some European countries since 1970 – and is
being repeated again now in parts of Asia.
The recent evolution of transport activity in the
EU-27 countries is shown in Fig. 3. The top graph
shows passenger transport by mode in passenger-
kilometers (pkm) (note the different scales), and
the bottom graph shows freight transport in tonne-
kilometers (tkm). Between 1995 and 2008, passen-
ger transport by car increased by 21%. The growth
in passenger transport was lower for buses/coaches
(9%) and rail (17%), and there was a net reduction
of 8% in passenger transport by sea. Although it is
not of direct relevance to this entry, it should be
recognized that during the same period passenger
Air Quality, Surface
Transportation
Impacts on,
Fig. 2 Passenger car
ownership in selected
European countries.
(Adapted from [16, 17])
cars per 1,000 people
Air Quality, Surface Transportation Impacts on
transport by air increased by 62% (see Chapter,
▶ “Aviation and Atmosphere”). Road freight in
the EU-27 increased by almost 50% between
1995 and 2008, and there was also substantial
growth in the transport of freight by rail (15%),
inland waterways (19%) and shipping (30%).
In response to similar trends in all industrialized
countries and their implications for air quality,
legislation and strategies have been put in place
to combat transport-related emissions. Calcula-
tions have established that emissions from road
transport in the EU peaked in the early 1990s [18]
but have been reducing since then as controls on
fuel and emissions have tightened (Fig. 4). Emis-
sions of regulated pollutants are likely to continue
to decrease in the future as new vehicles, locomo-
tives, and vessels, which comply with more strin-
gent emission limits, replace older ones, although
the reductions will be offset to some extent by
growth in transport activity.
There have been some notable successes. In spite
of the continued growth in traffic in Europe, the
emissions and atmospheric concentrations of some
pollutants – such as lead, carbon monoxide and
700
Belgium
Denmark
600
Greece
Italy
500
Romania
400
300
200
100
0
1965 1970 1975 1980 1985 1990 1995 2000 2005 2010
Year
Air Quality, Surface Transportation Impacts on 51

5,000 1,000
Passenger cars (billion pkm)

Other modes (billion pkm)

4,000 800
Passenger cars
3,000 600 Bus and coach
Two-wheel veh.
2,000 400
Railway

1,000 200 Sea

0 0
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2,500
Freight transport (billion tkm)

2,000
Road
1,500 Rail
Inland waterway
1,000 Sea

500

0
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008

Air Quality, Surface Transportation Impacts on, Fig. 3 Passenger and freight transport in the EU-27 countries by
mode between 1995 and 2008. (Adapted from [17])

benzene – have decreased so dramatically that they currently increasing in line with traffic growth
are no longer considered to be a major threat to (bottom graph in Fig. 4).
human health. However, in many urban areas the
concentrations of NO2 and PM10 still frequently
exceed health-based limit values. According to the Air Pollution Pathways
European Environment Agency, in 2004, more than
20% of the European urban population were The links between transport, emissions, air pollu-
exposed to ambient NO2 concentrations above the tion, and adverse impacts are not straightforward.
annual mean limit value (40 mg/m3) [19]. Further- To illustrate this, the complex pathway from emis-
more, NO2 and PM10 concentrations at many road- sions to one specific type of impact – the health
side monitoring sites are not decreasing [19–21]. outcomes of road transport pollution – is summa-
The problem is not confined to Europe; for exam- rized in Fig. 5.
ple, a similar problem has been observed in Japan Many different pollutants are emitted by road
[22]. Some possible reasons for this are explored traffic, and the strength of the source depends on
later in this entry. A further concern is that emis- the emission factors for the vehicles and the char-
sions of non-exhaust particles – especially those acteristics of the traffic (e.g., volume, speed and
arising from road vehicle tire and brake wear – are composition). The emitted (primary) pollutants
not subject to legislation or control, and are are then dispersed in the ambient air according
52 Air Quality, Surface Transportation Impacts on

40,000
CO emissions (1,000 tonnes)

Road: Passenger cars

30,000 Road: Light duty vehicles
Road: Heavy-duty vehicles
20,000
Road: Two-wheel vehicles
Railways
10,000
International inland waterways
National navigation (shipping)
0
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
8,000
NOx emissions (1,000 tonnes)

Road: Passenger cars

6,000 Road: Light duty vehicles
Road: Heavy-duty vehicles
4,000
Road: Two-wheel vehicles
Railways
2,000
International inland waterways
National navigation (shipping)
0
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
PM10 emissions (1,000 tonnes)

450
Road: Passenger cars
400
350 Road: Light duty vehicles
300 Road: Heavy-duty vehicles
250 Road: Two-wheel vehicles
200
Road: tyre & brake wear
150
100 Road: road abrasion
50 Railways
0
International inland waterways
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008

National navigation (shipping)

Air Quality, Surface Transportation Impacts on, Fig. 4 CO, NOx, and PM10 emissions by transport mode (excluding
aviation) between 1990 and 2008, submitted by EU-27 countries to CLRTAP [8]

to the local topography and meteorology. The which they are engaged, the locations of those
main direct impacts of primary pollutants are activities, and the pollutant concentrations in
near to the point of emission; further away, con- those locations. One way of determining “inte-
centration decreases rapidly as a result of disper- grated” personal exposure is through the use of a
sion and dilution. However, many of the primary “microenvironment” model [24]. The term micro-
pollutants react together, and with pollutants from environment describes a location with a distinct
other sources, to form secondary pollutants. level of pollution, such as outdoors in the street,
Because of the time required for their formation, indoors at home, in transit, at the workplace,
the concentrations of secondary pollutants are not etc. The fraction of time spent in each microenvi-
always highest near the emission source. ronment allows the calculation of integrated expo-
The overall exposure of individuals to air pol- sure. However, the calculation of such an integral
lutants is dependent upon the types of activity in is often not possible because the pollutant
Air Quality, Surface Transportation Impacts on
Emission factors
Emissions
Activity data
Atmospheric conditions
Ambient
concentrations
Human activity
Exposure
Respiratory conditions
Dose
Physiological conditions
Health effects
Air Quality, Surface Transportation Impacts on,
Fig. 5 Simplified pathway from transport emission to
health effect. (Adapted from [23])
concentrations in the different microenvironments
are not known. The term “average exposure” is
therefore commonly used, and this is normally
taken to mean the pollutant concentration over a
specified period (e.g., annual mean) at an outdoor
location which is broadly representative of where
people are likely to spend time. This approach is
used in the regulation of ambient air quality.
Once the pollutant has crossed a physical
boundary (e.g., alveolar epithelial cells), the con-
cept of “dose” is used [25]. The dose is the mass of
material absorbed or deposited in the body during
an interval of time, and depends on the respiratory
activity of the individuals concerned. Responses
to doses – the actual health effects – can also vary
from person to person, depending on physiologi-
cal conditions.
Emission Processes
Combustion
Most vehicles are powered by internal combus-
tion engines (ICEs). Notable exceptions include
53
vehicles powered by electricity drawn from an
external grid (as in the case of rail locomotives),
from on-board batteries (as in the case of road
vehicles and waterborne vessels) or, more
recently, from in situ generation involving fuel
cells.
The principles of ICEs apply equally to road
vehicles, rail locomotives, and waterborne ves-
sels, the main differences being the size of the
engine and the type of fuel used. In an ICE energy
is derived from the burning of hydrocarbon fuel in
air, with the main products being CO2 and water
vapor. Incomplete combustion results in the pro-
duction of CO, PM (especially in the case of diesel
engines), and many different organic compounds.
In addition, at the high temperatures and pressures
found in the combustion chamber, some of the
nitrogen in the air is oxidized, forming mainly
nitric oxide (NO) with some NO2. By convention,
the sum total of oxides of nitrogen (i.e., NO +
NO2) is termed NOx.
NO formation proceeds via two main mecha-
nisms: the “thermal” (Zel’dovich) and “prompt”
mechanisms [26], with the former being respon-
sible for more than 90% of emissions [27]. NO2 is
predominantly a secondary pollutant, its major
source being the atmospheric oxidation of
combustion-derived NO. The NO2 emitted
directly from vehicles is referred to as “primary
NO2,” and its importance will be described later.
Particles in diesel exhaust cover a range of
sizes, and the shape of the size distribution
depends on whether the weighting is by number
or mass (Fig. 6). There are three distinct size
modes: the nucleation mode (sometimes referred
to as nuclei or nanoparticles), the accumulation
mode, and the coarse mode. The nucleation mode
has traditionally been defined as particles with a
diameter of less than 50 nm. Accumulation mode
particles range in size from around 50 nm to
around 1 mm, with particles smaller than 0.1 mm
being referred to as ultrafine particles. When a
nucleation mode is observed (this is not always
the case in engine exhaust), it contains many more
particles than the accumulation mode, although
because each particle is so small the total mass
will not increase substantially. The coarse mode
consists of particles larger than around 1 mm.
54
0.20
Number
0.18
weighted
0.16 Mass
weighted
0.14
0.12
dlogDp
0.10
0.08
0.06
0.04
Nucleation
0.02 mode
0.00
0.001 0.01
Diameter (mm)
Air Quality, Surface Transportation Impacts on, Fig. 6 Typical particle size distributions in vehicle exhaust. The
y-axis is a normalized log scale. (Adapted from [28])
The processes of particle formation during
diesel combustion have been described in
detail [26]. Carbonaceous spherules (soot) are
initially created in the cylinder. A phase of particle
growth then follows, involving the adsorption of
gas-phase components, as well as coagulation and
agglomeration. Almost all the particles found in
the exhaust prior to dilution are present as these
carbonaceous agglomerates (hence, accumulation
mode), with a small amount of metallic ash. The
processes leading to the presence of nucleation
mode particles in the exhaust during measurement
are quite complex. Most nucleation mode parti-
cles are thought to originate from the condensa-
tion of volatile material (hydrocarbons, hydrated
sulfuric acid and salts) in the exhaust gas during
dilution, rather than during combustion itself, and
their formation is a function of measurement
parameters such as temperature, dilution ratio,
residence time, and humidity [28–30], as well as
fuel sulfur content [31, 32]. Particles in the coarse
mode are formed by re-entrainment of material
previously deposited on engine cylinder and
exhaust system surfaces. Some of the pollutants
emitted by fuel combustion (sulfur oxides and
nitrogen oxides) are also precursors of secondary
particles in the atmosphere.
Air Quality, Surface Transportation Impacts on
Nanoparticles
(Dp < 50 nm)
Ultrafine particles
(Dp < 100 nm)
Fine particles
(Dp < 2.5 µm)
Accumulation Coarse
mode mode
0.1 1 10
The main factors that govern exhaust emis-
sions are the vehicle type, the fuel used, the vehi-
cle technology, and the driving conditions. The
term “vehicle technology” can be used to refer to
either a specific type of engine or exhaust aftert-
reatment, or more generally compliance with a
particular emission standard. Some examples of
these effects are shown for road vehicles in Fig. 7.
Other factors include vehicle weight, road gradi-
ent, vehicle load, and the use of auxiliary equip-
ment such as air-conditioning. Another important
consideration is the so-called dynamics of driving
(see section “Modelling Transport Emissions”).
The thermal state of the engine and exhaust
emission-control system also has a strong influ-
ence on emissions from road vehicles. Most emis-
sions occur under what are known as thermally
stable or “hot” engine and exhaust conditions. The
temperature of engine coolant during normal
operation is typically between around 70
C and
90
C, whereas the temperature of the exhaust
system reaches several hundred degrees centi-
grade. During the warm-up period following an
engine start, emissions and fuel consumption are
elevated as a result of incomplete combustion, the
low conversion rate of pollutants in the catalyst,
and increased viscous friction due to the low
Air Quality, Surface Transportation Impacts on
lubricant temperature in the engine and transmis-
sion. These “cold-start” emissions can constitute a
significant proportion of total road transport emis-
sions, particularly in urban areas. Cold-start emis-
sions and fuel consumption are higher for lower
engine starting temperatures which will, in turn,
depend upon factors such as the length of time the
vehicle has been parked and the prevailing ambi-
ent temperature.
Rail locomotives are mainly powered by either
diesel or electricity. The nature of the pollution
emitted from rail transport is dependent upon the
type of traction. In the case of diesel locomotives,
pollutants are emitted directly into the local envi-
ronment as result of combustion, whereas for
electric locomotives the emission is effectively
transposed to the power stations which are respon-
sible for producing the electricity. Emissions from
electric trains are therefore normally allocated to
the power generation sector. Compared with road
vehicles, trains generally have low emissions per
passenger-kilometer although this depends, of
course, on the passenger load factors.
Shipping is responsible for a significant frac-
tion of NOx and primary PM emissions in some
countries. Many ships have old engines or old
technology, and compared with road transport
few exhaust aftertreatment devices are in use.
The quality of the fuel is also poor relative to
that used for road vehicles. In particular, the resid-
ual fuel oil used in ship engines contains very high
levels of sulfur (up to 4.5% by mass), which leads
to high PM emissions [34]. To put this in perspec-
tive, the PM emission factor for ship engines is
typically around 1.25 g/kWh [35], compared with
the legislative limit value of 0.02 g/kWh for a
modern Euro V truck. There is little information
on the size distribution of PM emissions from
ships, although some recent data indicate that a
large fraction of the emitted particles can be clas-
sified as PM2.5 [34]. NOx and sulfur dioxide (SO2)
emissions from shipping also contribute signifi-
cantly to secondary particle formation.
Evaporation
Volatile organic compounds (VOCs) are emitted
from the fuel systems of petrol vehicles as a result
of evaporation. The compounds that are emitted
55
are mainly of light hydrocarbons (C4–C6)
[36]. Evaporative emissions from diesel-fuelled
vehicles are considered to be negligible due to
the low volatility of diesel fuel.
There are several different mechanisms of
evaporation. “Diurnal losses” are due to the ther-
mal expansion and emission of vapor, mainly in
the fuel tank, as a result of changes in ambient
temperature during the day. “Hot-soak losses”
occur when a warm engine is turned off and heat
is dissipated into the fuel system. Whilst a vehicle
is being driven, the engine provides a continuous
input of heat to the fuel system, resulting in “run-
ning losses.” In addition, “refueling losses” occur
while the tank is being filled and the saturated
vapors are displaced and vented into the atmo-
sphere, but these are usually attributed to the fuel
handling chain.
Evaporative emissions are dependent upon
four major factors: the vehicle design, the ambient
temperature, the volatility of the petrol, and the
driving conditions. Emissions have decreased sig-
nificantly in recent years as a result of new cars
being equipped with sealed fuel injection systems
and activated carbon canisters in fuel tank
vents [5].
Abrasion
As noted earlier, particles are also generated as a
result of various unregulated abrasion processes,
including tire wear, brake wear, and road surface
wear. These sources are becoming increasingly
important (Fig. 4), but the understanding of emis-
sions of abrasion particles is relatively poor and
their health effects are not well documented.
There is little information on the composition
of tire wear particles. Components that have been
suggested as environmental tracers of tire wear
include styrene butadiene rubber [38],
benzothiazole [39], and organic zinc [40]. Studies
conducted in the 1970s revealed that wear parti-
cles had a bimodal distribution, with mass in the
both the fine (<2.5 mm) and coarse (2.5–10 mm)
modes [38, 41–43]. Several laboratory and field
investigations have demonstrated that most parti-
cles are present in the coarse fraction [38, 44, 45],
or are larger still [46], whereas others have indi-
cated substantial mass in both the PM2.5 and PM1
56 Air Quality, Surface Transportation Impacts on

Effect of vehicle type and fuel (all vehicles Euro 3/III)

10
NOx emission factor (g/km)

0
Car Car LDV LDV HGV Bus Coach Moped M/C
a Petrol Diesel Petrol Diesel Diesel Diesel Diesel Petrol Petrol

Effect of technology (rigid HGV >32 t)

14
NOx emission factor (g/km)

12
10
8
6
4
2
0
b Pre-Euro I Euro I Euro II Euro III Euro IV Euro V Euro VI

Effect of average speed (Euro 4 diesel car)

1.2 0.06
NOx emission factor (g/km)

NOx (g/km)

HC/PM emission factor

1.0 0.05
HC (g/km)
0.8 PM (g/km) 0.04

(g/km)
0.6 0.03
0.4 0.02
0.2 0.01
0.0 0.00
0 20 40 60 80 100 120 140
c Average speed (km/h)

Air Quality, Surface Transportation Impacts on, Fig. 7 Factors influencing emissions: (a) vehicle and fuel type, (b)
technology, and (c) average speed. (Adapted from [33])

fractions [40, 47, 48]. In one early study, it was depends on the severity of the braking and the
observed that mean particle diameter decreases design of the vehicle [49]. The remaining debris
with increasing speed, and this may be one factor either falls on the road or is retained on the vehicle.
contributing to the differences in the reported It appears that most airborne brake wear particles
findings [42]. can be classified as PM10, although a substantial
Airborne brake particles are composed of proportion has a diameter of less than 2.5 mm [49–
metals (iron, copper, lead, etc.), organic material, 52]. The highest proportions of PM2.5 have been
and silicon compounds, which are used as binders found under urban driving conditions [52].
in brake pads, but composition varies greatly Very little information is available on the size
[37]. Test track and wind tunnel measurements distribution of road surface wear particles. The
have revealed that typically 50% of the brake data that are available suggest that airborne bitu-
wear debris escapes the vehicle and enters the men particles range in size between 0.35 mm and
atmosphere, although the actual proportion 2.8 mm [40].
Air Quality, Surface Transportation Impacts on
Particle measurements conducted near a busy
electrified railway line in Zurich showed that the
main elements abraded by railway traffic were
iron and manganese originating from the wheel–
track interface, as well as copper from the over-
head catenary system [53]. More than half of the
iron and manganese particles resulting from wheel
and track abrasion were in the coarse range. The
abrasion particles provided a small but
measureable contribution to local PM10 concen-
trations [54]. However, the contribution of rail
transport on lines with a larger diesel share of
the traction could be much higher.
Resuspension
Another source of PM – the resuspension of mate-
rial previously deposited on the road surface –
occurs as a result of tire shear, vehicle-generated
turbulence, and the action of the wind. Studies in
the United States have indicated that resuspension
is responsible for between 30% and 70% of total
PM10 in urban areas [55–57]. Large contributions
of resuspension have also been observed in Ger-
many [44, 58, 59] and the UK [60], albeit with a
large variation between locations.
Resuspension is a major concern in Scandina-
vian countries, especially in relation to the use of
studded tires and “road sanding.” Indeed, it can
provide a much larger contribution to PM10 than
exhaust emissions, and also form a significant
fraction of PM2.5 [61, 62]. An investigation in
Sweden revealed that PM10 resuspension is highly
dependent on vehicle speed [63].
Modelling Transport Emissions
Estimates of emissions from transport are required
for various purposes. National inventories cover-
ing all sectors are part of the reporting obligations
of CLRTAP, the United Nations Framework Con-
vention on Climate Change and, in the European
Union, Directive 2001/81/EC on National Emis-
sion Ceilings. At a more local level, emission
estimates are required for assessing the impacts
of policies and measures, and for input into air
quality modelling studies. Separate modelling
approaches have been developed for the different
57
transport modes. Most emission models are
empirical in nature, being based on data from
laboratory or real-world tests. However, it is
worth noting that such tests are not always
designed to deliver emission factors for model-
ling, and simulate only a small fraction of all
possible operational conditions [5].
Road Transport Models
Combustion In the simplest terms, the total
emission of a given pollutant during a given time
period is calculated as the sum product of specific
emission factors and quantities of activity:
X
v¼n
Ep ¼ ep,v  T v ð1Þ
v¼1
where
Ep ¼ total emission (e.g., in grams) of pollutant
p during the period
v ¼ vehicle category (with n different categories)
ep,v ¼ emission factor (e.g., in grams per kilometer
or liter of fuel burnt) of pollutant p from vehicle
category v
Tv ¼ activity (e.g., in kilometers or liters of fuel)
of vehicle category v
The definition of emission factors that repre-
sent different aspects of vehicles and their opera-
tion forms a substantial area of research. Emission
models are generally classified in terms of how
they take vehicle operation into account. Here, the
term “vehicle operation” is used in a general
sense, and refers to a wide range of parameters
which describe the way in which a driver controls
a vehicle (e.g., average speed, maximum speed,
acceleration pattern, gear-change pattern), as well
as the way in which the vehicle responds (e.g.,
engine speed, engine load). The main types of
approach are aggregated emission factors,
average-speed models, traffic situation models,
multiple-regression models, modal models, and
instantaneous models.
Aggregated emission factors operate on the
simplest level, with a single emission factor
representing a general type of driving; the
58 Air Quality, Surface Transportation Impacts on

traditional distinction is between urban roads,
rural roads, and motorways. Vehicle operation is
therefore only taken into account at a very rudi-
mentary level. However, they are generally the
only way of estimating emissions of unregulated
pollutants, for which there is often insufficient
information to define a more detailed relationship
with vehicle operation.
Average-speed models are based upon the prin-
ciple that the emission factor varies according to
the average speed during a trip. The general pro-
cess of model development is shown in Fig. 8.
Firstly, vehicle operation in the real world is mea-
sured using on-board instruments, with the vehi-
cles being driven under a wide range of road and
traffic conditions. The numerous resulting driving
patterns are then condensed, using statistical
methods, into a much smaller number of represen-
tative driving cycles which can be used to test
vehicles in the laboratory. The results from the
laboratory tests on vehicles in the same category
(e.g., small petrol cars complying with the Euro
4 legislation) are then plotted as a function of
average speed, and a regression curve is fitted to
the date to give an emission function. Given that
exhaust emissions are inherently variable, there is
usually a considerable amount of scatter in the
emission data.
Average-speed models are widely used in
emission inventories and local air pollution
models. In Europe, the most widely used example
is COPERT [33]. A number of factors have con-
tributed to their popularity. The modelling
approach is one of the oldest, it is comparatively
easy to use, several models are available free of
charge, and there is a reasonably close correspon-
dence between the required inputs and the data
available to users. However, trips having very

Real-world driving patterns Laboratory measurements

Record of vehicle
operation via
OBD, GPS, etc.

Driving cycles Emission function

Speed (km/h) ARTEMIS Urban, part 2
NOx (g/km)
80 0.6
60
Laboratory measurements Emission function
40 0.5
20
0 0.4
0 20 40 60 80 100 120 140 160 180 200
Time (s)
0.3
Speed (km/h) ARTEMIS Rural, part 4
120 0.2

80
0.1
40
0
0 0 40 80 120 160
0 20 40 60 80 100 120 140 160 180
Time (s) Speed (km/h)

Air Quality, Surface Transportation Impacts on, Smith, Tim Barlow of TRL in the UK, and TNO Automo-
Fig. 8 Process of development for average-speed models. tive in the Netherlands)
(Photographs reproduced by kind permission of Alistair
Air Quality, Surface Transportation Impacts on
different vehicle operation (and different emission
levels) can have the same average speed. Clearly,
all the types of operation associated with a given
average speed are not accounted for by the use of a
single emission factor. This is a particular problem
at low-medium average speeds, for which the
range of possible operational conditions associ-
ated with a given average speed is great. In addi-
tion, for modern vehicles a large proportion of the
total emission during a trip can be emitted as very
short, sharp peaks, often occurring during gear
changes and periods of high acceleration, and
this detail is lost when only average speed is
considered. The concept of “driving dynamics”
has therefore been developed to enable model
developers to describe vehicle operation using
additional parameters [64]. In qualitative terms,
dynamics can, perhaps, be thought of as the
“aggressiveness” of driving. Quantitatively, the
term refers to the variation in various properties
or statistical descriptors of a driving pattern. One
of the more useful parameters appears to be rela-
tive positive acceleration (RPA) [65]. However,
most model users have no straightforward means
of quantifying such parameters.
In “traffic situation” models, emission factors
are referenced to specific traffic situations that are
known by the model user. A typical example is the
Handbook of Emission Factors [66]. The traffic
situations are characterized by the features of the
sections of road concerned (e.g., “motorway with
120 km/h limit,” “main road outside built-up
area”). The driving dynamics are not quantified
by the user, but are defined through a textual
description (e.g., “free flow,” “stop and go”).
However, requiring the user to define the traffic
situation using a textual description of dynamics
may lead to inconsistencies in interpretation.
Multiple-regression models are another com-
paratively recent development, and the most
prominent example is the Dutch VERSIT+
model [67]. The model contains test data for a
large number of cars over a range of different
driving cycles. Within the model, each driving
cycle is characterized by various descriptive
parameters (e.g., average speed, RPA, number
of stops per km, etc.). A regression model is fitted
to the average emission factors and cycle
59
parameters for the various driving cycles, giving
the descriptive variables which are the best pre-
dictors of emissions (the group of descriptors
being different for each type of vehicle and
each pollutant). The model requires a driving
pattern (speed-time profile) as the input, from
which it calculates the same range of descriptive
variables and estimates emissions based on the
regression results.
In modal models emission factors are allo-
cated to the specific modes of vehicle operation
encountered during a trip. In the simplest type,
vehicle operation is defined in terms of a rela-
tively small number of modes – typically idle,
acceleration, deceleration, and cruise. For each
of the modes the emission rate is fixed, and the
total emission during a trip, or on a section of
road, is calculated by weighting each modal
emission rate by the time spent in the mode
[68, 69]. This approach has usually been used
to determine the impacts of traffic control mea-
sures and signal improvements [70].
Some more detailed modal models aim to give
a precise description of vehicle emission behavior
during a series of short time steps (often 1 s).
These are commonly referred to as “instanta-
neous” models, although several alternative
terms can be found in the literature, including
“microscale,” “continuous,” and “online”
[71]. In the simplest type of instantaneous
model, emission rates are defined for different
combinations of speed and acceleration, usually
in the form of a matrix [72, 73]. Theoretically, the
finer the resolution of the emission factor matrix
the higher the model accuracy, but as the resolu-
tion improves the complexity of the calculations
increases. Some models use the product of speed
and acceleration instead of the acceleration alone
[74]. A more flexible approach relies upon emis-
sion maps that relate to engine power [75,
76]. This allows all relevant factors to be taken
into account, including rolling resistance, aerody-
namic resistance, acceleration, gradient, transmis-
sion losses, and the use of auxiliaries.
Instantaneous models should have a number of
advantages. Firstly, emissions can be calculated
for any operational profile, and thus new emission
factors can be generated without the need for
60
further vehicle testing. Secondly, the models
inherently take into account dynamics. Thirdly,
emissions can be resolved spatially, and this
ought to lead to improvements in the prediction
of air pollution. However, detailed and precise
data on vehicle operation and location are
required, or any potential benefits may be lost.
Such data are difficult to obtain for many model
users. Moreover, it is extremely difficult to mea-
sure emissions on a continuous basis with a high
degree of precision, and then it is not straightfor-
ward to allocate those emission values to the cor-
rect operating conditions. During measurement in
the laboratory, an emission signal is dynamically
delayed and smoothed, and this makes it difficult
to align the emissions signal with the vehicle
operating conditions [77]. Such distortions have
not been fully taken into account in instantaneous
models until relatively recently.
Once the basic modeling approach has been
identified a number of other effects may need to
be considered, depending on the type of model
being used. These effects include potential future
improvements to fuels and technologies, the dete-
rioration of vehicle exhaust emissions with age,
the presence and use of auxiliary devices (e.g., air
conditioning, windscreen wipers, radios), road
gradient, and vehicle load/occupancy. Such
effects may be taken into account via separate
models [78] or through adjustments to the basic
emission factors, with assumptions concerning
levels of uptake and effectiveness in future years.
Separate models also exist for the estimation of
cold-start emissions. In some cases, the hot emis-
sion factor is multiplied by a ratio of cold-start to
hot emissions for the fraction of kilometers driven
with a cold engine [33]. In others, a reference
cold-start excess emission value is adjusted to
take account of, for example, the ambient temper-
ature, the average speed, the parking duration, and
the distance travelled (some trips are shorter than
the distance needed to fully warm the engine) [79,
80]. Specific models have also been developed to
determine the effects of different parking scenar-
ios [81]. Cold-start emissions are usually included
in regional and national emission inventories, but
are often excluded from local air pollution studies.
One of the main reasons for this is the difficulty
Air Quality, Surface Transportation Impacts on
associated with obtaining data on the temporal
and spatial allocation of cold-start operation.
Evaporation The earliest studies of evaporative
emissions were carried out in the United States in
the 1960s [82], but the first European studies were
only conducted 20 years later [36]. The models
that were developed from the resulting data were
not updated for many years. However, modelling
improvements have recently been possible fol-
lowing a number of new investigations [83–85].
Abrasion and Resuspension One non-exhaust
PM model in common use is that presented in
the European Environment Agency’s Air Pollut-
ant Emissions Inventory Guidebook [33]. The
method uses reference emission factors (in g/km)
and incorporates corrections for both speed and,
in the case of HDVs, vehicle load and number of
axles. However, the use of average brake wear
emission factors (in g/km) means that differences
in the extent of braking for different traffic situa-
tions cannot be taken into account. Such emission
factors are likely to overestimate brake emissions
in areas of low brake use, and underestimate
emissions in areas of high brake use.
The calculation method presented in the US
Environmental Protection Agency’s AP-42
document [86] is one of the more widely used
for predicting resuspension on paved roads,
although some shortcomings have been identi-
fied [87]. There is no widely accepted Euro-
pean method for calculating emissions due to
resuspension.
Rail Transport Models
Emissions from electric trains occur at the power
stations which are responsible for generating the
electricity. The actual emissions will therefore be
a simple function of power consumption and
emission factors for power generation. However,
power losses between the power station and the
train, and within the train itself, also need to be
taken into account where possible.
Emissions from diesel locomotives are typi-
cally estimated using fuel consumption data and
fuel-specific emission factors. The types of train
which are typically included in models include
Air Quality, Surface Transportation Impacts on
highspeed passenger trains, intercity passenger
trains, regional passenger trains, urban passenger
trains, and goods trains. Early models were based
on empirical correlations between emissions, train
type, operating speed, and other simple variables
such as the distance between stops, and average
emission factors for train types [88, 89]. More
recent models allow the user to specify an opera-
tional matrix for a journey, from which energy
consumption and emissions can be calculated
[90, 91]. This approach is a broadly analogous to
that used in modal models for road transport. As
with road vehicles, passenger trains consume
energy for loads other than propulsion. These
include the heating and cooling loads, and electri-
cal power to operate lights, instruments, and other
electrical accessories. However, the energy con-
sumption for auxiliary power is fairly low com-
pared with that required for propulsion. The
effects of regenerative braking on energy con-
sumption may also be important.
Shipping Models
For shipping, both simple and detailed methods
have been developed for calculating emissions
[33, 92, 93]. The simple methods are essentially
similar to that for road transport (see Eq. 1), and
combine fuel use (in tonnes) with fuel-specific
emission factors. Detailed calculation approaches
firstly involve obtaining ship movement data,
including sailing routes and distances between
ports. Different ship operating modes may also
be considered, such as cruising, in-port operation
(hotelling, loading and unloading), and maneu-
vering. Each vessel also needs to be characterized.
National and international shipping covers a wide
range of vessels, from recreational craft to large
oceangoing cargo ships that are driven primarily
by large, low-, and medium-speed diesel engines.
In addition, marine engines can be further classi-
fied according to their principal fuel: bunker fuel
oil, marine diesel oil, or marine gas oil. Again,
auxiliary engines are used to provide power and
services when berthed [33]. In Europe, a widely
used set of emission factors was determined in a
study for the European Commission [92].
The fuel consumption and emissions of vessels
operating on inland waterways were initially
61
modelled by analogy to marine shipping. How-
ever, the operational characteristics of inland
ships are rather different from those of their sea-
going counterparts. Firstly, they sail at lower
speeds and in restricted waterways. The lower
speeds reduce energy consumption and emis-
sions, whereas shallower depths increase sailing
resistance and hence fuel consumption and emis-
sions. In order to make the most of the limited
space on inland waterways, vessels tend to be
squarer in shape than seagoing ships. This also
causes the sailing resistance to differ from that of
seagoing ships [94]. Recent models are therefore
more specific to inland vessels and their operating
conditions. For example, in the ARTEMIS pro-
ject, a model was developed and validated for nine
types of vessel based on size and type of waterway
[94]. The model calculates the energy consump-
tion and emissions under different service condi-
tions (speed, waterway dimensions, load, etc.).
Activity Data
For all transport modes the accurate characteriza-
tion of traffic activity (such as numbers vehicles,
trip distances, and modes of operation) and the
fleet composition is vital to the estimation of
emissions. Although models and emission factors
are continually improving, poor activity data
remains one of the main sources of uncertainty
in the calculation of emissions [95]. For many
years, the direct measurement of road traffic has
been the primary source of activity data. The
collection of accurate information on important
parameters such as traffic speed, road gradient,
or vehicle load can often be difficult and time-
consuming, rendering it impractical for large geo-
graphic areas. However, the quality and availabil-
ity of activity data has increased substantially in
recent years as a result of improved data collection
technologies (e.g., tag-and-beacon systems, cam-
eras, in-vehicle data collection, and satellite tech-
nology) and online dissemination. Furthermore,
there have been significant advances in micro-
simulation traffic models, the outputs from
which are well suited to integration with instanta-
neous emission data. Some workers have linked
microscale traffic and emission models for practi-
cal applications [96].
62
In the case of passenger rail transport the activ-
ity data are available from timetables. Rail freight
movements are more complicated, and data are
generally more difficult to obtain. There are essen-
tially three types of freight movement: long-term
scheduled, short-term scheduled, and “on
demand.” Clearly, it would be difficult to incor-
porate on-demand movements in any emission
calculations. Encouragingly, an increasing num-
ber of operators are adopting “black box” technol-
ogies, which can provide useful journey and fleet
information. For example, in Germany, the rail
company Deutsche Bahn has installed equipment
to monitor the real-time location and energy con-
sumption of its locomotives [97]. However, at the
moment, it appears that access to the data from
train event recorders is rather limited.
The primary source of information on ship
movements is the database provided by Lloyd’s
Maritime Information Service. The database
includes ship size, destination, approximate time
of arrival and departure, engine type and number,
but only for ships greater than 500 gross tons.
Ferries, fishing vessels, and operations at smaller
ports are not included. Port calling statistics are
also available from national sources. In the future,
the availability and accuracy of activity data and
emissions data should improve further due to
onboard GPS technology, continuous emission
monitoring systems (CEMS) and the development
of a universal Automatic Identification System
(AIS) [98]. For inland shipping there is currently
Air Quality, Surface
Transportation
Pollutant concentration
Impacts on,
Fig. 9 Simplified
representation of urban
structure and pollution
levels. (Adapted from [18])
Air Quality, Surface Transportation Impacts on
a need for data that give a better description of the
fleet, the traffic, and the waterways.
Pollutant Dispersion and
Transformation
Once pollutants have been released into the atmo-
sphere, they are subject to various processes of
dispersion and physical or chemical transforma-
tion. Emissions from transport are also super-
imposed on emissions from other sources.
Figure 9 shows a simplified representation of pol-
lutant concentrations in and around an urban area
with tall commercial buildings in the urban center
and low residential buildings in the surrounding
districts. The regional background pollution orig-
inates from a range of sources, extends over a
wide area, and is relatively invariant outside the
urban area. Within the built-up area there is an
additional “urban background” component. This
results from combined emission sources located
within the urban area, including transport, power
plant, industry, and domestic heating. Alongside
heavily trafficked roads there is also likely to be a
significant local contribution to the concentration.
Dispersion
The dispersion of pollutants is influenced to a
large extent by the local weather conditions (see
Chapter, ▶ “Urban Air Quality: Meteorological
Processes”). In particular, the temperature
Local traffic sources
Urban background
Regional background
Urban structure (km)
Air Quality, Surface Transportation Impacts on
inversions and low wind speeds associated with
stable high-pressure systems can restrict disper-
sion and lead to high pollutant concentrations.
Dispersion is also influenced by the local topog-
raphy, and is reduced by the presence of local
obstacles such as buildings. The effect is most
pronounced in the case of so-called street can-
yons. Moreover, vehicle-induced turbulence
needs to be taken into account.
Transformation
Some of the transformation processes that influ-
ence the concentrations of PM, NO2 and ozone are
summarized below. Meteorological factors,
including solar radiation, precipitation, and
humidity, also play important roles in these
processes.
Particulate Matter The emission of primary
particles from combustion sources was described
earlier. Nucleation mode particles have a rela-
tively short existence in the atmosphere since
they readily transform into larger particles and
deposit quite efficiently to surfaces because of
their highly diffusive nature. Accumulation
mode particles are too large to be subject to
rapid diffusion and too small to settle from the
air rapidly under gravity. Their further growth is
inhibited because they do not coagulate quickly
and there are diffusion barriers to their growth by
condensation. Particles in the accumulation
mode can therefore have a long atmospheric life-
time (typically 7–30 days), although incorpora-
tion into rain can shorten it significantly. Within
the coarse particle size range, gravitational set-
tling velocities become appreciable and therefore
atmospheric lifetimes are much shorter than for
accumulation mode particles. Particles larger
than ~100 mm in diameter rapidly settle out of
the air and are of minor health significance
because, although they can be inhaled, they do
not generally penetrate beyond the nose and
mouth [99].
A substantial fraction of the fine PM mass,
especially at background locations, is secondary
in nature [99–101]. Secondary particles are
formed by atmospheric reactions involving both
inorganic and organic gaseous precursors,
63
several of which are emitted by transport. For
example, particles can be produced by the oxida-
tion of precursor gases such as SO2 and NOx to
acids followed by neutralization with ammonia
(NH3), or by the partial oxidation of organic
compounds. The formation of secondary parti-
cles is relatively slow. Their persistence in the
atmosphere is therefore prolonged, and they are
distributed more evenly throughout the air than
primary particles. They can also travel large dis-
tances, resulting in the transport across national
boundaries.
Nitrogen Dioxide The ambient concentration of
NO2 is dictated by various complex processes and
factors. Under the majority of atmospheric condi-
tions the following reaction is the dominant path-
way by which NO is converted to NO2:
NO þ O3 ! NO2 þ O2 ð2Þ
At polluted locations comparatively close to
sources of NOx (such as road vehicles), NO is in
large excess and the reaction proceeds quickly
(seconds), with the availability of O3 limiting the
quantity of NO2 that can be produced. Primary
NO2 emissions are therefore important at such
locations. At unpolluted locations, when O3 is
present in excess, the timescale for conversion of
NO to NO2 is longer (minutes). When neither NO
nor O3 is in large excess, the reaction progres-
sively depletes both reagents, and can become
very slow [20].
Under normal ambient daytime conditions, the
reverse process also occurs – the destruction of
NO2 by photolysis to form NO and ozone, as
shown in reactions (3) and (4):
NO2 þ sunlight ! NO þ O ð3Þ
O þ O2 ðþMÞ ! O3 ðþMÞ ð4Þ
where M is a third body, most commonly
nitrogen.
The mean daylight lifetime of NO2 with
respect to photolysis is around 3 min. In winter,
it is typically a factor of 2 or 3 longer. Under
conditions when photolysis is sufficiently rapid,
64
NO, NO2, and O3 are potentially in chemical
equilibrium, a condition usually referred to as
the “photostationary state.”
Other chemical processes that can convert NO
to NO2 involve the formation of free radicals,
which can catalyze the oxidation of emitted
hydrocarbons [20], but these reactions tend to be
comparatively slow [102].
A third-order reaction, involving the oxidation
of NO by oxygen, is of minor importance under
normal atmospheric conditions:
2NO þ O2 ! 2NO2 ð5Þ
However, this reaction is rapid at low temper-
atures and high NO concentrations, such that it is
much more rapid at the elevated levels typical of
those close to points of emission. Under winter-
time pollution episode conditions, when a shallow
inversion layer can lead to a combination of high
NOx levels and stagnant air for periods of a day or
more, reaction (5) can potentially make a substan-
tial contribution to NO2 concentrations, as during
an episode in London in December 1991 [20].
Given that model predictions show a decrease
in NOx emissions, the absence of a downward
trend in NO2 concentrations (see earlier section
on “Historical Trends”) is not completely under-
stood. Three contributing factors have often been
cited:
1. The likelihood that the average proportion of
NO2 in NOx (termed f-NO2) in diesel exhaust is
increasing. Analyses of NO2 concentrations in
urban areas have indicated that a significant
proportion of NO2 must be emitted directly
from the exhaust, and that the f-NO2 value
has increased in recent years [104–108]. This
has two causes:
• The increasing market share for diesel vehi-
cles in many European countries. For exam-
ple, the share of first registrations of diesel
passenger cars in Finland increased from
17% in 2005 to 52% in 2008 [109]. Petrol
cars emit less NOx than diesel vehicles, and
with a smaller proportion of NO2.
• The increase in the use of specific aftert-
reatment technologies in modern diesel
Air Quality, Surface Transportation Impacts on
vehicles which involve in situ generation
of NO2, such as catalytically regenerative
DPFs [106].
The changes in f-NO2 for traffic emis-
sions have not had a large impact on NO2
concentrations away from the roadside,
where the dominant contribution is from
secondary NO2.
2. The possibility that real-world NOx emissions
from road vehicles are not decreasing as rap-
idly as models are predicting [110].
3. Increasing background ozone concentrations
[111]. As the O3 concentration increases, the
amount of NO converted to NO2 increases.
Ozone Ground-level O3 is implicated in summer
smog, such as the one that affected large areas of
Europe in the summer of 2003, and high concen-
trations lead to increases in the frequency of respi-
ratory symptoms and in deaths [112]. It is not
produced directly from emission sources but is
created by photochemical reactions such as those
described above. It can be transported over long
distances, and is therefore regarded as a regional air
pollution problem. High concentrations are typi-
cally observed downwind of large cities in the
summer when photochemical formation is
enhanced. Because road transport is a major source
of ozone precursors (e.g., NOx and hydrocarbons),
it is an important contributor to ground-level con-
centrations. Globally, road transport is responsible
for 5–15% of tropospheric O3 [113, 114].
Modelling Air Pollution from Transport
Predictions from air quality models are used in a
diverse range of applications. A common one is
air quality management (AQM), which includes
the identification of high-pollution areas (“hot
spots”), the development of plans and programs
for improving air quality, the checking of progress
toward targets, and the provision of information to
the public. Applications that are closely linked to
AQM are transport planning and land-use plan-
ning. Air quality predictions are also an important
element of environmental impact assessment
(EIA).
Air Quality, Surface Transportation Impacts on
Modelling methodologies can be categorized
according to two general types: empirical/statistical
models and deterministic models. Empirical models
are based largely on correlations between pollutant
concentrations and other variables, such as meteo-
rological parameters. Although empirical models
can be used for short-term predictions, they are
most reliable for longer term averages. The assump-
tions that correlations represent cause and effect, and
that regression parameters remain constant into the
future, are their main weaknesses [20]. Deterministic
models predict concentrations downwind of an
emission source using mathematical formulae
which describe the physical and chemical processes
operating within the atmosphere [20]. They include
Gaussian plume models, Eulerian grid models,
Lagrangian trajectory models, and computational
fluid dynamics (CFD) models. For transport
sources, emissions are typically entered as a line
source (such as a road or railway line), or as an
area/volume source (such as a car park).
Models vary enormously in sophistication. The
simplest and most common deterministic models
are based on Gaussian dispersion theory. This
assumes that a pollutant emission develops into a
plume under the influence of the wind, and that
the concentrations in the plume have Gaussian
Roof-level wind
Recirculating
Leeward air
side
Direct vehicle
exhaust
Air Quality, Surface Transportation Impacts on, Fig. 10 Schematic illustration of street canyon modelling in
OSPM. (Adapted from [115])
65
distributions in the horizontal and vertical direc-
tions. Two other types of model – Eulerian and
Lagrangian – take as their basis the principle of
conservation of mass of a pollutant as it spreads in
the air. In Eulerian models, the calculations are
undertaken simultaneously for all the grid points
in the model domain, whereas in the Lagrangian
approach the calculations relate to a parcel of air
which follows a defined trajectory. Several thou-
sand trajectories are usually required to generate
statistically significant results. CFD models use
numerical methods to predict air flows. They
focus on the detailed modelling of complex struc-
tures on the local scale (e.g., street canyons), and
are not appropriate for calculating areawide
concentrations [20].
The most commonly used street canyon model
is the Operational Street Pollution Model (OSPM)
[115]. The OSPM approach involves an idealized
representation of a street as a long road enclosed
along its length on both sides by buildings of
equal height (Fig. 10). The wind passing across
the street induces a recirculation vortex in the
street, and this leads to elevated pollutant concen-
trations on the leeward side of the canyon.
Some models include a preprocessor module
for the input of meteorological data. Allowances
Background
pollution
Windward
side
66 Air Quality, Surface Transportation Impacts on

97
94
91
88
85
83
79
76
73
70
67
64
61
58
55
52
49
46
43 Limit Value
40
37
34
31
28
25
22
19
16
13

Air Quality, Surface Transportation Impacts on, Fig. 11 Modelled annual mean NO2 concentrations (mg/m3) in
London in 2008 [116]. (Photograph reproduced by kind permission of Greater London Authority)

can also be made for concentration changes pro-
duced by chemical reactions in the air. Again, the
chemical reaction schemes vary greatly in
sophistication.
Dispersion model outputs are often expressed
as contour or surface maps in order to show the
spatial variation in pollutant concentrations over a
wide area. Such plots can enable spatial relation-
ships between air pollution and other variables to
be established, and sensitive locations to be iden-
tified. Appropriate pollution-reduction measures
can then be developed. The example provided in
Fig. 11 shows NO2 concentrations in London. The
area with high NO2 concentrations to the west of
London is Heathrow Airport.
Reducing Air Pollution from Transport
If transport systems are to become environmen-
tally sustainable their impacts on air pollution will
have to be greatly reduced, and it is therefore
important to consider ways in which this might
be achieved. The emphasis here is on road trans-
port, but some measures for rail transport and
shipping are also mentioned. It has been noted
that if no aggressive emission-reduction strategies
are introduced, global CO2 and SO2 emissions
from ships could double from present-day values
by 2050, and NOx emissions could exceed the
current value for road transport [117]. Shipping
has therefore been recognized as a growing prob-
lem by policymakers and scientists.
This entry considers two philosophies: “preven-
tion” and “mitigation.” Of course, other distinctions
are possible (e.g., “technical,” “systematic,” “behav-
ioral,” etc.), but in any case these tend to be artificial;
interactions are often so strong that few strategies
are based on a single measure of policy. In the
context of the entry, prevention measures are
designed to reduce or eliminate emissions at source,
whereas mitigation measures are designed to
remove pollutants which have already been emitted,
or to convert them to more benign compounds.
Air Quality, Surface Transportation Impacts on
An important tool is air quality legislation (see
Chapter, ▶ “Air Quality Guidelines and Stan-
dards”), but it does not fall conveniently into the
prevention or mitigation categories. Although air
quality legislation acts as a driver for the develop-
ment of pollution-reduction policies and technol-
ogies, and can thus be considered as “prevention,”
compliance with the legislation can only be deter-
mined from historical data, usually for the calen-
dar year, such as the annual mean or the number of
days on which pollutant concentrations were
above a certain value. Neither does the legislation
specifically target transport.
Compliance with air quality standards for
PM10 requires control of both fine and coarse
particles. As the two modes tend to have different
sources and formation mechanisms, different
types of control are required. The compounds
that are precursors to secondary particles also
need to be controlled. Primary fine particles from
combustion sources are subject to regulation. The
control of coarse particles is less straightforward
[118], as such particles arise from diverse natural
and anthropogenic disruption and attrition pro-
cesses which are difficult to characterize (e.g.,
non-exhaust emissions, resuspension, dust from
industrial processes, quarrying).
As a result of reaction (2), O3 levels near to
roads tend to be low. Thus, the limitation of local
traffic emissions would tend to lead to increased
O3 concentrations at roadside locations. The con-
trol of O3 depends ultimately on the control of
emissions of NOx and HC on a larger scale.
Prevention Measures
Some examples of prevention (i.e., emission-
reduction) measures are listed in Table 1. The
list is not comprehensive, but provides an indica-
tion of the types of action which are currently
being considered. Two general approaches are
noted here: reducing emissions per vehicle and
reducing travel/transport activity, and several spe-
cific measures are available in each case. The
applicability of each measure to road transport,
rail transport, and shipping is also shown. Several
prevention measures are described in more detail
in the following paragraphs.
67
Emission Legislation In Europe, emission tests
are required at type approval for all new light-duty
vehicle models and for the engines used in heavy-
duty vehicles. Light-duty vehicles are tested using
a power-absorbing chassis dynamometer, as
shown in Fig. 8, whereas heavy-duty engines are
operated on a test bench. The sampling of exhaust
emissions is then performed as the vehicle or
engine progresses through a predefined driving
cycle.
Limit values are usually defined for CO, HC,
NOx, and PM in exhaust, as well as evaporative
emissions of VOCs. In the regulation of exhaust
particles, practically all worldwide emission stan-
dards are expressed in terms of the mass of total
particulate matter with no differentiation by parti-
cle size. Particle number emissions are included in
the latest European legislation.
The most advanced regulations are to be
found in the EU, the United States, and Japan.
The specific differences between the legislation
in different countries are too numerous to men-
tion here, but the principles involved are broadly
similar and there is a general move toward har-
monization. Moreover, the technology being
built into cars and trucks to comply with the
European, US, and Japanese standards is very
similar.
Over the course of several decades the limit
values for the pollutants in vehicle exhaust have
decreased (Fig. 12), and changes have been made
to the test method to make it more realistic. As a
result, manufacturers have been required to
develop increasingly effective emission-control
technologies (some effects of this were shown in
Fig. 4b). For example, the latest EU emission
standards for cars and heavy-duty vehicles require
large reductions in PM and NOx emissions, and
these will be achieved through the use of DPFs
and SCR.
Some examples of the progressive reduction in
the exhaust emission limits in several countries
(in terms of equivalence to the EU legislation)
are illustrated in Fig. 13. Most developing
countries lag behind the EU, although the gap is
narrowing and in some places it has been possible
to “leapfrog” standards. However, a prerequisite
for the introduction of advanced engine and
68 Air Quality, Surface Transportation Impacts on

Air Quality, Surface Transportation Impacts on, Table 1 Prevention measures for surface transport
Applicability
General approach Type of measure Measure Road Rail Shipping
Reducing emissions per vehicle, vessel Emission Vehicle/engine type ✓ ✓ ✓
or train legislation approval
In-service inspection ✓ – –
Roadside checks ✓ – –
Fuel legislation Improved fuel quality ✓ ✓ ✓
Exhaust DPF ✓ ✓ ✓
aftertreatment
SCR ✓ ✓ ✓
Scrubber – – ✓
Alternative fuels CNG/LPG ✓ ✓ ✓
Biofuels (biodiesel, ✓ ✓ ✓
ethanol)
Vehicle/engine Improved combustion ✓ ✓ ✓
technology Improved aerodynamics ✓ ✓ ✓
Hybrid ✓ ✓ ✓
Fuel cell ✓ ✓ ✓
Humid air motors – – ✓
Eco-driving Training ✓ ✓ ✓
Engine switch-off ✓ ✓ ✓
Cleaning Road sweeping ✓ – –
Road washing ✓ – –
Vehicle cleaning ✓ – –
Dust suppressants Chloride salts, CMA ✓ – –
Traffic Speed control ✓ – –
management
Reducing travel/ transport activity Traffic Access restrictions ✓ – –
management
Environmental zones ✓ – –
Parking restrictions ✓ – –
Economic Congestion charges ✓ – –
measures
Tolls ✓ – –
Road user charging ✓ – –
Incentives and taxes ✓ ✓ ✓

aftertreatment technologies is the availability of
appropriate fuel, and in many developing coun-
tries this has presented something of a barrier.
Periodic in-service inspection and mainte-
nance represents a further (and crucial) level of
legislative control, as it is designed to ensure that
vehicles maintain low emission levels during real-
world operation. However, whilst type approval
checks are relatively detailed and involve the use
of specialist and expensive laboratory equipment,
in-service checks are based on shorter, simplified
operations of the vehicle (usually in a repair cen-
ter), and make use of equipment that is less precise
and less expensive than that used in the laboratory.
Moreover, the tests for petrol vehicles typically
only involve the measurement of CO and HC
whilst the vehicle’s engine is running at idle or at
fast-idle, and those for diesel vehicles tend to
cover only smoke emissions. Therefore, the tests
do not address the most important pollutants and
operational conditions. In some countries,
attempts have been made to address these issues.
Air Quality, Surface Transportation Impacts on 69

Euro I
10.0 (1992)

9.0 Euro II
(1996)
8.0

7.0
Euro III
NOx (g/kWh)

6.0
(2000)
5.0

4.0

3.0

2.0
Euro IV (2013)
1.0 Euro VI (2013)
Euro VI (2013)
0.0
0 0.1 0.2 0.3 0.4
PM (g/kWh)

Air Quality, Surface Transportation Impacts on, Fig. 12 Evolution of EU NOx and PM emission limits for engines
used in heavy-duty vehicles
1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

2012

2013

2014

2015

EU Euro 1 Euro 2 Euro 3 Euro 4 Euro 5 Euro 6

Thailand Euro 1 Euro 2 Euro 3 Euro 4
Singapore Euro 1 Euro 2
Hong Kong Euro 1 Euro 2 Euro 3 Euro 4 Euro 5
Australia Euro 1 Euro 2 Euro 3 Euro 4
Malaysia Euro 1 Euro 2 Euro 4
Vietnam Euro 1 Euro 2
Russia Euro 1 Euro 2 Euro 3 Euro 4 Euro 5
Argentina Euro 1 Euro 2 Euro 3 Euro 4
China (national) Euro 1 Euro 2 Euro 3 Euro 4 Euro 5
India (national) Euro 1 Euro 2 Euro 3
Indonesia Euro 1 Euro 2 Euro 4
Philippines Euro 1 Euro 2 Euro 4
Pakistan Euro 1

Air Quality, Surface Transportation Impacts on, Fig. 13 Introduction dates for emission standards in different
countries. (Adapted from [119])
70
For example, in the United States, a loaded test
(IM240) has been developed to simulate condi-
tions under which high NOx emissions may occur.
Some authorities may also conduct random road-
side checks, or use remote sensing devices to
screen for high emitters. In addition, onboard
diagnostics of emission-control systems are
increasingly used to alert drivers to failures.
In Europe emissions from ships and railway
locomotives are governed by the legislation for
non-road mobile machinery (Stages III and IV of
Directive 2004/26/EC). The Stage III standards
are further divided into two substages: Stage III
A and Stage III B. The Stage III B standards
introduce PM limit of 0.025 g/kWh, representing
a 90% emission reduction relative to Stage II. To
meet this limit value it is anticipated that engines
will have to be equipped with DPFs. Stage IV also
introduces a stringent NOx limit of 0.4 g/kWh,
which is expected to require NOx after treatment.
Given the long working lives of the engines in
question, these regulations will not have any con-
siderable effect on emission levels for another
couple of decades [94]. Again, a process of world-
wide harmonization of regulations has begun.
Emission standards for diesel engines used in
railway locomotives have also been established
by the International Union of Railways (UIC),
an association of European railway companies
[120]. The standards apply to all new engines
used in new vehicles or for repowering of existing
locomotives, and are binding to UIC members.
Emission standards for marine engines are
defined by the International Maritime Organiza-
tion (IMO). The standards – for NOx and SOx –
are contained in the International Convention on
the Prevention of Pollution from Ships, known as
MARPOL 73/78 [121]. In addition, the first sulfur
emission-control area (SECA, with a maximum
fuel sulfur content of only 1.5% sulfur content) in
the Baltic Sea entered into force in 2006, and
further SECAs in the North Sea and English
Channel entered into force in 2007.
Fuel Legislation Engine and vehicle technologies
normally achieve their best emissions performance
with high-quality fuels [122]. One property on
which a great deal of attention has focused is the
sulfur content, partly due to the need to reduce PM
Air Quality, Surface Transportation Impacts on
and SO2 emissions and partly because fuel sulfur
has an adverse effect on certain types of engine and
exhaust aftertreatment technology [122]. In Europe,
the controls on fuel sulfur content have been peri-
odically tightened, and in the latest step Directive
2003/17/EC required a full transition to “sulfur-
free” petrol and diesel (having less than 10 ppm of
sulfur) by 2009. This should enable advanced tech-
nologies – such as lean-burn engines, particle traps,
and regenerative NOx storage systems – to meet
stringent exhaust emission limits.
Because of the contribution of shipping to pol-
lution at large ports, EU Directive 2005/33/EC
limits the fuel sulfur content to 0.1% in marine
fuels for harbor regions in 2010.
Improved Combustion and Exhaust Aftert-
reatment It is expected that petrol and diesel
will power road transport for the foreseeable
future, and considerable reductions in emissions
might still be realized in the short term through
improved engine design, fuel injection systems,
electronic timing, etc. Developments in ship
engine technology include direct water injection
and humid air motors (in which water vapor is
used to cool the charge air and reduce the NOx
formation during combustion) [96].
The main exhaust aftertreatment technologies
that enable vehicle and engine manufacturers to
comply with the exhaust emission legislation are
three-way catalysts, oxidation catalysts, exhaust
gas recirculation (EGR), DPFs, and SCR. Whilst
such technologies are generally fitted during man-
ufacture, retrofitting is a common pollution-
reduction strategy. For example, DPFs have been
fitted to all of London’s 8,000 buses.
In EGR the recirculation of the exhaust air into
the combustion chamber reduces the amount of
oxygen available for NOx formation. It has been
fitted to light-duty diesel road vehicles in Europe
for some years. For trains, EGR can give signifi-
cant reduction in emissions but can be relatively
expensive to retrofit. It may also not be possible to
fit EGR to many classes of train due to space
restrictions [123]. EGR is also applicable to
ships but is not yet in regular use.
DPFs physically capture particles in the
exhaust stream. They can be broadly divided
into two types: “full flow” and “partial flow.”
Air Quality, Surface Transportation Impacts on
The former lead to a reduction in PM emissions of
more than 95%, whereas the latter are more per-
meable and less effective, but need no mainte-
nance. In order to prevent the filter from
blocking the particles captured by the filter must
be periodically removed (a process referred to as
“regeneration”). The regeneration may be induced
using, for example, a heater, fuel burner, or a
reactant (such as NO2) generated in situ. DPF
technologies are also suitable for use on rail and
marine engines [124]. However, they can be very
bulky and for rail locomotives there are questions
concerning the feasibility of retrofitting. More-
over, they appear to be a less cost-effective mea-
sure than re-engining [123].
SCR will be the main technology for enabling
compliance with future NOx emission standards.
The method works by injecting ammonia or urea
into an exhaust stream to chemically reduce NOx
to nitrogen. Again, SCR systems are very bulky;
the catalyst itself can be considerably larger than
the engine. Space is also required for oxidation
catalysts and the tank for storing urea or ammonia.
This puts severe restrictions on its potential for
use as a retrofit item to rail vehicles – where spare
space and weight availability is limited – and
again re-engining appears to be a more cost-
effective option [123]. SCR is in use in a few
ships and is still being developed. As well as
being an effective NOx-reduction measure, one
study has also shown that SCR can reduce ship
PM emissions by around 50% [35]. No limitations
are thought to have been encountered regarding
the fitting of SCR to different types of ship, and it
can be integrated with other aftertreatment
devices [96]. However, sufficiently high tempera-
tures in the exhaust are required for the SCR
process to function efficiently. Consequently,
large NOx reductions are mainly achieved at
higher engine loads. Other drawbacks include
the space and additional weight requirements,
and the potential for “ammonia slip.” This occurs
when excess urea or ammonia is injected into the
exhaust stream, and any unused reagent is emitted
from the exhaust. The risk of ammonia slip is
higher for transient load changes (i.e.,
maneuvering) [96].
Another shipping technology is seawater
scrubbing, in which the exhaust gas is passed
71
through water. This is effective at reducing emis-
sions of SO2 and probably has benefits for other
pollutants.
Alternative Fuel and Vehicle and Techno-
logies The development of technology in the
longer term will undoubtedly be driven more by
the need to reduce CO2 emissions than by the need
to improve air quality. In many cases, a “win-win”
outcome is possible, although there can be some
conflicts. For example, some studies have indi-
cated that NOx emissions can increase as a result
of biofuel use [125].
Alternative fuels include liquefied petroleum
gas (LPG), compressed natural gas (CNG), and
various biofuels (biomethane, ethanol, esterified
vegetable oils, etc.). For road transport, limited
supplies mean that LPG could never fully replace
petrol or diesel, and the scale of uptake of CNG
has been impaired by the cost of converting car
engines [126]. The availability of suitable engines
for rail applications is uncertain; available natural
gas engines can also only cover the lower end of
the power range needed for railway applications,
and there appears to be no use of LPG
[123]. Around 50 seagoing ships are currently
powered by natural gas, with a reduction in emis-
sions of PM and NOx of at least 70%
[127]. Biofuels can be used in low concentration
blends (5–10%) with petrol or diesel without
engine modification, and in high concentrations
(85–100%) with specially adapted vehicles. The
main benefit of biofuels is their contribution to the
reduction of CO2 emissions; its effects on NOx
and PM are less clear. Barriers to increased biofuel
use include higher costs, compatibility with con-
ventional fuels, and availability of technology for
more advanced biofuels [15]. In addition, there
have been warnings of hidden costs and adverse
impacts on the environment and society, which
could arise from the large-scale production of
biofuels [128]. It has also been noted that the use
of alternative fuels is context-specific; a fuel that
is appropriate to one location may not be appro-
priate to another [23].
Automobile propulsion technologies that are
currently under development include “mild” and
“full” hybrid vehicles, “plug-in” hybrid vehicles,
battery electric vehicles, hydrogen ICE vehicles,
72
and fuel cell vehicles. Vehicle technologies are
currently available that can reduce CO2 emissions
per car by 30%, but demand-side and supply-side
barriers are delaying their deployment [126]. Cars
that emit 50% less CO2 per kilometer than the
equivalent current models could be on the road
by 2030, subject to advances in hybrid and battery
technologies and industry overcoming cost bar-
riers [126]. In the longer term, a 90% reduction in
emissions is possible based on battery-electric
propulsion systems [126].
In the rail sector, hybrid systems have been
shown to result in reductions in exhaust NOx and
PM of up to 90% [123]. Hybrid propulsion has
been used in shipping for many years, where the
mechanical drive for the propellers has been
replaced by electrical connections to electric
motors, which in turn drive the propellers [129].
Electricity results in zero emissions at the point
of use, giving it major local air quality benefits.
Moreover, if it is produced from renewable energy
it can have low or even effectively zero CO2
emissions over its life cycle. The main drawbacks
with electric road vehicles include a relatively low
maximum speed, a short range, the lengthy
recharging times and the cost [126]. However,
there are continual improvements in the perfor-
mance and marketability of electric vehicles.
In hydrogen vehicles the power is derived from
either combustion or electrochemical conversion
in a fuel cell. In hydrogen ICEs the combustion
process is fundamentally the same as that in petrol
ICEs. In a fuel cell the hydrogen reacts with oxy-
gen to produce water and electricity, and the latter
is used to power the vehicle. When hydrogen is
used to generate power the only significant
Air Quality, Surface Transportation Impacts on, Table 2 Effects of eco-driving measures on fuel consumption
Action
Correction of low tire pressure
Removal of 100 kg load from a medium-size van
Removal of roof rack
Not driving with windows open
Not using air-conditioning
Eco-driving gear-change strategy
Use of a gear-change indicator
Eco-driving training
Air Quality, Surface Transportation Impacts on
emission is water vapor (though a small amount
of NOx is produced by hydrogen ICEs). If the
hydrogen is made from low-CO2 energy sources,
very low life-cycle emissions are possible. Some
of the main obstacles to the wider use of hydrogen
for transport are the lack of an adequate infrastruc-
ture for storage/ distribution and the high cost of
implementation [15].
Eco-Driving “Eco-driving” has been widely
publicized as a means of reducing the fuel con-
sumption and emissions of road vehicles. It is
aimed at both private motorists and fleet opera-
tors, and typically involves either a simple set of
rules to be followed or a program of training. The
advice or training varies considerably in terms of
the level of detail, but it generally features a num-
ber of common actions, including keeping the
tires at the correct pressure, reducing the vehicle
weight, avoiding sharp acceleration and heavy
braking, driving in the highest gear, and avoiding
unnecessary engine idling. Average overall reduc-
tions in fuel consumption of around 5–10% are
typically reported for eco-driving, and some spe-
cific examples are shown in Table 2. However, it
should be noted that some adverse effects of eco-
driving have been observed, such as an increase in
NOx emissions from diesel cars during urban
driving [133].
It is possible that the principles associated with
eco-driving on the road are transferable, with
modification to the actual actions involved, to
rail transport and shipping.
Leaving diesel engines in idle operation is a
widespread practice at many rail termini. Reasons
for this include keeping the engines warm and
Change in fuel consumption References
–2% [130]
7% [130]
20% [130]
10% [131]
18% [131]
18% [132]
1% to 11% [133, 134]
+2% to 16% [133, 135–137]
Air Quality, Surface Transportation Impacts on
providing power brakes, heating/cooling, lights,
catering facilities, and other auxiliaries. Whilst
pollutant emissions per train at stations are rela-
tively low compared with those during a trip,
where several trains are running at idle and the
station is enclosed there may be an issue regarding
population exposure. There may therefore be sig-
nificant potential to reduce emissions at stations
simply through enforcing maximum idle running
times [123].
When at berth, ships also need electrical power
for emergency equipment, refrigeration, cooling,
heating, lighting, loading/unloading equipment,
etc. This power is normally provided by the aux-
iliary engines. However, such engines result in air
pollutant emissions at the port, and these are often
close to centers of population. An alternative
approach is to obtain power from shore, a process
known as “cold ironing.” The port of Gothenburg
in Sweden was the first in the world to provide a
high-voltage onshore power supply for cargo ves-
sels. Two local wind turbines are used to generate
the electricity, and it is claimed that the system
cuts emissions by 94–97% for ships at berth and
has led to dramatic reductions in pollutant con-
centrations. Systems are also available for opti-
mizing the energy efficiency of a vessel by
advising the crew on the optimal speed for the
prevailing water conditions [138].
Air Quality, Surface
Transportation
Impacts on,
Fig. 14 Spraying the road
with water in Nijmegen, the
Netherlands. (Photograph
reproduced by kind
permission of the
Municipality of Nijmegen,
the Netherlands)
73
Road Sweeping and Washing Sweeping
(or vacuuming) and washing have been applied in
several countries as means of decreasing the silt
loading of roads, the premise being that this will
reduce PM resuspension. Purpose-built vehicles are
usually employed, and the cleaning process can
involve mechanical (broom) sweeping, vacuuming,
spraying with water, or a combination of these. Some
vehicles are specifically designed to reduce PM10
concentrations. A simpler approach is the spraying
of water directly onto the road surface (Fig. 14) in an
attempt to reduce resuspension on dry days.
Studies in the 1980s showed promising results
in terms of the removal of particles from the road
surface [139, 140]. However, the majority of later
studies have indicated only limited effects on
PM10 concentrations [141–145], and in some
cases increases [146]. Where reductions in PM
concentrations have been observed, these have
generally been small and short-lived (a few
hours) [147, 148]. Possible explanations for such
limited effectiveness include the silt loading being
rapidly replaced after sweeping, the frequency of
sweeping/ washing being too low, and the
removal of only particles which are larger than
PM10 [145]. The spatial distribution of material on
roadways is also highly variable [149].
However, some investigations have indicated
effects that are large enough to warrant the
74
consideration of sweeping or washing for reduc-
ing roadside PM10 concentrations [150, 151], and
if sweeping or washing can remove particles that
could evolve into PM10, then sweeping may have
a delayed beneficial effect on air quality [144]. It
should be technically undemanding, and rela-
tively low cost. Clearly, both sweeping and wash-
ing programs would have to be conducted during
periods when traffic flows are low, so that any
disruption to the traffic is minimized.
Dust Suppressants Dust suppressants (or binders)
appear to be an obvious choice for the reduction of
resuspension due to road vehicles. Suppressants
are chemicals applied to surfaces to maintain the
moisture levels or to actually chemically bind the
surface material to reduce fugitive dust emissions.
The main suppressants in use are water (the oldest,
and undoubtedly the cheapest) and solutions of
salts such as calcium chloride (CaCl2), magne-
sium chloride (MgCl2) and calcium magnesium
acetate (CMA). Little quantitative information
exists on their effects on airborne particulate mat-
ter, although with the need to control PM10 the
interest in suppressants is growing. There is rea-
sonably convincing evidence from recent pilot
studies in Scandinavia that the use of dust sup-
pressants could make a significant difference to
roadside PM concentrations on timescales of
hours to days [144, 145, 152]. However, more
information is needed on potential adverse effects
of using dust suppressants on paved roads.
A notable concern is road safety, as road surface
friction is reduced when large amounts of sup-
pressants are used.
Traffic Management Numerous forms of traffic
management offer the possibility of reducing
emissions from traffic. Local restrictions to the
access and/or circulation of traffic have been
introduced in many cities to reduce pollutant con-
centrations. Such restrictions can take a range of
forms, including tolls, congestion charges, alter-
nate number plate schemes, and weight restric-
tions. Cities that have implemented these types
of schemes include London, Stockholm, Athens,
Budapest, and Prague. Low emission zones
(LEZs) are one of the more effective types of
Air Quality, Surface Transportation Impacts on
restriction. Entry to a LEZ is usually conditional
on a vehicle meeting specified standards. These
standards can be set in various different ways,
such as emission legislation, the use of specific
exhaust aftertreatment (e.g., DPF), or vehicle age.
The potential beneficial effects of such mea-
sures can be illustrated by reference to a trial road
charging scheme introduced in Stockholm City
Centre in 2006. It was estimated that the scheme
resulted in a 15% reduction in total road use
within the charging zone. Emissions of NOx and
PM10 from road traffic in the zone fell by 8.5%
and 13%, respectively. Air quality dispersion
modelling was applied to assess the effects of the
emission reductions on ambient concentrations. It
was found that the annual average NOx concen-
trations would decrease by up to 12% along the
most densely trafficked streets and PM10 concen-
trations would decrease by up to 7% [153].
Other types of traffic management are designed
to impose low-emission driving styles, including
variable speed limits and synchronized traffic sig-
nals (so-called green waves).
Mitigation Measures
The possibilities for mitigation are less diverse
than those for prevention. Mitigation measures
typically involve the use of physical barriers, veg-
etation, or some form of air treatment.
Physical Barriers On open roads the emissions
from traffic are subject to the normal processes of
atmospheric dilution and dispersion. Barriers are
common features alongside roads with high levels
of traffic, particularly those which run through
populated areas. These features are usually intro-
duced to attenuate noise, but can also block pol-
lutant dispersion, increase turbulence and initial
mixing, or modify deposition. Any air flow per-
pendicular to the barrier can be deflected upward
by the structure, and this can increase the apparent
release height of the pollutant and increase verti-
cal mixing due to the flow separation at the top of
the barrier. A recirculation cavity forms in the lee
of the structure, and this can also reduce pollutant
concentrations relative to an open area with no
barrier [155]. However, plume reattachment – and
Air Quality, Surface Transportation Impacts on
increased pollutant concentrations – can take
place further downwind [155].
Inside a road tunnel the dilution and dispersion
of pollution is restricted, and unless there is the
injection of fresh air, the concentration of pollut-
ants will increase from the entrance to the exit, and
the emissions will be concentrated at the portals or
ventilation points. Therefore, the road traffic
source of pollution is effectively removed along
the length of the tunnel and the exterior air quality
ought to improve. However, pollutant concentra-
tions can be particularly high in the vicinity of the
exit portals. The air quality at the portals or ven-
tilation points will depend upon the level of traffic
and whether or not the polluted air is treated in
some way before release. When considering the
potential for tunnels for improving ambient con-
centrations, it should be borne in mind that vehicle
occupants and tunnel workers may be exposed to
increased concentrations, which could be detri-
mental in public health terms.
Vegetation The planting of vegetation can have a
positive impact on air quality in the vicinity of
roads [156–158]. A number of mechanisms are
involved, but the main effects are dry deposition at
the leaf surface and the modification of dispersion.
The height, width, type, and porosity (leaf den-
sity) of the vegetation appear to be important, and
greater deposition can occur on coniferous plants
than on broadleaf plants due to the larger leaf
surface area per unit ground area [159]. However,
the results of trials have been mixed, and there are
likely to be several practical difficulties associated
with the use of vegetative barriers in built-up
areas, including available space, soiling by traffic,
and the general hostility of the roadside environ-
ment to plant life. In addition, analyses carried out
for a busy arterial road show that very large veg-
etation areas (in excess of 10,000 m2) would be
needed to compensate for the local emissions
from vehicles [160].
Air Treatment Various air treatment approaches
have been devised with the aim of reducing air
pollution. In recent years considerable efforts
have been made to develop construction materials
and coatings, which have the potential for
75
reducing air pollution. These materials are often
reliant upon photocatalysis, most commonly
involving the compound titanium dioxide
(TiO2). Titanium dioxide acts as a catalyst to
oxidize NO and NO2 into nitrate (NO3) in the
presence of oxygen and ultraviolet radiation. The
nitrate is subsequently washed away by rainfall.
The effectiveness of TiO2 coatings has been suc-
cessfully demonstrated in laboratory trials [161],
but field trials have been less convincing. This is
partly because it is difficult to distinguish the
impact of chemical conversion on the catalyst
surface from fluctuations in concentrations due
to, for example, meteorology.
Several air treatment technologies have been
developed for use in tunnels. For example, a num-
ber of denitrification systems are available; most
work by either a chemical absorption or catalytic
process. Tests in Norwegian and Japanese tunnels
have indicated that removal rates for NO2 of up to
90% are possible [162, 163]. The application of
denitrification systems at open roadside locations
does not appear to have been reported, and
appears to be impractical at present. Electrostatic
precipitators (ESPs) have been demonstrated as
being effective in removing particles from tunnel
air with varying efficiency. Some electrostatic
systems have also been developed for exterior
environments and tunnels [164], but further inves-
tigation into their effectiveness is required.
Future Directions
Outlook
The future global outlook for transport-related
pollution currently looks rather bleak. In develop-
ing countries, the rise in car ownership and travel
is predicted to be even more dramatic than it has
been in industrialized nations. For example, the
rate of car ownership in Brazil is predicted to
overtake that in the country that has historically
been the world leader – the United States – before
the middle of the century. Car ownership in China
has doubled in the last 5 years, and it already has
the third highest car sales in the world [126].
However, at the time of writing there appear to
be some signs of change, but probably not as a
76
result of environmental pressures. Certain Member
States of the EU reported rather large decreases in
emissions from road transport between 2007 and
2008, reflecting at least in part the lower amount of
freight transport by road in the second half of 2008
as a result of the economic recession [8]. In addi-
tion, the recession has had a significant effect on
car sales. Several governments have introduced
scrappage schemes to maintain or stimulate
demand for new cars, but these schemes should
also result in the replacement of older polluting
vehicles with new and more efficient ones. Data
sets from other regions also show the impact of the
economic climate. In 2008, in the United States,
the number of vehicles per 1,000 people decreased
for the first time since 1997. Similarly, total
vehicle-miles travelled decreased slightly from
2007 to 2008 – the first decline since 1980 [165].
Nevertheless, governments around the world
are acknowledging that action is required to con-
trol the rate of traffic growth, to improve the
environmental performance of vehicles, and to
increase public awareness about the impacts of
pollutant emissions from transport. As noted ear-
lier, it is likely that the future shape of transport
will be influenced more by the need to reduce
greenhouse gas emissions than the need to
improve local and regional air quality. The devel-
opment of a sustainable transport system will
involve a large number of interventions that are
beyond the scope of this entry, but will probably
include reducing dependence on cars, effective
land-use planning to reduce journey distances,
improving the quality of public transport,
etc. Preventative measures will also need to be
accompanied by mitigation measures which
reduce human exposure to air pollution.
For the control of local air pollution, it is likely
that emission legislation will still be the main
instrument for governments in the future. How-
ever, the future of European emission legislation
post-Euro 6/VI is somewhat uncertain. There is a
drive toward the global harmonization of legisla-
tion, but given that the threat of climate change is
increasing the pressure on manufacturers to
develop low-carbon power sources as alternatives
to fossil fuels (batteries, fuel cells, etc.), it is
therefore unlikely that the current test procedures
will remain relevant.
Air Quality, Surface Transportation Impacts on
Shipping is currently one of the least regulated
emission sources, with a high reduction potential
through technological improvements, alternative
fuels, and ship modifications. It has been observed
that if the sulfur content of fuel oil remains at
present-day levels, a doubling in the emissions
of some pollutants from shipping can be expected
by 2050. However, given the increasing concern
about shipping-related air quality, further reduc-
tions of NOx and SO2 emissions seem likely.
Using aggressive NOx emission reduction tech-
nologies, a decrease up to 85% in NOx emissions
could be reached through technological improve-
ments by 2050, in spite of a growing fleet [166].
Research Needs
Emissions from transport, and the resulting ambi-
ent air pollution, have been studied intensively,
although there are still a number of areas where
the understanding is poor or incomplete. Some of
these areas are summarized below.
Testing Methods for New Technologies In leg-
islative terms, the emphasis at present is on the
definition of appropriate procedures for the type
approval of hybrid-electric, full-electric vehicles
and hydrogen ICE vehicles. In some cases, certifi-
cation will be problematic. For example, the current
heavy-duty engine test procedure cannot be applied
meaningfully to hybrid vehicles, as the instanta-
neous behavior of the engine is decoupled from the
instantaneous road load. Vehicle-based tests may
therefore become the norm in the future, although
this in itself introduces certain challenges given the
large number of possible vehicle configurations and
differences in real-world operation. Such challenges
might be overcome by the modelling of powertrains.
Understanding PM Emissions In recent years
evidence has accumulated indicating that airborne
particles exert a range of adverse health effects.
These effects are diverse in scope, severity, and
duration [4]. More work is needed in the future to
accurately characterize particle emissions from
surface transport modes and to uncover the mech-
anisms by which health impacts occur.
It has already been noted in this entry that a
better understanding of non-exhaust PM is
Air Quality, Surface Transportation Impacts on
required, including characterization of the emitted
particles, investigation of health impacts, and the
development of methods of prevention and miti-
gation. The importance of brake wear may dimin-
ish in the future as regenerative braking systems in
hybrid and electric vehicles partially or fully
replace traditional mechanical ones. However,
this is not currently taken into account in emission
calculations and projections.
More detailed information on PM emissions
from rail and shipping (especially inland ship-
ping) is also required, including emission factors
for different engines and fuel type combinations,
in terms of size distribution, particle numbers, and
chemical speciation [34]. Few studies have exam-
ined PM levels in the ambient air alongside rail-
way lines. These often run very close to housing,
and may contribute to local air quality problems,
especially where large numbers of diesel trains are
in use. PM concentrations could also be elevated
near shunting yards and depots. In addition, there
is little information on PM concentrations in sta-
tions where diesel trains are left running at idle
and the dispersion of pollution is restricted.
Understanding NOx Emissions In order to
understand atmospheric NO2 it is important to
understand NOx emissions, and it is possible that
the latter are being underestimated by models. For
example, there is evidence to suggest that NOx
emissions from Euro V heavy-duty vehicles are
significantly higher than the limit at type approval
[110]. Vehicles equipped with SCR have very low
emission levels during rural and motorway driv-
ing, but not under the low engine loads associated
with urban or driving. The reason for this is that
the SCR system needs to attain a certain temper-
ature for efficient NOx reduction. The real-world
performance of SCR should therefore be investi-
gated. Furthermore, more extensive information
on f-NO2 values for a wider range of vehicles is
required.
Improving Emission Models Accuracy, reli-
ability, consistency, and credibility are prerequi-
sites of emission estimates. However,
comparisons between the results from different
emission models have highlighted substantial dif-
ferences. There is therefore a need for emission
77
modelling approaches to be reevaluated, and for
improvements to be made. This requires a better
understanding of the circumstances under which
emission models provide inaccurate predictions.
For example, some modellers believe that the
exhaust emission factors for road vehicles are
unsuitable for certain road types and traffic con-
ditions. Particular concerns have been expressed
about the validity of the emission factors for
so-called congested traffic. The term “congestion”
also needs to be defined in a manner that is mean-
ingful in terms of emissions.
Improving Activity Data While obtaining pri-
mary activity data for road transport by direct
measurement remains the main approach for
short-term modelling exercises, it tends to be a
rather expensive activity, and would be unfeasible
where an emission estimate is required for a large
geographical area. Traffic assignment models and
microsimulation tools are increasingly being used
to provide the relevant data, and communications
technology such as Intelligent Transport Systems
and Advanced Transport Telematics enable trans-
port networks to be monitored in real time. It
could well be possible to adapt a number of
models and new technologies to contribute appro-
priate information on fleets and traffic activity.
In shipping the use of data from AIS and
CEMS has a great deal of potential, and even
more so if it can also be extended to cover inland
shipping. Data from AIS have already been incor-
porated into at least one model [167]. However,
some work is required to validate emission esti-
mates obtained using AIS data [34]. Research is
also required on the movements of empty ships, as
these are often excluded from emission
estimates [34].
Model Validation Model validation is an impor-
tant area for improvement. The literature on the
validation of transport emission models is quite
limited, and validation studies are often only par-
tial in the sense that they address just one type of
road, type of vehicle, or time period. The under-
standing of the uncertainties in emission models
and the main factors affecting prediction errors is
therefore poor [168]. Emission models should
quantify prediction errors. The models in common
78
use should also be compared for a wide range of
traffic and fleet conditions and locations. This
would allow for a better assessment of the relative
performance of different model types.
Evaluation of Mitigation Measures The results
of field trials on pollution mitigation methods
have been rather mixed, and are probably con-
founded by site-specific factors. Consequently,
much more work is required to determine which
measures are likely to be most effective for a
given set of circumstances.
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 or plant life or property or unreasonably inter-
Airborne Nanoparticles: fere with the enjoyment of life or property,
Control and Detection outdoor recreation” [1].
Aerosol is a solid or liquid particle suspended in
Mohsen Rezaei1 and Matthew Stanley Johnson1,2 a gas. Such particles may be produced directly,
1
Department of Chemistry, University of for example, from combustion or indirectly
Copenhagen, Copenhagen, Denmark from gas-to-particle conversion. The former is
2
Airlabs, Copenhagen, Denmark primary aerosol and the latter secondary aero-
sol [2]. There are multiple processing mecha-
nisms in the atmospheric including exchange
Article Outline with the gas phase and coagulation.
Nanoparticle is a size category of aerosol parti-
Glossary cles with diameter between 1 and 100 nm [2].
Definition Anthropogenic emissions include man-made
Introduction pollution from activities such as transportation,
Source and Health Effect of Nanoparticles cooking and heating, industry, and energy pro-
Nanoparticle Control Technologies duction, involving combustion of fossil fuel
Nanoparticle Filtration and biomass. Human activities can be the
Electrospun Nanofibers main primary source of airborne nanoparticles
Electrospinning Process both indoors and outdoors [3].
Performance of Electrospun Nanofibers Filtration efficiency characterizes the perfor-
Carbon Nanotubes (CNTs) mance of a filter or any process that can trap
Electrostatic Precipitation particles passing through it. It can be determined
ESP Performance by measuring mass or number density of parti-
Thermophoresis cles before and after filtration, for a specific
Particle Coagulation source or as a function of particle size [4].
Nanoparticle Detection Particle coagulation when there is a large num-
Aerosol Particle Mass Analyzer (APM) ber of concentrations of airborne particles, they
Impaction move by Brownian or turbulent diffusion;
Optical Measurement thereby their collisions increase with each
Condensation Particle Counter (CPC) other, resulting in sometimes aggregate clus-
Particle Electrical Mobility ters or a single new larger particle [1].
Particle Diffusion Mobility Nanoparticle characterization is a subfield of
Measurements of Nanoparticle Composition and atmospheric science and technology that uses
Morphology determinations of the physical and chemical
Future Prospects properties of nanoparticles to characterize
Bibliography their behavior and impacts [5].
Impaction when a particle is large and dense, its
Glossary inertia will cause it to remain in the streamlines
to be collided with the object. This is called
Air pollution “is the presence in the outdoor impaction [1].
atmosphere of any one or more substances in Light scattering scattering of light as a result of
quantities which are or may be harmful or collisions with particles called light
injurious to human health or welfare, animal scattering [5].

© Springer Science+Business Media, LLC, part of Springer Nature 2021 85

M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_1099
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2020, https://doi.org/10.1007/978-1-4939-2493-6_1099-1
86
Electrical mobility “when a charged particle is
exposed to an electric field, it will migrate at a
velocity that is determined by a balance
between the resulting electrostatic force and
aerodynamic drag that resists its motion. This
characteristic migration velocity is described
as the electrical mobility of the particle” [5].
Definition
This chapter will review the properties and behav-
ior of nanoparticles suspended in air and measure-
ment technologies for monitoring, characterizing,
and controlling them, to reduce their adverse
effects on the environment and human health.
A huge variety of particles is found in the atmo-
sphere and built environment. Many environ-
ments include unwanted gases and particles that
can originate from primary emissions or from
secondary transformations in the atmosphere. In
addition there is significant processing within the
atmosphere including condensation and evapora-
tion, multiple cycles of activation into a droplet
followed by dehydration, coagulation, photolysis,
and chemical reaction. Research has shown that
aerosol particles in the indoor and outdoor envi-
ronments have significant detrimental impacts on
health. The word aerosol was introduced in
ca. 1920, in analogy to “hydrosol,” a liquid col-
loidal suspension of solid particles. Aerosols are
particulate matter, either liquid or solid or a com-
bination, suspended in a gaseous medium. “Aero-
sol particle” refers to the suspended particles
themselves and can be divided into two groups,
primary and secondary, depending on their origin.
The former is generated by a source at the surface,
for example, abrasion or combustion. The latter is
often produced from gas-to-particle conversion or
agglomeration of primary aerosols. Primary and
secondary aerosol particles are characterized by
their shape, size, and chemical composition.
A spherical shape is often assumed, to simplify
calculations. Aerosol particles are commonly
classified by their “aerodynamic diameter,” that
is, the diameter of a spherical particle with the
same aerodynamic behavior. These classifications
divide particulate matter (PM) into coarse (PM10),
Airborne Nanoparticles: Control and Detection
fine (PM2.5), and ultrafine (PM0.1) fractions. The
subscripted number is a cutoff size, for example,
PM2.5 is the total mass density of all aerosol
particles with an aerodynamic diameter less than
2.5 mm. Airborne nano-sized particles, i.e., nano-
particles, belong to the ultrafine class of particles;
they are often solid phase and have a dimension
less than 100 nm. Nanoparticles are commonly
emitted during combustion and are formed
through gas-to-particle conversion.
Introduction
There is a growing interest in airborne nano-
particles (NPs) because of their unique properties
for health and climate and the increasing devel-
opment of nanomaterials. NPs can easily enter
the body and be distributed due to their small
size. In addition NPs cause serious environmen-
tal problems including changing the dynamics of
cloud formation, thereby contributing to drought
and global warming and impacting the radiation
balance of the Earth, as reported in the literature
[6]. Recent studies have reported the harmful
effects of NPs on human health including
mortality [7–9] and their association with pulmo-
nary disease, cancer, incident wheezing, asthma,
lower spirometric values, and increased asthma-
related emergency in children [10, 11]. Toxico-
logical studies show that NPs possess unique
physicochemical impacts due to their high
number concentration, ultrahigh reactivity, and
high surface area to mass ratio relative to other
particle size classes [7], resulting in elevated
bioavailability and toxicity [12]. Because of
their small size, nanoparticles can enter into the
bloodstream from the alveolar region of the
respiratory tract or through the skin. Conse-
quences include cardiopulmonary effects, oxida-
tive stress, and cancer [13].
Because of their weak light scattering ability
and extremely small size, NPs are often not visi-
ble. In addition they follow the streamlines of the
carrier gas making them more difficult to control
and measure than fine and coarse particles. Some
common and effective technologies for removing
coarse particles, such as centrifugation or settling,
Airborne Nanoparticles: Control and Detection
are only marginally effective for nanoparticles.
The choice of controlling technology is limited
to only a few methods. Filtration and electrical
precipitation are widely taken to be the best
options available. Fibrous filtration can filter
NPs close to 99.999%, and a carbon wall mem-
brane filter would be able to meet filtration effi-
ciency up to 99.9999%. Newer technologies
include phoretic and nanomaterial approaches,
but their use in achieving clean air goals is
untested.
Monitoring is one of the greatest challenges
facing organizations that deal with indoor and
outdoor air quality. It is clear that ultrafine parti-
cles possess quite different physicochemical prop-
erties, such as ultrahigh reactivity, high number
concentration, and high surface area to mass ratio,
relative to other size classes [7]. However, data
concerning the composition and spatial/temporal
distributions of NPs are limited, making it difficult
to study their health effects [12]. There is great
interest in developing new methods for monitor-
ing NPs; key parameters include sensitivity,
range, size resolution, and cost. Instruments for
measuring NPs can be grouped into impaction,
optical, diffusion, gravimetric, and electrical
mobility techniques. Sometimes the techniques
are combined. The micro-orifice uniform deposit
impactor (MOUDI, TSI Nano-MOUDI 125R),
laser aerosol spectrometer (LAS, TSI 3340A),
condensation particle counter (CPC TSI CPC
3750), and scanning mobility particle sizer
(SMPS, TSI 3938 E57 with 3082, 1 nm electrical
classifier and CPC 3750) are commercialized
examples of systems measuring ultrafine/fine
aerosol particles.
Nanoparticle aerosol science and technology is
a rapidly growing field. Many research papers
describe nanoparticle control and characterization
techniques in detail. It would therefore be useful
to review the field’s current status and future
vision. In this review, first, the source and health
effect of nanoparticles are summarized. This is
followed by a presentation of control technologies
for nanoparticles, including filtration methods,
electrostatic precipitators, thermophoretic and
diffusiophoretic methods, and grouping technol-
ogy, with a focus on removal mechanisms for
87
nanoparticles, as well as the principals of each
technology, and the effects of operational and
structural parameters on removal efficiency.
These parameters are discussed by comparing
and reviewing significant studies. In addition,
measurement techniques for nanoparticles along
with their principal and comparative perspective
are presented.
Source and Health Effect of
Nanoparticles
Concern about exposure to NPs has increased
dramatically due to awareness of and increase in
anthropogenic sources involving transportation,
industry, and energy production. Specific exam-
ples include soot from diesel engines, abrasion
from tires and brake pads, smoke, and urban
smog. The developing field of nanotechnology,
producing new electronic, magnetic, optoelec-
tronic, biomedical, pharmaceutical, cosmetic,
energy, environmental, and catalytic products
and processes, is another source of human expo-
sure to engineered NPs. Some of the natural and
anthropogenic sources of NPs are summarized in
Table 1 [3]. In nature, NPs are produced by many
sources such as in situ photochemical reactions,
forest fires, volcanic eruptions, sea-salt spray,
microorganisms, biogenic magnetite, and so
on. Graphitic soot is produced by wildfires. Due
to their light scattering properties, NPs impact the
radiation balance of the Earth directly and indi-
rectly and are central to the mechanisms of climate
change [14]. Many kinds of NPs are known within
organisms. Natural production of NPs can occur
through intracellular and extracellular mecha-
nisms including within human brain cells. Many
organisms produce nanomaterials through intra-
cellular and extracellular processes. For example,
biogenic magnetite is a kind of nanomaterial that
has been found in many microbial species includ-
ing microorganisms (from bacteria to protozoa)
and in animals (e.g., human brain) and which has
been associated with neurodegenerative
diseases [15].
Anthropogenic sources are estimated to
account for about 10% of total NPs. NP sources
88
Airborne Nanoparticles: Control and Detection,
Table 1 Natural and anthropogenic sources of NPs
Category Source
Natural Fire (forest)
Volcanoes
Microorganisms
Sea spray (e.g., salt)
Biogenic magnetite
Ferritin (12.5 nm)
Anthropogenic Condensation and nucleation
Car exhaust and brakes
Road
Power generation
Mines
Factories (e.g., cement)
Incinerators (e.g., waste)
Jet engines
Fumes, e.g., polymer and metal fume
Stove (cooking)
Smoking
Laboratories engineered nanoparticle
(e.g., catalysts)
can be divided into industrial and urban. Industrial
activities release NPs into the atmosphere inside
factories working with metallurgy, power and
cement production, mining, incineration, and
any industrial product that uses fossil fuels as an
energy source for power generation. In urban
areas, vehicles are a common source of NP out-
doors, being produced by internal combustion
engines, road dust and wear on brakes and tires.
Important indoor sources of NP include cooking,
cleaning and smoking. Of course, the chemical
and physical nature of NPs emitted in industrial
and urban areas can be quite different. Indoor
emissions can be most important for determining
health impacts because humans normally spend
>80% of their time in the indoor environment
[16]. Engineered nanoparticles are commonly
used in stain-resistant clothing, sporting goods,
tires, sunscreens, cosmetics, and toothpaste and
as food additives, etc. and are specifically
engineered in the laboratory to form nano-
structures such as nanotubes, nanofibers, and
nanowires [15, 16].
Epidemiological and clinical studies on
humans and rodents, and also in vitro cell cultures,
have shown the health effects of laboratory-
generated and ambient NPs. Researchers have
Airborne Nanoparticles: Control and Detection
documented the association of ambient NPs with
adverse cardiovascular and respiratory effects in
humans [17–19]; however, not all studies have not
seen these associations [20, 21]. Intensive depo-
sition of laboratory-engineered NPs in the respi-
ratory tract, even greater with asthma or chronic
obstructive pulmonary disease, has been seen in
controlled clinical studies. On the other hand,
controlled exposure to carbonaceous NPs has
been seen to cause many symptoms in the cardio-
vascular system including systemic inflammation
and changes in pulmonary diffusion capacity and
the appearance of coagulation markers in the
blood. In vivo tests by Brown et al. [22] have
shown an increased inflammatory response after
the introduction of 64 nm polystyrene particles
into the rat lung, and they have observed a pro-
inflammatory effect after in vitro cell culture with
the model NPs. In addition, an oxidative stress-
related cellular response with ambient NPs has
been reported by Li et al. [18].
The main deposition mechanism for inhaled
NPs in the respiratory tract is diffusion; other
deposition mechanisms including inertial impac-
tion, gravitational settling, and electrostatic force
are not significant. Figure 1 shows three exposure
regions for inhaled aerosol particles in the human
respiratory tract including the nasopharyngeal,
tracheobronchial, and the alveolar region. The
figures on the right (Fig. 1) show which sizes of
PM can deposit in each region of the respiratory
tract. With an increase in size from 1 to 100 nm,
high percentages of inhaled NPs are deposited on
the upper regions of the respiratory tract. For
example, ~90% and ~10% of 1 nm particles are
deposited in the nasopharyngeal and the tracheo-
bronchial regions, respectively, while no particles
are deposited in the alveolar region. In contrast,
50% of 20 nm particles are deposited only in the
alveolar region [15]. Manigrasso et al. [19] esti-
mated a respiratory deposition of 6.6
1010 par-
ticles of 5.6–560-nm-diameter particles per hour
for persons close to traffic, in short-term peak
exposure events. It has been seen that deposited
NPs are transported to extrapulmonary organs to a
greater extent and by a larger variety of transfer
routes than for larger-sized particles. One is the
conduction of NPs into blood by transcytotic
Airborne Nanoparticles: Control and Detection
Airborne Nanoparticles: Control and Detection,
Fig. 1 Predicted fractional deposition of inhaled particles
in the nasopharyngeal, tracheobronchial, and alveolar
transport across epithelia of the respiratory tract
and subsequently into the interstitium or by lym-
phatics which can distribute throughout the body.
Another is axonal translocation of NPs to gangli-
onic and CNS structures by their uptake by the
sensory nerve endings of airway epithelia. Nano-
toxicological studies have demonstrated that
inhaled NPs can deposit in the nasal cavity,
being absorbed by the olfactory epithelium and
translocated into the brain through the blood-brain
barrier [17].
Nanoparticle Control Technologies
One of the most important concerns for air pollu-
tion control is the removal of nanoparticles from
airstreams. A variety of technologies have been
89
region of the human respiratory tract during nose breath-
ing. (Reprinted with permission [15])
used in recent years. It should be noted that air
quality regulatory organizations are imposing
increasingly strict rules as knowledge of the
health effects of nanoparticles has grown. In par-
allel with increased knowledge, it has become
increasingly urgent to implement suitable particle
control systems. The most effective and important
technologies for capturing nanoscale particles will
be examined, based on their physical properties,
the required degree of control, cost, etc. [23].
Nanoparticle Filtration
Filtration is the most commonly used method for
trapping airborne particles. Different types of fil-
ters are used to target a wide range of airborne
particles. The most common forms are fibrous,
90
porous membrane, capillary pore membrane, fab-
ric, and granular bed [24]. Fibrous filters are the
simplest and most economical filters and are capa-
ble of efficiently removing nanoscale particles
from gas streams [25].
It is important to quantify filtration perfor-
mance in order to document and compare the
abilities of particle filters. Filter efficiency and
pressure drop are the most crucial parameters in
this regard [26]. Equations (1) and (2) define filter
efficiency in terms of mass concentration and
particle number, respectively:
C C
E¼ 0
C0
N N
E¼ 0
N0
where C0 and C are the mass concentrations
(typically as mg/m3) of particulate matter before
and after filtration and N0 and N are the number
concentration (usually as number per m3) before
and after filtration.
The efficiency of pollution control equipment
is often characterized in terms of the fraction
entering versus exiting the filter. This metric is
known as particle penetration (P):
C and the packing density of fibers and is inversely
P¼ ¼1E
C0
N
P¼ ¼1E
N0
In addition to performance against particles,
HVAC system engineers require some additional
information to design filtration systems and judge
their efficiency: The volumetric airflow passing
the filter (Q) and its velocity at the face of the filter
(normal to the filter, “U”) impact P and E. They
are related as shown in Eq. (5):
Q The QF shows the correlation between filtra-
U0 ¼
A
A is the area of the filter. However, the air
velocity inside the filter is higher than the face
velocity because of the air resistance caused by
Airborne Nanoparticles: Control and Detection
the filter material. The material comprising the
filter has a cross-sectional area reducing the area
through which air can flow. If Q is conserved and
A decreases, U will increase. The velocity through
the filter (Uf) is further defined as:
Q
Uf ¼ ð6Þ
A ð 1  aÞ
where a is the packing solidity or density of the
filter, which can be obtained from Eq. (7):
Vf
a¼ ¼1∅ ð7Þ
VT
ð1Þ
where Vf is the fiber volume; VT, the total filter
volume; and ∅, the porosity [24].
ð2Þ
The goal is to create a filter that combines a
high filtration efficiency (E) with a low pressure
drop (Dp), thereby cleaning air while minimizing,
e.g., power and noise. However, in most particu-
late filter systems, an increase of the filtration
efficiency also increases pressure drop. The resis-
tance to airflow across the filter is characterized by
the pressure drop and arises from the combined
drag force of the fibers. Assuming laminar flow,
pressure drop will increase with the face velocity;
to a first approximation, this relation is linear.
Pressure drop is proportional to filter thickness
ð3Þ
proportional to the square of the fiber diameter
[27]. Despite this, for many installations, it is
ð4Þ desirable that the pressure drop of the filter should
be less than ~150 Pa which is often difficult to
achieve while maintaining high filtration effi-
ciency. The quality factor is one criterion used to
judge the performance of a filter, as defined by
Chen [28]:
 ln ð1  EÞ
Quality factor ¼ ð8Þ
Dp
ð5Þ tion efficiency and pressure drop. A filter with a
greater filtration efficiency and lower pressure
drop will have a high quality factor.
In recent years, nanoscale fiber filters have
received increasing attention for air filtration
Airborne Nanoparticles: Control and Detection
because of favorable properties including small
pore size and high specific surface area. These
properties enable the slip effect of airflow through
the fibers, reducing the drag force on the airstream
as it passes nanofibers and subsequently strength-
ening the different filtration mechanisms on the
filter [26]. Normally the surface of a fiber blocks
the airflow, diverting airstreams, triggering turbu-
lence and viscosity, and necessitating power and
pressure drop for the air to flow past. However,
when the fiber diameter similar to or below the
size of the mean free path of air molecules (just
under 70 nm), normal continuum flow behavior
no longer applies. Molecules can fly past the fiber
without interrupting the momentum of the flow;
this is called “slip flow.” As detailed below,
because of slip flow, nanofiber filters hold the
promise of yielding high QF filtration for
nanoparticles.
Air filtration using fibrous filters is a promising
method for separating nanoparticles from an air-
stream while allowing air molecules to pass
[29]. Filters manufactured with materials includ-
ing plastic, cellulose, glass, and carbon are the
most common [24]. The fibers are made into a
soft flexible mat, with fiber orientations primarily
perpendicular to the streamline [30]. These mats
provide a high filtration efficiency for ultrafine
particles along with minimal aerodynamic resis-
tance and thus find many applications such as
industrial and indoor cleaning purification, respi-
rators, and car cabins [23, 30].
A few mechanisms are important for trapping
nanoparticles from their air: interception, inertial
impact, diffusion, and electrostatic deposition.
Their relative importance will vary depending on
gas velocity, particle and fiber size, particle charg-
ing, surface static charge, and so on. The total
filtration efficiency for nanoparticles is the sum
of the filtration efficiencies of particles by each
mechanism (Table 2). Sound classical descrip-
tions of fibrous filter performance can be found
in many sources (see, e.g., [23, 24, 30]).
Particles larger than around 300 nm are subject
to inertial separation from a curved flow stream-
line, leading to impact with an obstruction. Such
particles are unable to adjust to an abruptly chang-
ing streamline in the vicinity of a fiber.
91
The diffusion constant increases as the size of
particles decreases. For particles smaller than
ca. 100 nm, diffusional separation of particles from
the continuum flow streamline can be the dominant
mechanism leading to impaction. Every filter has a
minimum in efficiency for a characteristic particle
size called the most penetrating particle size
(MPPS), which typically falls between 100 and
300 nm. The removal efficiency of filters at the
MPPS determines the filter grade. In addition there
are two criteria, surface chemistry and the electro-
static potential of fibers, which play significant roles
in determining filtration efficiency. For example,
polar functional groups at the filter surface may
lead to strong adsorption of nanoparticles.
The relative roles of the mechanisms depend
on the Knudsen number (Kn) as [26]:
2l
Kn ¼ ð9Þ
df
where df is the diameter of fiber and l is the mean
free path of gas molecules. The mean free path is
ca. 66 nm at the standard state of air, obtained as:
l ¼ pffiffiffi
RT
ð10Þ
2N a p d2m p
where R is the gas constant, T temperature, Na
Avogadro’s number, dm the collision diameter of
an air molecule (3.7
1010 m), and p the air
pressure [31].
There is a relationship between the airflow
regime, as defined by the Reynolds number,
across the filter and the fiber diameter in all the
airborne particle filtration systems. Particles can
be removed from an airstream in the continuum
flow regime (Kn < 0.001, generally for milli-
scale fibers), the slip flow regime
(0.001 < Kn < 0.25, generally for microscale
fibers), the transition flow regime
(0.25 < Kn < 10, for nanoscale fibers), and the
free molecular regime (Kn > 10, for ultrafine
scale fibers), as shown in Fig. 2a, b [32]. In the
continuum flow regime, the mean free path of the
gas molecules is much smaller than the diameter
of the fiber. Most filtration systems use fibers
operating in the continuum flow regime. The
92 Airborne Nanoparticles: Control and Detection

Airborne Nanoparticles: Control and Detection, Table 2 The filtration mechanisms and their filtration efficiency
Filtration mechanism Single-fiber filtration efficiency Definition Point
Interception ER ¼ ð1aÞR2 ER: filtration Only a deposition
K u ð1þRÞ or,
 
ÞR2   efficiency by mechanism does not
Fiber ER ¼ 0:6 Kð1au ð1þRÞ
1 þ kRn the result from a particle
d
R ¼ dpf interception departing from its
2
dp: particle original streamline
K u ¼  Ln2 a  34 þ a  a4 diameter
df: fiber
diameter
Ku: Kuwabara
hydrodynamic
factor
a: packing
density
(solidity)
Inertial impaction EI ¼ ðSTK ÞJ EI: filtration The most important
2K 2 u
rp d2p Cc U 0
efficiency by deposition mechanism
Fiber STK ¼ 18mdf the impaction for large particles
J ¼ (29.6  28a0.62)R2  27.5R2.8 STK: Stokes
number
J:
dimensionless
Cc:
Cunningham
coefficient
rp: particle
density
m: air dynamic
viscosity
Diffusion (Brownian  1=3 ED: filtration Only the deposition
1a 2=3
ED ¼ 1:6 2Pe
motion) Ku efficiency by mechanism that
d U
Pe ¼ fD 0 the diffusion increases as the
Fiber
D ¼ 3pmD
kb TCs Pe: Peclet particle diameter
p
   number increases
Cs ¼ 1 þ K n 1:027 þ 0:44 exp 0:78=Kn D: particle
diffusion
coefficient
kb: Boltzmann
constant
T: absolute
temperature
Cs:
Cunningham
slip correction
Electrostatic deposition Difficult to quantify because it requires – This mechanism is
knowing the charge on the particles and often neglected unless
Fiber
_ on the fibers the particles and/or
fibers have been
charged in some
quantifiable way

slip airflow regime is characterized by an regime in which the diameter of fibers is much
increase in the Knudsen number, resulting in an smaller than the mean free path of the gas mole-
increased filtration efficiency via the slip effect. cules. In general, nanoparticle-capturing fibers,
The free molecular flow regime is a dominant including electrospun fibrous filters and carbon
Airborne Nanoparticles: Control and Detection
Airborne Nanoparticles: Control and Detection,
Fig. 2 (a) Flow pattern around fibers of different diameter.
(b) The surface areas of the nanofibrous filters. (Reprinted
nanotubes, have higher surface areas for nano-
particle deposition than microfibers that operate
under the transition airflow (electrospun filters
(Fig. 2c)) and free molecular airflow regimes
(carbon nanotubes (Fig. 2d)). It should be noted
that it is not possible for other fibers to achieve
the free molecular regime by increasing l by
reducing the pressure [26]. The slip flow effect
can be understood by considering the interplay
between viscosity length and fiber diameter.
A large fiber blocks the airflow, so the momen-
tum of the air is zero in the vicinity of the surface.
As fiber size decreases, the height of the surface
layer, called the quasi-laminar layer, decreases,
becoming zero. A nanofiber is not able to signif-
icantly impact the momentum of the flow and the
93
with permission [32]). SEM images (c) of PUR electrospun
nanofibers and (d) carbon nanotubes. (Reprinted with per-
mission [31])
air is said to slip past, as described in terms of the
Reynold’s number above.
The filtration efficiency for a clean fibrous filter
can be determined using Eq. (11):

4aEf Z
E ¼ 1  exp ð11Þ
pð1  aÞdf
where, a, Z, Ef, and df are fiber packing density,
filter thickness, single-fiber efficiency, and mean
fiber diameter, respectively. For nanofiber filters,
interception and diffusion are the most important
trapping mechanisms, and thus the sum of the
mechanisms can be used to approximate the the-
oretical single-fiber efficiency, as follows [24]:
94
Ef ¼ E R þ ED ð12Þ
Electrospun Nanofibers
A series of studies have found that electrospinning
is capable of producing a felt or mat of high
porosity electrospun nanofibers which efficiently
and effectively remove ultrafine PM from an air
stream. The diameter of the electrospun nano-
fibers can be from <2 nm (microporous) to
50 nm (mesoporous) and are a thousand times
smaller than microfibers [33]. Figure 3 shows
the most common electrospinning equipment.
Electrospinning Process
Electrospinning is a technique that uses an elec-
trostatic force on a polymer fluid to produce nano-
fibers. After Formhals, Taylor developed the
method mathematically, describing the effect of
the electrostatic charge on the polymer droplet to
form a conical structure, called a Taylor cone [33].
As can be seen in Fig. 3, polymer solutions or
melts are loaded into a syringe which is held at a
Airborne Nanoparticles: Control and Detection, Fig. 3 Schematic of the electrospinning technique
Airborne Nanoparticles: Control and Detection
high potential with a voltage of kV applied
between a fiber collector and the syringe needle.
The combined forces of surface tension and elec-
trostatic repulsion result in the formation of the
Taylor cone at the needle tip. The electric field
overcomes the surface tension and a stable jet is
formed at the needle tip. The combined result is
that an elongating-and-whipping process is con-
tinuously generated by electrostatic repulsion
resulting in a thin string. These fibers accumulate
on the collector forming a mat of nanofibers.
Finally, the nanofiber mat is removed from the
collector, after evaporation of the solvent. It
should be noted that the solution electrospinning
method, compared to melt electrospinning, is able
to generate fibers with a smaller diameter. The
diameter of the fibers can be controlled by chang-
ing solution parameters, such as the concentra-
tions of the components, and operating
parameters such as the electrospinning voltage.
Additionally, a variety of fiber structures, includ-
ing hollow, core/shell, secondary growth, porous,
and helical, can be generated by controlling the
electrospinning procedure, solution components,
and calcination parameters. In addition the nano-
fibers can be modified after spinning using
Airborne Nanoparticles: Control and Detection
thermal or chemical treatment to improve features
that include pore size, conductivity, and mechan-
ical strength. Thermal posttreatment can be used
to control the diameter of nanofibers. Metal oxides
or salts in the nanofibers can be used to make the
fibers bactericidal, and graphitization of carbon
onto the nanofibers will enhance their specific
area surface. Chemical modification may add
properties similar to thermal treatment. Nano-
fibers generated by electrospinning can make use
of a wide range of inorganic, organic, and organ-
ometallic materials. Almost any soluble polymer
can be incorporated into nanofibers with the
electrospinning method with the constraint that
their molecular weight should be sufficiently
high. Examples include polyvinylpyrrolidone
(PVP), polyethylene oxide (PEO), polyvinyl ace-
tate (PVAc), and polyvinyl alcohol (PVA), which
are water-soluble polymers, and non-water-
soluble polymers such as polyimide (PI), polyac-
rylonitrile (PAN), polyvinylidene fluoride
(PVDF), polylactic acid (PLA), polymethacrylate
(PMMA), polystyrene (PS), polypyrrole (PPy),
and polyvinylchloride (PVC) [34].
Performance of Electrospun Nanofibers
Nanofiber filters have attracted a great deal of
interest since they have a high filtration efficiency
due to interception and a low pressure drop
because of the slip flow effect. Many parameters
impact filtration performance including the phys-
ical properties of the filter (such as nanofiber
diameter, surface area, pore size, packing density,
basis weight, and thickness) and the conditions of
the installation such as face velocity. Particulate
matter builds up on the filter in dendrimers which
can enhance particle filtration [25].
Nanofiber diameter is an important parameter
affecting filtration performance. Mao et al. [4]
evaluated the relationship between fiber diameter
and filtration efficiency and pressure drop, using
an yttria-stabilized zirconia (YSZ) nanofiber.
They found a decrease in the filtration efficiency
with an increase in nanofiber diameter. At the
same time, smaller fiber diameter decreased pres-
sure drop, regardless of particle size (Fig. 4a, b). It
95
was recently reported that nanofiber diameters
less than 100 nm enhance the slip flow effect,
decreasing drag and pressure drop and subse-
quently increasing particle capture [37]. One
study used keratin-based nanofibers to demon-
strate the effect [39]. Polymeric nanofiber felts
made of PU nanofibers [31], cellulose [40], and
PVP [41] have been produced by electrospinning
and also show improved filter performance due to
their reduced fiber diameter. In sum, electro-
spinning provides greatly improved filtration effi-
ciency due in part to smaller fiber diameter that is
able to capture ultrafine particles; the smaller the
fiber, the greater the filtration efficiency.
The surface area and pore size of nanofibers are
affected by the fiber structure and the composition
of the blended solution. Liu et al. [42] prepared an
electrospun PAN/polyacrylic acid (PAA) compos-
ite nanofiber felt to study the effects of PAN/PAA
ratios on filtration performance. Blending PAA
with PAN allowed creation of a composite with
features that could be controlled. The tensile
strength of the nanofibers greatly improved,
going from 3.8 to 6.6 MPa as the PAA content
increased, creating robust mechanical strength in
pure PAN nanofibers. The smallest pore size in the
membranes resulted in a very high filtration effi-
ciency, over 99.99%, with minimal pressure drop,
160 Pa. A porous bead-on-string polylactic acid
(PLA) membrane for capturing nanoparticles was
created by Wang et al. [43]. The large surface area,
coupled with microporous beads, showed
enhanced filtration efficiency. A smaller pore
size polyvinyl alcohol (PVA) nanofiber filter fab-
ricated by Li et al. [44] has shown a high filtration
efficiency for nanoparticles. Wang et al. [45]
found that adding SiO2 nanoparticles to multi-
layer PAN structures created bimodal distribu-
tions of fiber sizes that increased filtration
performance, with a removal efficiency of
99.99% at a pressure drop of Dp ¼ 116 Pa, for
nanoparticles relative to single-layer fibers. This
was said to be due to the roughness of the surface
fibers arising from the noncircular structure and
also from the greater specific surface area of the
multilayer fibers, as a result of adding SiO2. Two
membrane fibers, PA6 and PMIA, arranged in
sequence by Zhang et al. [46] showed high
96
Airborne Nanoparticles: Control and Detection,
Fig. 4 (a) The effect of the fiber diameter of yttria-stabilized
zirconia (YSZ) on filtration efficiency and pressure drop.
(Reprinted with permission [4]). (b) Schematic landscape of
the relationship between fiber diameter and particle capture.
(c) The effect of packing density on MPPS. (Reprinted with
permission [35]). (d) Relationship between fiber basis weight
Airborne Nanoparticles: Control and Detection
and filtration efficiency. (Reprinted with permission [36]). (e)
Pressure drop and (f) filtration efficiency for PSU/TiO2-0 and
PSU/TiO2-5 as a function of face velocity. (Reprinted with
permission [37]). Relationship between the particle diameter
and the MPPS. (Reprinted with permission [38]). (h) The
captured particle diameter increases with air velocity.
(Reprinted with permission [31])
Airborne Nanoparticles: Control and Detection
filtration efficiency (99.995%) for nanoparticles at
a low pressure drop (100 Pa). The hybrid mem-
brane has high porosity, small pore size, and a
large specific surface. Generally, microporous
fibrous filters, despite their higher filtration effi-
ciencies, have a higher particle retention ratio and
show a higher tendency for clogging [47]. Also,
the smaller fiber diameter is associated with a
smaller pore size due to the decrease in pore
aperture with fiber diameter, improving the
interception-collision of nanoparticles with the
nanofiber and increasing capture efficiency [48].
The nanofiber packing density (a) depends on
fiber density and filter thickness. High a values
correlate with effective particle capture. Some
workers have investigated the effect of a on the
filtration efficiency of nanofilters. Leung et al.
[35] found a good relationship between the pack-
ing density and the filtration efficiency for PEO
fibers. By increasing a from 3.9
103 to
36
103, filtration efficiency increased from
15% to 90%. At the same time, the most penetrat-
ing particle size (MPPS) decreased from 140 to
90 nm (Fig. 4c). Choi et al. [38] found that a
laminated nanofiber with high packing density
has a lower quality factor owing to its high pres-
sure drop when compared to a mixed fiber
(nanofiber 780 nm/microfiber 11.4 mm). Further-
more, reducing the fraction of nanofiber in a
microfiber filter enhanced the quality factor at a
low packing density. Therefore they suggested
that an optimal ratio would be to have a nanofiber
mixing fraction of 5% in mass in order to decrease
pressure drop and increase the quality factor for
nanoparticle capture.
According to Eq. (10), a larger fiber thickness
can be useful for improving the performance of
nanofiber filters. By increasing the fiber thickness,
the basis weight and the pore size of fibers are also
increased, elevating filtration efficiency. How-
ever, Kim et al. [49] noted that if the fibers are
too thick, the filtration efficiency is reduced due to
the increased pressure drop. Wang et al. [50]
found that a thick filter contributed to higher
energy consumption and larger pressure drop.
Research by Zhang at al [51] showed that a mul-
tilayer PAN fibrous membrane can be more effec-
tive for obtaining a high quality factor compared
97
to a single thick layer nanofiber. Leung et al. [35]
concluded that the effect of fibers’ thickness on
the MPPS is less than the effect of fiber packing
density. The work of Yun et al. [52] demonstrated
that the pressure drop across an electrospun PAN
filter (270 nm) increased linearly from 63 to
220 Pa as the fiber thickness increased from
0.004 to 0.02 mm. However, they reported that
all fibrous filters for a given particle size had the
same single-fiber efficiency values, indicating
thickness-independent quality factors.
Hung et al. [53] found that larger fiber basis
weights enhanced filtration efficiency nonlinearly.
However, the increased basis weights decreased
the quality factor due to an increased pressure
drop (Fig. 4d). Also, this study found that the
multi-structure nanofiber membrane produced in
the electrospinning process with low basis weight
showed better performance than a single-structure
nanofiber membrane with a high basis weight.
Besides the filter structure, there are many fil-
tration parameters capable of significantly chang-
ing filter performance. The air velocity across the
filter and particle size distributions play a key role
in this regard [35]. Many studies find that a higher
face velocity results in a lower filtration efficiency.
Wan et al. [37] found the filtration efficiency of a
polysulfone (PSU) membrane fibrous filter with-
out TiO2 decreased from ~100% to 94% as the
face velocity increased from 15 to 90 L/min, while
filtration did not decrease significantly for a filter
coated with TiO2 nanoparticles at 5% by weight
(Fig. 4e). In the fibrous filters, the pressure drop is
proportional to the face velocity in accordance
with the experimental results of this study
(Fig. 4f). Thus, the results suggested low quality
factors at higher face velocity. Similarly, Wang
et al. [54] have tested a polyvinylidene fluoride
(PVF)/polytetrafluoroethylene (PTFE) nanoparti-
cle filter for face velocities of 2–16 cm/s. They
found the filtration efficiency dropped from
~100% to 95% for pure PVF and a slight decrease
to 98% for PVF with 5 weight percent PTFE.
The relationship between particle size and fil-
tration efficiency is well established. Many stud-
ies have shown that filtration efficiency is very
dependent of the particle size because of its effect
on the efficacy of the capture mechanisms. For
98 Airborne Nanoparticles: Control and Detection

Airborne Nanoparticles: Control and Detection, Table 3 The filtration performance in recent studies
Fiber Filtration Quality
Nanoparticle diameter efficiency Pressure factor
Nanofiber diameter (nm) (nm) (%) drop (pa) (pa1) Study
PAN <100 200 96 133 0.024 [56]
PU (polyurethane) 20–400 120 99.6 96–190 0.06–0.03 [31]
Nylon-6 300 150 99.5 500 0.01 [57]
Nylon-6 <20 15–450 99–98.5 57–283 0.01–0.018 [58]
PAN/PA 300 272 99.99 100 0.11 [59]
(PA: polyamide)
PSU/TiO2 (5%wt) 300–500 76–1590 99.997 43.5 0.17 [37]
PAN/PU-FPU (FPU: 300–500 175 99.98 120 0.07 [45]
fluorinated polyurethane)
PLA 260 144 99.997 165 0.06 [43]
PVDF/PTFE NPs (0.05% 197 250–570 99.997 57 0.14 [54]
wt)

example, for particle sizes larger than the fiber
diameter, the single-fiber efficiency derived
using interception is not correct. The relationship
between particle size and filtration efficiency can
be quantified using the MPPS. Many studies
found that a particle size of around 100–300 nm
is usually the MPPS [38, 55] (Fig. 4g). It has been
also found that the MPPS changes when the face
velocity changes. Sambaer et al. have shown that
with an increase of the face velocity, the MPPS
decreases (Fig. 4h) [31].
Table 3 shows the filtration efficiency, pressure
drop, and quality factor for different polymeric
membrane nanofibers.
Carbon Nanotubes (CNTs)
CNTs were fabricated the first time by Iijima et al.
[60] and have now received considerable attention
regarding their use in filters for airborne particles.
CNTs are classified as single-walled CNTs
(SWNTs) (normally df < 10 nm) and multi-walled
CNTs (MWNTs) (normally df > 10 nm) [60]. The
very small diameter of fibers indicates that flow
around the CNTs will be in the free pass flow
regime, where the disturbance of the flow by
CNTs is not significant [47]. In comparison with
electrospun nanofibers, CNTs provide high filtra-
tion efficiency because of their ultrathin fibers,
ultrahigh specific surface areas, and robust
mechanical properties. The limitation of a trade-
off between filtration efficiency and pressure drop
inherent to fibrous filtration can likely be over-
come with CNT-based filtration [26]. However, it
is very difficult or perhaps impossible to fabricate
a CNT that can balance many design constraints
and trade-offs involving fiber properties such as
air velocity, packing density, and basis weight.
The important characteristics of the CNT nano-
fibers are similar to those discussed for electro-
spun nanofibers. Key features of the performance
of the CNTs are discussed below.
Viswanathan et al. [27] coated a continuous
layer of MWNT (df ¼ 20–50 nm, thick-
ness ¼ 1–2 nm, porosity ¼ 93.58%) film onto
cellulose fibers (Fig. 5a, b). The diameter and
thickness of the MWNT were three and two orders
of magnitude smaller than the diameters and
thickness of the cellulose fibers, respectively.
Table 4 shows that with an increase in the
MWNT/cellulose ratio, the pressure drop sharply
increased. The pressure drop of cellulose filter II,
consisting of five cellulose layers, was similar to
that of the MWNT I, but the filtration efficiency
and thus quality factor of the MWNT I were much
higher. It can be seen that MWNT II–IV with a
filtration efficiency higher than 99.97% could be
used in HEPA class filters, which require filtration
of 99.975% particles at the MPPS.
Airborne Nanoparticles: Control and Detection 99

Airborne Nanoparticles: Control and Detection, continuous MWNT film (1–2 mm thick, as seen in (c)) on
Fig. 5 SEM images of MWNT-coated filters. (a) Fibrous top of the cellulose layer. (Reprinted with permission [27])
filter morphology. (b) The cross-sectional view shows a

Airborne Nanoparticles: Control and Detection, Table 4 Characteristics of cellulose filters and MWNT-coated
filters. (Reprinted with permission [27]). Note: cellulose filter II consists of five cellulose layers in series
Coverage of
MWNTs Pressure drop after Filter efficiency for Filter quality for
Sample [mg cm2] filtration [kPa] dp ¼ 300 nm [%] dp ¼ 300 nm [kPa1]
Cellulose – 0.45 66.45 2.42
filter I
MWNT I 0.07 2.10 99.96 4.12
MWNT II 0.11 3.00 99.978 3.36
MWNT III 0.14 3.77 99.9976 3.56
MWNT IV 0.22 5.42 99.9994 2.75
Cellulose – 2.11 98.76 2.65
filter II

Free-standing SWNT films (FSFs), an excel- Fig. 6a. The nanotubes have 10 mm lengths and
lent example of air-filtering CNTs, were fabri- 1.3–2 nm diameters with a few micrometer’s
cated by Nasibulin et al. [61], as shown in thickness. Figure 6b shows the filtration efficiency
100
Airborne Nanoparticles: Control and Detection,
Fig. 6 (a) Set of images showing a submonolayer FSF
suspended over 5 mm openings in aluminum foil. (b)
Thickness dependence of transmittance and of collection
efficiency for 44 nm g-Fe2O3 particles. (c) Flow rate
dependence of pressure drop for 120-nm-thick SWCNT
films and various commercial filters. (d) Dependence of the
increased linearly as the nanotube was thickened.
Figure 6c shows a lower pressure drop by FSF
filters, up to ~230 Pa, as compared to commercial
filters (500–4000 Pa) in various airflow rates,
illustrating the high quality factor of the FSFs;
more than one order of magnitude is higher than
that of commercial filters (Fig. 6d). They noted
that the FSF have robust mechanical properties
Airborne Nanoparticles: Control and Detection
filter quality factor on the particle size for commercial
filters and a 120-nm-thick SWCNT film. The solid and
open symbols show results obtained by two independent
measurement techniques, namely, scanning over the entire
particle size range studied and at fixed particle sizes.
(Reprinted with permission [61])
and are durable enough to capture nanoparticles
for study. It was also found from durability tests
that the filter was able to operate for more than
a month without a drop in the filtration efficiency
at a flow rate of 300 cm3/min. The high surface
area of the free-standing SWNT films can reason-
ably explain their high filtration efficiency beca-
use of the related improvement of the filtering
Airborne Nanoparticles: Control and Detection
Airborne Nanoparticles: Control and Detection,
Fig. 7 (a) SEM and (b) photographic images of the
three-layer CNT filter structure with a cross-ply geometry.
(c) Particle penetration fraction of the different structures
mechanisms in the FMF regime. The low pressure
drop results from the high porosity and low thick-
ness of the films.
Yildiz et al. [62] prepared aligned CNT sheets
by embedding them between polypropylene melt-
blown fabrics. The diameters of the CNTs were
25–40 nm with lengths of ~1 mm and thicknesses
of 20–25 mm (Fig. 7a, b). The test particles were
10–300 nm. They found, as shown in Fig. 7c, that
the filtration efficiency of the fabricated filters dra-
matically increased with the number of CNT
layers, while the pressure drop also increased.
They observed that while the pressure drop of the
seven-layer filter was very high, the filtration per-
formance should meet high-efficiency particulate
air (HEPA) filter standards with an acceptable pres-
sure drop. Therefore, they laid the CNTs in a cross-
plied structure within the filter. The three-layer
101
as a function of pressure drop at 0.3 mm particle size and
10 cm/s face velocity. (d) Quality factor as a function of
particle size, ranging from 0.01 to 0.3 mm, at 10 cm/s face
velocity. (Reprinted with permission [62])
CNT cross-ply filter met the HEPA filtration stan-
dard with a filtration efficiency of 99.98% for a
300 nm particle size at 10 cm/s face velocity and
also had the highest quality factor (Fig. 7d). They
noted that the performance of novel CNT filters is
comparable to electrospun fabrics, making them a
viable option for future filtration applications.
After the development of CNT filters for air
filtration applications, researchers have observed
that the filters can become clogged by nanoparticles
due to the smaller space between CNT films than
particle aggregates. To overcome the capacity-
related issues, a hierarchical structure for CNT filters
has been proposed. In a typical procedure, the CNT
films grow on a porous material. This structure not
only provides a macroporous structure and high
mechanical strength, but also the specific surface
area of the filter structure increased.
102
Airborne Nanoparticles: Control and Detection,
Fig. 8 (a) Penetration of particles with different sizes in
the QF filter and the CNT/QF filter; (b) quality factor
versus particle size of the QF filter and the CNT/QF filter.
(c) SEM images of the CNT/QF filter with deposited NaCl
Li et al. [63] fabricated CNT/quartz fiber
(QF) filter as a depth-type hierarchical structure
through in situ growth of CNTs on quartz fiber
(QF) filters using a floating catalyst chemical
vapor deposition (CVD) method. They observed
the CNT/QF filter met the standard of high-
efficiency particulate air (HEPA) filters (Fig. 8a,
b). The specific surface area of the hybrid filter
was more than 12 times higher than that of the
pristine QF filters. The pore size of the CNT/QF
filter only has a small change. The pressure drop
through the CNT/QF filter changed only a small
Airborne Nanoparticles: Control and Detection
particles after filtration testing. The inset shows NaCl par-
ticles deposited on a single CNT (the black arrow shows a
NaCl particle larger than 100 nm; white arrows show NaCl
particles smaller than 100 nm). (Reprinted with permission
[63])
amount relative to that of the pristine QF, while
the filtration efficiency increased significantly,
resulting in an overall increase of the quality fac-
tor for the CNT/QF filters. Scanning electron
microscope images reveal that CNTs are very
efficient at capturing submicron aerosols (Fig. 8c).
To prevent clogging and thus increase the
service life of the filters, Li et al. [63] created
hierarchical CNT/quartz-fiber (QF) filters with
gradient structures where the content of CNTs
decreases exponentially along the thickness direc-
tion of the filters. They observed that by using
Airborne Nanoparticles: Control and Detection 103

(a) 3.5 (b)

Aerosol pollutants 100
3.0
99.98

Efficiency at MPPS (%)

2.5
ΔPt/ΔP0

2.0 99.96

1.5
99.94
1.0
QF filter 99.92 QF filter
0.5 CNT/QF filter; CNT-rich side upstream CNT/QF filter; CNT-rich side upstream
CNT/QF filter; CNT-rich side downstream CNT/QF filter; CNT-rich side downstream
0.0 99.9
0 5 10 15 20 25 0 4 8 12
Time (min) Time (min)
Aerosol flow
(c)

a: CNT/QF filter with CNT-rich b: CNT/QF filter with CNT-rich

c: QF filter
side upstream side downstrem
QF fiber CNTs Aerosol particle

Airborne Nanoparticles: Control and Detection,
Fig. 9 (a) The rate of pressure drop increase versus filtra-
tion test time for the CNT/QF filter with different place-
ment positions and the QF filter under continuous aerosol
loading; (b) the decrease in rate of efficiency at MPPS
versus filtration test time for the CNT/QF filter with differ-
ent placement positions and the QF filter under continuous
aerosol loading. (c) An illustration of aerosols accumulat-
ing in the CNT/QF filter with different placement positions
and the QF filter. Reprinted with permission [63]

only 1.17 wt % CNT, penetration through the
gradient filter reduced the MPPS by one order of
magnitude, where the pressure drop was only 6%
higher than that of the pristine QF filter, resulting
in a higher quality factor for the gradient structure
(Fig. 9a, b). As shown in Fig. 9c, they also tested
different placements of CNT inside the quartz
filter to investigate clogging and service life of
the gradient filter. The service life of a composite
with the CNT-rich side downstream was up to
64% longer compared to the pristine QF filter,
while the service life of the composite oriented
with the CNT-rich side upstream was only 41.7%
longer.
Zhao et al. [64] fabricated a novel multi-
functional Ag@MWCNTs/Al2O3 hybrid filter
with a depth-type hierarchical structure. This fil-
ter achieved 99.9999% filtration for particles at
300 nm particle diameter. Ag@MWCNTs/Al2O3
had only 35.60% of the pressure drop of the
pristine Al2O3 filter, leading to a high quality
factor.
104
Airborne Nanoparticles: Control and Detection,
Fig. 10 (a) SEM images of the CNTs/ACF. (b) PM filtra-
tion efficiencies and (c) quality factors of the pristine ACF
Yang et al. [65] have proposed growing CNTs
on an activated carbon fiber (ACF) filter support
using chemical vapor deposition in a form of
hierarchical structure. The design goal is to
achieve high removal efficiencies with low pres-
sure drop and thus a superior quality factor.
Indeed, compared with recent CNT-based filter
media, CNTs grown on ACF achieved high parti-
cle filtration performance with a very low pressure
drop, leading to a high quality factor. The results
are shown in Fig. 10.
Nonetheless, in general, while CNT-based air
filters have been used with successful results,
in-depth knowledge, including their behavior in
industrial-scale applications is lacking (Table 5).
Electrostatic Precipitation
Electrostatic precipitators (ESPs), along with fib-
rous filters, are the most common particle-control
Airborne Nanoparticles: Control and Detection
and the CNTs/ACF. Coordinates in parentheses represent
the MPPS and associated filtration efficiency. (Reprinted
with permission [65])
devices in industry. A corona discharge was first
used to remove particles from an aerosol in 1824
by Hohlfeld; in 1907 Professor F. G. Cottrell
of the University of California Berkeley filed a
patent (US Patent 895729) for a device to charge
particles and then collect them using electrostatic
attraction. ESPs function by using electrop-
horesis to separate charged particles from an
airstream.
A Boltzmann distribution of charged particles
exists in any gas, for example, charged particles
and gas molecules and transient free electrons. At
high electric fields, the ions and free electrons can
be accelerated to collide with gas molecules, lead-
ing to the ejection of additional electrons and
further ionization. The process creates a plasma
containing a large number of positive ions and
free electrons in the gas. In a typical ESP, a corona
discharge is created at an electrode with a high
positive potential which accelerates free electrons
from the surrounding air. The role of the plasma is
Airborne Nanoparticles: Control and Detection 105

Airborne Nanoparticles: Control and Detection, Table 5 The filtration performance of CNTs
Air Filtration Quality
Particle velocity Pressure efficiency factor
Structure type Material size (nm) (cm/s) drop (kPa) (%) (Pa1) Study
CNT coating Cellulose fiber 300 11.5 2.99 99.9976 0.0035 [27]
Free-standing – 44 1.97 0.071 99.997 0.147 [61]
SWNT film
Aligned sheet Polypropylene 300 10 0.147 99.98 0.043 [62]
fabric
Hierarchical Glass fiber 100 20 0.080 33.3 0.13 [66]
Hierarchical Metal filter 300 20 0.7 80 0.002–0.004 [67]
Hierarchical Quartz fiber 100/300 6.21 0.840 99.9979/ 0.0129/ [63]
99.9974 0.0098
Gradient Quartz fiber 63.8 5.31 0.435 99.9959 0.02321 [68]
Agglomerate – 300 1.57 0.167 99.988 0.05406 [69]
structure
Hierarchical Al2O3 filter 300 0.5 4.65 99.9999 0.0029 [64]
Hierarchical ACF 100/300 6.21 0.01–0.6 96.35/97.40 0.1068/ [65]
0.1166

to increase charging of aerosol particles so they
can be removed using electrostatic force. ESPs
can also be operated in negative mode. The elec-
trode is given a large negative charge and emits
electrons that attach to particles. Two main types
of collection electrodes are used in ESPs: flat
plates and tubes (Fig. 11b). The typical space
between the electrodes and the plates is
10–15 cm. Particles are separated from the gas
stream as it passes between them (Fig. 11a)
resulting in the formation of a particulate cake
on the plates. Some systems include shakers or
hammers to clean the plates. In the tubular con-
figuration, which is more common for wet ESPs,
the discharge electrode is located at the center of a
tubular collector electrode. The diameter of tubes
can be 8–25 cm with a 1–4 m length (Fig. 11b). In
this design, the discharge electrode is parallel to
the gas flow [5, 70].
An electrical potential of ~4 kV/cm is used to
create the corona discharge, applied between the
discharge and collection electrodes. Generally, the
wires are charged at 20–100 kV below ground
potential. In most cases a negative corona
(Fig. 11c) is more stable than a positive corona;
however, negative corona plasmas also produce
much more ozone which can be an unwanted
byproduct. Negative coronas are typically chosen
because their stability leads to better performance
(e.g., less arcing) and lower cost.
In a negative mode operation, negative ions fill
the space outside the corona and then collide with
particles, charging them negatively (Fig. 11d).
The charged particles are driven onto the positive
collector plates by an electrical field. Electrostatic
charging of particles occurs via two mechanisms,
bombardment charging (important for micron-
sized particles) and diffusion charging
(important for submicron particles). When the
initial distribution has relaxed to equilibrium, the
charge on the particles will be proportional to
particle surface area, i.e., dp2. As submicron par-
ticles (<0.1 mm) have significant diffusional
motion, they will be charged significantly by dif-
fusional charging. Thus, ESPs are widely used to
control submicron particles.
Table 6 shows many advantages and disadvan-
tages of ESP technologies used to control
particles.
ESP Performance
Deutsch equation is a common description of
particle collection efficiency (E) for monodisperse
particles:
106
Airborne Nanoparticles: Control and Detection, Fig. 11 (a) Commercial plate-type ESP (General1). (b) Tube-type
electrode ESP. (c) Corona formation in a wire and plate plan. (d) Particle charging [70]
oA
 ¼ 1  exp ð13Þ
Q
n
where o is migration velocity, A is the collector
electrode area, and Q is volumetric gas flow. It has
been pointed out that Eq. (13) is for particles with
x
similar drift velocities and not for mixtures of
particle sizes having different drift velocities. An
underlying assumption in the equation is that the
particles are permanently collected.
The assumption works well when the collec-
tion efficiency is low; for high collection effic-
iencies (> 99%), other mechanisms besides
drift velocity dominate particle collection.
Re-entrainment (from rapping and scouring),
low electrical resistivity, and uneven flow through
the filter can limit collection efficiency leading to
particle collection slower than predicted with
Eq. (13). Empirical modifications to the equations
have been made, to describe the behavior of ESPs
with ultrahigh collection efficiency. The Hazen
Airborne Nanoparticles: Control and Detection
equation (Eq. (14)) and Matts-Ohnfeldt equation
(Eq. (15)) build on the Deutsch equation:
oA
 ¼1 1þ ð14Þ
nQ
oA
 ¼ 1  exp ð15Þ
Q
where n is an empirical constant set at 3 to 5 and
x is an empirical constant set at 0.5 based on
experimental data [70, 71].
Various studies have shown that the collection
efficiency for nanoparticles by ESPs is largely
dependent on structural properties including
stages of collection, combination with other
methods, choice of wet vs. dry ESP, discharge
electrode positioning, type of collection elec-
trodes and so on, and specific collection condi-
tions including cleaning gas velocity, type, size,
and concentration of particles.
Airborne Nanoparticles: Control and Detection 107

Airborne Nanoparticles: Control and Detection, Kim et al. [73] used a combined electrospray/
Table 6 Advantages and disadvantages of ESPs [71] ESP to enhance the collection efficiency of mono-
Advantage Disadvantage disperse nanometer-sized particles (Fig. 13). The
Easy operation for high- High initial cost combination enhanced the collection of particles
temperature gases, such as by 21–36% depending on the particle size and in
boilers and steel furnaces
addition reduced the energy consumption of the
Low pressure drop, Large footprint
reducing energy ESP.
consumption There are a number of technical challenges
High collection efficiency Suitable for combustible associated with collecting sticky and aggregative
if operated properly particles soft nanoparticles with a conventional ESP. Dey
Effective operation over a Longer chambers are et al. [74] have designed a positive mode charged
large range of particulate required for particles with
sizes high electrical resistivity
wet electrostatic precipitation (WESP) (Fig. 14a)
(>2
1011 ohm-cm), their to address them. The goal of their system is to
buildup on collectors collect soft nanoparticles including monodisperse
limits performance polystyrene latex (PSL), polydisperse sucrose,
Low operating and Some particles are slow to and stearic acid particles directly into liquid
maintenance costs if give up their charge when
designed and constructed they reach the positive media. The collection efficiency of WESP was
properly electrode plates. They 70–90% for particles of 80–600 nm diameter, in
create an insulating layer agreement with theoretical modeling, and
on the collectors, 40–70% for small particles of 20–80 nm diameter.
generating back corona
and reducing current flow The performance for these small particles was
Particles with low significantly lower than the theoretical estimate,
electrical resistivity cannot possibly due to incomplete neutralization of neg-
be held on the collector; ative charges during air-jet atomization.
thus re-entrainment can Figure 14b shows transmission electron micros-
occur
copy (TEM) images of aggregated nanoparticles
on a collecting plate for the dry ESP and non-
aggregated nanoparticles on the collecting plate
Zhuang et al. [72] have investigated the effect of of the WESP.
various operating conditions on the collection effi- An efficient wire-to-plate wet electrostatic pre-
ciency for nanoparticles in the range of 50–500 nm cipitator (WESP) for nanoparticles was designed
in a cylindrical (tubular) ESP. The ESP was oper- by Chen et al. [75], targeting submicron- and
ated in either one- or two-stage mode. It was found micron-sized particles emitted from semiconduc-
that collection efficiencies dropped as the corona tor manufacturing. A fixed voltage of 15 kV was
current decreased due to a too small drift effect for supplied by tungsten wire discharge electrodes to
particles toward the collection electrodes at high air produce the electric field and corona ions. Water
velocities (Fig. 12a). They also found that a lower mist at room temperature was used to quench the
electrical resistivity of particles caused a decrease high-temperature exhaust gas in order to enhance
in the collection efficiency owing to decreased particle condensation growth and improve the
attractive force at collector surfaces after deposi- collection efficiency of nanoparticles. The nano-
tion. Particles of NaCl and Al2O3 showed lower particle collection efficiency was 67.9–92.9%
conductivity and ion emission, resulting in poor without fine water mist, which increased to
corona current and thus a decrease in the collection 99.2–99.7% when the water mist was used
efficiency. The two-stage ESP had a higher collec- (Fig. 15a). As shown in Fig. 15b, the results are
tion efficiency than the one-stage ESP (Fig. 21a), in good agreement with the formula  ¼ 1 – exp
and for both ESPs the collection efficiency for (a (NDe) b + g, where a, b, and g are empirical
nanoparticles in the range of 70–100 nm was better regression coefficients determined from the
than for other sizes (Fig. 12a, b). experiment and NDe is the Deutsch number.
108 Airborne Nanoparticles: Control and Detection

Airborne Nanoparticles: Control and Detection, velocities in the two-stage ESP. (b) Collection efficiency
Fig. 12 (a) Collection efficiency of Al2O3 and NaCl of Al2O3 and NaCl particles as a function of size for a
particles as a function of size for two different gas single-stage ESP. (Reprinted with permission [72])

It has been noted [76] that partial charging of ESPs for nanoparticles decreases sharply as oper-
reduces the collection efficiency for nanoparticles ation time increases, because particles deposit on
smaller than 30 nm in a traditional wire-in-plate both the collection plates and high-voltage elec-
ESP. It is also known that the collection efficiency trode, reducing the electric field [76]. Therefore,
Airborne Nanoparticles: Control and Detection
Airborne Nanoparticles: Control and Detection,
Fig. 13 The combined effect of electrospray and ESP on
particle collection efficiency. (Reprinted with permission
[73])
both the discharge and collection electrodes should
be rapped frequently to remove deposited particle
cake. However, rapping may not be practical for
smaller devices such as indoor air cleaners. Further-
more, cleaning the wires by water spraying is diffi-
cult as it can cause arcing and current bridging
between the wires and the collection electrodes
[75]. Other problems related to traditional electrodes
include particle re-entrainment [72], reverse corona
[77], and ozone generation [5]. To overcome these
issues, Li et al. [78] developed a new wire-on-plate
ESP (WOPEP). Figure 16a compares the traditional
and newer ESPs. In WOPEP, discharge wires are
attached directly to the surface of a dielectric plate,
leading to reduced particle deposition on the wires
and reduced ozone generation while maintaining a
high particle collection efficiency. The authors
achieved collection efficiencies of 90.9–99.7% and
98.8–99.9% in the particle size range of
30–1870 nm, at average face velocities of 0.50 m/s
(flow rate, 30 L/min; residence time, 0.36 s) and
0.25 m/s (flow rate, 15 L/min; residence time,
0.72 s). The experimental collection efficiencies
were seen to be in agreement with the theoretical
models. A key finding was that the WOP ESP, at the
same voltage, has one to two orders of magnitude
lower ozone generation, and cleaner wires and
higher collection efficiency, compared to a tradi-
tional ESP (Fig. 16b).
Besides the various configurations of ESP
structure such as operation mode and voltages,
109
which have a large effect on particle collection
performance, there are some important parame-
ters related to the composition of the gas stream
that greatly contribute to the collection efficiency
of ESPs. The velocity and particle concentration
of the gas stream are the most critical operational
parameters in these processes. Oliveira et al. [79]
separately evaluated the influences of residence
time (gas velocities) and concentration of nano-
particles on the performance of a conventional
ESP. They observed a decline in collection effi-
ciency with particle concentration and particle
diameter (Fig. 17a). An increase in the gas veloc-
ity at a fixed particulate feed rate reduced the
collection efficiency, which was related not only
to the residence time but also to the gas-particle
concentration (GAC). To prevent the dilution
effect due to increased velocity, they used a par-
ticle injection method called aqueous solution
concentration (AQC), to quantify the effect of
the residence time. Figure 17b shows the
decreasing trend of the collection efficiency in
this test.
Table 7 shows the collection performance of
the previously described ESPs, as a function of
structural properties and operational conditions.
Thermophoresis
The movement of a particle due to an external
force is called phoresis. Examples include heat
(thermophoresis) and an electrical field
(electrophoresis).
A temperature gradient through an aerosol
leads to a thermal gradient across the aerosol
particles themselves. As illustrated in Fig. 18a,
b, collisions with gas molecules on the high-
temperature side of the particle will have more
energy than collisions on the cooler side. As a
result, particles are accelerated toward the cold
side. Thermophoresis is not a strong mechanism
compared to the aforementioned methods; how-
ever, it can be applied in many aerosol-related
fields such as nanoparticle filtration. The mass of
a particle depends on the volume or the third
power of radius, whereas the number of collisions
depends on the surface area, which depends on the
110
Airborne Nanoparticles: Control and Detection,
Fig. 14 (a) Cross-sectional view of fabricated wet elec-
trostatic precipitator (WESP). (b) TEM images of particles
collected in dry ESP (left) and WESP (right) (voltage
second power of radius. Therefore, this mecha-
nism is more important for small particles than for
large [70, 81]. Typical temperature gradients are
on the order of 20,000 K/m; for UFPs this results
in thermophoretic mobilities on the order of
Brownian mobilities [70].
Airborne Nanoparticles: Control and Detection
applied on corona wire ¼ +4.2 kV and voltage applied on
collecting plate ¼ 3.5 kV). (Reprinted with permission
[74])
Researchers have studied this phenomenon
both theoretically and experimentally [82–
84]. Tsai and Lu [85] constructed a thermo-
phoretic precipitator to collect nanoscale particles
and analyzed its performance. The system built by
Gonzales et al. [86] achieved near-complete
Airborne Nanoparticles: Control and Detection
Airborne Nanoparticles: Control and Detection,
Fig. 15 (a) Collection efficiency for a WESP with and
without fine water mist; the applied voltage is 15 kV. (b)
Comparison of particle collection efficiency for the WESP
Airborne Nanoparticles: Control and Detection,
Fig. 16 (a) Schematic of the traditional WIP-EP and
proposed WOP-EP. (b) Collection efficiency of the
WOP-EP and the WIP-EP at the initial clean condition
deposition of NaCl and Fe nanoparticles, for dis-
tributions with mean diameters of 50 and 3.6 nm,
respectively, in a particle flow below 15 mL/min.
Particle filtration was homogeneous regardless of
particle size.
111
with fine water mist between the experimental data and the
present predictions (the applied voltage is 15 kV).
(Reprinted with permission [75])
and after the particle-loaded collection plates were cleaned,
with an applied voltage of 18 kV and flow velocity of
0.25 m/s. (Reprinted with permission [78])
Boddu et al. [82] reported a near-complete
filtration of carbon nanoparticles with a mean
size of 60 nm at a mass density of 1
103 mg/
m3. They observed that the particle filtration per-
formance decreased to near 70% for 190 nm
112 Airborne Nanoparticles: Control and Detection

