1、Designation: E 2020 99a (Reapproved 2004)Standard Guide forData and Information Options for Conducting an EcologicalRisk Assessment at Contaminated Sites1This standard is issued under the fixed designation E 2020; the number immediately following the designation indicates the year oforiginal adoptio
2、n or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon (e) indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide is intended to assist remedial project teams,specifically ecolo
3、gical risk assessors, in identifying data andinformation options that may be used to perform a screening orcomplex ecological risk assessment (ERA) at a contaminatedsite.1.2 The identification of data and information options forhuman health risk assessment is outside the scope of this guide.1.3 This
4、 guide is intended to provide a list for identifyingdata and information options and does not recommend aspecific course of action for ERA activities.1.4 This guide addresses data and information options forthe ecological risk assessment, not verification or long-termmonitoring studies.1.5 This guid
5、e lists many of the common data and informa-tion options for ERA, but there may be others relevant for anyparticular site.1.6 This guide considers one component of an ERA, that is,identification of data and information options. Other ASTMguides have been developed, for example, Guides E 1689 andE 18
6、48, and are being developed to cover other components ofthe risk assessment process.1.7 This guide does not provide information on how toperform any of the analytical procedures used to perform a riskassessment once data collection options are defined.2. Referenced Documents2.1 ASTM Standards:2D 573
7、0 Guide for Site Characterization for EnvironmentalPurposes with Emphasis on Soil, Rock, the Vadose Zoneand Ground WaterE 1391 Guide for Collection, Storage, Characterization, andManipulation of Sediments for Toxicological Testing andfor Selection of Samplers Used to Collect Benthic Inver-tebratesE
8、1525 Guide for Designing Biological Tests with Sedi-mentsE 1689 Guide for Developing Conceptual Site Models forContaminated SitesE 1848 Guide for Selecting and Using Ecological Endpointsfor Contaminated Sites3. Terminology3.1 Definitions of Terms Specific to This Standard:3.1.1 assessment endpoint,
9、nan explicit expression of theenvironmental value to be protected.3.1.2 chemical stressor, na chemical, chemical mixture,or radionuclide present in an environmental medium that isknown or suspected to induce an adverse biological, toxico-logical, or ecological response in an exposed ecological recep
10、-tor.3.1.3 complex ecological risk assessment, nan ecologicalrisk assessment completed using quantitative methods, whichrelies on site-specific data and may include toxicity testing,field biological surveys, and probabilistic analysis.3.1.4 data quality objective, na specification of theamount and q
11、uality of data required to adequately complete therisk assessment such that a risk management decision can bemade.3.1.5 ecological receptor, necosystems, communities,populations, and individual organisms (except humans), thatcan be exposed directly or indirectly to site stressors.3.1.6 measurement e
12、ndpoint, na measurable response to astressor that is quantifiably related to the valued characteristicchosen as the assessment endpoint.3.1.7 non-chemical stressor, na biological agent, physicaldisturbance, condition, or nonchemical characteristic of awaste material, substrate, or source associated
13、with a contami-nated site and corrective actions that is known or suspected tointerfere with the normal functioning of an ecological receptor.1This guide is under the jurisdiction of ASTM Committee E47 on BiologicalEffects and Environmental Fate and is the direct responsibility of Subcommittee E47.0
14、5 on Risk Assessment, Communication, and Management.Current edition approved August 1, 2004. Published August 2004. Originallyapproved in 1999. Last previous edition approved 1999 as E 202099a.2For referenced ASTM standards, visit the ASTM website, www.astm.org, orcontact ASTM Customer Service at se
15、rviceastm.org. For Annual Book of ASTMStandards volume information, refer to the standards Document Summary page onthe ASTM website.1Copyright ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, United States.3.1.8 screening ecological risk assessment, nan ecolo
16、gi-cal risk assessment completed using qualitative or simplequantitative methods, which relies on literature informationand is unlikely to include toxicity testing, field biologicalsurveys, or probabilistic analysis.3.1.9 site, nthe terms “site,” “on-site,” and “off-site,”have not been defined in th
17、is guide. They will need to bedefined on a case-by-case basis. They could be defined byregulatory needs, natural boundaries, or property boundaries.4. Summary of Guide4.1 This guide provides a series of lists of data andinformation options for conducting an ecological risk assess-ment at a contamina
