API PUBL 1628B-1996 Risk-Based Decision Making (First Edition)《基于风险的决策》.pdf

1、API PUBL*Lb2B b O732290 0559131 834 Risk-Based Decision Making API PUBLICATION 1628B FIRST EDITION, JULY 1996 E nuironmental Partnership American Petroleum Institute API PUBL*(Lb28B 96 0732290 0559332 770 D Environnrcntal Partnnrbip One of the most significant long-term trends affecting the future v

2、itality of the petro- leum industry is the publics concerns about the environment. Recognizing this trend, API member companies have developed a positive, forward looking strategy called STEP Strategies for Todays Environmental Partnership. This program aims to address public concerns by improving i

3、ndustrys environmental, health and safety performance; docu- menting performance improvements; and communicating them to the public. The founda- tion of STEP is the API Environmental Mission and Guiding Environmental Principles. API standards, by promoting the use of sound engineering and operationa

4、l practices, are an important means of implementing APIs STEP program. API ENVIRONMENTAL MISSION AND GUIDING ENVIRONMENTAL PRINCIPLES The members of the American Petroleum Institute are dedicated to continuous efforts to improve the compatibility of our operations with the environment while economic

5、ally developing energy resources and supplying high quality products and services to consum- ers. The members recognize the importance of efficiently meeting societys needs and our responsibility to work with the public, the government, and others to develop and to use natural resources in an enviro

6、nmentally sound manner while protecting the health and safety of our employees and the public. To meet these responsibilities, API members pledge to manage our businesses according to these principles: To recognize and to respond to community concerns about our raw materials, prod- ucts and operatio

7、ns. To operate our plants and facilities, and to handle our raw materials and products in a manner that protects the environment, and the safety and health of our employees and the public. To make safety, health and environmental considerations a priority in our planning, and our development of new

8、products and processes. To advise promptly appropriate officials, employees, customers and the public of information on significant industry-related safety, health and environmental hazards, and to recommend protective measures. To counsel customers, transporters and others in the safe use, transpor

9、tation and dis- posal of our raw materials, products and waste materiais. To economically develop and produce natural resources and to conserve those resources by using energy efficiently. To extend knowledge by conducting or supporting research on the safety, health and environmental effects of our

10、 raw materials, products, processes and waste materials. To commit to reduce overall emissions and waste generation. To work with others to resolve problems created by handling and disposal of hazard- ous substances from our operations. To participate with government and others in creating responsib

11、le laws, regulations and standards to safeguard the community, workplace and environment. To promote these principles and practices by sharing experiences and offering assis- tance to others who produce, handle, use, transport or dispose of similar raw materi- als, petroleum products and wastes. API

12、 PUBL*i162B 96 0732290 0559333 b07 Risk-Based Decision Making Manufacturing, Distribution and Marketing Department API PUBLICATION 1628B FIRST EDITION, JULY 1996 American Petroleum Ins ti tute - API PUBLaLbZBB 96 0732290 0559134 543 SPECIAL NOTES APi publications necessarily address problems of a ge

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26、BL*Lb28B b 0732290 0559335 48T FOREWORD MI publications may be used by anyone desiring to do so. Every effort has been made by the Institute to assure the accuracy and reliability of the data contained in them; how- ever, the Institute makes no representation, warranty, or guarantee in connection wi

27、th this publication and hereby expressly disclaims any liability or responsibility for loss or dam- age resulting from its use or for the violation of any federal, state, or municipal regulation with which this publication may conflict. Suggested revisions are invited and should be submitted to the

28、director of the Manufac- turing, Distribution and Marketing Department, American Petroleum Institute, 1220 L Street, N.W., Washington, D.C. 20005. iii API PUBLXLh28B 96 0732290 0557336 3Lb CONTENTS pape SECTION 1-INTRODUCTION 1 SECTION 2-USES OF RISK-BASED DECISION MAKING . 1 2.1 Overview 1 2.2 Risk

29、Based Corrective Action 2 SECTION 3-COMPONENTS OF A RISK ASSESSMENT . 3 3.1 Overview 3 3.2 Risk Assessment . 4 3.3 Development of Target Levels 6 3.4 Risk Management . 6 3.5 Uncertainties . 6 SECTION ADETERMINATION OF A TERMINATION POINT . 7 4.1 Overview 7 4.2 Target Levels 8 4.3 Closure . 8 SECTIO

30、N 5-OTHER CONSIDERATIONS . 10 APPENDIX A-BIBLIOGRAPHY 13 Figure 1-Life Cycle of a Remediation Project 9 V API PUBL*Lb28B 9b 0732290 0559337 252 Risk-Based Decision Making SECTION 1 -INTRODUCTION A risk-based decision making approach can be utilized both to focus remedial measures and funds on petrol