Airborne Nanoparticles: Control and Detection, m3, respectively, and (b) for gas velocities of 6.6, 8.2, and
Fig. 17 Grade efficiency vs. particle diameter (a) for a 9.9 cm/s, with KCl AQCs of 4.0, 5.0, and 6.0 g/l, respec-
gas velocity of 3.3 cm/s at different KCl AQCs of 0.2, 0.4, tively. (Reprinted with permission [79])
and 2 g/L with related GACs of 7.26, 15.55, and 45.78 mg/

Airborne Nanoparticles: Control and Detection, Table 7 The collection performance of ESPs
Air
Operation Operation Particles velocity/ Collection
Process mode stage size/nm cm/s Applied voltage/kV efficiency/% Study
ESP Wire-to- Single, 50–500 0.35 7.5 to 10 >90 [72]
tube two 0.7 >70
ESP Wire-to- Single 100–300 800 19.1 95-(~100) [73]
Electrospray plate 90–260 800 EHA(4 kV/cm)/ 70–80
+ESP ESP(16.2 kV)
WESP Wire-to- Single 20–80 – +4.2 40–70 [74]
plate 80–600 70–90
ESP-fine Wire-to- Single 30–8100 62–500 15 to 34 67.9–92.9 [75]
water plate 99.2–99.7
ESP + fine
water
ESP Wire-on- Single 30–1870 0.25 18 98.8–99.9 [78]
plate 0.5 90.9–99.7
ESP Wire-to- Single 10/250 3.3 8 ~100/~90 [79]
plate
ESP Wire-to- Single 10–30 1.7–6.6 4 kV/cm 90–100 [80]
plate 30–224 ~100

particles at 1.6
104 mg/m3 in a thermophoresis
cell. Based on these studies, it can be concluded
that thermophoresis is an effective strategy for
capturing nanoscale particles [87, 88].
Particle Coagulation
Particles in an aerosol collide due to their differing
relative velocities, due to thermal Brownian
motion, electro- or thermophoresis, momenta,
and so on. Most of the time, colliding particles
form an aggregate that coalesces; the process of
coagulation changes the size distribution but not
the mass density. From the perspective of nano-
particle control, coagulation is a mechanism that
could be used to shift material into a size range
that is easier to control with standard technolo-
gies. Katoshevski et al. have described using
coagulation for nanoparticle control [89]. The
attractive interaction mechanisms between parti-
cles such as electrostatic, Van der Waals, and
Airborne Nanoparticles: Control and Detection 113

Airborne Nanoparticles: Control and Detection, Fig. 18 Mechanisms for thermophoretic (a) and diffusiophoretic
(b) motion of particles in the gas phase

Airborne Nanoparticles:
Control and Detection,
Fig. 19 Particle
concentration at the outlet
of the original pipe and the
coagulation pipe during 30 s
of measurement at an
engine load of 200 hp. at
1900 rev/min (engine
speed). (Reprinted with
permission [90])

reduction in surface tension drive the coagulation
of nanoparticles. Soot aggregates are one example
of the result of such interactions. Mendelevich
et al. [90] have tested a geometric approach for
clustering nanoparticles in transportation exhaust
systems in which the flow velocity across a pipe is
manipulated by design. They evaluated the ability
of coagulation to reduce the number of nano-
particles as a function of engine speed by compar-
ing the particle number at the outlet of the
coagulation pipe relative to the PN of the original
pipe. Their results demonstrate that the nanopar-
ticle number is reduced significantly by coagula-
tion in the coagulation pipe (Fig. 19). The authors
noted that the nanoparticles probably joined larger
particles and that it is also possible to absorb
gaseous molecules into the particles, reducing
their local concentration and thus suppressing
the formation of new particles by nucleation.
They concluded that using a well-designed coag-
ulation pipe in the exhaust system of vehicles will
contribute to reducing the health effects associ-
ated with exposure to nanoparticles and will help
vehicles qualify within the new EURO VI regula-
tion framework.
Acoustic agglomeration is a promising tech-
nologies for controlling aerosols, which has been
characterized by many researchers [73, 92–95].
When sound waves travel through an aerosol,
particle mutual collision probability is enhanced
increasing aggregation. Different particle sizes are
affected differently by the pressure wave of
sound, leading to different velocities and colli-
sion. The newly formed particles in turn continue
114
to collide and grow, leading to nonlinear growth.
The acoustic agglomeration can be further
enhanced by orthokinetic collision [96], hydrody-
namic interaction [92], and Brownian agglomera-
tion [95]. Zu et al. [95] investigated an acoustic
chamber for particle agglomeration (Fig. 20a);
their model agreed well with the experimental
results. The model found that there are many
parameters that affect the process including parti-
cle size, acoustic frequency, and sound pressure
level (SPL). The work showed that the collision
efficiency between particles is increased for large
particles and for higher SPLs. In addition they
observed that the optimal acoustic frequency for
enhancing collision, around 1000 Hz, increases
Airborne Nanoparticles: Control and Detection,
Fig. 20 (a) Experimental setup for acoustic agglomera-
tion of particles. (b) SEM photographs of the particle
Airborne Nanoparticles: Control and Detection
with decreasing particle size. Therefore, they
suggested that a higher acoustic frequency be
used for smaller particles. They found the lower
limit for producing an effect via that SPL is
affected by the particle concentration and size
distribution – lowest effect SPL increases with
lower concentration and smaller particle size.
Their study indicated that improved acoustic
agglomeration can be achieved for a longer resi-
dence time of the particles in the agglomeration
chamber. SEM images (Fig. 20b) of the particles
before and after the acoustic chamber showed the
formation of aggregations of particles.
Despite a fair number of studies of this method,
it seems there are two main challenges that
samples at the outlet of the agglomeration chamber: in
the absence of sound (left) and in the presence of sound
(right). (Reprinted with permission [95])
Airborne Nanoparticles: Control and Detection
remain. Both the high noise level and high energy
consumption inhibit use in many cases.
Another system to enhance the agglomeration
of nanoparticles was recently introduced by Zhao
et al. [91]. They developed an effective pre-
treatment agglomeration system to reduce down-
stream problems related to UFPs. As shown in
Fig. 21a, b, Zhao et al. used a simple method to
modify the flow in ducts in which two dampers
(a batch flow duct to simulate indoor stagnant air)
or one damper (a continuous flow duct to simulate
a continuous airflow being treated in a down-
stream cleaner device) was installed. The particle
number in the batch chamber was decreased by
73% over 30 min. It was found that the damper
movement facilitated particle collision and
agglomeration by increasing the flow oscillations,
in essence, by increasing turbulence. By fitting a
damper with a cycle time of 1 s, the particle
capture efficiency of the downstream filters
increased from 36% to 48%. The particle size
distribution was found to be larger after the
damper demonstrating the agglomeration of the
particles during the process (Fig. 21c).
Nanoparticle Detection
Experimental aerosol research dates back more
than 100 years ago when John Aitken built a
device to count dust particles in air [5]. Today
there are many techniques for detecting and char-
acterizing particles that use properties such as
mass, optical absorption and scattering, impac-
tion, and electrostatic and diffusional behavior to
yield information on the mass and number con-
centration, and size distribution, of aerosol sam-
ples. In some cases the methods are used in
combination. In an urban area, as shown in
Fig. 22, a majority of particles by number concen-
tration are typically found in the nucleation and
Aitken modes. The picture changes, however, if
volume or surface distributions are considered.
Stanier et al. [98] and Woo et al. [99] reported
that nearly 25%, 75%, and 90% of total urban
particle number are smaller than 10, 50, and
100 nm, respectively. Similarly, in another study
of particle distributions in five European cities, it
115
was found that more than 80% of particles were
under the nucleation and Aitken mode ranges
[100]. Table 8 presents a summary of the instru-
ments used to measure nanoparticles.
Aerosol Particle Mass Analyzer (APM)
An aerosol particle mass analyzer (APM) was
developed by Ehara et al.; an APM instrument is
now commercially available from Kanomax
(Model 3602). After charging particles in a bipo-
lar charger, the aerosol passes between two rotat-
ing coaxial cylindrical electrodes, which rotate at
the same angular velocity. Two forces, the centrif-
ugal force and the electrostatic force, affect the
particles passing between the electrodes. Only
those particles for which the forces balance
move the length of the sizer and exit through an
annular gap. For a given radius of cylinders (r1,
r2), angular velocity (w), particle charge (q), and
the voltage between cylinders (V), the mass to
charge ratio of particles (mc) can be obtained
from [5]:
qV
mc ¼   ð16Þ
r 2c o2 ln r2
r1
For electrodes with the same angular velocity,
unbalanced forces may occur in the APM. For
example, particles located near the cylinder expe-
rience a larger centrifugal force and those near the
inner, a smaller centrifugal force. This can lead to
deposition of the particles on the outer and inner
cylinders, respectively, even at the correct mass to
charge ratio.
Additional complications include loss of
mass from particles (volatilization) or gain
(condensation), of water or other species,
which is also in conventional filter-based
methods. Volatilization can be encouraged by
the pressure drop across the series of impactors.
The method also has a relatively slow time res-
olution [5]. To obtain the desired measurement
including size distribution, mass concentration,
and chemical characteristics of the particles, a
tandem setup including an APM with a
116 Airborne Nanoparticles: Control and Detection

Airborne Nanoparticles: Control and Detection, (b) Schematic diagrams of a partial closed damper oscilla-
Fig. 21 (a) Schematic diagrams of agglomeration cham- tion in the chamber. (c) Comparison of particle size distri-
bers, (upper) for a batch process and (bottom) for a con- butions with and without a damper. (Reprinted with
tinuous flow process with downstream filters. permission [91])
Airborne Nanoparticles: Control and Detection
Airborne Nanoparticles: Control and Detection,
Fig. 22 (a) Number, (b) surface, and (c) volume distribu-
tion for a typical urban background aerosol in North
Kensington, London, during 24–29 July 2012. The
differential mobility analyzer (DMA, see
section “Electrical-Based Measurement”) is
widely used. A coupled DMA/APM is capable
of determining the effective density [117], size-
resolved mass information [101], specific sur-
face area [118], dynamic shape factor [119], and
fractal dimension [119] of an aerosol. The
Couette centrifugal particle mass analyzer
(CPMA) is a similar technology, developed by
Olfert and Collings [120] as a mass classifier
similar to the APM. Unlike the APM, the CPMA
applies an improved transfer function to the
classifier using a stable system of forces. The
system has been used recently by Liao et al.
[117] and Johnson et al. [121] to determine the
size-resolved effective density of rural ambient
and cigarette smoke nanoparticles, respectively.
117
APS/SMPS data set was collected during the ClearfLo
Project and merged by the authors. (Reprinted with per-
mission [97])
Impaction
Since the development of impactors in 1860, many
impactors have been used in aerosol research
[103]. Cascade impactors such as the Andersen,
Mercer, quartz crystal microbalance (QCM), Pilat,
Berner, low-pressure impactor (LPI) (MOUDI),
and the electric low-pressure impactor (ELPI) are
commercialized versions [122].
Generally, a cascade impactor consists of sev-
eral stages where each stage has a porous micro-
orifice plate and an impaction plate under it. As a
particle-laden stream passes through the stages,
particles are impacted and thus collected on the
plates. Because of inertia, larger particles are not
able to turn with the streamlines and impact due to
their forward momentum. The geometry of the
118 Airborne Nanoparticles: Control and Detection

Airborne Nanoparticles: Control and Detection, Table 8 Instruments used to characterize nanoparticles
Particle
Commercial size range
Instrument model Measures (nm) Online Notes Reference
APM/DMA Kanomax Size-resolved 30< Yes Gives only mass [101]
(Aerosol Particle APM-3602 mass information
Mass Analyzer/ concentration The measurement not
Differential dependent on particle
Mobility size or shape
Analyzer)
QCM (Quartz CMI PC-2H Size-resolved 50–10,000 Yes Ideal for medium and [102]
Crystal mass lower concentration
Microbalance) concentration measurements down
to a few mg/m3
MOUDI (Micro- TSI Nano- Size-resolved 10–10,000 No 13 stages-offline [103]
Orifice Uniform MOUDI mass characterizing
Deposit Impactor 125R concentration Collects size-
(MOUDI) fractionated particle
samples for
gravimetric and/or
chemical analysis
ELPI (Electric Dekati ELPI+ Size-resolved 6–10,000 Yes High time resolution [104]
Low-Pressure mass Able to collect
Impactor) concentration samples for offline
analysis
Spherical particle
approximation
Laser Aerosol TSI 3340A Number size 90–7500 Yes Overcomes the [105]
Spectrometer distribution limitations of classic
(LAS) optical particle
analyzers
CPC TSI CPC Number 1–10,000 Yes High sensitivity for [106]
(Condensation 3750 concentration low variation of
Particle Counter) particle number
High time resolution
EAS (Electrical Airel EAS Number size 3–10,000 Yes Spherical particle [107]
Aerosol distribution approximation
Spectrometer)
SMPS (Scanning TSI 3938 E57 Mass and 1–500 Yes Better reliability and [108]
Mobility Particle with 3082 number size reproducibility of
Sizer) 1 nm DMA distribution measurements
classifier and Spherical particle
CPC 3750 approximation
EEPS (Engine TSI 3090 Mass and 5.6–560 Yes High time resolution [109]
Exhaust Particle number size (10 times per second)
Sizer) distribution Low sensitivity EEPS
which limits these
instruments to high
concentration aerosol
measurements such as
engine exhaust
measurements
Considerably lower
size resolution
compared to SMPS
Spherical particle
approximation
(continued)
Airborne Nanoparticles: Control and Detection 119

Airborne Nanoparticles: Control and Detection, Table 8 (continued)

Particle
Commercial size range
Instrument model Measures (nm) Online Notes Reference
FMPS (Fast TSI 3091 with Mass and 5.6–560 Yes High time resolution [110]
Mobility Particle 3082 1 nm number size (one time per second)
Sizer) DMA distribution Spherical particle
classifier approximation
FIMS (Fast – Mass and ~10–600 Yes High time resolution [111]
Integrated number size Spherical particle
Mobility distribution approximation
Spectrometry)
P-Trak UPC TSI 8525 Number 20–1000 Yes Measurement is based [112]
(Ultrafine Particle concentration on condensation
Counter) particle counting
Diffusion Battery TSI 3041 Size 0.8–100 Yes Compact and simple [113]
distribution It does not need
particle charging
NSAM AEROTRAK Average 20–400 Yes An NSAM provides a [114]
(Nanoparticle 9000 (mm2/cm3) total surface area
Surface Aerosol and total concentration of
Monitor) (mm2) surface particles deposited in a
area human lung
Underestimates the
geometric surface area
of particles >100 nm
The surface area
underestimated in
comparison with APM
and TEM
ToF-AMS (Time- Aerodyne Composition 40–1000 Yes Refractory particles [115]
of-Flight Aerosol C-ToF-AMS cannot detect
Mass
spectrometer)
(T or S) EM-EDX Tecnai G2 F20 Morphology, 10–1000 No It is possible to gain [116]
(Transmission or size, and information about
Scanning electron composition morphology and size,
Microscopy- composition
Energy Dispersive (elements and
X-ray) compounds), and
crystallographic

impactor can be varied to control the cutoff size of
particles that will pass. In the cascade, large par-
ticles are trapped first followed by successively
smaller particles that are separated in the terminal
stages. The size resolution of the instrument is
controlled by the number of stages. Among these
systems, the MOUDI and ELPI have been used to
obtain a smaller cutoff allowing characterization
of nanoparticles. Problems with cascade impac-
tors include particle bounce, overloading of parti-
cles on the impaction plate, and interstage loss
[103]. Some workers have used oil-coated sub-
strates [123] and porous substrates [124] to over-
come the problem of particle bounce. Also, to
avoid the effect of humidity, Chen et al. [125]
suggested controlling the relative humidity
(RH) of the incoming aerosol of the MOUDI.
Another issue is particle clogging in the nozzles
because of long-term or high particle concentra-
tion sampling. This problem can increase the pres-
sure drop across the plates; thus, the nozzles need
to be cleaned periodically [122].
120
The MOUDI have found more widespread use
than low-pressure impactors because they are
equipped with a lower pressure drop-inertial filter
for classifying nanoparticles, restricting loss of
volatile species [122]. To facilitate much longer
operations, a second class of MOUDI called
MOUDI-II was developed. This model, as
shown in Fig. 23a, uses internal motors to rotate
the impaction plates [103], which makes more
uniform deposition of particles on the impaction
plates, increasing the operational lifetime and
reducing the probability of particle bounce.
The ELPI is an improved low-pressure impactor
in which particles are charged with a unipolar
charger and the mass aerodynamic size distribu-
tions, with a time response below 5 s, are obtained
by using electrometers on the stages of a cascade
impactor. However, Olfert et al. [126] noted that
the ELPI has a poor size resolution for submicron
particles and that the sensitivity of the electrome-
ters limits the ELPI to high aerosol concentrations.
Use of the QCM instrument was widespread in
the 1980s and continues to be used for many
applications. In a QCM, electrically charged par-
ticles impact a mechanically oscillating quartz
crystal disk and then deposit onto an electrode
attached to the center of both sides of the crystal.
The resonant frequency of the disk decreases as
the particles collect on it (Df ¼ CDm). The
changing frequency generates a signal that is pro-
portional to the collected mass. Figure 23b shows
a typical setup. One of the advantages of the QCM
is that it is a direct measurement with high
Airborne Nanoparticles: Control and Detection, Fig. 23 (a) 125 nano-MOUDI II with internal motor rotation and
(b) typical schematic of a quartz crystal microbalance
Airborne Nanoparticles: Control and Detection
sensitivity and accuracy [5]. The main drawbacks
include a high probability of particle bounce due
to the high frequency of the electrode, which
increases with particle size, and saturation at low
mass levels in which case the oscillation fre-
quency does not undergo a significant change.
Researchers successfully used a QCM to monitor
the deposition of nanoparticles [6, 103, 122].
Optical Measurement
Two physical phenomena, light scattering and
light absorption by particles, are the basis of
optical-based characterization of particles. Of the
two, light scattering has a larger application than
extinction. In a light scattering-based device, an
aerosol passes across a light beam (usually a laser)
where light is scattered by particles and received
by a photodetector (Fig. 24). The photoelectric
pulse’s frequency determines the number, and its
height gives the size distribution of the particles.
The scattering phenomena are described by Mie
scattering theory for particles with diameter about
equal to or larger than the wavelength of light and
Rayleigh scattering theory for particles with a
diameter about equal to or smaller than the wave-
length of light. Also, there are two approaches for
light scattering, by single particles or by an assem-
bly of particles. For a high-concentration particle
flow, the ensemble techniques are appropriate,
while single particle counters are suitable for mea-
suring low particle concentrations [5].
Airborne Nanoparticles: Control and Detection
Airborne Nanoparticles: Control and Detection,
Fig. 24 Optical scattering system of a double-lens laser
diffraction instrument. (6) The laser light, (2,4) lens, (3) the
sample cell, and (1) the forward-scattering detectors, and
(5) backscattering detectors. (Reprinted with permission
[127])
A great deal of research and development is built
on using the patterns of light scattering for particle
characterization. A partial list includes forward-
scattering spectrometer probe (FSSP-100)
(Knollenberg 1981) and FSSP-300 (Baumgardner
1992), 90 White Light-Scattering Analyzers
(Umhauer 1983), Particle Counter Sizer Velocimeter
(PCSV) (Holve and Self 1979a), Laser Doppler
Velocimetry (LDV) visibility based (Post 1978),
Phase Doppler Particle Analyzer (PDPA) (Bachalo
and Houser 1984), and Particle Dynamics Analyzer
(PDA) (Saffman 1984). Single particle counters have
some important limitations including collection effi-
ciency and noise/poor counting statistics at low con-
centrations, the Rayleigh effect for gas molecules,
and saturation at high particle concentration due to
coincidence and dead time. Researchers have devel-
oped some solutions to address these limitations. It
has been found that, overall, small particles scatter
light at a larger angle, while larger particles scatter at
a smaller angle. Therefore, forward scattering and
side scattering are not sufficient to characterize light
scattered from nanoparticles. Arakawa et al. [128]
used a collimated light beam in a vacuum sample cell
to reduce the Rayleigh effect from air molecules,
enabling the detection of smaller particles.
Bauer et al. [129] noted that the nanoparticle
measurement methods all remove the nanoparticles
from their original environment, and the particles
will rapidly change in response to the new envi-
ronment. For example, charging particles, such as
in the charging stage of a DMA, will change their
121
behavior, and it will change the particles them-
selves. A charged particle will have different rates
of growth and evaporation relative to a neutral
particle. A similar problem can occur in the mass
spectrometric analysis methods. In addition, Wang
et al. [130] found significant diffusional deposition
of nanoparticles at the bends or elbows of instru-
ments, which may distort results. Therefore,
recently, Bauer et al. [129] introduced a new tech-
nique called synchrotron small-angle X-ray scat-
tering (SAXS) in which high-intensity X-ray
beams from synchrotrons make it possible to mea-
sure nanoparticles directly in the gas phase, over-
coming the drawback. By comparing the results
with those of a differential mobility particle sizer
(DMPS) operated in parallel, they could show that
the SAXS method is able to measure the primary
particles and the aggregates, whereas the DMPS
measured only aggregates. They noted that in situ
direct nanoparticle measurement at ultralow vol-
ume fractions of ~1010 is feasible with SAXS
under atmospheric conditions.
Nanoparticles have an extremely low polariz-
ability because of their ultra-small size and are
therefore difficult to detect by light scattering-
based techniques [127]. There are physical limits,
for example, when comparing the wavelength of
visible light (ca. 500 nm) with the size of nano-
particles (e.g., 20 nm). Therefore, despite
advances with commercial optical particle coun-
ters to maximize the collection of scattered light,
their performance for nanoparticles is not satisfac-
tory. Furthermore, optical devices determine par-
ticle size based on the scattered light intensity.
Although this method is faster than other tech-
niques, variations in the refractive index of parti-
cles with the same size, which depends on the
morphology and chemical composition of the par-
ticle, will always cause variations in the scattered
light intensity [131].
Condensation Particle Counter (CPC)
Since the size distribution that can be determined
from optical techniques is not reliable for particles
with a diameter below 100 nm, aerosol science
had to find a new approach. The condensation
122 Airborne Nanoparticles: Control and Detection

particle counter (CPC) is a widely used optical
instrument capable of characterizing aerosols. The
method involves three steps: (I) generation of a
supersaturation of water vapor or another working
fluid, (II) growth of particles by condensation of
the vapors, and (III) the optical detection of the
enlarged particles, by counting individual pulses
of scattered light (Fig. 25). Condensation tech-
niques were used the first time by John Aitken
(1888) on atmospheric aerosols [5]. Several
models of CPC designed to detect particles within
the range of 1 nm to 10 mm have been developed
and commercialized by TSI (Thermo-Systems
Incorporated). In a common application, a CPC
is used in tandem with a differential mobility
analyzer (DMA) or a diffusion battery as a detec-
tor to determine the size-resolved number
concentration.
Operational conditions such as aerosol flow
rate, saturation rate, pressure drop gradients of
the flow paths, the temperature difference
between saturator and condenser, type of working
fluid, etc. affect the detection efficiency of com-
mercial CPCs. A number of researches have
looked into some modifications of CPCs in order
to enhance their use for aerosols with diameters

Pressure
Across Orifice
ΔP Critical Orifice
(1.0 L/min)

External Heated
Vacuum Optics
Fitting (40°C)
Focusing Collecting Lenses
Lens

Laser
Diode

Collimating Lens Photodetector

Cooled
Condenser Pressure
(22°C) ΔP Across
Nozzle

Water Filter Liquid-soaked

Removal Wick
Pump Heated
Saturator
(39°C)
Liquid
Drain Reservoir
Bottle
Sample lnlet
(1.0 L/min)

P Ambient Pressure

Airborne Nanoparticles: Control and Detection, Fig. 25 Flow schematic of TSI Model of 3772 CPC. (Reprinted
with permission [132])
Airborne Nanoparticles: Control and Detection
below 2 nm. Recent studies have shown that by
modifying the operating conditions of, e.g., the
TSI 3025A [133], TSI 3772 [134], TSI 3025
[135], and TSI 3010 [136], detection of sub-2 nm
particles is possible, with high detection effi-
ciency. The studies commonly focus on modify-
ing the temperature difference between the
saturator and the condenser tube [133] and work-
ing fluids [137]. These operational conditions
strongly affect the probability of the condensa-
tional growth of the smaller nanoparticles.
Particle Electrical Mobility
The method of determining the size distribution of
an aerosol using particle’s electrical mobility was
introduced about 120 years ago. Electrical mobil-
ity is perhaps the best and most widely used
technique for measuring ultrafine particles. As
mentioned above, there are significant obstacles
toward using optical techniques for the high-
resolution characterization of nanoparticles due
to weak light scattering by small particles, smaller
than the wavelength of light. However impaction
methods, e.g., MOUDI, can use pressures below
atmospheric to collect such particles. Over the last
few decades, the electrostatic force has been
exploited for sizing nanoparticles. As mentioned
Airborne Nanoparticles: Control and Detection, Fig. 26 (a) Schematic of a typical DMA. (Reprinted with
permission [139] and (b) SMPS DMA [5])
123
in section 4, when a particle charged by a corona
or gas phase ions is exposed to an electric field, it
migrates at a velocity that depends on its size and
morphology. A particle’s motion is described by
the balance between the applied electrostatic force
and aerodynamic resistance (drag). The forces on
nanoparticles are made sufficiently high to over-
come diffusional effects, yielding high-resolution
sizing. The determination of the size distribution
of an aerosol using these devices requires knowl-
edge of the charge distribution of the particles,
i.e., the charge number on particles with a given
diameter [5].
The differential mobility analyzer (DMA),
introduced by Knutson and Whitby [138], is the
main class of electrical mobility instruments. The
fundamental principle of this technique is shown
in Fig. 26a. The DMA is a cylindrical classifier in
which particles are charged by colliding with a
cloud of ions produced by a unipolar high voltage
central rod (corona electrode). Particle trajectories
then deviate radially from the airstream depending
on their size, toward the outer collection electrode.
The applied voltage of the corona can be varied
between 0 and 5 kV. A particle-free sheath flow
passes through the cylinder. Each ring collection
electrode is connected to an electrometer for mea-
suring the number of particles and their currents
which is related to the particle size.
124
The scanning mobility particle sizer (SMPS),
now the most common type of mobility analyzer,
was developed by Wang and Flagan [140] and
commercialized by TSI in 1993. The SMPS system
has three key components: the bipolar particle
charging chamber, the DMA, and the CPC. Bipolar
charging is applied in the charging chamber to
create a Boltzmann distribution of charges on the
particles. The charged particles then enter the
DMA from near the outer electrode. Figure 26b
shows a DMA used in commercial SMPS systems.
The particles, depending on their charge, are
attracted or repelled by the central electrode; the
voltage on the electrode may be varied. Particles
will thus experience a force depending on their
electrical mobility. Particles with a high mobility
are quickly deposited on one of the electrodes
(depending on polarity). Only particles within a
narrow, tunable range of mobility reach the extrac-
tion port at the end of the chamber. These selected
“monodisperse” particles are then introduced to the
CPC to measure their number concentration.
The DMA applies voltages to tune the mobility
range, and the voltages are scanned to obtain a
size-resolved number concentration. The SMPS is
often selected as a reference method in aerosol
research. In a classic SMPS program, a scan
takes 1 min or longer, introducing a risk that the
particle size distribution of the source could
change during the course of a single scan
[141]. Trostl et al. [142] have obtained a rapid
scan time of 3 s with a precision of 3% using a
newer model of SPMS (TSI 3082). However, the
scan range was limited to 2.21–60.4 nm. The
newest model of these instruments (TSI 3839)
provides the scan time of ~15 s.
Nano-sized particle size distributions can also be
measured using more rapid instruments such as the
Engine Exhaust Particle Sizer (EEPS, TSI 3090)
[143], which uses a design based on the electrical
aerosol spectrometer (EAS) [107], and the Fast
Mobility Particle Sizer (FMPS) (TSI 3091)
[110]. The time resolutions for the FMPS and the
EEPS are 1 and 10 Hz, respectively. While the
EEPS has been designed for engine emissions,
both can be used for industrial measurements [143].
Asbach et al. [144] compared the performance of
two TSI SMPS, one TSI FMPS, and one Grimm
SMPS. The FMPS measured a more narrow
Airborne Nanoparticles: Control and Detection
distribution and lower concentrations for NaCl aero-
sols, while for diesel soot, it showed a broader
distribution and higher concentrations, relative to
the TSI instruments. The authors noted that this
difference was probably due to the different particle
morphologies or particle size-dependent effects. The
SMPS recorded consistent results for both particle
sources. In addition, they found that the FMPS
underestimated the nanoparticle size distribution
by approximately 15% compared to the SMPS.
The Grimm SMPS found broader distributions and
higher concentrations than the TSI instruments. In a
similar study comparing the performance of an
EEPS with a CPC and an SMPS, Johnson et al.
[109] found that the particle number measured by
the EEPS was 50% higher than that measured by the
CPC. For size distributions the number concentra-
tion measured by the EEPS was less than the SMPS
for particles larger than 80 nm, in agreement with
the results obtained by Asbach et al. [144]. In
another study the determinations of an FMPS and
an SMPS did not have a significant difference in
their size distributions below 200 nm, but for larger
sizes, the FMPS delivered unreliable results [145].
An important disadvantage for fast-sizing
instruments is the low electrometer sensitivity
for high particle concentrations [141]. Also, the
broad unipolar charge distribution used in these
electrometer-based analyzers means that they
have a lower resolution than the SMPS [126].
The development of a new class of device called
fast integrated mobility spectrometry (FIMS)
described by Kulkarni et al. [146] may eliminate
the need for voltage scanning and increase the time
resolution of the classic SMPS. As described by
Kulkarni et al. [146], in a FIMS, particles are
charged and electrically separated into different
streamlines. The separated particles are introduced
into a condenser and grow into larger droplets. The
droplets are subsequently exposed to a pulse of
laser light and their image captured by a CCD
array. The images are processed to determine the
number of particles and the particle distance from
the electric field, which directly depend on particle
mobility. Counting the particles as a function of
their mobility means that the FIMS is able to mea-
sure the number size distribution of particles at a
comparatively impressive time resolution, much
faster than a classic SMPS. The ability to detect
Airborne Nanoparticles: Control and Detection
single particles with the FIMS allows it to measure
distributions with a higher signal/noise ratio than
for electrometer-based instruments [146].
With the exception of a few portable detectors,
e.g., the NanoScan SMPS (TSI 3910), commer-
cial mobility analyzers are heavy, large, costly,
and complex. Some of the research goals such as
personal exposure monitoring, deployment on
small aircraft, and spatial gradient mapping,
which require an array of sensors in the urban
environment, cannot be approached with current
tools. This need has driven research on newer
approaches for the particle mobility analyzer.
These instruments include the opposed migration
aerosol classifier (OMAC) [147], cross-flow ion
mobility spectrometer (CIMS) [148], and a mini-
ature electrical-mobility aerosol spectrometer
(MEAS) [149]. The OMAC is similar to a DMA
in that the opposing forces of aerodynamic drag
and electrostatic force are used to sort particles
into size bins. Particles of too-high and too-low
mobility are deposited on the porous electrodes;
only those particles with an electrostatic migration
velocity that balances the flow velocity can pass.
The system uses an applied voltage of ~1 V, much
lower than in a conventional DMA that would use
a potential difference of ~30 V at the same flow
rate. Also, the OMAC is much smaller than a
DMA because the distance between electrodes is
only 1 mm for the same operational condition.
The CIMS consists of a number of channels
between parallel plates that are 1 mm apart. The
charging electrodes are located at the edge of the
channel so that particles, after passing through
these electrodes, migrate across the channels
with the sheath flow air. While high concentra-
tions of particles may not be suited for
electrometer-based tools (FMPS, EEPS), the
CIMS showed a good performance for measuring
high-mobility gas ions and/or nanoparticles, at
high concentrations. The MEAS is a bipartite
rectangular chamber containing an electrostatic
precipitator and a classifier. Particles are charged
in the electrostatic section and subsequently
injected into the classifier region with a narrow-
range streamline at the desired location. The
charged particles are then separated based on
their electrical mobilities and collected on plates.
The plates are located inside of classifier and are
125
connected to electrometers. These electrometers
quantify current signals that are proportional to
the number of particles collected on the plates
[149]. The structure allows the detection of single
particles over a wide range of mobilities.
The equivalent aerodynamic diameter is only a
good approximation for spherical particles; this
fact limits the performance of any mobility-
based analysis method.
Particle Diffusion Mobility
The diffusion battery is a simple and well-
characterized diffusion-based aerosol classifica-
tion method that is free from some of the limita-
tions of the techniques discussed so far. Diffusion
batteries were developed to describe aerosols
according to their diffusional mobilities
[150]. The diffusion battery is a versatile, com-
pact, and simple system that can be easily cleaned
after use and does not require particle charging.
A diffusion battery comprises a stack of screens
and air is sampled at different stages of the flow.
The aerosol is passed through the screens, and
small particles with a large diffusion constant are
more likely to deposit; the particle diameter can be
derived from the particle size-dependent deposi-
tion rate. The technique is one of a few methods
that can measure nanoparticles down to 0.8 nm,
i.e., a cluster of just a few molecules. To achieve
the size-resolved concentration of nanoparticles,
diffusion batteries are often accompanied by a
CPC, but this combination limits its use as a
personal monitor [151]. Diffusion battery systems
have been made in several designs. Wire screen
batteries are most commonly used to determine
size distributions. Diffusion mobility-dependent
size distributions have been used in countless
studies (see, e.g., [113, 151–154]).
Measurements of Nanoparticle
Composition and Morphology
Measurements of the composition and morphology
of airborne nanoparticles central to determinations
of pollution sources, toxicity, and atmospheric
behavior. The most common techniques are
126
aerosol mass spectrometer (AMS), scanning elec-
tron microscopy (SEM), and transmission electron
microscopy (TEM).
An AMS designed and developed by Aero-
dyne Research, Inc. (ARI), is used worldwide to
determine the size-resolved mass concentrations
of non-refractory aerosol. At first, the Aerodyne
AMS was useful for measuring the ensemble
average data of the composition of the mass size
distributions of fine particles with aerodynamic
diameters of ~50–1000 nm, based on a quadru-
pole mass spectrometer [155]. With time the sen-
sitivity and time resolution of the AMS were
developed along with its ability to analyze single
particles, along with a shift to time-of-flight
(ToF)-AMS which provide higher mass resolu-
tion. The instrument has three main sections: the
aerosol inlet (particle beam generation), the parti-
cle size discrimination chamber, and the compo-
sition measurement chamber. Fine particles are
focused into a particle beam by an aerodynamic
lens in the entrance section and then pass through
a sizing chamber. After that, the beam enters the
particle composition detection chamber where
particles reach a hot surface (~600  C) causing
them to vaporize. The chemical composition of
the vapor is determined by electron impact ioni-
zation (EI) and mass spectrometry [156].
Previous studies have shown the technique can
be used to measure the size-resolved mass com-
positions of particles [115, 155–157]. Jimenez at
al. [155] used a ToF-AMS for the study of atmo-
spheric fine particles. This study determined the
size-resolved mass composition ratios and chem-
ically resolved mass distribution for atmospheric
fine particles. Also, they observed that mass con-
centrations of sulfate and nitrate measured with
the AMS agree with those measured by ion
chromatography-based instruments. TOF-AMS
has been developed by Su et al. [157] to measure
fine and ultrafine particles, specifically particles
measuring less than 100–300 nm in diameter. The
aerodynamic size of the particles is determined
using light scattered as the particle passes through
two continuous-wave laser beams. Onasch et al.
[115] used a soot particle AMS (SP-AMS) for the
physical and chemical characterization of black
carbon. The SP-AMS is equipped with an
Airborne Nanoparticles: Control and Detection
intracavity laser vaporizer (1064 nm), along with
a common resistively heated tungsten vaporizer.
They showed that the laser vaporizer could mea-
sure both the refractory and non-refractory
components.
SEM is a microscopic method that probes a
sample with an electron beam and can be used to
characterize the morphology and to some extent
the composition of nanoparticles deposited on a
conductive substrate. A typical SEM includes the
electron column, scanning system, and detectors.
The electron column operates in vacuum and con-
sists of an electron gun and electromagnetic
lenses. A sample is introduced into the column
and is irradiated by a beam of electrons generating
secondary electrons (SEs), backscattered elec-
trons (BSEs), and X-rays [158]. Generally, the
secondary electrons are produced by inelastic
scattering, while backscattered electrons are
caused by elastic scattering of the electrons by
the sample. Normally secondary electrons have a
low energy, ca. 50 eV. These electrons are ana-
lyzed, for example, using an Everhart-Thornley
detector with a scintillator/photomultiplier sys-
tem, yielding topographic information about the
sample. For SE images, the edges of the sample’s
elements are usually brighter, due to the intensity
of electron emission. The generation of back-
scattered electrons is related to the atomic number
of the elements in the sample with higher atomic
number giving a brighter image, providing a
rough elemental analysis especially for heavier
elements. Backscattered electrons are generated
at depths of 0.5–1 mm, and thus the spatial reso-
lution of the images is less than for secondary
electrons. The backscattered electrons can be
detected by scintillator and solid-state detectors.
When secondary electrons are produced by the
interaction of the electron beams and the sample
atoms, holes are left in the inner shells of the atom.
X-rays are emitted when outer shell electrons
relax into the vacancy. The frequencies of light
are characteristic for specific elements and even
contain information about their chemical binding.
For technical reasons, these characteristic X-rays
are analyzed for all elements except hydrogen and
helium. The X-rays are detected by either EDS or
wavelength dispersive spectroscopy. In an SEM,
Airborne Nanoparticles: Control and Detection
Bremsstrahlung X-rays (continuum or back-
ground X-rays) also can be produced by the decel-
eration of the primary beam electrons by the
electric field of the nuclei of the sample atoms.
An FESEM (field emission SEM) is an SEM
optimized for operation at a low energy range
(<5 kV), using an electron gun that produces a
low- and high-energy electron beam. This kind of
operation produces high resolution and also
enables scanning at low potentials [159].
Transmission electron microscopy (TEM) can
be used to characterize nanoparticle size, mor-
phology, chemical composition, crystallinity and
structure, thermal volatility, and mixing state,
because of its resolution down to fractions of a
nanometer. A TEM is very similar to an SEM. In
TEM, the objective lens is placed after the sample
area in order to image electrons that have been
transmitted through the sample. These electrons
may have been scattered (elastically or
inelastically) or transmitted (without any interac-
tions with the sample atoms). If the sample area is
thicker, fewer electrons are transmitted and the
images will be darker; thus, a thinner sample
will make brighter images. Elastically scattered
electrons do not lose their energy when interacting
with the sample atoms, but the angle at which they
scatter, according to Braggs Law, can be used to
characterize crystalline regions. Inelastically
scattered electrons lose energy due to interactions
with the atoms in the sample providing elemental
analysis and bonding information [160]. Many
examples of the use of SEM and TEM to charac-
terize airborne nanoparticles can be found in the
literature [116, 161, 162].
Future Prospects
In this review, the most important and feasible
techniques for removing nanoparticles from an
airstream have been presented. Despite their very
high filtration efficiency, the existing filtration
methods have a high pressure drop, resulting in
high energy consumption. The electrostatic pre-
cipitator does not have this problem; however,
there are limitations to its use because the high
voltage generates ozone, in addition to its size,
127
capacity, and energy use. There is an inevitable
trade-off between purification performance and
economic and technical feasibility. As a conse-
quence, there is a continual desire to develop
more appropriate and advanced methods. Filtra-
tion of nanofibers and nanotubes, with the lowest
possible pressure drop, may be possible by
designing the arrangement of nanofibers or by
using the high-performance monolayers.
The most common and commercially success-
ful nanoparticle-measuring techniques have been
reviewed. Based on the available literature, the
field of nanoparticle measurement has important
gaps including development of new techniques
better suited to different environmental conditions,
improving the sensitivity of electrometer-based
instruments and the response time of charging-
based instruments and addressing inability to suc-
cessfully use light-based and mass-based tech-
niques. As always, it would be desirable to have
instruments that are smaller and more robust.
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 proxy for general indoor air quality including
Indoor Air Quality: Status and bioeffluents. Continued exposure to CO2 levels
Standards over 2500 ppm have been linked to drowsiness
and tiredness. Studies have shown impacts on
Freja Hasager1, Joachim Dithmer Bjerregaard1, decision making and focus from around
James Bonomaully2, Hasse Knap2, 1300 ppm [1].
Alireza Afshari3 and Matthew Stanley Johnson1,2 Carbon Monoxide (CO) CO is a product of
1
Department of Chemistry, University of incomplete combustion. Indoor sources include
Copenhagen, Copenhagen, Denmark heaters and stoves, tobacco smoke, and candles.
2
Airlabs, Copenhagen, Denmark CO is toxic to humans. Ambient air contains
3
Danish Building Research Institute, Aalborg about 1 ppm of carbon monoxide. In busy
University Copenhagen, Copenhagen, Denmark streets, the atmospheric mole fraction can be in
the range of 10–20 ppm. Indoor levels generally
follow outdoor levels except in poorly venti-
Article Outline lated houses with indoor CO sources [2].
Formaldehyde (CH2O) CH2O is a volatile
Glossary organic compound that is found in indoor air
Definition due to off-gassing from building materials
Introduction containing adhesives and polymers and objects
Biological, Physical, and Chemical Sources of like furniture and fabrics. It is also formed from
Pollution the oxidation of hydrocarbons; in the indoor
Deposition of Pollutants environment, this includes cigarettes and
Ventilation Systems in Buildings ozonolysis of aromatic hydrocarbons. Indoor
In Situ Chemistry concentrations depend on the age of the build-
Indoor Air Quality and Health ing and vary depending on season and time of
Remediation Methods day. CH2O is known to cause adverse health
Sustainable Buildings effects in humans. According to the World
Future Directions Health Organization’s guideline for formalde-
Bibliography hyde, exposure should not exceed 0.1 mg/m3
(30-min average) [3].
Glossary Ventilation Systems Ventilation can be effectu-
ated by mechanical or by natural means. In
Aerosol A suspension of particulate matter com- mechanical ventilation, fans are used to venti-
posed of solid and/or liquid material in a gas. late an enclosed space, while natural ventila-
Carbon Dioxide (CO2) CO2 is a part of the tion is dependent on the outside conditions and
atmosphere (>405 ppm), and indoor concen- is driven by natural forces.
trations in excess of ambient are mainly gener- Because modern buildings are becoming
ated by people, about a kilogram per day more well sealed (more impenetrable), ventila-
depending on metabolism. The indoor expo- tion or air exchange rates between indoor and
sure limit is commonly taken as 1000 ppm, a outdoor air have decreased. This improves ther-
level at which the negative health effects of mal efficiency, but contaminants from indoor
CO2 are not yet significant. CO2 is a useful sources will be trapped inside resulting in ele-
vated pollutant concentrations that can cause
Freja Hasager and Joachim Dithmer Bjerregaard adverse health effects in the occupants. It is
contributed equally. now recognized that an optimal balance between
© Springer Science+Business Media, LLC, part of Springer Nature 2021 135
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_1097
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2019, https://doi.org/10.1007/978-1-4939-2493-6_1097-1
136
energy conservation and indoor air quality
(IAQ) must be maintained to provide the occu-
pants with a healthy indoor environment. CO2
can be used as general indicator of indoor air
quality (IAQ) and ventilation rate, as low ven-
tilation rates will cause the accumulation of
CO2 as well as other pollutants. CO2 sensors
are often used in demand controlled ventilation
to control bioeffluents from humans. A stable
level of 850 ppm of CO2 should be sufficient
for a healthy indoor environment and could be
provided by a ventilation rate of 10 l/s per
person.
Particulate Matter (PM) Particulate matter is a
conglomeration of molecules in the liquid and/or
solid phase occurring, together with gas, in an
aerosol. PM is typically characterized according
to mass and aerodynamic diameter. PM10 is
defined as the total mass density (mg/m3) of all
particulates with an aerodynamic diame-
ter
10 mm, PM2.5 is a measure of all particu-
lates with an aerodynamic diameter
2.5 mm,
and ultrafine particles (UFP) are particles with an
aerodynamic diameter
0.1 mm.
Primary and Secondary Pollutants Primary
pollutants are pollutants directly emitted from
a source. Secondary pollutants are formed in
situ from primary pollutants.
Sick Building Syndrome (SBS) A situation in
which people who spend time indoors feel
unwell and suffer from symptoms including
throat irritation, difficulty breathing, runny
nose, sneezing, headache, dizziness, difficulty
concentrating, and nausea. The severity of
symptoms often increases with the amount of
time spent in the building.
Technosphere The technosphere is the part of
the environment modified by technology and
includes buildings, vehicles, and public infra-
structure like the subway and highways.
Humans spend the majority of their time in
the technosphere.
Terpenes A class of hydrocarbons of biological
origin with a skeletal structure derived from
isoprene. Of particular concern in the indoor
environment are monoterpenes like pinene,
limonene, linanool, and menthol, used as
scents, e.g., in cleaning agents.
Indoor Air Quality: Status and Standards
Ventilation Rate The flow of outdoor air into a
space resulting in removal or dilution of indoor
air pollutants. Given in units of volume
per time or air exchanges per hour.
Volatile Organic Compound (VOC) Volatile
organic compounds (VOCs) are organic
chemicals that have a high vapor pressure
(boiling point below 250  C) at room temper-
ature. There are many VOCs, both natural and
man-made, including most scents and odors.
Many VOCs are regulated by law due to their
health impacts [4].
Definition
Humans have practically become an indoor spe-
cies, spending up to 87% of their time in build-
ings. The technosphere has thus become the most
important environment when it comes to air pol-
lution exposure. Following the oil crisis in the
1970s, buildings have become better sealed, in
order to minimize energy use. This development
led to lower ventilation rates, and accumulation of
indoor air pollution. Strategies have been
implemented to ensure sufficient indoor air qual-
ity for people in buildings. This chapter gives an
overview of indoor air pollution – its sources,
sinks, health effects, and remediation methods.
Introduction
Shelter is one of humanity’s most basic require-
ments and our species is unique in having mas-
tered the use of fire for heat and cooking food. The
first people to discover that indoor air quality
matters were probably the cave dwellers.
Research shows that cave dwellers addressed the
problem by placing their fires at the entrance, to
increase ventilation of smoke [5]. In the modern
world, people spend the majority of their time
indoors; at work or at home. According to one
study, up to 87% of our time is spent indoors,
which makes the technosphere the key environ-
ment in terms of pollution exposure; modern man
is basically an indoor species [6]. Even though we
spend this amount of time indoors, many studies
Indoor Air Quality: Status and Standards
show that people rate the risk of poor air quality
from outdoor sources higher than indoor sources.
Homo sapiens evolved a particular gene in the
aryl hydrocarbon receptor that makes us less sen-
sitive to environmental pollutants including
smoke from fire. This gene occurs uniquely in
humans and is not found in closely related species
like Homo neanderthalensis. Researchers believe
that the ability to gather around a fire for cooking
and heating gave Homo sapiens this relative
advantage [7]. Paradoxically, the World Health
Organization (WHO) has determined that nearly
four million people die each year due to indoor air
pollution, largely by pollution from fires used for
cooking and heating [8].
While much research has been done on outdoor
air pollution, indoor air pollution has not received
the same attention; prior to the mid-1970s, the
level of interest was very low. The oil crisis in
the 1970s resulted in buildings becoming better
sealed and insulated to reduce heating expenses,
leading to accumulation of indoor air pollutants.
The term sick building syndrome (SBS) was
coined by the WHO in 1986. At that time, the
WHO estimated that 10–30% of new office build-
ings had poor indoor air quality. Symptoms of
SBS include headache, eye, nose, and throat irri-
tation, fatigue, dizziness, and nausea. There is
now increasing concern regarding indoor air qual-
ity [9]. In the United States, indoor air is often
recirculated to improve energy efficiency; outdoor
air is mixed with indoor air in air handling units
(AHUs). This reduces the energy used to adjust
humidity and heat (or cool) the outside air to
control the indoor air temperature. Consequently,
this leads to a decrease in the air change rates in
buildings, which lowers the indoor air quality
(IAQ).
There are many sources of indoor air pollution.
The materials used in buildings, such as glues,
paint, sealants, carpets, walls, and furniture, give
off volatile organic compounds (VOCs). The con-
centrations of VOCs and other indoor pollutants
are often higher than outdoor concentrations;
indoor air can be as polluted as outdoor air with
the added burden of the indoor sources
[10]. Indoor air pollution is a complex problem;
one example is that building standards are not
137
uniform throughout the world. In some cases
they are not enforced, or they may not exist. In
addition, up to 90% of people in developing coun-
tries rely on coal and biomass for their domestic
energy. These fuels are typically burned inside,
which means that IAQ is a much bigger concern in
developing countries, as this results in high indoor
concentrations of pollutants [11].
This state-of-the-art review article gives an
overview of different types of indoor air pollutants
as well as their sources and sinks, in situ chemis-
try, and their health impacts. Remediation strate-
gies are also assessed, as well as sustainable
building practices.
Residential Air Pollution
Exposure to indoor air pollution is especially
problematic in areas that may combine poor ven-
tilation, lack of building standards and enforce-
ment, and indoor pollution sources including fires
for cooking and heating. People in the developing
world rely heavily on in situ generation of energy
for their daily activities. In 2012, the WHO stated
that over 1.6 million people died of causes attrib-
utable to household air pollution in South-East
Asia, and around 1.6 million in the Western
Pacific, and around 100,000 people in Europe.
The combustion of fuels like wood and coal in
indoor environments leads to exposure to smoke
including particulate matter (PM) and volatile
organic compounds. PM is often described by
the metrics PM10 and PM2.5, the total particulate
mass per volume of air with an aerodynamic
diameter less than 10 and 2.5 mm, respectively.
PM found in the air is a combination of liquid
droplets and airborne solid particles. Liquids can
include an aqueous phase with dissolved salts and
an organic phase. Solids can include soil minerals
and organic material. Specific chemical compo-
nents include sodium, potassium, ammonium,
sulfate, nitrate, chloride, bi/carbonate, and black
carbon. Inhalation of PM leads to its deposition in
the respiratory tract. Coarse particles mainly
deposit in the airways of the head, and fine and
ultrafine particles penetrate deep into the lungs
where they introduce foreign chemicals directly
into the bloodstream. Examples of pollutants from
combustion include soot, polycyclic aromatic
138
hydrocarbons (PAHs), carbon monoxide (CO),
and formaldehyde (CH2O). The composition of
PM is highly variable and depends on its origin
and processing in the atmosphere. Some PM orig-
inates from engines burning liquid hydrocarbons.
This PM, commonly found in urban areas, con-
tains a mixture of black soot, fuel residues, and
water. Indoor pollution also includes compounds
emitted from noncombustion sources, such as
building materials, paints, impregnated surfaces,
plastics, cleaning agents, batteries, plumbing,
etc. Increased attention to these pollutants has
led to decreased exposure in developed countries;
however, they are still an important class of pol-
lutants in developing countries. Some specific
examples include formaldehyde, radon, asbestos,
lead, VOCs, moisture, and mold.
The concentrations of PM indoors are
influenced by indoor materials and activities, and
outdoor sources. A large source of indoor pollu-
tion is tobacco smoke [12]. A cigarette contains
up to 4000 different chemicals, and many deposit
onto particles and surfaces such as walls and fur-
niture. Besides serious health problems, the accu-
mulated pollution also causes discoloration and
aging. The deposition of environmental tobacco
smoke (ETS) onto indoor surfaces results in addi-
tional exposure beyond inhalation as deposited
ETS can be absorbed through the skin. Deposited
ETS is reemitted over the course of hours to
months, and is a significant source of airborne
particles in places where smoking is allowed.
The concentration of indoor ETS can be much
higher than outdoor concentrations [13].
Air Pollution in Industry and Public
Infrastructure
People working in industries such as foundries,
chemical and food processing, and waste manage-
ment can be exposed to air pollution in excess of
levels typically found in residential air pollution.
For instance, workers in nuclear power plants
have a higher risk of exposure to radioactive
materials; in the same manner, a worker in vehicle
manufacture has a higher risk of contacting sol-
vent vapors from glues or paint, or metal vapor
from welding. Most industrial countries have
implemented strict regulations in order to
Indoor Air Quality: Status and Standards
maintain a safe working environment and mini-
mize the potential of exposure to high levels of
polluted air in the workplace. However, there are
many countries where such regulations do not
exist or are not enforced, and many people are
unnecessarily exposed to hazardous levels of pol-
lutants. Poor IAQ is linked to decreased produc-
tivity and personal satisfaction, while increasing
illness and workplace absence. Altogether,
improving IAQ provides short- and long-term
monetary benefits for companies [14].
Air Pollution in Offices
Office equipment is a well-known source of
indoor air pollution. However, “office” spans a
wide range of types of spaces, uses, and climatic
conditions around the world. Establishing a sys-
tematic guide to office pollution is quite challeng-
ing. Generally, office equipment like computers
and printers is a source of VOCs, SVOCs (“semi-
volatile organic compound,” which include bro-
minated flame retardants and organophosphates),
dust (PM), and ozone. Printers and copiers emit,
on average, more VOCs than computers; these
emissions may include xylene, toluene, and
other alkylbenzenes. Ozone from printers easily
reacts with other indoor pollutants creating sec-
ondary pollutants and ultrafine aerosol particles
[15]. In this regard, the U.S. Environmental Pro-
tection Agency (EPA) gives a simple but effective
checklist on how to keep office air healthy. People
should be responsible for keeping airways clear
and unblocked, use dedicated smoking areas, tak-
ing care of plants, and managing food and waste
properly. Managers, in addition, are responsible
for maintaining a clean working environment by
integrating optimal HVAC systems, preventing or
avoiding polluting office supplies and equipment,
and developing other strategies to improve the
overall IAQ (US EPA, 2014) [16].
Biological, Physical, and Chemical
Sources of Pollution
Indoor air pollution is typically divided into that
stemming from occupancy and that from building
materials; the pollution may be of biological,
Indoor Air Quality: Status and Standards 139

physical, or chemical origin. Outdoor air pollution RH can damage building materials; mold and
from whatever source enters a building by entrain- fungus can grow when RH is above ca. 50%.
ment with supply air or infiltration through the
building envelope. Biological pollutants are emis-
sions from living organisms, e.g. CO2, water
Deposition of Pollutants
vapor, bioeffluent gases, mold, bacteria, viruses,
and dandruff. Physical sources of pollutants are
Outdoor air pollutants can be removed from the
emissions from surfaces commonly found in
gas phase by deposition, where the pollutant is
households such as furniture, electronics, paints,
absorbed onto a surface or absorbed into a mate-
building materials, and household cleaning prod-
rial. There are two main processes by which
ucts (Table 1). These types of pollutants are
chemical species from the atmosphere can
named primary emissions. The most important
deposit. First, wet deposition is the washing out
physical source of air pollution is outdoor air
of chemicals by precipitation, through rain, fog, or
pollution, which enters the building through ven-
snow, which occur outdoors. The second is dry
tilation systems, doors and windows, and cracks
deposition, which is the transfer of a species from
or openings in structures. Chemical sources of air
the gas phase directly onto a surface, in the
pollution include in situ production of secondary
absence of precipitation. Dry deposition is the
pollutants, i.e., products formed from reactions
primary way that atmospheric species deposit
between primary emissions and light or reactive
indoors.
gases like ozone, NOx, and OH. It should be
The deposition velocity describes the rate at
mentioned that when designing ventilation sys-
which an atmospheric species deposits on a sur-
tems, CO2, temperature, and relative humidity
face. It depends on a number of factors:
(RH) are the central considerations. Prolonged
periods with moisture levels in excess of 75%
• The solubility of pollutant

Indoor Air Quality: Source Pollutant Type References

Status and Standards,
Building materials VOCs Physical [17]
Table 1 Sources of indoor
Biocides
air pollutants listed
Plasticizers
alphabetically
Flame retardants
Carpets VOCs Physical [16]
Computers Ozone Physical [15]
Cooking PM Chemical [17]
Formaldehyde
Soot
CO2
Furniture VOCs Physical [17]
Heating Biocides Physical [17]
VOCs
Lightning technologies Phenols Physical [17]
Cresols
Flame retardants
PM
Paint VOCs Physical [16]
People CO2 Biological [17]
NH3
H2O
Dandruff
Printers Ozone Physical [15]
140
• Atmospheric turbulence
• Properties of the surface
The deposition velocity can be described by
the resistance model, illustrated in Fig. 1. The
model uses three parameters to describe the bar-
riers to deposition. The deposition velocity v1
d is
given as:
v1
d ¼ rt ¼ ra þ r b þ rc
where ra is the aerodynamic diameter, rb is the
quasi-laminar, and rc is the surface resistance.
The first step for deposition is the transport of a
chemical species from the bulk to the quasi-
laminar layer. This is a thin layer in which flow
is parallel to the surface; a depositing species
cannot get closer to the surface by flow alone.
The first parameter, the aerodynamic resistance,
depends on the rate of mixing of the bulk air by
convection, turbulence, and diffusion. To cross
the quasi-laminar layer, a particle must leave the
streamline of flow; it must somehow move per-
pendicular to the motion of air. This can take place
either by gravitational settling or through diffu-
sion. By their natures, gravitational settling is
Indoor Air Quality:
Status and Standards,
Fig. 1 Resistance model
for dry deposition [18]
Indoor Air Quality: Status and Standards
faster for large particles (D > 1 mm) and diffusion
is faster for small particles (D < 100 nm). In
between the large “coarse” particles and the
small “ultrafine” particles, the “fine” particles
accumulate [18].
Surface resistance, the final step before uptake
at the surface, depends on the nature and proper-
ties of the surface. If a particle hits a smooth inert
surface, it is more likely that it will bounce off
instead of depositing [18]. For example, more
particles will deposit on a carpet than on a wooden
floor, and more VOCs will deposit on curtains
than on marble countertop [19]. Furthermore,
deposition of large particles is more likely to
happen onto the floor as there is a significant
deposition velocity that can carry the particles
through the quasi-laminar layer [20].
Interaction of Humans with Indoor Air
Pollution
Humans can act to reduce air pollutants in a num-
ber of ways. One simple way is through behaviors
such as opening a window or using a mechanical
ventilation system, which removes the polluted air.
Another way is by limiting pollution sources, like
Indoor Air Quality: Status and Standards
making sure all fuel-burning appliances in the
home are working properly. The growth of mold
can be discouraged by keeping humidity below
50%. Old air filters can themselves be a source of
odor and pollution. Replacing the air filters in an air
conditioning system regularly keeps appliances
working properly and indoor air quality is
improved. Activities like smoking and painting
should be done outside. Many people are surprised
to learn that candles are a large source of particulate
matter indoors. Cleaning is another way to mini-
mize indoor air pollution. Dust can pull SVOCs
from solid materials and release them to the air,
thus introducing pollutants to the air that would
otherwise have remained in the material. It is cru-
cial that the cleaning agent used is perfume free, as
it otherwise functions as a pollution source itself.
Limonene and a-pinene are VOCs often found in
household cleaning products, giving lemony and
piney scents, respectively [21]. These and other
aromatic compounds used as scents can undergo
reactions with ozone yielding oxidation products
harmful to humans, thus contributing to ultrafine
particles in the indoor environment. Humans also
act as sinks by inhaling the polluted air, leading to
deposition of pollutants in our tissue. Deposition
can also occur onto skin, thus introducing pollut-
ants directly to the bloodstream. When pollutants
enter the human body, they can cause adverse
health effects such as eye and airway irritation,
respiratory diseases [22], cardiovascular diseases
[23], and cancer.
Ventilation Systems in Buildings
As mentioned earlier, humans spend most of their
time indoors, thus mainly breathing indoor air.
Hence, heating, ventilation, and air conditioning
(HVAC) systems have been developed to
recirculate air inside buildings, to provide accept-
able IAQ and thermal comfort. Ventilation is
defined as the “process of exchanging or replacing
air in any space to provide high indoor air quality
which involves temperature control, oxygen
replenishment, and removal of moisture, odors,
smoke, heat, dust, airborne bacteria, carbon
141
dioxide, and other gases.” [24]. The main purpose
of ventilation is to dilute indoor air pollutants and
to eventually get rid of them by filtration or by
releasing them outdoors. It can be achieved in two
general ways: mechanical or natural.
Mechanical ventilation relies on fans to drive
ventilation. Mechanical ventilation relies on air
handling units (AHUs) that supply outdoor air
into a building and can also provide filtration,
dehumidification, and conditioning of the supply
air. Natural ventilation is driven by pressure differ-
ences that occur naturally in and around buildings.
The total driving pressure depends on the wind
speed and direction, the temperature difference
between zones (e.g., the interior and exterior),
and the difference in height between inlets and
outlets. Natural ventilation takes advantage of
fluid behavior to channel the air through openings
in the buildings [25, 26]. Natural ventilation is a
cheap and efficient option, provided the ambient
air is clean and free of pollution. However, it is not
always suitable due to local climatic conditions for
instance in very humid, cold, or hot environments.
Natural ventilation can be difficult to control, since
it depends on natural driving forces. Mechanical
ventilation techniques enable the construction of
airtight buildings with integrated climate control
units (CCU), which reduce the cost of temperature
control. Mechanical ventilation can be controlled
and monitored, but power or other types of failure
can compromise its functionality. In contrast, nat-
ural ventilation systems are passive and efficient in
supplying un-conditioned outdoor air. They have
no need for maintenance and use no energy to drive
ventilation. However, they can be difficult to con-
trol and the supply air is un-conditioned. In periods
with cold outdoor temperatures, occupants may
experience low indoor temperatures and draught.
Control can be improved by adding a control sys-
tem and fitting actuators to shutters, dampers, and
windows; however, the system will then no longer
be passive or entirely maintenance-free and would
be properly classified as a hybrid system, i.e., one
that employs both natural and mechanical elements
[25–27]. Many people like to control the environ-
ment themselves by controlling windows and
shades.
142 Indoor Air Quality: Status and Standards

Indoor Air Quality: Status and Standards, Indoor Air Quality: Status and Standards,
Table 2 Impact of smoking on required ventilation Table 3 Lifetime of typical VOCs found in indoor
(Modified from [28]) environments
Proportion of Supply air Common indoor VOC Lifetime (days) References
occupants that (liter/ Limonene 0.02 [30]
Level of smoking smoke (%) person) a-Pinene 0.082 [30]
No smoking 0 8 Isoprene 0.32 [30]
Some smoking 25 16 Ethanol 2.8 [31]
Heavy smoking 45 24 Benzene 9.4 [32]
Very heavy smoking 75 36 Acetone 10–30 [33]

One of the key concepts of ventilation is the air @t = change in time

change rate (ACR), a ratio between the hourly V_ pol = pollutant indoor generation rate
ventilation rate divided by the volume of the
space, as shown in the following formula [25]:
However, this formula does not take other
removal processes into account, such as deposi-
Q¼kV
tion or chemical reaction (sink effect).
where:

Q = ventilation rate (units of volume/units of In Situ Chemistry

time, e.g., m3/h)
k = air change rate or exchange rate (e.g., 1/h)
V = volume of the room (e.g., m3)
The exchange rate expresses how often the air
inside a confined space is renewed with outdoor
(or re-circulated) air. In offices, the usual air
change rate is about 3–4 h1, compared to
20–30 h1, for bars and nightclubs. In addition,
tobacco smoking has a significant impact the air
removal required to maintain a stable healthy
environment (Table 2).
The concentration of a well-mixed pollutant
inside a ventilated room can be modeled as
[25, 26]:
@c
V ¼ qðc0  cÞ þ V_ pol
@t
where:
V = volume of room
c = concentration of pollutant
q = ventilation rate
c0 = supply air concentration
@c = change in concentration
Indoor air contains a mix of pollutants from both
outdoor and indoor sources. The outdoor and
indoor environments can be regarded as two iso-
lated reaction chambers, where compounds emit-
ted from primary sources can interact and form
secondary pollutants [29]. Many of the primary
VOC emissions are harmless to humans, but they
can react with oxidizing species such as O3, OH,
and NOx to yield secondary pollutants with nega-
tive effects both on health and comfort [29]. Typ-
ically, primary pollutants are VOCs that form
secondary pollutants upon reaction with ozone
or radicals. The lifetime of chemical species is
an important factor when assessing air pollutants.
Compounds with short lifetimes will most likely
undergo reaction shortly after being emitted, and
potentially form harmful secondary pollutants.
Compounds with longer lifetimes will not be
removed by chemical reaction, but instead by
ventilation. In Table 3, the lifetimes of some com-
mon indoor VOCs are shown, based on reaction
with OH and O3. The table displays tropospheric
lifetimes, as they are determined from outdoor OH
and O3 concentrations, but the trend in lifetimes is
expected to reflect indoor conditions.
Indoor Air Quality: Status and Standards 143

Oxidizing species like NOx, O3, HONO, and
OH radicals drive indoor air chemistry; they can
be very reactive. OH has a lifetime of less than 1 s
due to its high reactivity with almost all types of
pollution [34]. In the indoor environment, the
major sources of OH are the reaction of ozone
with unsaturated compounds, reaction of ozone
with aromatic compounds, the reaction of HO2
with NO, and the photolysis of HONO
[35]. Ozone and NO are mainly introduced to
the indoor environment from outdoor air, while
HONO is the product of a heterogeneous reaction
between water absorbed on a surface and NO2.
Figure 2 shows a summary of the different

Indoor Air Quality:

Status and Standards,
Fig. 2 Overview of main
reactions taking place
indoors. For further
information on the third
panel, see [36]. ‘M’ is a
molecule from the
atmosphere, a collision
partner, and O/C is the
Oxygen to Carbon ratio
144 Indoor Air Quality: Status and Standards

Indoor Air Quality: Concentration range

Status and Standards, Compound Location (mg m˗3)
Table 4 Typical indoor
HONO Living space 0.08–1.4
concentrations of reactive
species [37, 38] OH Indoor air 0.1–4
NO2 Living space 10–200
O3 Indoor air 5–300
NO2 Kitchen 300–3000

Indoor Air Quality: Status and Standards, Table 5 Possible oxidation products of common indoor compounds [37]
Reagent Products Indoor source
a-Pinene Pinene oxide, pinoaldehyde Wood
Diethylhexyl phthalate (DEHP) 2-ethyl-1-hexanol Plasticizers
Limonene Limonene oxide, carvone, formaldehyde Wood
Linoleic acid Hexanal, heptanal, 2-heptanal, octanal Food
Tris(2-chloroethyl)phosphate (TCEP) 2-Chloroethanol Flame retardants

reactions occurring in the indoor environment,
mainly from the HOx, NOx,, and VOC perspec-
tives as these are responsible for the majority of
indoor air chemistry.
Typical indoor concentrations of oxidation
species and common indoor air pollutants along
with their reaction products are given in Tables 4
and 5, respectively.
Ozonolysis
Pollutants can undergo reaction with other chem-
ical species present in a building, for example,
ozone. When ozone reacts with an unsaturated
organic compound leading to bond cleavage, it is
called ozonolysis. For example, ozone air pollu-
tion will deposit on indoor surfaces and oxidize
them, damaging fabric, paint, rubber, and adhe-
sives releasing oxidation products. Ozone adds to
a double bond creating an intermediate where
bond cleavage can occur at different sites,
resulting in many different oxidation products.
When reaction happens, the initial compound is
degraded, meaning that ozone works as a sink for
primary pollutants. However, many oxidation
products are also pollutants; hence, ozonolysis
removes primary pollutants but instead creates
secondary pollutants. An example is the reaction
between ozone and monoterpenes that yields
secondary organic aerosols (SOAs), formalde-
hyde and hydroxyl radicals (OH). OH radicals
are very reactive and can react with any organic
compound contributing further to the formation of
secondary pollutants. These are frequently more
potent irritants than their precursors [39]. An
example of an ozonolysis of a common monoter-
pene is the reaction between O3 and limonene [40]
shown in Fig. 3.
The reaction scheme in Fig. 3 shows that lim-
onene ozonolysis gives many different oxidation
products. In many cases, the products have a
lower vapor pressures than their precursors [36],
following the pattern shown in Fig. 2c, which
leads to SOA formation. Ozonolysis can occur
both in the gas phase and when ozone is deposited
on a surface. The deposited ozone then reacts with
a compound in the solid material and the newly
formed pollutants can be emitted [40]. For
ozonolysis to be relevant, the reaction needs to
be fast enough to compete with the air exchange
rate. This is mostly valid in situations with high
ozone concentrations and low air exchange.
Particle Growth
Particles in the indoor environment originate from
different sources, such as ingress of outdoor air
and various indoor combustion processes like
Indoor Air Quality: Status and Standards
Indoor Air Quality: Status and Standards, Fig. 3 Reaction scheme of ozone oxidation of D-limonene [40]
smoking, cooking, burning of candles, and the use
of combustion apparatuses in poorly ventilated
areas [41]. Still, it was reported in 1990 by
Santanam et al. that on average 19–42% of ultra-
fine particles indoors were of unknown origin
[42]. Since then, studies have been conducted
suggesting that indoor ozone-terpene reactions
contribute to the SOA found indoors. As previ-
ously mentioned, terpenes are emitted from
cleaning agents and air fresheners (these terpenes
include limonene and a-pinene) and are readily
oxidized by ozone (ozone stems from outdoor air
or direct emissions from electronics) to form prod-
ucts with low vapor pressures [41]. These prod-
ucts can form SOA through homogeneous
nucleation, where vapor condenses to form
145
mass. The formed particles are “fine,” with diam-
eters d < 1 mm.
Smoking directly releases thousands of com-
pounds, both as gases and particulate matter, and
this is referred to as secondhand tobacco smoke
[43]. The compounds in secondhand tobacco
smoke can be deposited on surfaces and then
re-emitted, or they can undergo chemical reaction
and form secondary pollutants. The result of these
two pathways for secondhand smoke creates what
is called thirdhand tobacco smoke [44]. The pol-
lutants in thirdhand smoke include gaseous,
sorbed, and particulate species, hereunder SOA.
The SOA formed from ozonolysis of secondhand
tobacco smoke, including nicotine, are
nitrogenated ultrafine particles, which are likely
146
to be associated with a high asthma hazard index
[45]. Experiments performed by Petrick et al. indi-
cate that SOAs (in this case ultrafine particles) are
formed from heterogeneous reactions of surface-
sorbed nicotine with ozone, rather than through a
homogeneous reaction entirely in the gas phase.
This heterogeneous reaction is the major source of
SOA from ozonolysis of secondhand tobacco
smoke. In addition, their study shows that the
peak formation of SOA is at low humidity
levels [46].
Indoor Air Quality and Health
Sick Building Syndrome
Sick building syndrome has been the subject of a
lot of research the recent years, as there seems to
be an increase in cases of SBS. There is no agree-
ment on the exact definition of SBS, as it is asso-
ciated with a wide range of symptoms and
sources. Symptoms typically occur when people
spend long periods of time in an unhealthy indoor
environment, such as in an airtight office building
or school [47]. SBS is mainly linked to poor IAQ
and the associated problem of poor ventilation.
Other contributing factors include noise, stress, a
monotonous work environment, temperature,
humidity, and biological sources including mold
and fungi. Noise in buildings has been associated
with eye pain, nausea, and skin dryness. A lack of
proper lighting can cause dizziness and malaise
[48]. Furthermore, the risk of SBS is larger for
smokers and for people who suffer from asthma or
allergy [47].
Despite these many contributing factors, IAQ
is the major contributor to SBS, and high levels of
pollutants including NOx, PM, CO2, and VOCs
have been shown to increase the risk of SBS
[1, 49, 50]. This is supported by the fact that an
increase in ventilation rate leads to fewer cases of
symptoms related to SBS, such as fatigue, head-
ache, and throat irritation. Another important
aspect of SBS is the negative effect it has on
productivity. This is especially relevant for work-
ing spaces, as SBS can result in loss of work [47,
50]. A study found that the most optimal temper-
ature for work productivity is 21–22  C [51].
Indoor Air Quality: Status and Standards
Improving IAQ to reduce SBS can help compa-
nies due to increased productivity. For example,
the benefits of implementing a particle filter
greatly outweigh the installation and running
costs [52]. This should encourage companies to
implement similar solutions.
Asthma and Allergy
There has been a substantial increase in respira-
tory illnesses and asthma over the last generation,
especially in industrialized countries. Some
researchers link this trend to the indoor environ-
ment, where numerous pollutants can be found.
Variables that negatively affect the human respi-
ratory system include carbon monoxide, tobacco
smoke, allergens, mold, dampness, humidity, and
particulate matter. Prevention of carbon monoxide
pollution can be affected by the correct installa-
tion and venting of gas appliances, while tobacco
smoke can be eliminated by nonsmoking indoors.
Allergens from house dust mites and cats have
proven to exacerbate asthma in individuals
already sensitized to the given allergen
[53]. Thus, an allergy patient will be at higher
risk of developing asthma when exposed to the
allergen. House dust mites are found in carpets,
bedding, and mattresses, where the allergens are
released by, e.g., vacuuming (without a high effi-
ciency filter), general cleaning, and other indoor
activities. The amount of house dust mite aller-
gens can be minimized by hot washing of bedding
(>55  C) [54], use of feather-filled pillows [55],
and by encasing bedding and mattresses in imper-
meable material [56], as well as having non-
carpeted flooring in the home [57]. However,
these measures have not shown clinical improve-
ment in patients already suffering from asthma
[58]. The majority of pet allergens originate
from cats (in UK homes, there are 11.1 million
cats and 8.9 million dogs [59]), as cat allergens are
respirable (<5 mm), whereas 80% of dog allergens
are nonrespirable due to their large size (>5 mm)
[60]. Data shows that asthmatic individuals sensi-
tive to cat allergens will experience worsening of
their asthma when exposed to cats [53]. There is
insufficient evidence to determine if exposure to
cat allergens will cause asthma development in
healthy subjects [53]. Another pollutant that has
Indoor Air Quality: Status and Standards
been linked with exacerbation of asthma in sensi-
tized individuals is mold. Hundreds of different
mold species can be found indoors, and the risk of
exposure can be difficult to diagnose as mold
colonies are not visible until fully grown. Mold
requires the right levels of moisture, oxygen, tem-
perature, and nutrients to grow [61]. Excess mois-
ture in furnishings and condensation on surfaces is
called dampness and is caused by high humidity
giving optimal conditions for growth of mold and
dust mites. Data shows associations between
doctor-diagnosed asthma cases and damp condi-
tions, as well as asthma symptoms and dampness
[53]. Thus, there is evidence that dampness is a
cause and an exacerbating factor for asthma,
likely related to its promotion of mold and dust
mites [53].
Particulate matter has adverse health effects on
humans. The effects depend on the composition
and size of the PM, as this is directly linked to
deposition in the respiratory tract and the respira-
tory tree’s ability to remove the pollutants
[62]. Coarse PM tends to deposit in the nasal
and upper respiratory system, while fine PM and
UFP tend to deposit in the lower respiratory tract
and alveoli. Thus, fine particles and UFP penetrate
deeper into the human airways. UFP have large
surface areas per unit mass, which allows for the
particles to collect relatively large amounts of
toxic low-volatile compounds such as PAHs,
metals, and quinones [62]. These chemicals can
generate acute inflammation of the airways, and
sudden elevation of PM can trigger asthma flares.
These acute effects can be caused by exacerbation
of already existing airway inflammation and
hyper-reactivity. In addition, there is evidence
that air pollution including PM and NOx changes
the structure of biofilm making it thicker and more
porous, and thus a better substrate for infections.
There is increasing evidence that PM induces
sensitivity to common environmental allergens,
which means that long-term PM exposure may
lead to increases in asthma and allergy [63]. Pol-
lutants can be removed by ventilation, and avail-
able data suggests that lower ventilation rates in
buildings are associated with increases in the fre-
quency of asthma and allergy symptoms, due to
the accumulation of pollutants. Air exchange rates
147
above 0.5 h1 in Nordic homes are associated
with lower probabilities of both asthma and
allergy symptoms [64].
There are numerous negative health effects
associated with indoor air pollutants. These pol-
lutants can come from products found in virtually
every household. In Table 6, some of the impor-
tant indoor pollutants are listed as well as their
sources and effects on health.
Ensuring a healthy indoor environment is part
of UN Sustainable and Development Goal
3 concerning good health and well-being for peo-
ple of all ages. This goal is to be accomplished by
2030 [69]. As humans spend the majority of their
time indoors, ensuring a healthy indoor environ-
ment and reducing building-related diseases is a
key component of the goal.
CO2 as Measure for Indoor Air Quality
Historically, CO2 has been used as a direct mea-
sure of overall indoor air quality. One example is
the limit of 1000 ppm CO2 in the indoor environ-
ment set out in the ASHRAE-1989 standard [70],
which is still in use today. Several studies show
that CO2 levels above 1000 ppm are linked to a
decrease in school attendance in students [71,
72]. It has been suggested that CO2 in itself is
not the cause of absenteeism, but instead that an
increase in CO2 levels is an indicator of insuffi-
cient ventilation (<7.5 l/s per person), which
leads to accumulation of other pollutants. Such
pollutants could be bioeffluents or the scents of
cleaning products, which along with their oxida-
tion products cause discomfort [70]. Other pollut-
ants could be any of the species implicated in sick
building syndrome, as described previously. CO2
can thus be used as an indirect measure of venti-
lation rate and other odor pollutants, but only to a
certain extent [73]. CO2 is also a pollutant in its
own right. A recent study shows that indoor CO2
levels above 1000 ppm can cause drowsiness and
negatively affect focused activity [1]. Building
standards for ventilation should not be based on
indoor CO2 levels alone, as this may not be the
most important indoor air pollutant [70]. A study
by Satish et al. finds that CO2 levels of 1000 ppm
and 2500 ppm, relative to 600 ppm, caused a
statistically significant decrease in decision
148 Indoor Air Quality: Status and Standards

Indoor Air Quality: Status and Standards, Table 6 Selected pollutants, their sources, and health effects [1, 65–68]
Pollutant Source Negative health effects
Formaldehyde Building materials and consumer products Cancer, sensory irritation, irritation of the eyes
(CH2O) and upper airways
Carbon monoxide Combustion – Cooking, heating, smoking, Binds to hemoglobin and makes
(CO) candles carboxyhemoglobin, which can cause
headaches, nausea, dizziness, breathlessness,
and fatigue, and with high exposures can lead
to coma and death
Nitrogen dioxide Combustion, outdoor air Respiratory effects, may enhance asthmatic
(NO2) reactions to inhaled allergens
Carbon oxide Humans, combustion, outdoor air Drowsiness and tiredness. May have negative
(CO2) effect on decision making and focused activity
Benzene (C6H6) Building materials, cooking Cancer, drowsiness, dizziness, rapid or
irregular heartbeat, headaches, tremors,
confusion, and unconsciousness
Ozone (O3) Outdoor air, printers, electronics Respiratory effects, chest tightness, cough,
wheezing, and lung function decrement.
Acute respiratory problems in asthmatics
Particulate matter Combustion, cooking, candles, outdoor air Stroke, heart disease, lung cancer, and chronic
(PM) and acute respiratory diseases, including
asthma, reduced lung function, and mortality
Alkylphenols Detergents, disinfectants, surface cleaners May interfere with, mimic, or block hormones
Organochlorines Outdoor and indoor air, tracked-in dust, Cancer, neurotoxicity, effects on developing
disinfecting products reproductive systems, lactation
Organophosphorus Polymeric materials, fabrics, polyurethane Effects on neurodevelopment and growth in
compounds foams, electronics (cable sheathing and developing tissue, relate to respiratory disease
casings), outdoor and indoor air, dust in children through disregulation of the
autonomic nervous system
Phthalates Flexible PVC, PVC flooring, wall coverings, Effects on the development of male
electrical cables and casings, personal care reproductive tract, prenatal mortality, reduced
products growth and birth weight, may relate to asthma
and allergies in children
Polybrominated Carpet padding, wall coverings, electronics, Effects on the development of brain and nerve
diphenyl ethers furniture, cushioning, and mattresses tissues, permanent learning and memory
impairment, behavioral changes, delayed
puberty onset, fatal malformations, thyroid
hormone disruption
Polychlorinated Floor finishes, foam cushioning and Cancer, developmental neurotoxicants, effects
biphenyls mattresses, oil-filled transformers, capacitors on immune, reproductive, nervous, and
endocrine systems
Pyrethroids Outdoor and indoor air, tracked-in dust, Weak anti-androgenic, anti-estrogenic, or
cleaning products estrogenic effect
Parabens Personal care products, canned food, fabrics Weak environmental estrogens

making in human test subjects who were not
exposed to pollutants other than CO2 [1].
Air Conditioners/COP
One of the functions of HVAC systems is to ensure
thermal comfort, which in turn increases the well-
being of occupants including associated properties
like productivity [74]. Air conditioning systems
use large amounts of energy, and it has been calcu-
lated that HVAC can increase energy consumption
and related carbon emissions up to 100%
[75]. Accordingly, HVAC can account for up to
50% of the power used in commercial buildings
(i.e., malls, offices, hospitals, hotels, etc.) [76]. It is
estimated that, in total, HVAC systems are respon-
sible for approximately 40% of energy demand in
Indoor Air Quality: Status and Standards
commercial buildings in the United States [77]. On
a global scale, taking climate change, global
warming, and rapid population growth into consid-
eration, it is expected that the demand for energy
use for HVAC systems will increase [74, 76]. Some
studies have focused on the capacity of buildings to
produce and retain novel pollutants due to their
tightness and indoor sources. However, many
buildings are poorly insulated and equipped with
inefficient air conditioning systems, which lead to
increased energy consumption and maintenance
costs [76, 77]. There are some easy solutions to
increase the efficiency of the AC system. For
instance, the system should not operate at temper-
atures lower than 24  C, and it should be able to
adjust the flow of inlet air according to changes
throughout the day. In temperate climates, the use
of aiding systems such as free cooling coils can
reduce power consumption [75].
Many strategies can be used to design better
and more efficient HVAC and AC systems. The
U.S. National Institute of Building Sciences
(NIBS) posits that high-performance systems can
yield up to 40% monetary savings and reductions
in greenhouse gas emissions. In addition, design-
ing buildings with an “extended comfort zone”
can achieve savings up to 70% [77]. Most build-
ings today could benefit from fundamental design
strategies to improve their overall efficiency. Most
strategies aim at improving the integration, con-
nectivity, and responsivity of the building and the
conditioning systems. For instance, design teams
should consider climate control in the early stages
of the design process, in order to ensure the right
equipment size and distribution for the system,
consumption goals, scalability, and manage peak
use phases and the maintenance program [77].
The coefficient of performance (COP) is used
to measure the performance of air conditioning
systems [78].
Q pounds with lower volatilities than their precur-
COP ¼
W sors. The oxidation products often form particles
where:
Q = useful heat supplied or removed by the
system
W = work required by the system
149
Chillers are the usual go-to equipment for large
commercial buildings. They produce cold water
which in turn is used to cool the building. COP
values for these systems range from 2.2 to 3.2 for
small chillers. The COP generally improves as the
size of the system increases with values in the
range of 3.7–4.1 being typical for large
systems [77].
Remediation Methods
One way to decrease the level of pollution is to
minimize or eliminate the source. This can poten-
tially take a very long time or may even be impos-
sible. Another way is to apply methods that
remove pollutants directly from the air, such as
filter systems with implemented adsorbent mate-
rials, interior plants, or ventilation.
Gas Phase Advanced Oxidation
Providing good indoor air quality in a polluted
location can be a huge challenge. Increasing the
ventilation rate to bring in more air from the
outside would not necessarily improve indoor air
quality unless the air is thoroughly cleaned first.
Any solution would have to be able to clean large
volumes of air with low energy consumption. One
possible solution is the system being used at the
Danish Embassy in Beijing. The Embassy has
implemented a new air cleaning technology
invented by the University of Copenhagen and
produced by the company Infuser under a license.
As Beijing is one of the most polluted capitals in
the world [80], the Infuser air purifying system is
a good example of how to ensure IAQ when
natural ventilation is not an option. The method
is centered on the hydroxyl radical (OH) and is
inspired by air cleaning mechanism that takes
place in the free atmosphere. In the atmosphere,
pollutants are oxidized by OH-forming com-
that deposit or are washed out of the atmosphere.
OH formation is initiated by the photolysis of O3.
OH will then oxidize different VOCs entering the
system and the reaction products can condense
into particles that are removed by a particle filter.
The remaining ozone is removed over a catalyst.
150 Indoor Air Quality: Status and Standards

Indoor Air Quality: Status and Standards, Fig. 4 Process of gas phase advanced oxidation

Indoor Air Quality: Concentration before Concentration after Removal

Status and Standards, Species treatment treatment efficiency
Table 7 Removal
PM10 411 8 98%
efficiency of pollutants [80]
(ug/m3)
PM2.5 255 7 97%
(ug/m3)
NOx (ppm) 77 40 48%
SO2 (ppm) 17 3 83%
O3 (ppm) 19 3 82%

An advantage of this method is that it does not rely
on traditional filters, which typically have a sig-
nificant pressure drop resulting in higher energy
consumption. This process is illustrated in Fig. 4.
A measurement performed for five different types
of atmospheric VOCs showed that the system
successfully removed a large part of contaminants
in the air, as shown in Table 7.
Windows
As mentioned earlier, IAQ can be improved by
natural ventilation. The efficiency and suitability
of natural ventilation depends on a number of fac-
tors. As described in the sections about Green
Lighthouse (see below) and Infuser (see above),
natural ventilation is only suitable when the build-
ing of concern is located in an environment with
relatively clean outdoor air. The efficiency of natu-
ral ventilation depends on wind turbulence, buoy-
ancy, and ventilation strategy. Buoyancy occurs
due to differences in density of indoor and outdoor
air and is mainly caused by temperature differ-
ences; moisture differences can also play a role.
Buoyancy results in pressure differences between
indoor and outdoor air, and can thus drive ventila-
tion; for example, warm air rises in a chimney. At
low wind speeds, ventilation is controlled by buoy-
ancy, and for strong wind conditions, ventilation is
controlled by wind-induced pressure differences in
the indoor-to-outdoor environment [81]. The
different ventilation strategies, based on room
geometry (windows and doors), are named single-
sided-, cross-, and stack ventilation. Single-sided
ventilation is the simplest and least efficient
ventilation strategy, and applies when only one
opening is located in the room, typically a room
with one window and closed doors. In summer, the
main driving force for single-sided ventilation is
wind turbulence. In winter, single-sided ventilation
can be driven by thermal buoyancy, with cold
air flowing in at the bottom of a leaky window
and warm air flowing out at the top [82]. In a
Indoor Air Quality: Status and Standards
cross-ventilated system, openings are located at
opposite sides of the room and air will flow
through one opening and exit through the other.
If both openings are windows, ventilation is
driven by differences in wind pressures at the
surfaces where the windows are located. Stack
ventilation occurs when air flows through a lower
window and exits through a window placed high
in the room, as in the Green Lighthouse (see
below). The airflow in stack ventilation is mainly
driven by thermal buoyancy, and the largest
effect is created by placing the two openings far
apart vertically [81]. Illustrations of the three
ventilation strategies are shown in Fig. 5.
Indoor Air Quality:
Status and Standards,
Fig. 5 (a) Single-sided
ventilation. (b) Cross
ventilation. (c) Stack
ventilation
151
Natural ventilation operates passively, or by
manual or automated control. WindowMaster
A/S has developed an automated natural ventila-
tion system called intelligent natural ventilation in
which roof and façade windows open and close
automatically based on preset values of CO2,
humidity, and temperature. Indoor temperature,
humidity, and CO2 levels, and outdoor tempera-
ture, wind, and rain are monitored and used to
control the window movements [83].
In some systems, natural ventilation is combined
with mechanical ventilation giving so-called mixed-
mode ventilation. This may be necessary when con-
ditions do not allow for natural ventilation, e.g., for
152
low wind speeds and cold outside temperatures.
A mixed-mode system can be operated manually
or automatically, so when the set values for temper-
ature, humidity, and CO2 levels are not maintained
by natural ventilation, the system will shift to
mechanical ventilation, where an inlet fan intro-
duces outdoor air and an exhaust fan sucks out
indoor air. In colder climates, a heat recovery system
can be used. Cold outdoor air is heated by the
exiting indoor air, before entering the room
[84]. When outdoor conditions are favorable, the
system will change back to natural ventilation.
Mixed-mode ventilation favors natural ventilation,
when possible, for optimal energy efficiency.
Activated Carbon
Activated carbon (AC), also called activated char-
coal, is a form of carbon processed to have an
extremely high surface area. Its high surface-to-
mass and surface-to-volume ratio, combined with
low price and high affinity for many kinds of pollu-
tion, have made it a valuable material in pollution
control systems. The surface chemistry is based on
graphene, but modified depending on impurities and
modifications. AC is produced from a carbonaceous
material which could be coal, wood, or some other
plant fiber. The material is heated to drive off vola-
tile components, leaving behind a solid with a net-
work of pores. The porous structure consists of long
networks of channels which are termed micro-
(<2 nm), meso- (2–50 nm), and macropores
(>50 nm). Because of this porous structure, AC
has a specific surface area in the range of
500–3000 m2/g, which is crucial for the perfor-
mance of AC [85]. Many types of pollution can be
trapped by physisorption or chemisorption.
The surface of AC contains functional groups
such as epoxy bridges and carboxyl, hydroxyl, and
carbonyl moieties. These groups change the chem-
ical properties of the surface and can be used to
change the hydrophilicity of the surface and the
affinity for specific types of species. The process of
adsorption, including surface chemistry, is shown
in Fig. 6. Even though AC has been widely used
for many years, improving the adsorption proper-
ties is an active area of research. One example is the
addition of a basic nitrogen functionality to the
surface to improve CO2 uptake [86].
Indoor Air Quality: Status and Standards
Photocatalysis
A potential drawback of using adsorbents is that
they do not break down pollutants, but instead the
pollutants remain on the absorbent, which has a
limited capacity. Adsorbent capacities may be in
the range of 1–10% of the mass of the filter mate-
rial itself, and eventually they reach capacity and
must be changed. Photocatalysts, in contrast, can
be regenerated continuously using light.
Some photocatalysts can be driven by sunlight,
and therefore do not necessarily rely on an exter-
nal source of energy, typically electricity. Further-
more, they promise to transform hazardous VOCs
into H2O and CO2, unlike conventional filter sys-
tems, which rely on trapping VOCs. However,
research has shown that many photocatalysts do
not live up to this goal and leave many com-
pounds only partially oxidized; they convert pol-
lution into byproducts that may smell worse and
be more toxic than the precursors [87].
TiO2, in particular, has received significant
attention from researchers because of its photo-
catalytic activity and low cost. TiO2 has been used
in a wide range of applications including purifica-
tion of wastewater and air. For purification of air,
the material has been placed on window glass and
pavement or incorporated directly into materials
like paint and concrete [88]. The activity of TiO2
is greatly improved when using nanosized parti-
cles as opposed to microsized particles. This is
due to the increased surface area, which greatly
increases the photocatalytic activity, as there are
more sites available for molecules to adsorb and
reactions to occur. However, the use of nano-
particles can pose a threat to human health. One
study showed that significant amounts of nano-
particles are released into the environment due to
aging of photocatalytic paints [89]. Nanoparticles
are very toxic to humans and the environment in
general and there is a need for improving nano-
sized TiO2 materials.
The first step is transport of the pollution to the
catalytic surface (see discussion of deposition
onto a surface above) followed by adsorption.
Different molecules will spend different amounts
of time on the surface depending on how tightly
they are bound. Photocatalysts have a limited
ability to degrade volatile pollutants, simply
Indoor Air Quality: Status and Standards 153

Indoor Air Quality:

Status and Standards,
Fig. 6 Activated carbon
comes in many forms
including pellets, beads,
and fibers. Key features
include a high surface area
due to a fractured porous
structure, and modifications
of surface functional groups

because they may not stay on the surface long
enough to react. Once a molecule is on the sur-
face, it is degraded by a heterogeneous chemical
reaction. In addition, because of atmospheric
humidity, mineral surfaces like TiO2 will be cov-
ered with water. The thickness of the water layer
depends on relative humidity; at low humidities, a
hydrogen-bound layer and a layer, several mono-
layers thick, of quasi-crystalline water will be
present. At higher humidities, a layer of water
with properties resembling bulk water will be
present. First TiO2 is photoexcited, yielding an
electron (e), and a corresponding hole in the
valence band (h+)
O2 is in equilibrium with HO2 and OH-; super-
oxide has a pKa value of 4.8, so, e.g., at neutral
pH, most is in the superoxide form. Under suitable
conditions, HO2 will react with itself to form
hydrogen peroxide (H2O2). The electron hole h+
will oxidize water, producing hydroxyl radicals:
hþ þ H2 OðadsÞ ! OH þ Hþ
The hydroxyl radicals reacts with many pollut-
ants to form products which are then desorbed and
re-emitted into the ambient air [90]:
OH þ VOC ! Intermediates ! Final products

TiO2 þ hv ! e þ hþ Photocatalytic paints containing TiO2 have

been shown to remove VOCs, including xylene,
The electron may react with dissolved O2, and NO2, both of which are known to have nega-
forming superoxide O2. In aqueous solution, tive health impacts. However, photocatalytic paints
154
are also sources of VOCs such as formaldehyde,
carbonyls, and other chemical species like HONO,
which in some cases are worse than their precur-
sors [89, 91]. In addition, it has been shown that
hydroxyl radicals react with the organic binders in
the paint resulting in byproducts that are released
from the paint [109]. A large-scale experiment
conducted as part of the European LIFE+ project
examined the effect of TiO2 coating on the concrete
inside the Leopold II Tunnel in Brussels; UV lamps
were installed along the length of the tunnel. NOx
removal was measured before and after the TiO2
coating was applied. In contrast to previous labo-
ratory experiments, no significant reduction of
NOx was observed. An upper limit for NOx
removal at 2% was identified, corresponding to
the uncertainties of the instruments used [92]. In
conclusion, TiO2 shows some promising air
cleaning properties in laboratory experiments, but
at the same time, there are reasonable concerns,
and TiO2 products have yet to find widespread
commercial success despite decades of effort.
Plants as Remediation Strategy
In 1989, NASA conducted a study of 12 house
plants selected to tolerate low-light conditions
and determined their ability to remove benzene,
formaldehyde, and trichloroethylene from indoor
air. The study was performed as a chamber exper-
iment at both high (15–20 ppm) and low (<1 ppm)
pollutant concentrations. The plants showed poten-
tial for improving IAQ in energy-efficient build-
ings, by removing pollutants from the air. The root-
soil zone of the plant seemed to be the most effi-
cient at removing pollutants, possibly due to micro-
bial activity in the soil. It was also observed that
when the same plant and potting soil were con-
stantly exposed to a certain pollutant, their capacity
to remove that pollutant increased. Typically,
plants emit trace levels of VOCs and other metab-
olites. Under the temperature and light conditions
of the experiments, the tested plants emitted negli-
gible amounts of metabolites. As temperature and
light levels increased, the plants’ metabolite emis-
sions would be expected to increase, as well as
their air cleaning properties. Increases in O2 pro-
duction and CO2 removal would be associated with
an increase in the pollutant removal efficiency of
Indoor Air Quality: Status and Standards
the plant [93]. Other chamber studies show that
selected low-light requiring house plants efficiently
remove formaldehyde [94], xylene, and ammonia
[95], as well as toluene, benzene, trichloroethylene,
octane, and a-pinene [96]. Although chamber stud-
ies showed that selected plants have air cleaning
properties, field experiments are needed to confirm
if the plants studied will be capable of significantly
reducing indoor air pollution in a real-world situa-
tions. A Sydney field study tested the air cleaning
properties of two common house plants,
Spathiphyllum (peace lily) and Dracaena
deremensis (Janet Craig), in single-occupant
offices. Both naturally ventilated and air-
conditioned offices were assessed, and the air puri-
fying properties were measured as total VOC
removal. Experiments showed that offices with a
total VOC concentration larger than 100 ppb had a
significant reduction in VOC levels when either
3 or 6 Janet Craig plants were present, and that
3 plants were just as efficient at removing VOCs as
6 plants. This was observed for both air-
conditioned and naturally ventilated offices. The
study also found that when a mix of Dracaena
deremensis and Spathiphyllum were present,
again either 3 or 6 plants, a significant reduction
of total VOC levels was observed, except when
Spathiphyllum was in flower as it then emits
VOCs. In summary, the total VOC levels were
reduced by 50–75% when the initial VOC concen-
tration was 100 ppb or above, and 3 plants are
sufficient to obtain this reduction under the condi-
tions of the study [97]. Another field study inves-
tigated the air cleaning abilities of Dracaena
deremensis (Janet Craig), Dracaena marginata
(marginata), and Spathiphyllum (peace lily) in an
urban classroom in Portugal. Six plants were
placed in a 25-person classroom and air-borne
pollutants were monitored over a 6-week period.
The study found that CO2, VOC, carbonyl, PM10,
organic carbon, nitrate, sulfate, ammonia, calcium,
and carbonate levels were significantly reduced
after the introduction of the six plants [98].
Based on the chamber experiments and field
studies, it can be concluded that plants can be
effective air cleaning systems, and a cost-effective
solution for many types of buildings. Since differ-
ent plant species target different pollutants, it is
Indoor Air Quality: Status and Standards
most efficient to use a variety of plants for air
cleaning purposes. Plants can also be used in
combination with other air cleaning methods,
such as filtration systems and ventilation.
Table 8 shows a list of plants with air purifying
properties and their target pollutants.
Sustainable Buildings
The need for reducing the environmental impact
humans have on nature has resulted in many new
“green” solutions. These include a shift to sustain-
able materials, and especially in recent years, there
has been a greater focus on green buildings. The
process of constructing new buildings can result in
the loss of green areas, including forest or grass
fields, and the design and choice of materials
changes a building’s environmental impact. Not
least of all, these choices affect building energy
efficiency; buildings use 40% of energy world-
wide. In particular, building heating ventilation
and air conditioning (HVAC) systems are one of
the largest energy consumers worldwide [99].
The U.S. Environment Protection Agency
defines green building: Green building is the prac-
tice of creating structures and using processes that
are environmentally responsible and resource-
efficient throughout a building’s life-cycle from
siting to design, construction, operation, mainte-
nance, renovation and deconstruction. This prac-
tice expands and complements the classical
building design concerns of economy, utility, dura-
bility, and comfort. Green building is also known
as a sustainable or high performance building.
A number of standards have been created to
define performance and help promote green build-
ings. This chapter focuses on two of the leading
standards and two different approaches: the certifi-
cates given by Energy Star, and Leadership in
Energy and Environmental Design. Energy Star
was developed and is managed by the U.S. Envi-
ronmental Protection Agency and the U.S. Depart-
ment of Energy with the goal of promoting energy
efficiency. Energy Star certifies products (heating
and cooling systems, appliances), devices (home
electronics. lighting), and homes and industrial
facilities [100].
155
Leadership in Energy and Environmental
Design (LEED) is a green building certificate
developed by the nonprofit organization U.S.
Green Building Council. It consists of a point-
based rating system with four different certifi-
cates. The lowest possible certification requires
(40–49 points) followed by silver (50–59 points),
gold (60–79 points), and platinum (80+ points).
LEED focus on five different areas: water effi-
ciency, sustainable sites, materials and resources,
indoor environmental quality, and energy. For
example, in order to obtain points, a particle filter
could be implemented in the building to lower the
concentration of a target pollutant under a thresh-
old value set by LEED. These target pollutants
include PM10 and PM2.5, with threshold values of
50 mg/m3 and 10 mg/m3, respectively [101]. There
is a significant difference between the two sys-
tems, and if a building meets the requirements for
LEED certification, it would not automatically
fulfill the requirements for Energy Star
[102]. IAQ is not included in Energy Star, and
improving energy efficiency by sealing a building
can lead to poor IAQ if adjustments of the venti-
lation system are not made, as pollutants will then
accumulate inside the building. On the other hand,
an increase in outdoor-to-indoor air exchange will
result in a less energy-efficient building. IAQ and
energy efficiency are both part of the idea about
green buildings, and both aspects needs to be
considered.
The University of Copenhagen Green
Lighthouse as an Example of Sustainable
Buildings
The Green Lighthouse Building was built on the
campus of the University of Copenhagen in 2009
and is the first public CO2-neutral building in
Denmark. It has been designed to be as energy
efficient as possible while also creating a healthy
indoor environment. The tilted roof faces south-
wards, resulting in maximal sun exposure. The
roof is equipped with photovoltaic cells, solar
thermal panels, and windows. The solar cells
convert solar radiation into electrical current
used by the building for cooling or heating,
depending on the season. In summer, the build-
ing is cooled from natural ventilation with air
156 Indoor Air Quality: Status and Standards

Indoor Air Quality: Status and Standards, Table 8 List of air purifying plants sorted alphabetically and their target
pollutants
Latin name Common name Pollutant References
Aglaonema “silver queen” Chinese evergreen Benzene [93]
Anthurium andraeanum Painter’s-palette Ammonia [95]
Formaldehyde
Xylene
Asparagus densiflorus Asparagus fern a-Pinene [96]
Benzene
Octane
Toluene
Trichloroethylene
Calathea vittata Prayer plant Ammonia [95]
Chamaedorea seifrizii Bamboo palm Benzene trichloroethylene [93]
Chrysanthemum morifolium Pot mum Ammonia [95]
Benzene [93]
Formaldehyde [95]
Trichloroethylene
Xylene
Dracaena derimensis variety Janet Craig Benzene [93]
Formaldehyde [95]
Trichloroethylene
Dracaena deremensis variety Warneckei Benzene [93]
Formaldehyde [95]
Trichloroethylene
Xylene
Dracaena marginata Marginata Benzene [93]
Formaldehyde [95]
Trichloroethylene
Xylene
Dracaena massangeana Mass cane Benzene [93]
Formaldehyde
Ficus benjamina Ficus Ammonia [93]
Benzene [95]
Formaldehyde
Xylene
Gerbera jamesonii Gerbera daisy Benzene [93]
Formaldehyde
Trichloroethylene
Hedera helix English ivy a-Pinene [96]
Benzene [93]
Formaldehyde [95]
Octane
Toluene
Trichloroethylene
Xylene
Hemigraphis alternata Purple waffle a-Pinene [96]
Benzene
Octane
Toluene
Trichloroethylene
Homalomena sp. – Ammonia [95]
Formaldehyde
Xylene
(continued)
Indoor Air Quality: Status and Standards 157

Indoor Air Quality: Status and Standards, Table 8 (continued)

Latin name Common name Pollutant References
Hoya carnosa Variegated wax plant a-Pinene [96]
Benzene
Octane
Toluene
Trichloroethylene
Liriope spicata Lilyturf Ammonia [95]
Formaldehyde
Xylene
Nephrolepis exaltata “Bostoniensis” Boston fern Formaldehyde [95]
Xylene
Nephrolepis obliterata Kimberly queen fern Formaldehyde [95]
Xylene
Phoenix roebelenii Pygmy date palm Formaldehyde [95]
Xylene
Rhapis excelsa Broadleaf lady palm Ammonia [95]
Formaldehyde
Xylene
Sansevieria laurentii Mother-in-law’s tongue Benzene trichloroethylene [93]
Scindapsus aureus Golden pothos Benzene [93]
Spathiphyllum “Clevelandii” Peace lily Ammonia [95]
Formaldehyde
Xylene
Spathiphyllum “Mauna Loa” Peace lily Benzene trichloroethylene [93]
Tradescantia pallida Purple heart plant a-Pinene [96]
Benzene
Octane
Toluene
Trichloroethylene

flowing in through low windows and out through
rooftop windows creating a natural stack effect
(cf. Fig. 5c). In winter, ventilation occurs through
a heat exchanger to minimize heat loss [103]. The
floors are made from concrete that acts as a ther-
mal reservoir [104]. In winter, the floors are
heated by energy from the solar thermal panels
and from district heating. Sixty-five percent of
the district heating is eco-friendly, detailed
below, with a thirty-five percent share of renew-
able fuel [103]. In Copenhagen, 98% of district
heating is provided by the public utilities com-
pany HOFOR, which produces heat by waste
incineration in a combined heat and power
(CHP) system. The CHP system generates
energy by combustion of biomass (a renewable
source) and gas and oil. The fossil energy is in the
process of being replaced by renewables, mainly
wind [105]. In the Green Lighthouse, energy
generated by the solar thermal panels is used to
heat the building’s water tank, and windows and
walls are highly insulated to avoid heat loss.
A healthy indoor environment is created by nat-
ural ventilation, as mentioned earlier, which
introduces outdoor air and removes indoor air
pollutants [103]. As the Green Lighthouse is
located in Copenhagen, the ambient air is
urban, but air pollution in Copenhagen is gener-
ally below threshold values [106]. Roof windows
provide light which is distributed to all rooms
with a minimum daylight factor (DF) of 2%
[103]. The DF is a measure of available daylight
in a room compared to available outdoor daylight
under an overcast sky, given in percentage
[107]. A room with a DF of 2% is considered
daylit, but still requires some artificial lighting to
perform visual tasks. Lamps in the Green Light-
house are adjusted to compensate for variations
158
Indoor Air Quality:
Status and Standards,
Fig. 7 Overview of Green
Lighthouse [103]
in natural light, to reduce electricity use
[103]. The building is shown in Fig. 7.
Green buildings are an important step towards
achieving the 11th UN Sustainable and Develop-
ment Goal, of making cities resilient and sustain-
able [108]. Green buildings contribute by
ensuring a healthy indoor environment, and by
minimizing energy use and thus greenhouse gas
emissions. Overall, green buildings have a smaller
environmental impact than conventional build-
ings and are therefore a solution to problems
posed by increasing urbanization due to popula-
tion growth.
Future Directions
As stated, there are many negative impacts asso-
ciated with poor indoor air quality. Thus, it is of
central importance to implement strategies ensur-
ing indoor air quality in the future. This could be
carried out by constructing green buildings that
are CO2 neutral and equipped with modern air
purifying technologies. Many of these technolo-
gies are still under development, and in the future,
Indoor Air Quality: Status and Standards
a wider range of products will be available. As
these technologies become more popular, they
will also become more affordable and thus avail-
able for developing countries.
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 Neighborhood scale Scale typical of groups of
Urban Air Quality: buildings or streets; hundreds of meters to a
Meteorological Processes few kilometers.
Porosity The volume fraction of air between
David Carruthers1, Silvana Di Sabatino2 and buildings and therefore a measure of building
Julian Hunt3 density.
1
Cambridge Environmental Research Urban air quality A general term representing
Consultants, Cambridge, UK concentrations of pollutants in an urban area.
2
Dipartimento di Scienza dei Materiali, Università Good air quality corresponds to low concen-
del Salento, Lecce, Italy trations of pollutants.
3
University College London, London, UK Urban meteorology Meteorology within an
urban area; the urban environment significantly
affects mean flow turbulence and temperature.

Article Outline
Glossary
Definition of the Subject
Introduction
Characteristic Regions of the Flow and Drivers
Urban Data
Computational Models for Meteorology and Air
Flow in Urban Areas
Examples of Output of Modelling Calculations
Future Directions
Notation and Abbreviations
Subscripts
Abbreviations
Bibliography
Glossary
Building and street scales Scales of buildings or
streets; tens to hundreds of meters.
Fast approximate model (FAM) A model
which uses approximations and parameteriza-
tions of the fine scale flow to speed up model
run times and reduce complexity.
Fully computational model (FCM) A model
which explicitly represents flow and turbu-
lence around buildings.
Mesoscale Scale of weather systems smaller
than synoptic scale but larger than micro-
scale or urban scale; tens to hundreds of
kilometers.
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_427
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_427
Definition of the Subject
Meteorological processes in urban areas that are
relevant to urban air quality. Of most significance
are the impacts of the urban morphology on the
mean flow and turbulence, which determines the
transport and dispersion of pollutants and there-
fore their concentration.
Introduction
Concentrations of pollutants within an urban area
depend on a number of different factors. These
include the emissions of pollutants within the
urban area, pollutant concentrations transported
into the area, and the meteorology within the urban
area, in particular, the mean airflow and turbulence
(which determines the movement and mixing of the
emitted pollutants) and the temperature and solar
insolation (which impacts on chemical transforma-
tion taking place). This entry discusses meteorology
within the urban area with the focus being on the
mean flow and turbulence, as these may be substan-
tially different from the upstream flow. Discussed
here are the current understanding, experimental and
numerical simulation data, and the relative merits of
different modelling approaches. For discussions of
dispersion within urban areas, see, for example, [1].
163
164
Section “Characteristic Regions of the Flow
and Drivers” presents the underlying concepts
and prediction methods related to the airflow and
meteorology of urban areas that are particularly
relevant for understanding and modelling disper-
sion from the urban sources. It is noted how spa-
tial and temporal patterns of flow and dispersion
in urban areas greatly depend on their location
(e.g., flat, hilly terrain, coastal, or desert), the
types of surface, prevailing meteorological condi-
tions (e.g., strong/weak geostrophic winds), and
on the patterns and forms of urban building/street/
open space (e.g., isolated buildings or canyons;
high or low range of building heights, etc.). It will
be convenient to describe the flow in terms of
three characteristic ranges of length scale, namely,
mesoscale, neighborhood scale, and building/
street scales, each with their own general features
and where different modelling approaches are
necessary, depending on the requirements for
accuracy and speed of computation.
Section “Urban Data” presents some details of
data, and sections “Computational Models for
Meteorology and Air Flow in Urban Areas” and
“Examples of Output of Modelling Calculations”
provide details of modelling methods for flow in
urban areas and examples of model calculations.
Characteristic Regions of the Flow and
Drivers
Characteristic Regions of the Flow
In urban areas, there are usually considerable var-
iations in the types, sizes, and layout of buildings
and streets as illustrated in Fig. 1, and over larger
urban areas there are often also significant varia-
tions in the natural topography. Both these urban
scale features and the meteorology have general
characteristics over different length scales. These
need to be understood and related to each other
when developing a picture of the urban airflow as
illustrated in Tables 1 and 2.
Over level terrain, except in very light wind
conditions, the direction and speed of the airflow
only changes significantly over the mesoscale
(of order 30 km) or greater scales. These changes
are determined by Coriolis effects, by the effect of
Urban Air Quality: Meteorological Processes
the urban area on convergence/divergence and
turning of the wind, and by temporal variations
in the flow forced by diurnal and synoptic effects.
Where there are sharp variations in topography
the surface air flow may change locally (e.g., at
the coast or edge of an urban area). However, the
whole boundary layer flow does not adjust imme-
diately to the change of surface conditions: this
takes place over a mesoscale distance LM which,
in the atmosphere, is typically of order 30–50 km.
This distance is usually determined by the Rossby
length scale LRo ¼ hN/f where f is the Coriolis
parameter and N is the buoyancy frequency of the
stable layer at or above the boundary layer of
height h. At midlatitudes f ~ 104 s1, and typi-
cally N ~ 103 s1, h ~ 1,000 m. In neutral
conditions, LM is determined dynamically by iner-
tia and turbulence stresses, when LM ~ Lf ¼ U/f,
usually a distance of greater than 30 km, while
close to large mountains of height HM,
LRo ¼ HMN/f.
Figure 2 shows that in the zone where the
boundary layer is adjusting to the changed surface
conditions, there is an internal layer with depth
l(x, y) above the ground, separating the air flow
and pollutants above and below it. The depth of
this layer tends to increase slowly over the area
where the surface conditions (temperature or sur-
face roughness) have changed; see, for example,
[2, 3]. Over the mesoscale LM, the internal layer
reaches the top of the boundary layer, and then the
vertical profiles of velocity and temperature over
the whole boundary layer are changed.
Over shorter horizontal scales, the internal layer
depth is much less than h. Here the perturbed flow
has separate characteristics over the intermediate
neighborhood scales LN (≲5 km) and over the
shorter building/street scales LBS (≲300 m). The
former scale LN extends over groups of buildings/
streets of similar size and type, and the internal layer
depth lN is greater than the height of the envelope or
canopy of the buildings HC. Note that there is sig-
nificant mass, momentum and energy transfer
between the flow in and above the canopy on this
scale. Even though the neighborhood scale includes
many buildings, the types of buildings and their
patterns have significant effects on this exchange
process and on the flow within the canopy.
Urban Air Quality: Meteorological Processes 165

UG
Lo

h UG
Hc′

UH Hc

LI
z = zs

UB

Change in surface z0, Fθ, θs

Urban Air Quality: Meteorological Processes,
Fig. 1 Characteristic features of the terrain, buildings,
and meteorology on the meso- (regional) scale of signifi-
cance for urban dispersion. Lo and LI are the overall and
inner city length scales, respectively. Note that UG is the
geostrophic wind, UB is the typical wind speed associated
with local buoyancy effects, for example, downslope
winds from nearby mountains. Hc is the canopy height
and Hc0 is the standard deviation of canopy height

Urban Air Quality: Meteorological Processes, Table 1 Scale ranges of urban air flow and dispersion
Relation to urban and
Range Determining factor(s) meteorological scales
1. Mesoscale Flow over buildings LM ~ LO for large urban
LM (~30 km) areas
Significant orographic/Coriolis effects lO (x ~ LM) ~ h
Surface influences and pollutants mixed through boundary
layer
2. Neighborhood Flow and dispersion above and between buildings LN < LO ≲ LM
scale Average geometrical features dominate mean flow/dispersion Typically LN ~ LI, inner city
LN (1–10 km) scale
Growing internal layer above buildings l(x ~ LN) ≲ h
3. Building/street Flow and dispersion determined by features below building 10 H ≳ LBS ≳ w, b, d
scale level (except for elevated releases)
LBS Mean geometrical and flow features on scale LBS (not smaller) l ≲ H (this defines upper
(~3–1,000 m) mainly determine dispersion scale of LBS)
Internal mixing layers below/above buildings are of order of
building/street dimensions

Mesoscale categorized in Table 2 according to the relative

In the following section, the main features of the effects of buoyancy to inertial forces produced by
flow and meteorology in the three characteristic orographic or heat island effects on the one hand and
flow regions of urban areas are discussed, beginning the effects of Coriolis forces acting over the overall
with those on the mesoscale. These are broadly scale LO of the urban area on the other. The
166
Urban Air Quality: Meteorological Processes, Table 2 Main types and features of urban mesoscale
Increasing effects of orography/heat island, lighter geostrophic wind →
F = UG/UB >1
(typically windy
environment over flat
LO/LRO
plain)
←Increasing scale
(i) Roughness slow down;
<1 boundary layer depth
~ varies.
(ii) in addition to effects
of (i) above anticyclonic
turning of wind; weak
>1
~ convergence /divergence
on left/right.
Note: UG is the geostrophic wind speed,
UB = (gh|Δθ|/θ)1/2 is the buoyancy-induced local wind speed
Lf is the Coriolis advection length (= U/f)
LRo is the Rossby length scale defined by stratification and Coriolis effects (= hN/f)
buoyancy and inertial forces are essentially indi-
cated by the value of the Froude number, defined
as the ratio of the geostrophic wind UG to the
average velocity UB produced by the buoyancy
forces acting over the urban area, i.e., F ¼ UG/UB.
UB is driven by the horizontal temperature and
hence density changes A6, which may be natural
or caused by the urban heat island, and is defined by
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
U B ¼ gl 0 j Dy j =y, where l0 is the internal layer
thickness or the height of the nearby mountains if
these dominate the flow and g is gravitational accel-
eration. Note that Δθ/θ depends on a number of
features of the urban area, the most important
being the increased heat storage due to urban build-
ings, which increases temperature (urban heat
island) and the impact of vegetation inside and
outside the urban area, which may reduce tempera-
ture. Typically the heat island causes increases in
temperature of a few degrees in a small town [4, 5]
so that |Δθ|/θ ~ 0.01 and UB ~ 3 m/s. Larger urban
areas show a much higher urban heat island effect
(up to 12 C for cities in arid or semiarid environ-
ments, [6]) leading to larger values of UB. Coriolis
effects are significant if Lo is comparable or greater
than the mesoscale length scales.
Referring to Table 2, it is seen that for typical
small to medium scale urban areas (case (i)),
buoyancy and Coriolis effects are negligible,
Urban Air Quality: Meteorological Processes
~1 <1
(typically moderate (hilly terrain; near coast)
wind over flat surface)
(iii) Weak flow (v) Slope flows in open
convergence, change in valleys; sea breezes; slope
stability over urban flows and pooling in
area bounded valleys
(iv) Strong central (vi) Interactions between
convergence and orographic and urban heat
cyclonic turning. island flows.
Significant variations in
orographic and heat island
flow across the urban area.
F > 1, and Lf, LRo > LO, the scale of the urban
area. For case (ii), as LO increases, and if there are
no thermal effects, Coriolis effects begin to
become significant with turning of the wind.
Case (iii) corresponds to the case in which the
urban heat island, and hence the buoyancy veloc-
ity, increases. This will change the stability and
boundary layer depth over urban areas. But if the
area is even larger so that Lf, LRo < LO, as in case
(iv), then the heat island and Coriolis effects are
larger. In this case there is convergence with the
flow toward the urban area turning cyclonically
(i.e., anticlockwise in the northern hemisphere), as
has been measured, especially at night [3].
Strong buoyancy forces occur in the presence
of mountains and sloping terrain, so that F < 1,
leading to marked diurnal variations in the wind
speed and direction, over the urban area and out-
side it. Such areas are associated with sudden
changes in the airflow, internal fronts, and pooling
of the air in valleys, all of which greatly influence
dispersion of air pollution.
Note that because of release of heat stored in
buildings at night and increased mixing due to the
high surface roughness, the static stability of the
air stream usually changes as it moves into and out
of the urban area, typically becoming less and
more stable, respectively.
Urban Air Quality: Meteorological Processes
a z ~Io
Io
LA
b lN
Urban Air Quality: Meteorological Processes,
Fig. 2 Characteristic features of building envelope and
zones of air flow in neighborhod scale. (Note that the
definition of this scale depends partly on the level of detail
of the computation.) (a) “Porous” canopy – with isolated
Where there are significant buoyancy forces or
orographic effects, the boundary layer profiles
over the urban area and downwind may not sim-
ply adjust toward the equilibrium states found in
neutral, stable, and unstable boundary layers over
flat terrain. In fact there are characteristic features
of the air flow on these scales, especially near
hills, coasts, and urban/rural boundaries, that can
significantly affect dispersion, such as blocked
flow, unsteady slope flows, gravity currents, and
boundary layer jets [7, 8].
Neighborhood Scale
The characteristic features of the air flow on the
neighborhood scale are dependent on the group-
ing of the buildings/streets (with average building
height H, breadth b, width w, and distance
between buildings d). In suburban areas or
167
z ~ IN
z∗
Hc
LN
Z∗
Hc
buildings. lO and lN are the heights of the perturbed layers
above the buildings; z* is the height of the top of the shear
layer above the buildings. LA is the adjustment distance.
(b) Non-porous canopy, where the mean flow passes over
the canopy
spaciously designed urban centers, the buildings
are effectively isolated. However, in dense sub-
urbs and inner city areas there may be “canyons”
with long rows of buildings neighboring streets.
The suburban areas or spacious urban centers
are essentially porous to the oncoming boundary
layer; the airflow slows down as it passes between
the buildings, as a result of both the bulk displace-
ment of the flow over and around the “envelope”
or canopy of the buildings and their drag. Down-
wind of a characteristic adjustment distance LA
(which is of the order of H(d2/wb) or H/β where
1-β is the volume occupied by the buildings and β
is the volume of air between buildings and there-
fore a measure of porosity), or typically 10–30
building widths [9], the drag force dominates but
is weakened by the sheltering effect of upwind
buildings (see Table 3). Over this adjustment
168 Urban Air Quality: Meteorological Processes

Urban Air Quality: Meteorological Processes, Table 3 Typical street/building configurations in urban areas

Increasing separation, d →

b/s
>
~2 <
~1
← Increasing width w

b/w

(i) Canyon (H/w > 2) (iv) City squares*, parksides

>
~10 Residential street (H/w <
~ 1)

(ii) Long blocks (e.g. industrial (v) Enclosed spaces (e.g. courtyards)
1–5
estates)

< (iii) Closely-packed industrial sites; (vi) Square blocks (e.g. houses), H/w <
~1
~2 ancient settlements** Office blocks, H/w ≥ 1

* Long buildings with large space are rare except for city squares/courtyards.
** Wide buildings close together are rare except on certain industrial estates.
In the above s is the distance to the nearest building.
Note:
(a) Mixed cases occur, such as office blocks as part of streets (so H/w varies).
(b) Long and square blocks are usually aligned in streets (i.e. angle between two nearest cases Δθ is 180°).

×
×
Δθ

w ×

distance the air flow above the buildings first
accelerates as a result of the vertical displacement
by the buildings, and then decelerates as slow
moving fluid is expelled from below the level of
the building envelope or canopy. Downwind of
the adjustment distance (Fig. 2a), if the neighbor-
hood scale is large enough (i.e., LN > LA~ 30 H),
the air flow (speed Uc) within the canopy is largely
driven by turbulent shear stresses generated in the
shear layer just above buildings Hc < Z < Z* < lN(x)
(rather than by the oncoming airflow). Above this
shear layer, Z* > Z > lN(x), the airflow is charac-
teristic of a surface layer with displacement height
zd, so that
 
u z  zd
U ðzÞ ffi ln
k z0
where z0 is the aerodynamic roughness length,
and k is von Karman’s constant as discussed by
Grimmond and Oke [10], Britter and Hanna [11],
and Belcher et al. [9]. Application of Eq. 1
requires knowledge of z0, zd, and u*. The estima-
tion of these parameters is not straightforward in
urban areas. The determination of the friction
velocity is also difficult because of the large var-
iability of momentum fluxes inside the urban
canopy [12].
The aerodynamic roughness length z0 is a mea-
sure of the turbulence-generating capacity of the
ground. The larger the roughness length, the more
turbulent the air for a given wind speed. Gener-
ally, tall features such as buildings have a larger
roughness length than short features. However a
densely built area may have a smaller roughness
length than a less dense one because the interac-
, ð1Þ
tion between the air and the region beneath is
reduced. The wind speed close to a rough surface
is reduced by friction and a velocity profile can be
plotted from the surface to the free fluid. This
Urban Air Quality: Meteorological Processes
reduction in wind speed as the surface is
approached can be equated to a transfer of momen-
tum from the bulk fluid to the surface, caused by
the friction force. The momentum transfer
(transport) is large if the roughness is large.
The displacement height zd according to
Jackson [13] can be interpreted as the level of
mean momentum absorption. According to the
(  
0:5 )
Jackson’s formulation this can be determined by
the following relation:
Z zd  
 
ðzd  zs Þ u0 w0 s u0 w0 s  u0 w0 ðzÞ dz,
zs
where zs is the average elevation of the surface and
u0 w0 s is the peak of the shear stress profile. Accu-
rate knowledge of the aerodynamic characteristics
of cities is vital to describe, model, and forecast
the behavior of urban winds, turbulence, and the
dispersion of pollutants at all scales. The calcula-
tion of zd (which is of order H) based on Eq. 2 is
rarely feasible due to the lack of measurements.
The classical way to estimate z0 and zs in open flat
terrain is based on the measurements of wind
speed profiles from a tall mast or, less accurately,
on the inference from published aerodynamic
roughness values for similar terrain elsewhere
[14, 15]. Both methods, however, are very diffi-
cult to apply to urban areas. A promising alterna-
tive that has become available in recent years, due
to increased computing resources and the avail-
ability of high-resolution 3-D building databases,
is based on the calculation of z0 and zd from the
analysis and measurement of the city geometry
(urban morphometry). Morphometric methods
express the cities’ aerodynamic characteristics in
terms of average building height (H), planar area
index (lp), frontal area index (lf), and other mea-
surable parameters related to the urban morphol-
ogy (e.g., [10, 16, 17]. While lp for a given
neighborhood is independent of wind direction,
lf represents the total area of buildings projected
into the plane normal to the incoming wind direc-
tion and is a function of orientation. For a given
wind direction, lf is smaller if the wind angle is
oblique, rather than perpendicular, to the front
face of the building.
169
Starting from the lambda parameters zd and the
aerodynamic roughness length, z0 can be com-
puted using the equations derived by Macdonald
et al. [18]:
zd  
¼ 1 þ lp  1 alP , ð3Þ
H
z0 zd 0:5bCD lF zd
¼ 1 exp  1 ,
H H k2 H
ð4Þ
ð2Þ where α ¼ 4.43, β ¼ 1.0, k ¼ 0.4, CD ~ 1.
Even though Eqs. (3) and (4) provide good
operational estimations for zd, as far as z0 is
concerned, there is a warning due to the intrinsic
difficulty linked to limited fetch, typical in urban
areas, which prevents the flow from being in equi-
librium with the changing surface as noted above.
Equations (3) and (4) provide a first estimate of
surface characteristics, but aerodynamic proper-
ties need to be evaluated on a case by case basis.
Besides, while z0 is an important parameter for the
above canopy flow description as expressed by
Eq. (1), within the urban canopy its use can be
replaced by a combination of lambda parameters
and their variation with height [19].
Going back to the discussion on the flow char-
acteristics, it is worth mentioning that despite the
unevenness and inhomogeneity of these boundary
layer flows, the ratios of the r.m.s. values of the
three components of turbulent velocity (su, sv, sw)
to the friction velocity u* are quite comparable
with their values over level terrain, i.e., su/u
ffi 2.5, sv/u ffi 2.0, sw/u ffi 1.3 [20].
Downwind of the “neighborhood” or urban
area where the buildings decrease in height, the
mean air flow descends and accelerates. Typically
in neutral conditions the mean velocity adjusts to
within 10% of its ultimate (rural) value within
about 30 lengths [21].
When the urban area is more densely packed
with buildings and they are distributed in the
“canyon” form, the urban area is effectively
“non-porous” (Fig. 2b). An example of this case
is the central area of Nantes [22]. The air does not
flow continuously between the buildings but the
mean streamlines and the cloud/plume pass above
170
the buildings and air flow is largely above the
canopy envelope (average height HC); the ratio
Uc/UH is much less than sw/UH.
Within the canopy the flow depends on the
particular street and building configuration at
that scale. There are mean flows along streets at
an angle to the mean flows above the buildings,
which results in extra lateral diffusion.
The flow above the canopy is essentially equiv-
alent to airflow over a wide hill with length LN and
height HC, but with a significant value of the
roughness length z0 that is of the order of the
thickness of the shear layer over the buildings
and the “canyons” between them [23]. The flows
in the inner layer above the buildings and in the
wake downwind of the neighborhood region are
similar to those for the porous case.
Building and Street Scale
On the building/street scale there are also charac-
teristic features of the flow corresponding to dif-
ferent categories of building street shape and
configuration. Various planning criteria and con-
cepts have been proposed for defining these cate-
gories, for example, rugosity (or mean canopy
height HC), relative rugosity (defined by building
height variability or canopy height variability H 0C),
sinuosity (of canyons), the Sky View Factor
(SVF), which signifies the fraction of sky dome
visible from a specific outdoor position and is
important for estimating the amount of incoming
solar radiation for energy calculation, and the
“compactness index,” which is defined as the
ratio of building surface area (excluding the plan
area) to the surface area of a cube that has the same
volume as the building. For microscale phenom-
ena the urban morphometry is the more important,
but at the mesoscale both the geometry and sur-
face thermal characteristics play an equal role
[24]. These, and related concepts, have been
used to guide the suggested categorization
shown in Table 3 for building/street configura-
tions and the consequences for air flow features
illustrated in Fig. 3.
Fluid mechanical studies have shown how
flows around individual buildings become sig-
nificantly distorted in the presence of other
buildings depending on the ratio b/d of the
Urban Air Quality: Meteorological Processes
breadth b to separation distance d from the
nearest building, on the ratio b/w of breadth to
the width w of the building, and on the relative
height to width ratio H/w. When there are many
buildings, as in urban areas, these flow interac-
tions build up into characteristic flow patterns;
this is now examined.
Separated Buildings b/w, w/b < 2. The separa-
tion distances d are large enough that b/d  1/3
((vi) of Table 3 and Fig. 3a). The flow around each
building has approximately the same form as that
of an isolated building, with recirculating flow
regions, turbulent wakes, and horseshoe vortex
structures around the base of the building. In
slightly stable conditions the vortex structures
can persist far downwind but in most urban
cases where the flow is neutral and highly turbu-
lent they are not significant. On the other hand the
turbulent wakes from upwind buildings do impact
on those downwind, enhancing the mixing. Iso-
lated buildings, especially in slightly stable con-
ditions can produce swirling wakes far downwind
[25]. When there are marked variations in the
height of adjacent buildings, the wake vorticity
shed from upwind buildings can produce sharp
down-flows and increased trailing vorticity in the
flow direction as discussed by Lawson [26]. These
effects contribute to mixing between the canopy
and external flow.
For tall buildings that are not closely packed
and where H/b > 1 (Fig. 3b), there is strong
mixing in the horizontal plane and to a lesser
extent in the vertical direction because of the
high turbulence generated. Buildings placed suf-
ficiently close to each other may result in wake
interaction, which tends to cause downwash [27]
and strong swirl around the sides of tall buildings.
This enhances vertical mixing in the lower part
of the downwind wakes and through lateral
convergence reduces their downwind extent.
When b/d < 1/3, corresponding to long buildings
that are sufficiently separated from each other, the
flow over an upwind building can descend into the
space between the buildings. This flow is signifi-
cantly sheltered and stagnation areas are larger
than for isolated buildings.
Close Packed Buildings not Aligned. In some
city centers and some types of industrial plant, the
Urban Air Quality: Meteorological Processes 171

spacing between buildings are within about two or
three widths (i.e., b/d ≳ 1/3), but the gaps between
the building do not form continuous “canyons”
((iii) of Table 3). The air flow passes around the
buildings and the streamlines move irregularly
between the buildings, converging and diverging
as they do so, as sketched in Fig. 3c [28]. The
wakes tend to be reduced in length because of
cancellation of vorticity.
Where the separation distance is smaller, i.e.,
b/d  1, the flow is further changed because there
may be other complicating geometrical factors,
such as the effect of a courtyard, which further
slows up the flow, or open gateways, which can

a Uw Uw

w
d

f
UH

c ~
y
~
x

(xs(2), ys(2))

y ~ W
y
(xs, ys, zs) (1)
(xs , ys ) (1)
~ yc(X)
x
x b

Lse

Urban Air Quality: Meteorological Processes, Fig. 3 (continued)

172
UH
H
W d
Typical stagnation regions
w
d
f
UH
Urban Air Quality: Meteorological Processes,
Fig. 3 Typical building/street configuration. (a) Normal
approach angle f small enough (i.e., cosf > 2w/d) for
independent wakes to be formed (approximately parallel to
the approach wind). Note the complex forms of building
wakes, in which swirl may persist. (b) Effects of uneven
building heights. Note strong reverse and downdraft winds
(e.g., [26, 27]). (c)nStaggered
o tall buildings (comparable
ðiÞ ðiÞ
height), located at xB , yB , close to each other. Note
how wakes can “disappear” through converging streamlines,
while lateral diffusion is enhanced by diverging streamlines
(“topological” diffusion). Streamlines are indicated by solid
arrowed lines. The streamline through the source at (xs, ys, zs)
lead to sufficiently high local winds that affect the
overall flow pattern (Fig. 3d). Here the interaction
between the vorticity layer from the top of the
buildings and impacting on surrounding buildings
leads to even more complex recirculating flows
than in street canyons. However, because of
the finite extent of these flow regions, it can gen-
erally be assumed that (unlike elongated street
canyons) there is only a small mean velocity
Urban Air Quality: Meteorological Processes
b
Vs
is yc(x); xe, ye are coordinates parallel and perpendicular to this
streamline. Streamlines marked with small circles are mean
streamlines cstag passing through stagnation points where
plumes split. The cloud/plume resulting from the source is
the shaded area enclosed by heavy dashed line. LSe is the
effective size of the source outside which atmospheric tur-
bulence determines the dispersion. (d) Enclosed spaces –
Typical instantaneous streamlines of the large-scale flow in a
courtyard, where b/d ~ 1, b/w ~ 3, H/d ~ 1/3, and H/w ~ 1.
The shaded area indicates the region of highest concentra-
tion of matter released in the courtyard. (e) Normal approach
angle f large enough (i.e., cosf ≲ 2w/d) for wakes to merge
and “canyon” flow to develop in streets between the
buildings
component UC below the building height, i.e.,
UC/UH ≲ 0.1. However, the turbulence level is
quite high in these recirculating flows, with
su ~ sv ~ (0.5–1.0) · su(z*) ~ 1.2–2.5 u*, so that
su ~ Vs [23].
Flow Aligned with Rows of Buildings (b/w > 1,
H/d ≳ 1/3). In this case buildings are located in
rows with separation gaps d that are comparable
with their height H (i.e., streets). The case includes
Urban Air Quality: Meteorological Processes
buildings that are loosely aligned in rows or con-
tinuous canyons ((ii), (iii), and (iv) of Table 3).
Where the downwind buildings are nearly aligned
with the wind (Fig. 3e, cos f  w/d), they distort
the wake’s vorticity so that the wakes tend to be
aligned with the building [29]. The recirculating
flow in the wake of the upwind row tends to extend
across the “street,” and there is usually a significant
mean velocity Vs along the street. The mean flow
has a component along the street and, when the
external flow is not aligned with the “canyon,” a
swirling motion in the perpendicular direction that
tends to extend up to the top of the buildings. The
peak mean and fluctuating velocities near the
ground are comparable with those at the level of
the top of the buildings. The key quantitative
parameter for dispersion modelling is the ratio of
the mean wind along the street Vs to the mean wind
UH above the buildings at the height H (in the
approach flow). Computation and field observa-
tions [23] have suggested a large range of this
ratio from 0.3 to 1.0. The analysis also suggests
that the value of Vs can be quite sensitive to the
value of Vs at the upwind end of the canyon. Thus a
major crossroad can have a large effect on the
canyon flows downwind.
In conclusion it has been shown that most of
the usual types of building/street shape and con-
figuration found in urban areas can be categorized
in geometrical terms that also correspond to the
characteristic air flow patterns found in these sit-
uations for typical wind conditions. In particular
there is a major distinction between, on the one
hand, flows determined by random interactions of
wakes of well-separated buildings and, on the
other hand, flows where the interaction of wakes
is of less relevance, for example, highly organized
“canyon” like flows that occur when the buildings
form street canyons or, if they are separated, when
they are positioned along streets and flows in
enclosed areas (e.g., courtyards) or between very
densely packed buildings.
Urban Data
Experiments and dedicated simulations have
shown features of urban dispersion at the neigh-
borhood and street buildings scale. This includes
173
how the mean transport direction differs from the
mean flow above the buildings, the rapid vertical
and horizontal spreading of plumes in wakes and
canyons, the more complete mixing by the
interacting wakes (with lower relative levels of
fluctuation compared with rural terrain), the tran-
sition of dispersion below the buildings level to
above them and the variation in concentration
downwind of sources and within the buildings.
In the context of urban air quality, the full use
of models based on an up-to-date understanding
of the flow as described in the previous sections is
somehow limited by the scarcity of available data.
Urban flow and dispersion models require input
information and source distribution data about the
mean flow field, turbulence, and source distribu-
tion. Until very recently velocity field data in
urban areas were quite sparse and typically
derived from the experiments in the USA. Some
progress has been made in recent years with some
field experiments performed in some European
cities even though one has to accept that datasets
from field experiments are yet not fully complete
given the inherent difficulty and the cost of urban
flow and dispersion experiments. This aspect has
motivated the increase of laboratory experiments
of flow and dispersion over simplified groups of
buildings (building arrays) as well as over scaled
reproduction of real city quarters. In addition to
field studies, laboratory experiments allow easier
validation of physical or numerical models
because of carefully controlled flow conditions
and the possibility of making numerous measure-
ments. The laboratory experiments can be either
wind-tunnel experiments [30–32] or water-
channel experiments [33]. Some field studies
have focussed on real cities, releasing a tracer
gas in selected neighborhoods, for example:
Copenhagen [34]; Salt Lake City, “Urban 2000”
[35]; Oklahoma City, “Urban Joint 2003” [36];
Basel (BUBBLE experiment) [37]; London (the
Dispersion of Air Pollution and its Penetration
into the Local Environment known as the “Dap-
ple” experiments) [38, 39].
The advantage of such experiments is to simu-
late flow and pollution dispersion in real condi-
tions, but an important drawback is that the
complexity of the urban morphometry can
obscure the “true” impact of buildings from
174
other complex phenomena due to the specific
configuration of the selected city or neighbor-
hoods. In the case of the Mock Urban Setting
Test (MUST, [40]) it was determined that the
focus would be on a simplified representation of
a city by modelling it as a regular array of ship-
ping containers, while keeping meteorological
conditions real. This study has helped to clarify
and give scientific evidence of specific flow phe-
nomena as outlined in the previous sections. One
important aspect for dispersion application has
been the quantification of the deflection of the
mean plume axis relative to the incoming wind
direction induced. This can be significant, being
up to 23° for a wind direction of 27° relative to the
axis of the array, as found in the MUST experi-
ment. Extrapolations to the real conditions are not
always straightforward. The full field experiments
mentioned above confirmed that, depending on
building density and morphology, transport and
dispersion may lead to complications not
observed in simpler building array distributions.
Near street level, for example, the dispersing
plume may travel several blocks in a direction
opposing the prevailing wind and many blocks
laterally. This topological dispersion can lead to
secondary sources and significantly alter the rate
of lateral dispersion. A ground-level source can
rise several hundred meters in depth in less than a
block when caught in the updraft just downwind
of a tall building. Buildings also alter the timing of
the transport and dispersion, generally resulting in
much longer residence times as compared to open
terrain. Even though it is difficult to generalize the
time of residence of a pollutant cloud, the Bir-
mingham experiments suggested a few hours for a
single source. However, the Dapple experiments
did not give a definite conclusion on this.
A further observation important for air quality
applications is that the experiments have shown
the presence of stable stratification during the
night when consequently street level flow is less
well coupled to the upper level reference. This
might be more frequent in US cities than in
European cities. As observed by Barlow et al.
[39], stable conditions occur in London only occa-
sionally. The analysis by Allwine et al. [35] car-
ried out using data from the Joint Urban campaign
Urban Air Quality: Meteorological Processes
in July 2003, Oklahoma City, showed that a stable
layer is often observed overnight, with a nocturnal
jet. Thus, there is no common pattern regarding
the frequency of stable conditions; such condi-
tions are a strong function of thermal advection
due to regional scale flow processes and also
depend on the specific materials used in the dif-
ferent cities.
The above are only some examples and are far
from being a complete discussion of specific
results obtained from the urban experiments.
Computational Models for Meteorology
and Air Flow in Urban Areas
This section discusses those computational
models for both meteorology and air flow in
urban areas that are used as input to models for
calculating dispersion. The numerical and physi-
cal basis and operational attributes are summa-
rized in Table 4 for the three ranges of length
scale introduced in section “Characteristic
Regions of the Flow and Drivers”, and for the
different types of model, ranging from off-line,
fully computational models (FCM) to the fastest
approximate models (FAM) that can be run on
PCs. The choice of the model depends on their
practical purpose (in relation to dispersion model-
ling), the required level of spatial/temporal detail
and scientific understanding involved, and on the
detail and accuracy of meteorological and topo-
graphical input data. For research and for off-line
validation studies, a variety of types of model tend
to be used: some studies require great detail and
accuracy about particular or commonly occurring
situations; others require simpler models for rap-
idly calculating a wide range of meteorological
and topographic boundary conditions. When
models are analytically based, their predictions
can be easily understood and may be expressed
in useful formulae.
The reason why it is necessary to have different
types of model for the different distances is
because every type of model can only represent
a finite range of length scales, limited by the
capacity and speed of the computational systems
and data input.
Urban Air Quality: Meteorological Processes 175

Urban Air Quality: Meteorological Processes, Table 4 Types of computational models for urban meteorology and
air flow
1. Mesoscale
(i) Full computational models (FCM)
Based on grid box numerical methods; full physics (fluid dynamics and thermodynamics)
Input: from synoptic (or regional) numerical weather prediction models and local surface conditions, for example,
surface fluxes for heat, Fθ, water vapor, Fv, roughness length, z0(x, y), and surface elevation, zs(x, y)
Output: mean flow, turbulence statistics from above building envelope up to tropopause as a function of space and time
over the urban area
Typical number of grid boxes for 1/3–1 km resolution on 30–100 km grid is 106–107. Takes about 3 h per 1 simulation
hour, faster for lower resolution model
(ii) Fast approximate models (FAM)
(a) Flow perturbation models (suitable where UG/UB ≳ 1) using fast/approximate numerical and analytical methods,
simple physics (for turbulence, stratification profiles), input from observational data (reduced) or NWP models and from
local surface conditions
(b) Local flow/thermal models (especially where UG/UB ≲ 1) using formula/fast approximate models for special
conditions/physics, for example, slope winds, sea breeze, and thermal convection;often adjusted for local conditions
(c) Mass consistent models to compute flow fields given data at several points in the flow domain and surface elevation
zs. (Only suitable if such data exist for all relevant cases.)
(d) Typical resolutions can be on a horizontal scale of 100 m or less
(e) These models can be run over a few minutes on PCs for each case. Current simplified models do not account for
unsteady conditions over large urban areas (where LO/Lf, Lc/LRo ≳ 1)
2. Neighborhood scale
(i) FCM using CFD methods
Grid point numerical models with approximate representation of buildings and open spaces (as porous medium;as
distributed forces;or as approximate shapes);approximate turbulence and heat transfer models;input from mesoscale
models or measured data
Output: mean and turbulence profiles within the building envelope and up to the boundary layer/inversion layer height
Typical horizontal resolution is greater than the spacing between buildings. For a “neighborhood” of 5 km (e.g., city
center) with 106–107 points, the resolution would be 100 m for an “accurate” computation
(ii) FAM
(a) Flow perturbation models (applicable where ln z0 or Fθ vary significantly) using fast/approximate numerical and
analytical methods with buildings/open spaces described by average properties and their relative fluctuations (e.g.,
average building height H, spacing d, and also typical r.m.s fluctuations in H and d); simple turbulence and heat transfer
models for canopy flows; input from mesoscale models or local data, and estimates of distributed effects of buildings
Output: mean flow within and above the canopy and turbulence above the canopy
(b) Local flow/thermal models (where ln z0 or Fθ are approximately uniform). Formulae based on local dynamical and
thermodynamic balance and estimates of distributed effects of buildings;input based on average wind, thermal flux, and
estimates of distributed effects
3. Building/street scale
(i) FCM using CFD methods
Grid box numerical models with accurate representation of buildings, approximate turbulence and heat transfer models;
input from neighborhood models or assumed data. (Very fast versions using idealized (e.g., inviscid) equations with
finite numerical diffusion and approximate boundary conditions for buildings.)
Output: mean flow and turbulence profiles around buildings of different shapes and grouping within an urban area.
Typical computational domain is greater than building length or spacing L, or d (100 m) and grid size of 1 m or less.
Note: sensitivity to inflow conditions from other buildings and atmospheric turbulence. Models better for clusters of
buildings than isolated buildings (where large-scale atmospheric turbulence has less influence). Simpler methods are
accurate/fast enough for practical use in off-line diffusion calculations
(ii) FAM
(a) Turbulent wakes of individual buildings based on perturbation methods and typical flows near buildings
(b) Closed packed buildings modelled by ideal (potential) flow
(c) Idealized models for interactions when wakes of upwind building impinge on downwind structures
(d) Canyon models (semiempirical formulae – not yet well established)
(e) Canyon/street intersection models (e.g., ideal potential flow)
176
Mesoscale Models
On the mesoscale range, the inputs to the models
are the representation/parameterization of the
topography and the natural features of the surface
necessary for computations down to the smallest
scale LM/RM (which typically is of order
1/3–1 km). This is therefore the scale over which
the surface conditions are averaged, including
ground surface elevation zs(x, y), roughness length
z0(x, y), surface heat flux Fθ (x, y, t), and surface
temperature θs(x, y, t) (which is usually derived in
operational mesoscale models by coupling the
atmospheric model to a thermal model for ground
temperature, allowing for radiation from/to the
earth’s surface). In fully computational models,
FCMs, the boundary conditions at the edges of
the domain (and, in some models, above the
domain) have to be specified and are usually
derived from larger scale regional or global
numerical models. These are usually updated at
regular intervals, for example, every 3–12 h, with
observational data taken at all levels in the atmo-
sphere. This process of “data assimilation” is also
beginning to be applied directly to mesoscale
models, for example, in urban areas with many
measurement sites.
A critical feature of any FCM, especially in the
boundary layer and when the flow is influenced by
mountains, buildings, surface heating etc., is the
representation of the effects on residual
(or computed) scales greater than LM or RM of
the turbulence at the smaller space and timescales.
Some models, such as HOTMAC [41], contain
quite complex sub-models of the turbulence sta-
tistics (with extra equations for the turbulent
kinetic energy and turbulent dissipation rate
(k-ε)), while others, for example, WRF [42],
COAMPS [43], MM5 [44], MESONH [45], and
UK Met. Office unified models [46], use eddy
viscosity or even simpler parameterizations (e.g.,
assuming a known form of the velocity profile).
The experience from field studies in the USA is
that for urban areas located on sloping terrain
where buoyancy forces are significant (i.e.,
F ≲ 1), the models with the more complex turbu-
lence models are more accurate in these condi-
tions. But the greatest improvements in accuracy,
especially in predicting the mean wind speeds and
Urban Air Quality: Meteorological Processes
wind direction in changing meteorological condi-
tions, and in complex terrain, arise from using
these models with finer resolution of the order of
1 km or less. However even with finer resolution
and complex modelling, such models still cannot
predict some significant features of surface layer
turbulence, such as evening transition of upslope
flows and formation of gravity currents, or calcu-
late relevant statistics of the turbulence for disper-
sion models, unless they are used as large eddy
simulations [47], which, because of computa-
tional requirements, is currently only possible in
research mode.
As explained in Table 4, these models take
many hours to compute a single meteorological
situation. Nevertheless, they are sufficiently reli-
able indicators to be used operationally. Fast
approximate models, FAMs, for air flow and
meteorology over mesoscale distances are being
developed, based on recent research. These
models are useful as qualitative guides to the
complex flow that might occur on the mesoscale,
for quantitative predictions as input to dispersion
computations.
As shown in Table 4, when local buoyancy
effects are weak (i.e., UG/UB  1), the air flow
over an urban area is generally a perturbation of
the oncoming flow. Then, from semi-analytic
models using perturbation methods, faster com-
putational schemes have been devised, and are
being developed in a general way to allow for
orography, roughness change, and some effects
of surface heating [8, 48]. Although these are
perturbation methods, the changes in wind speed
and direction predicted (and verified) by these
models can be quite large (~50% or more).
The perturbation modelling approach being
adopted in this range of meteorological flows is
similar to that used for sub-mesoscale/
neighborhood scale orographic flows (for exam-
ple, in the FLOWSTAR model [49] and
RIMPUFF [50]), the main difference being that
over the larger scale the internal layer l reaches the
top of the boundary layer h, so that the inversion
height is affected and Coriolis effects have to be
included (which, for example, significantly influ-
ences flows along coasts and up and down large
river valleys, [51]). Typically these models are run
Urban Air Quality: Meteorological Processes
in the steady state. Once the time dependence over
several hours is significant, a fully computational
model is necessary.
When buoyancy forces are significant, UG/
UB < 1, no FAM is yet available to cover all the
most significant types of air flow and meteorolog-
ical conditions that might be needed for dispersion
calculations. However, models and physical esti-
mates have been derived for some particular situ-
ations, especially when Coriolis forces play a
small role, for example, in wide valleys with low
slopes, large heat island effects, and sea/lake
breezes [48, 52, 53]. Not only are the quasi-steady
features of these flows now quite well described,
but also their time/space dependence over the
diurnal cycle. In the absence of strong geostrophic
winds (or very stable local conditions) the local
diurnally varying buoyancy forces may control
the flow and therefore they are quite predictable
(e.g., a valley wind, or sea/lake breeze on a still
day). Since the single most important aspect of the
air flow needed for dispersion calculations is the
direction of the wind, such physically based
models provide vital information for estimating
the dispersion in complex terrain.
Neighborhood Scale Models
On the neighborhood scale (typically 5 km), fully
computational models, even with the latest com-
puting systems, cannot generally resolve the flow
around every building. Typically, for computa-
tions with 106–107 grid boxes, the horizontal
grid spacing is about 100 m or greater in the
horizontal direction. To resolve the velocity field
around a building in order to calculate its drag
effect on the overall flow, the grid boxes would
have to be of the order of 1 m or less. Therefore
even FCMs can, at present, only calculate average
features of the flow over these grid box scales by
estimating the average effects of buildings and
streets in the model. This is expected to change
in the near future with further increases in com-
putational power.
For most practical applications in urban areas,
different modelling approximations are needed
(even with an FCM) depending on whether the
buildings in the neighborhood being considered
form effectively porous or non-porous regions of
177
resistance. In the case of effectively porous build-
ings (Fig. 3; category (i) of Table 3), the effect of
the buildings is estimated by a drag coefficient
averaged over the whole volume occupied by the
buildings and the space between them (typically
this is of the order of the porosity β).
The FCM input is the mesoscale flow field
approaching the neighborhood region (or the
flow leaving the adjoining neighborhood), for
example, suburbs adjoining a city center as in
Fig. 1. FCM output will be the mean flow and
basic turbulence statistics that depend on the par-
ticular closure model used, for example, mixing
length, turbulent energy-dissipation (k-ε) closure,
or Reynolds stress closure [54, 55]. All three of
these models lead to estimates of turbulent kinetic
energy, but only the latter also provides estimates
of length scale, and the space/time dependent
evolution of turbulence structure, which is signif-
icant where the areas of building density or height
change sharply. The third method allows for the
anisotropy of turbulence, which changes in these
transition zones. Such models predict the mean
velocity field everywhere (spatially averaged over
the grid box) and the turbulence outside the can-
opy. Within the canopy, where large-scale inho-
mogeneous turbulence is generated by the shear
layer over the top and by eddying motions around
buildings, the spatially averaged models are
deficient.
In the second case, an effectively non-porous
neighborhood, the mean air flow passes over the
building envelope as if over a hill with elevation
zs(x, y). The roughness length z0 also changes as a
result of turbulence and recirculating flows in the
courtyards, streets, etc. between the buildings.
Estimating these parameters zs, z0 in terms of the
building layout is only approximate, (e.g., zs ffi Hc,
z0 ~ H/30). As with porous built-up areas, the
parameterizations for calculating average flow
properties can be estimated approximately by
detailed computation of typical local areas.
These calculations can also provide estimates of
the local turbulence, needed for dispersion com-
putations [23]. FCMs using turbulence closure
models have been extensively applied to the
kinds of recirculating flows that occur between
buildings in non-porous urban areas; most
178
validation has been for wind tunnel tests and
engineering flows, where the kind of very-large-
scale eddies and downdrafts found in atmospheric
flows are absent. Such motions can lead to more
rapid exchange between the upper flow above and
within the canopy layer, as discussed in the review
by Mestayer and Anquetin [5].
As shown in Table 4, and reviewed by Britter and
Hanna [11], most FAMs for the neighborhood scale
tend to focus on equilibrium flows within and just
above the canopy. In a “porous” canopy (Fig. 2a),
the mean velocity within the canopy Uc(z) is driven
by the turbulent shear stresses generated in the
intense shear layer just above the canopy. Here the
ratio of Uc/U (z*), where U(z*) is the velocity at the
top of, or above, the roughness layer (Fig. 2),
depends on the porosity – a typical value being
0.3. In a non-porous canopy, typically in the inner
city, where flows are determined by canyon and
downdraft effects, this mean velocity ratio varies
considerably over the range 0.1–0.3 [23].
The approximate average velocity profile
(Eq. 2.1) is not applicable at the edges of “neigh-
borhoods” where the density and heights of build-
ings vary, or in the interiors of such regions, such
as near parks, squares, etc. At the edges of porous
canopies, where the air flow in the canopy varies
rapidly, an FAM approximate model has been
developed based on the same approach as FCM
by representing the canopy as a porous layer and
(as for the FAM in the mesoscale range) solving
perturbation equations semianalytically to pro-
vide fast computation of the mean velocity and
shear stress [9, 56]. These have been verified
against field and wind tunnel studies.
Over non-porous canopies (typically catego-
ries (i)–(v) in Table 3), the determining parameters
(Hc, z0(x, y)) are the same as for FCM over these
elevation/roughness changes. The linearized
FAM approaches give very similar results to
those using FCMs [57, 58].
Modelling the Building and Street Scale
The purpose of detailed flow modelling in and
around individual buildings and the surrounding
streets is firstly to understand how rapidly
released matter disperses locally. Secondly,
detailed studies of these local scale flows are
necessary, as explained in the previous section,
Urban Air Quality: Meteorological Processes
to develop models over neighborhood scales for
flow and dispersion.
Fully computational methods, using a variety
of turbulence modelling methods, have been
extensively applied to computing flows around
single buildings in turbulent boundary layers.
Using turbulence closure methods, many models
have predicted mean velocities near the buildings
within one or two widths; but such models (e.g.,
k-ε models) have tended to over-predict small-
scale turbulence around the structure [59] and
under-predict the large-scale atmospheric eddies.
This leads to an over/under-prediction of the mean
velocity defects in the wakes downwind of 3-D/2-D
structures in the atmospheric boundary layer.
Only the computationally intense method of
Large Eddy Simulation (LES), or unsteady
modelling of the fluctuating flows using turbu-
lence closure models, can accurately represent
the distortion of the large-scale eddy motion
around the building and its effect on downwind
wakes [60, 61].
Calculations using FCM with turbulence clo-
sure have also been performed on flow around
small groups of buildings using resolutions
down to about 0.1 H. The predictions of the tur-
bulence in these flows are more reliable than those
of isolated structures because most of the turbu-
lence in this instance is generated locally between
the buildings and is of smaller scale (similarly,
wind tunnel models of dispersion around build-
ings are generally more reliable when the build-
ings are in groups than when isolated because
wind tunnels cannot simulate the low frequency
fluctuation in wind direction). This is because the
primary interactions between the wake of one
building and its impact on adjacent buildings are
not sensitive to the structure of turbulence; how-
ever, the wakes of isolated or well-separated
buildings are strongly affected by the form of the
low frequency spectrum of turbulence. This is
why in some institutions, for example, the US
Naval Laboratory [62] and more recently at Los
Alamos [63], work is being undertaken on disper-
sion in dense urban areas with fast FCMs in which
approximate velocity fields are computed using
classical grid box methods of finite size (say 1 m)
but neglecting completely any modelling of tur-
bulent stress. This reduces the number and the
Urban Air Quality: Meteorological Processes
order of the equations to be solved and speeds up
the computation by a factor of 10 or more. The
finite size of the grid effectively introduces
numerical diffusion that simulates many of the
same mean flow features developed using the
more complex turbulence closures.
Another simplification to speed up the compu-
tation of the mean velocity field is to represent the
effects of the individual buildings as a distributed
force acting on the flow (or source/sink distribu-
tion) and thereby only approximately representing
the shape of the building [64]. In most FCM
calculations, considerable computational resource
and time is spent on exactly representing the
building shape, while at the same time making
considerable approximations in the flow.
There are at present no general FAMs that are
capable of calculating the detailed flow around
any isolated building or group of buildings, or
even calculating those broad features of the flow
needed for modelling dispersion close to the
building. The main reason is that the unsteady
separated shear layers that control the flow are of
much smaller scale than the building. This means
that the recirculating flow region, which greatly
affects the magnitude and timescale of concentra-
tion fluctuation, is not only highly unsteady but
also very sensitive to the effects of nearby build-
ings. Nevertheless, the main features of the mean
flow patterns and typical magnitudes of the mean
and fluctuating velocity have been classified and
partially quantified for many types of buildings
and groupings. Therefore, although no practical
FAM for the mean flow is available at present,
these features of the flow field are now well
enough known to derive useful quantitative
FAMs for the dispersion. For example, when
buildings are far enough apart that their near-
flow fields and their wakes are approximately
independent, the wakes can be approximated as
a perturbation to the approach flow, a theory by
Counihan et al., 1974 [21] that is used in the
“Buildings” module in ADMS [67]. The same
model can be used approximately with linear
superposition when buildings are separated by at
least 3H, where H is their height. As the ratio of
breadth to height, b/H, increases from 1.0 to
10, this minimum separation distance dmin
increases linearly to about 10 H (Fig. 3a(i)).
179
When d is less than dmin (Fig. 3a(ii)), it is found
that the recirculating regions of the wakes of the
upwind buildings are elongated and extend to the
nearest downwind building [65]. For buildings
designed in rows nearly parallel with the wind
direction, the flow structure consists of turbulent
recirculating regions in the spaces downwind of the
buildings and relatively high-speed streams in the
open streets between the buildings [28]. Describing
the flow structure in this way provides the basis for
FAM for dispersion calculations.
By contrast, when the buildings are placed in a
staggered pattern relative to the wind direction,
the wakes tend to disappear and the mean flow
between the buildings consists largely of unidi-
rectional bifurcating patterns of diverging and
converging streamlines, with small regions of
recirculating flow. Such flow can be computed
by fast potential flow methods [28], which are
even faster if the shape of the layout of the build-
ings is approximated [64].
When the buildings are long enough and close
enough (i.e., categories (i), (ii), and (iii) of
Table 3) and the wind is at any angle, or if they
are situated in rows and the wind is at a small
glancing angle to the row (Fig. 3a(ii)), then the
characteristic canyon flows are formed in the
streets between the buildings. When the buildings
either side of the street are of comparable height, a
strong feature of the helical canyon flow is that it
does not extend above the buildings. Therefore
the appropriate FAM for these flows is to assume a
canyon flow below the building level and a rough
wall boundary layer flow above it [23].
The final consideration is of the air flow in
typical courtyards and “squares” connected to
adjoining streets (Fig. 3c). Simulations confirm
that these are regions where fluid trajectories are
well mixed. This provides a basis for constructing
FAMs for dispersion in these regions using semi-
analytical diffusivity models.
Examples of Output of Modelling
Calculations
A series of examples of recent model calculations
showing the impact of buildings on flow are now
reported. The cases considered are a single
180 Urban Air Quality: Meteorological Processes

building, a regular building array, and a complex
urban junction. The examples mainly comprise
simulations using an FCM (specifically a CFD
model); one example using an FAM is also
presented.
CFD models do not describe all meteorological
phenomena as described earlier; however, they are
useful tools for predicting flow characteristics in
street canyons and within urban areas at the neigh-
borhood, building, and street scale. They can also
be used to interpret wind tunnel and field data and
their outputs can therefore be used to improve
operational models. Most available general pur-
pose CFD models currently still need to be vali-
dated against wind tunnel or field data to obtain
confidence before applying them to a particular
case study [67]. Some FAM models used for cal-
culating dispersion at the building and street scale
are reviewed in [68].
Single Building
Table 5 summarizes cases investigated by means
of both wind tunnel and CFD simulations by
Wang and McNamara [69]. The Launder and
Spalding’s standard k-ε model [70] for turbulence
and the advection-diffusion model for dispersion
was used for the computation with a computa-
tional grid comprising 500,000 cells and smallest
dimensions equal to 0.005 m. The cases com-
prised a cube (1), a tall building (4), a wide build-
ing (5), and intermediate cases (2 and 3).
Mean concentrations are expressed as dimen-
sionless values K which are defined as:
CU ref H 2
K¼ ,
Q
where Q is the emission rate, C is the measured/
calculated concentration, and Uref is the reference
velocity. Figure 4a shows the geometric setup and
Figs. 4b–d show examples of model outputs for
Cases 1 and 3 together with comparisons with
measurements from controlled wind tunnel exper-
iments. In detail, Fig. 4b shows the x-velocity
component (along the wind direction) contour
obtained from CFD simulations, where it can be
noted that the k-ε model was successful in pre-
dicting the typical vortex which develops in the
wake zone behind the building. Figure 4c, d also
show the comparison between wind tunnel and
CFD data for Case 1 and Case 3. In particular, it
can be noted that in Case 1 the model under-
predicts concentrations slightly. The hit rate q, a
statistical quantitative score of the model perfor-
mance [71], is equal to 75%. It is recalled that the
Hit Rate validation test is performed using a frac-
tional deviation RD ¼ 0.25 and an absolute devi-
ation W ¼ 0.06 (q > 66% is typically requested for
the comparison with wind tunnel data). Nowa-
days, statistical metrics are typically used to
assess model performance during the model eval-
uation process. Usually k-ε models give a satis-
factory performance for wind profiles according
to the q tests. For this study, the Case 2 and Case
3 model predictions are in general agreement with
observations from wind tunnel measurements,
with hit rate test scores of q ¼ 82% and
q ¼ 77%, respectively. Finally, Case 4 and Case
5 model predictions are also in general agreement
with observations from wind tunnel measure-
ments with hit rate test scores of q ¼ 78% and
q ¼ 68%, respectively.

