PVC plastic: a history of systems development and entrenchment

PVC plastic: a history of systems developmentand entrenchment

Karel Mulder, Marjolijn KnotFaculty of Technology, Policy and Management, Delft University of Technology, Jaffalaan 5, NL 2628 BX, Delft, The Netherlands [email protected]

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Abstract

PVC (polyvinyl chloride) is currently one of the most produced andused plastic materials, although its’ development has been far fromstraightforward. This paper describes how this material, from itsearly commercial production on until recently, has been subject tovarious criticisms concerning health and environmental hazards, butdespite and thanks to these criticisms became deeply entrenched insociety. Hughes’ systems approach proves useful to understand thishistory; various ways of how the PVC industry has been dealing withreverse salients are revealed. However, to understand theseprocesses, the systems approach has to be broadened with a network-oriented perspective. Outside influences on the system have to beaccounted for, as well as negotiation processes between different(sub) systems. Finally, the PVC history suggests that the dynamicsof the inter-system relations might be used for de-entrenchmentstrategies, by addressing higher system levels or overlappingsystems, or by stimulating the entrenchment of alternative (sub)systems.

Keywords: PVC, technological systems, entrenchment, controversy

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2 K. Mulder, M. Knot /Technology in Society XX (2000) XXX-XXX

In the past two decades, a central question of technology studies—what determines the speed and direction of technological change—hasled to new concepts that have been inspired by various academictraditions. One, Tom Hughes’ systems approach to technological change[1], explains the creation and evolution of technologies that requirelarge-scale integrated organizations, such as public transport andutilities. His concepts of “reverse salient” and “critical problem”are especially helpful in accounting for the direction and rate oftechnological change needed by such systems. Reverse salients are theareas of imbalance in the system, that are caused by the unevengrowth of the system’s components. Inventors, engineers and otherprofessionals dedicate their creative and constructive powers tocorrecting reverse salients1. Reverse salients are amorphouschallenges. Engineers and inventors transform them in a set ofcritical problems, i.e. problems that are believed to be solvable.The belief that a reverse salient might be corrected increasesdramatically by its articulation in a set of critical problems [1,(p. 15-16)].Hughes claims that his concepts are generally applicable. However,the difficulty of defining a system and its boundaries represents aflaw in his approach. Hughes addresses this problem by defining theboundaries of a system in terms of the power of a central actor thatcontrols the system [1 (p. 5)] such as utilities like the electricpower system.

In most free-market systems of industrial production, centralcontrol is virtually absent. This suggests the use of the networkconcept, inherently more flexible than the system concept because anetwork is in principle an open structure. In a network concept,independent actors create arrangements with others to help themachieve their own goals. The network enables actors to exert powerbut also makes an actor susceptible to the actions of others [2]. Thenetwork concept adequately describes these interactions. However, innetwork approaches the question arises: Where do the goals ofindividual actors come from? It is the main strength of the systemsconcept, as opposed to the network concept, that it defines eachactor’s roles within the system. Although Hughes emphasizes that hisconcepts are far from deterministic, voluntarism is largelyunimportant in his analysis of the evolution of systems.

Is Hughes’ systems theory applicable in industrial production thatinvolves independent corporations? Intercorporate networks of socialrelations are probably not sufficient to explain the concerted actionoften observed in industry. For example, in the production ofplastics, not only the social network (comprised of corporations,agencies, research institutions, and environmental organizations) butalso the physical system (the flow of raw materials to end customers

1 Some reverse salients might have a ‘slumbering’ existence, because there is no sense of urgency to restore the balance in the system. They might turn into a crisis if restoring the balance in the system becomes of existential importance [45]

K. Mulder, M. Knot / Technology in Society XX (2000) XXX-XXX 3

by way of specifically designed structures such as pipelines andtransport vehicles), is of great importance [3].

The network concept is especially productive at the micro levelwhen voluntaristic actions are curbed or facilitated by the actor’ssocial relations. The focus on voluntaristic actions divertsattention from the effects of structural and cultural changes thataffect the actors. These are precisely the issues we want to analyze.

We use Hughes’ framework to analyze the creation and growth of thepolyvinyl chloride (PVC) system to account for the entrenchment ofthis material in society [4]. We also explore flaws in the conceptwhich might be replaced with the network concept.

1. Plastics

Throughout history, there have been numerous attempts to createman-made materials with characteristics that better fit man’s wishes.For example, in 1665 Robert Hooke proposed to make

…. an artificial glutinous composition, much resembling, if notfull as good, nay better, than that Excrement, or whatever othersubstance it be out of which, the Silk-worm wire-draws his clew. Ifsuch a composition were found, it were certainly an easie matter tofind very quick ways of drawing it out into small wires for use[5].

