Environmental Auditing:

Environmental auditing is essentially an environmental management tool for measuring

the effects of certain activities on the environment against set criteria or standards.
Depending on the types of standards and the focus of the audit, there are different types of
environmental audit. Organizations of all kinds now recognize the importance of
environmental matters and accept that their environmental performance will be scrutinized
by a wide range of interested parties.

Environmental auditing is used to

• investigate
• understand
• identify

These are used to help improve existing human activities, with the aim of reducing the
adverse effects of these activities on the environment. An environmental auditor will study
an organization's environmental effects in a systematic and documented manner and
will produce an environmental audit report. There are many reasons for undertaking an
environmental audit, which include issues such as environmental legislation and pressure
from customers.

The International Chamber of Commerce (ICC) produced a definition in 1989 which is

along the same lines

a management tool comprising a systematic, documented periodic and objective

evaluation of how well environmental organization, management and equipment
are performing, with the aim of helping safeguard the environment by:
(i) facilitating management control of environmental practices and
(ii) assessing compliance with company policies which would include meeting
regulatory requirements. [Source: after International Chamber of Commerce (1989)]

The key concepts of environmental auditing are as follows.

• Verification: audits evaluate compliance to regulations or other set criteria.

• Systematic: audits are carried out in a planned and methodical manner.
• Periodic: audits are conducted to an established schedule.
• Objective: information gained from the audit is reported free of opinions.
• Documented: notes are taken during the audit and the findings recorded.

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 • Management tool: audits can be integrated into the management system
(such as a quality management system or environmental management
system).

Objectives of Environmental Auditing

The overall objective of environmental auditing is to help safeguard the environment
and minimize risks to human health. Clearly, auditing alone will not achieve this
goal (hence the use of the word help); it is a management tool.
Objectives of Environmental Auditing
The overall objective of environmental auditing is to help safeguard the
environment and minimize risks to human health. Clearly, auditing alone will
not achieve this goal; it is a management tool.
The key objectives of an environmental audit therefore are to:
• To determine the impact on surrounding environment ( ground water, stream,
residential area, sensitive zone etc.) due to the disposal of wastewater, air
emissions and solid waste from the industry and accordingly identify suitable
preventable measures, if necessary.
• To determine how well the environmental management systems and
equipment are performing, it can also enhance the environmental performance
of the industries.
• To verify compliance with the relevant national, local or other laws and
regulations
• To minimize human exposure to risks from environmental, health and safety
problems.
• To suggest alternative energy uses for conservation of energy sources.
• To determine the mass balance of various materials used and performance of
various process/ process equipment to identify usage of materials in excess
than required.
• Evaluation of waste water quality, and their effects on the living system.
• To determine the air emissions, their sources, quantities and characteristics.
• To determine the possibilities of waste minimization, recovery and recycling
of wastes.

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 • Classification of categories of solid waste, hazardous waste, their sources,
quantities and characteristics.
• To help in minimizing the waste through modern cleaner technologies.
• Regular auditing (once in a year) will help in producing environmentally
educated and technically sound advanced technologies by keeping proper
documentation of environmental compliance status.

Areas of Environmental Audit:

✓ Material audit
✓ Energy audit
✓ Water audit
✓ Health and safety audit
✓ Waste audit
✓ Engineering audit
✓ Compliance audit.

Phases of Environmental Audit:

There are three (3) phases of environmental audit
i) Pre-audit
ii) On-site audit
iii) Post audit
Pre-audit activities includes : i) Selection of expert team
ii)Development of plan

On site activities includes meeting of team with appropriate personnel of the unit.
Other activities include:

i) Record+ documentation

ii) interview with staff

iii) physical inspection of facilities

Post-audit activities: i) Issues of draft report

ii) Issue of final report

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Benefits of Environmental Audit:

i) Compliance: with legal supporting requirements,

ii) Reputation on brand name,

iii) mitigation of environmental issue

iv) cost management

v) competency assessment.

Difference between Environmental Impact Assessment and Environmental

Auditing:

EIA:

- An anticipatory tool and action takes place before starting of project

- Attempts to predict the impacts of projects on the environment for future
action to sustainable development.

