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PVC plastic: a history of systems development and entrenchment

Article in Technology in Society · April 2001

DOI: 10.1016/S0160-791X(01)00013-6

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 How PVC plastic became unplastic
A history of systems development and entrenchment.

Karel Mulder, Marjolijn Knot1

Introduction.

In the past two decades, the central question of technology studies, i.e. what determines the speed and the direction
of technological change, has led to many new concepts that were inspired by various academic traditions. Tom
Hughes's (1983) systems approach to technological change was rather successful in explaining the creation and
evolution of those technologies that needed large scale integrated organization like public transport and utilities. His
concepts 'reverse salient' and 'critical problem' were especially successful in accounting for direction and rate of
technological changes that were needed by systems. Hughes claims that his concepts are rather generally applicable.
However, a flaw in his approach is that a definition of system and its boundaries is hard to give. As Hughes
addresses this problem himself, the boundaries of a system are defined by the power of a central actor that controls
the system (1983, p. 5). This might apply to utilities like the electric power system. In most free-market systems of
industrial production, central control is virtually absent. This suggests the use of the network concept, inherently a
more flexible concept than the system concept, as a network is in principle an open structure. In a network concept,
independent actors create various arrangements with others that help them to achieve their own goals. The network
enables actors to exert power, but also makes an actor susceptible to the actions of others (Callon, 1986). The
network concept is adequate to describe these interactions. However, in network approaches the question arises
where the goals of the individual actors come from. It is the main strength of the systems concept, as opposed to the
network concept, that it defines the roles each actor has got to play within the system. Although Hughes emphasizes
that his concepts are far from deterministic, voluntarism is rather unimportant in his analysis of the evolution of
systems.
Is Hughes’s systems theory applicable in forms of industrial production that involve various independent
corporations? Intercorporate networks of social relations are probably not sufficient to explain the concerted action
that can often be observed in branches of industry. For example, in the production of plastics, not just the social
network (of various corporations, agencies, research institutions, environmental organizations), but also the physical
system is of great importance: the flow of the specifically adjusted raw materials to end-customers by way of various
specifically designed structures such as pipelines, specially designed transport vehicles etc. (Cf. Mulder/Bras, 1998).
The network concept is especially a fertile concept on the micro level, when voluntaristic actions are curbed or
facilitated by the actor's social relations. The concept's focus on voluntaristic action diverts attention from the effects
of structural as well as cultural changes that affect the actors. These are the very issues we want to analyze.

1
Faculty of Technology, Policy and Management, Delft University of Technology, Jaffalaan 9, NL 2628 BX, Delft, The Netherlands
Tel +31 - 15 278 1043/3447
Fax +31 - 15 278 3177
Email k.f.mulder@tbm.tudelft.nl
Therefore, we will start using Hughes' framework to analyze the creation and growth of the 'poly-vinyl-chloride
(PVC) system' in order to account for the entrenchment (Cf. Collingridge, 1980) of this material in society.
Meanwhile, we will explore the flaws in the concept that might be filled up by the network concept.

Plastics

In history, there have been many attempts to create 'man-made' materials with characteristics that fitted better to
man's wishes. For example, the famous Robert Hooke proposed in 1665 to make
`an artificial glutinous composition, much resembling, if not full as good, nay better, then that Excrement, or
whatever other substance it be out of which, the Silk-worm wire-draws his clew. If such a composition were
found, it were certainly an easie matter to find very quick ways of drawing it out into small wires for use.'
(Hooke, 1665)
However, these kind of materials could not be made in the following centuries. It was in the second half of the 19th
century that synthetic materials became somewhat more realistic. In 1862, Alexander Parkes of Birmingham suc-
ceeded in finding a solvent by which he could dissolve gun cotton, and mould this substance into products. He called
his ivory like resin `Parkesine'. It would be especially suitable to insulate telegraph wires (Parkes, 1865). The Ame-
rican John Wesley Hyatt invented celluloid in 1869. The material was used to manufacture collars and cuffs (Friedel,
1983). However, these materials had many defects. They burnt easily, were not waterproof, degraded in sunlight, or
could not be mould into useful shapes.
In the beginning of the 20th century, many inventors were searching for new materials. The new electric industry
was in need of insulating varnishes, which triggered many chemists to study various organic reactions. Leo Baeke-
land became the most famous of them. He invented a phenol-formaldehyde resin which was called Bakelite, and pa-
tented it in 1907. Bakelite was an enormous success (Haynes, 1961, Baekeland, 1909, Gillis, 1965). At that time,
there was hardly any useful scientific understanding of organic compounds. Inventors had no satisfactory concept
of the molecular structure of the materials that they were working on. In general they were also rather ignorant
regarding this issue (Morawetz, 1985)