However, such materials were never made. It was not until thesecond half of the 19th century that synthetic materials becamesomewhat more realistic. In 1862, Alexander Parkes of Birmingham,England, created a solvent that would dissolve gun cotton, callinghis ivory-like resin “Parkesine”. He began to mold this substanceinto other products, and soon found that it was especially suitablefor insulating telegraph wires [6]. The American John Wesley Hyattinvented celluloid in 1869, which was used to manufacture collars andcuffs [7]. However, these materials had many defects. They burnedeasily, were not waterproof, degraded in sunlight, and could not bemolded into useful shapes.

In the beginning of the twentieth century, many inventors weresearching for new materials. The new electric industry neededinsulating varnishes, which triggered many chemists to study variousorganic reactions. Leo Baekeland became the most famous of them. Heinvented a phenol-formaldehyde resin known as Bakelite and patentedit in 1907. Bakelite was an enormous success [8-10]. At that time,there was little scientific understanding of organic compounds, andinventors had no viable concept of the molecular structure ofmaterials with which they were working [11].

Fig. 1. Fritz


2. PVC

It is generally accepted that 1912 was theyear polyvinyl chloride (PVC) was discovered; infact, in the same year Klatte reported aproduction process for it. However, PVC wasactually in use more than a century earlier. In1795, four Dutchmen named Dieman, Trotswyck,Bondt, and Laurverenburgh prepared a substancethat was named after them “the oil of the Dutchchemists” (dichlorethane). The nature of thissubstance became the subject of a chemistrydebate: was it a simple combination of equal parts chlorine andethane, or was it a more complex compound? Several chemists beganworking on this issue, and in 1835 Henri Regnault produced a gasthat burned with a yellow flame with a green mantle (presumablyvinyl chloride, the basic material for making PVC). Regnault’sinterest in these substances was purely academic, and he carried outother experiments using bromine and iodine analogues [12].

In 1860, Hofmann observed that vinyl-bromide, a colorless liquid,changed into a white porcelain-like mass. This process was a mysteryto him, and he referred to it as a “metamorphosis”. In 1872, Baumann,elaborating on these results, became the first to make polyvinylchloride, a white milky precipitate made by putting tubes filled withvinyl chloride in direct sunlight. Like other chemists of the time,Baumann showed no interest in applying the new material [12,13].

2.1 Historic attempts

At the end of the nineteenth century, two important new branches ofindustry, acetylene and chlorine industry, were facing problems ofoverproduction. Chemists were looking for solutions, trying to finduseful chemical compounds that could be produced by using chlorineand/or acetylene. PVC was such a compound.

2.1.1 Acetylene In the beginning of the 1890s, an electrothermal process to produce

(calcium-) carbide was developed. This product was potentiallyuseful; when water was added to carbide, it produced acetylene gaswhich burned with a brilliant white light, and several entrepreneursbecame interested in using acetylene for lighting. In 1897, the Journalof Acetylene Lighting was launched. Expectations ran high: “Es mehren sich dieAnzeichen, daß das Acetylengas die Lichtquelle der Zukunft bilden dürfte” [14].

However, acetylene gas did not become an important illuminant dueto competition with coal gas and with electric lighting, whichcontinued to improve [12,15]. After 1900, however, the carbideindustry became plagued with overproduction crises which created thedrive for other acetylene applications [16].


2.1.2 ChlorineSince the end of the 19th

century salt had beenelectrolytically decomposed to formchlorine and sodium hydroxide. Itwas primarily used as bleachingpowder in pulp and paper productionand also in the textile industry.In 1909, it was discovered thatchlorine could also be liquefied,which opened up many new possibleuses, including water purification,sewage treatment, and soapproduction. Another new and rapidlygrowing demand could be found in the artificial fiber (cellulose)industry [17,18]. and for improving the properties of cotton yarns(“mercerized” cotton) [15]. As a result, demand for sodium hydroxidegrew quickly, and chlorine production expanded faster than marketdemand.

2.1.3 PVC

With the convergence of these two major developments in chemicalindustry at the turn of the century, it was not surprising that theindustry was looking for useful compounds that used chlorine and/oracetylene derivatives.

In 1904, Zacharias, Klatte, and Rollet from Chemische FabrikGriesheim Elektron (hereafter referred to as Griesheim) embarked on

research for compounds that could be derivedfrom acetylene and chlorine. In 1912, Klattereported on a production process for PVC[12], but the production difficulties wereenormous. PVC proved to be brittle and itdegraded when exposed to heat and light.Processing the material was problematicbecause PVC is thermally unstable anddegrades at the same temperature requiredfor processing.

Further research tried to improve its flexibility and stability.During World War I, process technology improved and less intractablePVC co-polymers were developed. Various plasticizers were used, andPVC was chlorinated, which improved its processability considerably.At the time, Germany faced shortages of products from overseas, andit was hoped that some of these products might be replaced with PVC.In addition, imperial Russia supported the development of naturalrubber substitutes. In Moscow, Iwan Ostromislensky developed

The drive to create PVC was fueled byreverse salients in two pre-existing systems:- the carbide/acetylene industry wasseeking outlets for its products, asproduction capacity far exceeded marketdemand; and- chlorine was also being produced inexcess; usually in combination with sodiumhydroxide, for which market demand wasexploding.

