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A Comparative Study of Air Quality Index Based on Factor Analysis and US-
EPA Methods for an Urban Environment

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

A Comparative Study of Air Quality Index Based on Factor Analysis

and US-EPA Methods for an Urban Environment

Biswanath Bishoi1*, Amit Prakash2, V.K. Jain2

1
Department of Applied Sciences, G. L. Bajaj Institute of Technology & Management, Plot No.2,
Knowledge Park-III, Greater Noida, UP-201 306, India
2
School of Environmental Sciences, Jawaharlal Nehru University, New Delhi- 110 067, India

Abstract

There are many different air quality indexes, which represent the global urban air pollution situation.
Although the index proposed by USEPA gives an overall assessment of air quality, it does not include
the combined effects (or synergistic effects) of the major air pollutants (Shenfeld, 1970; Ott and Thom,
1976; Thom and Ott, 1976; Murena, 2004). So an attempt is made to calculate the Air Quality Index
based on Factor Analysis (NAQI) which incorporates the deficiencies of USEPA method. The daily,
monthly and seasonal air quality indexes were calculated by using both these methods. It is observed
that a significant difference exists between NAQI and EPAQI. However, NAQI followed the trends of
EPAQI when plotted against time. Further, the indexes were used to rank various seasons in terms of
air pollution. The higher index value indicates more pollution in relative terms. Moreover, the index
may be used for comparing the daily and seasonal pollution levels in different sites.

Keywords: Eclipsing effect; Maximum operator concept (MOC); Principal component analysis (PCA);
Variance, Ranking.

INTRODUCTION data on concentration of each air pollutant

(e.g., SPM, CO, NOx, SO2, etc.) in different
Air pollution is a well-known parts of the world. The large data often do not
environmental problem associated with urban convey the air quality status to the scientific
areas around the world. Various monitoring community, government officials, policy
programmes have been undertaken to know makers, and in particular to the general public
the quality of air by generating vast amount of in a simple and straightforward manner. This
problem is addressed by determining the Air
*
Corresponding author. Tel: 91-120-3298515; Quality Index (AQI) of a given area. AQI,
Fax: 91-120-2323817 which is also known as Air Pollution Index
E-mail address:[email protected] (API) (Shenfeld, 1970; Ott and Thom, 1976;

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

Thom and Ott, 1976; Murena, 2004) or pollutants: PM10, O3, SO2, CO and NO2 (EPA,
Pollutant Standards Index (PSI) (Ott and Hunt, 1997; EPA, 1999). Lohani (1984) applied
1976; EPA, 1994), has been developed and factor analysis approach to find environmental
disseminated by many agencies in U.S. index for Taiwan. Here, he compared the air
Canada, Europe, Australia, China, Indonesia, quality index based on factor analysis method
Taiwan, etc (Cairncross et al., 2007; Cheng et and Pindex method. The ratings (or trends)
al., 2007). obtained by both these methods are exactly
An “Air Quality Index” may be defined as a same, but the AQI based on factor analysis
single number for reporting the air quality shows a wider range which indicates that it is
with respect to its effects on the human health a better approach. Bezuglaya et al. (1993)
(Thom and Ott, 1976; Bortnick et al., 2002; developed an integral air pollution index
Murena, 2004). In most elaborate form, it (IAPI), which is the sum of individual air
combines many pollutants concentrations in pollution indexes calculated by normalising
some mathematical expression to arrive at a the pollution concentrations to maximum
single number for air quality. permissible concentration (MPC). Since the
AQI is an integral part of the Environmental main objective of AQI is to measure the air
Quality Index (EQI), which was developed quality in relation to its impact on human
and used by National Wildlife Federation of health, the Environmental Protection Agency
U.S. in late 1960s (Inhaber, 1976). In 1971 the (EPA) of U.S. revised the previous method to
EQI, with a numerical index scale from 0 to calculate daily AQI in 1999. The EPA method
100 (0 for complete environmental is based on concentrations of five criteria
degradation and 100 for perfect environmental pollutants: carbon monoxide (CO), nitrogen
conditions), had seven components: soil, water, dioxide (NO2), ozone (O3), particulate matter
air, living space, minerals, timber and wildlife. (PM) and sulphur dioxide (SO2). The
Inhaber (1975) had suggested a set of air concentration values are converted into
quality indexes for Canada. These indexes numerical indexes. The overall AQI is
were Index of specific pollutants (e.g., SO2, calculated by considering the maximum AQI
SPM, CO, total oxidants, NOx, and coefficient among the monitored pollutants corresponding
of haze); Index of Inter-Urban air quality to a site or station. The scale of the index (0-
(considering the visibility readings at airports) 500) is subdivided into six categories that are
and index of industrial emissions (by taking associated with various health messages.
the total emission and population of the area). Cheng et al. (2004) proposed a revised EPA
In 1976 the USEPA established PSI which air quality index (RAQI) by introducing an
rated air quality from 0-500 with 100 equal to entropy function to include effect of the
National Ambient Air Quality Standards concentrations of the rest of pollutants other
(NAAQS). The daily PSI is determined by the than the pollutant with maximum AQI.
highest value of one of the five main air Further the application of RAQI in Taiwan has