Environmental Auditing:

- Carried out when development is already in progress.

- Used to check current existing practices and assessing the current
environmental effects.
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 - Provides a ‘snap-shot’ of looking at what is happening at that point in time in
an organization.
- Covers a variety of management practices, which are used to evaluate an
environmental performance of the company.
- Refers to strict checking systems and procedures against set standards or
regulations.

Principles of auditing
Auditing is characterized by reliance on a number of principles. These make the
audit an effective and reliable tool in support of management policies and controls,
providing information on which an organization can act to improve its performance.

The following principles relate to auditors:

a) Ethical conduct: the foundation of professionalism
Trust, integrity, confidentiality and discretion are essential to auditing.

b) Fair presentation: the obligation to report truthfully and accurately

Audit findings, audit conclusions and audit reports reflect truthfully and accurately
the audit activities. Significant obstacles encountered during the audit and
unresolved diverging opinions between the audit team and the auditee are reported.

c) Due professional care: the application of diligence and judgement in auditing

Auditors exercise care in accordance with the importance of the task they perform
and the confidence placed in them by audit clients and other interested parties.
Having the necessary competence is an important fact.

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 Fig: The process flow for the management of an audit program

NOTE 1 Figure 1 also illustrates the application of the Plan-Do-Check-Act

methodology in this International Standard.
NOTE 2 The numbers in this and all subsequent figures refer to the relevant clauses
of this International Standard.

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If an organization to be audited operates both quality management and
environmental management systems, combined audits may be included in the audit
programme.

“An understanding of the business value to be gained from efficient use of natural
resources is an important first step toward sustainability: toward building a world in
which resources are managed to meet the needs of all people now and in the future.”
(J. Lash, President of the World Resources Institute).

Disaster:
Disasters are serious disruptions to the functioning of a community that exceed its
capacity to cope using its own resources. Disasters can be caused by natural, man-
made and technological hazards, as well as various factors that influence the
exposure and vulnerability of a community.

Natural hazards are naturally occurring physical phenomena. They can be:

• Geophysical: a hazard originating from solid earth (such as earthquakes,

landslides and volcanic activity)

• Hydrological: caused by the occurrence, movement and distribution of

water on earth (such as floods and avalanches)

• Climatological: relating to the climate (such as droughts and wildfires)

• Meteorological: relating to weather conditions (such as cyclones and

storms)

• Biological: caused by exposure to living organisms and their toxic

substances or diseases they may carry (such as disease epidemics and
insect/animal plagues)

Man-made and technological hazards are events that are caused by humans and
occur in or close to human settlements. They include complex emergencies,
conflicts, industrial accidents, transport accidents, environmental degradation and
pollution.

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 Disasters happen when a community is “not appropriately resourced or organized to
withstand the impact, and whose population is vulnerable because of poverty,
exclusion or socially disadvantaged in some way” (Mizutori, 2020).
The World Health Organization (WHO) defines a disaster as “a sudden ecological
phenomenon of sufficient magnitude to require external assistance”.
It is also defined as any event, typically occurring suddenly, that causes damage,
ecological disruption, loss of human life, deterioration of health and health services,
and which exceeds the capacity of the affected community on a scale sufficient to
require outside assistance (Landsman, 2001).

(VULNERABILITY+ HAZARD) / CAPACITY = DISASTER

Disaster Definition Disaster Main Type

Subgroup
Geophysical Events originating from solid Earthquake, Volcano,
earth tsunami, landslides.Mass
Movement(dry)
Hydrological Events caused by deviations in Flood,
the normal water cycle and/or
overflow of bodies of water Mass Movement (wet)
caused by wind set‐up
Climatological Events caused by long‐ Extreme Temperature,
lived/meso to macro scale Drought, Wildfire
processes
(in the spectrum from
intraseasonal to multi‐decadal
climate variability)
Biological Disaster caused by the exposure Epidemic, Insect Infestation,
of living organisms to germs and Animal
toxic substances

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On April 26, 1986, a nuclear reactor exploded at the Chernobyl nuclear plant near
the city of Pripyat (now Ukraine), poisoning the air and soil in several districts of
Ukraine, Russia, and Belaru. The Bhopal disaster, also referred to as the Bhopal
gas tragedy, was a gas leak incident
on the night of 2–3 December 1984 at the Union Carbide India Limited (UCIL)
pesticide plant in
Bhopal, Madhya Pradesh, India. It is considered to be the world's worst industrial
disaster.