PVC

The year 1912 is generally said to be the year of discovery of polyvinyl chloride. In this year, Klatte reported on a
production process for PVC. However, PVC’s history had already started a century before. In 1795, four Dutchmen,
Dieman, Trotswyck, Bondt and Laurverenburgh had prepared a substance that was named after them 'the oil of the
Dutch chemists' (dichlorethane). The nature of this substance became the subject of a debate in chemistry; was it a
simple combination of equal parts of chlorine and ethane or was it a more complex compound? Several chemists
started working on this issue. In 1835, Henri V.Regnault observed that a gas could be produced that burnt with a
yellow flame with a green mantle2. The interest of Regnault in these substances was purely academic. Further
experiments were carried out using bromine and iodine analogues (Kaufman, 1969).
In 1860, Hofmann, observed that vinyl-bromide, a colorless liquid, changed into a white porcelain like mass. This
process was a mystery to him, for which he used the word 'metamorphosis'. In 1872, Baumann elaborated on these
results. He was the first to make poly-vinyl-chloride: a white milky precipitate that was made by putting tubes filled
with vinyl chloride in direct sunlight. Like other chemists at that time, Baumann showed no interest to apply the new
material (Kaufman, 1969, Furukawa, 1983).

Griesheim's attempt

At the end of the 19th century, chemists were looking for solutions of over-
production problems that arose in two important new branches of industry:
Acetylene. In the beginning of the 1890's, an electrothermal process to
produce (calcium-) carbide was developed. This product was potentially
very useful; when water was added to carbide, it produced acetylene gas.
This gas burned with a brilliant white light. Various entrepreneurs became
interested in using acetylene for lighting. In 1897, the Journal of Acetylene
Lighting was launched. Expectations ran high:
"Es mehren sich die Anzeichen, daß das Acetylengas die Lichtquelle
der Zukunft bilden dürfte" (Anonymous, 1900)
However, acetylene gas could not establish itself as an important illuminant
due to the competition of electric lighting (which was continually improving) and coal gas (Kaufmann, 1969,
Reverdin, 1900). After 1900, the carbide industry was plagued with crises of overproduction. This created a drive to
search for other acetylene applications (Krekeler/Wick, 1963)
Chlorine. Since the end of the 19th century salt could be electrolytically
decomposed to form chlorine and sodium hydroxide. The major use of
Figure 1, Fritz Klatte
chlorine was bleaching powder, which was used in pulp and paper
production and in the textile industry. In 1909 chlorine was first liquefied, which opened up many new possibilities
for use. Soon, chlorine became widely used for water purification and sewage treatment.
The sodium hydroxide was applied in soap production. A new and very rapidly growing demand for sodium
hydroxide was the artificial (cellulose) fiber industry (Coleman, 1969, Beer, 1962). Sodium hydroxide was also
increasingly used to improve the properties of cotton yarns ('mercerisation') (Reverdin, 1900). As a result, demand
for sodium hydroxide grew fast, and chlorine production grew even faster than market demand.

2
therefore, this must have been vinyl chloride, the basic material for making PVC
Because of the convergence of these two major
developments in chemical industry at the turn of the
century, it was not very surprising that industry was
The main drives for creating PVC originated from
looking for useful compounds that could be produced
reverse salients in two pre-existing systems:
using chlorine and/or acetylene derivatives.
The carbide/acetylene industry was seeking outlets
In 1904, Zacharias, Klatte and Rollet from the German
for its products; production capacity exceeded
Chemische Fabrik Griesheim Elektron started research on
market demand by far;
compounds that could be produced using acetylene and
Chlorine was also produced in excess; it is gene-
chlorine. In 1912, Klatte reported on a feasible production
rally produced in combination with sodium hy-
process for PVC (Kaufmann, 1969). However, the diffi-
droxide, for which market demand was exploding.
culties were enormous: PVC proved to be brittle and
degraded when exposed to heat and light. Processing the
material was problematic, as PVC is thermally unstable,
and degrades at the same temperature that is required for processing.
Further studies at Griesheim aimed at improving the flexibility and stability of the material.
During World War I, process technology was improved and PVC copolymers were developed that were less
intractable. At Griesheim, various plasticizers were used, and PVC was chlorinated (which improved its
processability considerable). At that time, Germany faced scarcity of various overseas products that could potentially
be replaced by PVC. Likewise, Imperial Russia supported the development of substitutes for natural rubber. In
Moscow Iwan Ostromislensky developed processes for the production of rubber-like products by removing the
chlorine from PVC.
Although these projects were rather interesting during the War, industrial interest dropped dramatically afterwards.
PVC could often not compete with natural materials,
regarding quality and properties, as well as regarding
The PVC system was confronted with a fatal
the (in-) efficiency of the production process. Moreover,
reverse salient:
the Germans were rather dissatisfied with all of the
One could hardly process the material. As far as
"Ersatz" (surrogate) products of World War I (Pistor,
it could be processed, consumers judged the
1958). As Griesheim became part of IG Farben in 1925,
product inferior.
it was decided not to continue PVC development.
Klatte's patents lapsed by the end of 1926.
Ostromislensky's efforts were terminated by the turmoil in Russia in 1917.