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showed that the suspended particulates have any of the sub-indexes to define the overall
significantly greater impact on PM2.5/PM10 AQI. This method has the following
ratio in southern parts than central and limitations. First, it discards the values of the
northern area; and these ratios are higher as a other sub-indexes and the harmful levels
whole compared to many other countries associated with other pollutants (Radojevic
(Cheng et al., 2007). Other prominent studies and Hassan, 1999). Second, the index does not
related to various aspects of air quality indexes include the additive or synergistic effects of
are those of Kassomenos et al. (1999), pollutants together on the human health. In
Malakos and Wong (1999), Swamee and addition to the above limitations, the other
Tyagi (1999), Trozzi et al. (1999), Khanna drawbacks pertaining to the EPA method are,
(2000), Cogliani (2001), Bortnick et al. (2002), first, the break points for calculating the index
Murena (2004), Jiang et al. (2004), Longhurst value for NO2 concentrations less than 0.65
(2005), Landulfo et al. (2007), Mayer and ppm is not defined. This deficiency is also
Kalberlah (2008), and Elshout et al. (2008). associated with tropospheric ozone
In Indian context, the studies on AQIs have concentrations. Second, the sub-index
been carried out for the city of Mumbai describes the pollution level of the pollutant
(Sharma, 1999), Delhi (Sengupta et al., 2000) on an ordinal scale. This same scale is used for
and Kanpur (Sharma et al., 2003). The finding the aggregate index. So the severity of
mathematical functions for calculating these the pollution level described by the aggregate
indexes are based on health criteria of the EPA index is not linear. Third, a greater part of the
and Indian air quality standards. In the same world is not able to adopt AQI system mainly
study, Sengupta et al. (2000) examined the because the lack of PM2.5 measurement
Oak Ridge Air Quality Index (ORAQI) based capability (Cheng et al., 2007). To address the
on additive function of sub-indexes for Delhi. above shortcomings, we propose an AQI
But it was found that this index suffered from based on simple statistical approach.
eclipsing effect, i.e., when one pollutant Therefore, an attempt has been made to
exceeds its standard without the index calculate a New Air Quality Index (NAQI)
exceeding its critical value (Thom and Ott, which is based on the factor analysis technique
1976). Further, it was observed that on more assisted by principal component analysis
than 90 percent of time the index estimated (PCA). The details of materials and methods,
that the air quality falls under acceptable limits results and discussion, and conclusions are
though the air quality standard for some given in the subsequent sections.
pollutants was violated. The maximum
operator concept (MOC), which is generally MATERIALS AND METHODS
used by EPA of U.S. to calculate EPAQI, is
suggested to overcome this problem. The Sampling of Air Pollutants
MOC only considers the maximum value of The sampling site in the present study was

