Tackling environmental risks with environmental planning: international experiences

Report 2014/32

Vibeke Wøien Hansen, Rasmus Reinvang, John Magne Skjelvik og Haakon Vennemo

Tackling environmental risks with environmental planning: international experiences

Category	Reports
Sub-Categories	Development Cooperation
Year	2014
Report Number	32
Author(s)	Vibeke Wøien Hansen Rasmus Reinvang John Magne Skjelvik Haakon Vennemo
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R	E	PORT	报告	 	
2014/32	 	
Kristin Aunan, 	Vibeke W.	 Hansen, Rasmus Reinvang, 	John Skjelvik and Haakon V	ennemo 	 
 
 	
 	
Tackling environmental risks with 	
environmental planning	: 	
international experiences	 	
通	过环境规划解决环境风险	：	国	际经验

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	1 	
Do	cument	 deta	ils 	 	
Vista Analyse	 AS	 	Report 	num	ber 	2014	/32	 	 	
Report	 titl	e 	Tackling environmental risks with 
environmental planning: international 
experiences	 	
 	
ISBN	 	978	-82	-8126	-173	-0 	 	
Authors	 	Kristin Aunan, Vibeke W.	 Hansen, Rasmus 	
Reinvang, John Skjelvik and Haakon Vennemo	 	
 	
Dat	e for 	completion	 	9. mai 2015	 	 	
Pro	jekt	 leader	 	Haakon Vennemo	 	 	
Quality controller	 	Karin Ibenholt	 	 	
Commissioned by	 	Chinese 	Ministry of Environmental Protection 	
(MEP) 	 	
 	
 	
Availability	 	Public	 	 	
Publis	hed	 	Pdf	 	 	
Keywords	 	Environmental risks, 	environmental planning, 	
China

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	2 	
For	eword	 	
This report is developed as 	an activity under	 the Sino	-Norwegian 	cooperation 	project 	
“Planning for cost	-effective environmental risk reduction	”. 	Through several examples 	it 	
review	s relevant policies to reduce acute, accumulated and regional environmental risks 	
in the EU and the US	, and	 potential lessons for China are proposed.	 	
The target audience for the report is our colleagues at provincial 	and city 	environmental 	
protection bureaus (EPBs) and their associated research institutes	 for prevention of, and 	
emergency response to environmental risk	. In particular	, the project coopera	tes with 	
the EPBs of 	Jiangsu Province, Guizhou Province and the cities of Anshun (Guizhou) and 	
Tongling (Anhui)	. Colleagues at Ministry of Environmental Protection 	(MEP) 	may also 	
find the report useful	 for their work	. Being a long text the report is meant 	for reference 	
purposes and for readers interested in particular topic. The executive summary points 
to similarities and 	draw 	general inferences. 	 	
Vista Analysis has been main responsible for the 	report	, and our partners at the 	Chinese 	
Ac	ademy of 	Environmental Planning	, led by 	Ms. 	Yu Fang	 and Mr. Cao Guozhi	, have 	
contributed with valuable inputs to previous drafts	. 	
We sincerely thank all who has contributed to the report	. 	
The report was finalized	 in 2014	. 	
9 mai 2015	 	
Haakon Vennemo	 	
Project	 le	ader	 	
Vista Analysis AS

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	3 	
Content	 	
Document	 details	 ................................	................................	................................	................................	.............	 1 	
Foreword	 ................................	................................	................................	................................	............................	 2 	
Content	 ................................	................................	................................	................................	................................	 3 	
Executive Summary	 ................................	................................	................................	................................	........	 7 	
1 	Introduction	引言	 ................................	................................	................................	...............................	 20	 	
1.1	 	Three categories of environmental risks	环境风险的三个类别	 .............................	 20	 	
1.1.1	 	Acute environme	ntal risks	突发性环境风险	 ................................	.............................	 21	 	
1.1.2	 	Accumulated environmental risk 	累积性环境风险	 ................................	.............	 21	 	
1.1.3	 	Environmental risks in particular regions (areas)	 ................................	..................	 22	 	
1.2	 	Fundamental principles and approaches	 in environmental risk policy 	
development	制定环境风险政策时的基本原则和方法	 ................................	...........................	 23	 	
1.2.1	 	How do you know that something is a problem for health and/or ecology	 .. 23	 	
1.2.2	 	How do you approach an environmental risk problem?	 ................................	.......	 24	 	
1.2.3	 	Underlying principles	基本原则	 ................................	................................	.....................	 25	 	
1.2.4	What kind of institutional arrangementsare needed?	需要什么样的制度安排？	
 	27	 	
1.2.5	 	How have the abatement actions been funded? 	如何筹集减排行动的资金？	
 	28	 	
1.2.6	 	What kind of policy instruments has been used?	采用了何种政策工具？	 .....	 29	 	
1.2.7	 	How have the regulations been enforced?	法规是如何执行的？	 .......................	 30	 	
1.3	 	About the examples (“case studies”)	关于范例（“案例研究”）	 ........................	 30	 	
2 	Part 2: Policies handling environmental risks to public health and ecology	 ...............	 34	 	
2.1	 	Regulating industry pollution: the EU Industrial Emissions Directive (IED)	工业	
污染监管：欧盟工业排放指令（	IED	）	 ................................	................................	..........................	 34	 	
2.1.1	 	Introduction	综述	 ................................	................................	................................	.................	 34	 	
2.1.2	 	Principles	 ................................	................................	................................	................................	. 35	 	
2.1.3	 	Approach	 ................................	................................	................................	................................	.. 37