Polymer science

Although commercial research on PVC was almost terminated, the more fundamental, scientific research was not.
Staudinger's macromolecular theory of polymeric materials (1920) had challenged the established theories on the
nature of polymeric materials3, and academic interest in these materials grew considerable, both in industry and in

3
Before Staudinger, scientists were generally convinced that polymers were ring-structures with a low number of repeating units.
universities (Furukawa, 1983). Especially Du Pont (hiring Carothers, who invented Nylon and Neoprene) and IG
Farben (hiring Mark and Meyer) made important contributions to the development of polymer science. Polymers
became trendy among industrial chemists those days, and not just within IG Farben and Du Pont. The newly formed
large chemical corporations4 all set up research stations that could engage in fundamental chemistry.

PVC's commercial production by B.F. Goodrich

At the US rubber producer BF Goodrich, Dr. Semon found a way to plasticize PVC. Semon was hired to search for
synthetic adhesives for bonding rubber to metal. He intended to use PVC as a raw material, and to remove the
chlorine by means of a high boiling solvent. He did not succeed in removing the chlorine. However, when he
examined the cooled material, he found it to be flexible and elastic. Moreover, after some further observation, he
found the material to be chemically and electrically inert. Semon forgot about adhesives and molded several articles:
a golf ball, handles of screwdrivers, shoe heels, etc. Eventually, he also made a corrosion resistant PVC lined tank,
which was surprisingly corrosion resistant. Semon saw the material as a substitute for rubber. BFG started to
produce PVC on a commercial scale in 1930, and produced various products.

PVC and IG Farben

Although IG Farben's commercial managers had stopped Klatte's project, IG Farben's fiber scientists continued wor-
king on post-chlorinated PVC fibers. In 1928, IG Farben was the first to manufacture a PVC fiber. In 1931, C.
Schönburg found a process by which high performance films and lacquers could be made. Chlorinated PVC,
"Solvitherm", seemed very promising, especially as a fiber. Later, however, the material proved unable to compete
with other newly developed synthetic fibers such as nylon5 (Kaufman, 1969, Klare, 1985, pp. 68-69, 1970, Smith,
1946).
Another promising route to plasticization, PVC co-polymerization, was studied in IG’s Ludwigshafen
laboratory. Co-polymerization lowered the melting temperature, enabling to make materials that remain
permanently soft and flexible. In 1937, IG Farben’s production of PVC (co-) polymers started at full plant scale
(Kaufman, 1969).6

PVC products

4
The 1920s can be seen as the birth years for the large scale integrated chemical corporations: Du Pont became a large corporation in the 1920s
by spending its enormous WW I-profits on takeovers. In 1926, ICI was established, and in 1928, Rhône-Poulenc. The largest company before
WW II, IG Farben, was created by a merger in 1925. These large corporations each had their own (colonial) spheres of influence. Competition
was therefore relatively unimportant. They shared a lot of R&D results.
5
Nowadays, post chlorination is of little importance. It is used in applications demanding a high thermal stability, for example for central heating
piping.
6
Although nowadays co-polymerisation is still an important concept in polymer technology, it is not so much used for plasticization. The current
main route to manufacture flexible PVC is by addition of plasticizers.
From 1930 on, PVC products came on the market. Shock absorber seals and tank linings were the first products,
soon followed by for example flame resisting cable insulation and PVC coated textile (for raincoats and shower cur-
tains). By these products, the PVC business really started to take off (Semon/Stahl, 1982). Other domestic
applications concerned products that were formerly
made of natural materials like ivory and rubber or the
early polymer materials such as celluloid and Bakelite: In the thirties, PVC systems came into existence.
shoe-heels, handles of screw drivers, combs, Major forces were:
toothbrushes, spectacle-frames and -cases, false teeth, - the thrust of a new and challenging scientific
artificial leather (Semon/Stahl, 1982). In 1934, the theory
first PVC-copolymer phonograph records were made - the creation of large chemical industries that
by Union Carbide (Sears/Darby, 1982). At the end of invested much in R&D
the thirties, floor coverings and transport piping for all - - accidental technological achievements
kinds of liquids became important applications. PVC
also found its way to wall panels and construction
profiles.
However, at the end of the thirties, most of the PVC produced was used in the electrical cable industry. Another
major part found its way to the chemical industry (where it was used for tank linings and piping systems).

