API PUBL 4700-2001 Primer for Evaluating Ecological Risk at Petroleum Release Sites《石油释放地评价生态风险底漆》.pdf

1、PRIMER FOR EVALUATING ECOLOGICALRISK AT PETROLEUM RELEASE SITESAPI Publication 4700Gas StationGroundwater gradientDissolved constituent plume (pathway)(Source)LNAPL(Receptors/habitats)Plume FLMPathwayPrepared for:American Petroleum InstituteWashington, DC 20005Prepared by:Menzie-Cura whereas ahigh p

2、robability of adverse effectsor analytical uncertaintyindicates that more detailed analyses maybe appropriate.Every effort has been made to focus on a few critical ecological risk assessment elements, use existinginformation/data, and simplify instructions for a preliminary evaluation of ecological

3、risk. When relevantinformation is unavailable, or when the site investigator is uncertain in an evaluation, an expert shouldbe consulted. Internal company environmental staff, or subject-area consultants with relevant experience,should be able to complete and document the evaluation process presente

4、d in this primer in less than onework week, even for complicated sites with documented soil/groundwater impacts. For sites whereimpacts are localized and limited to surface/subsurface soils, the analysis should require less than onework week. This document does not address petroleum “spills” that ma

5、y require immediate, emergency responseactivities.vACKNOWLEDGEMENTSThe following persons are recognized for their contributions of time and expertise during this study andin this report preparation:API Staff ContactsRoger Claff, Regulatory and Scientific Affairs DepartmentThomas W. Purcell, Regulato

6、ry and Scientific Affairs DepartmentMembers of the DSS Ecorisk Component Project Workgroup Eugene Mancini, ARCO (ret.), ChairpersonPhil Bartholomae, BP p.l.c.Gregory Biddinger, ExxonMobilPhilip Dorn, Equilon Enterprise LLCJerry Hall, Texaco Worldwide E Lesley Hay Wilson, University of Texas;and Davi

7、d Tsao, BP p.l.c viForewordAPI publications may be used by anyone desiring to do so. Every effort has been made by the Institute toassure the accuracy and reliability of the data contained in them; however, the Institute makes norepresentation, warranty, or guarantee in connection with this publicat

8、ion and hereby expressly disclaimsany liability or responsibility for loss or damage 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 RASA Director, Americ

9、an PetroleumInstitute, 1220 L Street, N.W., Washington, D.C. 20005.This document is intended to facilitate the decision-making process. Under no circumstances does thisguidance contradict the spill reporting and response requirements under various Federal and statestatutes and regulations. The user

10、should consult with the appropriate regulatory agency and followregulatory requirements.viiTABLE OF CONTENTSINTRODUCTION1WHAT IS ECOLOGICAL RISK ASSESSMENT? 3WHAT ARE RELEVANT ECOLOGICAL RECEPTORS AND HABITATS? 5HOW DO I EVALUATE ECOLOGICAL RISK?7HOW DO I BEGIN THE ECOLOGICAL RISK ASSESSMENT PROCESS

11、? .9HOW DO I CONDUCT A PRELIMINARY EVALUATION? 11Step 1 of the Preliminary Evaluation:Are Relevant Ecological Receptors and Habitats at or Near the Site? .15Step 2 of the Preliminary Evaluation:Are Complete Exposure Pathways Present at the Site?.19How Do I Evaluate the Need for an Initial Response A

12、ction?.19How Do I Develop a Site Conceptual Model?.20How Do I Report the Results of a Preliminary Evaluation?.22Preliminary Evaluation Decisions and Summary 24WHEN DO I PROCEED WITH FURTHER TIERED INVESTIGATIONS?25CONCLUSIONS.27REFERENCES.29RECOMMENDED READING/SOURCES OF INFORMATION 31GLOSSARY .33vi

13、iiAPPENDIX. 37Checklist for Onsite Assessment at Petroleum Release Sites/Facilities:Site Summary Report FormLIST OF TABLES1. Some Potential Downstream Sources of Petroleum Releases. 12. Federal Agencies Responsible for Specific Environmental Resources 183. Sample Sections of a Preliminary Evaluation

14、 Report . 23LIST OF FIGURES1. The Framework for Ecological Risk Assessment . 42. Tiered Ecological Assessment Process 73. Site Conceptual ModelDrawing of a Subsurface Petroleum Release . 124. Site Conceptual ModelBox Diagram of a Subsurface Gasoline Releasein a Rural Area 135. Site Conceptual ModelB

15、ox Diagram of a Subsurface Gasoline Releasein an Urban/Suburban Area 136. Checklist for Potential Receptors and Habitats:Step 1 of the Preliminary Evaluation 167. Checklist of Exposure Pathways:Step 2 of the Preliminary Evaluation 218. Sample Checkoff Diagram for a Site Conceptual Model 221INTRODUCT

