Model Averaging Using Fractional Polynomials to Estimate a Safe Level of Exposure

Quantitative risk assessment involves the determination of a safe level of exposure. Recent techniques use the estimated dose-response curve to estimate such a safe dose level. Although such methods have attractive features, a low-dose extrapolation is highly dependent on the model choice. Fractional polynomials, basically being a set of (generalized) linear models, are a nice extension of classical polynomials, providing the necessary flexibility to estimate the dose-response curve. Typically, one selects the best-fitting model in this set of polynomials and proceeds as if no model selection were carried out. We show that model averaging using a set of fractional polynomials reduces bias and has better precision in estimating a safe level of exposure (say, the benchmark dose), as compared to an estimator from the selected best model. To estimate a lower limit of this benchmark dose, an approximation of the variance of the model-averaged estimator, as proposed by Burnham and Anderson, can be used. However, this is a conservative method, often resulting in unrealistically low safe doses. Therefore, a bootstrap-based method to more accurately estimate the variance of the model averaged parameter is proposed.     

Model Averaging Using the Kullback Information Criterion in Estimating Effective Doses for Microbial Infection and Illness

Since the National Food Safety Initiative of 1997, risk assessment has been an important issue in food safety areas. Microbial risk assessment is a systematic process for describing and quantifying a potential to cause adverse health effects associated with exposure to microorganisms. Various dose-response models for estimating microbial risks have been investigated. We have considered four two-parameter models and four three-parameter models in order to evaluate variability among the models for microbial risk assessment using infectivity and illness data from studies with human volunteers exposed to a variety of microbial pathogens. Model variability is measured in terms of estimated ED01s and ED10s, with the view that these effective dose levels correspond to the lower and upper limits of the 1% to 10% risk range generally recommended for establishing benchmark doses in risk assessment. Parameters of the statistical models are estimated using the maximum likelihood method. In this article a weighted average of effective dose estimates from eight two- and three-parameter dose-response models, with weights determined by the Kullback information criterion, is proposed to address model uncertainties in microbial risk assessment. The proposed procedures for incorporating model uncertainties and making inferences are illustrated with human infection/illness dose-response data sets.     

Characterizing the Risk of Infection from Mycobacterium tuberculosis in Commercial Passenger Aircraft Using Quantitative Microbial Risk Assessment

Quantitative microbial risk assessment was used to predict the likelihood and spatial organization of Mycobacterium tuberculosis ( Mtb ) transmission in a commercial aircraft. Passenger exposure was predicted via a multizone Markov model in four scenarios: seated or moving infectious passengers and with or without filtration of recirculated cabin air. The traditional exponential ( k  = 1) and a new exponential ( k  = 0.0218) dose-response function were used to compute infection risk. Emission variability was included by Monte Carlo simulation. Infection risks were higher nearer and aft of the source; steady state airborne concentration levels were not attained. Expected incidence was low to moderate, with the central 95% ranging from 10⁻⁶ to 10⁻¹ per 169 passengers in the four scenarios. Emission rates used were low compared to measurements from active TB patients in wards, thus a "superspreader" emitting 44 quanta/h could produce 6.2 cases or more under these scenarios. Use of respiratory protection by the infectious source and/or susceptible passengers reduced infection incidence up to one order of magnitude.     

A Quantitative Microbial Risk Assessment Model for Legionnaires'' Disease: Animal Model Selection and Dose-Response Modeling