Consumer reactions

PVC’s relative non-flammability, durability, good insulation properties and resistance against humidity and various
chemicals made it a very suitable material for war equipment. During WW II important applications became wire
insulation, battery and cable casings.
However, an industry as new as the PVC industry, which still had to cope with very complicated and sensitive pro-
duction processes, could not always meet common quality standards. PVC film became tacky or brittle and exuded a
chemical odor as plasticizer volatilized into the air. Common problems of PVC products were degradation of
adhesive layers by volatizing plasticizers from the products, and products shrunk and hardened after time. (Meikle,
1995; Semon/Stahl, 1982). Moreover, army supplies had to meet the highest achievable quality standards. Batches
of lower quality often found their way into civilian markets. As a result, PVC became very negatively perceived by
the general public: "the products smell, sweat, the print comes off and they get brittle" (Meikle, 1995). Plastic produ-
cers claimed that this problem was not just their problem. It was caused by the ignorance of consumers regarding
plastic products; people cleaned plastics in boiling water, etc. This problem was crucial for the plastics industry. In
1944, the industry association, the Society of Plastics Industries, decided to start more informative labeling.
However, labeling alone could not solve the problem. A real solution had to come from progress in PVC plasticiza-
tion and polymer stabilization technologies. The number of commercially available plasticizers increased dramati-
cally: Between 1930 and 1960, hundreds of new plasticizers were introduced. Plasticization of polymers became in
fact a new sub-discipline of polymer science in that period (Cf. Darby/Sears, 1976). Plasticizer development was of
crucial importance for PVC. As two Monsanto researchers put it (Darby and Sears, 1975):
 "With the incipient commercialization of poly
vinylchloride in 1931, the most unpromising of The first major 'reverse salient' of the PVC system
modern resins (when unplasticized) was was product quality. The public blamed the sys-
available" (p. 610), "... plasticizers, and proper tem for selling inferior products. The critical pro-
formulation, helped overcome the PVC blem was defined as developing suitable additives
problems ... and made it the most versatile of and educating the public.
all modern resins" (p. 628).
Process technology was also improved. Moreover, the
industry learned to handle the sensitive processes by experience. In the thirties, the original photo-polymerization
had been abandoned already. The thermo-polymerisation and solvent-polymerization, which were worked upon
since 1912, were in the second half of the thirties surpassed by dispersion polymerization. At that time, the Germans
worked mainly on emulsion polymerization, while in the USA suspension polymerization was developed.
Suspension polymerization eventually became the most used polymerization route, because it yields PVC of higher
purity, transparency and better insulation quality than the emulsion process (Kaufman, 1969, Schouten/Van der
Vegt, 1991).
The developments in plasticizers and polymerization technology made way for larger scale production and
processing of PVC.

Internationalization

The beginning of the fifties marked the real take off of PVC production and consumption. PVC production was
growing with about 15% annually. This growth was not only caused by improved product characteristics but also by
falling PVC prices. As a result PVC technology spread around the world. In 1958, industrial production of PVC took
place in:

Installed capacities, ton per

annum, 1958

USA 360.000
Germany 90.000
Communist countries 85.000
England 65.000
France 49.000-62.000
Italy 45.000
Japan 35.000
Belgium 15.000
Sweden 7.000
Norway 5.000
Switzerland 5.000
 Netherlands 3.000
(Smith, 1958)

Installed capacities, ton/annum, (smith, 1958)

Figure 2: PVC production in United States, million lbs.

Miamata
In the sixties, a serious public issue was the so-
called Miamata disease. People living near the
Miamata Bay in Japan showed nervous diseases.
The reverse salient ‘Miamata Disease’ was solved by
It turned out that the diseases were caused by the
emission control techniques, and a switch to other pro-
consumption of shellfish that contained high
duction processes that were induced by general transi-
levels of mercury7. The mercury came from the
tions in chemical industry.
nearby vinyl chloride factory, where mercury
was used as a processing agent to produce VC
from acetylene and hydrochloric acid. This problem was 'automatically' resolved because in those years, the
chemical industry generally shifted from acetylene to ethylene as major feedstock for VC production.

7
These people showed the same symptoms as the 'Mad Hatter', in Carrol's Alice in Wonderland. The 18th century hatters used to make felt
hats, using mercury to make felt from wool
 Figure 3: PVC price in USc per lb.