Hazard
Hazards are defined as physical phenomena that pose a threat to the people,
structures or economic assets and which may cause a disaster. Generally speaking,
there are two types of hazards, namely:

➢ Natural - These are hazards caused by nature such as floods, droughts,

earthquake cyclones, tsunami, landslides etc
➢ Human made - These are hazards that are caused by human beings either
deliberately or by accident such as industrial and chemical accident, road and
railway accidents, aviation disasters, fire, building collapse, communal
violence, bomb blasts etc.

However, the High Powered Committee on Disaster management that was

constituted in August 1999 under the Chairmanship of Shri J.C. Pant identified major
groups of hazards in its final report. This exhaustive classification of over thirty
hazards is as follows

Group 1: Water and Climate related Hazards

1) Floods and Drainage Management
2) Cyclones
3) Tornadoes and Hurricanes
4) Hailstorm
5) Cloud Burst
6) Heat Wave and Cold Wave

Group II: Geologically related Hazards

1) Landslides and Mudflows
2) Earthquakes
3) Dam Failures/Dam Bursts
4) Mine Fires

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Group III: Chemical, Industrial and Nuclear Hazards
1) Chemical and Industrial Disasters
2) Nuclear Disasters

Group IV: Accident related Hazards

1) Forest Fires
2) Urban Fires
3) Mine Flooding
4) Oil Spill

Group V: Biologically related Hazards

1) Biological Disasters and Epidemics
2) Pest Attacks
3) Cattle Epidemics
4) Food Poisoning

HAZARD ASSESSMENT

A hazard is measured and defined by its nature (type of hazard), location and extent,
scope and intensity (damage potential) and its probability of occurrence, duration
and frequency (repetition cycles). Hazard analysis refers to prioritizing disasters
based on its frequency and analysis of the estimated losses.

Tools for Hazard Analysis

1) Hazard Mapping:
It is a rough spatial overview and sketch of the area and specific locations, which are
vulnerable to various hazards. The main feature of hazard mapping is to facilitate
discussion on issues pertinent to hazards.

2) Historical Profile or Timeline:

This tool is used to gather information about what happened in the past. It helps in
getting an insight in past hazards, changes in their nature, intensity and behaviour. It
helps to understand the present situation in the community and establish the link
between hazards and vulnerabilities.

3) Seasonal Calendar:
It involves making a calendar showing different events primarily the time of
occurrence of hazards throughout the annual cycle. It helps to identify the periods of
stress and prepare for the specific stress in normal times before the threat of hazard
looms large on the community.
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4) Hazard Matrix:
This tool aims at gathering comprehensive information about the past hazards. It
helps in having an insight about the future hazards on the basis of gaps and lacunae
in the management of past hazards and disasters.

Vulnerability
Vulnerability represents the interface between exposure of any physical threats to
human well-being and the capacity of people and communities to cope with those
threats. Threats may arise from a combination of social and physical processes.
Human vulnerability thus integrates many environmental concerns and may
undermine the entire sustainable development process in developing countries.

Risk
Risk is the probability of harmful consequences or expected losses (deaths, injuries,
property, livelihoods, economic activity disrupted or environment damaged)
resulting from interaction between natural or human-induced hazards and vulnerable
conditions (HPC Report, 2001). In relation to disasters, Kotze and Holloway (1996)
define risk as the expected losses (lives lost, persons injured, damage to property and
disruption of economic activity or livelihood) caused by a particular phenomenon.
Risk is a function of hazard occurrence and the projected losses. A societal element
is said to be ‘at risk’ or vulnerable when it is exposed to hazards and is likely to be
adversely affected by the impact of those hazards if and when they occur, especially
in situations of limited capacity.