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	4 	
2.1.4	 	Tools	 ................................	................................	................................	................................	..........	 41	 	
2.1.5	 	Results	 ................................	................................	................................	................................	.......	 47	 	
2.1.6	 	Lessons and suggestions for China	对中国的启示和建议	 ................................	....	 48	 	
2.2	 	Discharges to water	:EU’s Water Framework Directive	污染物向水中排放	：	欧	
盟水框架指令	 ................................	................................	................................	................................	............	 50	 	
2.2.1	 	Introduction	引言	 ................................	................................	................................	.................	 50	 	
2.2.2	 	Principles	指令的原	则	 ................................	................................	................................	........	 56	 	
2.2.3	 	Approaches	 ................................	................................	................................	.............................	 58	 	
2.2.4	 	Tools	 ................................	................................	................................	................................	..........	 66	 	
2.2.4 	水框架指令的工具	 ................................	................................	................................	...................	 66	 	
2.2.5	 	Results	结果	 ................................	................................	................................	............................	 78	 	
2.2.6	 	Lessons and suggestions for China 	对中国的建议	 ................................	..................	 83	 	
2.3	 	Release of heavy metals and other hazardous substances	 ................................	.......	 89	 	
2.3.1	 	OSPAR Convention 	OSPAR	公约	（	奥斯陆	-巴黎公约	）	 ................................	.......	 89	 	
2.3.2	 	EU REACH Directive	欧盟	REACH 	指令	 ................................	................................	.....	108	 	
2.3	.3 	EU: Seveso Directives: reducing risks of major accidents	 ................................	..126	 	
2.4	 	Protection of nature and soil	自然和土壤的保护	 ................................	.......................	149	 	
2.4.1	 	The EU Habitats Directive: An ecological red line for preserving biodiversity 	
in EU	《欧盟栖息地指令》：欧盟保护生物多样性的生态红线	 ................................	.....	149	 	
2.4.2	 	EU Soil Thematic Strategy	欧盟土壤保护主题战略	 ................................	..............	173	 	
2.4.3	 	US Superfund	美国超级基金	 ................................	................................	..........................	178	 	
2.5	 	Emissions to air	空气污染物排放	 ................................	................................	.....................	209	 	
2.5.1	 	Preparations for climate	-friendly air quality management in the EU and USA	
 	209	 	
2.5.2	 	Summaries of case studies from Phase I	 ................................	................................	...224	 	
3 	Part 3: Examples of balancing the economic development andenvironmental 	
pr	otection	第	3	部分	：	平衡	经济发	展与	环	境保	护	的例子	 ................................	..........................	236	 	
3.1	 	APELL 	– Awareness and preparedness for emergencies at local level	 ..............	236

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	5 	
3.1.1	 	Introduction	引言	 ................................	................................	................................	...............	236	 	
3.1.2	 	Principles APELL	原	则	与策略	 ................................	................................	.......................	239	 	
3.1.3	 	Approach 	方法	 ................................	................................	................................	.....................	241	 	
3.1.4	 	Tools	 ................................	................................	................................	................................	........	243	 	
3.1.5	 	Lessons and suggestions for China	 ................................	................................	..............	247	 	
3.2	 	Industrial parks: Risk management in European chemical parks	工业	园	：	欧洲	
化工园区	的	风险	管理	 ................................	................................	................................	............................	250	 	
3.2.1	 	Introduction	引言	 ................................	................................	................................	...............	250	 	
3.2.2	 	Principles	原	则	 ................................	................................	................................	....................	255	 	
3.2.3	 	Approach	方法	 ................................	................................	................................	.....................	257	 	
3.2.4	 	Tools 	工具	 ................................	................................	................................	..............................	261	 	
3.2.5	 	Lessons and suggestions for China 	对中国的启示和建议	 ................................	..268	 	
3.3	 	Integrated River Basin Management in the transnational Rhine River Basin 	– 	
regional risk management and follow	-up of the EU Water Framework Directive 	《跨	
国莱茵河流域综合流域管理》	—	 区域风险管理和	《欧	盟水框架指令》	后续行动	 ....	270	 	
3.3.1	 	Introduction	引言	 ................................	................................	................................	...............	270	 	
3.3.2	 	Principles	原	则	 ................................	................................	................................	....................	275	 	
3.3.3	 	Approach	方法	 ................................	................................	................................	.....................	278	 	
3.3.4	 	Tools	工具	 ................................	................................	................................	.............................	279	 	
3.3.5	 	Results	结	果	 ................................	................................	................................	..........................	294	 	
3.3.6	 	Suggestions and recommendations for China	对中国的启示和建议	 .............	296	 	
3.4	 	Decreased exposure to hazardous pollutants in the EU: how did it happen?	 欧	
盟减少接触危	险污	染物	：	如何	实现	的	？	 ................................	................................	......................	306	 	
3.4.1	 	Introduction	 and principles	引言	 ................................	................................	.................	306	 	
3.4.2	 	Tools	 ................................	................................	................................	................................	........	311	 	
3.4.3	 	Results in Europe	欧洲所取得的成就	 ................................	................................	........	324	 	
3.4.4	 	Lessons and suggestions for China	对中国的启示和建议	 ................................	..333

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	6 	
References	 ................................	................................	................................	................................	.....................	339