The seventies: the vinyl chloride problems

Another issue concerning PVC and health emerged in the first half of the seventies. PVC's building blocks,
vinyl chloride (VC), turned out to have toxic and carcinogenic effects.
Toxicity. Even before large-scale production in the thirties, VC was studied as a potentially toxic substance,
causing fatty degeneration in livers and kidneys of test animals. In 1938 the first evidence of VC causing toxic
effects in animals was published.
Since the end of the fifties, the toxic effects became more clear: VC became linked to 'acro-osteolysis'
(characterized by clubbed fingers, bone deterioration, heart and metabolistic problems, skin changes and muscle
anomalies), and the so-called Raynaud's syndrome (symptomed by high sensitivity for cold and prickling
fingers). In the sixties, a growing amount of reports in various countries described VC factory workers
(especially those occupied with cleaning reactor vessels) showing these diseases and other symptoms. Many
reports were stemming from industry itself; e.g. Dow Chemical Company and B.F. Goodrich Company carried
out studies on their employees. In Germany, by September 1974, 167 suspected cases of 'VC-disease' had been
registered (Eßlinger, 1975).
Carcinogenity. At the end of the sixties, the Italian physician P.L. Viola, employee of the (P)VC producing
company Solvay, started research, which aimed at inducing acro osteolysis in rats. However, he showed that VC
caused cancer in their ears and lungs. He presented his findings in 1970. This was the first indication of VC
being carcinogenic (Levinson, 1975). Based on Viola's work, the Italian Professor C.Maltoni started research on
the carcinogeneity of VC. In total, this research project took 12 years. Early results, published in 1974,
confirmed the former findings: VC caused angiosarcoma (a rare type of cancer) in liver, kidneys and ears of
test-animals.
Just before, in the same year, B.F. Goodrich made public that three employees had died from angiosarcoma in the
past two years. Soon after, another 8 deaths among employees of this company were ascribed to VC or vinyliden
exposure (Brown, 1992, Badaracco, 1985, Levinson, 1975).
Panic arose worldwide. Moreover, cancer of the liver had also been detected among employees of PVC processing
industries (where VC exposure levels generally were much lower). Furthermore, 'ordinary citizens' also appeared to
be at risk. VC had been detected in PVC packaging, food and drinks, and also in PVC household and furnishing
goods (Koch and Vahrenholt, 1978, Eßlinger, 1975) Researchers in the UK concluded that PVC-workers wives had
two times more chance to have miscarriages (Reijnders, 1978)
By June 1974, 21 cases of angiosarcoma had been diagnosed (Levinson, 1975). In 1995 175 cases of this rare type
of liver cancer had been confirmed worldwide (Norsk Hydro, 1995).
The announcement by BFG in 1974 appears to have been the watershed, spurring the VC-issue. The years that
followed were characterized by hectic action from public authorities, industries, labor unions, public media and
scientists. In many countries exposure standards were sharpened (from originally 500 ppm standards to intermediate
standard levels of 50 ppm to 1 ppm ultimately), and investigations on carcinogenity of VC were intensified.
(Badaracco, 1985, Levinson, 1975).

Figure 4: Emissions of VC in Germany, per volume PVC produced

From the mid-seventies, manufacturers have been

bringing down VC concentrations at the workplace and
The VC problems turned into a reverse salient.
in products, as well as VC emissions from the factories.
The PVC system succeeded in formulating work-
Generally these have been under control by industry
able critical problems: bringing down emissions,
since the end of the seventies (at least in the USA,
workplace- and product concentrations. Pre-exis-
Japan, and Western Europe). Automatic reactor clea-
ting knowledge probably guaranteed that this
ning, stopping leaks, closed vessels and training of
path would succeed.
personnel to recognize and treat leaks were among the
most important measures.
The eighties: the Chlorine Debate

Chlorine emissions occurring from the production, transportation, storage and processing of chlorine have been re-
peatedly showing up as issues of criticism. Chloride compounds were often determined to be the cause of environ-
mental degradation. DDT8, an effective pesticide, appeared to weaken and kill mammals too; PCB9s, caused mam-
mal infertility, and several other chloride containing pesticides were also causing environmental degradation.
On 10 July 1976, the Seveso accident happened. This chemical accident contaminated four Italian villages with
highly toxic dioxins10. Many people had to be evacuated and the area had to be cleaned. Later on, it turned out
that dioxins were also present in the exhaust fumes of garbage incinerators. Also the chlorine containing insec-
ticides Aldrin and Dieldrin turned out to be
persistent and environmentally dangerous.
The reverse salient, as environmentalists formula-
Furthermore, Chlorinated Fluoro Carbons (CFC’s)
ted it, involved the very core of the PVC system:
have to be mentioned: by the end of the eighties,
chlorine. It could not be resolved unless PVC
these were determined to be the cause of the hole in
itself changed. However, for the PVC system it-
the Ozone layer.
self, the problem was a loss of political and con-
As a result, chlorine as such became an important tar-
sumer support that threatened PVC sales
get for the environmental movement. This also im-
plied an attack to the PVC industry: about a quarter of
the chlorine produced worldwide is used for PVC. In Western Europe even more than one third of the produced
chlorine finds its way to the PVC manufacturers (De Jong, 1994).

PVC wastes

As a result of the growing anti-chlorine mood in society, the PVC industry undertook some activities to become less
chlorine dependent by trying to create a closed loop, i.e. reusing PVC waste as a raw material.
We will show this tendency for the PVC industry in the Netherlands. Since the late eighties, the Dutch PVC-piping
and PVC-windowframe industries started to develop recycling technology, collection and recycling schemes. To
them, it was an important means to lever up the environmental image and performance of PVC products. A basic
concept in these projects was to use the product waste in the same products. The piping industry chose to develop a
three-layer pipe, containing 30% regenerated material (in the inner layer).
Economic and technically feasible recycling requires large, recognizable and homogeneous waste streams, which
certainly did not apply for PVC packaging waste. Plastic packaging is mixed in municipal waste and rather light in
weight. Hence, besides material recycling, two other waste management paths were being followed:
- Incineration with energy recovery in the municipal waste or factory-owned incinerators. For industry this option
obviously was the most convenient and less capital consuming one. However, up until recently, incineration of