Urban Air Quality: Meteorological Processes, Table 5 Summary of the single building case. H, W, and L are the
building height, width, and length, respectively. H ¼ 0.3 m for case 4 and H ¼ 0.1 m for all other cases
Case Model details Source details
1 Isolated rectangular Cube The stack, 0.5 H high, is installed at an upwind distance of
2 building W/H ¼ 2, L/H ¼ 1 2 H from the building
3 W/H ¼ 1, L/H ¼ 2
4 W/H ¼ 1/3, L/
H ¼ 1/3
5 W/H ¼ 6, L/H ¼ 1
a b 5.1
Wind VERTICAL PROFILE
4.5
L
3.9
LATERAL PROFILE
W 3.3
0.5 Href
2.8

2.2
H 0.5 Href 1.6
0.5 Href LONGITUDINAL PROFILE
1.1
Urban Air Quality: Meteorological Processes

2 Href 0.48
z
y −0.094 Z

Y X
x −0.67

c LATERAL LONGITUDINAL Vertical d LATERAL LONGITUDINAL VERTICAL

3.5 1 0.8 3.5
Wind Tunnel Wind Tunnel
1.2 1.2 3 CFD 0.7 3 CFD
0.8
1 1 2.5 0.6
2.5
0.6 0.5
0.8 0.8 2 2

K
K
K

0.4

Z/H
Z/H

0.6 0.6 1.5 1.5

0.4 0.3
0.4 0.4 1 1
0.2
0.2
0.2 0.2 0.5 0.1 0.5

0 0 0 0 0 0
−2 0 2 0 5 0 0.5 1 −2 0 2 0 2 4 6 0 0.5 1
y/H K x/H y/H x/H K

Urban Air Quality: Meteorological Processes, Fig. 4 (a) Sketch of the single of the building from CFD simulations. (c) Concentration profiles for Case 1. (d)
building with indication of the upstream source position and profiles where wind tunnel Concentration profiles for Case 3
and CFD results are compared. (b) Contour of the x-velocity component in the middle
181
182
Isolated Street Canyons
Recent interest has risen in employing LES models
[72, 73] to overcome the shortcomings of RANS in
its inability to capture the unsteady and inherent
fluctuations of the flow field within the street canyon
on which the dispersion of pollutants depends.
RANS, which is the most widely used approach in
industry for the modelling of turbulent flows,
assumes that non-convective transport in a turbulent
flow is governed by stochastic three-dimensional
turbulence possessing a broadband spectrum with
no distinct frequencies and, therefore, models the
entire range of the eddy length scales. This approach
has obvious weaknesses and poses serious uncer-
tainties in flows for which large-scale organized
structures dominate, such as flows around buildings.
In addition, RANS models assume gradient trans-
port, which may not be the case for pollutant
exchange at the roof level of a street canyon. LES,
although computationally more expensive, has an
advantage over RANS in that it explicitly resolves
the majority of the energy carrying large-scale orga-
nized structures and the internally or externally
induced periodicity involved, whereas only the uni-
versal small-scale eddies are modelled.
As an example, an illustration is provided of the
flow structure and pollutant dispersion within an
urban street canyon of width to height ratio W/
H ¼ 1 using the standard k-ε model, the Reynolds
Stress Model (RSM), and LES, coupled with the
advection-diffusion method for species transport
[74] (Fig. 5). In the case shown, the computational
domain was built by using about one million cells
with smallest dimensions equal to 0.077 H. Numer-
ical results, which include the statistical properties
of pollutant dispersion, for example, the mean con-
centration distributions, three-dimensional spreads
of the pollutant, etc., are then compared to wind-
tunnel measurements from the online database
[75]. Integrated into the model street, four tracer
gas emitting line sources were used for simulating
the release of traffic exhausts. Mean concentrations
are normalized according to:
CU ref H
cþ ¼ ,
Q=l
where C is the measured/calculated concentration,
H the building height, Uref the flow velocity at
Urban Air Quality: Meteorological Processes
height H in the undisturbed approaching flow, and
Q/l the tracer gas source strength per unit length.
Figure 5 shows normalized concentration con-
tours at wall A (leeward) and wall B (windward)
of the street canyons.
It is observed that amongst the two RANS
models, RSM performed better than standard k-ε,
however, LES proved better than RANS in pre-
dicting the concentration distribution because it
was able to capture the unsteady and intermittent
fluctuations of the flow field, and hence, resolve the
transient mixing process within the street canyon.
Regular Building Arrays
Wind tunnel experiments have demonstrated that
street ventilation is reduced in the presence of
upstream buildings. This seems to be because of
the upward displacement of the flow and the con-
sequent perturbed momentum exchange between
the street canyon and the outer region of the flow.
Also, numerical results have indicated that the
surrounding building configuration affects pollut-
ant dispersion in a street canyon, therefore it should
be taken into account in numerical dispersion
modelling (see, for example, [76]). Two examples
of flow and pollutant dispersion distributions for
regular building geometries are shown in Fig. 6,
investigated by means of wind tunnel experiments
and numerical simulations as previously described.
The experiment is set up in a boundary layer
wind tunnel to simulate the case of dispersion of
pollutants from naturally ventilated underground
parking garages [77]. A finite array of idealized
building blocks with 0.1 m by 0.15 m base dimen-
sions and 0.125 m height (three buildings cross-
wind and seven buildings along wind direction)
are considered, as shown in Fig. 6a. The aspect
ratio of the street canyons resulting from the
building arrangement is W/H ¼ 0.8. Four
ground-level emission sources were mounted
close to the building. RANS type simulations
[78] were performed by employing the standard
k-ε model and the advection-diffusion model. The
computational grid was built by using 500,000
cells, with smallest dimensions equal to 0.005 m.
Flow and dispersion were measured within the
street canyon positioned downwind of the build-
ing equipped with the sources.
Urban Air Quality: Meteorological Processes 183

a Street Canyon

linesources

0.23 H 0.35 H

W=H

Line Sources

b WALL A WALL B
1 1
8 24 16 8
0.5 16 24 32 WT 0.5
32
0 0
a −5 −4 −3 −2 −1 0 1 2 3 4 5 −5 −4 −3 −2 −1 0 1 2 3 4 5

1 1
0.5 k-e 0.5
0 0
b −5 −4 −3 −2 −1
Z/H

0 1 2 3 4 5 −5 −4 −3 −2 −1 0 1 2 3 4 5
1 1
0.5 RSM 0.5
0 0
c −5 −4 −3 −2 −1 0 1 2 3 4 5 −5 −4 −3 −2 −1 0 1 2 3 4 5
1 1
0.5 LES 0.5
0 0
d −5 −4 −3 −2 −1 0 1 2 3 4 5 −5 −4 −3 −2 −1 0 1 2 3 4 5
y/H Normalized Concentration, c +

Urban Air Quality: Meteorological Processes, concentrations at wall A (leeward) and wall
Fig. 5 (a) Sketch of the street canyon with indication of B (windward) showing comparison between WT data
the position of line source, grid, and wind tunnel model. (available from CODASC) and numerical results
(From [74] CODASC, 2008). (b) Mean normalized performed with k-ε, RSM, and LES simulation

Wind tunnel experiments and CFD simula-
tions show that a recirculation flow region
forms within a street canyon exposed to a per-
pendicular flow. Both wind tunnel measurements
and CFD predictions show that for aspect ratio
W/H ¼ 0.8 a single vortex forms inside the can-
yon. In particular, Fig. 6 shows velocity vectors
on the vertical plane in the middle of the street
canyon obtained from wind tunnel experiments
(Fig. 6b) and CFD simulations (Fig. 6c). The
figure shows that the shape and dimension of
the vortex predicted by the CFD simulations is
very similar to that observed by CEDVAL exper-
iments [77] compiled at the University of Ham-
burg. The ability to capture the right dimension
of the vortex is very important as the vortex
drives the distribution of pollutants within the
street canyon.
As outlined in [79, 80], it should be noted that
typical CFD codes predict dispersion spread that
is smaller than that predicted by the well-validated
integral model ADMS-Urban [81]. From a sensi-
tivity test on the turbulent Schmidt number value
(the standard value is 0.7), the value of 0.4 was
found to be the most appropriate in order to arti-
ficially increase plume dispersion, even though
such tuning should be avoided. Figure 6d (top)
shows the dimensionless coordinate y/H versus
the dimensionless concentration K near the floor
(z/H ¼ 0.06) within the street canyon downwind
the source building and dimensionless concentra-
tion K versus dimensionless coordinate x/H on the
same vertical plane (bottom). The horizontal
velocity near the floor is negative because the
vortex in the canyon is clockwise. Thus, pollut-
ants are carried toward the leeward side and mixed
 184

a b
top view
wind direction 2d flow measurements, y = 0H
2 m/s

all dimensions in mm (model scale) 100

1.5

325
100
1

z [H]
0.5

750
850 source building

0
side wall of the tunnel −0.5 0 0.5 1 1.5 2
x [H]

c d leeward middle winward

0 0 0
−0.1 −0.1 −0.1
−0.2 −0.2 −0.2
−0.3 −0.3 −0.3

y/H
y/H
y/H

−0.4 −0.4 −0.4

−0.5 −0.5 −0.5
−0.6 −0.6 −0.6
0 200 400 0 10 20 0 10 20
Dimensionless concentration K Dimensionless concentration K Dimensionless concentration K
y/H=0 y/H=−0.16 y/H=−0.32
200 200 200
CEDVAL
150 150 150
CFD Sct=0.7

100 100 100 CFD Sct=0.4

50 50 50
Dimensionless concentration K
Dimensionless concentration K
Dimensionless concentration K

0 0 0
0.4 0.6 0.8 1 0.4 0.6 0.8 1 0.4 0.6 0.8 1
x/H x/H x/H
Urban Air Quality: Meteorological Processes

Urban Air Quality: Meteorological Processes, Fig. 6 (a) Sketch of the regular building. (c) Velocity vectors obtained from CFD simulations. (d) Concentration pro-
building array with indication of the source building. (b) Velocity vectors obtained from files at different positions within the same street canyon with a sensitivity to the Schmidt
wind tunnel experiments showing the vortex inside the canyon downwind of the source number value
Urban Air Quality: Meteorological Processes 185

in the street canyon. CFD results agree well with
wind tunnel measurements.
It is known that FCM type of models still
suffers from their high computational cost which
prevents them from being largely employed in
operational applications. This has pushed the
development of FAM models yet incorporating
new understanding of flow and dispersion pro-
cesses within the urban canopy layer. Recently,
di Sabatino et al. [82] have proposed a new model-
ling approach for the computation of the spatially-
averaged flow field, where the average is defined
at the neighborhood scale, i.e., from 0.2 km up to
10 km. The underlying idea is the description of
the drag forces in terms of height-dependent mor-
phological parameters based on detailed knowl-
edge of building geometry such as the planar area
index lp and lf (introduced in section “Character-
istic Regions of the Flow and Drivers”) and the
reduction of the complete three-dimensional flow
field to a one-dimensional quantity, given by the
mean wind direction, and the three-dimensional
spatial dependence to a much more simple depen-
dence from the height z. As a consequence, only
mean profiles are needed as input to the model.
There are examples in the literature [83] showing
the possibility of extending this modelling
approach to an Eulerian dispersion model for the
computation of the concentration field. Figure 7
shows the spatially-averaged profiles of wind
velocity and diffusivity coefficient resulting from
full CFD simulations.
This reduced description of the wind field
and the diffusivity coefficient was used as
input into the developed three-dimensional
Eulerian dispersion model for the dispersion
simulation of a pollutant released from a point
source. Results were then compared with CFD
predictions.
Figure 8 shows concentration contours for the
case lp ¼ lf ¼ 0.16. The pollutant source was
placed along the x direction at a distance from the
inlet of approximately 1/3–1/4 of the domain
length and equidistant from both boundaries in
the y direction. The domain height was 6 H,
where H is the building height. The figure refers
to a source height Zs ¼ 0.5 H and shows the
comparison at three horizontal sections at
z ¼ 0.05 H, z ¼ H, and z ¼ 2 H.
Inside the canopy, CFD concentrations tend to
show some periodicity, due to the presence of
cubic buildings. This specific behavior cannot be
reproduced by the simplified Eulerian model.
However, by using spatially-averaged
one-dimensional profiles, the model is able to
reproduce the order of magnitude of fully compu-
tational CFD concentration predictions, even if
contour shapes may differ qualitatively. The qual-
ity of the comparison is not homogeneous over the
domain. As expected, the comparison is quite
poor close to the source and improves down-
stream. Large differences are also found near the
top boundary, but this is most probably an effect
related to the boundary condition. Overall, the
plume width predicted by the FAM type model
is comparable to the CFD model. Similar results
were obtained in the case of small packing density
(lp ¼ lf ¼ 0.0625), not shown here.

a 6 b 6
λp = 0.0625 λp = 0.0625
5 5
λp = 0.16 λp = 0.16
4 4
z/H

z/H

3 3

2 2

1 1

0 0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 1.1 0 0.005 0.01 0.015 0.02 0.025 0.03
U/Uref D/(Uref H)

Urban Air Quality: Meteorological Processes, Fig. 7 Spatially-averaged profiles of wind velocity (a) and diffusivity
coefficient (b). H is the building (cube) height and Uref the average velocity at the top
186 Urban Air Quality: Meteorological Processes

CFD Fast model

20 20

y/H 15 15

10 10
1.5 10 20 30 10 20 30
1 x/H
z=0.05H
0.5 20 20
0.25
0.125
15 15
0.05
0.01
0.005 10 10
0 g/m3
10 20 30 10 20 30
z=H
20 20

15 15

10 10
10 20 30 10 20 30
z=2H

Urban Air Quality: Meteorological Processes, Fig. 8 Intermediate canopy (lp ¼ lf ¼ 0.16), Zs ¼ 0.5 H: concen-
tration (g/m3) contours from the CFD model (left) and the fast model (right) at several horizontal planes

Results highlight the potential of the approach
based on the parameterization of one-dimensional
wind and diffusivity profiles in terms of routinely
available meteorological parameters and morpho-
logical parameters such as lp and lf, which syn-
thesize the main geometric characteristics of the
urban canopy.
Complex Urban Junction
The geometry of idealized building arrays is far
less complicated than the morphology of real
urban areas, where urban neighborhoods are
characterized by street intersections, asymmetric
street canyons, and staggered arrays of buildings
of irregular and/or highly variable shapes. These
local features significantly alter the flow and
dispersion patterns, as experimental and numerical
studies have concluded (see for example [32, 84,
85]). Reported here are some results of a modelling
study performed with a CFD code by employing
the RSM [86], and the advection-diffusion scheme
in a neighborhood in the city of Bari in southern
Italy. The real geometry comprises both step-up
and step-down street canyons and consists of two
asymmetric streets as shown in Fig. 9a. The
wider street canyon is characterized by an aver-
age aspect ratio W/H ~ 1.8 and it is perpendicular
to the wind direction. The other street canyon is
characterized by an average aspect ratio W/
H ~ 0.5 and is parallel to the wind direction.
The tallest building is ~ 46 m. The two canyons
intersect orthogonally forming four major blocks
of buildings and a junction. For the sake of com-
putational convenience the real geometry was
slightly simplified, yet maintaining the main geo-
metrical details of the street canyons. A fine
mesh close to the ground (up to a height of 4 m)
was used (Fig. 9b), with cell dimensions
δxmin ¼ δymin ¼ 1 m, δzmin ¼ 0.3 m. The number
of computational cells was approximately three
and a half million. Vectors of velocity magnitude
(m/s) and turbulent kinetic energy (m2/s2) at
Urban Air Quality: Meteorological Processes 187

a b

WIND

z z
y y
x x

c 6 d 2

5.4 1.8

4.8 1.6

4.2 1.4

3.6 1.2

3 WIND 1

2.4 0.8

1.8 0.6

1.2 0.4

0.6 y 0.2
y
0.0032
z 0.00029 z
x x

Urban Air Quality: Meteorological Processes, Fig. 9 (a) Sketch of the urban junction. (b) Grid refinement close to
the ground. (c) Flow pattern at z ¼ 2 m developed within the urban junction. (d) Turbulent kinetic energy at z ¼ 2 m

z ¼ 2 m are shown in Fig. 9c, d, respectively. Due
to the interaction of the wind with buildings, the
resulting flow is channelled along the wider
street canyon (which is that perpendicular to the
wind direction), predominately blowing along
the negative y direction. Obviously, the distribu-
tion of the turbulent kinetic energy is highly
asymmetric, showing large values in the wind-
ward region. This example shows that flow pat-
tern and turbulent kinetic energy are strongly
affected by the geometry.
Future Directions
response and cheaper instrumentation, the continu-
ing improvements in computer speeds, and the
current strong interest in this topic, it is certain
that more detailed data and more advanced models
of urban meteorology will increasingly become
available, resulting in huge data resources. Under-
standing of such data will continue to rely on the
general concepts and categorizations described in
this entry. Also of great relevance to future devel-
opments is both the impact of climate change on
urban meteorology and the response of the urban
environment to climate change. These issues are
discussed in [87].

The entry has described the impacts of urban areas Notation and Abbreviations
on urban meteorology at the mesoscale, neighbor-
hood, and building street scale. While our general
understanding of the processes is good and this b Building breadth
enables us to construct approximate models, it is C Measured/calculated
clear that at this time there is a paucity of detailed concentration
field data and the most detailed numerical models CD Drag coefficient
are still not able to resolve all the features of the c+ Normalized mean concentration
flow in good time. With the availability of faster for a line source
188 Urban Air Quality: Meteorological Processes

d Gap or separation distance UG Geostrophic wind

between buildings UH Mean wind above the buildings
f Coriolis frequency (at height H)
F Froude number Uref Reference velocity
Fv Surface water vapor flux Uc Mean wind along the street
Fθ Fθ canyon
g Gravitational acceleration VS Mean wind along street
h Boundary layer height w Building length or width
H Building height W Absolute deviation, Building
Hc Canopy height width
Hc0 Standard deviation of canopy x 5 (x, y, z) Coordinates of a point
height, Hc xB(i), yB(i) Coordinates of staggered building i
HM Mountain height xs, ys, zs Coordinates of source
K Normalized mean concentration yc(x) Streamline through source
for a point source at xs, ys, zs
k-ε Kinetic energy and energy- z0(x, y) Roughness length for wind
dissipation model of turbulence profile
l Vertical length scale of internal zd Displacement height for
layer logarithmic wind profile
l O, l N Vertical length scales of internal zS(x, y) Surface elevation of the ground
layers over the urban area, Zs Source height
neighborhood scale Z Height of top of shear layer above
La Adjustment length for mean flow buildings
to adjust as it enters the porous β “Porosity” of an urban canopy
canopy [β ~ bw/d2]
L Building length θ Mean temperature
Lf Coriolis advection length θs Surface temperature
LI Inner city length scale k Von Karman’s constant
LM, LN, LBS Length scales of the (sub-) lp Planar area index
regions M, N, BS lf Frontal area index
LO Overall city length scale su, sv, sw R.m.s velocity components (of the
LRo Rossby length scale order of u)
LSe Effective source size f Angle between wind direction and
N Buoyancy frequency normal direction to a street (Figs. 3
q Hit rate test score and 6), i.e., f ¼ 90° if wind is
Q Emission rate along the street.
RD Fractional deviation
RM Ratio of the length of the Subscripts
sub-regionLM to the smallest
scales resolved in that region
s Distance to the nearest building B Buoyancy
u Friction velocity of the turbulent BS Building/Street scale
velocity profile of the atmosphere c Canopy
U Mean velocity, with subscripts C Cloud concentration
denoting location/physical process f Coriolis
UB Typical wind speed associated G Geostrophic
with local buoyancy effects H At top of buildings/canyon
UC Wind speed within the canopy M Mesoscale
Urban Air Quality: Meteorological Processes 189

N Neighborhood scale 9. Belcher SE, Jerram N, Hunt JCR (2003) Adjustment

O Overall urban area of a turbulent boundary layer to a canopy of roughness
elements. J Fluid Mech 488:369–398
Ro Rossby 10. Grimmond CSB, Oke TR (1999) Aerodynamic prop-
s Surface, street erties of urban areas derived from analysis of surface
S Source form. J Appl Meteorol 38:1262–1292
Se Effective source 11. Britter RE, Hanna SR (2003) Flow and dispersion in
urban areas. Ann Rev Fluid Mech 35:469–496
* Turbulence-related level for log profile, or 12. Kastner-Klein P, Rotach MW (2004) Mean flow and
turbulent source turbulence characteristics in an urban roughness sub-
layer. Bound Lay Meteorol 111:55–84
Abbreviations 13. Jackson PS (1981) On the displacement height in the
logarithmic velocity profile. J Fluid Mech 111:15–25
14. Davenport AG (1960) Rationale for determining
design wind velocities. J Struct Div Amer Soc Civ
BS Building/street sub-region Eng 86:39–68
CFD Computational fluid dynamics 15. Davenport AG, Grimmond CSB, Oke TR, Weiringa
J (2000) Estimating the roughness of cities and
FAM Fast approximate model
scattered country. In: Proceedings of 12th AMS con-
FCM Fully computational model ference on applied climatology, Asheville
LES Large eddy simulation 16. Cionco R, Ellefsen R (1998) High resolution urban
M Mesoscale region morphology data for urban wind flow modeling. Atm
Env 32:7–17
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 Polycyclic Aromatic Hydrocarbons (PAH) and
Urban Air Quality: Sources Urban Air Quality
and Concentrations Sources and Emissions of PAHs
Sampling Artifacts in Measuring PAHs
Michael Evan Goodsite1, Ole Hertel2, Long-Range Transport of PAH
Matthew Stanley Johnson3,5 and Nana Rahbek Trace Elements to Include Heavy Metals in Urban
Jørgensen4 Areas
1
School of Civil, Environmental and Heavy Metals in the Urban Atmosphere
Mining Engineering, The Australian Trace Elements in the Urban Atmosphere
School of Petroleum, The University of Adelaide, Conclusions
Adelaide, SA, Australia Future Directions
2
Department of Environmental Science, Aarhus Bibliography
University, Roskilde, Denmark
3
Department of Chemistry, University of Glossary
Copenhagen, Copenhagen, Denmark
4
Faculty of Engineering, University Aerodynamic diameter Particles in ambient air
of Southern Denmark, Odense M, Denmark have irregular shapes. The aerodynamic diam-
5
Airlabs, Copenhagen, Denmark eter is the idealized spherical diameter with the
same aerodynamic behavior as the irregular
real-world particle.
Air pollutants Anything in the air around us,
Article Outline man-made or natural, which contaminates the
natural steady state of and constituents in the air
Glossary as required for life categorized as gaseous or
Definition of the Subject and Its Importance particulate pollutants.
Introduction Air pollution The state of pollutants contaminat-
Origins of Air Quality: Sources and Formation of ing the air/atmosphere around us.
Urban Air Pollution Air quality index (AQI) A numerical index for
Air Quality and Health Effects air pollution, for example, in the UK, it is from
Urban Air Pollution Concentrations in General 1 to 10 and related to the air quality bands of
Urban Air Quality Concentrations and Indices “low,” “moderate,” “high,” or “very high”
Sources in Urban Airsheds (https://uk-air.defra.gov.uk/air-pollution/daqi?vi
Impact of Physical Parameters: Geography, ew=more-info, accessed May 1st, 2019).
Topography, and Meteorology Another example is the AQI from the US EPA
Impact of Geography with a scale from 0 “good” to 500 “hazardous”
Impact of Topography https://airnow.gov/index.cfm?action=aqibasics.
Impact of Meteorology aqi (accessed May 1st, 2019).
Pollutant Dispersion in Urban Streets Air quality A subjective, often locally or nation-
Nitrogen Dioxide Pollution in Urban Areas ally, determined state of the amount of pollut-
The Impact of Particle Pollution ants in the air around us. The best air quality is
Particle Mass Concentrations when there are very low pollutant levels.
Particle Number Concentrations Ambient air Air outside of structures at any
Air Quality Measurement Locations given time. The “outdoor air” as opposed to
Natural Sources the “air indoors.”

© Springer Science+Business Media, LLC, part of Springer Nature 2021 193

M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_321
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2019, https://doi.org/10.1007/978-1-4939-2493-6_321-3
194
Atmosphere The envelope of gases surrounding
the Earth.
Coarse particles The coarse particle mass frac-
tion is defined as the difference between mea-
sured PM10 and PM2.5 (see definitions of
these).
Diffuse sources of air pollutants Sources for
which the release cannot easily be traced, e.g.,
that are not geocoded like gases and particle
emissions from smaller industry and domestic
heating, ammonia from grassing cattle, etc.
Emissions The discharge of man-made or natu-
ral compounds into the environment.
Fine particles The PM2.5 fraction of particles
(see definition of PM2.5).
Particulates Fine as well as coarse liquid and
solid particles of organic or inorganic sub-
stances present in the atmosphere/suspended
(floating) in the air. Particulate matter consists
of very small liquid and solid particles floating
in the air.
Photochemical smog The resulting haze and
reduced visibility from pollutants formed in
reactions induced by sunlight (photochemical
reactions) and involving nitrogen oxides
(NOx) and hydrocarbons (HC). Photochemical
smog including elevated ozone (O3) levels
occurs generally on warm sunny days, which
promotes photochemical reactions.
PM10 The mass concentration of particles with less
than 10 microns (mm) in aerodynamic diameter.
(PM10) is generally used as an indicator for
suspended particulate matter (e.g., regulated in
EU directives) and routinely measured at many
locations throughout the world.
PM2.5 The mass concentration of particles in the
air with less than 2.5 microns (mm) in aerody-
namic diameter. This fraction is often termed
fine particles and capable of penetrating into
the deepest parts of the lungs and thus causing
great health concern.
Point (stationary) sources of air
pollutants Sources that emit pollutants from
one given fixed location; this can, for example,
be a power plant or an industrial plant.
Smog A word combining “smoke” and “fog,”
first used by Dr. HA Des Voeux in 1905.
Smog is describing the poor visibility and
Urban Air Quality: Sources and Concentrations
often sharp, unpleasant, and soot pertaining
haze that is occurring during periods when air
pollutants are trapped at ground level. There
are two processes producing smog: photo-
chemical and physical processes, respectively,
referred to as photochemical smog and
urban smog.
Ultrafine particles Particles in the size fraction
below 0.1 micrometer in diameter. These par-
ticles are also often termed nanoparticles.
Urban air pollution Ambient air in urban envi-
ronments or areas that is (expectedly) polluted
when compared with ambient air in pristine
regions. There is generally a suite of pollutants
that are measured/monitored to describe the
resulting decrease in urban air quality.
Urban air quality Refers to how “clean” the
ambient air is inside of cities with a density,
population, and level of activity that generally
are recognized as “urban.”
Urban smog Smog where air pollutants particu-
larly smoke and sulfur dioxide are trapped at
ground level, usually occurring on cold, wind-
still winter days. The Great London Smog epi-
sode of 1952 is a historical example still seen in
developing countries in today. In western
countries photochemical smog consisting of
nitrogen oxides, ozone, and PAN is contempo-
rarily more common.
Urban An area with a large population, i.e., town
or city, generally with a high density and large
amount of population.
Winter smog Winter smog episodes including
elevated levels of nitrogen oxides (NOx)
occur on cold calm days when air pollutants
are trapped in urban areas by an inversion
layer, i.e., a layer of warmer air above the
wind-still cold air.
Definition of the Subject and Its
Importance
Urban air quality refers to how “clean” the ambi-
ent air is inside of cities with a density, population,
and level of activity that generally are recognized
as “urban.” Urban air quality generally differs
from rural air quality since there are usually
Urban Air Quality: Sources and Concentrations
more concentrated sources, and the ability for the
pollutants in the air to be dispersed is limited by
the physical constraints of the urban environment.
Urban air quality varies significantly in between
urban cities around the world generally because of
the differences in control on pollution sources but
also due to differences in meteorology and, e.g.,
the domestic use of open fires and wood stoves in
the urban areas. Nevertheless, across the world,
illness, deaths, and damage to the environment are
still attributed to air pollution.
Worldwide, the United Nations Environment
Programme (UNEP) (http://www.unep.org/urban_
environment/issues/urban_air.asp, accessed February
13, 2010) reported in 2010 that an estimated more
than 1 billion people annually are exposed to ou
tdoor air pollution as seen further below; the nu
mbers in the Asian and Pacific Region have
more than doubled to the present time. There
fore since 2010, it can be expected that over one
million premature deaths each year are linked to
urban air pollution in the ambient environment.
Given primarily these deaths and other health
costs and loss of productivity, urban air pollu
tion is estimated to cost approximately 2% of
GDP in developed countries and 5% in deve
loping countries.
UNEP further reported that rapid urbanization
has resulted in increasing urban air pollution in
major cities, especially in developing countries
with over 90% of air pollution in major cities in
developing countries attributed to vehicle emis-
sions brought about by high numbers of older
vehicles coupled with poor vehicle maintenance,
inadequate infrastructure, and poor fuel quality
with high amounts of sulfur in the fuel.
Most developed countries have put in measures
to reduce vehicle emissions, in terms of fuel qual-
ity, by, for example, regulating the amount of sul-
fur, benzene, and additives like lead in vehicle fuel
and vehicle emission reduction technologies such
as catalytic converters; these measures are yet to be
adopted in most cities in developing countries, and
there are recent cases where vehicle manufactures
save costs by not utilizing such technologies while,
at the same time, lowering overall vehicle prices,
thus enhancing the number of vehicles on the road
with all of the subsequent effects on air quality.
195
UNEP in a 2019 report, “Air pollution measures
for Asia and the Pacific 25 science-based solutions
to bring clean, safe air to 1 billion people” (http://
www.ccacoalition.org/en/content/air-pollution-mea
sures-asia-and-pacific, accessed May 1, 2019, or
the report itself http://www.ccacoalition.org/en/
file/5802/download?token=dBM5KOkC accessed
May 1, 2019), states that “2.3 billion people in the
region are exposed to levels of air pollution several
times the WHO guideline for safe air” and that
“some of the highest recorded levels of air pollution
are in Asia Pacific countries” with “92% of the Asia
and the Pacific’s population, about 4 billion people,
exposed to levels of air pollution that pose a signif-
icant risk to their health” – many of these are in
urban areas that will likely continue to grow and,
unless the 25 recommended solutions from the
report followed, continue to pose a health risk to
the people as well as miss an opportunity to signif-
icantly benefit other UN sustainable development
goals, climate, food, and water security of the
regions.
Air quality as a term is subjectively defined
generally through laws regulating the maximum
concentrations of pollutants in the atmosphere via
the maximum allowable emissions from sources.
The quality of the ambient (outside) air is moni-
tored, in some urban environments, continuously
with advanced equipment and generally reported
in some type of index by local or national author-
ities, a so-called air quality index.
Despite relatively unchanged levels of pollut-
ants, the air quality can be improved or degraded
based on the weather and topography of the urban
environment. It is therefore a very complicated
issue to manage and predict. Many municipalities
therefore have air quality management (AQM)
offices and/or plans.
There are specific mathematical models devel-
oped to predict air quality and support the air
quality policies that naturally must be aligned
with policies affecting the other environmental
compartments.
In cities in the industrialized world, air quality
has generally improved after controls and policies
on pollution and emittants were emplaced during
the past decades. The policies have been the result
of international treaties, as well as national and
196
local legislation. The United Nations Environment
Programme (UNEP) maintains a Register of Inter-
national Treaties and Other Agreements in the Field
of the Environment for the interested reader (http://
www.unep.org/law/PDF/register_Int_treaties_con
tents.pdf). Specifically, the 1979 Convention on the
Long-Range Transboundary Air Pollution and its
eight associated protocols, generally named after
the cities in which they were signed (such as Aar-
hus, Denmark), are relevant for air quality as with
the signing of the convention air pollution is recog-
nized as a transboundary issue. There is likewise an
international agreement regarding transboundary
haze pollution.
Air quality issues are generally on a long-term
scale; however, in urban areas, municipal authorities
need to be prepared for acute events such as those
that may be arising from an industrial accident such
as what occurred at a pesticide plant in Bhopal,
India, in December 1984 or from elevated levels of
air pollution such as experienced in London during
the “Great London Smog” of 1952. It has been
estimated that just in this single event, about
12,000 deaths could be directly attributed to the
incident [1].
As point sources such as those responsible for
the acute incidents above are addressed by poli-
cies, other man-made sources, generally the
“mobile sources” (i.e., vehicular traffic), are
becoming the new primary contributor to
degraded air quality in urban areas.
Natural sources are also an important contrib-
utor depending on the locality with dust, sea
spray, and other types of particulate matter such
as pollen as well as volatile organic compounds
emitted from plants and trees being those that
contribute often to degraded air quality.
Historically in urban areas across the world,
high levels of smoke and sulfur dioxide from
domestic burning of coal in people’s homes and
later combustion of fossil fuels in coal-fired power
plants have been the major point source of air
pollutants, and this has led to major episodes of
air pollution with resultant degraded air quality
and associated health effects, including deaths
directly attributed to the poor air quality.
Air quality in urban environments, especially
in developed countries, is nearly always a
Urban Air Quality: Sources and Concentrations
function of vehicular traffic and the emissions
arising from vehicles. Both petrol (gasoline)-
and diesel-driven vehicles emit vast amounts of
pollutants. These include carbon monoxide (CO),
the oxides of nitrogen (NOx), and volatile organic
compounds (VOCs). Particulates (PM10) and
finer-sized particles (PM2.5) are emitted not just
from the combustion processes in the motor but
also and more predominantly from physical pro-
cesses, such as resuspension of road dust and wear
of tires, brakes, and road material.
Introduction
Air pollution is estimated by WHO to cause about
two million premature deaths (half of this is asso-
ciated with outdoor and the other half with indoor
air pollution) worldwide annually [2], and this is in
addition to a variety of other adverse health effects
like asthma and other airway diseases, cardiovas-
cular disease, different types of cancer, as well as
adverse pregnancy outcome. The most hazardous
of the ambient pollutants are generally believed to
be related to the particulate matter (PM), although
the mechanisms behind these health effects are not
yet fully understood. It is therefore still very uncer-
tain what it is about the particles that cause these
negative health effects. Despite the uncertainties
related to the mechanism behind these effects, it
has, e.g., been estimated by WHO that reducing
ambient air concentrations of PM10 from 70 to
20 mg/m3 would lower the number of air quality-
related deaths by approximately 15% [2].
People are generally most at risk in the urban
areas with respect to health effects related to air
pollution. More than half of the world’s popula-
tion reside in cities, and it is here that the highest
air pollution exposure [3] and thus also most of
the associated negative health impact take place.
The projections for the next 50 years furthermore
indicate that the worldwide urban population will
be increasing by two thirds [3]. As a result of rapid
urbanization, urban air pollution has been increas-
ing in many major cities, especially those found in
developing countries (such as in Brazil, Russia,
India, Indonesia, and China). The cost to society
of the associated health effects is very significant
Urban Air Quality: Sources and Concentrations
and has been estimated to be approximately 2% of
the gross domestic product (GDP) in developed
countries, whereas it is even 5% of the GDP in
developing countries (www.unep.org/urban_envi
ronment/issues/-urban_air.asp). There may also
be significant associated losses in productivity [5].
Origins of Air Quality: Sources and Formation
of Urban Air Pollution
Urban ambient air pollution concentrations arise
from the continuous competition between the emis-
sion processes that increase pollutant concentrations
and the dispersion, advection, and deposition pro-
cesses that reduce and remove them. Pollutant dif-
ferences between different urban areas are naturally
reflecting differences in emission densities and pat-
tern but also in the dispersion and removal pro-
cesses. The local meteorological conditions are
governing the impact on pollution levels of these
dispersion and removal processes, and these meteo-
rological conditions vary heavily with the physical
location of the city. Air pollution concentrations in
an urban environment are naturally the result of the
contribution from local emissions, but also contri-
butions arising from pollution from more remote
sources may play a very important role (Fig. 1).
The size of the city domain together with the density
of pollutant emissions governs the local contribution
to urban air pollution [6]. Naturally, the temporal
pattern in urban air pollution levels is a function of
Concentration
City increment
Distance
Urban Air Quality: Sources and Concentrations,
Fig. 1 A schematic illustration of the air pollutant contri-
bution from the regional transport, the city area, and the
197
the temporal pattern in the local releases. However,
the extent of the urban area and the spatial distribu-
tion in the local emission density also play central
roles for the local contribution to air pollution levels
in the urban environments. The local contribution to
pollution levels also varies heavily from one pollut-
ant to another. In addition, the meteorological con-
ditions greatly affect the actual pollution levels in a
given situation as they govern the dispersion condi-
tions and the pollutant transport in and out of the city
area. In this context, the presence of the building
obstacles plays a crucial role in causing generally
high pollutant levels in the urban environment. This
is especially true inside the “street canyons” formed
with buildings on both sides of the street and where
the canyon vortex flow governs the pollution
distribution.
Air Quality and Health Effects
Air quality and health effects have been shown to
be linked. Particulate matter (PM) is generally
believed to be the most hazardous of ambient
pollutants. Reducing ambient air concentrations
of PM10 from 70 to 20 mg m
3 would lower the
number of air quality-related deaths by approxi-
mately 15% [1].
Greater than half of the world’s population
reside in cities, and the number is expected to
grow [2]. Cities and especially their urban centers
are where air quality is generally the poorest, and
Street increment
Regional
street. The relative magnitude of the various contributions
depends on the considered pollutant and the actual disper-
sion conditions (governed by the meteorology)
198
the highest air pollution exposure [4, 5] and asso-
ciated negative health impact therefore take place.
With projections for the next 50 years indicat-
ing that the worldwide urban population will
increase by two thirds [2], urban air quality will
continue to deteriorate as air pollution continues
to increase in major cities, especially those in
developing countries (such as in Brazil, Russia,
India, Indonesia, and China).
Urban Air Pollution Concentrations in General
Urban air pollution arises from the competition
between emission processes which increase pol-
lutant concentrations and dispersion, advection,
and deposition processes that reduce and remove
them. Differences in pollution levels reflect dif-
ferences in emission densities and emission pat-
terns. They also reflect processes of pollutant
dispersion and removal. Pollution is dispersed by
the flow of wind. It is removed generally via
chemical conversion to other compounds and/or
by being deposited either through wet or dry
deposition processes.
The dispersion and removal processes are
governed by the local meteorological conditions,
which also vary heavily with the physical location
of the city. Therefore, air pollution concentrations
in an urban environment are naturally the result of
local emissions as well as contributions from pol-
lution transport from more remote sources
(Fig. 1).
Also of importance to the local contribution to
urban air pollution are demographic/geographic
factors such as the size of the city domain and
the density of pollutant emissions inside the
domain [5].
The temporal pattern in urban air pollution
levels varies as a function of the local releases.
However, it is the variations in the meteorological
parameters that govern the dispersion and the
pollutant transport into and out of the city from
surrounding rural areas.
The temporal variations in emissions and mete-
orology are not the only contributors; the emission
release height also plays an important role with
respect to how quickly the air pollution is dis-
persed and deposited, with air quality generally
improving with areas with very tall and
Urban Air Quality: Sources and Concentrations
technologically up-to-date smoke stacks. This is
because air pollution emitted from a high release
height will in many cases be transported out of the
urban area before being dispersed down to ground
level, although this is of course depending on the
size of the urban domain. This is the principle that
the “solution to pollution is dilution” when often
the pollution and subsequent air quality issues are
just moved from one jurisdiction to another.
Urban industries, power plants, and other
sources for which the releases come from tall chim-
neys therefore only rarely contribute to the local
ground level air pollutant concentrations inside the
urban area, and instead they are usually contribut-
ing primarily to the regional air pollution.
Pollutant emissions related to vehicular trans-
port, local domestic heating, and smaller indus-
tries have low release heights [less than 10 m
above ground level (a.g.l.)]. Consequently, the
releases are not diluted as efficiently before
reaching ground level as in the case for emissions
from tall (more than 20 m a.g.l.) release heights.
The contribution from “low” sources, both
point and mobile, therefore often dominates the
pollutant concentrations at ground levels inside
the urban area.
A steady growth in vehicular transport and
centralization of domestic heating have made
road traffic the most important source of urban
air pollution in many countries including most of
the industrialized nations [7].
There are usually significant differences between
developed and developing countries when compar-
ing emissions from different industrial sectors. With
respect to the local contribution from the various
sectors, a comparison of two so-called megacities
(Beijing and Paris) showed that aerosol particles and
volatile organic compounds (VOCs) have a com-
plex and multi-combustion source in Beijing,
whereas a single traffic pollution source completely
dominates the urban atmospheric environment in
Paris [8].
Both municipalities recognize the above and
are taking steps to improve air quality.
Although ambient air quality is that which is
often the subject of research and the type of pol-
lution which is heard about (and the subject of this
entry), indoor air quality cannot be forgotten.
Urban Air Quality: Sources and Concentrations 199

Since many of us spend most of our time indoors,
indoor air quality is a major health concern and
may be worsened by the location of the office or
home in the urban environment.
The issue, as with case of ambient air quality, is
generally worse in the developing countries.
Emissions from household use of fossil fuels in
the year 2000 were estimated to account for
1.6 million deaths, mainly among women and
children in the poorest countries [9] that are
being exposed to elevated pollutant levels in the
indoor environment.
The actual ambient air pollutant load and there-
fore average air quality greatly vary from one city
to another, but, generally, major urban areas
throughout the world have poor air quality, and,
among these, the cities in the developing countries
face the greatest challenges.
WHO has compiled a survey on typical ranges
in ambient air concentrations of four indicator
pollutants, summarized in Table 1.
Urban Air Quality Concentrations and Indices
The greatest levels of pollutants like PM10 and SO2
are presently found in urban air concentrations in
Africa, Asia, and Latin America, whereas the
highest levels of secondary pollutants
(i.e., produced via reaction in the atmosphere with
primary pollutants) like O3, PAN, and NO2 are
observed in Latin America and in some of the larger
cities and urban areas in the developed countries.
The environmental and human health impacts
are particularly severe in megacities which are
cities of about ten million or more inhabitants [10].
Urban air pollution has thus become one of the
main environmental concerns in Asia and
especially in China where the pollution load in
megacities like Beijing, Shanghai, Guangzhou,
Shenzhen, and Hong Kong is substantial and air
quality can be greatly affected (Photo 1).
In these cities, between 10% and 30% of days
exceed the so-called grade II national air quality
standards [11] by a factor of three to five times that
of the WHO AQG (air quality grade). These cities
experienced a 10% growth in traffic each year over
the last 5 to 6 years. Therefore, even with enhanced
emission controls, NO2 and CO concentrations have
remained almost constant over the same period
of time.
Air quality indices (AQIs) are commonly used
as tools in air quality management. A description
of widely used indices and how they are expressed
mathematically is given in Gurjar et al. [12]. AQIs
may be designed to handle single or a multitude of
pollutants, and they may also be used for compar-
ing the loads in different municipalities or describ-
ing the current load in relation to average loads or
air quality standards and target values.
In an example of a multicomponent AQI (the
authors applied the term MPI), a comparison over
megacities throughout the world showed that the
highest MPI values were found for Dhaka, Beijing,
Cairo, and Karachi with values about double those
of Delhi, Shanghai, and Moscow [12] (Fig. 2).
Sources in Urban Airsheds
Urban airsheds are the areas in and around the
urban areas where air mass generally reaches a
steady state given that they are facing stable,
normal meteorological conditions.

Urban Air Quality: Sources and Concentrations, average maximum concentrations of O3 for different
Table 1 Ranges in annual average urban ambient air regions, based on a selection of urban data. (Reproduced
concentrations (mg m
3) of PM10, NO2, SO2, and 1 h from [65])
Annual average concentrations 1 h max concentration
Region PM10 NO2 SO2 O3
Africa 40–150 35–65 10–100 120–300
Asia 35–220 20–75 6–65 100–250
Australia/New Zealand 28–127 11–28 3–17 120–310
Canada/United States 20–60 35–70 9–35 150–380
Europe 20–70 18–57 8–36 150–350
Latin America 30–129 30–82 40–70 200–600
200 Urban Air Quality: Sources and Concentrations

Urban Air Quality: Sources and Concentrations, Photo 1 Photo from a Beijing Hotel, October 2008, showing
reduced visibility due to the poor air quality. (Photo by M. Goodsite)

Tokyo
New York
São Paulo
Mumbai
Kolkata
Shanghai
Buenos Aires
Delhi
Los Angeles
Osaka-Kobe
Jakarta
Beijing
Rio de Janeiro
Cairo
Dhaka
Moscow
Karachi
−2.5 −1.5 −0.5 0.5 1.5 2.5

Urban Air Quality: Sources and Concentrations, The plot is reproduced from Gurjar et al. [12]. 30% of the
Fig. 2 Megacities pollution indices (MPI) based on mea- local NOx contribution is related to aircraft, whereas the
surements of the classical air pollutants and aggregated remaining 95% to 70% is from road traffic [15]
into an index for total pollution level (multi pollutant).

There are many potential sources in urban
areas that are generally located physically away
from the urban center but still have to be consid-
ered as a part of the urban airshed. Airports are
one of these.
Airports are usually located in the vicinity of
larger cities and often mentioned as potential
sources of high pollution loads in the urban areas
(note: the haze in Photo 2a at the Delhi airport is
probably not from the airport activities alone but
Urban Air Quality: Sources and Concentrations
Urban Air Quality: Sources and Concentrations,
Photo 2 (a) and (b) Delhi in July 2010, immediately
prior to rainfall at the Delhi airport and immediately after
from the dust-producing construction activities
and traffic around the airport).
Several studies have thus been carried out to
determine the potential impact of emissions from
airport activities. These studies generally point at the
main influence on air quality that is coming from the
road traffic going to and from the airport, whereas
the impact of aircraft emissions has been found to be
very limited. A study carried out in Frankfurt Air-
port showed that aircraft-specific emissions gener-
ally could not be identified, whereas emissions from
vehicle traffic on surrounding motorways had mea-
surable impact on the air quality [13]. A study from
Munich Airport had similar findings [14], as did a
study inside Heathrow Airport [15].
Ship traffic has been estimated to be responsi-
ble for about 60,000 lung cancer and cardiopul-
monary deaths annually [16], but this outcome is
linked to the contribution from ship emissions to
the background particulate matter load and not
directly related to contribution from ship emis-
sions to the urban air quality.
Harbors may never the less be a local source
contributing to urban pollution as they are often
part of the urban airshed in coastal areas, but
studies indicate that as with airports, that local
road traffic often dominates the contribution
from harbors. For example, a study in the harbor
of Aberdeen thus showed a gradient of increasing
NO2 and soot concentrations from the harbor
toward the city center [17], indicating that the
201
rainfall from the Delhi University Main Campus, showing
the effectiveness of wet deposition in improving air quality.
(Photos: M. Goodsite)
contribution from the harbor had very limited
impact on the local air quality in comparison
with the emissions taking place in the urban
environment.
Wood combustion in households is a concern
in areas with many wood stoves. These areas have
relatively high local emissions of PM in compar-
ison with other anthropogenic pollution sources
generally in the airshed. Investigations of wood
combustion and air quality in developed countries
like New Zealand [18], Sweden [19], the USA
[20, 21], and Denmark [22] have documented
that residential wood combustion likely signifi-
cantly elevates the local PM concentrations in
outdoor air. Emission inventories for Denmark,
where wood-burning stoves are generally second-
ary sources of domestic heating, point at wood
combustion as the largest anthropogenic source of
primary particle emissions in the country, being
responsible for about 60% of the countrywide
primary particle emissions.
Impact of Physical Parameters:
Geography, Topography, and
Meteorology
Impact of Geography
The location of the city has a great impact on the
dispersion conditions and thus air quality as it
affects the local meteorological conditions. Los
202
Angeles, for example, is situated in a valley with
stagnant conditions during temperature inver-
sions. The stagnant conditions lead to very low
wind speeds, and this results in little air exchange
between the valley and the surrounding areas. The
hot and sunny climate and high emissions from
traffic, industry, and other sources make the valley
act like a large pollutant reaction chamber, and
this is ultimately leading to high concentrations of
photochemical products like ozone, nitrogen
dioxide, and peroxyacetyl nitrate (PAN) with the
resultant degradation of air quality.
Wind speed through a city plays an important
role. For example, nitrogen oxide (NOx) levels in
the street Via Senato in Milan, Italy, compared
with the street Jagtvej in Copenhagen, Denmark,
show similar concentrations at the two sites
despite the much higher traffic load in the street
of Copenhagen [23]. This is directly the result of
generally higher wind speeds in Copenhagen
compared with Milan. High wind speeds and neu-
tral conditions prevail in Copenhagen, whereas
low wind speeds and stable or near stable condi-
tions are frequent in Milan. Copenhagen has a
cold coastal climate, whereas Milan has a warm
subtropical climate, and the local wind conditions
are furthermore affected by the location inside the
Po Valley. Air quality planners must take their
own geography into consideration.
Impact of Topography
Most cities have characteristic wind systems as a
result of local topography. An example is the
rising air over a warm mountain side during day-
time often leading to local formation of clouds and
the subsequent release of precipitation.
During the night the system reverses, and the
cooling of the air in the mountain valley leads to
stable conditions which may lead to local air pol-
lution problems. The impact of katabatic winds is
another example affecting cities along the Norwe-
gian coast. Katabatic winds are formed when cold
air masses move downslope (katabatic is Greek
for moving downhill) and meeting the colder
snow and glacier covered areas, which then cool
the air mass further as it continues flowing
downhill.
Urban Air Quality: Sources and Concentrations
Katabatic winds may lead, for example, to high
levels of local dust with resulting air quality
issues, though their occurrence is highly location
specific. The warm and dry foehn wind formed on
the backside of a mountain chain, for example, on
the north side of the European Alps, is another
example. As the wind flows over the mountain,
the air mass is cooled and releases moisture. The
air is subsequently warmed as the air mass flows
downhill. This system may then form an inversion
with the effect of reducing the dispersion of local
air pollutants.
Impact of Meteorology
Ambient temperature in the urban atmosphere of
larger cities is usually a couple of degrees Celsius
higher than that found in the surrounding rural
areas due to the so-called urban heat island effect
[24]. The phenomenon is due to the much smaller
reflection or albedo of the city as compared with
its surrounding area and therefore absorbs more
energy, to release it later in the form of heat.
There is in addition a high consumption of
energy inside the city, as a result of domestic
heating and intense road traffic, which further
contributes to the higher releases of heat than
rural surroundings. Buildings act as heat reser-
voirs, so the city has a less pronounced diurnal
temperature variation compared with the rural
area. Lastly, buildings and other urban construc-
tions form a physical barrier for the wind flow.
This shielding leads to less cooling of the surfaces
inside the city.
In calm weather, an urban circulation cell,
so-called heat island circulation, may be formed
by warm air rising from the city. As it moves away
from the city, the heated air may sink and then, in
another circulation, be returned to the city at a low
altitude. A similar phenomenon is known in
coastal regions, where a sea breeze may be formed
as a result of the temperature difference between
the sea and land surfaces.
A study in London showed that due to the heat
island circulation over the city, the wind speed is
never below about 1 m s
1 [25]. Therefore, the
heat island effect is very important during low
wind speed conditions in urban areas where it
may dominate the dispersion and thereby be the
Urban Air Quality: Sources and Concentrations
limiting factor for the highest local air pollution
concentrations and therefore local air quality. The
urban heat island effect may thus be the limiting
factor for the highest pollution concentrations and
thereby air quality parameters in the urban
environment.
Pollutant Dispersion in Urban Streets
Pollution “hot spots” are areas where large con-
centrations of pollution are emitted or concen-
trate. In urban areas, trafficked streets are air
pollution hot spots (Fig. 1). The concentration
inside the urban street is generally the result of
two contributions, one from emissions from the
local traffic in the street itself and one from back-
ground pollution entering the street canyon from
above roof level [26]:
C ¼ cb þ cs
where c is the concentration in the street, cb the
urban background contribution, and cs the contri-
bution from traffic inside the street itself. The
background contribution arises from two contri-
butions: (1) the contribution from nearby sources
Wind
Background pollution
Recirculated pollution
Leeward
Direct emission
Urban Air Quality: Sources and Concentrations,
Fig. 3 Illustration of the flow and dispersion inside a
street canyon. The wind above roof level blows perpendic-
ular to the street in the above figure, thus creating a vortex
inside the street canyon with the wind direction at street
level opposite to the wind direction above roof level.
203
in the urban area (typically this will be the traffic
in surrounding streets) and (2) the regional
(sources within a distance of a few hundred km)
and long-range transport (sources placed up to
thousands of km away) of air pollution.
The pollutant levels in the urban streets are
strongly affected by the emissions from traffic
taking place on the street itself. The concentration
level and the distribution of air pollution inside the
street canyon (the street “boxed in” by buildings
on each side) are largely governed by the sur-
rounding physical conditions. These physical
conditions heavily affect the wind speed and the
wind direction inside the street, with residence
time for an air packet in the vicinity of an urban
street usually on the order of seconds to a few
minutes depending on the street topography. This
means that only very fast chemical conversions of
pollutants have time to take place [26].
The airflow generated inside the streets and
around building obstacles may result in very different
concentration levels at different places in the street.
The street canyon vortex flow (Fig. 3) physically
governs the pollutant distribution inside the street
canyon. The street canyon is characterized by the
presence of tall buildings on both sides of the street.
Windward
Pronounced differences – up to a factor of 10 in air pollu-
tion concentrations on the two pavements – are the result of
these flows. Air quality on one side of the street might thus
be poorer than on the opposite side of the street, if there are
prevailing winds
204
Within the vortex relatively clean air flows from
rooftop height and down the windward face of the
street, across the road at street level, in the reverse of
the wind direction at roof top, thus transporting the
pollutants from the road level traffic to the leeward
face of the canyon. The result is that pollution
concentrations are up to ten times higher on the
leeward side compared with the windward side of
the street. This means that air quality depending on
prevailing wind conditions may often be much
poorer on one side of the street than another.
Nitrogen Dioxide Pollution in Urban
Areas
For example, the chemistry of nitrogen oxides
[NOx: the sum of nitrogen monoxide (NO) and
nitrogen dioxide (NO2)] in urban streets may be
described by only two reactions: the reaction
between ozone (O3) and NO forming NO2 and
the photodissociation of NO2 [27]:
NO þ O3 ! NO2

The Impact of Particle Pollution
NO2 þ hv ! NO þ O 3 P

Ambient urban air contains a complex mixture of
O 3 P þ O2 ! O3
where O(3P) is ground state atomic oxygen. Reac-
tion (3) is very fast, and therefore for most practi-
cal applications, it may be disregarded. The
products of reaction (2) may thus be considered
to be NO and O3.
NOx is therefore mainly emitted as NO and, to
a lesser extent, NO2.
Long-term exposure to elevated NO2 levels is a
health hazard and may decrease lung function and
increase the risk of respiratory symptoms such as
acute bronchitis, cough, and phlegm, particularly
in children [28], whereas NO at current ambient
air concentrations is (considered to be) harmless.
The fraction of NOx directly emitted as NO2
used to be only about 5 to 10% in countries with a
small fraction of diesel engines. However, due to
the use of catalytic converters and an increasing
number of diesel engines with high fraction of
Urban Air Quality: Sources and Concentrations
NO2 in the exhaust, this value may in some
regions be now up to as much as 40% [29]. This
extremely simple chemical mechanism of two
reactions and a direct emission describes very
well the concentrations of NO2 inside urban
streets [27]; for many cities it may also be applied
for describing NO2 concentrations in urban back-
ground air (see [6] documenting this the case for
many Northern European cities).
The use of catalytic converters in automobiles
has in recent years led to a major reduction in NOx
concentrations in the urban streets of many indus-
trialized countries.
For several reasons NO2 levels have not
followed the same trends (Fig. 4). Part of the
explanation is the chemical conversion of NO to
NO2 in the reaction with O3, but the other expla-
nation is, as mentioned above, the increased frac-
tion of NO2 in the NOx emission from vehicles
with catalytic converters.
Despite the overall reduction in NOx emis-
sions, this is contributing to elevated NO2
concentrations.
(1)
(2)
(3) particles from natural and anthropogenic sources
of varying sizes and chemical composition
[30–34]. The particle size is crucial for the atmo-
spheric fate [35] and the human health impact as
both the particles’ atmospheric behavior and their
deposition in the human respiratory system is
governed in part by its size [36]. Particles in
ambient air generally appear in two rather distinct
size classes (referred to as “modes”) usually
termed fine particles (diameter: 0.l–2.5 mm) and
coarse particles (diameter: >2.5 mm). In addition,
it is common to talk about the ultrafine particles
(diameter: 0.01–0.1 mm or 10–100 nm) that usu-
ally dominate the number concentrations (Fig. 5).
Particle Mass Concentrations
Mass concentration of particles <10 mm
and <2.5 mm in aerodynamic diameter (PM10
and PM2.5) is generally used as an indicator for
suspended particulate matter (e.g., regulated in
Urban Air Quality: Sources and Concentrations 205

Jagtvej, Copenhagen H.C.A. Boulevard, Cph

Banegaarsgade, Aarhus Albanigade, Odense
Vesterbro, Aalborg
300
250
µg(NO2)/m3
200
150
100
50
0

70
60
50
µg(NO2)/m3

40
30
20
10
0

Urban Air Quality: Sources and Concentrations,
Fig. 4 The measured trend in annual mean concentrations
of NOx and NO2 (both shown in mg (NO2)/m3) at the street
stations in the largest Danish cities: Copenhagen, Aarhus,
Odense, and Aalborg. The upper plot shows NOx and
lower plot NO2. The plots include measurements from
the time period 1982 to 2005 and illustrate a decrease in
NO concentrations resulting from increasing number of
vehicles with catalytic converters in Danish vehicle parc
but also illustrate that this decrease is not reflected in the
NO2 concentrations that have remained more or less con-
stant during this time period [63]

EU directives) and routinely measured at many
locations throughout the world. Particle mass is
dominated by particles >0.1 mm in diameter. Par-
ticles in traffic exhaust are mainly in the ultrafine
fraction and include elemental carbon (EC) as
well as organic carbon (OC) [37]. The ultrafine
mode particles from traffic sources contribute
considerably to the PM number concentrations
but only little to the PM mass.
While some health studies have demonstrated a
relationship between both acute and long-term
health effects and the ultrafine particle mode
(particle diameters <0.1 mm) [38], other studies
are less conclusive concerning the health effects
of the ultrafine mode particles. Even though ultra-
fine particles are a minor contribution to total par-
ticle mass concentration, they represent most of the
particles in terms of the number concentration.
Most studies to this point of the health effects air
particles have been related to particle mass. Neither
of the mechanisms are yet fully understood, and the
need for more studies has been called for [39].
With respect to streets with a high level of
vehicular traffic, a significant fraction of the par-
ticle pollution originates from this traffic [40]. The
direct emissions from car exhaust contain parti-
cles formed inside the engine as well as in the air
just after leaving the exhaust pipe. The latter
depend on the sulfur content in the fuel.
Studies have shown that reducing the sulfur
content in diesel significantly reduces the particle
number concentrations in urban streets, and this
parameter is therefore important for air quality
planning and management.
206
Number
Condensates and Secondary particles
other primary (long range transport)
particles (mainly
traffic)
Soot (traffic)
0.001 0.01 0.1
Nano particles
Ultrafine particles
PM2.5 (fine particles)
Urban Air Quality: Sources and Concentrations,
Fig. 5 Typical size distribution of particles in urban air:
both as mass and number concentration. The horizontal
axis is the particle diameter in mm. The black line is mass
distribution, dominated by the coarse and secondary
Directly emitted particles are mainly found in
the ultrafine particle fraction of the total particle
concentration. Traffic, however, also contributes to
the mechanically formed particles in the fine and
especially the coarse fraction, typically produced
from wear of tires and brakes, wear from road
surface material, as well as resuspended dust.
For the particle mass (PM10), long-range trans-
port is usually the dominating source for regional
background levels. Studies have shown that less
than 10% of the urban PM10 originate from local
urban sources [40]. For NOx as well as particle
numbers, a larger difference between the urban,
rural, and curb side levels has been observed,
indicative of a large contribution from local traffic
sources (Fig. 6).
Particle Number Concentrations
A high correlation (one study [40] found R > 0.9)
between concentrations of NOx and total particle
number indicating that both components of air
pollution originate from the same (traffic) source.
The correlation is seen as the components are
emitted in a similar ratio (particle number: NOx)
from different traffic categories; in other words,
Urban Air Quality: Sources and Concentrations
Mass
Coarse
(wear of tires, road
construction work and
natural sources)
Dust from brakes
(traffic)
1 10 100 µm
PM10
particles. The dashed line is the number distribution, dom-
inated by ultrafine particles. Note that one particle with a
diameter of 10 mm has the same weight as 1 billion parti-
cles with a diameter of 0.01 mm [64]
high NOx emitters such as diesel vehicles
(especially heavy-duty vehicles) are also the
high particle emitters (when these are expressed
in particle number concentrations) [41].
The Danish Operational Street Pollution
Model (OSPM) [42] is an example of a numerical
model that, through its calculations, has been
shown to reproduce well the observed particle
number, when treating particles as inert tracers
(i.e., by disregarding transformation and loss pro-
cesses) [43]. The particle emission factors depend
on ambient temperature with higher emissions at
lower temperatures, which is accounted for in the
simulations reported in [44] and other refined
numerical models.
Long-range transport, however, is a significant
contributor to fine fraction particles and leads to
the main part of particulate sulfate and ammonium
and a large part of particulate nitrate. These sec-
ondary particles are formed from anthropogenic
sulfur dioxide (SO2), ammonia (NH3), and NOx
emissions [45] and often constitute more than
30% of the PM10. A separate fraction of particu-
late nitrate appears in the coarse mode, which also
contains contributions from sea spray and
Urban Air Quality: Sources and Concentrations
Concentration relative to urban background (=100)
600
500
400
300
200
100
80
60
40
20
0
Urban Air Quality: Sources and Concentrations,
Fig. 6 Comparison of average concentrations of total
particle number (ToN), particle mass (PM10), and NOx at
rural, near-city, urban, and curb side measurement stations
relative to urban background levels in the area of
resuspended dust [46, 47] with relatively large
mass and thus quickly deposits by gravitational
settling, such as road dust.
Due to the quick deposition, coarse particles,
therefore, generally have a relatively short life-
time in the atmosphere when compared with fine
particles.
Particles of low-temperature combustion pro-
cesses from wood-burning stoves and other
poorly controlled burning processes may be soot
particles which often have high contents of poly-
cyclic aromatic hydrocarbons (PAH) and other
carcinogens or just generally degrade the air qual-
ity in the urban environment, despite the “charm”
or, in developing countries, necessity, for burning
with these methods.
Air Quality Measurement Locations
When comparing observed levels of particulate
matter or air quality in different cities, aside
from assuring that the indices are the same, the
location of the monitoring stations must be con-
sidered, as they may be very different. An index
that reports the “average” might consist of a
207
Curb side
Urban background
Near-city location
Rural background
ToN PM10 NOx
Copenhagen, Denmark. The concentration bars are
stacked, so only the additional contributions are marked
with the pattern shown in the legend. Note that the scale of
the vertical axis changes at 100. (Adapted from Ketzel et al.
[40])
station in the urban center and one on the out-
skirts. There is a real risk of comparing sites in the
vicinity of large pollution sources with sites at
some distance from local sources. The location
of measurement stations must be very carefully
considered, and it is not generally good enough to
just replicate what another town is doing. For all
the physical and anthropogenic factors previously
discussed, locating stations is critical and must be
done in conjunctions with city planners. Recently
in the Danish press, scientists speculated if air
quality levels improved as a result of newly laid
road tar thus keeping down the dust at a roadway
at the measurement station.
In addition to the ambient measurements, mod-
ern air quality management is starting to consider
locating measurement stations where many peo-
ple spend most of their time: indoors. Exposure to
air pollution in the home is an important fraction
of a person’s overall exposure. A Danish study in
an uninhabited apartment in central Copenhagen
revealed that particle pollution inside the apart-
ment was to some extent linked to the activity
level of the neighboring apartments [48]
 208

Annual average PM10 concentrations in selected cities worldwide

Interim target-1 Interim target-2 Interim target-3 Air quality guidelines

240
Asia Latin America Africa Europe
200

160

120

80

40

0
Oslo

Lima
Turin

Quito
Cairo
Milan
Erfurt
Basel

Seoul
Berlin

Tokyo

Taipei
Rome
Leeds
Dallas

Zurich

Busan

Dhaka
Seville

Manila

Beijing
La Paz
Vienna
Athens
Seattle

Bogotá
Praque
Munich
London

Cracow

Karachi
Calcuta
Havana
Pittburg

Geneva

Helsinki
Warsaw

Mumbai
Bologna

Palermo
Cologne
Houston

St. Louis

Brussels

Bangkok
Florence

Santiago
Knoxville

Colombo
Arequipa
Meddelin
Memphis

Hamburg
New York

Fortaleza
San Juan

Shanghai
Budapest

Bucharest
Barcelona

New Delhi
Katmandu
Sáo Paulo

Gangzhou
Stockholm
San Diego

Cape Town

Hong Kong
Amsterdam

Mexico City
Vereeniging
Los Angeles

Copenhagen

Cochabamba
San Salvador
Johannesburg

Rio de Janeiro
Belo Horizonte
Oklahoma City

Guatemala City

Ho Chi Min City

Washington DC

Urban Air Quality: Sources and Concentrations, Fig. 7 PM10 concentrations is defined at the lowest level at which total, cardiopulmonary and lung cancer mortality
(mg m
3) in selected large cities throughout the world. The plot has been derived on has been shown to increase with more than 95% confidence in response to long-term
basis of WHO (2006) [1]. The WHO Air Quality Guideline (AQG) (shown in the figure) exposure. Shown also are the WHO interim target values 1 to 3
Urban Air Quality: Sources and Concentrations
Urban Air Quality: Sources and Concentrations
indicating that sources in the neighboring envi-
ronment must also be considered in the analysis of
overall exposure. Measuring air quality is there-
fore not a simple matter of purchasing machines.
They need to be carefully located, and the mea-
surements are best coupled with other data such as
meteorology and with numerical models that help
provide additional value with the measured
numbers.
Natural Sources
A 2006 WHO study (Fig. 7) indicates that PM10
concentrations in Asia and Latin America are
higher than are observed in Europe and North
America [1]. The highest particle levels are
observed in Asia and are attributed to forest
fires, poor fuel quality, and aeolian (windblown)
dust. Wind erosion originating especially in the
deserts of Mongolia and China contributes to the
general level of PM in the region.
Polycyclic Aromatic Hydrocarbons (PAH)
and Urban Air Quality
Sources and Emissions of PAHs
Polycyclic aromatic hydrocarbons are a group of
chemicals that are formed during incomplete
burning of coal, oil, gas, wood, garbage, or other
organic substances, such as tobacco and
charbroiled meat. There are more than 100 differ-
ent PAHs. PAHs generally occur as complex mix-
tures normally as part of combustion products
such as soot, not as single compounds.
PAHs can also be found in materials such as
crude oil, coal, coal tar pitch, creosote, and roofing
tar. There are numerous other sources [49, 50].
In the air they are either attached to dust parti-
cles or as solids in airborne soil or sediment. This is
of great concern due to the mutagenic [51] and
carcinogenic [52] properties of PAHs; the US
Agency for Toxic Substances and Disease Registry
[50] has listed 17 PAHs as of priority concern with
respect to their toxicological profile.
PAHs that have been studied in urban and other
areas appear to represent only a fraction of a
percent of the ambient particle mass [53]. How-
ever, there are compelling arguments that the
209
previously commonly employed measurement
techniques produced artifacts. Despite the toxico-
logical profile of PAHs, no country has mandatory
guidelines with respect to their ambient air quality
standards [54].
Sampling Artifacts in Measuring PAHs
In order to reduce the risk of sampling artifacts [52]
in the spring of 2003, the Mexico City Metropolitan
Area (MCMA) air quality campaign employed three
independent methods to measure particle bound
PAHs [57, 58]. Peak concentrations of PAHs on
the order of 120 ng m
3 during the morning rush
hour were observed in excellent agreement that 20%
of the vehicles account for 50% of the PAH emis-
sions [59]. Like other atmospheric gaseous and
particulate constituents, PAHs are removed from
the atmosphere by wet or dry deposition and may
also be converted or degraded in heterogeneous
processes. Despite the systematic approach, there
may have been significant concentrations of very
toxic and very reactive PAHs in the MCMA atmo-
sphere that were missed due to filter reaction arti-
facts [58], thus attesting to how complicated
measuring PAHs is as a part of air monitoring pro-
grams and the need for further development.
Long-Range Transport of PAH
Together with the local emission, the long-range
transport of PAHs is of a concern. PAHs are desig-
nated as one of the persistent toxic substances in
central and northeast Asia under the Stockholm
Convention (UNEP, 2002). It has been demonstrated
that transformation processes can lead to PAHs
which are more toxic than their precursors [57].
The source apportionment of particulate PAHs
at Seoul, Korea, during a measurement campaign
between August 2002 and December 2003 was
analyzed [60] by applying the US EPA
(2004) chemical mass balance (CMB) model.
Seoul is in the atmospheric footprint of major
coal-burning industries and power plants of China
and Japan, as well as contributing itself to the
Northeast Asia particle footprint. In Seoul, just
as in the MCMA, gasoline and diesel vehicles
accounted for 31% of the measured PAHs and
thus were the major sources. Daily and seasonal
variations were noted and attributed to differences
210
in biomass burning and coal (heating) with a 19%
difference in the total concentrations observed
between fall (63%) and winter (82%). The sources
showed an inverse profile when moving away
from the city. The study authors used source anal-
ysis to attribute this to the long-range transport of
atmospheric pollutant (LRTAP) of PAHs and their
precursors from sources in China or North Korea
thus demonstrating that for certain urban environ-
ments, in footprints of major industrial areas,
PAHs from local and long-range transport must
be taken into greater consideration as air quality
management plans are updated.
Trace Elements to Include Heavy Metals
in Urban Areas
Trace elements including heavy metals (HM) are
ubiquitous in the atmosphere of urban areas, and
many are classified by authorities as hazardous air
pollutants (HAP).
These represent serious environmental and
health risks and are especially of concern in urban
and industrial climates, with megacities in devel-
oping nations being the obvious sites of concern
for populations at risk for trace element exposure.
Air quality can be affected and trends in urban
areas have been noted. One study has provided
trends and levels of trace metals in three Danish
cities as well as at background sites [61]. The
levels reported are less than literature values for
megacities, as expected, but in many cases, the
trends are similar, though the numbers of studies
are very limited.
Heavy Metals in the Urban Atmosphere
Heavy metals are still a problem for ambient and
indoor air quality, especially in general in urban
and industrial areas despite that many nations have
tightened and continue to restrict emissions of such
trace elements as mercury. Even with history of
progressive regulation of trace metals, they still
represent a real and pressing health and environ-
mental hazard in the USA (US EPA 2006) and
most certainly in other western nations and other
countries as well. Trace metals have been measured
in nearly all aerosol size fractions, so it is of para-
mount importance to characterize the particle size
Urban Air Quality: Sources and Concentrations
distribution and relate these to the potential adverse
health effects in the urban population [62].
Humans are exposed to metals via ambient air
inhalation and consuming contaminated food or
water, as well as, in the case of lead and children,
chewing on lead painted toys and exposure from
walls or furniture. Metals were of great concern in
western cities prior to lead being banned as an
anti-knock agent in gasoline in the mid-1970s, as
well as other regulations regarding the use of lead
in, for example, house paints.
The US Environmental Protection Agency
(US EPA) lists many trace metals as among the
worst urban air toxics (www.epa.gov/ttn/atw/nata/
34poll.html, November 28, 2008), and several
metals aside from mercury and lead are classified
by the US Clean Air Act as HAPs: chromium,
manganese, nickel, and cadmium. There is no
reason that other countries should not also endorse
this classification in their air quality plans.
Trace Elements in the Urban Atmosphere
Trace elements (and metals) and the observed
high levels of them in the urban environment
have led to extensive monitoring with consequen-
tial regulations and international agreements that
have greatly reduced the concentrations.
The sources of emission into the urban atmo-
sphere of commonly measured trace elements, Be,
Co, Hg, Mo, Ni, Sb, Se, Sn, and V, with smaller
concentrations of As, Cr, Cu, Mn, and Zn, are
primarily human activities, especially the com-
bustion of fossil fuels and biomass, industrial
processes, and waste incineration [62].
As with PAHs, there are seasonal variations of
trace metals in PM10 and PM2.5 observed in cam-
paigns conducted seasonally. Higher winter values
of nearly all trace elements are observed suggesting
a significant source of particles from domestic
heating in most temperate urban areas and/or less
efficient dispersion of emissions in winter.
Many trace elements are primarily observed
from natural sources and have local, regional, and
global effects. Sources include sea spray near coast-
lines, dust from aeolian processes and weathering
(especially noted in Asia), and volcanoes.
The main source of trace elements in most urban
environments is never the less, anthropogenic
activities, and national regulations, especially
Urban Air Quality: Sources and Concentrations
regarding limits in gasoline, and emissions from
coal-fired power plants, as well as other industrial
control, are in most cases effective in mitigating
their emissions. Thus, developing nations gener-
ally have higher levels in general than industrial-
ized nations.
Conclusions
Urban air quality is subjectively determined based
on levels or concentrations measured, monitored,
and mandated generally by law. Urban air quality
is the resulting state of a function of a complex
and dynamic mixture of gaseous and particulate
pollutants emitted from natural and human envi-
ronments and their interaction with the natural and
built environment. The concentration of pollut-
ants both produced in photochemical reactions
and suspended in the air of the urban environment
and therefore air quality is weather dependent and
thus exhibits daily and seasonal variation due to
both anthropogenic and biologic activity levels
and weather conditions.
The actual pollution load in a given urban area
is the result of both local conditions and emissions
and transport from nearby and remote sources.
The location of the city is very important for the
local dispersion conditions, which are governed
by meteorology but are also heavily affected by
natural topographical conditions (e.g., effects of
coastline, mountains, valleys, etc.).
Studies of the impact of transportation hubs
such as local harbors and airports on urban air
quality have generally pointed at a limited influ-
ence, with the impact on the air quality mainly
related to the road traffic that these facilities are
generating.
The highest urban air pollutant concentrations
of the pollutants PM10 and SO2 are generally
found in developing urban environments such as
those in Africa, Asia, and Latin America.
The highest levels of photochemical pollutants
such as O3 and NO2 are observed in Latin Amer-
ica and certain developed countries – topograph-
ical conditions and weather conditions are very
important factors in this respect.
The negative health effects of urban air pollu-
tion are well documented and are found to be
211
particularly severe in the megacities, where qual-
ity of life is lessened due to air pollution. The
interaction of poor air quality with other lifestyle
decisions such as smoking generally results in a
synergistic effect. The negative health effects of
poor ambient air quality are likely enhanced by
exposure to tobacco smoke, indoor particulate,
and gaseous sources from cooking, candles,
stoves, etc. but also by exposures to the non-
airborne agents in textiles, food, etc. The possibil-
ity of reduced productivity from toxics and their
associated costs should be investigated, and valu-
ation models should be further developed [5].
Even though the health effects of poor urban air
quality have been documented in numerous stud-
ies, there are still many unknowns, and through
their investigation, there is a possibility for improv-
ing health, environment, and the climate. The
reader is referred to Hertel and Goodsite, 2009
[65] – from which this entry was based and
updated, as well as the supplemental literature list
where we have included recent reviews across
various aspects of the field of urban air quality.
Future Directions
Given the progress documented through 25 specific
solutions in “Air pollution measures for Asia and the
Pacific 25 science-based solutions to bring clean,
safe air to 1 billion people” http://www.ccacoalition.
org/en/content/air-pollution-measures-asia-and-paci
fic, it is important to follow the recommendations
made in the report. Investigating to what extent
deploying the solutions will continue to improve
urban air quality and in which context, in the studied
regions and other urban regions, given increasing
urbanization, is needed as soon as feasible. The
general understanding of urban air quality within
the broader political, economic, social technologi-
cal, environmental, and security (PESTLES) frame-
work needs to be developed. Ye et al. [66]
documented that there are cultural aspects that
must be taken into consideration. The understanding
of culture and communications toward changing
practice is important to continue to understand effec-
tive deployment of mitigative measures and political
or technological solutions in urban areas.
212
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Urban Atmospheric
Composition Processes
William Bloss
School of Geography, Earth and Environmental
Sciences, University of Birmingham,
Birmingham, UK
Article Outline
Glossary
Definition of the Subject
Introduction
Historical Perspective
Meteorology, Dynamics, and Mixing
Basic Composition and Key Pollutants
Key Emission Characteristics
Urban Atmospheric Composition Processes
Trends in Urban Atmospheric Composition
Future Directions
Bibliography
Glossary
Boundary layer The lowermost layer of the
atmosphere, in contact with the surface and
well mixed. Extending from 100 to 200 m at
night, up to 1–2 km during the day.
Mixing ratio The fraction of the air which a
given species comprises, typically parts per
million (106), billion (109) or trillion (1012),
by volume.
NOx The sum of nitric oxide (NO) and nitrogen
dioxide (NO2).
NOx limited The ozone production regime in
which VOCs are (relatively) plentiful, and ozone
production is limited by the availability of NOx.
Photostationary steady state The rapid chemical/
photochemical balance between a number of
reactants, usually applied to NO, NO2 and O3.
PM10 Suspended airborne particulate matter,
with an aerodynamic diameter of 10 mm or less.
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_493
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_493
Primary pollutants Those emitted directly to
the atmosphere, typically from mechanical or
combustion processes.
Secondary pollutants Those formed within the
atmosphere by chemical reactions.
Street canyon The semi-isolated atmospheric
compartment formed by adjacent rows of
multi-story buildings.
Temperature inversion An increase in temper-
ature with increasing altitude, which usually
isolates ground-level air from the overlying
atmosphere, resulting in increased (primary)
pollutant concentrations.
Transboundary pollution The transport of
long-lived chemical species, such as O3 and
CO, across national boundaries.
VOC Volatile Organic Compound, one com-
monly found overwhelmingly in the gas phase.
VOC limited The ozone production regime
where NOx is plentiful, and ozone production
is limited by the availability of hydrocarbons.
Definition of the Subject
The majority of the population now live in cities
(the 50% point was passed during 2007 [1]) and are
exposed to the urban atmosphere every day of their
lives. As global population has also doubled over
the past 50 years, urban air quality is a major factor
in pollutant exposure for billions of individuals.
The urban atmospheric environment is unique,
with the city landscape defining particular meteo-
rological characteristics, and a wide range and high
density of emission (or pollution) sources, which
combine to determine local air quality. Air pollut-
ants, ranging from gases such as carbon monoxide,
ozone and nitrogen dioxide, to suspended particles
of varying size and composition, have been shown
to be linked to respiratory and cardiovascular
health issues. Urban atmospheric composition pro-
cesses affect the abundance of primary pollutants,
and are wholly responsible for the formation of
secondary species such as ozone. In this article,
215
216
the principle urban atmospheric components and
their sources are introduced, followed by an
account of the predominant atmospheric composi-
tion (chemistry) processes which affect urban air
quality. The article concludes with a brief consid-
eration of the potential impacts of future changes in
emissions, physical and political climates upon
urban atmospheric composition.
Introduction
Increasing population density implies an increasing
human exposure to urban atmospheric pollutants.
Countering this basic trend, growing scientific
understanding of atmospheric composition pro-
cesses, coupled with technological developments
in emissions control and policy measures to limit
pollution, have led to improved urban air quality
over the past several decades in many cities,
although this conclusion is dependent upon the spe-
cies measured and metric chosen. The predominant
air quality conditions are therefore a strong function
of the level of development of a city (Fig. 1), and
have changed substantially over the past few
decades, with (in many cases) the removal of
heavy industry from urban regions, while traffic
has become the dominant emission source; the con-
cept of urban atmospheric pollution thus varies in
time, and between different cities across the world.
First emission
controls
Start of
industrialisation
Air pollution level
Urban Atmospheric Composition Processes, Fig. 1 Schematic representation of the evolution of air pollution
vs. development. (Adapted from Fenger [2]/Mage et al. [3])
Urban Atmospheric Composition Processes
Historical Perspective
The history of urban atmospheric composition and
air pollution reflects developments in fuel usage for
domestic heating, cooking, emerging industrial
activities and power generation, and the spread of
the internal combustion engine. The earliest reports
of atmospheric pollution issues, associated with the
combustion of coal for domestic heating and
cooking, and for industrial operations such as lime
production, are noted in historical documents dating
to at least the thirteenth century, when a Commis-
sion was established to address the problems asso-
ciated with coal smoke in London. By the sixteenth
or seventeenth century, some of the earliest pro-
posals for “emission control legislation” such as
John Evelyn’s Fumifugium of 1661 were drafted
for (unsuccessful) presentation to Parliament
[4]. Increasing domestic and industrial coal combus-
tion led to the London smogs of the nineteenth and
twentieth centuries, in which the major pollutants
were highly acidic particulates and fog droplets
arising from use of high-sulfur fuels. Another prom-
inent atmospheric pollution event of the time was
the Donora Valley episode of 1948, in which local
industrial emissions of sulfur dioxide, carbon mon-
oxide and heavy metal particles were trapped in a
week-long temperature inversion leading to tens of
deaths and thousands suffering from respiratory ill-
ness. These events primarily concerned primary
pollutants, those emitted directly to the atmosphere
Stabilisation Improvment Air quality
of air quality of air quality standard
High technology
applied
Extent of development (Time)
Urban Atmospheric Composition Processes
(although strictly speaking sulfuric acid is formed
within the atmosphere following the release of sul-
fur dioxide). Subsequent legislation, mandating the
use of tall chimneys to aid dispersion, use of low-
sulfur and smokeless fuels in populated areas, the
migration of heavy industry away from cities and
the introduction of emissions control technologies
and policies (including emissions trading schemes
on the case of SO2), have greatly reduced these
pollution phenomena in many nations. Over the
past 50 years, motor vehicle emissions have come
to dominate urban atmospheric composition in most
developed nations, as the global vehicle fleet has
increased by an order of magnitude over this
timeframe.
In developing nations, combustion of biofuels
(primarily wood) and coal for domestic cooking
and heating remain major urban pollutant sources.
Alongside the reduction in some of the traditional
primary pollutants (sulfur dioxide, carbon monox-
ide), levels of secondary components formed in the
atmosphere, such as ozone and (much of) nitrogen
dioxide and particulate matter, have in many cases
been rising, and have become the focus of concern.
Meteorology, Dynamics, and Mixing
The urban atmosphere may be defined horizon-
tally by the extent of the particular city in question
(see comments below regarding export of urban
atmospheric pollutants), and vertically as
encompassing the boundary layer, the first few
100 m to kilometer or so of the atmosphere,
which is regarded as well mixed. The urban
boundary layer height determines the size of the
atmospheric compartment into which emissions
are mixed – a lower boundary layer height
(as commonly found at night) results in higher
concentrations for an equivalent emission
strength, all other things being equal. The urban
boundary layer may be further divided into verti-
cal regions determined by the interaction between
the city topography and airflow: At the street
scale, urban canyons, formed between rows of
buildings, represent semi-isolated environments
into which traffic-related emissions are initially
discharged. The urban canopy layer encompasses
217
multiple street canyons at rooftop level. Above the
canopy layer, the overlying boundary layer is
sometimes divided into the roughness sub-layer,
where building wake-induced turbulence effects
predominate and atmospheric composition (as far
as it relates to urban emissions) is highly variable,
and the higher inertial sub-layer which exhibits a
more homogeneous composition [5].
Local wind speed and direction critically affect
local pollutant levels – on a street canyon scale,
winds perpendicular to the canyon may lead to the
establishment of within-canyon vortices, leading
to the upwind side of the canyon, at ground level,
experiencing higher levels of primary pollutants
(those from local traffic at least) – Fig. 2. Con-
versely, along-canyon wind effectively ventilates
the ground-level emissions into the overlying
boundary layer. While most pollutant levels fall
with increasing windspeed as a consequence of
increased dilution, re-suspension of coarse partic-
ulate matter (dust, sand, tyre, and brake debris) is
found to increase atmospheric PM (particulate
matter) levels at elevated windspeeds [6].
The ventilation of the urban airshed as a whole
affects the pollutant levels experienced for a
given emission source. Certain cities (notable
examples include Mexico City, Santiago, Los
Angeles) are partially to almost entirely
surrounded by mountain ranges, leading to
build-up of emissions within the (urban)
Cb Mean wind, u-
Leeward side Windward side
C
Building height
E
Street width
Urban Atmospheric Composition Processes,
Fig. 2 Typical within-canyon vortex circulation, driven
by overlying perpendicular airflow, increases primary pol-
lutant levels on the upwind (leeward) side of the street at
ground level
218 Urban Atmospheric Composition Processes

boundary layer (e.g., Molina and Molina [7]). In
other locations, regional weather patterns lead to
persistent patterns of pollutant exposure, for
example, the daily sea breeze circulation affect-
ing Hong Kong and the Pearl River Delta
[8]. Local circulation patterns and topography
can therefore exacerbate, or ameliorate, the
atmospheric composition resulting from a given
emissions situation [9]; and the combined effects
of local and regional scale dynamics, mixing and
chemical transformations must be considered in
the development of urban air quality manage-
ment policies.
Basic Composition and Key Pollutants
The bulk atmospheric composition is essentially
constant throughout the troposphere, comprising
gases such as nitrogen, oxygen, argon, helium,
carbon dioxide and a variable amount of water
vapor. Most concern over urban atmospheric
composition and air pollution arises from the
trace components – gaseous constituents such as
ozone, nitrogen oxides and volatile organic com-
pounds, and suspended particulate material
(PM) commonly referred to as aerosol (although
strictly the term denotes both the condensed phase
material and the gas it is suspended within).
Urban air pollution issues primarily relate to local
emissions and the chemical processing of pollutants
and natural atmospheric species which occurs on
timescales of a few hours to a few days. This can
be distinguished from the wider, regional impacts of
air pollution (such as increasing background ozone
levels, and the abundance of sulfate aerosol),
although these also impact on the urban environ-
ment and are considered here. Global air pollution
issues related to long-lived species such as CFC,
HCFC and halon compounds contributing to strato-
spheric ozone depletion, and the climate-related
issues associated with the global abundance of
longer-lived greenhouse gases such as carbon diox-
ide and methane, are not discussed further here –
although some urban air pollutants are also impor-
tant greenhouse gases, for example, ozone. Table 1
gives typical abundances for key urban air compo-
nents which would be found in the remote boundary
layer, away from anthropogenic emission sources,
and compares these with those observed in selected
urban atmospheres. It should be noted that point
measurements such as these may be representative
of a local microenvironment only, rather than the
wider city-scale environment – if cities do not have
representative networks for air quality monitoring,
this concern persists into reported pollution levels.
As understanding of the impact of air pollut-
ants upon health has developed, various national

Urban Atmospheric Composition Processes, Table 1 Comparison of typical unpolluted boundary layer abundance
of selected pollutants, and their equivalent levels in various urban centers. All concentrations expressed in mg m
3
Species Remote MBL London: MR London: NK Beijing Lagos
NO2 0.04 98 37 66 95
O3 58 18 34 109b 64
SO2 0.2 7.7 1.9 53 186
CO 140 650 280 2,100 6,700
Benzene 0.01 1.3 – 13.4a –
1.3-butadiene <0.01 0.57 – – –
PM10 – 27 17 161 228
PM2.5 – 18 11 130b –
Notes: Remote MBL (Marine Boundary Layer) data taken from the Cape Verde Atmospheric Observatory in the tropical
Atlantic Ocean [10, 11] except SO2, benzene, 1-3-butadiene from Mace Head. London NK (North Kensington) is an urban
background site while London MR (Marylebone Road) is a roadside monitoring station on a congested major road.
London data are annual averages (for 2010) taken from the UK Air Quality Archive (www.airquality.co.uk). PM data are
TEOM FDMS measurements. Beijing data are averages across the city for 2006, as given by [12] except (a): [13] and
(b) [14]. Lagos data are averages of several sites taken from [15] except O3 from [16]
Urban Atmospheric Composition Processes 219

Urban Atmospheric Composition Processes, Table 2 (Selected) EU air quality limit values and WHO air quality
guidelines. Values in mg m
3
Species EU WHO
NO2 40 (annual mean) 40 (annual mean)
O3 120 (target, <25 times/year) 100 (8 h mean)
SO2 124 (24 h mean, <3 times/year) 20 (24 h mean)
CO 10,000 (running 8 h mean) 10,000 (8 h mean)
Benzene 5 (annual mean) –
1.3-butadiene 2.25 (UK, annual mean) –
PM10 40 (annual mean) 20 (annual mean)
PM2.5 25 (2020 target) 10 (annual mean)
EU limits are those in force as of 2010; target values not legally binding. Additional limit values/future reductions also
apply for some pollutants. WHO guidelines from 2005 update [17] except CO (1997 update)

and international air quality standards and targets
have been established, by national governments,
the European Union (EU), and the World Health
Organization (WHO). Selected current standards
for key urban pollutants are summarized in
Table 2. These species – the gases nitrogen diox-
ide NO2, ozone (O3), carbon monoxide (CO),
sulfur dioxide (SO2), benzene (C6H6),
1,3-butadiene (C4H6), and polycyclic aromatic
hydrocarbons (PAH), plus the integrated particu-
late matter (PM) measures PM10 and PM2.5 (see
below for definitions) are the focus of this chapter.
An issue in comparing pollution levels is the
differing units commonly used – measurements
of trace gases for scientific purposes are fre-
quently presented in terms of (volume) mixing
ratio (vmr), in parts-per-million, billion or trillion
(106, 109, and 1012, respectively) while for PM,
and for legislative purposes, concentration values
(usually expressed as mg m
3) are used. Conver-
sion between these is straightforward but is also
dependent upon the local temperature and pres-
sure; care is needed as different standard condi-
tions for the conversion are mandated by, for
example, the EU (20  C) and the WHO (25  C).
While mixing ratio units are commonly preferred
for atmospheric chemistry research where gas-
eous species are concerned, as they are invariant
to changes in temperature and pressure (i.e., air
parcel transport), and preserve the stoichiometry
of the chemical reactions (i.e., the relationship
between reactants and products), here mass con-
centration units are used for consistency and ease
of comparison with air quality standards.
Key Emission Characteristics
Ambient urban air pollutant emissions in most
developed regions are primarily associated with
vehicle traffic – direct exhaust emissions from
petrol (spark) and diesel (compression) powered
vehicles, and mechanical sources such as brake
and tyre erosion and road surface material and
dust re-suspension from all vehicles. Fugitive
emissions of fuel vapor from filling station opera-
tions are a further significant vehicle-related source
of gaseous organic (hydrocarbon) air pollutants.
Other significant sources include emissions from
local point sources such as domestic and office
heating, cooking, and industrial processes, in par-
ticular the use of solvents, paints and lubricants
which may have a significant vapor pressure, and
combustion processes. Large-scale industrial emis-
sions associated with heavy industry (power gen-
eration, steel making, etc.) are not major
contributors to general urban air quality issues in
most developed nations, as the plants responsible
have largely been removed from the city centers,
and as readily identifiable point sources in most
cases have their direct emissions scrubbed at
source, for example, in the case of sulfur dioxide
from coal-fired power stations. In urban regions
within developing nations, which incorporate
many of the fastest-growing megacities on the
planet, a different picture of emission sources is
observed; again vehicle emissions are a major con-
tributor, although the fleet composition differs with
typically older vehicles (i.e., conforming to less
stringent, if any, emission regulations), reduced
220
diesel prevalence and a greater contribution from
small two-stroke (oil burning) powered two
wheelers. Domestic heating and cooking, where
this is primarily through wood burning, is a major
contributor to urban atmospheric composition (and
indeed to overall pollutant exposure, through
indoor effects within the home).
Characteristics of Motor Vehicle and Domestic
Fuel Emissions
Within internal combustion engine vehicles, emis-
sions of a range of pollutants reflect the composition
of the fuel and oil burnt, and the high-temperature
decomposition of atmospheric oxygen and nitrogen
leading to the production of nitrogen oxides. NOx
(NO + NO2) at the tailpipe is conventionally
assumed be partitioned (on average) into 95% NO
and 5% NO2, although there is some evidence that
the direct fraction of NO2 may be greater than this,
and increasing across the fleet on average – in
particular, for diesel-engined HGVs (heavy goods
vehicles) [18]. Incomplete combustion leads to the
production of carbon monoxide (CO), a vast range
of hydrocarbons which may be gases (if they are
sufficiently small and volatile) or may condense to
form the organic component of exhaust particulates,
as the exhaust gases cool. The introduction of cata-
lytic converters has greatly reduced emissions of
NO, CO and hydrocarbons (which are converted
to N2, CO2 and H2O) for petrol-engined vehicles,
while diesel oxidation catalysts have reduced CO
and hydrocarbon emissions from diesel engines.
Increasingly stringent emissions regulations, such
as the EURO-1 to EURO-5 EU series of emissions
standards for various vehicle classes, have substan-
tially reduced emissions per unit activity (at least
within the parameters of the defined driving cycles),
and (disregarding CO2) the principal emission con-
cerns from modern vehicles are NOx and particulate
matter, for which in both cases diesel engine emis-
sions tend to be higher emitters. Exhaust PM in
particular is known to incorporate toxic and carci-
nogenic components such as PAH and heavy
metals, and (as new particles are formed through
condensation/nucleation) to contribute substantially
to the population of the smallest particles particu-
larly associated with adverse health effects [19]. The
introduction of biofuels (ethanol) in some markets
Urban Atmospheric Composition Processes
(notably, South America) has been associated with
increased emissions of aldehydes such as formalde-
hyde and acetaldehyde [20] which are toxic, and
also potent radical precursors leading to photochem-
ical smog formation (see below). Biofuel (wood and
charcoal) combustion for domestic heating and
cooking is a substantial source of pollutants within
many homes in developing nations, leading to
indoor air pollutant exposure, and forming a major
emission source within urban regions. The relatively
low temperatures commonly found lead to substan-
tial emissions of carbon monoxide, black carbon
(soot) and a range of trace compounds VOCs, oxy-
genated compounds and acids, including toxic sub-
stances such as polycyclic aromatic hydrocarbons
(PAHs), particularly within the organic component
of the emitted particulate matter [21].
Urban Atmospheric Composition
Processes
Gas-Phase Composition Processes
Gas-phase processes in urban environments are
dominated by the oxides of nitrogen, (primarily)
NO and NO2, emitted directly from the exhausts of
high-temperature (i.e., internal combustion engine)
vehicles. Following emission, a number of gas-phase
processes follow. In close proximity (within a few
meters) to the tailpipe, NO levels may be sufficiently
high before mixing and dilution that the NO-self-
reaction, converting NO into NO2, may occur:
NO þ NO þ O2 ! 2NO2 ð1Þ
However the dominant chemistry of NOx in the
urban environment is the interaction between NO,
NO2, and ozone. In daylight, these three species
are very closely coupled by the NO + O3 reaction,
and the solar decomposition (photolysis) of NO2:
NO þ O3 ! NO2 þ O2 ð2Þ
NO2 þ hv ! NO þ O ð3Þ
The O atoms formed through NO2 photolysis
rapidly and near-exclusively recombine with molec-
ular oxygen (O2) to form ozone (reaction 4), where
Urban Atmospheric Composition Processes
M denotes the involvement of a third body, nitrogen
or oxygen, which removes some of the excess
energy from the nascent ozone molecule.
O þ O2 þ M ! O3 þ M
As these reactions dominate the NO/NO2/O3
interconversion, it is possible to define two further
quantities, NOx (¼ NO + NO2), and total oxidant Ox
(¼ NO2 + O3), which, in the absence of further
processes, are conserved. NOx and Ox provide useful
metrics for assessing variations in the sum of NO and
NO2, and of NO2 and O3, without need to consider
the partitioning between these species. The reaction
of fresh, vehicle-emitted NO with O3 reduces ozone
levels in many urban areas compared with the sur-
rounding regions, leading to an urban decrement in
ozone (compare O3 concentrations for the MR and
NK sites in Table 1) – discussed further below.
The timescales of reactions 2 and 3 in the bound-
ary layer under sunlit conditions is of the order of
1–2 min, while reaction 4 proceeds in milliseconds;
consequently away from direct emission sources
NO, NO2 and O3 are found in equilibrium defined
by the Leighton Relationship [22]:
40
30
Volume mixing ratio /ppb
20
10
0
0 12 0 12
Urban Atmospheric Composition Processes, Fig. 3 Diurnal variation in NO, NO2, O3, and Ox over a 4-day period
for Birmingham City Centre. (From Bloss [23])
221
½NO2  k2 ½O3 
¼
½NO j3
ð4Þ where k2 is the rate constant for the NO + O3
reaction, and j3 is the (solar radiation intensity-
dependent) rate of photolysis of NO2. It follows
that for a given abundance of NOx and O3, in the
absence of other processes, NOx will exist primar-
ily as NO2 when light levels are lower (i.e., at
dawn and dusk), while the NO fraction will max-
imize at midday. In practice the values of k2 and j3
are such that the NO2:NO ratio is typically in the
range 2–5 during the day – see Fig. 3.
NOx is removed from the atmospheric system
through chemical conversion to more stable spe-
cies, which in turn are removed by deposition and
by their uptake or incorporation into aerosol par-
ticles. During the day, NO2 reacts with the OH
radical, the gaseous oxidant which dominates the
removal of many pollutants on a global scale,
forming nitric acid, HNO3. Nitric acid is then
lost through dry deposition (i.e., contact with sur-
faces), wet deposition/rainout, and through uptake
into aerosol particles (see below).
NO2
O3
NO
Ox
0 12 0 12 0
Time of day (local)
222
OH þ NO2 þ M ! HNO3 þ M ð5Þ
The OH radical is formed primarily through
sunlight-driven photolysis processes, so has a
very low abundance at night; in the absence of
sunlight, the NO2 photolysis reaction also ceases,
and a separate chain of reactions dominate NOx:
NO þ O3 ! NO2 þ O2 ð2Þ
NO2 þ O3 ! NO3 þ O2 ð6Þ
NO2 þ NO3 þ M , N2 O5 þ M ð7Þ
The nitrate radical, NO3, is rapidly photolysed
during the day, effectively suppressing reactions 6
and 7. At night however NO and NO2 may be
converted into N2O5 on a timescale of hours;
N2O5 is then removed from the urban atmosphere
through wet and dry deposition, and uptake into
aerosol particles (it is also photolysed slowly dur-
ing the day). In both cases, following removal
from the gas phase HNO3 and N2O5 contribute
to the nitrate (NO3
) content of aerosol particles
(see below), and to the acidity of precipitation.
The combination of reactions 5 and 7 determine a
chemical lifetime for NOx (strictly, time for con-
centrations to fall to 1/e of their initial value) of
the order of 12–24 h in urban environments.
A further major air pollution consequence of
the interaction of NOx and VOCs in sunlight is the
photochemical production of ozone, a major sec-
ondary pollutant. Figure 4, below, summarizes the
major reaction processes responsible (after
Wayne, [24]). The process is initiated by the pro-
duction of an oxidant radical, OH, shown in Fig. 4
from the photolysis of ozone in the presence of
water vapor (although other indirect sources also
occur, e.g., aldehyde photolysis). OH radicals
react with organic compounds (VOCs and CO)
which leads to the formation of organic and hydro
peroxy radicals, RO2 and HO2. In the absence of
NO2, these undergo self-reaction to form perox-
ides (not shown); however in the urban environ-
ment substantial levels of NO are usually present,
and the peroxy radicals react with NO, converting
it to NO2, and regenerating the radical species
HO2 and subsequently OH. The peroxy radical–
Urban Atmospheric Composition Processes
O3 + sunlight + H2O
HNO3
NO2
NO2
OH
VOC
NO
CO
RO2 HO2
NO2
O2
NO
Urban Atmospheric Composition Processes,
Fig. 4 Some important steps in the gas-phase oxidation
of volatile organic compounds (VOCs) in the presence of
NOx. The photolysis of NO2 regenerates NO and leads to
net ozone production
NO reaction therefore leads to the conversion of
NO to NO2 without the consumption of O3
(cf. reaction 2), and the subsequent photolysis of
NO2 and reaction of the O atom formed with
molecular oxygen (reactions 3 and 4) results in
ozone formation. While initiation of the process
consumes ozone, the cyclical nature of the reac-
tions leads to net ozone production overall.
The timescale of ozone production ranges from
hours to days, but is complex to determine directly.
In the boundary layer, ozone removal is dominated
by deposition, however as the atmospheric life-
time of ozone is several days to weeks, advection
(of ozone-rich or ozone-poor air from upwind
locations) and atmospheric mixing also have a
substantial influence upon measured ozone levels.
Observed ozone pollution episodes vary in extent
from hours in highly polluted conditions to a few
days, and are closely associated with the pre-
vailing weather conditions. In the case of Western
Europe, ozone pollution events commonly
correspond to summertime anticyclonic periods
in which air masses have looped over Europe
accumulating pollutants. Ozone is chemically
Urban Atmospheric Composition Processes
formed along the airmass trajectory at rates of the
order of 20–30 ppb per day (daytime chemical
production, part of which is offset by night-time
chemistry and deposition [25]). If a typical episode
is characterized by ozone levels of the order of
90 ppb compared with the rural background of
around 30–40 ppb, several days are clearly
required to achieve this level. In more extreme
conditions, ozone production proceeds more rap-
idly: during the 2003 Western Europe heatwave
event, a photochemical model constrained by in
situ observations of long-lived species from
suburban North-East London determined the
peak ozone production to be 17 ppb h
1, with an
average production rate during midsummer at
midday of 7.2 ppb h
1 [26]. Observations in Mex-
ico City have led to calculated ozone production
rates of up to 50 ppb h
1 [27] during stagnant
meteorological conditions.
Exposure to ozone has substantial human
health consequences, being associated with irrita-
tion to eyes and nose, inflammatory reactions and
reduced lung function. Ozone is also harmful to
vegetation and ecosystems, and certain materials
(erosion of polymers through reaction with com-
ponent double bonds), and is an important green-
house gas in its own right; consequently reduction
in ozone levels is a major goal of air quality
policy. The long lifetime of ozone limits the
impact that local/national air quality legislation
can have upon boundary layer ozone levels, and
dictates that ozone is treated as a transboundary
pollutant.
The secondary nature of ozone further compli-
cates attempts to reduce its abundance: The pre-
cursor species, NOx and VOCs, must be
controlled; however the response of the chemical
ozone production rate to the level of, for example,
NOx and CO is not straightforward: As can be
seen from inspection of Fig. 3, at high NOx levels,
the reaction of OH with NO2, forming HNO3, can
compete with the reaction of OH with VOCs. In
this instance, reducing NOx levels (e.g., through
emission controls) would have the effect of
increasing the abundance of OH, and the rate of
the OH+VOC reactions, and hence would lead to
an increase in ozone production. At lower NOx
levels, where NO2 is not competing effectively
223
with VOCs for OH, reduction in NOx leads to a
reduction in the ozone production rate, by reduc-
ing the rate of the peroxy reaction (or strictly, by
allowing other competing processes, not shown
on Fig. 3, to occur – [24]). Two overall regimes for
ozone production can be identified: VOC-limited,
where NOx levels are high, and ozone production
rates will rise or fall with increase/decreases in
VOC levels respectively, and NOx-limited, where
VOCs are relatively more abundant, NOx levels
low, and ozone levels rise and fall with increases/
decreases in NOx. Reduction of NOx in a VOC-
limited regime may lead to increased ozone pro-
duction. Many urban environments correspond to
VOC-limited conditions (i.e., higher NOx levels);
as air is advected from the urban centre to sur-
rounding rural regions, with reduced emission
sources, NOx levels fall and the ozone production
regime undergoes a transition to a NOx-limited
state. The complex dependence of the ozone pro-
duction rate upon the abundance of primary pol-
lutants between urban and rural areas, which is
compounded by the reduction in ozone levels on
the street canyon scale within urban areas by the
titration of O3 to NO2 by fresh vehicle NO emis-
sions, presents a major challenge to the develop-
ment of effective policy for mitigation of ozone
pollution – see below.
Different organic compounds have differing
potentials for ozone production (reflecting their
chemical identity/size, and the rates of their reac-
tions with oxidants such as OH), and of course are
emitted in varying quantities. Metrics to rank spe-
cies in terms of their contribution to ozone levels
(such as Photochemical Ozone Creation Potentials,
POCP values) have been developed to account for
the integrated effect of these factors; in the case of
the UK, the highest POCP values are assigned to
tri-methylbenzene, however considering the mass-
weighted emissions, the largest contributors to the
ozone levels experienced are toluene and n-butane
[28]. These values are specific to the UK case, that
is, to the emissions, and in particular NOx levels,
typically experienced by an air parcel advected
from continental Europe to southern Britain.
Peroxy acetyl nitrate (PAN, CH3C(O)OONO2)
is the simplest example of a range of acetyl nitrate
compounds, secondary pollutants which are the
224
principal lachrymator (tear inducing) component
of photochemical smog. PAN is formed from the
reaction between peroxy acetyl radicals, CH3C
(O)OO, and NO2, and in terms of the chemical
cycling acts as a temporary reservoir for the HOx
and NOx radicals involved in ozone production.
A key feature of the equilibrium between PAN
and its precursor species is the strong temperature
dependence, with lower temperatures favoring
PAN stability. A scenario which arises then is
that PAN is formed in a polluted urban area,
transported aloft (where temperatures are lower
and PAN is stable) over long distances, before
airmass descent and warming leads to PAN
decomposition and release of the component
NOx in otherwise unpolluted regions.
Sulfur dioxide (SO2) is possibly the classic air
pollutant formed from the combustion of sulfur-
containing fuels. SO2 emissions have been suc-
cessfully reduced in many regions, through a
combination of the use of low sulfur fuels, and
application of flue gas desulphurization technolo-
gies on major plants (e.g., power stations). Within
the atmosphere, SO2 is processed to H2SO4 on a
timescale of days, both in the gas phase, initiated
by reaction with the OH radical, and in the con-
densed phase, within water droplets, where the
oxidation reactions are driven predominantly by
hydrogen peroxide, H2O2. Gas phase sulfuric acid
has a very low vapor pressure, and is readily
incorporated into aerosol and condensation, rais-
ing PM acidity. More widely, co-condensation of
H2SO4 with water vapor and/or ammonia leads to
the production of new particles in the atmosphere.
Condensed Phase Composition Processes
Particulate matter is an important component of
urban atmospheric composition, in particular
where health effects are concerned. Sources of par-
ticulate matter include the local primary emissions
from vehicles and combustion described above,
including mechanical sources related to vehicle
brake pad/disc, tyre and road surface wear, wider
atmospheric inputs such as wind-blown dust and
crustal material, and secondary contributions arising
from the condensation of low-volatility gases to
form new or (predominantly) contribute to the
growth of existing particles.
Urban Atmospheric Composition Processes
Levels of particulate matter or aerosol are usu-
ally expressed as a mass concentration below a
certain size; the size ranges commonly selected
relating loosely to the extent to which particles
penetrate the human respiratory system. PM10 and
PM2.5 define the fractions of suspended particu-
late matter with (aerodynamic) diameters below
10 and 2.5 mm respectively (the aerodynamic
diameter is a concept used to allow for the varying
morphology or shape of particles; a particle with
an aerodynamic diameter of 1 mm will exhibit the
same inertial properties as a sphere with a diame-
ter of 1 mm and a density of 1 g cm
3 –
irrespective of the actual size, shape or density
of the particle). PM10 and PM2.5 correspond
approximately to size ranges which may be
inhaled into the thoracic cavity (lungs) and into
the alveolar regions respectively. The size distri-
bution of urban particles typically exhibits several
modes, reflecting the varying dominance of dif-
ferent processes responsible for particle formation
and growth: The nucleation mode, below approx-
imately 0.1 mm in diameter, where secondary
particles are formed from the condensation of
low-volatility gases (or, more commonly, con-
denses onto pre-existing particles); the accumula-
tion mode (0.1–2.5 mm), where particles grow by
condensation and coagulation (collisions), but
within which the mass is too small for gravita-
tional setting to be a major sink (hence the size
range where particles accumulate, until removal
primarily by precipitation) and the coarse mode,
which incorporates most mechanically generated
particles, and within which gravitation settling
begins to be a significant loss process. As simple
geometric considerations show, the largest num-
ber of particles is found in the nucleation mode,
while the mass is dominated by the coarse and
accumulation modes. It is perhaps unfortunate
then that most current air quality metrics focus
upon particle mass concentration (PM10 or
PM2.5), while scientific evidence suggests that
many human health impacts are related to expo-
sure to the fine-mode particles which can pene-
trate most deeply into the alveolar structure.
Measurements of the composition of urban par-
ticulate matter are less common than total mass
concentration, but a number of composition
Urban Atmospheric Composition Processes
measurements are now performed routinely at a
small number of sites in various countries. Within
the sphere of such semi-routine monitoring, the
(mass) contributions from sulfate, nitrate, ammo-
nium, chloride and other elemental components
may be determined, alongside the elemental and
organic carbon fractions. Figure 5, below, shows
the composition of PM2.5 and PM10 in Birming-
ham city centre. Components which are apparent
include iron and calcium components from crustal
erosion, salt (sea-salt derived, possibly with some
contribution from winter road salting), elemental
carbon (essentially soot, from incomplete combus-
tion; in these measurements, likely to arise almost
entirely from diesel vehicles), organic compounds,
ammonium bisulphate, ammonium nitrate and
sodium nitrate. Of these, the ammonium, sulfate
and nitrate components are likely to be largely
secondary, arising from agricultural emissions,
combustion of sulfur-containing fuels and the
atmospheric processing of NOx respectively (see
above), while within the organic (carbon) fraction
comprises elemental carbon (soot, likely primarily
from diesel vehicles) and a substantial contribution
from organic compounds.
Research-focused field measurements can dis-
aggregate the organic fraction in more detail, and
typically find that this is primarily secondary in
origin (up to 64% in urban regions [30]), arising
(in urban environments) largely from aromatic
Other
3.7%
Iron-rich Dusts
13.4%
NH4NO3
/NaNO3
18.5% Calcium Salts
7.4%
PM10-Overall
(BCCS)
NaCl
9.3%
(NH4)2SO4
16.0%
EC
8.0%
Organics
23.7%
Urban Atmospheric Composition Processes, Fig. 5 Chemical composition of particulate matter (PM10 and PM2.5)
from Birmingham City Centre. (Data from Yin and Harrison [29])
225
VOCs (e.g., benzene, toluene), which in turn are
sourced primarily from vehicle emissions. As in
the case of ozone, the substantial secondary com-
ponent of urban particulate matter complicates air
quality management and control. A component of
particulate matter worth of further consideration is
polycyclic aromatic hydrocarbons (PAH). Formed
from two or more aromatic rings fused together,
and produced from the incomplete combustion of
coil, oil, petrol and wood, in particular domestic
fuel usage, PAH are persistent bio-accumulative
organic compounds; human exposure leads to a
range of toxic and carcinogenic effects. One spe-
cific PAH, benzo-a-pyrene, is commonly used as a
marker for the abundance of this family of com-
pounds; the EU has established a target concen-
tration of 1 ng m
3 for B[a]P by end of 2010,
which may be compared with current (UK) levels
of 0.16 ng m
3 (mean across all sites for 2006).
Trends in Urban Atmospheric
Composition
This section concerns trends in the key urban
atmospheric components over the forthcoming
few decades. The trends observed reflect the inte-
gration of a number of independent effects: back-
ground levels of atmospheric components on a
regional and global basis; changes in emissions
Iron-rich
Other Dusts Calcium
5.9% Salts
5.2%
2.5% NaCl
4.0%
NH4NO3
/NaNO3
21.2% EC
11.2%
PM2.5-Overall
(BCCS)
(NH4)2SO4 Organics
24.0% 26.1%
226
of primary pollutants per unit activity (i.e., from
improvements in vehicle technology and penetra-
tion of exhaust treatments such as catalytic con-
verters through the vehicle fleet); and changes in
the overall activity level, that is, increasing eco-
nomic prosperity and population levels, particu-
larly in many megacities in developing nations.
A further external driver which may affect future
urban composition is the interaction between
atmospheric composition processes and global
climate.
For the gaseous pollutants, the species of par-
ticular concern on an ongoing basis are nitrogen
oxides (specifically NO2 as this is the NOx com-
ponent against which legislation is commonly
framed) and ozone. Of the other regulated pollut-
ants (Table 2), sulfur dioxide levels are falling as
the intensive sources (power and heavy industry)
have emissions controlled at source and carbon
monoxide levels have greatly reduced with the
advent of catalytic converters.
Urban NOx levels show a downward trend in
most developed cities when viewed on a 2–3
decade timescale, driven by improved emission
control technologies in the vehicle fleet; for exam-
ple, across a range of UK urban sites, annual mean
NOx levels have fallen by 40% over the period
1993–2005, from 135 to 80 mg m
3 [18]. Within
this overall trend, there are some significant local
variations, for example, data from London sug-
gests that the fraction of NOx emitted as NO2 has
risen in recent years, possibly due to the introduc-
tion of diesel particulate filters, while traffic con-
trol measures such as the London Congestion
Zone have altered the average fleet composition
in central London to favor diesel vehicles with
increased NOx emissions, thought to be responsi-
ble for the 7% increase in NO2 observed in central
London over the period 2003–2008. More widely
however, NOx levels in most developed cities
have fallen dramatically over the past 2–3
decades [18].
Globally, background ozone levels have risen
over the past century – the earliest instrumental
data thought to be reliable, the Montsouris mea-
surements recorded on the outskirts of Paris from
1876, indicate average background ozone levels
of 22 mg m
3 over the period 1876–1910
Urban Atmospheric Composition Processes
[31]. The equivalent values for the past decade
from background locations are much higher – for
example, ca. 80 mg m
3 for background air at
Mace Head, Ireland (value for 2006 from Derwent
et al. [32]); background levels have increased over
the past 2–3 decades at up to 10 mg m
3 per
decade (5 ppb per decade) [33]. On top of this
hemispheric trend, urban ozone levels respond to
regional pollution events, and to the extent of
local titration of O3 to NO2 through NOx
(strictly, NO) emissions. Emissions controls have
reduced the prevalence and extent of ozone epi-
sodes over the past 1–2 decades, reducing this
contributor to urban ozone; however reductions
in NOx emissions have offset some of this change,
reducing the ozone urban decrement. These
effects are clearly seen in the UK over the period
1990–2006 (e.g., AQEG [34]), where the maxi-
mum hourly mean values (associated with
regional ozone pollution episodes) have
decreased substantially due to European controls
on emissions of VOCs and NOx, while at inter-
mediate percentiles, urban sites show a positive
trend in ozone with time due to the reduced urban
decrement. The lowest hourly mean ozone levels
show no change as these essentially correspond to
total titration of O3 to NO, consequently ozone
levels are zero across the time period considered.
Primary sources (vehicle exhaust) of PM have
been substantially reduced in may developed
nations, and PM levels (measured as PM10) have
fallen substantially over the past few decades.
Recently however, the downward trend appears
to have been arrested, at least for PM10 in Europe,
and the sulfate and nitrate components of this
PM10 [35]. It is unclear if this is a temporary
departure from the general trend or reflects an
ongoing leveling off, possibly reflecting non-
exhaust sources, changing meteorology, and the
interaction between sulfate and nitrate via ammo-
nia availability to form ammonium nitrate.
Future Directions
In many developing megacities, the outcome of
the opposing effects of increasing population den-
sity and economic activity, and adoption of
Urban Atmospheric Composition Processes
improved (i.e., lower emission) technologies for
transport, industry and domestic heating/cooking
will determine local atmospheric composition
over the coming decade. Dramatic improvements
have been shown to be possible in cities when
suitably stringent emission controls are imple-
mented, for example, during the Beijing Olympics
in 2008 [14, 36]. A key issue for future urban
atmospheric composition processes is the poten-
tially changing climate within which the air chem-
istry takes place, and the global perspective of
cities as sources of a range of pollutants into the
wider atmosphere. A number of the processes
outlined above are strongly temperature-
dependent, in particular the stability of PAN and
other organic nitrates which sequester NOx, and
the equilibria between the condensed and vapor
phases for many of the secondary components of
PM, in particular nitrate. Changed temperatures
will also affect emission sources, including evap-
orative losses of fuels, and emissions of biogenic
VOCs, many of which are strongly (and non-
linearly) temperature-dependent, and has been
suggested to affect the prevalence of the meteoro-
logical patterns which favor ozone pollution epi-
sodes, such as the western European heatwave of
2003 [37]. These latter effects may particularly
influence the background atmospheric composi-
tion (ozone levels) upon which localized urban
influences build. Urban heat island effects already
drive some of these changes on a local scale.
A potentially larger climate-related impact may
however arise from the widespread adoption of
non-fossil-fuel-based transportation systems,
driven by carbon emission considerations. Should
this occur, our currently low understanding of the
non-exhaust contributions to urban air pollution
will assume much greater importance.
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vated isoprene during the UK heatwave of August
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 Surface runoff The water which runs off the
Urban Drainage Modelling for surface and does not drain into the ground is
Management of Urban termed surface runoff
Surface Water

Birgitte Lilholt Sørensen

Institute of Chemical Engineering, Biotechnology
and Environmental Technology, SDU Life Cycle
Engineering, University of Southern Denmark,
Odense M, Denmark
Article Outline
Glossary
Definition of the Subject
Introduction
Development of Challenges in Urban Surface
Water
Designing Sewer Systems
Modelling Flow on the Surface
Modelling of Water Transport in the Sewer
System
Future Directions
References
Glossary
Catchment The area where all the rainwater nat-
urally drains toward the same point (outlet)
Drainage Surface water coming from rain either
drains (percolates) into the (permeable) ground
or runs off to the location in the area with the
lowest point of elevation. The water which does
not drain requires transporting away from the
catchment premises. The task of designing
sewer systems for that purpose is called drainage
Percent imperviousness The average percent of
an area considered impervious for drainage of
rain
Sewage Wastewater from households or industry
transported in sewer pipes
Definition of the Subject
Management of urban surface water frames the
challenge of managing surface water in different
contexts for the benefit of people and the environ-
ment. Water is part of the global circle of life
(hydrological cycle) and is imperative for sur-
vival. However, excess water in developed areas
presents a challenge to people and the environ-
ment. Managing water resources requires an
understanding of the hydrological cycle and its
fluctuations [1]. The knowledge of the water
cycle base on how the water moves through the
soil, underground, or via stream, river, sea and air.
Water originating from rain, streams, snow-
melt, ground, sea, etc. and flowing into areas of
human activity requires sensible management to
the extent possible and should not result in dam-
age to people, infrastructure, animals, and envi-
ronment. For example, it may be the aim to design
sewer systems to contain surface water generated
during severe rain events or dikes constructed for
protecting people, environment, and infrastruc-
ture from rising sea level. Water management,
when applied to the benefit of humans and nature,
is an exciting challenge for urban surface water
management. Water, when appropriately man-
aged, can create areas of high value along its
shores and add to recreation and biodiversity.
Urban drainage modelling is one approach to
analyzing the water transport and flow of surface
water from severe rain events, snowmelt, rising
sea level, etc. Urban drainage modelling allows
assessing and thereby helping determine the best
approach to managing the water flow for the ben-
efit of people and the environment [2].

© Springer Science+Business Media, LLC, part of Springer Nature 2021 229

M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_1075
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2019, https://doi.org/10.1007/978-1-4939-2493-6_1075-1
230 Urban Drainage Modelling for Management of Urban Surface Water
Introduction
The United Nations Sustainable Development
Goals [3] (SDG) aim to provide a framework for
the challenges that need collaborative and joint
focus from governments, the private sector, civil
society, and people. These challenges include
some important global environmental factors.
One of the challenges mentioned is to take
urgent action to combat climate change and its
impacts, partly because of emissions of carbon
dioxide (CO2) and other greenhouse gases
resulting from the use of fossil fuels [4]. Climate
change is related to urban water management
since a changing climate impacts weather, with
the intensity of rain events, rising sea levels, i.e.,
in many areas and others, perhaps the opposite
effects occur. The challenge is not only urban as
water management affects land-use management.
The problem of managing the impacts of severe
amounts of water is, therefore, becoming more
complex. There is a need to be able to assess
systems of systems across a catchment.
This entry introduces the main concepts used
in modelling urban surface water runoff and, as an
example, presents a model of the Amager district
of Copenhagen, Denmark. It is intended as an
introduction for those interested in urban drainage
modelling. The approach used in the example
presented for inspiration aims to illustrate the
opportunities in urban drainage modelling and is,
in principle, independent of location.
There are several inherent difficulties in man-
aging the overall challenge of a severe rain event.
Water engineers and hydrologists have developed
advanced modelling tools for analysis given the
increased complexity of observed phenomena.
Development of Challenges in Urban
Surface Water
The effects of the changing weather on the envi-
ronment, infrastructure, and people vary with the
weather and climate ranging from droughts to
elevated water levels in rivers and rising sea levels
from increased freshwater runoff. In many places
around the world, the change in weather results in
more and more significant rain events as well as
more severe rain events [5], while others suffer
from more intense and more prolonged droughts.
In urban areas such as in Denmark, which
follows European Union Water Management
guidelines and directives, rainwater is led out of
the city through sewer systems into local rivers or
streams, often passing through a wastewater treat-
ment plant. In Europe, though there was signifi-
cant post-World War II modernization, there
remain substantial portions of the sewer system
in urban areas established in the eighteenth and
nineteenth century [6]. The networks have since
expanded and many of them renovated to accom-
modate urban growth. The primary purpose of the
sewer system has been and is today to store and
transport wastewater as well as runoff from
rainwater.
Designing a sewer system to be able to handle
the water which runs off and does not percolate
into the ground during rain is a challenge by itself.
Engineers have been managing the problem by
developing methodologies for dimensioning and
designing sewer systems to drain the surface dur-
ing rain and ensure that they understand and build
into codes the effects of not only subsurface sys-
tems but also surface (asphalt) and supra surface
(roof) drainage systems.
An example of how engineering societies take
responsibility for the development of the design
approach is the Engineering Society in Denmark
[7]. They have since 1949 published general
guidelines and advice to the engineering commu-
nity [7] as do many other authorities or experts in
other jurisdictions around the world [8]. When it
is found relevant, they update or publish new
guidelines – generally based on advances in
research or observational evidence demonstrating
the need for design updates.
When rain events become more (or much less)
severe, the capacity and the design of the sewer
systems do not match the future needs as the flow
conditions of the systems change. In the case of
more intense water flow, the direct approach may
be to aim for expanding the network to accommo-
date higher capacity. However, expanding net-
works by increasing the size is expensive and
thus often not an option. Therefore, both the
Urban Drainage Modelling for Management of Urban Surface Water
amount of water in severe rain events and the
intensity of the flow call for changing the
approach to water management and sewer reno-
vation and design.
Designing Sewer Systems
Rain
As a basis for modelling, it is essential to have data
on how much rainwater or other (waste) water
needs handling. There are different approaches to
collect or obtain relevant information on rainwater.
In Denmark, rainfall is registered via rain gauges in
a national grid since the 1970s [9]. Rain gauges
measure the rain event volume, intensity, and dura-
tion of the rain at any given location. Long-term
monitoring of rain events by measuring the dura-
tion, intensity, and volume has generated a histor-
ical knowledge base of so-called rain events.
The amount of rain expected to precipitate and
drain to the sewer system needs to be known. It
also needs to be assessed whether the runoff from
the rain will be handled through a separate net-
work or together with wastewater. Determining
the amount of rainfall is generally via utilizing
historical rain event data collected from local
rain gauges or climates/geographies that closely
match the catchment. Data on the frequency of
intensity and volume of the rain is the basis for
choosing relevant rain events for input data for the
modelling [10].
Recent developments on measuring frequency
and intensity of rain use information from radar
[2]. Radar measurements make it possible to mea-
sure the movement and extent of the rainfall over
an area and thus provide more information than a
rainfall measurement in a single point. When
modelling the impact of the rainfall in a specific
area, the understanding of the movement across
the area may be of significance since this might
increase the effect of the rainfall on the water
runoff systems. The usage of this type of data
enhances the ability to forecast certain events
and their impact and thus the ability of water
managers and engineers to best manage and con-
trol flow into the sewer system [2].
231
Modelling Surface Runoff
The approach on designing of sewer systems for
effective and efficient surface water management
requires advanced tools for analysis. Develop-
ments of advanced computer models for analyzing
water transport and flow on surfaces as well as in
the sewers have been very relevant. MIKE
URBAN is such a tool [11]. MIKE URBAN can
model an urban drainage system (urban drainage
modelling) as well as water transport on the surface
of a city. The model is an advanced model using
comprehensive dynamic hydraulic modelling [12].
Primary data for a model is information on
catchment areas size, slope, shape, and impervi-
ousness shape. The model uses the data as char-
acteristic values or input information for the
modelling of water flows from ground to sewer
system. The data are necessary parameterizations
to the dynamic modelling of water flow.
The development in urban areas has been
toward restricting percolation of surface water
into the ground and thus increases flow over the
ground. The decreased imperviousness of the sur-
face cover is due to extended coverage of urban
terrain. The decreasing imperviousness poten-
tially results in urban areas becoming more vul-
nerable to flooding from severe rain both due to
the change in weather and changes in impervious-
ness and percentage non-percolating surface area.
For effective modelling, it is therefore essential
for urban surface water management to be able to
estimate and map impervious surfaces in catch-
ments efficiently. Data on impervious surfaces
and by association, runoff, is an indicator. The
data on imperviousness is an essential input factor
in hydrological models and urban drainage
modelling. To obtain imperviousness data for
urban drainage modelling, a comprehensive col-
lection of information and data, as well as charac-
terization of the examined urban area, must be
done. Traditionally, data from digital or other
maps are the basis for the calculation.
Conventional mapping techniques in complex
urban areas are often expensive and time-
consuming, particularly when the area in question
is large. Therefore, the development of more auto-
mated analysis and classification based on, e.g.,
aerial photos or satellite images, i.e., remote
232 Urban Drainage Modelling for Management of Urban Surface Water

sensing (RS), has been the subject of engineering
efforts. This approach offers an alternative for
mapping urban areas, which not saves time and
reduces costs but also reduces the dependency on
manual visual interpretation.
The use of RS for classification and thereby
calculation of the percent imperviousness based
on same started at the beginning of the twenty-first
century [13], and the technology has steadily
advanced since with the development of new
sensors.
The RS of urban impervious surfaces demands
a high spatial and multispectral resolution to be
able to discern features in such complex environ-
ments [13]. The minimum spatial resolution
required for urban environments is half the diam-
eter of the smallest object of interest [13,
14]. Impervious features such as buildings
(perimeter, area, height, and property line) and
roads (width) are generally detectable with a
minimum spatial resolution of 0.25–0.5 m [13,
14]. For lower spatial resolutions, GIS data can
be integrated with satellite or airborne images to
minimize misclassifications and improve
accuracy [15].
Many different image classification methods
can be used to automatically categorize the pixels
of the RS images into land use types [16]. The
approach used to classify an urban land cover
depends on the nature of the analyzed data, the
available computational resources, and the
intended application of the data classified [17].
Figure 1 shows the result of transforming infor-
mation from airborne imaging to digital maps on
the imperviousness of an area. As an example,
[18] use the airborne images of the area Amager
Øst, an Island East of Copenhagen, Denmark,
utilizing remote sensing for classification of the
different types of surfaces in the area. It classifies
the areas of impervious area types such as roads,

Urban Drainage Modelling for Management of Urban Surface Water, Fig. 1 Result of transforming a digital
image to a classified map which then can be used for calculating percent imperviousness of a catchment
Urban Drainage Modelling for Management of Urban Surface Water 233

buildings/roofs, and impervious surface feature
types such as grass, trees (vegetation), etc. and
finally a surface type named other which can
correspond to different types of pavement. Build-
ings and roads are considered impervious and do
thereby generate runoff. Vegetation is considered
not to generate any runoff. From observations and
assumptions based on these, a simple calculation
is made to calculate an average percent impervi-
ousness (PIMP) for a sub-catchment.

