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History and Evolution of Control Banding: A Review

David M. Zalka; Deborah Imel Nelsonb
a
Lawrence Livermore National Laboratory, Livermore, California b Industrial Hygienist, Boulder,
Colorado

First published on: 01 May 2008

To cite this Article Zalk, David M. and Nelson, Deborah Imel(2008) 'History and Evolution of Control Banding: A Review',
Journal of Occupational and Environmental Hygiene, 5: 5, 330 — 346, First published on: 01 May 2008 (iFirst)
To link to this Article: DOI: 10.1080/15459620801997916
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 Journal of Occupational and Environmental Hygiene, 5: 330–346
ISSN: 1545-9624 print / 1545-9632 online
DOI: 10.1080/15459620801997916

History and Evolution of Control Banding: A Review

David. M. Zalk1 and Deborah Imel Nelson2
1
Lawrence Livermore National Laboratory, Livermore, California
2
Industrial Hygienist, Boulder, Colorado

Control banding (CB) strategies offer simplified solutions INTRODUCTION

for controlling worker exposures to constituents often en-
countered in the workplace. The original CB model was
developed within the pharmaceutical industry; however, the
modern movement involves models developed for non-experts
A foundation of the modern movement for control banding
(CB) strategies is derived from programs initiated in the
United Kingdom (UK) by the Health and Safety Executive
to input hazard and exposure potential information for bulk
chemical processes, receiving control advice as a result. The (HSE). The need to provide guidance and assistance to small-
CB approach utilizes these models for the dissemination of and medium-sized enterprises (SMEs, which employ about
qualitative and semiquantitative risk assessment tools being 90% of the UK work force)(1) in meeting requirements to
developed to complement the traditional industrial hygiene
conduct risk assessments of chemical exposures led to the HSE
model of air sampling and analysis. It is being applied and
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tested in small- and medium-sized enterprises within developed development of a program known as the Control of Substances
countries and industrially developing countries; however, Hazardous to Health (COSHH) Essentials.
large enterprises have also incorporated these strategies within In 1998, the HSE published a series of papers outlining a CB
chemical safety programs. Existing research of the components strategy of creating a model in which the hazard was combined
of the most available CB model, the Control of Substances
with the potential exposure to determine a recommended level
Hazardous to Health Essentials, has shown that exposure
bands do not always provide adequate margins of safety, that of control approach. European Union (EU) risk phrases were
there is a high rate of under-control errors, that it works better used to rank the hazard of a chemical, and potential for
with dusts than with vapors, that there is an inherent inaccuracy exposure was estimated by the quantity in use and the volatility
in estimating variability, and that when taken together the of liquids or dustiness of solids. The scheme uses information
outcomes of this model may lead to potentially inappropriate
associated with hazardous chemicals to develop hazard groups.
workplace confidence in chemical exposure reduction in some
operations. Alternatively, large-scale comparisons of industry These hazard groups are derived for a variety of chemicals and
exposure data to this CB model’s outcomes have indicated more are designated by experienced toxicologists. When a hazard
promising results with a high correlation seen internationally. group associated with a chemical is selected by the manager
With the accuracy of the toxicological ratings and hazard band of an SME, toxicological expertise is utilized without the
classification currently in question, their proper re-evaluation
need for an on-site expert. This is an important foundation
will be of great benefit to the reliability of existing and future
CB models. The need for a more complete analysis of CB model for the eventual consideration of the exposure potential to the
components and, most importantly, a more comprehensive chemical.
prospective research process remains. This analysis will be The remainder of the decision-making process includes
important in understanding implications of the model’s overall the volume of chemical used and likelihood of the chemical
effectiveness. Since the CB approach is now being used world-
becoming airborne, estimated by the dustiness or volatility of
wide with an even broader implementation in progress, further
research toward understanding its strengths and weaknesses the source compound. When these parameters are entered into
will assist in its further refinement and confidence in its ongoing a work sheet, the suggested control approach is identified.
utility. The end product is the selection of a control guidance
sheet with both general and specific advice for common
Keywords chemical hazards, control banding, risk assessment, risk tasks.(2)
management, toolbox
In the development of the CB model, Maidment(3) stressed
the importance of limiting the number of factors in the model
to reduce its complexity and increase its applicability for
Address correspondence to: David. M. Zalk, Lawrence Livermore non-experts. Although in theory there can be a stratification
National Laboratory, P.O. Box 808 L-871, Livermore, CA 94551; of risk across many levels, each additional level leads to a
e-mail: zalk1@[Link].
more intricate tool for the SME manager, which as an end

330 Journal of Occupational and Environmental Hygiene May 2008

 ACRONYMS IH Industrial Hygiene
ABPI Association of the British Pharmaceutical Industry ILO International Labor Organization
BAuA Federal Institute of Occupational Safety and IOHA International Occupational Hygiene Association
Health (Germany) LE Large Enterprises
BOHS British Occupational Hygiene Society LEV Local Exhaust Ventilation
CB Control Banding LOAEL Lowest Observed Adverse Effect Level
CEFIC European Chemical Industry Council MAK Maximum Allowable Concentrations (Germany)
CEMAS CEFIC Exposure Management System MoE Margins of Exposure
CGS Control Guidance Sheets NIOSH National Institute for Occupational Safety and
CIA Chemical Industries Association Health (U.S.)
CHIP Chemical Hazardous Information and Packaging NOAEL No Observed Adverse Effect Level
COSHH Control of Substances Hazardous to Health OEB Occupational Exposure Band
EASE Estimation and Assessment of Substances OEL Occupational Exposure Limit
Exposure ORM Occupational Risk Management
ECETOC European Centre for Ecotoxicology and PACE Prevention and Control Exchange
Toxicology of Chemicals PB-ECL Performance-Based Exposure Control Limits
ECHA European Chemical Agency PPE Personal Protective Equipment
ECP Exposure Control Practices PPM Parts per million
EINECS European Inventory of Existing Substances REACH Registration, Evaluation, Authorization, and
EU European Union restriction of Chemicals
GHS Globally Harmonized System of Classification RTECS Registry of Toxic Effects of Chemical Substances
and Labeling of Chemicals SME Small- and Medium-Sized Enterprises
GTZ Society for Technical Cooperation (Germany) SQRA Semiquantitative Risk Assessment
HHE Health Hazard Evaluation TLV Threshold Limit Value
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HSE Health and Safety Executive (UK) TWA Time-Weighted Average

HSDB Hazardous Substances Data Base UK United Kingdom
ICCT International Chemical Control Toolkit (new US United States
name of the ILO Toolkit) WHO World Health Organization

product may hamper its overall intended utility. To achieve this address the growing potency of newly developed compounds
balance of simplicity and effectiveness, Maidment suggested followed the path of the microbiological and biomedical
four categories, or “bands,” to assist in preventing exposure to industries controlling exposures to increasingly toxic mi-
chemicals. These four control strategies are a grouping of three croorganisms within the four categories of the Biosafety
levels of engineering containment based on sound industrial Level approach.(8) Formally, the establishment of in-house
hygiene (IH) principles, with professional IH expertise as occupational exposure bands (OEBs) by the Association of
a fourth category. Within this model, these generic control the British Pharmaceutical Industry (ABPI)(9) assisted the
strategies also have been adapted to address chemical exposure product development phase of the industry to achieve a method
potential where the control guidance sheet (CGS) approaches for compliance with the COSHH regulations in a manner
may not be appropriate or practical. These other CB strategies later adapted to the COSHH Essentials to address chemical
utilize the banding approach to assist in directly assigning exposures.
personal protection equipment (PPE), such as an appropriate There were several forces beyond the regulatory realm
level of respiratory protection and addressing dermal exposure that also led to the CB model’s adaptation and expansion
potential.(1) into the chemical arena. Perhaps the most significant was the
In a historical context, the banding of risk began in recognition that the traditional process of establishing occu-
the 1970s and 1980s relating to explosive events, radiation, pational exposure limits (OELs), against which measurements
lasers, and biological agents. The pharmaceutical industry of airborne concentrations of chemicals could be compared
should be credited with the initiation of exposure control to ensure that exposures are controlled, was quickly losing
categorization utilizing an industrial hygiene basis(4,5) with its ground by orders of magnitude to the increasing number of
work in the late 1980s and early 1990s. During this period, chemicals posing a threat to worker health.(1) Forces that
approaches to protect workers handling products with limited drive the evolution of the CB model continue to this day. The
pharmacological and toxicological data led to efforts to stratify nanotechnology industry is seeing itself akin to pharmaceutical
toxicological hazards and link them directly to simplified, and microbiological industries in that they are facing similar
commensurate control strategies during the production phases limitations in toxicological data. A CB model that addresses
of product development.(6,7) exposure to nanoparticulate recently has been presented in
These control approaches for pharmacological agent expo- concept as a practical approach to achieve exposure control
sures were divided into five hazard categories.(5) This effort to in the absence of this data.(10)