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	7 	
Executive Summary	 	
Abstract	 	
We review 	relevant	 policies to reduce acute, accumulated and regional environmental risks	 	
in the EU and the US. Potential lessons for China are proposed. We n	ote that Western 	
countries over the years have reduced a number of environmental risks considerably, 
initially by applying various command and control policy instruments, and then gradually 
by applying more flexible regulations. We find that many policy in	itiatives are directed 	
towards curbing environmental risks in general, and do not distinguish clearly between the 
various kinds of risks. 	 	
Background	 	
The 	Baseline Study of Environment Planning and Risk Management in China	 (Vista 	
Analysis report 2013/37	) reveals that the e	nvironmental policy in China is currently in a 	
phase where basic legislation and principles are in place	, but where necessary 	
institutional development, baseline data collection, policy and cross	-sector 	
mainstreaming as well practical app	lication of environmental policy are still at a 	
youthful stage. Many practical problems remain for integrated application of high	-	
quality environmental planning and risk management. 	 	
In the 12	th 5-Year Plan (2011	-2015), the Chinese government made it a pri	ority to 	
“strengthen the environmental risk preve	ntion and control in key fields	”, and	 lists	 risk 	
prevention as one of the main tasks of environmental protection. 	 	
Current overall challenges regarding environmental planning and risks management, 
include 	ac	cording to the Baseline Study 	lack of dissemination and standardization of 	
experience and tools for environmental risk planning, lack of overview and risk handling 
capacity on the ground, lack of experience and methods for regional planning to manage 
envir	onmental risk, lack of standardization of practices across different departments 	
and regions, and lack of integration of environmental risk principles in relevant laws and 
regulations. 	 	
Current environmental risk management mostly relies on the 	investigation, 	
troubleshooting and regulation of government departments, while enterprises generally 
do not carry out risk management assessments and they often lack competence and 
awareness about the importance of risk management. The situation for enterp	rises can 	
be challenging, as the official targets of environmental risk prevention and control as 
well as the means, are often not clear.	 	
In 	this report 	we intend	 to show how the EU and the US through practical policies have 	
approached the environmental r	isks caused by various pollutants	. China 	may	 be 	
inspired of and learn from 	this 	when improving its policies to reduce environmental 	
risk.	 	
The target audience for the report is our colleagues at provincial and city environmental 
protection bureaus (EPBs) a	nd their associated research institutes for prevention of, and 	
emergency response to environmental risk. Being a long text the report is meant for 
reference purposes and for readers interested in particular topic	s. In this executive

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	8 	
summary we point to com	mon themes across the EU and US policies, and give an 	
overview over these policies	. Chapter 1 gives direction for further reading. 	 	
W	e divide the environmental risks into three categories, in line with the challenges 	
China faces when tackling its 	environmental problems:	 	
1. Acute	 environmental risks and 	emergency response, i.e. damage	 and response 	
related to emissions/releases caused by sudden	 and	 large emissions	, sometimes 	
caused by accidents	 	
2. Accumulated	 environmental risks, i.e. damages resulting fro	m long	-term 	
emissions/exposures to a pollutant, also referred to as chronic risk, and 	 	
3. Regional 	(spatially concentrated	) environmental risks	, which could be of both 	
acute and accumulative type. In areas with several emission sources, multiple 
habitats, sub	stances and endpoints	, and generally high concentrations of 	
pollutants, the aggregate level of environmental risk may be higher than can be 
deemed from inspection of each source in isolation. 	 	
Principles and approaches	 	
The environmental problems addressed 	in the 1970s and 1980s in Western countries 	
were mostly caused by high concentrations accumulated over several years. Some acute 
emissions caused by accidents in some plants also contributed to raising awareness. A 
main driver for the development of the en	vironmental policy in the 1970s and 80s was 	
public awareness. Some of the main principles behind the policies and approaches in 
Western countries have been:	 	
 	The	 precautionary principle	, focusing on reducing the risk for potential 	
damages from new releases, e.g. of toxic substances, even if their 	potential 	
damages are not fully understood.	 	
 	The	 substitution principle, 	stating that a harmful production input or consumer 	
product should be s	ubstituted with a less harmful one if such exist.	 	
 	Right to information,	 most information on emissio	ns, local air and water 	
quality	, contaminated sites etc. 	is today publicly available.	 	
 	The	 subsidiarity principle	 is today a key principle for all policies in	 the EU, 	
ensuring that decisions are taken as 	near	 as possible to the citizens	 affected	. 	
 	Fairness and equity	 are important 	in order 	to ensure broad acceptance for the 	
environmental regulations.	 	
 	The polluter	-pays principle (PPP)	, defined as the polluter 	being	 responsible 	for	 	
pay	ing	 for the emissions reductions from their own activities.	 But 	government 	
funding 	has 	often 	been provided for the cleaning up of old, abandoned industry 	
sites.	 	
 	Cost benefit	 considerations,	 although formal cost benefit analysis has	 not 	
always been explicitly used.	 	
Policy approaches are generally 	based in law	, to ensure a solid and lasting foundation of 	
the policy. 	This enables	 those affected to 	take the regulator or polluter to court	 to 	
ensure an impartial judgment of the case	, and 	that a polluter which has violated laws 	
will have to pay compensation	. The legislation generally does not make any distinction 	
between for instance acute and accumulated risks. However, there are in all countries 
special rules on how to 	control damages fro	m acute accidents	 if they occur.

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	9 	
Designated institutions	 have been established	, staffed with personnel with the necessary 	
skills. The one and same institution is usually responsible for handling all three kinds of 
environmental risks. However, there might	 be special institutions handling the rescue 	
and cleaning up from acute emissions to water and soil. 	 	
Most of the policy instruments have been based on 	command and control	. Generally, 	
the same policy instruments have been used for all 	three kinds of e	nvironmental risks,	 	
but there are some examples of how policy instruments could be particularly targeted 
towards one or two types of risk. Over the years more 	flexible regulations	, giving 	
plants some more choice on how to reduce emissions, have been introd	uced. Gradually 	
some 	economic instruments	 like taxes on emissions and harmful production inputs, 	
emissions trading etc. have also been introduced. 	 	
Lessons from the examples in EU and US	 	
In the following we present best practice examples of how acute, accumulated and 
regional environmental risks have been handled by policies in the EU and the US, see 
table A for an at	-the	-glance summary. The examples indicate how the principles and 	
approac	hes just outlined have been put to use in the contexts of the individual issue 	
areas. Each example also includes a paragraph on lessons that may be of value for China. 	 	
Table 	A. Overview of policy examples and the types of environmental risk they 	
address	 	
Policy Examples	 	Acute Risk	 	Accumulated Risk	 	Regional Risk	 	
EU Industrial Emissions Directive	 	x 	x 	(x)	 	
EU Water Framework Directive	 	(x)	 	(x)	 	x 	
The O	SPAR	 Convention	 	(x)	 	x 	x 	
EU Reach Directive	 	 	x 	x 	
EU Seveso Directives	 	x 	 	(x)	 	
EU Habitats Directive	 	 	(x)	 	x 	
EU Soil Thematic Strategy	 	 	x 	(x)	 	
US Superfund	 	 	x 	 	
Climate	-friendly air quality control	 	 	x 	x 	
APELL	 	x 	 	(x)	 	
Chemical industrial parks	 	x 	 	(x)	 	
IRBM in the Rhine River	 	(x)	 	(x)	 	x 	
 