The PVC system wasconfronted with a fatalreverse salient:the material was difficult toprocess, and even when itwas, consumers judged theproduct to be inferior.


processes that produced rubber-like products by removing the chlorinefrom PVC.

Although these projects had some use during the war, industrialinterest soon dropped dramatically after the war. PVC could notcompete with natural materials on the basis of quality andproperties, as well as regarding the inefficiency of its productionprocess. Moreover, the Germans were dissatisfied with all of theersatz products of World War I [46]. As Griesheim became part of IGFarben in 1925, it decided not to continue PVC development. Klatte'spatents lapsed by the end of 1926, and Ostromislensky's efforts wereterminated by the turmoil in Russia in 1917.

2.2 Polymer science

Although commercial research on PVC virtually ceased, the morefundamental, scientific research did not. Staudinger's macromoleculartheory of polymeric materials [47] challenged established theoriesabout the nature of polymeric materials2, spurring interest in thesematerials both academically and in industry [13]. Du Pont hiredCarothers, who invented nylon and neoprene, and IG Farben hired Markand Meyer, all of whom made important contributions to thedevelopment of polymer science. Polymers were of great interest amongindustrial chemists in those days, and not just within IG Farben andDu Pont. The large, newly formed chemical corporations3 all set upresearch laboratories that were engaged in fundamental chemistry.

2.2.1 B.F. Goodrich and PVCAt B.F. Goodrich, the U.S. rubber producer, Semon found a way to

plasticize PVC. He was originally hired to search for syntheticadhesives that would bond rubber to metal. His intent was to use PVCas a raw material, removing the chlorine by means of a boilingsolvent, but he did not succeed. However, when he examined the cooledmaterial, he found it to be flexible and elastic, and furtherobservation showed it to be chemically and electrically inert. Semonforgot about adhesives and began to mold several articles: agolfball, screwdriver handle, shoe heels, etc. Eventually, he deviseda corrosion-resistant PVC-lined tank. Semon regarded the material asa substitute for rubber, and B.F. Goodrich began to produce PVCcommercially in 1930.

2.2.2 IG Farben and PVC

2 Before Staudinger, scientists believed polymers were ring structures with a low number of repeating units.

3 The 1920s witnessed the startup of several large-scale integrated chemical corporations: Du Pont experienced major growth in the 1920s by spending its enormous WW I profits on takeovers.In 1926, ICI was established, and in 1928, Rhône-Poulenc. Prior to WW II, IG Farben was the largest, created as the result of a merger in 1925. These large corporations had their own spheres of influence. Competition was relatively unimportant, and they shared much of their R&D results.


Although IG Farben's commercial managers had stopped Klatte'sproject, IG Farben's fiber scientists continued working on post-chlorinated PVC fibers. In 1928, IG Farben was the first tomanufacture a PVC fiber. In 1931, Schönburg discovered a process formaking high-performance films and lacquers. Chlorinated PVC(“Solvitherm”) seemed quite promising, especially as a fiber, butultimately could not compete with other newly developed syntheticfibers like nylon4 [12,19,20].

Another promising route to plasticization, PVC co-polymerization,was undertaken at the IG Ludwigshafen laboratory. Co-polymerizationlowered the melting temperature, enabling the production ofmaterials that remained soft and flexible. In 1937, IG Farben beganfull plant production of PVC co-polymers5 [12].

2.3 PVC products

Beginning in 1930, PVC products werefound in the market. Shock absorber sealsand tank linings were the first products,followed by such products as flame-resistant cable insulation and PVC-coatedtextiles (e.g., raincoats and showercurtains). Given the practicality ofthese products, the PVC business expandedconsiderably [21]. Other domesticapplications were products originallymade of natural materials like ivory andrubber or the early polymer materialssuch as celluloid and Bakelite: combs,toothbrushes, eyeglass frames and cases,false teeth, and artificial leather [21]. In 1934, the first PVC co-polymer phonograph records were made by Union Carbide [22]. By theend of the 1930s, substantial amounts of PVC were used in theelectrical cable industry. Floor coverings and pipes for transportingall kinds of liquids also became important applications, and PVC4 Nowadays, post chlorination is of little importance. It is used in applications demanding a high thermal stability, such as pipes for central heating.5 Today, although co-polymerisation is still an important concept in polymer technology, it islargely unused for plasticization. The main method for manufacturing flexible PVC is by addingplasticizers.

In the 1930s, PVC systems were developed. Major dynamics behind the development:- the thrust of new and

challenging scientific theories;

- the creation of large chemical industries with considerable investment in R&D; and

- accidental technological achievements.


could be found in wall panels, construction materials, tank linings,and pipe systems.