16、IONEvaluating ecological risk isincreasingly important whenmaking environmental riskmanagement decisions.The purpose of this document is to help site or facility managers actingas site investigators decide how and to what degree they should addressecological risks that may result from a petroleum pr

17、oducts release. Thisprimer focuses on “downstream” operations related to the transportation,distribution, and marketing of petroleum products. Evaluation ofecological risk is becoming an increasingly important input whenmaking environmental risk management decisions. Human health risk,cost, availabi

18、lity and effectiveness of remedial technology, andstakeholder concerns (e.g., property owners, property users, and localcommunity members) are examples of other elements that must beconsidered. To assist in evaluating ecological risk at petroleum releasesites, this primer:g183 Briefly describes the

19、ecological risk assessment processg183 Provides guidance on a tiered processs initial stepspreliminary evaluationthat identify the nature and extent ofecological risk at a release site.Spills or hydrocarbon releases may occur during downstream operations,as shown in Table 1. TABLE 1.SOME POTENTIAL D

20、OWNSTREAM SOURCES OF PETROLEUM RELEASES.CATEGORY SOURCESTransportation Pipelines (pressure, products)Pump stationsASTsUSTsRoad/rail transportRefining (retail/marketing) PipelinesTank farmsTerminalsBulk/distribution plantsDistribution pipelinesASTs (aboveground storage tanks)USTs (underground storage

21、 tanks)2This primer complements theDSS software program.Under no circumstances does this guidance contradict the spill reportingand response requirements under various Federal and state statutes andregulations.Various regulatory and voluntary industry programs govern theassessment and remediation of

22、 petroleum releases from thesedownstream operations. Increasingly, these programs use risk-basedapproaches for guiding actions associated with spills or petroleumproduct releases. The American Petroleum Institutes (APIs) DecisionSupport System for Exposure and Risk Assessment (DSS softwareprogram, A

23、PI, 1999) is an example of a risk-based approach that wasdeveloped with human health concerns in mind. The DSS softwareprogram estimates site-specific risks to human health, identifies the needfor site remediation, develops site-specific cleanup levels for subsurfacesoil and groundwater, and evaluat

24、es the uncertainty associated withhuman health risk estimates.Protecting human health, however, will not necessarily protectecosystems sufficiently. Providing the initial steps to evaluate ecologicalrisk, this primer complements the DSS software program by explaining: g183 How to identify conditions

25、 that may require attention to mitigateimminent ecological riskg183 How to decide if tiered ecological risk assessment is necessary ata petroleum release siteg183 How to use preliminary evaluation results to develop a siteconceptual model that can guide further tiered assessment.While the primer is

26、intended for site or facility managers acting as siteinvestigators, experts in risk assessment and environmental monitoringmay be needed if more thorough or sophisticated analyses are indicated.Internal company environmental staff, or consultants with relevantexperience, should be consulted when mak

27、ing decisions at petroleumrelease sites.3WHAT IS ECOLOGICAL RISK ASSESSMENT?Ecological risk assessment isan analytical tool fordetermining the likelihood ofadverse environmental effectsresulting from humanactivities. As defined by the U.S. Environmental Protection Agency (EPA, 1998),ecological risk

28、assessment is a systematic “process for organizing andanalyzing data, information, assumptions, and uncertainties to evaluatethe likelihood of adverse ecological effects” to ecological receptors.Ecological risks associated with petroleum or petroleum productreleases may occur:g183 When relevant ecol

29、ogical receptors are in the vicinity of thereleaseg183 When these receptors have potential exposure to the releasedproducts or their constituentsg183 When potentially harmful effects are associated with the releasedproducts or their constituents. Ecological risk assessment is used to assess the like

30、lihood of adverseeffects on the environment and to facilitate environmental riskmanagement decision making.The EPA has designed a general framework for conducting ecologicalrisk assessment. An adaptation of this framework is illustrated inFigure 1. Many Federal, state, and industry-based groups have

31、 adoptedthis framework as a starting point for addressing ecological risk. Thisprimer is consistent with the EPA ecological risk assessmentframework, but is written specifically for the assessment of downstreampetroleum release sites. With respect to Figure 1, this primer providesguidance related to

32、 “problem formulation” for site investigators todecide whether a potential problem exists.4FIGURE 1.THE FRAMEWORK FOR ECOLOGICAL RISK ASSESSMENT. Planning(Risk Assessor/Risk Manager/InterestedParties Dialogue)As Necessary:AcquireData, Iterate Process,Monitor ResultsRISK CHARACTERIZATIONANALYSISPROBL

33、EM FORMULATIONCharacterizationofExposureCharacterizationofEcologicalEffectsCommunicating Results to the Risk ManagerRisk Management and Communicating Results to Interested PartiesPathwayAnalysisReceptorsEcological Risk AssessmentHabitats/ReceptorsRelease CharacteristicsConceptualModelThe shading in

34、the figure represents this primers focusguidance related to problem formulationin relationto the framework for ecological risk assessment. Modified from EPA (1992).5WHAT ARE RELEVANT ECOLOGICALRECEPTORS AND HABITATS?Identifying relevant receptorsand habitats is integral toecological risk assessment.