18、ted site and is organized in accordancewith the major components of the risk assessment process:problem formulation, exposure characterization, effects char-acterization, and risk characterization (1-4).3Lists are providedfor screening and complex ERAs.5. Significance and Use5.1 This guide is signif
19、icant in that it addresses the data andinformation options of each component of the ecological riskassessment process, for both a screening and complex ERA. Itoutlines the data and information options while recognizingthat an ecological risk assessment may be focused to achieve aparticular stated go
20、al. This guide is not intended to representthe views of the U.S. Environmental Protection Agency(USEPA), or any other regulatory agency, on data collectionfor ecological risk assessment.5.2 This guide is to be used by managers, scientists, andtechnical staff of contractors, industry, government agen
21、cies,and universities responsible for conducting ecological riskassessments at contaminated sites. It is to be used to guide datacollection phases of the ecological risk assessment. It willassist in the development of the conceptual site model (seeGuide E 1689) and the identification of potential as
22、sessmentand measurement endpoints (see Guide E 1848). While it waswritten to assist in planning an ERA, the list also may be usedin the review of a completed ERA.6. General Guidance on Determining Data CollectionOptions for Ecological Risk Assessment6.1 It is imperative that the goals of the ERA are
23、 outlined atthe beginning of the ERA process. Data collection efforts maythen be focused to ensure a sound scientific approach andcost-effective use of resources, for example, time and money.6.2 The lists are not meant to be exhaustive. Neither are theyintended to be lists of data required for all E
24、RAs. The amountand type of data required for a screening or complex ERA willdepend upon the size and location of the site, the futureintended use of the site, the complexity of the site, and theoutcome of the data quality objectives (DQO) process (5).Atypical site may utilize only a small percentage
25、 of these dataand information options. These lists are intended to serve as ageneral index to data collection efforts.7. Lists7.1 Not all of the components within the following lists willbe relevant at every contaminated site. In addition, someinformation may be site-specific and other information m
26、ay beobtained from the literature. Literature data are more prevalentin screening ERAs and site-specific data are more prevalent incomplex ERAs. Whenever practicable, site-specific data arepreferred over literature data.7.2 The options in the lists are not in any particular order.Risk assessment oft
27、en is an iterative process, and it may bemore scientifically sound and cost-effective to complete certainoptions before others. The order for the completion of optionswill need to be determined on a case-by-case basis.8. Data Options for Problem Formulation8.1 Most of the data and information option
28、s in problemformulation are applicable to both screening and complexERAs and are outlined below; however, the information will bemore detailed in a complex ERA. Additional data and infor-mation options typically found only in complex ERAs arelisted in Section 9.8.2 Clearly define the goals of the ER
29、A (6).8.3 Define data quality objectives (DQOs) for the assess-ment (see Ref. 5).8.3.1 State the problem that the risk assessment shouldaddress.8.3.2 Identify the decision(s) that require new environmen-tal data to address the contamination problem.8.3.3 Identify the inputs (data or information) nee
30、ded tosupport the decision.8.3.4 Define the scale (spatial and temporal) of the assess-ment.8.3.5 Develop a decision rule that defines choice amongalternative solutions.8.3.6 Specify acceptable limits on decision errors used toestablish performance goals for limiting uncertainty.8.3.7 Optimize the d
31、esign for obtaining data, by identifyingthe most resource-effective sampling and analysis plan.8.4 Complete the conceptual site model (see Guide E 1689)8.4.1 Identify the current and historical sources of potentialchemical stressors, such as the following:8.4.1.1 Process areas;8.4.1.2 Landfill;8.4.1
32、.3 Burial ground;8.4.1.4 Underground or aboveground storage tanks, or both;8.4.1.5 Lagoons;8.4.1.6 Holding ponds;8.4.1.7 Air stacks or other air emission sources;8.4.1.8 Effluent pipes; or,8.4.1.9 Historical spills or accidental releases.8.4.2 Identify nonchemical, for example, physical and bio-logi
33、cal stressors, such as the following:8.4.2.1 Nonnative or exotic species;8.4.2.2 Pathogens;8.4.2.3 Temperature;8.4.2.4 Suspended solids;8.4.2.5 Change in water levels;8.4.2.6 Oxygen depletion;3The boldface numbers in parentheses refer to the list of references at the end ofthis standard.E 2020 99a (
34、2004)28.4.2.7 pH;8.4.2.8 Predators;8.4.2.9 Habitat alteration, degradation or destruction; or,8.4.2.10 Non-site-related stressors, for example, local re-leases from municipal or industrial development.8.4.3 Identify potential constituent migration pathways.8.4.4 Identify geological features that con
