ASTM E2348-2006(2010) Standard Guide for Framework for a Consensus-based Environmental Decision-making Process《基于一致同意的环境决策程序框架的标准指南》.pdf

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1、Designation: E2348 06 (Reapproved 2010)Standard Guide forFramework for a Consensus-based Environmental Decision-making Process1This standard is issued under the fixed designation E2348; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revisio

2、n, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide presents a framework for a stakeholder-focused Consensus-based Environmental Decision-making

3、(CBED) process, which is a stakeholder-empowered, processto prioritize and select actions to be initiated with the goal ofoptimizing many types of environmental decisions that mayaffect a community or communities.1.2 This guide is intended to describe a highly flexibleCBED process, and therefore doe

4、s not recommend a specificcourse of action for this activity.1.3 This guide is intended to assist in implementing a CBEDprocess, which allows assessing the full impact of any project-or issue-related decisions related to human health, ecological,socio-cultural or economic impacts.21.4 This guide is

5、not intended to replace existing environ-mental decision-making or public participation processes. Itmay be used with other processes or standards that addressstakeholder involvement in environmental decision-making.1.5 LimitationsThis standard does not address the specificmethods for generating or

6、evaluating technical data related toassessing a particular environmental issues. The user shouldseek other sources on methods to gather information forcompletion of models or other analyses that may be usedduring a CBED process.2. Referenced Documents2.1 ASTM Standards:3E1739 Guide for Risk-Based Co

7、rrective Action Applied atPetroleum Release SitesE1984 Guide for Brownfields RedevelopmentE2205 Guide for Risk-Based Corrective Action for Protec-tion of Ecological Resources2.2 Other Documents:P/CCRARM (The Presidential/Congressional Commissionon Risk Assessment and Risk Management),1997a, Framewor

8、k for Environmental Health Risk Man-agement. Final Report. Volume I.4P/CCRARM (The Presidential/Congressional Commissionon Risk Assessment and Risk Management), 1997b, RiskAssessment and Risk Management in RegulatoryDecision-Making. Volume II.5Quality of Stakeholder-Based Decisions and Understanding

9、Risk640CFR, Part 1501-1506, The Quality of Stakeholder-BasedDecisions: Lessons from the Case Study Record, Re-sources for the Future710CFR Part 20, NEPA and Agency Planning; 9Standards forProtection Against Radiation,9 Subpart E, 9RadiologicalCriteria for License Termination.73. Terminology3.1 Defin

10、itions:3.1.1 affected stakeholderany individual, group, com-pany, organization, government, tribe or other entity whichmay be directly affected by or has a stake in the outcome of thespecific CBED process.3.1.2 communitya group or groups of individuals wholive or work in specific neighborhoods or re

11、gions.3.1.3 consensus-based environmental decision-making(CBED) frameworka process structure that will facilitateempowering affected stakeholders in developing a CBEDprocess.3.1.4 consensus-based environmental decision-making(CBED) processa stakeholder-empowered process to assess,prioritize and sele

12、ct actions to initiate with the goal ofoptimizing environmental decisions with respect to humanhealth, and ecological, socio-cultural, and economic impacts.1This guide is under the jurisdiction of ASTM Committee E47 on BiologicalEffects and Environmental Fate and is the direct responsibility of Subc

13、ommitteeE47.05 on Risk Assessment, Communication and Management.Current edition approved Sept. 1, 2010. Published January 2011. Originallyapproved in 2006. Last previous edition approved in 2006 as E234806.DOI:10.1520/E2348-06R10.2The CBED process is not meant to replace other processes, such as the

14、 U.S.National Environmental Policy Act (NEPA) process. The strength of the CBEDprocess is to empower the stakeholders in an organized fashion to focus on specificissues that tend to result in litigation and long delays and can be readily used inconjunction with NEPA and/or other public participation

15、 processes.3For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.4Available at http:/ at http:/ at: http:/www.rff.o

16、rg/Documents/RFF-DP-00-56.pdf7Available from Standardization Documents Order Desk, DODSSP, Bldg. 4,Section D, 700 Robbins Ave., Philadelphia, PA 19111-5098.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.3.1.5 informed consentagreeme