Regulating industry pollution: the EU Industrial Emissions Directive (IED) 	 	
Th	e Industrial Emissions Directive (IED) 	shows how EU applies 	an integrated approach 	
to control emissions into air, water and soil, waste management, energy efficiency and 
accident prevention. 	It shows the basic approach to regulations of 	environmental 	risks	 	
caused by industrial sources, based on Best Available Techniques (BAT). 	The 	
requirements 	of the IED Directive represent current “best practice” in the EU on how to 	
grant emission permit	s, what they should contain and how the regulations should be 	
mon	itored and enforced. It should therefore be a lot to learn from the IED for Chinese 	
environmental authorities.	 	
An approach for China could be to start out with the 	Best Available Techniques 	
Reference Documents	 (BREFs) that the EU has developed for the var	ious industries

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	10	 	
when deciding what level of emission reductions to impose on industries. The BAT 
specified in the BREFs could be adjusted to local Chinese conditions, taking into account 
issues like what technologies could be available and most suitable, w	hat it would cost to 	
replace existing technologies with BAT etc. In this respect it should also be considered if 
some simpler, perhaps cheaper “en	d-of pipe” solutions	 (i.e. installing cleaning devic	es) 	
could be more cost	-effective and yield environmental i	mprovements quicker	, compared 	
with	 changing (larger parts of) the production processes. 	 	
EU’s Water Framework Directive 	 	
The EU Water Framework Directive (WFD) provid	es	 the legal framework for all water 	
management in the EU. 	It contributes to 	reduc	ing	 regional environmental risk	 related to 	
water by imposing 	and 	monitoring environmental standards and integrated 	
management at river basin level.	 It commits	 EU	 member states to achieve 	the goal of 	
good qualitative and quantitative status f	or	 all	 water bodies	 by 2015. The goal of the 	
directive is to prevent further deterioration of aquat	ic ecology, as well as terrestrial 	
ecosystems and wetlands that depend on aquatic ecology, to 	restore	 their status as close 	
to natural conditions as possible, and to promote 	long term 	sustainable water	 use	. It is a 	
framework in the sense that it prescribes	 steps to reach the common goal	. 	
The EU WFD	 is an example on how aquatic ecology and water resources are protected 	
from 	environmental and ecological	 risk	, within a framework of	 regional environmental 	
risk	 assessment and management. 	 	
Since the beginning 	of the 11	th Five	-Year Plan (2006	-2010) the Chinese Government has 	
greatly increased its efforts to improve water management and reduce water pollution, 
but the situation is still very serious in much of the country. 	The approaches and tools of 	
the WFD woul	d need to be used and applied by China in accordance with local 	
circumstances, institutional capacities and other factors. 	While the WFD generally 	
speaking is a success	 by reducing environmental risks related to water significantly in 	
the EU	, it has also b	een criticized for being unnecessarily complicated and 	for	 set	ting	 in 	
motion administrative and scientific coordination processes that are time	-consuming 	
and where the outcome is uncertain. A general advice would be to learn from the best 
practices exempli	fied by the WFD, but at the same time try to keep	 things as simple and 	
practical as possible 	in order 	to reduce 	bureaucracy and 	costs.	 	
In the WFD, the river basin management plan provides the opportunity to assess the 
extent to which measures triggered by	 other legislation are in fact 	sufficient	 to preserve 	
aquatic ecology and drinking water sources from accumulated and acute risk. If that is 
not the case, the directive 	requires	 the country and river basin authority to close thi	s 	
gap with additional measur	es.	 By such an approach it is checked whether the 	
accumulated effect of environmental legislation related to water actually delivers the 
desired environm	ental state in the water bodies.	 Such an assessment of the combined 	
effects of environmental and sector	 legislation related to water in China, would likely 	
also reveal gaps and be helpful 	in order to 	improve water	 quality	. 	
In China responsibilities for dealing with water is split between several agencies within 
government. The framework of integrated river	 basin management plans provides a 	
platform for coordination of efforts between different agencies at central and provincial 
levels, as well as between provinces sharing river basins. The strategy of Integrated