Journal of Occupational and Environmental Hygiene May 2008 331

 REVIEW OF CB LITERATURE The toxicology-to-control model was also applied by Nau-
man et al. in 1996(5) to exposures to pharmaceutical active

T he peer reviewed literature on CB approaches (mostly

relative to COSHH Essentials) can be summarized ac-
cording to the development of the models, the use of databases
ingredients in laboratory and manufacturing operations. The
pharmaceutical industry traditionally had used risk assessment
methods to establish OELs for active ingredients; however,
to support the models, and the models’ validation. CB has its the increasing potency of these agents led to a new approach
roots in a number of qualitative(11) and semiquantitative(12) risk based on the Biosafety Level concepts used in laboratories.
assessment approaches that began to appear in the 1970s and Substantiated by a large database of air monitoring data
evolving in the 1980s relating the assessment of catastrophic for various operations, they were able to distinguish five
failure probabilities at large chemical facilities.(13) An example hazard categories (or performance-based exposure control
of this is a risk matrix describing the likelihood and probable limits, PB-ECL), based on toxicological and pharmacological
severity of an event, e.g., an explosion or release of toxic properties of these agents and on the engineering controls and
material developed for use by a large chemical enterprise. As administrative procedures known to be effective in controlling
Money(13) presented, there are a number of relevant strategies exposure levels.
that were borrowed from and built on during previous efforts, The Chemical Industries Association (CIA) further ad-
and it is not always possible to trace the steps by relying on dressed toxicological information for chemical agents in their
chronological appearance in the peer reviewed literature. What guidelines for safe handling of colorants (second version).(19)
is evident is that there was much exchange of information and In this document, inputs of hazard categorization (1–4), hazard
ideas among occupational health practitioners and scientists in classification (e.g., toxic, corrosive), associated risk phrase,
the chemical, biological, and pharmaceutical industries during and guideline control level (8-hour time-weighted average
that period.(1,5,14) [TWA]) were linked to control recommendations for each
hazard category. As both the CIA guidelines and the COSHH
regulations were created in the U.K., an ongoing discussion
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Model Development of chemical agent models began to develop. According to

Linking Toxicology to Control Guest(20) the advice of the COSHH Approved Code of Practice,
In an early, perhaps the first, published report in which i.e., to set a self-imposed working standard for chemicals that
toxicological data were linked directly to an appropriate level did not have an official OEL, could not be followed by industry
of control. Money(14) presented a structured approach to design or government, due to the technical complexity of establishing
and operation of a chemical plant that handles aromatic amines, OELs, the lack of adequate toxicological databases and experts,
nitro compounds, and equivalent agents with carcinogenic and the sheer volume of substances covered in the European
potential based on a carcinogenic ranking system. This was a Inventory of Existing Substances (EINECS).(21) These factors
broad approach for ensuring that appropriate measures would led the CIA to develop chemical categorization guidelines for
be in place to control risks from these chemicals from both their member organizations.
routine and abnormal operations. It was truly simple in that it Building on the earlier CIA guidance (1993)(19) and the
utilized a basic exposure scenario where the only determinant work of Gardner and Oldershaw (1991),(16) the later CIA
of exposure was the veracity of the toxicological data. Money guidelines (1997)(22) incorporated the Chemical Hazardous
suggested that this approach, which covered both inhalation Information and Packaging (CHIP) Risk Phrases and guideline
and skin contact, should be applicable to similar approaches control levels, in addition to data on adverse effects in humans.
ranking relative hazards of chemicals.(15−17) The purpose of these guidelines was to provide a simple,
This toxicology-to-control approach described by broad-based, integrated approach for use by CIA members in
Money(14) began by using four categories of toxicological classifying hazards. The categories were to be called OEBs
outcome relating to carcinogenic potential, collapsed from and would be developed only when there were no other in-
a system utilizing six(18) that considers both carcinogenic house, national, or international OELs. They would define the
potency and weight of evidence. Money argued that while upper limit of acceptable exposure. As the number of control
it is important to distinguish the potencies of different strategies is usually limited to approximately four levels, this
substances, in reality, such a separation is artificial and approach was designed to cover six orders of magnitude, plus
impractical. Linearly matched with these four levels of a special category. The upper limits (OEB C for dusts, OEB D
carcinogenic potency were four levels of controls, progressing for gases/vapors) were designed to “reflect good occupational
in complexity and stringency. Putting them together, these hygiene practice” and the maximum dust concentration in the
toxicology-to-control levels are then summarized as: (1) for COSHH regulations (10 mg/m3 ).
all chemicals, use good basic IH; (2) for suspected animal
carcinogens, increase to isolation of moderate exposure The Exposure Prediction Step
potential; (3) for suspected human carcinogens with moderate At this juncture, no one had yet factored the probability of
exposure potential, increase to containment and regular audits; exposure into the risk assessment and risk management aspects
and (4) for proven carcinogens with low exposure potential, of a CB model. Although it had not yet been incorporated
increase to automated bulk transfers and process control. into the equation, much work was being conducted during

332 Journal of Occupational and Environmental Hygiene May 2008

 the 1990s on predicting exposures. For example, Burstyn banding is a function of physical properties leading to likeliness
and Teschke’s(23) review on the methods of studying the for the material to become airborne (volatility of liquids
determinants of exposure included work tasks, equipment or dustiness of solids, and the quantity in use).(3) These
used, environmental conditions, and existing controls. In elements are combined to determine the appropriate control
evaluating the risk, a dedicated exposure model was used that approach (Table II). Therefore, there is perhaps a stronger
is based on Cherrie and Schneider(24) by providing subjective link in the modern evolution of the CB model to the work
exposure assessment using a structured approach based on of Burstyn(23) and Cherrie(24) than to the earlier toxicology-to-
descriptive workplace activities and environment. Using this control approaches. Later versions of COSHH include PPE
model, subjective exposure assessment showed significant Essentials, offering advice for gloves and respirators, and
correlation with exposure measurements across 63 jobs and for addressing dermal risks. Another feature of the COSHH
four different agents (asbestos, toluene, mixed respirable dust, Essentials website is the newer Direct Advice topics for
and man-made mineral fibers). This serves as an excellent accessing hazard guidance by specific tasks, services, and
example of how dissecting existing models can lead to criteria processes (e.g., foundries, woodworking, beauty treatments,
to be used in developing other exposure control models and pubs, clubs, and restaurants).
future toolkits. The developers felt that operation-based control guidance
In studies of determinants of exposure reviewed by Burstyn sheets (CGS) would provide the best format for advising SMEs.
and Teschke,(23) there was little attention devoted to volume The approximately 300 CGS(29) now available are structured
of product used, and less to the physical characteristics of according to a standard format. This format contains sections
chemicals in use. The HSE played a pivotal role in developing a on design and equipment, maintenance, examination and
regulatory approach based on these concepts used to date.(25,26) testing, cleaning and housekeeping, PPE, training, supervision,
While the work of the HSE was based in large part on that of the a short list of references, a sample schematic of an engineering
UK CIA,(20,22) which categorized substances into OEBs, it is control, and an employee checklist for proper utilization of
apparent from the preceding discussion that many other groups controls. Russell et al.(25) states that use of the scheme will
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have contributed to the development of COSHH Essentials. not in itself constitute a suitable and sufficient workplace risk
The challenge facing the HSE was to develop guidance that assessment; it must therefore be considered as guidance and
was practical for SMEs, used available hazard information, not a replacement for traditional IH. Employers should still
was easy to use and understand, and which relied on readily consider other factors in their risk assessments, such as the
available information (Table I). These goals can be realized by need for health surveillance and the need to monitor exposure
using European risk phrases (R-phrases) and simple predictors to ensure adequacy and suitability of controls. Similarly, it
of exposure to conduct a generic risk assessment, which leads was pointed out that an overprotective approach would lack
to straightforward recommendations on risk management, i.e., credibility and deter promotion efforts and implementation,
control approaches. whereas an underprotective approach would not protect work-
The COSHH Essentials approach, as it later came to be ers. Weighing these factors, it was generally agreed in the
known, builds on earlier approaches.(5,14,16,22,27,28) It also of- model development that a conservative approach would be the
fers two other significant advances: it is specifically developed most responsible.
for SMEs and it includes control advice. The key components Brooke(26) outlined three criteria for the toxicological basis
of the model include the hazard banding, exposure potential, of the UK approach: (1) simple and transparent, (2) make
and control approaches. Hazard banding is described more best use of available hazard information, and (3) recommend
fully below.(26) It is important to point out, however, that control strategies that vary according to degree of health
from a British perspective, COSHH Essentials is limited to hazard. The R-phrases that are agreed to throughout the EU
substances classified under CHIP, thereby excluding, e.g., facilitated these criteria, as they address all relevant toxico-
pesticides and pharmaceuticals, which are outside the scope logical end points. This idea had been proposed previously
of those regulations, and also process-generated hazards such by Gardner and Oldershaw(16) and had formed the basis of
as wood dust, silica dust, and welding fumes. Exposure similar strategies.(9,22,27) Brooke noted differences between

TABLE I. Factors Used in HSE’s Core Model

Health + Exposure → Generic → Control
Hazard Potential Risk Assessment Approach
Substances allocated to a Substances allocated to a Combination of health hazard Type of approach needed to
hazard band using dustiness or volatility band and exposure potential achieve adequate control
R-phrases and a band for the scale of factors determine desired
use level of control
Note: Source is Ref. 25.

