ASTM E2348-17 Standard Guide for Framework for a Consensus-based Environmental Decision-making Process.pdf

1、Designation: E2348 17Standard 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 revision, the year of las

2、t 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(CBED) process, wh

3、ich 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 does not recommend a

4、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 not intended to re

5、place 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 evaluating technic

6、al 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. This standard may not fully addressthe rights of owners of real property or the potential

7、 impact(positive or negative) on the value of real property of a decisionmade using this process.2. Referenced Documents2.1 ASTM Standards:3E1739 Guide for Risk-Based Corrective Action Applied atPetroleum Release SitesE1984 Guide for Brownfields Redevelopment (Withdrawn2012)4E2205 Guide for Risk-Bas

8、ed Corrective Action for Protec-tion of Ecological ResourcesE2876 Guide for Integrating Sustainable Objectives intoCleanup2.2 Other Documents:P/CCRARM (The Presidential/Congressional Commissionon Risk Assessment and Risk Management),1997a, Framework for Environmental Health Risk Man-agement. Final R

9、eport. Volume I.5P/CCRARM (The Presidential/Congressional Commissionon Risk Assessment and Risk Management), 1997b, RiskAssessment and Risk Management in RegulatoryDecision-Making. Volume II.6Quality of Stakeholder-Based Decisions and UnderstandingRisk740CFR, Part 1501-1506, The Quality of Stakehold

10、er-BasedDecisions: Lessons from the Case Study Record, Re-sources for the Future810CFR Part 20, NEPA and Agency Planning; Standards forProtection Against Radiation, Subpart E, RadiologicalCriteria for License Termination.8Section 117(d) of the Marine Mammals Protection Act of1This guide is under the

11、 jurisdiction ofASTM Committee E50 on EnvironmentalAssessment, Risk Management and Corrective Action and is the direct responsibil-ity of Subcommittee E50.05 on Environmental Risk Management.Current edition approved Jan. 1, 2017. Published January 2017. Originallyapproved in 2006. Last previous edit

12、ion approved in 2010 as E234806(2010). DOI:10.1520/E2348-17.2The CBED process is not meant to replace other processes, such as the 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 t

13、hat tend to result in litigation and long delays and can be readily used inconjunction with NEPA and/or other public participation processes.3For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at serviceastm.org. For Annual Book of ASTMStandards volu

14、me information, refer to the standards Document Summary page onthe ASTM website.4The last approved version of this historical standard is referenced onwww.astm.org.5Available at http:/ at http:/ at: http:/www.rff.org/Documents/RFF-DP-00-56.pdf8Available from DLA Document Services, Building 4/D, 700

15、Robbins Ave.,Philadelphia, PA 19111-5094, http:/quicksearch.dla.mil.Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United StatesThis international standard was developed in accordance with internationally recognized principles on standardization e

16、stablished in the Decision on Principles for theDevelopment of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.11972 16 U.S.C. 1386, Section 11793. Terminology3.1 Definitions:3.1.1 affected stakeholderany individu

17、al, group, company,organization, government, tribe or other entity which may bedirectly affected by or has a stake in the outcome of the specificCBED process.3.1.2 communitya group or groups of individuals who liveor work in specific neighborhoods or regions.3.1.3 consensusa generally accepted agree

18、ment among agroup of stakeholders.3.1.4 consensus-based environmental decision-making(CBED) frameworka process structure that will facilitateempowering affected stakeholders in developing a CBEDprocess.3.1.5 consensus-based environmental decision-making(CBED) processa stakeholder-empowered process t

19、o assess,prioritize and select actions to initiate with the goal ofoptimizing environmental decisions with respect to humanhealth, and ecological, socio-cultural, and economic impacts.3.1.6 informed consentagreement reached by affectedstakeholders, which is obtained by a process by which affectedsta

20、keholders (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 the problem situation; and (3)agree to trade-offs to achieve consensus on specific initi

21、ativesrelated to the CBED process.3.1.7 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 particularCBED process. Interested parties are not empowered with adecision-making role, and may p