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	11	 	
River Basin Management (IRBM) was incorporate	d into China’s 2002 Water Law and 	
subsequently in different 	development cooperation programs. 	However, there is still 	
substantial room for learning from EU experiences with regards to assessment and 
management of regional environmental risks related to wat	er. 	 	
The OSPAR Convention 	 	
The North Sea is an area of intense human activity put	ting	 great pressure on the marine 	
environment. Land	-based discharges (river input and direct discharge), ocean	-based 	
discharges (dumping and incineration at sea) and atmospheric deposition have been 
among the major sources of contaminant inputs to the North Se	a. 	Therefore	, a set of 	
international regulations directed at waste dumping at sea and 	from 	land based sources 	
have been put in place	, most notably being the Convention for the Protection of the 	
marine Environment of the North	-East Atlantic (the ‘OSPAR Conv	ention'). 	The 	
convention aims	 to combat marine pollution risk	 (long	-term accumulative pollution as 	
well as acute incidences, including both types in specific Marine Protected Areas	 	
(MPAs)	) in the North Sea an	d the wider North	-East Atlantic.	 	
The OSPAR Conv	ention 	shows how 	regional risk (mostly accumulated, but also acute)	 	
caused by release to water from several countries is handled through a legally binding 
agreement between the countries.	 	
The Chinese government has made a significant effort in developing l	egislation for the 	
coastal zone, including establishment of jurisdictional and zoning boundaries, and 
allocating use rights for coastal and marine resources.	 A main priority for China 	could be 	
to 	enhance enforcement of current regulations, particularly for	 land	-based activities.	 	
Findings	 indicating 	that three	-quarters of discharges failed to meet regulatory standards	 	
during 	2004	-2012	, clearly show	 a need for a massive upgrade of control and 	
enforcement mechanisms. 	 	
Implementation of 	Marine Protected Areas	 has been an effective tool in the protection of 	
marine waters in the North Sea region	 with 	a coverage of 22% within territoria	l waters	, 	
and 	could be further developed in China as the current coverage seems to be fairly low 	
(1.3% in 2009). A broader coverage	 of 	Marine Protected Areas	 with appropriate 	
monitoring and management systems, 	along	 with nationally coordinated actions against 	
land	-based polluters, may contribute to 	reversing	 the negative trend with respect to 	
pollution of the Chinese marine waters.	 	
EU	 REACH Directive 	 	
REACH (Regulation on Registration, Evaluation, Authorization and Restriction of 
Chemicals) entered into force on 1. June 2007. 	It is considered by the EU itself as the 	
most groundbreaking piece of legislation on safer chemicals in the world, and the most 
complex legislation in 	EU	’s hist	ory	. 	
REACH 	places the responsibility for safe management of the risks of chemical 	
substances on 	the industry	, and ensures that appropriate safety information is provided 	
to their users. 	This should 	encourage enterprises to apply risk reduction measures from 	
an early point in the life cycle of the substance concerned.	 It also 	permit	s EU Member 	
State c	ompetent authorities to re	-orient their resources towards evaluating the quality

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of the information submitted by industry rather than doing risk assessments 
themselves	. Furthermore,	 the EU can 	target	 additional measures 	at highly dangerous 	
substances, wher	e there is a need for complementing action at 	the 	EU level	. 	
REACH	 is an example of how 	accumulated and regional risk	 from the production, use 	
and disposal of chemicals and of products containing hazardous substances are handled 
by imposing common rules for	 this in all countries.	 	
China is perhaps the world’s largest producer and user of chemical substances. There 
are several regulations in place in China to handle this problem. 	In 2010 	MEP 	released 	
the revised version (the Order No. 7) of the Provisions on E	nvironmental Administrat	ion 	
of New Chemical Substances, replacing old regulations. 	This regulation is similar to EU 	
REACH and is also known as "China REACH".	 Under this regulation, companies shall 	
submit notification for the new chemicals used as ingredien	ts or intermediates for 	
pharmaceuticals, pesticides, veterinary drugs, cosmetics, fo	od additives and feed 	
additives	 etc.	 There are also other regulation for the production, storage, import, use, 	
sales and transport of hazardous chemicals. 	 	
The REACH 	framework is very comprehensive and requires a lot of knowledge, 	
analytical	 capacity etc. from the industry. 	We see from Europe that implementing 	
REACH	 requires a lot of time and effort	, and it will take many years before it is fully 	
implemented. 	Thus, 	it 	would be demanding for Chinese authorities and companies to 	
fully implement a scheme similar to REACH.	 However, 	Chinese companies exporting 	
goods into the EU are already affected by REACH requirements	, and have to follow the 	
procedures and comply with the 	requirements if they have products that contain 	
potentially harmful substances that have previously not been assessed or authorized by 
the REACH bodies. Thus, 	many Chinese companies 	will	 over time gain experience with 	
the REACH framework, which could event	ually make it easier for China to implement a 	
similar scheme	. An option for China could be	, at least in an interim period,	 to adopt the 	
outcome fro	m the REACH processes in the EU, 	allow	ing	 the use of all substances that are 	
authorized through the REACH pro	cess. 	 	
EU:	 The Seveso Directives 	 	
The 1976 Seveso accident in Italy spurred EU legislation aimed at prevention and 
control of the risks of major accidents in 	the 	chemical industry. The resulting “Seveso” 	
directives now apply to around 10	 000 industrial es	tablishments 	us	ing	 or stor	ing	 	
dangerous substances in large quantities. The Seveso directives aim 	to 	minimize 	
consequences for the environmen	t and at the same time regulate	 the protection of 	
employees of a company as well as people in close proximity to	 a chemical plant	 if 	an 	
accident happen	s. 	
The directives 	oblige member states to facilitate that industry operators have 	systems	 in 	
place to prevent major accidents	. Operators that handle dangerous substances above 	
certain thresholds are obliged to regularly	 inform the public likely to be affected by an 	
accident. The 	operators should provide safety reports, a safety management system and 	
an internal emergency plan	. M	ember S	tates must ensure that 	emergency plans are 	
established for the surrounding areas and 	that mitigation actions are planned	. These 	
objectives should also be taken into account in land	-use planning. The legislation