PIMP ¼ ðroad_area  100% þ building_area  100% þ vegetation_area  0%other_area  0%Þ

=total area of sub  catchement
(1)

In the study [18] the strengths and weaknesses Figure 2 is a visual comparison of the differ-
of using a remote sensing technique to calculate ences in the classification between the mapping
the percent imperviousness are investigated. approach and the RS approach.

Urban Drainage Modelling for Management of traditional GIS map (left), and finally the results of remote
Urban Surface Water, Fig. 2 Three different visual pre- sensing (RS) (right). The GIS map and RS results are used
sentations of the classification data. Firstly, a photo, then a for imperrviousness classification
234 Urban Drainage Modelling for Management of Urban Surface Water

Figure 3 shows a closeup of the result of the
classification from the RS technique compared to
using a traditional map as the basis of classification
(electronic GIS map). The classification of trees and
garden areas is different, resulting in different esti-
mated PIMP. Vazquez et al. [18] shows that the
estiamtion of per cent imperviousness can be done
based on remote sensing though this may be refined
and adjusted manually before the classification. Sec-
ondly, [18] also found the classification of sandy
areas to be difficult unless manual input of soil types
aligned with their imperviousness was known.
These resulted in artifacts, classifying sandy areas
as impervious as asphalt-paved areas.
Modelling Flow on the Surface
Firstly calculation for PIMP then follows model-
ling of surface runoff. Modelling of surface runoff
not only depends on the rain data and percent
imperviousness. It also depends on the way the
model represents the area. Figure 4 shows an
example of the different approaches for
representing the area used for modelling. It
shows the urban area of Amager Øst (East) in
Copenhagen, Denmark, was used as the analysis
location [18]. It shows three different versions of
the MIKE URBAN model and the description of
the catchment areas. MOUSE layout is an older
model type where the areas are all considered
squared. The GIS layout is based on a geograph-
ical map and the shapes accordingly. The
Thiessen polygon layout version the form of the
area is based on Thiessen polygons.
The study [18] uses MIKE URBAN software
to model and compare the results on percent
imperviousness and the final modelling of surface
runoff using a traditional approach and RS. The
MIKE URBAN modelling software [11] can

Urban Drainage Modelling for Management of Urban Surface Water, Fig. 3 Visual presentation of the difference
in classification using GIS map or RS

Urban Drainage Modelling for Management of Urban Surface Water, Fig. 4 Catchment layouts for modelling,
GIS catchment layout, MOUSE catchment layout, and Thiessen polygons catchment layout
Urban Drainage Modelling for Management of Urban Surface Water
model runoff from numerous sub-catchments with
individual percent imperviousness and sewage
transport in a sewage network. This software can
simulate flow from catchments to the sewer based
on their actual spatial geometry and the
corresponding hydrological parameters.
According to [18] the volumes and peaks of
runoff are comparable to the ones using the tradi-
tional approach. The specific result from surface
runoff modelling is the primary input data for
modelling sewer flow and overflow. Therefore
the method described is promising and useful
already. However, even though the first trial
using remote sensing technique results in similar
peak flow and runoff volume, some refinements
are desirable [18]. The classifications based on the
remote sensing technique can and should be
adjusted, e.g., to adjust for shadowing from trees
and more precise classification of some specific
soils, e.g., sandy areas [18].
Modelling of Water Transport in the
Sewer System
The last step in the modelling approach is the
transport of water into the sewer system. At this
point in the process of modelling, any significant
differences in the modelling approaches in [18]
should not be apparent. The uncertainties
connected to using airborne images as input for
analyzing overflow and sewage transport are sim-
ilar to using the traditional approach, as observed
in the specific case of the comparison made at
Amager Øst.
Future Directions
The example of the modelling tools and remote
sensing technique mentioned in this chapter for
urban drainage modelling is generally applicable
in many different contexts. More significant and
more autonomous digital image analysis and clas-
sification for use in urban drainage modelling are,
however, needed. It is desirable to take advantage
of sensors that can provide information at the pixel
level, of, for example, aerial photography and
235
remote sensing as [18] demonstrated was possible.
The technique may be an option for a simpler and
faster approach to setting up a model for the anal-
ysis of water transport and drainage in, e.g., urban
areas. However, more case studies are needed and
an understanding as to when it is economical to use
such technology for efficient classification and cal-
culation of percent imperviousness and other run-
off and surface data characteristics.
References
1. Ferrier RC, Jenkins A (2010) The catchment manage-
ment concept. In: Ferrier RC, Jenkins A (eds) Hand-
book of catchment management, vol 1. Blackwell,
Oxford
2. Thorndahl S et al (2017) Weather radar rainfall data in
urban hydrology. Hydrol Earth Syst Sci 21:1359–1380
3. United Nations, SDG (2015) Sustainable development
goals, 17 goals to transform our world. [Online].
https://www.un.org/sustainabledevelopment/sustaina
ble-development-goals/
4. United Nations, Goal 13 (2015) Take urgent action to
combat climate change and its impacts. [Online].
https://www.un.org/sustainabledevelopment/climate-
change-2/
5. Intergovernmental Panel on Climate Change
(2014) Climate change 2014 synthesis report summary
for policymakers
6. Garnier J et al (2013) Modeling historical changes in
nutrient delivery and water quality of the Zenne River
(1790s–2010): the role of land use, waterscape and
urban wastewater management. J Mar Syst 128:62–76
7. Spildevandskomiteen (2018) Skrifter. [Online].
https://universe.ida.dk/spildevandskomiteen/skrifter/
8. American, Society of Civil Engineers (ASCE)
(2013) Standard guidelines for the design, installation,
and operation and maintenance of urban subsurface
drainage. American Society of Civil Engineers, Pro-
Quest Ebook Central, Reston. https://ebookcentral.pro
quest.com/lib/sdub/detail.action?docID=3115658
9. Spildevandskomiteen. Spildevandskomiteens
regnmålersystem. SVK bestilling . [Online] Danmarks
Meteorologiske Institut. http://svk.dmi.dk/
10. Spildevandskomiteen (2014) Skrift nr. 30. Opdaterede
klimafaktorer og dimensionsgivende regnintensiteter.
[Online]. [Cited: 05 07 2018.] https://ida.dk/sites/
default/files/svk_skrift30_0.pdf
11. DHIGROUP. Modelling of storm water drainage net-
work and sewer collection systems using MIKE
URBAN. MIKE URBAN. [Online] DHIGROUP.
[Cited: 19 10 2017.] https://www.mikepoweredbydhi.
com/products/mike-urban
12. DHI. MIKE URBAN documentation. MOUSE refer-
ence manual. [Online] DHIGROUP. [Cited: 20 01
236 Urban Drainage Modelling for Management of Urban Surface Water
2018.] http://manuals.mikepoweredbydhi.help/2017/
MIKE_Urban.htm
13. Weng Q (2012) Remote sensing of impervious sur-
faces in the urban areas: requirements, methods and
trends. Remote Sens Environ 117:34–49
14. Jensen JR, Cowen DC (1999) Remote sensing of
urban/suburban infrastructure and socio-economic
attributes. Photogramm Eng Remote Sens 65:611–622
15. Sahoo SN, Sreeja P (2014) A methodology for deter-
mining runoff based imperviousness in an ungauged
peri-urban catchment. Urban Water J 11:42–54
16. Baatz M, Hoffmann C, Willhauck G (2008) Pro-
gressing from object-based to object-oriented image
analysis. In: Blachke T, Lang S, Hay G (eds) Object
based image analysis, spatial concepts for knowledge
driven remote sensing applications. Springer, Berlin
17. Lillesand T, Kiefer RW, Chipman J (2007) Remote
sensing and image interpretation. Wiley, Hobroken
18. Vazquez MRV, Sorensen BL, Mark O, Borgstrom RE,
Juel-Berg K, Tomicic B (2018) Applying remote sens-
ing to determine the percent imperviousness for urban
drainage modelling. Res J Environ Sci 12:132–143
 Part II
Regional and Global Air Quality and
Effects

Aerosol in Global Atmosphere
Colin O’Dowd
School of Physics and Centre for Climate and Air
Pollution Studies, Ryan Institute, National
University of Ireland Galway, Galway, Ireland
Article Outline
Glossary
Definition of the Subject
Introduction: The Nature and Impacts of
Atmospheric Aerosols
Aerosol Formation, Dimensions, and Removal
Global Aerosol Budgets, Burdens, and Spatial
Distributions
Water Uptake by Aerosols
Aerosols, Global Radiative Budget, Precipitation,
and Climate
Aerosols and Air Pollution
Future Directions: Interactions Between Aerosol
Air Pollution and Climate
Bibliography
Glossary
Aerosol optical depth Quantitative measure of
the extinction of solar radiation by aerosol
scattering and absorption between the point of
observation and the top of the atmosphere.
Aerosol A suspension of liquid or solid particles
in a fluid (in this context air). Also referred to
as particulate matter (PM).
Climate Mean values of meteorological param-
eters in a given region over relatively long
periods of time.
Cloud droplet activation Spontaneous conden-
sation growth of a wettable aerosol particle into
a cloud droplet.
Homogeneous nucleation Spontaneous forma-
tion of an aerosol particle from vapor phase
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_322
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_322
precursors through a phase transition, without
need of a particle nucleus.
Hygroscopicity The ability to absorb water from
the atmosphere.
Radiative forcing The radiative forcing of the
surface-troposphere system due to the pertur-
bation in or the introduction of an agent (say, a
change in greenhouse gas concentration) is
defined as the change in net (down minus up)
irradiance (solar plus longwave in Wm
2) at
the tropopause.
Definition of the Subject
Atmospheric aerosols are airborne liquid or solid
particles, varying in size from nanometers to hun-
dreds of microns. Atmospheric aerosols are formed
from both natural and anthropogenic sources and
can have complex chemical speciation and shape.
They are formed from mechanical breakup of a
parent material, such as dust or sea spray
(so-called primary aerosol formation), or from
gas-to-particle conversion processes, such as con-
densation of semivolatile organic compounds
(VOCS) or chemical reactions in the aerosol
phase such as oxidation of SO2 to SO4 (so-called
secondary aerosol formation). These tiny airborne
particles can form haze and cloud layers that influ-
ence the Earth’s climate: aerosols directly reflect
incoming solar radiation back out to space, provid-
ing a direct radiative effect on climate, some of
which act as cloud condensation nuclei in the
cloud formation process where they determine
cloud microphysical and radiative properties, ulti-
mately determining cloud reflectance providing an
indirect radiative effect. The net climatic impact of
atmospheric aerosols is to provide a cooling effect
that partially offsets greenhouse gas-induced
global warming. Aerosols also contribute to poor
air quality and adverse health effects, typically
resulting in reduced life span and increased mor-
tality rates in the most polluted environments.
239
240
Introduction: The Nature and Impacts of
Atmospheric Aerosols
Atmospheric aerosols are tiny airborne liquid or
solid droplets or particles, ranging from nanome-
ters to tens or even hundreds of microns in size.
They are diverse in shape and chemical composi-
tion and can posses varying optical properties and
hygroscopic (water uptake) properties. Particle
shape ranges from the most simple to characterize,
that is, spherical, to complex fractal agglomerates
with similar diversity in aerosol density. Chemical
composition ranges from relatively simple inor-
ganic composition to very complex organic matter
composition and mixtures thereof. The vast
majority of organic chemical species have not, to
date, even been identified. The aerosol population
is a dynamic physical and chemical evolving sys-
tem with fresh aerosol plumes often being exter-
nally mixed in terms of chemical composition,
evolving with time into more complex internal
mixtures. Primary aerosol production is the
breakup of a parent material or incomplete com-
bustion and results in the direct injection of aero-
sol particles into the atmosphere. Secondary
aerosol production is the formation of aerosol
phase products from nucleation, condensation,
and multiphase chemical reactions resulting in
aerosol production in the atmosphere itself as
opposed to injection into the atmosphere. Aerosol
particles in the size range from 100 nm to 1 mm are
particularly efficient at scattering, and depending
on the chemical composition, absorption of solar
radiation. Sea-salt, sulfate, and nitrate are all effi-
cient scatters, while soot or black carbon and dust
are efficient absorbers. These important optical
properties lead to a reduction of visibility from
aerosol haze layers under conditions of high aero-
sol concentrations and such haze layers are
responsible for a number of atmospheric optical
phenomena such as beautiful sunsets often seen
under clear sky conditions. Aerosol particles also
act as condensation nuclei for cloud droplets to
form on. Without condensation nuclei, it would be
virtually impossible for clouds to form, therefore
aerosols also play an important role in the hydro-
logical cycle. Cloud drops are also efficient scat-
ters of solar radiation and consequently, both
Aerosol in Global Atmosphere
aerosol haze and cloud layers play an important
role in the global radiative budget through con-
tributing to 50% or more of the Earth’s albedo.
The significant contribution to global albedo
necessitates an important role in climate, and in
terms of a changing global aerosol population, a
role in climate change also exists. Aerosols are
both natural and anthropogenic, the former pro-
duced by the biosphere (sulfate and organics) and
wind interaction at the Earth’s surface (sea spray
and dust production), the latter produced by
industrial, transport, and combustion emissions
(sulfate, nitrate, soot, and organics). Biosphere
emissions are connected to climate change feed-
backs and virtually impossible to control while
anthropogenic emissions can be controlled to a
certain extent. Although some aerosol species
absorb solar radiation, partially contributing to
global warming, the predominant climate effect
is one of net global cooling. Since the start of the
industrial era, aerosol-related air pollution has, to
a significant degree, been masking the global
warming impact of greenhouse gases and has
been slowing the rate of global warming. The
effect on climate can be considered as a welcome
impact of atmospheric aerosols; however, micron-
sized and submicron-sized aerosol also have a
high penetration efficiency through the human
respiratory system leading to increased respira-
tory and cardiovascular health impacts. The
adverse health impacts lead to increased mortality
rates and reduced life span. For example, the
London black smoke pollution events in the
1950s resulted in thousands of excess deaths
over periods lasting the order of several days. To
counteract the adverse health impacts of atmo-
spheric aerosols, various clean air acts have been
introduced in various continents, particularly
developed industrial continents. Such legislation,
while having the required successful impact on air
quality and public health, has had a negative
impact on global warming in that the reflective
haze and cloud layers have become less reflective
with the effect of reducing the masking effect on
global warming. Particularly over the last two to
three decades, cleaner air has resulted in a remark-
able increase in the rate of global temperature
increase as greenhouse gas concentrations in the
Aerosol in Global Atmosphere
atmosphere continue to rise. The coupling
between air pollution, air quality, and climate
change has led to the synergetic development of
air pollution and climate change policy to achieve
optimal effect in attempting to mitigate and abate
climate change while simultaneously striving for
clean air.
The challenge, however, is great in terms of
producing accurate assessments of aerosol
impacts, particularly those relating to climate
change because the atmospheric aerosol system
is incredibly complex and this complex system
needs to be incorporated into large-scale and
global climate assessment and prediction models.
From the emission and formation stage of the
aerosol life cycle, through its evolution, interac-
tion with clouds and radiation, to its removal from
the atmosphere is a highly complex non-linear
system spanning spatial and temporal scales
from nanometers and seconds (in terms of nucle-
ation of new particles, to global and decadal
scales, respectively, in terms of climatic impacts.
The complexity is further compounded by the
diverse and even incomplete quantification of
the chemical speciation of atmospheric aerosol
particles. This chapter summarizes the nature, for-
mation, transformation, distribution and impacts
of aerosols in the global atmosphere and docu-
ments the recent advances in the knowledge relat-
ing to atmospheric aerosols and their impacts.
Aerosol Formation, Dimensions, and
Removal
Aerosols are produced via two generic mecha-
nisms: (1) primary aerosol formation and (2) sec-
ondary aerosol formation. Primary aerosols are
formed from the mechanical breakup of a parent
material, with the resultant aerosol inheriting the
chemical properties of the parent bulk material. In
addition, primary aerosol production can result
from incomplete combustion processes. These
processes result in the direct emission of aerosols
into the atmosphere. Secondary aerosols, on the
other hand, are formed via gas-to-particle conver-
sion processes such as oxidation or other means of
chemical reduction of volatile precursor gases,
241
condensation of low-volatility gases onto existing
aerosol, homogeneous nucleation (phase-
transition) producing new aerosol particles, aque-
ous phase reactions of dissolved gases producing
stable aerosol phase species, or chemical reactions
on aerosol surfaces leading to an increase in the
condensed aerosol mass. In contrast to direct ejec-
tion of primary aerosols into the atmosphere,
which necessitates a surface source for primary
aerosol (excluding aviation emissions), secondary
aerosols are formed in situ in the atmosphere,
although many of their precursors are likely to
originate at the surface. The formation of second-
ary aerosols can occur at all levels in the atmo-
sphere, from the boundary layer in the lower
troposphere to above the stratosphere.
Once formed, an aerosol particle may undergo
physical and chemical transformation, but gener-
ally there are only two main sinks – that is through
dry deposition at the surface, or wet deposition
involving washout by precipitation. Dry deposi-
tion is the transport of aerosol particles from the
atmosphere to the surface in the absence of pre-
cipitation. The level of turbulence in the atmo-
sphere, particularly that close to the ground,
determines the rate at which particles are depos-
ited [1]. The deposition rate depends on surface
type (i.e., roughness) and particle size since there
also is a gravitational settling component to dry
deposition. Combining both wet and dry deposi-
tion removal processes, on average, submicron
particles reside in the boundary layer for up to
~4–8 days [2] depending on precipitation, while
supermicron particles, depending on the size,
have lifetimes from an hour to 1–2 days. For
example, a 100-nm particle takes approximately
36 years to fall 1 km whereas a 10-mm particle
takes 3.6 days. Clearly, if particles are vertically
transported to the free troposphere or the strato-
sphere, their lifetime in the atmosphere is greatly
increased even to timescales of a year or more in
the stratosphere. Removal in the atmospheric
boundary layer is increased due to turbulent
effects. In terms of aerosol-related air pollution,
effects are more so on a local-to-regional scale
rather than on a global scale due to removal time-
scales; however, as it will be seen later, in a
climate context, a small amount of aerosol
242
pollution transported to very remote regions can
have a notable impact, despite relatively short
atmospheric residence timescales. Physical trans-
formations include condensation growth and
coagulation (collisions of two particles resulting
in one larger particle), while chemical transforma-
tions include changes in chemical composition
from chemical reactions (e.g., oxidation), along
with condensation of different vapors to that
already in the aerosol phase. These transforma-
tions result in the aerosol population becoming
“internally mixed” at long distances from source
regions as opposed to “externally mixed” near
source regions.
Primary production results typically in larger-
micron- or supermicron-sized particles, while sec-
ondary production results in nanometer- to
submicron-sized particles, leading to size distri-
butions spanning many orders of magnitudes. In
Fig. 1, a typical number size distribution is
displayed. The peak in the number frequency
distribution is in submicron sizes; however, for
the same distribution, the volume or mass distri-
bution is more often than not in supermicron sizes,
even though the contribution of supermicron par-
ticles generally only comprises less than 1% of the
total number concentration. Similarly, the mass of
particles where the peak concentration occurs
contribute less than 1% of the total mass. The
peak in aerosol surface area (not shown) usually
lies between the number concentration and vol-
ume peaks. The size distribution comprises a
number of “log-normal” modes reflecting differ-
ent formation and transformation processes. At
the smallest sizes is the nucleation mode where
new particles, nanometers in size, are formed from
nucleation of condensable vapors. As the nucle-
ation mode grows through further condensation,
an Aitken mode (called after the Scottish Scientist
John Aitken) of a few tens of nanometers is
formed. Through further transformations and
growth processes, the Aitken mode grows into
an accumulation mode of between about 100 and
200 nm. Generally, the coarse or supermicron
mode arises from the direct injection of primary
particles. The accumulation mode is termed so as
removal processes are least efficient at these sizes
and particles tend to accumulate there. Both
Aerosol in Global Atmosphere
smaller particles (in the nucleation and Aitken
modes) and larger (supermicron mode) particles
have notably shorter lifetimes than that associated
with accumulation mode particles but for different
reasons. Smaller particles are highly diffusive and
either self-coagulate to form a larger particle, or
they coagulate with larger particles (with a high
surface area) where they are effectively removed
from the size distribution. Their mass is so small
that gravitational settling is negligible. In contrast,
larger particles have a negligible diffusion coeffi-
cient, but significant mass so that gravitational
settling determines their lifetime. Also shown in
Fig. 1 are scanning electron micrographs of vari-
ous aerosol types such as soot (black) carbon,
marine organic, sulfate, and bioaerosol particles.
These images demonstrate the complexity of
atmospheric aerosols in terms of shape, chemistry,
and resultant density, and this complexity is prop-
agated through measurement and modeling chal-
lenges associated with quantification of aerosol
properties and effects.
Primary Aerosol Formation
In the atmosphere, the most important natural
primary aerosol types result from the interaction
of wind with terrestrial or oceanic surfaces. For
terrestrial primary aerosols, wind interaction with
agricultural and desert soils lifts loose fragments
of the parent material through saltation and sus-
pension processes resulting in airborne dust parti-
cles [4]. These primary dust particles are typically
supermicron in size, comprising low number con-
centration, but high surface area and mass con-
centrations. The most dramatic example of this is
the vertical uplifting of large amounts of desert
dust into aerosol plumes that can extend for thou-
sands of kilometers (Fig. 2). These plumes often
are transported and deposited into oceanic regions
where they can provide an important source of
nutrients for the marine biota [5].
Wind interaction with terrestrial vegetation can
also trigger the release and dispersion of
bioaerosol such as pollen and seeds as well as
waxlike and leaf-fragment debris. Humic matter,
plant decomposition products, fungi, and
microbes are also released from plants. Fungi, in
turn, release spores through a variety of ejection
Aerosol in Global Atmosphere 243

Aerosol in Global
Atmosphere, Fig. 1 A Soot Dust
typical aerosol size 100 nm

distribution covering
4 orders of magnitude in
size. Two moments of the
Ammonium Sulfate
size distribution are shown: 1 μm
number and volume. Also
Sulfuric Acid Marine Organic
shown is a variety of
different aerosol types from
scanning electron
microscope images.
(Copyright Springer.
Modified from [3]) Sea Salt
Crystal Bio-Organic

Biomass Smoke

1 μm Pollen
Nucleation Aitken Accumulation Coarse

Number Volume
1 10 100 1000 1000
Particle Diameter, nm

processes [6]. Primary bioaerosols also include
entire organisms such as bacteria, fungi, and
viruses as well as debris [7, 8].
Over oceanic water surfaces, wind stress at the
air–sea interface leads to breaking waves and the
entrainment of air into the water column, produc-
ing whitecaps [9, 10]. Whitecaps are ensembles of
bubbles of entrained air rising to the surface where
they burst due to the pressure differential inside
and outside of the bubble. When the bubble film
bursts, it breaks up into hundreds of individual
seawater drops that rapidly equilibrate to ambient
humidity leaving behind sea-salt “film” droplets,
0.01–1 mm in size and comprising a concentrated
solution of the ionic compounds found in sea-salt
and water. After the film bursts, the cavity
remaining collapses through instabilities leading
to the formation of an upward movement of a
water jet which fragments into a few jet droplets,
typically 1–10 mm in size, of similar composition
to film drops [11]. Film and jet drops are produced
at wind speeds greater than 3–4 m s
1 which is
observed to be the threshold for the onset of
whitecaps. At wind speeds of 8–10 m s
1, the
wind stress is sufficient to tear off the crests of
waves and produce spume droplets, typically
10–100 mm in size. The flux of sea spray follows
a power-law dependency on wind speed [12]. In
biologically active waters, organic matter tends to
become concentrated at the ocean surface and at
the bubble–water interface. This organic matter
displaces seawater in the bubble film, ultimately
displacing the ionic sea-salt in the film and jet
drops produced, leading to the enrichment of
organic matter in sea-spray aerosol [13]. The
enrichment is observed to increase with
244
Argentina
100 km
N
Aerosol in Global Atmosphere, Fig. 2 Patagonian dust over the Atlantic Ocean. (Courtesy of NASA-MODIS)
decreasing particle size. The vast bulk of the
organic matter enriched in sea-spray aerosol is
water-insoluble organic matter. The chemical
composition of marine aerosol is shown in Fig. 3
for periods of low and high biological activity
over the North Atlantic as illustrated by oceanic
chlorophyll-a concentrations. Supermicron sizes
contain predominantly sea-salt, while for submi-
cron sizes, the enrichment of water-insoluble
organic matter is linked to biological activity in
the ocean (the water-soluble organic matter in the
figure is also thought to be marine biogenic in
origin but formed from secondary processes).
In terms of anthropogenic sources of primary
aerosol, incomplete combustion (mainly from fos-
sil fuel, but also from biomass burning and
cooking) results in pyrogenic aerosols in the
form of primary organic matter and soot (black)
carbon particles. Fossil fuel emissions result from
industrial, power plant, transport, and residential
heating sources and the resulting aerosol chemical
composition varies according to the fuel type and
the combustion technology used [14, 15]. Coal
combustion results in the emission of supermicron
fly-ash particles, while petroleum combustion
Aerosol in Global Atmosphere
Atlantic
Ocean
results in predominantly submicron carbonaceous
aerosols comprising soot carbon and organic
material [16]. In addition to primary emissions,
secondary aerosol precursors such as SO2, NOx,
and hydrocarbons are also emitted from combus-
tion sources.
Secondary Aerosol Formation via Nucleation
Homogeneous nucleation is the term used for the
spontaneous formation of an aerosol particle from
vapor phase precursors through a phase transition.
Homogeneous-homomolecular nucleation is the
self-nucleation of a single species, while
homogeneous-heteromolecular nucleation is the
self-nucleation of two or more species. Homoge-
neous nucleation occurs in a supersaturated vapor
phase where the saturation ratio (S) of a species in
air is the ratio of the species’ partial pressure to the
saturation vapor pressure in equilibrium with its
liquid phase at a given temperature. The Classical
Theory of nucleation is based on rate equations
relating to the random formation of vapor clusters
of more than one vapor molecule and the evapo-
ration of these clusters [1]. The majority of these
clusters evaporate as quickly as they form since
Aerosol in Global Atmosphere 245

Sea salt NH4 nss SO4 NO3 WSOC WIOC BC

a c 100 10
90 9
80 8
70 7
60 6

Not detectable
50 5
Mace Head
40 4
30 3

Mass fraction (%)

20 2

Mass (μg m–3)

10 1
b d 100 10
90 9
80 8
70 7
60 6
50 5
40 4
30 3
20 2
Chlorophyll concentration (mg m−3) 10 1
0 0
0.01 0.03 0.1 0.3 1 3 10 30 60 0.06 0.125 0.25 0.5 1 2 4 8
D (μm)

Aerosol in Global Atmosphere, Fig. 3 Left: Organic
matter in sea-surface waters. SeaWiFS-derived seasonal
average sea-surface chlorophyll-a concentrations in winter
(a) and spring (b), illustrating low biological activity in
North Atlantic waters during low and high biologically
active periods. (Courtesy of SeaWiFS Project, NASA/
Goddard Space Flight Center and ORBIMAGE). The loca-
tion of Mace Head is shown in (a). Marine air masses arrive
at Mace Head after at least 96 h transit over the ocean from
the Arctic and northwest Atlantic. Right: Chemical com-
position of marine aerosols. Shown are average size-
segregated chemical compositions and absolute mass con-
centrations for North Atlantic marine aerosols sampled
with a Berner Impactor, for low biologically active periods
(c) and high biologically active periods (d). The concen-
trations of water-soluble organic carbon, water-insoluble
organic carbon, and black carbon are reported as mass of
organic matter. (Reprinted from [13])

they are generally thermodynamically unstable. If
a sufficient number of the right low-vapor pres-
sure molecules collide, the cluster can achieve a
critical radius and achieve thermodynamic equi-
librium (i.e., where the evaporation rate is zero).
The nucleation rate is the net number of clusters
per unit time that will grow past the critical size.
In addition to the kinetic aspect of forming
clusters, the thermodynamics of the phase change
has to be considered. In a thermodynamic process,
such as a phase change resulting in chemical
potential equilibrium of the molecular compo-
nents, the change in the Gibbs free energy (G)
must be zero or negative. This condition must
also hold for a curved surface of an aerosol parti-
cle or droplet. The curved surface will affect the
equilibrium vapor pressure in a manner that a
higher vapor pressure is required to maintain equi-
librium for a smaller droplet (i.e., higher curvature
effect). The change in Gibb’s free energy DG
associated with the formation of a single drop of
a pure substance or radius Rp is given by:
DG ¼ DGdroplet
DGpure vapor
which after expanding and rearranging, the right-
hand side terms become:
4 kT
DG ¼
pR3p ln S þ 4pR2p s
3 vl
The second term on the right-hand side is the
free energy associated with an interface with
radius of curvature Rp, vl is the volume occupied
246
Aerosol in Global
DG
Atmosphere,
Fig. 4 Gibbs free energy
change for formation of a
droplet of radius Rp from a
vapor with saturation ratio S
DG*
0 ΔG = − 4 pRp3 kT
by a molecule in the liquid phase, S is the super-
saturation, T is the temperature, and s is the sur-
face tension. The first term is a function of the
change in free energy for a molecule going from
the gas phase to the liquid phase (ultimately a
function of the saturation ratio, S) and the particle
volume. It is seen, in Fig. 4, that if S < 1, both
terms are positive and DG increases monotoni-
cally. However, if S > 1, DG contains both posi-
tive and negative terms and for small droplet radii
the second term dominates with DG increasing as
for the scenario for S < 1. As the radius increases,
the first term (providing a reduction in DG) pro-
gressively becomes more important until DG
reaches a maximum at DG*, corresponding to a
critical radius of Rp*. Above Rp*, the first term
starts to dominate, resulting in a reduction in DG.
The critical radius can be determined by setting
the derivative of DG ¼ 0 and solving, resulting in:
2sv1
R¼
p ¼ kT ln S
DG* represents a metastable equilibrium state
where if one molecule evaporates from the droplet
of critical radius, the droplet will continue to
evaporate and shrink, while if one molecule is
added to the droplet, the droplet will continue to
grow. DG* represents a free energy barrier that the
system has to overcome in order to grow and
become stable.
Rearranging the previous equation gives the
so-called Kelvin equation that describes the
Aerosol in Global Atmosphere
S<1
ΔG = − 4 pRp3 kT
vl In S + 4pRp s
2
3
>0 >0
S>1
vl In S + 4pRp s
2
3
<0 >0
Rp* Rp
equilibrium vapor pressure of a vapor over a
droplet relative to that over a flat surface:



2su1 2sM
S ¼ exp PA ¼ P0A exp
kTRp RT r1 Rp
where M is the molecular weight of the substances
and rl is the liquid phase density.
The Kelvin equation demonstrates an exponen-
tially increasing equilibrium vapor pressure with
decreasing particle size. From this equation, a sat-
uration ratio of the order of 10 is required for the
smallest water vapor clusters to be thermodynam-
ically stable and grow. The critical radius in this
case comprises of the order of 20 water molecules.
For realistic supersaturations encountered in the
atmosphere (e.g., S ¼ 1.01%), the critical radius
is 0.12 mm and contains >108 molecules. As a
result, it is seen that water vapor does not partici-
pate in homogeneous nucleation in the atmosphere.
For homogeneous-homomolecular nucleation,
supersaturation with respect to the species is
required. In contrast, this is not the case for hetero-
molecular nucleation where nucleation can take
place when the individual species are subsaturated
with respect to the pure substances but supersatu-
rated with respect to the resulting solution droplet
containing these substances. Binary homogeneous
nucleation is a process typically considered to
occur in the atmosphere and the theory is an exten-
sion of homogeneous-homomolecular nucleation
to account for two species.
Aerosol in Global Atmosphere
Air contains many rapidly moving and collid-
ing trace gases of varying vapor pressures. Those
with low saturation vapor pressures, given the
right conditions, prefer to be in the liquid solution
phase or the solid phase from a thermodynamic
perspective. The random collisions of this soup of
molecules result in the continuous formation of
clusters of a few to tens of molecules. Such stable
clusters will then grow in size with each subse-
quent collision of a low vapor pressure molecule.
The size of a critical cluster is of the order of
0.5 nm; however, at this size, the cluster has a
very high diffusion coefficient and unless it grows
rapidly, it will be scavenged by diffusion to larger,
preexisting aerosol particles. For example, if the
cluster can grow to 3 nm, its diffusion coefficient
is reduced by a factor of 10 and if it grows to 6 nm,
it is reduced further by a factor of 10 [17]. In other
words, if the cluster can grow to 6 nm, its proba-
bility of survival is increased by a factor of 100.
In the atmosphere, very few vapors can partic-
ipate in homogeneous nucleation. The best candi-
date is sulfuric acid, which in conjunction with
water vapor can participate in binary homoge-
neous nucleation. It should be noted that the prob-
ability of stable cluster formation (or nucleation)
is exponentially inversely dependent on tempera-
ture, and as a result, binary nucleation of sulfuric
acid and water vapor is likely to occur only in the
upper troposphere and the stratosphere where
temperatures are sufficiently low to promote
nucleation under atmospheric concentrations of
sulfuric acid. In the troposphere, a different mech-
anism is required for nucleation to proceed under
atmospheric concentrations of sulfuric acid con-
centrations (typically 106–107 molecules cm
3).
In the presence of ammonia, classical theory pre-
dicts that ternary nucleation of ammonia, sulfuric
acid, and water can readily proceed to more read-
ily produce thermonynamically stable clusters
under tropospheric conditions. The presence of
ammonia lowers the thermodynamic barrier
which has to be overcome to form an embryo. In
classical theory, whether binary or ternary nucle-
ation, the number of molecules in a critical cluster
is of the order of 10 or more.
According to the nucleation theorem [18], the
slope of the relationship between the nucleation
247
rate and sulfuric acid concentration corresponds to
the number of molecules in a critical cluster:
N crit ¼ dð ln J Þ=d ð ln ½H2 SO4 Þ
Atmospheric measurements of the nucleation
rate versus sulfuric acid concentration reveal a
slope of between 1 and 2 [19, 20] as do the most
recent laboratory studies of nucleation. A slope of
2 can be explained by collision controlled or
kinetic nucleation [21] while a slope of 1 can be
explained by two processes: one being the require-
ment of an additional stabilizing or condensing
vapor participating in the initial growth of the
clusters; the other being activation of clusters by a
supersaturated vapor [22, 23]. It is thought that the
acid clusters are activated into aerosol particles in
the presence of a supersaturated organic vapor field
in the same way that cloud nuclei are activated into
cloud droplets in a supersaturated water vapor field
(the theory behind activation will be discussed later
in the section on aerosol–cloud interactions).
Recently, the formation of organosulfate clusters
was suggested to explain the chemistry behind the
cluster activation or kinetic mechanisms and thus
atmospheric nucleation [24]. The aforementioned
analysis reveals a critical cluster diameter of 0.8 nm
and 1–2 sulfuric acid molecules in the cluster. The
most recent laboratory studies [25] reveal that
nucleation occurs at H2SO4 concentrations similar
to those found in the ambient atmosphere during
nucleation events and that the measured particle
formation rates are proportional to the product of
the concentrations of H2SO4 and an organic mole-
cule. This suggests that only one H2SO4 molecule
and one organic molecule are involved in the rate-
limiting step of the observed nucleation process.
Indirect measurements of 3–10 nm particle
chemical composition immediately after a natural
new particle production event over forested regions
reveal that the chemical composition of newly
formed particles are not sulfuric acid or aerosol
sulfate [26], but comprise more so of condensed
organic matter. Calculations also reveal that there is
insufficient sulfuric acid to nucleate new clusters
and to grow these into aerosol particles larger than
3 nm. Whereas sulfuric acid appears to drive the
nucleation of new clusters, an additional species is
248
required to grow the clusters into aerosol particles.
Under very polluted conditions, there is typically
sufficient availability of sulfuric acid to both form
stable clusters and to grow these clusters into aero-
sol particles tens to hundreds of nanometers in size.
During particle production events in background
air, the aerosol population typically increases from
concentrations of ~1,000 to ~100,000 cm
3, while
in polluted air concentrations increase from
~10,000 to ~100,000 cm
3 [22, 23].
The most dramatic and intense nucleation events
occur in coastal air where background concentra-
tions increase from ~500 to ~1,000,000 cm
3 [26,
27]. These events occur when seaweed beds are
exposed during low tide conditions. The algae
emit I2 and CH2I2 which are rapidly photolyzed
and oxidized by O3 resulting in the formation of
iodine oxides which readily nucleate into stable
clusters. In addition, there is sufficient iodine oxide
produced to account for the rapid growth of the
clusters into aerosol particles of 100 nm [28].
Multiphase Secondary Aerosol Production
The vast majority of secondary aerosol mass is not
produced through the nucleation process but
through condensation, aqueous phase reactions,
and multiphase processes. Condensation typically
involves both inorganic low-volatility gases, such
as sulfuric acid and nitric acid, and a vast range of
condensable organic species. Sulfuric acid results
from the oxidation of SO2 by the OH radical,
while nitric acid results from the oxidation of
NO2 in the atmosphere. NH3 can also condense
on acidic particles resulting in fully or partially
neutralized particles. Nitric acid is regarded as a
semivolatile condensable gas that can be thermo-
dynamically stable in either the gas phase or the
aerosol phase, depending on environmental con-
ditions. At lower temperatures and higher relative
humidities, nitric acid is more likely to be found in
the condensed aerosol phase, while at warmer
temperatures and lower humidities, it is more
likely to evaporate. The chemistry of the pre-
existing aerosol also influences the gas phase
partitioning of nitric acid. For example, in
the presence of alkaline aerosol species such as
sea-salt and dust, nitric acid will preferentially
condense to these aerosol types. Since the bulk
Aerosol in Global Atmosphere
of sea-salt and dust aerosol are found in super-
micron size ranges, it is in these size ranges where
nitric acid can also be found. However, in polluted
regions, and in the absence of sea-salt and dust,
nitric acid is also found in significant amounts in
submicron-sized aerosol. Nitric acid and sulfate
aerosol are generally sourced from pollution
sources; however, in marine regions, the oxidation
of dimethylsulfide, a waste product from plankton
activity, can provide a significant source of natural
SO2 and methane sulfonic acid, leading to natural
aerosol production.
Aqueous phase reactions can occur in liquid
aerosol particles but typically, the majority of
aqueous phase production occurs in cloud drop-
lets. It is estimated that between 75% and 90% of
aerosol sulfate (SO4– –) is produced through this
pathway. In cloud, the droplet surface area and
volume of the cloud droplets promote the disso-
lution of SO2 into the aqueous phase where it can
be rapidly oxidized by ozone and/or hydrogen
peroxide [29]. The oxidation route by ozone is
highly pH dependent and dominant in alkaline
drops such as those formed on sea-salt aerosol,
while the hydrogen peroxide route dominates at
lower pH values [30]. When sea-salt is present in
cloud nuclei, the cloud behaves as a virtual buffer,
increasing alkalinity and accelerating ozone-
driven aqueous phase oxidation of SO2 to produce
sulfate [30]. This sulfate formation route led to the
significant production of acidic sulfate aerosol in
polluted air and was the primary cause of the acid-
rain problem in the 1970s–1980s.
Oxidation of volatile organic compounds
(VOCs) leads to the production of condensable
organic vapors, ultimately producing secondary
organic aerosol (SOA). The major oxidizing spe-
cies are the OH radical, ozone, and the nitrate
radical (NO3). Like in the case of nitric acid,
some of these condensable vapors can be semi-
volatile. There are both natural VOCs (biogenic:
BVOCs) and anthropogenic VOCs (AVOCs),
although it is estimated that the BVOC emissions
are of the order of ten times that of AVOC emis-
sions. Some modeling studies suggest that in cer-
tain heavily populated regions, AVOCs can
contribute significantly to total organic carbon
levels [31]; other studies using carbon isotope
Aerosol in Global Atmosphere
analysis suggest that BVOC oxidation products
contributed to the majority of SOA even in urban
regions [32]; however, it should be noted that
even BSOA production is somewhat linked to
anthropogenic activity as the main VOC oxidants
are associated with anthropogenic emissions.
For BVOC emissions, terpenes and sesquiter-
penes from terrestrial vegetation emissions, are
thought to be the dominant precursors of BSOA,
and to a lesser extent isoprene (particularly under
high NOx conditions [33]), while aromatic com-
pounds such as toluene, xylene, and trimethyl
benzene are thought to account for the majority
of ASOA formation. There has been considerable
effort to identify the composition of SOA in recent
years; however, the vast majority of compounds
remain unidentified due to complex mixtures of
compounds often with few distinguishing fea-
tures. SOA is generally oxygenated and water
soluble, in contrast to hydrocarbon-like water-
insoluble POA. Various approaches have been
taken to speciate the organic mass found in
SOA. For example, 1H nuclear magnetic reso-
nance (HNMR) techniques have been applied to
evaluate functional groups in water-soluble OA
for different aerosol source regimes [34]. The
technique readily detects four main functional
groups in atmospheric water-soluble OA:
unfunctionalized alkyls (H–C); aliphatic carbons
bound to an unsaturated carbon atom (H–C–C¼);
aliphatic alcohols, ethers, and esters (H–C–O; and
aromatic rings (H–Ar). Additionally, formylic
(H–C¼O), acetalic (O–CH–O), and sulfonic
(H–C–S¼O) groups are detected. Water-soluble
OA samples from the boreal forest in Finland
(terrestrial biogenic), biomass burning events in
Brazil, rural UK, and the Northeast Atlantic
(marine) were analyzed for functional groups
using this approach. Figure 5 illustrates, on
the vertical axis, the aliphatic carbon fraction
(carbonylic/carboxylic, HC–C¼O groups) and,
on the horizontal axis, the fraction of alip-
hatic carbon accounted for by hydroxyl groups
for a range of standard SOA compounds
(levoglucosan, succinic acid, adipic acid, pinonic
acid, glutaric acid, and nonanoic acid) alongside
the diverse atmospheric samples. The analysis
show that marine and terrestrial biogenics are
249
characterized by relatively high H–C and low
H–C–O groups which partly overlap; however,
the marine samples have a significantly lower
aromatic content. The functional composition of
biogenic OA and that of rural anthropogenic OA
are relatively close with the rural samples having a
higher H–C–O content. Both also contain high
fractions of aliphatic carbonyls. The biomass
burning water-soluble OA contained the highest
content of hydroxyls and the lowest amount of
alkylic groups.
The formation of SOA is not always via the gas
phase formation of condensable vapors. In the
case of isoprene-related SOA production, its rela-
tively high vapor pressure oxidation products sug-
gest little contribution to SOA; however,
alternative routes have been suggested, which
produce low-volatility aerosol phase products.
For example, tetrols with the same backbone as
isoprene have been observed in atmospheric aero-
sols [35] possibly formed by the heterogeneous
acid-catalyzed oxidation of isoprene in the pres-
ence of peroxides [36]. Additionally, heteroge-
neous reaction of isoprene under highly acidic
conditions was also observed to lead to the for-
mation of polymeric, humic-like substances
[37]. Other studies showed that some high-
volatility carbonylic oxidation products can con-
tribute to SOA through the interaction with highly
acidic inorganic preexisting aerosols [38], while
polymerization of second-generation products has
been suggested to contribute to SOA growth
[39]. Cloud modeling studies [40] also predict
that low-volatility water-soluble oxidation prod-
ucts of isoprene can be oxidized in the aqueous
phase in clouds to produce dicarboxylic acids.
Once SOA is formed, it contributes to a
dynamic thermodynamic and chemical evolution
system. SOA species can be repartitioned to the
gas phase and undergo polymerization and oxida-
tion leading to significant changes in the chemical
nature of SOA. The evolution of SOA is well
illustrated through the examination of SOA mass
spectral properties moving from strong urban
source regions to remote continental regions.
Aerosol mass spectrometry (particularly using
the Aerodyne Aerosol Mass Spectrometer –
AMS) delivers increased speciation capability on
250 Aerosol in Global Atmosphere

Aerosol in Global a 1
Atmosphere, Fig. 5 (a)
Functional group 0.9

HC-C=O / sum aliphatics

distributions of standards of 0.8 levoglucosan
water-soluble organic 0.7
compounds. The area succinic acid
0.6
including the composition adipic acid
of the real atmospheric 0.5
samples is also indicated. 0.4 pinonic acid
(b) Functional group
0.3 glutaric acid
distribution of WSOCs
samples characteristic of 0.2 nonanoic acid
specific aerosol sources. 0.1
Diagonal lines represent the samples
0
percentage fraction of total 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
oxygenated groups (H–C– HC-O/sum aliphatics
O + HC–C¼O). (Copyright
American Chemical Society
2007. Reprinted from [34]) b 0.60
Po Valley FA/WI

70

80
%

%
HC-C=O / sum aliphatics

0.55 Po Valley SP/SU

Mt Cimone
Aromatic/ 0.50 SOA
aliphatic Brazil semi-clean
0.45 ACE-Asia SP
0.3
Hyytiala polluted
0.2 0.40 Marine
BB Singapore
0.1 OA
0.35 UK SU urban
60
50

UK SU coastal
%

0.30
0.00 0.10 0.20 0.30 0.40
HC-O/sum aliphatics

both POA and SOA. This technology splits the remote rural locations, is shown in Fig. 6. What
organic aerosol into three generic types – an oxy- is clearly evident from the suite of measurements
genated organic aerosol (OOA), a hydrogenated is that organic matter comprises a significant
fossil-fuel-derived organic aerosol (HOA), and a fraction of the aerosol mass at all locations; how-
biomass burning organic aerosol (BBOA). OOA ever, the further from pollution sources, the more
is characterized by its highly oxidized state with oxygenated the organic aerosol is (i.e., the ratio
atomic O:C ratios between 0.25 and 1 and can be of OOA/HOA increases) and the more aged, or
further categorized into two subgroups based on distant from pollution sources, the higher frac-
volatility and O:C ratio. Low-volatility OOA tion of OOA is low-volatility OOA. This study
(~C8O5.5H10) has a high O:C ratio and is fre- also reports the evolution of the Mexico City
quently correlated to other secondary species pollution plume within which there is intense
such as sulfate aerosol and is consistent with an SOA formation. They found that near the plume
aged aerosol. Semivolatile OOA (~C8O3H10) has source region, semivolatile OOA dominated the
a lower O:C ratio and is better correlated with organic aerosol signal; however, as the plume
other semivolatile species such as nitrates and is advected and aged downwind, the fraction of
consistent with a partially photochemically aged low-volatility OOA and the O:C ratio increased.
aerosol. Laboratory studies on the evolution of biogenic
A compilation [41] of measurements of HOA SOA (from a-pinene oxidation), biomass burn-
and OOA types, along with major inorganic spe- ing smoke, and the POA surrogate squalane also
cies, at different urban, urban downwind, and exhibit similar aging patterns as in the reported
Aerosol in Global Atmosphere 251

Urban Inorganics: Sulfate Nitrate Ammonium Chloride

Urban Downwind
Remote Organics: HOA Other OA SV-OOA Total OOA LV-OOA
New York City, NY Manchester, UK Hyytiala Taunus Mainz
Pinnacle Park, NY Edinburgh, UK Chelmsford, UK
(Winter) (Summer) (Winter) (Summer) Finland Germany Germany
12.3 12.2 5.2 3.0 5.3 2.0 16.3 25.5
11.6 14.3 4.2

(Winter)
Zurich, Switzerland
14.7 9.6
Pittsburgh. PA

(Summer)
7.0 2.3

Jungfraujoch
Switzerland
Boulder, CO Storm Peak, CO Vancouver
Canada

2.1 1.0 80.0

0.8

Beijing
China
0.6

0:C
0.4
0.2
4.4 0.0 16.2

HOA

Other OA

SV-OOA

Total OOA

LV-OOA

(Winter)
Tokyo, Japan
19.1 12.8 26.8 2.8 9.5 8.5 2.9 10.7 7.9 11.0 13.2
Riverside, CA

(Summer)
Houston, TX Mexico Duke Forest Thompson Off Coast Chebogue Cheju Island Okinawa Fukue
City NC Farm, NH New England, US Canada Korea Japan Japan

Aerosol in Global Atmosphere, Fig. 6 Total mass con- FA-AMS methods identified one OOA factor, whereas in
centration (in micrograms per cubic meter) and mass frac- other locations, two types, SV-OOA and LV-OOA, were
tions of nonrefractory inorganic species and organic identified. HOA is a surrogate for urban primary OA, and
components in submicrometer aerosols measured with Other OA includes primary OAs other than HOA that have
the AMS at multiple surface locations in the Northern been identified in several studies, including BBOA.
Hemisphere (21). The organic components were obtained (Reprinted from [41])
with FA-AMS methods (3, 15–17). In some studies, the

atmospheric plumes. The laboratory results dem- The previous study developed, on the basis of
onstrate that in the early stages of SOA produc- the mentioned experimental studies, a simple 2D
tion, the OA mass spectrum resembles that basis (2D-VBS) model encapsulating the evolu-
associated with the respective source, but as oxi- tion of OA volatility (determined as saturation
dation and aging proceeds, the SOA spectra concentration C* at 298 K) and oxidation state
evolve into initially semivolatile OOA spectra (O:C ratio) to describe the evolution of OA in the
and ultimately into low-volatility OOA spectra. atmosphere [41]. These two properties can be
The combined atmospheric and laboratory stud- measured in real time and are thus used to con-
ies suggest that with atmospheric oxidation, most strain the model with experimental field data. The
types of OA converge to a final state of low- model incorporates photochemical aging using a
volatility OOA, irrespective of the original branching ratio between functionalization and
source. It should, however, be noted that primary fragmentation kernels and homogeneous and het-
and secondary marine aerosol aging was not erogeneous oxidation by OH, and where the first
evaluated and that these, potentially, could generation of oxidation is explicitly modeled
behave differently to the terrestrial biogenic and while the second generation is phenomenologi-
anthropogenic OA types. cally modeled. The conceptual framework was
252
applied to SOA production from a-pinene ozone-
driven oxidation and was found to predict first-
generation products with 1 < C* < 107 mg m3
and 0.1 < O:C < 0.4. Given that generally
organics with C* < 10 mm
3 will partition into
the aerosol phase, it is evident that most of the
oxidation products remain as volatile gases. The
first-generation products can then functionalize
through OH reactions resulting in a tripling of
SOA mass production after second-generation
oxidation. The model is able to predict the evolu-
tion of SOA in the 2D volatility and O:C space,
remaining consistent with the production key
products such as the first-generation cis-pinonic
acid, regarded as a semivolatile OOA, and
second-generation products such as a,-
a-dimethyltricarballylic acid, a low-volatility
OOA. Similar evolution was found for other
SOA sources like evaporated diesel and biomass
burning. This 2D volatility and O:C conceptual
has made considerable advances in simplifying
the treatment of an incredibly complex system
and can be further developed and extended to
include other key processes such as oligomeriza-
tion. The combined perspective to emerge from
the recent mass spectral measurements and the
modeling framework is that most OA appears to
be an intermediate or transition state between
primary emissions and highly oxidized volatile
gases such as CO and CO2.
Global Aerosol Budgets, Burdens, and
Spatial Distributions
The diverse nature of aerosol sources from natural
and anthropogenic emissions, different formation
and removal processes, and different transport
mechanisms results in great inhomogeneity in
annual emission budgets, atmospheric burdens,
and spatial distributions of individual aerosol spe-
cies. The result is ultimately significant variability
in radiative forcing and air pollution on regional
scales. To quantify budgets and distributions, gen-
eral circulation (climate) models or chemical
transport models, are used in conjunction with
emission inventories. These models contain aero-
sol–cloud chemistry formation and evolution
Aerosol in Global Atmosphere
modules along with deposition schemes and are
underpinned by field and laboratory studies into
key processes. In addition, quantification is
achieved by long-term observations of atmo-
spheric composition at various point locations
around the globe. Remote sensing of aerosol
parameters from surface and space-borne plat-
forms also provide added information on horizon-
tal and vertical distributions.
Global Budgets
Atmospheric aerosols are derived from both nat-
ural and anthropogenic sources. Natural sources
include sulfate and sea spray (sea-salt and primary
organic matter) from the oceans, dust from desert
regions, particulate organic matter from biogenic
sources (both terrestrial and oceanic), and sulfate
and silicates from volcanoes. Anthropogenic
sources include sulfate, black carbon and primary
and secondary organic matter from fossil fuel
combustion and biomass burning, dust from
industrial sources, and nitrates mainly from trans-
port emissions. The best estimated emissions and
resulting atmospheric mass and number burdens
are displayed in Table 1 [42]. The largest natural
emission is that of sea-salt with a “best guess” of
10,130 Tg a
1, followed by dust with a best guess
emission of 1,600 Tg a
1. Biogenic secondary
organic emissions are 25 Tg a
1, compared to
3.5 Tg a
1 for anthropogenic emissions. For sul-
fate aerosol, anthropogenic emissions (122 Tg
a
1) dominate over natural biogenic (57 Tg a
1)
and volcanic (21 Tg a
1) emissions and for pri-
mary organic aerosol, anthropogenic emissions
amount to 95 Tg a
1 while natural oceanic pri-
mary organic aerosol (not shown in Table 1) is
estimated to be 16 Tg a
1 [56]. Black carbon
emissions from fossil fuel amount to 4.5 Tg a
1.
Global Burdens
The spatial distribution of total aerosol mass is
shown in Fig. 7. The distribution is a medium
mass composite from 10 global atmospheric cli-
mate (general circulation) models and chemical
transport models for the year 2000. From the
model output, the global average column burden
for all aerosol types is ~50 mg m
2, with regional
loadings exceeding 500 mg m
2, in places such as
Aerosol in Global Atmosphere 253

Aerosol in Global Atmosphere, Table 1 Particle emission/production and burdens estimated for the year 2000.
(Copyright Elsevier 2008. Reprinted from [42])
Mass Mass
emission burden Number prod.
Min Max
Tg Number
“Best guess” a
1 Tg a–1 burden
Carbonaceous aerosols
Primary organic (0–2 mm) 95 40 150 1.2 – 3101024
Biomass burning 54 26 70 – 71027 –
Fossil fuel 4 3 9 – – –
Biogenic 35 15 70 0.2 – –
Black carbon (0–2 mm) 10 8 14 0.1 – 2701024
Open burning and 6 5 7 – – –
biofuel
Fossil fuel 4.5 3 6 – – –
Secondary organic 28 2.5 83 0.8 – –
Biogenic 25 2.5 79 0.7 – –
Anthropogenic 3.5 0.05 4.0 0.08 – –
Sulfates 200 107 374 2.8 21028 –
Biogenic 57 28 118 1.2 – –
Volcanic 21 9 48 0.2 – –
Anthropogenic 122 69 214 1.4 – –
Nitrates 18 12 27 0.49 – –
Industrial dust etc. 100 40 130 1.1 – –
Sea-salt
d < 1 pm 180 60 500 3.5 7.41026 –
d ¼ 1–16 mm 9,940 3,000 20,000 12 4.61026 –
Total 10,130 3,000 20,000 15 1.21027 271024
Mineral (soil) dust
<1 mm 165 – – 4.7 4.11025 –
1–2.5 mm 496 – – 12.5 9.61025 –
2.5–10 mm 992 – – 6 – –
Total 1,600 1,000 2,150 18  5 1.41026 111024
Range reflects estimates reported in the literature. The actual range of uncertainty may encompass values both larger and
smaller than those reported here. Values are based on the following publications: [31, 43–55])

North Africa and Asia. These plumes of high
aerosol burdens extend out into ocean regions
(e.g., the African plume is seen to extend out
west into the Atlantic). North America and Europe
exhibit moderate levels of aerosol burden, while
somewhat higher burdens are seen over South
America and Australia. Significant burdens are
also seen over remote oceanic regions such as
the south Pacific and Indian Ocean. The dominant
source regions for different species are revealed
when burden distribution maps are examined for
individual aerosol species. For black carbon, the
global burden is 0.36 mg m
2, with values
exceeding 5 mg m
2 occurring over China and
burdens of 1–2 mg m
2 occurring over regions
such as Africa and South America, with slightly
lower burdens occurring over Europe and North
America. Significant black carbon plumes are
seen to advect out over the Atlantic and Indian
Oceans from the two aforementioned highest bur-
den regions.
For dust, the global average burden is
~25 mg m
2, with peak burdens exceeding
500 mg m
2 occurring over the Sahara desert in
254 Aerosol in Global Atmosphere

AEROCOM_MEDIAN Mean: 5.05818E+01 mg/m^2 AEROCOM_MEDIAN Mean: 3.60902E–01 mg/m^2

90 mg/m^2 90 mg/m^2
500.0000
50.0000
100.0000
45 45 10.0000
25.0000
2.5000
Latitude

Latitude
5.0000
0 0 0.5000

1.0000
0.1000

0.2500 0.0250
−45 −45

0.0500 0.0050

0.0100 0.0010
−180 −120 −60 0 60 120 180 −180 −120 −60 0 60 120 180
Longitude Longitude
Total Aerosol Black Carbon

AEROCOM_MEDIAN Mean: 2.55353E+01 mg/m^2 AEROCOM_MEDIAN Mean: 2.90209E+00 mg/m^2

90 mg/m^2 90 mg/m^2
500.0000
50.0000
100.0000
45 45 10.0000
25.0000
2.5000
Latitude

Latitude

5.0000
0 0 0.5000

1.0000
0.1000

0.2500 0.0250
−45 −45

0.0500 0.0050

0.0100 0.0010
−180 −120 −60 0 60 120 180 −180 −120 −60 0 60 120 180
Longitude Longitude
Dust Particulate Organic Matter

AEROCOM_MEDIAN Mean: 3.53260E+00 mgS/m^2 AEROCOM_MEDIAN Mean: 1.35300E+01 mg/m^2

90 mg/m^2 90 mg/m^2
500.0000
50.0000
100.0000
45 10.0000 45
25.0000
2.5000
Latitude

Latitude

5.0000
0 0.5000 0
1.0000
0.1000

0.0250 0.2500
−45 −45

0.0050 0.0500

0.0010 0.0100
−180 −120 −60 0 60 120 180 −180 −120 −60 0 60 120 180
Longitude Longitude
Non-sea-salt Sulphate Sea-Salt

Aerosol in Global Atmosphere, Fig. 7 Median global 2000. (Copyright European Geophysical Union 2006.
distribution of aerosol column mass, total and per aerosol Reprinted from [57])
species, derived from 10 AEROCOM models for the year

Northwest Africa. East Europe and Asia are also
seen as significant dust source regions, and to a
lesser degree, western USA and central Australia.
For Particulate Organic Matter, the spatial distri-
bution of the column burden is similar to that of
black carbon, but with a significantly higher col-
umn burden of 3 mg m
2. Peak values approach
50 mg m
2 and the main source regions are the
southwestern African Continent, South America,
Europe, India and China, northern Australia, and
Aerosol in Global Atmosphere
southeast USA. Significant levels of the order of
1 mg m
2 are also seen over most oceanic regions.
Non-sea-salt sulfate exhibits a global average bur-
den of ~3.5 mg m
2, with peak values of the order
of 50 mg m
2. Again, the main developed and
developing countries with significant population
densities appear as burden “hot spots” as for the
other anthropogenic aerosol types (e.g., black car-
bon and particulate organic matter). In contrast to
other anthropogenic sources, there are notable
burdens over remote oceanic regions, reflecting
also its natural oceanic source.
Finally, the sea-salt burden is 13.5 mg m
2,
with peak burdens of ~50 mg m
2. The peak
burdens occur at midlatitudes, or the “roaring
40s,” north and south of the equator, and are
associated with regions of intensive cyclonic
activity.
It is interesting to note that in Table 1, sea-salt
was highlighted as being the single most important
aerosol emission type, but it had a mass burden
slightly lower than dust which had significantly
lower emissions than sea-salt. In the AEROCOM
(http://dataipsl.ipsl.jussieu.fr/AEROCOM; [57])
study, dust also has a higher burden for generally
lower emissions. The explanation is that significant
dust plumes are vented into the Free Troposphere
where removal rates are slower and residence times
are longer than in the marine boundary layer where
removal rates are likely higher due to higher pre-
cipitation rates and, for the larger-sized particles,
shorter gravitational settling timescales (i.e., sea-
salt is not injected at as high altitudes as dust, so
they settle out more rapidly).
At any one location, the chemical composition
of atmospheric can vary significantly depending
on the air mass back trajectory arriving at that
location. An example of the chemical variability
encountered is demonstrated for the Northeast
Atlantic region where clean marine and polluted
continental air masses are frequently encountered
at the Mace Head Atmospheric Research Station,
which is representative of the region. Figure 8
illustrates the absolute chemical composition and
the relative chemical composition observed in two
contrasting air masses (continental polar, mari-
time polar) of different origin over the Northeast
Atlantic. Typically, the main ionic compounds
255
such as sodium, chloride, nitrate, sulfate, and
ammonium are easily detected; however, it is
also possible to quantify the water-soluble and
water-insoluble organic component. It is readily
seen that the absolute and relative contributions of
the above species varies greatly with air mass, or
source origin [58]. Peak submicron mass loadings
occur for the continental air, while peak super-
micron masses occur for marine air. In marine
polar air, the supmicron sizes are almost exclu-
sively composed of sea-salt, while submicron
sizes are marginally dominated by nss-sulfate,
with the second largest contribution derived
from sea-salt. Small amounts of ammonia,
water-soluble organic matter and water-insoluble
organic matter are also evident. By contrast, in the
continental air, sea-salt and nitrate are the two
dominant species in supermicron sizes, with
smaller amounts of organic matter visible and in
the submicron sizes, nss-sulfate and water-soluble
organic matter dominate. It should be noted that
marine aerosol can be significantly enriched in
organic matter depending on the degree to which
air masses pass over biologically rich waters.
Mass is only one important parameter of an
aerosol size distribution. Perhaps the other most
important parameter is the number concentration,
and in particular, the concentration in the so-called
accumulation mode (100–500 nm diameter). This
size range is not only important for scattering and
radiative effects of atmospheric aerosols, it is cru-
cially important in terms of influencing the num-
ber concentration of cloud condensation nuclei.
Figure 9 illustrates the horizontal and vertical
(zonal) average concentration in the accumulation
mode size range [59]. It can be seen that the
highest number concentration of aerosols
(N ¼ 3,000–5,000 cm
3) occurs over regions in
Europe such as the Netherlands and Northern
Italy, China, India, and Brazil.
Vertical Distributions
The vertical distribution of aerosol particles, mea-
sured as aerosol backscatter using a LiDAR (Light
Detection And Ranging), typically reveals maxi-
mum particle mass and number concentrations in
the atmospheric boundary layer (lower
~1,000–2,000 m) as shown in Fig. 10. In this figure,
256 Aerosol in Global Atmosphere

SS NO3 nssSO4 NH4 MSA non-MSA-WSOM WIOM

3.0 100%

2.5 cP
80%

Mass contribution
2.0
60%
μg m−3

1.5
40%
1.0

20%
0.5

0.0 0%
0.06–0.125

0.125–0.25

0.25–0.5

0.5–1.0

1.0–2.0

2.0–4.0

4.0–8.0

0.06–0.125

0.125–0.25

0.25–0.5

0.5–1.0

1.0–2.0

2.0–4.0

4.0–8.0
Size range [μm] Size range [μm]
7.0 100%
6.0
mP 80%
5.0
Mass contribution

4.0 60%
μg m−3

3.0
40%
2.0
20%
1.0

0.0 0%
0.06–0.125

0.125–0.25

0.25–0.5

0.5–1.0

1.0–2.0

2.0–4.0

4.0–8.0

0.06–0.125

0.125–0.25

0.25–0.5

0.5–1.0

1.0–2.0

2.0–4.0

Size range [μm] Size range [μm] 4.0–8.0

1.4 100%

1.2 mA
80%
Mass contribution

1.0
60%
μg m−3

0.8

0.6
40%
0.4
20%
0.2

0.0 0%
0.06–0.125

0.125–0.25

0.25–0.5

0.5–1.0

1.0–2.0

2.0–4.0

4.0–8.0

0.06–0.125

0.125–0.25

0.25–0.5

0.5–1.0

1.0–2.0

2.0–4.0

4.0–8.0

Size range [μm] Size range [μm]

Aerosol in Global Atmosphere, Fig. 8 Absolute (left measured at Mace Head, Northeast Atlantic, during June
panel) and relative (right panel) chemical composition of 2008. (Copyright European Geophysical Union 2009.
the aerosol samples collected in continental polar (cP), Reprinted from [58])
maritime polar (mP), and maritime Arctic (mA) air masses
Aerosol in Global Atmosphere 257

Aerosol in Global 180°W 120°W 60°W 0° 60°E 120°E 180°

Atmosphere,
Fig. 9 Climatological
annual means of simulated 60°N 60°N
accumulation mode aerosol
particle concentration
obtained from a 10-year
integration. The 0° 0°
geographical distribution is
of the lowermost model
layer, which is about 60 m
thick. (Copyright European
60°S 60°S
Geophysical Union 2006.
Reprinted from [59])
180°W 120°W 60°W 0° 60°E 120°E 180°

0 1 2 5 10 20 50 100 200 500 750 1000 1500 2500 5000

Particle concentration [cm–3 STP]

Attenuated Backscatter Coefficient x 10−3

5000 2

4500 1.8

4000 1.6

1.4
3500

1.2
Range (m)

3000

sr−1 m−1
1
2500
0.8
2000
0.6
1500
0.4
1000
0.2
500
00:00 02:24 04:48 07:12 09:36
Time (UTC)

Aerosol in Global Atmosphere, Fig. 10 LIDAR aero- Research Station on the Irish Atlantic coastline. Measure-
sol attenuated backscatter vertical profiles of the atmo- ments were taken during polluted continental air outflow
spheric boundary layer and free troposphere. from Europe into the Atlantic region
Measurements were taken at the Mace Head Atmospheric

the attenuated atmospheric aerosol backscatter pro-
files illustrate the vertical aerosol structure [58]. In
the case shown, the main boundary layer tempera-
ture inversion is at ~1,500 m and within the bound-
ary layer there is a surface-mixed layer at 500 m.
The peak aerosol burden occurs in the surface-
mixed layer and corresponds to a European pollu-
tion plume advecting out into the
Atlantic. Significant aerosol backscatter (and hence
aerosol loading) is seen in the residual boundary
layer between 1,000 and 2,000 m. Above 2,000 m,
in the free troposphere, very clean aerosol levels are
seen.
Figure 11 displays a 10-year climatology of
accumulation mode zonal vertical distributions
demonstrating that the Northern Hemisphere
from 60 N to 20 into the Southern Hemisphere
contains the highest particle number concentra-
tions (~700 cm
3). The cleanest concentrations
occur in and around Antarctica, while the second
cleanest is in the upper troposphere–stratosphere
region.
258
100
200
300
pressure (hPa)
400
500
600
700
800
900
1000
90°S 60°S 30°S
0 1 2 5 10 20 50
Particle concentration [cm−3 STP]
Aerosol in Global Atmosphere, Fig. 11 Climatological
annual means of simulated zonally averaged vertical cross-
section accumulation mode aerosol particle concentration
Vertical profiles of total number of concentra-
tions (historically defined as condensation nuclei,
or CN, typically larger than 10 nm), and size-
resolved concentration measurements (with
radius > 0.15 mm to sizes greater than 2 mm) up
to the higher stratosphere are shown in Fig. 12
(taken from [60]). In this figure, concentrations
are shown for 1 year and 15 years after the
Mt. Pinatubo eruption. What is evident is that
total aerosol, or CN, concentration at the surface
is between 500 cm
3 (typical of clean background
continental air masses) and 3,000 cm
3 (typical of
polluted continental air masses) and that free tro-
posphere, or upper free tropospheric concentra-
tions are relatively constant at a concentration of
the order of 500 cm
3. Above 15 km, in the
stratospheric layer, CN concentrations are typi-
cally 1–10 cm
3, despite the volcanic eruption.
However, what is evident in the difference in time
lapse following the eruption is that there is a
significant increase in aerosol concentration
(at least an order of magnitude) at sizes greater
than 0.15 mm radius 1 year after the eruption
compared to what is considered the background
stratospheric aerosol burden 15 years after the
eruption. Clearly, volcanic eruptions are a major
Aerosol in Global Atmosphere
0° 30°N 60°N 90°N
100 200 500 750 1000 1500 2500 5000
obtained from a 10-year integration. The concentrations are
given at STP conditions. (Copyright European Geophysical
Union 2006. Reprinted from [59])
source of stratospheric aerosols with injections to
the tune of 30 Tg SO2 for intense eruptions such as
Pinatubo, producing the main precursor for strato-
spheric aerosol formation. In terms of strato-
spheric aerosol chemical composition, the
majority of stratospheric aerosol is composed of
75% sulfuric acid and 25% water, formed from
binary homogeneous nucleation and subsequent
condensation of sulfuric acid as suggested by
boiling point measurements of the stratospheric
aerosol [61]. Other sources of stratospheric aero-
sols include organic carbonyl sulfide, particularly
above altitudes of 25 km, and meteoritic material,
rocket exhaust, and aircraft emissions are
regarded as having minimal influence on the
stratospheric aerosol layer [[60] and references
therein.].
A particularly interesting stratospheric aero-
sol is aerosol forming polar stratospheric clouds
(PSCs). These aerosol haze layers, or more often
known as cloud layers, have been the subject of
intense interest after the discovery of their role in
stratospheric ozone loss through converting
chlorine inactive to active chlorine and
denitrifying the stratosphere. Observational, lab-
oratory, and theoretical work has since shown
Aerosol in Global Atmosphere 259

Temperature (K) Temperature (K)

180 200 220 240 260 280 180 200 220 240 260 280
40 40
r>0.15, r>0.25, r>0.50, r>0.78, r>1.08, r>1.58, r>2.0 μm

(41°N, 105°W) Laramie, Wyoming

a) 24 June 1992
35 35
b) 6 May 2006

30 30

25 25
Altitude (km)

20 CN CN 20

15 15

10 10

5 5

0 0
10−3 10−2 10−1 100 101 102 103 10−3 10−2 10−1 100 101 102 103
Concentration (cm−3) Concentration (cm−3)

Aerosol in Global Atmosphere, Fig. 12 Stratospheric
aerosol profiles above Laramie Wyoming (41 N, 106 W)
indicating the concentration of condensation nuclei
(CN) and aerosol with radii greater than 0.15, 0.25, 0.50,
0.78, 1.08, 1.58, and 2.0 mm. Temperature with scale at the
top is also shown. These profiles were measured in (a) June
1992, 1 year after the Pinatubo eruption and (b) May 2006,
15 years after Pinatubo. (Copyright Elsevier 2008.
Reprinted from [60])

that PSC particles above the ice point are either
solid nitric acid trihydrate (NAT) particles or
liquid ternary aerosol (LTA), droplets composed
of nitric acid, sulfuric acid, and water. The com-
position and phase of the particles determines the
threshold temperatures at which they occur and
persist – specifically, NAT will exist at tempera-
tures 3–5 K above LTA temperatures, while LTA
will begin to appear about 3 K above the ice point
for polar stratospheric levels of gaseous nitric
acid and water [62, 63]. Particle phase also con-
trols the development of particle size, which
plays a large role in the extent and rate of
dehydration/denitrification, thus determining
the time frame during which chlorine will remain
active, and ultimately determining the funda-
mental processes associated with ozone deple-
tion in the polar stratosphere.
The main open question concerning the forma-
tion of PSCs is the process by which NAT forms.
LTA growth is strictly a function of gas-phase-
mixing ratios and temperature, as the vapor pres-
sures of sulfuric acid, nitric acid, and water adjust
to environmental temperature and molecular col-
lisions. LTA begins to grow on the SA as soon as
temperatures reach about 3 K above the ice point.
260
At these temperatures, the concentration of NAT
particles is often at best only 0.001 of the aerosol
population [64–66] indicating clearly a nucleation
barrier which is not well understood. Laboratory
investigations suggest that LTA must be signifi-
cantly supercooled for NAT nucleation. Arctic
PSC observations in the early 2000s suggest the
importance of a small population of NAT particles
and that such a population forms at temperatures
just a few degrees below the NAT point in both
leewaves [64] and synoptic situations [66]. These
latter observations are the clearest evidence yet
indicating that NAT forms readily on a small
fraction (10
4–10
5) of SA through heteroge-
neous nucleation.
Water Uptake by Aerosols
One of the most important gases in the atmo-
sphere is water vapor as it not only contributes
predominantly to the natural greenhouse effect,
resulting in a livable global average temperature,
in its condensed liquid and ice phases, it forms
aerosol haze and cloud layers which contribute to
approximately 50% of the planetary albedo.
Many aerosol types have an affinity to water
and, under the right humidity conditions, they
can become solution droplets, larger than the
dry aerosol size, by uptake of water vapor from
the air around it. Aerosol humidification has
implications for optical scattering, condensation
processes, and chemical interactions on and
within aerosol particles. Liquid water clouds are
extensive in the atmosphere, but as was shown
above, pure water droplets cannot form under
atmospheric conditions. Condensation nuclei
are required for the formation of cloud droplets.
Cloud droplets are aerosol particles that have
rapidly grown to 10–100 times the size of the
initial nucleus, corresponding to more than 1,000
times increase in mass, almost solely through
water uptake.
Aerosol Hygroscopicity
A large fraction of the atmospheric aerosol popu-
lation is water soluble or partially water soluble.
The soluble aerosols are typically salts such as
Aerosol in Global Atmosphere
sea-salt or ammonium sulfate which readily dis-
sociates in water to form an electrolyte solution
droplet. In subsaturated air (relative humid-
ity < 100%), these solution droplets can exist
due to the lowering of the equilibrium vapor pres-
sure above the droplet surface by the presence of
the dissolved ions (known as the Roault Effect).
As a result, soluble aerosol particles, depending
on the chemical composition, readily form solu-
tion drops with a water fraction dependent on
relative humidity. This means that the “wet” aero-
sol equilibrium size responds to, and is dependent
on, ambient relative humidity. The “wet” aerosol
size will grow with increasing humidity and
shrink with reducing humidity. Since the optical
properties (e.g., scattering) of aerosols is size
dependent (and proportional to crosssectional
area), relative humidity can significantly influence
the hazing, or optical extinction effect of aerosol
layers. A measure of this effect is the hygroscopic
growth factor, normally defined as the change in
aerosol diameter from a low relative humidity
(e.g., 40%) corresponding to a dehydrated dry-
size diameter to a high relative humidity
(normally 90%) with significant hydration. Salts
like ammonium sulfate and sea-salt have a growth
factor of 1.8 and 2.2, respectively, over this
humidity range, while organic aerosol possesses
a growth factor typically from 1 to 1.4 depending
on the degree of solubility.
Cloud Droplet Activation
In supersaturated environment, a subset of the
aerosol can grow to a critical size which becomes
metastable, and with an infinitesimal further
increase in humidity, the droplet will become
unstable and spontaneously grow to sizes of the
order of 10 mm and become a cloud droplet. This
process is called cloud droplet activation. The
description of the equilibrium size of a droplet
with water saturation ratio, founded on the early
work of Kőhler [67], is now well established and
can be readily derived from the Clausius–
Clapeyron equation modified to give a general
equilibrium relation between an aqueous salt solu-
tion droplet and water vapor (known as the Kőhler
curve):
Aerosol in Global Atmosphere
 
2vw s
S ¼ aw exp
RTr
S, is known as the saturation ratio, aw is the
water activity, the term within the brackets is the
Kelvin factor, vw is the partial molar volume of
water, s is the surface tension of the solution at the
composition of the droplet, R is the universal gas
constant, T is the droplet temperature, and r is the
particle radius.
This form of the Kohler equation can be sim-
plified to [1, 68–72]
A B 2s vmM w
S¼1þ
A¼ B¼
rc rc 3 nw KT Ms 4=3prw
where v is the number of dissociated ions per
solute molecule, ms is the solute mass, and sub-
scripts “s” and “w” relate to solute and water
properties, respectively. The term in A is denoted
the Kelvin or curvature term, and the term in B, is
known as the Raoult or solute term. The curvature
term results in an increase in equilibrium vapor
pressure with reducing particle size, while the
solute term results in a reduction in equilibrium
vapor pressure with increasing solute mass.
Figure 13 shows the contribution of the Kelvin
and Raoult terms to equilibrium vapor pressure
and equilibrium droplet size for a 200 nm dry
diameter ammonium sulfate particle in a sub-
saturated and supersaturated regime [73]. This
form of the expression shows a single character-
istic maximum in supersaturation for a given dry
composition and size, known as the critical super-
saturation, Sc, associated with a unique size,
denoted by the critical radius, rc, Using the sim-
plified Kőhler curve expression, the analytical
solutions for the critical quantities are:
rffiffiffiffiffiffi
12
3B 4A3
rc ¼ Sc ¼
A 27B
For an increasing environmental value of
S below Sc, there is a unique equilibrium droplet
size. Once the droplet grows beyond its critical
size (i.e., as the environmental S increases above
Sc), the droplet will exhibit unimpeded growth
261
unless the environmental S reduces below the
equilibrium value of Sc at the instantaneous
value of rc. In this case, with no further change
in S, the droplet will evaporate to its subcritical
equilibrium size.
The Kőhler expression can be envisaged as the
competition between the two expressions of com-
ponent properties determining activation of parti-
cles: the curvature term and the solute term. The
solute terms depend first on the number of solu-
tion molecules and then on the dissociation of
these molecules. The effect can be illustrated for
two frequently assumed cloud condensation
nuclei types: ammonium sulfate and sodium chlo-
ride. (NH4)2SO4 has a molecular weight of 132 g
Mol
1, while that of NaCl is 58.5 g Mol
1. Thus,
in the absence of dissociation, a given mass of
NaCl in solution would yield 2.26 times more
dissolved molecules than (NH4)2SO4. Assuming
full dissociation (infinite dilution), (NH4)2SO4
yields three ions while NaCl yields two, so the
net effect of the molecular mass and dissociation
is that NaCl is 2.26/1.5 ¼ 1.5 times more active
than (NH4)2SO4 for the same dry mass of particle
(the Sc ratio for the two species is around 1.22 due
to the square root dependence). This is illustrated
in Fig. 13 where the peak supersaturation is plot-
ted versus dry diameter for particles comprising
each electrolyte. This figure directly illustrates the
significant differences in the critical supersatura-
tion as a function of both the chemical composi-
tion and dry size of a particle (Raoult and Kelvin
effects). Additionally, in this figure is illustrated
the effect of nuclei containing an insoluble core.
The effect of an insoluble core is to increase the
critical supersaturation required for activation.
Cloud nuclei can comprise more complex compo-
sition compared to the above cases which will
require modifications to the Kőhler expression.
For example, nuclei can contain limited solubility
components, immiscible liquid phases, and
surface-active components. In the latter case,
nuclei containing surface active components
which alter the droplet surface tension (i.e., reduce
surface tension) will have a reduced contribution
from the Kelvin term in the Kőhler equation and
consequently will require a lower critical super-
saturation for activation. However, critical
262 Aerosol in Global Atmosphere

0.06
Sc
Kelvin term
Raoult term
(S−1)

0.04 Total
Supersaturation % = 100

0.02

−0.02.

rc
−0.04

10−1 100 101 102

wet droplet radius, r,μm

1.005

1.004

1.003

1.002
Saturation Ratio

1.001

0.99 50 nm (NH4)2SO4
50 nm NaCl
0.98 100 nm (NH4)2SO4
100 nm NaCl
0.97 200 nm (NH4)2SO4
200 nm NaCl
200 nm (NH4)2SO4, 50% insol
0.96
200 nm NaCl, 50% insol

0.95
10−1 100 101 102
Droplet Diameter μm

Aerosol in Global Atmosphere, Fig. 13 Top: The Kőh- ((NH4)2SO4 – solid, NaCl – dashed) particles (red, green
ler equation can be envisaged as the competition between and blue curves) and for 200 nm particles containing 50%
the curvature (Kelvin) and solute (Raoult) terms. Bottom: by mass insoluble core (magenta). (Copyright European
Activation curves for a range of dry diameter of salt Geophysical Union 2006. Reprinted from [73])
Aerosol in Global Atmosphere
supersaturation is not always decreased since the
surfactant may not dissociate into as many ions
and while the Kelvin term may be reduced, so may
the Raoult effect to an even greater amount. This
effect for an ammonium sulfate nuclei (which
dissociates into three ions) enriched with 30%
mass fraction by the surfactant stearic acid
(single ion) is that the critical supersaturation is
actually increased. Supersaturations in natural
clouds are of the order of 0.1–0.5% for stratiform
clouds and below 1% for most convective clouds.
This provides a lower limit to the size of particles
that can act as cloud nuclei, namely, 30–50 nm,
but more commonly, aerosols larger than 100 nm
provide the majority of cloud nuclei. Nitric acid
can also influence cloud nucleus activation in that
it can temporarily partition into the aerosol phase
as a nucleus takes up water vapor in the rising
humidity field below cloud base. The uptake of
nitric acid into the solution droplet increases the
solute mass and, as a result, lowers the critical
supersaturation required for the nucleus.
Ice nuclei are also important cloud nuclei but
produce cloud particles in a very different manner
and are comprised of very different chemical com-
position. Typically, they comprise non-water-
soluble matter such as mineral dust and certain
primary biogenic aerosol particles. Ice particles
are formed either by heterogeneous nucleation in
a supersaturated (with respect to ice) environment
or homogeneous freezing of supercooled liquid
droplets [74]. Far less is known about the nature
of ice nuclei than what is known about cloud
condensation nuclei.
Aerosols, Global Radiative Budget,
Precipitation, and Climate
Aerosols affect the global radiative budget, and
hence the global climate, directly through the
scattering and/or absorption of incoming solar
radiation (and for some aerosol species generally
of supermicron size, outgoing infrared radiation)
and indirectly through the modification of cloud
microphysics and radiative properties. The former
effect is called the direct aerosol radiative forcing
effect and the latter, the indirect radiative forcing
263
effect where radiative forcing is defined as “The
radiative forcing of the surface-troposphere sys-
tem due to the perturbation in or the introduction
of an agent (say, a change in greenhouse gas
concentrations) is the change in net (down minus
up) irradiance (solar plus longwave in Wm–2) at
the tropopause after allowing for stratospheric
temperatures to readjust to radiative equilibrium,
but with surface and tropospheric temperatures
and state held fixed at the unperturbed values.”
In simple terms, it is “the rate of energy change per
unit area of the globe as measured at the top of the
atmosphere” and often it refers to the change since
preindustrial conditions (year 1750). Radiative
forcing affects the climate, while alterations in
aerosol availability and radiative forcing can
affect precipitation.
Direct Effect
Rayleigh scattering describes the irradiance
scattered by a sphere as small compared to the
incident wavelength and proportional to 1/l4,
while Rayleigh absorption is proportional to 1/l4
[75]. When particles are comparable to the inci-
dent wavelength, Mie scattering must be invoked
where scattering is strongly dependent on particle
size, shape, composition (via refractive index),
and orientation relative to the incident radiation.
For particles large relative to the wavelength, the
extinction efficiency converges at 2 (the extinc-
tion paradox where twice the energy is removed
compared to that derived using geometrical
optics). For particles with a complex refractive
index, some fraction of the incident radiation is
absorbed. The extinction efficiency is defined as
the sum of the scattering and absorption efficiency
and the single scattering albedo (o) is the ratio of
the scattering coefficient to the extinction coeffi-
cient. One parameter used to quantify scattering
extinction is the mass scattering and mass absorp-
tion efficiency, which quantifies scattering and
extinction in terms of the aerosol mass distribu-
tion function. Both the mass scattering and mass
absorption efficiencies as a function of particle
size exhibit peak scattering and absorption effi-
ciencies at sizes between 0.1 and 1 mm for typical
atmospheric aerosol chemical compositions
pointing to this size range as being the most
264
important size range for aerosol optical properties.
Efficient aerosol scattering types are sulfates and
sea-salt, while efficient absorption types are black
carbon and dust constituents such as hematite.
One of the more important parameters associ-
ated with the direct radiative effect is aerosol
optical depth (AOD) which describes the extinc-
tion of radiation as it propagates through the
atmosphere:
I=I 0 ¼ e
t
and
t ¼ sext H,
where sext is the extinction coefficient of radiation
propagating through an aerosol layer of height H.
In terms of radiative forcing, an aerosol layer
can either cause a negative or positive sign change
to planetary albedo, leading to a cooling or
warming effect. o is the key parameter, along
with the albedo of the underlying surface, that
determines whether an aerosol layer leads to
heating or cooling. Over dark surfaces like the
ocean, and regardless of the degree of absorption,
albedo will be increased primarily due to the
upscatter of incoming radiation. In contrast, over
bright surfaces such as snow and desert surfaces,
an absorbing component will reduce the amount
of surface-reflected radiation radiated back out to
space. An additional important factor related to
absorbing aerosol layers is that they warm as they
absorb radiation, leading to increased atmospheric
stability and reduced convection. This effect, it
will be seen later, can have important implications
for cloud formation.
The global distribution of AOD for total aero-
sol types and individually for black carbon, par-
ticulate organic carbon, sulfate, dust, and sea-salt
is shown in Fig. 14. The global average AOD,
derived from the medium of the 10 AEROCOM
models, is0.12 (compared to 0.137 derived from
satellites and sunphotometers) [57]. Peak AOD
values of >0.6 are encountered over Northwest
Africa and the Asian continent, and to a lesser
degree, over Europe, the USA, and South Amer-
ica. The lowest AOD values of ~0.01–0.02 occur
Aerosol in Global Atmosphere
over Antarctica. Black carbon is seen to contribute
0.0036 to the global AOD, with hot spots over
Europe and China where black carbon contributes
0.05 to AOD. Dust contributes 0.025 to global
AOD with peak contributions of 0.3 arising over
Northwest Africa, and 0.2 of Asia. Particulate
Organic Matter contributes 0.017 to global
AOD, with hot spots in midwest Africa (from
biomass burning), South America, some regions
in Europe and China contributing AOD greater
than 2. Sulfate contributes 0.032 to the global
AOD, with Europe, east Asia, and east USA con-
tributing to hot spots with AOD about 0.3. Sea-
salt contributes 0.033 to the global AOD, with
values up to 0.2 seen in some oceanic regions
were wind speeds are generally high (i.e.,
midlatitudes).
The AEROCOM models predict [76] that, for
anthropogenic aerosols, a harmonized estimate
for the aerosol direct radiative forcing under all-
sky conditions, on a global annual basis, is

0.22 Wm
2, ranging from +0.04 to

0.41 Wm
2, with a standard deviation of
0.16 Wm
2. Anthropogenic nitrate, secondary
organic aerosol, and dust were not, however,
included in the estimate. By comparison, the
IPCC AR4 [100] reported a direct aerosol radia-
tive effect best estimate of
0.5 W m
2 with an
uncertainty of
0.9 to
0.1 W m
2. The global
annual mean aerosol surface radiative forcing is
illustrated in Fig. 15 where it can be seen in the
regions with highest aerosol loadings, negative
forcings as high as
10 W m
2 are encountered.
More recent estimates, using a combination of
satellite data with a global model [77] suggested
a value of
0.65 W m
2. The diversity in model
estimates stems more from different model
approaches to transport processes, removal mech-
anisms, and microphysics treatment rather than
aerosol emission inventories.
Indirect Effect
There are a number of indirect aerosol radiative
effects whereby aerosol fields modify the cloud
microphysics, structure, or lifetime, all of which
have albedo impacts. The first indirect effect
(typically associated with “warm” or water clouds
of fixed liquid water content), results from an
Aerosol in Global Atmosphere 265

AEROCOM_MEDIAN Mean: 1.18189E–01 AEROCOM_MEDIAN Mean: 3.61807E–03

90 90
0.90 0.3000
0.80
0.2000
0.70
45 45 0.1000
0.60
0.50 0.0750
0.40
Latitude

Latitude
0.0500
0 0.30 0
0.0250
0.20
0.10 0.0100
0.08 0.0050
−45 −45
0.06
0.0025
0.04
0.02 0.0010

0.00 0.0000
−180 −120 −60 0 60 120 180 −180 −120 −60 0 60 120 180
Longitude Longitude
Total Aerosol Black Carbon

AEROCOM_MEDIAN Mean: 2.45290E–02 AEROCOM_MEDIAN Mean: 1.72301E–02

90 90
0.3000 0.3000

0.2000 0.2000
45 0.1000 45 0.1000

0.0750 0.0750
Latitude

Latitude

0.0500 0.0500
0 0
0.0250 0.0250

0.0100 0.0100

0.0050 0.0050
−45 −45
0.0025 0.0025

0.0010 0.0010

0.0000 0.0000
−180 −120 −60 0 60 120 180 −180 −120 −60 0 60 120 180
Longitude Longitude
Dust Par ticulate Organic Matter

AEROCOM_MEDIAN Mean: 3.18976E–02 AEROCOM_MEDIAN Mean: 3.27001E–02

90 90
0.3000 0.3000

0.2000 0.2000
45 0.1000 45 0.1000

0.0750 0.0750
Latitude

Latitude

0.0500 0.0500
0 0
0.0250 0.0250

0.0100 0.0100

0.0050 0.0050
−45 −45
0.0025 0.0025

0.0010 0.0010

0.0000 0.0000
−180 −120 −60 0 60 120 180 −180 −120 −60 0 60 120 180
Longitude Longitude
Non-sea-salt Sulphate Sea-Salt

Aerosol in Global Atmosphere, Fig. 14 Median global (Copyright European Geophysical Union 2006. Reprinted
distribution of aerosol AOD, total and per aerosol species, from [57])
derived from 10 AEROCOM models for the year 2000.

increase in cloud condensation nuclei leading to a droplets, and the increased scattering associated
higher number of smaller cloud droplets which with smaller droplets, leads to an albedo increase
ultimately, through an increase in number of [72, 74]. Figure 16 illustrates this effect. A cloud
266 Aerosol in Global Atmosphere

90 W m−2
5.0
4.0
60 3.0
2.0
1.0
30 0.5
0.2
Latitude

0.0
0 −0.2
−0.5
−1.0
−30
−2.0
−3.0
−4.0
−60
−5.0
−10.0
−90 <
−180 −135 −90 −45 0 45 90 135 180
Longitude

Aerosol in Global Atmosphere, Fig. 15 Aerosols in the Global AtmosphereGlobal annual mean aerosol surface
radiative forcing from AEROCOM models. (Copyright European Geophysical Union 2006. Reprinted from [76])
altitude

altitude

re re

N N

clean polluted

droplet concentration droplet concentration

effective radius effective radius

Aerosol in Global Atmosphere, Fig. 16 Illustration of
changes in cloud microphysics resulting from low (clean)
and high (polluted) aerosol fields. Fora cloud with the same
available liquid water content. With more cloud nuclei
available for droplets to form on, the resulting droplets
are necessarily smaller in size. The cloud’s effective radius
is thus smaller and smaller droplets are more efficient
scatters of visible radiation. This, combined with an
increase in the number of scattering droplets, results in a
more reflective cloud. (Courtesy L. Schuller and
J.L. Brenguier)
Aerosol in Global Atmosphere
is generally formed by rising air parcels which
eventually become supersaturated. Cloud droplets
are activated at cloud base and continue to grow as
the air parcel containing the droplets rise to the top
of cloud. Even for a fixed number of droplets,
their size and liquid water content increases with
increasing height into the cloud. A parameter used
to describe an effective radius in such a changing
field is the cloud drop effective radius defined as
the weighted mean of the size distribution of the
cloud droplets. This amounts to the ratio of the
volumetric distribution to the surface area distri-
bution – or the ratio of the third moment of the
distribution to the second moment. Take the two
cases of clouds forming under the same environ-
mental conditions (and hence the same available
liquid water content), but under different aerosol
fields, one clean containing a low number of cloud
nuclei, and the other polluted, containing a high
number of cloud nuclei. The same amount of
liquid water has to be shared out to different nuclei
concentrations entering into cloud base. The result
is that the clean cloud with a low nuclei and
droplet concentration (N ~ 50 cm
3) leads to a
relatively large effective radius (of the order of
15 mm), while the polluted cloud with high nuclei
and droplet concentration (N ~ 300 cm
3) leads to
a relatively low effect radius (of the order of
5 mm). The net effect is a higher cloud albedo
seen at cloud top. An excellent example of this
effect is seen in Fig. 17, which displays a satellite
image of a Pacific Ocean stratocumulus cloud
deck off the west US coast. Seen within the
cloud deck are numerous tracks more visible
than the background cloud. These tracks are
called ship tracks and result from ship stack emis-
sions, rich in cloud nuclei, rising into cloud and
modifying cloud microphysics as described
above. These tracks are easily visible since the
tracks have produced regions of increased reflec-
tance relative to the “clean” regions of the cloud.
While ship tracks do not necessarily have a cli-
mate impact, they are excellent illustrative exam-
ples of the first indirect aerosol effect.
The first indirect effect is particularly impor-
tant over oceans (where surface albedo is low and
clouds are very susceptible to changes in aerosol
or nuclei availability) and in regions where
267
Aerosol in Global Atmosphere, Fig. 17 AVHRR sat-
ellite image of a stratocumulus cloud deck off the US
Washington coast. The tracks are ship tracks produced by
ship stack emissions mixing into cloud, resulting in an
increase in cloud droplet concentration and reflectance
persistent and extensive stratocumulus cloud
decks occur. It is in these regions that the radiative
forcing associated with the indirect effect is at its
maximum.
The second indirect effect relates to the cloud
lifetime effect [78], and relates to a suppression of
precipitation due to the smaller mean droplet
sizes. The smaller drops have reduced collision-
coalescence efficiency and as a result the onset of
precipitation can be delayed or even shut down.
Given that precipitation is one important process
in shortening the lifetime of a cloud, lack of pre-
cipitation can increase cloud lifetime and at times,
vertical and horizontal extent. Longer lifetimes or
greater extent of clouds effectively increases the
albedo since cloud optical depth is always greater
than aerosol optical depth.
The semi-indirect effect results from aerosol
with a significant absorbing component, which
heats the atmospheric layer in which the absorb-
ing aerosol resides [79]. This can inhibit cloud
formation by reducing stability and reducing rel-
ative humidity through increasing the layer tem-
perature and reducing surface water vapor
evaporation. It can also lead to increased evapo-
ration rates for existing clouds. The sign of the
effect is, however, a matter of debate. Some stud-
ies [80] support the warming effect of absorbing
268
aerosols through decreased low-level cloud cover
and other studies found that cooling effects
through increased cloud coverage [81, 82]. The
height of the absorbing layer seems to impact on
the sign of the effect.
Other effects include the cloud glaciation effect
where an increase in anthropogenic ice nuclei can
lead to an increase in cloud glaciation [83], the
deactivation effect where anthropogenic sulfate
coats ice nuclei making them inactive [84], and
the thermodynamic effect where smaller droplets
freeze less efficiently than larger droplets [85].
From the IPCC AR4, the most recent consen-
sus on the first indirect effect of warm clouds [86]
estimated a range between
0.22 and

1.85 W m
2, with a best estimate of

0.7 W m
2. The combined first and second
indirect effect was estimated to have a radiative
forcing between
0.2 and
2.3 W m
2, illustrat-
ing the difficulties in achieving convergence of
these models as the level of complexity increases.
Aerosol–Cloud–Precipitation Interactions
Although the second indirect effect, through
changes in cloud microphysics, has been demon-
strated to reduce precipitation with increased
anthropogenic aerosol, this effect typically applies
to warm stratiform clouds and shallow cumulus
clouds. Similarly, the radiative effects generally
act to suppress precipitation through decreasing
the amount of solar radiation reaching the surface
thereby reducing the amount of energy available
to evaporate water and energize convective
clouds. The radiation not reflected back to space
is partly absorbed in the atmosphere in the pres-
ence of absorbing carbonaceous aerosol leading to
a warming of the air above the surface. This
warming stabilizes the lower atmosphere and sup-
presses convection and the generation of convec-
tive clouds.
Some studies have also shown [87] that
increases in cloud nuclei can invigorate deep con-
vective rain clouds with warm cloud bases
(T > 15  C). In such clouds, the auto-conversion
processes (coalescence of droplets into raindrop
sizes) are delayed and hence the onset of precip-
itation in the cloud is also delayed. This results in
more water ascending to higher altitudes and
Aerosol in Global Atmosphere
colder temperatures (T < 0  C). Through the
delay of precipitation, the additional latent heat
release invigorates the cloud. In addition, by not
raining early, the condensed water can form ice
precipitation particles that release the latent heat
of freezing aloft and these reabsorb heat at lower
levels where they melt after falling [88]. This
process leads to consumption of more convective
available potential energy (CAPE) which would
then be converted to an equally greater amount of
released kinetic energy that could invigorate con-
vection and lead to a greater convective over-
turning, more precipitation, and deeper depletion
of the static instability.
The increased amount of aerosol has two com-
peting effects: one radiative, which suppresses
convection (and consequently rainfall) through
absorption and warming of atmospheric layers
relative to the surface, and the other, which can
lead to invigoration of updrafts, leading to an
increase in precipitation. These two processes
have typically been treated separately leading to
opposing views on the impact of aerosols on pre-
cipitation. This competing effect was elucidated
recently [89] by looking at the combined effect of
increasing aerosol and cloud condensation nuclei
concentrations on both microphysical and radia-
tive properties. They modeled typical warm trop-
ical convective clouds and found that the
microphysical invigoration effect was at a maxi-
mum for moderate cloud condensation nuclei con-
centrations, above which the impact of additional
nuclei was reduced. However, as the cloud con-
densation nuclei concentrations were linearly cor-
related to AOD, AOD progressively increased
with increasing cloud condensation nuclei con-
centrations which reduced the solar flux which in
turn energized convection reaching the surface.
As a result, with increasing aerosol loads beyond
the optimum, the weakening of the microphysical
invigoration is reinforced by the suppressive
effect of reduced surface heating. This conceptual
model is illustrated in Fig. 18 where it is seen that
starting out with clean (low) nuclei concentrations
(N ~ 100 cm
3), the addition of more nuclei has
the effect of increasing the released convective
energy up to a maximum point corresponding to
a cloud condensation nuclei concentration of the
Aerosol in Global Atmosphere
CAPE
1000
Released convective energy
500
(J kg-1)
0
−500
−1000
100
CCN0.4 aerosol concentration (cm-3)
Aerosol in Global Atmosphere, Fig. 18 Illustration of
the relations between the aerosol microphysical and radia-
tive effects. The aerosol optical (dept) thickness (AOT) is
assumed to reach 1 at CCN0.4 ¼ 104 cm
3 (dashed red
line), which corresponds to nucleation of 2,000 cloud
drops cm
3. The related transmission of radiation reaching
the surface is shown by the solid red line. The vigor of the
convection is shown by the blue line, which provides the
released convective available potential energy (CAPE) of a
cloud parcel that ascends to the cloud top near the
order of 1200 cm
3. At this point, AOD is a
moderate 0.25. Further increases in cloud conden-
sation nuclei result in a reduction of released
convective energy with CAPE dropping rapidly
at concentrations over 5,000 cm
3, but AOD con-
tinues to rise, reaching 1 for extreme nuclei con-
centrations of 10,000 cm
3 (corresponding to
2,000 cm
3 cloud droplets. The slope of the
CAPE curve represents the effect of aerosols on
precipitation. For increasing CAPE release with
increasing aerosol concentrations, an increase in
precipitation is expected. This trend reverses for
moderate levels of aerosol pollution, above which
suppression of precipitation is associated with
increasing aerosol concentrations.
Aerosol–Climate Interactions
The IPCC AR4 concluded that the combined
aerosol radiative forcing was negative and partly
offset the warming, or positive forcing, by
269
Transmission
AOT
1
0.8
Aerosol optical thickness
Aerosol transmission
0.6
0.4
0.2
0
1000 10,000
tropopause. Note that a maximum in CAPE occurs at
CCN0.4 1,200 cm
3, which corresponds to the maxi-
mum cloud invigoration. The AOT corresponding to the
CCN0.4at the microphysical optimum is only 0.25. Adding
aerosols beyond this point substantially decreases the vigor
of the cloud because both microphysical and radiative
effects work in the same direction: smaller release of con-
vective energy aloft and less radiative heating at the sur-
face. (Reprinted from [89])
greenhouse gases. This suggests that aerosols,
perhaps, have been masking the true rate of
global warming, or the climate-temperature sen-
sitivity to CO2-induced global warming. Over
the past 40 years, there has been both observed
dimming and brightening trends that point to a
direct aerosol influence on climate. Global dim-
ming is a term associated with a decadal decrease
in surface solar radiation, while global brighten-
ing refers to an increase in surface solar radiation.
Studies [90–92] have shown a widespread
decrease in surface solar radiation at a variety
of locations worldwide between 1960 and 1990.
Increasing aerosol concentrations associated
with increased air pollution over the period are
considered responsible for the dimming
[93]. Changes in cloud reflectance and cloud
amount contribute to the dimming [90]; however,
in a particular study over Europe [94], it was
concluded that cloud amount could not explain
270
2.0
T diff 1961–1990 (°C)
+0.19 [+0.09 to +0.29] °C dec−1
1.0
0.0
−1.0
−0.07 [−0.29 to +0.15]
1950
Aerosol in Global Atmosphere, Fig. 19 Temperature
rise over mainland Europe since 1950. Annual temperature
differences for the period 1950–2005 with respect to the
1961–1990 climatological mean for mainland Europe
(45_–55_N; 5_–15_E). Linear regression lines and decadal
the dimming and that the aerosol direct and indi-
rect effect was the predominant cause for the
trend. The period from 1990 to the present
shows a reversal of the trend into a brightening
trend [95]. The dimming effect appeared to have
been masking, or suppressing, greenhouse
warming with reduced or even negative trends
on global temperatures over the period as green-
house gases continued to accumulate. As the
trend reversed from dimming to brightening,
rapid temperature rises became evident since
the mid-1980s. Since the mid-1980s, the decadal
rise in temperature has been +0.38  C per decade
(Fig. 19), significantly higher than any other
period since the preindustrial era [96]. The
brightening has been associated with reduced
aerosol pollution since the 1980s as developed
countries implemented policies to clean up air
pollution.
Aerosols and Air Pollution
Aerosol is one atmospheric constituent regarded as
an air pollutant. In Air Quality communities, aerosol
particles are termed particulate matter (PM). Aerosol
air pollution is typically measured as the total mass
less than a particular cutoff size (e.g., 10 mm for
PM10, 2.5 mm for PM2.5, and 1 mm for PM1). Air
Aerosol in Global Atmosphere
Mainland Europe
+0.38 [+0.06 to +0.70]
1960 1970 1980 1990 2000
trends with 95% confidence interval show the temperature
decline from 1950 to 1980 (green), and the temperature rise
to be twice as large for the period 1981–2005 (blue) than
for the whole period 1950–2005 (red). (Copyright Ameri-
can Geophysical Union 2009. Reprinted from [96])
quality is regulated in terms of exposure to a partic-
ular PM standard. Air pollution has been a serious
problem since the eighteenth century with the inven-
tion of the steam engine which increased the amount
of coal burning. Prior to that, air pollution was still a
problem due to wood and coal burning although not
as severe. In 1905, the term “smog” was coined and
it described the combination of smoke and fog that
was visible in many industrialized cities. London
experienced the most frequent and severe smog
events resulting in many “excess” deaths. The
worst of these occurred in December 1952 when
there were 4,000 excess deaths during the London-
type event. During this period, smoke mass concen-
trations reached 4,460 mg m
3. This is to be com-
pared with a current EU yearly exposure of
25 mg m
3 for PM2.5 and 50 mg m
3 sustained
over 24 h 35 times in 1 year for PM10. The events
typically occur in winter and during high pressure
weather systems.
High pressure systems generally are accompa-
nied by colder temperatures resulting in increased
coal burning. In addition to the colder tempera-
tures are stable atmospheric boundary layers,
which suppress the dispersion of pollution. Fur-
ther exasperating the situation are very stable
surface-mixing layers 100–200 m deep, which
trap the pollution and confine the pollution to a
thick layer close to the ground.
Aerosol in Global Atmosphere
In addition to the London-type smog, there is a
chemically produced smog known as photochemical
smog. Photochemical smog is produced through gas
phase reactions typically involving hydrocarbons,
NO, and ozone and is a frequent phenomenon
encountered in many megacities such as Los
Angeles, Mexico City, Tokyo, Beijing, Johannes-
burg, and Athens.
The main health impacts of PM relate to respi-
ratory and cardiovascular effects and, addition-
ally, some of the smoke products are considered
carcinogenic, all potentially resulting in prema-
ture mortality. The European Union’s Clean Air
for Europe Programme estimated that 348,000
premature deaths occur in Europe due to expo-
sure to PM2.5. Figure 20 illustrates the estimated
losses in life expectancy attributable to exposure
to PM2.5 from anthropogenic emissions in
Europe [97]. The data are calculated for emis-
sions for the year 2000 and for targeted emission
reductions by the year 2020.
While air pollution, particularly aerosol air
pollution, has been steadily reducing in the devel-
oped world, it has become an increasing problem
in developing countries, not only on urban mega-
city scales but also on regional and almost hemi-
spheric scales. Intercontinental and hemispheric
transport of pollution is now regarded as a serious
concern, impacting on local- and regional-scale
air quality.
Future Directions: Interactions Between
Aerosol Air Pollution and Climate
Atmospheric aerosol has played an important role in
partly offsetting global warming due to greenhouse
gases. The IPCC AR4 quantifies the best atmo-
spheric composition component estimates of radia-
tive forcing since 1750–2005 (Fig. 21). From this
assessment, the combined direct and indirect effect
amounts to ~
1.2 W m
2, which effectively can be
regarded as a reduction in the positive forcing by
271
greenhouse gases to an equivalent amount. The
IPCC estimate the net forcing due to anthropogenic
activities as ~+1.5 W m
2. This positive forcing has
led to a global temperature increase of the order of
0.8  C. The European Union, leading the way in
climate policy development, have set a long-term
(i.e., by year 2050) target of an upper limit of 2  C to
the increase in global temperature.
Until recent times, climate policy has been han-
dled separately to air pollution problems, where in
the latter case, adverse health effects from PM and
ecosystem damage have been the biggest drivers of
policies to improve air quality. What has become
evident is that the air pollution policies in recent
decades have impacted on global warming in a
manner that has accelerated temperature rise as
dirty air was cleaned up. The current decadal rate
of temperature increase is estimated to be
0.3–0.4  C per decade. As a result, by the year
2030, the predicted temperature increase is
~1.9  C – that is, almost reaching the long-term
target limit. Figure 22 illustrates the problem
[99]. If there were only long-lived greenhouse
gases (LLGHG), the past temperature increase
would have been approximately double the actual
increase since the preindustrial era. Without emis-
sion reductions, looking into the future, tempera-
ture will increase by about 0.2  C per decade.
However, taking account of the presence of aero-
sols, the approximate 50% masking of temperature
increase is evident up until the 1990s and then the
current day and near future rapid rise in tempera-
ture from aerosol emission controls is evident,
rapidly approaching the increase seen by treating
the system as only containing LLGHG. With both
a reduction on aerosol emissions and LLGHG,
only then can the dual target of clean air and
minimal temperature rise be achieved. Such com-
bined policy development, while in the near term
will accelerate temperature rise, in the long term, a
sustainable temperature rise can be expected.
The development of sophisticated policy devel-
opment is underpinned by the development of
sophisticated climate and air pollution assessment
 272

0 .. 1 month 0 .. 1 month
1 .. 2 1 .. 2
2 .. 4 2 .. 4
4 .. 6 4 .. 6
6 .. 9 6 .. 9
9 .. 12 9 .. 12
12 .. 12 ..

Aerosol in Global Atmosphere, Fig. 20 Estimated loss in life expectancy attributable to exposure to fine particulate matter (PM2.5) from anthropogenic emissions for the year
2000 (left) and projected reduced emissions for the year 2020 (right). (Modified from EEA Report No2/2007. Courtesy of Zbigniew Klimont and Markus Amann)
Aerosol in Global Atmosphere
Aerosol in Global Atmosphere 273

Radiative forcing of climate between 1750 and 2005

Radiative Forcing Terms

CO2
Long-lived
N2O
greenhouse gases
CH4

Halocarbons
Ozone Stratospheric Tropospheric
(−0.05)
Human activities

Stratospheric
water vapour

Surface albedo Land use Black carbon

on snow

Direct effect
Total
Aerosol Cloud albedo
effect

Linear contrails (0.01)

processes
Natural

Solar irradiance

Total net
human activities

−2 −1 0 1 2
Radiative Forcing (watts per square metre)

Aerosol in Global Atmosphere, Fig. 21 Summary of
the principal components of the radiative forcing of climate
change. All these radiative forcings result from one or
more factors that affect climate and are associated with
human activities or natural processes as discussed in the
text. The values represent the forcings in 2005 relative to
the start of the industrial era (about 1750). Human activi-
ties cause significant changes in long-lived gases, ozone,
water vapor, surface albedo, aerosols, and contrails. The
only increase in natural forcing of any significance
between 1750 and 2005 occurred in solar irradiance. Pos-
itive forcings lead to warming of climate and negative
forcings lead to a cooling. The thin black line attached to
each colored bar represents the range of uncertainty for the
respective value. (Reprinted from the Intergovernmental
Panel on Climate Change Assessment Report 4)

models. Current climate models do not possess
treatments of aerosol emissions, formation, trans-
formations, and radiative effects to a high enough
level of sophistication yet. This limitation results
from the aerosol life cycle being one of the
most complex systems to model and the challenges
of modeling the formation of nanoclusters to
global-scale radiative impacts and interactions
with clouds will remain for some time. Neverthe-
less, the advances in recent years have been
immense, most notably in the current day improved
understanding of the highly complex nucleation
processes and in the characterization of organic
aerosols, their properties, and their life cycle.
274
Imagine: only LLGHG present in the atmosphere
without LLGHG emission reductions
with LLGHG emission reductions
global mean temperature
In reality: LLGHG and air pollutants present
only aerosol reduction
LLGHG and aerosol reduction
pre-
1940s 1980s
industrial
Aerosol in Global Atmosphere, Fig. 22 The figure
shows schematically the climate consequences of climate
change and air pollution abatement strategies. The only
way to reach global temperature stabilization is through
LLGHG reductions. Such stabilization would be achieved
according to the timescales mainly related to the several
decade lifetime of LLGHG in the atmosphere. Reduction
of air pollution (including that resulting from LLGHG
emission reductions) would have a more immediate impact
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 Glossary
Air Pollution and Climate
Change: Sustainability, Adaptation An adaptation is an adjustment made
Restoration, and Ethical in response to an actual or expected climate that
Implications moderates or avoids harmful impacts. Adapta-
tion can be divided into incremental and trans-
Jiaying Chen1, Mie Jul Dahlin1, Linnea Luuppala2, formational actions. Incremental adaptation
David Bickford3, Lina Boljka4, Vanessa Burns5 refers to relatively small changes and actions
and Matthew Stanley Johnson1,6 that affect a system while maintaining its integ-
1
Department of Chemistry, University of rity, while transformational adaptation includes
Copenhagen, Copenhagen, Denmark changes and actions that affect the fundamental
2
Social and Moral Philosophy, Department of attributes of a system [10].
Political and Economic Studies, University of Air Pollution Air pollution is “a mix of particles
Helsinki, Helsinki, Finland and gases that can reach harmful concentra-
3
Biology Department, University of La Verne, La tions both outside and indoors” [12]. Determin-
Verne, CA, USA ing the harmfulness of substances is not always
4
Department of Atmospheric Science, Colorado straightforward. For example, some substances
State University, Fort Collins, CO, USA that are toxic have been found to have benefi-
5
School of Geography and the Environment, cial effects in low quantities [13], while for
University of Oxford, Oxford, UK others there may be no safe dose. A pertinent
6
Airlabs, Copenhagen, Denmark example is that carbon dioxide is a natural part
of the atmosphere and is exchanged with the
biosphere via photosynthesis thus fertilizing
Article Outline plants but clearly there could be too much of
a good thing, as excessive amounts of CO2
Glossary have a clear negative impact on the biosphere
Definition through climate change. Plants require fixed
Introduction nitrogen, and some is produced naturally by
Atmospheric Chemistry: The Physical Origin of lightning, depositing to the surface as nitrate
Climate Change from nitric acid, one cause of acid rain [5]. In
Observations of Climate Change small amounts it is a good thing and clearly
Sustainability and Climate Change damaging in large amounts. Thus the classifi-
Environmental Management and Climate Change cation of a given substance as pollution
Ecological Restoration depends on context.
Mitigation and Adaptation Biosphere The biosphere is the global aggregate
Mitigation of all ecological systems including all living
Carbon Capture and Storage (CCS) beings and their interrelationships with each
Adaptation other and with the atmosphere, geosphere,
Ethics and Philosophy of Climate Change hydrosphere, and lithosphere.
Conclusion Conference of the Parties (COP) The United
Future Directions Nations Framework Convention on Climate
Bibliography Change (UNFCCC) is an international treaty
signed and put into action in 1994. The con-
Jiaying Chen, Mie Jul Dahlin and Linnea Luuppala vention’s principle goal is to prevent negative
contributed equally with all other contributors. impacts to society from anthropogenic climate
© Springer Science+Business Media, LLC, part of Springer Nature 2021 279
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_1082
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2020, https://doi.org/10.1007/978-1-4939-2493-6_1082-1
280 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
change. It implements greenhouse gas emis-
sion limits but has no enforcement capacity.
The Conference of the Parties (COP) consists
of countries that are part of the United Nations
Framework Convention. The COP is the supreme
decision-making body in the Convention.
Climate Hazards According to the 2014 Intergov-
ernmental Panel on Climate Change (IPCC)
report, climate hazards are “climate-related phys-
ical events or trends or their physical impacts”
[3]. Climate hazards are different from natural
hazards, which include earthquakes, pandemics,
and weather-related disasters. Weather-related
disasters include drought, wildfires, floods, trop-
ical cyclones, and severe storms [10].
Ecological Restoration “Ecological restoration
is the process of assisting the recovery of an
ecosystem that has been degraded, damaged,
or destroyed” [64].
Ecological Justice Considerations of justice that
relate to human relationships with other spe-
cies and ecosystems.
Environmental Ethics A branch of philosophy
that studies human interaction with the natural
world including the moral relationship
between humans and natural entities including
the moral status of such entities.
Exposure In the context of climate change,
exposure is additional risk and is defined as
“the presence of people, livelihoods, species
or ecosystems, environmental functions, ser-
vices, and resources, infrastructure, or eco-
nomic, social, or cultural assets in places and
settings that could be adversely affected” [10].
Global Justice Considerations of justice that
take collective human actions and relationships
into account on a global level.
Intergenerational Justice Considerations of
justice that reflect the moral relationship
between currently living people and future
generations.
Mitigation Climate change mitigation comprises
actions that limit anthropogenic climate change.
It includes reducing emissions of greenhouse
gases (GHGs). In the case of CO2, this includes
renewable energy, reforestation, land use changes,
carbon capture and storage (CCS), and direct air
capture (DAC).
Preservation A conservation strategy that attempts
to protect nonhuman species including their
habitats.
Resilience Resilience is the capacity of social,
economic, and environmental systems to
respond to hazardous events, trends, or distur-
bances from climate change [10].
Thermohaline Circulation Ocean circulation,
and especially the deepwater formation that
sequesters dissolved inorganic carbon (DIC)
from the surface ocean, is driven by density.
The density of seawater is controlled by its tem-
perature (“thermo-”) and its salinity (“haline,”
which refers to mineral sodium chloride called
halite). Salinity can be defined as a mass fraction,
grams of dissolved salts per kg seawater [5]. Sea-
water is typically around 35 g/kg, and values can
range from rainwater, ca. 20 mg/kg, to the Dead
Sea, >200 g/kg. The amount of salt in the oceans
is fixed; thus, salinity can only be changed by
removal or addition of freshwater, such as by
evaporation or addition of glacial meltwater [5].
Vulnerability In the context of climate change,
vulnerability is the inability of social, eco-
nomic, and environmental systems to persist
and thrive in a changed environment, including
“sensitivity or susceptibility to harm and lack
of capacity to cope and adapt” [4]. The assess-
ment of vulnerability is a key element of
describing current and future climate risks
[10]. The main goal of climate change adapta-
tion is to reduce vulnerability [19].
Definition
Climate change is a profound global-scale chal-
lenge to the sustainability of human society and
the biosphere. This entry introduces the key
scientific research on climate change and its ethi-
cal implications. It begins by summarizing the key
types of anthropogenic climate forcing agents
including CO2, CH4, N2O, and air pollution
including particulate matter (PM) and their
sources. A combination of mitigation, restoration,
and adaptation strategies currently being
considered is introduced and compared. Global
climate change intersects with many academic
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
disciplines, and this entry attempts to provide a
holistic overview of the current observations of
climate change based on scientific and ethical
considerations. Our analysis includes the atmo-
sphere and hydrosphere, and the impacts of cli-
mate change on society. The aim is to provide a
fuller account of climate change from perspective
of disciplines not often seen together, thus provid-
ing a more comprehensive account of the most
defining problem of our time.
Introduction
Climate change and air pollution are closely
linked; climate change is caused by air pollution,
and climate change makes air pollution worse. Air
pollution from human society is the key factor
currently driving climate change. As it is a signif-
icant existential threat to society, climate change is
not only the subject of intense scientific research,
but it is also an important ethical issue. Ethics, and
in particular environmental ethics, is an important
tool to analyze the ethical implications and moral
acceptability of human actions. Despite the
mounting evidence of the causes of climate
change, environmental pollution, and their
effects, action to tackle these issues has been
nominal, slowed down by myopic economic fac-
tors that dominate the discussions surrounding
climate and environmental policy. It is clear to
many that the economy is a subset of society that
can only operate within the context of the bio-
sphere and that in addition to threatening human
well-being and health, climate change threatens
global ecosystem functioning as we know it.
This entry is mainly concerned with the prob-
lems and ethical implications of climate change
on the sustainability of human society. The
attempt is to provide a preliminary roadmap of
the main scientific research and ethical issues with
climate change and air pollution. The influence of
economic development on climate change and the
current status of the natural environment will be
explored, driven by a number of key questions:
What strategies can be used to mitigate climate
change? Can we contextualize anthropogenic
281
climate change in ethical terms? Can and should
we attempt to restore environmental damage?
Current scientific evidence combined with eth-
ical arguments can yield a strong foundation for
change and guide us toward stronger actions and
strategies for dealing with climate change and
environmental restoration.
Atmospheric Chemistry: The Physical
Origin of Climate Change
Climate is determined by flows of energy and
material within the Earth system; key factors are
radiation, flows of air and water, and evaporation
and condensation of water. Nearly all of the
planet’s energy comes from our sun at a rate of
174,600 TW, which represents 99.977% of power
from all sources. In comparison, tidal energy con-
tributes only 3 TW, fossil fuel combustion 14 TW,
and geothermal energy 23 TW [5]. The Earth sys-
tem is in a state of dynamic equilibrium between
“shortwave” radiation, coming from the sun, mainly
at visible wavelengths, and “longwave” radiation
emitted from surface into space – mainly at infrared
(IR) wavelengths. Our atmosphere is largely trans-
parent to shortwave radiation, and roughly 30% of
incoming sunlight is reflected back into space by
clouds, ice, and the surface of the planet. The rest is
absorbed at the surface and re-emitted as longwave
radiation [6, 7].
There are many gases in the atmosphere that
absorb and re-emit thermal radiation, hindering its
escape. Absorption and emission of infrared light
are allowed if there is a change in the molecule’s
dipole moment for a given vibrational mode. Thus
many gases absorb infrared (IR) light, including
water vapor (H2O), carbon dioxide (CO2), meth-
ane (CH4), nitrous oxide (N2O), dichlorodifluoro-
methane (CCl2F2), and ozone (O3). Oxygen (O2)
and nitrogen (N2) do not have a dipole moment
and therefore do not absorb IR radiation. This
means that our planet has always had a strong
natural greenhouse effect due to the presence of
water vapor and carbon dioxide. An increase in
the concentration of any “greenhouse gas” (one
that traps infrared heat radiation) causes an
increased warming effect.
282 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications

A change in the balance between ingoing and
outgoing radiation is called a radiative forcing
(RF) [8]. Different atmospheric compounds affect
climate differently. The change of global average
surface temperature is dependent on the changes
in radiative forcing with DT ¼ l DRF; l is the
climate sensitivity parameter. Figure 1 shows
changes in radiative forcing in 2011 relative to
1750 for the most important factors [10].
There are many anthropogenic radiative forc-
ing agents, including greenhouse gases, land use
change, and aerosol particles. Some anthropo-
genic changes have had a cooling effect on the
climate system (i.e., a negative radiative forcing)
partially offsetting warming, for example,
injecting sulfate aerosols in the stratosphere
cools by increasing the scattering of shortwave
solar radiation [140] and by absorbing and emit-
ting longwave radiation [118].
A kilogram of CO2 released into the atmo-
sphere produces a radiative forcing; a kilogram
of CH4 produces even more as it is more efficient
at absorbing infrared light. The cumulative radia-
tive forcing of a given gas relative to CO2 is called
the global warming potential (GWP) and is
defined for a specific length of time, the time
horizon. The IPCC is currently using standards
of 20, 100, and 500 years with the 100-year time
horizon being implemented as the preferred stan-
dard since the Kyoto Protocol [9].
The relative GWP is calculated using the fol-
lowing equation [14]:
Ð tf
aA ½AðtÞdt
GWP ¼ Ð0tf
0 aR ½RðtÞdt
where tf is the time horizon, aA is the radiative
forcing resulting from a 1 kg increase of

Radiative forcing estimates in 2011 relative to 1750

2.5

1.5
Radiative forcing / W m-2

1
1.68

0.5 Aerosols
0.97 and
precursors Cloud Albedo change
adjustments due to
0.18 0.17 0.23 NOx due to aerosols land use
0 0.1
CO2 CH4 Halocarbons N2O CO NMVOC -0.155 -0.15
-0.27

-0.695
-0.5

-1

-1.5

Air Pollution and Climate Change: Sustainability, change [4]. Positive RF refers to the warming effects,
Restoration, and Ethical Implications, Fig. 1 Radia- while negative RF refers to the cooling effects caused by
tive forcing estimates in 2011 relative to 1750 and different driving factors, for example non-methane volatile
aggregated uncertainties for the main drivers of climate organic compounds (NMVOC)
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
compound A, [A(t)] is the time decay of a pulse of
a compound A, and aR and [R(t)] are the compa-
rable quantities for the reference compound, the
accepted standard being CO2 [14].
The GWP incorporates the different atmo-
spheric lifetimes of different gases. For example,
CH4 is removed relatively rapidly by the OH
radical giving it a lifetime of around a decade,
whereas N2O persists for a century. Therefore
the GWP of methane decreases from a 20- to a
100-year time horizon (specifically from 86 to
34), while nitrous oxide increases (268–298).
Particulate Matter (PM)
Particulate matter (PM) is important for climate as
it plays a key role in cloud and fog formation as
well as rainfall. PM impacts climate through the
radiative balance by scattering incoming solar
radiation; by changing the albedo or reflectivity
of the planet; by absorbing sunlight, e.g., “black
carbon” soot; and by absorbing outgoing infrared
heat radiation. In addition it serves as the basis of
cloud formation thus affecting the hydrological
cycle. Sources of PM can be natural or anthropo-
genic; sea spray is the most important natural
source. Anthropogenic PM has increased signifi-
cantly since industrialization due to combustion
exhaust containing, e.g., soot, fly ash, and pre-
cursors of nitric and sulfuric acid.
PM is classified according to size of the par-
ticle: (i) coarse where the aerodynamic diameter
(d) is 2.5–10 mm, (ii) fine where d is 0.1–2.5 mm,
and (iii) ultrafine where d is <0.1 mm. Coarse
particles include mold, pollen, sea spray, and
material from the surface including minerals
and soil. The settling velocity of coarse particles
means that they do not travel far and thus only
pose a hazard as a local air pollutant. Fine par-
ticles are lighter and can be transported over
long distances. They can originate from com-
bustion and consist of organic carbon and
metals; they can also form in situ from coagula-
tion. Ultrafine particles can also originate from
combustion and condensation of oxidized
organic gases; due to Brownian motion, they
undergo many collisions and build into fine
particles. Ultrafine PM can contain so-called
“brown” and “black” carbon, the distinction
283
being whether the material is oxidized organic
material or elemental carbon, for example, poly-
cyclic aromatic hydrocarbon soot [14].
PM changes the planetary energy balance, and
its effects can be either direct or indirect [11]. Direct
forcing is caused by the absorption and scattering
of light. PM with chromophores, for example,
black carbon, absorbs light to produce heat. Parti-
cles with transparent material like salts scatter light
giving a cooling effect. When dark particles are
deposited on snow and ice surfaces, they reduce the
albedo and cause a positive radiative forcing.
These particles accumulate on ice surfaces as the
water deliquesces, leaving behind impurities.
Indirect forcing effects are caused by particles’
ability to function as cloud condensation nuclei
(CNN). High concentrations of CCN change the
distribution of droplet sizes within a cloud,
shifting it toward smaller droplets. Light scatter-
ing occurs because of a surface, and a cloud with
many small droplets has more surface area than a
cloud with fewer, larger droplets, even though
both may have the same liquid water content.
Thus, paradoxically, clouds in a polluted atmo-
sphere are whiter and result in additional cooling.
In addition smaller droplets have a smaller depo-
sition velocity and stay in the atmosphere longer
reducing rainfall and contributing to drought.
Greenhouse Gases
The French mathematician Joseph Fourier intro-
duced the “greenhouse effect” property of the
atmosphere in 1824 by writing that the atmosphere,
like a greenhouse, admits the visible light of the
sun and blocks escape of infrared heat radiation [5,
14]. In an article from 1896, Swedish chemist and
Nobel Laureate Svante Arrhenius calculated that a
doubling of atmospheric CO2 would result in a
temperature increase of 4  C (modern climate
models agree!) and predicted that such a change
was likely as we are “evaporating the coal mines
into the air” [1]. Since that publication, scientists
have discovered other key greenhouse gases
shown in Fig. 1 like methane (CH4), nitrous
oxide (N2O), particulate matter (PM), and ozone
(O3), and the halocarbon gases, which all contrib-
ute to the greenhouse effect [14].
284 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
Atmospheric CO2 has increased from a pre-
industrial mixing ratio of around 280 ppm to over
410 ppm today, mainly because of fossil fuel com-
bustion. Fossil fuel combustion has also had other
impacts on the climate and the environment as a
whole. Unburned hydrocarbons are released into
the atmosphere by many sources, leaks in mines
and wells and distribution systems, fuel and solvent
evaporation, and other industrial processes. In
addition, large amounts of naturally occurring vol-
atile organic compounds (VOCs) are released by
plants. The VOCs are fuel for photochemical chain
reactions taking place in the atmosphere. Fossil
fuel combustion produces nitrogen oxides
(NO and NO2) that catalyze these reactions. The
products include CO2, ozone, acid rain, and oxi-
dized volatile organic compounds that condense
into secondary organic aerosol (SOA). All of
these components of air pollution impact climate.
While the stratospheric ozone layer protects us
from harmful radiation, tropospheric O3 is catego-
rized as a pollutant since it has adverse effects on
humans and ecosystems. These five reactions
describe the core of the mechanism [5]:
NO2 þ hv ðl < 420 nmÞ➔NO þ O
O þ O2 ➔O3
NO þ HO2 ➔NO2 þ OH
CO þ OH➔CO2 þ H
H þ O2 ➔HO2
CO is the fuel, NOx (NO and NO2) is the
catalyst, and CO2 and O3 are the products. The
underlying form is the same for VOC which is
oxidized by OH to produce HO2, which then
couples with NO to produce NO2 and O3.
Through atmospheric chemistry the emission of
NOx leads to an increase in tropospheric O3. NOx
is also harmful to humans when inhaled and to
ecosystems when removed from the troposphere
as HNO3, contributing to rainwater acidity at a
regional level. The main source of NOx is fossil
fuel combustion.
Methane is one of the most important green-
house gases and the most abundant hydrocarbon
in the atmosphere. It is a strong greenhouse gas,
and its global warming potential is 86 times that of
carbon dioxide over a 20-year time period
[10]. Methane sources are diffuse and both natural
and anthropogenic. The atmospheric concentra-
tion of methane has increased 2.5 times relative
to pre-industrial. Initial growth of methane over
the last millennium was linked to agriculture and
animal husbandry. Leakage from natural gas sys-
tems has also became a factor, and most recently
natural emissions are increasing due to climate
change. The dominant anthropogenic methane
sources are livestock, loss from fossil fuel extrac-
tion and use, emissions from landfills and waste,
rice production, and biomass burning. Natural
sources include wetlands, termites, oceans,
marine hydrates, geological sources, wild ani-
mals, melting permafrost, and wildfires.
As shown in Fig. 1, CO2 is the main driver of
anthropogenic climate change [10]. The primary
source of CO2 is fossil fuel use, but it can also be
emitted directly from cement production, biolog-
ical respiration, and land use change [161].
Anthropocene
Nobel Laureate and atmospheric chemist Paul
Crutzen coined the term “Anthropocene” to
describe our current geological epoch, in which
human activity has been the dominant influence
on climate and the environmental change [15,
162, 163]. In geological terms, an epoch is defined
by a specific layer of rock or strata [16]; it is clear
that Homo sapiens is leaving many markers of the
current epoch in Earth’s geology. Microplastic par-
ticles and soot can be found everywhere including
ocean sediments. Enough concrete has been
manufactured to cover every square meter of the
planet’s surface with a kilogram. No matter our
species’ fate, our society will endure in the crust.
Proposals for a precise date for the beginning of the
Anthropocene range from the beginning of the
agricultural revolution (12–15,000 years ago) to
the Trinity nuclear bomb test of 16 July 1945.
The Anthropocene Working Group of the Sub-
commission on Quaternary Stratigraphy of the
International Commission on Stratigraphy has
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications 285

approved a formal, official “golden spike” proposal
to define the Anthropocene epoch in the geologic
time scale. Final approval awaits a decision by the
International Geological Congress [16].
A wealth of information concerning past climate
and atmospheric composition has been obtained
by analyzing the composition of annual ice accu-
mulation layers, obtained by boring into the gla-
ciers of Greenland and Antarctica.