35、The EPA notes thatidentifying valued ecologicalresources is central toecological risk assessment.Guided by the American Society for Testing and Materials definition ofrelevant receptors and habitats (ASTM, 2000), this primer definesrelevant ecological receptors and habitats as ecological resourcesre

36、quiring protection. At a site, identifying relevant resources from allresources is difficult, but integral to the problem formulation phase ofthe ecological risk assessment framework. Some relevant ecologicalresources include communities with threatened or endangered species,recreationally or commer

37、cially important species, regionally ornationally rare habitats, or habitats with high-aesthetic quality or specialprotection afforded by law or regulation. This definition is consistent with guidance provided by the EPA (1997)and many states. For example, guidance on what is important toprotectwhic

38、h may be difficult to determine because of varyingviewpointscan be found in various Federal and state regulationsgoverning ecological resources. The EPA (1997) states that the processof selecting what to protect often includes ecological resources that are:g183 Protected by lawg183 Critical resource

39、sg183 Key components of the ecological system.Various state resource management and environmental regulatorydocuments provide guidance on which receptors commonly areconsidered valued ecological entities, and often list receptors andhabitats that are to be protected by environmental regulations. Pro

40、tectedreceptors usually include: g183 Rare, threatened, or endangered speciesg183 Ecologically important speciesg183 Recreationally or commercially important species.6Certain site-specific receptorsand habitats typically are notincluded in an ecological riskassessment.Protected habitats usually incl

41、ude: g183 Wetlandsg183 Aquatic habitats, such as streams, rivers, lakes, and estuariesg183 Forests and other ecologically important terrestrial habitatsg183 Habitats designated as sensitive or of special interest.Based on guidelines being developed by the EPA and some states,certain receptors and ha

42、bitats typically are not included in an ecologicalrisk assessment. Some receptors include animals that may inhabit urbanor industrial areas (e.g., rats and pigeons), domestic animals, andlivestock. It is possible, however, that such species might be included ina food chain evaluation of human health

43、 impact, where relevant.Areas committed to industrial or commercial use generally are notconsidered valuable resources for ecological risk assessment. Forexample, the following areas usually are not considered:g183 Paved areas (e.g., parking lots, roads, storage areas)g183 Areas in active industrial

44、 or commercial useg183 Median strips and other small isolated areas (which may bevegetated)g183 Sumps and other water collection systems used for industrialpurposes.7HOW DO I EVALUATE ECOLOGICAL RISK?Many Federal, state, andindustry-related agenciesemphasize a tiered approachto ecological risk asses

45、sment.A tiered approach for ecological risk assessment is presented inFigure 2 and is consistent with the process described in the ASTMRisk-Based Corrective Action process (ASTM, 2000). This primerdescribes the initial steps to this tiered approacha preliminaryevaluation. Several state regulatory ag

46、encies (California, Massachusetts,Pennsylvania, Texas, and Washington) have adopted some tieredapproach form, which has the flexibility to assess risk at various detaillevels. In some cases, a simple preliminary evaluation suffices, whileother cases warrant more-detailed ecological risk assessment.F

47、IGURE 2.TIERED ECOLOGICAL ASSESSMENT PROCESS.Regulatory considerationsManagement decisionOther considerationsPreliminary EvaluationStep 1: Are relevant ecological receptors/habitats at or near the site?Step 2: Are complete exposure pathways present at the site?yesManagement decisionCorrectiveactionA

48、dditionalassessmentSubsequenttier(s)Tier 1 Screening AnalysisIncludes evaluation of potential imminent hazardsA conclusion of acceptable risk cannot be reachedImminent hazard presentAcceptable riskManagement decisionDecisions relatingto site closure or conclusionof no significant ecological risknoEv

49、aluate appropriatecorrective measuresThe figures shading represents this primers focusthe preliminary evaluation and the steps preceding it.8The tiered approach allows the site investigator to focus only on thosechemicals and pathways that potentially pose risk to relevant ecologicalreceptors and habitats. Chemicals and/or pathways that do not pose asubstantial risk are eliminated early from consideration. Likewise, if it isapparent that significant ecological impacts already are occurring orlikely to occur at the petroleum release site, then the site or facilitymanager can