Journal of Occupational and Environmental Hygiene May 2008 333

 TABLE II. Control Approaches Used in COSHH substances in vapor form is substantially higher than that for
Essentials the substance in particulate form, for the same toxicological
hazard band.”
Control Approach 1—General ventilation In writing about the development of the model, Maidment(3)
Good standard of general ventilation and good working stressed the importance of limiting the number of factors in
practices the model to control its complexity and applicability. This
Control Approach 2—Engineering control simplicity was to be balanced with the hazard and exposure
Ranging from local exhaust ventilation to ventilated partial potential parameters necessary to predict an adequate control
enclosure strategy. Toward this end, control strategies were collapsed
Control Approach 3—Containment into four main categories (Table II). Since characteristics of
Containment or enclosure, allowing for limited, exposure potential can be summarized as those related to
small-scale breaches of containments physical properties and those related to substance handling,
Control Approach 4 — Special Maidment focused on the dustiness of solids and the volatility
Seek expert advice of liquids. The study indicated that three dustiness bands would
Note: Source is Ref. 25. adequately describe the properties of dusts and maintain the
simplicity of the model: low, medium, and high. For liquids, the
volatility of a liquid would be captured by consulting a graph
these approaches and that of the HSE. COSHH Essentials of boiling point vs. operating temperature, separated into three
include alignment between dust and vapor target exposure regions: low, medium, and high volatility. As a subsequent
ranges and dose level cutoff values and is based on achievement characteristic of operational factors, the scale of the operation
of exposure levels anywhere in the target range, whereas the was classified as small-scale, medium-scale, and large-scale.
CIA recommends that exposures should be maintained “as low With these three articles(3,25,26) the wider occupational
as reasonably practicable.”(9,20,22) safety and health community was thus introduced to the basics
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Brooke’s(26) article achieved two goals: first, it explained of the COSHH Essentials approach. While this strategy leans
the assignment of R-phrases to the Hazard Bands A–E utilized heavily on the work of historical models and approaches, it has
in the COSHH Essentials; and, second, it compared these a number of unique features, including an electronic version
assignments with health-based OELs. The hazard bands, which accessible via the internet. It meets all six of Money’s(13) core
are based on toxicological considerations, are each divided principles (understandability; availability; practicality; user
by an order of magnitude in concentration range. As the friendliness; confidence on the part of users; and transparent,
relationship between the ppm concentration of a vapor and consistent output). While welcoming the move by HSE to
the mg/m3 concentration is a function of its molecular weight provide guidance in the form of CGS, Hudspith and Hay(30)
(and also temperature and pressure, though not discussed in pointed out an additional obstacle to worker protection: com-
this article), the working group that oversaw development of munications barriers within companies. They recommended
this approach decided to adopt a pragmatic approach and to that HSE continue to stress the value of work force involvement
align the exposure bands as seen in Table III below. Due to in health and safety issues. Despite its attributes, however, the
this alignment, “in mg/m3 terms, the concentration range for COSHH Essentials model is subject to a number of limitations

TABLE III. Allocating R-Phrases to Hazard Bands

Target Airborne
Hazard Concentration
Band Range R-Phrases
A >1–10 mg/m3 dust; >50–500 ppm vapor R36, R38, all dusts and vapors not allocated to another band
B >0.1–1 mg/m3 dust; >5–50 ppm vapor R20/21/22, R40/20/21/22
C >0.01–0.1 mg/m3 dust; >0.5–5 ppm vapor R48/20/21/22, R23/24/25, R34, R35, R37, R39/23/24/25,
R41, R43
D <0.01 mg/m3 dust; <0.5 ppm vapor R48/23/24/25, R26/27/28, R39/26/27/28, R40 Carc. Cat. 3,
R60, R61, R62, R63
E Seek specialist advice R40 Muta. Cat. 3, R42, R45, R46, R49
S: skin and Prevention or reduction of skin and/or eye R34, R35, R36, R38, R41, R43, Sk
eye contact exposure
Note: Source is Ref 26.

334 Journal of Occupational and Environmental Hygiene May 2008

 relative to the development of the model, development of place, let alone that they have been verified to achieve the
databases, use of the model, and its validation and verification. intended exposure control. Kromhout(35) replied that he and
the editor of the Annals of Occupational Hygiene questioned
Validation and Verification the role of tools like COSHH Essentials in the “collapse of full
For purposes of this article, validation focuses on the time training of occupational hygiene professionals in Britain
establishment of the soundness of a given model, whereas through lack of demand for expertise.” Kromhout’s strongest
verification requires the evidence necessary to confirm its criticism was that EASE and COSHH Essentials had not been
effectiveness. While it would be useful to validate a variety of evaluated properly prior to release, and that peer review by
the CB strategies proposed, only COSHH Essentials has been BOHS experts could not replace the rigorous evaluation of
developed and implemented to the point that it has been the sub- testing for reproducibility, validity, and peer review of results
ject of almost all validation efforts. Also receiving attention is in the scientific literature. It was recommended that COSHH
the International Labor Organization (ILO) Chemical Control and EASE be used in the initial screening process.
Toolkit (ILO Toolkit), produced in collaboration with the According to Maidment,(3) the core model was validated
HSE and the International Occupational Hygiene Association by predicted dust and vapor exposure ranges, and their
(IOHA). The ILO Toolkit is based on the HSE COSHH corresponding three-tiered hierarchy of engineering controls
Essentials and is adapted for use worldwide.(31) For validation with measured data, and by extensive peer review of the logic
purposes, three aspects of model evaluation were applied by and content by experts. He noted that it was extremely difficult
Tischer(32) to COSHH Essentials. These aspects to validate the to find quality data for comparisons, and further, that the infor-
model include: internal (conceptual) validation of the model’s mation describing control strategies often seemed to indicate
assumptions and structure, external (performance) validation that several control strategies were in use. Limited comparisons
of the model predictions corresponding to professional IH were described in his manuscript; heavy reliance was placed on
monitoring data, and operational analysis of the understanding peer review during the model’s development and validation and
and implementation of the model’s outcomes respective to its specifically involved the HSE Advisory Committee on Toxic
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target group. Substances (including Guest, Brooke, and Money) and experts
However, before presenting these model aspects, there are of the BOHS.(3,36) When taken as a whole, Topping did not
still many questions to be answered in all three categories. address Kromhout’s concerns of this unpublished peer review
Kromhout(33) took strong exception to the lack of exposure process. Therefore, not addressed are the potential weaknesses
monitoring in “generic risk assessment tools like COSHH Es- that one might find in the scientific literature when internal and
sentials and expert systems like the Estimation and Assessment external validation of the model is performed.
of Substances Exposure (EASE) . . . ” as they “. . . are known Brooke’s(26) work in comparing the R-phrases and resulting
to be inaccurate and they do not take into account the various target airborne concentrations to the relevant health-based
components of variability in exposure levels. . . . ” Kromhout OELs on national lists (UK and German Maximum Allowable
built a strong case, estimating the variability in an 8-hour shift Concentrations, MAK) began to address the first category on
to be between threefold and 4000-fold and delineating the internal validation for the COSHH Essentials. The work of
sources of variability as spatial, between workers, and between Jones and Nicas(31) reported below looked at both internal
groups. He argued that while providing exposure controls validation of the ILO Toolkit as compared with the UK HSE
without having measured exposure concentrations would save model and the external validation of the COSHH Essentials.
money in the short term, in the long run it would be “penny The work of Tischer et al.(32) and Maidment(3) focused on the
wise but pound foolish.” external validation and began to answer some of the questions
Topping(34) responded that these arguments ignored the relating to performance validation. A glaring weakness in
range of competencies in the workplace, and the number of the research at this time is present regarding the operational
firms handling chemicals; however, he concurred that the use analysis of the given CB models.
of “quality exposure data is extremely valuable for assessing Brooke was the first to identify the inherent difficulty in
the effectiveness of control measures.” Topping did not directly assigning dusts and vapors to equivalent bands designated
address Kromhout’s variability concern; he relied on the elegantly by orders of magnitude (Table III). Resulting from
premise that the COSHH Essentials model is not intended this alignment of the bands, dusts have a higher margin of safety
to replace monitoring, but rather, it provides needed help than vapors, especially for repeated exposure toxicity based
to SMEs. Topping pointed out that the cost of conducting R-phrases. Emphasizing the generic nature of this CB model
the extensive monitoring suggested by Kromhout would be and its provision for “adequate control,” Brooke concluded
“astronomical” and that the capacity to do so does not exist. that the margins offer “considerable reassurance” for vapors
He allowed that the COSHH Essentials were designed to “err and “even greater reassurance” when used for dusts. Much of
on the side of caution,” that the strategy had been peer reviewed the model’s weakness in this regard was balanced against the
by the British Occupational Hygiene Society (BOHS) experts, intended non-expert SME end user with no risk assessment
and that there had been no complaints about the recommended background. With this in mind Brooke explicitly noted that the
controls being too stringent without addressing the lack of model used in practice would require “continued evaluation of
research to show that the controls have even been put into the allocation of the R-phrases to the hazard bands, such that the