8
Dichlorodiphenyltrichloroethane
9
polychlorobiphenyl
10
polychlorodibenzodioxins.
 plastics was opposed to the guiding rule for Dutch waste policy. This policy was based on a strict order of
preferences:
- Prevention
- re-use
- recycling
- incineration
- landfill
Incineration was thus seen as an inferior option, only to be implemented when other options would be out of the
question. However, industry strongly defended incineration and launched the concept as 'thermal recycling'.
Industry argued that incineration was in fact the ‘extended use of oil’. Municipal waste incinerators would have
to be fed with additional oil to obtain the right burning conditions when plastics would be extracted from the
municipal waste. Nowadays, it seems generally agreed that the strict order of waste treatment preferences is not
appropriate, and that a mix of treatment technologies is needed (Van Halen, 1995B, Van Tuijn and Mieras,
1994).
- Chemical recycling, ‘back to feedstock’. Mixed plastics can be cracked and converted to monomers, or oily
substances. Technologies that can handle PVC containing mixed waste are being developed.

Substitution of PVC packaging

However, the acceptance of other waste treatment technologies apparently did come too late for one branch of PVC
products: (food) packaging. In the Netherlands PVC packaging was seriously attacked because of several coinciding
developments:
- the detection of dioxins in cowmilk from the Lickebaert area in 1989, which was immediately related to the
incineration of PVC waste in a municipal waste incinerator nearby;
- a large anti-PVC campaign by eight environmental and consumer organizations;
- a public campaign by a large supermarket chain on its environmental policy, in which the banning of PVC
(packaging) was one of the topics;
- an advice of the association of the food retail sector to their members to substitute PVC packaging;
In hardly one-year time, most PVC food packaging was substituted.
Notwithstanding the seriousness and intensity of the attack, one may ask why PVC industry did not manage to
defend its packaging market. In the first place, although the Dutch PVC industry forum (the Steering group PVC &
Environment) dìd defend the PVC market, their efforts may have been not very strong. By some, it is believed that
the packaging market was more or less deliberately sacrificed to come on terms again with the 'green lobby'. In line
with this is the idea that PVC industry by that time had settled for the recyclability of PVC to get PVC re-accepted in
society, which was not feasible for packaging materials. Other reasons were that:
- the PVC packaging market only accounted for a marginal part of total PVC demand (estimated at 3-5%),
- that the PVC industry had difficulties to mobilize the The PVC system solved its reverse salient by con-

packaging producers (the packaging sector consists vincing the government that not chlorine itself was

of a large number of small enterprises that are often the problem but chlorine waste. It thereby sacrifi-

dominated by their large customers, for example ced part of the PVC system. Naturally, conflict

the food-industry), and arose, but this did not prevent joint action.

- that many feasible alternatives for PVC packaging The core of the system was safeguarded.

were already available and in use.11

The PVC system in the last decades: continued growth

Since its commercialization, PVC has been replacing various other materials. In most cases PVC was not merely a
cheap and easy substitute. Quite often it possessed technical advantages. Its properties made it a favored material
among plastic processors and users of plastic products. In the seventies, the average consumption of PVC per person
in industrialized countries reached more than 20 pounds of PVC products a year (Badaracco, 1985).
Nowadays PVC is the second most produced and used plastic (PE being on the first place), and its use is widespread
and very diverse, ranging from everyday life products to highly special applications. In current years, the largest
PVC application field is the building and construction sector (piping, guttering, window profiles, wall plates). Other
important application fields are flooring and wall coverings, (electrical) cables, consumption goods and packaging.
And to name another few, PVC is also being used in cars (bumpers, interiors), furniture coverings, tubes and
medical applications (bloodbags for example).
The importance of PVC as a market for the chlorine
industry grew from about 6% in 1945 to approximately From a chlorine outlet the PVC systems evolved
20% in 1975 and about 25% in 1985 (world figures, into a driving force for chlorine production in the
estimated from Taylor, 1962 and De Jong, 1994). middle decades of the 20th century. Chlorine in-
Currently, worldwide PVC production is estimated to dustry on its turn evolved into a widespread sys-
account for 34-40% of total chlorine demand (Hen- tem with many applications. However, as many
driks and Papameletiou, 1996; private communication, large chlorine applications declined, PVC be-
Baars, 1996). came more and more a vital element of the
This continuing increase in 'market share' cannot be chlorine system.
accounted for solely by growing PVC production
figures. An important factor is the decrease in total
chlorine demand since the mid-seventies, caused by the abandoning or restricting of many large chlorine
applications: PCB's, DDT, aldrin, dieldrin and VOC's. In the last twenty years, the demand for caustic soda has been
exceeding the demand for chlorine. In fact company-internal chlorine prices can be negative. The fact that chlorine
industry still showed some growth in the last five years is believed to be solely due to PVC. (Private
communications, Van Andel, 1996, Baars, 1996). So PVC more and more appears to be a vital element for the
chlorine industry.

11
Today, Dutch packaging policy is not restricting the use of PVC packaging anymore.
Figure 5: US PVC production (mln lbs.)