Observations of Climate Change Surface Temperature

There are many direct methods of observing cli-
mate change, for example, records of tempera-
ture and rainfall, tide gauges, and satellite
observations, including observations of land use
change and sea surface temperature. The obser-
vational record is extended by analyzing the
world around us. For example, tree growth
rings contain information on growing condi-
tions; stalactites, corals, and sediments have sim-
ilar annual growth layers with compositions
which can be analyzed to yield climate data.
The GISS Surface Temperature Analysis
(GISTEMP) record comprises temperature data
from 1880 to present, with the base period
1951–1980 used to define “average” conditions
(Fig. 2). From recent data (GISTEMP Team,
2019), on a global scale, the smoothed land-
ocean temperature index (the combined Land-
Surface Air and Sea-Surface Water Temperature
Anomalies) had reached 1  C by 2016, relative to
the base period [18].
Looking at the mean annual surface air tem-
perature over ocean or land areas, Fig. 3 shows

Global Mean Air Temapure (1880-2018)

1.5

1
Temperature Anomaly /degC

0.5

-0.5 Annual
Lowess smoothing (5yr)

-1
1880 1890 1900 1910 1920 1930 1940 1950 1960 1970 1980 1990 2000 2010
Time / yr

Air Pollution and Climate Change: Sustainability,
Restoration, and Ethical Implications, Fig. 2 Land-
ocean temperature index (1880–2018), with base period
1951–1980. The solid blue line is the global annual mean,
and the solid orange line is the 5-year LOWESS smoothed
line. LOWESS, which stands for LOcally WEighted
Scatterplot Smoothing, is a widely used statistical method
for smoothing data points in order to average out noise
and/or high-frequency variations. The method uses a poly-
nomial regression analysis over a moving interval
[17]. (Dataset from GISTEMP Team, 2019 [18])
286 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
Mean Surface Air Temperature over Ocean or Land Areas
2 (1880-2018)
Land_Annual
1.5 Lowess smoothing (5yr)
Ocean_Annual
Temperature Anomaly / degC
Lowess smoothing (5yr)
0.5
-0.5
-1
1880 1890 1900 1910 1920
Air Pollution and Climate Change: Sustainability,
Restoration, and Ethical Implications, Fig. 3 Mean
surface air temperature over ocean or land areas (C).
Annual (thin) and 5-year LOWESS smoothed (thick)
lines for the temperature anomalies averaged over the
that in the last 30 years, the rate of increase of the
land surface air temperature was faster than that
of the sea surface water temperature, leading to
the temperature anomaly between land surface
air temperature (1.2  C in 2018) of almost twice
that of the sea surface air temperature (0.68  C in
2018). Due to the mixing of the water column,
the effective heat capacity of the ocean is higher
than that of land so that oceans are able to absorb
more heat [164].
Besides recording temperature changes on
global land and ocean scales, the NASA GISS
dataset also demonstrates that temperature
changes in the Southern Hemisphere were
more than 0.2  C smaller than those in the
Northern Hemisphere (Dataset from GISTEMP
Team, 2019 [18]). In addition, owing to shrink-
ing polar ice, less solar radiation is reflected at
high latitudes producing temperature anomalies
at polar latitudes much larger than in other
regions.
1930 1940 1950 1960 1970 1980 1990 2000 2010
Time / yr
Earth’s land area, and sea surface temperature anomalies
averaged over the part of the ocean that is free of ice at all
times (open ocean) [17]. (Dataset from GISTEMP Team,
2019 [18])
Greenhouse Gas Changes
Increasing anthropogenic emissions of green-
house gases are the key drivers of increasing
global temperatures [19]. Thus it is critical to
explore the changes in mole fraction or mixing
ratio of the main greenhouse gases (Fig. 4).
Charles Keeling of the Scripps Institution of
Oceanography was the first person to make accu-
rate repeated measurements of atmospheric car-
bon dioxide. The measurements began at the
Mauna Loa Observatory on Hawaii in 1958 and
have continued to the present day [20]. Figure 4a
shows that as of February 2019, the concentration
of CO2 has exceeded 410 ppm, with an average
increase of 1.64 ppm per year over the past
60 years (1958–2018).
While atmospheric methane increased rapidly
after the agricultural and industrial revolutions,
somewhat mysteriously, its rate of growth decreased
in the 1990s, and it essentially stopped growing in
the 2000s. A number of theories have been proposed
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications 287

Carbon Dioxide Concentrations at Mauna Loa Observatory

a 420

Full record ending at February 10, 2019

400
CO2 mole fraction / ppm

380

360

340

320

300
1958 1968 1978 1988 1998 2008 2018
Time/yr

Annually Mean Methane Concentrations (1979-2017)

b 1900

1850
CH4mole fraction / ppb

1800

1750

1700

1650

1600

1550
1979 1984 1989 1994 1999 2004 2009 2014
Time / yr

Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications, Fig. 4 (continued)
288 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications

Annually Mean Nitrous Oxide Concentrations (1979-2017)

c 335

330

325
N2O mole fration / ppb

320

315

310

305

300

295
1979 1984 1989 1994 1999 2004 2009 2014
Time / yr

Annually Mean CFCs Concentrations (1979-2017)

d 580 HCFC-22
CFC-11
CFC-12
480 HFC-134a
CFCs mole fraction / ppt

380

280

180

80

-20
1979 1984 1989 1994 1999 2004 2009 2014
Time/yr

Air Pollution and Climate Change: Sustainability, concentrations of methane (1979–2017). (c) Global average
Restoration, and Ethical Implications, Fig. 4 Global concentrations of nitrous oxide (1979–2017). (d) Global
average changes of greenhouse gases abundances. (a) The average concentrations of CFCs and HCFCs (1979–2017).
Keeling Curve (1958–2019.02). (b) Global average ((b, c, d) Dataset from NOAA/ESRL/GMD, 2019 [165])
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
including changes in natural gas leaks from Russia,
wetlands, and a drop in the atmospheric concentra-
tion of OH, the main oxidant for methane
[171]. More recently, methane growth has resumed;
as of March 2019, its mole fraction was 1866.4 ppb,
compared to less than 700 ppb prior to 1700 [165].
The concentration of nitrous oxide in the atmo-
sphere reached 330 ppb in 2017 with an average
rate of increase of 0.9 ppb per year over the past
decade. Many people have heard about the anthro-
pogenic ozone hole, caused by release of chloro-
fluorocarbons (CFCs, a type of halocarbon). What
is not as well recognized is that the CFCs are
powerful greenhouse gases and that the Montreal
Protocol, created to protect the ozone layer, is also
the most successful climate treaty in history. The
atmospheric concentration of the CFCs is decreas-
ing, due to international agreements. As the main
substitutes of CFCs, HFCs (hydrofluorocarbons)
and HCFCs (hydrochlorofluorocarbons) are
increasing in concentration as they have no or
small ozone depletion potential.
Oxygen Changes
The concentration of oxygen in the atmosphere has
decreased due fossil fuel combustion (Fig. 5a). The
change in the concentration of O2 is a few parts per
million per year and is not a threat in itself. The
measurement series is used to calculate the sizes of
the land and oceanic sinks of global CO2 [21] due
to the mass balance between the amount of carbon
released by human activity, the amount of CO2
dissolved in the ocean, and the amount taken up
by photosynthesis [22]. By recording the atmo-
spheric ratio of O2 to N2, atmospheric abundance
of CO2, and emissions of CO2 from burning fossil
fuel [23], it is possible to calculate the carbon
dioxide sequestration by terrestrial and marine sys-
tems (Fig. 5b).
A series of papers have explored the fate of
CO2 released into the atmosphere [20–24]. Atmo-
spheric potential oxygen (APO) is “a weighted
sum of O2 and CO2 in an air parcel” [24] that “is
essentially the O2/N2 ratio added to 1.1 times the
concurrent CO2 concentration” [25]. Using the
atmospheric and fossil fuel emission records,
the ocean and land biotic uptake can be deduced.
Manning and Keeling [24] found that from 1990
289
to 2000, the ocean absorption sink was
1.71  0.52 Pg C per year and the terrestrial
ecosystems sink was 1.41  0.66 Pg C per year,
matching data from Manning in 2001 [26].
Oceans
Oceans cover 71% of Earth’s surface and have a
mass a million times higher than the atmosphere
and are therefore able to exert a very large effect
on the atmosphere [5]. Oceans stored 90% of the
additional energy in the climate system between
1971 and 2010 [10], leading to ocean temperature
increases. The largest observed effect is in the
upper layer (0–700 m), where the near-surface
(upper 75 m) temperature increase exceeds
0.1  C per decade, whereas at 700 m, the increase
is only 0.015  C per decade. The ocean tempera-
ture rise is most distinct in the Northern Hemi-
sphere due to the concentration of landmass,
population, Arctic sea ice loss, and ocean circula-
tion itself. The ocean warming will spread from
the surface to lower ocean (depth > 1000 m), and
this, in turn, will affect ocean currents. The global
mean sea surface temperature change from 2046
to 2065 is estimated to be in the range of 1–2  C
and from 2081 to 2100 in the range of
1–3.7  C [10].
Ocean warming results in sea level rise due to
thermal expansion of water [10]. There is addi-
tional sea level rise due to the melting of land ice,
glaciers, ice caps, and the major ice sheets of
Antarctica and Greenland. Thermal expansion
combined with melting land ice is responsible for
75% of observed sea level rise since 1971. Sea
level is also affected by water storage in terrestrial
systems, for example, irrigation removes water
from reservoirs on land, and dams prevent some
runoff into the ocean.
The rate of global mean sea level rise between
1901 and 2010 was 1.7 mm/year, yielding a total
rise of 0.19 m in that time period. It is likely that
the rate was higher between 1993 and 2010, at
3.2 mm/year. Future projections of sea level rise
estimate that from 2046 to 2065, the global mean
rise will be in the range of 0.24–0.30 m and from
2081 to 2100 in the range of 0.40–0.63 m [10].
Melting ice introduces freshwater to oceans,
thus changing salinity. Salinity also depends on
290 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications

Oxygen Concentrations Recorded at Mauna Loa

a Observatory (1991-2018)
Time / yr
0
1991 1996 2001 2006 2011 2016

-100

-200
O2/N2 ratio / per mg

-300

-400

-500

-600

-700

b -60

1990
-80
change due to fossil fuel combustion only

-100
APO / per meg

-120
1995

-140

2000
-160
Land biotic uptake Ocean uptake
Atomospheric increase

-180
352 357 362 367 372 377 382
CO2 / ppm

Air Pollution and Climate Change: Sustainability, sinks [25] from 1990 to 2000, “the slope for the oceanic
Restoration, and Ethical Implications, Fig. 5 (a) the sink is fixed to an APO:CO2 molar ratio of 1.1, whereas the
records of O2:N2 ratio; (b) Vector diagram showing the land sink by terrestrial system is a horizontal line, having
calculation of the global oceanic and land biotic carbon no effect on APO” [25]
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
patterns of evaporation and precipitation. Obser-
vations from 1950 to 2008 show that very saline
waters have become even more saline and low-
saline waters have freshened, increasing the con-
trast between low and high salinity areas. It is
likely that this contrast is due to changes in fresh-
water transport between ocean waters and the
atmosphere caused by warming of the lower
atmosphere [30] (hydrological cycle, see below).
Ocean currents have an enormous impact on
climate as well. Currents are generated by forces
affecting the water such as wind, gradients in tem-
perature and salinity, breaking of waves, and
mixing of waters of different densities. Ocean cur-
rents form the great conveyor belt, also called
thermohaline circulation. The thermohaline circu-
lation is driven by horizontal mixing of water
caused by density differences. Thermohaline cir-
culation transports warm, saline surface waters
northward and colder, denser waters southward.
The warm, saline water is cooled when it reaches
the high latitudes of the Northern Hemisphere and
then sinks. From there waters are transported back
southward [31]. Perturbations of ocean salinity will
affect deep ocean water circulation and will affect
transport of heat from ocean to land as well [32].
Atmospheric CO2 is in equilibrium with CO2
dissolved in the surface ocean [5]; its uptake is
limited by mixing of surface and deep water. By
introducing more CO2 to the atmosphere, a greater
amount of CO2 will be dissolved in ocean waters.
This will lead to a reduction of ocean pH, a pro-
cess called “ocean acidification.” Over the last
250 years, oceans have absorbed about
1.55  1014 kg of anthropogenic carbon [33],
which has caused average pH of ocean surface
waters to drop from 8.2 to 8.1 [34]. Ocean acidi-
fication is problematic because it is detrimental to
marine ecosystems, as acidic conditions nega-
tively affect formation of corals and both chitin-
ous and calcareous shells of arthropods and
molluscs, respectively [30]. In addition, less CO2
dissolves in acidic solutions, and the solubility of
CO2 decreases as temperature increases [5].
Polar Amplification
It has been observed that the polar regions and
especially the Arctic region of the Northern
291
Hemisphere are warming faster than the rest of
the planet, primarily because of the albedo feed-
back [186, 187]. The albedo feedback comes from
the warming of the ocean and atmosphere that
leads to sea ice melting, which in turn leads to
lower albedo over the polar cap and further
absorption of the sunlight and further warming
(white sea ice that reflects sunlight changes to
relatively much darker open water).
As the melting of land and sea ice in polar
regions accelerates (along with hydrological cycle
changes, see below), more freshwater flows into the
ocean. Due to its low salinity, this water is less
dense, and its introduction disrupts the normal ther-
mohaline circulation that drives ocean flow, for
example, mixing surface and deep waters. There is
evidence that this meltwater has weakened the
Atlantic overturning circulation [188]. Europe
receives about a third of a sun’s worth of energy
from the Gulf Stream [5], and changes in the Atlan-
tic Meridional Overturning Current (AMOC) will
impact European weather as climate warms.
Hydrological Cycle
A simplified global hydrological cycle depicts
ocean and land surfaces heated by the sun’s radi-
ation, resulting in evaporation of water that moves
with winds in the atmosphere, condenses to form
clouds, and falls back to the Earth’s surface as rain
or snow, flowing back to oceans via rivers
[5]. However, human-induced climate change
has a direct influence on precipitation and the
hydrological cycle, especially for extreme events.
Increased heating leads to greater evaporation and
thus surface drying, increasing the intensity and
duration of droughts. The water-holding capacity
of air increases by about 7% per  C warming [35]
leading to an increase in water vapor in the atmo-
sphere; water vapor is also a powerful greenhouse
gas. On balance, the relative humidity of the atmo-
sphere has not been seen to increase with temper-
ature as much as the holding capacity; globally the
increase is only about 2% per  C warming, due to
reduced moisture over land and moisture trans-
port. The increased moisture capacity of the atmo-
sphere at higher temperatures has multiple effects
[189]. Storms (tropical and extratropical cyclones,
thunderstorms) supplied with increased moisture
292 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
produce more intense precipitation events,
increasing the risk of flooding. The higher amount
of moisture in the air will also result in stronger
moisture transport between dry and wet regions,
generally resulting in dry areas becoming drier
(e.g., in subtropics – increased risk of droughts)
and wet areas becoming wetter (e.g., in tropics
and extratropics – increased risk of flooding)
[189]. However, with a warming climate, atmo-
spheric circulation patterns are also expected to
change (e.g., Hadley cell expansion, poleward
movements of jet streams, changes in stationary
waves) and with it regional precipitation patterns
[190] (see below).
Hadley Cell, Jet Streams, Storms, and Rainfall
Distribution
One of the predicted atmospheric circulation
changes under climate change is the expansion
of the Hadley cell [29]. Work by Hu and Fu has
shown that the Hadley cell has already expanded
significantly, between 2 and 4.5 of latitude, since
1979, especially during the summer and fall. This
implies a poleward shift of the subtropical dry
zone, leading to less precipitation in regions pole-
ward of the current/past subtropical zone
[29]. This means that the effect of the circulation
changes is that areas with currently sufficient
amount of rainfall can become drier with global
warming and vice versa, as well as to potentially
further enhance the wet-gets-wetter and dry-gets-
drier patterns (mentioned above).
With warmer atmosphere and oceans, there
will also be more energy available for storm
growth, potentially leading to intensification of
tropical and extratropical cyclones and associated
stronger winds, storm surges, and precipitation.
The different distribution of heat across the
Earth’s surface and upper layers of the atmosphere
will also lead to different distributions of these
storms in a warming climate.
Extratropical cyclones, distinct from tropical
cyclones (i.e., hurricanes and typhoons), are
formed by large mid-latitude surface temperature
gradients, for example, in the North Atlantic,
North Pacific, and Southern Oceans and the Med-
iterranean Sea [27]. Generally, extratropical
cyclones contribute to rainfall, winds, and thermal
fluxes in these regions, while the direction and
speed of extratropical cyclones are affected by
the jet stream. Therefore, the distribution of pre-
cipitation is related to the course of the jet stream.
Generally, the jet streams are predicted to move
poleward with climate change [27], moving
storms poleward from their current positions and
leaving less storms where they’re currently
located. This will result in more precipitation
from extratropical storms poleward from current
precipitation bands and less precipitation equator-
ward. Changes to the meandering of the jet stream
(i.e., changes to stationary waves) will further
contribute to the changes in precipitation patterns.
These effects have important implications for
water resources (via rainfall redistribution) in
these regions as a consequence of climate change;
one example is the drying of the Mediterranean,
which largely results from drier cold season in the
region [28].
Soil Carbon Content and Permafrost
Soils store carbon, and the rate of decomposition of
soil organic matter depends on temperature
[37]. With climate change the flux of CO2 from
soils will also increase, simultaneously depleting
soil carbon. In Arctic and sub-Arctic regions, large
quantities of organic carbon, twice as much carbon
as there is the atmosphere [38], are trapped in frozen
soils as permafrost. Permafrost carbon is derived
from plants and animals that have accumulated in
permanently frozen soil over thousands of years.
Human activities in northern regions cause local
climate warming as well. Over the last 30 years,
the temperature has risen 0.6  C per decade in high-
latitude regions [10], causing frozen ground to thaw
[39]. When organic carbon is exposed to soil
microbes, it decomposes releasing methane and
CO2. This positive feedback accelerates climate
change, but the magnitude and timing of greenhouse
gas emissions from these regions and their impacts
on climate change remain uncertain.
Consequences of Climate Change: The Sixth
Mass Extinction
There have been five historical/geological mass
extinction events in the history of our planet, the
last one occurring roughly 65 million years ago
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
[40]. Scientists concur there is a sixth ongoing
mass extinction, driven by humanity’s domination
of the Earth system and multiple interacting fac-
tors including habitat loss, emerging infectious
diseases, overexploitation, pollution, invasive
species, and climate change. A mass extinction
can be defined as >75% of species disappearing
within a geologically short timeframe (< two
million years). The normal background rate of
extinction is 10–100 times less than the rate of
species having gone extinct in last 100 years
[41]. Climate changes such as higher tempera-
tures, rainfall extremes, sea level dynamics, and
CO2 concentrations directly impact biodiversity
in many ways (e.g., thermal threshold exceeded,
inundation, phenology, etc.) [42, 166].
More than 40% of insect species are declining
and threatened with imminent extinction, and the
total mass of insects is falling at the calamitous
rate of 2.5% per year [43]. Human impacts, both
directly and indirectly, are almost entirely the cause
due to synergies of overharvesting, habitat loss, cli-
mate change, and pollution from intensive agricul-
ture and consumerism. Habitat loss (a consequence
of intensive agriculture and urbanization) and pollu-
tion from fertilizers and pesticides have massive
impacts on insect biodiversity. Of many proposed
solutions, using sustainable and less harmful fertil-
izers and pesticides could be very effective if not
economically popular or feasible [43].
Sustainability and Climate Change
Food Security
Feeding the world’s growing human population
(currently estimated at 7.6 billion people [5]) in a
sustainable way is one of the problems facing
society. If all people lived with a high standard
of living, including a “Western” diet with more
meat, fats, and processed foods, it would require
an additional gigahectare of land currently not
available. Food production worldwide is currently
estimated to be 2750 kcal/person [44], but due to
waste, it is more likely to be around 2200 kcal/
person. In addition to waste, overproduction con-
tributes significantly to the problem of sustainable
food production. In general, production of grains,
293
fats, and oils is excessive, while the production of
fruits, vegetables, and proteins is low relative to
the Harvard Healthy Eating Plate guidelines
(Table 1). The suggested servings meet require-
ments of nutrients for humans [44].
Increasing production of protein works
against the goal of keeping the global mean
annual temperature within 1.5  C, but this
could be offset if production consisted mostly
of plant-based protein and fish, which only con-
tribute 3% and 4% of total GHG emissions,
respectively, in contrast to animal agriculture
which currently contributes 50% [44]. Earth’s
growing human population requires food, but
there is an obvious limit to the amount of arable
land available. One solution would be to
de-emphasize animal production and increase
plant-based protein production.
In food production, fertilizer is often used to
achieve faster growth and higher yield [5]. Fertil-
izers contain fixed nitrogen which contributes to
emissions of N2O. N2O has a global warming
potential 298 times that of CO2 on a 100-year
time horizon [45]. Table 2 shows how agriculture
impacts climate, via CO2 emissions, but also
through methane and nitrous oxide [45].
The United Nations’ Sustainable Development
Goals [167] focus attention on the primary chal-
lenges facing the world. The second goal is to
eliminate hunger and achieve food security
throughout the world. This could be achieved by
ending malnutrition and increasing agricultural
outputs through investment, stable food produc-
tion, and dissemination of knowledge [168].
Air Pollution and Climate Change: Sustainability,
Restoration, and Ethical Implications, Table 1 Com-
parison of current and suggested production of foods [44]
Servings Suggested
Food type produced servings
Grains 12 8
Fruit and 5 15
vegetables
Oil and fat 3 1
Protein 3 5
Milk 1 1
Sugar 4 N/A
294 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications

Health Consequences of Climate Change Energy and the Development of Human

Areas that are food-insecure are most likely to suffer
negative environmental effects due to climate change.
Climate change will cause a higher probability of
illness and death due to extreme heat waves, inhala-
tion of pollutants, food shortages, and an increased
risk of water- and foodborne diseases [169].
Increasing temperatures from climate change
will also affect human populations, directly and
indirectly. It is estimated that by 2100, surface
temperatures could increase by 7  C, which will
affect the ability to work outdoors and will affect
agriculture and crops [47].
Air Pollution and Climate Change: Sustainability,
Restoration, and Ethical Implications, Table 2 Agri-
cultural emissions as fraction of total greenhouse gas
emissions [45]
Pollutant CO2
Agricultural 15
emissions as
fraction of total
emissions (%)
Expected changes Stable or
by 2030 declining
Society
Energy is closely related to our daily life and is an
important driver of the development of human
society. Energy is fundamental to the economy
and is easily correlated with economic output.
Before the industrial revolution, traditional socie-
ties relied on physical labor, biofuels, and wind
and water power [48]. After the discovery of the
steam engine, coal became the dominant fuel, and
subsequently oil and natural gas, and nuclear
energy [5]. The share of renewable energy (i.e.,
solar, wind, tidal, hydropower) is growing quickly
but is still small relative to fossil fuel (Fig. 7).
Development of human societies is only achieved
with development of energy sources.
The Status of Energy Consumption
CH4 N2O
Since energy is central to our society, it is critical
49 66
to explore the relations between energy and eco-
nomic development. Trends in energy consump-
tion from 1965 to 2017 show the largest increases
From rice: Up to in developing regions such as the Asia Pacific and
stable or ~60%
Africa are much higher than developed regions
declining increase
From (see Fig. 6), and in those regions, the reliability on
livestock: coal tends to be larger as well (Fig. 7).
~60% Different regions of the world rely on a differ-
increase
ent mixes of energy; Fig. 7 shows the values for

Global Primary Energy Consumption (1965-2017)

14000.0

12000.0
Million tonnes oil equivalent

10000.0

Total Asia Pacific

8000.0 Total Africa
Total Middle East
Total CIS
6000.0 Total Europe
Total S. & Cent. America
Total North America
4000.0

2000.0

-
1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015
Time/yr

Air Pollution and Climate Change: Sustainability, dataset from BP Statistical Review of World Energy:
Restoration, and Ethical Implications, Fig. 6 The https://www.bp.com/en/global/corporate/energy-economics/
global primary energy consumption from 1965 to 2017, statistical-review-of-world-energy.html
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications 295

TOTAL NORTH AMERICA TOTAL EUROPE

Renewables
Hydroelectric 4.0% Renewables
Nuclear 5.9% Hydroelectric 8.2%
Oil 6.6%
energy 7.8% 40.0% Nuclear
Coal energy 9.8% Oil
13.1% 37.1%

Coal
15.1%

Natural Gas Natural Gas

29.2% 23.2%

GLOBAL ENERGY STRUCTURE IN 2017 TOTAL S. & CENT. AMERICA

Renewables Renewables
Hydroelectric
4% Hydroelectric 4.7%
Nuclear 7%
energy 4% Oil 23.2%
34%
Nuclear
energy 0.7% Oil
45.5%
Coal
28% Coal
4.7%

Natural Gas Natural Gas

23% 21.3%

TOTAL ASIA PACIFIC TOTAL CIS

Hydroelectric
Hydroelectric Renewables Renewables
Nuclear Nuclear 5.8%
6.5% 3.0% 0.1% Oil
energy 1.9% energy 6.7%
Oil 20.8%
28.6% Coal
16.1%

Coal
48.4%

Natural Gas
11.5%

Natural Gas
50.5%

TOTAL MIDDLE EAST TOTAL AFRICA

Nuclear Hydroelectric
energy 0.2% Hydroelectric
0.5% Renewables
Renewables Nuclear 6.5%
Coal 1.2%
0.9% 0.2% energy 0.8%
Oil
46.8% Oil
Coal 43.7%
20.7%

Natural Gas Natural Gas

51.4% 27.1%

Air Pollution and Climate Change: Sustainability, Review of World Energy: https://www.bp.com/en/global/cor
Restoration, and Ethical Implications, Fig. 7 The porate/energy-economics/statistical-review-of-world-energy.
global energy structure in 2017, dataset from BP Statistical html
296 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications

2017. Coal is the main fuel in the Asia Pacific countries such as China and India are relatively
region, while natural gas dominates in CIS low due to their large populations.
(Commonwealth of Independent States) and the
Middle East accounting for over 50% total fuel Hubbert’s Peak or Peak Oil Theory
use [49]. Oil is the dominant fuel in the Americas, Hubbert’s peak theory was developed by the
Europe, and Africa [49]. On a global scale, oil, American geophysicist Marion King Hubbert.
coal, and natural gas are the top three consumed He asserted that oil production from a given
fuels accounting for 34%, 28%, and 23% of the region tends to increase rapidly to a maximum
total, respectively. output level and then enters a terminal decline
until extraction becomes prohibitively expensive
The Relationship Between per Capita GDP and [35]. While the basic idea that petroleum
Energy Consumption resources are finite and will come to an end is
Economic analysis shows a clear a positive rela- not refuted, there is significant debate concerning
tionship between per capita GDP (gross domestic when the peak will be reached and what the effects
product) and energy consumption (Fig. 8). Energy will be for society [35]. Even though the growth of
consumption in 2011 in the United States, the oil consumption is driven by economic develop-
equivalent to 7032 kg of oil per capita, was much ment, oil is not limitless. Production of oil and
larger than that of China, 2029 kg per capita, linked other nonrenewable resources including natural
at least in part to a larger per capita GDP, $49,854, gas, coal, and rare metals is facing similar issues
in the United States versus $10,041 in China of extraction and production [50].
(Fig. 8). Even though total energy consumption One of the famous examples of Hubbert’s peak
across the Asia Pacific region is relatively high, theory is the production of whale oil in the nine-
energy consumption per person in developing teenth century [35]. With cheap supply and the

Correlation of energy consumption and GDP per person in 2011

20000
per capita energy consumption /kg oil equivalent

18000

16000

14000

12000

10000

8000 Canada United States

6000 Australia
Japan
New Zealand
4000

2000 India European Union

China
0
0 20000 40000 60000 80000 100000 120000 140000 160000
GDP per capita based on purchasing power parity/current international $

Air Pollution and Climate Change: Sustainability, equivalent per capita), https://data.worldbank.org/indica
Restoration, and Ethical Implications, Fig. 8 Rela- tor/EG.USE.PCAP.KG.OE; GDP per capita, PPP (current
tionship of per capita GDP and energy consumption/kg international $), https://data.worldbank.org/indicator/NY.
of oil equivalent of 132 countries and regions in 2011, GDP.PCAP.PP.CD
dataset from the World Bank: Energy use (kg of oil
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
ability to burn brightly, the demand for whale oil
spurred the whaling industry and caused it to go
“through a spectacular cycle of growth and
decline” in the nineteenth century [35]. The num-
ber of whales and whaling ships shows a classic
predator-prey dynamic, and the output of whale
oil follows a bell-shaped curve.
Relationship Between Greenhouse Gas
Emission and Economic Development
Economic externalities are those costs born not by
the buyer or seller but by society [170]. Climate
change and air pollution are two good examples of
external costs: those who create the pollution do
not pay, and the costs are imposed on everyone.
The 2006 Stern Report [51] presupposes that
atmospheric greenhouse gas levels should be sta-
bilized between 450 and 550 ppm of CO2 equiv-
alent to avoid catastrophic ecological collapse and
severe negative impacts for society. This concept
involves converting other gases to an equivalent
amount of CO2, denoted CO2e. In 2006, the level
of CO2e was already at 430 ppm [20]. To accelerate
the low-carbon energy transition from coal to
renewable energy sources, governments and indus-
tries need to develop and distribute environment-
friendly technologies. Renewable energy sources
(solar, wind, geothermal, and hydroelectric) are
currently the most sustainable energy sources
because there are no direct emissions of carbon
dioxide and resource potentials are virtually
unlimited [52].
Climate action is a major objective in the
United Nations Sustainable Development Goals
(SDGs) with the idea that “urgent action to com-
bat climate change and its impacts” is needed
[53]. The United Nations wrote that “global
warming is causing long-lasting changes to our
climate system, which threatens irreversible con-
sequences if we do not take action now” [54].
Jevon’s Paradox
Jevon’s paradox was an observation about energy
consumption and energy efficiency made by the
English economist William Stanley Jevons in his
book The Coal Question in 1865 [55]. Jevons
observed that the production and consumption of
coal increased at the same time as the use of coal
297
became more efficient [55]. In general, improve-
ments in efficiency increase consumption rather
than reduce it due to subsequent increased
demand [56]. However, environmentalists, indus-
try, and government often disregard this paradox
when trying to reduce energy consumption by
increasing efficiency.
A clear modern-day example of Jevon’s para-
dox is the “paperless office.” In theory, increasing
use of computers and electronic storage of data
should reduce paper usage eventually leading to a
“paperless” office environment. However, con-
trary to the expectation, consumption of paper
has increased [56].
Jevon’s paradox has important implications for
the sustainability of energy resources [57]. One
potential solution to avoid Jevon’s paradox is
governmental regulation (e.g., taxing higher con-
sumption, offering discounts for reducing con-
sumption, etc.) coupled with energy efficiency.
Environmental Management and
Climate Change
Preservation
For the past century, preservation has been the
traditional environmental management strategy
around the world [175]. The core idea of preser-
vation has been captured by the Wilderness Act
set by the US Congress in 1964 which defines
wilderness as follows:
A wilderness, in contrast with those areas where
man and his own works dominate the landscape, is
hereby recognized as an area where the earth and its
community of life are untrammelled by man, where
man himself is a visitor who does not remain.
(Wilderness Act of 1964) [174]
Thus, preservation attempts to protect natural
areas from human influence and places a high
value on their “naturalness” and “wildness” and
the independence of an area from human
impact [59].
Habitat
As human populations and consumption grow,
areas formerly used for animal habitats are being
converted into areas used for human interest such
298 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
as agriculture and city expansion [72]. The main
areas converted are forests (both tropical and tem-
perate), savannas, and coastal marshes. This is
causing a major contribution to the extinction of
species.
People around the world are trying to preserve,
restore, and manage ecosystems, but with the
climate changing at a different speed in different
areas around the globe, these environmental man-
agement practices are difficult to prepare.
Not only does the coming climate change pose
a big challenge for restoration; the emissions over
the last several decades pose a challenge as well.
In a study from 2000, scientists found that the
proportion of herbaceous and woody components
of the savanna are connected to CO2 in the air. As
a consequence, the savanna cannot be restored as
it was before the heavy CO2 emissions, because it
will not grow back in the same way [70].
Species
Climate change is threatening global biodiversity
including the numbers of species, the numbers of
individuals, and the interrelationships between spe-
cies. Many species are struggling to adapt to rising
temperatures and changing weather. The protection
of ecological systems and biodiversity depends on
existing systems, but given the increasing losses of
habitat and environmental quality, and increasing
losses of species and individuals, it is clear that the
existing systems are not sustainable.
Changes in net photosynthetic productivity at the
base of the food chain affect the entire ecosystem.
On land this is mainly plants and in the oceans,
algae. Plants are affected by, e.g., drought and
flooding, loss of habitat, and air pollution. Oceanic
productivity is affected by, e.g., nutrient availability,
ocean circulation, and pH. There is less space avail-
able for the ecosystem due to roads, buildings, and
agriculture, and the space that is there is changing,
due to flooding, drought, pollution, etc.
In a review on biodiversity management from
2008, scientists evaluated 113 papers and their rec-
ommendations for conservation of natural habitat
and species. A third of the papers point out that the
need for ecological information is greater than the
need for additional social or political information,
with the related conclusion that actions are more
important than just passing on information [73].
Seeds and Plants
Food security is of major concern worldwide;
food production is threatened by climate change.
In addition, with the ongoing degradation of the
ecosystem, preservation of the plants we eat has
become a concern. Gene- and seed banks are
emerging as a way of preserving seeds and plants
and their respective genetics. It is estimated that
there are currently 1750 gene banks worldwide.
One of them is the Svalbard Global Seed Vault
located in Norway and owned by the Norwegian
government. The Vault can hold up to 4.5 million
seed samples and is surrounded by permafrost to
cool and preserve samples if power systems fail.
However with climate change and associated ris-
ing temperatures, the vault has experienced some
water damage due to the permafrost melting. Cur-
rently, it holds around 5000 different kinds of
species and far more samples. The Seed Vault is
considered a key operator in the preservation of
seeds and plants [74]. Another approach for pre-
venting the extinction of seeds and plants is to
create more protected and monitored areas [75].
Ecological Restoration
Human societies are putting increasingly danger-
ous pressure on ecosystems that support life on
Earth, and the scientific studies that document
their destructive impacts on the global biosphere
are mounting [60–62]. These impacts have
become so widespread and severe that ecological
restoration has become a major form of environ-
mental management [58, 59] and it is currently
going through an exciting growth period
[191]. For example, the Bonn Challenge attempts
to restore 150 million hectares of deforested and
degraded land by 2020 and 350 million hectares
by 2030 [192]. At the beginning of 2019, the UN
declared 2021–2030 to be a “Decade of Ecosys-
tem Restoration” [193]. Restoration projects can
vary from local small-scale projects such as with
the Greene Prairie, a 47-acre restoration at the
University of Wisconsin-Madison’s Arboretum
in the United States, to large-scale projects such
as the Comprehensive Everglades Restoration
Plan in the United States which is the broadest
and most expensive restoration project to date
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
[194]. The plan combines more than 50 projects
and consists of 68 project components estimated
to cost over $10.5 billion over a timeframe of
more than 35 years. Ecological restoration has
also been recognized as an important objective
in environmental policy. For instance, the
European Union is committed to restoring 15%
of degraded ecosystems in Europe by 2020
(European Commission 2011 [63]).
The most widely accepted definition of ecolog-
ical restoration has been presented by the Society
for Ecological Restoration (SER) [64]: “Ecologi-
cal restoration is the process of assisting the recov-
ery of an ecosystem that has been degraded,
damaged, or destroyed.”
The definition provides important information
about the contents of ecological restoration. First,
the definition suggests that the act of ecological
restoration is an intentional human activity. The
restoration practitioner makes an active choice to
restore a particular area. The term assisted recovery
highlights this active role of the restorationist in
assisting the transition to a “healthy” or intact con-
dition. Second, the definition provides vital infor-
mation about the goal of restoration projects.
Restoration projects are not aimed solely at improv-
ing the state of a particular environment, but to
restore it to the pre-disturbance condition
[65]. Therefore, ecological restoration takes a strong
stance on appointing value to historical legacy
(often called historical fidelity) of the system prior
to human degradation and subsequent intervention.
Finally, the definition recognizes the destructive role
that humans have played in ecosystems and the
responsibility resulting from this destruction.
Ecological Restoration and Climate Change
Ecological restoration can play an important part in
the mitigation efforts toward climate change. This
is because the restoration of vegetation and soils –
especially of forest ecosystems – is considered safe
sinks to absorb carbon dioxide [68, 69]. However,
climate change also poses a threat to the practice of
ecological restoration by challenging its main
goals: historical fidelity and ecological integrity.
Climate change will likely make it difficult, if not
impossible, to return a damaged ecosystem back to
its previous pre-disturbed state. For example, if an
area was flooded by rising sea levels, it might not
299
be appropriate to attempt to return the area to the
temperate woodland which once stood there
[70]. Therefore, historical fidelity, which links the
present to the past, might not be an attainable goal
in the future dictated by climate change.
Will this render ecological restoration impossible
in the future? Philosopher Andrew Light predicts
that for some restoration practitioners, climate
change will relax the obligation to follow historical
reference conditions and for others, it will lead to an
existential crisis [71]. Looking at the predictions
provided by the IPCC, some warming is inevitable,
and even the most optimistic scenarios predict
warming of at least 2  C above pre-industrial levels,
which will likely lead to significant ecological con-
sequences [10]. Light argues that as species and
entire ecosystems start moving as a consequence
of climate change, the definition of ecological resto-
ration will also be on the move and will likely adapt.
However, how ecological restoration as a practice
will evolve along with the challenge of climate
change will likely have important societal and eco-
logical consequences. If ecological restoration con-
tinues to hold fast to historical fidelity, it is likely that
it will not be a viable practice in the future. At the
other extreme, if the grip on historical fidelity is
loosened completely, ecological restoration might
transform into a practice of complete human eco-
logical domination focused only on ecosystem ser-
vices and goods aligned with utilitarian economic
ends leading to a future of designer ecosystems. As
pointed out by Harris et al., “it is one matter to watch
change happen in ecosystems and wonder how and
how much to intervene, and quite another to become
a determining agent in that change” [70].
Mitigation and Adaptation
Relations Between Climate-Related Risk,
Hazard, Vulnerability, and Exposure
There is a close relationship between climate-
related risk, hazard, vulnerability, and exposure
(Fig. 9). The risks of climate-related impacts
include the changes in the climate system and
socioeconomic that result from the interactions
between climate-related hazards, vulnerability,
and exposure of human and natural systems
[4]. The change of climate system consists of
300 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
Air Pollution and Climate
Change: Sustainability,
Restoration, and Ethical Hazards
Implications,
Fig. 9 Overview of the
causes, impacts, and
feedbacks of climate risk
Climate Risk
Climate System
• Natural Variability
• Anthropogenic Climate Change
anthropogenic climate change and natural vari-
ability, while socioeconomic processes consist of
adaptation and mitigation actions, governance,
and socioeconomic pathways. These changes are
the drivers of hazards, exposure of human and
natural systems, and vulnerability [4].
Mitigation and adaptation are two approaches for
dealing with climate change. Mitigation includes
actions that limit, stop, or reverse long-term climate
change, whereas adaptation focuses on adjusting to
actual or expected climate. There are many mitiga-
tion strategies including land use change (e.g., refor-
estation) and carbon capture and storage (from a
point source or open air). Adaptation strategies
include flood prevention (e.g., flood barriers on
river estuaries and sea gulfs), water supplies in dry
regions, and food security.
Mitigation
Carbon Dioxide Removal (CDR) via Land Use
Changes and Ocean Sink
Carbon dioxide removal is a form of geoengineering
that comprises a number of technologies for large-
scale removal of CO2 from the atmosphere
[132]. Two methods that are often discussed involve
modifications to the land and ocean carbon sinks
Exposure Vulnerability
Impacts
Socioeconomic
Processes
• Governance
• Adaptation and Mitigation Actions
• Socioeconomic Pathways
[118]. While using the land sink has positive second-
ary effects for the environment, since, e.g., replanting
trees leads to both ecological restoration and uptake
of carbon dioxide (in contrast past land use changes,
like deforestation, have contributed about 30% to
global CO2 emissions [195]), the ocean sink leads
to ocean acidification (see below). Other forms of
geoengineering are presented under adaptation strat-
egies as they do not include carbon sinks.
Land Carbon Sink Enhancement
The land-based biosphere is a large reservoir of
carbon, driven by photosynthetic plants. Compared
to the ocean which is a large reservoir for dissolved
inorganic carbon, the carbon lifetime is relatively
short on land because stored carbon returns to the
atmosphere when plant matter decays.
The carbon content and lifetime of the main
reservoirs of carbon on land [118] are shown in
Table 3. There are several ways of enhancing land
reservoirs including the production of biochar,
afforestation, and reforestation.
Biochar
Biochar is a kind of charcoal produced by pyrol-
ysis. Biochar production converts half of the car-
bon of biomass into charcoal and produces CO2
that can be removed by carbon capture and storage,
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
Air Pollution and Climate Change: Sustainability,
Restoration, and Ethical Implications, Table 3 Car-
bon content and lifetime of different reservoirs of land
carbon sink [118]
Carbon Average
Reservoirs of land carbon content/ lifetime/
sink PgC years
In leaf litter and detritus 90 ~2
In global biomass (mostly 550 ~50
woody vegetation)
In soil as labile organic 660 ~50
carbon
In soil as recalcitrant 750 ~500
material
see below, by heating biomass in the absence of
oxygen [118]. Sources of biochar include pyrolysis
of agricultural, forestry, and urban waste and other
sources of plant waste [118].
Compared to crop wastes and woods, biochar
safely captures and stores carbon for a much lon-
ger time as biochar is resistant to biological oxi-
dation, in contrast to plant material including
wood. In addition, mixing biochar with soil
enhances crop yield and shows a strong potential
for reducing emissions of the greenhouse gases
CH4 and N2O by soil, and NH3, and improving
soil structures [142].
Bioenergy with Carbon Capture and Storage
(BECCS)
BECCS refers to carbon sink technologies that
extract energy from biomass, for example, by
making ethanol or biogas, and trap and store the
CO2 that is produced [195]. Photosynthetic
plants and algae (e.g., crops like sugar cane,
corn, rapeseed) take up CO2 as they grow; the
biomass is then used as food or fuel. The pro-
cesses of producing biofuel, for example, fer-
mentation to produce ethanol, give CO2 that is
captured. The carbon in the biofuel came from
the atmosphere and is released back into the
atmosphere when the fuel is used, and in addi-
tion, the CO2 produced in fuel manufacture is
captured and stored. When optimized, BECCS
thus promises to be a carbon-negative technol-
ogy. However, significant amounts of energy can
be used in producing and processing biomass, for
example, as fertilizer and for tractors and trucks.
301
It may take decades before their net carbon foot-
print becomes negative [195]. Further research is
necessary to reduce cost, improve performance,
and scale up BECCS.
Afforestation and Reforestation
Afforestation refers to establishing forests at for-
merly forested locations that have lost their tree
cover for over half a century, while reforestation
refers to establishing forests at locations that
have lost their trees within the last 50 years
[118]. Afforestation and reforestation are feasi-
ble options for increasing land carbon storage in
the form of soil carbon and plant biomass includ-
ing wood [143]. A study shows that the regrowth
of forests on farms that were abandoned during
the medieval outbreak of bubonic plague in
Europe can account for the CO2 and temperature
decrease during that period [144]. Storing
11–27 GtC by reforestation was shown to result
in decreases of atmospheric CO2 of
4–10 ppm [144].
Due to its potential for storing carbon and
improving environmental resilience, several
projects have been launched to address deforesta-
tion. One example is the United Nations’ Reduc-
ing Emissions from Deforestation and forest
Degradation (REDD+) project, which aims to
support reforestation in developing countries
[196]. Another is the Great Green Wall project to
re-establish a continuous band of trees across
Africa across the Sahel to reduce desertification
[145]. The 8000 km project is already 15% com-
plete. By establishing green belts and trees, the
Great Green Wall will moderate temperature,
reduce wind speed, and enhance humidity of
soil [145].
In addition to storing carbon and providing bio-
diversity, increasing forest cover can enhance cloud
cover, increasing the albedo, via evapotranspiration,
and providing biogenic precursors of cloud conden-
sation nuclei, helping to counteract the lower albedo
of forest relative to grassland [118].
Ocean Carbon Sink Enhancement
The ocean is a formidable reservoir for carbon that
can absorb over a quarter of anthropogenic carbon
dioxide [118]. There are several ways to improve
the carbon sink capacity of the ocean.
302 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
Ocean Alkalinity Enhancement
Carbon dioxide (CO2) is soluble in water (H2O)
forming carbonic acid (H2CO3), bicarbonate
(HCO3), and carbonate (CO32) and producing
acidity (H+) [5]:
CO2 þ H2 O
H2 CO3
Hþ þ HCO3 

2Hþ þ CO3 2
There is a rapid equilibrium between these
forms, and the relative amounts are determined
by the pH of the solution. Together, H2CO3,
HCO3, and CO32 are called dissolved inorganic
carbon (DIC), and the concentration of DIC
depends on acidity, increasing with pH. One
method for enhancing ocean alkalinity is to add
lime into the ocean [146]. This process consists of
three steps: firstly turning the calcination of lime-
stone (CaCO3) into lime (CaO) and CO2; secondly
the lime is hydrated to generate calcium hydroxide
(Ca(OH)2) [147]; and thirdly calcium hydroxide is
put into oceans to increase ocean pH and increase
the uptake of atmospheric CO2 [148]. It is shown
that an increase in seawater alkalinity of 10% is
enough to uptake 50% of anthropogenic-emitted
carbon dioxide for around half a decade [148].
Although additional CO2 is released during the
process of calcination, the generated CO2 can be
captured directly during production using carbon
capture and storage (CCS) [118]. Besides the need
for capturing CO2, the scale and availability of
limestone are worth considering. A study claimed
that sequestering 15 billion tons of CO2
(approximately 2 ppmv CO2), approximately the
amount of the annual increase of atmospheric
CO2, would require 10 km3 of limestone, and the
energy required for its calcination [147]. Although
the demand for limestone is large, it does not
exceed the quarrying and calcination capacity,
and there is abundant limestone in the crust.
Ocean Fertilization
In the ocean, photosynthesis takes up DIC and
converts it into carbohydrate biomass:
H2 CO3 ! 1=nðCH2 OÞn þ O2
When planktons die, they fall in the water
column, transporting carbon from the surface
deeper in the water column or to sediment.
Often, the rate of photosynthesis is limited by
the availability of one or a few key nutrients,
such as iron, whose addition can greatly increase
the net primary productivity, enhancing CO2
uptake [149]. In 2004, seven tons of iron sulfate
was added into the Southern Ocean resulting in a
massive bloom of diatoms and the highest chloro-
phyll column recorded in a fertilization test. It was
shown that at least half the resulting bloom bio-
mass sank into the deep ocean resulting in storage
for centuries or longer [150].
However, this technique can have negative
effects on marine ecosystems including the poten-
tial disruption of fisheries which should be taken into
consideration when implementing the ocean fertili-
zation (see the section on “Ecological Justice”).
Carbon Capture and Storage (CCS)
Carbon dioxide is the primary anthropogenic
greenhouse gas; its concentration has increased
rapidly (see Fig. 4a). Carbon capture and storage
(CCS) is a key strategy for mitigating climate
change. It consists of the separation of CO2 from
a gas stream after which it is compressed and
stored [103].
Carbon Dioxide Capture
The first step of the carbon capture and storage
process is the capture of CO2 produced by, e.g.,
the combustion of fossil fuels or calcination of
limestone.
There are three main applications of carbon cap-
ture including pre-combustion, post-combustion,
and oxyfuel combustion [104] (Fig. 10). In general,
the choice of capture methods and capture systems
is determined by [105] the types of fuels and the
properties of the gas stream including the pressure
and concentration of CO2.
Pre-combustion Capture
In pre-combustion capture, the fuels are combined
with the air or O2 to produce a mixture of hydro-
gen, carbon monoxide, and carbon dioxide, which
is called gasification [106]. The reforming step is
followed by gasification, when water is added to
convert the CO into H2 and CO2. The H2 can
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
subsequently be used in power generation, and the
pure CO2 can be safely captured.
Post-combustion Capture
In post-combustion capture, fossil fuels are
burned, and then the flue gas passes through a
suitable absorber which absorbs the carbon diox-
ide before it enters the atmosphere. In this way, the
CO2 is safely captured. Stripping carbon dioxide
from the gas stream is the key step of the capture
process. It can be achieved by several different
methods such as solvents [107], solid sorbents
[108], membrane systems [109], and adsorption/
desorption processes.
One of the mature technologies is the amine
solvent absorbents. Some studies have shown that
the working fluid can break down over time
resulting in the release of by-products [110]. The
subsequent atmospheric reactions of these com-
pounds would form products including carcino-
genic nitrosamines that could potentially pose a
hazard for surrounding areas [110].
The other example of absorbers in post-
combustion capture method is the use of metal-
organic frameworks [111]. The metal-organic
frameworks are one of the promising carbon diox-
ide capture materials due to their high surface
areas and adjustable pore functionality allowing
them to selectively adsorb a large amount of
CO2 [112].
Oxyfuel Combustion
The last key capture method is the oxyfuel pro-
cess. The nitrogen is stripped from the oxygen
before combustion in an air separator [113]. The
purified O2 is combusted with fossil fuels that
produce CO2 and water vapor. Then the water
vapor is cool condensed and removed.
Carbon Storage
The second step of CCS is to store the CO2 safely
and permanently.
Land carbon storage (“geosequestration”) is
the primary carbon storage method; the sites
may be on land or under the ocean floor. Sites
with porous rocks such as oil fields, gas fields,
saline formations, and saline-filled basalt forma-
tions are chosen to store the compressed, liquified
CO2 [114]. The method requires a reservoir
303
beneath an impermeable nonporous layer. In
some cases the CO2 is used for enhanced recovery
of oil or gas, to press more hydrocarbons out of a
formation.
If the geology of the formation is suitable, the
CO2 can bind into minerals. For instance, carbon
dioxide can be stored in basalt in the form of
stable carbonate minerals. The calcium, magne-
sium, and iron oxides in basaltic rocks are avail-
able to react with CO2 to generate carbonate
minerals [115] such as CaCO3, MgCO3, and
FeCO3.
Silicate of Mg or CaðsÞ þ CO2 ðgÞ
! MgCO3 ðsÞ or CaCO3 ðsÞ þ SiO2 ðsÞ
This carbon capture technique has been achieved
in Iceland, and “it is estimated that about
7000 GtCO2 can be stored in offshore of Iceland
within the Exclusive Economic Zone” [116].
Ocean storage can be achieved by injecting and
dissolving (dissolution type) or injecting liquid-
like supercritical carbon dioxide (lake type) in the
deep ocean [103]. Dependent on its lower viscos-
ity and higher density relative to and water (and
oil), the mobility of an injected lake of supercrit-
ical CO2 is determined by hydrodynamic forces
[117]. In time, centuries to millennia, the CO2 lake
will dissolve and disperse and become part of the
global carbon cycle [103]. Ocean storage is asso-
ciated with a number of environmental impacts.
First, ocean carbon storage will cause a decrease
in ocean pH which is harmful to marine organ-
isms. Second, CO2 lakes themselves are toxic to
marine life and will likely kill creatures that come
into contact with them [103].
It is important to note that a significant amount
of CO2 is stored nonpermanently in soil and bio-
mass such as in leaf litter and detritus, in the soil as
labile organic carbon, in the soil as recalcitrant
material, and in woody vegetation [118].
Therefore, it is important to establish a sophis-
ticated long-term monitoring system for stored
CO2 in order to avoid leakage. In addition, storage
sites should be carefully selected to allow for
permanent storage of the CO2 at the site, and
additionally, the acceptability of the site should
be taken into consideration to avoid any negative
impacts on the ecosystem [117].
304 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications

Pre-combustion: Heat & Power

Air/O2 H2 Other products

CO2 Compression
Fossil fuels Gasification/reforming H2/CO2 Separation
& Transport

Post-combustion:
Air

Combustion CO2 Separation CO2 Compression

Fossil fuels
& Transport

Heat & Power

Oxy-fuel combustion:

Air Fossil fuels

Air separation O2 Combustion CO2 Compression

& Transport

Heat & Power

Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications, Fig. 10 Carbon
capture categories: pre-combustion, post-combustion, and oxyfuel combustion

Direct Air Capture scalability. Estimates of the cost range of DAC

In direct air capture (DAC), CO2 is captured from
the ambient air. It is absorbed or adsorbed onto a
solid or liquid sorbent which is regenerated yield-
ing clean sorption substrate and CO2 for use,
storage, or sequestration. The air-to-CO2 ratio is
currently 2500:1, so to collect enough CO2 to be
meaningful, large amounts of ambient air must be
processed. This requirement limits the efficiency
of the process and places requirements on the
materials that can be used. The energy and size
requirements mean that the method is currently
more expensive than other approaches [119].
Reaching the Paris targets, whose goal is to
keep global warming below 2  C by the year
2100, is not possible given current trends. Achiev-
ing them would require drastic reductions in CO2
emissions combined with direct air capture.
The feasibility of a given technology is deter-
mined by its cost and to some extent by its
range from $30 to $1000 per ton of CO2 (/t CO2).
In contrast, the price of CO2 as a chemical com-
modity varies from $100 to $300/t CO2, depending
on the transport method; this price is a result of
current market conditions, and the price would be
expected to fall if new CO2 sources went into
production. It is estimated that at a price of $50/t
CO2, it would be economically feasible to make
fuel from algae. This process requires CO2 but is
only in play if the price of CO2 were to be signif-
icantly lower.
Another challenge for CCS is transporting CO2
from the capture facility to the storage site. This
transportation, whether by road or pipeline,
requires energy and infrastructure. With DAC,
capture and storage can take place at the same site.
Authors have noted that the possibility of DAC
could work against efforts to reduce CO2 emis-
sions because people may think we can just
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
recapture it again, someday. It’s important to note
that CO2, once emitted, becomes very dilute in the
atmosphere and is therefore much harder to cap-
ture than when it is highly concentrated at a point
source of emissions. In addition, it is not sustain-
able to rely on the promise of a technology that is
not fully developed. To prevent a catastrophic
climate trajectory, it is important to reduce emis-
sions now, by decreasing emissions of CO2 and
pursuing negative emissions approaches [120].
Methane Control
As shown in Fig. 1, the radiative forcing of meth-
ane is quite large and has contributed over half
again as much radiative forcing as CO2. On a per
gram basis, methane is 86 times more warming
than CO2 which means that reducing methane
could potentially be very cost-effective. Also,
since its atmospheric lifetime is short, about
10 years, reducing methane emissions would
have immediate benefits in contrast to CO2 which
stays in the climate system for centuries [5]. Unfor-
tunately, methane is very inert chemically. Its CH
bond is the least reactive of any hydrocarbon. It has
a very high vapor pressure and does not condense
or adsorb easily. Scientists discovered that zeolites
may hold promise for methane capture; the next
step is to test the zeolites and determine if the
theory works in practice [121]. Methane sources
include wetlands, methanogenic bacteria, garbage
dumps, cows, and termites [5]. The sources are
diffuse making them difficult to control.
McKinsey Marginal Abatement Cost Curve
Besides focusing on the mitigation target of keep-
ing the temperature increase below 2  C relative to
pre-industrial [122], it is critical to consider the
effectiveness, cost, and scale of mitigation and
abatement actions when governments and organi-
zations put the climate change mitigation strate-
gies into wide practice.
The marginal abatement cost (MAC) is a mea-
sure of the cost of reducing an additional unit of
pollution. The MAC for many methods can be
summarized in a MAC curve which is defined as
“. . .a graph that indicates the cost, usually in $ or
another currency per ton of CO2, associated with the
last unit (the marginal cost) of emissions abatement
for varying amounts of emission reduction” [123].
305
A number of research organizations have
published MAC curves [2, 3, 123, 124]. The
global greenhouse gas abatement cost curve pro-
duced by the McKinsey & Company (Fig. 11) is a
typical and well-known example. It summarizes
the costs of different emissions reductions ordered
from lowest to highest and provides a discussion
about “what actions would be most effective in
reducing emissions” [2].
This figure shows vetted technologies for achiev-
ing a greenhouse gas abatement of 38 GtCO2e per
year [2]. Improving the energy efficiency of indus-
tries, buildings, and vehicles costs little and in many
cases saves money due to the decrease in energy
consumptions. In addition, many abatement
methods use low-carbon energy sources such as
wind, nuclear, solar, and hydro. There are also
approaches based on forestry and agriculture, such
as reforestation and land use change. Finally, emerg-
ing technologies such as CCS do not contribute
large abatements and are expensive; these prices
are expected to drop with further development and
implementation.
Besides McKinsey & Company, the Wuppertal
Institute for Climate, Environment and Energy
has produced MAC curves for Germany [124],
and the Bloomberg New Energy Finance has pro-
duced the curves for the United States [3].
Adaptation
Due to legacy emissions, past decisions, and
“political inertia,” humanity is already committed
to some dangerous climate change impacts, which
means that adaptation appears to be inevitable.
Adaptation has traditionally received less atten-
tion than mitigation mainly due to its limited
potential, uncertain benefits, and less straightfor-
ward measurements [127].
Examples of Adaptation Strategies
Adaptation in Europe
Countries across the globe are preparing and
implementing adaptation strategies. Though the
seriousness and speed of climate change impacts
are being debated, there is no doubt that it is
happening. Given the wide range of impacts, it is
306 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications

Global GHG abatement cost curve beyond business-as-usual – 2030

Gas plant CCS retrofit
Abatement cost Coal CCS retrofit
€ per tCO2e Iron and steel CCS new build
60 Low penetration wind Coal CCS new build
Cars plug-in hybrid Power plant biomass
50 Residential electronics co-firing
Degraded forest reforestation
Residential appliances Reduced intensive
40 Nuclear agriculture conversion
Retrofit residential HVAC Pastureland afforestation High penetration wind
30 Degraded land restoration
Tillage and residue mgmt Solar PV
20 Insulation retrofit (residential) 2nd generation biofuels Solar CSP
Building efficiency
Cars full hybrid new build
10
Waste recycling
0
5 10 15 20 25 30 35 38
-10 Organic soil restoration
Geothermal Abatement potential
-20 Grassland management GtCO2e per year
-30 Reduced pastureland conversion
Reduced slash and burn agriculture conversion
-40 Small hydro
1st generation biofuels
-50
Rice management
-60 Efficiency improvements other industry
Electricity from landfill gas
-70 Clinker substitution by fly ash
-80 Cropland nutrient management
Motor systems efficiency
-90 Insulation retrofit (commercial)
Lighting – switch incandescent to LED (residential)
-100
Note: The curve presents an estimate of the maximum potential of all technical GHG abatement measures below €60 per tCO2e if each
lever was pursued aggressively. It is not a forecast of what role different abatement measures and technologies will play.
Source: Global GHG Abatement Cost Curve v2.0

Air Pollution and Climate Change: Sustainability,
Restoration, and Ethical Implications, Fig. 11 Global
greenhouse gas abatement cost curve beyond business-as-
usual in 2030. (Source: Exhibit from Pathways to a low-
carbon economy: Version 2 of the global greenhouse gas
abatement cost curve, September 2013, McKinsey & Com-
pany, www.mckinsey.com. Copyright (c) 2019 McKinsey
& Company. All rights reserved. Reprinted by permission
[2])

challenging to create a comprehensive plan to deal
with climate change.
In Europe, the key risks of climate change will
include rising sea level, an increase in economic
losses, increased pressure on water resources, and
many more. Adaptation will require preparation
for flooding, higher efficiency for water use, and
more [128].
Besides having a negative impact on wildlife,
ecosystems, and nature, flooding has a major eco-
nomic impact. Flooding in coastal areas may
cause erosion and damage to buildings, which
require additional insurance when located in
flood zones. Increasing urbanization in coastal
areas carries increased economic risk.
Food security is also at risk. On land there
are obvious effects from increased variability in
rainfall and increased temperature. In the ocean
there are impacts from changing temperature,
circulation, and pH, resulting in shifts in the dis-
tributions of plankton and fish [129].
The European Union (EU) requires its mem-
bers to adopt an adaptation plan in preparation for
the effects of climate change. Currently, 25 of the
28 member countries have adopted such a plan.
The focus of the EU adaptation strategies is to
address three main points: preparing and approv-
ing a national adaptation plan, “climate proofing”
key elements such as agriculture and the fishing
industry, and promoting the use of Climate-
ADAPT, which is the EU’s climate adaptation
platform, thereby promoting knowledge on adap-
tation and climate change.
In 2012 Denmark approved a National Adap-
tation Plan (NAP). The NAP requires all munici-
palities to participate with the result that they
have all implemented a local plan. Money was
set aside in the national budget to support the
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
municipalities with implementation. Nationwide,
the adaptation focus was on transport, coastal
protection, and roads.
Adaptation in Food Security and Agriculture
Climate change is a key challenge to food secu-
rity, posing a serious threat to countries around the
world [197]. Crop yields are negatively affected
by climate change including extreme tempera-
tures, changes in growing season and climate
zone, and variable rainfall [130]. Reduced pro-
duction will cause higher prices and a higher risk
of shortages. Countries in many regions have
taken steps toward adaptation in the areas of agri-
culture and food security.
In North Africa, a study focusing on Morocco
documented the effects of water scarcity on social
stability [131]. For agriculture that depends on
rainfall, planting patterns and crop types have
shifted in response to climate change. Strategies
for reducing risk may include more accurate sea-
sonal weather predictions and crop insurance [4].
In Australia, industries have relocated due to
climate change. Further, individual farmers have
moved or changed activities, such as changing
from grazing to cropping and changing crops,
due to long-term changes in rainfall [4].
In China, there are adaptive responses to cli-
mate change ranging from individual farmers to
the government. China is making efforts to
improve agricultural infrastructure, including
accelerating the construction of water-saving irri-
gation projects, restoring degraded farmland,
planting trees to combat desertification, and
developing water storage and utilization projects
in mountainous and desert areas [130]. Besides
government-level actions, individual farmers
have adopted water-saving technologies and new
crop varieties to reduce climate-related risks
[130].
Geoengineering with Solar Radiation
Management (SRM)
In the context of climate change adaptation,
geoengineering refers to technologies that are inten-
tionally used to modify synoptic or global climate.
There are two major types of climate geoengineering:
solar radiation management (SRM), discussed here,
307
and carbon dioxide removal (CDR), discussed above
with mitigation strategies. Mitigation and adaptation
are not mutually exclusive.
Solar radiation management (SRM), also known
as solar engineering, is a category of climate engi-
neering with the goal of increasing planetary albedo
and thereby reducing absorption of solar radiation at
the surface [132]. There are three main types of
SRM: albedo enhancement, space reflectors, and
stratospheric aerosol injection [118].
Cloud Albedo Enhancement
Cloud albedo enhancement can be achieved by
increasing the reflectivity of low-level maritime
clouds. The amount of condensed water in a cloud
is determined by the total amount of water present
and the temperature. If a cloud forms in an air
parcel with relatively more cloud condensation
nuclei (CCN), the same amount of liquid water
is distributed among more cloud droplets. While
the amount of liquid water may be the same as if
the cloud had formed in a clean atmosphere, the
surface area is not the same. Light scattering is
determined by the surface area of the water, not
the amount of water, and so the effect of increas-
ing CNN is to make clouds “whiter” [133]. Artifi-
cially increasing CNN would cool the Earth due to
increasing the albedo; oddly, air pollution has the
same effect and has resulted in “global dimming,”
a reduction in the amount of sunlight reaching the
surface. The CCN to cloud albedo interaction is
known as the first indirect aerosol effect and is
also called the Twomey effect [134].
One of the techniques being discussed involves
spraying minute water droplets into the atmo-
sphere from the ocean using high-volume atom-
izers or generating bubbles that would burst at the
surface, generating sea spray, by blowing air
through porous pipes, concepts first proposed by
Latham [135, 136]. The sea spray particles would
be dispersed in the atmosphere by turbulent diffu-
sion and convection, increasing the albedo and
cooling the surface. Mixing could possibly be
enhanced by space-charge repulsion of like-
charged particles. Although raw materials are
free and nonpolluting, the infrastructure would
need to be built [137]. While this approach
would in theory be able to counteract warming
308 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
due to excess CO2, it would not reduce ocean
acidification, and its cooling effects would be
regional due to the limited lifetime of CCN.
Surface Albedo Enhancement
Increasing the surface’s reflectivity toward solar
radiation is another method of albedo enhance-
ment. One method is to use reflective materials to
cover roads and roofs. This has an immediate
local effect for the building or road and, with
widespread use, could cool a city and region.
There are several kinds of roofing technologies
conducive to this approach including membranes,
cool-surfaced modified asphalt systems, and
metal roofing panels [138]. The city of Los
Angeles found that streets painted with a white
sealant were 5–15  C cooler than similar asphalt
streets. Painting the roofs will not only reflect
50–70% solar radiation [138] but also reduce
energy consumption for air conditioning due to
the decreased cooling load after reflecting the
solar radiation.
Space Reflectors
Another way to reduce the absorption of solar
radiation at the surface would be to reflect parts
of incoming solar radiation before it enters Earth’s
atmosphere. This could be accomplished by plac-
ing reflectors in space, between the sun and Earth
[118]. In 1989 Walter Seifritz proposed [139]
placing mirrors in a Lagrange orbit [140]. The
Lagrangian point is the (moving) location where
the gravitational forces of the sun and Earth cancel
[140]. Placing mirrors in a Lagrange orbit is effec-
tive at deflecting sunlight for the entire planet, not
just for a certain region(s). Putting mirrors in a
Lagrange orbit is very costly. A cheaper option
would be to place reflectors in orbit around the
Earth [140]. However, mirrors in Earth orbit
reflect less solar radiation because the reflectors
might be in the Earth’s shadow part of the orbit.
Stratospheric Aerosol Injection
The third method or achieving solar radiation
management would be to inject sulfur into the
lower stratosphere. The stratosphere is known to
contain a layer of sulfuric acid aerosol, the
so-called Junge layer, with sulfur provided by
OCS from the troposphere and volcanic injection
[198]. Large volcanic eruptions such as the erup-
tion of Mount Pinatubo in 1991 are known to cool
the global climate [141]. Paul Crutzen proposed
[199] that if elemental sulfur was injected into the
lower stratosphere using missiles, the dispersed
sulfur, after being oxidized in the atmosphere
yielding sulfate, would give a cooling effect with
a lifetime of 1–2 years. The amount of cooling
would thus be reversible and could be controlled
by the rate of injection. The sulfate aerosols
increase scattering of shortwave solar radiation
before it reaches the Earth’s surface [140] by
absorbing and emitting longwave radiation
[118]. There are several proposed techniques of
sulfate injection including the use of artillery
shells and putting the sulfur in aircraft fuels [140].
Compared with the space reflectors and sea
spray generation, stratospheric aerosol injection
is more technologically feasible and less costly.
However, there are unavoidable disadvantages
of stratospheric sulfate injection. First, it could
cause a small increase in ozone depletion by
increasing the number of aerosols. Second, the
aerosols will cause sky whitening [140]. Finally
this method would not solve the problem of ocean
acidification.
Ethics and Philosophy of Climate
Change
Scientific understanding of the issues surrounding
climate change is a vital foundation, and in addi-
tion, there are critical ethical implications which
should not be ignored. Environmental and climate
science addresses complex and interacting sys-
tems, thus involving “integrating knowledge and
expertise from several disciplines” [200,
201]. One such interdisciplinary intersection
occurs with the field of environmental ethics,
which is a “discipline in philosophy that studies
the moral relationship of human beings to, and
also the value and moral status of, the environ-
ment and its non-human contents” [202]. In fact,
many of the arguments made in environmental
ethics are often dependent on the findings of sci-
entific research [200]. However, ethics and
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
science do not obviously fit together. For instance,
the question of the appropriate role of values in
science is a long-standing debate in the philoso-
phy of science. It is often perceived as inappropri-
ate for values to “to intervene on the evaluation
scientific hypotheses” promoting a view that sci-
entific hypothesis should be as value-free as pos-
sible [200, 203, 204]. However, there is support
for the idea that there is an appropriate place for
values within science. There is extensive support
backing the use of social, political, and ethical
values in the selection of research priorities and
determining “which technological applications of
scientific knowledge to pursue” [200]. The aim of
this section is to embrace the exchange between
scientists and philosophers by describing the eth-
ical implications of the global environmental
change and the ethical implications of some of
the scientific results and technologies that are
being developed to deal with these issues. Raising
the scientific and ethical discussions together will
hopefully represent the issues of climate change
more holistically, providing a more realistic rep-
resentation of these issues.
Climate Change: A Perfect Moral Storm
Scientific, political, and economic research on
climate change has dominated the academic and
public discussions of climate change, despite it
being an inherently ethical issue [71, 72]. This
failure to evaluate climate change holistically
has led to a fragmented debate which in turn has
led to one of the key aspects of climate change
being ignored: how to inspire change in individual
and collective action. Philosophical analysis can
be invaluable in shedding light on important prob-
lems and potential solutions beyond the reach of
scientific and economic analyses [78–80].
The analyses of the ethical dimensions of cli-
mate change are varied but could be grouped into
three broad categories: global justice, ecological
justice, and intergenerational justice [81]. How-
ever, these categories are by no means exhaustive,
and not all the ethical issues fit neatly into one
category or into any of them.
The ethical problems that climate change cre-
ates are particularly large and messy, which phi-
losopher Steven Gardiner (2006) [84] has
309
summarized: “climate change involves the con-
vergence of a set of global, intergenerational and
theoretical problems. This convergence justifies
calling it a ʻperfect moral stormʼ” (see also [77]).
In fact, this perfect moral storm not only does
make answering these ethical questions difficult
but also makes effective action to combat the
problem harder. This is because climate change
complicates our ethical analyses and relationships
and creates suitable conditions for moral corrup-
tion whereby those in power can effectively
ignore the problems and delay action until it is
too late. Moral corruption instantiates by “subvert
[ing] our understanding of what is at stake” ([77],
pp. 45–46) by undermining our moral language
and arguments to serve the purposes of the mor-
ally corrupted. What is particularly problematic is
that most of the victims of climate change – future
generations and nonhumans – are not able to
participate in the discussion since they have not
yet been born or are otherwise unable to commu-
nicate and/or understand the problem to
begin with.
Similarly to Gardiner, the seriousness of cli-
mate change as a moral problem has led philoso-
pher Dale Jamieson to lament: “Today we face the
possibility that the global environment may be
destroyed, yet no one will be responsible. This is
a new problem” [160]. Jamieson has argued that
climate change poses such a great moral problem
that we need a new environmental ethic altogether
to help unravel the complicated relationships of
responsibility for climate change. For Jamieson,
anthropogenic climate change poses a challenge
to our understanding of “rational self-interest,
ethics and justice among states” [160]. According
to Jamieson, climate change struggles to gain
traction and inspire action because of its complex
and asymmetrical structure as a moral problem
across different sectors of society. The reason
why climate change is so problematic as a moral
dilemma is because the challenges it poses range
across different dimensions – relational, temporal,
and spatial. Most ethical models of responsibility
are based on clear person-to-person interactions,
such as telling a lie to a friend or stealing a bicycle.
Climate change on the other hand operates on a
completely different scale as an international,
310 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
global, intergenerational, and interspecies collec-
tive action problem. According to Jamieson, our
old theories and models of morality are not
equipped to deal with such complicated ethical
problems. Therefore, ethics itself needs to be
advanced to develop new ethical systems
equipped to handle such complex ethical prob-
lems. Not all philosophers feel we need to go as
far as creating a new environmental ethic as
Jamieson suggests [79]. However, there is con-
sensus that climate change poses a real moral
threat that demands resolution.
Global Justice
Global justice issues encompass the global reach
and scale of the ethical issues caused by anthropo-
genic climate change. There appears to be a wor-
rying disconnect in how the acts of individuals are
transformed into the huge collective action prob-
lems often referred to the tragedy of the commons,
followed by the worrying political and social iner-
tia needed to deal with such problems [83, 84].
One of the major ways that the global justice
issues are manifested is through the unethical and
unfair geographical distribution of harms caused
by climate change. In other words, poor people,
poor nations, and the ones most vulnerable are
often the ones that suffer the most, despite the
fact that they have often been the least responsible
for the emissions that have led to climate change.
Similar pattern of vulnerability is present with air
pollution and pollution in general [205]. This
imbalance could be framed as the rich “taking
advantage of the poor and more vulnerable, and
especially their vastly inferior bargaining posi-
tion” [81]. The political branch of climate ethics
looks into these issues, on how the burdens and
obligations between different individuals, demo-
graphics, nations, and international justice as a
whole should be dealt with [85–88]. Philosophical
discussions are also focused on climate negotiations
and the role of justice in these negotiations [89].
Tragedy of the Commons
The tragedy of the commons arises when individ-
ual users, acting in their own self-interest, ruin a
common resource by their collective action. The
name comes from an essay written in 1833 by
British economist William Forster Lloyd, which
described the effect of individuals allowing their
livestock to graze in the village commons. The
problem of the tragedy of the commons was pop-
ularized and recast in a modern context by ecolo-
gist Garret Hardin in 1968 [90] (for other
discussions on the tragedy of the commons, see
Johnson 2003 [91]; Soroos 1997 [92]). Even
though Garret framed the concept to warn against
overpopulation, it is equally valid in describing
the problem of climate change. In classic ethical
problems, the consequence of an action is here
and now, but with climate change, the impact of,
e.g., burning a lump of coal is distributed, thinly,
over the entire globe, and it is not immediate but
rather spread out, thinly, over generations; the
burner does not, in most cases cannot, meet their
victim. The benefit of burning the coal, for heat or
to cook food, is immediate and local.
The tragedy of the commons describes situa-
tions where individuals acting in their own self-
interest overuse a shared common resource, such
as natural resources, fossil fuels, and natural sinks
for emissions, thereby depleting or spoiling the
resource altogether, thus acting against the com-
mon good of all users. The crux of the problem is
that it is in the individual’s interest to use the
shared resource and to get there first, despite this
leading to its despoiling. However, tragedy can be
avoided by group action such as privatization or
regulation. For instance, Elinor Ostrom [93]
famously argued that members of a community
are able to create mutually agreed governance
systems and moral sanctions, thereby guiding
individual use of the common resource to a sus-
tainable level. From the perspective of climate
change, individual emissions produce a tricky
collective action problem, when a set of rational
actions by individuals all over the world cause
climate change, thereby creating a worse outcome
to everyone compared to a scenario where the
same individuals would have cooperated by intro-
ducing restraint to their actions.
Individual Action
Is it possible then to hold individuals morally
responsible for collective action problems such a
climate change? For example, philosopher Walter
Sinnott-Armstrong [94] has argued that individ-
uals have no obligation to reduce their emissions;
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
causally, individual emissions are too small to
cause climate change, and thus individuals cannot
be held morally responsible for such harms. The
only obligation that individuals might have with
regard to climate change, he proposes, would be
political responsibility, since only political insti-
tutions which produce climate policy have the
capacity to respond to the harms caused by cli-
mate change. For instance, Baylor Johnson [91]
argues that individuals only have the responsibil-
ity to push toward collective agreements to deal
with climate change since individual actions are
not sufficient to address climate change. However,
Johnson has later withdrawn this position
[95]. These arguments are based on the following
claims: (1) individual greenhouse gas emissions
(GHG) cause only minimal if any harm to others;
(2) even if an individual chooses to reduce their
GHG emissions, this would not make a meaning-
ful contribution toward reducing global GHG
emissions; and (3) the “obligation to reduce indi-
vidual GHG emissions is overly demanding” [96].
There are also several philosophers who argue
that individuals can be held morally responsible for
climate change. For example, Marion Hourdequin
[97] argues for the importance of individual actions
and responsibility as they bear communicative value
which in turn will encourage trust in other individual
actors, thus making it easier to tackle climate
change. On the other hand, philosopher Trevor
Hedberg [96] has argued that individuals have a
prima facie duty to reduce their personal emissions
which is demanded of them by appeals to personal
integrity. According to Hedberg, the concept of
integrity not only helps to galvanize individuals to
political action against climate change but also pro-
vides them with strong moral reasons to reduce their
individual GHG emissions [96].
Ethical Implications of Mitigation, Adaptation, and
Geoengineering
Mitigation and adaptation are the two key strate-
gies attempting to deal with different aspects of
anthropogenic climate change: “mitigation deals
with the cause of climate change, adaptation deals
with its effects” ([206], p. 24).
Ethical Implications of Mitigation Mitigation
has been defined by Intergovernmental Panel on
311
Climate Change (IPCC) Working Group II as “a
human intervention to reduce the sources or enhance
the sinks of greenhouse gases” [207]. However,
what counts as a sink is not ethically straightfor-
ward. All the attempted descriptions of what can be
considered “as a ‘sink’ are normatively charged
because they must assume a specific answer to the
question, safe for whom?” [69]. Also, what counts
as a sink can raise ethical problems. Any destination
other than the atmosphere can be considered as a
sink; however, treating the ocean sink risks
compromising marine ecosystems due to ocean
acidification. Ocean acidification will have reper-
cussions for the biosphere as a whole including
human food systems (see also the section on “Eco-
logical Justice”). So, when considering sinks, the
emphasis should be on safe sinks such as soils and
vegetation [68, 69]. In particular, reforestation and
afforestation would not only be considered safe but
would also help combat deforestation [69]. Further,
the ethical issues of mitigation are relevant to the
development of sustainable mitigation policies and
technologies. The ethical issues that emerge from
mitigation policies are often related to the fairness of
global emissions trajectories [98–100]; for example,
the West benefitted from using fossil fuels, and it
would not be fair to now deny similar use to the
East. In addition, questions arise such as who should
pay for the research and development of mitigation
technologies, should the polluter pay, or should the
bill fall to society as a whole?
It is generally assumed, ethically speaking, that
mitigation is preferable to adaptation. As stated by
philosopher Henry Shue, “while mitigation is like
the prevention of an affliction, adaptation is more
like rehabilitation from the affliction, or in some
cases, successful adjustment to it while it persists”
[69]. Currently, many policy decisions are guided by
scientific and economic arguments; however, choos-
ing between mitigation and adaptation based on
these arguments has been heavily criticized. Evalu-
ating future risk in terms of today’s money is diffi-
cult and uncertain [51] and will “involve enormous
amounts of arbitrary evaluation” [69].
Ethical Implications of Adaptation Adaptation
attempts to take “the ‘danger’ out of ‘dangerous
climate change’” ([206], p. 24). One of the main
aspects of adaptation is vulnerability. Vulnerability
312 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
is closely related to the issues of justice and fair-
ness, as the individuals who have emitted the least
are often the ones who are, or will be, most vulner-
able to the effects of climate change [125,
126]. The complex issue of assigning responsibil-
ity is compounded by asymmetric power relation-
ships, creating a severe challenge to global
cooperation on these issues. It is not possible, and
is often even irrational, for poorer nations to fund
climate adaptation strategies, not to mention miti-
gation [69]. In addition, it can be considered unfair
and unreasonable to expect poorer nations to sac-
rifice necessities when no such sacrifices were
made by richer countries, who have been reluctant
to sacrifice even luxuries [87].
Ethical Implications of Geoengineering -
Geoengineering as a strategy to alleviate anthro-
pogenic climate change has received considerable
attention from philosophers. Discussions of
geoengineering face definitional complications
as it is not necessarily clear where geoengineering
falls within the mitigation/adaptation spectrum. In
addition, the two types of geoengineering strate-
gies (SRM and CDR) are very different, with very
different ethical implications and unique suites of
problems and advantages.
The Royal Society defines geoengineering as
“deliberate, large-scale manipulation of the plan-
etary environment in order to counteract anthro-
pogenic climate change” ([208], p. 1). A set of key
characteristics have been identified to help distin-
guish geoengineering from other practices. For
instance, according to Thomas Schelling,
geoengineering must include three features:
“global,” “intentional,” and “unnatural” ([209],
pp. 304–305; see [210] for a summary of defini-
tions of geoengineering). These debates over
nomenclature matter as they have important con-
sequences for how geoengineering is perceived,
treated, and practiced. For instance, the way
geoengineering is defined affects whether it is clas-
sified as part of mitigation or adaptation or as a
completely separate practice. In addition, this cate-
gorization has ethical consequences. Geoengineering
is often presented as being complementary to miti-
gation and adaptation, a third option for dealing with
anthropogenic climate change ([208], p. 57; [206],
p. 23). Clare Heyward [206] has argued that “criteria
such as ‘deliberate,’ ‘large-scale,’ or ‘unnatural’ do
not distinguish geoengineering, (from) either CDR
or SRM, (or) from mitigation or adaptation” ([206],
p. 24). She notes that afforestation, one of the tech-
niques of CDR, has been considered to fall under
mitigation by the IPCC ([211], p. 10). In contrast
SRM technologies do not attempt to tackle GHG
concentrations, but instead attempt to “prevent cli-
mate change (or at least one key part of it) by keeping
global temperatures stable, despite the increased
GHG concentration. . . Thus, SRM is distinct from
adaptation” ([206], p. 26). Heyward’s analysis shows
that the different technologies that fall within the
remit of geoengineering vary significantly. It is cru-
cial to be precise as to which type of geoengineering
technology is being referred to when the feasibility,
acceptability, or desirability of such technologies is
being discussed, let alone decided. For example, the
ethical implications surrounding afforestation or
reforestation are very different compared to strato-
spheric aerosol injections. The former would not
only be less risky but would help combat deforesta-
tion, provide habitat for species, and thereby
potentially contribute to biodiversity and would not
be a global intervention and could provide other
values as well such as aesthetic and/or recreational.
In contrast stratospheric aerosol injections would
involve significant uncertainty, have significant
justice issues surrounding who gets to decide
whether the technology is deployed, and have diffi-
culty determining who is liable if something goes
wrong. SRM technologies in particular have received
strong criticism from environmental philosophers
[81, 100, 101].
It is also necessary to consider the direct ethical
implications of geoengineering. An influential
report by the Royal Society [208] highlights the
importance of ethics in determining the legitimacy
of geoengineering projects: “overall it is clear that
ethical considerations are central to decision-
making in this field” (Shepherd et al. 2009, p. 39
quoted in [100]). In addition, the “analysis of
ethical and social issues associated with research
and deployment” has been listed as one out of
eight identified research priorities ([208], p. 53;
quoted in [100]). Gardiner has been one of the key
environmental philosophers analyzing the ethical
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications 313

Air Pollution and Climate Change: Sustainability, to avoid the “nightmare scenario” of uncontrolled
Restoration, and Ethical Implications, Table 4 Ethi- climate change [102]. However, according to Gar-
cal values emerging form geoengineering based on
Gardiner’s summery [182]. This list is not an exhaustive diner, this narrative can be seen as scaremonger-
list of the different values that have been raised ing and downplaying the knowledge gaps
Values identified scientists might have of the effects of using these
with Further technologies on a large scale. In addition to these
geoengineering What type of values literature misleading narratives, political inertia has pushed
Welfare Benefit/harms [212] geoengineering to the fore as a viable option to
Justice Procedural, [100, combat the emerging climate catastrophe. This
distributive, gender; 213– has forced us into a paradoxical position with
international, 216]
intergenerational, regard to geoengineering: “What should we do,
across species ethically speaking, given that we have not done,
Rights National self-defense; [217, and will not do, what we should be doing?”
sovereignty; individual 218] [227]. Consequently, Gardiner has argued that
protections
“far from being a welcome new tool for climate
Relationship Less intrusive [100,
with nature interventions 212,
action, geoengineering policy may become
219] another manifestation of the underlying problem”
Intention Doing versus allowing; [220] ([227], p. 511, italics in original).
foreseen versus
unintended
consequences
Ecological Justice
Responsibility Compensation; [100,
rectifying injustice 214, Biodiversity loss, ecological degradation, habitat
217] loss, the sixth mass extinction, and the impacts of
Precaution Catastrophe avoidance [221, climate change most seriously affect nonhuman
222] animals, plants, and ecosystems. This type of
Virtue and vice Hubris, recklessness, [81, 214, transfer of costs to other species leads to interspe-
inflicting tragic choices 217,
223]
cies injustice [81]. Ecological justice examines
Political [214,
the relationship between humans and the natural
legitimacy 224] world, taking justice beyond the human sphere
Control and [225, [154, 155]. Ecological justice should not, how-
domination 226] ever, be confused with environmental justice.
Despite sounding similar, environmental justice
focuses only on human relationships when it
implications of geoengineering and has combined comes to environmental goods and harms. How-
a summary of ethical values that have been raised ever, this section focuses on justice for the natural
(Table 4). world. The human dominance over natural
Gardiner’s list in Table 4 demonstrates the resources and space on the Earth should be con-
richness of ethical analyses of geoengineering sidered as an injustice and should be analyzed and
[227]. Gardiner argues that geoengineering con- dealt with within the framework of justice
stitutes a serious ethical problem, so much so that [82]. Appeals to justice can demand and catalyze
he frames geoengineering as a moral failure. He “extensive conservation efforts” and as such can
argues that “it constitutes the crossing of a new serve as valuable tool in combating environmental
threshold on the spectrum of environmental reck- degradation and climate change [82]. The discus-
lessness – attempting intentional manipulation of sion of nature and nonhumans in the climate
the global system – and provides fresh and further debate is relatively new, and not much reflection
evidence of just how far we are willing to go” on this issue has been done [28]. The biggest
[81]. Arguments for geoengineering have often challenge will be convincing the constituents of
focused on the necessity of using this technology the need for this dialogue.
314 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
There are two particularly challenging issues
within ecological justice: (1) Who are we talking
about when we discuss ecological justice?
(2) How and why are these entities morally rele-
vant? To answer the first question, “species, eco-
systems, nonconscious living organisms, and
conscious, sentient animals” are the candidates
for inclusion in ethical decision-making ([228],
p. 274). The second question attempts to answer
which parts of nature should be treated as morally
considerable and why [184]. Those beings that are
morally considerable should be included in our
ethical thinking and decision-making. There are
several schools of thought within environmental
ethics that present arguments as to which aspects
of the natural world qualify as being morally
considerable. For example, individualistic theo-
ries often attempt to justify why specific individ-
ual animals are worthy of our moral attention
[229, 230]. Biocentric theories [185] consider all
life as morally considerable, whereas ecocentric
theories [177] see ecological wholes, such as eco-
systems or even the entire biosphere, as deserving
moral consideration.
Climate change will likely introduce new com-
plexities to the ethical analyses of environmental
costs and benefits, and these will in turn effect
ecological justice. Completely new species and
ecosystems are continually coming into existence,
and to the extent climate change is anthropogenic,
this creates new obligations within the human-
nature relationship [156]. Are humans, for exam-
ple, morally responsible for having introduced
exotic species to indigenous ecosystems? If so,
are humans responsible for their removal and the
restoration of native ecosystems? How should
such restoration be performed? Would killing the
introduced exotic species count as an injustice?
Even though there are aspects of environmental
morality that will fall into already existing doc-
trines (e.g., utilitarianism), not all answers to the
moral challenges of anthropogenic climate change
will be simple or easy to resolve.
Ethical Implications of Preservation
Preservation often attempts to preserve and protect
a “wild” nature that is independent of humans and
often considered the “opposite of civilization.”
However, the goal of preservation begs the prob-
lematic question of wilderness, a pristine state
where people are absent. Thinking of nature in
this way, a nonhuman wilderness, has been termed
the “received wilderness idea” [175]. This idea has
received a lot of attention from environmental phi-
losophers [174]. An obviously related question is
whether humans are separator or one of many parts
of the ecosystem.
The perceived wilderness idea has been criti-
cized in a number of areas: for failing to preserve
wilderness, for conflicting with attempts to pre-
serve biodiversity, for being “historically and eco-
logically naïve,” and for being a “colonial,
imperialistic, unjust practice which harms peo-
ple,” including the very concept of wilderness
being charged for being “androcentric, ethnocen-
tric, Eurocentric, and racist” to name a few ([175],
pp. 11–12). In addition, the emergence of the
Anthropocene has been seen as making the idea
of wilderness problematic and even meaningless.
Despite this long list of criticisms, the preserva-
tion of wilderness has been defended by many phi-
losophers and environmental practitioners [175–
178]. For instance, philosopher Mark Woods has
constructed a detailed account defending wilderness
as a meaningful concept and as an important preser-
vation goal, by developing a “wilderness ethic
grounded in other-than-human naturalness, wildness,
and freedom” ([175], p. 266). Ecologist Reed Noss,
on the other hand, has defended wilderness by urging
that the wilderness ideal should be incorporated into
“a broader vision of recovered but dynamic land-
scapes dominated by wildland but complemented by
true civilization” [179]. According to Noss, what
separates humans from nature is human culture,
with its currently unsustainable lifestyles.
Ethical Implications of Ecological Restoration
Despite the goal of ecological restoration to repair
damage caused by human impact, ecological res-
toration has received criticism from environmental
philosophers. The criticism has been centered on
the goals of ecological restoration projects. The
philosophical debate surrounding ecological resto-
ration was introduced by philosopher Robert Elliot
in the article Faking Nature [66]. In the article,
Elliot presents fundamental and problematic issues
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
surrounding ecological restoration. Elliot attacked
the claim that ecological restoration is able to
restore the natural state of a damaged environment.
He argued that ecological restoration is incapable
of restoring a particularly important value found in
nature, its naturalness. The problem was that eco-
logical restoration treated natural value as some-
thing that could easily be recreated or replaced.
According to Elliot, “nature is not replaceable
without depreciation in one aspect of its value
which has to do with its genesis, its history”
[66]. In other words, he emphasized that the reason
why people value nature is that it is “natural to a
high degree” and this value of naturalness is
closely related to the area’s origin and its history
[66]. This led Elliot to argue that restored nature
was, in fact, faking nature. The emphasis Elliot
placed on naturalness has significance for environ-
mental policy. Elliot was particularly concerned,
along with many other environmentalists, that
environmentally destructive activities could be
legitimized by the promise of later restoration.
Elliot called this line of thinking the “restoration
thesis” and illustrated that it is not only naïve in
practice but dangerously undermines conservation-
ist principles. Faking Nature sparked a vibrant
exchange between philosophy and ecology over
the important discussion of the normative relation-
ship between the human and nonhuman world [65,
67].
The obvious ethical implication of ecological
restoration is the issue of death. An important
“side effect” of ecological restoration is that it
often involves actions that directly or indirectly
cause the death of organisms. For instance, the
introduction of a predator species into an ecosys-
tem will indirectly result in deaths of the species
that are its prey. Another example is if an invasive
species is removed to protect the endangered
indigenous species. The ethical implications
often become more troublesome when the death
includes a sentient species [67]. This issue also
raises difficult questions related to trade-offs. Is
there a straightforward way of resolving the trade-
off between an invasive species of goat introduced
by humans and an endangered species of plant
that the goat eats? Does the value of rarity play a
role in these decisions or the value of
315
biodiversity? Should a rare plant trump the exis-
tence of a common plant? Should sentience be
held to highest regard? Is it problematic to remove
a perfectly good and thriving exotic species just
because they are not indigenous to the area? [67]
Intergenerational Justice
The issue of intergenerational justice addresses
the challenging large time lags involved in climate
change. A common political strategy has been to
defer the impacts of climate change into the
future, to future generations. However, this strat-
egy “strongly implies that the current generation
is taking advantage of its privileged temporal
position with respect to its successors in indulging
in political inertia” [81]. This raises several
intergenerational justice issues (see Gosseries
and Meyer [151]; Meyer and Roser [152]; Nolt
[153]).
But who are future generations? Philosopher
John Nolt [153] has defined a future person “as
one [at a given time] who is not alive then but will
be later.” Persons who could actually never exist
are not future persons. Importantly, future people
are individuals despite the collective terminology
that is often used to describe them. Nolt has
argued that there are several features in our
policymaking that do not take future people seri-
ously. A classic example would be economic
policymaking using economic tools such as social
discount rates. For instance, the notion of accept-
able risk – which establishes spending priorities –
is usually calculated by considering how much
people who are alive now are willing to pay to
reduce risk by a certain amount. However, this
model completely ignores the preferences of
future people and focuses on less relevant factors
like the “willingness to pay” of current people.
The problem with simplistic economic metrics is
that they often rely on preference satisfaction
which does not sufficiently represent welfare.
Nolt argues that considered preferences would
be better suited, as they are more objective and
better supported by rational considerations, and
are therefore better informed. Most people would
“value such conditions as health, longevity, safety,
wealth adequate to needs, opportunities for learn-
ing, and freedom from oppression” [153].
316 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
For many, future generations might feel distant
and irrelevant to our current decisions. However,
Nolt highlights that spatiotemporal separation
should not be morally relevant when considering
future generations. Even though we might have
special relationships with the people close to us,
such as family members, friends, and colleagues,
when it comes to future generations, “it is the
absence or attenuation of such special relation-
ships, not the spatiotemporal separation, that
makes the difference” [153]. This can be tested
by a simple thought experiment. Imagine Steve,
who is alive now, planting a bomb that will reli-
ably explode and kill a stranger. This would be
considered wrong even though Steve did not have
any special relationship with the poor stranger.
Imagine now that Steve plants another bomb, but
one that will detonate far in the future, equally
reliably killing an innocent stranger. Both bomb-
ing incidents are equally wrong from a moral
perspective. One could extend this thought exper-
iment to include climate change. In fact, Nolt has
argued that the present generations’ insatiable
production of greenhouse gases results in the
unjust domination of future generations
[126]. Political theorist Steve Vanderheiden has
attempted to address this by producing two moral
principles to take future generations seriously:
“the moral duty to avoid causing predictable
harm to others” and “a basic principle of equality
that refuses to discount harm simply because it
accrues in the future” [78, 153].
One of the main objections or problems with
the idea that present people have obligations to
future generations comes in the form of the non-
identity problem, raised by philosopher Derek
Parfit [180]. According to the nonidentity prob-
lem, future people’s interest and well-being can-
not be affected by changes in policy. This is
because putting sustainable policies in place
(e.g., emissions reductions and the development
of sustainable technologies) in the hope that these
will lead to increased well-being for future gener-
ations will not work because these very policies
would result in producing different people in the
future than would have otherwise been generated
under the current more environmentally destruc-
tive policies. In other words, the nonidentity
problem “shows that current policy cannot be
governed by reference to harms to the interests
of future individuals, because those policies deter-
mine who those individuals will be and what
interests they will have” [181]. This arises
because new polices will inevitably affect peo-
ple’s behavior, leading current people to make
different choices, leading them to meet different
people, and, further, leading to different children
being born than would have been born under
different policies. Thus, sustainable policies can
only create populations that are better off com-
pared to other different populations that could
have existed under different policy regulations.
Derek Parfit himself and other philosophers
have, however, shown either that the nonidentity
problem is flawed or that the problem is purely
apparent. For instance, John Nolt has argued that
the nonidentity problem relies on a questionable
argument: “An action can be wrong only by mak-
ing someone worse off than she would have been
otherwise” [182]. He has argued that this argu-
ment is in fact false and that it is enough for an
action to be considered as wrong if it results in
injuring or killing a person [183].
The Importance of the Justice Trilemma
The three dimensions of justice and the examples
discussed above highlight the importance of
ethics and philosophical analysis in disentangling
the swarm of moral dilemmas climate change
creates. The trilemma emphasizes the need for a
holistic analysis of climate change that incorpo-
rates not only its scientific, political, and eco-
nomic dimensions but also a detailed ethical
treatment. If we truly want to find sustainable
solutions to climate change, we must incorporate
morality and ethics into the climate change
debate. As Gardiner writes, “we cannot get very
far in discussing why climate change is a problem
without invoking ethical considerations” [84]. We
have reached a point where there is a serious need
for moral accountability and responsibility. Most
importantly, ethics represents and includes in the
decision-making process, the most vulnerable, the
most disenfranchised, and the most ignored
within the human and nonhuman communities.
Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
Conclusion
It is perilous and paradoxical that climate
change, easily the most important problem fac-
ing human society, is largely ignored. Economic
development and the well-being of society
require energy, but producing energy, especially
from fossil fuel, generates air pollution and
greenhouse gases; the increasing effects of air
pollution and climate change make social devel-
opment unsustainable due to the clear threat of
catastrophic effects. Therefore, it is critical to
rapidly transition to a sustainable economy, for
the human species and the ecosystem as a whole.
How much time do we have? A recent study
evaluates the risk of crossing a climate threshold,
a point of no return into an Earth system with
significant sea level rise, higher than any point
seen during the Holocene, and global tempera-
tures warmer than in any interglacial in the past
1.2 million years [241]. This threshold is defined
by triggering strong, intrinsic, biogeophysical
feedbacks that would be difficult to influence
by human actions, “a pathway that could not be
reversed, steered, or substantially slowed”; cru-
cially, it may be only decades away. There is a
narrowing window of opportunity to take action,
and the longer we wait to limit greenhouse gas
emissions, especially carbon dioxide, the more
rapid the decarbonization will have to be.
It is tempting to believe that there will be an
easy technological fix, but many authors and
expert panels have concluded that society must
transform itself. Since anthropogenic climate
change is an existential threat to Earth’s entire
ecosystem, risking our only home, every busi-
ness, community, government, and individual
should take responsibility to tackle this problem
as doing nothing and continuing with business as
usual lead to serious injustice. The current situ-
ation is environmentally and ethically
unsustainable. However, inspiring individual
and collective action remains our largest chal-
lenge. Nevertheless, with political action,
broader public awareness, and better dissemina-
tion of information to all stakeholders across the
globe, we can realize the necessary changes that
society ought to accommodate.
317
Future Directions
As the climate and environmental crisis deepens,
understanding the ethical implications of science
and human technologies will is becoming more
immediate. Here we make recommendations for
future directions in scientific and philosophical
research in the areas of climate change and air
pollution.
Since technology appears to be the main factor
causing environmental degradation – climate
change and large-scale environmental damage
would not have been possible without technol-
ogy – many philosophers have turned a critical
eye on technology itself. Even though “philoso-
phy of technology and environmental ethics may
or may not be a match made in heaven” ([231],
p. 445), finding a common ground between these
two areas, and in addition science, may yield
solutions to our environmental predicament.
Both critical and more positive analyses of tech-
nology are needed. For instance, further research
into the ecological modernization thesis, which
analyzes how technology and market forces are
moving toward environmental healing and resto-
ration, might offer an alternative way forward
[231–233]. Since we will most likely need to use
technology to capture CO2 (via DAC, CCS), tech-
nology is also a necessary part of solving the cli-
mate crisis, but further research into the ethical
impacts of these technologies is needed to regulate
or rule out technologies which have unacceptable
ethical implications. For instance, it may be pru-
dent to favor some CCS technologies/techniques
(e.g., reforestation, land use changes) over others as
they entail less risk and more direct co-benefits to
the environment [234–236]. The acceptable tech-
nologies should integrate with the ecological mod-
ernization thesis. Further research into the benefits
of developing these safer technologies compared to
more risky technologies is needed [237, 238].
Considering that energy technologies are
responsible for the “worst sources of planetary
pollution,” it is interesting that environmental eth-
icists have not spent more energy arguing against
these technologies ([239], p. 391). This is partly
because the harms are so obvious and well-known
and partly because their attention has instead been
318 Air Pollution and Climate Change: Sustainability, Restoration, and Ethical Implications
directed toward responding to arguments
attempting to justify the continued use of pollut-
ing energy technologies [239]. There are three
important directions for future research. First, sci-
entists should continue to develop environmen-
tally beneficial energy technologies (e.g., solar,
wind, hydro energies) using life cycle analysis to
detail their environmental impact. Second, envi-
ronmental ethicist should create a strong norma-
tive framework for our energy use. Third, leaders
need to better understand how to “use ethics to
motivate people to end dirty energy” ([239],
p. 401). The reasons for the dominating role of
dirty energy are complex (energy subsidies, ease,
infrastructure, stranded assets), and an incisive
description of the problem is central to solving
it. This effort would benefit from scientists, ethi-
cists, and psychologists working together to
develop technologies that help individuals under-
stand and act based on their personal ethics and
responsibilities.
Climate change is happening now and will
only become worse with time if the mitigation
goals are not met (i.e., if Paris Agreement [240]
goals are not met, the Earth’s system will go
beyond a tipping point [241], at which climate
change becomes largely irreversible). Therefore,
adaptation strategies become increasingly rele-
vant. Further research on environmentally sus-
tainable adaptation technologies will become
increasingly important. In addition it is crucial to
evaluate the relative effects (both ecological and
social) of adaptation technologies.
As the Earth system is nearing many tipping
points under global warming (e.g., accelerated Arc-
tic sea ice loss; increasing sea level rise; increasing
deforestation of the rainforests in Amazon;
vanishing coral reefs; extinction of species [10]),
research is necessary to further understand the eco-
logical tipping points and the implications of cross-
ing them [241]. Furthermore, the future of some
fields of ecology such as ecological restoration will
be critically impacted by climate change. Research
is therefore needed to understand how these fields
can best adapt to this challenge. For instance, fur-
ther development of ecological restoration in the
face of the challenges of climate change will be
vital [242]. In addition we recommend further
research in the relatively new area of rewilding
[243] and investigation of assisted migration of
animals and how this might be used to alleviate
the impacts of climate change on the natural
world [244].
Acknowledgments Lina Boljka acknowledges support
from National Science Foundation (NSF) grant number
AGS-1643167.
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Aviation and Atmosphere
Hartmut Grassl
Max Planck Institute for Meteorology, Hamburg,
Germany
Article Outline
Glossary
Definition of the Subject
Introduction
Emissions of Climatically Relevant Substances
by Aviation
Aviation-Induced Cloudiness
Changes of Air Chemistry by Air Traffic
Transport Sector’s Contribution to Future Climate
Change
Why Did International Air Traffic So Far Escape
from an Emission Reduction Policy?
The European Directive to Include Air Traffic into
the Emission Trading Scheme
An Airline Emission Index
Conclusions and Outlook
Bibliography
Glossary
AIC Aviation-induced cloudiness is the sum of
all changes in cloudiness associated with avia-
tion operations hence, it combines contrails
and so-called persistent contrail cover.
Airline emission index A measure to compare
the performance of different airlines with
respect to emissions relative to an ideal one.
Aviation Here: commercial air traffic.
Contrails Jet engine exhaust condensation trails
of airplanes.
Emission trading A market-based approach
used to control pollution by providing eco-
nomic incentives for achieving reductions in
the emissions of pollutants.
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_555
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_555
GWP The global warming potential is a relative
measure of how much heat a greenhouse gas
traps in the atmosphere. It compares the
amount of heat trapped by a certain mass of
the gas in question to the amount of heat
trapped by the same mass of carbon dioxide.
GTP The GTP is defined as the ratio between the
global mean surface temperature change at a
given future time horizon following an emis-
sion (pulse or sustained) of a compound rela-
tive to a reference gas.
Radiative forcing When the balance between
the radiative energy received from the sun
and radiative energy leaving the Earth-
atmosphere system is perturbed, e.g., by a con-
centration change of an absorbing gas, the
resulting imbalance is termed radiative forcing
that initiates climate change.
Definition of the Subject
Commercial air traffic’s peculiarity, emissions
into the atmosphere mainly at cruising altitude,
leads to changed impacts on global climate in
comparison to other modes of transport. This
entry concentrates on these differences but also
looks onto measures to reduce emissions, e.g., the
emission trading scheme in the European Union,
and presents an airline emission index comparing
commercial airlines.
Introduction
The exhaust of commercial and also military air-
craft needs – in comparison to the one from power
plants, cars, trucks, heaters in buildings, railway,
ships, and burners in industry – a special discus-
sion, because of its main injection at cruising
altitudes, i.e., into the upper troposphere or
lower stratosphere from about 9 to 12 km height.
327
328
This part of the Earth’s atmosphere is nearly all
the time colder than 40  C, often it is with about
70  C the coldest one in mid-latitudes in the
lowest at least 60 km. Therefore, the water vapor
concentration in these layers must be lower by
typically 3–4 orders of magnitude than at the
Earth’s surface in low- and mid-latitudes. Hence,
several emissions of an aircraft besides carbon
dioxide, for example unavoidable water vapor, in
principle avoidable nitrogen oxides can lead to a
considerable disturbance of the radiation budget
of the planet. First, via the formation of rather
persistent condensation trails, an ice cloud, during
frequently favorable meteorological conditions,
and second, via the formation of ozone around
cruising altitudes because of the nitrogen oxide
emissions.
In addition, the growth rate of commercial air
traffic was on average above the one for the global
gross economic product, leading to a growing
relative contribution of air traffic to the changed
composition of the atmosphere. Only very
recently did the growth rate no longer surmount
the growth rate of world economy as strong as
before.
However, it was only in the late 1980s when
first publications dealt with air traffic’s potential
influence on climate. Earlier, in the early 1970s,
the planned supersonic aircraft fleet in the USA
had led to an assessment of the impact of such
aircraft on the stratospheric ozone layer. At this
time the consequences of the emission of the trace
gas nitrogen dioxide (NO2) were the main reasons
for the investigations, because it is strongly
involved in stratospheric ozone chemistry leading
to ozone depletion at altitudes above about 20 km
but to ozone increases in the troposphere and
lowest stratosphere.
In 1996, the steadily growing public and sci-
entific discussions on air traffic and its potential
effect on global climate have stimulated the Inter-
national Civil Aviation Organization (ICAO), the
UN specialized agency that has global responsi-
bility for the establishment of standards,
recommended practices, and guidance on various
aspects of international civil aviation, including
environmental protection, to ask the Intergovern-
mental Panel on Climate Change (IPCC) to assess
Aviation and Atmosphere
in a special report [17] entitled “Aviation and the
Global Atmosphere” the air traffic influence on
global climate. In this report not only the effects of
air traffic on atmospheric composition and on
climate were assessed but also projected into the
future using air traffic growth scenarios. These
results and new findings have entered the third
and fourth full IPCC assessments [19–21];
hence, the hitherto known facts have been pre-
sented to the political arena and have led to first
hesitating measures to reduce emissions, like the
European Union’s decision in 2009 to include air
traffic into the European emissions trading
scheme, to become effective on January 1, 2012.
This entry will start with the greenhouse gas
emission history of air traffic in section “Emissions
of Climatically Relevant Substances by Aviation,”
influenced both by the above average growth rate
of this economic sector but also by the strong
increase in fuel use efficiency per passenger kilo-
meter, which has been stronger than for road traffic
and much stronger than for railways. This section
will also include projections of future air traffic
greenhouse gas emissions using estimates from
scenarios of IPCC. It continues with the knowledge
about long-lasting contrails and their dependence
on favorable meteorological conditions in section
“Aviation-Induced Cloudiness.” This section will
also include cirrus clouds formed or transformed
because of air traffic, existing besides the easily
detectable linear contrails. Section “Changes of Air
Chemistry by Air Traffic” is then devoted to
changes in air chemistry caused by air traffic emis-
sions. Section “Transport Sector’s Contribution to
Future Climate Change” extrapolates into the
twenty-first century with known scenarios of
human behavior. It follows the section on “Why
did International Air Traffic So Long Escape an
Emissions Trading Scheme?” The first attempt of
the European Union to include international air
traffic into an emissions trading scheme will be
described in section “The European Directive to
Include Air Traffic into the Emission Trading
Scheme.” The second last section on “An Airline
Emission Index” will present essentials of an air-
line index that includes a ranking concerning car-
bon dioxide and nitrogen oxides emissions,
published very recently. The last section will
Aviation and Atmosphere
provide the conclusions and also present avenues
how to reduce or even to avoid air traffic emissions
changing climate.
Emissions of Climatically Relevant
Substances by Aviation
The estimates of climate effects of air traffic
depend totally on a reliable time-dependent emis-
sion inventory on global scale for the past, the
present, and the future. The major research project
QUANTIFY of the European Union’s Sixth
Framework Research Programme (finished very
recently) has established such a consistent global
three-dimensional air transport emission inven-
tory for greenhouse gases, particles, and precursor
gases of other greenhouse gases and for aerosol
particles for the year 2000 (also for all other
modes of transport), and has developed estimates
of future emissions for the years 2020, 2050, and
2100. The example for air traffic is shown in Fig. 1
and Table 1, taken from [25].
Since different substances in the aircraft
exhaust have very different concentrations and
also very different radiative properties, a common
scale must be created for a just assessment of the
environmental burden caused by different aircraft
and flight types. The next subsection will deal
with it.
Creating a Common Scale for the Climate
Effects of Air Traffic Emissions
The entire motorized transport sector (road traffic,
shipping, rail, aviation) emits a wide variety of
gases and aerosols into the atmosphere, with dif-
ferent characteristics, which either influence cli-
mate directly by their radiative properties or
indirectly via chemical and physical processes
influencing concentrations of other climatically
relevant substances. We need metrics that allow
these emissions to be placed on a common scale in
terms of their impact on global climate. The appli-
cations of such metrics are manifold: First, they
have served and will serve as basic information in
negotiations for international agreements and
emission trading schemes (see section “The
European Directive to Include Air Traffic into
329
the Emission Trading Scheme”); second, they
allow the assessment of trade-offs between
changes in emissions resulting from technological
or operational developments; third, they serve for
comparisons of different environmental impacts
caused by the different transport sectors and thus
help in traffic policy making. Usually, the CO2
emission, common to all transport sectors, is used
as a reference. Therefore, all other emissions have
to be transformed into their “CO2-equivalents.”
Ideally, the same equivalent CO2 emissions
should produce the same climate effect, regardless
of their shares in the exhaust or after chemical
transformation in the atmosphere. This is, how-
ever, only an approximation of reality, because
most of the non-CO2 emissions from the different
transport sectors, and especially aviation, are
short-lived substances with often rather regional-
ized concentrations. In addition, these short-lived
substances are all not included in the Kyoto Pro-
tocol basket of solely long-lived greenhouse
gases.
The challenges in developing generally
accepted metrics are strongly magnified by the
inclusion of short-lived species. One first diffi-
culty concerns the choice of an appropriate struc-
ture for the metric. Should effects of an emission
today be integrated over 10, 20, 50, 100, or even
200 years? Or should the impact, e.g., the global
mean surface temperature increase after a certain
time period, be used as a measure? The first
approach is the most frequently used one, charac-
terized by the global warming potential (GWP)
and the one adopted in the Kyoto Protocol. The
second one, called global temperature change
potential (GTP), strongly reduces the influence
of short-lived emissions if the same long time
horizon is used as typically for GWP. In view of
the lifetime (defined as the time for the decay of
the concentration of an emitted pulse of a sub-
stance to 1/e) in the atmosphere of an anthropo-
genic addition of CO2, which is well above
100 years, 100 years have been chosen for the
Kyoto Protocol, although there was no specific
argument put forward for this time horizon by
IPCC. A further challenge is the quantification
of input parameters for the metric, originating in
the uncertainty of atmospheric processes. For
330 Aviation and Atmosphere

Aviation Fuel Use and RPK

300 5 0.8
Fuel Use

RPK annual change (1012 RPK yr−1)

Sausen and Schumann (2000) SARS
250 IPCC Scenario Fa1 WTC attack
4 0.6
International Energy Agency (IEA) Asian crisis
Fuel Use (Tg yr−1)

200 RPK Gulf crisis

RPK (1012)
RPK annual change 3
0.4
150 Oil crisis
Oil crisis
2
100 0.2

1
50
0.0

0 0
1940 1950 1960 1970 1980 1990 2000 2010
Year

Aviation CO2 Emissions

7.0
30
Anthropogenic CO2 6.0
Aviation CO2 (x10)

Aviation CO2 fraction (%)

CO2 emission (103Tg yr−1)

25
Aviation CO2 fraction
5.0
20
4.0

15
3.0

10 2.0

5 1.0
(x10)

0 0.0
1940 1950 1960 1970 1980 1990 2000 2010
Year

Aviation and Atmosphere, Fig. 1 Upper panel: Avia-
tion fuel usage beginning in 1940 from Sausen and Schu-
mann [32] and extended with data from IEA [16] and the
IPCC Fa1 scenario of Henderson et al. [13]. The arrows
indicate world events that shortly threatened global avia-
tion use: the oil crises of the 1970s, the Gulf war crisis in
the early 1990s, the Asian financial crisis in the late 1990s,
the World Trade Center (WTO) attack in 2001, and the
global health crisis brought about by the severe acute
respiratory syndrome (SARS). Also shown is the growth
in air passenger traffic from 1970 to 2007 in trillions of
revenue passenger kilometers (RPK) (near right-hand
axis). (Source: ICAO traffic statistics from http://www.
airlines.org/economics/traffic/World/Airline/Traffic.htm.
Accessed 19 Sept 2007) and the annual change in RPK (far
right-hand axis [Note offset zero]). Lower panel: Growth in
CO2 emissions in Tg CO2/year for all anthropogenic activ-
ities and from aviation fuel burn (left-hand axis), and the
fraction of total anthropogenic CO2 emissions represented
by aviation CO2 emissions (%) (right-hand axis). Note
scaling of aviation CO2 emissions. (Source: Lee et al. [24])

example: How much of the nitrogen oxide emis-
sion remains available for the formation of ozone
in the troposphere, a potent but short-lived green-
house gas of the atmosphere? On top of these
challenges we have to face the dependence of
the effects on the location of the emissions for
all short-lived substances, severest for air traffic,
where for example the emission height is decisive
for the formation of a long-lasting contrail. The
QUANTIFY project has evaluated existing met-
rics and has introduced new concepts (for details
see Fuglestvedt et al. 2009). All these metrics
have been evaluated for emissions from the trans-
port sector both in terms of integrated radiative
Aviation and Atmosphere, Table 1 Estimations of historical and current emissions from inventory models, 1990–2005
Aviation and Atmosphere

Military fuel Total fuel Distance (civil, NOxTgNO2/ EINOxg NOx/kg

Year Inventory Civil fuel Tg/a Tg/a Tg/a Total CO2Tg/a 109 km) a fuel
1990 FAST 105 n.c. 331 15.7 1.42
1992 NASA 114 25.5 139 359 n.c. 1.44 12.6 (12.0)
1992 ANCAT/ 114 17.1 131 360 n.c. 1.60 (1.81) 14.0 (13.8)
EC2
1999 NASA 128 n.c. 404 25.8 1.69 13.2
(134 inc. charter) (423 inc. charter)
2000 TRADEOFF 152 17.1a 169 480 25.1 1.95 (2.15) 12.7 (12.9)
2000 FAST 152 n.c. 480 26.9 2.03 13.4
2000 SAGE 181 n.c. 572 33.3 2.51 13.8
2001 SAGE 170 n.c. 536 31.9 2.35 13.8
2002 SAGE 171 n.c. 539 32.6 2.41 14.1
2002 AERO2K 156 19.5 176 492 (553) 33.2 2.06 (2.24) 13.2 (12.7)
2003 SAGE 176 n.c. 557 34.5 2.49 14.1
2004 SAGE 188 n.c. 594 37.0 2.69 14.3
2005 SAGE 203 n.c. 641 40.7 2.90 14.2
References: “FAST,” Lee et al. (2005); “NASA,” (Baughcum et al. [3]) and (Sutkus et al. [33]); “ANCAT/EC2,” Gardner et al. [12]; “TRADEOFF,” Gauss et al. (2006); “SAGE,”
Kim et al. [22]; “AERO2K,” Eyers et al. [10]
a
Military emissions adopted from other study; n.c. not calculated, brackets include military emissions
331
332 Aviation and Atmosphere

forcing (When the balance between the radiative
energy received from the sun and radiative energy
leaving the Earth-atmosphere system is perturbed,
e.g., by a concentration change of an absorbing
gas, the resulting imbalance is termed radiative
forcing. It can be calculated by changing the con-
centration of the substance and keeping all other
parameters fixed. In the real climate system, the
imbalance stimulates climate change trying to
restore the energy balance of the planet.) (GWP)
and the net surface temperature change (GTP) of
the various transport modes for several time hori-
zons. For the series of tasks to be performed
starting from transport sector emissions and end-
ing at climate impacts, see Fig. 2 [30].
For metrics, very different approaches are pos-
sible. One can look at the current radiative or
temperature forcing relative to the preindustrial
era or at the temporal development of the forcing
over several decades for a pulse emitted today, or
to the forcing for a sustained emission or a more
elaborate emission scenario. Figure 3 shows the
temperature change that will be caused by the
emissions of the year 2000 for all transport
modes for four chosen time horizons. In order to
calculate surface air temperature changes ideally a
coupled Atmosphere/Ocean/Land-Model has to
be run. If this model gets as an input the three-
dimensional emission distribution of air traffic, it
must not lead to the same relation of different
transport sectors as the radiative forcing calcula-
tion, because it adds the processes at the ocean air
interface that are neglected in the chemical trans-
port model used for the radiative transfer calcula-
tions because then sea surface temperature is
fixed. Figure 4 clearly demonstrates that emis-
sions from road transport in 2000 are dominating
the traffic sector impact on surface temperature,
with aviation as the second largest contributor to
surface air temperature changes. For time hori-
zons of 20 and 100 years, the net warming from
road transport is seven and six times larger than
the net warming from aviation. This is approxi-
mately the same ratio as the ratio between the CO2

Transport Emissions and Scenarios

Chain of Impacts
temporal evolution, 2D/3D distribution

Regional Dilution and Processing

effective emissions

Large-scale Chemistry Effects Cloud Processes

atmospheric composition cloud cover and optical properties

Radiative Forcing
temporal evolution, 3D distribution

Metrics
Climate Change
simple measures
new climatic state
to quantify impacts

Climate Impacts
changes in health and economy

Aviation and Atmosphere, Fig. 2 From emissions to QUANTIFY science tasks are printed in blue, output in
climate change and climate impacts (a schematic). Only the black. (Source: QUANTIFY [30])
main fluxes of information are indicated by arrows.
Aviation and Atmosphere
4.0
3.0
2.0
dT (mK)
1.0
0.0
−0.0
−2.0
20 yr 40 yr
Aviation and Atmosphere, Fig. 3 Contribution from a
1-year pulse of current (year 2000) emissions to net future
temperature change (mK) for each transport mode for four
emissions from these sectors; thus, mainly CO2
controls the climate response on timescales
beyond 10 years for the GTP metric. The net
temperature effect of shipping changes sign from
negative for a time horizon of 20 years to positive
for the longer time horizons. Both rail sectors’
contributions seem small, but added together
they reach 15–30% of the effect of aviation for
time horizons between 20 and 100 years. The
results in Fig. 3 show well how the relative impor-
tance of the different transport sectors changes
depending on the time perspective.
Climate Change Contribution of Carbon
Dioxide Emissions from Air Traffic
The entire transport sector contributes about one
third of the total global anthropogenic CO2 emis-
sions. The annual growth rate of transport-related
greenhouse gas emissions is larger than for other
mature industrial sectors. In view of the United
Nations Framework Convention on Climate
Change (UNFCCC), its Kyoto Protocol, and pos-
sible follow-up protocols, this high rate of
increase creates the severest problem for the avi-
ation sector, when trying to achieve forthcoming
333
Road
Ship
Air
Rail D
Rail I
60 yr 100 yr
time horizons (20, 40, 60, and 100 years), including the
uncertainties, here given by the 1-sigma level. (Source: Lee
et al. [25])
emission reduction targets. Additionally, the
impact of the transport sector on climate is at
least as complex as for other sectors like heating
of houses, because it also involves more strongly
air chemistry and modification of cloudiness than
the emissions from shipping, and in addition
direct cloud formation (contrails) by air
traffic. Thus an assessment of the full climate
effects of the transport sector and especially avia-
tion has to take into account more than just the list
of gases in the Kyoto Protocol. The transport
sector can impact on climate in the following
ways:
– By direct emissions of greenhouse gases,
mainly CO2, but also by nitrous oxide (N2O)
and some halocarbons
– By emissions of precursors of ozone, such as
nitrogen oxides (NOx), carbon monoxide
(CO), and volatile organic compounds (VOCs)
– By emissions of aerosol particles or their pre-
cursor gases, in particular black carbon (soot)
and sulfur dioxide (SO2), which are directly
and indirectly (via cloud formation and cloud
modification) radiatively and chemically active
334
2500
2000
Fuel Emissions (Mt CO2 yr−1)
1500
1000
500
0
1990
Aviation and Atmosphere, Fig. 4 Historical and
present-day inventories, and future projections of civil
aviation CO2 emissions from a variety of sources:
AERO2K [10]; ANCAT/EC2 [12]; CONSAVE [5]; FAST
(Owen and Lee 2006); IPCC [17]; NASA [3, 4, 33]; SAGE
[22]. The open symbols indicate inventory analysis and the
closed symbols indicate projections. Also shown are the
CO2 emissions implied by IEA fuel sales statistics
[16]. The IEA data represent the total of civil and military
– By directly triggering additional clouds (e.g.,
contrails and contrail cirrus)
On the other hand, the global and economic
system is largely dependent on an efficient trans-
port system. This dependency has grown during
recent decades not only because of an increasing
world population but mainly because of globali-
zation. Life style and the availability of cheaper
transport (mainly because of lack of internaliza-
tion of external costs) in developed and develop-
ing countries are also enhancing demand. Further
very strong growth of the transport sector is
expected in developing countries. In the long
term, a sustainable transport system is needed
that satisfies the demands of economy and popu-
lation while following the constraints of climate
change policy measures. In order to meet these
Aviation and Atmosphere
Aviation Fuel Emissions
FAST (B2, A1, A1)
CONSAVE (ULS, RPP, FW, DtE)
IPCC (Fe1, Fa1, Fc1)
ANCAT/EC2 (1992, 2015)
NASA (1992, 1999, 2015)
AERO-2K
SAGE
Sausen and Schumann (2000)
IPCC Scenario Fa1
International Energy Agency (IEA)
FAST-A1(1)
FAST-B2(t1)
2000 2010 2020 2030 2040 2050
Year
usage because all kerosene sales are included. The Sausen
and Schumann [32] data are also based on IEA. The solid
(dashed) lines for FAST-A1 (B2) scenarios (evaluated with
the t1 technology option) and the IPCC Fa1 scenario also
account for all fuel sales in order to be consistent with the
IEA values ending in 2005. In the figure legend, the FAST,
CONSAVE, and IPCC symbols are shown in an order that
matches the scenario labels in the parentheses in each case.
(Source: Lee et al. [24])
constraints clear information on the climatic
impact of different transport emissions is needed.
Here we concentrate on aviation, a smaller part
with respect to goods and passengers transported,
but with many climatically relevant facets because
of its already mentioned main emission height of
about 10 km.
Each kilogram of aviation fuel, overwhelm-
ingly kerosene, when burned in an engine, must
lead to 3.16 kg carbon dioxide (CO2) and 1.0 kg
of water vapor (H2O). These unavoidable emis-
sions are two major reasons of an air traffic influ-
ence on the radiative transfer in the atmosphere,
but not the only ones. The first one is nearly
completely independent of the place where the
emission occurs, because of the long lifetime
of anthropogenic carbon dioxide being well
above 100 years and thus resulting in a globally
Aviation and Atmosphere
well-mixed anthropogenic carbon dioxide con-
centration addition. Aviation CO2 will contribute
to the entire CO2 burden of the atmosphere like
all other emissions into the atmosphere close to
the surface of the Earth. For the second major
emission, H2O, the point where it is emitted is
decisive: At the surface this addition is negligible
in comparison to the natural fluxes of water, but
not so at about 10 km height at a water vapor
mixing ratio ranging from about 100 ppmv to as
low as 5 ppmv. Flying by 1 km higher or lower in
heights around the tropopause (the interface
between the troposphere and the stratosphere;
typically at 10 km height in mid-latitudes), how-
ever, can often avoid a long-lasting linear con-
trail (for more see section “Aviation Induced
Cloudiness”).
At present the global consumption of aviation
fuel per year is equivalent to an emission of about
0.2 Gigatonnes of Carbon per year (GtC/a),
which is about 2% of the entire anthropogenic
carbon emissions, when emissions from land use
change (deforestation being the main contribu-
tion to it) are included. If only counting the
emissions originating from the burning of fossil
fuels and cement production, the percentage of
aviation emissions grows to about 2.4. Figure 4
presents an estimate of the time series of global
CO2 emissions by aviation since 1990 and
extrapolation attempts by different groups as
compiled by Lee et al. [25]. Besides an overall
growth of the emissions, it is evident that differ-
ent scenarios of future economic development
and technological progress lead to very different
emission paths.
It is also interesting to compare the different
modes of transport with respect to emissions per
passenger and per tonne transported. Here again
results from the recently finished major European
Union’s research project QUANTIFY [30], to
which the author has contributed, are presented:
Aviation is the strongest contributor to radiative
forcing by CO2 emissions per passenger kilometer
in comparison to road traffic, shipping, and rail.
As clearly visible from Fig. 6, this is not the case
for freight transport, where road traffic contributes
similarly to radiative forcing per tonne-kilometer
(Fig. 5).
335
Aviation-Induced Cloudiness
There exist two types of impact on clouds caused
by particle emissions from traffic. First, the parti-
cle emissions can cause the formation of clouds
that would not form naturally. The most promi-
nent example is jet exhaust condensation trails
(contrails). This cloud circumvents the lack of
so-called freezing nuclei in the rather clean and
cold upper troposphere. The large emission of
water vapor (1 kg/l of kerosene burned) in the
hot exhaust plume together with the additional
particles, also within the exhaust plume, leads to
cloud droplet formation, which rapidly freeze by
mixing with the ambient air. If the flight corridor
of an aircraft is supersaturated with respect to an
ice surface, the contrail formed will survive and
expand depositing all the supersaturated water
vapor onto the contrail ice particles.
A second type of anthropogenic cirrus clouds,
which is much more difficult to observe, are aerody-
namic contrails involving a sequence of effects: The
emitted particles first get mixed with the background
aerosol particles and later – when the mix of anthro-
pogenic and natural aerosol particles becomes
involved into cloud formation processes – the parti-
cles emitted by air traffic will affect cloud formation,
cloud evolution, cloud properties, and eventually
precipitation. Also most so-called ship tracks belong
to this category. A variant of this second aviation-
induced cloud type, the hypothetical soot cirrus, is of
interest here. It describes an ice cloud that is strongly
affected by soot particles emitted by aircraft. To
estimate the effect of aerosol particles emitted by
air traffic (often soot) on ice clouds is difficult,
because of the presence of various pathways to ice
formation. In clean unpolluted air, ice clouds form
via homogeneous nucleation, while in polluted air,
like in air traffic corridors, heterogeneous nucleation
might be dominant. Because there exist always very
many other aerosol particles, which become solution
droplets at higher relative humidity over a water
surface (about 100/cm3), an ice cloud forming
homogeneously has a high number concentration
of ice crystals. In contrast, heterogeneous ice
cloud formation is a very selective process: Only
about every millionth particle is an appropriate ice
forming nucleus (IN). Thus, ice clouds forming
 Specific Climate Impact of Freight transport modes over various time horizons
336

8.00 8.00
10–15 K GTP5 1.60 1.60 0.80 0.80
per tkm GTP20 10–15 K GTP50
7.00 7.00 per tkm
1.40 1.40 0.70 0.70

6.00 6.00
1.20 1.20 0.60 0.60
CO2 + SLCF CO2 + SLCF CO2 + SLCF
5.00 CO2 5.00 CO2 CO2
1.00 1.00 0.50 0.50
0.49
4.50
4.00 4.00 0.80 0.80 0.40 0.40

3.00 3.00 0.60 0.60 0.30 0.30

0.31

2.00 2.00 0.47 0.20 0.20

0.40 0.40
0.40

1.00 1.00 0.20 0.20 0.10 0.10

0.61 0.07
0.00 0.00 0.00 0.00 0.00 0.00

−1.00 −1.00 −0.20 −0.20 −0.10 −0.10

Aircraft LDT HDT Rail Ship Aircraft LDT HDT Rail Ship Aircraft LDT HDT Rail Ship

Specific Climate Impact of Passenger transport modes over various time horizons

1.00 1.00 0.25 0.25 0.10 0.10

GTP5 GTP20 GTP50
10–15 K 10–15 K 10–15 K
per Pkm per Pkm per Pkm
0.80 0.80 0.20 0.20 0.08 0.08
CO2 + SLCF CO2 + SLCF CO2 + SLCF
CO2 CO2 CO2
0.07
0.60 0.60 0.15 0.15 0.06 0.06

0.05
0.45
0.40 0.40 0.10 0.10 0.04 0.04
0.08
0.03
0.07
0.20 0.20 0.05 0.05 0.02 0.02 0.02
0.05 0.02

0.11
0.10 0.02
0.06 0.02
0.00 −0.03 0.00 0.00 0.00 0.00 0.00

−0.20 −0.20 −0.05 −0.05 −0.02 −0.02

Car Aircraft 2Wheel Bus Rail Car Aircraft 2Wheel Bus Rail Car Aircraft 2Wheel Bus Rail
Aviation and Atmosphere

Aviation and Atmosphere, Fig. 5 Temperature change caused by emissions in the The columns differentiate the impact when all short- and long-lived climate forcings
year 2000 after 5, 20, and 50 years: For passenger transport modes (upper panels) per (in black) are summed up and when only CO2 (in color) is considered. (Source:
passenger kilometer, for freight transport modes (lower panels) per tonne-kilometer. QUANTIFY [30])
Aviation and Atmosphere
Aviation and
Atmosphere,
Fig. 6 Averaged cirrus
cloud trends over high and
low air traffic regions in
North America, Europe,
North Atlantic, and North
Anomalies (%)
4 (+0.6)
Pacific. (Source:
QUANTIFY [30]) 0
−4
Differences (%)
4 −4
0
−4
1984
predominantly by heterogeneous nucleation have a
small number concentration of ice crystals. IN injec-
tion into a clean environment leads to heterogeneous
ice crystal formation before homogeneous freezing
can occur. Thus the ice cloud changed by air traffic
has less but bigger crystals than a cloud that would
have formed purely homogeneously. If heteroge-
neous ice formation is dominant as in a polluted air
mass, the addition of IN can lead to more but smaller
ice crystals. This simplified picture has to be modi-
fied: First, whether heterogeneous or homogeneous
freezing dominates depends not only on the relative
number of the respective aerosol particle types but
also on vertical wind speed (determining adiabatic
cooling rates). Second, IN from various sources may
have a spectrum of threshold supersaturations over
an ice surface. These thresholds depend on temper-
ature and on particle coating. Third, ice formation in
supersaturated air with respect to an ice surface is
difficult to be represented in large-scale models,
because a supersaturated state is not uniquely related
with a cloudiness state. Hence first model simula-
tions like those by Penner et al. [29] have therefore
rather the value of highlighting the problems than
yielding firm results.
But also natural cirrus clouds can be affected
by contrails formed within them or in their
337
N. America, Europe, N. Atlantic, N. Pacific
HIGH air traffic corridors
LOW air traffic corridors
Anomalies (%)
4
(−0.3)
0
(+0.9)
1988 1992 1996 2000 2004 2008
vicinity, in particular when these contrails spread
and eventually form the so-called contrail cirrus,
because these two ice cloud types compete for the
same space and for the same supersaturated water
vapor.
Aviation-Induced Cloudiness (AIC) has been
defined as the sum of all changes in cloudiness
associated with aviation operations [20]; hence, it
combines jet exhaust condensation trails, often
abbreviated as contrails, and so-called persistent
contrail cover. The assessment of the latter is very
difficult, because AIC may be indistinguishable
from background cirrus cover. This was the rea-
son for IPCC [20] not to give a best estimate of
AIC amounts and its associated radiative forcing.
The value given in IPCC [20] for emissions until
2005 and a time horizon of 100 years, namely
0.03 W/m, is above the radiative forcing of
0.025 W/m for CO2 alone. Thus more than a
factor of 2 would be needed, if the total air traffic
influence on radiative forcing has to be accounted
for, knowing only the fuel burned and excluding
additions related to air chemistry. Have these
values given by IPCC in 2007 changed during
recent research? Yes, but earlier relations between
the impacts by greenhouse gases and cloudiness
changes (caused by contrails and contrail cirrus)
338 Aviation and Atmosphere

have not been altered significantly [25]. There is,
however, a discussion about a new potential influ-
ence of aviation on cloudiness, the so-called soot
cirrus (as already discussed above), relating to
effects of changed optical properties of ice clouds
into which soot from aircraft exhaust is mixed and
which may act after transformations in the atmo-
sphere as ice nuclei. The related model estimates
[26, 29] diverge so strongly (see also the values
given for soot cirrus in Table 2) and they are not
backed by observations that much more research
is needed before conclusions on a changed avia-
tion policy could be drawn. In this context, it is too
early to ask whether aviation’s influence on radi-
ative forcing might even change the sign.
Man-made changes in cirrus cloud cover can be
detected by comparing cirrus trends over adjacent
regions with dense and nearly no air traffic. Some
exemplary long-term trends are shown in Fig. 6,
taken from QUANTIFY [30]. It is evident that cirrus
cloud coverage increases more or decreases less in
regions with dense air traffic compared to regions
with little air traffic. This could be considered a
signature of increasing air traffic in the past
20 years. Such preliminary estimates from the dif-
ferences in cirrus cloud cover, however, suggest an
effect on radiative forcing of the order of only
6 mW/m for an assumed optical thickness of 0.4
for the cirrus clouds with air traffic influence.
Much better information on the statistics of opti-
cal thicknesses of single contrails, including the
variation over their life cycle, can be obtained now
from a contrail tracking algorithm that has been
developed during QUANTIFY [34, 35]. The com-
bination of such a tracking algorithm, based on
satellite data from a polar orbiter (MODIS on
NASA’s Aqua and Terra satellites) and a geostation-
ary one (MSG operated by EUMETSAT), with a
numerical contrail plume model for which first
developments have been made in the project allows
to extend the observable fraction of a contrail life
cycle in both directions, that is, from formation up to
its end. There are, however, not yet trends available
for a larger area with intense air traffic over Europe.
Changes of Air Chemistry by Air Traffic
The present and future impacts of emissions from
aviation are typically evaluated using several
global atmospheric chemistry models in order to
obtain not only a quantification of the impact of a
specific transport sector on global atmospheric
composition but also an estimate of the associated
model uncertainties. For the QUANTIFY project
such an assessment included chemistry transport
models and chemistry-climate models. For these
simulations the global emission inventory

Aviation and Atmosphere, Table 2 Year 2000 radiative forcing (in mWm 2) for each transport sector and each
forcing mechanism relative to pre-industrial times, together with uncertainties. SWV is stratospheric water vapor
Road Ship Air Rail
CO2 131  15 34  6 20  3 23  7
Ozone 32  9 24  6 18  3 2  0.4
CH4 lifetime 74 19  2 51 1  0.4
CH4 – ozone 32 81 2  0.5 0.3  0.2
SWV methane 1  0.7 3  0.7 1  0.3 0.1  0.1
SWV direct 1  0.2
CFCs/HFCs 28  3
Stratospheric ozone 24
Sulphate aerosol 94 26  11 1  0.4 1  0.3
Black carbon aerosol 44  17 21 0.3  0.1 1  0.3
Organic carbon aerosol 21 1  0.5 0.5  0.3
Indirect aerosol effect 6  111 49  209 127  128 0.5  10
Contrails 7 ( 4, +6)
Aviation induced cirrus 21 ( 9, +17)
Aviation and Atmosphere
EDGAR32FT2000 was used for anthropogenic
emissions, with the transport sectors’ emissions
replaced by improved estimates for the present
and for the IPCC A1 and B1 scenarios (2025,
2050) from the new QUANTIFY inventory. The
A1 scenario represents a world of very rapid eco-
nomic growth, especially in developing countries,
and rapid introduction of new and more efficient
technologies. The B1 scenario assumes rapid
introduction of clean and resource-efficient tech-
nologies, and is considered to be far more opti-
mistic with respect to environmental policy
making than the A1 scenario. The results from
the scenario calculations for the impact of ship-
ping on ozone in the lower troposphere (surface to
800 hPa) point to a significantly increasing impact
on ozone from the shipping sector, if emissions
evolve according to the A1 scenario, while the B1
scenario leads to a much smaller increase. The
results obtained for shipping are particularly inter-
esting in the sense that the impacts on the
hydroxyl radical (OH) and thus on methane
(CH4) were larger than anticipated. The reduction
of the global atmospheric lifetime of methane due
to ship emissions was about a factor of 2–3 larger
than that due to road emissions, and about a factor
of 4 larger than that due to air traffic emissions
[15]. This is a consequence of the more pristine
chemical conditions over the oceans and the
slightly different mix of emissions from ships.
As a result, the net impact on radiative forcing of
ozone and methane perturbations from shipping is
negative, corresponding to a more or less globally
uniform cooling. This adds up to the cooling via
widespread cloud modifications caused by ship
emissions of sulfate aerosols [27]. In contrast,
the atmospheric chemistry influence on radiative
forcing by aviation remains strongly positive.
The radiative forcing of aviation in the year
2000 in relation to all other transport sectors is
given in Table 1 (QUANTIFY [30]. Peculiarities
in comparison to other modes of transport emerge:
First, the radiative forcing is nearly doubled by
inclusion of the effect of ozone formation due to
the emission of nitrogen oxides at cruising alti-
tudes. Second, aviation-induced cloudiness in
form of contrails and contrail cirrus adds substan-
tially to the positive radiative forcing, however, is
339
rather uncertain. Overall, aviation remains the
sector with strongest additional effects besides
the basic CO2-related radiative forcing. The line
named indirect aerosol effect in Table 2 needs a
special remark. It is to a large extent due to model
calculations using comparably crude parameteri-
zations for the aerosol influence on cloud droplet
number and on absorption of solar radiation by
soot. This research is still in its infancy as shown
by the huge error bars, and one should not argue
like very often lobbies would do that any climate
policy measure concerning aviation has to be
postponed until small error bars are reached for
all entries. What is needed is a flexible reaction
should major changes become evident.
Transport Sector’s Contribution to
Future Climate Change
Using a coupled atmosphere/ocean/land-model
and the A1B scenario of IPCC as well as account-
ing for six different forcings (CO2, CH4, O3, and
aerosols for all sectors, CFCs and HCFCs for road
traffic, and contrail formation for aircraft) Olivie
et al. [28] found: In the year 2100, the warming
from all transport sectors due to the CO2 increase
reaches about 0.5 Kwith the largest contribution
from road traffic (0.3 K). The non-CO2 impact
from air traffic is larger than its CO2 impact, the
latter amounting to 0.15 K at 2100. It is caused by
an enhanced O3 production (compared to road and
ship traffic) due to the altitude of the NOx emis-
sions, and by the positive direct radiative forcing
from linear contrails and contrail-induced cirrus.
Because the total anthropogenic global tempera-
ture increase is about 3 K in 2100 with a contri-
bution of about 0.65 K from the transport sector,
with 0.5 K due to CO2 impact and 0.15 K due to
non-CO2 impact dominated by aircraft traffic, the
transport sector contributes slightly less than its
share in total energy use. This reduced impact is
caused by both the reduction in methane lifetime
and comparably low N2O and CH4 emissions. The
warming is in general more pronounced at high
latitudes, but the signal there is strongly
influenced by the timing of the Arctic sea-ice
melting, which is quite uncertain.
340
It is clear from the above scientific findings that
international air traffic cannot be excluded from
climate policy making, although it managed to
remain largely unaffected so far.
Why Did International Air Traffic So Far
Escape from an Emission Reduction
Policy?
When the Kyoto Protocol has been formulated in
December 1997 the following sentence in its Arti-
cle 2.2: “Parties included in Annex 1 (these are
the industrialized countries with emission reduc-
tion commitments under the Kyoto Protocol) shall
pursue limitation or reduction of emissions of
greenhouse gases not controlled by the Montreal
Protocol from aviation and marine bunker fuels,
working through the International Civil Aviation
Organization (ICAO) and the International Mar-
itime Organization (IMO), respectively” started
it. In other words: The reduction of emissions
from international air traffic and international
shipping has to be handled by two United Nations
bodies often said to be closer to the respective
industries than to the responsibility for entire soci-
ety. Hence, about 6% of global emissions from the
use of fossil fuels or up to 15% of all transport
emissions factually escaped from any regulation
by the UNFCCC and its Kyoto Protocol. Nineteen
years after the signature under UNFCCC at the
Earth Summit in Rio de Janeiro we are still with-
out a global legal instrument for any mitigation
measure to reduce aviation fuel’s climate impact.
Why is it so? The following lines use a historical
account given by EFTE [9]. At the first Conference
of the Parties (COP 1) to UNFCCC in Berlin 1995
its Subsidiary Body on Scientific and Technical
Advice (SBSTA) was requested to examine the
allocation and control of emissions from interna-
tional bunker fuels, the term used for shipping first
and then also for aviation. COP 1 had identified
eight options for SBSTA to be considered prior to
COP 2. SBSTA rejected three options: first, alloca-
tion in proportion to national greenhouse gas emis-
sions; second, allocation according to the country of
origin of the passenger/cargo; and third, according
to the actual location of the emission. No agreement
could be reached for the remaining five. There was
Aviation and Atmosphere
no progress at COP 2 in Geneva. At COP 3 in Kyoto
at least the domestic part of aviation and shipping
was integrated into national reduction targets, and
for international flights the above mentioned respon-
sibility of ICAO was decided. Although SBSTA
continued to discuss methodologies to allocate
emissions, it was without any agreement so far.
ICAO often reported about progress in its delibera-
tions, but never presented a real proposal to SBSTA
that could have been tabled at the next COP. Already
in 1996 ICAO had requested that IPCC should
prepare a report on the impact of aircraft engines
on the atmosphere. In 1999, this first report on a
specific industry sector named Aviation and the
Global Atmosphere had been published [17] that
clearly stated:
• Since 1960, aviation passenger traffic had
grown rapidly by 9% per year and was esti-
mated to grow by 5% per year between 1990
and 2015.
• Already in 1992, chosen as the base year for
the report, aviation accounted for 2% of total
anthropogenic CO2 emissions.
• Including other effects of aviation on the atmo-
sphere, e.g., contrails and contrail cirrus, about
3.5% of the total anthropogenic radiative forc-
ing in the base year 1992 of the report were due
to aviation.
Policy options were given as well including
more stringent engine regulations, removal of sub-
sidies, environmental levies, and emission trading
schemes. IPCC also acknowledged that ICAO had
already started to assess the need for aircraft emis-
sion standards at cruising altitude in addition to the
already existing standards for nitrogen oxides. To
make a long story short: At present, 12 years later,
international air traffic is not included in any bind-
ing measure for climate protection policy, i.e.,
ICAO was unsuccessful to perform as requested
by the international community.
The European Directive to Include Air
Traffic into the Emission Trading Scheme
At least for the European Union the time for an
escape of the international air traffic from an
Aviation and Atmosphere
emissions trading scheme will end. The directive
(Dir 2008/101/EC) to include aviation into the EU
Emissions Trading Scheme (EU-ETS) was
published on January 13, 2009 in the EU’s Offi-
cial Journal. It is valid for all flights to, from, and
within the EU and starts on January 1, 2012. For
2012, an EU-wide cap on aviation emissions is set
at 97% of the average annual emissions for the
years 2004–2006. It will be lowered to 95% in
2013. All airlines will have to buy 15% of their
allowance under the said cap through an auction.
More allowances in order to cover growth of an
airline have to be purchased. The revenues from
selling, if emissions are below the cap, must not
be put into the industry or climate protection mea-
sures. The inclusion of aviation into EU-ETS will
be reviewed in 2014. There are exemptions for
very small airlines, research, military, and rescue
flights. The directive has been included into the
one for EU-ETS (Dir 2003/87/EC).
An Airline Emission Index
As always in any economic sector there are large
differences in behavior, here emissions, between
different agents. In order to bring transparency
into the aviation sector of global transport the
German nongovernmental, nonprofit organization
atmosfair has issued for the first time in spring of
2011 a global airline index, comparing nearly all
airlines with respect to their environmental stan-
dards in the field of climatically relevant emis-
sions. The atmosfair airline index (AAI) is a
ranking of most airlines with respect to such cli-
matically relevant emissions with the following
characteristics [1]:
1. Inclusion of the 130 largest airlines in the
world, arranged according to passenger kilo-
meters as well as revenue, disregarding mere
cargo flight companies.
2. Data from 2009 are used for the AAI 2011.
3. Airlines are subdivided into the following clas-
ses: net carrier, low cost carrier, charter, and
regional carrier.
4. Solely climatically relevant emissions of a car-
rier are taken into account, disregarding noise
pollution and further sustainability measures.
341
5. Restriction to carbon dioxide emissions, because
other emissions causing for instance contrails are
very similar for all airlines. There is only one
exception: Nitrogen oxides (NOx) are included
via an engine-related emission factor (needed to
assess the radiative forcing by ozone and meth-
ane, both influenced due to chemical reactions of
these oxides in the atmosphere, leading to higher
ozone and lower methane concentrations).
6. Different business plans like those for net carriers
and low cost carriers are not valued, despite the
air traffic stimulation caused by the low cost
carriers through subsidies often given to them
by national governments or city councils.
7. All airlines are categorized into seven effi-
ciency classes from A to G, in analogy to the
European Union efficiency classes.
The AAI bases on a new atmosfair methodol-
ogy, built upon the CO2 emission calculations of
ICAO. Its main data sources are the generally
available data sets: ICAO TFS (Traffic Flight by
Stage), IATA WATS, OAG, Piano-x, JP-Airline
Fleet. This combination leads to 103 types of
aircraft and 287 engines, constituting 87% of the
global commercial air traffic with respect to num-
ber of flights. The parameters used are: aircraft
type, engine, winglets, seating arrangement, cargo
addition, and passenger number.
The comparison of airlines follows the follow-
ing procedure:
1. Calculation of the CO2 emission per kilometer
for a flight between a city pair, taking into
account the above parameters.
2. The CO2 emission from step 1 for a city pair is
compared with the best case (direct flight in
best heights with least fuel consumption) and
the worst case with three times higher emis-
sions (chosen to fully embrace all airlines).
3. The airline reaching the best case for a city pair
gets 100 points (it never happened), the one
with higher emissions for the same city pair
gets less points according to its reduced perfor-
mance, reaching zero points if emitting three
times as much.
4. All city pairs of an airline are combined by
summing over all points reached for all pairs
and dividing by the number of city pairs.
342
5. Categorization of all airlines into seven effi-
ciency classes, in analogy to the color codes of
EU for refrigerators, houses, etc. No single
airline has reached class A or B.
6. This procedure allows the following comparisons:
• An airline with only a few city pairs can be
compared to one servicing hundreds of city
pairs.
• An airline with only short distance flights
can be compared with one offering only
long-distance flights.
• A low cost carrier can be compared with a
net carrier.
• An airline offering only one city pair with-
out competitors can be ranked.
The importance of the influencing factors age
of an aircraft, number of seats, and percentage
Aviation and Atmosphere, Fig. 7 A sample from the AAI for medium distance flights. For all airlines, please see
https://www.atmosfair.de/en/air-travel-climate/airline-index/
Aviation and Atmosphere
of seats occupied leads to an astonishing result:
Charter airlines and low cost carriers have a
lower climate impact than well-known carriers
and no airline has reached category A or
B. However, there needs to be a discussion on
that: How should the stimulation of further air
traffic by and the subsidies often given to low
cost carriers be handled? The atmosfair group
has decided not to include the low cost carriers
in its first AAI although all the data are avail-
able. For the ranking of the airlines, excluding
low cost carriers, see Fig. 7. There are only
three factors nearly totally determining the
higher ranking: high numbers of seats in a
certain aircraft type, percentage of seats occu-
pied, and age of the aircraft. Hence, an airline
flying tourists to a destination with narrow
Aviation and Atmosphere
seating and leased modern aircraft can reduce
fuel consumption to about 3 l of kerosene per
passenger and 100 km, while a net carrier with
first and business class seats, some old aircraft
and rather empty airplanes on certain dates for
certain city pairs cannot reach higher ranks.
Conclusions and Outlook
Mobility has a growing share in changing climate
in comparison to other human activities like
industrial production and heating or cooling of
houses. Fortunately, the European Union’s major
research project named QUANTIFY was able to
compare all modes of transport and very recently
quantified the different modes’ contributions.
Taking from their conclusions and focusing here
on the contribution of aviation (see QUANTIFY
[30] for all modes of transport) we find:
1. The impact of transport, in particular of avia-
tion and shipping, on climate grows faster than
the impact from other sectors of human activ-
ity. Hence, aviation has to excel concerning
efficiency measures in comparison to all other
human activities.
2. The effects of non-CO2 emissions on climate
caused by aviation and shipping (e.g., through
nitrogen oxide emissions and induced changes
in cloudiness) are particularly large in compar-
ison to other modes of transport.
3. A NOx molecule from aviation is responsible
for five times more ozone than a molecule from
road transport.
4. A NOx molecule from shipping is four times
more efficient in reducing methane concentra-
tion in the atmosphere than a NOx molecule
from aviation.
5. Aircraft-induced clouds warm the atmosphere.
Their radiative forcing (RF) is of similar mag-
nitude than RF from aviation CO2. Hence, a
multiplication factor of at least around 2 (includ-
ing air chemistry effects) seems justified when
dealing with climate effects of aviation.
6. The relative weights of the non-CO2 effects of
different modes of transport strongly depend
on the metric chosen and on the time horizon.
343
7. A temperature-based climate metric leads to a
very different result than one based on the
radiative forcing and thus only on the green-
house warming potential.
8. The per person and per kilometer climate
impact of passenger transport is much lower
for railways compared to road transport and
aviation, and the per person per kilometer cli-
mate impact of passenger air travel approaches
that of cars on time scale of decades. Despite
all the progress achieved so far many open
questions remain [30].
Most of the quantifications can only be given
with partly substantial uncertainty, sometimes
even effecting the sign of an effect. In particular,
the climate impact of indirect aerosol effects on
clouds is highly uncertain. We still do not know
whether soot cirrus really exists. The net effect of
NOx emission from air traffic might cause a net
negative radiative forcing, if a recently proposed
additional chemical reaction is confirmed. There-
fore, it is presently difficult to include some
non-CO2 effects in climate policies related to avi-
ation or to develop suitable mitigation strategies
for all non-CO2 effects caused by the transport
sector. Furthermore, many of the emitted species
responsible for the non-CO2 effects of air traffic
emissions also impact air quality.
By applying a hierarchy of models (from pro-
cess models, cloud resolving models to chemical
transport models, global general atmospheric cir-
culation models, and coupled atmosphere/ocean/
land-models) and by analyzing measurements
from satellites and dedicated field campaigns,
the main uncertainties with respect to short-lived
non-CO2 effects on the atmospheric composition
and on climate should be reduced:
1. The importance and magnitude of trade-offs in
the NOx effect (short-term increase in ozone
versus longer-term decrease in methane and
the associated longer-term ozone decrease)
should be explicitly simulated by comprehen-
sive models covering the long response time of
methane.
2. The climate impact of contrail cirrus should be
simulated by climate models including
344
parameterizations of contrail cirrus and evalu-
ated by recently available tracking algorithms
of these clouds in satellite data.
3. The climate impact of indirect effects on
clouds (e.g., soot cirrus caused by air traffic)
should be simulated by now available
chemistry-climate models including aerosol-
cloud interactions; the necessary parameters
should be obtained by dedicated airborne mea-
surement campaigns.
4. The regional response pattern in atmospheric
composition and climate resulting from hetero-
geneous transport emissions need to be deter-
mined consistently in a multi-model approach.
5. The effects arising while replacing fossil fuel by
biofuels should be considered. Finally, trade-
offs between climate and air quality effects of
emissions from different sectors should be
examined for robust policy formulations.
Because the future will not only bring – with
high probability – a global carbon emission trad-
ing scheme including all modes of transport but
will also approach the metric “emissions per per-
son per year” as the baseline of climate policy, the
inclusion of aviation into the European Union
emission trading scheme is just a first step on the
way to a more just handling of the different modes
of transport. This will give a push toward a much
more efficient transport system, e.g., with a pref-
erence for high speed trains in comparison to short
distance flights, and it will stimulate the search for
new types of fuel for aircraft derived from renew-
able energy sources, be it methane or hydrogen or
another fuel.
Acknowledgment I am very thankful to Dietrich
Brockhagen from atmosfair for many discussions over
the years on attempts to integrate aviation into the emission
reduction arena and especially on different metrics to
account for the climate effects of air traffic besides those
by CO2.
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Regional Air Quality
Erika von Schneidemesser and Paul S. Monks
Department of Chemistry, University of Leicester,
Leicester, UK
Article Outline
Glossary
Definition of the Subject and Its Importance
Introduction
Air Quality Measurements
Health Effects, Ecosystem Effects, and Air
Quality
Modeling
Current Air Quality Legislation and Metrics
Regional Context
Future Directions
Bibliography
Glossary
Anthropogenic Caused by humans; man-made.
Biogenic Produced by biological processes.
Cohort study A long-term study of the same
group of people (the cohort) over time, typi-
cally used in medicine social science, and
ecology.
Diurnal Relating to the 24 h/day time period.
Dry deposition The deposition of gaseous or par-
ticulate species from the atmosphere to a surface
without the involvement of precipitation.
Exceedance The amount by which something
(in this case an air quality pollutant) exceeds
the permissible standard or limit value.
Feedback An internal climate process that
amplifies or dampens the climate response to
an initial forcing, e.g., the release of methane
into the atmosphere due to warmer tempera-
tures, the atmospheric methane increase fur-
thers warming, which causes the release of
more methane into the atmosphere, etc.
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_561
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_561
Megacity City with a population of greater than
ten million inhabitants.
Metrics A set of measurements used to quantita-
tively gauge efficiency, progress, or perfor-
mance. In this case, as applied to air quality.
Mobile sources Any object that releases pollu-
tion that is not stationary, e.g., vehicles, planes,
trains, ships, etc.
Radiative forcing A change imposed on the
Earth’s radiation balance in units of heat flux
as watts per square meter (W m
2).
Smog A term derived from smoke and fog
applied to extensive contamination by
aerosols.
Stationary sources Any object that releases pol-
lution from one set location, e.g., power plants,
industrial factories, etc.
Temperature inversion The temperature of the
troposphere normally decreases with increas-
ing altitude; however, a temperature inversion
results when warm air lies above cool air,
which is an extremely stable condition, also
known as an inversion layer.
Temporal Pertaining to time.
Wet deposition The deposition of gaseous or
particulate species from the atmosphere to a
surface during precipitation events (e.g., rain,
snow, fog, dew).
Definition of the Subject and Its
Importance
What is Regional Air Quality?
Clean air is considered to be a basic requirement of
human health and well-being. However, air pollu-
tion continues to pose a significant threat to health
worldwide [1].
Air pollution can be defined as “when gases or
aerosol particles emitted anthropogenically build
up in concentrations sufficiently high to cause
direct or indirect damage to plants, animals,
other life forms, ecosystems, structures, or works
347
348
of art” [2]. The state of air pollution is often
expressed as air quality (AQ). Air quality is a
measure of the concentrations of gaseous pollut-
ants and size, number or mass of particulate matter
(PM). Air quality is typically measured using in
situ monitors that monitor species such as ozone
(O3), particulate matter, nitrogen oxides, and/or
sulfur dioxide.
Why is Regional Air Quality Important?
An awareness of the detrimental effects of air
pollution came to the forefront because of the
catastrophic effects of the “London Smog” epi-
sode of 1952 where more than 4,000 people died
[3]. Shortly after this, the Clean Air Act was
passed by the UK Parliament in 1956 to limit
smoke/sulfur dioxide emissions and improve air
quality in the cities. Air quality legislation
evolved from there, mainly in Europe and the
USA, to what it is today. Current air quality leg-
islation is discussed in more detail in section
“Current Air Quality Legislation and Metrics”.
Air quality remains an important topic because
of its impact on human health, ecosystems, and
its interactions with climate change (CC).
Introduction
The Development of Regional Air Quality
Monitoring and Legislation
The state of air pollution is often expressed as air
quality (AQ). Air quality is a measure of the
concentrations of gaseous and aerosol pollutants
in the atmosphere. Human health, ecosystems,
national heritage (e.g., buildings, monuments),
and regional climate are all impacted by air pollu-
tion. The implications for human health and eco-
system impacts can range from superficial surface
discoloration of buildings to serious adverse
health effects, such as loss of months to years of
life. These effects are discussed in further detail in
section “Health Effects, Ecosystem Effects, and
Air Quality”. Air pollution and air quality control
measures have implications for climate change,
owing to feedbacks between composition and cli-
mate as well as wider atmospheric interactions.
Policies to improve air quality may not always
Regional Air Quality
have positive effects on climate change and vice
versa. Therefore, as we move forward with air
quality and climate regulation, interactions and
feedbacks from air quality and climate change
trade-offs need to be taken into consideration.
Some of these trade-offs are shown in Fig. 1.
The topic as a whole is addressed in section
“Regional Context”.
Air pollution has a history far longer than the
development of contemporary air quality policies.
Ozone, a current air quality problem and signifi-
cant contributor to urban pollution, was discov-
ered in 1839 by a German chemist, Christian
Fredrich Schönbein. Air pollution from copper
smelting from as far back as Roman times has
been detected in ice-core measurements [2]. The
plentiful use of fossil fuels in industry and home
heating starting in the Middle Ages, latterly in
trains, was the main progenitor of degraded air
quality through to modern times. A number of
extreme air pollution events starting in the late
1800s provided the motivation for modern air
quality regulation. A number of smog episodes
in London from 1878 to 1962 resulted in excess
deaths of hundreds to thousands of people, with
the most extreme and well known of these events
being the “Big Smoke” of early December 1952
that killed upward of 4,000 people [2–4]. Similar
episodes were also recorded in the Meuse Valley,
Belgium in 1930, and Donora, Pennsylvania,
USA in 1948 where smog events resulted in tens
of excess deaths and the illness of thousands of
residents [2]. Around the same time, Los Angeles
was suffering from a different type of smog, this
one photochemical in origin, that arose from the
mixture of ozone, nitrogen oxides, and volatile
organic compounds (VOCs) produced from a
combination of large amounts of vehicle traffic,
sunny weather, and persistent temperature
inversions [4].
These “smog” events, among others, spurred
the development of air quality regulation in the
USA and Europe. The US Air Pollution Control
Act was first passed in 1955, identifying air pol-
lution as a national problem. Further air pollution
legislation followed with the Clean Air Act in
1963 which set emission standards for stationary
sources (e.g., power plants). This was followed by
Regional Air Quality
AQ
Good
FGD
TWC-Petrol
DPF-Diesel
CC Bad
Uncontrolled coal and
oil fossil fuels in
stationary and mobile
sources
AQ
Bad
Regional Air Quality, Fig. 1 The synergies and trade-offs between policies to improve air quality (AQ) and to reduce
greenhouse gas emissions/improve climate change (CC) (Monks et al. [36])
a number of amendments in the 1960s that set
standards for motor vehicle emissions. In 1970,
the Clean Air Act was passed, which established
the National Ambient Air Quality Standards
(NAAQS), set new limits on stationary and
mobile sources emissions, and allowed states to
set their own stricter standards [4]. Catalytic con-
vertors for vehicles in the USA were introduced in
1975, developed in response to the 1970 Clean
Air Act, significantly reducing hydrocarbon
(HC) and carbon monoxide emissions. Further
incarnations of the Clean Air Act and amend-
ments were passed in the years since then, reduc-
ing standards for stationary and mobile sources,
and mandating control technology. In the USA,
California has frequently been ahead of the curve
with more stringent air quality standards and
tighter standards for vehicles emissions. In 2002,
California passed legislation that required auto-
makers to reduce greenhouse gas emissions from
vehicles [4].
Just after the first US Air Pollution Control
Act, the UK Clean Air Act was passed in 1956,
349
Energy efficiency
Demand management
Nuclear
wind, solar, tidal...
hybrids, L & Z EVs
CCS
CC
Good
Increase in
“uncontrolled” diesel
Biofuels
Biomass
CHP
setting controls for household and industrial emis-
sions of smoke. In 1968, the UK Clean Air Act
was passed which required tall smoke stacks for
industries using fossil fuels to improve dispersal
of emissions and avoid local deposition [2]. As of
1972, the UK joined the EU and the majority of
air quality policy has been determined by EC
directives applicable across Europe. In 1979, the
International Convention on Long-Range Trans-
boundary Pollution was adopted to limit emis-
sions of acidifying pollutants. The first directive
on ambient air quality was adopted in 1980 and
assigned limits to sulfur dioxide and particles
[3]. Subsequent directives in 1982 and 1985 put
limits on ambient air concentrations of lead and
nitrogen dioxide, and in 1989 a directive required
all new cars in the EU to run on unleaded fuel
[3]. A 1993 directive required the use of catalytic
convertors on all new petrol vehicles. In 1996, an
EC directive was established to provide a new
framework to control levels of sulfur dioxide,
nitrogen dioxide, particulate matter, lead, ozone,
benzene, carbon monoxide, and hydrocarbons.
350
This included establishing common methods and
criteria for assessment of air quality, and setting
concentration limits for the pollutants. These
limits were then tightened by a following directive
in 1999. Current legislation and regulations are
outlined in more detail in section “Current Air
Quality Legislation and Metrics”.
Air Quality Pollutants
Air pollution has many different components that
differ in concentration depending on the super-
imposition of local, regional, and global emis-
sion sources. These emissions are frequently
separated into anthropogenic (“man-made”) and
biogenic (“natural”) sources. The components of
air pollution can be roughly separated into gas-
eous and particulate (or aerosol) fractions.
Within both gas and particulate pollution there
can be primary and secondary pollutants, organic
and inorganic compounds. Primary pollutants are
those emitted directly into the atmosphere from a
source, such as sulfur dioxide or black carbon
(BC) (a significant light absorbing component of
soot). Secondary pollutants are those formed in
the atmosphere from chemical and/ or physical
transformations of primary pollutants, such as
ozone (O3) and secondary organic aerosol
(SOA).
Regional air pollution results from the combi-
nation of emissions, which vary both spatially and
temporally and meteorological factors (that allow
the pollutants to build up in an area or transport
pollutants into an area where they can mix with
local emissions) causing poor regional air quality.
Figure 2 shows different emissions sources and
meteorological components that have an impact
on regional air quality. In addition to wind trans-
porting pollutants, sunlight plays an important
role in photochemical reactions in the atmosphere
that create some of the secondary pollutants. Air
pollutants are then removed from the atmosphere
through dry deposition (e.g., settling) or wet depo-
sition (e.g., rain scavenging). The following two
sections will discuss the two main components of
air pollution – gaseous pollutants and particulate
pollutants in terms of their sources, sinks, atmo-
spheric transport, and transformations.
Regional Air Quality
Gaseous Pollutants
There are myriad different gaseous species that are
emitted into the atmosphere from various air pollu-
tion sources. Some of the major gaseous pollutants
are carbon monoxide (CO), nitrogen compounds
(e.g., NO, NO2, HNO3), sulfur compounds (e.g.,
SO2), hydrocarbons (HCs) including methane and
nonmethane hydrocarbons (NMHCs), and photo-
chemical oxidants (e.g., O3). Other gaseous pollut-
ants, such as carbon dioxide (CO2) and methane
(CH4), will not be addressed here because they are
not a major focus for regional air quality concerns
because their longer lifetimes qualify them as global
pollutants.
Carbon monoxide’s primary source is from
incomplete combustion. In addition to being an
important primary pollutant, it is also an important
precursor compound for the formation of ozone, as
well as a secondary pollutant itself, formed from
the oxidation of methane and other NMHCs by the
OH radical [5]. It has a lifetime of a couple months
which makes it a regional and global scale pollut-
ant that can be transported significant distances
from its emission source. Carbon monoxide is pri-
marily removed from the atmosphere by reaction
with OH, a small amount being removed by depo-
sition. Ambient levels of 0.15–10 ppmV are com-
mon in urban areas mainly owing to road
transport–related sources [6, 7]. In the USA,
mobile sources (including non-road mobile
sources) make up 80% of national CO emissions,
while in the UK 47% of CO emissions are attrib-
uted to road transport sources. Figure 3 shows how
CO emissions largely follow the road network in
the UK, with the highest emissions in urban areas
[8]. Furthermore, the high correlation of CO with
population density in Asia is shown in Fig. 4
[9]. Carbon monoxide emissions have shown sig-
nificant reductions over the past 2 decades
[7]. These emission reductions are largely credited
to the increased use of catalytic convertors in cars.
Total CO emissions in the USA have decreased
68% since the 1990s until 2008, and currently all
monitoring stations in the USA show that no areas
are in nonattainment for the 8-h CO standard of
9 ppmV [10]. Similarly, CO emissions in the UK
have been reduced by 71% from 1990 to 2005 in
the UK. Elevated levels of CO observed in rural/
Regional Air Quality 351