Journal of Occupational and Environmental Hygiene May 2008 335

 scheme may be revised and improved in the light of practical and most complete external validation of the COSHH Essen-
experience.”(26) Brooke also reported that some categories of tials to date, based on independent measurement data. The
materials were arbitrarily assigned to a higher hazard category primary empirical basis for their analysis was measurement
based on their toxicity characteristics, and this would provide data collected within the preceding decade during several
an extra factor of 10. BAuA field studies. Some data were also provided by the
It must be pointed out that the Hazard Band values are chemical industry. Tischer’s team also set out to address the
generally in the same order of magnitude as OELs (see external validation of the COSHH Essentials exposure model.
Table III) and also that it is not uncommon for acceptable risk While stating that the accuracy of the model was represented
levels of OELs, which are based on a 40-hour work week that by agreement between predicted and observed, they believed
accounts for worker recovery periods, to be in the range of 10−4 that statistical tests are not useful due to the uncertainties in
to 10−3 . In contrast, acceptable risk values in environmental empirical data such as variability, errors in measurements, or
settings, which are based on continuous, involuntary exposure false or incomplete information. Due to a lack of available data
(168 hours per week) of all members of the population with no for some professions, only those with more complete data sets
recovery period,(37) are in the range of 10−6 to 10−5 . Without were used in this study. There were apparently 958 data points
understanding the basis of these underlying risk parameters, available for evaluation: 732 for liquids, and 226 for solids.
the problem then lies more in the lack of overall acceptance The BAuA data were all obtained from their own laborato-
of higher-risk levels for occupational settings as compared ries, and all workplace measurements were conducted as per
with environmental settings. Solving this issue will require the German Technical Rules. Sampling durations were usually
an improved communication of the reasons behind this risk 1-4 hours, and were task based, i.e., they corresponded to a
differential and, therefore, a greater understanding of risk specific scenario. Over 95% were personal samples. Sources
acceptability in occupational settings. of uncertainty considered were volatility / dustiness, scale of
Jones and Nicas(31,38) reported less positive results in their use, and control strategy.
evaluation of the ILO Toolkit. The ILO Toolkit, as discussed For example, the uncertainty associated with volatility (of
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above, was based on the COSHH Essentials strategy but pure substances) was judged to be low but quite complicated
may not have been subject to the same periodic updates when mixtures were considered. Dustiness was considered
and revisions. They concluded that the calculation of safety to be a problem requiring additional attention. Scale of use
margins No Observed Adverse Effect Level (NOAEL), or the was judged to be straightforward. (Most of the available data
Lowest Observed Adverse Effect Level (LOAEL), divided by corresponded to the medium scale of use, with very little in
the high air concentration of the hazard band) resulted in values the milliliter or tonne ranges.) Because of the limited quantity
of <100 for Hazard Groups B and C, and <250 for Hazard of data available, these researchers limited their analyses to
D for vapors. They noted that these values should be in the scenarios in which the control strategy could be determined
range of 1000 to 10,000 for R48/20 (Danger of serious damage from the historical reports, generally matching one of the four
to health by prolonged (inhalation) exposure), depending on control strategies. Comparisons of the predicted and actual
whether the NOAEL or LOAEL was utilized as the basis data were conducted using frequency polygons overlaid with
of calculation. That study made these calculations based on the range of predicted values and by calculating the percentage
the generic COSHH criteria, to avoid any errors caused by of the cases that were correctly or incorrectly predicted. Most
incorrect assignments of hazard bands. of the data points fell within the predicted ranges.
A comparison of the R-phrases (taken from the HSE “Ap- Per Balsat et al.(12) Tischer(40) found that the 95th percentile
proved Supply List” [National Chemical Emergency Centre of data from different operations fit within the ranges predicted
at [Link] assigned to commonly-used by the COSHH Essentials model. Exceptions were scenarios
solvents indicated that the hazard group ratings assigned by the where some of the limited data points for solvent exposures
ILO Toolkit were lower than seen in the COSHH Essentials, were above the predicted range, such as in carpentry work-
for 12 of 16 solvents. In five cases, the ILO Toolkit included shops and with adhesives applications where the chemical
an S notation (skin hazard) that was not on the R-phrases. products are spread over a large surface area reflecting small-
Jones and Nicas(31,38) suggested that the authors of the ILO scale, dispersive operations. Exceedances also occurred in the
Toolkit should reconsider the hazard classification plan, as the handling of powdery substances in kilogram quantities under
variations among CB strategies reduce trust on the part of users. local exhaust ventilation.
Based on the small safety margins between doses that cause Jones and Nicas(41) also performed external validation by
significant effect in animals and the exposure bands in the evaluating the ability of the COSHH Essentials to select an ap-
toolkits being evaluated, they also suggested target exposure propriate control approach and whether these controls achieved
levels be made available to end users. Without offering these reduction of exposure concentrations. They compared reported
to the user to evaluate whether exposures are in line with air monitoring data and related use of ventilation systems, taken
the minimal margin, a false sense of health protection in the from the National Institute for Occupational Safety and Health
workplace is permitted.(38) (NIOSH) Health Hazard Evaluations (HHEs) for 34 vapor de-
Tischer(32,39) and colleagues at the Federal Institute of greasing operations with 7 different solvents and 22 bag filling
Occupational Safety and Health (BAuA) conducted the first operations with 19 particulates. R-phrases for these liquids