31、eum hydrocarbon release sites while being protective of human health and the environment and to facilitate timely closure of hydrocarbon-impacted sites. The approach combines the petroleum information gathered during a site investigation with data on the health effects of the site-related petroleum

32、hydrocarbon compounds to evaluate whether a particular site requires remedial action. A risk assessment demonstrat- ing protection of human health and the environment can be helpful in determining if active remediation is warranted at a site and to what degree, and if active remediation may be disco

33、ntinued prior to removing all petroleum hydrocarbon compounds from a medium at a site. Therefore, consider- able monetary savings can be realized while protecting human health and the environment. A risk-based decision making approach is increasingly becoming an integral component in most regulatory

34、 pro- grams under supervision by both federal and state agency personnel. A three-tiered risk-based decision making approach to be used for petroleum releases was developed by the American Society for Testing and Materials (ASTM) in the Standard Guide for Risk-Based Corrective Action Applied ut Petr

35、oleum Release Sites (ASTM 1995). The pro- cess integrates components of the site assessment, risk assessment, risk management, and remediation into a holis- tic site-specific approach that is consistent and technically defensible while still being practical and cost effective. This Publication addre

36、sses the application of a tiered or phased risk-based decision making approach to hydrocarbon- impacted sites. The U.S. Environmental Protection Agency (USEPA) has stated that six components represent the bulk of the risk assessment process regardless of the intended goal or the point in the project

37、 when a risk assessment is performed These components include: a. Site characterization. b. Data evaluation or chemical(s) of concern characteriza- tion. c. Exposure assessment. d. Toxicity assessment or hazard characterization. e. Risk characterization or development of remediation goals. f. Uncert

38、ainties. Each of these components (and the information each is comprised of) will be discussed later in greater detail. Utilizing a risk-based decision making approach to iden- tify the project termination point involves at a minimum, conducting an exposure assessment to identify complete exposure p

39、athways by which receptors (people andor the environment) could potentially be exposed to site-related chemical(s) of concern. Prior to utilizing a risk-based deci- sion making approach, an organization should evaluate the regulatory climate and discuss the process with the lead reg- ulatory agency

40、to determine whether adopting this approach to corrective action or remediation will be acceptable. If the regulatory climate is favorable, there are certain data requirements beyond those typically collected in a site assessment that should be met to facilitate use of a risk- based decision making

41、approach to remediation (API 1993; ASTM 1996). SECTION 2-USES OF RISK-BASED DECISION MAKING 2.1 Overview Risk-based decision making is useful in identifying and managing potential health risks associated with release sites. Risk-based decision making can provide a framework for decision-making at si

42、tes and assist in streamlining the corrective action process. Specific objectives necessary to realize this goal include the following: (a) an analysis of baseline risks (potential adverse health risks that could result in the absence of any remediation activities at a site) to determine the necessi

43、ty for remedial action, (b) concen- trations of chemical(s) of concern that can remain in place and not threaten human health and the environment, (c) a basis for comparing health impacts potentially associated with various remedial alternatives, and (d) a consistent and logical process for evaluati

44、ng potential threats to human health and the environment at release sites (USEPA 1989a). Risk-based decision making is a process that quantifies (a) the potential risks to identified receptors associated with exposure to site-related chemicals of concern or (b) site-spe- cific remediation target lev

45、els for impacted media that will protect human health if exposure to the identified receptors occurs. Generally, a baseline risk assessment is used to pre- dict the potential adverse risks to human health and the environment associated with chemicai(s) of concem at a site in the absence of remediati

46、on or institutional controls to controVprevent exposure to the chemical(s) of concern. However, exposure/risk assessments also are conducted at 1 2 API PUBL*Lb28B 96 0732290 0559338 399 API PUBLICATION 16288 impacted sites before corrective action is undertaken to identi9 remedial target levels that

47、 when reached, represent the project termination point at which human health and the environment are protected. The latter approach is used in the Risk-Based Corrective Action (RBCA) pro:ess (ASTM 1995). Risk assessments may be used after active remedia- tion is complete to predict the risks associ

48、ated with residual concentrations of chemical( of concern left in-place. 2.2 Risk-Based Corrective Action Risk-Based Corrective Action (RBCA) is an approach that incorporates risk and exposure assessment practices with the traditional components of corrective action, i.e., emergency response, initia

49、l abatement, site assessment, and remedial action to focus remedial measures and resources consistent with the level of risk posed by a site to human health and the environment, and to facilitate timely closure of hydrocarbon release sites. The RBCA approach com- bines the information gathered during a site assessment with data on the health effects of the chemicals identified on site to evaluate a particular site for remedial actions. Chemi- cal() and pathways of concern are identified, and site-spe- cific target levels are determined. By definition, risk is dependent