Legionnaires' disease (LD), first reported in 1976, is an atypical pneumonia caused by bacteria of the genus Legionella, and most frequently by L. pneumophila (Lp). Subsequent research on exposure to the organism employed various animal models, and with quantitative microbial risk assessment (QMRA) techniques, the animal model data may provide insights on human dose-response for LD. This article focuses on the rationale for selection of the guinea pig model, comparison of the dose-response model results, comparison of projected low-dose responses for guinea pigs, and risk estimates for humans. Based on both in vivo and in vitro comparisons, the guinea pig (Cavia porcellus) dose-response data were selected for modeling human risk. We completed dose-response modeling for the beta-Poisson (approximate and exact), exponential, probit, logistic, and Weibull models for Lp inhalation, mortality, and infection (end point elevated body temperature) in guinea pigs. For mechanistic reasons, including low-dose exposure probability, further work on human risk estimates for LD employed the exponential and beta-Poisson models. With an exposure of 10 colony-forming units (CFU) (retained dose), the QMRA model predicted a mild infection risk of 0.4 (as evaluated by seroprevalence) and a clinical severity LD case (e.g., hospitalization and supportive care) risk of 0.0009. The calculated rates based on estimated human exposures for outbreaks used for the QMRA model validation are within an order of magnitude of the reported LD rates. These validation results suggest the LD QMRA animal model selection, dose-response modeling, and extension to human risk projections were appropriate.     

Exploring the Uncertainties in Cancer Risk Assessment Using the Integrated Probabilistic Risk Assessment (IPRA) Approach

Current methods for cancer risk assessment result in single values, without any quantitative information on the uncertainties in these values. Therefore, single risk values could easily be overinterpreted. In this study, we discuss a full probabilistic cancer risk assessment approach in which all the generally recognized uncertainties in both exposure and hazard assessment are quantitatively characterized and probabilistically evaluated, resulting in a confidence interval for the final risk estimate. The methodology is applied to three example chemicals (aflatoxin, N‐nitrosodimethylamine, and methyleugenol). These examples illustrate that the uncertainty in a cancer risk estimate may be huge, making single value estimates of cancer risk meaningless. Further, a risk based on linear extrapolation tends to be lower than the upper 95% confidence limit of a probabilistic risk estimate, and in that sense it is not conservative. Our conceptual analysis showed that there are two possible basic approaches for cancer risk assessment, depending on the interpretation of the dose‐incidence data measured in animals. However, it remains unclear which of the two interpretations is the more adequate one, adding an additional uncertainty to the already huge confidence intervals for cancer risk estimates.     

Sensitivity Analysis of a Two-Dimensional Probabilistic Risk Assessment Model Using Analysis of Variance

This article demonstrates application of sensitivity analysis to risk assessment models with two-dimensional probabilistic frameworks that distinguish between variability and uncertainty. A microbial food safety process risk (MFSPR) model is used as a test bed. The process of identifying key controllable inputs and key sources of uncertainty using sensitivity analysis is challenged by typical characteristics of MFSPR models such as nonlinearity, thresholds, interactions, and categorical inputs. Among many available sensitivity analysis methods, analysis of variance (ANOVA) is evaluated in comparison to commonly used methods based on correlation coefficients. In a two-dimensional risk model, the identification of key controllable inputs that can be prioritized with respect to risk management is confounded by uncertainty. However, as shown here, ANOVA provided robust insights regarding controllable inputs most likely to lead to effective risk reduction despite uncertainty. ANOVA appropriately selected the top six important inputs, while correlation-based methods provided misleading insights. Bootstrap simulation is used to quantify uncertainty in ranks of inputs due to sampling error. For the selected sample size, differences in F values of 60% or more were associated with clear differences in rank order between inputs. Sensitivity analysis results identified inputs related to the storage of ground beef servings at home as the most important. Risk management recommendations are suggested in the form of a consumer advisory for better handling and storage practices.     

Use of Mechanistic Models to Estimate Low-Dose Cancer Risks

The utility of mechanistic models of cancer for predicting cancer risks at low doses is examined. Based upon a general approximation to the dose-response that is valid at low doses, it is shown that at low doses the dose-response predicted by a mechanistic model is a linear combination of the dose-responses for each of the physiological parameters in the model that are affected by exposure. This demonstrates that, unless the mechanistic model provides a theoretical basis for determining the dose-responses for these parameters, the extrapolation of risks to low doses using a mechanistic model is basically "curve fitting," just as is the case when extrapolating using statistical models. This suggests that experiments to generate data for use in mechanistic models should emphasize measuring the dose-response for dose-related parameters as accurately as possible and at the lowest feasible doses.     