336 Journal of Occupational and Environmental Hygiene May 2008

 and dusts were obtained from the HSE National Chemical different studies of appropriate scientific quality would lead
Emergency website (8 substances), the Australian Approved to different categorizations that the rules are less clear. In this
Criteria for Classifying Hazardous Substances (2002) and the instance, the authors indicate that there is an “informal policy”
Hazardous Substances Data Base (HSDB) of the United States in the EU to base its final classification on the most adverse
(US) National Library of Medicine (6 substances), and the outcome. A number of possibilities for this underclassification
Internet (9 substances). issue were noted, including variations in toxicity data from
Volatility information was obtained from the HSDB, and different laboratories; however, more issues arise relating to the
dustiness and scale-of-use were obtained from the NIOSH EU informal policy. If the EU Commission has access to data
HHEs. Using this information, Jones and Nicas determined not in RTECS, and these data support higher classifications,
the appropriate control approach, and compared the actual then the policy should default a substance categorization to a
measured exposures to the maximum value of the exposure higher hazard class and not a lower one. Other possibilities
band of the recommended exposure band. This comparison exist such as the frequency of updating classifications, insuf-
resulted in two types of control errors: situations in which in- ficient toxicity data searches, or problems with the RTECS
sufficient exposure control occurred in the presence of control database. Regardless, it is difficult to accurately pinpoint a
technologies, such as local exhaust ventilation (LEV) (under- causal relationship, as there is a “lack of transparency” in
control errors), and situations in which sufficient exposure the Commission’s classifications. For future classifications of
control occurred in the absence of control technologies (over- substances the authors recommended the scientific basis be
control errors). They found under-control error proportions published to afford this transparency, so when similar issues
of 78% of the 179 cases where LEV was present in vapor arise they can be addressed and rectified.(42)
degreasing operations, and in 48% of the 159 cases where Although not always recognized as a validation parameter,
control technologies were present in bag filling operations.(41) the COSHH Essentials’ CB model had ease-of-use and sim-
Their findings led Jones and Nicas(31,41) to multiple con- plicity as intended design parameters for the non-expert end
clusions. They found that the exposure bands do not provide user.(3,26) Therefore, the results of an HSE survey to determine
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consistent, or adequate, margins of safety and the high rate the utility of the COSHH Essentials should also be consid-
of under-control errors highlighted the need to evaluate the ered. A telephone survey was performed with 500 chemical
effectiveness of installed LEV systems using capture efficiency purchasers who have used the older, paper version of COSHH
and/or air monitoring techniques. The limited assignment of Essentials.(43) The survey indicated that it had been utilized by
“dustiness” ratings to dusts complicates the model’s process 80%, with only 5% finding it difficult to use and 95% willing
and indicates that specific guidance must be provided in cases to recommend it to other companies. In addition, 75% of
where there is insufficient or inappropriate hazard information, those surveyed had taken action to control chemical exposures.
and that guidance on contacting professional assistance for Actions taken when utilizing the COSHH Essentials model
engineering controls should be included on Task Guidance included: chemical substitution (18%), changing work proce-
Sheets. Additionally, the R-phrase procedures, which include dures (25%), changing the control measure used (36%), pro-
concentration “cutoff” values (e.g., the hazard classification viding information or training to workers (48%), and checking
would not be for a mixture with <x% of the substance), existing control measures to ensure they are working (67%).
are not compatible with U.S. regulatory practice, which may
result in measurements of the airborne concentrations of Variations of the Chemical Model
the constituents of a mixture, regardless of their percentage Users of CB strategies quickly realized that one strategy
composition in the mixture. would not fit all needs. Variations of the model and its use
Ruden and Hansson(42) investigated the accuracy of the EU in practice have been developed by several nations, includ-
classifications for acute oral toxicity for 992 substances by ing France, Germany, Belgium, Norway, The Netherlands,
comparing their acute toxicity categorization (“very toxic,” Singapore, and by corporations, and are in development in
“toxic,” and “harmful”) to the acute oral toxicity data available India, Korea, and Japan. Interest in CB strategies on the
in the Registry of Toxic Effects of Chemical Substances part of the European occupational hygiene community was
(RTECS). Acute oral toxicity in rats is used because, although spurred by the introduction of the Chemical Agents Directive
of minor importance for the complete toxicological profile, it in 1998.(13,44) Several approaches have resulted. The French
offers a gauge of immediate toxicity with many substances approach(45) evaluates the probable effectiveness of risk man-
lacking long-term data. They found that of the 992 substances agement in protecting workers at the company level. It suggests
that had enough data to undergo this evaluation,15% (152) appropriate references to provide guidance based on the type
were assigned too low a danger class, and 8% (79) too high. of substance and handling procedures. In June 2007, a new
Of those too low, or underclassified, 26 should be classified as European law on chemicals, REACH (Registration, Evalu-
“very toxic,” 49 should be “toxic,” and 77 should be “harmful.” ation, Authorisation and Restriction of Chemicals), entered
According to Ruden and Hansson, the EU classifications into force; at the same time, the European Chemicals Agency
rules indicate that once a substance is placed into a category (ECHA) began operations. This law shifts greater responsi-
based on specific toxicological data, it cannot be downgraded bility to industry to manage the risks from chemicals and to
to a lower category based on additional information. It is when provide safety information on the substances.(46) The European

Journal of Occupational and Environmental Hygiene May 2008 337

 Chemical Industry Council (CEFIC) exposure management ized protocol for the toxicological basis for assigning chem-
system (CEMAS)(13,47) intends to provide a guidance tool for icals to standardized hazard statements on labels and safety
SME, to collect workplace exposure data that can be coupled data sheets in manner that builds on the EU R-phrase process.
with hazard information and deliver advice on risks and risk From the beginning of the UK model’s development it was
management, recommending whether exposure monitoring made clear that when more data became available, chemical
should be conducted. substances would need to be reclassified.(20) Should there
The European Centre for Ecotoxicology and Toxicology of be future reclassification efforts, it has been recommended
Chemicals (ECETOC)(48) approach is a tiered and targeted risk that the scientific basis and decision matrix for these hazard
assessment that could aid in the registration of large numbers of classifications be standardized and readily available to achieve
chemicals under REACH. This is a streamlined approach that transparency for subsequent evaluations.(42) GHS is presented
applies CB concepts in a tiered manner with Tier 0 screening as a proper approach to build transparency to the process
out chemicals not presenting an immediate risk to humans or by including a core set of label elements to work toward
the environment; Tier 1 identifying uses of a chemical that harmonized hazard statements for each category and class
may present further risks, to be investigated in greater depth of chemicals covered. It also has a harmonized approach to
in Tier 2. In Tier 1, margins of exposure (MoE) are compared classifying mixtures of these chemicals. The International
with generic OELs for the chemical’s hazard category, while Program on Chemical Safety has also adopted the concept
Tier 2 assessments are conducted in accordance with EU risk of the ILO Toolkit as part of its overall process to include
assessment principles. Toward that end, a database known as exposure control approaches in parallel with its efforts for a
Solbase shows potential as a source from which CGSs could chemical standardization process. While this may take some
be developed. With partners from throughout Europe, Swuste time to accomplish, it will eventually provide consistency of
et al.(11) have tested Solbase both for usability of the software information on more than 1500 commonly used chemicals
and suitability of the recommendations yielded by Solbase, and include a centralized procedure for frequent updates of
using 535 new and existing solutions. Although most of these information.(53)
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solutions currently relate to manual or material handling, noise Through these CB workshops, a process emphasizing the
and vibration, machine guarding, and other safety issues, few utility of available CB models has also led many countries
address air contaminants. The databank can be queried either to adapt and use them within their existing occupational risk
by production process, or by hazard. management approaches. A two-stage risk assessment strat-
Much of the literature for the evaluation and validation of egy (Regetox) was developed and tested in Belgium(12,54,55)
CB models has been related to a concerted effort to create and in response to the European Chemical Agents Directive
drive a research agenda through workshops. This approach 98/24/EC,(44) which requires companies to assess and manage
has been proven useful for developing earlier solutions-based chemical risks in the workplace. To minimize the number
programs beyond their national origin. Early solution-based of chemicals (and resulting costs) for which risk assessment
initiatives include the noise control solutions from the UK must be conducted, the first stage of the strategy utilizes
HSE,(49) exposure reduction in mining from Australia,(50) the French “ranking of potential risk” based on R-phrase,
and chemical substitution strategies from Denmark, the UK, annual quantity in use, and frequency of use, as described
the United States, and The Netherlands to reduce health above.(56) Only products receiving a rating of medium or high
hazards.(51) A model for communication and evaluation of are carried forward to the second stage, which utilizes the
these programs began at the first IOHA Scientific Conference COSHH Essentials. When mixtures are being handled, the
in 1992 with a workshop on sharing knowledge of preventive risks are evaluated for each harmful component according to
measures. This culminated in World Health Organization the composition by weight of the mixture.(12)
(WHO) experts meeting in 1994 to stimulate the interchange For cases in which contaminants are generated during the
of solutions toward the reduction of occupational risk and the process, e.g., aerosols generated during spray painting, the
formation of the Prevention and Control Exchange (PACE) EASE model is used. Feasibility studies conducted in two firms
working group.(52) This process has evolved into efforts such as revealed lacking or inadequate MSDS. There was only one case
the European Solbase, with many nations teaming together to in the two companies in which the strategy failed to reveal need
develop a database of effective controls for workplace hazards for improvement in the work situation. The authors felt that
and reduction of occupational risks.(11) simple examination of the work situation would have indicated
International CB workshops have been held in London the need for semi-quantitative risk assessment. Further lessons
(2002), Cincinnati, Ohio (2004), and South Africa (2005). The drawn from the trial are that most companies are not prepared to
workshops have led to an international agreement for coordi- comply with the European Chemical Agents Directive, and that
nating the work of international agencies and their partners and the use of the Regetox approach can be helpful to companies,
a global implementation strategy for CB models. An example but requires training of “prevention advisors” and a strategy
of this collaboration is the appropriate international forum that to involve employers, staff members, and workers to assist in
the workshops have provided for the Globally Harmonized collecting basic information for the risk assessment.(56)
System of Classification and Labeling of Chemicals (GHS). The Semi-Quantitative Risk Assessment (SQRA) devel-
The GHS is a uniform, internationally developed, and standard- oped in Singapore is intended to facilitate identification of