22、articipate on the StakeholderCommittee only as an observer or to provide information at thediscretion of the Stakeholder Committee.3.1.8 regulatora local, regional, state/provincial or federalgovernment agency or person employed to administrator en-force compliance with laws and regulations, which m

23、ay beeither a stakeholder, a decision-maker, or an advisor to theStakeholder Committee.3.1.9 stakeholder committeethe entity empowered tomake decisions within the CBED process which is composedof representative(s) selected from each group of affectedstakeholders. Members of the Stakeholder Committee

24、 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 established to assess, prioritize and select actions toinitiate with the goal of optimizi

25、ng 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 fair treatment and meaningful involvement of allpeople, regardless of race, ethnicity, i

26、ncome, 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 gathering; (3) forecasting; (4) establishment ofinformed consent; and (5) implementation

27、 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 todetermine and clearly communicate to all participants the rulesto be followed about transparenc

28、y, 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 assessed. The processprovides all affected stakeholders with scientific and legalanalyses

29、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 Committee decides the relevance andimportance of the criteria to the decision under considerati

30、on.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 specific environmental decisions,different entities may initiate the process, different

31、 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 environmental problem to identify andintegrate affected stakeholders and establish a pro

32、cess 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 components (that is, human health, ecologi-cal condition, socio-cultural values and econom

33、ic 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. It also provides general guidance to help withselecting approaches and methods for spe

34、cific 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 (for example Guides E1739, E1984, E2205,and E2876) and environmental compliance guidanc

35、e andrequirements, for example, Quality of Stakeholder-Based De-cisions and Understanding Risk, 40 CRF 1501, 10 CFR 20, andMarine Mammals Protection Act of 1972.9Available from National Oceanic and Atmospheric Administration (NOAA),1401 Constitution Ave., NW, Room 5128, Washington, DC 20230, http:/w

36、ww.noaa.gov.E2348 1725.2 The CBED process is appropriate in two contexts: (1)when a specific project is proposed; and (2) when there are ormay be public concerns about specific health, environmental,cultural, social or economic issues.5.3 Involving affected stakeholders actively in the decision-maki

37、ng process reorients that process from one dominated byregulators and owners to one that includes those who live withthe consequences of the decision. This not only increases thesuccessful implementation of decisions, but also can promotegreater trust in government, industry and other institutions(P

38、/CCRARM, 1997a).6. Consensus-based Environmental Decision-makingFramework6.1 Identification of Affected Stakeholders and Formation 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 a

39、nd decision-evaluation activities. Theaffected stakeholders contribute to problem definition, questionformulation, and decision-making 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 particula

40、r CBED process; thefocus may be on individuals (as in a participatory democracy),on groups (as in a representative democracy), or a combinationof the two. Serious, active management of two-way commu-nication is essential and required to identify the appropriateparties early in the process. Adequate

41、time should be allocatedto complete this effort before other significant CBED discus-sions are undertaken.6.1.3 It 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

42、 Committee; the most effective representatives arethose selected by the group or organization to be represented.There 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 requi

43、re representation; etc.). Each member of theStakeholder Committee is responsible to act as liaison withtheir respective 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

44、 CBED processshould be tailored to the specific features of the process. Theliterature on stakeholder involvement 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 pa

45、rticular process,which requires broad insights into the local and regionalcultures that may be affected by the process. 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

46、are not intended toimply or expect “camps of different opinion,” about potentialissues related to the process; but rather to guide all participantstoward ensuring completeness in representation of stakeholdergroups. Refinements to the map should be made as participantsidentify different relationship

47、s or additional individuals orgroups.6.1.5 The Stakeholder Committee should identify a chair-person. The Chairperson should be selected by the entireStakeholder Committee and be willing to commit the timenecessary to fulfill this function. The Chairperson should beFIG. 1 Example of a Stakeholder Map

48、 Intended to Guide Identification and Notification of All Potential Participants in a CBED ProcessE2348 173perceived as fair and impartial and should have collaborativeleadership skills, including facilitating group interactions.6.1.6 For the Stakeholder Committee to function optimally,it should est

49、ablish 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 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 informationgen