Time-Dose-Response Models for Microbial Risk Assessment

While microbial risk assessment (MRA) has been used for over 25 years, traditional dose-response analysis has only predicted the overall risk of adverse consequences from exposure to a given dose. An important issue for consequence assessment from bioterrorist and other microbiological exposure is the distribution of cases over time due to the initial exposure. In this study, the classical exponential and beta-Poisson dose-response models were modified to include exponential-power dependency of time post inoculation (TPI) or its simplified form, exponential-reciprocal dependency of TPI, to quantify the time of onset of an effect presumably associated with the kinetics of in vivo bacterial growth. Using the maximum likelihood estimation approach, the resulting time-dose-response models were found capable of providing statistically acceptable fits to all tested pooled animal survival dose-response data. These new models can consequently describe the development of animal infectious response over time and represent observed responses fairly accurately. This is the first study showing that a time-dose-response model can be developed for describing infections initiated by various pathogens. It provides an advanced approach for future MRA frameworks.     

Estimating Listeria monocytogenes Growth in Ready-to-Eat Chicken Salad Using a Challenge Test for Quantitative Microbial Risk Assessment

Currently, there is a growing preference for convenience food products, such as ready-to-eat (RTE) foods, associated with long refrigerated shelf-lives, not requiring a heat treatment prior to consumption. Because Listeria monocytogenes is able to grow at refrigeration temperatures, inconsistent temperatures during production, distribution, and at consumer's household may allow for the pathogen to thrive, reaching unsafe limits. L. monocytogenes is the causative agent of listeriosis, a rare but severe human illness, with high fatality rates, transmitted almost exclusively by food consumption. With the aim of assessing the quantitative microbial risk of L. monocytogenes in RTE chicken salads, a challenge test was performed. Salads were inoculated with a three-strain mixture of cold-adapted L. monocytogenes and stored at 4, 12, and 16 °C for eight days. Results revealed that the salad was able to support L. monocytogenes’ growth, even at refrigeration temperatures. The Baranyi primary model was fitted to microbiological data to estimate the pathogen's growth kinetic parameters. Temperature effect on the maximum specific growth rate (μ_max) was modeled using a square-root-type model. Storage temperature significantly influenced μ_max of L. monocytogenes (p < 0.05). These predicted growth models for L. monocytogenes were subsequently used to develop a quantitative microbial risk assessment, estimating a median number of 0.00008726 listeriosis cases per year linked to the consumption of these RTE salads. Sensitivity analysis considering different time–temperature scenarios indicated a very low median risk per portion (<−7 log), even if the assessed RTE chicken salad was kept in abuse storage conditions.     

Heterogeneity: A Major Factor Influencing Microbial Exposure and Risk Assessment

Microbial risk assessment is dependent on several biological and environmental factors that affect both the exposure characteristics to the biological agents and the mechanisms of pathogenicity involved in the pathogen‐host relationship. Many exposure assessment studies still focus on the location parameters of the probability distribution representing the concentration of the pathogens and/or toxin. However, the mean or median by themselves are insufficient to evaluate the adverse effects that are associated with a given level of exposure. Therefore, the effects on the risk of disease of a number of factors, including the shape parameters characterizing the distribution patterns of the pathogen in their environment, were investigated. The statistical models, which were developed to provide a better understanding of the factors influencing the risk, highlight the role of heterogeneity and its consequences on the commonly used risk assessment paradigm. Indeed, the heterogeneity characterizing the spatial and temporal distribution of the pathogen and/or the toxin contained in the water or food consumed is shown to be a major factor that may influence the magnitude of the risk dramatically. In general, the risk diminishes with higher levels of heterogeneity. This scheme is totally inverted in the presence of a threshold in the dose‐response relationship, since heterogeneity will then have a tremendous impact, namely, by magnifying the risk when the mean concentration of pathogens is below the threshold. Moreover, the approach of this article may be useful for risk ranking analysis, regarding different exposure conditions, and may also lead to improved water and food quality guidelines.     