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constitutes a tiered approach to the level of controls. 	The larger the quantities of 	
dangerous substances present within an establ	ishment, the stricter the rules	. 	
The Seveso directives	 are	 example	s on how 	acute risks (and to some extent regional 	
risks) from accidents 	in industry plants are reduced by requiring them to have safety 	
management systems and internal emergency plans etc.	 	
A lesson from the EU experience is the importance of providing guidelines	 to local 	
planners with respect to risk assessment in land	-use planning	. Such guidelines should 	
include methods for assessing the 	requirements for safety distances	, which usually ne	ed 	
to be 	adjust	ed to 	local conditions. The guidelines could be applied when new industry 	
plants are considered, but could also be useful in cases when existing industries are 
(too) close to res	idential areas and the relocation o	f either the industry plant 	or the 	
residents is considered. 	This is particularly important in many Chinese settings where 	
urbanization is rapid and residential areas are expanding into new territories.	 	
Central authorities (for instance MEP) should establish the overall guidelines for	 this 	
land	-use safe	ty planning and emergency preparedness. The implementation of the 	
guidelines should most likely be the responsibility of local authorities, which is the case 
under the Seveso 	directive	s. Also, the evaluation and revisions of the Seveso 	directives 	
have in particular revealed the need for: i) Focusing on safety management systems for 
whole establishments instead of technical units within an establishment, ii) Fixed time 
limits for most of the actions required by the legislation as well as 	penalties in the event 	
of noncompliance, and iii) Exchange of information across member state borders (i.e. 
provinces) to avoid and minimize domino	 effects in the event of a major accident	. 	
The EU Habitats Directive 	 	
The Habitats Directive is a key policy tool 	for	 reduc	ing and managing	 regional risk to 	
ecology	 in the EU, and constitutes	 the union’	s main tool for preserving biodiversity and 	
follow	ing 	up 	the	 Convention on Biological Diversity. 	The goal of the directive is	 to 	
protect and ensure long	-term viability for threatened species and nature types in 	
Europe	, which are defined as approximately 1,000 species and 	some 220 habitats that 	
are listed in the directive's annexes. 	The directive sets a common minimum standard fo	r 	
protection of the most important European species and habitats	, and i	t includes a legal 	
obligation for all EU Member States to ensure their survival through a network of 
protected areas (called Natura 2000) and relevant measures throughout EU territory. 	 	
The EU Habitats Directive 	shows how imposing an ecological red line for preserving 	
biodiversity in the EU contributes to reducing 	the 	ecological	 risk	 related to	 a decline in 	
biodiversity and loss of species, based on 	regional risk assessment and managemen	t. 	
China is among the 12 mega	-biodiverse countries in the world	, and 	clearly one of the 	
most important countries globally for conservation of biodiversity	. China is a signatory 	
to the international Convention on Biological Diversity	. Despite some positive	 trends 	
such as growth in forest cover	, many natural areas, habitats and species in China are 	
threatened	. To ensure basic ecological protection	 the need for an “ecological red line” 	
has recently 	been 	stressed	.

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The Habitats Directive would seem to contain 	a number of features that are relevant for 	
China: i) The Habitats Directive	 provides an example of how an ecological red line can be 	
established and implemented through a strictly scientific approach and a process of 
inter	national or regional cooperation, 	ii) It provides a methodology for assessing the 	
necessary scale of protection of species and habitats at 	a geographical level	 relevant for 	
biodiversity	, and iii) it ensures a system for monitoring and 	for 	regular reporting on 	the 	
status 	of the most threate	ned species and habitats.	 In the EU	 it has been important to 	
have the EU Commission as a watchdog ensuring that Member States fulfill their 
obligations	, and a similar role is likely needed from the central level in China versus the 	
provinces.	 	
EU Soil Thema	tic Strategy 	 	
Different EU policies for water, waste, chemicals, industrial pollution prevention, nature 
protection, pesticides and agriculture are contributing to soil protection. However, as 
these policies have other aims 	as well, 	they are not sufficie	nt to ensure an adequate level 	
of protection for all soil in Europe. 	Therefore	, the European Commission in 2006 	
adopted a Soil Thematic Strategy and a proposal for a Soil Framework Directive	 (still not 	
formally adopted)	. This	 recognizes eight major threats	: soil erosion, decline of soil 	
organic matter, soil contamination, loss of soil biodiversity, salinization, compaction, soil 
sealing and landslides. 	The 	EU 	Commission has 	in recent years 	support	ed initiatives 	
raising awareness of the importance of soil as	 a limited resource,	 as well as 	research and 	
monitoring projects. 	The objective of soil protection 	is also increasingly integrated 	into 	
other EU policies, including agriculture and rural development. Around €3.1 billion has 
been allocated to the rehabilita	tion of industrial sites and contaminated land as part of 	
the Cohesion Policy for the period 2007	-2013. 	 	
EU Soils Thematic Strategy 	shows how the EU attempts to	 reduce 	accumulated risks	 	
caused by release of harmful substances. 	 	
A report issued jointly by the 	Chinese MEP	 and the Ministry of Land and Resources 	
found that 	nearly one	-fifth of the farming land 	in China 	is polluted	. The main pollution 	
source is indust	rial and agricultural activity	, particularly irrigation by polluted w	ater, 	
the improper use of fertilizers and pesticides and the development of livestock breeding.	 	
Given the severe situation for soil pollution in China, especia	lly regarding agricultural 	
soil	, there is a strong need to strengthen mitigation policies	. In the	 EU one so far has 	
relied on the policies for 	other sectors	 when it comes to protecting soils. These policies 	
are, however, not effective in cases where there is a need to remediate already 
contaminated land. Substantive resources have therefore been alloc	ated to 	
rehabilitation of polluted soil. 	Due to 	the potentially very large cost	 of cleaning up 	
heavily polluted sites, China may look into the ‘fitness for use’	-approach applied in the 	
EU, as a first step to protect human health and environment from the ef	fects of soil 	
pollution.	 This would imply, inter alia, that 	food production should not take place on 	
polluted soils. 	 	
US Superfund 	 	
The Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA, 
or Superfund) was enacted in 1980 	in the	 US (with amendments in 1984 and 1986) 	to 	
assist in the cleanup of abandoned hazardous waste disposal sites. 	Superfund is an