2.4 Consumer reaction

PVC’s relative non-flammability, durability, insulation properties,and resistance to humidity and various chemicals were practicalreasons for its broad incursion into the consumer market. It was alsoused in war equipment such as wire insulation and battery and cablecasings. However, an industry as new as the PVC industry and stillcoping with complicated, sensitive production processes, did notalways meet acceptable quality standards. PVC film became tacky orbrittle and exuded a chemical odor, and adhesive layers degraded asthe plasticizer volatilized into the air; some products grew smallerand hardened over time [21,23]. Moreover, army supplies had to meetthe highest achievable quality standards, and the PVC of lowerquality often found its way into the civilian markets. As a result,PVC was perceived negatively by the general public: “the products smell,sweat, the print comes off and they get brittle”[23]. Plastic producers claimed thisproblem was not just their problem, that it was caused by consumerignorance regarding plastic products—cleaning plastics in boilingwater, etc. In 1944, the industry association, the Society of

Plastics Industries, began using more informative labeling.However, labeling alone could not solve the problem. The real

solution had to come from progress in PVC plasticization and polymerstabilization technologies.

2.5 Innovations in plasticization and polymerization

Between 1930 and 1960, the number of commercially availableplasticizers increased dramatically as hundreds of new plasticizerswere introduced; in fact, plasticization of polymers became a newsub-discipline of polymer science during that period [24].Plasticizer development was of crucial importance for PVC. As twoMonsanto researchers put it:

With the incipient commercialization of poly vinylchloride in 1931,the most unpromising of modern resins (when unplasticized) wasavailable [25 (p. 610)],

The first major “reverse salient” ofthe PVC system was product quality.The public blamed manufacturersfor selling inferior products, whilemanufacturers defined the criticalproblem as developing suitableadditives and educating the public.


... plasticizers, and proper formulation, helped overcome the PVCproblems ... and made it the most versatile of all modern resins[25 (p. 628)].

Process technology also improved, and the industry learned tohandle the requisite sensitive processes through experience. In the1930s, the original photo-polymerization was abandoned. Also thethermo-polymerisation and the solvent polymerization routes, that hadbeen in use since 1912, were abandoned, as they were surpassed bydispersion polymerization (i.e. emulsion and suspensionpolymerization). The Germans were working primarily on emulsionpolymerization, while in the U.S. suspension polymerization wasdeveloping. Suspension polymerization eventually became the most usedpolymerization process because it yields PVC of higher purity,transparency, and insulation quality than PVC attained through theemulsion process [12,26]. These developments in plasticizers andpolymerization technology enabled large-scale production andprocessing of PVC.

3. Internationalization

The beginning of the 1950s marked the real takeoff of PVCproduction and consumption, with production growth of about 15%annually. This not only resulted in improved product characteristicsbut also induced lower PVC prices. Consequently, PVC technologyspread around the world (see Table 1, and Figure 2 and 3).

Table 1. Installed capacity (tons/year, 1958)

USA 360.000Germany 90.000Communist countries 85.000England 65.000France 49.000-

62.000Italy 45.000Japan 35.000Belgium 15.000Sweden 7.000Norway 5.000Switzerland 5.000Netherlands 3.000

Source: [44]


4. A history of problems and criticism

4.1 Miamata

In the 1960s, a serious problem developed, the so-called Miamatadisease. People living near Miamata Bay in Japan began to displaysymptoms of nervous diseases. It turned out the diseases were causedby the consumption of shellfish containing high levels of mercury6.The source was a nearby vinyl chloride (VC) factory where mercurywas used as a processing agent to produce VC from acetylene andhydrochloric acid. The problem was resolved when the chemicalindustry shifted from acetylene to ethylene as the major feedstockfor VC production.

4.2. Toxicity Even before the large-scale production of the 1930s, PVC’s

primary building block vinyl chloride (VC), was thought to be apotentially toxic substance, causing fatty degeneration in the liverand kidneys of test animals. In 1938, the first evidence of thesetoxic effects in animals was published. By the end of the 1950s, thetoxic effects were even clearer. VC could be linked to acro-osteolysis (characterized by clubbed fingers, bone deterioration,heart and metabolic problems, skin changes, and muscle anomalies),and Raynaud's Syndrome (highly sensitive, cold and pricklingfingers). In the 1960s, an increasing number of reports in othercountries described VC factory workers (especially those occupiedwith cleaning reactor vessels) who displayed these diseases andother symptoms. Many reports stemmed from the industry itself. Forexample, Dow Chemical and B.F. Goodrich carried out studies of theiremployees. In Germany, by September 1974, 167 suspected cases of “VCdisease” had been reported [27].

4.2.CarcinogenityAt the end of the 1960s, P.L. Viola, an Italian physicist and

employee of the PVC-producing company Solvay, began research aimed

6 These people showed the same symptoms as the “Mad Hatter” in Carroll's Alice in Wonderland. Hatters in the 18th century made felt hats by using mercury with wool to produce felt.