35、trol movement ofconstituents and dictate exposure pathways. In particular, noteany features which would cause unpredictable movement ofconstituents, for example, karst formations in limestone oftencause difficulties in tracing ground water movement.8.4.5 Identify all relevant constituent-bearing med
36、ia, suchas the following:8.4.5.1 Soil;8.4.5.2 Ground water;8.4.5.3 Surface water;8.4.5.4 Sediment;8.4.5.5 Air; or,8.4.5.6 Biota.8.4.6 Identify direct and indirect complete exposure path-ways. Ensure that exposure pathways are identified appropri-ately, for example, PCBs may not be detected in surfac
37、e water,but may be detected in fish tissues, and therefore, food webexposure pathways are appropriate to consider. Exposurepathways may include the following:8.4.6.1 Inhalation;8.4.6.2 Ingestion;8.4.6.3 Dermal uptake;8.4.6.4 Root uptake; or,8.4.6.5 Food web.8.4.7 Identify normal and atypical weather
38、 patterns for thesite location, such as the following:8.4.7.1 Excessive dry periods with high winds may lead toincreased levels of constituents in air from fugitive dusts, anddestruction of habitat;8.4.7.2 Storm events, for example, hurricanes, that maymobilize constituents, for example, suspension
39、of sedimentsmay increase the bioavailability of constituents;8.4.7.3 Periodic flooding may result in certain exposurepathways that may otherwise not exist, for example, contami-nation of the floodplain community from a stream; or,8.4.7.4 Fluctuations in salinity.8.4.8 Define the assessment endpoints
40、 and include rationalefor their selection (see Guide E 1848).8.4.8.1 Ensure the assessment endpoints are relevant todecision-making.8.4.8.2 Consider whether endpoints are ecologically rel-evant.8.4.8.3 Consider whether endpoints have societal impor-tance.8.4.8.4 Determine whether endpoint species ar
41、e or could beat the site.8.4.8.5 Consider whether endpoint species are sensitive tosite constituents.8.4.8.6 Consider whether endpoint species are likely toreceive high exposures.8.4.9 Identify any threatened, or endangered species (plantor animal), or both, known to inhabit, or that could potential
42、lyinhabit, the vicinity of the site. Also, identify the presence ofhabitat that could be utilized by threatened and endangeredspecies. Consider using state or federal listings of threatened,rare and endangered species, for example, Natural HeritageProgram. Consider local laws and regulations to iden
43、tify anyprotected species or species of local concern.8.4.10 Identify any commercially or recreationally impor-tant species in the area of the site.8.4.11 Describe the food web. Identify multiple foodsources, where appropriate, in the foraging area of eachreceptor species. Consider consulting with l
44、ocal naturalists, forexample, Department of Natural Resources, Fish and WildlifeService, Department of Environmental Protection, NaturalHeritage Program, to obtain information on local species.8.4.12 Define measurement endpoints and include rationalefor their selection. Also, describe relation betwe
45、en assessmentendpoints and measurement endpoints.8.4.13 Present both current and future exposure scenarios.Future exposures should be based on reasonably anticipatedfuture land use. Describe how future exposures may change, asa result of the following scenarios, for example:8.4.13.1 Increased releas
46、e from a ground water plume to astream;8.4.13.2 Increased habitat from forest succession causesadditional ecological receptor species to be in contact withconstituents;8.4.13.3 Decreased exposure because of scouring of sedi-ments out of a stream, but increased exposure downstreamwhere sediments sett
47、le;8.4.13.4 Weather-related seasonal or periodic changes; or,8.4.13.5 Continued physical degradation or biodegradationof constituents.8.5 Environmental Description of Site (7):8.5.1 Describe and map current and potential future land usescenarios of the site and surrounding area, to ensure assessment
48、endpoints and ecological receptor species are selected that areappropriate for current and future land uses. Land uses mayinclude the following:8.5.1.1 Residential;8.5.1.2 Park land/recreational;8.5.1.3 Industrial;8.5.1.4 Commercial;8.5.1.5 Agricultural;8.5.1.6 Forested;8.5.1.7 Wetlands;8.5.1.8 Wild
49、life preservation area; or,8.5.1.9 Aquatic habitat.8.5.2 Describe and map the aquatic habitat.8.5.2.1 Describe and map features as follows:(a) Type and area of habitat;(b) Function of habitat;(c) Water and sediment quality parameters;(d) Pattern of ground water and surface water flow;(e) Ground water discharge and recharge points; or,(f) Flora and fauna historically present, currently present,or expected to be present.E 2020 99a (2004)38.5.2.2 Consider photographing relevant features.8.5.2.3 Consider utilizing geographic information systems(GIS) or similar visualization too
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