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environmental program established to address cleaning of abandoned sites	 	
contaminated with hazardous substances, as well as "pollut	ants or contaminants"	 which 	
are defined more broadly	. It allows the Environmental Protection Agency (EPA) to 	
identify parties responsible for the hazardous substances releases and compel those 
parties to clean up the sites, or EPA may clean up itself using	 the Superfund (a trust 	
fund) and eventually claim cost recover from responsible parties	. 	
Th	e Superfund example 	shows how 	accumulated risk	 ha	s been handled when caused 	
wholly or partly by releases from abandoned industry sites.	 	
China's rapid urbanization has resulted in the need to redevelop land once occupied by 
industries that sat on the cities' perimeters decades ago. Such sites are often heavily 
contaminated because pollutants leaked into the soil during previous production 
processes and because hazardous wastes weren't handled properly. 	Experts estimate 	
that contaminated industrial sites in the country number 300,000 to 600,000	. MEP in 	
2014 released five official guidance	 document	s on contaminated sites remediation, 	
including	 the 	investigation phase, monitoring, risk assessment and remediation 	
technologies. These are built on experiences learnt from the US Superfund and Chinese 
practices. 	We still see several potential lessons for China from the US Superfund scheme, 	
including:	 i) Apply a stepwise approach when assessing the sites. It could be cost	-	
effective to start with a screening process to see if the contamination is “large enough” to 
warrant further action	, ii) Assess ways of financing the clean	-up actions;	 financing has 	
been a major challenge in most countries, iii) Keep it simple	. Superfund has over the 	
years developed rather comprehensive schemes for analyzing and prioritizing between 
sites. This requires a lot of skills and analyzing capacity	. In China, where problems a	re 	
large and priorities are obvious elaborate analysis 	is not always necessary	. iv) 	Keep an 	
eye on lessons learned from	 US and EU experiences. This could, for example, be related 	
to mega	-site management strategies, complex groundwater contamination control	 etc.	 	
Finally, in light of both Superfund and the EU Soil Thematic Strategy v) T	here is a	 need 	
for a national law or regulation to control soil pollution	 in China	. 	
Preparations for climate	-friendly air quality management in the EU and US 	 	
Policies to 	mitigate climate change and air pollution are often considered in isolation	. 	
Recent studies have shown that 	significant benefits can be achieved through integrating 	
climate change mitigation and air quality improvement efforts	 (co	-control)	. According to 	
on	e study, the benefits may amount to additional CO	2 reductions of 15% in Western 	
Europe. 	Much of this is	 related to decreased coal combustion.	 Together with selected 	
state and local environmental management agencies, the US	-EPA is exploring the 	
development 	of so	-called comprehensive Air Quality Management Plans (AQMPs). 	
These plans will address the control of multiple pollutants and air related 
considerations such as land	-use, transportation, energy and climate change	. US	-EPA is 	
currently working with thre	e pilot areas in order to develop a template for co	-control 	
for US states	. 	
The co	-control example shows	 how 	accumulated and regional risks	 related to air 	
pollution and climate change may be handled more cost	-effectively by targeting the 	
emission sources 	in an integrated way.

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Current studies show that in a country like China, where the economy and industries are 
developing rapidly and large investments are geared towards curbing air pollution, it 
may prove costly to disregard the opportunity for co	-con	trol	 of air pollutants and 	
greenhouse gases (GHG)	. Because China is at a relatively early stage of building its 	
environmental regulatory systems, it may in some ways be easier to establish co	-control 	
mechanisms compared to countries where different governmenta	l institutions have 	
long	-term regulatory systems and practices.	 	
Based on international experience, the most important lessons for China include	: i) 	The 	
most effective policies are those that affect the root causes of emissions rather than deal 
with them s	olely through control efforts at the smokestack. 	This pushes the point of 	
regulation fu	rther upstream, to 	where 	energy is made and consumed	. ii) Equally 	
important, the price of coal and coal based electricity should increase to reflect its 
pollution and to let the polluter pay	. iii) Recently, the US and Europe have adopted 	
integrated multi	-pollutant approaches that address pollutants like part	iculate matter 	
(PM), NO	X, SO	2, mercury, and, increasingly, CO	2. These approaches encourage industry to 	
develop long	-term financial and environmental plans to optimize investment	 in 	
pollution control equipment. Such an approach offers better planning, great	er certainty, 	
lower cost, and more environmental benefit per yuan invested. 	 	
APELL 	– Awareness and 	Preparedness for 	Emergencies at 	Local 	Level 	 	
APELL is part of a broad cleaner and safer production programme that UNEP has 
launched with the objective of 	promoting worldwide sustainable production and 	
consumption patterns.	 The strategy of the APELL approach is to identify and create 	
awareness of risks in an industrialized community, to initiate measures for risk 
reduction and mitigation, and to develop coor	dinated preparedness between the 	
industry, the local authorities and the local population.	 Because the risks, capabilities, 	
stakeholders and regulatory situation of a community will vary from place to place, the 
process is designed to be adaptable to local	 conditions. While most industrial accidents 	
can be contained within the boundaries of the industrial plant, there will be cases where 
impacts extend beyond and affect the plant neighborhood. In the worst case, cascade 
(domino) effects, where an accident i	n one facility damages an adjacent facility, causing 	
a loss of containment and additional accidents, can have devastating impacts in a 
broader area. Often, the actions of the first responders to the emergency are of crucial 
importance for the final extent 	and severity of the emergency. 	 	
APELL is 	an example of 	a tool for bringing people together to allow effective 	
communication about risks and emergency response	, and	 to prepare measures to 	
respond and control emergencies to reduce	 primarily 	acute	 but also	 to	 some extent 	
regional risk.	 	
In China, the frequency of sudden environmental pollution accidents has increased with 
development	, regional industrialization and urbanization. 	Recognizing the need for 	
improvement, the Chinese government is introducing new e	nvironmental management 	
tools, and Chinese industrial estates are exploring various tools as a means to mitigate 
environmental factors. Policy directives in China now encourage companies to 
individually tackle environmental management by implementing syste	ms such as ISO 	
14001 Environmental Management Systems and procedures for cleaner production. 	A 	
pilot project 	under the APELL programme	 was implemented in Yangtze River