It can be best explained by

Disaster Risk = Hazard × Vulnerability/ Capacity

Risk Identification
This includes activities like hazard data collection and mapping to determine the
frequency, magnitude and location of any hazard event; vulnerability assessment of
the populations and the assets exposed and risk assessment to determine the
probability of expected losses.

RISK ASSESSMENT
Risk assessment is necessary so as to determine the nature and extent of risk by
analyzing potential hazards and evaluating existing conditions of vulnerability that
could pose a potential threat or harm to people, property, livelihoods and the
environment on which they depend. A risk assessment provides the factual basis for
activities proposed in any strategy to reduce losses from identified hazards.
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Tool for Risk Assessment
One of the tools that can be used for risk analysis is as follows:

1) Risk Analysis: The tool is based on determining the risk by analyzing the
vulnerabilities and capacities of the community related to each hazard. On the basis
of analyzing the risk is determined for a particular hazard in a ranking order.
While conducting the risk assessment, following points should be considered:
➢ Determine the risk by ranking
➢ Ask the community about the hazard which poses the highest risk
➢ Explore the reasons due to which a particular hazard poses the risk.t

Steps of risk assessment:

Step 1: Identify the hazards
Step 2: Identify who might be harmed and how?
Step 3: Evaluate the risk
Step 4: Record the findings
Step 5: Review the risk assessment periodically

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Risk evaluation:
Risk matrix to determine risk level.

Descriptor Likely Probability Consequences level Consequence score

frequency
Frequently Occurs 5 Insignificant 1
frequently
Often Has occurred 4 Risk evaluation: 2
many times Risk matrix to
in a year determine risk level.
Minor
Likely Has occurred 3 Moderate 3
more than
once
Possible Has occurred 2 Major 4
(Single fatality)
Rare Never 1 Catastrophic 5
occurred (multiple fatalities)

HIRA : HIRA stands for hazard Identification and Risk Assessment. It is a process
and documentation of identifying hazards, evaluation of risk and applying suitable
control measure to minimize the risk of harm by hazards at work place.

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Steps of HIRA:
1. Identify the activity: Consider the activities
2. Hazard identification: Identify the hazards in that activity
3. Risk assessment: identify the risk of that hazard with the help of risk
matrix
4. Control measures: Applying suitable control measures to minimize risk
level.
5. Record the finding
6. Implementation and review: implementation on site and review for any
update

Human Health Risk Assessment:

EPA began formally conducting baseline risk assessment in 1989. Today, risk
assessment is usually quantitative and advanced and includes the following steps:
Step 1: Data collection and evaluation
➢ For a specific site, gather background and site information
➢ Concentration of contaminant sources and different media ( water, soil, air)
➢ Information regarding the contaminants release potential
➢ Identify possible human exposure pathways
Step 2: Toxicity assessment
➢ Determine the relationship between the exposure to a contaminant and the
increased likelihood of adverse effects to people.
➢ Includes hazard identification and dose-response evaluation.
➢ Hazard identification- Determines whether a contaminant causes adverse
effects and of what level of severity.
Dose –response evaluation- relates the quantitative dose of a contaminant with the
incidence of adverse health in an exposed population.
Dose (mg/kg)= mass of contaminant per body mass of exposed individual
Dose : total mass of a substance to which the body is subjected. The dose is a
function of the concentration, duration of exposure and rate of introduction into the
body. Often given in units of mass/unit mass- time ( Mg/Kg,d)
Response: Measurable physiological changes produced by the toxin.

Step 3: Exposure Assessment

➢ Estimate the magnitude of exposure to chemicals of potential concern.
➢ Based on chemical intake and exposure pathways.
➢ Exposure pathways must include all possible paths of contaminant entry from
all media.
There are two methods for quantifying exposure:
1. Probabilistic methods
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 2. Point estimate methods- pathway –specific intakes are calculated using
exposure concentration estimates.
Step 4: Risk Characterization
All data from toxicity and exposure assessment are reviewed to calculate the total
risk.
Risk = (Intake or CDI) * (Slope factor)

Key characteristics of toxicants:

- Must be in the environment.
- Must be bioavailable and bioaccumulated
- Must interact at a molecular site
- Must cause metabolic dysfunction
- Must decrease the fitness of an individual organism.