Water vapor Halocarbons Chemical

transformation
CFCs Stratosphere

O3 destruction

Aircraft emissions
(NOx, Black Carbon, Sulfate) Troposphere

Long-range Transport of Aerosols and Gases

Chemical Chemical
transformation transformation

O3 production O3 production

Natural and
anthropogenic emissions Free
from the Earth Chemical Troposphere
(CH4, CO, CO2, transformation
VOCs, Sulfate, Black and
Cities Carbon, Dust, N2O, Evaporation Boundary
CFCs, NOx, O3) and convection layer
Sulfur
Industry Deposition
of
emissions
pollutants from oceans

Forests and other

Ecosystems
Transportation

Agriculture Transportation

Cattle
Oceans
Desert
dust
Biomass
burning

Regional Air Quality, Fig. 2 Summary of emissions, emissions sources, and atmospheric processing of air pollutants

remote areas are possible because of agricultural or
biomass burning and forest fires.
Sulfur dioxide emissions originate primarily
from coal-fired power plants. Once in the atmo-
sphere SO2 is oxidized to sulfuric acid (H2SO4)
both homogeneously and heterogeneously in the
liquid and gas phases [11]. The resultant sulfuric
acid can be deposited in the gas phase or can
condense with water vapor onto aerosol particles
or cloud drops to produce aqueous phase sulfuric
acid which can then be deposited through rain or
fog. Acid deposition came to the forefront of
environmental issues in the 1950s and 1960s
when the acidification of Scandinavian lakes was
linked to sulfur emissions in Europe. A Swedish
study in 1972 connected sulfur dioxide emissions
with negative environmental impacts which led to
an international effort to reduce acidification
[2, 3]. It was later also determined that emissions
other than SO2 were also contributing to the acid
deposition, such as direct emissions of HCl and
nitric acid formed from nitrogen oxides emission
and chemical transformation. Efforts to reduce
acid deposition spawned international agreements
such as the Convention on Long-Range Trans-
boundary Air Pollution (LRTAP), which was the
first such agreement to deal with international air
pollution issues. Measures in the USA to reduce
and monitor sulfur emissions included amend-
ments to the Clean Air Act of 1970, as well as
the creation of the National Atmospheric Deposi-
tion Program of 1977 [2]. Significant reductions
352 Regional Air Quality

Regional Air Quality, UK Emissions Map of

Fig. 3 Spatially Carbon Monoxide (as C) 2005 t/1×1km
disaggregated emissions of
carbon monoxide in the UK 0 – 0.3
from 2008 (Murrells et al. [8]) 0.3 – 0.5
0.5–2
2–3
3 –16
16 –160
160 –143,550

© Crown copyright. All rights reserved defra Licence number 100018880 2007.

in SO2 emissions were achieved in North America
and Europe, resulting in some regeneration and
recovery of many forests and water bodies in these
areas. The current guideline set by the World
Health Organization (WHO) for SO2 is
20 mg m
3 (24-h average). A study looking at
annual average SO2 concentrations for the late
1990s of various megacities (cities with
populations greater than ten million) worldwide
found that a number of cities, such as Dhaka,
Bangladesh, Beijing, China, and Shanghai,
China were still above this guideline; most other
cited megacities in the study had annual average
concentrations of just under 25 mg m
3 [12]. Addi-
tionally, SO2 emissions from megacities in Asia
accounted for 30% of the ambient concentrations
measured regionally, including areas hundreds of
kilometers from the urban centers [13]. Levels of
SO2 measured in the USA declined by 59% from
1990 to 2008, and are currently well below the
0.03 ppmV (~80 mg m
3) national standard. The
majority of the monitoring sites in the USA report
SO2 annual average levels between approximately
0.002 and 0.008 ppmV for 2008 [10].
Similar to SO2, power plants are a significant
emissions source for nitrogen oxides (NOx). How-
ever, NOx has many other important emission
sources including mobile sources, which make up
the majority of global NOx emissions, as well as
biomass burning, and natural emissions from soils
and lightning [2, 5]. NOx is the collective term for
NO and NO2 as the photolysis of NO2 to NO and the
subsequent regeneration of NO2 via reaction of NO
with ozone is sufficiently fast, in the moderately
polluted environment, for these species to be in
dynamic equilibrium, namely,
Regional Air Quality 353

Regional Air Quality,

Fig. 4 (Top) Population
density over China and
surroundings. All cities
with more than two million
inhabitants are indicated.
(Middle) MOPITT carbon
monoxide mixing ratios at
the surface level; average
measurements from March
2000 to June 2007.
(Bottom) The EDGAR
carbon monoxide emission
inventory for the year 2000.
All data are on a 1  1 grid
(Clerbaux et al. [9])
Population density (millions inhabitants)

0 1 2 3 4 5 6

Surface CO mixing ration(ppbv)

50 100 150 200 250 300

CO emissions (Tg/year/(1deg x 1 deg))

0.05 0.1 0.15 0.2 0.25 0.3

354
NO2 þ hv ! NO þ O ð1Þ
O þ O2 þ M ! O3 þ M ð2Þ
O3 þ NO ! NO2 þ O2 ð3Þ
Therefore, at suitable concentrations, ambient
NO, NO2, and O3 can be said to be in a photo-
chemical steady state or photostationary state
(PSS) [14], provided that they are isolated from
local sources of NOx and that sunlight intensity is
relatively constant.
The majority of NOx emissions are initially
emitted as NO. For example, the majority of
NOx from power stations is released from the
stack as NO. Also, a study of vehicle emissions
in Europe (for Euro-II emission standards)
showed that for passenger cars, only 5% of NOx
is emitted as NO2 on average [15]. Since the Euro-
II emission standards were introduced NOx stan-
dards have been reduced through the introduction
of Euro-III, IV, and V. This has resulted in an
increase in the fraction of NOx emitted as primary
NO2, likely due in large part to particle filters fit to
diesel vehicles [16]. In urban environments, NOx
emissions typically show diurnal cycles, peaking
during rush hours, owing to the dominant source
from the transportation sector. The data in Fig. 5
show typical source time profiles from Mexico
City [17]. The adverse health effects of NOx
stem from NO2 which can be inhaled and passed
into the pulmonary region causing tissue damage;
NO is believed to be largely nontoxic at ambient
levels [18]. The greater impact, in terms of health
effects and air quality, results from the role that
NOx plays in ozone formation. NOx along with
volatile organic compounds (VOCs) and CO are
the important precursor compounds for the forma-
tion of ozone (see later).
The main anthropogenic sources of VOCs are
from mobile sources, evaporation from liquid
fuels, and industrial sources. VOCs such as iso-
prene and mono-terpenes also have a significant
biogenic source from vegetation [19]. VOCs are
defined as nonmethane hydrocarbons plus heavy
hydrocarbons plus carbonyls plus halocarbons,
typically <C20 [20]. VOCs include alkanes,
alkenes, alkynes, and aromatics, as well as
Regional Air Quality
oxygenated organics that have low boiling points
(50–260  C). Certain VOCs such as the highly
reactive “BTEX” compounds (benzene, toluene,
ethylbenzene, and xylenes) and 1,3-butadiene that
are often prevalent at significant concentrations
are frequently monitored even if other VOCs are
not [21–24]. Highly reactive aromatics, as well as
some other VOCs, are important precursor com-
pounds to secondary organic aerosol (SOA) for-
mation (see discussion in the “Particulate Matter/
Aerosol Pollutants” section). Methane is also a
VOC, but those discussed here are limited to
nonmethane VOCs (NMVOCs). Methane has
very different sources and because of its lifetime
is a global pollutant; it also has very important
effects on climate. A study of NMHCs in 28 US
cities reported mean mixing ratios of individual
HCs of 9–8,740 pptV, with Los Angeles typically
reporting among the highest mixing ratios [21]. A
similar study measuring NMHCs in 43 cities in
China reported a range of minimum and maxi-
mum mixing ratios from 40 pptV to 58,300 pptV
for the same set of compounds [25]. On the other
end of the spectrum, measurements at a remote,
high altitude observatory at Izana, Tenerife,
reported mean values for a similar set of individ-
ual NMHCs ranging from 1 pptV to 501 pptV
[26]. A comparison ofNMHC (and CO) measure-
ments from global cities found that, in agreement
with the small sampling of measurements
discussed here, the highest mixing ratios were
found in Asian and Latin American cities
[7]. While ambient air quality standards do not
include VOCs, many vehicular emissions stan-
dards do, such as the European emissions stan-
dards for passenger cars or the US “Tier”
regulations. The standards set for VOCs are for-
mulated to achieve ozone standards, as the many
of the VOCs themselves pose relatively low
health risks owing to minimal exposures. Some
VOCs, such as 1,3-butadiene and benzene are
genotoxic carcinogens and have significant health
risks for any amount of exposure. These com-
pounds along with some semi-volatile organic
compounds, such as polycyclic aromatic hydro-
carbons (PAHs) frequently have specific air qual-
ity standards because of their carcinogenic
properties [2, 18, 24].
Regional Air Quality 355

CO 2001 – 2007 03 2001 – 2007

4
Mon Mon
80
Tue Tue
Wed Wed
3
Thu Thu
Fri 60 Fri
Sat Sat
ppm

2 Sun Sun

ppb
40

1 20

0 0
0 3 6 9 12 15 18 21 24 0 3 6 9 12 15 18 21 24
h h
NOX 2001 – 2007 PM10 2001 – 2007

140 Mon 80 Mon

Tue Tue
120 Wed Wed
Thu Thu
Fri Fri
100 60
Sat Sat
μg/m3
ppb

Sun Sun
80

60 40

40

20 20
0 3 6 9 12 15 18 21 24 0 3 6 9 12 15 18 21 24
h h

Regional Air Quality, Fig. 5 Diurnal cycle of carbon monoxide, nitrogen oxides, ozone, and PM10 in Mexico City,
averaged for 39 monitoring stations throughout the city over the 2001–2007 period (Stephens et al. [17])

Ozone is currently a problematic regional air
quality issue for many locations. Ozone is formed
in the atmosphere from the photochemically
driven reactions of NOx, VOCs, and CO. The
atmospheric cycle of reactions that form ozone
are shown in Fig. 6, where RH represents the
VOCs/hydrocarbons. High levels of ozone can
be found in urban areas, as well as in rural areas.
Ozone is a secondary pollutant and takes time to
form in the atmosphere, during that time can be
transported away from the emission source. The
time necessary for ozone formation depends on
factors such as sunlight and the availability of the
precursor compounds, and is typically on the
order of hours. Modern day average background
O3 mixing ratios in the Northern Hemisphere
range from 20 to 45 ppbV (~39–88 mg m
3).
Background in this case is defined as the fraction
of ozone that is not attributed to anthropogenic
sources of local origin and is therefore resulting
from stratospheric ozone transport to the tropo-
sphere, ozone production from natural sources of
NOx and VOCs (e.g., lightning, biogenic emis-
sions), or long-range transport of ozone from dis-
tant pollutant sources [27]. The contribution of
background ozone, specifically that from long-
term transport, is a concern for many locations
that are in exceedance of air quality standards, as
the background contribution can make the differ-
ence between being in attainment and not. This is
of particular concern in the Western US where
influence from Asian emissions may be making
it more difficult to achieve current regulatory air
quality standards [28]. Many urban areas, beyond
those in the Western US, are often in exceedance
of their respective air quality standards for ozone,
356
hν
O3 NO2
O2
NO HO2
OH
RH O2 O2 R−HO
NO RO
RO2
hν
O2 O3
NO2
Regional Air Quality, Fig. 6 Atmospheric cycle for the
production of ozone. RH are hydrocarbons/non-
oxygenated volatile organic compounds (VOCs).
(Reproduced from Fowler et al. [32])
such as cities in the USA, Canada, Europe, and
China [29–34]. These exceedances often affect
rural areas as well [35]. Ozone has adverse
impacts on human health, as well as vegetation.
Surface ozone is associated with respiratory prob-
lems and premature human mortality. In addition,
it can damage plants, reduce photosynthesis and
growth, leading to reduced crop yields [36].
Many of the pollutants discussed above,
including carbon monoxide, sulfur oxides, nitro-
gen oxides, and ozone, as well as particulate mat-
ter (see below), are classified as “criteria
pollutants” by the US EPA. These criteria pollut-
ants are among the most common air pollutants
and are used as indicators of air quality [37].
Particulate Matter/Aerosol Pollutants
Particulate matter is an air quality concern
because of its adverse health effects, as well as
its contribution to reductions in visibility. Partic-
ulate matter is currently monitored, in the air
quality area, based on size-resolved fractions.
These are typically PM10 (particles with an aero-
dynamic diameter of 10 mm or smaller) and PM2.5
(particles with an aerodynamic diameter of 2.5 mm
or smaller). This size fractionation is also typically
referred to as the coarse mode (the fraction
between PM10 and PM2.5) and the fine mode
(equivalent to PM2.5). Particles in the fine mode
are a more significant health concern than those in
the coarse mode because of their ability to
Regional Air Quality
penetrate deeper into the lungs than particles in
the coarse mode, remain in the air longer, trans-
port over longer distances, and penetrate more
easily into indoor environments [38]. The scale
of the possible impact of adverse health effects
from particulate matter is shown in Fig. 7 which
depicts the estimated loss of life expectancy attrib-
utable to PM2.5 from anthropogenic emissions in
2000 and 2020 in Europe [39].
Particulate matter (PM) is composed of many
different species, including carbonaceous aerosols,
inorganic species (sulfate, nitrate, ammonium,
chloride), trace metals, and crustal elements from
dust and water [5]. The relative contribution of
aerosol components to the total aerosol burden for
the present atmosphere, based on a model simula-
tion for 1990 using emission estimates from 1990
and later, is shown in Fig. 8 [40]. Aerosols techni-
cally refer to the suspension of fine solid or liquid
particles in a gas; however, the term aerosols is
more commonly used to refer to just the particu-
late/nongaseous component, which is how it will
be used here [5]. There are anthropogenic and
natural sources of particulate matter. Natural
sources of PM include volcanic eruptions, sea
spray, biological debris, and dust. These types of
PM emissions tend to fall into the coarse mode
(PM10–PM2.5) and are emitted owing to mechani-
cal processes [5]. Anthropogenic particulate matter
is emitted primarily from combustion sources and
falls largely into the fine mode (PM2.5) [38]. In
many locations the majority of these anthropogenic
emissions stem from fossil fuel combustion use by
the transportation sector [18, 41], but other sources
include stationary fuel combustion (e.g., power
plants), industry, and biomass burning. The sche-
matic representation in Fig. 9 summarizes aerosol
sources, sinks, and transformations in the atmo-
sphere, by particle size [5, 42].
In addition to primary aerosols, secondary
aerosols, i.e., those formed in the atmosphere by
gas-to-particle conversion and/or condensation of
gaseous compounds onto preexisting aerosol par-
ticles can be a significant fraction of the
PM. Secondary aerosols can be organic or inor-
ganic, formed primarily from (photo)chemical
reaction of VOC precursor emissions or the oxi-
dation of NOx and SO2 [43]. Secondary organic
aerosols (SOAs) are formed in a two-step process:
Regional Air Quality 357

–30 –20 –10 0 10 20 30 40 50 60 –30 –20 –10 0 10 20 30 40 50 60

60 60

60 60

50 50

50 50

40 40
40 40

0 500 1000 1500 km 0 500 1000 1500 km

10 20 30 10 20 30

Estimated losses in life expectancy attributable to exposure to fine particulate matter (PM2.5) from anthropogenic
emissions for 2000 (left) and 2020 (right)

Months No data Outside study area

0 1 2 4 6 9 12 36

Regional Air Quality, Fig. 7 Health impact of particu- (left) and for 2020 (right) for the Clean Air for Europe
late matter (PM) mass concentrations (mg m
3). Loss in (CAFE) baseline scenario, which takes into account
statistical life expectancy (months) that can be attributed to changes in air quality standards and reductions in emis-
anthropogenic contributions to PM2.5 for the year 2000 sions (IIASA; EEA [39])

BC/EC
Organics
Organic & BC/EC
compounds
SO42– SO42–

Others
NO3– Others

NH4+

Regional Air Quality, Fig. 8 Relative contribution of
aerosol components to the total aerosol burden (28.9 Tg)
for the present atmosphere, based on a model simulation
from 1990 using emission estimates from 1990 and later.
Secondary organic aerosol (SOA) produced from
anthropogenic sources (SOAa), secondary organic aerosol
from biogenic VOC oxidation (SOAb), primary organic
aerosol (POA), black carbon (BC), and methane sulfonic
acid (MSA) (Tsigaridis et al. [40])

(1) the production of the organic aerosol com- photochemical reactivity (e.g., summer months),
pound from the reaction of parent organic gases, but can be significant year-round depending on
(2) the partitioning of the organic compound the location, meteorology (e.g., humidity and tem-
between the gas and particulate phases forming perature), solar radiation, the existing aerosols and
SOA [5]. Secondary organic aerosol concentra- availability, abundance, and reactivity of gas-
tions tend to be higher during periods of greater phase precursors and oxidants [44–47]. The
358 Regional Air Quality

Regional Air Quality, Chemical conversion

Fig. 9 Schematic of the Hot vapor of gases to low
distribution of atmospheric volatility vapors
aerosols, showing principal
modes, sources, and particle Condensation
Low
formation and removal volatility
mechanisms (Whitby and Primary vapor
Cantrell [79]) particles
Homogeneous
Coagulation nucleation

Chain Condensation
aggregates growth of nuclei Wind blown dust
+
Emissions
+
Droplets Sea spray
+
Volcanoes
+
Coagulation Plant particles

gulation
Coa

Rainout
& Sedi-
washout mentation

0.001 0.01 0.1 1 10 100

Particle diameter, μm

Transient nuclei or Accumulation Mechanically generated

aitken nuclei range range aerosol range
Fine particles Coarse particles

atmospheric processes undergone by aerosols contributions of different types of aerosol sources

after emission or formation in the atmosphere are
detailed in Fig. 10 [44, 48].
Concentrations of reported PM range from less
than 1 mg m
3 (PM10) in a remote location such as
the Antarctic to 340 mg m
3 (PM10) and
194 mg m
3 (PM2.5) annual average concentra-
tions for Lahore, Pakistan in 2007, which is
extremely polluted and has some of the highest
PM concentrations recorded [49–51]. The WHO
annual average guideline for PM10 is 20 mg m
3
and 10 mg m
3 for PM2.5. Annual average con-
centrations in 2001 of PM2.5 and PM10 from three
European cities ranged from 7.8 to 28.0 mg m
3 to
15.7–41.0 mg m
3, respectively [52].
Various types of modeling have been
established that are able to determine the
to ambient particulate matter samples, including
factor analysis and chemical mass balance (CMB)
modeling. More information about these types of
models can be found in section “Modeling”.
Air Quality Measurements
Networks of air pollution monitoring stations
have been set up across many areas of the globe,
especially in developed countries. In the USA, for
example, ambient air quality monitoring pro-
grams are required of states by the US EPA to
assess and determine compliance with the
national ambient air quality standards. The air
quality monitors and monitoring programs must
Regional Air Quality
Regional Air Quality,
Fig. 10 Primary
emissions, secondary
formation, and atmospheric Secondary
processing of natural and formation
anthropogenic aerosols
(Fuzzi et al. [48]; Poeschl
[44]; Monks et al. [36])
Natural
Primary emission
comply with design and quality assurance require-
ments, as well as using monitoring techniques
based on federal reference methods. The results
from these monitoring networks are then reported
to the US EPA annually [18]. There are different
levels of monitoring networks in the USA, includ-
ing the National Air Monitoring Stations (NAMS),
the State and Local Air Monitoring Stations
(SLAMS), and the Photochemical Assessment
Monitoring Stations (PAMS). The national net-
work is for long-term monitoring to provide a
systematic, consistent database for comparison
with other air quality data and trend analysis. The
state and local network is for determining compli-
ance with air quality standards, while the PAMS
network is designed for monitoring ozone in areas
of persistently high ozone concentrations
[18]. More information on monitoring and the fed-
eral reference methods used in the US air quality
networks is available on the US EPA Web site and
in Godish (2004) [18].
The overarching air monitoring network for all
of Europe, which focuses on transboundary air
pollution, was established as part of the Conven-
tion on Long-Range Transboundary Air Pollution
(LRTAP). Within that convention, the EMEP pro-
gramme (Co-operative Programme for Monitoring
and Evaluation of the Long-range Transmission of
Air Pollutants in Europe) was tasked to “regularly
provide governments and subsidiary bodies under
359
Cloud processing
Physical & chemical
Transformation (Aging)
Anthropogenic Dry Wet
Deposition
the LRTAP Convention with qualified scientific
information to support the development and further
evaluation of the international protocols on emis-
sion reductions negotiated within the Convention”
[53]. At this point, data are collected for the fol-
lowing areas of interest: acidification and eutrophi-
cation, ground-level ozone, persistent organic
pollutants (POPs), heavy metals, and particulate
matter. These are monitored using air and precipi-
tation sampling methods. In addition to measure-
ments (monitoring), EMEP also collects emissions
data, and uses modeling to look at atmospheric
transport and deposition of air pollutants
[53]. The focus here will be on the established
monitoring network. There are over 300 sites in
the monitoring network in 37 countries, and more
than 20 participating institutions. There are three
different levels of monitoring stations within the
EMEP network depending on the number and type
of measurements being conducted, but all EMEP
stations are located in areas classified as measuring
regional or global background. Many of the EMEP
stations are also part of or working in cooperation
with other European monitoring framework initia-
tives, such as the World Meteorological
Organization-Global Atmospheric Watch pro-
gramme (WMO-GAW), national monitoring net-
works that report to the European Commission
under the European Union Air Quality Directives,
and other national and local monitoring networks
360
[54]. The European Air Quality Directives focus
on regional air pollution.
In addition to the EMEP network, many coun-
tries also have monitoring networks that have
been established in urban areas to monitor road-
side pollution levels, and urban background
levels. For example, the UK has an extensive air
quality network, across the country
(UK Automatic Urban and Rural Network,
AURN) and in the major urban areas, such as
London (London Air Quality Network, LAQN).
The UK AURN has over 100 monitoring stations
located across the country for NOx, PM2.5, PM10,
SO2, CO, and/or O3. A map showing the distribu-
tion of monitoring stations and station types,
given by monitoring in compliance with AQ leg-
islation, is shown in Fig. 11.
Airport
Kerbside
Remote
Roadside
Rural
Suburban
Urban background
Urban centre
Urban industrial
Regional Air Quality, Fig. 11 Monitoring stations in the
UK, shown by station classification (http://www.airquality.
co.uk/monitoring_networks.php?n¼aurn)
Regional Air Quality
Health Effects, Ecosystem Effects, and
Air Quality
Air pollution was not always associated with neg-
ative connotations. Before the Second World War,
air pollution (e.g., car exhaust, plumes from
smoke stacks) were associated to a certain degree
with growth and prosperity [55]. Going back as
far as 1873 London was affected by smogs, the
most infamous of which was the London smog of
December 1952 [18]. The word smog originates
from the combination of the words smoke and fog.
The smogs of London were caused by extremely
high concentrations of smoke and sulfur dioxide
emissions largely from coal burning. During the
1940s, it became clear that cities like Los Angeles
had severe air quality problems owing to a differ-
ent kind of smog – a photochemical smog. This
type of smog stems from high concentrations of
oxidants (e.g., ozone) and peroxide compounds
that are produced through photochemical reac-
tions. The basic reaction scheme for the formation
of ozone, the primary ingredient in photochemical
smog is
½O2 
VOC þ OH ! RO2 þ H2 O ð4Þ
½O2 
CO þ OH ! HO2 þ CO2 ð5Þ
½O2 
RO2 þ NO ! secondary VOC þ H2 O
þ NO2 ð6Þ
H2 O þ NO ! OH þ NO2 ð7Þ
NO2 þ hv ! NO þ O ð8Þ
O þ O2 þ M ! O3 þ M ð9Þ
where RO2 represents a chain organic with
an attached O2. The OH radical is formed from
photolysis of ozone, formaldehyde, and other
secondary VOCs [56]. Since these early smogs
which documented a connection between
exposure to elevated pollution levels and acute
illness in the affected population, a number of
epidemiological, toxicological, and occupational
Regional Air Quality
exposure studies have documented the associa-
tion between aerosols and adverse health effects
[18, 38, 57]. Health effects can range from eye
irritation to cardiovascular system related mor-
tality. The Harvard Six Cities study was a cohort
study which estimated the effects of air pollution
on mortality, while also controlling for other
individual risk factors, such as smoking
[58]. Over 8,000 adults in six US cities were
included in the study that lasted approximately
15 years. Statistically significant associations
were found between air pollution and mortality
with positive associations between air pollution
and death from lung cancer, as well as air pollu-
tion and cardiopulmonary disease. The air pol-
lutants most associated with the mortality were
fine particulates and sulfate [58]. A later cohort
study from 1982 to 1989 using data from 151 US
cities and over 550,000 adults found that
increased mortality was associated with sulfate
and fine-particulate air pollution and that partic-
ulate air pollution was linked with cardiopulmo-
nary and lung cancer mortality, very similar to
the Six City study findings [59]. Later studies and
reanalysis of the data found that there was no
consistent toxicological evidence to suggest that
long-term exposure to sulfates had significant
effects on the cardiovascular system [60]. The
association of sulfate with adverse health effects
Regional Air Quality,
Fig. 12 Cross-sectional
life expectancies for
Life Expectancy, 1997–2001 (yr)
1997–2001, plotted against
PM2.5 concentrations for
1999–2000 for the USA.
Dots and circles labeled
with numbers represent
population-weighted mean
life expectancies at the
county level and the
metropolitan-area level,
respectively. The solid and
broken lines represent
regression lines with the use
of county-level and
metropolitan-area-level
observations, respectively
(Pope et al. [59])
361
remains under debate. Figure 12 shows life
expectancies versus PM2.5 concentrations from
a study looking at fine-particulate air pollution
and life expectancy throughout the USA
[61]. Additional studies in Canada, Germany,
Finland, and the Czech Republic also reported
comparable results for particulate pollution and
adverse health effects, such as respiratory symp-
toms and hospitalizations and mortality [38]. For
more detailed information on air pollution and
health effects, a number of books and review
articles are recommended in the “Further Read-
ing” section of the “Bibliography”.
In addition to adverse human health effects, air
pollution can damage vegetation, buildings, and
cause loss of revenue due to impaired visibility.
Vegetation effects include reduction in yields, leaf
damage, loss of sensitive species, and subsequent
reduction in plant diversity and sensitivity to other
environmental stresses [62]. Buildings and other
outdoor structures can be damaged by air pollu-
tion as well. The blackened walls of historical
monuments and other buildings, such as cathe-
drals, are because of high levels of aerosols depos-
iting on the surface. Physical erosion owing to
windblown dust can impact buildings, and some
building materials (mainly certain kinds of stone,
such as limestone or marble) can also be chemi-
cally eroded by acid aerosols [18].
82
80
78
76
74
72
70
0
0 5 10 15 20 25 30
PM2.5, 1999–2000 (μg/m3)
362
Modeling
The fate of any chemical species (Ci) in the atmo-
sphere can be represented as a continuity or mass
balance equation such as
dCi duCi dvCi dwCi
¼


dt dx dy dz
  ð10Þ
dC dCi
þK z i þ Pi
Li þ Si þ
dz dt clouds
where t is the time, u, v, and w are the components
of the wind vector in x, y, and z accounting for the
horizontal and vertical large-scale transport.
Small-scale turbulence can be accounted for
using Kz, the turbulent diffusion coefficient, Pi
and Li are the chemical production and loss
terms, and Si are the sources owing to emissions.
Cloud processes (vertical transport, washout, and
aqueous phase chemistry) are represented in a
cloud processing term. The application of this
type of equation is the basis of chemical model-
ing. There are two main types of modeling that
deal with air pollution and air quality objectives,
atmospheric (chemical) transport models and sta-
tistical models [5].
Atmospheric Models
Atmospheric (chemistry) transport models are
based on the fundamental description of atmo-
spheric physical and chemical properties [5]. The
reason for the “chemical” term in parentheses is
that there are a number of models which model
only transport and do not necessarily always
include chemical transformations, but the gen-
eral principles behind the models are the same.
There are two basic kinds of atmospheric
models – Lagrangian and Eulerian. Lagrangian
models track the path of a given air parcel (and
the concentrations of the chemical components
therein) as it is advected in the atmosphere, while
Eulerian models describe the concentrations in
an array of fixed (nonmoving) computational
cells [5]. The concentration of any chemical spe-
cies in the atmosphere are controlled by four
types of processes, namely emissions, chemistry,
transport, and deposition (see Eq. 10) that are
Regional Air Quality
taken into account in the atmospheric models
[19]. Atmospheric models can be run on different
scales from local and regional to global. The
regional or local models are most applicable to
regional air quality and are frequently used as
predictors for possible future scenarios, includ-
ing prediction of air quality, cost-benefit, and
environmental impact analyses of pollutant
increases or reductions. An example is shown in
Fig. 13 where the model has been used to predict
ozone concentrations for two different scenarios,
emissions from a base case scenario and then
projected emissions based on the technology
and regulations that will be or are currently
being implemented (in this case for 2000 and
2010). The model data show the expected impact
of various emission legislation measures, includ-
ing legislation regarding combustion plants, the
Euro standards for vehicles and non-road
machinery, as well as International Panel on Cli-
mate Change (IPCC) and national legislation. As
is visible in Fig. 13, the model predicts the largest
impacts in ozone reduction will occur in the
Mediterranean region [39].
The input data for many models are based on
emission inventories. Emission inventories, like
models, exist for different scales, i.e., local,
regional, and global and resolutions, ranging
from 1 km  1 km to 1 1 (which is approxi-
mately 110 km  110 km at the largest, depending
on latitude). The species included in many emis-
sion inventories are greenhouse gases, nitrogen
oxides, carbon monoxide, methane, non-methane
volatile organic compounds, sulfur dioxide,
ammonia, particulate matter, and recently black
carbon and organic carbon [36]. Emission sources
in inventories include anthropogenic emissions
from fuel production, industrial and domestic
combustion, transportation, waste disposal, indus-
trial processes, solvent production and use, and
agriculture, and biogenic emissions from vegeta-
tion and dust, and biomass burning emissions,
which can be natural or anthropogenic
[36]. Anthropogenic, natural, and biomass burn-
ing emissions are typically compiled in separate
inventories. Examples of emission inventory data
are given in Fig. 3 for carbon monoxide and
Fig. 14 for ammonia [8].
Regional Air Quality 363

–30 –20 –10 0 10 20 30 40 50 60 70 –30 –20 –10 0 10 20 30 40 50 60 70

60 60

50 50

50 50

40

40 40

0 500 1000 1500 km 0 500 1000 1500 km

10 20 30 40 10 20 30 40

Modelled rural ozone concentrations expressed as SOM035 for the year 2000 (left) and for the year 2010 (right)

ppb/days Outside study area

1
00
00
00
00
00
00

00
10
20
30
40
50
60

70

Regional Air Quality, Fig. 13 Modeled ozone concen- (right) for the Air for Europe (CAFE) baseline scenario,
trations expressed as the sum of means over 35ppbV which takes into account changes in air quality standards
(SOMO35) for the year 2000 (left) and for the year 2010 and reductions in emissions (IIASA; EEA [39])

Statistical Models Plans to attain PM10 requirements [65]. In addi-

Statistical models are empirical or semiempirical
models based on the statistical analysis of measured
data. Instead of following the evolution of emissions
in the atmosphere, statistical models work back-
ward, from measured data collected at a given loca-
tion, a receptor site, and work out the responsible
emission sources. These models are also frequently
referred to as receptor models. There are a number
of different approaches that are used based on the
understanding of source–receptor relationships
including the chemical mass balance (CMB)
model, which requires complete knowledge of
sources and results in a quantitative output of source
contributions and uncertainties, and factor analysis
methods, such as Principal Component Analysis
(PCA), which require no a priori source information.
The different types of receptor models and the
amount of knowledge required for model use is
summarized in Fig. 15 [63, 64].
Chemical mass balance models are frequently
used to support air quality decision-making for
policy, such as was the case for CMB studies in
Los Angeles, CA, and Las Vegas, NV which were
used for the creation of State Implementation
tion, CMB can be used to assess the success of
implemented control technologies, and which
sources are potentials for reduction controls.
Such applications are possible in that CMB results
yield quantitative source contributions to the mea-
sured metric, i.e., PM2.5, organic carbon, or total
mass. From such results the sources with the larg-
est contributions can be targeted for reduction, or
changes in specific source contributions assessed.
Recent reviews of CMB and other receptor
models found that for the studies analyzed (the
majority of which were from measurements in the
USA and Europe), fossil fuel combustion is an
important contributor to PM concentrations, with
the primary contributions stemming from gasoline
and diesel vehicle exhaust [64, 65]. Stationary
sources, such as power stations, have only mini-
mal source contributions when the facilities have
effective pollution controls in place, but can be
large contributors without such control technolo-
gies [65]. An example of the type of result pro-
duced by CMB modeling where fine-particulate
matter organic carbon mass is apportioned is
shown in Fig. 16 for West Jerusalem in 2007 [66].
364 Regional Air Quality

UK Emissions Map of In addition to receptor models, other types of

Ammonia 2005 kg /1×1km
statistical models are also frequently used in atmo-
0 – 0.05 spheric chemistry, such as simple regression anal-
0.05 – 0.1 ysis, land use regression models, and neural
0.1 – 0.5
0.5 – 1 network models. Land use regression models
1–2 have been used in atmospheric chemistry to char-
2–4 acterize air pollution exposure and health effects
4 – 2.186
for people residing in urban areas, integrating
traffic and geographic information into the models
[67]. To learn about neural network models and
their uses in the air pollution modeling field the
reader is referred to Boznar and Mlakar [68].

Current Air Quality Legislation and

Metrics

Air quality guidelines are established to protect

Regional Air Quality, Fig. 14 Spatially disaggregated
emissions of ammonia in the UK from 2008 (Murrells
et al. [8])
human health and the environment. The World
Health Organization (WHO) has established air
quality guidelines for use worldwide that are
focused on protecting human health. Air quality
guidelines in the USA and Europe are intended to
protect human health, including sensitive
populations (e.g., elderly, asthmatics), with sec-
ondary limits set for the protection of public
welfare (e.g., visibility, animals, crops, build-
ings) [37]. The standards are set based on the

Receptor models
Xt = Λ ft + et
px1 pxk kx1 px1

Knowledge required about pollution sources

prior to receptor modelling

Little Complete

Multivariate Chemical
models mass
ME COPREM balance

UNMIX CMB
PCA PMF Bayesian
models Regression
models
Exploratory factor Confirmatory factor Measurement error
analysis models analysis models models

Regional Air Quality, Fig. 15 Approaches for estimating pollution source contributions using receptor models.
Specific models are shown in italics and with dotted arrows (Schauer et al. [63];Viana et al. [64])
Regional Air Quality
8
(a) West Jerusalem
7 Gasoline vehicles
6 SOA pinene
Source contribution (μg C m−3)
0
JAN FEB MAR APR
Regional Air Quality, Fig. 16 Source apportionment by
chemical mass balance (CMB) modeling of monthly aver-
aged ambient fine organic aerosol mass concentrations for
West Jerusalem for 2007. LT Coal Comb ¼ low-
extensive amount of research available
concerning air pollution and health effects at the
time of regulation.
The guidelines set by the WHO exist for the
most common air pollutants: size-resolved partic-
ulate matter, ozone, nitrogen dioxide, and sulfur
dioxide [1]. These were most recently updated in
2005. While the WHO has set guidelines for all
countries to use as a basis for regulation if they
choose to do so, most national air monitoring
authorities have a list of “air quality pollutants”
that are monitored and regulated. In the USA,
these are the “criteria pollutants” that are regu-
lated under the National Ambient Air Quality
Standards (NAAQS) by the US Environmental
Protection Agency (EPA) and include carbon
monoxide, lead, nitrogen dioxide, particulate
365
Vegetative detritus
Biomass burning
Diesel vehicles
Residual fuel oil
Soil/Dust
LT coal comb.
SOA isoprene
SOA caryophyllene
SOA toluene
Other
MAY JUN JUL AUG SEP OCT NOV DEC
temperature coal combustion; SOA ¼ secondary organic
aerosol from the named precursor compound (e.g., iso-
prene) (von Schneidemesser et al. [66])
matter of two-size fraction, ozone, and sulfur
dioxide, similar to those pollutants for which the
WHO has established guidelines [37]. European
Union air quality pollutants include particulate
matter, sulfur dioxide, nitrogen dioxide, lead, car-
bon monoxide, benzene, ozone, arsenic, cad-
mium, nickel, and PAHs and are regulated under
the air quality standards which were simplified in
2008 by combining all existing legislation on air
quality under one directive known as the ambient
air quality and Clean Air for Europe (CAFE)
directive [69]. As is apparent here, all air quality
pollutant regulation tends to contain a similar set
of air pollutants with some countries/regulating
bodies selecting additional species, such as trace
metals, to be included. Regulatory standards and
WHO guidelines are listed in Table 1.
366
Regional Air Quality, Table 1 Annual mean (unless
noted otherwise) air quality guidelines as established by
the World Health Organization (WHO), the United States
WHO
Particulate matter (PM10) 20 mg m
3
Particulate matter (PM2.5) 10 mg m
3
Nitrogen dioxide 40 mg m
3
Sulfur dioxide 20 mg m
3 (24 h)
Carbon monoxide
Lead
Benzene
Arsenic
Cadmium
Nickel
Polycyclic aromatic hydrocarbons
Metrics also exist to quantify health or environ-
mental effects of air pollutants, with different met-
rics established for human health and the
environment. For example, AOT40 is the accumu-
lated exposure over a threshold of 40 ppbV during
daylight hours for a relevant period. SOMO35 is the
sum of the daily maximum of running 8-h means
over 35 ppbV. Both the AOT40 and SOMO35 are
ozone metrics. Metrics such as AOT40 and
SOMO35 are frequently considered to be more
appropriate measures of the effects of ozone on
crops and vegetation than those metrics designed
to protect human health. A sample of environmental
and health metrics are given in Table 2 [70].
Regional Context
There are a variety of spatial scales that both influ-
ence air quality and that air quality impact, such as
the local, regional, and global. It is clear that these
scales are not independent and definitions are
loose. The local scale tends to the anthropogenic
emission/human influence scale encompassing a
city or a smaller area within a city, while regional
scales are typically larger, encompassing an entire
metropolitan region and the surrounding area or
even greater. An example of a regional scale
could be London and southeast England, or it
could also be as large as all of Europe, depending
on how the user defines it. When considering air
quality on any regional scale, secondary pollutants
Regional Air Quality
Environmental Protection Agency (US EPA), and the
European Union (Euro Directives)
US EPA Euro directive
150 mg m
3 (24 h) 40 mg m
3
15.0 mg m
3 25 mg m
3
53 ppb (~100 mg m
3) 40 mg m
3
0.03 ppm (~80 mg m
3) 125 mg m
3
10 mg m
3 (8 h) 10 mg m
3 (8 h)
1.5 mg m
3 (quarterly average) 0.5 mg m
3
5 mg m
3
6 ng m
3
5 ng m
3
20 ng m
3
1 ng m
3
from atmospheric processing and the transport of
pollutants become much more important and pri-
mary emissions less so.
For example, as discussed earlier, ozone is an
important secondary pollutant, which because of
atmospheric processing time, has significant impli-
cations for regional air quality. Plume transport for
urban areas into the surrounding region can have a
significant influence on the air quality in the sur-
rounding region [71]. In many cases, ozone con-
centrations have been observed to be higher in rural
areas than urban areas [72, 73]. Furthermore, since
regional air quality frequently includes rural areas,
and thereby areas with fewer primary anthropo-
genic emissions, natural emissions can play a
more significant role. For example, biogenic
VOCs, such as isoprene, can contribute to ozone
and other secondary pollutant formation, and wind
erosion can add soil and/or dust to the existing
aerosol loading. While these factors can and do
also exist on a local scale, their relative importance
on a local or regional scale varies depending on the
location and size of the areas chosen.
Future Directions
Air Quality and Climate
Air quality and climate change are important
issues with complex interactions (see Figs. 1 and
17). Both are environmental issues that are and
will continue to be addressed by environmental
Regional Air Quality 367

Regional Air Quality, Table 2 A sample of ozone metrics of relevance to human health. (Reproduced from AQEG
2009)
Metric
Annual average
Annual average of the daily
maximum of the running 8-h
mean
Annual average of the daily
maximum of the running 8-h
mean with a 70 mg m
3 cutoff
Annual average of the daily
maximum of the running 8-h
mean with a 100 mg m
3 cutoff
Maximum 1-h average (peak
hour in the year)
Number of days with daily
maximum of running 8-h
mean exceeding 100 mg m
3
Number of days with daily
maximum of running 8-h
mean exceeding 120 mg m
3
SOMO35 (sum of means over
35 ppb)
Relevance
Basic metric used to show long-term
trends
Used as “basic metric” for many of the
health metrics.
Health impact, related to SOMO35
Health impact
Used as the basis for some
epidemiological studies, although it has
been suggested that the 8-h metric is
more representative
Also an indicator of short-term peaks,
but note low statistical power, since it is
the value for one single hour
Equates to the number of exceedences of
the UK ozone standard (the Air Quality
Strategy objective is no more than
10 exceedences per year)
Equates to the number of exceedences of
the EU Target Value (no more than
25 days, averaged over 3 years) and
Long-Term Objective (no exceedences)
from the third Daughter Directive
Used as a metric by IIASA, for Clean Air
for Europe (CAFE) and NECD revision,
related to annual average of the daily
maximum of the running 8-h mean with
a 70 mg m
3 cutoff
Key influences on the values of this
metric at urban locations
Includes all of the hours in the year.
Strongly influenced by the magnitude of
local NOx emissions and by topography
through nocturnal depletion
Strongly influenced by the magnitude of
local NOx emissions
Influenced by the magnitude of local
NOx emissions and by photochemical
episodes
Strongly influenced by photochemical
episodes and to a lesser extent by the
magnitude of local NOx emissions
The metric most sensitive to the
magnitude of regionally generated
photochemical episodes and thus likely
to show a response to reductions in
relevant precursor emissions
Strongly influenced by photochemical
episodes and to a lesser extent by the
magnitude of local NOx emissions
Strongly influenced by photochemical
episodes and to a lesser extent by the
magnitude of local NOx emissions
Influenced by the magnitude of local
NOx emissions and by photochemical
episodes

policies in the coming years. Much of the current
focus is on trade-offs between different scenarios.
While there are win-win situations where policy
will improve both air quality and reduce green-
house gas emissions, many measures may not
result in such co-benefits. As stated in the IPCC
Fourth Assessment Report “Future climate
change may cause significant air quality degrada-
tion by changing the dispersion rate of pollutants,
the chemical environment for ozone and aerosol
generation and the strength of emissions from the
biosphere, fires, and dust. The sign and magnitude
of these effects are highly uncertain and will vary
regionally” [74]. Ozone and aerosols are the two
air pollutants of greatest concern for public health
[75], while being key players in climate change
and feedbacks [36, 76].
Air pollution and greenhouse gases often have
common sources of emission. In addition to the
common sources, there are some gases which are
both air pollutants and act as greenhouse gases,
such as ozone [77]. To best address both issues, a
significant effort will need to be made to under-
stand the impact of a changing climate on air
quality and vice versa. Current work with global
and regional models that couple chemical trans-
port and general circulation simulations have
found that climate change alone could increase
368 Regional Air Quality

Atmospheric concentrations
O3 production O3 production
O3

Carbon NOx, HNO3

oxidation lifetimes
Temperature,
(via OH) humidity, RF (UV + IR)
dynamics
CH4, VOC
Atmospheric emissions
N2O, RF Nitrogen cycle
concentrations rates
Climate emissions
CH4 environmental
VOCs RF (IR) Lightning,
concentrations
CO precipitation,
temperature
Ecosystem nutrients
Æ Biogenic emissions

Pollutant emissions
• Fossil fuel combustion
• Biomass burning
• Industrial emissions
• Emissions relating to land-use change

Regional Air Quality, Fig. 17 Schematic representation RF radiative forcing, UV ultraviolet radiation, IR infrared
of the multiple interactions between tropospheric chemical radiation (IPCC 2007; EPA [76])
processes, biogeochemical cycles, and the climate system.

summertime ozone concentrations and the sever-
ity of summer smogs over the coming decades,
with the largest effects in polluted, urban areas
[75–77]. The potential impact of climate change
on PM is much less certain. Important factors in
changes in PM owing to climate change include
precipitation frequency and mixing depth, as well
as wildfire frequencies [75, 76]. In addition to the
uncertainty of the impact of climate change on PM
emissions, the uncertainty of the reverse, the
impact of PM on climate change, is also large.
Part of this uncertainty arises from the differences
in aerosol types and their climate properties. Sul-
fates and nitrates have an overall cooling
(negative radiative forcing) effect, whereas black
carbon has an overall warming effect [36]. There-
fore, while the reduction of PM improves air
quality, it may result in further atmospheric
warming in terms of climate change. In addition
to direct forcing, aerosols can also act as cloud
condensation nuclei (CCN) and exert an indirect
effect on climate. The abundance of CCN affects
cloud formation and cloud lifetime, which in turn
affects the scattering and absorption of radiation
and therefore climate. Preliminary model results
show a range of increases and decreases in PM
concentrations for different regions in response to
climate change [75, 76].
While controls of CO2 emissions should
remain a priority for mitigation of global climate
change, reductions in emissions of air pollutants
could have a faster impact on slowing warming
trends in the short term (10–30 years). Raes and
Seinfeld [78] have pointed out that we maybe on a
“bumpy road” to recovery with larger short-term
increases in temperature, owing partly to the fact
that significant amounts of long-lived GHGs are
already in the atmosphere but also because reduc-
tions in atmospheric aerosols in the next decade or
so will add to the positive radiative forcing of the
Earth’s climate.
Mitigation of short-lived agents with high radi-
ative forcing may reduce the possibility of cata-
strophic climate change in particularly sensitive
regions such as the Arctic. However, mitigation
decisions must be based on sound science and
Regional Air Quality
would benefit from a sector-based approach
accounting for benefits for health, ecosystems,
climate, and mitigation costs. While the ideal
goal is to achieve win-win solutions for air pollu-
tion and climate, in some cases health improve-
ments via reductions in pollutant emissions may
greatly outweigh possible negative effects on cli-
mate. This is particularly true of the developing
world where improving health and ensuring food
security currently have immediate priority over
the benefits of slowing the rate of climate change.
Nevertheless, the development of emission reduc-
tion strategies or cleaner energy alternatives for
both CO2 and shortlived climate forcers (SLCFs)
are needed. There are clearly many challenges in
the area of air quality and climate and a need for
sound underpinning science across the spatial and
temporal scales that air quality and climate act on.
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2. Jacobson MZ (2002) Atmospheric pollution history,
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Stratospheric Pollution
Martyn P. Chipperfield
Institute for Climate and Atmospheric Science,
School of Earth and Environment, University of
Leeds, Leeds, UK
Article Outline
Glossary
Definition of the Subject
Introduction
Stratospheric Ozone
Ozone Depletion
Ozone Recovery and Chemistry–Climate
Interactions
Future Directions
Bibliography
Glossary
Chemical transport model Three-dimensional
model of atmospheric chemistry used to simu-
late past and present changes.
Chlorofluorocarbon (CFC) Class of chemical
compound containing chlorine, fluorine, and
carbon.
Coupled chemistry-climate model (CCM) Ver-
sion of three-dimensional atmospheric climate
model with detailed interactive chemistry.
Used to simulate past ozone changes and to
predict the future ozone layer.
Montreal protocol International agreement to
limit and phase out production and emission
of chlorine- and bromine-containing ozone-
depleting substances.
Ozone Molecule containing three oxygen atoms
(O3).
Ozone-depleting substance (ODS) General
term for compounds which, when broken
down in the atmosphere, can release chemical
species that destroy ozone.
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_560
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_560
Ozone hole Popular name given to the large
seasonal reduction in column ozone over Ant-
arctica, which currently occurs from August to
October each year.
Stratosphere Region of atmosphere from about
10–18 km to 50 km altitude. Contains 90% of
atmospheric ozone in the ozone layer.
Very short-lived species (VSLS) Source gas
with an atmospheric lifetime less than about
6 months.
Definition of the Subject
The stratosphere is the region of the atmosphere
between 8–18 km and 50 km altitude. This region
contains 90% of the ozone (O3) in the atmosphere
in the so-called ozone layer. Ozone is continually
produced naturally in the stratosphere by sunlight
and molecular oxygen. It is destroyed by a variety
of chemical species that are present in the atmo-
sphere both naturally and through human activi-
ties. The ozone layer prevents harmful short
wavelength ultraviolet radiation from reaching
the Earth’s surface and also plays an important
role in the atmospheric climate balance. Over the
past few decades, increases in atmospheric chlo-
rine and bromine have occurred through human
activities (e.g., use of chlorofluorocarbons or
CFCs), and this has led to ozone depletion. The
most dramatic reduction in the ozone layer has
occurred over the Antarctic in springtime where
about 70% of the column ozone is removed,
corresponding to complete loss in the lower strato-
sphere. Smaller depletion has been observed in the
Arctic winter and spring, and in the middle lati-
tudes. An international agreement (The Montreal
Protocol and Amendments) has now acted to ban
the production and emission of CFCs and other
major ozone-depleting substances (ODSs). Over
the timescale of next 50 years or so the ozone layer
should recover, though the speed and extent of this
recovery will depend on stratospheric climate
change.
373
374
Introduction
The presence of the Earth’s ozone layer is essential
for life on Earth. The realization that through
human activities we had started to destroy it has
been a major science and environmental issue since
the late twentieth century. This chapter briefly dis-
cusses the key science and policy issues behind the
issue of global stratospheric ozone depletion.
Section “Stratospheric Ozone” describes the
chemistry of ozone layer and summarizes the nat-
ural and man-made substances, which can lead to
its depletion. Section “Ozone Depletion”
describes observations of past ozone depletion
and the policy measures which have been intro-
duced to reverse this trend. Section “Ozone
Recovery and Chemistry–Climate Interactions”
discusses the likely future evolution of the ozone
layer and how this will depend on interactions
with climate change. Some future directions for
ozone layer research are outlined in section
“Future Directions”.
Stratospheric Ozone
The Stratosphere and the Natural Ozone Layer
Ozone is produced in the stratosphere naturally by
the action of short wavelength ultraviolet radia-
tion (l
242 nm) dissociating oxygen molecules:
O2 þ hv ! O þ O ð1Þ
where hv is a photon of light with sufficient
energy to break the O–O bond. The O atoms pro-
duced can rapidly combine with another O2 mol-
ecule to form ozone:
O þ O2 þ M ! O3 þ M ð2Þ
where M is any third body. In fact, O and O3 form
a tightly coupled chemical family and are nor-
mally considered together as “odd oxygen.” The
production and removal of O or O3 is equivalent;
destruction of O leads to O3 loss. O3 can be
converted back to O via:
Stratospheric Pollution
O3 þ hv ! O þ O2 ð3Þ
Ozone (or odd oxygen) is destroyed by con-
version to O2 via:
O þ O3 ! 2O2 ð4Þ
The first theory for the chemistry of the ozone
layer was put forward by Chapman in 1930
[1]. His scheme comprised of reactions (1)–(4)
and was therefore based on oxygen-only chemis-
try. The chemical loss of odd oxygen in the Chap-
man mechanism occurs via reaction (4), i.e., the
direct reaction of O and O3. The Chapman mech-
anism successfully and qualitatively predicts the
occurrence of an ozone layer in the stratosphere.
However, by the 1960s, when good observations
of the ozone layer became available and improved
laboratory measurements gave accurate values of
the relevant chemical rate constants, it became
clear that the Chapman scheme could not explain
the observations quantitatively. While the Chap-
man scheme does include the source of strato-
spheric ozone (reaction 1), the direct reaction (4)
accounts for only about 20% of the actual loss.
The Chapman mechanism ignores the very impor-
tant destruction of ozone by other chemical
families.
Catalytic Ozone Loss
There are a number of cycles which can catalyze
the destruction of stratospheric ozone. Many
cycles are based on:
XO þ O ! X þ O2
X þ O3 ! XO þ O2
Net : O þ O3 ! 2O2
In this scheme, the species X (in practice X ¼
OH, NO, Cl, Br) reacts with O3 to form XO. XO
then reacts with O to reform X. Therefore, X is
acting catalytically and the net effect of these two
reactions is the same as reaction (4) of the Chap-
man mechanism. In this way a species with an
abundance much smaller than O3 can cause its
destruction, i.e., species present at the part per
billion (1 in 109) or part per trillion (1 in 1012)
Stratospheric Pollution 375

level can affect ozone that is present in the part per
million (1 in 106) level in the stratosphere. Con-
cern over stratospheric ozone depletion really
started in the early 1970s with the realization
that O3 could be destroyed catalytically by NOx
(NO + NO2) [2], and that large fleets of proposed
supersonic aircraft, flying near 18 km, could
directly inject NOx into the stratosphere [3]. As
it turned out, very few supersonic passenger air-
craft (i.e., Concorde) were built so the impact on
the ozone layer was small. In 1974, attention
turned to chlorine when it was proposed that this
family could catalytically destroy ozone [4].
Catalytic cycles can also be based on:
X þ O3 ! XO þ O2
Y þ O3 ! YO þ O2 ð5Þ
XO þ YO ! XY þ O2
XY þ hv ! X þ Y
ð6Þ
Net : 2O3 ! 3O2
The details of steps (5) and (6) vary between
different cycles (i.e., different species X and Y),
though all such cycles catalyze 2O3 ! 3O2. As
these cycles do not depend on the concentration of
atomic oxygen they are more efficient in the lower
stratosphere.
Stratospheric Chemistry
There are a number of important chemical fami-
lies whose species can lead to stratospheric ozone
destruction. For each of these families there are
one or more source gases, reservoirs, and radicals.
Source gases are the long-lived species (lifetime
many years) which can be transported from the
surface to the stratosphere. Once in the strato-
sphere these source gases decompose to release
radicals. These are the species which can catalyt-
ically destroy ozone in cycles described in section
“Catalytic Ozone Loss”. However, the radicals
can also become temporarily tied up in reservoir
species; these species do not destroy ozone and,
therefore, reduce the impact of the radical-
catalyzed loss. Table 1 summarizes the main
stratospheric chemical families.
The only natural source of chlorine which gets
to the stratosphere is methyl chloride (CH3Cl).
This is emitted from oceans and contributes
about 600 parts per trillion (pptv) to the atmo-
spheric loading, i.e., about 20% of the current
total. The majority of chlorine in the present day
atmosphere comes from manmade sources such as
chlorofluorocabons (CFCs), hydrochloro-
fluorocabons (HCFCs), and solvents (e.g., CCl4,
CH3CCl3). The use of these species since the
1930s (e.g., CFCs were used as aerosol propel-
lants and refrigerants) has resulted in a significant
increase in chlorine over the natural background
levels. Similarly, industrial use of methyl bromide
and halons (used in fire extinguishers) has
increased the atmospheric bromine loading to
about 20 pptv compared to background levels of
about half that. Although bromine has a much
lower abundance in the atmosphere, it is about
50 times more efficient at destroying ozone
because a smaller proportion is tied up in its

Stratospheric Pollution, Table 1 The four main chemical families in the stratosphere along with example source
gases, reservoirs, and radicals
Family Source gases Reservoirs Radicals
Hydrogen H2O H2O2 OH, HO2
CH4
Nitrogen N2O HNO3, N2O5 NO, NO2
ClONO2
Chlorine CH3Cl HCl Cl, ClO
CFCs ClONO2
HCFCs
Solvents
Bromine CH3Br HBr Br, BrO
Halons BrONO2
Shorter-lived organics
376
reservoir species. Concern about the increasing
levels of chlorine in the atmosphere started in
1974 when Molina and Rowland [5] suggested
that the only atmospheric sink for the stable,
inert CFC molecules was transport to the strato-
sphere where they would be broken down by short
wavelength UV radiation to release chlorine,
which could catalytically destroy ozone.
Ozone Depletion
Polar Ozone Loss
The most dramatic manifestation of human-
induced ozone depletion has occurred over the
Antarctic in springtime, the so-called Antarctic
Ozone Hole. Reductions in the stratospheric
ozone column over Antarctica were first detected
by Farman et al. [6] in the early to mid-1980s.
Observations of ozone loss in this region were a
complete surprise to the scientific community as it
was believed that in the cold Antarctic lower
stratosphere, ozone should be very stable and
long-lived. The publication of the observed
decrease initiated an intense period of scientific
study with field campaigns to Antarctica, analysis
of satellite data and numerical modeling. It was
rapidly established that the cause of the ozone loss
was high levels of “active chlorine” [7], i.e., chlo-
rine present as ozone-destroying radicals (ClO)
rather than in the reservoir form. A new catalytic
cycle involving the dimer of ClO (catalyzing 2O3
OMI satellite
23/9/2009
Stratospheric Pollution, Fig. 1 Ozone Monitoring
Instrument (OMI) satellite observations of total column
ozone (Dobson Units) showing the Antarctic Ozone Hole
Stratospheric Pollution
! 3O2) was proposed to explain how ClO could
destroy ozone in the cold polar lower stratosphere
when sunlight returns in spring [8]. Temperatures
in the Antarctic lower stratosphere in winter, when
there is 24-h darkness, can reach as low as
185–190 K. Strong westerly winds form a polar
vortex which isolates the stratosphere over Ant-
arctica from middle latitudes. A key step to
explaining polar ozone depletion was the discov-
ery that polar stratospheric clouds (PSCs), which
form at around 20 km in the polar regions despite
the low pressures and dry stratosphere, could ini-
tiate heterogeneous reactions [9], which convert
the normally stable reservoir HCl and ClONO2 to
the active radical form. Thus, it is the cold isolated
conditions of the Antarctic lower stratosphere in
winter and spring which favor ozone loss. Figure 1
shows satellite observations of the Antarctic
Ozone Hole in 2009, along with calculations
from a state-of-the-art 3D model. Such models
now include the relevant chemical processes and
can reproduce the observed depletion well.
The same chemical and meteorological pro-
cesses which occur over the Antarctic also occur
over the north pole. However, due to differences
in surface orography, i.e., the northern hemisphere
is more mountainous while the southern hemi-
sphere is largely ocean, the Arctic polar vortex is
weaker, more disturbed, more variable, and
warmer. Therefore, there is less occurrence of
PSCs in the north, less activation of chlorine,
and less ozone depletion [11]. In cold Arctic
3D model
on September 23, 2009 (left), along with calculations from
the SLIMCAT 3D chemical transport model [10] (right).
(Image courtesy of W. Feng, University of Leeds)
Stratospheric Pollution
winters ozone loss of about 50% at 20 km,
corresponding to about 30% of the column is
observed.
Middle Latitudes and Tropics
Ozone depletion has been observed at middle
latitudes. This reduction is not as large as
observed in the polar regions and amounts to a
decreasing trend of about 0.6%/year during the
1980s and 1990s [12] (Fig. 2). The main chemical
cause of this midlatitude decrease is also the
increases in atmospheric chlorine and bromine.
The loss at middle latitudes can be caused by
export of ozone-poor or chlorine-activated air
from the polar vortex or by chemical processes
occurring at midlatitudes [13]. Sulfate aerosols in
the lower stratosphere can perform a similar role
Global total ozone change
Changes from 1964 to 1980 average
2
0
Ozone change (%)
–2
–4
Average
–6
Range of observations
–8
1965 1975 1985 1995
Year
Changes between 1980 and 2004
0
–10
Average
Uncertainty range
–20
–90 –60 –30 0 30
South Latitude
Stratospheric Pollution, Fig. 2 Observations of global
ozone changes. The top panel shows changes in global
ozone (based on ground-based and satellite observations)
from 1964 to 2005 relative to the 1964–1980 mean. Annual
and solar cycle variations have been removed. The bottom
panel shows ozone changes between 1980 and 2004 as a
function of latitude. (From [15])
377
as PSCs in promoting heterogeneous reactions.
Large volcanic eruptions can significantly
enhance the stratospheric sulfate aerosol layer,
and increased ozone loss was observed after the
eruption of Mt. Pinatubo in 1991 [14].
No significant decrease in column ozone has
been observed in the tropics (Fig. 2). However, it
is important to note that the ozone layer is natu-
rally thin in this region of the world – by up to a
factor two compared to high latitudes. As the sun
elevation is also larger in the tropics, humans can
experience a much larger dose of excess ultravio-
let radiation naturally at low latitudes than
through the effects of ozone depletion at middle
or high latitudes.
Effects of Ozone Depletion
The ozone layer prevents wavelengths shorter
than about 300 nm from reaching the Earth’s
surface, i.e., all UV-C radiation and most UV-B
radiation. Decreases in stratospheric ozone will
increase the amount of UV-B radiation reaching
the surface. This will affect human health (skin,
eyes, and immune system), animal health, terres-
trial ecosystems, aquatic ecosystems, biogeo-
chemical cycles, air quality and materials
[16]. As ozone absorbs both in the ultraviolet
and infrared parts of the spectrum, it is intimately
coupled to atmospheric climate balance. Past
ozone depletion has acted to cool the surface of
2005 the Earth, thereby offsetting some of the warming
caused by GHG increases [17]. Any changes to
stratospheric ozone also have the potential to alter
the temperature and dynamical structure of the
atmosphere.
Montreal Protocol
The seminal paper by Rowland and Molina [5]
first suggested that CFCs and other halocarbons
could lead to reductions in the global ozone layer.
60 90 This discovery prompted some efforts at regula-
North
tion of CFCs within the USA. By 1978, some
unilateral action was taken – the US banned the
sale of CFCs for use in spray cans. However,
because of other uses of CFCs the atmospheric
abundance of these species continued to increase.
The atmospheric models available at the time
predicted only modest decreases in ozone due to
378 Stratospheric Pollution

CFCs; the models were wrong because they did to ozone loss emerge. Following intense scientific
not contain a description of the role of PSCs and research in the late 1980s and 1990s to determine
heterogeneous chemistry. the cause of polar and global ozone depletion,
The first significant attempt at international such unequivocal evidence was found. The Mon-
regulation was the Vienna Convention for the treal Protocol was strengthened in a series of
Protection of the Ozone Layer in March 1985. amendments: London (1990), Copenhagen
This resulted in 22 countries agreeing to reduce (1992), Montreal (1997), and Beijing (1999).
CFC emissions and to study the impact of CFCs The past trends and predicted changes in strato-
on ozone further. In September 1987, the Mon- spheric chlorine based on these strengthened
treal Protocol was signed, initially by 27 countries, amendments are shown in Figs. 3 and 4.
leading to some limits in the production of CFCs Note that CFCs and other gases controlled
and halons. There were two key elements to the under the Montreal Protocol are potent green-
Montreal Protocol which contributed to its ulti- houses gases (GHGs). For example, CFC-12
mate success. First, a Multilateral Fund was set up (CF2Cl2) has a Global Warming Potential of
to help developing countries phase out the use of about 10,000 (on a 100-year time horizon). By
ozone-depleting substances. Second, the protocol removing these species from the atmosphere, the
allowed for strengthening of the regulations Montreal Protocol has had a significant effect in
should stronger scientific evidence linking CFCs preventing further climate change [18].

Past and expected future abundances of atmospheric halogen source gases

600
Effective stratospheric chlorine
2
CFC-12
CFCs 500
Mid
latitudes Halons
HCFCs
Relative amount

400
CCl4
CH3CCl3
1980 300 CFC-11
Atmospheric abundance (parts per trillion)

1
level
200
HCFC-22

100 CFC-113
CH3Br (natural + human sources)
CH3Cl (natural sources)
0 0
Atmospheric abundance (parts per trillion)

Estimates
120 Observations 4 Halon-1211
Future projections
100 3 Halon-1301
Carbon
2
80 tetrachloride (CCl4)
Methyl chloroform 1
60 (CH3CCl3)
0 12
HCFC-141b
40
500 Methyl chloride (CH3Cl) 10
HCFC-142b
20
400 Methyl bromide (CH3Br) 8

0 300 6
1950 2000 2050 2100 1950 2000 2050 2100
Year Year

Stratospheric Pollution, Fig. 3 The observed abun- trends and the scope of the Montreal Protocol. The top left
dances of the important bromine and chlorine source panel shows the accumulated effective chlorine due to all
gases and their expected future evolution based on current source gases. (From [15])
Stratospheric Pollution
15000
stratospheric
Predicted abundance (parts per trillion)
10000
5000
0
500
Excess skin
Cases per million people per year
cancer cases
400
300
200
100
0
1980
Stratospheric Pollution, Fig. 4 The top panel shows
predicted abundance of effective stratospheric chlorine
(which combines chlorine and bromine) based on the Mon-
treal Protocol and its series of amendments. The bottom
panel shows the estimated excess skin cancers which
would have resulted from these different scenarios. (From
[15])
Ozone Recovery and Chemistry–Climate
Interactions
Surface observations of halocarbon source gases
from global networks have confirmed the success
of the Montreal Protocol and Amendments in
delaying, and reversing, the increase in atmo-
spheric chlorine concentrations. The abundance
of the shorter-lived source gases (e.g., CH3CCl3,
lifetime 6 years) has peaked and these species are
now showing a decline. Longer-lived species
(e.g., CFC-12, lifetime 100 years) have shown a
slowing down in growth and leveling off in abun-
dance. This is consistent with the behavior
expected under regulations imposed by the
379
Montreal Protocol and Amendments. The proto-
Effective col allows for some continued production of
Montreal HCFCs until 2030.
chlorine 1987
Overall, we expect the levels of atmospheric
No protocol
halogens (chlorine and bromine) to return to values
when the Antarctic Ozone hole first appeared
London
1990 (1980) by about 2050. This date therefore sets the
reference point for the disappearance of the Ant-
arctic Ozone hole if the other atmospheric condi-
tions remain constant. However, because of
Copenhagen
increases in greenhouse gases (GHGs), and asso-
1992 ciated climate change, the atmosphere in 2050 will
Beijing
1999
be markedly different to 1980. The main radiative
Zero emissions impact of GHG increases is a cooling of the strato-
sphere (accompanied by the well-known warming
Montreal of the surface). This cooling of the stratosphere will
1987
impact the temperature-dependent ozone chemis-
No protocol London try. Colder temperatures in the lower stratosphere
1990
will cause more PSCs and so while the halogen
loading remains high this could lead to increased
ozone loss. On the other hand, colder temperatures
Copenhagen will tend to slow down the rate of the gas-phase
1992 reactions which destroy ozone (from all cycles).
This will lead to more stratospheric ozone. Other
climate change feedbacks might occur, e.g., a
2000 2020 2040 2060 2080 2100 strengthening of the stratospheric meridional cir-
Year
culation [19], which will transport more ozone to
higher latitudes. State-of-the-art predictions [20]
for the future of the ozone layer are shown in
Fig. 5. These CCM results show that rate of
ozone layer recovery will vary with region. The
model experiments also clearly show that climate
change (stratospheric cooling) acts to speed up the
future increase in ozone.
The gray shaded line included both changes.
The blue shaded line shows the effect of ODS
changes only. The orange shaded line shows the
effect of GHG increases only. The pink line shows
the change in ODS concentrations in the models
(right hand axis). (From [20]).
Future Directions
An important current stratospheric science topic
concerns the rate of ozone recovery and the inter-
actions between this and climate change (see sec-
tion “Ozone Recovery and Chemistry–Climate
Interactions”). While the expected decrease in
380 Stratospheric Pollution

a Tropical upper stratosphere b Tropical lower stratosphere

3.0 3.0
0.60
1.0
2.0 2.0
0.30 0.5
Ozone [ppm]

Ozone [ppm]
ESC [ppb]

ESC [ppb]
1.0 1.0
0.00 0.0
0.0 0.0 –0.30 –0.5
100% –1.0 100%
–1.0 –1.0 75% –0.60 75%
50% 50%
25% –1.5 25%
–2.0 –2.0 –0.90
1960 1980 2000 2020 2040 2060 2080 2100 1960 1980 2000 2020 2040 2060 2080 2100

c NH midlatitudes upper stratosphere d NH midlatitudes lower stratosphere

2.0 4.0 2.0
0.40
1.0 2.0 1.0
0.20
Ozone [ppm]

Ozone [ppm]
ESC [ppb]

ESC [ppb]
0.0 0.0 0.00 0.0

–0.20
–1.0 –2.0 100% –1.0 100%
75% 75%
50% 50%
25% –0.40 25%
–2.0 –4.0 –2.0
1960 1980 2000 2020 2040 2060 2080 2100 1960 1980 2000 2020 2040 2060 2080 2100

e SH midlatitudes upper stratosphere f SH midlatitudes lower stratosphere

2.0 4.0 2.0
0.60

1.0 2.0 0.30 1.0

Ozone [ppm]

Ozone [ppm]
ESC [ppb]

ESC [ppb]
0.0 0.0 0.00 0.0

–1.0 –2.0 100% –0.30 –1.0 100%

75% 75%
50% 50%
25% –0.60 25%
–2.0 –4.0 –2.0
1960 1980 2000 2020 2040 2060 2080 2100 1960 1980 2000 2020 2040 2060 2080 2100

MMT 03 REF-B2(fODS) MMT O3(fGHG)

MMT 03 fODS MMT ESC REF-B2(fODS)

MMT 03 REF-B2(fGHG)

Stratospheric Pollution, Fig. 5 Results from lines are averages of around 15 CCMs used worldwide.
chemistry-climate model (CCM) simulations for the past The models ran three experiments to separate the effect of
and future evolution of the ozone layer. The panels show changing ODS and changing greenhouse gases (GHGs)
different geographical and altitude regions. The model

halocarbon ODS is believed to be fairly well as halocarbons are now declining, N2O will be the
constrained, there are many other uncertainties. major anthropogenic ODS. To research these
The future atmospheric concentrations of the issues of chemistry–climate interactions, and to
major GHGs CO2, CH4, and N2O are uncertain, quantify these impacts, will require the develop-
especially beyond the middle of this century. N2O ment of detailed Chemistry–Climate Models
itself is the source of stratospheric odd nitrogen, (CCMs). CCMs are essentially versions of climate
which can cause ozone loss (Table 1). models with detailed interactive chemistry. In the
Ravishankara et al. [21] argued that in the future, future, these models will become part of larger
Stratospheric Pollution
Earth System Models (ESMs), with coupled
oceans, cryosphere, vegetation, and so on.
The Montreal Protocol has controlled the
major anthropogenic sources of chlorine and bro-
mine which reach the stratosphere. However, a
current research area concerns natural sources of
similar halogen species. There is clear evidence
that around 6 parts per trillion (pptv) of the current
stratospheric bromine loading of 21 pptv comes
from sources other than CH3Br and the halons
[22]. The species responsible are the so-called
very short-lived species (VSLS) such as
bromoform (CHBr3) and dibromomethane
(CH2Br2). Although these species have atmo-
spheric lifetimes of around 6 months or less,
they can still be transported to the stratosphere
[23]. These species are emitted naturally from
the oceans and it is possible that future climate
change will increase these emissions. This natural
source of halogens offsets some of the reduction
in anthropogenic halogens and leads to lower
levels of stratospheric ozone.
There is currently a large debate on the possi-
bilities of avoiding climate change by human
manipulation of the climate system, so-called
geoengineering. Among the various potential
geoengineering solutions that have been pro-
posed, one relates directly to the stratosphere.
Scientists have suggested that humans could rep-
licate the effect of a large volcanic eruption which
injects sulfate aerosol directly into the strato-
sphere [24]. The most recent such large natural
eruption was Mt. Pinatubo in the Philippines in
June 1991. The impact of enhanced stratospheric
aerosol is to cool the surface – the desired effect
from a geoengineering point of view. However,
while atmospheric chlorine loadings remain high,
enhanced stratospheric aerosol will lead to ozone
destruction. The eruption of Mt. Pinatubo led to a
1–2% reduction in column ozone globally see (2).
As halogens decline in the future the impact of
aerosol on ozone will be less, as shown by simu-
lations for the period of the large El Chichon
eruption in 1982, well before the peak in atmo-
spheric chlorine and bromine [14]. The potential
side effects of such geoengineering options need
to be fully investigated and quantified with
detailed chemistry-climate models.
381
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 Part III
Sensors, Measurement, and Control

Air Pollution Monitoring and
Sustainability
Andrew Knox1, Greg J. Evans1, Colin J. Lee1 and
Jeffrey R. Brook1,2
1
Department of Chemical Engineering and
Applied Chemistry, University of Toronto,
Toronto, ON, Canada
2
Air Quality Research Division, Atmospheric
Science and Technology Directorate,
Environment Canada, Toronto, ON, Canada
Article Outline
Glossary
Definition of the Subject
Introduction
Air Pollutants
Currently Recognized Air Pollution Problems
Motivations Behind Monitoring Air Pollution
Current Air Pollution Monitoring Practices
Past and Ongoing Success in Air Pollution
Mitigation
Outstanding Problems and Challenges
Current Air Pollution Monitoring and
Sustainability
Future Directions: Monitoring to Promote Greater
Sustainability
Conclusion
Bibliography
Glossary
Acid deposition Settling on land or water of
acidic air pollutants or air pollutants capable
of becoming acidic once settled.
Acid neutralizing capacity (ANC) The ability
of a medium (e.g., soil) to neutralize acidic pH,
generally indicated by concentration of base
cations.
Adaptive capacity The capacity to adjust to new
circumstances such that successful functioning
can continue.
© Springer Science+Business Media, LLC 2012
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_373
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media LLC, 2012
https://doi.org/10.1007/978-1-4419-0851-3_373
Aerodynamic diameter The diameter of a spher-
ical particle of unit density with a terminal
velocity equal to the particle being considered.
Aerosol Liquid- or solid-phase particles suspended
in a gas.
Aerosol optical depth Total extinction of light
due to scattering and absorption by particles
suspended in air between the point considered,
the light’s origin, and the point of observation.
Air pollution monitoring The use of scientific
instruments and methods to assess the concen-
trations or rates of emission of air pollution in
various environments.
Air pollution policy Legal guidelines governing
allowable emissions of pollutants to air, allow-
able concentrations of pollutants in air, and air
quality remediation efforts.
Air quality monitoring Observation of features
of air that relate to the air’s quality over some
time period. Said features include concentra-
tions of pollutants.
Air quality The degree to which air is an ideal
supporter of life.
Background level The concentration of a sub-
stance or pollutant that remains regardless of
short-term, local changes in emissions pat-
terns. Background concentrations are not
static, but changes in background concentra-
tion happen over the relatively long term.
Best available technology (BAT) A term relat-
ing to emissions standards set based on the
ability of existing pollution abatement technol-
ogy to mitigate the release of pollutants.
Biogenic Produced by biological organisms or
systems.
Biosphere All life and ecosystems on Earth.
Chlorofluorocarbons (CFCs) A class of chlo-
rine or fluorine containing organic compounds.
Climate change A long-term change in regional
and global meteorological mean state or the
variability of that mean state.
Command and control A strategy for limiting
emissions by assigning specific emissions maxi-
mums to pollution sources or otherwise imposing
pollution limiting rules and enforcing those rules.
385
386
Concentration-response functions (CRFs)
The mathematical relationships between the
environmental concentration of a pollutant
and an effect of the pollutant. Effects, or
responses, could include health effects such
as premature mortality.
Consolidated sustainability metrics Summative
statistics that are a function of a number of data
on different species of pollutants and atmosphe
ric conditions. Consolidated metrics are based
on a prior judgment of the relative importance
of all the data in their calculation. They are desi
gned to give an overall picture and convey a
great deal of information in a single number or i
ndex.
Critical load The maximum amount of pollution
an ecosystem can tolerate without suffering
significant harmful effects, as far as can be
understood given the present understanding.
Critical natural capital Natural capital that can-
not be lost without irreparable terminal damage
to ecosystems.
Ecosystem A system supporting life, including
living and nonliving components and the inter-
actions between its components.
Enforcement Action taken or penalties imposed
to correct situations in which emissions or con-
centrations of pollutants are above the legal limit.
Exposure A time-integrated concentration met-
ric reflecting the potential for intake of
pollutants.
Greenhouse gas Gas which, when in the atmo-
sphere, induces a climate forcing via its ability
to absorb light and convert it to thermal energy.
Hazardous air pollutants (HAPs) Individual or
families of compounds that can potentially
induce adverse health impacts, including but
not limited to cancer, reproductive effects, or
adverse environmental effects.
Holism The view that systems cannot be under-
stood in exclusion of other systems but must be
understood in relation to the larger whole that
affects all parts within itself.
Mortality A statistical measure quantifying the
number or fraction of deaths among populations.
Multipollutant monitoring Monitoring with
attention to the effects of pollution arising
from the interaction of different species of
pollutants.
Air Pollution Monitoring and Sustainability
Natural capital The natural systems that pro-
duce goods such as clean air and provide ser-
vices such as life support to the biosphere.
Ozone layer A lower stratospheric region of
more concentrated ozone, which absorbs
much of the ultraviolet radiation from the sun.
Particulate matter Solid or liquid particles
suspended in air. PM is not a term that distin-
guishes particles by chemical species, and indi-
vidual PM particles can contain a variety of
species. Particulate Matter is often written as
PM10 or PM2.5 with the number in subscript
denoting the maximum aerodynamic diameter
in micrometers of the particles being described.
The subscripts (e.g., “2.5”) indicate that the PM
considered is less than the subscript’s value in
micrometers (mm). Particles smaller than about
10 mm are generally considered inhalable with
smaller particles reaching deeper into the lung.
Pedestrian-oriented development Construction
or reconstruction of the urban form designed to
facilitate walking as a primary means of per-
sonal transportation.
Point sources Localized emitters of large
amounts of pollution.
Population exposure A statistic accounting for a
population’s distribution throughout the area it
inhabits, the pollution concentration distribu-
tion over that area, and the changes in those
distributions over time to represent the macro-
level (population-level) exposure of the popu-
lation to a pollutant or set of pollutants.
Primary pollutants Pollutants released from a
source directly into the environment in the
given form.
Primary standards US EPA Air pollution stan-
dards set to protect public health.
Radiative balance The net radiation to or from
an object or system accounting for total incom-
ing and outgoing radiation. A positive radiative
balance will lead to the warming of the system
considered, while a negative radiative balance
will lead to cooling, assuming no non-radiative
energy flows are at work.
Resilience The ability of a system to renew and
reorganize itself after a shock or major socio-
ecological shift.
Risk-based policy Policy based on the quantifi-
cation and understanding of the probabilities of
Air Pollution Monitoring and Sustainability
damages incurred. In risk-based policy, allow-
able pollutant concentrations are set with the
knowledge and acceptance of the damage
likely to be realized.
Secondary pollutants Pollutants not released
directly from sources but formed in the envi-
ronment via chemical reactions among primary
pollutants facilitated by atmospheric condi-
tions such as moisture, temperature, and
sunlight.
Secondary standards US EPA Air pollution
standards set to mitigate regional environmen-
tal problems.
Socio-ecological justice Fairness concerning
both the social realm (e.g., fairness among
social classes) and the ecological realm (e.g.,
distribution schemes, including ecosystems as
stakeholders), and the interaction between the
two realms.
Source apportionment Attributing the pollut-
ants in a region or at a receptor site to their
sources, for example, quantification of the por-
tion of ambient NOx originating from the trans-
portation sector versus the industrial sector.
Target load The pollution burden aimed for in
policy. The load deemed achievable once “other
factors (such as ethics, scientific uncertainties,
and social and economic effects) are balanced
with environmental considerations.” [1]
Transit-oriented development Construction or
reconstruction of the urban form designed to
facilitate use of public transportation vehicles
as a primary means of medium to long-distance
personal transportation.
Troposphere The layer of the atmosphere clos-
est to the Earth’s surface, where human expo-
sure to air pollutants occurs.
Urban form The physical shape and design of
cities, their structures, and their infrastructure.
Definition of the Subject
Air pollution monitoring is the use of scientific
and mathematical tools and methods to assess the
concentrations or rates of emission of air pollution
in various environments. Monitoring is usually
performed at ground level in populated areas,
387
where humans exposure tends to occur but can
also include measurements at other altitudes, in
other spheres of the atmosphere, or in
unpopulated areas. Monitoring data is often an
important input into air pollution research
projects.
Introduction
Air pollution monitoring is concerned with
collecting evidence about the emissions, concen-
trations, and effects of air pollutants. There are a
number of effects of air pollution. Those most
commonly recognized are negative impacts on
human health, ecosystems, and the economy. Cur-
rent air pollution monitoring assesses the proper-
ties of air pollution in the atmosphere by
monitoring ambient air, monitoring emissions
from pollution sources, remotely sensing air pol-
lution indicators via satellite, and through the use
of numerical models. Monitoring efforts allow for
air quality warnings, tracking trends over time, air
pollution research, and policy development,
including pollutant concentration and emissions
standards. While air pollution monitoring has led
to many substantial successes in the reduction of
impacts from air pollution, many air pollution
problems are still outstanding.
Air pollution monitoring is an essential activity
in the assessment of environmental quality and
provides information without which acting to pro-
mote sustainability would be impossible. How-
ever, air pollution monitoring must be expanded
in breadth and depth if societies are to progress
toward sustainability. Monitoring must extend the
information provided in service of more diverse
goals. These goals should include facilitating
urban design for air quality, socio-ecological jus-
tice, methods for acceleration of air pollution
research, resilience, and preservation of natural
capital. Work that crosses intellectual disciplines
would also help, as would public involvement in
monitoring. Immediate steps the air pollution
monitoring community could take to improve its
routine practice include the development of multi-
pollutant impact assessments, greater consider-
ation of consolidated metrics, more and better
use of satellite-derived observations, routine use
388 Air Pollution Monitoring and Sustainability

of available design methodologies in the design of
monitoring networks, adhering to suggestions in
existing literature to improve routine practice, and
beginning to address some of the previously neces-
sary oversimplifications involved in conventional
monitoring. While the air pollution monitoring com-
munity has a historical record of promoting sustain-
ability and should be applauded, a paradigm shift is
needed if it is to address these expanded goals.
Air Pollutants
Air pollution monitoring is concerned with air
pollutants, substances which have negative
effects on life. Some air pollutants are prevalent
in most urban areas, and their effects are wide-
spread. Other air pollutants tend to be less con-
centrated, or are only concentrated in specific
areas, but have gained attention for being espe-
cially problematic or acutely toxic. In the USA
and in Canada, pollutants of this first type are
classified as “criteria” pollutants. (In the USA,
the label “criteria” is applied to common pollut-
ants. The EPA regulates these pollutants by set-
ting permissible levels based on human health
or environmental considerations [2], whereas in
Canada, pollutants fall into the “criteria” cate-
gory as a result of sharing common sources,
mostly notably, fossil-fuel combustion [3].)
The second type of air pollutant, the type capa-
ble of causing problems despite relatively low
average emissions rates, have been classified by
the US EPA (US Environmental Protection
Agency) as “Hazardous Air Pollutants”
(HAPs) for the particular hazards they present.
One hundred and eighty-nine HAPs are offi-
cially recognized by the US EPA [4]. Criteria
pollutants and HAPs are discussed below, and
classifications by different authorities are given
in Table 1. Typical ranges for many non-HAP
pollutants in the USA are given in Table 2.
Table 3 summarizes the sources and effects of
pollutants.

Air Pollution Monitoring and Sustainability, Environment Canada and the US EPA classify “particulate
Table 1 Pollutants and their classification by different matter” in general as CACs and Criteria Pollutants, respec-
systems. Pollutants are described in detail below. The tively [3]. Certain species of dioxins and furans are classi-
more acutely hazardous pollutants given here (those clas- fied as HAPs by the EPA, but not all are covered. CAC
sified as HAPs by the US system, for example) are only stands for criteria air contaminant, AQSP stands for air
examples and not an extensive representation of the full quality strategy pollutant, POP stands for persistent
range of hazardous pollutants. PM10 and PM2.5 are classi- organic pollutant [7], HAP stands for hazardous air
fied here as CACs by the Canadian classification and pollutant
Criteria Pollutants by the US EPA classification, as
Pollutant Canadian classification [3] UK classification [8] US classification [4]
CO CAC AQSP Criteria pollutant
NOx CAC AQSP Criteria pollutant
SO2 CAC AQSP Criteria pollutant
NH3 CAC
O3 CAC AQSP Criteria pollutant
VOC CAC
PM10 CAC AQSP Criteria pollutant
PM2.5 CAC AQSP Criteria pollutant
Dioxins and Furans POP HAP
1,3-butadiene AQSP
Benzene AQSP
Lead AQSP Criteria pollutant
Arsenic HAP
Cadmium HAP
Mercury HAP
Nickel HAP
Air Pollution Monitoring and Sustainability 389

Air Pollution Monitoring and Sustainability, What Are the Criteria Pollutants?
Table 2 Typical concentrations of pollutants in the USA Criteria pollutants include carbon monoxide
[13]
(CO), nitrogen oxides (NOx), and sulfur dioxide
US typical (SO2) [2]. Tropospheric ozone (O3) and Particu-
Pollutant US average range peakc
late Matter (PM) are also criteria pollutants. Most
COa 0.1–5 ppm 20 ppm
species of harmful Volatile Organic Compounds
NO2a 0.5–50 ppb 200 ppb
(VOCs) that are not acutely toxic enough to be
NOa 0–100 ppb 200 ppb
HNO3a 0–5 ppb 10 ppb
specifically identified as HAPs are included in the
SO2a 0.1–50 ppb 150 ppb criteria air contaminants in Canada [3]. Table 3
PM2.5 0.5–5 ng/m3 150 ng/m3 shows the common sources of the criteria pollut-
Leadb ants mentioned and comments on some of their
O3a 0–125 ppb 200 ppb effects.
(VOC)b 20–100 mg/m3 250 mg/m3 Emissions of CO are the result of the incom-
PM10b 10–100 mg/m3 300 mg/m3 plete combustion of carbonaceous fuels. Any use
PM2.5b 5–50 mg/m3 100 mg/m3 of fossil fuels can result in emissions of CO, but
(mean ¼ 13.4  5.6)
vehicles are the dominant source [5]. In motor
UFPa 1,000–20,000/cm3 100,000/cm3
a
vehicles, catalytic converters are often used to
Typical hourly average concentrations reached in US mitigate CO emissions. CO’s effects include
cities
b
Typical 24 h average concentrations human health impacts and contribution to the
c
Generally not in concentrated plumes or locations of direct formation of tropospheric ozone [6].
source emission impact NOx is the sum of NO and NO2. Atmospheric
nitrogen (N2) is oxidized during combustion to
form NOx. NOx is similar to CO in that it can

Air Pollution Monitoring and Sustainability, Table 3 Criteria pollutants, HAPs, their common sources, and effects.
(VOCs are considered CACs in Canada but are not on EPA list of Criteria Pollutants)
Substance Sources Effects
Criteria pollutants
Carbon Monoxide (CO) Combustion of fossil fuels, especially in motor Health effects, smog (Ozone)
vehicles formation
Nitrogen Oxides (NO2) Combustion of fossil fuels Health effects, smog (Ozone and
PM2.5) formation, and acid
deposition
Sulfur Dioxide (SO2) Combustion of sulfur containing fossil fuels and Health effects, acid deposition, smog
industrial activities (e.g., fuel refining, metal (PM2.5) formation, changes in
production) radiative balance
Tropospheric Ozone Chemical reactions involving other pollutants in Health effects, damage to
(O3) the atmosphere vegetation, damage to materials
Volatile organic Biogenic, vehicle emissions, petroleum products, Health effects, smog (Ozone and
compounds (VOCs) biomass combustions, landfill gas, sewage PM2.5) formation
treatment, off-gassing of building materials
Particulate Matter (PM) Varies by species, includes combustion emissions Health effects, visibility, changes in
(especially of biomass in wildfires and for fuel), radiative balance
secondary chemistry involving gaseous air
pollutants
HAPs
Hazardous VOCs Varies by VOC species Health effects, including cancer,
smog (Ozone and PM2.5) formation
Hazardous Metals Industrial sources Health Effects, soil contamination
(excluding lead) and
their compounds
Lead Fuels with lead additives, industrial sources Health Effects, soil contamination
390
lead to health effects and the production of tropo-
spheric ozone, its main source in many locations
is emissions from vehicles, and catalytic con-
verters are used to minimize these emissions.
Other high-temperature combustion processes
also contribute. Emissions of NOx can indirectly
lead to acid deposition (or “acid rain”).
Combustion of fossil fuels containing sulfur
leads to emissions of SO2. Refining and production
of fuels and minerals (e.g., lead smelting, alumi-
num refining) also emits substantial amounts of
SO2. SO2 negatively impacts human health, con-
tributes to acid deposition, and can promote aerosol
formation and growth. Sulfate formed from SO2 is
a major contributor to aerosol mass in some
regions. Aerosol produced through historic emis-
sions of SO2 is believed to have caused a negative
climate forcing that suppressed temperature rise in
the second half of the last century. Using fuels that
contain only trace amounts of sulfur, such as natu-
ral gas, or that contain less sulfur, such as low-
sulfur coal, results in less emission of SO2. There
are also downstream options such as flue-gas
desulphurization [5].
Tropospheric ozone (O3) is a major irritant to
human health and vegetation. O3 is a secondary
pollutant, meaning that O3 is rarely directly emitted
from point sources but is formed via chemical
reactions involving other air pollutants such as
NOx and VOCs.
There is a multitude of volatile organic carbon
(VOC) species both biogenic and
anthropogenic. Many have been identified as par-
ticular hazards, and they are discussed in the sec-
tion below on HAPs. Some anthropogenic VOCs
have been associated with causing cancer in
humans [9]. Anthropogenic sources include vehi-
cle emissions, petroleum product manufacture
and use, biomass burning, landfill gas, sewage
treatment [10], and off-gassing from building
materials. Biogenic VOCs can be the result of
the natural metabolic processes of life forms [11]
and natural decomposition. VOCs play a crucial
role in the formation of tropospheric ozone [12].
PM (particulate matter) is a term that covers a
wide variety of liquid and solid particles
suspended in the atmosphere. PM is classified
by size (according to aerodynamic diameter) and
Air Pollution Monitoring and Sustainability
various chemical species of PM exist, even
within single particles. Size classifications are
typically given as PM10 (particles with aerody-
namic diameters less than 10 mm), PM2.5
(particles with aerodynamic diameters less than
2.5 mm), and Ultrafine Particles (UFP, particles
with aerodynamic diameters less than 0.1 mm).
Particulate species include sulfate (SO42 and
containing particles), nitrate (NO3), ammo-
nium (NH4+), Organic Matter (OM), and Black
Carbon (BC). Long-term exposure to PM2.5 is
one of the major immediate human health risks
from air pollution [14]. Specific health effects
are varied but include cardiovascular and pulmo-
nary complications. Other effects of PM include
the ability to alter the radiative balance of the
Earth [15].
What Are the HAPs?
Specific VOCs are very hazardous to human
health. These include benzene, PAHs (polycyclic
aromatic hydrocarbons), 1,3-butadiene, ethane,
propene, and some aldehydes [5]. Hazardous
VOCs share sources with the bulk of VOCs.
Dioxins and furans are chlorine containing
chemicals with similar chemical structural ele-
ments [16]. Their health effects can be extreme
and of a wide variety, including cancer and repro-
ductive abnormalities [16]. Dioxins and furans
tend to accumulate in soils and sediments, but
their sources include sources of air pollution
such as municipal waste incinerators [16] and
pyrotechnics [17]. They are bio-accumulative
[18], meaning that they remain within the bodies
of plants and animals that absorb them.
Heavy metals such as arsenic and nickel are not
very prevalent in the atmosphere, other than near
their industrial sources, but even at low concen-
trations they can produce serious health effects
[5]. These metalloids, metals and their com-
pounds are classified as HAPs. Some lighter
metals are also classified as HAPs such as beryl-
lium and cobalt [4].
Lead (Pb) is a HAP [4] worthy of note for its
relative abundance. Lead emissions are the source
of a wide range of human health problems [19,
20]. While lead as a fuel additive has largely been
phased out in the Western world, there are many
Air Pollution Monitoring and Sustainability
regions where it is still in use and continues to
exist in high concentrations in the atmosphere
[5]. Lead is classified both as a HAP [4] and a
criteria pollutant in the USA [2].
Mercury (Hg) is a HAP [4] with a number of
industrial applications, many still in use today
[21] and is a component of compact fluorescent
light bulbs. Coal combustion–based electricity
generation is one of mercury’s major atmospheric
emission sources. Mercury is toxic to humans and,
once in the environment, can be methylated,
whereupon it can easily bind to proteins and
enter the food chain [21].
Currently Recognized Air Pollution
Problems
Before resources can be committed to monitoring
air pollution, the nature and extent of the problems
air pollution creates must be understood. Fenger [5]
cites three types of air pollution problems. These are
local problems such as health effects and damage to
goods and capital, regional problems such as acidi-
fication, and global problems such as climate
change. As air pollution problems scale up in phys-
ical area (from regional to global, for example), their
effects tend to scale up in terms of time. For exam-
ple, an air quality episode may aggravate asthma in a
population over the course of the episode (hours to
days), whereas acidification will impact the environ-
ment for decades and climate change will have
impacts potentially lasting millennia [22]. The prob-
lems receiving the most government recognition are
the local problems. Regional problems are recog-
nized by most governments, while some global
problems are only recently appearing on the air
pollution agenda of some authorities (for example,
the US EPA only gained powers to regulate CO2
emissions as of December, 2009).
Nowhere is the hierarchy of air pollution prob-
lems more apparent than in the US EPA’s division
between primary and secondary air quality stan-
dards. Primary standards are set to protect public
health, while secondary standards are set to miti-
gate regional problems, such as acidification, and
biosphere damage [2]. There are no tertiary stan-
dards set to mitigate global problems. However, in
391
Europe, the “EU Focus on Clean Air” [23] lists
climate change and the destruction of the ozone
layer among air pollution issues, placing global
problems alongside childhood asthma and acidi-
fication of forests.
In addition to human health and regional prob-
lems, the economic problems caused by air pollu-
tion are recognized by governments. For example,
Environment Canada recognizes that illness and
mortality resulting from air pollution can cause
workers to miss work and thereby have an adverse
affect on the productivity of industry [24]. Eco-
nomic problems arising from air pollution are
discussed below along with other problems cur-
rently recognized by government agencies.
Health
Human health is often the primary concern
related to air pollution, and a great deal of
work has been done to connect various air pol-
lutants to health risks. Table 4 identifies some of
the health problems associated with the different
air pollutants. The references given are exam-
ples of studies that have made connections
between pollutants and health problems. Thus,
Table 4 should not be interpreted as an exhaus-
tive and critical review of the current state of
knowledge regarding air pollutant health
effects. In some cases, many more studies have
confirmed these connections. However, in many
cases, the underlying mechanisms that would
conclusively demonstrate a cause and effect
relationship have yet to be identified. At the
present time, PM2.5 is considered to be one of
the pollutants of greatest concern [13, 25, 26],
but it is made up of thousands of chemicals that
can each have different types of effects. Ultra-
fine particles are a subsize of PM2.5, and they
warrant further study to better understand the
range of impacts on health they may cause.
The health effects of air pollution are usually
more pronounced in urban populations [5]. Urban
settings tend to host more combustion
(of transportation and heating fuels, for example)
per area, leading to more emission of air pollution
per area than in rural settings. The higher population
densities of urban settings results in greater air pol-
lution population exposure. With over half of all
392 Air Pollution Monitoring and Sustainability

Air Pollution Monitoring and Sustainability, Table 4 Air pollutants and their health effects. COPD stands for
chronic obstructive pulmonary disease. This table
Pollutant Associated health problems Reference
NO2 COPD, allergic response, increase in respiratory illness, increased airway [20, 27,
responsiveness to stimuli, lung inflammation, decreased pulmonary function, 28]
immunological changes, eye irritation
SO2 COPD, respiratory symptoms [20, 27]
CO COPD, Congestive heart failure, decreased time to onset of angina, behavioral [20, 27]
effects, developmental effects
O3 Lung inflammation, COPD, aggravation of asthma, eye and nose irritation, [20, 27,
pneumonia, increased airway responsiveness to stimuli, centroacinar fibrosis, 29–31]
immunological changes, excess mortality
PM10 Exacerbation of cardiac disease, lung cancer, allergic response, infant [25, 28,
mortality 32–34]
PM2.5 Acute and chronic cardiovascular effects, increased incidence of allergies, [13, 25,
excess mortality, lung cancer 35, 36]
Ultrafine PM Cardiorespiratory mortality, pulmonary stress, mitochondrial and DNA [37–41]
damage, potentially other effects as yet proven
Manganese (Mn) Parkinson’s Disease [42]
Mercury (Hg) Nervous system damage [43]
Lead (Pb) Reproductive problems, behavioral deficiencies in offspring, damage to lungs, [19, 20]
nervous system damage, lowered IQ, hypertension, coronary heart disease,
reproductive effects in women
Volatile organic Cancer [9]
compounds (VOC)s
Dioxins and furans Cancer, deficiencies in the immune system, reproductive and developmental [16]
abnormalities, nervous system damage, endocrine disruption, pulmonary
problems including bronchitis, altered testosterone levels, nausea, loss of
appetite, rashes, liver damage, and many others

people currently living in cities and the urban popu-
lation expected to grow to 70% of all people by 2050
[26], the health impacts of air pollution will continue
to be a challenge. Long-range transportation of air
pollution and local point sources can make the health
effects of air pollution a significant risk in rural
settings as well.
A cohort study of six US cites started in 1974 and
followed up through the present time, the “Harvard
Six Cities Study,” found that the average life expec-
tancy in the dirtiest city studied (corrected for indi-
vidual risk factors) was 2 years lower than in the
least dirty city [44]. This 2 year gain in average life
expectancy is equivalent to what would be expected
if all forms of cancer in the USA were eliminated
[44]. Indeed, as air quality has improved across the
USA in recent decades, life expectancy has risen
[45]. Thus it can be seen that the health effects of air
pollution pose a substantial problem while mitiga-
tion can offer substantial benefits.
Regional Problems
Regional air pollution problems impact large areas
and substantially alter ecologies. Regional prob-
lems that have been recognized by governments
include acid deposition, damage to wildlife and
ecosystems, and reduced visibility. In some areas
of the globe, many of these problems have been
substantially mitigated by changes in practice.
Acid Deposition Acid deposition is the settling
of acidic air pollutants on land or water. The
pollutants contributing most significantly to acid
deposition are oxidized sulfur and nitrogen com-
pounds. When “wet deposited” (deposited on land
by precipitation after being taken up in cloud
droplets) sulfur is usually in the form of SO42
due to oxidation of SO2 during atmospheric trans-
port. When “dry deposited” (directly deposited
from air onto Earth’s surface), it is usually in the
forms of SO2 and particulate SO42 [46]. NOx
Air Pollution Monitoring and Sustainability
reacts with water to form acids either while air-
borne or after dry deposition.
On a regional scale, farther downwind from
emission sources, wet deposition is the major acid
deposition mechanism and has earned acid deposi-
tion the popular name “acid rain,” though dry
deposition makes substantial contributions to eco-
system acidification [46]. Acid deposition reduces
ecosystem Acid Neutralizing Capacity (ANC)
[47], making future influxes of acids more difficult
to cope with. It also has deleterious effects on soils,
vegetation, and aquatic ecosystems.
Leaching of soil nutrients is a major impact of
acid deposition. Acids deposited in soil react
with the soil’s base cations (largely Ca2+ but
also Mg2+ and K+) and increase their mobility
in soils, causing them to leach out of soils and
making them unavailable for plant uptake
[47]. Base cations can be the limiting factor in
forest development and their loss has been iden-
tified as the source of decline in many forests
[48]. Increased acidity in soils also negatively
impacts the microbial community in the soil, on
which plant life depends, notably decreasing bio-
logical nitrogen fixation rates [49]. Acid deposi-
tion stresses plant root systems and leaves [50]
and can leach nutrients (Ca, Mg, and K) from
leaves just as it does from soils [51]. Acid and/or
nitrogen deposition have also been seen to
increase risk of winter injury in Red Spruce
[52]. Acid deposition lowers the pH of lakes
and streams, negatively affecting organisms at
all levels of the aquatic biosphere in terms of
production and growth in lakes with low natural
ANC [53]. Acute mortality and reproductive fail-
ure has been a result among fish and some species
have even been lost entirely [53].
Governments in North America and Europe
have addressed acid deposition by limiting the
use of sulfur-rich fuels and introducing technolo-
gies to reduce emissions of chemicals that even-
tually result in acid deposition. Acid deposition
has been substantially reduced as a result of these
strategies, though many of its effects persist.
China has not yet addressed acid rain to the extent
that North American and European governments
have, and today almost 30% of China’s area suf-
fers from acid rain [54]. Given the transboundary
393
nature of acid deposition, it is likely that much
more area is threatened.
Damage to the Biosphere In addition to the
damages to forests and wildlife caused by acid
deposition, there are other damages caused by
other forms of air pollution. Grantz et al. [55]
provides Guderian’s categories of effects of air
pollutants on ecosystems:
• Accumulation of pollutants in plants and other
ecosystem components (e.g., soil, water)
• Damage to humans as a result of pollutant
accumulation
• Shifts in competition causing changes in spe-
cies diversity
• Disruption of biogeochemical cycles
• Disruption of stability and reduction in self-
regulation capabilities
• Breakdown of stands and associations
• Expansion of denuded zones
Many of these types of impacts have been
observed and linked to particular pollutants. For
example, mercury has been shown to be toxic to
microorganisms, plants, and animals [56], and tox-
icity of other heavy metals such as lead has also been
confirmed [19]. By binding to proteins, mercury can
also accumulate in organisms and ecosystems [21].
Ground-level ozone (O3) is a known hazard,
leading to reduced production of fine roots in
some trees [57], reduced tree growth [58], and
damage to a plant’s photosynthetic systems
[59]. The reduced activity of plant life as a result
of ozone will reduce an ecosystem’s ability to
store carbon and thereby exacerbates climate
change [60]. Damage and reduced yields of plants
will reduce the availability of food for wild ani-
mals, stressing those populations as well.
Visibility
Air Pollution (mostly particles) can reduce visi-
bility. Severe visibility problems arising from
poor air quality have recently been experienced
in some Chinese cities [61]. Human enjoyment of
the environment is impeded by poor visibility and
in extreme cases poor visibility poses a safety
hazard in aviation.
394
Economy
Restricted activity and lost work days due to ill-
ness incurred by air pollution are included in the
costs of poor air quality [20]. These are costs
both to the individual suffering the illness
(in terms of income) and to industry (in terms of
lost productivity). Time lost by caregivers, for
example, the parents that miss work to care for
an ill child, also results in financial costs
[62]. Healthcare costs, including the fees of
healthcare professionals and operating costs, are
also a problem. Pain and suffering has a cost that
can be estimated by the price an individual is
willing to pay to avoid experiencing it [62]. Sim-
ilarly, the amount people are willing to pay to
avoid risk of premature death can be used to
estimate the cost of mortality [63].
Loss of detail in carvings, discoloration of
materials, failure of protective coatings, and struc-
tural failure are some of the outcomes of material
damage from air pollution [64]. These outcomes
are the result of acid deposition on materials and
oxidation from pollutants like ozone. Delucchi’s
[65] review of cost estimates in the literature
yielded an estimate of $0.1–3 billion in material
damage annually in the USA from ozone. SOx and
PM are estimated to do at least as much damage as
ozone [65]. Mayerhofer et al. [64] estimated that
the damage from 1995 levels of air pollution cost
Europe 2.3–5.3 trillion European Currency Units
(ECU, 1995 value) in that year. Calcareous rock
(marble and limestone) is vulnerable to air pollu-
tion [66], and many historical monuments and
structures are made of such materials.
Ozone can enter plant leaves and damage
enzymes critical to photosynthesis, reducing the
metabolism of plants and limiting plant growth
[67, 68]. Ozone, other oxidants, SOx, and NOx are
thought to be responsible for 90% of damage to
plants from air pollution [68]. Damage to crops
results in less revenue for agricultural producers.
Murphy et al. [67] estimate that in 1990, anthro-
pogenic ozone caused $2.8–5.8 billion in damage
to 8 major crops in the USA (corn, soybeans,
wheat, alfalfa hay, cotton, grain sorghum, rice,
barley). Barley and soybeans are particularly sen-
sitive to damage from SO2 [67]. Subsidies to these
crops in the USA are on the order of billions [69],
Air Pollution Monitoring and Sustainability
meaning that American taxpayers are providing
substantial economic recompense for air pollu-
tion’s damage to crops.
There are a number of services of economic
value delivered by ecological systems, including
dilution and treatment of wastes, employment,
sequestration of carbon, provision of oxygen, and
production of goods such as timber, potable water,
and irrigation water [55]. The US EPA, 1997 [20]
adds pesticides and drugs to the list of products
derived from ecosystems as well as recreation,
reduced runoff, and reduced erosion to the list of
services of economic value. Efforts have been
made to estimate some of the economic effects of
air pollution’s impacts on ecosystems such as wet-
lands, forests, and aquatic ecosystems, but realistic
estimates are difficult to reach [20]. Both the data
and the tools to make complete estimates are
lacking [20], as is the discourse to address some
forms of ecosystem damage. The effects of local
wilderness areas on property value are easier to
estimate and work has been done in this area
[70]. Such estimates can quantify some portion of
the costs of the expansion of denuded zones and the
limitations to ecosystem development discussed
above. However, property values are just one of
many economic impacts associated with pollution,
leaving complete costs figures out of reach.
An evaluation of the cost-effectiveness of the
Clean Air Act (USA) over the 1970–1990 period
showed that the cost of compliance with the act
was $523 billion and gave the central estimate of
the economic benefits as $22.2 trillion [20]. This
estimate of benefits does not include complete
evaluations of ecosystem benefits. The 1990
amendments to the Clean Air Act created
market-based mechanisms for trading of SO2 in
an effort to reduce emissions and emissions were
reduced by 40% between 1990 and 2007. Over the
same period, 25 member countries of the EU
reduced SO2 emissions by 70% using conven-
tional, non-market-based legislation [71].
Global Problems
Air pollution and its effects do not respect national
boundaries. Regardless of the location of the point
of emission, some problems arising from air pol-
lution affect multiple countries. Some, like the
Air Pollution Monitoring and Sustainability 395

destruction of the ozone layer and climate change, including economic costs, and global problems.
are a problem for all life on Earth. Effects on health and the global economy are far
from negligible, and the urgency of regional and
Ozone Layer Destruction While tropospheric global environmental problems is apparent. None
ozone can be harmful, the stratospheric ozone of these problems at their current magnitude are
layer prevents much of the sun’s ultraviolet radia- compatible with sustainability. If the Earth’s
tion from reaching the Earth’s surface. Anthropo- growing civilization is to be sustainable, under-
genic chlorofluorocarbons (CFCs) emitted to the standing air pollution in an effort to minimize its
atmosphere can act to convert stratospheric ozone direct and indirect impacts must be a priority.
into oxygen through a series of reactions. Once the
reactions are complete, the destructive capacity of
the CFCs is left intact. The reaction series is able
Motivations Behind Monitoring Air
to begin again, destroying more ozone through a
Pollution
catalytic process [72]. In the mid- 1980s, a large
hole in the ozone layer above the Antarctic was
Immediate benefits of air pollution monitoring
documented, as was the general depletion of
include knowledge of when and where standards
stratospheric ozone. The damage to the ozone
are violated and the ability to communicate health
layer led to the Montreal Protocol, which legis-
risks. Communication of health risk can be
lated reductions in the production of ozone-
accompanied by warnings that can guide behavior
depleting substances such as CFCs [73]. While
of individuals, populations, and industry and
existing ozone-depleting substances will, over
reduce human exposure to air pollution.
decades, be removed from the atmosphere [72],
While minimizing health problems and ensur-
other factors affecting stratospheric ozone chem-
ing that standards are adhered to are important,
istry, many of which are anthropogenic, make for
there are deeper motivations for the monitoring of
some uncertainty about whether the ozone layer
air pollution. Establishing and quantifying con-
will ever return to the pre-1980s levels [73].
nections between air pollution and the related
impacts depends on measurements such as those
Climate Change Air pollutants such as methane
made through monitoring and related air pollution
and nitrous oxide are greenhouse gases and, as
research. For example, epidemiological studies of
such, act to increase the Earth’s trapping of elec-
associations between air pollution and related
tromagnetic radiation, leading to the increase in
hospital admissions could not occur without air
global average temperatures often referred to as
pollution monitoring. By proving connections
global warming or climate change. Some Green-
between air pollution and problems, monitoring
house Gases (GHGs) are affected by air pollution
and the related research influence air pollution
through chemical reactions [74], and GHGs such
policy. It is anticipated, but not guaranteed, that
as CO2 are co-emitted with primary pollutants,
continued improvement of policy will drive
especially during fossil fuel combustion. Ozone
improved mitigation efforts and hence avoidance
in particular affects the lifetime of GHGs
of the problems associated with air pollution.
[74]. Other effects of climate change include such
global problems as rising sea levels, likely extinc-
tion of 15–30% of species (with a 2 °C increase in Air Quality Warnings
global average temperatures), reduced agricultural Monitoring of air pollution yields data on present
productivity, and fresh-water shortages [75]. air quality conditions that can be used to provide
health warnings. For example, Canada’s Air
Summary of Air Pollution Problems Quality Health Index (AQHI) combines data on
The motivating factors behind air pollution mon- ozone, PM, and NO2 to produce an AQHI value
itoring include understanding air pollution’s ranging from 1 to 10+. Advice associated with
impacts on human health, regional problems the AQHI is given in Table 5 and ranges from
396
Air Pollution Monitoring and Sustainability, Table 5 Canadian air quality health index (AQHI) and related health
advice [76]
Air Health advice
quality
health
index At risk populations
1–3 Enjoy your usual outdoor activities
4–6 Consider reducing or rescheduling strenuous
activities outdoors if you are experiencing
symptoms
7–10 Reduce or reschedule strenuous activities
outdoors. Children and the elderly should also
take it easy
10+ Avoid strenuous activities outdoors. Children
and the elderly should also avoid outdoor
physical exertion
“Enjoy” usual activity to “Avoid” strenuous out-
door activity.
Ideally, this health advice, if followed, would
reduce the impact of air pollution by reducing the
rate of exposure. Air Quality Indices designed to
inform the public and potentially alter behavior
exist in the USA, China, Europe, and other areas
of the globe [14].
Research
Research serves the function of improving the
understanding of air pollution, how it behaves, its
sources, and its connection to the problems it causes.
It can also lead to advancement of monitoring tech-
niques. In an effort to classify research questions
typically asked in the field of air pollution research,
a survey of research questions from 40 articles
pertaining to air pollution published in early 2010
in peer reviewed journals was performed. Research
questions appearing in this snapshot of the literature
tend to be related to the following broad questions:
1. What is the nature of a given pollutant or set
of pollutants (in terms of pollutant properties,
distribution, and transport patterns in the
atmosphere)?
2. Can we improve our understanding of the
factors influencing air quality (e.g., meteoro-
logical factors)?
3. What chemical or physical mechanisms
explain some yet unexplained observations?
Air Pollution Monitoring and Sustainability
General population
Ideal air quality for outdoor activities
No need to modify your usual outdoor activities
unless you experience symptoms such as coughing
and throat irritation
Consider reducing or rescheduling strenuous
activities outdoors if you experience symptoms such
as coughing and throat irritation
Reduce or reschedule strenuous activities outdoors,
especially if you experience symptoms such as
coughing and throat irritation
4. At what rate and by what process is a given
pollutant rendered benign in the environment?
5. What are the health effects of a specific pol-
lutant or set of pollutants?
6. What is a population’s or an individual’s expo-
sure to a specific pollutant or set of pollutants?
7. What are the effects of a specific pollutant or
set of pollutants on outcomes other than
health?
8. What is a given practice’s effect on air pollu-
tion levels (e.g., how does highway driving
affect air pollution levels)?
9. How are levels of air pollutants changing (are
they decreasing as expected given current pol-
icies or are they rising in particular regions)?
10. How does a specific instrument, method, or
type of analysis perform?
Investigations of these questions inform the air
quality monitoring community, are informed by the
data collected by said community, and guide inter-
pretations of data. They provide information on the
nature of air pollution, the connections between air
pollution and problems, and the effects of human
behavior on air pollution. They also allow progress
in the air pollution monitoring field.
Questions Regarding the Nature of Air
Pollution
Research questions of types 1–4 are important to
the development of the understanding of the
nature of air pollution and specific pollutants.
Air Pollution Monitoring and Sustainability
Fundamental questions such as these aid in design
of mitigation strategies, monitoring strategies and
technologies, and can inform policy. They can
also suggest reasons why pollution is a problem
and which kinds of problems can be expected
from particular pollutants.
Questions of type 4 are directly relevant to
sustainability. A sustainable system would not
involve emissions rates higher than the rate at
which pollutants are rendered benign. Answers
to questions of type 4 should inform allowable
rates of emissions.
Questions Connecting Air Pollution to
Problems
Question types 5–7 help to establish connections
between air pollution and the problems that make
air pollution a subject of concern and make moni-
toring a necessary mitigation strategy. Without
questions such as these, other types of air pollution
questions loose much of their practical application.
These questions are central in “risk-based” air pol-
lution management strategies, which frame accept-
able levels of pollution in terms of the degree to
which their effects are deemed acceptable.
Examination of these questions shows how
established air pollution objectives affect the
research agenda. As has been discussed, govern-
ments tend to emphasize the impacts of air pollu-
tion on health, some selected environmental
issues, and the economy. As a result, research
questions of types 5–7 more frequently attempt
to make connections to these issues as opposed to
issues given less attention such as the effects of air
pollution on overall quality of life or the health of
other species. (Climate change is a notable excep-
tion, however, and does receive much attention).
Question 7 covers a broad area of research and
is often split into several questions investigating
the effects of air pollution on climate change,
acidification, ozone depletion, economic dam-
ages, and other unintended consequences of air
pollution. If the focus of air pollution monitoring
is to shift toward sustainability, these types of
questions will join health-related questions as
questions of central importance.
Questions connecting air pollution to impacts
require continual study. Previously unrecognized
397
or underappreciated issues may be found to be of
great importance, thus warranting a change in
monitoring. Furthermore, relationships between
air pollution and its impacts can change over
time, meaning that the nature of established rela-
tionships requires continual monitoring.
Weatherhead and Anderson’s 2006 [73] study is
an example of the understanding of a relationship
changing as a result of continued questioning. The
assumption was that the ozone layer would regain
its former abilities as CFC concentrations
declined. However, other anthropogenic factors
are playing a role in reducing the rate of recovery,
despite a decline in CFCs [73]. Airborne PM is
another example. Monitoring first dictated that
total suspended particulate (TSP) be measured.
However, monitoring evolved with increased
understanding of health effects and the nature of
PM. This increased understanding, itself facili-
tated by monitoring, recommended that attention
be paid to specific size fractions of PM, first PM10,
and later PM2.5. If connections to problems are not
continually reviewed, monitoring can lose it rele-
vance to its objectives.
Research Questions and the Development of
Air Pollution Monitoring Questions about the
nature of air pollution can aid development of new
monitoring technologies and deployment strate-
gies. For example, Miffre, et al. [77] reveals infor-
mation about the differences between air pollution
concentrations at ground level and at 50 m above
ground. The findings show when it is valid to
assume that ground-level monitoring is sufficient
in estimating concentrations at higher elevations
and when it is not. This study and studies asking
similar questions directly inform how much infor-
mation can be taken from a given monitoring
practice and when more monitoring is necessary,
increasing the potential for optimally efficient
monitoring. Questions connecting air pollution
to problems can guide monitoring so that it is
more likely to take place at the point in a pollut-
ants life-cycle that is most directly related to the
problems of concern. If monitoring can take place,
where it is most relevant to problems arising from
air pollution, it will be more efficient and will
yield the most relevant and useful results.
398
Questions of type 8 can direct monitoring to
the areas where there is likely to be air pollution
by developing an understanding of which prac-
tices are likely to create the most pollution and
which are relatively benign, requiring less moni-
toring. Questions of type 9 bring about under-
standing of how changes in practice impact air
pollution concentrations and whether current pol-
icies are effective. Type 10 questions can lead to
development of new technologies and strategies
for monitoring, as well as improvements to
existing techniques.
Current Air Pollution Monitoring
Practices
Common pollutants (Criteria pollutants, CACs)
are routinely monitored in the USA, Canada,
Europe, throughout Asia, and elsewhere. Net-
works of in situ monitoring stations in these
regions provide constant measures of air quality
and help governments and concerned organiza-
tions determine how close they are to meeting
their air quality goals. Precipitation chemistry
monitoring also provides data on pollutants in
air. Satellite remote sensing and air quality models
complement the data collected by monitoring sta-
tions to form a more complete picture of air qual-
ity and can offer the advantage of consistent
methods across the globe. Stack emissions for
point sources are occasionally monitored in
some countries to complement the ambient con-
centration data collected by monitoring networks,
though more often large emitters estimate their
emissions using mass-based flow balances for
their site and rates of activity. Numerical model-
ing of air pollution can be a stand-in when mea-
sured data are sparse, it can be used in conjunction
with other forms of monitoring, and can help
predict the effects of changes in emissions pat-
terns. Craig et al. [14] list the outcomes of moni-
toring air pollution as follows:
• Ability to describe risks and detect potential
future risks.
• Documentation of trends, which can demon-
strate the impacts of policies.
Air Pollution Monitoring and Sustainability
• Inputs for the further development of models
which can improve predictive capacity.
• Information necessary to prove links between
pollution concentrations and effects.
Typical observations made during monitoring
include concentrations in ambient air (in ppm, mg/m3,
particles/m3, mol/L, etc.), rates of emission, typi-
cal concentration ranges, rates of change of con-
centration, and concentration profiles. It is in
terms of ambient concentration that pollution
standards are set. For example, the European stan-
dard for ozone is set such that the maximum
concentration of ozone averaged over any 8 h
period of the day should not exceed 120 mg/m3.
Thus, it can be seen that monitoring is important
to ensuring that air quality standards are adhered
to, and that public health and the environment are
protected.
In Situ Monitoring
Air quality monitoring stations exist in the hun-
dreds in some countries and in the thousands
globally, covering continental areas and forming
networks that contribute the bulk of information
to assessments of outdoor air quality. Instruments
capable of detecting specific pollutants (NOx,
SOx, PM2.5, etc.) draw in ambient air and accu-
rately measure the pollutant mass per standard
volume of air. This type of monitoring, referred
to as in situ monitoring, results in the least uncer-
tainty as compared to satellite remote sensing and
model estimates. It is important to recognize that
the in situ data from a given monitoring location
are only for the specific geographic location and,
thus, during the process of site selection, the issue
of spatial representativeness must be considered
in the context of monitoring objectives.
Most existing stations measure near ground
level (~3–10 m) so that air pollution at the expo-
sure height of the general populace can be quan-
tified. Figure 1 shows the location of ozone
monitoring stations throughout North America.
It is largely through such networks of stations
that an area’s compliance with current air quality
standards is determined. Networks are also a pri-
mary tool in the tracking of progress toward air
Air Pollution Monitoring and Sustainability
YT
NT
BC
AB
0 495,000 990,000 1,980,000 m
Air Pollution Monitoring and Sustainability, Fig. 1 Ozone monitoring station locations throughout North America
quality goals, and they provide the necessary
baseline measurements for judging whether pro-
gress is occurring [78]. Despite there being over
1,000 stations in Fig. 1, there are relatively large
unmonitored areas. Network design to minimize
the impact of this inevitable incomplete coverage
remains an ongoing challenge and, as described
below, models and remotely sensed observations
are helping to fill in the gaps.
Precipitation Chemistry Monitoring
By collecting and analyzing precipitation, sta-
tions and networks in North America (e.g.,
CAPMoN, NADP [79]), Asia (e.g., EANET
[80]), throughout other continents, and over the
Ocean [81] can collect data on air pollution.
Precipitation samples can provide information
on pH and the mass of various ions such as
399
NU
NF
MB
QC
SK
PE
ON NB
NS
SO42, NO3, Ca2+, and Na+ [79]. These data
are valuable in tracking the acidity of rain over
time and in studying wet deposition. The identity
and concentrations of ions discovered through
precipitation chemistry monitoring can also pro-
vide information about the sources of pollutants,
as in Thepanondh et al. [81]. By monitoring the
concentration of wet-deposited air pollutants in
precipitation, precipitation chemistry monitoring
acts as a valuable element of air pollution
monitoring.
Satellite Remote Sensing
Satellites can observe electromagnetic radiation from
the atmosphere and Earth’s surface to infer informa-
tion about concentrations of aerosols and trace gases
in the atmosphere. Pollutants that can be observed by
satellites include PM, tropospheric O3, NO2, CO,
400
HCHO, and SO2 [82]. Figure 2 shows satellite-
observed NO2 concentrations in Eastern China.
Satellites can be used to analyze and forecast air
quality, provide information on tropospheric air
pollution, and be used in conjunction with com-
puter models. Analyses made possible by satellites
include observation of events too large in scale to
be appreciated using monitoring stations on Earth’s
surface. Such events include the difference in
regional NO2 concentrations between average con-
ditions in China and the period surrounding Chi-
nese New Year illustrated by Fig. 2. Many spatial
features related to typical emissions and those
resulting from the change in emissions are better
characterized and hence understood using the sat-
ellite observations. Forecasting is made possible by
observation of synoptic scale meteorology. Obser-
vations of surface air quality can be combined with
other observations such as those from monitoring
stations and point source emissions monitoring to
increase certainty of pollutant concentration mea-
surements. Computer modeling aided by satellite
remote sensing allows for pollution source appor-
tionment by working backward from present
Chinese new year
40°N Beijing
Shanghai
30°N
Hangzhou
105°E 115°E 125°E
0 5 10 15
NO2 column density ( × 1015 molecule cm–2)
Air Pollution Monitoring and Sustainability,
Fig. 2 Ozone Monitoring Instrument retrieved NO2 col-
umns over Eastern China. All data for January 25 to March
5 were averaged for years 2005–2010. The left image
shows only overpasses taken between Chinese New Year
and 2 weeks after Chinese New Year. The right image
Air Pollution Monitoring and Sustainability
pollutant concentrations and distributions to iden-
tify sources [82]. Point source data can be used to
model forward in time to obtain estimates of future
pollutant concentration. Together, satellite obser-
vation and computer modeling can increase the
certainty of air quality estimates [83] and the attri-
bution of pollutants to specific sources. Satellite
observations can also achieve spatial resolution of
pollutant concentration over an area that could only
be replicated by a large number of ground-based
monitoring stations, a number that could only
come at great cost [83].
Another advantage of satellite observations is
global uniformity. Satellites should ideally be able
to measure regions equally well across the globe,
in developed and developing countries, using the
same measurement techniques and producing data
in a uniform format. In reality, differences in sur-
face albedo, vertical mixing, aerosol optical
depth, and other factors create inconsistencies in
the surface concentrations estimated from satellite
data for different regions. However, once these
technical challenges have been overcome, this
global uniformity should facilitate simpler
Rest of winter
Beijing
Shanghai
Hangzhou
105°E 115°E 125°E
20 25 30 35
shows columns from all other days during the period in
question. Satellite measurement can show regional scale
effects which would be difficult to discern with a surface
monitoring network. Free use of tropospheric NO2 column
data from the OMI sensor from www.temis.nl is acknowl-
edged [84]
Air Pollution Monitoring and Sustainability
international cooperation in studies and provide a
standard set of data for the comparison of global
cities’ air pollution footprints. Satellite observa-
tions also allow for the tracking of these city
footprints over time, allowing for a record of the
trend toward sustainability. These advantages
make satellite observation an important evolving
tool in global cooperation in the pursuit of sus-
tainability. Developing methods for using
satellite-derived data to provide information on
sustainability should be a priority in future.
Emissions Monitoring
Emissions monitoring provides data on the rates
of emissions from pollution sources. These data
make for strong inputs into air quality models
[78], can ensure that emissions are not exceeding
permitted values (either legally permitted or per-
mitted with respect to sustainability), and lead to
confirmation that emissions are decreasing over
time in compliance with regulations. Emissions
trading schemes are dependent on emissions mon-
itoring. Figure 3 shows a Google Earth image of
point sources of air pollution in North America.
Continuous Emissions Monitoring Systems
(CEMS) quantify gas or particulate emissions by
taking measurements as pollution is released.
CEMS are common for some major stationary
sources in the USA and Europe, where their use
is mandated by legislation [85, 86]. PEMS
(Predictive Emissions Monitoring Systems) use
emissions factors and activity indicators (e.g.,
fuel use, engine types, duty cycles) in calculations
that estimate emissions without measuring them.
CEMS and PEMS are commonly applied to sta-
tionary sources or point sources, but emissions
monitoring can also be applied to mobile sources
such as locomotives [87] and ships [88]. Sources
too numerous to be monitored as individual
sources are often treated as “area sources”
[89]. To treat sources such as residential furnaces
or urban fuel stations as single sources would not
be practical, so emissions from these sources are
often calculated and treated as emissions not from
the individual sources but from the bulk of those
sources of a given type over an area. Agricultural
sources such as livestock operations and emis-
sions of N2O from fertilizers would be considered
401
area sources, and it is sometimes useful to think of
vehicle emissions as arising from area (or line)
sources. Monitoring emissions from any of these
sources requires cooperation from industry and
government [78]. Efforts made toward achieving
sustainability will rely on accurate and timely
emissions monitoring data both to inform model-
based decision making and to ensure that emission
reduction goals are achieved.
Numerical Modeling
Air quality models use input from meteorological
models and emissions from point and area sources
to estimate air pollutant levels and deposition
amounts based upon current understanding of rel-
evant chemical and physical processes. Models
can predict chemical changes in air pollutants
over time [14], clarifying links between secondary
pollutants and sources. Models can estimate
changes in air pollution concentrations that
would result from changes in practice (i.e., emis-
sions), making modeling a valuable tool in policy
design and analysis of proposed policy
[78]. While originally developed mainly for this
purpose, models are increasingly being used to
provide optimal estimates of air pollutant concen-
trations over areas where data do not exist.
Approaches for using models in conjunction
with in situ monitoring data and satellite data are
rapidly evolving [83, 90]. This practice can lead to
the most complete, consistent spatial-temporal
picture of air pollutant levels on the regional to
global scale and is also valuable for identifying
weaknesses in current emission inventories.
These “fused” data (data derived from multiple
types of observations) can extend estimates of the
impact of air pollution has on health and the
environment, helping to better document prob-
lems and improve research. Increasing interest in
providing the public with future air quality infor-
mation, which as described above can help reduce
impacts, has led to models that are optimized for
forecasting on a daily basis.
Regardless of their application, air quality
models require evaluation to assess the reliability
of their results. Any model being used to inform
policy should have each of its aspects verified,
including its design, methods for representing
402 Air Pollution Monitoring and Sustainability

Environment Environnement
Canada Canada

NPRI INDUSTRIAL SECTORS

ALUMINUM
CEMENT, LIME AND OTHER NON-METALLIC MINERALS
CHEMICALS
ELECTRICITY
IRON AND STEEL
MANUFACTURING, OTHER
METALS (EXCEPT ALUMINUM AND IRON AND STEEL)
MINING AND QUARRYING
OIL AND GAS PIPELINES AND STORAGE
OILSANDS AND HEAVY OIL
PETROLEUM AND COAL PRODUCTS REFINING AND MFG.
PLASTICS AND RUBBER
PULP AND PAPER
TRANSPORTATION EQUIPMENT MFG.
UPSTREAM OIL AND GAS
WASTE TREATMENT AND DISPOSAL
WATER AND WASTEWATER SYSTEMS
WOOD PRODUCTS
OTHER (EXCEPT MANUFACTURING)

Air Pollution Monitoring and Sustainability,
Fig. 3 Google Earth image showing point sources of air
pollution in North America. USA layer available from the
US EPA at http://www.epa.gov/air/emissions/where.htm.
Canadian layer available from Environment Canada’s
National Pollutant Release Inventory (NPRI) at http://
www.ec.gc.ca/inrp-npri/default.asp?lang¼En&n¼1D892B9
F-1#npri. Both include source specific data on tonnage of
criteria pollutants emitted. Legend for USA sites at top left,
legend for Canadian sites at bottom left

processes, input data (e.g., emissions), and numer-
ical methods [78]. When supported by detailed
measurements, evaluation exercises also identify
specific weaknesses in models and possible ways
to improve future versions.
Policy and Air Pollution Standards
Air pollution policy is a major influence on mon-
itoring and monitoring is a major influence on
policy. Policies determine legally acceptable con-
centrations of air pollutants. Monitoring shows
which pollutants must be subject to improved
standards and which areas require the most
pollution-abatement planning.
Policies on air pollution centre on concentra-
tion standards and emission standards. Standards
are often set based on concentrations deemed
achievable using the Best Available Technology
(BAT) for emissions reduction (an example of a
“command and control” strategy), the effects of
air pollution deemed acceptable (an example of
“risk-based” strategy), or a hybrid of the two
strategies [91].
While monitoring and the related science is
one influence on policy and standards, it is not
Air Pollution Monitoring and Sustainability
the only influence. Political and economic consid-
erations also play a role and can make for situa-
tions where environmental damage is accepted
despite preventability. Monitoring alone cannot
deliver sustainability without policy and practices
in accordance with the information it yields.
Concentration Standards Assessing compli-
ance with standards is the primary goal of the
majority of air pollution monitoring [92]. These
standards are in the form of maximum allowable
concentrations of air pollutants. Table 6 gives
standards for some major world regions, which
are often expressed as an average concentration
over a specific time period, for some major world
regions.
Emissions Standards Figure 4 shows how emis-
sions reduction programs play a part in achieving
concentration standards once air quality goals are
established. Emission reduction programs can
involve encouragement of energy efficiency,
changes in practices (e.g., switching to cleaner
fuels, use of emissions controls technology), and
redesign of processes. They can also include set-
ting of emissions standards, which limit emissions
from particular sources or classes of sources. For
example, vehicles in Europe must not exceed the
allowable emissions under the “Euro” class of
emissions standards for CO, NOx, certain classes
of hydrocarbons, and PM [93].
Monitoring is integral to the “Establishment of
Air Quality Goals” and “Track and Evaluate Pro-
gress” stages of Fig. 4 and informs the under-
standing of “Current Ambient Air Quality.”
Monitoring not only informs policy development,
but also the assessment of policy effectiveness.
Non-environmental Considerations in the Set-
ting of Standards Air pollution monitoring is
one influence on policy and concentration stan-
dards, but politics, economics, and other consid-
erations also play a role [14]. There are at times
differences between what the scientific data rec-
ommend as the concentration standard and what
the concentration standard is in law. The usage of
“critical loads” and “target loads” in the in the
Eastern Canada Acid Rain Programs is a telling
403
example of the difference between the two
terms. A critical load is what has been deter-
mined to be close to the maximum amount of
pollution an ecosystem can tolerate. (In the case
of Environment Canada’s Acid Rain critical
loads, the aim is to protect 95% of lakes, based
on surface area, from acidification beyond crit-
ical levels.). A target load, the pollutant load
aimed for in policy, is the load deemed achiev-
able once “other factors (such as ethics, scien-
tific uncertainties, and social and economic
effects) are balanced with environmental
considerations.”[1]. Though the Canada-Wide
Acid Rain Strategy for Post-2000 set the long-
term goal of meeting the critical load, in the
short term this system of standard setting deter-
mines a level of pollution slightly more than
what could be sustained (the critical load) and
aims to allow more pollution than that
(by aiming for the target load). The critical and
target load system has also been applied in areas
of Europe. The different grades of Chinese air
quality standards in Table 6 are another example
of standards not based on the recommendations
of the air pollution monitoring community or on
the basis of sustainability. The different grades
are assigned based on land use (e.g., residential
vs industrial) and the economic realities of those
areas, not on changes in the definition of sus-
tainability from area to area. Policy-makers con-
sider much more than what is sustainable when
setting standards, and when doing so, the ten-
dency is to make standards less stringent, mean-
ing sustainability is sacrificed further.
Polluters can also play a role in affecting air
quality standards. There are concerns that setting
stringent air pollution standards will cause pollut-
ing industries to relocate to “pollution haven”
countries where standards are more lax, though
the idea that moving to one of these havens actu-
ally benefits businesses is dubious [96]. Fear of
such moves can erode the economic base of a
policy-maker’s purview, providing an incentive
to weaken standards. Fredriksson and Gaston
[97] review a number of cases in which environ-
mental policy was weakened by business lobbies
representing polluters. Clearly, pollution policy
404 Air Pollution Monitoring and Sustainability

Air Pollution Monitoring and Sustainability, Table 6 Air quality standards by world region
Standards
USA primary standards China [54]
Averaging Europe [94] [95] Grade 1 Grade 2 Grade 3
Pollutant period Conc. Conc. Conc. Conc. Conc.
CO 1h 35 ppm 10 mg/m3 10 mg/m3 20 mg/m3
CO 8h 10,000 mg/ 9 ppm
m3
CO 24 h 4 mg/m3 4 mg/m3 6 mg/m3
NO2 1h 200 mg/m 3
120 mg/ 240 mg/ 240 mg/
m3 m3 m3
NO2 24 h 80 mg/m3 120 mg/ 120 mg/
m3 m3
NO2 1 year 40 mg/m3 0.053 ppm 40 mg/m3 80 mg/m3 80 mg/m3
SO2 1h 350 mg/m3 0.075 ppm 150 mg/ 500 mg/ 700 mg/
m3 m3 m3
SO2 24 h 125 mg/m3 0.14 ppm 50 mg/m3 150 mg/ 250 mg/
m3 m3
SO2 1 year 0.03 ppm 20 mg/m3 60 mg/m3 100 mg/
m3
Lead (Pb) 3 months 0.15 mg/m3
Lead (Pb) 1 year 0.5 mg/m 3