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

at Jawaharlal Nehru University (JNU) Campus, Monsoon months (July-September) and Post-
an area situated in south of Delhi (Fig. 1). This Monsoon months (October-November). The
site is sandwiched between the natural criteria pollutants namely NO2, O3, PM10, CO
vegetation of JNU and a major road carrying and SO2 have been considered for determining
vehicular traffic. The daily traffic density is the two indexes for Delhi, namely, NAQI and
moderate to high with peak periods found the air quality index based on EPA method
during morning and evening hours. Delhi, the hereinafter called EPAQI.
capital city of India, with a population of 13.8 The data of the above pollutants were
million in 2001 (Goyal and Sidhartha, 2003; recorded continuously at an interval of one-
India, 2006) and having approximately 3.5 hour for a period of 24-hours on one random
million vehicles, is widely known to be one of day in each month during the period
the most polluted cities of the world. The September 2003 – June 2004 using electronic
climate of Delhi can be divided into four air pollution analysers fitted in the mobile air
seasons as per the classification given by pollution laboratory. The analysers are NOx
Indian Meteorological Department Analyser (ML 9841B, Monitor Labs, USA),
(NAAQMS, 2001). The four seasons are Ozone Analyser (ML9810B, Monitor Labs,
winter months (December- March), pre- USA), Ambient particulate monitor for PM10
monsoon or summer months (April-June), (TEOM series-1400a, Rupprecht and

Fig. 1. Map of the study area.

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

Patashnick Co. Inc., USA), Carbon Monoxide- An Improved New AQI by Factor Analysis
Analyser (ML-9830, Monitor Europe, Europe) (NAQI)
and Sulphur Dioxide Analyser (ML-9850, In Factor analysis, we have used the
Monitor Europe, Europe). technique of Principal Component Analysis
(PCA). The basic purpose of PCA is to
AQI by Using EPA Method (EPAQI) account for the total variation among the ‘n’
The AQI measures daily pollution index of number of subjects (variables) in p-
the pollutants for which EPA has established dimensional space by forming a new set of
National Ambient Air Quality Standards orthogonal and uncorrelated composite
(NAAQS). The index combines the NAAQS variates. Each member of the new set of
with an epidemiological function to determine variates is a linear combination of the original
a descriptor of human health effects due to set of measurements (Henry and Hidy, 1979;
short-term exposure (24 hour or less) to each Lioy et al., 1989). The linear combinations are
pollutant (EPA, 1994, 1997). The index for a generated in such a manner that each of the
pollutant is calculated using the mathematical successive composite variates will account for
expression (EPA, 1999): a smaller portion of the total variation. The
first composite (principal component) will
I H i − I LO have the largest variance, the second will have
IP = (C P −BP LO ) + I LO (1)
BP H i − BP LO a variance smaller than the first but larger than
the third, and so on. If first few principal
Where, IP = the index value for pollutant, P; components (or, eigenvector-eigenvalue pairs)
CP = the truncated concentration of pollutant, account for more than 60% of the total
P; BPHi = the breakpoint that is ≥ CP; BPLO = variance, then there is hardly any requirement
the breakpoint that is ≤ CP; IHi = the AQI value in taking more principal components (PCs)
corresponding to BPHi, ILO = the AQI value (Harman, 1968; Johnston, 1978; Dunteman,
corresponding to BPLO. 1994) to compute the composite (overall) Air
The indexes for each of the pollutants NO2, Quality Index. The higher order PCs explain
O3, PM10, CO and SO2 were obtained from Eq. only minimal amounts of total variance and
(1) using their respective break points and are, therefore, treated as noise (Johnston, 1978;
associated AQI values (EPA, 1999). Having Dunteman, 1994; Kim and Mueller, 1994;
calculated Ip of each pollutant, the EPAQI is Srivastava et al., 2008).
evaluated by considering the maximum index The method of principal components (PCs)
value (Ip) of the single pollutant. can be applied by using the original values of
Mathematically, it is expressed as EPAQI = variables (Xj’s) (where j = 1, 2, 3, …, n) or
Max (Ip). their deviation from their means (xj = Xj -
_
X j ) , or the standardized variables; Z j = x j
Sj