338 Journal of Occupational and Environmental Hygiene May 2008

 chemical hazards, evaluation and potential for exposure, risk national regulatory requirements and professional approaches.
level determination, and prioritization of appropriate controls Stoffenmanager (v. 3.0, The Netherlands) is a web-based
to address the identified risks. With the SQRA there are software tool built for SMEs to assist in working safely with
three methods for performing exposure evaluation that include chemical substances. Their CB model factors in an exposure
(1) personal exposure monitoring, (2) using exposure factors potential through the use of an interactive chemical risk
and parameters, (3) and/or applying empirical and theoretical management approach. This model approach was developed
formulas to estimate exposures at the plant or process design in The Netherlands to assist SMEs in assessing, prioritizing,
stage. The ILO Toolkit, which was renamed as the International and controlling risks associated with hazardous substances.
Chemical Control Toolkit (ICCT) during the SQRA’s develop- The tool is based on the COSHH Essentials and a modified
ment, was tested in parallel with applications of the SQRA version of the Cherrie and Schneider(24) inhalation exposure
to evaluate their utility and to perform comparisons based on model.(60)
theoretical and empirical aspects.(57) Stoffenmanager is currently a generic tool that supports
Direct comparison of the two approaches was stratified the inventory of the hazardous substances, assessing and
by their respective control approaches as compared with the controlling risks in a risk inventory, obtaining a plan for control
SQRA risk level approach. The empirical comparison of the measures, making instruction sheets for the workplace, and
models uses actual personal air monitoring data used to derive helping in storage according to guidelines. For the risk inven-
the SQRA method’s risk level to assess against the Toolkit’s tory, the employer uses R-phrases categorized according to
control approach. This comparison was performed on 27 COSHH Essentials. Then the employer completes an exposure
selected SME processes including metalworking, paint man- assessment, involving response to seven questions to deter-
ufacturing, chemical processing, printing, dry cleaning, and mine the chemical’s exposure class. The tool automatically
electronics industries. The results of the theoretical comparison calculates a risk score, a relative risk ranking. Thus, an initial
indicate that the Toolkit and the SQRA method are somewhat assessment of the health risk is completed. Using the tool’s risk
consistent with any differences between the control approach score, the employer can then calculate the efficacy of various
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and risk level being, at most, one to two bands. In the majority control measures and choose the most effective ones.(61) The
of cases using the empirical comparison it was determined that Stoffenmanager model has been recently evaluated utilizing
the Toolkit overevaluates the risk relative to SQRA, leading to targeted field surveys for many dust (i.e., animal feed, flour
more conservative approaches relating to controls.(57) processing, textile, and construction) and liquid (i.e., solvents
Germany is the third largest chemical producer in the for metal, car body repair, and printing) industry exposures in
world and the largest chemical exporter in the world.(58) comparison with existing exposure data.(60) This comprehen-
As such, it has taken its responsibility to assist in sound sive validation study initially has found relatively good initial
management of chemicals in developing countries.(59) Under correlation of the non-expert Stoffenmanager score with expert
its Convention Project on Chemical Safety, the technical arm evaluation overall for inhalable dusts (rs = 0.83) and liquids
of the German Development Agency’s Society for Technical (rs = 0.81). This validation process for the Stoffenmanager
Cooperation (GTZ) has developed a Chemical Management model remains an ongoing process and is intended to remain
Program Guide as part of its Pilot Project on Chemical Safety. a dynamic process with continual updating.(60)
The Chemical Management Guide is a method to demonstrate Developed through the cooperation of corporations within
and document how chemical safety in emerging countries the Norwegian oil industry, KjemiRisk is an assessment of
and small businesses can be improved and sustainability chemical health risk based on experience and practice in these
implemented in line with international standards. In more than industries.(62) The tool takes the following into account: phys-
130 partner countries, GTZ is supporting 2700 development ical properties of the chemical, the handling of the chemical,
projects and programs with the aim to improve the living and the appropriateness of the technical, organizational and
conditions and perspectives of people in developing and personal barriers established to control the chemical exposure,
transition countries. It has been implemented at international and the duration and frequency of the work task using R- and
sites in Argentina, Indonesia, and EU countries. The GTZ safety phrases (S- phrases) as its basis. Similar to R-phrases,
chemical management guide and pilot project on chemical S-phrases also are required by the EU to appear on each label
safety is a unique program developed specifically to meet and safety data sheet for hazardous chemicals as part of the
the needs of small businesses and developing countries for classification, packaging, and labeling of dangerous substances
addressing chemical hazards. A participatory training process provision (Council Directive 67/548/EEC).
is utilized to work to the selection of control technologies. Chemicals are grouped into one of five health hazard
The GTZ program acknowledges that CB models may be categories based on R- and S-phrases. As part of the KjemiRisk
too sophisticated for many small enterprises in developing application, 15 common tasks are defined and the handling
countries; medium and larger enterprises often have more of the chemical, its physical state, duration and frequency
MSDS on site and therefore they have a greater potential for of use, potential for exposure, and the appropriateness of
conducting risk assessments using the ILO Toolkit.(59) controls in place are used in the conceptual model. The risk
Building on the COSHH Essentials approach, countries assessment is divided into two phases which include the
have also begun to develop their own CB models to address potential risk and the final risk. These are adjusted for risk

Journal of Occupational and Environmental Hygiene May 2008 339

 based on a judgment of the reliability and appropriateness of specified control solutions.(63−65) The UK HSE already has
the established barriers and/or controls. The risk assessment begun to adapt the CB model for broader chemical agents
provides a full risk evaluation of task-based work procedures and expansion of the COSHH Essentials approach toward
based on an evaluation of risk for illness related to lungs, direct control advice. Exposures generated by these processes
internal organs, and skin. KjemiRisk can be considered both do not have Risk Phrases and require a different practical
a rough risk assessment tool when used by line managers or approach. The UK HSE has developed a CB process for some
health and safety generalists and an expert tool when used of these exposures by directing the user to job-specific control
by industrial hygienists. It is currently available in Norwegian advice sheets relating to initial selected professions such as dry
and English as an individual or a network application when cleaning, hairdressing, and paint spraying.(40,66)
integrated with an appropriate server. Expansion of web Taking this a step further, the Silica Essentials is also
applications, improvement of reporting functionalities, and directing users to control advice sheets that are industry and
substitution of capabilities are currently being considered for task-based and do not require the additional step of inputting
development.(62) data.(67) Instead, the user selects the control advice directly by
Developing and implementing CB risk assessment/ activity, avoiding the interim exposure prediction step of the
management programs is critically important to many indus- COSHH Essentials model. The Silica Essentials is another
tries that process and market hazardous chemical substances. CB model that is currently being evaluated in implementation
CB is an invaluable universal tool for assessing and managing and validation efforts internationally, including in Africa and
these chemical risks. There is an important difference between Latin America.
industries that employ commodity industrial chemicals The stratification of risk that began in the 1970s is now being
(e.g., bulk petrochemical, health care, etc.) and those with considered for application in a variety of occupational health,
unique proprietary chemicals (e.g., pharmaceutical, many hygiene, and safety professions as well in major industries. The
industrial/commercial products, etc.). Many commodity international CB workshops have been an essential element
industrial chemicals are well characterized; therefore, they in establishing uniform research agendas for evaluating CB
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can be assessed and controlled using existing CB models strategies. They also have served to initiate the expansion of
(COSHH Essentials, etc.). (Note that there is no need to use chemical-oriented models to best address practical preven-
CB models to manage chemicals for which OELs exist.) tion of a broader spectrum of work-related illness, disease,
However, industries that process and market unique and injury. Topics discussed at these workshops that are
proprietary chemicals must customize their risk assess- beginning to be addressed include the provision of national-
ment/management CB models for their operations using three level guidance and coordination, pilot projects at the state
essential steps: (1) performing appropriate hazard assessments level, and creation of an Occupational Risk Management
to classify and communicate hazards; (2) assessing worker (ORM) Toolbox. The ORM Toolbox approach is intended
exposures in the workplace during specific operations; and (3) to broaden the CB model to include a more comprehensive
communicating, implementing, and verifying the proper con- exposure control basis for globally common industries, such
trol measures. Exposure Control Practices (ECPs)—specific as construction and agriculture, that require a multidisciplinary
guidance on the control measures—are a valuable tool for approach for chemical, ergonomic, safety, and environmental
managing chemical risks. The ECPs provide a “feedback concerns. Current efforts have begun for the development of
loop” to ensure that workers are protected and exposures are a CB model for a Construction Toolbox, addressing these
controlled to the desired levels. ECPs should be based on the composite, potential exposures by trade and task.(68) To achieve
Hierarchy of Control principles. Also, they must be verified the ORM Toolbox approach, a broader, multidisciplinary
as part of the exposure assessment program. However, they framework for trade-related exposures is needed.
enable much more robust risk assessment/management than Applying the CB model in a multidisciplinary fashion
do traditional IH approaches. requires some brief consideration of differences between the
fundamental approach to IH, ergonomics, and occupational
Further Model Evolution safety. Concepts on exposure and variability of exposure
Both the UK and ILO CB models focus on the use of bulk are well developed in the IH profession. These concepts
chemicals. These models do not cover chemical agents, which are hardly present in occupational safety. Ergonomics and
are covered by other UK regulations (i.e., asbestos, lead, and occupational safety both have a strong focus on design and
pesticides), they also are not intended to address process- redesign, which is much less developed in IH. Therefore, as
generated emissions. These are chemical agent exposures CB models are being developed to address musculoskeletal
created by the task, or not purchased in bulk, and include disorders and occupational injuries, they may find profession-
construction-related hazards such as silica dust, welding fume, als in these specialties well conditioned to this simplified
and wood dust exposures as examples. Silica exposures in adaptation. While CB strategies like the Silica Essentials
mining or construction have an excellent track record for are being developed to address locally generated exposures,
existing interventions and practical solutions-based outcomes. as in the construction industry, the exposure factors relat-
These include standardized recommendations and subsequent ing to ergonomics are also being evaluated. Another IH to
reduction of exposures relating to the implementation of ergonomic comparison is that chemical production involves