Currently, PVC industry is facing concerns about the additives used. Metal-based stabilizers are hard to control in
incinerators. Plasticizers, especially the phthalates, are accused of disrupting the endocrine system.

Discussion and conclusions

Entrenchment of PVC analyzed from a systems perspective

As is described in this paper, PVC has become strongly entrenched in society. This is rather intriguing since PVC
was certainly not the ideal material for a new industry. A polymer scientist wrote in 1966:
Had this polymer been discovered at the present stage of development of the plastics industry, it would almost
certainly have been eliminated as useless because of its general instability to all common degradative agents
(Grassie, 1966, p. 647)
It seems that the strong position of PVC vis-à-vis other fully synthetic materials could be explained by its 'headstart':
in the 1930's, the enormous problems that PVC had faced in the beginning were mainly solved. Moreover, it was
learned how to modify PVC in order to give it various characteristics. In those years the first competing polymers
were developed: In 1939-1940 ICI was developing the first polyethylene products, polystyrene was developed in the
same period, polypropylene was only developed in the 1950's and other plastic were even later on the scene.
The entrenchment of PVC technology can be described as the development of a technological system, which in its
turn may be understood as the stabilization of initially rather loose networks of actors dealing with a particular
technology. The systems concepts gives various clues on what more was responsible for entrenching PVC besides
the 'head-start': huge investments, special skills that were developed, special products that could only be made by the
system, transfer of technology abroad, etc. (Cf. Arthur, 1988, for 'entrenchment factors', and see Knot et al, 1995, for
entrenchment factors concerning PVC industry).
Especially the reverse salients idea proved useful, in that it clarifies the 'over-individual' steering mechanism, an
important system characteristic. This system-level co-ordination mechanism allows reverse salients to be translated
into critical problems, which may be problematic for individual companies or sub systems, but benefit the system as
a whole. For example:
* When PVC came under attack by environmentalists, resistance of the PVC industry was not very strong. This
may be interpreted as sacrificing a part of the system (PVC packaging producers) in order to prevent further
public attacks on the PVC system. The PVC system could overrule the companies that were victims of this
decision.
 The German PVC industry settled swiftly for strict VC exposure standards, for the sake of the image of the
system as a whole, taking the risk that some companies might get in serious trouble.
 The US Society of Plastics Industries was able to orchestrate concerted actions to restore consumers trust in
plastics in the forties.
Therefore, there is at least in some cases a form of central control and there is at least some feeling among the actors
of belonging to one entity, which has to defend itself. One could therefore say that the PVC industry has system
characteristics. We think that especially in continental Europe, where strong consensus traditions in industrial policy
do exist, the industry organizations that are dealing with governments receive powers that enable them to orchestrate
a ‘system response’ in regard to public issues.

Coping with reverse salients

Regarding the tackling of reverse salients by PVC industry, different 'strategies' (or phenomena) can be noticed:
* negotiating and defining solvable critical problems, e.g. the VC standards setting processes
* negotiating and redefining solution options in terms of the critical problems posed by others, e.g. extend the
concept of recycling with incineration,
* translating the reverse salients into critical problems that are owned by other actors, e.g. the translation of poor
material quality problems to consumers in the forties and fifties, and the shifting of dioxin-formation problems to
incinerator-owners,
* 'divert attention' from critical problems attacking the core of the system by putting many efforts and generating
more entrenchment by solving other, workable critical problems, e.g. the current emphasis on waste manage-
ment, whereas the general PVC debate had started from the more fundamental chlorine debate,
* 'partial surrender' or 'quick compliance' for the sake of the system as a whole, e.g. the substitution of PVC
packaging, and the acting of German (P)VC industry regarding the VC issue,
* the shifting of a reverse salient to a higher system level, which may keep alternatives providing systems from
profiling themselves as 'being better', e.g. the broader plastics industry associations defending PVC,
* neglect, moderate or counter-evidence criticism, which apparently is a basic strategy which can be noticed in
almost every reverse salient story.
Furthermore, reverse salients may 'dissolve' by other (independent) developments, as was the case concerning the
Miamata disease.