Generic Assessment Endpoints Are Needed for Ecological Risk Assessment

This article presents arguments for the development of generic assessment endpoints for ecological risk assessment. Generic assessment endpoints would be ecological entities and attributes that are assumed to be worthy of protection in most contexts. The existence of generic assessment endpoints would neither create a requirement that they be used in every assessment nor preclude the use of other assessment endpoints. They would simply be a starting point in the process of identifying the assessment endpoints for a particular assessment. They are needed to meet legal mandates, to provide a floor for environmental degradation, to provide some consistency in environmental regulation, as exemplars for site- or project-specific assessment endpoints, to allow development of methods and models, to give risk managers the courage to act, for screening and site-independent assessments, to support environmental monitoring, to facilitate communication, and to avoid paralysis by analysis. Generic assessment endpoints should include not only a list of entities and attributes, but also explanations of each endpoint, guidance on their use and interpretation, and measures and models that could be used to estimate them.     

Quantifying Uncertainty in a Risk Assessment Using Human Data

A call for risk assessment approaches that better characterize and quantify uncertainty has been made by the scientific and regulatory community. This paper responds to that call by demonstrating a distributional approach that draws upon human data to derive potency estimates and to identify and quantify important sources of uncertainty. The approach is rooted in the science of decision analysis and employs an influence diagram, a decision tree, probabilistic weights, and a distribution of point estimates of carcinogenic potency. Its results estimate the likelihood of different carcinogenic risks (potencies) for a chemical under a specific scenario. For this exercise, human data on formaldehyde were employed to demonstrate the approach. Sensitivity analyses were performed to determine the relative impact of specific levels and alternatives on the potency distribution. The resulting potency estimates are compared with the results of an exercise using animal data on formaldehyde. The paper demonstrates that distributional risk assessment is readily adapted to situations in which epidemiologic data serve as the basis for potency estimates. Strengths and weaknesses of the distributional approach are discussed. Areas for further application and research are recommended.     

A Risk Assessment Model for Campylobacter in Broiler Meat

A quantitative microbiological risk assessment model describes the transmission of Campylobacter through the broiler meat production chain and at home, from entering the processing plant until consumption of a chicken breast fillet meal. The exposure model is linked to a dose-response model to allow estimation of the incidence of human campylobacteriosis. The ultimate objective of the model is to serve as a tool to assess the effects of interventions to reduce campylobacteriosis in the Netherlands. The model describes some basic mechanistics of processing, including the nonlinear effects of cross-contamination between carcasses and their leaking feces. Model input is based on the output of an accompanying farm model and Dutch count data of Campylobacters on the birds' exterior and in the feces. When processing data are lacking, expert judgment is used for model parameter estimation. The model shows that to accurately assess of the effects of interventions, numbers of Campylobacter have to be explicitly incorporated in the model in addition to the prevalence of contamination. Also, as count data usually vary by several orders of magnitude, variability in numbers within and especially between flocks has to be accounted for. Flocks with high concentrations of Campylobacter in the feces that leak from the carcasses during industrial processing seem to have a dominant impact on the human incidence. The uncertainty in the final risk estimate is large, due to a large uncertainty at several stages of the chain. Among others, more quantitative count data at several stages of the production chain are needed to decrease this uncertainty. However, this uncertainty is smaller when relative risks of interventions are calculated with the model. Hence, the model can be effectively used by risk management in deciding on strategies to reduce human campylobacteriosis.     