The reverse salient MiamataDisease was solved by emissioncontrol techniques and a switchto other production processesinduced by general transitionsin the chemical industry.


at inducing acro-osteolysis in rats. However, he found that VCcaused cancer in their ears and lungs, the first indication that VCwas carcinogenic [28]. Viola presented his findings in 1970. Basedon his work, Maltoni began research on the carcinogenity of VC. Thisproject took twelve years, and early results, published in 1974,confirmed Viola’s findings: VC caused angiosarcoma (a rare type ofcancer) in the liver, kidneys, and ears of test animals.

That same year, B.F. Goodrich made public the fact that threeemployees had died from angiosarcoma during the past two years. Inshort order, another eight employee deaths were also ascribed to VCor vinyliden exposure [28,29,30]. This announcement was a watershed,spurring investigation into the VC problem. The following years werecharacterized by hectic action from public authorities, industries,labor unions, scientists and the media. In many countries, exposurestandards were sharpened (from 500 ppm, to 50 ppm, and ultimately to1 ppm), and investigations into VC carcinogenity were intensified[28, 29].

Worldwide panic ensued. Cancer of the liver had also been detectedamong employees of PVC processing industries where VC exposure levelswere much lower than in PVC production. Furthermore, ordinarycitizens also appeared to be at risk: VC had been detected inpackaging, food, and drinks, as well as in household goods andfurnishing [27,31]. Researchers in the UK concluded that the wives of

PVC workers were twice as likely to suffer miscarriages [32]. By June1974, 21 cases of angiosarcoma had been diagnosed [28] and by 1995,175 cases of this rare type of liver cancer had been confirmedworldwide [33].


From that point on, manufacturersbegan to bring down VCconcentrations in the workplace andin products, as well as VC emissionsfrom factories. Generally, thesehave been under control by theindustry since the end of the 1970s,at least in the U.S., Japan, andWestern Europe. Automatic reactorcleaning, stopping leaks, closed vessels and personnel training torecognize and treat leaks were among the most important measures.

4.3 The chlorine debate

Chlorine emissions that occurred during the production,transportation, storage, and processing of chlorine repeatedlybrought criticism. Chloride compounds were determined to be one ofthe causes of environmental degradation, for example:

DDT (Dichlorodiphenyltrichloroethane), an effective pesticide,also appeared to weaken and kill mammals.

PCBs (polychlorobiphenyls, mainly used as electric insulators)caused mammal infertility.

An accident in a chemical factory in Seveso, Italy, contaminatedfour Italian villages with dioxins, a highly toxic substance,that can be formed when chlorine compounds are processed orincinerated. Many people hadto be evacuated and the areahad to be cleaned.

It was determined that dioxins were present in the exhaust fumesof garbage incinerators.

Aldrin and Dieldrin, insecticides containing chlorine, turned outto be persistent and environmentally dangerous.

Chlorinated fluoro carbons (CFCs) have been determined to causethe enlargement of the hole in the ozone layer.As a result, chlorine became an important target of the

environmental movement. This also meant an attack on the PVCindustry, because about one-quarter of the chlorine producedworldwide is used in the manufacture of PVC. In Western Europe, even

The VC problems turned into a reverse sa-lient. The PVC system succeeded informulating workable solutions to criticalproblems: reducing emissions andworkplace and product concentrations

The reverse salient, as environmentalistsformulated it, involved chlorine, the very coreof the PVC system. It could not be resolvedunless PVC itself changed. However, for thePVC system, the problem was a loss ofpolitical and consumer support thatthreatened PVC sales.


more than one-third of the chlorine produced finds its way to PVCmanufacturers [34].

4.4 PVC waste

4.4.1 RecyclingAs a result of growing public clamor against the use of chlorine

and PVC, the PVC industry undertook activities to improve wastemanagement. Our example is the PVC industry in the Netherlands.

Since the late 1980s, the Dutch PVC piping and PVC windowframeindustries have developed and implemented collection and recyclingschemes. It was seen as an important way to leverage the performanceof PVC products and at the same time enhance the industry’senvironmental image. Furthermore, te re-use of PVC in the sameproducts could decrease their dependence on chlorine. A basic conceptwas to cycle the product waste back into the same products. The pipetransport industry chose to develop a three-layer pipe, with theinner layer containing 30% regenerated material.

Recycling that is economical and technically feasible requireslarge, recognizable, homogeneous waste streams—which did not apply toanother PVC waste stream, namely that of packaging. PVC packagingwaste was mixed with other municipal waste and was lightweight.Hence, besides material recycling, two other waste management methodswere promoted by the PVC and plastics industry:

1) incineration, with energy recovery, in municipal waste or factory-owned incinerators. For industry, this option was convenient andless capital-intensive. However, until recently, incineration ofplastics contravened the Dutch policy on waste. This policy isbased on a strict order of preference:• prevention• re-use• recycling• incineration• landfillIncineration was thus seen as an inferior option, to be implementedonly when other options were out of the question. However, industrystrongly defended incineration and referred to it as “thermalrecycling”, arguing that incineration was in fact the “extended useof oil”. When plastics would not be part of the waste streams,additional oil would be necessary to obtain the correct burningconditions. Though incineration is not accepted as being a form ofrecycling, it is generally agreed that the strict order of wastetreatment preference is not appropriate, and that a mix oftreatment technologies is needed [35,36].