17、nt reached by affectedstakeholders, which is obtained by a process by which affectedstakeholders (1) are involved in a participative process thatcreates common understanding of the issues, concerns andpriorities held by all affected stakeholders; (2) assess, prioritizeand select actions to improve t

18、he problem situation; and (3)agree to trade-offs to achieve consensus on specific initiativesrelated to the CBED process.3.1.6 interested partyany individual, group, company,organization or other entity which is not an “affected stake-holder” but which is interested in the outcome of the particularC

19、BED process. Interested parties are not empowered with adecision-making role, and may participate on the StakeholderCommittee only as an observer or to provide information at thediscretion of the Stakeholder Committee.3.1.7 regulatora local, regional, state/provincial or fed-eral government agency o

20、r person employed to administratorenforce compliance with laws and regulations, which may beeither a stakeholder, a decision-maker, or an advisor to theStakeholder Committee.3.1.8 stakeholder committeethe entity empowered tomake decisions within the CBED process which is composedof representative(s)

21、 selected from each group of affectedstakeholders. Members of the Stakeholder Committee areresponsible to act as liaisons with their respective stakeholdergroups.4. Summary of Guide4.1 The Consensus-Based Environmental Decision-makingProcess is a stakeholder-empowered, community-specific pro-cess es

22、tablished to assess, prioritize and select actions toinitiate with the goal of optimizing environmental decision-making with respect to human health, ecological, socio-cultural, and economic impacts. The Stakeholder Committeemay consider issues related to environmental justice, whichrelates to the f

23、air treatment and meaningful involvement of allpeople, regardless of race, ethnicity, income, national origin oreducation level. The CBED process is an iterative processcomprised of five main steps: (1) affected stakeholder identi-fication and formation of the Stakeholder Committee; (2)information g

24、athering; (3) forecasting; (4) establishment ofinformed consent; and (5) implementation and evaluation ofinitiatives.4.2 The CBED process facilitates decision-making throughnegotiations among affected stakeholders with fairly consen-sual decision rules. An important part of the process is todetermin

25、e and clearly communicate to all participants the rulesto be followed about transparency, the procedures that will beused to reach consensus, and the delineation of the ultimatedecision-making authority.4.3 The CBED process allows the impact of any project-related or issue-related decision to be ass

26、essed. The processprovides all affected stakeholders with scientific and legalanalyses and decision criteria that are prepared and interpretedby scientific, technical, and legal experts, as well as relevantqualitative experiential knowledge and values-based decisioncriteria. The Stakeholder Committe

27、e decides the relevance andimportance of the criteria to the decision under consideration.4.4 There is no specific path that has to be followed wheninitiating and participating in this CBED process. Dependingon the needs and priorities of the affected stakeholders and thelegal constraints governing

28、specific environmental decisions,different entities may initiate the process, different proceduralrules may be adopted, and different analysis tools may be usedto address each issue or concern.5. Significance and Use5.1 This standard guide is designed to help the owners andregulators of a specific e

29、nvironmental problem to identify andintegrate affected stakeholders and establish a process toidentify and work through all the key questions and answersessential to a mutually acceptable decision. This standard guidepresents a “framework” that is intended to help ensure that allthe CBED process com

30、ponents (that is, human health, ecologi-cal condition, socio-cultural values and economic well-being)are considered, but is designed to allow the user to interpretwhich components of the process are applicable and how thesecomponents are defined for the specific environmental problembeing addressed.

31、 It also provides general guidance to help withselecting approaches and methods for specific analyses of eachof the major CBED components (that is, human health,ecological condition, socio-cultural values, and economic well-being). The CBED process can be easily coupled with otherrelevant standards

32、(for example Guides E1739, E1984, andE2205) and environmental compliance guidance and require-ments, for example, Quality of Stakeholder-Based Decisionsand Understanding Risk, CRF40 and CFR10.5.2 The CBED process is appropriate in two contexts: (1)when a specific project is proposed; and (2) when th

33、ere are ormay be public concerns about specific health, environmental,cultural, social or economic issues.5.3 Involving affected stakeholders actively in the decision-making process reorients that process from one dominated byregulators and owners to one that includes those who live withthe conseque