Systems approach discussed

Although the systems approach obviously is most appropriate concerning typical system technologies like the
utilities, the approach certainly yielded useful insights regarding the development and entrenchment of a non
systems technology, i.e. PVC. However, some amendments have to be made (which partly consider earlier critiques
on Hughes' approach).
In the first place, to understand the developments of a technology system, one has to take into account the influences
on the system exerted from 'outside'. PVC history shows that reverse salients often arise outside, and their translation
into critical problems and solution directions is far more than a matter of creativity, as Hughes suggests. As the
standards setting processes for VC concentrations clearly indicate, this translation is often a matter of negotiation,
between systems and system components, but also between system representatives and other parties, e.g. public
authorities and public interest groups. Then the question of power balances and hence a more network-oriented
approach becomes obviously necessary to understand systems' reactions to reverse salients. Another example is the
public attack on the PVC industry that was based on the allegation that PVC was the cause of dioxin production by
waste incinerators. PVC industry defined improvement of waste incineration technology as the critical problem.
However, other actors favored different paths to a solution. The processes that determined the outcome cannot be
understood by using only a systems approach. Also here, a network analysis is needed.
However, the range of optional critical problems in which a reverse salient may be translated, is not completely
unrestricted and open to negotiation. Boundaries are set beforehand by the 'core of the system', e.g. PVC industry
will not translate criticism concerning chlorine use into a search for alternative feedstocks, for chlorine is a
fundamental ingredient of PVC. However, this range of options may vary to which the system serves as the frame of
reference.
This brings us to the second point on Hughes' system concept. The system under study cannot be defined
unambiguously using the notion of 'central control'. The history of PVC industry shows that systems may consist of
lower level sub systems, while possibly being encompassed themselves by systems on a more aggregate level. E.g.
the PVC system encompasses the PVC piping system, where it is itself part of the system of the plastics industry,
which in its turn is a subsystem of the chemical industry. Furthermore, systems may show overlaps, and a subsystem
may be part of two different systems, with a different level of integration. For example the PVC packaging sector
forms a rather loose element of the PVC system, and is at the same time more intensely integrated in the food supply
system. These systems relations are not to be seen as static, but may change over time, opening up possibilities for
new directions in reverse salient translations. Furthermore, the system level, which serves as a frame of reference in
translating a reverse salient, importantly determines which range of critical problems and solutions come into the
picture. For example, PVC industry may decide to give up PVC packaging, where plastics industry may decide to
give up PVC. However, these examples immediately make clear that again the question of power balances should be
considered, which demands more network-orientated analysis. E.g. established economic importance will have been
an important consideration for the plastics industry to decide to defend their accused PVC subsystem, instead of
giving it up. The same argument, but then in reverse, will have played a part in the development concerning the
substitution of PVC packaging.
Moreover, there are various moments in the PVC history that show that non-system induced actions were important.
Although all participating actors are analyzed according to their role within the system, their actions are (hopefully)
never completely determined by the system. For example, B.F. Goodrich may be seen as an actor, who detached
itself from the system regarding the negotiations on VC emissions, by taking up a clear front running role. Another
example of an important non-system factor is the established practice in the disciplines that form the professional
background for the engineers involved in translation and solution practices.
However, probably because of current practice and existing knowledge in other chemical industry areas on closed
processing technologies, the chosen option was apparently seen as the most promising one. It is even possible that
other options did not even come to mind.

Lessons of the entrenchment history: 'de-entrenching' systems?

For many people, the PVC system represents evil: they argue that even a complete recycling of all PVC will have
leaks and accidents will still lead to chlorine spills. Therefore they want all chlorine compounds to be abandoned.
Whether or not these people are right, the question how entrenched technologies could be 'de-entrenched' is an
interesting one.
In PVC history, there is in fact one example that could be regarded as de-entrenching: When PVC was under fierce
public attack, industry organizations were prepared to give up PVC (food) packaging production. In a way, this was
a sub-system: various companies only produced PVC packaging which were generally based on two specific
technologies: film making and blow molding. Therefore, there are reasons to assume that systems might be de-
entrenched by a fierce attack on the larger systems, which they depend upon. As a system is threatened in its very
existence, it may be prepared to step back to what it regards as its core elements. However, this cannot lead to a
strategic advice for the anti-PVC environmentalists. For them it makes little sense to launch a fierce campaign
against all of the plastics industry in order to get rid of PVC: they would loose their credibility completely. Their
only hope could be that new issues will turn up that might force the PVC system to give up other sub-systems.
Another lesson from the system history of PVC is in fact that PVC industry has proved to be capable to react rather
quickly and adequately to attacks. By now, they possess so much information, and they optimized their production
chain to such a high extent, that it only has become more deeply entrenched. Although this optimization and
gathering of information certainly is a good thing for environmental reasons, further entrenchment may not be,
because of current uncertainties and possible better alternatives getting no real chances. Illustrative is the repeatedly
heard statement of PVC industry being the most thoroughly investigated material; one should know at least as much
about alternatives before deciding to substitute PVC. This points to a way of de-entrenching a technology system:
further entrenchment of the alternatives, accompanied by increasing variation. That implies inherently a de-entrench-
ment of the different materials. Attacking these systems might bring about entrenchment of alternatives, which
forces them to optimize too and investigate as much as possible. However, it appears more likely that it will be
mainly the system already entrenched, i.e. PVC, which benefits from such a strategy. As entrenchment levels are
unequal, one therefore rather should try to stimulate entrenchment and variation of alternatives in positive ways, e.g.
by active involvement in research and development.
As regards the generation of variation, it might be very useful to use the differences in the range of options that
reside on different system levels. In generating alternatives one might shift attention from materials and products to
product functions and criteria, while addressing the appropriate (higher level) systems.
Whether or not PVC will continue to be the issue of debate, such an alternative entrenchment and variation strategy
will be useful anyway. It enhances possibilities for a sustainable development, which-ever directions will evolve as
the most sensible.

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