340 Journal of Occupational and Environmental Hygiene May 2008

 the development of new products that may never be fully DISCUSSION
researched and can logarithmically expand the variety of
exposure routes and sources for a given worker. In contrast,
ergonomics has a finite group of well-researched and defined
risk factors and effective programs.(69,70) The ILO Ergonomics
U nderpinning the toxicological basis of the UK approach
is the importance of an accurate toxicological rating
and hazard band classification by suppliers of chemical
Checkpoints document is an example of well-researched and substances. Given this critical need for CB models, there is
internationally validated models that is being developed as the a need to re-evaluate the assignment of R-phrases to chemical
basis of Ergonomics Toolkits.(71,72) Efforts in The Netherlands substances.(26,42) This process should go beyond work with
have begun to consider the incorporation of occupational the COSHH Essentials model and become a central focus
safety requirements, with a focus on traumatic injury.(73) for the different CB models available and in development.
Occupational safety is not restricted to chemical safety, but Significant concerns have been raised about the accuracy
a more general approach is considered, focusing on causes of EU classifications of chemical substances.(42) If COSHH
of both major and minor occupational accidents. It has been Essentials has been designed to be slightly overprotective,(25)
presented that classifications already exist for various variables then the 15% of evaluated EU classifications that were assigned
of accident causation, which can be viewed as an analogous too low a danger class(42) should be considered a substantial
“banding principle” where safety phrases can be applied in a issue to be addressed.
manner similar to risk phrases. IH practice is devoted to the Other confounding issues for the model also require further
anticipation and prevention of exposure, however the control evaluation. The margins of safety are possibly inadequate for
of exposure takes place after the central event, the emission of many vapors and some may need to be classified into higher
the hazardous substance, has occured. In occupational safety, hazard bands.(26,31,38) There is also a variation in hazard band
barriers are active both before and after the central event. assignment between the COSHH Essentials model and ILO
Therefore, these barriers, including management factors, have Toolkit.(31,38) In addition to model validation efforts, experts
a strong relation with the quality of safety management who have written on the CB topic confirm its potential value as
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systems, and these factors are important parameters for risk a risk assessment and risk management tool in the workplace.
prevention.(73) The end point of this CB model would not They also express caution about the need for systematic, critical
necessarily lead to control advice as much as an identification evaluation of the approach before widespread adoption.
and implementation of barriers. This barrier banding model According to Money,(13) “no systematic evaluation of the
would apply these phrases to provide information on the type actual impact and effectiveness of the schemes has been
of hazard of accident scenarios or related situations and will undertaken . . . no systematic assessment has been undertaken
guide the type of precautions needed deal with these scenarios of the impact that CB approaches have had on the management
or situations.(74) of risk at the workplace or other levels. Thus, in terms of future
Moving back to the roots of the modern CB movement, developments in the area, it would appear that before further
nanotechnology industries are also finding a limitation in refinements are considered, there needs to be an extensive
toxicological data in a manner similar to their biological and and systematic evaluation of the uptake and impact of a
pharmaceutical counterparts. They also have to achieve a risk number of the key approaches.” Swuste et al.(11) referenced
management program with an insufficient basis for traditional Kromhout(35) stating that, “The COSHH Essentials has met
IH quantitative risk assessment approaches. An important some criticism in the literature, focusing on the lack of a
distinction is that they have a longer track record of CB models proper evaluation before its introduction into the occupational
to work with in developing a control approach. To develop the arena, as well as the generic nature of the tool, which will lack
concept, Maynard(10) has combined the proven effectiveness precision and accuracy in situations where these are required.”
of CB in controlling exposures in an intensive research and Tischer and his colleagues(32) have said that in the German
development industry, such as in pharmaceuticals, with the occupational hygiene community, “. . . there was consensus
utility of COSHH Essentials model. that the scheme [COSHH Essentials] had great potential for
A conceptual CB model is presented that offers the same further development. On the other hand, with respect to the
four control approaches of the UK model as stratified by exposure predictive model it has been argued that, due to its
corresponding “impact” and exposure indices. This model generic character, reliability and accuracy (safety) may have
proposes combining engineered nanomaterial composition been sacrificed for the sake of simplicity and transparency.
parameters such as shape, size, surface area, and surface However, this assumption is not based on real measurement
activity with their exposure availability in terms of dustiness data and instead reflects the low degree of confidence generally
and amount in use and linking these indices to bands with cor- enjoyed by generic models.”
responding control approaches. This nanomaterial CB model, The impetus for the modern movement of CB was the
although not developed in practice, is presented similarly to regulatory driven need to address chemical exposures for the
COSHH Essentials in that it is a useful concept that affords a majority of the UK work force. COSHH Essentials, the UK
pragmatic approach to exposure control and is considered to model, was created by experts who, with much thought, chose
be an alternative rather than a substitute to traditional IH risk a simplified model to achieve maximum utility in addressing
assessment and control.(10) this need. The work of Cherrie and Schneider(24) served to