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

where Sj is the standard deviation (Harman, cumulative variance is more than 60%; Eis, i.e.,
1968; Johnston, 1978; Kim and Mueller, 1994; E1, E2, E3 are the initial eigen-values (≥ 1)
Koutsoyiannis, 2001). with respect to the ‘percentage of variance’.
In our analysis, we have used raw data Xj’s
(j = 1, 2, 3, …., n). In the principal component RESULTS AND DISCUSSION
model, Xj is expressed as a linear combination
of the principal component as Using the data of one-hour average
concentration of each pollutant, NAQI and
n EPAQI have been determined. While
Xj = ∑a
i =1
ji Pi
(2)
computing the NAQI by PCA method, we
have retained components with eigenvalue ≥
1.0 and accounting for more than 60 % of
Where, j = 1, 2, …, n; Pi is the ith principal
variance. The components with eigenvalue <
component; aji is the factor loading of the jth
1.0 explain less variance and hence discarded
variable on the ith principal component.
(Johnston, 1978; Kim and Mueller, 1994). The
Basically the factor loading is the jth
results of PCA were obtained by using SPSS
component of the ith eigen-vector of the
10.0 software and the NAQI was calculated by
correlation matrix multiplied by the square
using Eq. (4).
root of the corresponding eigen-value. The
principal components (Lohani, 1984) are
Seasonal Variation of NAQI and EPAQI
given by,
The variations of NAQI and EPAQI with
n respect to (w.r.t.) time (hours of the day) are

∑
a ji X j (3)
Pi = depicted in the Figs. 2-11. A perusal of these
λi graphs reveals that NAQI follows almost a
j =1
similar trend as EPAQI for all the months. For
Where λ i is the eigen-value associated with Pi. characterising the air quality based on EPAQI
After obtaining the principal components during the days of various seasons, frequency
(PCs), the New Air Quality Index (NAQI) is of its occurrence in a given index interval is
computed using the expression given below: determined. The percentage durations of
different categories of air quality are presented
n in Table 1.
∑ ( Pi E i )
i =1
NAQI = (4) Seasonal Variation of EPAQI
n
∑ Ei It is clearly seen from Table 1 and Figs. 2-
i =1
11 that for major part of the day, the air
quality remains ‘unhealthy’ if not worse in all
Where, n = 3; Pis, i.e., P1, P2, P3 are the three
the seasons with the exception of monsoon
principal components for which the

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

Fig. 2. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 24. 09. 03.

Fig. 3. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 21. 10. 03.

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

Fig. 4. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 24. 11. 03.

Fig. 5. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 28.12.03.

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

Fig. 6. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 12. 01. 04.

Fig. 7. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 20. 02. 04.

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

Fig. 8. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 03. 03. 04.

Fig. 9. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 22. 04. 04.

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

Fig. 10. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 12. 05. 04.

Fig. 11. Variation of NAQI and EPAQI w. r. t. Time (hours of the day) on 21. 06. 04.

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Table 1. Frequency of occurrence of Air Quality categories during the day in different seasons
Frequency of occurrences during the day (in %)
Air Quality Categories EPAQI values
Monsoon Post monsoon Winter Summer
Good to moderate 0-100 68.75 17.62 9.8 2.08
Unhealthy 101-200 31.25 78.12 59.8 78.47
Very Unhealthy 201-400 00 5.20 27.0 18.75
Hazardous > 400 00 1.04 3.1 0.69