Steady-State Solutions to PBPK Models and Their Applications to Risk Assessment I: Route-to-Route Extrapolation of Volatile Chemicals

Although analysis of in vivo pharmacokinetic data necessitates use of time-dependent physiologically-based pharmacokinetic (PBPK) models, risk assessment applications are often driven primarily by steady-state and/or integrated (e.g., AUC) dosimetry. To that end, we present an analysis of steady-state solutions to a PBPK model for a generic volatile chemical metabolized in the liver. We derive an equivalent model that is much simpler and contains many fewer parameters than the full PBPK model. The state of the system can be specified by two state variables-the rate of metabolism and the rate of clearance by exhalation. For a given oral dose rate or inhalation exposure concentration, the system state only depends on the blood-air partition coefficient, metabolic constants, and the rates of blood flow to the liver and of alveolar ventilation. At exposures where metabolism is close to linear, only the effective first-order metabolic rate is needed. Furthermore, in this case, the relationship between cumulative exposure and average internal dose (e.g., AUCs) remains the same for time-varying exposures. We apply our analysis to oral-inhalation route extrapolation, showing that for any dose metric, route equivalence only depends on the parameters that determine the system state. Even if the appropriate dose metric is unknown, bounds can be placed on the route-to-route equivalence with very limited data. We illustrate this analysis by showing that it reproduces exactly the PBPK-model-based route-to-route extrapolation in EPA's 2000 risk assessment for vinyl chloride. Overall, we find that in many cases, steady-state solutions exactly reproduce or closely approximate the solutions using the full PBPK model, while being substantially more transparent. Subsequent work will examine the utility of steady-state solutions for analyzing cross-species extrapolation and intraspecies variability.     

Risk Assessment for Aflatoxin: An Evaluation Based on the Multistage Model

Lifetime cancer potency of alfatoxin was assessed based on the Yeh et al. study from China in which both aflatoxin exposure and hepatitis B prevalence were measured. This study provides the best available information for estimating the carcinogenic risk posed by aflatoxin to the U.S. population. Cancer potency of aflatoxin was estimated using a biologically motivated risk assessment model. The best estimate of aflatoxin potency was 9 (mg/kg/day)⁻¹ for individuals negative for hepatitis B and 230 (mg/kg/day)⁻¹ for individuals positive for hepatitis B.     

Physiologically Based Liver Modeling and Risk Assessment

Because of the inherent complexity of biological systems, there is often a choice between a number of apparently equally applicable physiologically based models to describe uptake and metabolism processes in toxicology or risk assessment. These models may fit the particular data sets of interest equally well, but may give quite different parameter estimates or predictions under different (extrapolated) conditions. Such competing models can be discriminated by a number of methods, including potential refutation by means of strategic experiments, and their ability to suitably incorporate all relevant physiological processes. For illustration, three currently used models for steady-state hepatic elimination--the venous equilibration model, the parallel tube model, and the distributed sinusoidal perfusion model--are reviewed and compared with particular reference to their application in the area of risk assessment. The ability of each of the models to describe and incorporate such physiological processes as protein binding, precursor-metabolite relations and hepatic zones of elimination, capillary recruitment, capillary heterogeneity, and intrahepatic shunting is discussed. Differences between the models in hepatic parameter estimation, extrapolation to different conditions, and interspecies scaling are discussed, and criteria for choosing one model over the others are presented. In this case, the distributed model provides the most general framework for describing physiological processes taking place in the liver, and has so far not been experimentally refuted, as have the other two models. These simpler models may, however, provide useful bounds on parameter estimates and on extrapolations and risk assessments.     