O3 1h 160 mg/ 200 mg/ 200 mg/

m3 m3 m3
O3 8h 120 mg/m3 0.075 ppm
Benzene 1 year 5 mg/m3
PAHs 1 year 1 ng/m3
PM10 24 h 150 mg/m3 50 mg/m3 150 mg/ 250 mg/
m3 m3
PM10 1 year 40 mg/m3 100 mg/ 150 mg/
m3 m3
PM2.5 24 h 35 mg/m3
PM2.5 1 year 25 mg/m 3
15 mg/m3
Arsenic (As) 1 year 6 ng/m3
Cadmium 1 year 5 ng/m3
(Cd)
Nickel (Ni) 1 year 20 ng/m3

making is the result of many disparate influences.
Amid social, political, and economic debates
involving varying interests, the goal of sustain-
ability is often minimized or even lost.
Violations of Concentration Standards Unfor-
tunately, standards are targets, not guarantees of
maximum concentrations. As of 2004, 20.2% of
Chinese cities exceeded Grade III standards,
though this rate was an improvement over the
53.8% of cities exceeding Grade III standards in
1991 and was part of an overall trend of decreasing
concentrations [54]. In the case of the USA, it must
be noted that the trend in average concentrations of
most criteria air pollutants is downward [98]. How-
ever, in the USA, in 2007, 21% of sites monitoring
PM2.5 exceeded the 24 h standard of 35 mg/m3,
23% of sites monitoring lead showed concentra-
tions in excess of the 0.15 mg/m3 standard, and
57% of sites monitoring O3 exceeded the
0.075 ppm standard [99]. The UK’s ozone standard
is exceeded several times each year [89]. In record-
ing exceedences of standards, air pollution moni-
toring demonstrates the need for continued
Air Pollution Monitoring and Sustainability
Current ambient air
quality
Establish air quality goals
Determine emissions
reduction
Track and evaluate
progress
Air Pollution Monitoring and Sustainability, Fig. 4 Steps in the emissions reduction cycle including policy lead-up.
Figure is based on [99] and [14]
improvements in emissions abatement and shows
where the need is greatest. It also demonstrates that
standards and monitoring alone cannot lead to
sustainability. Strong enforcement of standards
must make air pollution a consideration in the
development and uptake of technologies.
The Effects of Air Pollution Science on
Policy Air pollution policy, like all environmental
policy, is dependent on research and the state of
science. If science has not developed the discourse
to describe an air pollution issue, there are no
grounds or even terms to support policy-based mit-
igation. For example, it is believed that different
species of air pollutants may act together to produce
more severe health impacts than either species
would produce if acting alone, but the current under-
standing of synergistic interactions is inadequate to
support this level of policy development [100].
Air pollution science is also critical in identi-
fying the most significant contributors to pollution
[100] and can use this and other information to
recommend optimally cost-effective solutions to
405
Scientific evidence of
health effects
Policy environment
Government commitment
Economic impacts
Cultural/social conditions
Stakeholder participation
Develop emissions
reductions programmes
Implement programmes
air pollution problems [101]. The concept of crit-
ical load is an example of a scientific tool that aids
air pollution problem solving [101]. It is also an
example, as discussed above, of scientific knowl-
edge being used as a framework but not being
fully respected by the political process. While
science is the basis of policy’s discourse, as well
as the basis for policy evolution, there is room for
improvement in how science and policy cooperate
in achieving sustainability.
Policy and Air Pollution Standards:
Conclusion Policy sets standards by which the
results of air pollution monitoring are judged.
Concentration standards indicate accepted levels
of air pollution in ambient air, and emissions
standards are measures of how much any source
can contribute to air pollution. Political, social,
and economic considerations often influence stan-
dards and result in more lax standards than science
or sustainability would recommend. Even in these
cases of standards not consistent with sustainabil-
ity, standards are often exceeded. Much of air
406
pollution monitoring is designed to assess com-
pliance with standards [92], but neither standards
nor standards-oriented monitoring alone will
ensure sustainability.
The current air pollution monitoring establish-
ment can contribute to ultimate sustainability
through ongoing scientific assessment in support
of increasingly appropriate concentration stan-
dards. Monitoring and the related research can
show, and have shown, that in many cases lower
ambient air pollution concentrations are possible,
necessary, and cost effective. Thus, new policy
and better standards are encouraged through the
results of monitoring. Translating air pollution
monitoring into policies that support sustainabil-
ity may be a considerable challenge. Hurdles may
include political and economic dampening of the
recommendations of science, and ongoing viola-
tions of existing standards. However, progress is
essential as without monitoring sustainability
becomes virtually impossible to verify. Further,
if monitoring is to verify sustainability, it needs
to be based on goals and policies that balance the
social, environmental and economic aspects of
sustainability. The monitoring community can
play an important role in establishing such holistic
standards for air quality.
Past and Ongoing Success in Air
Pollution Mitigation
In general, OECD countries have seen concentra-
tions of most major (or criteria) air pollutants
decrease since the introduction of pollution man-
agement programs. One of the biggest victories
has been sulfur emissions, which were the focus
of acid rain reduction programs. Sulfur emissions,
again, in OECD countries, are much lower than
they were in the past [5]. Acid rain is decreasing in
the USA [99], Canada [98], and elsewhere. NO2,
thanks largely to the use of catalytic converters in
vehicles, is on the decline in most European cities
[5], throughout the USA [99], and Canada
[102]. Limitations on lead in gasoline have led
to substantial reductions of lead in air. Concentra-
tions of lead are consistently below the WHO
concentration guidelines throughout Western
Air Pollution Monitoring and Sustainability
Europe and, in Canada, lead is almost
undetectable in the atmosphere [5]. Regulations
controlling particulate were the most cost-
effective regulations the US government put into
force [44], and human life expectancy has
increased as air quality has improved in the
USA [45].
Countries managing air pollution have seen a
decline in ambient HAP concentration, with ben-
zene, 1,3-butadiene, styrene, xylenes, and toluene
concentrations decreasing by at least 5% per year
in the USA from 2000 to 2005 [99]. A major
factor in this success was the control of emissions
from chemical plants, dry cleaners, coke ovens,
and incinerators. The continued reduction in
CFCs discussed above is a landmark success in
air quality policy and international policy in
general.
In many cases, serious efforts to reduce the
presence of a pollutant in the environment can
succeed. Air pollution monitoring brings prob-
lems to attention so that these efforts can be
made. It also tracks the impacts of pollution mit-
igation strategies, indicating success when it is
achieved and allowing for comparison of the
effectiveness of different strategies. If not for
monitoring, the successes mentioned here would
be impossible to quantify or prove. Adaptive man-
agement strategies would also be impossible.
Outstanding Problems and Challenges
The successes mentioned above are not unmiti-
gated. pH and ANC in ecosystems damaged by
acid rain are not recovering in proportion to
decreases in acidifying emissions [47]. The
Ozone layer’s recovery is not proceeding in pro-
portion to decreases in CFC emissions but is being
retarded by other anthropogenic air pollutants
[73]. Catalytic converters used to decrease NO2
emissions cause a net increase in fuel use, pro-
mpting Fenger [5] to comment we may have mit-
igated one problem by aggravating another.
Reduction in NO2 emissions have not led to the
reductions in tropospheric ozone that were hoped
for [12].
Air Pollution Monitoring and Sustainability
The story of lead as a gasoline additive is an
example of how reduction of a pollutant does not
always result in greater sustainability. With lead no
longer an acceptable fuel additive, methyl
tert-butyl ether (MTBE) was used to perform its
function. However, MTBE was later found to be a
powerful contaminant of water and a likely carcin-
ogen [103]. Now bio-ethanol is being discussed as
a less poisonous fuel octane booster than MTBE,
but it introduces its own risks of soil and ground-
water contamination and can lead to increased
emissions of NOx and organics [104], not to men-
tion stresses on global food supplies and agricul-
tural resources (i.e., land and water). While
legislation such as the USA’s Clean Air Act was
successful in reducing emissions from gasoline, it
did not eliminate the environmental threat of fuel
oxygenates. More holistic systems and policies,
rather than the reactionary phasing out of particular
pollutants, are necessary to truly solve the problem.
Further, when implementing such policies, we
need to anticipate potential associated conse-
quences and be prepared for follow-up monitoring
so that we can detect any resulting impacts.
In addition to the problems remaining after
emissions and ambient concentrations of pollut-
ants have been reduced, there are instances where
reductions in concentrations elude the efforts of
policy, technology, and behavioral changes. Over
half of the population of the USA lives in counties
where air quality standards are exceeded [99]. O3
in populated areas such as those in Southern
Ontario is continuing a long-term trend of increas-
ing concentrations [105] despite decreases in
concentration of precursors, leading to questioning
of the fundamental scientific assumptions
surrounding tropospheric ozone concentrations
[106]. Background ozone is increasing in parts of
the northern hemisphere, and this increase may be
linked to intercontinental transport of pollutants
[107]. Ozone and PM concentrations also continue
to be challenges throughout the USA [99].
Despite the effort and advances made in
research, policy, and environmental practice, air
pollution is still a health problem, a visibility
problem, and an economic problem. Further,
only weak links exist between air quality objec-
tives and sustainability. Concentration and
407
emissions standards are not set to serve sustain-
ability. Air quality objectives that will allow the
eventual recognition of sustainability once it has
been achieved, or even how far away sustainabil-
ity currently is, are lacking. The biosphere is still
being damaged by air pollution. Acid rain is
declining in developed countries, but is still
beyond the critical load, is increasing in some
regions, and totally unmonitored in others. Thus,
despite progress in recent decades, there is little
reason to believe that we currently have a sustain-
able burden of pollutants in our atmosphere. Thus,
there are considerable challenges remaining for
the air pollution monitoring community in rela-
tion to sustainability.
Current Air Pollution Monitoring and
Sustainability
Diverse techniques contribute to the monitoring
of pollution in the atmosphere. This monitoring
allows for air quality advisories, research into the
nature and sources of air pollution, evaluation of
the conformity with standards, and assessment of
the need for additional or alternate regulations or
policies. All of these outcomes of air pollution
monitoring reduce the burden of air pollution on
human society and the environment. Unfortu-
nately, what is learned and understood is not pro-
portionate to action taken. Pollution is still
eroding the capacity for sustainability. Improve-
ments on all fronts are necessary, including
improvements in air pollution monitoring, the
associated science, practices, the thinking that
underpins them, and the social response they
receive. Determination of what constitutes a sus-
tainability standard or threshold will also require
further work.
Future Directions: Monitoring to
Promote Greater Sustainability
In redesigning the air pollution monitoring com-
munity and the larger air pollution establishment
for sustainability, there are a number changes to be
made to current practices. There are both broad, or
408
institutional, changes and specific changes to be
made. The institutional changes will be more diffi-
cult to affect in that they require overcoming cur-
rent inertia. These changes are discussed
immediately below. Specific changes are discussed
in the “Monitoring More Effectively” section. Both
types of change will help the science of air pollu-
tion monitoring encourage sustainability.
Changes in Institutional Practices
Institutional changes that would make air pollu-
tion monitoring more relevant to sustainability
include the expansion of the conventional goals
of air pollution monitoring, working across intel-
lectual disciplines, and involving the general pub-
lic in the monitoring process.
Expansion of Goals Air pollution monitoring
practices are largely determined by the goals
underlying air pollution mitigation strategies.
When assessment of health impacts is the goal,
more monitoring happens in populated urban
areas. The hierarchy of goals in current air pollu-
tion mitigation tends to prioritize human health,
then visibility, then ecosystems [55], then possi-
bly the prevention of economic damage from air
pollution, or even climate stability in rare cases.
Often studies are oriented toward only one of
these goals.
Sustainability requires holistic thinking and if
sustainability is the aim, prioritizing based on a
hierarchy of problems alone can reduce the poten-
tial benefits. Prioritizing air pollution impacts
immediately affecting humans (e.g., health
effects) over environmental impacts is self-
defeating. In the long term, it is possible that the
loss of ecosystem services arising from these
lower-priority environmental effects may be the
greater consequence to humans [55]. Holistic
thinking would take into account many more
goals in air pollution mitigation than health, visi-
bility, ecosystem damage, economic loss, and cli-
mate. A holistic system would involve monitoring
air pollution with goals such as the development
of natural capital, resilience in human and natural
systems, environmental justice, improved urban
Air Pollution Monitoring and Sustainability
form, and accelerated learning and research. Stud-
ies with these goals in mind have been performed
infrequently, and they are fertile ground for new
research.
Natural Capital Natural capital is a metaphor
used to describe the natural features of ecosystems
that do work or provide services for humans and
the biosphere. It is useful in that it draws attention
to these features and their indispensable services
such as clean air, potable water, food, and building
materials while drawing comprehensible analogs
to economic concepts. Pollution that makes air a
health risk, destruction of the ozone layer by air
pollutants, acidification of ecosystems via acid
rain, and alteration to the climate by air pollutants
such as black carbon aerosol are all examples of
air pollution destroying natural capital. All of
Guderian’s categories [55] (“Damage to the Bio-
sphere” section) are ways in which air pollution
depletes natural capital. Natural capital is often
extended to include the capacity of systems to
assimilate waste, such as the atmosphere’s capac-
ity to assimilate air pollution, and the life support
functions provided by ecosystem components,
such as the ozone layer’s UV blocking
capabilities [108].
The assessment of the cost-effectiveness of the
US Clean Air Act, as mentioned, gave a mid-value
of the benefits of the Act of $22.2 trillion but
could not include the further benefits of preserva-
tion of natural capital [20]. All production and
consumption in the human economy depends on
natural capital [108, 109]. Minimum estimates of
the value of natural capital and ecosystem services
exceed the value of the human economy [110,
111]; yet, the discourse for the quantification of
natural capital has yet to be fully developed. Fur-
thermore, efforts to monitor and quantify pollu-
tion’s impact on natural capital are rare [112],
making the inclusion of natural capital loss in
the Clean Air Act’s benefits or in the cost-benefit
analysis of new air quality policy options near
impossible. Data on natural capital are limited
and thus far unsatisfactory, and types of natural
capital, such as types more vulnerable to air
pollution versus types more vulnerable to
other damages, have yet to be disaggregated
Air Pollution Monitoring and Sustainability
[113]. Assessment of loss of natural capital must
become a priority for the air pollution monitoring
community, as should the categorization of types
of natural capital vulnerable to air pollutants.
Mechanisms to ensure that natural capital is fairly
recognized in policy development need to be
installed at the international level.
Critical natural capital, natural capital that can-
not be lost without irreparable terminal damage to
ecosystems and thereby similar damage to the
human economy, must also be considered. This
critical natural capital cannot be lost or exchanged
and, therefore, is literally priceless [108]. Critical-
ity of natural capital can be judged in terms of
source and sink functions (sources of ecosystem
services and pollution sinks) and life support
functions [114]. Examples of critical natural cap-
ital would be keystone species or keystone pro-
cesses [108], which can be affected by air
pollution. There is a certain level of natural capital
that must be maintained to preserve the biosphere
and hence humanity. Unfortunately, where this
level lies is not yet understood, especially in
terms of atmospheric aerosol loading and chemi-
cal pollution [115], two areas directly relevant to
the air pollution monitoring community. Air pol-
lution monitoring and air pollution science must
be oriented toward defining where atmospheric
natural capital becomes critical, how air pollution
is damaging natural capital, and the quantification
of natural capital savings from emissions reduc-
tions. Air pollution monitoring could also provide
data on the development and redevelopment of
natural capital.
Resilience A sustainable system must be resilient
to external shocks and major changes, but the
socio-ecological concept of resilience encom-
passes more than an expectation of a return to
business as usual. Socio-ecological resilience is
not only the ability of a system to retain basic
functions despite a shock. It is also the capacity
for renewal, reorganization, and development
[109]. Air pollution monitoring should accept
the possibility of major system changes and mon-
itor for gradual atmospheric change as early warn-
ing signs of upcoming system shifts [114,
116]. Early warnings would allow for preparation
409
for adaptation at worst, possibly allow for avoid-
ance of the worst consequences of system shocks,
and expose opportunities to take advantage of
upcoming changes at best. The development of
appropriate atmospheric indicators of ecological
system shifts would be a major research project
and require much innovative air pollution moni-
toring. One aspect of such indicators would be
placing the concentration of air pollutants in the
context of the capacity of systems to continue to
absorb more pollution without major changes in
their behavior [114]. Indicators could also include
how the dynamic capacity (ability to reorganize
around changes) of environmental sinks (e.g., the
atmosphere) are affected by continued pollution
[114]. These types of indicators would be along
the lines of damage-oriented metrics used in life-
cycle assessment methods.
Resilient systems are contrasted with vulnera-
ble systems, in which small changes can cause
disastrous consequences. The resilience of the
human population is a sustainability-relevant met-
ric to be developed. Resilience in this population
comes under fire when exposure to pollution
increases human vulnerability to disease, as has
been shown to be a likely outcome of exposure to
some air pollutants [117, 118]. Monitoring to
expose the development of vulnerabilities would
be a useful endeavor in the promotion of resil-
ience. It would also be useful to show how the
allocation of the most polluted land to the most
vulnerable populations (babies, young people), as
in Mitchell and Dorling [119], and the associated
increases in asthma, other respiratory illnesses,
and allergies are affecting the ability of humans
to reorganize around potential atmospheric
changes. Development of such indicators will
rely on air pollution monitoring data.
Socio-ecological Justice The social justice of
environmental protection is a fundamental tenet
of sustainable development [119]. Environmental
justice is concerned with equal access to a clean
environment and equal protection from risks asso-
ciated with environmental impurities [119]. Cur-
rently, economically disadvantaged communities
are often more exposed to air pollution than more
affluent communities [117]. Poorer individuals
410
are more likely to live near roadways, resulting in
greater exposure [117]. In their study of London,
MacKerron and Mourato [120] observed that
communities with the least car ownership are
exposed to the highest concentration of pollutants,
while the cleanest air tends to be in communities
where car ownership is greatest. Marshall et al.
[121] shows that lower-income neighborhoods
tend to have higher walkability (resulting in less
auto emissions), but also higher NO concentra-
tions, while higher income neighborhoods tend to
have lower NO and O3 concentrations. In these
cases, the injustice is that the people polluting the
most impose the cost of their pollution on those
polluting least. Identification of such injustices
should be a focus of air pollution monitoring.
Routine increased exposure itself may enhance
the impacts of air pollution on socioeconomically
disadvantaged groups by weakening normal bio-
logical resistance [117] or promoting atheroscle-
rosis [118]. Housing stock in poorer
neighborhoods can have higher rates of off-
gassing of some allergens and expose occupants
to other risk factors of asthma sensitization and
exacerbation [117]. These phenomena require
greater documentation by air pollution monitoring
agencies so that they can be addressed.
Often young families cannot afford to live in
more affluent neighborhoods and must purchase
lower cost housing. This situation has lead to
findings such as those of Mitchell and Dorling
[119], that pollution in London is most concen-
trated where young children and their parents live.
London wards with a high proportion of all babies
in the city tend to have much higher than average
concentrations of NO2. This injustice is exposing
pregnant women, children, and babies (segments
of the population very vulnerable to the health
effects of air pollution) to greater air pollution
concentrations than those more resistant.
Much environmental justice work has been
done in the USA to attempt to redress the effects
of the frequent location of landfills and polluting
industries in black and indigenous communities.
A lack of empirical evidence led to failure of
many of the class actions meant to address envi-
ronmental injustice [119]. Air pollution monitor-
ing should be used to supply empirical evidence
Air Pollution Monitoring and Sustainability
where environmental injustice exists. As O’Neill
et al. [117] state, “Science and public policy
would benefit from additional research that inte-
grates the theory and practice from both air pollu-
tion and social epidemiologies to gain a better
understanding of this issue.”
Improved Urban Form Design of urban form
can mitigate exposure and reduce emissions
[5]. Urban sprawl results in increased automobile
dependency and the associated emissions
[122]. Many studies have witnessed the negative
correlation between urban density and per capita
transportation emissions [123]. Frank et al. [124]
makes the connection between neighborhood
walkability and reduced vehicle emissions. The
US EPA has acknowledged the relationship
between urban form and emissions through its
program of offering urban nonattainment areas
emissions credits for “smart growth” development
practices [123]. Conventionally, air pollution mit-
igation has been technology oriented, and Stone
[123] claims that the EPA’s program of emissions
credits for intelligent urban design is an acknowl-
edgement that the technological approach alone is
not sufficient to solve air pollution problems. This
recognition reinforces the point that sustainable
solutions must be holistic and that no single ave-
nue leads to sustainability. Air pollution problems
cannot be solved by dealing with the emission
sources alone, there must be systemic redesign
of the landscapes that create demand for emitting
activities.
The air pollution monitoring community can
play a role in urban design for emissions reduc-
tion. One major contribution would be taking
stock of various types of urban forms that exist
and the contribution of those forms to emissions.
Tang and Wang [125] look at the four different
urban forms on the Macau peninsula and associate
form with emissions and air pollution. Observa-
tions connecting road width, road curvature, and
congestion with emissions were made, and it was
seen that features such as urban canyons can lead
to increased pollution in areas of cities least
responsible for total emissions. Other features
Tang and Wang [125] recommend for study
include street orientation in relation to wind
Air Pollution Monitoring and Sustainability
direction, interactions between urban form and
wind speed, building design, green spaces, and
traffic control schemes. All of these aspects of
urban design require further research to determine
their impact on air pollution, while data from
monitoring will help to substantiate the under-
standing thereby derived.
Designing urban areas for walkability and pub-
lic transit will also impact emissions of air pollu-
tion. PODs (Pedestrian-Oriented Development)
and TODs (Transit-Oriented Development) such
as those discussed in Newman et al. [126], can
lower transportation energy demand and thereby
reduce emissions from vehicles. A study of
walkability in Vancouver showed that urban
design had a substantial impact on walkability
and air pollution exposure, and proved an effec-
tive method for connecting air pollution monitor-
ing to urban design and possible future
development [127]. Designing for less depen-
dence on automobiles is a very effective strategy
for using urban form to mitigate air pollution, and
such design has other sustainability benefits such
as improved health from physical activity
[127]. Of course, designing for urban density
will result in more instances of exposure to
urban air pollution, providing additional incentive
to minimize emissions.
The air pollution monitoring community can
also contribute to improved urban form by uniting
air pollution models with urban design models.
Involving the air pollution monitoring community
in an integrated design process for cities could
lead to reductions in emissions and exposure in
existing areas by designing new developments to
decrease the negative impacts of stagnant air
within urban canyons. A stronger air quality per-
spective on urban design could result in more
sustainable places to live.
Acceleration of Learning and Research The
majority of investment in air pollution monitoring
is directed not toward research or improvement of
research capabilities but toward assessing compli-
ance with existing air pollution concentrations
standards [92]. The focus on compliance to the
exclusion of other objectives reduces the value of
data acquired in that the data could also be used
411
for source apportionment, chemical transport
modeling, assessment of background levels, and
relationships between pollutants and other effects
[92]. The link between air pollution and urban
form could also be better established if available
data were used for that purpose. If priority con-
tinues to be given to compliance over other uses of
data, few of the other goals discussed herein will
be easily pursued. Chow and Watson [92] give
specific practices that can be implemented to shift
emphasis toward research, including calibrating
instruments to detect lower concentrations,
decreasing time resolution of sampling, and
reporting data to the level of detection rather
than rounding to convenient orders of magnitude.
Policy recommendations are also made, including
periodic reviews of instrument performance.
Acceleration of learning, of which research is a
fundamental part, should be more of a focus in
routine monitoring. Thus resources need to be
allocated to ongoing analysis and interpretation
of monitoring data.
Folke et al. [116] discuss the relationship
between adaptive capacity and sustainability.
To lay claim to sustainability, a society must be
able to manage adaptively to socio-ecological
changes. This capacity, Folke et al. [116] argue,
requires mechanisms that allow governments to
learn, meaning that the institutional capacity to
learn must be optimized. It is not optimized in
the current situation as described by Chow and
Watson [92], wherein data are primarily oriented
toward fulfilling routine functions. Adaptive
capacity also requires spaces for institutional
collaboration [116]. Data that are conventionally
less informative than they could be, as air pollu-
tion monitoring data commonly are [92], are not
optimally suited for collaborative purposes. The
case of the need for fine spatial resolution in the
MacKerron and Mourato [120] study of socio-
economic distribution of air pollution is an
example where routine data would not have
served the study’s interdisciplinary purpose.
The capacity to adapt requires not only strong
data, but the ability to extract maximum infor-
mation from that data. Adaptive capacity, and
therefore sustainability, would be served by the
improvements suggested by Chow and Watson
412
[92], and like improvements concerning the
acceleration of learning.
Chow and Watson [92] and Folke et al. [116] are
effectively calling for continual improvement in
capacity to learn on the job. In doing so, they are
highlighting two essential components of sustain-
ability: learning and continual improvement. Rou-
tine monitoring must cease to focus solely on
compliance. It must ensure that research and
improvement in the capacity for research are served.
Clearly, development of best practices to ensure
sustainability needs to be a priority in this learning.
Expansion of Goals: Conclusion The conven-
tional goals of air pollution monitoring influence
monitoring practice. Practices thus serve these
goals more than others. There is a need to expand
the set of goals and expand practices accordingly.
Monitoring to understand impacts on natural cap-
ital is not only essential to sustainability but will
improve the economic future of humanity. Resil-
ience is a concept the air pollution monitoring
community can study and apply further. The envi-
ronmental injustice of air pollution’s distribution
must be addressed for the sake of justice and for
the health of younger populations. Given the
strong links between air quality and urban form,
air pollution issues should not be ignored in the
design of cities nor urban form ignored in pollu-
tion studies. Acceleration of learning and research
have the potential to increase the efficiency of
monitoring as well as improve understanding of
air pollution’s effects and optimal concentrations.
All of these goals must be adopted if air pollution
monitoring is to holistically pursue sustainability,
and sustainability will continue to be elusive if
approaches are not holistic.
Multidisciplinary Work Attitudes fostering
sustainable levels of air pollution in the coming
decades will value contributions from intellectual
disciplines other than air pollution science. Urban
planning work can mitigate exposure to air pollu-
tion, and it is clear that improved energy effi-
ciency will reduce emissions from fossil fuels
[54, 74]. Folke et al. [116] call for consultations
with communities with local ecological knowl-
edge [116] such as neighborhoods and Aboriginal
Air Pollution Monitoring and Sustainability
networks. Yi et al. [54] comment that sustainable
consumption and production will reduce air pol-
lution, which suggests collaboration with busi-
ness. Agricultural practices are major sources of
air pollution [74], suggesting collaboration oppor-
tunities with the agricultural sector. Further, col-
laboration between air pollution and climate
change mitigation efforts can deal with major air
pollutants that are also contributors to imbalanced
radiative forcing [14, 74] while discouraging the
implementation of climate strategies that increase
air pollution [74]. Failing to collaborate will make
air pollution research more difficult and less
rewarding, while collaborating will open new
areas that will inform monitoring priorities.
Public Involvement Public involvement and
consultation with the general public can be of sub-
stantial benefit to science but are rarely taken advan-
tage of. At some levels, there is an aversion to such
involvement as illustrated by a survey taken by the
British Royal Society which showed that 20% of
scientists believed that those scientists seen to
engage with the public were less well regarded by
their peers [128]. Much value is overlooked when
air pollution scientists do not engage with commu-
nities they intend to monitor, including sophisti-
cated understanding of local sources of air
pollution, how local air pollution changes with
weather, and health effects being experienced
(even if the sophistication of the knowledge is not
of the same kind that air pollution scientists gener-
ally regard as sophistication) [120]. Citizens often
have or believe they have information that monitor-
ing bodies do not have and, even if this information
is incorrect, it may affect the ability to implement
policy based on results from air pollution monitor-
ing [129]. Thus, it is a good idea to at least under-
stand how a community feels about its local air
pollution before policy, and possibly even monitor-
ing campaigns are designed. When communities do
take air quality problems seriously, opportunities
for progress on air quality issues arise [14].
Yearly [129] performed two case studies on air
pollution and public involvement that illustrate the
value of community input. The first was in Shef-
field, UK, where the local government had
implemented a computer model to study the local
Air Pollution Monitoring and Sustainability
air quality. Public consultation showed that the
pubic of Sheffield was not satisfied with the
model [129]. The public criticized the model on
several points, and councilors and researchers felt
that the community’s and citizen’s groups’ com-
ments were much more detailed, reasoned, and
well supported than expected [129]. Comments
were acknowledged by those running the model
as insightful and well founded [129]. Issues added
to the agenda by the suggestion of the citizen’s
groups included an inquiry into the extent to
which the local council was affected by what the
model presented, and consideration of the “value-
for-money” associated with the modeling strategy
[129], as opposed to a pollution mitigation strategy.
The second case study was in Bristol,
UK. Community members were asked to use
markers to develop a color-coded map of Bristol
that would reflect typical air pollution in the city.
Not only was the resulting map a reasonable reflec-
tion of actual air pollution in Bristol, there was
valuable information to be found in a comparison
of Bristol’s air pollution model and the community’s
map in areas where the two disagreed [129]. Both
studies were valuable and acted as a kind of extended
peer review on the policy-related science [129].
Development of scientific material for public
consumption forces scientists to develop under-
standings of other fields, and does not remove
rigor from the work but does demand skill
[130]. Communication with the public is a sus-
tainability issue in that emissions reductions
recommended by the results of monitoring are
easier to implement with an informed public
supporting policies they feel they helped create
[130]. Alternatively, an ill-informed public
can pressure governments to adopt policy for
the wrong reasons, potentially leading to
unsustainable environmental impacts. O’Neill
et al. [117] recommends that research not only
be communicated to the public, but that air
pollution research should be developed in col-
laboration with the affected communities.
Only rarely when scientists are asked about
interaction with the public do they imagine any-
thing other than a public lecture [130]. This mis-
take is an extreme example of the idea that one
way communication is the only way to involve the
413
public. Sather et al. [131] shows that the public
can be directly involved in research activities. The
Sather et al. [131] study covered a large area
(~25,000 km2 of the Dallas-Fort Worth
Metroplex) and help from volunteers, including
volunteer EPA personnel, 4-H club members,
Master Gardeners, and retired farmers, was
required. At each network site, volunteers were
able to correctly operate instruments and collect
data of quality. Such involvement is surely repli-
cable in other settings, would increase the range
and cost-effectiveness of monitoring, and would
have positive impacts on a community’s will to
reduce air pollution. In addition to sharing of
information, public involvement can result in sub-
stantial, competent aid in air pollution monitoring.
Widespread, hands-on public involvement would
be one aspect of a more effective effort to com-
municate risks associated with air pollution to the
public, as called for in Craig et al. [14].
Institutional Changes: Conclusion In order to
accelerate the progress of the air pollution moni-
toring community toward sustainability, there are
changes the monitoring community must make.
Goals must be expanded beyond the conventional
goals of human health, visibility, and documenta-
tion of ecosystem damage. Work must cross the
boundaries of conventional intellectual disci-
plines to further develop the implications of mon-
itoring data and the tools and metrics used in
monitoring. Public involvement will improve
research goals in many cases, bring public support
to air pollution mitigation and, in some cases, aid
the research process itself. Making changes in
these directions will help to promote sustainability
in air pollution monitoring.
Monitoring More Effectively
Changes that can be made to standard monitoring
practice discussed here are based on current trends
or suggested modifications to practices. They
include development of the understanding of
multipollutant impacts, monitoring for universal
consolidated sustainability metrics, improvements
to the use of satellite observations (partially through
new instrumentation), use of design methodologies
for monitoring networks, and removing some of the
414
oversimplifications routinely made in conventional
monitoring. These changes can form initial steps
toward improving the air pollution monitoring
community’s contribution to sustainability.
Multipollutant Monitoring and Science Health
risks from air pollution are almost exclusively
assessed on a single pollutant basis [100]. Health
risks from, for example, ozone, are assessed sep-
arately from health risks from NOx. In reality,
however, people are exposed to many pollutants
at one time. Pollutants can have synergistic effects
that exacerbate health impacts beyond the sum of
the health impacts they would have individually
[100]. Air pollution research and the US EPA are
moving toward multipollutant research and legis-
lation, but available data are inadequate to create
legislative models [100]. To develop the required
data, more and better monitoring, as well as
improved exposure modeling and data processing
are required [100]. The necessary changes will
take time; however, development in this direction
is required for accurate assessment of the health
impacts of air pollution.
Design for Consolidated Sustainability Metrics
Environment Canada’s Air Quality Health Index
(AQHI) and the US EPA’s Air Quality Index
(AQI) are examples of consolidated metrics.
They incorporate a number of data on different
species of pollutants and atmospheric conditions
and weight the importance of these data in the
calculation of a single summative statistic. These
metrics are useful in that they can quickly com-
municate a great deal of information in a form
more easily understood by the public than raw
air quality data [78]. Consolidated metrics can
also change behavior in ways that minimize the
impacts of air pollution, as demonstrated by
AQHI-informed decisions to limit personal
exposure [78].
The Environmental Performance Index (EPI)
is an example of a consolidated metric that can be
used in service of sustainability. The EPI is the a
function of indicators such as urban particulates,
SOx and NOx emissions, water stress, habitat pro-
tection, pesticide regulation, agricultural water
intensity, and GHG emission per capita [131]. It
Air Pollution Monitoring and Sustainability
has been applied to rank countries in terms of the
state and treatment of their environment, and it
can help countries define goals and track progress.
It was created in response to a feeling that the
environmental goals of the United Nations Mil-
lennium Development Goals were poorly defined
and that progress toward these goals was difficult
to quantify [131]. A remedy to these complaints is
exactly what consolidated metrics and monitoring
designed with these metrics in mind can provide.
How well the EPI can describe a country’s envi-
ronmental status is limited by the data available
[131]. The EPI can only incorporate data for
which there is already a strong history and tem-
poral trend, making it difficult to represent
recently recognized sustainability issues. Never-
theless, the EPI provides countries with an evalu-
ation as to where they stand relative to their peers,
a method for tracking progress, and a databased
framework to guide decision making.
The discipline of life-cycle assessment (LCA)
contains many examples of consolidated metrics,
similar to the EPI. LCA method and metrics can
be used in attempts to quantify sustainability
[132]. Eco- Indicator 99, for example, quantifies
the impacts of activities and pollutant releases;
translates these impacts into three metrics related
to health, ecosystem damages, and depletion of
resources; and combines these three metrics into a
single indicator [133]. The weighting systems that
allow LCA methods such as these to combine
disparate data into a single number would encour-
age the quantification of the relative impacts of
various air pollutants. Were that accomplished,
data on different pollutants, pollutants with very
different behavior and effects, could be compared
on the same scale.
Designing air pollution monitoring and moni-
toring campaigns to serve consolidated sustain-
ability metrics means not only providing data for
metrics like the EPI and Eco-indicator 99, but also
developing novel data sets to strengthen such
metrics. Novel data sets would make it possible
for such a metric to be influenced by sustainability
issues for which sufficient data do not yet exist.
Collecting data so that loss of resilience, for exam-
ple, could be incorporated into a metric like the
EPI would encourage nations to take action on
Air Pollution Monitoring and Sustainability
previously ignored sustainability issues and pro-
vide governments with the information necessary
to do so. It must be borne in mind, however, that
there are many pitfalls in the design of consoli-
dated metrics [134], and only a correctly designed
metric will lead to sound decision making.
A standardized set of data for use with widely
accepted consolidated metrics would clarify the
design goals of monitoring campaigns, which is
important to the cost-efficiency of monitoring
[14]. Information derived would be more similar
from campaign to campaign, allowing monitoring
groups to more easily share data. Further devel-
opment of consolidated metrics in the direction of
sustainability and the design of monitoring efforts
to serve this development would allow the air
pollution monitoring community to come to a
consensus on the types of data to be counted in
the metrics and the weighting of these data.
Development of Satellite Observations Satellite
observations can be used in combination with
models and in situ measurements to reduce statisti-
cal uncertainty in estimates [83]. Recent work by
van Donkelaar et al. [90] has made possible the
reliable estimation of long-term average PM2.5 con-
centration based on satellite-derived data. Aerosol
Optical Depth (AOD) measurements made by the
MODIS (Moderate Resolution Imaging Spectrora-
diometer) and MISR (Multiangle Imaging Spec-
trometer) instruments on the Terra satellite were
combined with estimates of aerosol distribution
from the Goddard Earth Observing System chemi-
cal transport model (GEOS-chem). Previously, var-
iations in meteorology, aerosol composition, and
distribution have prevented accurate estimates by
satellite observation beyond small regions, but
with the GEOS-Chem model, reliable estimates
were obtained across all midlatitude areas of the
globe. The concentration estimates with 10 km2
spatial resolution were obtained.
Many epidemiological studies of PM2.5 expo-
sure are limited by a dearth of monitoring data,
and the improved satellite estimates from the van
Donkelaar et al. 2010 work [90], can now provide
some of these needed data [90]. The lack of data is
more pronounced in developing countries, and
these countries often have pronounced PM2.5
415
management problems, making these estimates
particularly useful. van Donkelaar et al. [90] also
suggest that increased satellite coverage could
further improve the identification of temporal or
spatiotemporal trends. In contrast, other recent
attempts to estimate PM2.5 concentrations using
satellite-observed AOD with fine spatial resolu-
tion determined that AOD is a poor tool for
assessing spatial PM2.5 patterns [135],
supporting previous suggestions that current sat-
ellite spatial resolution is not sufficient for the
intra-urban scale [82]. AOD was also found to
contribute little additional information when
incorporated into a predictive model that was
already accounting for land use, emissions
sources, meteorology, and regional variability
[135]. Thus, the most effective role of satellite
data is still being established, but this tool has
the potential to become a valuable and routine
part of air pollution monitoring, providing data
where there otherwise may be few and improving
data where routine rigorous monitoring is taking
place.
Martin [82] reviews the many recent improve-
ments in the application of satellite observations
to assessments of air quality but includes a num-
ber of limitations in obtaining accurate pollutant
concentrations. Limitations included the need for
more ground-level NO2 measurement to validate
satellite-observed NO2 data and difficulty in
obtaining high-quality O3 concentration esti-
mates. Martin’s work asserts that in terms of
instrumentation, air quality monitoring via the
current satellites is at a peak but that substantial
progress could be made with a new generation of
instruments, with more satellites in a variety of
orbits (as opposed to all satellites being in sun-
synchronous orbit as is currently the case). Spe-
cific instrument improvements include a minimi-
zation of pixel size, which will reduce the number
of pixels obscured by clouds. Work that can be
accomplished without additional satellites and a
new generation of instrumentation includes the
improvement of models critical to the interpreta-
tion of satellite observations. Better estimations
from these models will improve information
derived [82]. If the suggested developments can
be made, satellite observations will move closer to
416
delivering spatial and temporal data on a scale that
better relates to ground-level monitoring.
Design Methodologies for Monitoring
Networks
All monitoring techniques, from measurement of
ambient pollution levels to computer modeling,
rely on some assumptions and estimates in the
assessment of pollutant concentrations, exposure
to pollution, risk, and damages from pollution.
Sophisticated design methodologies for monitor-
ing networks and campaigns have been developed
to ensure that the uncertainties are minimized.
These methodologies help to ensure that the
most useful information can be extracted from
what are often limited data.
Established design methodologies include
kriging, the use of indices of multivariate effec-
tiveness [136], and the location-allocation method
[137]. Each method requires an established area to
be monitored and attempts to optimally cover that
area with a given number of monitoring stations.
Kriging involves placing monitoring stations such
that mean square prediction error is minimized
[137]. The method employing indices of multivar-
iate effectiveness is based on Shannon’s [138]
information theory, as used by Silva and Quiroz
[136] which tests various configurations of mon-
itors to optimize the information content of data
collected. The location-allocation method begins
with the creation of a “demand surface,” a surface
representing the area to be studied, with higher
demand areas represented by peaks in the surface.
Values on the demand surface are increased by
variability in pollution concentrations and by
proximity to sensitive populations [137]. To
inform the demand surface, an initial pollution
surface (representing the distribution of pollution
over an area) must exist based on previous or
ongoing monitoring. Once the demand surface is
finalized, monitoring stations can be placed at the
highest demand locations in the area.
Design methodologies for monitoring net-
works and sampling campaigns are a relatively
new development, with many previous networks
and campaigns set up in a subjective manner.
However, past campaigns and networks lacking
Air Pollution Monitoring and Sustainability
rigorous design principles have been effective in
that they led to the first generations of information
and significant discoveries relating to air pollution
(and thereby led much of the effective legislation
on air pollution). Further, these campaigns pro-
vided information that is necessary for the imple-
mentation of some of the newer design
methodologies such as the location-allocation
methodology, and they have brought the state of
air pollution science to the point where monitor-
ing system design methodologies can be created.
However, now that design methodologies have
been established, their routine employment can
improve the information content of monitoring
data and the cost-effectiveness of monitoring
efforts.
Overcoming Oversimplifications in
Monitoring
Often, the practicalities of air pollution monitor-
ing necessitate compromises in aspects such as
increased time resolution, assumptions about pop-
ulation behavior, and assumptions of relative uni-
formity over areas. As methods become more
sophisticated, some of these assumptions can be
eliminated.
Conventional studies usually assume that the
basis of exposure to air pollution is the concentra-
tion in a given location, often outdoors. However,
people move through various exposure situations
in their daily lives, from indoors to “hotspot”
intersections and through areas of differing land
use. A dynamic activity-based population model
has been suggested to develop a more realistic
sense of actual individual exposure [139]. Use of
this model captures exposure resulting from peo-
ple’s travel in and out of urban areas, rather than
assuming a constant number of people within
cities, as has been the case in conventional studies
[139]. Beckx et al. [139] use of this model showed
that conventional static modeling of exposure is
underestimating population exposure to air
pollution.
Some very small areas in cities, such as high
traffic intersections, can have much higher pollu-
tion concentrations than the bulk concentrations
in the wider area being monitored through con-
ventional means. Gokhale and Khare [140]
Air Pollution Monitoring and Sustainability
discuss a model for determining the likelihood of
air pollution concentration exceedances over
norms at intersections and other areas, where
exceedances are likely. The model provides the
opportunity to probabilistically manage air pollu-
tion on a very fine spatial scale by designing for a
minimization of exceedances. Models such as
those of Beckx et al. [139], Burke et al. [141]
and Gokhale and Khare [140] can provide means
for addressing some of the simplifying assump-
tions in air pollution monitoring. Since their
approaches primarily involve modeling, they
need not increase the cost of air pollution man-
agement excessively.
Monitoring More Effectively: Conclusion
There are a number of changes to air pollution
monitoring suggested in the literature and, in
many cases, already under way. These changes,
the development of multipollutant science, moni-
toring for consolidated metrics, improvements to
satellite-based monitoring, using monitoring net-
work design methodologies, and dealing with
routine oversimplifications will improve the oper-
ation of the monitoring community and the quality
of results. Information, as a common first step
toward sustainability and a necessary support for
sustainability policy, will help the air pollution
community serve sustainability. Hopefully, these
changes will be only the first set of changes in a
more fundamental shift toward sustainability.
Conclusion
Air pollution is often seen as a negative but
unavoidable consequence of human activity.
While air pollutants are well classified and there
are a number of commonly recognized problems
they create, including negative impacts on human
health, environmental damage, and economic
losses, the establishments designed to mitigate
these problems often have a mandate to also pur-
sue sustainability.
The recommendations made herein regarding
a shift toward sustainability are largely com-
plimentary. Pursuing one of the goals described
would serve other sustainability goals. That
417
complementarity may be one of the most convinc-
ing arguments that these goals actually will pro-
mote sustainability. While sustainability is
difficult to define, it must connote that solutions
to one problem do not exacerbate other problems,
but contribute to other solutions.
Holism, then, must be an aspect of sustainabil-
ity, and the lack of holism in the current air pollu-
tion monitoring community may underlie its
current shortcomings. Not only is there a need
for more holistic viewpoints encompassing ideas
from other intellectual disciplines, but there is a
need for air pollution mitigation to go beyond
promoting primarily technology-based solutions
to only the immediate impacts. Solutions offered
today do not address all aspects of the air pollution
problem.
To a very large extent, the lack of holism is not
a function of a failing of the air pollution moni-
toring community, but a result of that community
having strategically chosen battles in the past.
Dockery [44] shows how hard advocates of air
pollution mitigation were forced to struggle for
any political action on air pollution in the early
days of air pollution science, and how the battles
were won by presenting irrefutable, solely techni-
cal and solely scientific evidence proving the very
immediate and anthropocentric effects of air pol-
lution. It is only now that less obvious, though
arguably more dire, effects on humans, the sys-
tems they rely on for sustenance, and on non-
human stakeholders are gaining more than a
slight foothold within the political agenda.
Dockery [44] also shows the great extent to
which the burden of proof was on those trying to
defend people and ecosystems from the damages
of pollution, and not on the polluters. This burden
is still in place, and problems must be proven in
terms polluters cannot ignore, such as dollar fig-
ures and mortality. To a large extent, evidence will
need to continue to be in these terms, and moni-
toring must be expanded in volume, scope, and
abilities to continue to prove the damages from air
pollution in the normally accepted terms. How-
ever, the body of evidence will be more compel-
ling and complete if the terms are expanded to
include goals discussed in this chapter. The terms
have been set as a reaction to refusals of those
418
challenging the need for, or priority of, air pollu-
tion management, and reactionary strategies do
not promote sustainability. If monitoring con-
tinues in this way, sustainability will remain elu-
sive. If monitoring is performed to serve
sustainability, sustainability will be served.
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 band. This gap is called the bandgap. Electrons
Low-Cost Sensors for Indoor and may be thermally excited from the fully occupied
Outdoor Pollution band into the unoccupied band, resulting in lim-
ited conductivity; the solid is then a semiconduc-
Louise Bøge Frederickson1,2, tor. A solid with a large bandgap is an insulator
Emma Amalie Petersen-Sonn1, Yuwei Shen1, and with no bandgap, a conductor. The top of the
Ole Hertel3, Youwei Hong4, Johan Schmidt2 and occupied states is called the Fermi level [1].
Matthew Stanley Johnson1,2 Dynamic range The range of performance of a
1
Department of Chemistry, University of sensor: the analyte concentration range
Copenhagen, Copenhagen, Denmark between the highest observable concentration
2
Airlabs, Copenhagen, Denmark and the detection limit [2].
3
Department of Environmental Science, Aarhus Explosion range and limits The explosion
University, Roskilde, Denmark range specifies the concentration range of a
4
Institute of Urban Environment, Chinese species in air, over which a given compound
Academy of Science, Xiamen, China can burn or explode. This range extends from
the lower to the upper explosive limit and is
often given in % v/v. The lower limit is defined
Article Outline as the lowest concentration where a vapor or
gas will burn or explode, whereas the upper
Glossary limit is the highest concentration at which the
Definition gas or vapor will burn or explode [3, 4].
Introduction Exposure limit The specified threshold of peak
MOx Sensors concentration, or average concentration for a
Optical Sensors certain period, for a hazardous substance, that a
Electrochemical Cells person can be safely exposed to without endan-
Electrochemical Cells and Metal Oxide Sensors gering health. The exposure limit assures
Comparison Between MOx, Electrochemical, and workers’ occupational health and is often
Optical Sensors expressed as an 8 hour time-weighted average
Personal Exposure Monitoring and Installations concentration [3–5].
in the Field MOF Metal-organic frameworks (MOFs) are
Calibration crystalline compounds consisting of metal
The Future: Smart Cities and New Materials ions or metal clusters, which are linked by
Conclusion organic ligands in a regular pattern to form
Bibliography 3D structures with pores [6].
Nanowire A nanowire is a highly conducting
Glossary nanostructure with a diameter in nanometers
[7, 8].
Band gap A solid will have a density of electronic Resolution Resolution can be used in several
states as a function of energy. For example, a senses. First, the temporal resolution of a sen-
certain solid may have a band of fully occupied sor is not the data sampling rate but rather the
states, a gap or energy range in which there are minimum time for a meaningful measurement,
no states, and at higher energies, an unoccupied whether defined by the response time or the
averaging time to get a reasonable signal to
Louise Bøge Frederickson and Emma Amalie Petersen- noise. Spatial resolution refers to the density
Sonn contributed equally. of measurement sites. Measurement resolution
© Springer Science+Business Media, LLC, part of Springer Nature 2021 423
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_1084
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2019, https://doi.org/10.1007/978-1-4939-2493-6_1084-1
424
is defined as the lowest concentration differ-
ence that can be distinguished by a sensor [2].
Response time The characteristic time it takes
for a sensor to respond to a perturbation [2].
Semiconductor A semiconductor is a crystalline
or amorphous substance with a fully occupied
valence band and an empty conduction band,
and an electrical conductivity that increases
with increasing temperature [1]. Semiconduc-
tors have a band gap between the valence and
conduction bands that can be overcome by
thermal excitation. There are two types of
semiconductors: intrinsic and extrinsic. An
intrinsic semiconductor has a naturally small
band gap. When an electron is excited into the
conduction band a hole is left in the valence
band; the electron and hole are mobile and
conduct current. In contrast, an extrinsic semi-
conductor is not semiconducting in its pure
state but becomes semiconducting through
the addition of impurities (“dopants”) with ele-
ments that may have a deficit or excess of
electrons relative to the main compound.
There are thus two types of extrinsic semicon-
ductors, p-type (positive charge doped) and
n-type (negative charge doped). For example,
a P atom (group V) in a Si crystal (group VI)
has an extra electron that can enter the Si con-
duction band making a n-type extrinsic semi-
conductor; an Al dopant (Group III) would
yield a p-type. Semiconductors are used as
gas sensors because oxidizing or reducing
gases change the population of the conduction
band, changing the conductivity. Reducing
gases (e.g., NH3, CO, H2) lead to an increase
in conductivity for n-type and a decrease for
p-type, and the reverse for oxidizing gases
(e.g., NO2, O3, Cl2) [9].
Sensor A sensor is a device that transforms
chemical information into an analytically use-
ful signal [10].
Sensor Node A sensor node is an instrument that
may contain several sensors, a control and data
processing system, and power management.
Space charge A high density of like charges has
a high space charge; Coulombic repulsion
limits the ultimate charge density in a given
space. The charge density poses a fundamental
Low-Cost Sensors for Indoor and Outdoor Pollution
limit to the performance of semiconductors and
sensors as there is only a certain concentration
of holes or free electrons that can be pressed
into a certain volume without paying an unac-
ceptable energy penalty [11].
Definition
Low-cost sensors for monitoring indoor and out-
door air pollution have been developed and are
available commercially. This entry describes the
function and performance of the most common
low-cost sensor technologies. Target pollutants
include particulate matter (PM), CO2, NO2, O3,
CO, VOC, SO2, and N2O. Three different types of
low-cost sensors are considered: Metal oxide
(MOx) sensors, optical sensors, and electrochem-
ical cells. The basic principles, fields of applica-
tion, and performance of the sensor types are
detailed in order to contrast and compare them.
The devices are compared on the basis of param-
eters such as sensitivity, selectivity, stability, cost,
power consumption, and life cycle. Examples of
installations in the field and for personal exposure
monitoring are described. Finally, we consider
future developments in the areas of smart cities
and new materials such as nanowires and MOFs.
Introduction
In the beginning of the nineteenth century, many
technologies we have today were not available. At
that time, canary birds (Fig. 1) were commonly
used in coal mines to sense when the concentra-
tions of toxic gases in the air had reached a haz-
ardous level. Canaries are well-known to be more
sensitive to dangerous gases than humans. The
canary birds are especially good at sensing carbon
monoxide (CO), which is colorless and odorless,
and if a bird died, the miners knew they should
evacuate from the mine immediately. The birds
became an integrated part of mining culture, and
some were treated like pets. In some cases, mice
were used to indicate the presence of harmful
gases. These animals most likely saved the lives
of many miners [12].
Low-Cost Sensors for Indoor and Outdoor Pollution
Low-Cost Sensors for Indoor and Outdoor Pollution,
Fig. 1 A typical canary bird
Today, we have inexpensive sensors to detect
gases and particles in indoor and outdoor environ-
ments. For example, some models of cars now
come equipped with low-cost sensors in the ven-
tilation system to detect pollutant levels in the
incoming air. This information is useful for con-
trolling the ventilation system and reducing expo-
sure when the vehicle is driving on polluted streets
in tight traffic. When high pollutant levels are
detected, the car shifts to recirculation, reducing
pollution exposure for the driver and passengers.
Low-cost sensors are becoming more specific,
accurate, and useful, and with their increasing
utility in new applications, the demand for effec-
tive low-cost sensors is increasing [12].
The development of a new generation of small,
portable, low-cost sensors and sensor nodes has
been rapid in recent years, although they are typ-
ically less accurate than conventional instruments.
However, high precision is not always important,
as in the example of ventilation in cars where the
sensor only needs to detect whether pollution
levels are high or low. There is also a value in
the speed and density of monitoring promised by
low-cost sensors, potentially providing high tem-
poral and spatial resolution, respectively.
425
As sensors become smaller, more accurate, and
cheaper, they are finding use in an increasing
number of applications, beyond the traditional
areas of mining and industry. Low-cost sensors
are unlikely to replace conventional instruments
for accurate measurements of well-mixed gases in
the atmosphere such as CO2 (with the exception of
variable CO2 levels in buildings) but could be
particularly useful for measurements of short-
lived pollutants with sources inside cities, such
as NO2, PM, and O3. In addition to poor time
resolution, current pollution monitoring networks
are expensive (maintenance, staff, instrument
cost, and space), and cities have too few monitor-
ing sites to create an accurate map of a city.
A detailed time-dependent pollution map would
be extremely useful in pollution control efforts, to
pinpoint sources and exposure hot spots and help
evaluate remediation strategies. For instance, in
urban areas in the USA, there are only ~2–5
sensors per 1000 km2 or per one million people
[13]. A network containing low-cost sensor nodes
could have orders of magnitude more sites with
greatly improved time resolution, and so provide a
pollution map with far higher temporal and spatial
resolution. This map could be combined with a
map of population density to visualize pollution
exposure throughout the day. Such a sensor net-
work could thereby be a great improvement on
today’s measurements and estimates of pollution
exposure. Anchoring this network to reference
sensors would also aid in calibration and improve
accuracy. Accurate, widespread, low-cost sensor
networks are just starting to become a reality and
there is massive potential for their widespread use
[14, 15].
Low-cost sensors promise to be a vital tool for
monitoring both the personal exposure of individ-
uals and the pollution observed at specific loca-
tions. These locations could be emissions sources
(livestock barns, construction sites, factories,
pipelines, etc.) or along trafficked routes
(highways, shipping lanes, etc.), or polluted
areas (ports and industrial parks, neighborhoods,
etc.) Previously, passive sampling methods have
been used with some success for personal expo-
sure measurements, but this approach signifi-
cantly lowers the temporal resolution of the data
426
recorded [16]. Accurate, wearable sensors have
the potential to give much higher quality data in
this respect. Increased temporal and spatial reso-
lution mean specific exposure modes (e.g.,
“morning commute”) can be distinguished. The
advent of low-cost sensor technologies also
means that new applications can be developed.
These could be in areas such as adding sensors
to drones for remote sensing campaigns, and the
production of “smart” billboards that can measure
and display pollution levels, increasing awareness
for citizens [17–19].
The United Nations (UN) has defined its vision
for the future in the Sustainable Development
Goals [20]. The 11th goal is “Sustainable Cities
and Communities.” Low-cost sensors can help cre-
ate more sustainable environments by providing
information that can promote sustainable govern-
ment policies and healthy individual behaviors in
daily life. Government policies could include emis-
sions controls on vehicles and factories, planting
green zones, choosing energy infrastructure, and
changing traffic patterns. Individuals could choose
to ride a bicycle instead of driving car, insulate their
homes, drive low emissions vehicles, and avoid
candles and wood stoves. Low-cost sensors can
contribute by being used to detect wildfires, gas
leaks, and other public safety events, giving an
early warning to authorities and helping to locate
the source of the event. Sustainable Development
Goal number 13 is “Climate Action” and point
13.2 says that society needs to “Integrate climate
change measures into national policies, strategies
and planning.” By supplying leaders and citizens
with information about air quality, sensors are a
powerful tool for identifying the problem that
needs to be solved, for example, by characterizing
fugitive emissions, and documenting that solution.
The data provided can be implemented in political
goals and strategies [20].
Humans are adversely affected by exposure to
air pollution, resulting in exposure limits and leg-
islation for specific pollutants. Exposure limits
take different forms, for example, peak exposure,
or average exposure over an 8 hour period or a
year. Specific examples of uses for low-cost sen-
sors with individual pollutants and their main
effects are detailed in Tables 1 and 2.
Low-Cost Sensors for Indoor and Outdoor Pollution
The Three ‘S’s: Sensitivity, Stability, and
Selectivity
The sensitivity of a gas sensor is defined as the
change of measured signal per change of analyte
concentration. Sensitivity is sometimes confused
with the limit of detection, which is the lower limit
of analyte concentration the sensor can detect under
certain defined conditions [38]. The stability is the
ability to produce consistent results over a defined
period or change in conditions, for example, temper-
ature or humidity. (A related metric is the recovery
time, the time the sensor signal uses to return to its
initial value after a perturbation [2].) A further dis-
tinction is made between “active” and “conservative”
stability. Active stability depends on the sensor’s
ability to give reproducible results during operation
under variable conditions. Conservative stability
describes the ability of the sensor to retain its sensi-
tivity and selectivity after storage [38]. The final “S,”
selectivity, is based on whether the sensor responds
to a group of analytes or a specific species [38].
We will use the example of metal oxide gas
sensors to illustrate sensitivity, selectivity, and sta-
bility. These sensors typically contain a sensitive
layer, a substrate, electrodes, and a heater. Transduc-
tion of the chemical signal to an electronic signal
occurs by the following process. In granular metal
oxides, Schottky barriers (an electrostatic depletion
layer formed at the junction) form at grain bound-
aries as a result of the depletion layer [38]. The
depletion layer is a region created when n-type and
p-type materials are placed in contact. The concen-
tration of current carriers is reduced in this region,
and their electrical conductivity becomes very sen-
sitive to minor perturbations, for example, the pres-
ence of an electron donor (Lewis base) or electron
withdrawing (Lewis acid) species adsorbed on the
surface [10], or space-charge effects [11]. The
Schottky barrier height describes the resistance to
electron transport across the interface [39].
For example, suppose that molecular oxygen
adsorbs on the surface. By doing so, it traps an
electron, changing the concentration of current
carriers in the depletion region. At higher temper-
atures, between 100
C and 500
C, ionized
molecular oxygen and atomic oxygen are present
at the surface, with unique effects on the depletion
region.
Low-Cost Sensors for Indoor and Outdoor Pollution 427

Low-Cost Sensors for Indoor and Outdoor Pollution, Table 1 Pollutants with their exposure limit and explosion
limit in % v/v
Pollutant Exposure limit Explosion limit (% v/v) Reference
PM2.5 1 year 25 mg/m3 ECa
PM10 24 h 50 mg/m3 ECa
1 year 40 mg/m3
SO2 1h 134 ppb ECa
24 h 48 ppb
NO2 1h 106 ppb ECa
1 year 21 ppb
CO 8h 0.0087 ppb 12.5–74 [21] ECa
O3 8h 61 ppb ECa
H2S 8h 5 ppm 4.3–4.6 [4] ECb
CO2 24 h 1000 ppmc BR d
CH4 8h 1000 ppm 4.5–15 [4] NIOSHe
N2O 8h 25 ppm NIOSHe
As 1 year 0.002 ppb ECa
Cd 1 year 0.001 ppb ECa
Ni 1 year 0.008 ppb ECa
Pb 1 year 5 ppb ECa
Formaldehyde, CH2O 8h 40 ppb 7.0–73 [4] WHOb
1h 100 ppb
Toluene, C7H8 24 h 0.6 ppm WHOb
8h 4.0 ppm
Naphthalene, C10H8 24 h 1.9 ppb WHOb
Benzene, C6H6 1 year 1.6 ppb ECa
a
European Commision [22, 23]
b
World Health Organization [24, 108]
c
Note that CO2 itself is not hazardous at these levels, but rather it is used as an indicator of poor ventilation
d
Bygningsreglementet, the Danish Building Code, Denmark [25]
e
The National Institute for Occupational Safety and Health, USA [21]

The conductance is limited by the Schottky
barrier for large crystallites, where the grain size
is D >> 2L. Here, L is the thickness of the deple-
tion layer. When the crystallites are larger than 2L,
the sensitivity is basically independent of D. When
the grains become smaller, gas sensitivity becomes
size-dependent. Experiments show that nanostruc-
tured metal oxides have a large increase in sensi-
tivity when the grain size is reduced to a few
nanometers. Sensitivity can also be changed by
adjusting the microstructure and porosity. Several
metal oxides show an increase in gas sensitivity
with porosity. Another strategy is to dope the sur-
face. By distributing a low concentration of a com-
pound like Pd, Pt, or Au, the sensitivity can be
considerably improved. Furthermore, doping the
surface with metal nanoparticles influences the
selectivity of the sensors [38]. Stability is an issue
for metal oxide sensors, and this leads to uncertain
results and false alarms, and these sensors often
need to be recalibrated or replaced frequently. The
stability can be somewhat increased by calcination
and annealing [38].
It is important to consider the minimum detect-
able signal, which depends on the signal-to-noise
ratio (S/N). To describe the optimization of signal-
to-noise ratio, a system consisting of an amplifier
A0 is considered, see Fig. 2. The amplifier has
voltage and current noise terms which are inde-
pendent of each other; where nn and in represent
the rms voltage and current noise per Hz½.
The signal-to-noise ratio can be expressed as
the signal, ns, divided by the total output voltage
[40]
428 Low-Cost Sensors for Indoor and Outdoor Pollution

Low-Cost Sensors for Indoor and Outdoor Pollution, Table 2 Pollutants and their sources with their applications
and main effects
Pollutant Sources [26] Low-cost sensor applications Main effects [24]
CO2 Respiration Elevated indoor concentrations in offices Health: Drowsiness, headache,
Fossil fuel and schools [27] sleepiness, loss of concentration and
combustion Firefighter personal exposure [28] attention, increased heart rate and
Industrial tremor
processes Indicator for indoor air quality
Transportation Climate
Deforestation
Degradation of
soils
Land clearing for
agriculture
NO2 Intrusion of City pollution mapping, personal Climate: Acid rain, tropospheric
stratospheric exposure for professional drivers [29, 30] chemistry
nitrogen oxides Health: Asthma, eye irritation, allergic
Bacterial and responses
volcanic action
Lightning
Fossil fuel
combustion
Biomass and
biofuel
combustion
O3 Photolysis on City pollution map, personal exposure Tropospheric chemistry
NOx and VOCs [29–31] Health: Eye irritation, exacerbates
respiratory conditions
PM, Power plant City pollution map, personal exposure for Climate: Acid rain, changing the
PM10, Industrial cyclists [29–31] nutrient balance, depleting the nutrients
PM2.5 processes in soil, affecting the diversity of
Vehicular traffic ecosystems, damaging forests and farm
Domestic coal crops
burning Heath: Nonfatal heart attacks, irregular
Industrial and heartbeat, asthma, decreased lung
municipal waste function, irritation of the airways
incinerators
Volcanoes
Dust storms
CO Incomplete Indoor use, personal occupational Climate change
combustion of exposure [28, 32] Health: Dizziness, confusion,
carbonaceous unconsciousness and death
engines
Industrial
processes
Power plants
using coal
Waste
incinerators
Oxidation of
hydrocarbons
Plants
Oceans
(continued)
Low-Cost Sensors for Indoor and Outdoor Pollution 429

Low-Cost Sensors for Indoor and Outdoor Pollution, Table 2 (continued)

Pollutant Sources [26] Low-cost sensor applications Main effects [24]
VOC Agriculture City pollution map, personal occupational Climate change
Woodlands exposure, e.g., painters, traffic police, Health: Nose, eye, and throat irritation,
Volatile parking attendants [33]. Shipping loss of coordination, headaches, damage
consumer container and new building monitoring to kidney, liver, and central nervous
products [34] system, cancer
General solvent
use
Transportation
Printing/surface
coating
Industrial
Residential
SO2 Combustion of Monitor ports and shipping routes, Climate change, acid rain
sulfur- monitor volcanoes [35] Health: Irritates the skin and membranes
containing fossil of the nose, eyes, and lungs
fuels
Volcanoes
N2O Agriculture Agricultural emission monitoring [36, 37] Climate change
Fossil fuels Health: Vomiting, headache, increased
combustion sleepiness, and excessive sweating or
Industrial shivering
processes
Biomass burning
Atmospheric
deposition
Human sewage

Low-Cost Sensors for

Indoor and Outdoor
Pollution, Fig. 2
Amplifier and signal source
ns with noise sources nn and
in [40]

ns quickly information can be transmitted over a

S=N ¼ qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffipffiffiffiffiffiffi
4kT Rs þ n2n þ ðin Rs Þ2 Df
where k is Boltzmann’s constant, T is absolute
temperature, Rs is output impedance, and Df is
the frequency bandwidth in Hz. This formula
clearly shows that the signal-to-noise ratio can
be improved by reducing T, Rs, and Df.
The Shannon-Hartley theorem [41] defines the
channel capacity, C, which is a measure of how
communication channel in bits per second, and
is expressed as [42]
C ¼ B log2 ð1 þ S=N Þ
B is the bandwidth of the channel in Hz.
There are several methods for modeling sen-
sors’ noise, but the simplest technique is the Allan
Variance method which was proposed in 1966 by
430 Low-Cost Sensors for Indoor and Outdoor Pollution

Low-Cost Sensors for

Indoor and Outdoor
Pollution, Fig. 3 Sample
plot of Allan variance
analysis results [43]

σ(τ)
Qu p
m
an ra
t. e
no rat
ise ift
Dr
Ang te
ran
dom le Ra walk
wal o m
k Bias instability rand

David Allan. The method was initially a variance

analysis method for the study of the stability of
oscillators and atomic clocks; however, due to
their functional similarity to sensors, the method
has been adapted to characterize random drift for a
variety of devices [40]. The Allan Variance pre-
sents the root mean square (RMS) random drift
error as a function of averaging time [40], which
means it helps to identify error sources and their
contribution to the overall noise statistics in sen-
sor data. There are five basic noise terms, which
are angle random walk, rate random walk, drift
rate ramp, bias instability, and quantization noise,
see Fig. 3 [44]. Mathematically, the Allan vari-
ance is defined as [43]

Low-Cost Sensors for Indoor and Outdoor Pollution,

1 D 2 E Fig. 4 Allan variance analysis for an NDIR (K30) CO2
1
s2O ðtÞ ¼ ðOkþ1  Ok Þ2 ¼ Okþ1  Ok sensor in study [45]
2 2

To check the data sampling rate effect, differ-

which is related to the power spectral density
(PSD) of the intrinsic random processes, SO(f),
by [43]
Z data. Cross-sensitivity is when the sensor
1
sin4 ðpf tÞ
s2O ðtÞ ¼ 4 SOð f Þ
0 ðpf tÞ2
Since PSD amplitudes depend on the resolu-
tion bandwidth, a function of sampling rate, the
sampling rate affects the Allan variance results.
A typical theoretical Allan variance plot is shown
in Fig. 3. Quantization noise is the most important
source of variance over short time scales and drift
is most important at long time scales, etc.
ent rate data sets should be collected for the sys-
tem. It is also important to be aware of potential
cross-sensitive compounds when interpreting
responds to gases other than the target gas
df
[40]. An example of a real-life Allan deviation
analysis (the square root of the variance) is
shown in Fig. 4, where a non-dispersive infrared
(NDIR) CO2 sensor (model K30) is introduced to
air from a high-pressure cylinder of a constant
CO2 concentration with averaging times between
10 s and 1000 s. According to this analysis, the
optimum averaging time, when the Allan variance
is at a minimum, is approximately 3 min; longer
averaging times do not reduce the noise [45, 109].
Low-Cost Sensors for Indoor and Outdoor Pollution
Factors Affecting Sensitivity and Stability
Depending on the point of measurements, meteo-
rological factors such as wind speed, pressure,
humidity, and temperature will affect the sensitivity
of a sensor, more precisely the baseline and sensor
gain. This can be corrected quite precisely using
generic data from the manufacturer describing how
the temperature, humidity, etc. affect the sensor
signal. For low-cost sensors, such calibrations can
be more complex as these kinds of sensors are
often used in mobile applications. Given that the
aim is to monitor ambient air concentrations, a low-
cost sensor must be able to operate in both cold and
hot weather posing a challenge for manufacturers
of these sensors. Many applications therefore
require continuous calibration, since a given cali-
bration may only work for one location, for a
limited time [46]. Some low-cost sensors must be
re-calibrated every month or even every week. This
is also due to their low stability leading to sensor
aging [47].
Especially when ppb sensitivity is needed and
for conditions with large temperature variations, a
better correction than what the manufacturer
offers may be required. Such a situation can be a
challenge for low-cost sensors, as data processing
may be highly resource demanding. If not done
correctly, monitoring the other variables and
correcting onboard can create a large uncertainty.
The calibration procedure may cause false results,
also as many low-cost sensors are made by
smaller companies where the sensors are not reg-
ulated properly [48]. Many users find that manu-
facturer calibrations will never be sufficient for
ambient air measurements, since there is a sub-
stantial difference between laboratory measure-
ments and ambient air measurements with
interference from other gasses.
Improvements to S.S.S
Sensitivity, stability, and selectivity are the key
parameters for sensor performance and for low-
cost sensors to become more prevalent, improve-
ments must be made in these areas.
For instance, when metal oxide sensors are
used for gas measurements, filter materials can
be incorporated into the sensors in a number of
ways. This may be done to improve the sensitivity
431
of gas sensors as for when pre-concentrators are
used. These may take the form of metal-organic
framework (MOF) based filters that can reversibly
adsorb the target gas over a period of time, before
releasing it as a concentrated burst when heated,
enabling the sensor to effectively operate at lower
limits of detection and with increased sensitivity
[49]. As mentioned above, however, there is often
a trade-off; one sensor parameter is improved at
the cost of another. Pre-concentration is an exam-
ple of improving sensitivity at the cost of a lower
sampling rate. Depending on the application, this
approach is still valuable since loss of perfor-
mance may not necessarily be detrimental. For
instance, low selectivity is not an issue for sensors
in highly controlled industrial environments, but a
high sampling rate may be key for safety, whereas
for atmospheric measurements of well-mixed
gases, temporal resolution is a lower priority and
the need for sensitivity is high.
As mentioned above, metal oxide sensor
response can degrade over time, for instance,
due to poisoning of the metal oxide or physical
degradation causing a drift in the signal [50, 51]. If
trained personnel are needed to frequently
recalibrate sensors, then they are no longer a
low-cost option. However, the loss of stability
may in some cases be compensated by including
a high efficiency filter in the sensor system. If the
sample flow is periodically passed through a filter,
which removes the target gas, then the zero offset
can be reset, and the sensor effectively
recalibrated. Automatic calibration, without the
need for trained operators, is one key to low-cost
sensors becoming viable as an accurate, cost-
effective source of data.
To improve the selectivity of metal oxide sen-
sors, an array of sensor nodes can be operated in
combination. As described, metal oxide sensors
operate by measuring the change in resistance of a
metal oxide semiconductor when free-electrons
are removed by oxidizing gases. This means that
oxidizing gasses like O3 and NO2 can be difficult
to distinguish. If a filter that selectively removes
one of these gases is included in the sample
stream, then the sensor node’s response to indi-
vidual pollutants may be distinguished [52]. Alter-
natively, metal oxide sensors synthesized with
432
different metals can be included in an array, each
will react differently to individual pollutants,
increasing the dimensions of the signal response.
MOx Sensors
Metal oxide-based sensor nodes have many
advantages: low cost of fabrication, a simple
structure, inertness and stability, robustness in
their applications, and an ability to adapt to a
great variety of gases. However, there are still a
number of basic problems that need to be solved.
Metal oxide semiconductors have for many
years been based on SnO2. In more recent studies,
other metal oxides have been examined closely
for their properties as gas-sensing materials. The
detection process hinges on the change in oxygen
concentration at the surface, which is generated
from adsorption and heterogeneous catalytic reac-
tions of both oxidizing and reducing species from
the gas phase. The conductivity of the semicon-
ductor depends on the species in the atmosphere
and on the temperature of the sensing element.
The signal that is produced is strongly dependent
on the temperature. Most sensors have a heater
attached beneath the sensor which can be used to
heat and thereby regenerate the sensor. Usually,
regeneration is affected at temperatures 50
C
higher than the highest temperature for operating
the sensing device [53].
The metal oxide semiconductors that have the
highest sensitivities to molecules adsorbed on
their surface, and similarly, to gas phase concen-
trations, are the materials with predominantly
ionic bonding (CdS, ZnS, etc.), although these
semiconductors usually have low chemical and
thermal stabilities [54]. There are four main
approaches for increasing the selectivity of semi-
conductor sensors. The first is to use filters or
chromatographic columns to separate gases
based on their physical properties. The second is
using catalysts, promoters, or other compounds as
surface additives. The third is to modify the phys-
ical preparation of the material. The fourth is to
characterize the short-term response of the sensor
to changes in concentration or temperature [55].
Low-Cost Sensors for Indoor and Outdoor Pollution
Electronic Structure
A wide variety of electronic structures can be
found in metal oxide semiconductors. The struc-
tures can be divided into two main categories:
transition metal oxides and non-transition metal
oxides. The latter can be subcategorized into the
pre-transition metal oxides and post-transition
metal oxides. The non-transition metal oxides
have a common s- and p- symmetry in the valence
orbitals, and for the transition metal oxides, the d-
orbitals play an important role. Usually the energy
difference between a cation dn and a dn + 1 or dn-1
configuration is small, and so the transition metal
oxides often have several stable compositions and
electron configurations. This can result in a high
defect concentration, which leads the transition
metal oxides to have a very complicated bulk
and surface chemistry.
Transition metal oxides used in gas sensors
have d0 or d10 configurations. Post-transition
metal oxides have cations with filled d10 configu-
rations. The most common are ZnO and SnO2.
Transition metal oxides, such as TiO2, V2O5, and
WO3, have a d0 configuration [54].
Sensing Mechanism
The function of the sensors is based on the shift in
equilibrium that takes place when oxygen is
chemisorbed on the surface, due to a presence of
a target gas. When oxidizing gases encounter the
sensor, the gas species acts as an electron accep-
tor, which results in a resistance increase in n-type
semiconductors and a resistance decrease in
p-type semiconductors. There are two main
models use to explain how metal oxide detectors
function. The first is ionosorption and considers
space-charge effects or changes in the electric
surface potential that are induced when gas
adsorption, ionization or redox reactions take
place. Ionosorption is the chemisorption of ions.
Chemisorption is adsorption where the involved
forces are valence forces, which are the same kind
as those operating in the formation of chemical
species [56]. The other model concerns oxygen
vacancies which react with gas molecules, and it
considers the variation of the subsurface/surface
oxygen vacancies and their reduction-reoxidation
Low-Cost Sensors for Indoor and Outdoor Pollution
ability, which may lead to changes in the oxygen
stoichiometry [9].
The metal oxide surface is usually a thin film of
an oxide of a transition or heavy metal. The spe-
cific metal that is used will depend on the appli-
cation, for example, SnO2 or WO3. The film
overlies a layer of silicon and is heated to
200–400
C (depending on application). The
best performance is obtained using a large surface
area to increase interaction with the gas.
An extensively used gas sensor material SnO2
is. It has well-known advantages that include low
cost and high sensitivity; however, the disadvan-
tages concern lack of stability and selectivity. In
practical applications, several attempts have been
made to overcome these disadvantages, for exam-
ple, by using chromatographic columns to sepa-
rate the components, or by operating at different
temperatures, with different dopants, or by mea-
suring at different frequencies.
For many sensor applications, single crystal
silicon (Si) is an attractive substrate based on its
mechanical stability and the feasibility of integrat-
ing sensing and signal processing electronics on
the same substrate. For chemical sensors, although
Si is merely the substrate, the choice is not always
straightforward. Silicon has a high material cost per
unit area, but this cost can often be offset by the
small feature size that can be achieved. Silicon,
with or without passivating layers, due to its
extreme flatness, relatively low cost, and well-
established coating procedures, often is the pre-
ferred substrate, especially for thin films (Fig. 5).
Low-Cost Sensors for Indoor and Outdoor Pollution,
Fig. 5 This figure shows the energy band diagrams for a
metal with an n-type Si semiconductor contact and a metal
with a p-type Si semiconductor, where EF is the Fermi
433
Sensing Properties
The sensor properties are determined by the recep-
tor function, the transducer function, and the util-
ity factor. The receptor function describes how
each constituent responds to oxygen and target
gases in the surrounding ambient air. The amount
of oxygen adsorbed at this point determines the
sensing properties, and it depends therefore on the
surface area of the sensing material. The trans-
ducer function describes how the response of each
particle is converted into the response of the
device. This is a result of the free carrier transport
mechanism between crystals next to each other.
Usually, a double Schottky barrier model is used
to describe this mechanism. The utility factor is
defined as the degree to which a lowering of the
response takes place as a result of diffusion and
reaction with target gases through pores of the
assembly of crystals [9] (Fig. 6).
Comparison of Different MOx Sensors
Table 3 compares metal oxides as sensors [53].
From Table 3, Fig. 7 and [53], it is seen that
binary oxides with a band gap of 2–4 eV such as
MoO3, Nb2O5, SnO2, Ta2O5,TiO2, ZnO, and WO3
have n-type behavior, whereas other binary oxides
like Co3O4, Cr2O3, CuO, Mn3O4, and NiO exhibit
p-type behavior. Some of the oxides switch
between p-type and n-type behavior under specific
conditions, which could be due to temperature,
presence of a foreign gas in ambient air, or oxygen
partial pressure. The selectivity of a sensor is
related to its ability to respond to a given gas
energy and Fermi level in the semiconductor, EC is the
conduction band edge, EV is the valence band edge, and FB
is the Schottky barrier energy relative to EF [57]
434
n-type semiconductor
receptor
e–
e–
Electron
depletion layer
target gas
p-type semiconductor
receptor
e–
e–
Hole
accumulation target gas
layer
Low-Cost Sensors for Indoor and Outdoor Pollution, Fig. 6 Diagram of the conduction model and gas-sensing
mechanism based on n-type MOSs and p-type MOSs. The figure is based on Ref. [9]
when it is absorbed by the sensing material. In
some cases, this can be achieved more easily by
adding a specific catalyst to the material, since
catalysts modify the band gap; gases with an ion-
ization energy resembling the band gap are prefer-
entially adsorbed. The band gap of the sensing
material determines which compounds the sensor
can detect: the larger the bandgap of the sensing
material, the larger molecules the sensor is capable
of detecting and vice versa, see Table 3 and Fig. 7.
Temperature Cycling
Many properties of a semiconductor sensor depend
on temperature. These include the rates of gas
adsorption and desorption, the rate of decomposi-
tion of reducing gases, and the charge-carrier diffu-
sion length. Furthermore, many of the reactions that
take place on the surface of the sensor are exother-
mic which can change the temperature of the sensor.
Because the sensors themselves and the surface
chemical processes are temperature dependent, the
relationship is complex. Different gases have differ-
ent characteristic conductance-temperature profiles.
Low-Cost Sensors for Indoor and Outdoor Pollution
transducer utility
transducer utility
+
h
Temperature cycling is a method whereby the tem-
perature dependence of the signal is probed repeat-
edly and analyzed to extract useful information, in
particular regarding gas concentrations but also sen-
sor status. This method can improve performance
and in some cases reduce cross-sensitivity
[69]. Temperature modulation has several advan-
tages; it can give a specific signature for each gas
present, and cycles to higher temperatures can be
used to clean the surface. In addition, the informa-
tion gathered from modulation can give improved
sensitivity. There is likely to be a maximum in
sensitivity linked to the shape of the conductance
versus temperature curve [55].
One study examined sensor performance for
quasi-continuous temperature cycling. In this
study, the temperature cycle consisted of two
10 s excursions from room temperature to
400
C and back to room temperature. The path
down to room temperature was performed over
50 steps, each with a duration of 200 ms. There
was no heating during the remaining part of the
cycle.
Low-Cost Sensors for Indoor and Outdoor Pollution 435

Low-Cost Sensors for Indoor and Outdoor Pollution, Table 3 Compounds used as sensors and their corresponding
bandgaps, and the gases they sense
Specific
Sensor compound Sensing [53] z/eV
Tin oxides (35%) SnO2 NH3, CH3CHO, CH3SH, H2S, NO2, C2H5OH, CO2, 3.6 [58]
CO, benzene, o-xylene, SO2, O2, H2, H2O, C4H10, CO
and NO2, NOx, petrol, CH4, O3, C3H8
Mixed oxides (13%) – Humidity, CO2, NOx, hydrocarbons, C2H5OH, NH3, –
NO, O3, NO2, SO2, CH4, LPG (liquefied petroleum
gas), H2S
Zinc oxides (10%) ZnO O2 (in water), CO, CH4, H2, H2O, C2H5OH, C3H8, 3.3 [59]
NO, NO2, CO2, O3, C2H6, n-C4H10
Titanium oxides (7%) TiO2 H2, CO2, O2, CO, CH4, ethanol, methanol, propanol 3.0–3.2 [60]
Tungsten oxides (7%) WO3 H2S, O3, NO, NO2, NOx, NH3 2.6–3.0 [61]
Indium oxides (5%) In2O3 O3, H2, CO, C3H8, NO2 2.7 [62]
Niobium oxides (3%) Nb2O5 NH3, CO, C2H5OH 3.4 [63]
Iron oxides (3%) Fe2O3 H2, CO2, O2, CO, CH4 2.2 [64]
Gallium oxides (3%) b-Ga2O3 O2 4.8–4.9 [65]
Cerium oxides (2%) CeO2 O2 3.2 [66]
Molybdenum oxides (2%) MoO3 NH3, NO2 3.2 [53]
Copper oxides (2%) CuO2 H2, CO2, O2, CO, ethanol 1.4 [53]
Aluminum oxides (2%) Al2O3 Humidity am-Al2O3: 7.0
[67], g-Al2O3:
7.6 [67]
Zirconium oxides (2%) ZrO2 O2, hydrocarbons, NOx, CO, O2, alcohol 3.84–4.51 [68]
Energy

Energy

Acceptor band Donor band CBM

VBM
A B
CuO2 ZnO In2O3 SnO2

Low-Cost Sensors for Indoor and Outdoor Pollution, conduction band (n-type semiconductor (B)). The figure
Fig. 7 The figure to left [1] displays two bands: one that to the right [58] shows the band gaps of four different metal
accepts electrons from the valence band (p-type semicon- oxides
ductor (A)) and one that transfers electrons to the

The temperature cycling mode was used to constant voltage operation. Furthermore, cross-
measure ozone, and the low power sensor was sensitivity could be reduced by simple adapta-
shown to be stable. The reproducibility was tions. The study also showed disadvantages by
greatly improved when compared to standard using temperature modulation in one-minute
436 Low-Cost Sensors for Indoor and Outdoor Pollution

cycles. If the gas concentration changes quickly, it cm3), s is the absorption cross section (e.g., cm2),
may lead to false results. Another disadvantage is and l is the absorption path length (e.g., cm).
that signal rates higher than 1 per minute cannot A wide range of accurate, reliable optical gas
be performed without modelling [69]. detection instruments is available; they do not
qualify as “low cost.” They include photo-
acoustic spectroscopy (PAS) multi-gas analyzers,
cavity ringdown spectrometers (CRDS), tunable
Optical Sensors
diode laser (TDL) spectrometers, Fourier trans-
form infrared (FTIR) spectroscopy, and resonant
Optical sensors are a broad class of devices that
absorption/fluorescence [71–73]. Spectroscopy-
use scattering or absorption of light. They range
based instruments usually have better sensitivity,
from simple components that detect when light
selectivity, and stability [73], and have shorter
levels are above or below a specific level to highly
response and recovery times [71] compared to
sensitive devices for detecting single photons.
nonoptical methods. Often these instruments are
Sensors are combined with wavelength filters or
set up in stationary monitoring stations due to
dispersion elements in order to perform spectro-
their nonportable size, relatively high-cost and
scopic measurements of single components; the
sensitivity to environmental factors (i.e.,
spectroscopy may be refined further by introduc-
weather). Recently, a number of successful, low
ing systems such as atomic emission lamps that
cost, compact optical sensors have been devel-
produce a single wavelength and resonant absorp-
oped which we will detail below.
tion/fluorescence for further increased specificity
and sensitivity. However, one quickly exits the
NDIR
realm of low-cost sensors to which this entry is
One promising low-cost, portable, commercially
confined. Most optical sensors produce an electri-
available family of gas sensors is based on non-
cal signal (voltage or current) that is digitized.
dispersive infrared (NDIR) spectroscopy. The
Optical techniques are widely applied in atmo-
NDIR technique has many advantages such as
spheric pollutant monitoring, especially for par-
high selectivity and limited cross sensitivity
ticulate matter (PM) detection but also for many
which makes it suitable for qualitative analysis.
trace gases [70].
In addition, the output of NDIR sensors responds
Gases can be selectively detected based on
linearly to concentration, and they have low fab-
their infrared (IR) spectra. Each molecule has a
rication cost, fast response, and low power con-
unique set of vibrational frequencies based on the
sumption. Therefore, NDIR gas sensors are the
masses of the atomic nuclei involved and the force
industry standard method of measuring the con-
constants of its chemical bonds, which can be
centrations of CO and CO2 [74]. Generally, an
used as a specific “fingerprint” for that molecule.
NDIR detector consists of a light source, absorp-
A molecule absorbs light at a unique set of ener-
tion cell, wavelength filter and detector (Fig. 8)
gies, determined by these vibrational frequencies.
and is a direct measuring technique determining
The concentration of a target pollutant is deter-
the mole fractions of specific gases that absorb in
mined from its absorption of light using the Beer-
the IR region.
Lambert law:
The components respond differently to envi-
  ronmental conditions, for example, temperature.
I0 The NDIR gas sensor is based on the Beer-
ln ¼A¼nsl
I Lambert law, seen above [75]. The key to making
an NDIR sensor work well is to get sufficient
Here, I0 is the intensity of light before the light flux at a specific wavelength to the detector,
sample and I the intensity after. A is the absorp- and furthermore, to make the absorption path (l)
tivity, determined by the product of n the number long enough to see the target gas even at low
density of gas (e.g., number of gas molecules per number densities (n); the signal is only useful if
Low-Cost Sensors for Indoor and Outdoor Pollution
Low-Cost Sensors for
Indoor and Outdoor
Pollution, Fig. 8 Typical
layout of an NDIR gas
sensor
it is larger than the intrinsic noise of the detector
and amplifier.
NDIR has an advantage compared with other
spectroscopic techniques in the area of energy
consumption, since its IR source produces light
at wavelengths in the range of 1–15 mm and thus
can operate at lower temperatures than systems
that use near infrared (NIR) or visible light. Dis-
advantages of NDIR sensors include spectral
interference (crosstalk from other molecules),
and for some gases, a detection limit above ambi-
ent concentrations. NDIR systems perform well
for CO2 though as it is present at concentrations of
hundreds of ppm and has strong infrared absorp-
tions. NDIR sensitivity depends on the detector
signal per unit of IR intensity, and the detection
limit is a function of both sensitivity and signal-to-
noise ratio.
In one study [72], five different NDIR sensors
were used to monitor CO2 in a barn of dairy cows.
The NDIR sensors are compared with two com-
monly applied methods: photo-acoustic spectros-
copy (PAS) and an open-path laser (OP-laser).
Every sensor was calibrated, tested for linearity,
and sensitivity to static pressure. After the calibra-
tion, the NDIR sensors were exposed to CO2 in
the barn together with PAS analyzers and an
OP-laser for comparison. The tested NDIR sen-
sors showed a small variability of 5%, and they
were sensitive to a static pressure sensitivity of
0.08% of the readings per 1 hPa. It was concluded
that the NDIR CO2 sensors are appropriate for
multipoint monitoring of CO2 concentrations in
livestock barns, and that they are a practical alter-
native to the OP-laser and PAS methods for mon-
itoring averaged spatial or single-point CO2
concentrations [72].
437
Particulate Matter
Particulate matter can be characterized by its total
mass per unit volume, for example, as mg/m3. The
size distribution of particles is extremely impor-
tant with implications for the health impact of
particles and their atmospheric lifetime and role,
but it is harder to determine than the number
density of particles. A useful classification is
often made by looking at the total mass density
of particles smaller than a certain threshold, for
example, PM10 (particles with an aerodynamic
diameter below 10 mm). Similarly, the terms
PM2.5, PM1, and PM0.1 are also used. Particles
with an aerodynamic diameter larger than 2.5 mm
are called “coarse” and could include dust and
pollen. Those smaller than 2.5 mm, measured as
PM2.5, are “fine” particles and have been associ-
ated with a significantly elevated health risk.
There is increased attention on “ultrafine” nano-
particles, with a size smaller than 0.1 mm, mea-
sured as PM0.1. These particles may be made, e.g.,
as brake dust or diesel soot.
There are both high cost and low-cost devices
for measuring particle mass number concentra-
tion. While PM can be measured by many
methods, only the method based on light scatter-
ing, called an optical particle counter (OPC), can
be produced at a low cost [76]. We can quickly
note the success of a low-cost particle counter
based on components from a smoke detector. The
system employs two chambers: one for ioniza-
tion using the active element of a smoke detector
and the second using photoionization. Because
the two chambers have different sensitivities to
fine and ultrafine particles, it is able to discrimi-
nate the two size modes with high
accuracy [110].
438 Low-Cost Sensors for Indoor and Outdoor Pollution

In the context of optical detection of particles,
it is important to note that the sizes of aerosol
particles are similar to optical wavelengths.
A practical implication of the scattering of light
is that if the particle is larger than the wavelength,
light could be absorbed. If the sizes are similar,
light may be scattered in a complex way, and if the
particle is much smaller than the wavelength,
there is no interaction. Since visible light is in
the wavelength range of 380–700 nm, optical
particle counters often have extreme difficulty
measuring ultrafine particles; in contrast, optical
particle counters that measure PM10, PM2.5, and
PM1 are commonly available.
In one study [77], three low-cost PM sensors
were tested and compared to three reference instru-
ments. The sensors used were the Shinyei
PPD42NS, in the study called “PPD,” the
Samyoung DSM501A, called “DSM,” and the
Sharp GP2Y1010AU0F, called “GP2Y.” The PPD
and DSM were quite similar in their setup, while the
GP2Y was smaller in geometry. Furthermore, the
GP2Y has a different orientation than the other two
sensors. All three sensors use IREDs (infrared light
emitting diodes) to generate light. The PM sensors
were tested for the linearity of their response, preci-
sion, limit of detection, particle composition, size
dependence, and the relative humidity and influence
of temperature [77]. The working principle of the
GP2Y is sketched in Fig. 9.
Linearity, Precision, and Limit of Detection (LOD)
The GP2Y sensor gave the highest linearity with R2
values of 0.9838 and 0.9831. The DSM sensor gave
the lowest R2 values of 0.8914 and 0.8921. The
DSM and the PPD sensors were expected to give
higher R2 values at smaller particle concentrations.
When comparing sensors of the same type, the
linearities of the individual sensors were high, but
they need to be calibrated separately because two
sensors gave the same output in at different concen-
trations, e.g., an analog output of 200 in a concen-
tration range from 600 to 900 mg/m3. All three
sensors became saturated at 4 mg/m3 which leads
to the conclusion that they are less useful for mea-
suring extremely high concentrations of particles.

Low-Cost Sensors for

Indoor and Outdoor
Pollution, Fig. 9 Working
principle and critical
parameters of the Sharp
GP2Y low-cost particle
sensor. “PT” and “IRED”
represent the
phototransistor and the
infrared light emitting
diode, respectively
[78]. Particles flow in
through the top and can
scatter light which is
detected by the photon
detector with a “zero
background” geometry,
before flowing out of the
interaction region
Low-Cost Sensors for Indoor and Outdoor Pollution
For the three sensors, the standard deviation was
used to measure the reproducibility. The standard
deviation for a concentration range of 0–100 mg/m3
varied from 15 to 90 mg/m3. The DSM sensor was
the one with the lowest standard deviation, with
relatively constant and small values. The PPD and
the GP2Y sensors had higher standard deviations at
higher particle concentrations, although the relative
standard deviation of all the sensors decreased
when the particle concentration increased. This
implies that the sensors were not very accurate
when measuring low concentrations (<200 mg/
m3). The sensor which gave the highest LOD
value, 30.2 mg/m3, was the GP2Y. The PPD had
the lowest value of 6.44 mg/m3.
Effect of Relative Humidity, Temperature, Particle
Size, and Composition
When tested for particle size dependence, it was
shown that for the same mass concentration, the
sensors’ output increased with decreasing particle
size. The PPD and DSM sensors were shown to be
more sensitive to larger particles, and the GP2Y
sensor was shown to be more sensitive to smaller
particles. Water is effective at absorbing infrared
light, which can lead to an overestimation of the
particle mass concentration because of reduced
light intensity. Water vapor may cause failure in
the circuits and hereby give false results. Overall,
relative humidity has a large effect on the sensors’
output. The temperature was shown to have very
little effect on the three PM sensors in the range of
5–32
C [77].
Particle mass concentrations are calculated
from the size distributions of the particles, and
this depends on the composition and size of the
particles. The total mass concentration of the par-
ticles, m, can be calculated by
 
p 9  
m ¼ M 0 exp 3lnd pg þ ln2 sg
6 2
where M0 is the total number concentration, dpg is
the geometric mean particle size, and sg is the
geometric standard deviation obtained through a
curve fitting process.
439
Different sensors and instruments showed dif-
ferent responses when the particles’ composition
was changed. Some variation in light scattering
can be caused by the variability of the refractive
index of different materials. The refractive index
correlates with the magnitudes of light scattering
and light absorption. This leads to the conclusion
that PM sensors may over or underestimate mass
concentrations for some types of particles and
conditions. The water content of particles is
dependent on relative humidity. Sensors can
achieve a higher accuracy if their calibration is
tuned to the composition of the particles being
studied; in addition, humidity corrections are
common.
Electrochemical Cells
Electrochemical gas sensors are able to sense a
target gases that can be oxidized or reduced in
order to generate a current. Often they are
designed so that the gas supply is limited by
diffusion, so that the response is linearly propor-
tional to concentration. This allows for simpler
calibration involving the determination of the
baseline offset and the slope of the calibration
curve. In the study in Ref. [48], a general electro-
chemical sensor is described based on the amper-
ometric methodology (Fig. 10).
Some common target gases for amperometric
sensors are O2, CO, NO2, NO, O3, H2S, and SO2.
The standard amperometric gas sensor can detect
gases in the 1–10,000 ppm range, and some can be
used for air quality measurements in the ppb
range.
The main components of the sensor are a gas
chamber, an electrochemical cell, and a reservoir.
The gas chamber determines the access and sen-
sitivity of the sensor, and it sometimes has a filter
for better selectivity. The usual electrochemical
cell has either two or three electrodes [79]. In a
three electrode configuration, the electrodes are
called the working, reference, and counter elec-
trodes, and they are separated by the so-called
“wetting filters.” The filters are hydrophilic and
allow ionic contact of the electrodes. In the work-
ing electrode (WE), either reduction or oxidation
440
Low-Cost Sensors for Gas permeable membrane
Indoor and Outdoor
Pollution, Fig. 10 1. seal
Illustration of an
electrochemical cell based
on [48]
A
Electrolyte reservoir
of the gas occurs, and typically, the WE is coated
with a catalyst. The catalyst is chosen for a spe-
cific gas, which enters through diffusion to give a
high surface area and promote the reaction [48].
In the electrochemical cell, there is an electro-
lyte solution which usually consists of mineral
acids or organic solvents with an added salt. The
WE is usually supported by a gas porous mem-
brane. The reservoir accounts for changes in equi-
librium electrolyte concentration. Concentration
changes take place because, e.g., the relative
humidity changes. The fluid contains hygroscopic
species (acids, salts), leading to a change in
volume [79].
When a target molecule contacts the working
electrode surface, a redox reaction takes place,
triggering another reaction at the counter elec-
trode. The reference electrode is used to keep the
working electrode at a constant potential. The
counter electrode does not have a fixed potential
like the working electrode; the potential of the
counter electrode can drift. In clean air, the work-
ing and counter electrodes have the same poten-
tial, but the potential of the counter electrode
changes when a gas reaches the surface of the
working electrode, and the counter electrode
must balance the current to compensate. The out-
put of the sensor represents the difference between
the potentials of the working and the counter
electrodes, and the current signal is usually in
the range of 10–100 s of nA per ppm of sensed
gas. The output and the concentration of the target
gas are directly proportional [48]. With a suffi-
ciently fast reaction, the mechanism is limited by
the mass transfer to the working electrode by the
Low-Cost Sensors for Indoor and Outdoor Pollution
Working electrode
reference electrode
counter electrode
wetting filters
gas analyte. The current measured by the sensor
and the mole fraction of the gas analyte are pro-
portional. The current is described by
I 1 ¼ Kc
where I1 is the limited current, K is the coefficient
of proportionality, and c is the molar fraction of
the target gas. Sensor response times are typically
a few seconds. A rapid response time is possible
because of the overall configuration, in which
analyte diffusion through the membrane
supporting the working electrode is the limiting
step [79].
A Fourth Electrode
Some sensors have been made with four elec-
trodes for increased performance at low concen-
tration, for example, for gasses like NO2, O3, CO,
NO, H2S, and SO2 that typically occur at ppb
levels in ambient air. The fourth electrode is a
second working electrode, often called an “auxil-
iary electrode”; this electrode is not exposed to the
target gas. The electrode provides a background
current that does not have the faradaic current of
the regular working electrode. The faradaic cur-
rent comes from the exchange of electrons,
described previously, when the electrochemical
reaction occurs. By this method, the fourth elec-
trode does not detect the target gas but rather is
used to measure and counteract sensor drift.
A particular example is that measurements of O3
and NO2 are known to suffer from cross-
sensitivity. These two gases react equally on
many sensors, but this problem can be addressed
Low-Cost Sensors for Indoor and Outdoor Pollution
by using filters to separate the gases [79]. Other
challenges in using electrochemical sensors
include calibration of the sensitivity to the target
gas, and cross-sensitivity for mixtures of gases,
which depend on temperature, humidity, and
pressure [80].
Potentiometric Sensors
Potentiometric sensors are often used for
detecting oxygen. The typical potentiometric sen-
sor has an oxygen ion solid electrolyte to conduct
current against two electrodes on either side of the
electrolyte. One of the electrodes is a working
electrode, and the other is a reference electrode.
The WE is in contact with an unknown partial
pressure of oxygen, which is the amount of oxy-
gen to be measured. The reference electrode is in
contact with a known partial pressure of oxygen.
The output of the sensor is the potential difference
measured between the working electrode and the
reference electrode, which is called the electro-
motive force (EMF).
Typically, the electrodes are made of Pd, Pt,
Au, or Ag, but other materials have been used for
sensing a variety of gases. A gas sensor for mea-
suring CO2 was made using a lithium phosphorus
oxynitride electrolyte, and a sensor for measuring
chlorine gas was made using MgO-stabilized zir-
conia [81] (Fig. 11).
Ozone Detection
A study investigated ozone detection with minia-
ture electrochemical sensors. In the study, the
surrounding air was investigated for 18 days
Au
Li2.88PO3.73N0.14
electrolyte
Low-Cost Sensors for Indoor and Outdoor Pollution, Fig. 11 A schematic structure of a potentiometric electro-
chemical cell [82]
441
over which time the response was compared to a
reference device. The ozone sensor had a working
electrode, a reference electrode, and a counter
electrode, and the range of measurement was
0–20 ppm.
The study found that this method for monitor-
ing ozone can be a useful alternative to other types
of devices, e.g., semiconductors. Ozone detection
using electrochemical sensors was shown to have
a lower cost and low power consumption. One
disadvantage of this sensor was that it can be
affected by other gases such as NO2 and NO,
and relative humidity. The cross-sensitivity had a
noticeable effect on the voltage of the working
electrode; this was corrected for in the analysis.
Another disadvantage is that the voltages of the
working electrode and the reference electrode
were found to increase rapidly with relative
humidity and the flow rate. The increase in the
working electrode and reference electrode poten-
tials caused an increased offset voltage. The sen-
sor generally took 40 min to overcome the
interference [83].
Intercomparison Study of Electrochemical
Sensors
Sensor measurements can suffer from interfer-
ences due to exposure and their response to
co-pollutants. One example is CO2 which has a
high and sometimes variable concentration due to
sources including human respiration and fossil
fuel combustion. In some cases, the crosstalk sig-
nal can be larger than the signal being measured
many orders of magnitude. In two studies [83, 84],
Au wire
Li2CO3
sensing electrode
EMF V
LiCoO2 + Co3O4
reference electrode
442 Low-Cost Sensors for Indoor and Outdoor Pollution

five commercially available electrochemical sen-
sors were investigated to determine their perfor-
mance relative to more traditional measurement
technologies. The five investigated commercial
low-cost air pollution sensing systems were
designed to measure CO (CO-B4, Alphasense
Ltd), O3 (OX-B421, Alphasense Ltd), NO
(NO-B4, Alphasense Ltd), NO2 (NO2-B4,
Alphasense Ltd), and SO2 (SO2-B4, Alphasense
Ltd). The aim of the studies was to establish the
selectivity of these sensors to their target com-
pounds, quantitatively characterize chemical
interference to other pollutants, and evaluate the
scale of impacts of co-pollutants.
Chemical Interference of Co-pollutant
There is a complex set of interconnections
between the sensors’ response to co-pollutants
and the target species. The individual sensitivi-
ties and cross-sensitivities of the five sensors
and co-pollutants are presented in Table 4.
Except for the O3 sensor, the individual sensor’s
sensitivities to the target gas is higher than the
sensor cross-sensitivities to other co-pollutants
by a factor of 10 to 100. The O3 sensor shows
similar sensitivities to its target gas O3 and the
co-pollutant NO2, as has also been reported by
others [85]. Compared to the other sensors, the
CO and NO2 sensor have a high specificity to
their target gases, evidenced by their lower
cross-sensitivities. The NO2 sensor has the
highest selectivity since it generally has low
cross-sensitivities to co-pollutants, even at the
highest relative humidity values and lower
levels of NO2. However, at high concentrations
of CO2, an artifact signal can appear. In some
cases, the absolute interference signal induced
by a co-pollutant is very small. However, the
relative amounts of certain co-pollutants to the
target species is such that the overall response of
a given sensor could be dominated by the
co-pollutant response [83, 84].

Low-Cost Sensors for Indoor and Outdoor Pollution, co-pollutants (in 103 V ppb1 for O3, NO, NO2, SO2
Table 4 Sensor sensitivities to their target species and 103 V ppm1 for CO2) under four different RH
(in 103 V ppb1) and their cross-sensitivities to other conditions [84]
Sensor
Target gases RH/% OX-B421 CO- B4 NO- B4 NO2- B4 SO2-B4
O3 15 0.44 0.029 0.01 0.002 0.14
30 0.44 0.0007 0.01 0 0.12
45 0.43 0.017 0.014 0 0.14
60 0.45 0.027 0.009 0.004 0.15
CO 15 0.023 0.37 0.012 0.035 0.010
30 0.013 0.35 0.028 0.012 0.015
45 0.009 0.37 0.007 0.007 0.013
60 0.011 0.41 0.004 0.005 0.054
NO 15 0.21 0.003 0.54 0.004 0.060
30 0.09 0.005 0.57 0.001 0.022
45 0.12 0. 0.56 0.013 0.027
60 0.11 0.002 0.55 0.009 0.019
NO2 15 0.44 0.04 0.09 0.42 0.1
30 0.43 0.02 0.09 0.48 0.1
45 0.44 0.03 0.1 0.43 0.1
60 0.44 0.02 0.1 0.45 0.1
SO2 15 0.022 0.02 0.01 0.002 0.19
30 0.01 0.03 0.006 0.005 0.21
45 0.015 0.026 0.004 0.005 0.20
60 0.002 0.023 0.007 0.002 0.22
CO2 15 0.01 0.002 0.009 0.001 0.006
30 0.04 0.007 0.0002 0.002 0.007
45 0.1 0.023 0.014 0.004 0.012
60 0.1 0.058 0.024 0.009 0.010
RH 0.56 0.11 0.20 0.00 0.02
Low-Cost Sensors for Indoor and Outdoor Pollution 443

Electrochemical Cells and Metal Oxide
Sensors
An increasing number of air quality
(AQ) monitoring networks based on low-cost sen-
sors have been deployed. Electrochemical
(EC) and metal oxide (MOx) sensors are the two
most common low-cost gas sensors currently used
in AQ measuring products. Both types of sensors
have good sensitivity, fast response time, a wide
range of detectable pollutants, and portable size
[86, 87]. However, for a new technology and
deployment, the data quality of the network must
be validated. Historically, both EC sensors and
MOx sensors have a reputation to overcome, and
their precision and accuracy should be verified in
real-world situations [88].
A number of field campaigns have been under-
taken to assess the performance of low-cost AQ
sensors in the real world [83, 84, 89]. Typically,
these campaigns pair a cluster of commercial nodes
with an established monitoring station using cali-
brated instruments with a known track record. The
station is typically equipped with standard equip-
ment providing reference measurements of NOx,
O3, CO, CO2, and SO2. Temperature, relative
humidity (RH), pressure, and wind speed are also
recorded by the station [90, 91]. The performance
of the low-cost sensors is evaluated by comparing
their output with the reference data. The Data
Quality Objective (DQO), defined by the
European Air Quality Directive, is a measure of
the acceptable uncertainty of the indicative mea-
surements. The allowed uncertainties are 50% for
PM10, 30% for O3, and 25% for CO, NOx, and SO2
[70]. In this section, NO2 and O3 are selected as
representative and illustrative target gases to com-
pare the performance of different sensor nodes.
The Table 5 summarizes the campaign results
from the EuNetAir joint exercise [91] and the
CAIRSENSE project [91]. Most of the commercial
platforms that were tested used electrochemical
cells to detect NO2 and O3. In the case of NO2, a
majority of the EC cells performed well, although
both MOx sensors did not show a high correlation
with the reference measurement. The EC cells did
not work as well for NO2 as for O3, only two out of
five gave accurate results, while MOx sensors were
able to accurately detect O3 [91].
Given the similar performance of EC cells and
MOx sensors for controlled laboratory conditions,
a possible reason for the performance gap between
EC cells and MOx sensors in the real world could
be the post-measurement calibration algorithm. EC
cells have a relatively simple sensing mechanism
where the detected current is proportional to the

Low-Cost Sensors for Indoor and Outdoor Pollution, obtained from filed campaigns EuNetAir joint exercise
Table 5 The list of correlation coefficients of tested com- [91] and CAIRSENSE project [90]. Categorized by sensor
mercial sensor with the reference measurement. Results types and target gases [84]
Target gas Platform, model Sensor type Correlation coefficient (r2) Reference
NO2 SNAQ, Alphasense B4 EC 0.84 [91]
ECN, Ciththch 3E50 EC 0.89 [91]
Nanoenvi, Alphasense B4 EC 0.57 [91]
AQMesh, Alphasense B4 EC 0.89 [91]
ENEA, Alphasense B4 EC 0.06 [91]
Cairpol, Cairclip EC 0.57 [90]
AQMesh, Environmental Instruments Ltd EC r < 0.5 [90]
AUTh-ISAG, MiCs-2710 MOx 0.02 [91]
AirQuality Egg MOx r < 0.5 [91]
O3 SNAQ, Alphasense B4 EC 0.14 [91]
AQMesh, Alphasense B4 EC 0.70 [91]
ENEA, Alphasense B4 EC 0.13 [91]
Cairpol, Cairclip EC 0.88 [91]
AQMesh EC r < 0.5 [91]
AUTh-ISAG, MiCs-2610 MOx 0.12 [90]
Nanoenvi, MiCs-OZ-47 MOx 0.77 [90]
444
gas concentration. However, there is no simple
model that can transform the MOx signal
(normally resistance) into a concentration. Taking
metrological variables (temperature, pressure, etc.)
into account is complicated. It should also be noted
that the same model of EC cells can behave differ-
ently in different systems, e.g., AQMesh
Alphasense B4 vs. ENEA Alphasense B4. This
could be due to different applied algorithms, the
design of the electronics, or the sampling method.
In addition, the same platform can perform differ-
ently in different situations, for example, the
AQMesh systems as used in Ref. [91] vs. Ref. [90].
In conclusion, the data quality generated by
low-cost sensor platforms has room for improve-
ment, but certainly, they are able to provide low
cost and high time resolution with the trade-off of
somewhat compromised data quality. The EC cells
are more widely applied in commercial products
and at the present time appear to have a better
performance record than MOx sensors; however,
MOx sensors also have good potential for real-
world applications if the right algorithm is applied.
Comparison Between MOx,
Electrochemical, and Optical Sensors
Three types of low-cost gas sensors are compared:
MOx sensors, electrochemical sensors, and opti-
cal sensors. The summary is presented in Table 6.
An ideal sensor would possess high sensitivity,
dynamic range, selectivity and stability, good lin-
earity, low detection limit, fast response time, and
a long life cycle. Life cycle is the period of time
over which the sensor will continuously provide
Low-Cost Sensors for Indoor and Outdoor Pollution, Table 6 Comparison between MOx, EC, and optical sensors
MOx [54]
Sensitivity (ppm-range) High
Sensitivity (sub-ppm) Low
Selectivity Low
Accuracy Low
Lifetime High
Power consumption Low
Cost High
Low-Cost Sensors for Indoor and Outdoor Pollution
satisfactory output [2]. The task of creating an
ideal sensor is difficult, and research and develop-
ment continue. The applications of the sensors
typically do not require perfection in all areas at
once. For example, for monitoring the concentra-
tions of pollution in the environment, the detec-
tion limit may be relatively high, and a response
time of a few minutes is acceptable, because the
concentration of pollutants normally changes
slowly. In the case of a sensor monitoring, the
concentration of a compound in an industrial pro-
cess, the sensor does not require a detection limit
at ppb level and a response time in seconds would
be desirable.
Personal Exposure Monitoring and
Installations in the Field
It is important to identify the purpose of the expo-
sure monitoring, in order to choose the right sen-
sor. There is a wide range of sensors with different
cost, sensitivity, stability, selectivity, accuracy,
robustness, etc. The choice depends on whether
the goal is to raise awareness regarding pollution
or to accurately measure the specific concentra-
tion of a specific pollutant. Advances in sensor
technology mean that in some cases, individuals
can now monitor air pollution levels themselves
using relatively cheap, accurate, and straightfor-
ward equipment. Consequently, exposure assess-
ment can now be a combination of data from fixed
site measurement stations, modelling, and per-
sonal portable sensors.
Awareness of the health and economic costs of
air pollution has increased. Urban environments
Sensor type
EC [92] Optical [73]
High High
Medium Low
High High
High High
Medium High
High Low
Medium Low
Low-Cost Sensors for Indoor and Outdoor Pollution
are exposure hot spots due to the concentrations of
both pollution sources and people, and 96% of
people in large cities are exposed to pollution
levels above recommended limits. There are
over three million deaths each year associated
with poor outdoor air quality [93]. Urban air qual-
ity is highly dependent on emissions of, for exam-
ple, fine and ultrafine PM and NO2 from road
vehicles, which also contribute to global air
pollution.
A study by Carslaw et al. (2013) [94] reports
measurements of NO, NO2, and NH3 from almost
70,000 vehicles (taxies, buses, and passenger
cars) from 1985 to 2012 in the UK made using a
remote sensing technique. In this study, emissions
are recorded depending on specific vehicle tech-
nologies that impact emissions performance. It is
possible then to compare different vehicles with
respect to emissions, for example, the results for
TfL buses and diesel cars show important varia-
tions in NO2 emissions depending on the vehicle
manufacturer. By analyzing trends in NOx and
NO2 at 23 roadside sites in London, the study
found that total NOx and NO2 emissions have
only decreased by about 1 and 0.5% annually,
respectively, over the past 10 years. The trends
are in agreement with the previously determined
trends between 2004 and 2009 measured by
Carslaw et al. (2011) [95], which suggest that
NOx and NO2 concentrations are decreasing
more slowly than indicated by emission inventory
estimates.
In addition, new vehicle after-treatment tech-
nologies have increased the ratio of NO2 to NO
compared with older vehicles, in particular for
increased engine loads, indicating a challenge in
emissions source management [94].
Low-cost portable sensors are promising for
personal exposure monitoring, although such sen-
sors not yet have achieved their full market poten-
tial. Many researchers are working on improved
wearable sensors. Piedrahita et al. [17] developed
low-cost, wearable, air quality monitors (M-Pods)
using the Arduino platform. The M-Pods have two
types of sensors – commercially available metal
oxide semiconductor (MOx) sensors for NO2, CO,
O3, and VOCs, and NDIR sensors for CO2. The
MOx sensors show high sensitivity and are low in
445
cost; however, they are cross-sensitive and display
nonlinear output signals [17]. The model perfor-
mance has been evaluated, and the relationship
between reference data and collocation-calibrated
sensor readings displays a minor negative bias at
the higher end of observed concentration levels,
possibly driven by the small number of data points.
The approach gives access to air quality monitor-
ing to a wider group of scientists and citizens;
however, there are some uncertainties regarding
the actual personal exposure levels due to the
level of user engagement [30].
Low-cost pollution monitors have been placed
at many stationary locations and are also
employed with mobile platforms. Installations in
the field are necessary to monitor concentrations
of the key pollutants. One example of a field
installation is the Airlabs AirNode-T (#3 and
#4), developed by the company Airlabs in Copen-
hagen. The AirNode is a low-cost and low-power
self-contained air quality monitoring platform
measuring PM2.5, PM10, NO2, O3, and CO. The
two AirNodes are mounted at DCMR’s Schiedam
air quality monitoring station in Rotterdam, NL,
and they have been running onsite since
December 19, 2018. A field validation of the
AirNodes shows the uncorrected readings from
AirNodes #3 and #4 compared to reference mea-
surements at the air quality station over a 40-day
period. The reference data was collected by the
station operated by the DCMR Environmental Pro-
tection Agency. The station monitors an array of air
pollutants including PM2.5, PM10, NO2, and O3.
The uncorrected readings from AirNodes #3
and #4 have been plotted against the references
and R2 for the different plots are seen on the
graph. The R2 values show that AirNodes #3 and
#4 are most accurate toward O3 and least with
PM2.5 (Fig. 12).
Calibration
The sensors were calibrated by three different
methods whose performance was then compared.
The three methods were linear regression, multi-
variate linear regression, and an artificial neural
network.
446
Low-Cost Sensors for
Indoor and Outdoor
PM2.5 (ug/m3)
Pollution, Fig. 12
Readings from AirNodes #3
and #4 compared to
reference measurements at
the air quality station over a
40-day period
O3 (ug/m3)
NO2 (ug/m3)
For linear regression calibration, each sensor
had a calibration function, which was made by
assuming linearity between the sensor response
and a reference measurement for each pollutant.
The multivariate linear regression was made using
the least square method. The artificial neural net-
work (ANN) is a modelling technique. Two types
of ANN were considered in this study, radial-
based functions and multilayer perceptron,
although the latter gave poor results and was
left out.
For the linear regression calibration and the
multivariate regression calibration, the R2 values
were high for the O3 sensors, although both
methods had some deviations. The slope and
intercept of the orthogonal regression differed
from 1 and 0, respectively. For the ANN methods,
the R2 values were higher, the slope was closer to
1, and the intercept was closer to 0. The ANN
method seems to have the lowest uncertainties
compared to the other calibration methods [88].
One study [96] proposes an autocalibration
method. In the study, the sensor output is adjusted
to the average of the surrounding stations. When
Low-Cost Sensors for Indoor and Outdoor Pollution
Hourly average
80
R2>0.84* Reference
60 Node03
Node04
40
20
0
80
R2>0.96
60
40
20
150
R2>0.93
100
50
0
19/12 28/01
the sensor system has a connection to a network, it
can perform automatic calibrations [96]. Another
study [47] uses forward calibration, backward
calibration, and initial calibration. The forward
calibration is the traditional way of calibrating a
sensor. This method calculates new parameters
based on a new set of readings. The disadvantages
of this calibration method are that the readings
which the new parameters are built on lag behind
in time. The backwards calibration method calcu-
lates new parameters which are used to both cal-
ibrate future readings and recalculate the former
readings of the sensor. The disadvantage with
backward calibration is that there is a delay before
readings become available. The delay depends on
how much time passes between the two measure-
ments. The so-called instant calibration calculates
new parameters more frequently [47].
One study [97] of an array of semiconducting
gas sensors uses static chamber calibration. This
calibration has two steps. First, the sensor needs to
determine the initial setting. Zero air, air without
pollution, is used to find this value. The second
step consists of finding the span of the sensor. One
Low-Cost Sensors for Indoor and Outdoor Pollution
drawback with this method is that there is no
official standard for “zero air.” Some studies use
pure nitrogen or pure synthetic air, and others use
ambient air when they consider the area to be
clean. Yet others use ambient air that has been
filtered to remove some impurities. This study
chose to use clean ambient air to calibrate the
SO2 sensor, while synthetic air was used to cali-
brate the CO sensor [97].
Another method used to calibrate sensors is the
least-square method. The study in Ref. [98] uses
this method. The sensor node was placed in a clear
plastic sealed container with a sensor probe, the
GrayWolf Direct Sense IAQ 610. The concentra-
tion of gas inside the container was varied by
injecting a certain gas. Using the least-square
method, the collected data were calibrated against
the GrayWolf system [98].
The Future: Smart Cities and New
Materials
There are several definitions of a smart city. One
description is that a smart city is an advanced city
that uses information and built elements to create a
more connected and sustainable city and provide for
the needs of citizens. Ideally, the smart city improves
the quality of life for people using the city [99].
Low-cost sensors are often touted as a technol-
ogy that could enable smart cities. Such sensors
could be used for many purposes, for example,
they could act as a monitoring network to indicate
fire, explosion, or elevated levels of dangerous
pollutants, and they can provide real-time data to
monitor the concentrations of the pollution. Data
from the sensors can support decisions and give
the public access to air quality information. The
sensors in a smart city could be integrated in
wireless network [100].
One real-world example is a study which
investigated the performance of a network of
wireless sensors for air pollution monitoring.
The main goal of the study was to monitor outdoor
air pollution levels at a school. The sensors had a
low cost and were able to measure pollution in real
time. The different sensor nodes in the system
measured air quality simultaneously, recording
447
CO, NO2, relative humidity, and temperature.
The next step is to integrate the Internet of Things
(IoT) in smart cities. The internet of Things is the
integration of the connectivity of the internet with
objects around us, allowing them to send and
receive data. In smart cities, sensors would be
connected to a cloud web interface enabling
access to sensor data in real-time [101]. The aim
of the Internet of Things is to make the internet
more extensive and engaged in day-to-day life.
The paradigm has many applications including
using sensors to monitor air pollution. The IoT is
likely to play an important role in realizing the
smart city dream [102].
There are three layers to the Internet of Things:
the perception layer, the network layer, and the
application layer. The perception layer consists of
objects that can gather information, measure dif-
ferent elements, and exchange information with
other objects such as sensors for measuring air
pollution. The network layer is responsible for
transferring data from the perception layer to the
application layer. In the application layer, the
information is gathered and treated, and it aims
to create smart cities, among other things [103].
Nanowires
Nanowires are an emerging technology for sensing
nitrogen oxides. A nanowire as the name implies is
a wire with a very small diameter typically tens or
hundreds of nanometers. The wire has a low con-
ductivity due to its small cross section, and the
conductivity is sensitive to the presence of oxidiz-
ing or reducing gases which can donate or with-
draw electrons in analogy to their effect on
semiconductors discussed above. To illustrate the
subject, we will summarize a study of the ability of
nanowires made of In2O3 and WO3 to sense NO2,
NO, and N2O. The study found that all three nitro-
gen oxides can be sensed by the nanowires. The
In2O3 nanowire showed the best performance in
terms of sensitivity and operating temperature; it
had a diameter of approximately 20 nm. The WO3
nanowire was also shown to work although it had a
lower sensitivity than the In2O3 nanowire. Both
In2O3 and WO3 nanowires can reliably sense
N2O, NO, and NO2 [104].
448
Low-Cost Sensors for
Indoor and Outdoor
Pollution, Fig. 13
Schematic illustration of a
network of SnO2 nanowires
on the SiO2/Si substrate [7]
Au
Another approach for measuring NOx gases is
porous silicon nanowires. A study examined Si
nanowires made by metal-assisted chemical etch-
ing, which increases the sensitivity of the electri-
cal properties for towards NOx gases. The
nanowires had a swift response, which is associ-
ated with the high surface area. The method can be
applied to larger scale semiconductors for moni-
toring air quality at room temperature [8].
Nanowire fabrication is typically both expen-
sive and time-consuming, a drawback towards
implementing the otherwise promising nanowire
sensors. One study investigates nanowires that
avoid this problem because they are self-
assembling. In this study, the nanowires are
made of SnO2 on Pt electrodes with a Au catalyst.
The nanowires are grown on a Pt/SiO2/Si sub-
strate, and the sensors were used to measure
NO2. The platinum layer was necessary because
the Au layers were consumed as the nanowires
grow. Figure 13 shows the nanowires on the sub-
strate. The sensor measures NO2 as modulated by
oxygen molecules adsorbed on the surface. Elec-
trons are extracted from SnO2, which leave oxy-
gen ions on the surface. This leads to an increase
in the resistance of the nanowire. The study shows
that the sensitivity of the sensor increases linearly
with increasing NO2 concentration. The maxi-
mum temperature was 200
C [7].
Metal-Organic Frameworks
Metal-organic framework (MOF) structures have
recently been studied for their use in sensors for
measuring air pollution [6]. The structure of a
MOF formed by self-assembly is shown in Fig. 14.
Low-Cost Sensors for Indoor and Outdoor Pollution
NO2
NO2
NO2
NO2 Pt wire
NO2
Pt Pt
Substrate of SiO2/Si
MOFs are attractive because they are not toxic,
the pore-size can be controlled, they have high
surface areas, the characteristics of sorption are
reversible and controllable, and they have an ana-
lyte specific adsorption. MOFs designed for spe-
cific VOCs have been shown to successfully detect
gases with high sensitivity. The analytes can detect
methanol, ethanol, isopropanol, and acetone at
concentration levels of 250–1500 ppm [106].
An interesting development is the possibility
of using MOFs to detect NH3 as this gas is both
important in specific environments linked to live-
stock and biogas, and, hard to detect. MOFs with
rare earth elements were investigated in a study
looking at their ability to detect ammonia. In the
study, they showed that the MOF sensor was able
to detect NH3 at room temperature down to con-
centrations of 1 ppm. The sensor showed good
stability even in the presence of other gases [6].
Formaldehyde is difficult to detect, and there are
no good low-cost methods for measuring it. One
study investigates a MOF-based self-calibrated
luminesceuce sensors for measuring levels of indoor
formaldehyde concentrations. The sensor used an
Ag(I)-Eu(III) functionalized nanocomposite MOF
sensor. The system showed very good sensitivity
and fast response for formaldehyde and had no
interference from other pollutants. A key factor
was that it had a very high detection limit of ca
51 ppb, which is below the exposure limit of form-
aldehyde. The study suggests that a cheap and rela-
tively simple molecular material can be used to
determine formaldehyde concentrations with very
good selectivity and sensitivity, fast response, and
good performance at room temperature [107].
Low-Cost Sensors for Indoor and Outdoor Pollution
Low-Cost Sensors for
Indoor and Outdoor
Pollution, Fig. 14
Schematic structure of a
self-assembly MOF [105]
Conclusion
In this entry, important concepts related to low-cost
sensors are introduced and focus is given to three
main types of low-cost sensors: metal oxide sensors,
optical sensors, and electrochemical sensors, along
with a number of interesting and emerging technol-
ogies. MOx sensors are often used because of their
low cost, robustness, and simple structure. One of
the most common MOx sensors is the SnO2-based
semiconductor. A comparison of various metal
oxide-based sensors presented some specific metal
oxide sensors with their target pollutants and their
corresponding band gap. Optical sensors rely on the
detection of light. Optical sensors are especially
good at detecting particulate matter and infrared
active gases. Two kinds of optical sensors were
examined; NDIR sensors and PM sensors. The
main electrochemical cells are the amperometric
and the potentiometric sensors. The cells usually
have two or three electrodes, but some have a fourth
electrode. Electrochemical sensors and metal oxide
sensors were described and compared, and although
they showed similar results under laboratory condi-
tions, electrochemical cells are more widely used in
industry and have a better performance record. One
reason for the performance gap between the two
types of sensors could be the algorithms used to
incorporate information from other sensors, in
order to correct for changes in pressure and humid-
ity, the presence of interfering gases, etc.
Low-cost sensors are used for monitoring ambi-
ent air quality, IAQ, and to determine personal
exposure. Low-cost portable sensors have a prom-
ising future for monitoring personal exposure to
pollution, although they have not reached their full
potential. The future of low-cost sensors may
449
involve the incorporation of nanowires and metal-
organic frameworks. A study showed that a sensor
with MOFs could detect formaldehyde, a com-
pound that is otherwise impossible to detect at
ambient levels in real time with a low-cost system,
with good selectivity and sensitivity. The future of
low-cost sensors is ultimately in smart cities, where
they can contribute with information about pollu-
tion levels and provide early warning in cases of
pollution-related disasters. Low-cost sensors have
proven their value, and their accuracy and value are
only expected to increase with time.
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Measuring Heatwaves and Their
Impacts
Benjamin Disher, Brandon Edwards,
Thomas Lawler and Douglas Radford
The School of Civil, Environmental and Mining
Engineering, The University of Adelaide,
Adelaide, SA, Australia
Article Outline
Glossary
Definition of the Subject
Introduction
Heatwave Indices
Heatwave Impacts
Application of Indices to Impact Analysis
Future Directions
Bibliography
Glossary
Exposure The probability of being impacted by
a hazard of a given magnitude.
External Drivers Factors which influence the
vulnerability, hazard, and/or exposure compo-
nents of risk.
Hazard The event (here, heatwave) causing risk to
a system or component with a given magnitude.
Indices Quantitative metrics based on atmospheric
parameters and other measurements used to mea-
sure the severity of heatwave events.
Return Period The average period expected
between a defined magnitude event.
Vulnerability The relationship between a haz-
ard’s magnitude and the relative damage expe-
rienced by the component or system of interest.
Definition of the Subject
Heatwaves are widely reported natural hazards
that cause a myriad of negative impacts. Due to
© Springer Science+Business Media, LLC, part of Springer Nature 2021
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_1102
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2020, https://doi.org/10.1007/978-1-4939-2493-6_1102-1
climate change, heatwaves are predicted to occur
more frequently and with greater severity than
previously experienced. Despite increasing rele-
vance, formal analysis of heatwaves and their
impacts is limited. Where studies have been
undertaken, there has been little consensus across
the world as to the most appropriate definition and
handling of extreme temperature events.
Introduction
Heatwaves remain one of the deadliest natural haz-
ards globally, causing damage across a wide range
of industry sectors such as human health and infra-
structure [1, 2]. In the health domain, heatwaves
cause more deaths in major cities than any other
extreme weather events [3], and past heatwaves
have caused widespread interruptions and damage
to the health, built environment, energy, transport,
agricultural, environmental, and water sectors. The
consequences of extreme heat events are underrep-
resented in research due to challenges in both defin-
ing a heatwave event and measuring its impacts [4].
Studies conducted suggest that even under
conditions of decreased greenhouse gas emis-
sions, the frequency, intensity, and duration of
such heat events are likely to worsen in coming
decades [5], with losses in population due to nat-
ural disasters expected to increase with both cli-
mate change and growth and concentration [6]. In
contrast, current projections of greenhouse gas
emissions see the frequency, intensity, and dura-
tion of heatwaves increasing significantly, which
are likely to exacerbate the adverse effects of
heatwaves. In most regions around the world, a
1 in 20-year hottest day event is likely to become a
1 in 2-year event due to climate change [7].
Consequently, there is a need to quantify the
impact of heatwaves upon these various sectors,
in order to effectively prepare for, and respond to,
future heatwave events. Heatwave indicators and
indices can act to transform relevant atmospheric
parameters into a risk or exposure level for a
particular sector (i.e., health, infrastructure, etc.)
455
456
Many different heatwave indices and parameters
have been created in this spirit.
At present, many indicators and indices cap-
ture the human health impacts of heatwaves, but
there remains no commonly accepted metric in
this domain [8]. Less research has been under-
taken to quantify the impact of heatwaves on
non-health areas, particularly within the subsets
of infrastructure (electrical, transport, roads, etc.)
and agriculture. The existing literature has identi-
fied some of the broad observed impacts of par-
ticular heatwaves upon various non- health areas,
demonstrating a need for indicators and indices
better suited to these areas, alongside understand-
ing of what drives these adverse outcomes.
As few attempts at evaluating and predicting
the effect of heatwaves on different non-health
sectors have been made, a primary objective of
this research is to create a standardized approach
for determining these impacts and identifying
suitable indicators which can predict and quantify
these impacts. Validating such a framework
through case studies and the like will be neces-
sary. Finally, a case for the release of data for
heatwave analysis from non-health sectors such
that required analysis may be undertaken will
be made.
The need for a structured framework approach
is identified in the critical infrastructure and cli-
mate change review by Mikellidou et al. [9],
which highlights that attempts to quantify impacts
to date have failed to discuss interdependencies
and resilience and often varied in analytical and
methodological approach. Mikellidou et al. [9]
and Hatvani-Kovacs et al. [10] call for an integra-
tive approach to climate change analysis to under-
stand heatwave impacts. A need identified by
Hatvani-Kovacs et al. [10] is the ability for pre-
dictive analysis of heatwave impacts such that
scarce resources may be efficiently utilized.
One approach to natural disaster risk manage-
ment, created by Van Delden et al. [11], is the
Unified Natural Hazard Risk Mitigation Explor-
atory Decision Support System (UNHaRMED).
The UNHaRMED framework uses the risk trian-
gle approach (hazard-exposure-vulnerability) to
determine the risk of natural hazards and is cur-
rently in use for earthquakes, coastal inundation,
Measuring Heatwaves and Their Impacts
riverine flooding, and bushfire events. The frame-
work has the capability for integrated and predic-
tive risk analysis, but not yet been applied to
heatwaves. Similar frameworks include the
health-orientated extreme heat vulnerability
framework created by Wilhelmi and Hayden
[12], and the vulnerability assessment and adap-
tation framework created by Filosa et al. [13].
These approaches to evaluating risk require the
determination of the hazard, the exposure of
stakeholders to the hazard, and the relationship
between the exposure/hazard and the impact that
will be observed.
Heatwave hazards are often defined using indi-
ces which consider some combination of atmo-
spheric variables. These indices are quantitative
and allow for the comparison of different
heatwave events. Relevant in the definition of
indices are the atmospheric variables used to cre-
ate the index. Examples of different heatwave
indices are presented later in this literature review.
The exposure of system components to a given
heatwave event is anticipated to be highly system
and component dependent. An example of expo-
sure may be that electrical infrastructure located
over urban green spaces is exposed to only 80% of
a heatwave’s magnitude due to the cooling effect
of the land use, compared to electrical infrastruc-
ture located over roads, which is exposed to 100%
of the hazard magnitude. It is anticipated that
using geographical information system (GIS)
tools to log components and their properties
(including exposure) will be beneficial in under-
standing heatwaves and their impacts from a spa-
tial perspective.
The hazard intensity and damage relationship
is given in a functional form known as a vulnera-
bility curve. Papathoma-Köhle et al. [14], for
example, consider vulnerability curves in the set-
ting of alpine hazards such as landslides, ava-
lanches, and debris flow. It is anticipated that
expert stakeholder analysis from those familiar
with individual systems will be required for
understanding the impacts of heatwaves. By
understanding the impacts of heatwaves, and
their drivers, it will be possible to identify which
indices will be most relevant to the impacts, and
how the impacts may change with changes in
Measuring Heatwaves and Their Impacts
heatwave events into the future, as characterized
by the indices.
Accounting for external drivers allows for the
exploration of a dynamic system which evolves
over time, subject to drivers such as climate
change, population changes, and land use man-
agement. The incorporation of GIS tools allows
for spatial variation in the measurement of risk,
where vulnerability, hazard, and exposure factors
may vary with location.
Through the creation of a framework which
can determine a level of heatwave risk, it is stip-
ulated that an increased ability to understand and
implement risk mitigation strategies will be
yielded.
Given this definition of risk, the following
literature review seeks to cover the breadth of
indices used to define heatwave events and the
observed impact of the extreme temperature
events and, where attempts have been made, sum-
marize progress in determining the relationship
between the events (indices) and their impacts.
Understanding current knowledge of impacts
and indices will aid in developing a framework
for assessing the risk to various stakeholders asso-
ciated with heatwave events and how this risk may
change with different future scenarios.
Heatwave Indices
Efforts have been made to define and measure
heatwaves using a range of indices, with no con-
sistent definition being used to evaluate these
events [15]. These indices were often created
such that the output of the index corresponds to
the damage the heatwave would cause on a spe-
cific sector [16]. There is no standardized index
for the assessment of heatwave impacts on health
[17] or indeed for any sector. The complexity of
industry-specific indices results in the loss of gen-
erality of such indices [16]. As the impact on
different sectors drives which atmospheric param-
eters of heatwaves are most relevant, it is neces-
sary to use heatwave indices that best align with
the sector being considered. The choice of defini-
tion, and by extension index, is not trivial, with
the method of definition able to fundamentally
457
change the association of impacts to events
[4]. Tong et al. [18] show that for only a small
change in definition was able to have appreciable
impacts on the change in predicted health
outcomes.
Two common approaches to defining
heatwaves are established by Lee [4]:
1. Determine an absolute temperature which must
be exceeded over a set number of days.
2. Determine a relative temperature which must
be exceeded over a set number of days.
In defining the relative temperature, two
approaches are commonly used, either setting
the limit as a percentile of historical temperatures
(i.e., 90th percentile) or as a threshold above a
qualitative definition of “normal” temperatures.
Extensions to the above approaches may
include incorporating (i) a shorter period of higher
temperatures which must occur within the longer
period, in some cases referred to as a multiple
threshold index [16], (ii) overnight temperatures,
and/or (iii) shade temperatures.
Considerable work has been undertaken to cre-
ate an index which best captures heatwave
impacts. Table 1 provides a summary of current
heatwave indices, the considerations made in the
calculation of each index, and whether the index
aims to capture a measure of the intensity of the
event. There are many indices and area-specific
thresholds adopted by different government bod-
ies; however, Table 1 looks to capture the breadth
of unique measures, with preference to those cap-
tured in literature. For the purposes of evaluating
intensity, temperature-adjusted or average temper-
ature measures are not considered as measuring
intensity.
Another distinction between indices is the out-
put of the index. Indices are seen to provide a
binary yes/no classification of whether a heatwave
has occurred; some indices (the EHF, EEHD, and
EEHN) go further and provide a measure of the
intensity of the heatwave (typically by measuring
the level of the index above the defined threshold).
Many of the indices in Table 1 were created
with the intended application in health sectors;
Robinson [19] goes as far as to state that
458 Measuring Heatwaves and Their Impacts

Measuring Heatwaves and Their Impacts, Table 1 Index register, inputs, considerations and outputs of existing
heatwave indices
Max. Min. Relative Intensity
Index Description temperature temperature humidity Other output Reference
Excess heat Based on excess X X X Nairn and
factor (EHF) heat indices Fawcett [20]
(EHIs) –
minimum/max
temperature
average over
3 days
Excess heat Minimum/max X X Nairn et al.
index temp. Average [21]
acclimatization over 3 days, less
(EHI(accl.)) the mean
max/min temp
over the
preceding
30 days
Excess heat Min/max temp. X X Nairn et al.
index absolute Average over [21]
(EHI(sig.)) 3 days, less the
95th percentile
of this average
historically
Three-day The lowest X Scalley et al.
maximum maximum [22]
temperature temperature
(3DMT) over a three-day
period. NSW
and QLD in
Australia use
the 90th
percentile for
the specific date
as a threshold
Daily average Average of X Scalley et al.
temperature maximum and [22]
(DAT) minimum
temperature
over 1 day.
Victoria uses
this index with a
threshold
between 30  C
and 34  C
Three-day The DAT X X Scalley et al.
average with averaged over a [22]
activation three-day
temp. (3DAT) period.
A threshold of
32  C is applied
in South
Australia and
Western
Australia
(continued)
Measuring Heatwaves and Their Impacts 459

Measuring Heatwaves and Their Impacts, Table 1 (continued)

Max. Min. Relative Intensity
Index Description temperature temperature humidity Other output Reference
Heatwave The average X Fischer and
frequency heat wave Schär [23]
(HWF90) frequency,
where
heatwaves are
defined as
6 consecutive
days exceeding
the 90th
percentile of the
historical
control period
(1961–1990)
Heatwave The annual X Fischer and
number number of heat Schär [23]
(HWN90) waves, where
heatwaves are
defined as
6 consecutive
days exceeding
the 90th
percentile of the
historical
control period
(1961–1990)
Heatwave The X Fischer and
amplitude “amplitude” or Schär [23]
(HWA90) average peak
temperature of
the hottest
heatwave per
summer
Heatwave The average X Fischer and
Duration duration of the Schär [23]
(HWD90) longest
heatwave per
summer
Combined hot The average X Fischer and
days and number of days Schär [23]
tropical nights with both
(CHT) maximum
temperatures
exceeding 35  C
and minimum
temperature
exceeding 20  C
Apparent The average X X Steadman
temperature number of days [24],
(Ta_105F) with a Steadman
maximum [25]
humidity-
corrected
apparent
temperature
exceeding
(continued)
460 Measuring Heatwaves and Their Impacts

Measuring Heatwaves and Their Impacts, Table 1 (continued)

Max. Min. Relative Intensity
Index Description temperature temperature humidity Other output Reference
40.6  C
(105  F). Ta is
based on the
relationship
between
humidity and
temperature and
is based on
human heat
exchange. Also
referred to as the
heat index
Daytime high The heat index X X X Robinson
and nighttime (Ta) is expected [19]
low heat index to reach 40.6  C
(Ta max/min) with a minimum
temperature not
below 26.7  C
over a period of
at least 48 h
Heatwave The daily X Frich et al.
duration index maximum [26]
(HWDI) temperature of
more than
5 consecutive
days exceeds
the normal
average
maximum
temperature by
5  C, the normal
period being
1961–1990
Predicted mean Predicts the X X Fanger
vote (PMV) human thermal (1970) cited
comfort by Perkins
response to and
bioclimates in Alexander
terms of a [16]; Fanger
psychophysical [27]
scale
Physiological A measure for X X Mayer and
equivalent human thermal Höppe [28]
temperature comfort which
(PET) translates an
actual
bioclimate into
a relatable
indoor
environment in
which the same
thermal stress
would be
experienced
using human
(continued)
Measuring Heatwaves and Their Impacts 461

Measuring Heatwaves and Their Impacts, Table 1 (continued)

Max. Min. Relative Intensity
Index Description temperature temperature humidity Other output Reference
energy balance
models
TX90pct A maximum X Perkins et al.
temperature [8]
threshold based
on the 90th
percentile of
calendar day
temperatures
with a 15-day
window
TN90pct A minimum X Perkins et al.
temperature [8]
threshold based
on the 90th
percentile of
calendar day
temperatures
with a 15-day
window
Universal Predictor for X Lam et al.
thermal climate human thermal [29]
index (UTCI) comfort based
on air
temperature,
relative
humidity, wind
speed (at 10 m
above ground),
and mean
radiant
temperature
(which can be
derived from
globe
temperature)
HWD1/hot The daily X Hansen et al.
days maximum [30], Collins
temperature et al. [31]
above 35  C
(about top 1%)
for 3 or more
consecutive
days
Hot nights Nights with a X Collins et al.
minimum [31]
temperature
equal to, or
above, 20  C
Relatively Days with a X Collins et al.
warm days maximum [31]
temperature in
the upper 95th
percentile
(continued)
462 Measuring Heatwaves and Their Impacts

Measuring Heatwaves and Their Impacts, Table 1 (continued)

Max. Min. Relative Intensity
Index Description temperature temperature humidity Other output Reference
Relatively Nights with a X Collins et al.
warm nights minimum [31]
temperature in
the upper 95th
percentile
EHD/EHN The number of X X Trigo et al.
days/nights over [32]
a period where
the maximum/
minimum
temperature
exceeds the 95th
percentile level
for that measure
Multiple A lower X Meehl and
threshold index threshold T2 Tebaldi [33]
(here the 81st
percentile)
temperature
must span the
duration of the
heatwave event
and contain a
shorter period of
3 days in which
the daily
maximum
temperature
must exceed
threshold T1
(here 97.5th
percentile). The
average daily
maximum
temperature
must be above
T1 for the entire
period
EEHD/EEHN The sum of X X X Trigo et al.
(exceedance exceedance [32]
extreme hot degrees on days/
days/nights) nights over a
period where
the number
maximum/
minimum
temperature
exceeds the 95th
percentile level
for that measure
Measuring Heatwaves and Their Impacts
heatwaves cannot be defined without reference to
the human condition. The relevance of these indi-
ces in non-health applications is of interest as
these indices are analyzed.
Heatwave Impacts
As highlighted, existing heatwave indices have
often been tailored to consider the vulnerabilities
of the individual sectors, such that realized
heatwave impacts on different sectors are most
accurately indicated by the appropriate index. In
order to inform the design of the risk management
framework as well as provide insight into its
application, an understanding of the impacts of
heatwaves upon different sectors should be
developed.
The impacts of heatwaves are recognized by
many sector experts, as surveyed by Forzieri et al.
[34], summarized in Table 2. The coverage of
such impacts in literature lags the views expressed
in Table 2, as shown in the subsequent sector-
based analysis of the impacts of heatwaves.
Figure 1 demonstrates the range of sectors which
heatwaves impact, which are individually consid-
ered ahead (referred to as impact diagrams). These
diagrams only incorporate impacts which are
supported by a reference to literature.
Health Sector
Excess mortality due to heatwaves, especially in
vulnerable populations, is a well-identified impact
of heatwaves [32, 35–38]. Between 1844 and 2010
extreme heat events were responsible for a higher
death total than all other natural hazards combined
[36]. Long-duration, high-temperature events are
seen to have the largest mortality effects [39]. Heat-
related deaths are seen to be increasing over time
[35]. Heatwaves occurring earlier in the summer
season were seen to cause greater impact than those
occurring later [39]. Despite taking such a focus in
research, health impacts due to heatwaves often go
undetected [40] or are underreported [4, 41].
A large number of demographics have been
identified as increasing vulnerability to heatwaves
including gender [32], age [32], socioeconomic
463
status [42, 43], and those with pre-existing medical
conditions [37]. Heatwaves are identified to have
exacerbated impacts on people suffering from men-
tal health disorders [30]. The accessibility and
affordability of air conditioning in combatting
adverse heat-related health impacts are of particular
importance [44]. During the 2003 heatwave in
Portugal, it was found that the use of air condition-
ing systems in intensive care units led to a 40%
reduction of deaths, when compared to units which
did not have air conditioning systems (Instituto
Nacional de Saúde, cited in [32]). The concept of
energy poverty with respect to being able to afford
energy requirements is outlined and linked to
health impacts during heatwaves due to air condi-
tioning affordability [42].
Occupational health impacts of heatwaves are
of economic consequence, where work-related
ambulance call outs and compensation claims
increased during heatwave events [45, 46]. It is
identified that the impact of delays and other
implications with regard to public transport
could greatly impact an individual who relies on
this service to fulfil activities that allow them to
have access to such necessities as critical medical
assistance and medicine [47].
Figure 2 below describes the range of impacts
extreme heat events have on the health sector.
Note the external drivers affecting the observed
impacts, with some relating to heatwave impacts
upon other sectors. These have been color coded
depending on which sector the drivers stem from
and have corresponding dashed line arrows. This
highlights the interdependencies between differ-
ent heatwave-impacted sectors. Note, this color
coding scheme has been used throughout the
review for all related impact diagrams.
Built Environments
Within buildings and structures, heatwaves can
cause stresses due to thermal expansion in con-
crete, steel, and insulated glass units. Problems
with protective finishes have also been
reported [48].
Thermal conditions indoors can be poorer than
those outdoors during heatwaves [49], depending
on how heat resilience is considered in building
464 Measuring Heatwaves and Their Impacts