season. The frequency of occurrence of the in winter season (Varshney and Singh, 2002;
category ‘very unhealthy’ is also quite Kumar et al., 2008).
significant in the winter (27%) and summer
(~19%) seasons. It is quite revealing that in Summer Season and Monsoon Season
summer season the air quality category ‘good The high index values during the summer
to moderate’ does not exist for any significant months (Figs. 9-11) can be attributed to the
length of time (~2%) during the day. Not too frequent severe dust storms covering the
unexpectedly the monsoon season is atmosphere of Delhi in spite the fact that
associated with ‘good to moderate’ air quality during the summer season mixing height is at
for major part of the day (~69%). its maximum (PROBES, 2003). During
monsoon month of September, the NAQI is
Seasonal Variation of NAQI comparatively very low (Fig. 2) due to
Winter Season precipitation, high wind velocities and
The highest index values observed in winter changes in the general wind direction. The
season (Figs. 5-8) can be attributed first to the precipitation helps in wet deposition of
meteorological conditions prevailing in the pollutants. The changes in wind velocity and
north India and second to the low rate of reversal of its direction carry the pollutants
removal of gaseous pollutants. This region is away from sources as well as increase the
dominated by high pressure usually centred possibilities of dilution of concentration of
over western China causing increased pollutants also.
atmospheric stability. This condition allows
less general circulation and more stagnant air Post-monsoon season
masses (Padmanabha Murthy, 1984; Aneja et In the post-monsoon months (Figs. 3-4)
al., 2001). Further, the rate of chemical although the air quality is expressed to be
removal of gaseous pollutants (e.g. NO2, CO, relatively better compared to winter and
etc.) in the form of inorganic compounds such summer months there is an exception in the
as HNO3, H2CO3, etc is quite less due to the month of October (Table 2) which has a rather
low concentration of OH-radicals as the high value of NAQI (= 29.72). This is mainly
formation of OH-radicals depends on intensity on account of lighting of massive fireworks
of light which is generally moderate to weak during the two Hindu festivals namely

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Table 2. Comparison of average index values of EPAQI and NAQI over a month in different seasons
for Delhi
Monsoon Post-Monsoon Winter Summer Standard
Index
Sep. Oct. Nov. Dec. Jan. Feb. Mar. Apr. May June (CPCB)
Value 12.97 29.72 17.39 36.12 27.89 22.29 30.11 27.79 23.97 29.3 10.37
NAQI
Ranking 2 9 3 11 7 4 10 6 5 8 1
Value 88.0 173.0 112.0 216.0 165.32 136.0 176.0 165.3 144.0 171.0 73.0
EPAQI
Ranking 2 9 3 11 7 4 10 6 5 8 1

Dussehara and Deepawali (Attri et al.,2001; the hourly index values of these two indexes.
Kulshrestha et al., 2004) which happen to be These results (i.e. the average index values)
in month of October. for different seasons are summarised in Table
2. The values of two indexes for prescribed
Trends between NAQI and EPAQI standards of pollutants as per Central Pollution
A careful examination of the trends of the Control Board (CPCB) norms are also
EPAQI and NAQI reveals that the variation in mentioned in the last column of the Table 2.
NAQI closely follows that of EPAQI. Now the various months have been ranked in
Whereas, the magnitude of the values of the terms of NAQI with respect to the rank of
EPAQI is solely determined by the maximum standard NAQI (taken as 1). An examination
value of a sub index of a given pollutant, the of NAQI values indicates that the air quality is
value of NAQI takes into account the worst in winter months of December (rank 11
variances of concentrations in different and NAQI= 36.12) and March (rank 10 with
pollutants. In case, where a particular pollutant NAQI = 30.11) followed by summer months
is dominant (i.e., the concentration of the (April, May, June) and Post-monsoon
pollutant far exceeds the permissible standards) (October, November). Least value (= 12.97) of
and it also has large variances in its NAQI is observed for the monsoon month of
concentration values, both the indexes are September.
expected to have higher magnitudes. Since in
the present study the dominant pollutant is CONCLUSIONS
PM10, which is associated with large variances
in its concentration value, the trends of EPAQI The proposed index (NAQI) is basically an
and NAQI are not surprisingly similar. air stress index with no established standards,
i.e., the index would not show a pronounced
Rankings of Various Months w.r.t. Standard relation to the health of the people. Therefore,
NAQI it is not possible to characterise the air quality
The average values of NAQI and EPAQI associated with the values of NAQI and also
over a month have also been computed from to draw any definitive inferences about the

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 Bishoi et al., Aerosol and Air Quality Research, Vol. 9, No. 1, pp. 1-17, 2009

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