2) Chemical recycling, “back to feedstock”. Mixed plastics can becracked and converted to monomers, or oily substances.


Technologies that can handle mixed waste containing PVCs arebeing developed.

4.4.2 PVC packaging

However, the acceptance of these other waste treatment technologiescame too late for one branch of PVC products: packaging. In theNetherlands, the use of PVC packaging was seriously questionedfollowing the occurrence of several incidents:

the detection of dioxins in cows milk in the Lickebaert area, whichcould be tied to the incineration of PVC waste in a nearbymunicipal waste incinerator;

a large anti-PVC campaign by eight environmental and consumerorganizations;

a public campaign by a large supermarket chain touting itsenvironmental policy, in which the banning of PVC packaging was oneof the topics;

advice from the national food retailers association to its membersto replace PVC packaging with better accepted substitutes.

In less than a year, most PVC food packaging was replaced. The PVCindustry apparently did not manage or did not want to maintain thepackaging market. The national PVC industry association did defendthe PVC market, but their efforts were not particularly strong. Bysome accounts, the packaging market was more or less sacrificed inorder to reconcile with the “green lobby”. In the same vein, it hasbeen suggested that the PVC industry settled for (material)recyclability in order to achieve acceptance of PVC once again insociety, despite the fact that material-recycling of packagingmaterials is not feasible. Other reasons for little defense were[43]:

the PVC packaging market accounted for a marginal part of total PVCdemand (estimated at 3-5%),

the PVC industry had difficulty mobilizing the packaging producers(the packaging sector consists of many small enterprises that are

The PVC system solved its reverse salient byconvincing the government that chlorineitself was not the problem but chlorinewaste. Therefore it sacrificed part of the PVCsystem. Naturally, conflict arose, but this didnot prevent joint action. The core of thesystem was safeguarded.


often dominated by their large customers, such as the food-industry), and

other alternatives to PVC packaging were already available and inuse.

5. PVC systems today

As its commercial viability grew, PVC replaced various othermaterials. In most cases, this happened not only because PVC was acheap and easy substitute, but also because it possessed technicaladvantages. Its properties make it a favored material among plasticprocessors and users of plastic products. In the 1970s, the averageconsumption of PVC per person in industrialized countries reachedmore than 20 pounds of PVC products a year [29].

Today, PVC is the second most produced and used plastic (Poly-ethylene being first). Its use is widespread and diverse, rangingfrom everyday products to highly specialized applications. Thebuilding and construction sector (piping, guttering, window profiles,wall plates) makes the broadest use of PVC. Other importantapplications are flooring and wall coverings, electrical cables,consumption goods, packaging, cars (bumpers, interiors), furniturecoverings, tubes and medical applications (e.g., bloodbags).

The importance of PVC as a growthmarket for the chlorine industry isapparent: from about 6% in 1945, toapproximately 20% in 1975, to about25% in 1985 [34,37]. Currently,worldwide PVC production accountsfor an estimated 34-40% of the totaldemand for chlorine [38,39].

This continuing increase in PVC market share is not due solely togrowing PVC production. An important factor is the decrease in totaldemand for chlorine since the mid-1970s, caused by abandoning orrestricting many applications that included chlorine: PCBs, DDT,Aldrin, Dieldrin and VOCs. In the last twenty years, the demand forcaustic soda has far exceeded the demand for chlorine. In fact,internal company prices for chlorine can be negative. The fact thatthe chlorine industry still showed some growth in the last five yearsis believed to be due solely to PVC [39,40]. Clearly, PVC is becominga vital element for the chlorine industry. Today, however, theindustry also faces concerns about additives. Metal-based stabilizersare hard to control in incinerators, and plasticizers, especially thephthalates, are alleged to disrupt the endocrine system.

PVC systems evolved from outlets forchlorine into the driving force behindchlorine production in the mid-20thcentury. In turn, the chlorine industryevolved into a widespread system withmany applications. However, as chlorineuse declined, PVC has become a vitalelement of the chlorine system.


6. A systems perspective on the entrenchment of PVC

As we have discussed, PVC is now strongly entrenched in society.This is intriguing since PVC was certainly not the ideal material fora new industry. A polymer scientist wrote in 1966:

Had this polymer been discovered at the present stage ofdevelopment of the plastics industry, it would almost certainlyhave been eliminated as useless because of its general instabilityto all common degradative agents [41 (p. 647)].