34、nces of the decision. This not only increases thesuccessful implementation of decisions, but also can promotegreater trust in government, industry and other institutions(P/CCRARM, 1997a).6. Consensus-based Environmental Decision-makingFramework6.1 Identification of Affected Stakeholders and Formatio

35、n ofthe Stakeholder Committee:6.1.1 Stakeholders are at the center of the CBED process,and are involved from the earliest issue identification throughthe decision-making and decision-evaluation activities. Theaffected stakeholders contribute to problem definition, questionformulation, and decision-m

36、aking rather than just providingfeedback about decisions made by others.6.1.2 Among the first choices to be made is what level ofparticipation is desired for the particular CBED process; thefocus may be on individuals (as in a participatory democracy),on groups (as in a representative democracy), or

37、 a combinationof the two. Serious, active management of two-way commu-nication is essential and required to identify the appropriateE2348 06 (2010)2parties early in the process. Adequate time should be allocatedto complete this effort before other significant CBED discus-sions are undertaken.6.1.3 I

38、t is necessary to both identify and involve the affectedstakeholders and interested parties. These groups should beinvited to select (a) representative(s) to participate on theStakeholder Committee; the most effective representatives arethose selected by the group or organization to be represented.T

39、here may be (a) representative(s) of several organizationswithin each category (for example, there may be two mainindustries in the area; there may be three government agencieswhich require representation; etc.). Each member of theStakeholder Committee is responsible to act as liaison withtheir resp

40、ective stakeholder group.6.1.4 Construction of a “stakeholder map” is one effectivetechnique to guide the stakeholder identification process (forexample, Fig. 1). The map for a particular CBED processshould be tailored to the specific features of the process. Theliterature on stakeholder involvement

41、 contains many differentstakeholder maps, classifications and typologies. The mappresented in Fig. 1 is an element of the CBED process thatshould be tailored to the specific needs of a particular process,which requires broad insights into the local and regionalcultures that may be affected by the pr

42、ocess. Most importantly,the map should be recognized as a “living” entity, subject tomodification as needed throughout the life of the process.Delineations of different spokes of the map are not intended toimply or expect “camps of different opinion,” about potentialissues related to the process; bu

43、t rather to guide all participantstoward ensuring completeness in representation of stakeholdergroups. Refinements to the map should be made as participantsidentify different relationships or additional individuals orgroups.6.1.5 The Stakeholder Committee should identify a chair-person. The Chairper

44、son should be selected by the entireStakeholder Committee and be willing to commit the timenecessary to fulfill this function. The Chairperson should beperceived as fair and impartial and should have collaborativeleadership skills, including facilitating group interactions.6.1.6 For the Stakeholder

45、Committee to function optimally,it should establish ground rules for its operations and itsmembers. The basic ground rules are honest communication,clear understanding of how consensus will be reached and cleardelineation of whom or which agency is the final decision-maker (P/CCRARM, 1997b). Ground

46、rules will be needed for:how communications will be dealt with; how information anddecisions will be documented; how to deal with a deadlock onan issue; and who will control the data and informationgenerated after the CBED process is completed.6.1.7 Depending on the specific CBED process, the servic

47、esof a professional facilitator/mediator may be useful. Thedecision to employ a professional facilitator or mediator maybe made at the beginning of the CBED process or during theprocess.6.1.8 The CBED process may proceed once the affectedstakeholders have been identified and contacted, and theStakeh

48、older Committee has been formed and includes suffi-cient representation from each stakeholder group (Fig. 2). TheStakeholder Committee may wish to define clearly the criteriait will use to make the determination to proceed.6.2 Information Gathering:6.2.1 Once the Stakeholder Committee has been forme

49、d, theCBED process continues with the Information Gathering. Inthis activity, information is gathered on stakeholder issues,perceptions, preferences and constraints. Various tools may beused to gather information, such as meetings, focus groups,FIG. 1 Example of a Stakeholder Map Intended to Guide Identification and Notification of All Potential Participants in a CBED ProcessE2348 06 (2010)3newsletter, web sites, etc. Information is compiled on issuesrelevant to the specif