Journal of Occupational and Environmental Hygiene May 2008 341

 strengthen this decision by showing that a structured approach riving risk level approaches.(57) Comparisons indicate that,
based on descriptive workplace activities provided significant for the majority of the 27 processes selected, the Toolkit
correlation with exposure measurements. The dissection and equally evaluated or overevaluated the risk relative to the
examination of this CB model remains an ongoing endeavor. SQRA.(57) Within these validation efforts there has been an
However, its effectiveness in achieving its intended utility acknowledged paucity of data with which to validate CB
is often overlooked as a prime component. Results from models.(3,11,13,32,33,41) There is also a limited range of exposure
the HSE survey on the use and application of the COSHH situations with which to compare predictions.(32)
Essentials model(43) infer utility in the UK. This CB model, There has also been difficulty in ascertaining reported
however, is also being considered for use in many other control classification,(3) proper characterization of specific
countries around the world, including the United States. work parameters, and materials in use(41) for comparison of
For this reason the COSHH Essentials model has received predicted and actual exposures. The need for health surveil-
additional attention and should receive more to ensure an lance data/environmental monitoring must be evaluated;(25)
ongoing critical evaluation to determine whether the model particularly when toxicological data are limited.(20) The on-
delivers target exposure ranges, offers controls commensurate going need for personal monitoring (air and wipe tests) must
to exposure potential, is used appropriately, and has improved be strongly emphasized. The use of the CB models is to
control of exposure. complement, not replace the traditional IH approach to risk
In consideration for its implementation, Oldershaw(75) cau- and exposure assessment. Therefore, personal monitoring is
tioned that the COSHH Essentials approach cannot be adopted needed to bolster a system that evaluates the effectiveness
uncritically by other countries; further, the approach must be of controls initially and over time. It will continue to be an
seen in the context of personal protection, training, health essential requirement that ongoing monitoring is needed to
surveillance as appropriate, etc. A key point is that the approach detect breaches in containment systems and effectiveness of
is not meant to replace exposure measurement, interpretation, LEV, even if previously verified.(5)
substance, and chemical control. These studies and expert The work of Jones and Nicas(37,41) has received much
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comments presented in the literature are not “project stoppers,” attention as its critique of the COSHH Essentials and ILO
but rather emphasize the need for collection of data under Toolkit has indicated a high prevalence of control errors(41) and
controlled scenarios to validate the predictions of the model. the potential for an inappropriate confidence in the workplace
Underprescription of control could lead to serious injury, chemical exposure reduction.(37) HSE members responded to
while overprescription could lead to significant unnecessary their COSHH Essentials evaluation(41) clarifying that their CB
expense, especially for SMEs. Of the two types of error, under- model is not intended to predict exposure but rather to identify
control (recommendation of inadequate level of control) is adequate control approaches.(76) This is a difficult statement
potentially more serious than over-control. In this model’s to justify in that the exposure prediction step is what separates
development the general approach was to be conservative or the COSHH Essentials model from the earlier toxicology-to-
slightly overprotective.(25) control pharmaceutical CB model.
Internal evaluations of the UK model have shown under- It was also indicated that the article(41) did not actually
control error for small-scale, dispersed use of solvents and evaluate the COSHH Essentials as, of the workplace exposures
some powder handling operations(32,39) as well as for vapor utilized, none of the controls in place were recommended
degreasing and bag filling operations.(41) These results seem by their CB model. Non-HSE members also responded(77)
to confirm Kromhout’s argument(33) that potential misclassifi- to these Jones and Nicas articles, noting that the intent of
cation of exposure bands can consequently affect assignment to COSHH Essentials is its utility in obtaining and implementing
control bands. Brooke’s work predicted this potential; however, appropriate risk control advice and that user evaluation trials
this concern essentially was addressed with expectations that have indicated a higher likelihood of achieving this than
the model’s scheme and the allocation of hazard bands with if presented in a less accessible or understandable format.
R-phrases would be consistently evaluated and improved,(26) Jones and Nicas replied to this commentary(78) indicating
but the research has not shown this to date. However, with that without a recommended prospective study of COSHH
external evaluation, the COSHH Essentials model has also Essentials, evaluation of its components is necessary.
been found to deliver a significant level of confidence in While confirming their approach and remaining skepticism
the target exposure ranges.(32) German BAuA comparisons of the model’s outcomes, they do address their study’s limi-
of the model’s outcomes compared with personal exposure tations in that the variability of engineering control efficiency
monitoring data, in a number of different industries, were may also be seen in the high rate of under-control findings.
well within range for work with solids and medium scale Their margin of safety applications in their assessment of
liquids,(32,39) although some under-control error with liquids the ILO Toolkit(38) also requires evaluation. Their reliance on
was found in their work(39) as well as Brooke’s.(26) safety margins may not be appropriate for validation studies in
The ILO Chemical Toolkit, based on COSHH Essentials, that their conclusions are heavily dependent on the critical
has also been shown to indicate more conservative control effect’s relative toxicity. Higher consequence toxicological
solutions based on comparisons with the Singapore’s SQRA outcomes such as cancer require a much larger safety margin
method utilizing personal exposure monitoring data for de- than for lower outcomes such as irritation and may, therefore,

342 Journal of Occupational and Environmental Hygiene May 2008

 affect the probability of an under-control finding with more exposure to chemicals. The model was simplified by design due
adverse toxicological outcomes. to the many SME managers under this regulation who do not
An important distinction in the development of the UK have easy or affordable access to professional judgment. The
model is that the current objective of the COSHH Essentials pharmaceutical and biological agent exposure control models,
is to achieve exposure levels anywhere in the exposure the evolutionary predecessors of the modern CB movement,
band, whereas the CIA recommends that exposures should were and are intended for use in Large Enterprises (LE). Due
be maintained “as low as reasonably practicable.”(19,20) This to their size, these industries typically have adequate access to
disconnect with the trade association should be further inves- professional expertise and funding for engineering controls and
tigated. Although comparisons to solid chemical exposures their maintenance. Models relating to pharmaceutical agents,
have been promising, model validation efforts have shown as an example, can therefore be more intricate and achieve
that it is difficult for researchers to retrospectively evaluate the greater accuracy, as they are implemented and maintained
dustiness of particulates, and it may therefore be difficult for by trained professionals. The lack of toxicological data and
SME managers to do the same.(41) For liquid chemical expo- availability of established OELs are the common bases for
sures, under-control error in small-scale solvent applications, the creation of both the pharmaceutical agent and chemical
although consistent with Brooke’s(26) reservations on vapor’s exposure control models.
equivalency with dusts as in Table III, can in part be attributed The developers of the COSHH Essentials and the related
to industrial tasks that spread relatively minute quantities ILO Chemical Control Toolkit both deliberately chose a less
over a large surface area, increasing exposure potential. An complex model in order to achieve simplicity. The ease-of-use
adjustment or acknowledgement within the control guidance of the UK model has been for the most part achieved for the
sheets can be made for tasks with these processes; however, intent of its development in the UK—use and application by
the model’s weakness with vapors must be further evaluated. SME managers. However, a key distinction between the models
In addition, the Regetox approach(12) presented composition is that the ILO developed its international version for use by
by weight for both liquid and solid mixtures in evaluating non-experts everywhere in the world. This expertise may not be
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risks for each harmful component in a workshop that prepares available due to limited funds, such as in the EU or the United
plasticizing mix. Composition by weight is appropriate for States, or due to the relative absence of the IH profession in
solids, but this may skew the estimation of potential risk for most industrially developing nations worldwide, affecting LEs
liquids as composition should be by molar fraction due to the as well as SMEs.(79) It was understood in the development of
difference in volatility of various liquid components. the modern CB models that a practical exposure control tool for
Promising information is just beginning to be put forth in non-experts may in practice compromise a level of accuracy
the evaluation of The Netherlands’ Stoffenmanager CB model. when compared with the advice of experts. As important as
Their approach has benefited from the ongoing critique of this is to achieve utility for the intended audience—whether
the COSHH Essentials and ILO Chemical Control Toolkit. for SMEs, developing countries, or for experts and non-
Critique findings to date have led to Stoffenmanager utilizing experts alike in the absence of OELs—validation of these
exposure assessment prioritization in its banding strategy, models has indeed pointed out areas where this accuracy
which has been derived from the international validation has been compromised. The focal point then becomes one of
process that includes the international CB workshops.(60,61) perceived risk and the variable levels of acceptability of risk, a
Stoffenmanager serves as an excellent example of how dis- perception that varies from country to country, from culture to
secting existing models can lead to criteria to be used in culture.
developing other exposure control models. Its initial validation The historical basis for the modern CB models was that they
study remains an ongoing process, but preliminary information were to be used by experts within a research and development
shows that the current generic version of Stoffenmanager environment. The need for this approach was related primarily
indicates its utility as an exposure assessment tool for SME to the absence of OELs, such as in the biological, pharmaceuti-
managers and may be an appropriate CB model for use in cal, and now the nanotechnology industries. Validation of these
Tier 1 scenarios relating to REACH. There is now an English models is complicated in that traditional exposure assessment
version of the generic model that creates opportunities for may not be possible at this time without a proven toxicological
wider international use and further validation of the model basis, as is especially apparent with nanoparticulate.(10) What
and verification of the effectiveness of its control outcomes. all these CB models have in common is achieving a level
Also in progress is an expansion of this CB model into branch- of approachability to what otherwise may remain only in the
specific versions that is expected to become a standard in The hands of those with access to expert judgment. They also share
Netherlands, and the development of a dynamic web-based a certain acceptance of risk and inaccuracy. Adaptation of the
data exchange module called STEAMBASE (SToffenmanager existing models beyond bulk chemical use has been assisted
Exposure and Modeling dataBASE),(60) which may be an by this cumulative CB discussion in that developers can learn
important foundation for the prospective studies that are a from still ongoing evaluations and benefit from a growing
consensus in CB literature. acceptability of simplicity in achieving exposure reduction.
Regulatory requirements in the UK were a driver to develop The practical nature of the silica, ergonomics, and injury
the COSHH Essentials CB model for non-experts to address prevention CB model approaches indicates that they are likely

Journal of Occupational and Environmental Hygiene May 2008 343

 to succeed, although not with the same rigor of validation and ACKNOWLEDGMENTS
evaluation that should be given to all CB models. In developing
multidisciplinary CB strategies it has become apparent that
involvement of stakeholders is helpful in defining minimum
performance standards, whether required by regulation or by
T he authors would like to thank all those who have assisted
and the organizations that have supported all aspects of
the International Control Banding Workshops, whose efforts
circumstance. have assisted in developing and driving the CB research
agenda. Special thanks to Paul Swuste for his keen insight and
direction in the development of this manuscript. Thanks also
CONCLUSION to Henri Heussen for his timely update on the Stoffenmanager
validation process.
This work was performed in part under the auspices of
F urther research remains a requirement for all CB models.
This includes further internal validation of CB model
components, broader external validation of the model predic-
the U.S. Department of Energy by the Lawrence Livermore
National Laboratory under contract W-7405-Eng-48, UCRL-
tions when compared with expert interventions, and especially JRNL-223247.
the need for operational analysis of the model as implemented
to achieve intended outcomes. A prospective research process
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