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Fig: Sequence of events of an exposure of an animal to exogenous chemicals

Environmental fate of the toxic substance

- Partition: what fraction of the chemicals will end up where (e.g- soil, topsoil
layer, sub-surface layer, air, water etc.)
- Transport: how the chemicals will move
- Transform: chemical changes

Response to the toxic substance:

Types of responses
- Death
- Organ system/ Tissue damage
- Diseases

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Toxicity to humans:
- Cancer
- Non-cancer impacts

Toxicity to ecosystems:
- impact on individual organisms
- Population- level impacts
- community-level impacts

Routes of exposure
• Inhalation
• Ingestion (Oral)
• Absorption through contact ( dermal, skin)
Media of exposure
• Groundwater: ingestion. Dermal contact, inhalation
• Surface water: Ingestion, dermal contact, inhalation during showering
• Sediment: ingestion, dermal
• Air: inhalation (of gases and particulates)
• Soil/dust: ingestion, dermal contact
• Food: ingestion

A hazard quotient is the ratio of the potential exposure to a substance and the
level at which no adverse effects are expected. A hazard quotient less than or equal
to 1 indicates that adverse effects are not likely to occur, and thus can be considered
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to have negligible hazard. HQs greater than 1 are not statistical probabilities of harm
occurring.
Hazard Quotient = CDI/RfD

Hazard index is the sum of hazard quotients for substances that affect the same target
organ or organ system.
• Hazard index= Sum of hazard quotients [ if HI<1, systematic effects are
assumed to not be of concern]

** A person is exposed to three chemicals, A, B, C:

Chemical Daily exposure RfD (mg/Kg-
(mg/kg-day) day)
A 0.04 0.07
B 0.08 0.16
C 0.2 0.35

Find out the Hazard Index.

*** Cancer slope factor (SF) or potency factor (PF): plot the dose response
curve, slope is the potency factor
PF = (Incremental lifetime cancer risk)/ (Chronic daily intake, mg/kg-
day)

In case of water, Chronic Daily Intake (CDI) = (CW) (IR) (EF) (ED) / (BW) (AT)

CW= contaminant concentration in water (mg/L)

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IR= ingestion rate (L/day)
EF= Exposure frequency ( days/yr)
ED= exposure duration (yrs)
BW= body weight (kg)
AT= averaging time (75 yr for carcinogens) / exposure duration for non-
carcinogen.

In case of inhalation- air, CDI = (CA) (IR) (ET) (EF) (ED) / (BW) (AT)

CA= contaminant concentration in air (mg/m3)

IR= ingestion rate (L/day)
EF= Exposure frequency (days/yr)
ED= exposure duration (yrs)
BW= body weight (kg)
AT= averaging time (75 yr for carcinogens)/ exposure duration for non-
carcinogen

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Example 1: Suppose an industrial facility emits benzene into the air. The
concentration of Benzene in the air in the residential area surrounding the facility
has been measured at 0.01 mg/m3. Determine the chronic daily intake [mg/kg. day]
of benzene by adult men living in that area.
[ Inhalation rate 15.2 m3/d, Exposure duration 30 years; Average weight 78 kg,
Average time 75 years ]

Ans :

Concentration of benzene, CA = 0.01 mg/m3

Inhalation rate, IR= 15.2 m3/day
Exposure duration, ED= 30 years

Exposed concentration = 0.01 (mg/m3)× 15.2 (m3/day) ×365 (day/year) × 30 years

= 1664.4 mg

CDI = (Exposed concentration) / (Body weight* Averaging time)

=( ) / (78 kg × 75 yrs× 365 days/yrs)

Example 2: A carcinogen is in drinking water at a concentration of 0.04 mg/l. Find

out the cancer risk of 45 years of exposure of an adult female (65.4 kg), given a
cancer slope factor of 0.75 [mg/kg.day] [ Average drinking water rate 2.3 l/d]

Sol: Concentration in water, CW= 0.04 mg/l

Exposure duration, ED= 45 years
Body weight, 65.4 kg
Cancer slope factor, SF= 0.75 [mg/kg-day]
Ingestion rate, IR = 2.3 l/day

Exposed concentration= 0.04 (mg/l) × 45 yrs × 365 (days/yr) ×2.3 (l/day)

= 1511.1 mg

CDI = ( 1511.1 )/ [65.4 (kg) × 75 years × 365 day/year]

=( ) mg/kg-d

Cancer risk = CDI × SF

=( )×(
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*** Note that, we need to be cautious about determining either the compound is
carcinogenic or non-carcinogenic, because the type of the compound will determine
the averaging time.