Perhaps PVC’s strong position vis-à-vis other synthetic materialscan be explained by the headstart it achieved. Major problems facingPVC were largely resolved, and manufacturers learned how to modifyPVC to give it several desirable characteristics. In the 1930s thefirst competing polymers were developed: in 1939-1940, ICI developedthe first polyethylene products; polystyrene was developed in thesame period; polypropylene was developed in the 1950s; other plasticsappeared even later on the scene.

The systems concept offers clues about other causes of PVCentrenchment beyond its headstart: huge investment, the developmentof special skills, special products that could be made only by thePVC system, and transfers of technology abroad [42,43]. Theentrenchment of PVC technology can also be attributed to thedevelopment of a technological system that represented relativelyloose but stabilized networks of actors that deal with a particulartechnology.


6.1 Central control

Especially useful is the concept of “reverse salients”, whichclarifies the “over-individual” steering mechanism, an importantsystem characteristic. This system-level coordination mechanismallows reverse salients to be translated into problems that may becritical for individual companies or sub-systems but may benefit thesystem as a whole. For example:

In the 1940s, the U.S. Society of Plastics Industries orchestratedconcerted actions to restore consumer trust in plastics.

The German PVC industry settled swiftly for strict VC exposurestandards for the sake of the system’s image as a whole, taking therisk that some companies might get in serious trouble.

When PVC was attacked by environmental organisations, resistancefrom the PVC industry was relatively weak. This could beinterpreted as sacrificing part of the system (i.e., PVC packagingproducers) in order to prevent further attack on the PVC system.The PVC system could overrule companies that were victims of thisdecision.

Thus there is—at least in some cases—a form of central control, andamong the actors some feeling of belonging to one entity which has todefend itself. One could say, therefore, that the PVC industry hassystem characteristics. We think that especially in continentalEurope, where strong consensus traditions in industrial policy exist,the industry organizations that deal with governments receive powersthat enable them to orchestrate a “system response” to public issues.

6.1 Coping with reverse salients

When the PVC industry tackled reverse salients, differentstrategies can be noted:

defining and negotiating critical problems that could be solved,e.g., the VC standards setting processes;

redefining and negotiating solution options in terms of thecritical problems posed by others, e.g., extending the concept ofrecycling through incineration;

translating the reverse salients into critical problems that areowned by other actors, e.g., the translation of quality problems toconsumers in the 1940s and 1950s, and the shifting of dioxin-formation problems to incinerator owners;

diverting attention from critical problems that were attacking thesystem by generating more entrenchment through solving othercritical problems, e.g., an emphasis on waste management, whereasthe general PVC debate arose from the more fundamental chlorinedebate;


“partial surrender” or “quick compliance” for the sake of thesystem as a whole, e.g., the replacement of PVC packaging, and theactions of the German PVC industry regarding the VC issue;

shifting a reverse salient to a higher system level which mayprevent other alternative-providing systems from profilingthemselves as “better”, e.g., the broader plastics industryassociations that defend PVC;

neglecting, moderating, or countering criticism, a basic strategythat is apparent in almost every reverse salient story.

Furthermore, reverse salients may “dissolve” as the result of otherindependent developments, as was the case with the Miamata disease.

6.2 Amendmends to the systems approach

Although the systems approach is most appropriate when applied totypical system technologies like utilities, the approach also yieldsuseful insights regarding the development and entrenchment of a non-systems technology like PVC. However, some amendments are neededwhich take into consideration earlier criticisms of Hughes' approach.

To understand the development of a technology system, one must takeinto account outside influences on the system. The history of PVCshows that reverse salients often arise from outside, and theirtranslation into critical problems and then into directions forsolution is far more than a matter of creativity, as Hughes suggests.As the standards-setting processes for VC concentrations indicate,the translation is often a matter of negotiation between systems andsystem components, and between system representatives and otherparties such as public authorities and public interest groups. Thenthe question of power balances and a more network-oriented approachbecomes necessary to understand system reactions to reverse salients.The public attack on the PVC industry was based on the allegationthat PVC was the cause of dioxin production by waste incinerators.The PVC industry defined improvement of waste incineration technologyas the solution, but other actors favored different paths to asolution. The processes that determined the outcome cannot beunderstood only through a systems approach. A network analysis isalso needed.

However, the range of optional critical problems in which a reversesalient may be translated is not unrestricted. Non-negotiableboundaries are set beforehand by the system, for example, the PVCindustry will not translate criticism concerning chlorine use into asearch for alternative feedstocks because chlorine is a fundamentalingredient of PVC. However, such options may vary the way in whichthe system serves as a frame of reference.