Measuring Heatwaves and Their Impacts, Table 2 Sector sensitivity to heatwaves. Sensitivity of different industries
to the impacts of heatwaves, as adapted from Forzieri et al. [34]
Sector No Low Medium
Energy Solar power plants Hydro power plants Coal power plants
Wind power plants Electricity distribution Gas power plants
Gas pipelines Electricity transmission Oil power plants
Nuclear power plants
Biomass power plants
Geothermal power plants
Transport Inland waterways Local roads
Ports National roads
Airports Motorways
Railways
Industry Metal industry
Mineral industry
Chemical industry
Refineries
Social Education Water and waste
Health Treatment

Measuring Heatwaves
EXTERNAL DRIVERS
and Their Impacts, ENERGY
Fig. 1 Impact diagram
overview. Impact of
heatwaves upon different
sectors HEALTH TRANSPORT
EXTREME
TEMPERATURE
EVENTS
BUILT AGRICULTURE
ENVIRONMENT

WATER ENVIRONMENT

design. Hatvani-Kovacs et al. [49] show that heat-
resistant design is discouraged by Australia’s
Nationwide Energy Rating Scheme, leading to
an increased reliance on air conditioning than in
traditional buildings. Passive strategies for heat-
resistant design are recommended as an alterna-
tive to air conditioning reliance [43, 50].
Poor-quality housing is identified as increasing
vulnerability of populations to heat-related mor-
tality, often tied to people from poor socioeco-
nomic backgrounds [43].
The creation of urban heat islands (UHI) in
dense cities due to the removal of urban green
spaces has received some attention within
literature [48, 51], leading to increased rates of
mortality and heat-related illness [48]. It is noted
that through the relationship between the built
environment and UHI is not always clear:
reintroduction and irrigation of urban greenspaces
can reduce local temperatures [10]. Figure 3 dem-
onstrates the impacts of heatwaves upon the built
environment, including a single external driver.
Energy
Extreme temperatures impact electricity genera-
tion, transmission, distribution, and demand
[52]. Heatwaves are a source of brownouts and
blackouts (or failure) [52]. Power failures have
Measuring Heatwaves and Their Impacts 465

Measuring Heatwaves
and Their Impacts, Pre-existing
Fig. 2 Health impact Urban Heat Islands
(UHI) & Building Medical Conditions
diagram. Heatwave impacts
and interdependencies upon Design
the health sector Transport
Airconditioning Failure
Failure
HEALTH
Increased
Increased Morbidity
Mortality

Pressure on Occupational Health

Emergency & Safety (OH&S)
Services Losses

Measuring Heatwaves
and Their Impacts, Building
Fig. 3 Built environment
Code
impact diagram. Heatwave
impacts and
interdependencies upon the
built environment sector
BUILT
Increased ENVIRONMENT Urban Heat
Indoor Temp. Island (UHI)

Expansion
Stresses

been observed as a result of heatwaves in Chicago
[35], Melbourne [1], Southeastern Australia [2],
and others [53]. High nighttime temperatures also
increase the vulnerability of electricity transmis-
sion systems to failure, as systems cannot shed
excess heat [2].
Significant energy loss in transmission and
distribution systems result from heatwave events,
due to both higher conductor resistivity, higher
ambient temperatures reducing the effectiveness
of heat-dissipating transducers, and higher
demand [53, 54]. Aivalioti [52] describes how
network losses in distribution and transmission
systems increase by 1% for every increase of
3 degrees Celsius in ambient temperatures, in
systems with already existing losses of 8%.
Various modes of renewable energy generation
are negatively affected by extreme heat events.
Solar power cells see lower efficiency under con-
ditions of increased temperature, with increases in
soil temperatures of solar PV power plants also
lowering capacity of underground conductors
[9]. Hydropower generation output is decreased
due to increased evaporation in reservoirs, and
snow-covered regions face reductions in output
due to reductions in stream flows [9].
A report from the Grattan Institute [55] estab-
lishes that distribution outages are more than three
times as likely on days hotter than 35 degrees
(an average daily outage per customer of approx-
imately 2.6 min over the 2009–2018 period) as
compared to days below 35 degrees (0.7 min per
466
Measuring Heatwaves
and Their Impacts,
Fig. 4 Energy impact
diagram. Heatwave impacts
and interdependencies upon
the energy sector
Power
Failure
day per customer). Network sensitivities are
caused by heat expansion causing wires to sag,
transformer overheating, and an increased ten-
dency of fuses to blow [55]. Heatwaves can result
in peak demands [49], as observed by South
Australia and Victoria in 2009 when temperatures
drove electricity demand to reach record
maximums [56] (Fig. 4).
Transport
Transport infrastructure is reported to have been
negatively affected during the 2003 heatwaves in
the United Kingdom [40]. Public transport is often
affected to the point where the economic loss to a
city can be high, without changes to maintenance
regimes, Dobney et al. [57] estimated that during
extreme summers, the loss due to transport delays
alone could reach GBP 23 million. Public trans-
port infrastructure can be damaged in the long
term due to heatwaves, and prolonged extreme
heat is an identified cause of both jointed and
continuously welded track buckling [58,
59]. The number of buckles and thus delays
expected per year are shown to increase without
improvements [59]. Almost half of Melbourne’s
trams are Comeng trains, in which air condition-
ing units are not designed to operate above 34.5
degrees Celsius [2], although the role in this being
the direct cause of train cancellations in the 2009
event is of debate [2].
Roads and vehicles also show the effects of
heatwaves. Case studies highlight “flushing” or
“bleeding” as an impact of extreme heat on road-
ways (typically those with a sprayed sealing),
Measuring Heatwaves and Their Impacts
Peak
Demands
ENERGY
Decreased
Efficiencies
Reduced Renewables
Generation
which can lead to reduced skid resistance
[1]. This was seen to occur on major highways
in Victoria during the 2009 heatwave and typi-
cally affects regional areas more than inner cities,
where councils have the ability to invest in heat-
resistant roads [1]. Heatwaves during construction
of roadways often result in moisture loss in con-
crete which leads to an increased chance of
cracking [53].
Tires are also susceptible to extreme heat
events. Expanding air increases tire pressure and
therefore increases the chances of a tire blowing
out [53].
Impacts on the transport sector are often diffi-
cult to avoid. The trigger point for rail track buck-
ling is unknown and is believed to have multiple
and hard to measure variables such as how well
tracks have been maintained over the years [57,
60]. Figure 5 describes the impacts (and identified
external driver, dependent upon heatwave impacts
from a different sector) of heatwaves upon the
transport sector.
Agriculture
Past heatwaves have seen significant damage to
the agriculture sector, more specifically within
both crops and livestock. Herold et al. [61]

reported that temperatures above 30 C for a single
day have been shown to reduce grain develop-
ment, as supported by the findings of Coumou
and Rahmstorf [62] who reported that record-
breaking hot summers in Western Europe
(in 2011) and Russia (in 2010) caused grain har-
vest losses of 12% and 30%, respectively. Further
Measuring Heatwaves and Their Impacts
Measuring Heatwaves
and Their Impacts,
Fig. 5 Transport impact
diagram. Heatwave impacts
and interdependencies upon
the transport sector
Road
Damage
Measuring Heatwaves
and Their Impacts,
Fig. 6 Agriculture impact
diagram. Heatwave impacts
and interdependencies upon
the agriculture sector
Reduced
Harvest
impacts on crops include tree and vine damage,
loss of yield, reduced quality of final products,
and greater input requirements [60].
While dry spells can be damaging in the short
term to many plant species, heat stress more
severely affects crops than dry spells in the short
term. Warming and drying of soil in extreme heat
can adversely affect soil, and root damage can also
occur in warm soils [53].
When considering livestock, extreme heat
events have been observed to result in both live-
stock deaths and lower fertility rates [60]. Live-
stock also require increased inputs (such as
water), and in the dairy industry, lower yields
have been observed during heatwaves [60].
Figure 6 describes the impacts of heatwaves
upon the agriculture sector (with included external
driver, stemming from impacts upon another
sector).
Natural Environments
Easterling et al. [63] summarize a variety of dif-
ferent environmental and biological processes
467
Power
Failure
TRANSPORT
Rail Damage
Delays and Economic
Losses
Reduced
Water
AGRICULTURE
Livestock
Deaths
which can occur rapidly at particular thresholds
for temperature, with extreme temperature events
suggested to be drivers of ecological response by
Parmesan et al. [64]. In the wild, species are often
able to adjust to temperature changes; however,
there is a tipping point at which species cannot
adjust anymore, and species will begin to die
[60]. Many examples of this can be seen in the
wild, such as large losses to salmon populations in
Canada due to heat stroke [64]. Waterbodies
exposed to heat can rise in temperature, leading
to anaerobic conditions at the bottom of the lake
floor and a drop in dissolved oxygen (DO). With-
out adequate volumes of DO, fish respiration
decreases [53].
It is not just the deaths of wildlife that increase
in heatwaves. Continued high temperatures may
lead to poleward shifts in ecosystem distributions,
constrained animal ranges, and altered gender dis-
tributions and physiological characteristics
[53]. According to Parmesan et al. [64], for
many reptile species, “an individual’s sex is deter-
mined by the maximum temperature experienced
468
Measuring Heatwaves
and Their Impacts,
Fig. 7 Environment
impact diagram. Heatwave
impacts and
interdependencies upon the
environment sector
Water
Quality
during a critical phase of embryonic develop-
ment.” The effect of heatwaves is often just a
further stress on an ecosystem, and the magnitude
of the damage from a heatwave is related to how
much stress a system is already under [60].
Figure 7 describes the impacts of heatwaves
upon the environment sector, with included driver
related to heatwave impacts on a different sector.
Water
The Queensland University of Technology [2]
report finds that water usage increases during
heatwaves. Usage for Melbourne in 2009 was
usually between 900 and 1000 ML per day, but
on days above 40  C, it often reached over
1500 ML per day [2]. Environmental impacts of
heatwaves are often unknown [60]; however, if
ecosystems are damaged by heatwave events, this
is expected to reduce the quantity of water pro-
duced and increase costs of treatment [60]. Evap-
oration from reservoirs goes up during high
temperatures in some reservoirs [2].
Links to other sectors can affect or are affected
by water supply. During Melbourne heatwaves in
2009, the Queensland University of Technology
[2] states that problems in water supply arise
when electric motors fail due to the heat or because
they are indirectly compromised as a result of
power outages. If peak demands are not accurately
forecasted, then a supply shortfall can occur
[60]. Despite some of these shortfalls, water infra-
structure is considered one of the most robust sec-
tors and is often most capable of functioning in
high temperatures [2].
Figure 9 refers to the impacts of heatwaves
upon the water sector, with relevant driver stem-
ming from impacts on the energy sector shown.
Measuring Heatwaves and Their Impacts
Reduced
Water
ENVIRONMENT
Broad Species
Dependent Impacts
Application of Indices to Impact Analysis
Understanding how impacts change with the
exposure of different systems to heatwave events
of different intensities is necessary such that the
risk of such systems degrading or becoming
compromised may be understood. For this rea-
son, determining the functional relationship
between impacts and events (defined by indices)
is of interest. Table 3 provides a summary of
various systems with corresponding indices
used and the threshold for each, along with
dependency lags and key comments about the
measurement of heatwave impacts for each
system.
All air temperatures in Table 3 are measured at
2 m, and it is not documented within the QUT [2]
report how the heat stress response dependencies
were created.
Health Domains
Jian et al. [17] demonstrate that the EHF is poten-
tially a useful indicator for studying the number of
admittances to emergency departments. Trigo
et al. [32] found that the exceedance extreme
heat days index was more useful in predicting
health impacts than indices based on relative over-
night temperatures and absolute maximum/mini-
mum temperature measures. Analysis by Scalley
et al. [22] found that the EHF was a better predic-
tor for health service utilization during heatwaves
when compared to a 3DMT and 3DAT indexes.
Comparison of ten factors in Brisbane by Tong
et al. [18] found no conclusive evidence as to the
most appropriate heatwave definition for measur-
ing health impacts when comparing both relative
and absolute heatwave indices.
Measuring Heatwaves and Their Impacts
For the apparent temperature index, several
accepted critical thresholds are defined (Granger
and Berechree, cited in [65]):
• Ta = 32 degrees Celsius and above: Cramps or
exhaustion
• Ta = 41 degrees Celsius and above: Heat stroke
• Ta = 54 degrees Celsius and above: Heat stroke
or brain hemorrhage very likely
The creation of the relationship between the
index value and the system response (impact)
allows for the creation of the vulnerability curves
which are then able to be used as an input into the
conceptual framework of risk assessment, as
described in the introduction.
Non-health Domains
Currently, there is no proper framework to mea-
sure the impacts of heatwaves on most non-health
domains using heatwave indices. Within Table 3,
there are temperature thresholds for certain non-
health domains. Electricity demand, energy trans-
mission, and transport infrastructure have all been
given threshold limits. Very little literature has
been found which applies indices to the study of
heatwave impacts.
Analysis
Apparent in literature but not explicitly
highlighted is the interdependencies between
different sectors – for example, heatwaves caus-
ing blackouts (affecting the electricity sector)
can lead to air conditioning failures, leading to
higher mortality and morbidity (within the health
Measuring Heatwaves
and Their Impacts,
Fig. 8 Water impact
diagram. Heatwave impacts
and interdependencies upon
the water sector
Supply
Shortfall
469
sector). The impact diagrams throughout this
literature review highlight the range of interde-
pendencies between different systems, which
existing heatwave indices do not consider. Incor-
porating this into the proposed framework is an
objective of the proposed research, and using
this in practice would be a breakthrough in the
modeling and understanding of heatwaves – this
however will prove challenging. While Fig. 2
shows that the health sector is most impacted
by other sectors, this is likely a result of the
health sector being the predominant focus of
existing heatwave research and not necessarily
an accurate depiction of the interdependencies
between sectors.
Figure 9 reiterates the interdependencies
between heatwave impacts on different sectors
as highlighted by the previous impact diagrams,
on a more macroscopic scale. For example,
heatwave impacts on the energy sector have con-
sequent negative outcomes on the transport,
health, and water sectors, with these impacts
being explicitly named in Figs. 2, 5, and 8.
Application of the proposed framework
requires the identification of system components
at risk. This will require expert input, from the
relevant sector – for example, the question of
which aspects of temperature are most relevant
to causing failure of distribution systems could
only be answered by an individual with technical
expertise in this area. An exploration of some of
these relevant parameters and system components
as available in existing literature has occurred
throughout this review, but the broader applica-
tion of the framework would likely require spe-
cialized consultation with experts.
Power
Failure
WATER
Reduced
Water
470 Measuring Heatwaves and Their Impacts

Availability of specific system data is reported
as a barrier in a number of different fields for the
prediction of heatwave impacts: rail [57], energy
[54], and predictably others (Fig. 9).
Impacts
The impact of heatwaves on health has been thor-
oughly discussed in literature; however, there is a
significant lag between the desire for understand-
ing of the impact heatwaves have on non-health
sectors and existing literature explaining and mea-
suring this impact.
Many impacts of heatwaves, including impacts
on power and road condition, are documented in
“gray” literature (such as government reports),
and mainstream media appear to be underrepre-
sented in the literature, as demonstrated by
Fig. 10. In this figure, 100% represents the num-
ber of results which are returned in each search
engine when the term “heatwave” is searched. The
disconnect between both media (Fig. 10) and
industry (Table 2) concerns and the focus of liter-
ature (predominately on health impacts) suggests
that there is a requirement for literature to catch up
in many sectors. The impact of heatwaves on
water demand, for example, is identified as an
area where little to no research has been under-
taken [10], despite water-sensitive design being
identified as a key consideration for adaption to
climate change [66]. While there is an abundance

Measuring Heatwaves
and Their Impacts, ENERGY
Fig. 9 Heatwave impact
interconnections.
Interconnectivity of
heatwave impacts across HEALTH TRANSPORT
different sectors as
observed in literature

BUILT AGRICULTURE
ENVIRONMENT

WATER ENVIRONMENT

Measuring Heatwaves and Their Impacts, Table 3 Heatwave index response relationship. Responses between a
system and heatwave index as adapted from Queensland University of Technology (QUT) [2]
Index and Dependency,
System threshold ( C) lags Comments
Human mortality DAT: 30 Linear, Threshold varies with location, nonlinear for severe
1–3 days episodes
Mental disorders 3DAT: 28–30 Quadratic, Variable between disorders and medication
1–3 days
Electricity DAT: 25 Quadratic, Variable between load and house types
demand 0–3 days
Energy HWD1: 40 Complex Basslink has different thresholds for Victorian and
transmission Tasmanian ends of link
Transport HWD1: 35 Unknown Different for buckling and discomfort
infrastructure Speed restrictions for UK train transport are enforced
from 36  C [59]
Tourism demand 3DAT: 35 Unknown Other weather factors important
Air quality HWD1: 28–30 Exponential Dependent on presence of hydrocarbons and moisture
(smog)
Measuring Heatwaves and Their Impacts
of knowledge about the effect of heat on the
natural environment, there is little knowledge
about the effect of heatwaves [53, 60]. That is,
the effect of sustained periods, and different inten-
sities, of heat on the natural environment is pre-
dominantly unknown. A symptom of the current
health-orientated focus of heatwaves is that
impacts of heatwaves and heatwave risk mitiga-
tion are formally dealt at an institutional level
through health services in London [67].
Figure 10 also raises the issue of source reli-
ability. In order to holistically consider all the
impacts of heatwaves, it is often necessary to
draw upon “gray” literature to explore impacts
which formal literature does not. While these
sources can provide valuable information, the
credibility as well as quality of the information
can come into question – for example, Table 3 as
adapted from [2] provides little explanation as to
the origin of the dependency/lags between differ-
ent systems and their heat stress responses,
whereas the impacts and drivers upon human
health are well documented from a range of dif-
ferent peer reviewed and credible sources.
While significant efforts have been made
to determine the characteristics of a heatwave
that drive adverse human health effects (often
capturing these effects through indices), other
80%
Percentage of Searchs with Keyword
70%
60%
50%
40%
30%
20%
10%
0%
Health
Measuring Heatwaves and Their Impacts, Fig. 10 Literature coverage of different sectors. Percentage of search
results containing “heatwave” and an additional keyword
471
non-health domain areas lack indices to effec-
tively predict negative impacts and their severity.
Furthermore, some sectors lack understanding as
even to which heatwave-associated atmospheric
parameters drive adverse outcomes on non-health
domains.
Existing literature shows a desire to understand
and predict these outcomes, with case studies on
the 2008 and 2009 heatwaves across major south-
eastern cities in Australia exploring the impacts of
these events upon the transport sector (roads and
railways) and electrical sector [2].
Indices
Disagreement exists between the existing indices as
to what atmospheric variables should be considered.
Of the 30 observed indices, 22 take consideration of
maximum temperature, 12 consider minimum tem-
perature, 4 consider relative humidity, and 3 consider
other variables (including wind speed and radia-
tion). There are only three indices which transform
temperature-based metrics into an intensity measure
(the EHF, EEHD, and EEHN).
Many indices rely on the determination of a
temperature threshold, often determined as a
given percentile (e.g., the 90th percentile) of his-
torical recorded temperatures for a given region.
The use of a historical measure of temperature
Google Web of Science
Infrastructure Road Building Power Rail
Key Word searched with "Heatwave" in Database
472
carries merit where the index is applied to health
sectors, as the human physiology has evolved to
cope with this historical temperature. However,
when applied to other sectors, such as infrastruc-
ture, a historical measure may be less meaningful
such as when considering material properties, for
example.
Indices based on absolute thresholds are iden-
tified as being not suitable in some regions [16];
however, absolute thresholds are sometimes nec-
essary when considering the impacts of heatwaves
[16] and can be easier for policy makers and the
general public to interpret [31]. Some indices
focus on summer season thresholds (such as the
HWA90), annual thresholds (such as the EHF and
HWN90) (as discussed in Perkins and Alexander
[16]), or calendar-based thresholds (TX90pct) to
account for heatwaves occurring at different
times. Existing research has not discussed the
benefits or drawbacks of the application of these
different classes of thresholds to the performance
of the indices.
A suggested reason for the difference between
the findings on the impact of heatwaves on human
health may be due to the selection of indices
chosen to study the impacts. EEHD and EHF
indices used by Trigo et al. [32] and Scalley
et al. [22], respectively, measure the intensity of
the heatwave events, as compared to those used by
Tong et al. [18], which only determine tempera-
tures on days are, or are not, “heatwave” days. It is
stipulated that the intensity then of heatwave
events is important and not just the heatwave/not
heatwave condition. This comparison highlights
the complexity and importance of selecting an
appropriate heatwave index.
Karl and Knight [68] identify that while urban-
ization tends to increase temperature, it also tends
to decrease moisture supply and thus possibly
reducing Ta (a humidity-adjusted temperature
measure), shown in Table 1. This reflects the
complexity in selecting indices and incorporating
required information when evaluating heatwave
impacts in a changing environment.
Perkins and Alexander [16] acknowledge the
inability of many (or all) indices to capture the
range of heatwave characteristics and attributes
properly. This, paired with the diversity of sectors
Measuring Heatwaves and Their Impacts
in which heatwave analysis must be undertaken,
leads to the admission that there is likely no “ulti-
mate” index which is globally applicable for the
assessment of heatwave impacts. As an alterna-
tive, it is suggested that a “toolbox” of indices is
created, with the indices which have been verified
for individual sectors noted. The use of different
hazard-characterizing variables (here indices) for
the creation of vulnerability curves was coherent
with the analysis of natural disaster risk in the
alpine setting presented by Papathoma-Köhle
et al. [14].
Considerations must be made for the availabil-
ity and practicality of heatwave indices which rely
on specific data (such as the PMV or PET)
[16]. Apparent temperature is identified as one
index which balances data requirements and spec-
ificity of index results well [16].
It is important to be aware that caution needs to
be taken when analyzing return periods for stud-
ied heatwaves. Due to the complexity of the
nature in which heatwaves propagate, estimates
in the form of “1 in N year” events may assume
climate and urban structure stationarity while also
failing to miss vital heatwave drivers [2].
Future Directions
The occurrence of heatwaves is of concern to a
wide range of sectors. Significant research has
been undertaken in studying the impacts of
heatwaves on health. In accordance with this,
many indices which have been developed to mea-
sure heatwaves are, directly or indirectly, centered
around the human condition. As heatwaves
worsen in duration and severity, impacts will
increasingly be felt in non-health domains, such
as infrastructure and electricity. The applicability
of existing heatwave indices in monitoring and
predicting impacts on these sectors is of question,
and developing a standardized approach to evalu-
ating heatwave impacts is vital for planning and
responding to future extreme temperature events.
In addition to the application of heatwave indi-
ces to non-health domains (whether through cre-
ation of new indices or modification/application
of existing ones), the creation of a standardized
Measuring Heatwaves and Their Impacts
framework and index “toolbox” for the evaluation
and prediction of heatwave impacts across sectors
would provide structure to the assessment of
heatwave impacts on many non-health domains.
Such a framework could be universally applied to
heatwave-affected sectors.
Useful outputs from the framework may include
risk mapping of vulnerable infrastructure/compo-
nents of industry sector systems; estimated average
return periods for impacts; and economic cost eval-
uation under different scenarios.
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 By-Product By-products are formed in emissions
Industrial Emissions Control control processes due to incomplete mineraliza-
Technologies: Introduction tion. Ideally, pollution is completely broken
down or trapped; often this is not the case.
Szymon Kwiatkowski1, Merve Polat1, Weijia Yu1 Contact Time The contact time t is a crucial
and Matthew Stanley Johnson1,2 metric in characterizing a pollution control
1
Department of Chemistry, University of system, aiding design and allowing compari-
Copenhagen, Copenhagen, Denmark son between different systems. It is the ratio
2
Airlabs, Copenhagen, Denmark between the length of the treatment system l,
for example, the contact region of a scrubber,
catalyst, or adsorbent, and the velocity of air
Article Outline flow v. In all, t ¼ l=v. The treatment system can
be described using a first-order removal rate k,
Glossary linking the pollution’s input and output con-
Definition centrations Cout and Cin [2]:Cout = Cin  ekt
Introduction Energy Intensity The energy intensity in the pol-
Chemical Description of Pollution lution control system can be described using the
Economic Analysis specific energy input (energy input per mass of
Filtration, Thermal Oxidation, Electrostatic air, e.g., J/kg) or the volumetric energy input,
Precipitator, and Cyclone also called the energy density (e.g., J/m3).
Heterogeneous Catalysis Explosion Limits and Range A mixture of a
Scrubbers given combustible compound in the air is typ-
Gas Phase Advanced Oxidation and Vapor ically explosive over a range extending from
Recovery the lower explosion limit to the upper explo-
Green Chemistry sion limit [3]. The limits are given in %(v/v).
Conclusion and Future Prospects The lower limit is the concentration below
Literature which flame cannot spread and vapor doesn’t
ignite from a spark. The upper limit is the
Glossary concentration above which a flame does not
spread. For example, the explosion range
Aerosol Aerosols are suspensions of solid or liquid for ammonia is 15–28% [3]; for methane,
particles in a gas and occur when mixing from 5–15% [3]; for benzene, 1.2–7.8% [3]; and
diffusion and circulation is more rapid than grav- for formaldehyde, 7.0–73% [4].
itational settling. In common usage, “aerosol” Exposure Limit The exposure limit describes
can refer to the particulate matter. Atmospheric the legally allowable average concentration a
particulate matter can be emitted directly (“pri- human can be exposed to for a given period. It
mary aerosol”) or formed in the atmosphere by can be expressed as an 8-hour time-weighted
gas-to-particle conversion processes (“secondary average or a yearly average. Exposure limits
aerosol”). Atmospheric aerosol particles range in assure workers health and safety in different
size from a few nanometers (nm) to tens of fields of employment.
micrometers (mm) in diameter [1]. Externality An externality is a cost or benefit
imposed on a third party unrelated to those
who buy and sell [5]. Positive or negative
Szymon Kwiatkowski and Merve Polat contributed effects on the third party are called positive
equally to the article. and negative externalities, respectively [6]. For
© Springer Science+Business Media, LLC, part of Springer Nature 2021 477
M. E. Goodsite et al. (eds.), Air Pollution Sources, Statistics and Health Effects,
https://doi.org/10.1007/978-1-0716-0596-7_1083
Originally published in
R. A. Meyers (ed.), Encyclopedia of Sustainability Science and Technology, © Springer Science+Business Media, LLC,
part of Springer Nature 2019, https://doi.org/10.1007/978-1-4939-2493-6_1083-1
478
example, if one party buys a tree and plants it,
the buyer and seller benefit, and others may also
benefit from the shade and fruit. Or, if one party
buys a leaf blower with a polluting two-stroke
engine, buyer and seller benefit, but others may
be impacted by air pollution and noise.
Global Warming Potential (GWP) The global
warming potential is a metric that allows direct
comparison of many different climate forcing
agents. The GWP represents the amount of
heat trapped in the atmosphere by a kilogram
of the compound of interest relative to the heat
trapped by a kilogram of CO2. Heat-trapping is
determined by integrating the radiative forcing
over a defined time period called the time hori-
zon [7]. For example, the global warming
potential for methane is 72 over a 20-year
time horizon [8].
Green Chemistry Green chemistry is a pollu-
tion prevention method that focuses on red-
ucing the use and production of hazardous
substances.
Pollution Pollution is any substance introduced
into the environment that has harmful effects.
Removal Efficiency The removal efficiency (RE
%) is a measure of a pollution control system. It
is determined for a specific component based
on its concentration at the inlet (Cin) and outlet
 
(Cout) [2]. RE% ¼ 1  CCout  100. Note that
in
the removal efficiency, by definition, does not
consider the formation of by-products.
Pressure Drop Pressure drop is a difference in
pressure between two defined points [2].
Dp = p2  p1. For example, there will be
a pressure drop across any system that resists
air flow.
Definition
The aim of industrial emissions control is to pro-
tect human health and minimize environmental
impact by reducing air pollution from industrial
emissions. Techniques are traditionally divided
into pollution prevention and end-of-pipe control.
Pollution prevention focuses on minimizing the
possible emissions at the source by modifying or
Industrial Emissions Control Technologies: Introduction
changing the manufacturing process or by modi-
fying the product itself. Pollution control tech-
niques focus on destroying or trapping pollution.
While pollution has been a problem since the
beginning of human civilization, the modern
trends of industrialization, population growth,
and urbanization have meant exponential increase
in both pollution production and exposure. As a
consequence a great deal of effort is directed
toward decoupling economic growth from envi-
ronmental degradation using green solutions and
more efficient technologies for pollution control.
A diversity of new techniques have been devel-
oped, and traditional methods have been refined
and improved. This entry gives an overview of
many of the current emission control technolo-
gies, describing the advantages of different con-
trol systems and their efficiency in pollution
removal and their utility in various applications.
It will investigate the economic and regulatory
structure of emissions control and explore its use
in achieving the United Nations’ Sustainable
Development Goals.
Introduction
Industrial pollution is linked to the industrial rev-
olution that brought together the combined forces
of population growth, increased population den-
sity and industrial activity. The mass production
of commodities and goods by industry required
energy obtained from fuel [7]. Fossil fuel (starting
with coal) was mined at an unprecedented scale,
for heating and power and as a reducing agent.
The engines which powered machines and the
machines themselves were now being built from
metal, driving the growth of mining and refining
[10]. While the industrial revolution contributed
significantly to industrial pollution, pollution
began thousands of years earlier in the Stone
Age, where the first cases of dust pollution in
humans have been identified. People making
stone tools or carving flint from limestone may
have already suffered from silicosis. Further,
hominids living 200,000 years ago have been
discovered with lead poisoning, which may have
been caused by drinking contaminated water
Industrial Emissions Control Technologies: Introduction
[11]. The first known case of metal pollution on a
global scale occurred about 2000 years ago during
the Golden Age of Roman civilization. Analysis
of Greenland ice cores showed significant
increases in atmospheric lead concentrations
long before the industrial revolution. The Romans
processed 80,000 tons of lead annually, a rate that
would not be reached again until the eighteenth
century. The lead was used for making water pipes
and lining baths and for pots and dishes. The
inefficient smelting process used at the time led
to the emission of around 5% of the annual pro-
duction into the atmosphere [12]. A similar phe-
nomenon has been observed for copper at the time
when metal coins spread across the Ancient Med-
iterranean. Due to the primitive smelting technol-
ogies, around 15% of all processed copper ended
up in the air, peaking 2000 years ago with the
astonishing total of 2300 tons released in the
atmosphere annually [13]. More recently, soot
from combustion was seen to impact evolution.
Before the industrial revolution, the number of
black and white moths in Europe was similar;
however, at some point, the population of white
moths declined significantly. Bernard Kettlewell
at the University of Oxford theorized that black
moths blended more easily with their surround-
ings allowing them to escape predation, because
of widespread pollution and soot. The increase in
black moths is an example of one way that pollu-
tion from industry has affected the world we live
in [14]. Unfortunately, despite ongoing advances
in technology and a general rise in human knowl-
edge, industrial pollution remains a serious prob-
lem for mankind and the Earth’s environment.
Studies show air pollution increases the risk of
pulmonary disease and cardiovascular disease and
decreases quality of life and productivity during
working hours [15, 16]. It increases medical costs
and cuts life expectancy [17]. Moreover, the
industrial sector is one of the largest contributors
to air pollution. However, recent European studies
have shown decoupling of industrial production
from emission of pollution. Industrial emissions
have significantly decreased since 2000, whereas
production has remained steady. This can be
attributed to EU legislation and regulation in the
areas of emission limits and pollution control
479
technologies [18]. This entry will introduce indus-
trial air pollution and its impact on the environ-
ment and human health. We will present pollution
control technologies currently used by industry
and discuss their application, efficiency, and
advantages. We will also discuss environmental
policies and regulation of the industrial sector as
well as the economy of air pollution control and
its current and future state.
Chemical Description of Pollution
We will divide pollution into four classes
depending on shared physical and chemical prop-
erties, atmospheric sources, and transformations.
Reduced compounds typically have a biological
origin in reduced material produced by photosyn-
thesis, including fossil material used as fuel.
Reduced compounds as pollution therefore often
result from industrial processes using hydrocar-
bons, for example, natural gas leaks, solvent and
fuel evaporation, and biomass. Oxidized com-
pounds are typically produced by combustion
and may be water-soluble acids. Moreover, the
particulate material in aerosols may derive from
primary emissions, or it may form from oxidation
products produced within the atmosphere. Finally,
industrial processes emit refractory elements and
compounds such as airborne heavy metals associ-
ated with particulate matter. Despite their low
concentrations, they can contribute significantly
to environmental degradation and affect human
health. We will describe particulate matter, oxi-
dized compounds, reduced compounds, second-
ary organic aerosol, and heavy metals in more
detail in the following sections.
Particulate Matter
Particulate matter (PM) is a pollutant consisting of
a mixture of solid and liquid particles of inorganic
and organic substances suspended in the air
[22]. PM is often divided into PM10 and PM2.5.
PM10 is the total mass of aerosol particles with a
diameter of 10 mm or less, and PM2.5 has a diam-
eter of 2.5 mm or less. The different sizes have a
diverse impact on health, for example, PM10 is
filtered by the upper respiratory tract, while PM2.5
480
can deposit deep in the lungs, introducing foreign
materials into the bloodstream [22]. Coarse parti-
cles (diameter > 2.5 mm) are formed predomi-
nantly by weathering of Earth’s crust, dust from
industry and roads such as tire wear or dust from
vehicle breaks. Fine particles are mainly the prod-
ucts of combustion and aerosols nucleation. In the
EU, the industrial sector is responsible for 17% of
all emitted PM2.5 [17]. Industrial processes are the
main source of PM in China followed by station-
ary combustion involving the power industry,
industry, and residential. The industrial processes
include metallurgical, mineral, and chemical
industries and comprise over half of PM emis-
sions, often due to coal. The production of coal,
coke, sinter, pig iron, steel, cement, brick, lime,
etc. also contribute to PM emissions [21].
Oxidized Compounds
The most relevant oxidized compounds emitted
from industrial processes are carbon dioxide, sul-
fur dioxide, and nitrogen dioxide.
The CO2 concentration in the air is 410 ppm
[47]. The atmospheric lifetime of CO2 is uncertain
due to the complexity of the reservoirs of CO2 in
the earth system [48]. For example, there are large
fluxes of CO2 into and out of the ocean with
uptake limited ultimately by mixing of water
into the deep ocean. Similarly, there is an annual
flux of CO2 into and out of photosynthetic plants
with complicated long-term storage in, e.g., tree
trunks and soil [48]. CO2 is a greenhouse gas
(GHG), and the contribution of a GHG to GWP
depends on radiative forcing. CO2 contributes to
global warming with a radiant forcing of 1.67 W/
m2 [1]. The main source of CO2 is fossil fuel
combustion including coal, natural gas, and oil;
cement production and land use change are addi-
tional factors. The industrial sector includes
manufacturing, construction, mining, agriculture,
etc. Heat from coal burning is needed in industries
such as the cement industry, which uses heat for
cement production. It is also used to produce iron,
steel, chemicals, and petrochemical products. The
natural sinks for CO2 are photosynthesis and sol-
vation in the ocean, but deforestation, land use,
and increasing urbanization reduce the natural
green areas limiting the natural sinks for CO2
Industrial Emissions Control Technologies: Introduction
and thereby increasing the CO2 concentration in
the atmosphere [49].
NO2 is a pollutant that is a catalyst for the
formation of photochemical smog and a precursor
of acid rain. Its emission is mostly due to vehicle
exhaust with additional contributions from indus-
trial facilities such as metal refining, food pro-
cessing, etc.[50]. NO2 is a toxic component of
urban air.
SO2 can react with other compounds and form
sulfuric acid and sulfate particles. The source of
the gas is mainly from burning fuel with high
sulfur content (e.g., the shipping industry). Coal
naturally contains sulfur. Burning coal for indus-
trial processes leads to SOx formation, which can
further react with atmospheric water and oxygen
resulting in acid rain [31].
Reduced Compounds
The main reduced compounds are ammonia and
volatile organic compounds (VOC). Methane is
also a VOC, but it is often considered separately
from “non-methane VOC” or NMVOC, because
of its low reactivity and long atmospheric lifetime.
The mean concentration of methane in the atmo-
sphere is 1835 ppb, and the exposure limit is
1000 ppm for 8 hours. Methane is GHG with a
radiative forcing of 0.97 W/m2 and GWP of 72
over a 20 year time horizon. The main industrial
sources of methane are fossil fuel extraction, agri-
culture and waste, incomplete biomass burning,
and man-made wetlands [8].
Benzene is one example of a NMVOC. It is a
carcinogen, mainly emitted from burning coal and
oil and from motor vehicle exhaust. The mean
concentration in the EU ranges from 0.5 to
1.3 ppb, but since it’s a toxic substance, there is
no safe level of exposure recommended by the
World Health Organization (WHO) [41, 44].
Another VOC is formaldehyde, which can be
found at highly variable concentrations in the
order of 100 ppb in the atmosphere. A primary
natural source of formaldehyde is biomass burn-
ing; a lot of secondary formaldehyde is produced
by the photochemical oxidation of other VOCs in
the atmosphere. Industrial sources of formalde-
hyde include chemical manufacturing plants,
Industrial Emissions Control Technologies: Introduction
pulp and paper mills, forestry product plants, coal
processing plants, and the metal industry [42, 44].
Ammonia is another atmospheric reduced gas,
and like VOCs its ultimate source can be biolog-
ical; in addition, large amounts are made in the
Haber-Bosch process for use as fertilizer. Ammo-
nia is the most common reduced nitrogen species
in the air. Ammonia is a corrosive and poisonous
gas and is mainly emitted from agriculture
[51]. It’s emitted from manure storage, slurry
spreading, and the use of fertilizers. It is a major
contributor to fixed nitrogen in the environment.
NH3 deposits in soil, in water, and on vegetation.
In excess, nutrient nitrogen can lead to eutrophi-
cation causing severe damage to the aquatic and
terrestrial environments. It can also decrease the
pH level of soil and water resulting in acidification
and biodiversity loss [18]. Moreover, recent stud-
ies show that ammonia contributes significantly to
the production of regional particulate matter by
reacting with airborne acids, yielding particle
nuclei [52, 53].
Secondary Organic Aerosols (SOAs)
VOCs are important precursors of secondary
organic aerosols. In a study [54] in Beijing, con-
tinuous hourly measurements of VOC were
conducted to investigate the SOA formation
potential and the factors contributing to VOC
during hazy episodes. Photochemical oxidation
of VOC fuel, catalyzed by HOx and NOx radicals,
produces SOA and ozone in the troposphere
[7]. During the hazy events, the concentration of
VOCs was elevated providing both correlation
and mechanism. Aromatic compounds were
found to be the dominant contributor to the SOA
formation potential followed by alkenes and
alkanes. The source profile showed that the sec-
ond highest VOC emissions came from industry.
In conclusion, the photochemical reactions of
VOC are the main reason for hazy events due to
the production of SOA and ozone by the reactions
of aromatic compounds with OH radicals.
Heavy Metals
Heavy metals are common air pollutants, and their
long-range transport has a great impact on the
ecosystem and human health. Although heavy
481
metals are usually present in ambient air at low
levels, their deposition in soils and water leads to a
buildup in the environment. Due to their proper-
ties, heavy metals are very persistent and are not
easily bound or deactivated in the environment.
This, combined with their toxicity, can result in
serious adverse health effect even at low concen-
tration exposures [55]. Many heavy metals are
accumulated in soils and taken up by plants.
Some of them can be transferred from one organ-
ism to the other and biomagnified in animals at the
top of the food chain. Oral exposure is the main
route for human exposure to heavy metals. Inges-
tion of contaminated food and water, in compari-
son with rather low concentrations of heavy
metals in the ambient air, typically has much
more severe adverse effects. Even small emissions
of heavy metals into atmosphere result in their
deposition into soil. Uptake by plants leads to
contamination of the food chain. Therefore, it is
crucial to control atmospheric emissions in order
to decrease deposition and reduce heavy metal
intake by humans [18]. The assessment of metal
and metalloid compounds in ambient air is com-
plicated due to different properties of existing
species and their reactivity, toxicity, and carcino-
genic potential. Hence a good understanding of
different species and their sources is crucial for
proper evaluation of adverse health effects.
The compounds can be characterized using
parameters such as water solubility, particle size
distribution, specific surface area, etc. The param-
eters will play an important role in their toxicity
and bioavailability [55]. Metal in ambient air is
encountered mainly as a component of particulate
matter. EU air quality standards measure heavy
metals according to their concentration in PM10.
However, due to its relatively larger surface area
and its longevity in the atmosphere, fine PM can
have a larger effect on the health impact [56]. Fur-
thermore, fine particles are transported much far-
ther in the atmosphere and affect even the most
remote regions, in contrast to coarse particles
which due to their mass are usually deposited
near the source. The size of a particle will also
determine its deposition in living organisms and
how deeply can they penetrate the respiratory
system and which organs are affected [55].
482
Some of the heavy metals regulated by the
EU air quality standards will be described below.
The main arsenic sources in nature are ore
deposits and volcanic activity. Anthropogenic
emissions come mainly from metal smelters and
fuel combustion [56].
Arsenic is mainly deposited on fine particles
(PM2.5). It can be associated with various long-
term effects in humans including irritation of the
respiratory system, cardiovascular disease, and
neurological effects, especially for occupational
exposure, e.g., smelter workers [57].
Cadmium occurs predominantly in association
with sulfide and zinc ores. It is released naturally
into the atmosphere by volcanic eruptions, forest
fires, and vegetation. Additionally, it is emitted as
a by-product of zinc, lead, and copper production
process as well as the combustion of fossil fuels.
Furthermore, cigarette smoke is an important cad-
mium source [55]. The majority of produced cad-
mium was used in the past for Ni-Cd battery
production, but recently they have largely been
replaced by Li-ion and Ni-MH (nickel-metal
hydride) batteries. Cadmium can be found pre-
dominantly in fine particles and hence has a pre-
disposition for long-range transport. Chronic
exposure to cadmium can result in osteoporosis
as a consequence of changes in calcium metabo-
lism and airway diseases [58]. Cadmium is also
accumulated in the human body, especially in the
kidneys, leading to kidney damage [55].
Natural emissions sources of nickel include
soils, vegetation, forest fires, and volcanic activ-
ity. Man-made emissions consist mainly of com-
bustion, metallurgy, and nickel primary
production (mining, grinding, smelting). Nickel
often shows a significant association with coarse
particles, and up to 30% of total nickel emission
can be found near its source. Data on chronic Ni
exposure in humans is rather scarce and involves
predominantly dermal exposure and allergic reac-
tions [55]. However, recent studies find an asso-
ciation between cardiopulmonary diseases and
PM-deposited nickel species [59].
Lead is released into the atmosphere by natural
processes including volcanic eruption, forest fires,
and biogenic sources. Anthropogenic emissions
are related mainly to fossil fuel combustion as
Industrial Emissions Control Technologies: Introduction
well as iron and steel production. Lead in the
atmosphere is bound to a fine particular matter
which tends to be associated with long-range
transport. This can explain the presence of lead
in polar regions [46]. Atmospheric lead levels in
Europe have decreased significantly during the
last few decades. Airborne lead is currently a
minor exposure pathway; however, before it was
banned from petrol, transportation was a major
source of lead exposure, especially in heavy traffic
areas. Long-term exposure to lead decreases cog-
nitive performance in both adults and children and
leads to anemia, increase in blood pressure, and
reduced fertility in males. Infants and young chil-
dren are especially sensitive to even a low level of
lead, which may result in a decrease in IQ and
behavioral problems [60].
Economic Analysis
Economics and Policies
Industry is a pillar of the world economy. It trans-
forms raw materials into consumer goods and is a
driving force for the economy of both low- and
high-income countries. From 2000 to 2013, the
world average value added from manufacturing
(VAM) decreased from 19.2% to 16.3%. This
trend is attributed to the shift in the world’s econ-
omy from the industrial sector to more service-
oriented sectors and the so-called information
economy. However, CO2 emissions didn’t follow
the trend of VAM; on the contrary, they are
increasing [61].
The relationship between economic growth
and environmental degradation has been studied
for many years and is strongly debated. The envi-
ronmental Kuznets curve (EKC) hypothesis was
introduced as an attempt to describe the relation-
ship between environmental pressure (e.g., air
pollution) and economic growth (income per
capita). The hypothesis assumes an inverse
U curve relationship between the two variables
divided into three phases, distinguished by differ-
ent growth levels of the economies (Fig. 1). In the
first phase, low CO2 emissions per capita are
related to low levels of industrial activity. How-
ever, rapid development and extensive production
Industrial Emissions Control Technologies: Introduction
Industrial Emissions
Control Technologies:
Introduction,
Fig. 1 Environmental
Kuznets curve
result in the acceleration of environmental pres-
sure (CO2 emissions) at still relatively low income
levels. Increasing GDP shifts the economy from
agriculture to industry resulting in an increase in
pollution. At this point, the increase in environ-
mental pressure is less than the increase in GDP
until it reaches a turning point that defines the end
of the second phase. The third phase starts at the
extremum and decreases with increasing income.
This shift is attributed to a behavioral change in
which society sees benefits in the cleaner environ-
ment and is willing to pay for environmentally
friendly products [61]. The turning point of EKC
(the point between second and third phase) has
been estimated by different studies to be between
US$3000 and US$8000 depending on the pollutant
used for the estimation (SO2, NOx, PM) [62, 63].
Seeing air pollution as an externality
(externalized cost) forced governments and econ-
omists to find suitable and cost-effective solutions
to this problem. Standards, including safety, emis-
sions, and technology, were the first attempts by
governments to control air pollution. They regu-
late the concentration of pollutants in the ambient
air, emission quantities, or the technology which
firms must adopt in the production process
[61]. However, the exact value of the standard is
difficult to determine due to competing priorities
and incomplete knowledge. In some cases the
chosen concentration is not optimal in an eco-
nomic cost-benefit analysis; economic impacts
483
are typically easier to quantify than environmental
impacts. Hence the cost-effectiveness of regula-
tions is often the subject of criticism [61]. More-
over, restrictive standards in pollution control may
cause regressive income distributions [64].
The main idea of pollution taxes, another pol-
lution control policy, is to make pollution expen-
sive and thus shift the initiative for pollution
control from regulators to factory owners
[64]. Emission taxes are very efficient from an
economic point of view. The regulator can achieve
the desired level of air quality by setting emission
taxes at an appropriate level. Companies will
reduce their emissions to avoid the tax, but con-
trary to standards, the reduction is dependent on
decisions made at the firm. If emissions reduction
is less expensive than paying environmental
taxes, the company will do it. Otherwise, the
company will reduce less and pay more tax [61].
The final pollution control policy is tradable
emissions rights, also called a “cap and trade”
policy. The policy is based on the idea that com-
panies must have permits to generate emissions.
Regulators can set the number of emissions cer-
tificates allowed, and if companies do not comply
with assigned limits, sanctions are imposed. The
quantity of emissions allowed is chosen to fit the
desired air quality. Furthermore, the allowances
are tradable. If a company manages to reduce its
emissions, it is allowed to sell the remaining part
of the permit to others who might need them
484 Industrial Emissions Control Technologies: Introduction

[61]. The EU adopted its own “cap and trade”
policy called the Emissions Trading System
(ETS). The system faced serious problems during
the economic crisis of 2008–2012. After having
traded at almost 30 € per ton of CO2 in 2008, the
price fell below 3 € in 2013. The reasons for the
dramatic decrease in price included lower energy
use due to the economic crisis, generation of an
allowance surplus in previous years, and alloca-
tion of free allowances for big companies to pre-
vent carbon leakage [65]. At the beginning of
2018, the prices for emission allowances in the
EU increased. The trend has continued, increasing
to almost 25 € per ton of CO2 emitted in January
2019 [66] (Fig. 2).
International environmental agreements (IEA)
are a mark of good will of the signatories which
believe that it is possible to fight environmental
pollution by cooperation. However, cooperation
between so many entities can be very compli-
cated. Game theory analysis was applied to
explain the difficulties and find the most effective
means of cooperation within the international
environmental pollution field. Accession to IEAs
is usually voluntary; therefore to make the coop-
eration possible, treaties must be individually
rational (cost-benefit analysis has to be positive)
for all of the parties. Otherwise, they will not join
the treaty or will violate it. A subsequent problem
for international cooperation is “free riders”: non-
signatory countries who benefit at no cost from the
efforts of the signatories. There is no third-party
institution which can enforce cooperation at the
global level; hence parties have to enforce the
treaty by themselves. To counteract free riders
and punish countries violating the treaty, sanc-
tions have been established. However most IEAs
don’t contain the sanctions due to their voluntary
character. The Kyoto Protocol doesn’t provide
any option for punishing noncompliance, and
even if one should be established by consensus
in the future, Article 27 gives the signatories an
option to withdraw from the treaty within
1 year [67].
In the end, the efficiency of an IEA might be
dependent solely on an outcome of cost-benefit
analysis for each of the signatories. This was
embodied in the great success of Montreal Proto-
col and, arguably, the impact of the Kyoto Proto-
col [68].
External Cost of Air Pollution
Air pollution and wastewater are two key negative
external costs from industrial production that
affect the world. Air pollution is a negative exter-
nality coming from manufacturing, imposing
external costs to people who are not a beneficiary
of the transaction resulted in the production of
pollutants [61]. The cost of air pollution was
investigated by a collaborative study between
the World Bank and the Institute for Health Met-
rics and Evaluation at the University of
Washington, Seattle. The study estimates that pre-
mature deaths due to air pollution in 2013 cost the
global economy 225 billion dollars in lost labor
[23]. The report contains the cost of damages to
health and the environment from air pollution in
2008–2012. While pollution has a major effect on

Industrial Emissions 30,00

Stock price in  per ton of CO2

Control Technologies:
Introduction, 25,00
Fig. 2 Stock prices in € per
ton of CO2, data retrieved 20,00
from Market Insider [66]
15,00

10,00

5,00

0,00
-09
0
-10
11
-11
11
12
12
12
-13
13
14
-14
-15
-15
16
16
17
-17
18
-18
Jul-1

Jan-

Jun-
Oct-
Jun-
Oct-

Jan-
Mar-

Apr-
Apr-
Feb-

Mar-
Dec

Sep

May

Nov

Aug
Dec
Aug

May

Aug
Industrial Emissions Control Technologies: Introduction
global warming, its external costs also include
welfare losses of $1245 billion USD. A decrease
in productivity in 2013 triggered by sick leaves
cost $30 billion USD in the EU alone [61]. Heavily
polluted cities experience a loss of urban compet-
itiveness due to talented, educated workers who
are more willing to move to less polluted areas.
Air pollution is the fourth leading fatal health risk
resulting in a decrease in life expectancy and fatal
diseases such as cancer, heart diseases, and
strokes [23]. The damage cost for NH4, NOx,
n-CH4 VOCs, PM, and SOx was 40–115 billion
Euro in 2012, and the damage cost of CO2 in 2012
was 18–73 billion Euro [23]. Industrial polluters
receive the revenue from production, while the
victims of pollution assume the costs due to a
decreased standard of living and disease
(Table 1). The victims are not able to control or
influence production and therefore are bystanders
to the pollution surrounding them [61].
The Development of Pollution Control
The realization of the hazardous effects of air
pollution during the industrial revolution brought
the first attempts to restrict high pollution levels.
Pollution was particularly bad in urban areas,
where most industries were placed at that time.
The abatement acts were aimed at reducing indus-
trial emissions; however, households remained a
significant pollution source [69]. Since the events
of Great London Smog (1952), people started to
give more attention to the adverse effects of air
pollution. As a consequence, first, the Clean Air
Act was established in the UK in 1956 followed
by US Clean Air Act of 1963 which authorized
research in pollution monitoring and control on
the national level [70]. Air pollution control sys-
tems are currently an integral part of the industrial
landscape. Due to the relatively high cost of con-
trol devices, a large effort is directed towards more
desirable forms of pollution control. Pollution
prevention from waste minimization, alternative
production techniques (e.g., green chemistry), and
improved process control are recently considered
the best practice [9]. However if no alternatives
can be found, the use of adequate control equip-
ment must be considered. The control device must
comply with regulatory emission policies and be
485
fitting for removal of desired pollutants. The
equipment should be selected based on several
factors including location, required space, ambi-
ent and working conditions, and its contribution to
waste production. The optimal system must be
considered depending on the contaminant charac-
teristic and its physical and chemical properties,
as well as reactivity and size distribution, etc. Gas
stream characteristics such as volume flow rate,
pressure, humidity, and viscosity have to also be
considered as well as unit requirements (power,
maintenance, etc.) and operating cost of the sys-
tem [9] (Fig. 3).
Generally, an air pollution control system
operates by delivery of a polluted air stream of
known flow rate (Q) and concentrations of pollut-
ing chemicals (c) at established pressure (p) into
the control system. The system requires adequate
utilities (i.e., power, water, adsorbent materials,
etc.), depending on the operation mode, to remove
the unwanted compounds (pollution) from the air
stream and release clean air into the atmosphere.
During the process, waste materials will be pro-
duced, and some of the energy in the form of, e.g.,
heat, will be lost. Some of the waste and heat can
be recovered or recycled and sold as commodities.
Filtration, Thermal Oxidation,
Electrostatic Precipitator, and Cyclone
Filtration
Filtration is a simple, efficient, and economical
method for particle removal, also at the high dust
concentrations often seen in industry. A particle
filter is thought wrongly by many to work like a
sieve, trapping only particles large enough to be
stopped by the filter material. The filtration pro-
cess, however, is very complicated, and its prin-
ciples are covered in extensive literature [71].
The fibrous filter is built of fine fibers
(cellulose, glass, plastics) arranged so they are
perpendicular to the airflow direction. The
removal efficiency of the filters can be simply
expressed as the fraction of the inlet concentration
retained by the filter material. The efficiency of
the filter can be significantly improved by increas-
ing the fiber density (decreasing the pore size of
486 Industrial Emissions Control Technologies: Introduction

Industrial Emissions Control Technologies: Introduction, Table 1 Types of pollutants emitted from industry and
their impact, sources, and lifetimes
Yearly
Exposure limit emissions Environmental
Pollutants Lifetime ref: Industrial source in Gga[19] Health impact impacts
PM PM10: PM2.525 mg/m3 Metallurgy, mineral 500 PM2.5 can penetrate PM has a direct
1 day to yearly average, products, and through the lung impact on climate
1 week PM10 40 mg/ chemical industries barrier and in the change by scattering
[1] m3 yearly [21] blood, while PM10 the light and indirect
PM2.5 average [20] PM10 comes can only penetrate by increasing the
1 week to primarily from the lung [22] number of cloud
10 days construction, road, PM affects sensitive condensation nuclei
[1] dust, and regions of the and consequently
resuspension, while respiratory system increasing clouds
PM2.5 is mostly and can cause or lifetime and Earth
combustion product aggravate albedo. PM can also
[1] cardiovascular, lung lead to acidic rain
diseases and cancer and acidification of
[23] the ecosystem, due
to PM formation by
acidic compounds
(NOx, SOx) [24, 25]
CO2 100 years 5000 ppm Coal power plants, 243,000 2000–5000 ppm CO2 is a greenhouse
[8] (9000 mg/m3) road transport, leads to headaches, gas contributing to
in an 8-hour manufacturing sleepiness, poor global warming
period Time- industry [27] concentration, (described in
Weighted increased heart rate, oxidized
Average and nausea compounds)
(TWA) [26] 5000 ppm could lead
to toxicity and
oxygen deprivation
[28]
SO2 4–12h 125 mg/m3 in a Mostly from the 700 Short time exposure SO2 emissions lead
[29] 24-hour period burning of fuel can be felt in to acidification and
[30] containing sulfur 10–15 min and damage to forests
dioxide [31] irritates the nose, and contribute to the
throat, and airways formation of PM
to cause coughing, [23]
wheezing, shortness
of breath, or a tight
feeling around the
chest
Long time exposure
can affect lung
function [32]
NO2 1.8–7.5 h 50 mg/m3 in a Fuel combustion 1,070 The effects of long- Acidifications and
[33] 24-hour period from power plants term exposure to low eutrophication of
[20] and industrial levels are linked to waters and soils.
facilities [23] asthma, diabetes, NO2 can lead to the
lung cancer, stroke, formation of O3 and
and acid rain PM [23]
In high
concentrations, NO2
can cause airway
inflammation and
reduce lung function
[23]
(continued)
Industrial Emissions Control Technologies: Introduction 487

Industrial Emissions Control Technologies: Introduction, Table 1 (continued)

Yearly
Exposure limit emissions Environmental
Pollutants Lifetime ref: Industrial source in Gga[19] Health impact impacts
NH3 1 day [34] 18 mg/ Mainly agriculture, 90 Ammonia has a Ammonia can lead to
m3(25 ppm) in but also various strong odor and in eutrophication and
an 8-hour industrial processes, most cases can be acidification of
period (TWA) transport, and smelled before ecosystems [23]
[35] management of reaching harmful
waste [36, 23] levels
High levels can
cause burning of
airways, severe
burns, and
permanent eye
damage
Low levels can cause
irritation of airways
and irritation of skin
and eyes. Ammonia
is mostly harmful to
people with asthma
or similar conditions
[37]
CH4 12 year 1000 ppm in an Fossil fuel 70 Methane gas in the Methane is a
[8] 8-hour period extraction, environment doesn’t greenhouse gas and
(TWA) [38] agriculture, biomass have an effect on has GWP multiple
burning, and man- human health, but times higher than
made wetlands (rice) high levels of CO2 [41]
[8] methane could
decrease the amount
of oxygen in the air
and result in mood
changes, memory
loss, nausea, and
slurred speech [39,
40]
NMVOC N/A N/A Various sources, 3,400 Short-term exposure VOCs contribute to
including industry, results in irritation of the formation of
paint application, the eyes and ozone from sunlight
road transport, dry- respiratory tract, and nitrogen oxides.
cleaning, and other headaches, VOCs play also a
use of solvent [23] dizziness, and visual key role in the
The overall disorders and formation of
emissions are caused memory impairment, secondary organic
by burning coal and e.g., headaches in compounds [46]
oil and motor vehicle traffic due to
exhaust [42] benzene exposure
(benzene) Long-term exposure
Chemical can lead to
manufacturing, pulp prolonged eye, nose,
and paper mills, and throat irritation,
forestry product chronic headaches as
plants, coal well as loss of
processing [43] coordination and
(formaldehyde) chronic nausea, and
liver, kidney, and
central nervous
(continued)
488 Industrial Emissions Control Technologies: Introduction

Industrial Emissions Control Technologies: Introduction, Table 1 (continued)

Yearly
Exposure limit emissions Environmental
Pollutants Lifetime ref: Industrial source in Gga[19] Health impact impacts
system damage [44]
Some VOCs such as
benzene exposure
can lead to genotoxic
carcinogen [45] and
formaldehyde can in
the long term
(exposure above
0.2 mg/m3) give
cancer [45]
Heavy N/A N/A Various combustion N/A The adverse effects It can be deposited
metals processes and of heavy metals on on terrestrial or water
industrial activities human health are surfaces and then
[23] dependent on their build up in soils and
specific properties sediments. Even low
such as particle size concentration can
distribution, water have adverse effects
solubility, reactivity, on terrestrial and
and carcinogenic aquatic ecosystems.
potency. Their acute Heavy metals are
effects are mostly very persistent. They
associated with have the tendency to
occupational bioaccumulate in
exposure. However, organisms and
even low-level long- biomagnify in food
term exposure can chains [23]
lead to serious
adverse effect on
population such as
respiratory diseases,
renal diseases,
damage to nervous
system, cognitive
impairment, and
cancer [18, 47]
a
The yearly emissions are based on EU emissions inventory report 2016. The data consider only the sector of energy use in
industry and industrial processes and product use

material) and the thickness of the material or
reducing fiber diameter. On the other hand, it
will also drastically increase resistance to the air
flowing through it, called pressure drop. The best
fibrous filters are those with highest RE% at the
lowest possible pressure drop [71]. To reduce the
pressure drop, one can use pleated fibrous filters
which will increase the effective filtration
area [72].
Particle removal by the filter is based on a few
deposition mechanisms. Interception occurs when
the streamline carrying the particle happens to
pass the surface of the fiber within one particle
radius (Fig. 4a). Regardless of the particle size,
inertia, or Brownian motion, the particle will be
collected [71]. Inertial impaction occurs when the
carried particle is too big to follow curving
streamlines near the fiber (Fig. 4b). Its inertia is
so big that it continues its original path and hits
the filter element even if by following the stream-
line it would miss it. This happens usually at high
gas velocities and in dense filters [2, 71]. The
mechanism of diffusion is based on random
(Brownian) motion of gas particles in the stream.
Industrial Emissions Control Technologies: Introduction
Industrial Emissions Control Technologies: Introduction, Fig. 3 Pollution control system
Fine particles are also a subject to this mechanism.
Their random motion and change in the flight
directory increase the probability of hitting the
filter fiber (Fig. 4c).
Diffusion appears mostly at low air velocities
and by small particles ([2]). The literature also
describes the mechanism of electrostatic deposi-
tion, which is very effective but often neglected,
due to problems with quantification [71]. The
electrostatic deposition will be further described
in the section on “Electrostatic Precipitator”.
Generally, the smallest removal efficiency for
fibrous filters is observed at a particle diameter of
approximately 300 nm. This is due to different
deposition mechanism playing a key role in parti-
cle removal at different particle sizes. Particles
smaller than 300 nm are mostly subject to diffu-
sion. Bigger particles are usually removed by
inertial impaction or interception. Particles
in-between are either too big or too small to be
removed by one of the mechanisms; therefore
their penetration will be higher than for others
[73]. Diffusion batteries are devices dedicated
for removal of very fine particles of a diameter
between 2 and 200 nm. They consist of a bundle
of circular or rectangular channels of size in the
mm range and rely on the deposition of the parti-
cles in the channels by diffusion from laminar
flow [71].
The structure of the filter will change over time
due to particle deposition on it. Particles occupy
489
finite space on the filter, and at some point, they
will clog the filter, blocking the airflow through it
and significantly increasing pressure drop. Parti-
cles collected on the filter material tend to accu-
mulate and form dendrites which initially increase
the removal efficiency [71], but ultimately the
filter cake will constrict air flow. At this point,
the filter should be replaced [74].
Frequently used for high dust concentrations
and for industrial applications, fabric filtration is
often confused with fibrous filtration. The former
is often a large installation of high-efficiency fil-
ters made of woven or felted fabrics. The idea
behind the fabric filtration is that their initially
low particle removal efficiency will increase
with a dust layer building up on the fabric
(similar to the vacuum cleaner system). Because
of accumulating dust, the fabric filters operate at a
much higher pressure drop than other filters [71].
Thermal Oxidation
Thermal oxidation or incineration is a high-
temperature process in which waste molecules
are oxidized and turned into simpler substances
such as water and carbon dioxide (mineraliza-
tion). In order to use thermal oxidation efficiently,
the inlet gasses must be substances which can be
oxidized, typically VOC and CO [9]. The idea
behind this process is to raise the temperature of
the polluting gas to its auto-ignition point in the
presence of oxygen and maintain this high
490
Industrial Emissions
Control Technologies:
Introduction,
Fig. 4 Mechanisms of
filtration: (a) (interception),
(b) (inertial impaction), (c)
(diffusion)
temperature for a time long enough to obtain
pollutant destruction at wanted or required by
regulations level.
The main principle of operation can be con-
cluded in so-called “three Ts” parameter – tem-
perature, time, and turbulence. The efficiency of
thermal oxidation is dependent on those three
factors and the availability of oxygen in the sys-
tem. Sufficiently high temperature and time spent
in the system are crucial for the nearly complete
destruction of polluting gasses. Additionally, tur-
bulence promotes proper mixing of VOC and
oxygen molecules and assures that the pollutant
will be oxidized before leaving the system
[9]. Incomplete oxidation results in the formation
of pollutants such as CO and smaller molecular
weight hydrocarbons. Poor combustion may emit
Industrial Emissions Control Technologies: Introduction
a significant amount of pollutants including com-
pounds which were not present in the gas mixture
before thermal oxidation, e.g., formaldehyde
(Fig. 5).
Construction and maintenance of an efficient
thermal oxidizing device requires a considerable
design effort. Usually, the temperature, time, and
removal efficiency of the system are specified by
regulations and sometimes selected from experi-
ence. The flow of the combustion fuel, size of the
device, and residence time have to be selected
according to heat and material balance of the sys-
tem [9]. Generally, a standard vapor incinerator
consists of only a few simple parts. The polluted
air is directed to the mixing chamber where high
temperature is maintained by burner fueled with
fuel gas. The oxidized gases are then discarded
Industrial Emissions Control Technologies: Introduction
Industrial Emissions
Control Technologies:
Introduction,
Fig. 5 Regenerative
thermal oxidation
incinerator
from the reaction chamber by the exhaust. Vapor
incinerators are considered very efficient (RE% of
99.99) and proven methods for destroying VOC.
However, they are not recommended for removing
gases containing halogenated or sulfur-containing
compounds. Due to possible corrosive acid gas
formation, an additional post-oxidation step for
acid control might be necessary [75].
To reduce the temperature required for oxida-
tion and increase the reaction rate, catalysts can be
used. Catalytic incinerators have very similar
operation methods as standard thermal incinera-
tors, but after passing through a flame mixing
chamber, the gas goes through the catalyst bed.
Accelerated reaction rate results in lower temper-
atures, a shorter residence time, and a smaller
device [9]. Catalytic incinerators are however
not without their flaws. They can be easily
clogged with PM or poisoned by chemicals pre-
sent in the vapor such as Pb, Cl, or S. Finally, the
initial cost of the catalytic oxidizers is much
higher than standard thermal oxidizers [76].
Energy efficiency in thermal oxidation might
also be achieved via changes in incinerator
design. Installation of the heat exchanger in the
system might significantly improve the thermal
efficiency of the device by partial heat recovery
from the exhaust gas. Since heat is delivered by
burning the fuel, a lot of money can be saved by
reusing the existing energy to preheat the incom-
ing waste gas [9]. Heat exchangers are also called
recuperators and can recover ca. 70% of the waste
heat from exhaust gases [77]. The developed alter-
native to the traditional heat exchanger,
491
regenerative thermal oxidation, can save up to
95% of the energy, making the operation process
cheaper but significantly increasing the initial cost
of incinerator installation [78]. The technology
utilizes two chambers packed with heat transfer
media (usually ceramics) and combined by a
small duct containing the burner (Fig. 5). The
system of valves connects the two chambers, so
the waste gas and exhaust clean air can enter and
exit either direction. Initially, the cold polluted air
passes through hot bed 1, is oxidized, and exits the
system through the cold bed 2 which is warmed up
by passing cleaned air. Next, the direction of the
airflow can be altered; hence very little heat is
wasted, and only little fuel is needed to keep the
desired temperature (Fig. 5) [9].
Cyclonic Separation
Inertial separators such as the cyclone are usually
used for collecting medium-sized and coarse par-
ticles. Inertial separators are cheap, but their
removal efficiency is also lower than, e.g., elec-
trostatic precipitators. Therefore, they are usually
used as precleaners to reduce loading for other
devices and extend their lifetime. The principle
of the method is based on the inertial movement of
particles in the system. After the particulate-laden
gas spirals down the outside of the separator, it is
forced to change its direction at the bottom of the
device. The gas then spirals upward, but the par-
ticles keep moving in the original direction (due to
the inertia), which leads to the particles being
separated from the gas stream. We differentiate
multiple types of inertial separators including
492
cyclone, centrifugal separators, and baffle cham-
ber. Cyclones and centrifugal separators are both
often used for industrial purpose.
In cyclonic separators, gas is forced to spin in a
vortex through the tube. Centrifugal separators
use the same circular motion as the cyclone but
have a rotating vane in the collector itself to both
move the air and separate the dust. Centrifugal
separators are mostly used for coarse particles,
while cyclones are used for fine particles[9]
(Fig. 6).
As shown in Fig. 6, particulate-laden air enters
the gas inlet at the top of the cyclone. The gas
travels down the cyclonic path, and under the
influence of centrifugal force, the particles move
outward to the cone outlet and are collected.
When the gas reaches the cone-shaped section,
the increased rotational gas velocity helps to
keep the dust at the walls. At the reverse rotation,
the cleaned gas travels to the clean gas outlet
above. The dust doesn’t change direction due to
the inertia of the particles and exits the cyclone at
the bottom [9].
A cyclone can be used both as a separate device
but also as a multiple-tube cyclone arrangement.
The latter can be often found in fossil fuel boilers.
Having multiple cyclones with common inlet and
outlet operating parallel to each other increases the
efficiency and throughput of the system
Industrial Emissions Control Technologies: Introduc-
tion, Fig. 6 Mechanism of a cyclone separator [9]
Industrial Emissions Control Technologies: Introduction
significantly. The cyclone efficiency is measured
by its collection performance. It’s important for the
cyclone to be air-tight; otherwise the collected
particles will be pulled out into the gas stream
again. Therefore, the whole system must be
completely sealed. Other factors concerning oper-
ating and maintenance activities are device erosion
and fouling. Erosion happens when particles trav-
eling the cyclonic path scratch the inside of the
cyclone, which over time can lead to destructions
of the cyclone walls and finally leakage. Erosion is
often promoted by high dust loading, high inlet
velocities, and the strike angles. It mostly affects
the cone area and can be controlled by proper
cyclone diameter and use of thicker materials.
Fouling occurs when the particles build up at the
outlet and cover it. This can lead to the particles
getting into the gas stream again. Another factor
affecting the collection performance is the material
collected on the cyclone wall. Soft and fine dust
will tend to build up on the wall over time. This can
be prevented by smoother walls such as electro-
polishing walls. Generally, cyclones show better
removal efficiency for particles with higher
density.
Electrostatic Precipitators
An electrostatic precipitator (ESP) is a widely
applied technology for the removal of hazardous
particles from an industrial process. Industrial
ESPs exhibit complex interaction mechanisms
between the electric fields, the fluid flow, and the
particulate flow. The physical system in an ESP
has three sub-systems affecting each other [79]:
– A mixture of gases which flows inside the ESP
(a mixture of exhaust gas)
– A stream of particles which flows along gas
flow and which must be removed (filtered)
– An electric field imposed by suitable external
means which aim to charge electrostatically the
particles
ESPs use electrical forces to move the particles
out of the flowing gas stream onto collector plates.
The particles are given an electric charge when
passing through the corona, where gaseous ions
Industrial Emissions Control Technologies: Introduction 493

are created. In the center of the flow channel,
electrodes are maintained at high voltage. These
electrodes produce an electric field that forces the
particles to the walls. Charged dust particles
migrate to the collecting plate due to Coulombic
forces. When the particles are collected at the
plates, they can be removed, which is usually
done by knocking them loose from the plates.
Then the particles slide down into a hopper and
are evacuated. Different types of ESP are known,
some removing particles by intermittent or wash-
ing with water [9] (Table 2).
All the above mentioned ESP configurations
can be operated also with wet walls instead of
dry. One of the main advantages of wet precipita-
tors is that the use of water to wash the accumulated
material minimizes the possibility of particles
reentering the cleaning system, which may happen
with dry precipitators. On the other hand, the
collected slurry must be handled more carefully
than dry dust, increasing the cost of exposal [9].
Heterogeneous Catalysis
General Heterogeneous Physics
Heterogeneous catalysis is a reaction happening at
the gas-solid or liquid-solid interface at the catalyzed
surface. The role of the catalyst is to lower the
activation energy (Ea) as seen in Fig. 7. The catalyst
acts by reducing the energy necessary to proceed
along the reaction pathway, i.e., the activation
energy that needs to be surmounted to yield prod-
ucts. The activation energy is the energy required to
overcome the reaction barrier and determines how
fast a reaction occurs. The thermodynamics of the
reaction remains unchanged, and only the catalyst
influences the reaction rate [80].

Industrial Emissions Control Technologies: Introduction, Table 2 Different types of ESPs [9]
ESP type Use for
Plate wire Coal-fired boilers, cement kilns, solid waste,
precipitator incinerators, paper mill recovery boilers,
petroleum refining catalytic cracking units, sinter
plant, basic oxygen furnaces, open-hearth
furnaces, electric arc furnaces, coke oven
batteries, glass furnaces
Flat plate High-resistivity particles with small mass median
precipitator diameter. The fly ash has been successfully
collected by this method
Tubular Sulfuric acid plants, coke oven by-product gas
precipitator cleaning, iron, and steel sinter plants. It’s applied
where the particulate is either wet or sticky
Wet Remove liquid droplets such as sulfuric acid mist
precipitator from industrial process gas streams
Two-stage Gas flow volumes of 50.000 acfm.
precipitator Submicrometer sources emitting oil mists,
smokes, fumes, and other sticky particulates
because there is a little electrical force to hold the
collected particles on the plate
Operation method
The gas flow between parallel plates of sheet metal
and high-voltage electrodes (parallel, discharge
and collecting electrodes are side by side).This
allows many flow lanes to operate in parallel and is
suited for handling large volumes of gas.
Sectionalized power supply to obtain higher
operating voltages
The precipitator works by increasing the average
electric field used to collect the particles,
increasing surface area for the collection of
particles. The corona-generating electrodes are
placed ahead and behind the flat-plate collecting
zones
It’s placed with high-voltage electrodes running
along the axis of the tube. Many tubes are
operating in parallel to handle an increased gas
flow and tightly sealed to prevent leaks. One-stage
unit: All the gas pass through the electrode region.
High-voltage electrode operates at one voltage the
entire length of the tube. Current varies along the
length as the particles are removed
It operates with wet walls. The water flow applied
intermittently or continuously to wash the
collected particles into a sump of disposal. It must
be handled more carefully than dry
It’s not parallel and with the discharge electrode
preceding the collector electrodes
494
Industrial Emissions
Control Technologies:
Introduction,
Fig. 7 Potential energy
diagram
Energy
Reactants
DG is the chemical potential energy called the
Gibbs free energy. Based on the potential energy
profile, Gibbs free energy can be negative or pos-
itive. When the reaction is endergonic reaction,
DG > 0 means the reaction absorbs energy from
the environment (energy added into the system).
When the reaction is exergonic reaction, DG < 0
means the reaction releases energy into the envi-
ronment (energy out of the system) [81].
An example of a heterogeneous catalyst is
ammonia synthesis using iron oxides on alu-
mina (Al2O3). The Haber-Bosch process is the
synthesis of ammonia from nitrogen and hydro-
gen gas at high temperature using a supported
catalyst [82]. It is one of the most important
industrial inventions. It allows mass production
of plant fertilizers used by farmers to grow more
food and which has enabled the enormous
increase in population through the twentieth
century [83].
The process illustrated in Fig. 8 is called
adsorption, where the molecules from gas
(or liquid) phase interact and attach to a solid
surface. The reverse process of adsorption mean-
ing the process which the molecules escape from
the solid surface is called desorption.
Industrial Emissions Control Technologies: Introduction
Ea (no catalyst)
Ea (with catalyst)
Products
Reactions coordinates
The adsorption is described by the following
reaction:
AðgÞ þ S
A  S K ads ðAÞ
A is the adsorbate, S is the surface also called
the adsorbent that provides a surface for adsorp-
tion, and A  S is absorbed species.
The adsorption coefficient Kads(A) depends
upon the surface and temperature. Molecules can
attach to the surface in two different ways because
of the different forces involved called
physisorption and chemisorption.
These two adsorptions differ from each other
as depicted in Fig. 9. Physisorption is a weak
interaction of valence-saturated species due to
van der Waals attraction. The enthalpy of
physisorption is in the region of 20 kJ/mol
[84]. The small enthalpy change wouldn’t lead
to bond breaking. The adsorbed reactants don’t
react, and only small changes in bond energies are
seen. Chemisorption involves a strong chemical
bond. The forces involved are valence forces of
the same kind as the ones involved in chemical
compounds. The enthalpy of chemisorption is in
the region of 200 kJ/mol, which indicates that in
Industrial Emissions Control Technologies: Introduction 495

Industrial Emissions
Control Technologies:
Introduction,
Fig. 8 Haber-Bosch
process

Industrial Emissions
Control Technologies:
Introduction,
Fig. 9 Potential energy
diagram of physisorption
and chemisorption
0

Physisorption
Potential

Chemisorption

Distance between atom and surface

a reaction a chemisorbed compound will form a
strong chemical bond with the surface atom [80,
84, 85]. As illustrated in Fig. 9, chemisorption has
a shorter distance between the atom and the sur-
face. Therefore there is a larger potential due to
the strong binding, while the atom and surface are
further apart in physisorption resulting in weaker
bond and lesser potential. Dissociative chemi-
sorption appears when bond breaks and the reac-
tants are being absorbed in two or more
fragments.
The concentration of the adsorbed species is
expressed as A  S, and the surface coverage (y) is
described by the number of adsorption sites occu-
pied divided with the number of adsorption sites
available (S0).
AS
y¼
S0
Adsorption isotherm is the relation between the
coverage of an adsorbate on a surface and its
concentration in the bulk phase under equilibrium
at a constant temperature [85]. In adsorption pro-
cess, the free gas and the adsorbed gas are in
dynamic equilibrium and coverage which
496 Industrial Emissions Control Technologies: Introduction

depends on the pressure of the overlying gas. The AþS
AS K ads ðAÞ
variation of coverage with pressure at a tempera-
ture is called an adsorption isotherm. ASþB!P k2

k ads The rate is defined as R ¼ k 2 yðAÞ  pðBÞ  S 0

p
k des [85]. The mechanism is depicted in Fig. 10 with
y¼
k ads the reaction
1þ p
k des
NH2 ðad Þ þ NOðgÞ ! NH2 NO ! N2 þ H2 O
kads is the adsorption rate, kdes is the desorption
rate, and p is the pressure of the adsorbing Catalysis Technology
substance [84]. The most well-known example of the use of catal-
In a bimolecular catalyzed reaction, two possible ysis in pollution control is from the vehicle indus-
mechanisms are possible. In the Langmuir- try, in the form of three-way gasoline catalysts
Hinshelwood mechanism, two species are pre- (TWCs). Invented in the 1970s, the TWC quickly
adsorbed at the surface and then react with each other. became the standard for most gasoline-powered
vehicles. TWCs are able to convert CO and hydro-
AþS
AS K ads ðAÞ carbons (HC) to CO2 and water, simultaneously
reducing NOx with high efficiency [88]. TWCs
BþS ÐBS K ads ðBÞ still play a key role in the reduction of exhaust gas
emissions and greatly improved the air quality in
BSþAS !P k 02 urban areas.
The main factors influencing the efficiency of
0
The rate is defined as R ¼ k 2 yðAÞ  yðBÞ  S 0 catalyst are its activity, selectivity, and lifetime.
[85]. The mechanism is depicted in Fig. 10 with The activity of the catalyst in pollution control is
the reaction below described as the ability to convert harmful reac-
tants to harmless products. Although important,
NHþ
4 ðad Þ þ NO2 ðad Þ ! NH4 NO2 ! N2 þ 2H2 O
the activity of the catalyst itself won’t be much
effective without its selectivity toward desired
Eley-Rideal [87] mechanism shows the reac- products. Selectivity ensures that only specific,
tion of an already adsorbed gas-phase species and desired reactions will be accelerated and hence
an adsorbate. plays a key role in minimizing the creation of

Industrial Emissions
Control Technologies:
Introduction,
Fig. 10 Bimolecular
catalyst mechanism [86]
Industrial Emissions Control Technologies: Introduction
by-products (waste prevention). The catalyst is
not consumed during the reaction it supports;
therefore its lifetime should, in theory, be
unchanged after the reaction. In practice, how-
ever, the stability might be reduced by chemical
interaction of reactants with the active sites of the
catalyst called poisoning. In addition, perfor-
mance is limited by physical blocking of the
active sites by species deposited on the catalyst
and its pores called fouling. Both processes, as
well as thermal sintering due to high temperatures,
inhibit the catalytic reaction rate and deactivate
the catalyst in the long term [80].
Catalytic technology is widely present in
industrial applications such as oil refining, energy,
transport, chemicals, polymers, and textiles but
also in pollution control and monitoring. Catalysts
can be roughly classified into metals (Ag, Pt, Pd),
oxides (MnO2, NiMoO4), and acids (H3PO4,
H2SO4, zeolites). Each of the classes has its
advantages and can be used in different applica-
tions [80].
Selective Catalytic Reduction
Selective catalytic reduction (SCR) is a chemical
reduction reaction via a reducing agent supported
by a catalyst. SCR is used mainly in fossil fuel
combustion units and nitric acid plants for reduc-
tion of nitrogen oxides. The SCR process reduces
NOx chemically into molecular nitrogen and
water vapor with the help of nitrogen-based
reagent (usually ammonia or urea) and catalyst
(noble metals, molecular sieves, metal oxide,
etc.). The SCR catalysts are divided into four
groups: (1) V2O5-WO3/TiO2 type, (2) three-way
catalyst (TWC) type, (3) molecular sieve type,
and (4) AC-supported type [89]. The TiO2-WO3/
V2O5 catalyst is the most widely used commercial
SCR catalyst due to its high De-NOx efficiency
and stability.
Honeycomb catalysts, plate-type catalysts, and
corrugated catalysts are the three most widely
used SCR catalyst types [90]. The catalyst type
and composition have an influence on the effi-
ciency of NOx reduction, lifetime, and its stability.
Operation works by injection of the reagent into
the hot waste gas stream. The mixture then enters
the reaction chamber which contains catalyst bed
497
and diffuses through it ensuring selective reaction
of the reagent and NOx under specific temperature
(EPA).
SCR is very efficient and can operate at signif-
icantly lower temperatures than non-catalytic sys-
tems, but their operation and installation cost
increases considerably [91]. Almost all coal-fired
power plants have installed deNOx systems due to
the strict limitation of NOx emission rule. And
95% of them are using SCR deNOx catalyst.
However, the activity of commercial SCR cata-
lysts would decrease because of the complex
chemical composition in the flue gas of power
plants. Thus, the lifetime of SCR catalysts is nor-
mally around 3 to 4 years. The regeneration and
recycling of poisoned or wasted catalysts have
become a severe problem.
Hydrodesulfurization
Hydrodesulfurization (HDS) is a catalytic process
widely used to remove sulfur from natural gas and
refined petroleum products, such as gasoline, die-
sel fuel, etc. Its purpose is to reduce SO2 emis-
sions from vehicles, power plants, and industrial
processes. The product of this process, hydrogen
sulfide (H2S), can be readily converted into ele-
mental sulfur or sulfuric acid in petroleum refin-
eries. In fact, the majority of world sulfur
production comes from its recovery from natural
gas and petroleum processing [92]. The catalysts
used in HDS are usually based on aluminum
oxides mixed with metals like Co, Mo, Ni,
etc. [93] and supported on materials with high
surface area, therefore increasing the amount of
catalytically active sites [80].
Catalytic removal of VOCs was briefly
described in a chapter on thermal oxidation. Cat-
alytic incinerators are one of the most efficient
methods for the destruction of VOCs from the
gas effluent [9]. The catalyst can decrease the
required oxidation temperature significantly,
therefore allowing VOC conversion to H2O and
CO2 to occur with much less external heat and
hence at a much lower cost. Among various types
of catalysts, noble metals are highly effective in
catalytic oxidation. However, their high cost and
poor stability, especially in the presence of chlo-
rine, set back their development. Metal oxides of
498
manganese, nickel, and cobalt or acidic oxides
like zeolites or TiO2 have been also extensively
studied with mixed results [94]. The activity of a
catalyst is highly dependent on the number of
active sites available for the catalytic reaction to
occur. Therefore, materials with high porosity and
extensive surface area, like titania and g-alumina,
are especially interesting as a support material for
catalysts. This approach has also an economic
motivation. Since the reaction takes place on the
surface, a thin layer of finely dispersed expensive
material (catalyst) is a very cost-effective idea. In
some cases catalysts serve as their own support,
mostly in the shape of spherical pellets. Alterna-
tively, the catalyst can be mounted on the
honeycomb-like monolith block. This will result
in a high specific area and provide increased cat-
alytic activity [94].
Scrubbers
General Description of Scrubbers
Industrial processes produce exhaust gas
containing various harmful gases such as SO2
and CO2. The most effective way of reducing air
pollution is to capture these pollutants at the
source. Post-combustion pollution removal
methods such as scrubbers are one way to do
it. Scrubber technologies can be divided into wet
scrubbers and dry scrubbers [95]. One of the first
known scrubbers was used in submarines to
remove carbon dioxide. Nowadays however they
are now widely used in all kinds of industries
[96]. The shipping industry depends on high-
sulfur fuel for ships, which during combustion
release SOx and PM into the air. Scrubbers can
remove up to 99% of SOx and 98% of PM and are
an important prospective technology for green
shipping [97]. Furthermore the rendering industry
produces large amounts of VOC, and wet scrub-
bers are used to remove these harmful gases
[98]. Scrubber technology can be used in collab-
oration with other filtration methods to increase
removal efficiency [99]. A hybrid process of wet
scrubbers and biofilters will increase the removal
of VOCs from, e.g., poultry-rendering
industries [99].
Industrial Emissions Control Technologies: Introduction
Wet Scrubbers
Wet scrubbers involve scrubbing pollutant gasses
with a scrubbing liquid. The technology is primar-
ily used for water-soluble toxic gases (e.g., HCl
and NH3 [95, 100]). Different types of wet scrub-
bers are available. The most common are venturi
scrubbers, spray towers, cyclonic scrubbers, and
wetted filter scrubbers. Spray tower scrubber are
illustrated in Fig. 11. The cyclonic scrubber is
quite similar to the cyclonic separator, with the
difference that a scrubbing liquid is injected into
the airstream [9].
The common design for wet scrubber technol-
ogy is as follows. First the contained gas passes
through a liquid designed to remove the pollutant.
The chemical composition and charge of the liq-
uid can differ depending on the gas it captures
(solutions of reagents that specifically target
certain compounds). The liquid may, for example,
just be water for removing dust particles.
The components of a basic scrubber include a
vessel, some type of packing, a fan or blower, a
reservoir for the scrubber fluid, and a pump for the
fluid. There are many options for additional fea-
tures and many optional configurations for the
system [101].
As seen in Fig. 11, scrubbing liquid is used to
remove the pollutants. The exhaust gas is moved
through the scrubbing liquid which saturates the
Industrial Emissions Control Technologies: Introduc-
tion, Fig. 11 Spray towers
Industrial Emissions Control Technologies: Introduction
gas. The targeted pollutants are removed from the
gas and attach to the liquid due to its chemical
composition. As the gas is passed through the
cleaning mist, the remaining contaminants are
attracted to the mist and left behind [102]. The
removal efficiency increases by increasing resi-
dence time and surface area of the scrubber
solution.
Advantages of the wet scrubber include the
small space requirements for the setup. The scrub-
ber has a high collection efficiency and collects
both gases and PM. It’s robust and can handle
high humidity and high temperature. On the
other hand, the technology requires high mainte-
nance, which increases the operating cost signifi-
cantly. The wet scrubber creates wastewater and
wet residuals, presenting a disposal issue.
Dry Scrubbers
Dry scrubbers remove pollutants from the exhaust
gas by using a sorbent. A sorbent is a material that
absorbs/adsorbs gases or liquids. Dry scrubbers
are primarily used for acidic gases from combus-
tion (SO2 and HCl) and for removal of odorous
and corrosive gases from wastewater treatment
plants. Dry scrubber technologies have different
systems, but common to them all is that the device
has an acid gas sorbent material going into the gas
stream and a control device to remove reaction
products [103].
The system operates by first cooling the gas.
The emission gases are cooled to make it easier to
remove pollutants and other toxins from the gas.
Next, a collection of dry reagents is sprayed into
an exhaust stream. These chemicals can react
differently depending on which material they are
specifically targeting for removal. These materials
neutralize the harmful pollutants in the gas stream
through a chemical reaction, while others cause
the material to react and turn into a different
substance. The product falls out and is collected
and disposed of [9].
The two well-known dry scrubbers are dry
sorbent injection and spray dryer absorbers,
which remove acid gases such as HCl, SO2,
SO3, and HF.
The dry sorbent injection includes the addition
of alkaline material into the gas stream to react
499
with acid gases. The reaction occurs and forms
solid salts, which are collected in a particulate
collection device. This method is effective at cap-
turing HCl (90%) but less so for SO2 (50%). The
ratio of alkali added is 1:2, so the method is
limited to small facilities. The effectiveness of
the technology can be improved by increasing
the flue gas humidity and recycling the reaction
products.
The process of dry sorbent injection is as fol-
lows: Flue gas enters the cooling tower where
water is sprayed on the gas to lower the tempera-
ture. The dry reagent is mixed into the flue gas and
reacts with it. In the end, it is removed at a dust
collector [9].
Spray dryer absorption combines a spray dryer
with a dust collector. In the process flue gas enters
the spray dryer and comes in contact with a cloud
of finely atomized droplets of reagent. The flue
gas with decreased temperature and increased
humidity reacts with acid gases and is collected.
This method has a very high removal efficiency
for acid gases HCl (99%), SO2 (95%), SO3 (99%),
and HF (95%).
The advantages of dry scrubbers are that the
technology produces much less waste material
compared to wet scrubbers and is less expensive.
Some of the disadvantages are that the removal
efficiency is lower, and dry scrubbers can have a
difficult time removing several pollutants at once.
Residual waste is toxic and must be handled by
experts [9, 103].
NH3 Removal
Livestock production and animal and human
waste emit NH3 and odorous gases. Atmospheric
NH3 damages the natural ecosystem and contrib-
utes to particle formation. Ammonia removal can
be achieved using an acid scrubber. Acid scrub-
bers are also used for other basic compounds and
many odorants [104].
SOx Removal
Sulfur dioxide emission is known to have severe
effects on human health and the environment.
Sulfur emissions lead to sulfate aerosols that
impact climate and health. Sulfate deposition
(acid rain) leads to acidification of the
500
environment, destroying aqueous habitats and
damaging tree foliage and crops [7]. Combustion
of sulfur-containing fossil fuels, especially for
electricity production, is the main cause of SO2
formation today [105]. Energy generation (51%)
and energy use in the industrial sector (20%) are
the major contributors to EU-28 emissions of SOx
[18]. Therefore, power plants are encouraged to
find an effective way to reduce emissions to com-
ply with National Emissions Ceilings (NEC)
Directive (2016/2284/EU). In recent years, thanks
to the new European air quality standards and caps
on NOx and SOx emissions, acid rain in Europe is
slowly declining, and forests, lakes, and natural
habitats are showing signs of recovery [18]. SOx
emissions can be reduced in many ways, includ-
ing the removal of sulfur before combustion, dur-
ing combustion, or post-combustion.
Desulfurization before combustion is done by
selection of low sulfur fuels or by fuel desulfuri-
zation, e.g., physical preparation of coal. This
method, although quite effective (sulfur reduction
of 30%), is not economical and, if applied, would
significantly increase the market coal prices
[106]. Combustion controls are primarily used in
coal-fired plants and work by adding the SO2
sorbent to the furnace. The post-combustion pro-
cess focusses on removing SOx from the flue gas
and is referred to as flue gas desulfurization
(FGD). Post-combustion desulfurization can be
carried out with multiple methods. Currently, the
most common processes available on the market
include wet scrubbers, spray dry scrubbers, sor-
bent injections, and combined SO2/NOx removal
processes. The desulfurization technology can be
also classified roughly into regenerable and
throwaway, depending on how the sorbent is
treated after the process.
In throwaway technology, the used sorbent is
disposed of or utilized as a by-product. The sor-
bent can also be regenerated, and the SO2 released
from it can be further processed to sulfuric acid or
elemental sulfur. The latter method produces
almost no waste, but the cost of a regenerable
FGD is also much higher.
The mechanism of desulfurization in dry and
wet scrubbers was described previously; here we
will focus on the materials used in those processes
Industrial Emissions Control Technologies: Introduction
and their by-products. The sorbent of choice for
most of the scrubbers are limestone (CaCO3) and
lime (CaO). Wet scrubbers, using those materials,
can achieve a removal efficiency of up to 99%.
Limestone is a common, naturally occurring min-
eral, and its chemical composition can vary
greatly from source to source and has a significant
effect on product (e.g., gypsum) quality. Lime is
produced by calcination of limestone. It is a
highly reactive material, and its storage requires
special attention due to its irritant properties. The
sludge created after the process of desulfurization
using limestone can either be disposed of or, with
the right technology, can be transformed to low
cost, easily available, marketable gypsum
(CaSO4  2H2O) by the following reaction:
SO2 þ CaCO3 þ 2O2 þ 2H2 O
! CaSO4  2H2 O þ CO2
The gypsum created during the absorption of
SO2 must be then separated from the water, its pH
adjusted and stored. Water used in the process can
be purified and reused. The value of produced
FGD gypsum depends highly on used technology,
the composition of the fuel, and limestone. In
Europe it’s successfully used as a cement additive,
plaster products, etc. [107]. Additionally, ammo-
nia can also be used in the process of desulfuriza-
tion, and its by-product ammonium sulfate is used
worldwide as an agricultural fertilizer [107].
CO2 Removal
Carbon dioxide is the largest of the anthropogenic
climate forcing agents that cause global warming.
Anthropogenic emissions of CO2 contribute sig-
nificantly to climate change and have become a
serious global problem. 40% of total CO2 emis-
sions come from fossil-fueled power plants
[108]. Since the Kyoto Protocol came into force,
signatories of the treaty are obligated to reduce
GHG emissions. Carbon capture and storage
(CCS) comprises techniques which trap CO2
from exhaust and store it and hence mitigate cli-
mate change. CSS quickly became a priority for
environmental agencies around the world. The
EU countries have managed to successfully
Industrial Emissions Control Technologies: Introduction
decouple GHG emissions from economic growth
in recent years (1990–2017) and decrease the
emissions of 22% while increasing GDP by 58%
[18]. However, there is still much work to be done
to stabilize atmospheric CO2 levels. There are
several natural mechanisms of CO2 fixation,
such as ocean fertilization or geological injection
(creation of carbonates). Reforestation of land and
desert greening are the next natural processes for
CO2 removal from the atmosphere. Further, pho-
tosynthesis can be used in photo-bioreactor sys-
tems in which cyanobacteria or micro-algae can
transform CO2 into useful products such as car-
bohydrates and oxygen [108]. This section how-
ever will focus on industrial technologies for
atmospheric CO2 removal.
The major cost in CCS technologies comes
from CO2 capture. This can increase the cost of
electricity production by up to 50% depending on
techniques used in the process. Hence, there is a
strong drive to improve the methods of carbon
capture to make it more cost-effective. The current
methods used in CCS include absorption, adsorp-
tion, membranes, and biotechnology [108]. Amines
have been used as sorbents in the natural gas indus-
try for 60 years. The method is well studied and has
an efficient recovery rate from the flue gas (up to
98%). Nonetheless the absorption process can be
further improved in the areas of energy efficiency
and stability of the sorbent. In short, the process is
based on the injection of an amine solution such as
monoethanolamine (MEA) into the flue gas. There,
CO2 is absorbed by the solution and creates MEA
carbamate. Next, the CO2 product of the absorption
reaction is reheated to release almost pure CO2; the
MEA solution is recycled and reused later. The
main disadvantages of MEA absorption are ineffi-
cient solvent regeneration (70% of operating cost),
rapid equipment corrosion, amine degradation, and
high energy consumption [108, 109].
The use of membranes for CO2 capture has
encountered several problems which must be
addressed before the technology can become the
method of choice. Polymeric membranes are not
resistant to heat or chemicals; therefore, the flue
gas must be cooled and the chemicals removed
prior membrane separation, which induces extra
costs [108, 109]. Furthermore, the choice between
501
the two critical attributes of membranes, selectiv-
ity and permeability, has to be made, and one of
the parameters will be sacrificed to the other
[108]. However, recent research provides proof
that advances in membrane materials can signifi-
cantly improve separation performance and make
membrane technology competitive with other
CCS technologies [110]. Various types of adsor-
bents can also be used for CO2 capture. This
mainly includes activated carbon and lithium
compounds. Their efficiency is based on CO2
capture capacity and their stability [108].
Apart from CO2 being stored, it is also valuable
as a commodity. Flue gas has traditionally been an
important source of CO2, especially in remote loca-
tions lacking CO2 by-product sources. CO2 is
widely used in industry, food and beverage produc-
tion, firefighting, solvent extraction in chemical
labs, and supercritical fluid chromatography.
Another industrial application of CO2 is in enhanced
oil recovery (EOR), where CO2 is used to force oil
from beneath the Earth. EOR relies heavily on cheap
CO2 sources. Therefore, the viability of CSS
depends on CO2 market and oil prices [109, 111].
Bioscrubbers
Livestock is a growing contributor to ammonia,
VOC, and H2S emissions and can influence O3
and SOA formation. Bioscrubbers are a novel and
innovative technology that could seem like a per-
fect solution for livestock emissions removal. The
technology is based on the separation of VOCs
into the aqueous phase and subsequent biological
treatment of the water in two-unit operations. The
waste is firstly cleaned in an absorber, and the
pollutant gases are transferred from gas to aque-
ous phase. The water containing the dissolved
pollutants continues to biological treatment in a
bioreactor [104, 112].
The bioreactor is a tank, aerated with air bub-
bles and containing suspended activated sludge.
Microbial biodegradation takes place in a nutrient
solution in the aqueous phase. Furthermore, pH is
controlled to optimize biological activity. In addi-
tion to VOC, aerosols are absorbed into the water
phase. pH control is important in order to trap
H2S, SO2, and other highly water-soluble
compounds [112].
502
The advantages of a bioscrubber include the
smaller volume of the equipment, better pH con-
trol, and more reliability and predictability rela-
tive to some other methods. Finally there is lower
occurrence of toxic concentrations in the aqueous
phase. Disadvantages include limited removal
efficiency for some compounds. Moreover the
slowest-growing microorganisms can be washed
out, the disposal of sludge can be difficult, and the
operational cost is high [112].
Gas Phase Advanced Oxidation and
Vapor Recovery
Vapor Recovery
VOCs are among the most common air pollutants
emitted from the chemical sector of industry
[113]. Their emission into the atmosphere and
further reactivity can lead to serious environmen-
tal hazards. The realization of VOC’s adverse
effects on human health has brought emissions
regulation and resulted in accelerated advance-
ment in the field of VOC removal. Some of the
techniques for VOC control have been presented
earlier in the sections on oxidation and catalytic
removal. However, in some cases VOCs are of
economic interest. Certain VOCs are valuable
compounds, and their recovery might be more
profitable than removal by destruction
[114]. Therefore, vapor recovery systems have
been designed to deal with the pollution problem
and recover the compounds of interest. Conse-
quently, several advanced separation technologies
for VOC control have been developed. This
includes condensation, adsorption, membrane-
based recovery, and absorption process covered
in the chapter on scrubbers.
Condensation relies on achieving supersatura-
tion of VOC in the flue gas by a rapid decrease of
temperature or pressurization. The method is most
efficient for VOCs boiling above 50  C at rela-
tively high concentration (above 5000 ppm).
Lower boiling compounds require more energy
for cooling or pressurization. A consideration for
condensation systems is that the high gas concen-
trations after condensation might exceed the lower
explosive limit (LEL) [113].
Industrial Emissions Control Technologies: Introduction
Membranes are applicable for relatively high
concentration and low flow rates. The process is
driven by a concentration gradient or pressure
differential between the membrane and flue gas.
The compounds diffuse through the membrane
and can be recovered. Silicon rubber-based mem-
branes are one of the better studied and a quite
efficient technology, but they lack resistance
toward some hydrocarbons such as gasoline
vapors. For this case and others, there is a need
to develop additional, chemically resistant mem-
brane materials. Elastomeric polymers were found
to be versatile materials for membrane produc-
tion, and their resistance toward organic com-
pounds has been tested successfully
[115]. Although membrane recovery seems to be
a very promising technique, some problems must
be addressed. Membranes’ lifetime suffers from a
trade-off between permeability and selectivity
[116], and their recovery cycle is considered to
be relatively slow. Furthermore, the membranes
are rather costly, and their sensitivity toward oper-
ating conditions (fouling, bacterial growth)
followed by intense maintenance increases their
operating cost significantly. Lastly, the disposal of
used membranes causes a burden on the
environment [113].
Recovery efficiency depends critically on
choosing a suitable technique for the process;
therefore it is of great importance to recognize
and characterize the compounds of interest in
order to fit the method to their properties. First
the source of the compounds must be identified to
characterize the classes of chemicals the recovery
system has to deal with. The chemical properties
(reactivity, toxicity, vapor pressure, solubility,
etc.) must be tabulated. Finally the value of the
compounds must be established, and based on that
knowledge, combined with regulatory demands,
the choice of recovery will be made [114].
The two most common adsorption methods are
temperature swing adsorption (TSA) and pressure
swing adsorption (PSA). The former is achieved
by adsorbing the flue gas at a lower temperature
on an adsorbent bed such as activated carbon
which is regenerated at a higher temperature
(often over 100  C) to recover the material
[117]. The cycle of adsorption, regeneration, and
cooling of the adsorbent bed requires time, and in
Industrial Emissions Control Technologies: Introduction
addition the material has a limited throughput
defined as the space velocity or ratio of the flow of
air that can be treated with a given volume of
adsorbent. Altogether, for high throughput a large
bed is required [114]. PSA on the other hand has a
much shorter cycle time and hence can achieve high
throughputs even for a small adsorption bed. PSA is
performed by cycling the pressure between flue gas
and adsorbent bed. Adsorption occurs at a pressure
higher than atmospheric, and the regeneration pro-
cess occurs at atmospheric pressure. This is in con-
trast to vacuum swing adsorption (VSA), another
pressure-dependent technique which desorbs at
lower pressure, with adsorption occurring at atmo-
spheric pressure. PSA, due to its lower energy
requirement, shorter regeneration cycle, and higher
regeneration rate, has been established as a superior
method over TSA [114, 116, 117]. Furthermore,
some recent studies suggest that the recovery rate
can be improved by combining thermal and vacuum
techniques in a hybrid technology [118]. Electrical
swing adsorption (ESA) is currently one of the most
promising new methods. Heat is generated via cur-
rent passing through the adsorbent, without heating
the surroundings. Thus, the techniques offer several
advantages due to improved energy efficiency, faster
regeneration cycles, and better desorption
kinetics [117].
Various adsorbent materials can be used for
vapor recovery. One of the most popular adsor-
bents is activated carbon (AC) [114, 116,
117]. AC is very effective at adsorbing VOCs
and CO2 but is not very selective, and the use of
more complex multilayer adsorbent beds can be
necessary if recovery of individual compounds is
desired. A molecular sieve, thanks to its great
selectivity and versatile application, is often a
good alternative. If high flue gas humidity is a
concern, zeolites can be considered, due to their
superior hydrophobic properties [114].
Vapor recovery is applied for environmental
protection by emissions control and for recovery
of expensive or tradable compounds. Regulations
on gasoline vapor emissions in the EU and USA
have accelerated innovation in the field of VOC
recovery and resulted in the successful application
of vapor recovery systems in fuel dispensers
[119]. Installation of vapor recovery systems in
service stations can significantly reduce personal
503
exposure to harmful emissions, in addition to
improving regional air quality [120]. Furthermore,
vapor recovery is an important process in chemi-
cal industry. It not only decreases the emission of
environmentally hazardous substances but signif-
icantly reduces the expense of solvent recovery
and in some cases can bring profit from the recov-
ery of tradable components. Industrial processes
such as drying, coating, and gluing produce an
immense amount of solvent vapor which can be
either destroyed or reused [121]. Vapor recovery
is also one of the CCP methods mentioned in the
section on scrubbers. It can be used to reduce CO2
emissions from large stationary sources such as
fossil-fuel plants and also for direct capture from
ambient air, achieved economically with, e.g.,
moisture swing sorbents [122]. The CO2 captured
by an adsorbent can be later recovered and find its
place in a variety of applications.
Gas-Phase Advanced Oxidation (GPAO)
Gas-phase advanced oxidation (GPAO) is an
emissions control method based on the mecha-
nisms that remove pollution from the Earth’s
atmosphere [123]. In the system, pollutants are
oxidized, and their oxidations products are
removed as particles [124].
The GPAO process is shown in Fig. 12. Pol-
luted air enters the system and is mixed with
ozone. UV-C light photolyzes the ozone to pro-
duce O(3P), O(1D), HO2, and the OH radical. The
OH radical is the main driver of the oxidation
process and oxidizes pollution, in many cases a
VOC compound. SOA forms from VOC oxida-
tion products and is removed by an electrostatic
precipitator (ESP) or another particle removal
technique. As a part of the ESP, the particles are
first charged by a high-voltage (HV) electrode and
then collected. The remaining unreacted ozone is
finally removed by a MnO2 catalyst, and the clean
air leaves the system [124, 125].
The OH radical can initiate oxidation of a wide
range of pollutants [123], and in the atmosphere,
all air pollution is removed by a variety of mech-
anism (oxidation, photolysis, deposition). In low
NOx conditions, HOx is formed by the photolysis
of ozone by UV-C light, which produces O(1D).
O(1D) reacts with water vapor to produce OH
504
Particle formation
Polluted air
O3 OH, OH2, O(1D), O(3P)
Gas phase products
UV-C
Industrial Emissions Control Technologies: Introduction, Fig. 12 The GPAO process
radicals. The lifetimes of VOCs are inversely cor-
related to OH radical concentrations [125].
GPAO has been applied to the removal of
malodorous reduced sulfur compounds (RSC)
emitted from pig farms. The increase of odorous
gas emissions such as ammonia, RSCs, and VOCs
is an issue because it is an issue for neighbors and
because odor itself is regulated in Europe and can
be a limiting factor in the size of an operation. Wet
acid scrubbers are sometimes used for ammonia
control, but they are not suited for RSCs due to
their low water solubility or chemical properties:
H2S is an acidic gas, as are malodorous organic
acids [124]. The experiments conducted on an
industrial scale including a wet scrubber achieved
a RE of 90% [124]. This shows that the GPAO
method can have a high performance when oper-
ated with other removal technologies. GPAO was
also tested in a Saar region foundry in Germany.
The technology was tested against BTEX
(benzene, toluene, ethyl benzene, and xylenes)
and proved to be effective (80–90% removal).
The produced particles were removed by ESP,
and the excess of ozone was controlled with
MnO2 catalyst [126]. A study built a proof-of-
concept device to test and optimize the process
[125]. The results showed that GPAO is a viable
control strategy for most VOCs in particular spe-
cies with an OH radical reaction rate constant
greater than 5  1013 cm3/s. Laboratory experi-
ments with propane, cyclohexane, benzene, and
isoprene were conducted as well. The results
showed a correlation between residence time and
removal efficiency; longer residence time yields
higher RE. Propane and cyclohexane didn’t result
in SOA formation, and the particle removal effi-
ciency by ESP was 85%.
In one test the generated particles were ultra-
fine, limiting their removal efficiency by the ESP.
Industrial Emissions Control Technologies: Introduction
Clean air
HV ESP UV-C O3 catalyst
These particles can be effectively removed by
high-efficiency particulate air filters (HEPA)
[125]. In the study by Meusinger et al. [123]
removal of VOC had an 80% RE. GPAO is effec-
tive for cleaning VOC at concentrations below the
combustion limit. The OH radical reacts with
many species but not all; some notable excep-
tions, with limited treatment, are CH4, CO, and
NO2. In addition the method is not suitable for hot
air streams in which O3 is not stable [125].
The main advantage of GPAO is that the tech-
nology is applicable to controlling, e.g., RSC emis-
sions with low energy input [124]. The process has a
much lower volumetric energy input than other
approaches, in part because chemistry occurs in
the gas phase avoiding the large pressure drop
caused by surface techniques. GPAO is effective at
pollution levels for which catalysis and combustion
are not self-sustaining [125]. The oxidizing OH
radicals are resistant to collision with other com-
pounds such as H2O, N2, and O2 present in the
system; they persist until they react with pollution.
In the GPAO method, key parameters such as lamp
power and ozone concentration can be controlled to
optimize performance and match treatment to pol-
lution load, in contrast to other “on or off” pollution
control systems present in the industry [125]. The
system is easy to scale over many orders of
magnitude [126].
Green Chemistry
Green chemistry is a branch of sustainable chem-
istry and can be described as the design of chem-
ical products and processes in order to reduce or
eliminate hazardous substances. It aims to prevent
pollution at the source, at a molecular level, and to
reduce the negative impacts of industrial
Industrial Emissions Control Technologies: Introduction
processes on human health and the environment.
The goal of green chemistry is similar to that of
end-of-pipe pollution control technologies such as
scrubbers, vapor recovery, GPAO, ESP, cyclones,
and the others we have discussed. However,
instead of treating pollution from the waste
streams, green chemistry prevents pollution emis-
sions by process modification and alternative
manufacturing and through the use of more envi-
ronmentally friendly materials [127].
The twelve principles of green chemistry out-
line its scope [127].
1. Prevent waste.
2. Maximize the atom economy.
3. Design less hazardous chemical syntheses.
4. Design safer chemicals and products.
5. Use safer solvents and reaction conditions.
6. Increase energy efficiency.
7. Use renewable feedstocks.
8. Avoid chemical derivatives.
9. Use catalysts instead of stoichiometric
reagents.
10. Design chemicals and products to degrade
after use.
11. Analyze in real time to prevent pollution.
12. Minimize the potential for accidents.
The main considerations are the use of renew-
able raw material feedstock and designing the
synthesis process such that the final product con-
tains most of the input material, which is also
described as the atom economy. Finally, avoid
waste by restricting the solvents to those that are
nontoxic and biodegradable [7].
Atom economy is the proportion of reactant
atoms that end up in a useful product and is
calculated by counting the number of atoms of
the starting materials that end up in desired prod-
ucts and those that end up as a waste. The equation
for the atom economy is given by the following
equation [128, 129].
atom economy=%
molecular mass of desired products
¼  100
molecular mass of all reactants
Nonhazardous chemicals are defined as com-
pounds which are less toxic to organisms, less
505
damaging to ecosystems, safe to handle by not
being flammable or explosive, degradable in
nature, and not bioaccumulative.
The E-factor describes the amount of waste
generated in the process at chemical industries
and is the ratio of the mass of waste to that of the
product. The formula excludes water.
kg waste
E¼
kg product
Processes aim for low E-factor and if the
E-factor is zero, the process is a truly green
process [130].
In green synthesis, the aim is to maximize the
yield of the desired product and minimize
by-products, simplify operation, and use greener
solvents. In industry most of the chemical prod-
ucts are based on carbon from petroleum, and
waste is a big issue and burden for the environ-
ment. Another way to minimize environmental
impact is by considering what kind of catalysts
is used and avoiding toxic components when pos-
sible. Hence, there is growing attention on
organocatalysts or enzymes as a more environ-
mentally friendly option. Improved analytical
techniques and engineering are also key factors
to reduce waste and optimize technology
efficiency [131].
Air pollution’s impact on human health is
increasing. Recent studies show that up to
800,000 Europeans die each year because of air
pollution [132]. As a consequence increasing
emphasis has been put on practicing green chem-
istry and developing new environmentally
friendly technologies.
Choice of catalyst is one of the key compo-
nents of green chemistry. In 2005 the Nobel Prize
was awarded for the discovery of a catalytic
mechanism called metathesis, which has broad
applicability in chemical industry. The 2005
Nobel Prize for Chemistry was awarded to Yves
Chauvin, Robert H. Grubbs, and Richard
R. Schrock, for the development of the metathesis
method in organic synthesis. They used supercrit-
ical CO2 as a green solvent, aqueous hydrogen
peroxide for clean oxidations, and hydrogen, in
asymmetric synthesis. Prior to their discovery,
halogenated solvents were frequently used in
506
synthesis. However due to their properties and
harmful effects on groundwater and the ozone
layer, the substitution of halogenated compounds
with supercritical CO2 brought huge improve-
ment in environmental protection [133].
The use of VOCs in paints is damaging for
both the environment and human health. This is
especially true for the oil-based paints which emit
significant amounts of VOCs into the atmosphere.
Therefore, there is increasing demand for pro-
ducers to create paint that does not give off
organic solvent vapors. Procter & Gamble and
Cook Composites and Polymers created a mixture
of soy oil and sugar that replaces fossil fuel-
derived paint resins and solvents, cutting the con-
tent of hazardous volatiles by 50%. Later,
Sherwin-Williams developed water-based acrylic
alkyd paints with low VOC emissions that can be
made from recycled soda bottle plastic (PET),
acrylics, and soybean oil [133, 134].
Plastic is widely used in containers, bottles,
and packaging. It’s a growing segment of solid
waste, and hence, several companies have been
working to develop plastics that are made from
renewable, biodegradable sources. NatureWorks-
food makes containers from a polymer called
polylactic acid branded as Ingeo. They discovered
a method where microorganisms convert corn-
starch into a resin that is just as strong as the
rigid petroleum-based plastic. BASF created
recently a compostable polyester film called
“Ecoflex” (biodegradable bags) [133, 135].
A significant amount of the diesel fuel used in
transportation evaporates into the atmosphere
where its photooxidation leads to the formation of
PM, NOx, HC (hydrocarbon), CO, and other haz-
ardous air pollutants. These pollutants as described
in Table 1 have a negative impact on human health
and the environment [136]. The production of die-
sel from sources other than fossil fuels (e.g., bio-
diesel), such as vegetable oil, requires a more
efficient solid catalyst to make the process fully
ecologically friendly. A sugar catalyst is a high-
performance catalyst made from naturally occur-
ring molecules which can be used in this process.
Green synthesis and recyclable materials used in
biodiesels can significantly reduce the pollution
emissions from the transport sector [137].
Industrial Emissions Control Technologies: Introduction
Conclusion and Future Prospects
Industrial emission control technologies are
playing a key role in the protection of the environ-
ment and human health. Various techniques
selected precisely to deal with specific pollutants
have been in use for decades now, and their high
removal efficiency was extensively verified. How-
ever, with progress in technology and broader
knowledge on the environmental impact of air
pollution, new challenges have emerged. Growing
population has led to an increasing number of
industrial facilities with time, and, climate changes.
Addressing these and many other issues requires
fresh, out of the box thinking in the areas of air
pollution control and sustainable development.
In 2015 the United Nations adopted the
Agenda for Sustainable Development Goals. The
Agenda consists of 17 points and aims to protect
the planet and ensure that all people enjoy peace
and prosperity. Air pollution was recognized as
one of the major sustainability concerns and is
directly mentioned in goal 3.9 which seeks a sig-
nificant reduction of deaths from air pollution by
2030 [138]. Current technology might not be ade-
quate to address the Sustainability Goals. There-
fore, rapid development in the field of pollution
prevention and remediation will be necessary for
years to come. Although efficient, current pollu-
tion control systems require constant upgrades.
Novel materials for pollutant adsorption are con-
stantly being developed [139], and energy-saving
solutions, better catalysts, and waste generation
reduction are developing rapidly [137, 140]. Fur-
thermore, the state of pollution control systems
can be improved by improved pollution manage-
ment, including wireless sensor networks [141],
big data analysis, and modeling of long-term sce-
narios [142]. The future of air pollution control is
based on the regulatory work of environmental
agencies around the world. The gradual tightening
of environmental policies designed by EEA and
national EPAs are crucial for pollution mitigation
and give the groundwork for an international ini-
tiative such as UN 2030 Agenda. Achieving Sus-
tainable Development Goals will be a tremendous
effort requiring collaboration of nations and gov-
ernments throughout the world.
Industrial Emissions Control Technologies: Introduction
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 Index

A Aerosol mass spectrometry (AMS), 126

Abrasion, 55–57 Aerosol particle mass analyzer (APM), 115–117
Acid deposition, 385, 392–393 Afforestation, 3015
Acid neutralizing capacity (ANC), 385 Agriculture sector, heatwave impacts, 466–467
Activated carbon (AC), 152–153, 503 Airborne nanoparticles, 86, 118
Activated carbon fiber (ACF) filter, 104 APM, 115–117
Activation energy, 493 CNTs, 98–104
Active stability, 426 composition and morphology, measurements of,
Adaptation, 279 125–127
ethical implication, 312 CPC, 121–122
in Europe, 306–307 diffusion, 91, 92
in food security and agriculture, 307 electrospun nanofibers, 94–98
Adaptive capacity, 385 electrostatic deposition, 91, 92
Adsorption isotherm, 495 ESPs, 104
Aerodynamic diameter, 7, 193, 204, 385 fibrous filters, 90
Aerosol, 87, 88, 102, 105, 109, 112, 113, 115, 117, 120, filtration efficiency, 90, 93
125, 239, 385, 479, 481, 499, 501 impaction, 117–120
aerosol-climate interactions, 269–270 inertial impact, 91, 92
aerosol-cloud-precipitation interactions, 268–269 interception, 91, 92
budgets, 252–255 optical measurement, 120–121
burdens, 252–255 particle coagulation, 112–116
challenges, 241 particle diffusion mobility, 125
climate, 263 particle electrical mobility, 123–125
cloud droplet activation, 260–263 particle penetration, 90
definition, 239 QF filtration, 91
dimensions, 241–242 thermophoresis, 109–112
direct effect, 263–264 Airline emission index, 327, 341–343
formation, 241–242 AirNode, 445
global budgets, 252 Air pollution, 89, 279
global burdens, 252–255 Airports, 200
global radiative budget, 263 Air quality, 385
hygroscopicity, 260 index, 195
indirect effect, 264–268 monitoring, 385
multiphase secondary production, 248–252 warnings, 395–396
nature and impacts, 240 Air quality standards and guidelines
optical depth, 239, 385 air quality management framework, 11–13
precipitation, 263 definition, 8
primary formation, 242–244 hazard and risk assessment, 26
removal, 241–242 health impact, 13–17
secondary formation via nucleation, 244–248 impact of socioeconomic status on mortality, 16
spatial distributions, 252–255 National Ambient Air quality Standards, 18–19
vertical distributions, 255–260 ozone, 32–37
water uptake by, 260 paradigm shift, 22–25

© Springer Science+Business Media, LLC, part of Springer Nature 2021 513

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https://doi.org/10.1007/978-1-0716-0596-7
514 Index

Air quality standards and guidelines (cont.) Carbon capture and storage (CCS), 302–306, 500, 501
particulate matter, 27–32 Carbon dioxide removal (CDR), 300–302
erocess for developing and issuing National Ambient Carbon nanotubes (CNTs)
Air quality Standards, 19–22 activated carbon fiber filter, 104
sources of information for setting, 26–27 filtration performance, 104
US legal framework for, 17 free-standing SWNT films, 99
WHO guidelines, 25, 40–42 high-filtration efficiency, 98
Albedo feedback, 291 3-layer CNT filter structure, 101
Allan variance method, 429 multi-walled CNTs, 98, 99
American Trucking Associations v. EPA, 21 quartz fiber filters, 102, 103
Ammonia, 481 Catalytic technology, 496–497
Amperometric gas sensor, 439 Centrifugal particle mass analyzer (CPMA), 117
Anthropogenic, 347 Channel capacity, 429
AQMesh systems, 444 Chemical transport model, 373
Aqueous solution concentration, 109 Chemisorption, 432, 494
ARTEMIS project, 61 Chlorofluorocarbon (CFC), 373, 385
Atmospheric chemistry, 281–282 Clean Air Act (CAA), 17, 37, 485
Automobile propulsion technologies, 71 Clean Air Scientific Advisory Committee (CASAC), 19
Average exposure, 53 Climate, 239
Average-speed models, 58 Climate change, 230, 385
Aviation, 327 adaptation (see Adaptation)
Aviation and atmosphere anthropocene, 284–285
air chemistry changes by air traffic, 338–339 ethics and philosophy (see Ethics and philosophy)
airline emission index, 341–343 greenhouse gases, 283–284, 286–289
cloudiness, 335–338 Hadley cell, 292
definition, 327 hydrological cycle, 291
emission reduction policy, 340 mitigation (see Mitigation)
emissions, climatically relevant substances, 329–335 monitoring, 395
European Directive, 340–341 oceans, 289–291
transport sector’s contribution, 339–340 oxygen, 289
Aviation-induced cloudiness (AIC), 327 particulate matter, 283
Avogadro’s number, 91 polar amplification, 291
sixth mass extinction, 293
soil carbon content and permafrost, 292
B
surface temperature, 285–286
Background level, 385
sustainability and (see Sustainability)
Backscattered electrons (BSEs), 126
Climate hazards, 280
Band gap, 423, 433
Climate-related risk, hazard, vulnerability and
Benzene, 480
exposure, 300
Best available technology (BAT), 385
Cloud condensation nuclei (CCN), 283, 307
Bimolecular catalyst mechanism, 496
Cloud droplet activation, 239
Biochar, 301
Coal, 9
Bioenergy with Carbon Capture and Storage
Coarse particles, 194, 207
(BECCS), 301
Coefficient of performance (COP), 149
Biogenic, 347, 385
Cohort study, 347
Biosphere, 279, 385
Cold ironing, 73
damage, 393
Cold-start emissions, 55
Boltzmann distribution, 104
Combustion, 53–55
Boundary layer, 215
Command and control, 385
Brownian motion, 92, 112
Compressed natural gas, 71
Building and street scales, 163
Concentration-response functions (CRFs), 386
Built environment sector
Condensation particle counter (CPC), 121–122
heatwave impacts, 463–465
Conference of the Parties (COP), 280, 340
Buoyancy, 150
Conservative stability, 426
By-products, 482, 497, 501, 505
Consolidated sustainability metrics, 386
Contrails, 327
C Conventional mapping techniques, 231
Cadmium, 482 Corona crises (COVID-19), 1, 2
Cap and trade policy, 483 Coupled chemistry-climate model (CCM), 373
Index 515

Critical load, 386 Eley-Rideal mechanism, 496

Critical natural capital, 386 Emissions
Cross-flow ion mobility spectrometer (CIMS), 125 monitoring, 401
Cross-ventilated system, 151 standards, 403
Cyclonic separation, 491–492 trading, 327
Emissions Trading System (ETS), 484
D Empirical model, 65
Data quality objective, 443 Energy sector, heatwave impacts, 464–466
Deposition velocity, 139 Enforcement, 386
Desulfurization, 500 Engine exhaust particle sizer (EEPS), 118, 124
Deterministic models, 65 Enhanced oil recovery (EOR), 501
Deutsch equation, 105, 106 Environmental ethics, 280
Diesel particulate filter, 47 Environmental Kuznetz Curve (EKC) hypothesis, 483
Differential mobility analyzer (DMA), 117, 121, 125 Environmental management
Differential mobility particle sizer (DMPS), 121 ecological restoration, 298–300
Diffusion, 91 habitat, 298
Dioxins and furans, 390 preservation, 297
Direct air capture (DAC), 304, 305 seeds and plants, 298
Dissolved oxygen (DO), 467 species, 298
Diurnal, 347 Ethical implications
Diurnal losses, 55 adaptation, 312
Double Schottky barrier model, 433 ecological restoration, 315
Dry deposition, 139, 347 geoengineering, 312–313
Dry scrubbers, 499 mitigation, 311
Dust suppressants, 74 preservation, 314–315
Ethics and philosophy
E ecological justice, 314
Eco-driving, 72–73 global justice, 310
Ecological justice, 280, 314 intergenerational justice, 315–317
Ecological restoration, 280, 315 perfect moral storm, 309–310
climate change, 299 Eulerian model, 65
environmental management, 299 Evaporation, 55
Ecosystem, 386 Everhardte-Thornley detector, 126
Electrical aerosol spectrometer (EAS), 118, 124 Exceedance, 347
Electrical mobility, 87, 123–125 Excess heat factor (EHF), 458, 468, 472
Electrical swing adsorption (ESA), 503 Exposure, 280, 386
Electricity generation, 9 limit, 480
Electric low pressure impactor (ELPI), 117, 120 Exposure-response relationship, 23
Electrochemical gas sensors, 439–440 External drivers, 457, 463, 464, 466, 467
chemical interference of co-pollutants, 442 Externality, 483, 484
four electrodes, 440 Extratropical cyclones, 292
and metal-oxide sensors, 443–446 Extrinsic semiconductor, 424
ozone detection, 441
potentiometric sensors, 441
Electromotive force, 441
Electrospinning, 94–95 F
Electrospun nanofibers Face velocity, 90, 95, 98, 101
electrospinning, 94–95 Fast approximate model (FAM), 163
performance of, 95–98 Fast integrated mobility spectrometry (FIMS), 119,
Electrostatic deposition, 91, 92 124, 125
Electrostatic precipitators (ESPs), 75, 492–493 Fast mobility particle sizer (FMPS), 119, 124
advantages and disadvantages, 107 Feedback, 347
collection performance, 109 Fibrous filters, 90
commercial plate-type, 106 Field emission SEM (FESEM), 127
corona discharge, 104 Filtration, 485–489
energy consumption, 107 efficiency, 87, 90, 93, 95, 99, 101, 102, 104, 105, 127
negative mode operation, 105 mechanisms, 92
tube-type electrode, 106 Flat plate precipitator, 493
WESP, 107, 110, 111 Flue gas desulfurization (FGD), 500
516 Index

Formal risk analysis, 24 High-efficiency particulate air (HEPA) filter, 101, 102
Free-standing SWNT films (FSFs), 99, 100, 105 Hockey stick function, 22
Fully computational model (FCM), 163 Holism, 386
Homogeneous nucleation, 239
Hot engine and exhaust conditions, 54
G
Hot-soak losses, 55
Gas-particle concentration (GAC), 109
Hubbert’s peak theory, 296–297
Gas-phase composition processes, 220–224
Hybrid propulsion, 72
Gas phased advanced oxidation (GPAO), 503–504
Hydrodesulfurization (HDS), 497–498
Geoengineering, 307–309
Hydrogen sulfide, 497
Geographical Information System (GIS), 456, 457
Hydrological cycle, 291–292
Geosequestration, 303
Hydropower generation, 465
Gibbs free energy, 494
Hygroscopicity, 239
GISS Surface Temperature Analysis (GISTEMP),
285–286
Global chemical transport model (GEOS-Chem) model, 32
I
Global justice, 280
Impaction, 87, 88, 91, 92, 115, 117–120, 123
individual action, 311
Indoor air pollution, 137
tragedy of the commons, 310
biological, physical and chemical sources of, 138–139
Global temperature change potential (GTP), 327
human interaction with, 140–141
Global warming potential (GWP), 282, 327, 480, 487
Indoor air quality
GP2Y sensor, 438
activated carbon, 152–153
Green chemistry, 504–506
air conditioners, 148–149
Greenhouse effect, 283–284
asthma and allergy, 146–147
Greenhouse gases, 286–289, 386
CO2 as measure of, 147
emission and economic development, 297
gas phase advanced oxidation, 149
emissions, 455
and health, 146–150
Green lighthouse building, 155–158
photocatalysis, 152–154
plants as remediation strategy, 154–155
H remediation methods, 149–157
Haber-Bosch process, 481, 495 sick building syndrome, 146
Hadley cell, 292 sustainable buildings, 155
Harbours, 201 windows, 150–152
Hazardous air pollutants (HAPs), 386 Indoor concentrations of oxidation species, 144
Hazen equation, 106 Industrial air pollution, 486–488
Health sector, heatwave impacts, 463–465 emissions control technologies (see Industrial
Heating, ventilation and air conditioning (HVAC) systems, emissions control technologies)
141, 155 heavy metals, 481–482
Heatwaves, 455, 464, 469, 470–471 oxidized compounds, 480
absolute temperature, 457 particulate matter, 479–480
agriculture sector, 466–467 reduced compounds, 480–481
built environment sector, 463–465 SOAs, 481
energy sector, 464–466 Industrial emissions control technologies
health domains, 468–469 cyclonic separation, 491–492
health sector, 463–465 economics and policies, 482–484
indices, 457–463, 468–469, 471–472 ESPs, 492–493
natural environments, 467–468 external cost of air pollution, 484–485
non-health domains, 469 filtration, 485–489
relative temperature, 457 GPAO, 503–504
return periods, 472 heterogeneous catalysis, 493–498
sector sensitivity, 464 scrubbers, 498–502
transport sector, 466–467 thermal oxidation, 489–491
water sector, 468–469 vapor recovery, 502–503
Heavy metals, 390, 481–482 Industries and public infrastructure, air pollution, 138
Heterogeneous catalysis In situ monitoring, 398–399
catalytic technology, 496–497 Instantaneous model, 59
general heterogenous physics, 493–496 Interception, 92
HDS, 497–498 Intergenerational justice, 280, 315–317
SCR, 497 Intergovernmental Panel on Climate Change (IPCC), 311
Index 517

Internal combustion engines, 53 Meteorological processes, urban air quality

International Civil Aviation Organization (ICAO), 340 building and street scale, 170–173
International Environmental Agreements (IEAs), 484 building and street scale modelling, 178–179
International Maritime Organization (IMO), 340 characteristic regions of flow, 164–165
Internet of Things, 447 complex urban junction, 186–187
Intrinsic semi-conductor, 424 computational models, 174–175
Ionosorption, 432 definition, 163
IPCC, see Intergovernmental Panel on Climate Change mesoscale, 165–167
(IPCC) mesoscale models, 176–177
neighborhood scale, 167–170
neighborhood scale models, 177–178
J output of modelling calculations, 179–186
Jevon’s paradox, 297 urban data, 173–174
Justice trilemma, 317 Methane, 480
Metrics, 347
Microenvironment, 52
K Micro-orifice uniform deposit impactor (MOUDI), 87,
Knudsen number, 91, 92 118, 120, 123
Kyoto Protocol, 340, 484, 500 MIKE URBAN model, 234
Miniature electrical-mobility aerosol spectrometer
(MEAS), 125
L Mitigation, 280
Laboratory animal studies, 23 carbon capture and storage, 302–306
Lagrangian model, 65 carbon dioxide capture, 303
Land carbon sink enhancement, 301 carbon dioxide removal, 300–302
Langmuir-Hinshelwood mechanism, 496 carbon storage, 303–306
Lead (Pb), 390, 482 ethical implication, 311
Leadership in energy and environmental design ocean carbon sink enhancement, 302
(LEED), 155 Mixing ratio, 215
Light scattering, 86, 87, 120, 121, 123 Mobile sources, 7, 17, 347
Linear regression calibration, 446 Mock urban setting test (MUST), 174
Low-cost sensors, 424, 425 Monitoring
calibration, 445–447 acceleration of learning and research, 411–412
electrochemical gas sensors, 439 acid deposition, 392–393
exposure monitoring, 444 air pollutants, 388
factors affecting sensitivity and stability, 431 air pollution, 385
MOx sensors, 432 air pollution mitigation, 406
optical sensors, 436–439 air pollution science on policy, 405
smart city, 447 air quality warnings, 395–396
time-dependent pollution map, 425 changes in institutional practices, 408
uses, 426 climate change, 395
consolidated sustainability metrics, 414–415
criteria pollutants, 389
M damage to biosphere, 393
Marginal abatement cost (MAC), 305 definition, 387
Maritime ship emissions, 49 design methodologies, 416
Matts–Ohnfeldt equation, 106 dioxins and furans, 390
Mechanical ventilation, 141 economy, 394
Mega-cities pollution indices (MPI), 200 emissions monitoring, 401
Megacity, 347 emissions standards, 403
Mercury (Hg), 391 expansion of goals, 408
Mesoscale, 163 global problems, 394
Metal-organic frameworks (MOFs), 423, 448 health, 391–392
Metal oxide (MOx) sensors, 433 heavymetals, 390
advantages, 432 institutional changes, 413
electronic structure, 432 lead (Pb), 390
sensing mechanism, 432–433 mercury (Hg), 391
sensor properties, 433 multidisciplinary work, 412
temperature cycling, 434–436 multipollutant monitoring and science, 414
518 Index

Monitoring (cont.) particle diffusion mobility, 125

non-environmental considerations, 403 particle electrical mobility, 123–125
numerical modeling, 401–402 particle penetration, 90
outstanding problems and challenges, 406–407 QF filtration, 91
overcoming oversimplifications in, 416–417 SEM, 126–127
ozone layer destruction, 395 TEM, 127
particulate matter (PM), 390 thermophoresis, 109–112
policy and air pollution standards, 402–403, 405–406 urban areas, 88
precipitation chemistry monitoring, 399 Nanowire fabrication, 447–448
public involvement, 412 National Air Pollution Control Administration
regional problems, 392 (NAPCA), 17
research, 396 National Ambient Air quality Standards (NAAQS), 8,
research questions, 396–398 18–19
resilience, 409 ozone, 32–36
satellite observations development, 415–416 particulate matter, 28
satellite remote sensing, 399–401 primary and secondary, 18–19
in situ, 398–399 US process for, 19–22
socio-ecological justice, 409 Nationwide Energy Rating Scheme, 464
and sustainability, 388, 407 Natural capital, 386
urban form, 410–411 Natural disaster risk management, 456
violations of concentration standards, 404–405 Natural environments, heatwave impacts, 467–468
visibility, 393 Natural ventilation, 141, 150
volatile organic carbon (VOC), 390 Neighborhood scale, 163
Montreal protocol, 373 Nickel, 482
Mortality, 386 Nitrogen dioxide, 47, 63
Most penetrating particle size (MPPS), 91, 96, 98, 103, 104 Non-dispersive infrared (NDIR) gas sensor, 437
M-Pods, 445 Non-environmental considerations, 403
Multiple-regression models, 59 Non-methane VOC (NMVOC), 480
Multiple Threshold Index, 457, 462 NOx, 215
Multipollutant monitoring, 386 limited, 215
and science, 414
Multi-walled CNTs, 98, 99
O
Ocean alkalinity enhancement, 302
N Ocean carbon sink enhancement, 302
Nanofiber packing density, 97 Ocean fertilization, 302
Nanoparticles (NPs), 118 Oceans, 289–291
AMS, 126 Offices, air pollution in, 138
anthropogenic sources, 87, 88 Open-path laser, 437
APM, 115–117 Operational street pollution model (OSPM), 65
CNTs, 98–104 Opposed migration aerosol classifier (OMAC), 125
CPC, 121–122 Optical particle counter (OPC), 437
deposition mechanism, 88 Optical sensors, 436
diffusion, 91, 92 non-dispersive infrared spectroscopy, 437
electrospun nanofibers, 94–98 particulate matter, 437–439
electrostatic deposition, 91, 92 Outdoor air pollution, 13
engineered, 88 Oxyfuel combustion, 303
ESPs, 104 Oxygen change, 289
fibrous filters, 90 Ozone, 8, 47, 64, 373
filtration efficiency, 90, 93 detection, 441
impaction, 117–120 frequency distribution of simulated daily 8-h-
industrial activities, 88 maximum surface concentrations, 32, 33
inertial impact, 91, 92 GEOS-Chem model, 32
interception, 91, 92 hole, 373
laboratory-engineered, 88 layer, 386
nanotoxicological studies, 89 layer destruction, 395
natural production, 87 NAAQS, 32–36
optical measurement, 120–121 Ozone depleting substance (ODS), 373
particle coagulation, 112–116 Ozonolysis, 144
Index 519

P Rail transport models, 60–61

Particle coagulation, 112–116 Rain, 231
Particle diffusion mobility, 125 Reducing Emissions from Deforestation and forest
Particle electrical mobility, 123–125 Degradation (REDD+), 301
Particle growth, 144 Reforestation, 301
Particle penetration, 90, 101 Refueling losses, 55
Particulate matter (PM), 8, 137, 197, 283, 386, 390, 437– Regional air quality
439, 479–480 air pollutants, 350
definition, 27 atmospheric models, 362
exposure-response relationship, 29, 31 and climate change, 366–369
mortality risk ratios, 30 current air quality legislation and metrics, 364–366
NAAQS, 28 definition, 347–348
Pedestrian-oriented development, 386 ecosystem effects, 360–361
Permafrost, 292 gaseous pollutants, 350–356
Phoresis, 109 health effects, 360–361
Photo-acoustic spectroscopy (PAS), 437 legislation, 348–350
Photocatalysis, 152–154 measurements, 358–360
Photochemical smog, 194 modeling, 362
Photostationary state, 64 monitoring, 348–350
Photostationary steady state, 215 particulate matter/aerosol pollutants, 356–358
Physisorption, 494 regional context, 366
Plate wire precipitator, 493 statistical models, 363
PM10, 215 Removal efficiency, 485, 489, 492, 498, 500, 502, 504, 506
Point sources, 386 Residential air pollution, 137
Policy, air pollution, 385 Resilience, 280, 386
Polyacrylic acid (PAA), 95 Resistance model for dry deposition, 140
Polyacrylonitrile (PAN), 95, 97 Resuspension, 57
Polycyclic aromatic hydrocarbons Reynold’s number, 91, 93
long-range transport of, 209–210 Risk-based policy, 386
sampling artefacts, 209 Road sweeping and washing, 73–74
sources and emissions, 209 Road transport models
Polylactic acid (PLA), 95 abrasion and resuspension, 60
Polymeric nanofiber, 95 combustion, 57–60
Polystyrene latex (PSL), 107 evaporation, 60
Polysulfone (PSU), 97
Polytetrafluoroethylene (PTFE), 97
Polyvinyl alcohol (PVA), 95 S
Polyvinylidene fluoride (PVF), 97 Satellite remote sensing, 399–401
Population exposure, 386 Scanning electron microscopy (SEM), 126–127
Porosity, 163 Scanning mobility particle sizer (SMPS), 118, 123, 124
Potentiometric sensors, 441 Schottky barriers, 426
Preservation, 280 Scrubbers, 498
Pressure drop, 488, 489, 504 bioscrubbers, 501–502
Pressure swing adsorption (PSA), 502 CO2 removal, 500–501
Primary pollutants, 215, 386 dry, 499
Primary standards, 386 NH3 removal, 499
Public transport, 466 SOx removal, 499–500
Purpose-built vehicles, 73 wet, 498–499
Seawater scrubbing, 71
Secondary electrons (SEs), 126
Q
Secondary organic aerosols (SOAs), 481
Quality factor, 90
Secondary pollutants, 215, 387
Quantization noise, 430
Secondary standards, 387
Quartz crystal microbalance (QCM), 117, 118, 120
Selective catalytic reduction, 47
Selective catalytic reduction (SCR), 497
R Selectivity of sensor, 426
Radiative balance, 386 Sensitivity of gas sensor, 426
Radiative forcing (RF), 239, 282, 327, 347 Ship traffic, 201
Rail locomotives, 55 Sick building syndrome, 146
520 Index

Single crystal silicon, 433 passenger and freight transport in EU-27 countries,
Single-sided ventilation, 150 50, 51
Single-walled CNTs, 98 physical barriers, 74–75
Sixth mass extinction, 293 prevention measures, 67–74
Slip flow effect, 93 rail transport models, 60–61
Small-angle X-ray scattering (SAXS), 121 road sweeping and washing, 73–74
Smog, 10, 347 road transport models, 57–60
Smoking impact on ventilation, 142 shipping models, 61
SnO2, 433 traffic management, 74
Socio-ecological justice, 387, 409 transformation process, 63–64
Soils store carbon, 292 transport emissions, 57–62
Solar radiation management (SRM), 307–309 vegetation, 75
Soot particle AMS (SP-AMS), 126 Sustainability
Sound pressure level (SPL), 114 energy consumption, 295–296
Source apportionment, 387 food security, 293–294
Space charge, 424 greenhouse gases emission and economic
Stack-ventilation, 151 development, 297
Stationary sources, 347 health consequences, 294
Statistical model, 65 Hubbert’s peak theory, 296
Steam engines, 9 Jevon’s paradox, 297
Stratosphere, 373 monitoring and, 388, 407
Stratospheric pollution per capita GDP and energy consumption, 296
catalytic ozone loss, 374–375 Sustainable Development Goals (SDGs), 297
definition, 373
middle latitudes and tropics, 377
T
natural ozone layer, 374
Target load, 387
ozone depletion, 376–379
Taylor cone, 94
ozone layer, 374
Temperature inversion, 215, 347
polar ozone loss, 376–377
Temperature swing adsorption (TSA), 502
stratospheric chemistry, 375–376
Temporal, 347
Street canyon, 215
Thermal oxidation, 489–491
Subsidiary Body on Scientific and Technical Advice
Thermohaline circulation, 280
(SBSTA), 340
Thermophoresis, 109–112
Sulfur dioxide, 8
Three-way catalyst (TWC), 496, 497
Surface transportation impacts on air quality, 47–48
Time-of-flight (ToF)-AMS, 126
activity data, 61
Traffic management, 74
air pollution pathways, 51–53
Traffic situation models, 59
air quality legislation, 67
Transboundary pollution, 215
air treatment technologies, 75
Transit-oriented development, 387
automobile propulsion technologies, 71–72
Transmission electron microscopy (TEM), 127
car ownership in European countries, 50
Transport sector, heatwave impacts, 466–467
compressed natural gas, 71
Troposphere, 387
dispersion of pollutant, 62–63
Tubular precipitator, 493
dust suppressants, 74
Two-stage precipitator, 493
eco-driving, 72–73
emission legislation, 67–70
emission processes, 53–57 U
empirical/statistical models, 65 Ultrafine particles, 47, 205
Eulerian and Lagrangian model, 65 Unified Natural Hazard Risk Mitigation Exploratory
fuel legislation, 70 Decision Support System (UNHaRMED), 456
future research, 76–78 United Nations Environmental Programme (UNEP), 195
historical trends, 50–51 Urban air quality, 163, 194
hybrid propulsion, 72 air pollution, 198–199
improved combustion and exhaust aftertreatment, building and street scale, 170–173
70–71 building and street scale modelling, 178–179
liquefied petroleum gas, 71 characteristic regions of flow, 164–165
LPG and CNG, 71 complex urban junction, 186–187
mitigation measures, 74–75 computational models, 174–175
model validation, 77–78 concentration and indices, 199
Index 521

definition, 163 Urban form, 387

geography impact, 201–202 Urban heat islands (UHI), 464
and health effects, 197–198 Urban meteorology, 163
heavy metals, 210 Urban smog, 194
mesoscale, 165–167 Urban surface water management, 229
mesoscale models, 176–177 Utility factor, 433
meteorology impact, 202–203
neighborhood scale, 167–170
neighborhood scale models, 177–178 V
nitrogen dioxide pollution, 204 Vacuum swing adsorption (VSA), 503
origins of, 197 Vapor recovery, 502–503
output of modelling calculations, 179–186 Vehicle operation, 57
particle pollution impact, 204–209 Very short-lived species (VSLS), 373
polycyclic aromatic hydrocarbons, 209–210 Volatile organic compounds (VOCs), 142, 150, 198, 215,
topography impact, 202 284, 390, 480, 481, 485, 489, 491, 497, 498,
trace elements, 210–211 501, 504
urban data, 173–174 limited, 215
Urban atmospheric composition processes Vulnerability, 280
characteristics, motor vehicle and domestic fuel curve, 456, 469, 472
emissions, 220
composition and key pollutants, 218–219
condensed phase composition processes, 224–225 W
definition, 215 Water sector, heatwave impacts, 468–469
dynamics, 217 Wet deposition, 139, 347
evolution of air pollution vs. development, 216 Wet electrostatic precipitation (WESP), 107, 110, 111
gas-phase composition processes, 220–224 Wet precipitator, 493
historical perspective, 216 Wet scrubbers, 498–499
key emission characteristics, 219–220 Wetting filters, 439
meteorology, 217 Whitman v. American Trucking Associations, 21–22
mixing, 217 Winter smog, 194
urban atmospheric composition trends, 225–226 Wire-on-plate ESP (WOPEP), 109
Urban drainage modelling, 229 Wood combustion, 201
challenges in urban surface water, 230–231
flow on surface, 234–235
sewer system design, 231–234 Y
surface runoff, 231–234 Yttria-stabilized zirconia (YSZ), 95, 96
water transport into sewer system, 235