Example 3: A 2 year old child places on vacant land that was once a small industrial
site. The child plays on the site 5 days per week for three years. The child ingests
200 mg soil/d. Soil test show that the concentration of chromium (VI) in the soil is
2.1 mg/Kg. Here Cr (VI) is non-carcinogenic. Find out the CDI. [ Average weight
of 1-5 years babies is 16 kg]

*** The RfD for Chromium (VI) is 3.0*10-3 [mg/(kg-day). Find out the hazard
index for the previous scenario.

Sol: Contamination concentration, CS = 2.1 mg/kg

Exposure duration, ED= 5 ( d/w) × 3 years
Digestion rate, DR= 200 mg soil/day

CDI = (Exposed concentration) / (Body weight* Averaging time)

Exposed concentration
= 2.1 (mg/kg) × 200 (mg/d) × (kg/106 mg) × 5 (d/w) × 52 (w/y) ×3
= ( 0.3276 ) mg

CDI= ( ) mg/ [16 kg× 3 years× 365 d/yr]

= mg/kg-d

Here, given , RfD= 3.0 × 10-3 [mg/(kg-day)

HI= ?

Hazard Quotient = CDI/RfD

=( )/ ( )
=

Hazard index= Sum of hazard quotients

=

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Example 4: Suppose residents residing along a lake release a continuous flow of the
carcinogenic herbicide, MTX, into a local lake. At steady state conditions and
complex mixing, the concentration of MTX in the lake is 334 µg/L in the lake. The
lake does not serve as a drinking water supply but many people swim in the lake.
Suppose this carcinogen has an absorption potency (slope) factor of 0.71 (mg/kg-
day)-1.
Assume that the dermal uptake from water is 9.0 × 10 -6 m/h. Assume that the average
person swims in the lake five times per week for seven months each year for fifty-
five years. The average lifespan is seventy years. This "average" person spends 1.25
hours in the lake each time he/she swims. The average available skin surface area is
1.89 m2 and body weight is 70 kg.
a) What is the absorbed dose in mg/kg-day?
b) Find out the lifetime incremental risk of MTX for the above scenario.

Sol: Concentration of MTX= 334 µg/L

= 334000 µg/m3
Exposed skin area= 1.89 m2

Average life span = 70 years

Dermal uptake from water = 9.0 × 10 -6 m/h
= 9.0 × 10 -6 (m3/m2.h)

MTX absorption potency factor, PF= 0.71 (mg/kg-day)-1

Here, to find out the Total exposure time=

1.25 (hours/time)× 5 (time/ week) × 4 (weeks/month) × 7 (months/year) × 55 years
=( ) hours

Exposed MTX concentration=

( 334000 µg/m3 ) × 9.0 × 10 -6 (m3/m2.h) ×1.89 m2 × (exposure time)
=( ) mg

Chronic daily intake of MTX through skin,

CDI= (Exposed concentration)/ (Body weight × Averaging time)
= ( ) / ( 70 kg ×70 yrs × 365 days/year)

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 =( ) mg/kg-day

Lifetime incremental risk of cancer due to MTX exposure through skin

= CDI× PF
=( ) × 0.71 mg/kg-day
=

Book References:
1. Methods of Environmental Impact Assessment; Second Edition, Edited by
Peter Morris and Riki Therive
2. https://www.soas.ac.uk/cedep-demos/000_P508_EAEMS_K3736
Demo/unit1/page_14.htm
3. https://www.sciencedirect.com/science/article/pii/B9780128119891000130

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