This brings us to the second point in Hughes’ system concept. Thesystem under study cannot be defined unambiguously using the notionof “central control”. The history of the PVC industry demonstrates


that systems may consist of lower-level sub-systems, even while theythemselves are encompassed by systems on a more aggregate level. Forexample, the PVC system encompasses the PVC piping system; however,PVC is itself part of the plastics industry system, which in turn isa subsystem of the chemical industry. In addition, systems mayoverlap, and a subsystem may be part of two different systems, eachwith a different level of integration. As an example, the PVCpackaging sector is an element of the PVC system, and at the sametime is more intensely integrated into the food supply system.Furthermore, the system level, which serves as a frame of referencein translating a reverse salient, determines which range of criticalproblems and solutions will come into the picture. Thus, the PVCindustry may decide to give up PVC packaging, and the plasticsindustry may decide to give up PVC.

These systems relations are not static but change over time,opening up possibilities for new directions in reverse salienttranslations. However, these examples make it clear that the questionof power balances should be considered, and that demands morenetwork-oriented analysis. For instance, economic importance will bean important consideration for the plastics industry if it decides todefend its accused PVC subsystem instead of giving it up. The sameargument, but in reverse, plays a part in developing substitutes forPVC packaging.

Furthermore, various moments in PVC history illustrate thatnonsystem-induced actions were important. Although all participatingactors are analyzed according to their role within the system, theiractions are (hopefully) never completely determined by the system.For example, B.F. Goodrich may be seen as an actor that detacheditself from the system during negotiations on VC emissions by takingup a front-running role.

7.Lessons from entrenchment: “de-entrenching” systems?

For many people, the PVC system epitomizes evil: they argue thateven a complete recycling of all PVC will still produce leaks andaccidents leading to chlorine spills. Therefore they want allchlorine compounds to be abandoned. Whether or not these people areright, the question of how entrenched technologies can be “de-entrenched” is an interesting one.

There is, in fact, one example in PVC history that could beregarded as de-entrenching: When PVC was under fierce public attack,the industry was prepared to cease production of PVC packaging, whichwas viewed as a sub-system, various companies only produced PVCpackaging materials. In the previous section is was suggested that asystem might be de-entrenched through attacks on this system,combined with fierce attacks on the larger systems on which theydepend. If the existence of a system is threatened, that system maybe prepared to back off to what it regards as its core elements. This


core system, on its turn, may however become stronger after thisprocess. Moreover, in the case of PVC this could not lead tostrategic advice for the anti-PVC movements. For them, it would makelittle sense to launch a fierce campaign against the entire plasticsindustry just to get rid of PVC; they would lose their credibilitycompletely. New issues however may be discovered that might force thePVC system to give up other sub-systems.

Another lesson to be taken from the system history of PVC is thatthe industry proved to be capable of reacting quickly and adequatelyto attacks. In fact, today the industry possesses so muchinformation, and it has optimized the production chain to such a highextent, that it has become even more deeply entrenched. Althoughoptimization and information gathering is good for environmentalreasons, further entrenchment may not be good because currentuncertainties and possibly better alternatives receive no realopportunities. The best example is the often-heard statement that PVCis the most thoroughly investigated material; in turn, then, oneshould know at least as much about alternatives before deciding toreplace PVC.

This points to another way of de-entrenching a technology system:further entrenchment of alternatives, accompanied by increasingvariations. That implies a de-entrenchment of various materials. Likethe PVC case suggests, entrenchment of a system could result from(repeated) attacks on that system, by forcing it to optimize andinvestigate as much as possible. However, it seems more likely thatit will be the system already entrenched, i.e., PVC, which benefitsfrom such a strategy. When levels of entrenchment are unequal, oneshould try to stimulate entrenchment and seek various alternativesthrough active involvement in research and development rather thanthrough attacking. As variations are generated, it might be useful tohave the different system levels in mind, i.e. not only focusing onalternative materials and products but also on alternative ways offunction fulfilment and result achievement, while addressing theappropriate higher-level systems.

Whether or not PVC will continue to be an issue for debate, such astrategy of alternative entrenchment and variation will remainuseful. It enhances possibilities for sustainable development inwhichever directions prove to be most sensible.

Notes

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BIOGRAPHICAL INFORMATION

Karel Mulder is a lecturer in Technology Assessment at Delft University of Technology. Currently he is the leader of a project to integrate Sustainable Development issues into thecurricula at his university. He also heads the Technology and Society Department of the Royal Dutch Institute of Engineers (KIVI). Mulder received an engineering degree from the

University of Twente and received his Ph.D. in Management Studies from Groningen University in 1992 on a historic study of research strategies. His research interests include the historic and sociological analysis of technological change especially within industrial production.

Marjolijn Knot works as a researcher at Delft University of Technology. Until 1999 she joined the Technology Assessment Unit, focusing on innovations in PVC related supply chains, and, since 1998, on transitions towards sustainable households. Currently she works at the Design forSustainability group at the faculty of Design,

Engineering and Construction, where she investigates user aspects of sustainable product-service systems. She holds anMSc. in Environmental Sociology and Communication Studies.

PVC plastic: a history of systems development and entrenchment

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