Comparison of Sensitivity Analysis Methods Based on Applications to a Food Safety Risk Assessment Model

Sensitivity analysis (SA) methods are a valuable tool for identifying critical control points (CCPs), which is one of the important steps in the hazard analysis and CCP approach that is used to ensure safe food. There are many SA methods used across various disciplines. Furthermore, food safety process risk models pose challenges because they often are highly nonlinear, contain thresholds, and have discrete inputs. Therefore, it is useful to compare and evaluate SA methods based upon applications to an example food safety risk model. Ten SA methods were applied to a draft Vibrio parahaemolyticus (Vp) risk assessment model developed by the Food and Drug Administration. The model was modified so that all inputs were independent. Rankings of key inputs from different methods were compared. Inputs such as water temperature, number of oysters per meal, and the distributional assumption for the unrefrigerated time were the most important inputs, whereas time on water, fraction of pathogenic Vp, and the distributional assumption for the weight of oysters were the least important inputs. Most of the methods gave a similar ranking of key inputs even though the methods differed in terms of being graphical, mathematical, or statistical, accounting for individual effects or joint effect of inputs, and being model dependent or model independent. A key recommendation is that methods be further compared by application on different and more complex food safety models. Model independent methods, such as ANOVA, mutual information index, and scatter plots, are expected to be more robust than others evaluated.     

Topics in Microbial Risk Assessment: Dynamic Flow Tree Process

Microbial risk assessment is emerging as a new discipline in risk assessment. A systematic approach to microbial risk assessment is presented that employs data analysis for developing parsimonious models and accounts formally for the variability and uncertainty of model inputs using analysis of variance and Monte Carlo simulation. The purpose of the paper is to raise and examine issues in conducting microbial risk assessments. The enteric pathogen Escherichia coli O157:H7 was selected as an example for this study due to its significance to public health. The framework for our work is consistent with the risk assessment components described by the National Research Council in 1983 (hazard identification; exposure assessment; dose-response assessment; and risk characterization). Exposure assessment focuses on hamburgers, cooked a range of temperatures from rare to well done, the latter typical for fast food restaurants. Features of the model include predictive microbiology components that account for random stochastic growth and death of organisms in hamburger. For dose-response modeling, Shigella data from human feeding studies were used as a surrogate for E. coli O157:H7. Risks were calculated using a threshold model and an alternative nonthreshold model. The 95% probability intervals for risk of illness for product cooked to a given internal temperature spanned five orders of magnitude for these models. The existence of even a small threshold has a dramatic impact on the estimated risk.     

Modeling Logistic Performance in Quantitative Microbial Risk Assessment

In quantitative microbial risk assessment (QMRA), food safety in the food chain is modeled and simulated. In general, prevalences, concentrations, and numbers of microorganisms in media are investigated in the different steps from farm to fork. The underlying rates and conditions (such as storage times, temperatures, gas conditions, and their distributions) are determined. However, the logistic chain with its queues (storages, shelves) and mechanisms for ordering products is usually not taken into account. As a consequence, storage times—mutually dependent in successive steps in the chain—cannot be described adequately. This may have a great impact on the tails of risk distributions. Because food safety risks are generally very small, it is crucial to model the tails of (underlying) distributions as accurately as possible. Logistic performance can be modeled by describing the underlying planning and scheduling mechanisms in discrete-event modeling. This is common practice in operations research, specifically in supply chain management. In this article, we present the application of discrete-event modeling in the context of a QMRA for  Listeria monocytogenes  in fresh-cut iceberg lettuce. We show the potential value of discrete-event modeling in QMRA by calculating logistic interventions (modifications in the logistic chain) and determining their significance with respect to food safety.     

Ecological Risk Assessment Conceptual Model Formulation for Nonindigenous Species

This article addresses the application of ecological risk assessment at the regional scale to the prediction of impacts due to invasive or nonindigenous species (NIS). The first section describes risk assessment, the decision-making process, and introduces regional risk assessment. A general conceptual model for the risk assessment of NIS is then presented based upon the regional risk assessment approach. Two diverse examples of the application of this approach are presented. The first example is based upon the dynamics of introduced plasmids into bacteria populations. The second example is the application risk assessment approach to the invasion of a coastal marine site of Cherry Point, Washington, USA by the European green crab. The lessons learned from the two examples demonstrate that assessment of the risks of invasion of NIS will have to incorporate not only the characteristics of the invasive species, but also the other stresses and impacts affecting the region of interest.