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International Chemical Industry Park 	in 2010 	in Zhangjiagang City, Jiangsu province, 	
con	taining more than 80 companies.	 This project and similar projects in other countries 	
may provide useful experiences for a potential scale	-up of the programme in China. 	 	
Chemical industrial parks 	 	
A chemical park	 could be defined as a site accommodating s	everal chemical companies 	
which are legally separate entities. The infrastructure and a variable range of services 
are provided by the largest chemical company on the site (the major user) or by one (or 
more) independent infrastructure companies. A chemica	l park is similar to an industry 	
park, but an industry park also consists of companies from other industry sectors. 
Chemical industry parks are	 common in many European countries, and are 	example	s of 	
how 	Seveso directive requirements are translated into 	int	ernal systems and guidelines 	
in parks to reduc	e acute and to some extent regional risks.	 	
China has for many years been embracing the idea of industrial parks in general and 
chemical parks in particular, and a growing number of new chemical parks ar	e being 	set 	
up. As the evidence	 from such parks in Europe prove	s, the	 parks may be able to ba	lance 	
both economic development and environmental protection. 	 	
However, there might be some 	challenges 	in	 organizing these parks when it comes to 	
taking care of environment, health and safety issues.	 A 	particular	 challenge in Europe 	
has been that the regulations are focusing on traditional industry sites, and are generally 
not targeted at regulating industry 	parks. Even if the regulatory approach in China may 	
be different, there should be some lessons to learn from the European experiences	, 	
including	: i) Ensure that comprehensive risk assessments are carried out, ii) Ensure 	
clear rules and responsibilities for	 safety and emergency management, iii) Ensure 	
sufficient internal emergency preparedness to mitigate damages from accidents	, iv)	 	
Ensure safety distances to residential areas.	 	
Integrated River Basin Management 	(IRBM) 	in the transnational Rhine River Basin 	 	
The Rhine is one of the most important rivers in Europe, 	and is	 a vital waterway 	
carrying trade and goods from the North Sea 	and 	deep into the centre of the European 	
continent.	 For many years the Rhine was known as the sewer of Europe, due to heavy 	
indus	trial pollution. A 	fire and chemical spill near Basel in Switzerland in 1986 	
practically killed all life and threatened drinking water sources	 along the Rhine right 	
downstream to the Netherlands. The incident triggered the Rhine Action Programme 	for 	
cleani	ng up the river 	and one of the first priorities was the handling of dangerous 	
substances which might get into water bodies, as well as the security of industrial plants. 	 	
The example of IRBM in the Rhine River Basin 	shows how a management plan among 	
sever	al countries contribute to manag	ing	 and reduc	ing	 regional risk	 from release of 	
harmful substances into 	a river. Environmental risk management at a regional level, in 	
the form of integrated river basin management	, involves a shift in mindset, from 	
focusing 	on 	using	 water locally to 	managing	 water resources at a river basin level to 	
balance	 environmental, social and economic 	priorities. 	 	
As an 	effect of the intense industrialization process in China, the environmental status of 	
Chinese rivers does not currently meet the requirements for sustainable development

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and the situation resembles the situation in European rivers in the 1970s and 1980s.	 	
Since 2002, the principle of integrated water management has been recognized in 
China’s water law, but to realize such management on the ground takes time. 	Since the 	
10	th five year per	iod 2001	-2005	, MEP also began to formulate and implement pollution 	
contro	l plans for key basins.	 	
Based on the experience from the Rhine river basin, a generic set of recommendations 
can be provided for regional environmental risk assessments related to water, including: 
i) Make an inventory 	of the baseline situation for environ	mental risk, including emission	 	
pathways and current water use	, at 	a sub	-regional/provincial level and river basin level	, 	
ii) 	Make a register of priority areas, such as environmental protection areas and 	
drinking water sources, at sub	-basin/provincial leve	l and river basin level, iii) Set 	
environmental targets for water bodies based on the typologies of water bodies	, iv) 	
Assess the effect of current legislation and measures, and identify gaps between current 
measures and environmental targets	, v)	 Identify m	easures that need to be carried out at 	
river basin and sub	-river basin levels to tackle accumulated as well as acute risk, design 	
a cost	-effective program of measures in dialogue with major stakeholders, and set up 	
coordination mechanisms	, and vi) 	Keep the	 process open and transparent, with all data 	
made available to the public, and carry out a program of soft measures at all levels to 
develop common understanding and awareness.	 	
Decreased exposure to hazardous pollutants in the EU	: how did it happen? 	 	
The early 	warnings of the environmental impacts of production and use of industrial and 	
man	-made chemicals, including persistent organic pollutants (POPs), came from 	
observations from aquatic ecosystems in the 1950s and 1960s. 	One of the first major 	
respons	es to 	this	 was the Helsinki Convention signed in 1974, which focused on the 	
prevention and elimination 	of hazardous c	hemicals in the Baltic Sea	. Since then, 	
legislation and policies have been put in place to address the 	use	 of hazardous 	
substances, their 	release	 to Europe's environment, their 	levels	 within aquatic and 	
terrestrial environments, and 	their 	adverse impacts	. 	
EU legislation has led to documented reductions in the emissions of and exposure to 
many well	-known hazardous substances to air and water	 in Europe. 	The policies and 	
measures used encompass product substitution, restrictions on marketing and use, the 
setting of emissions and environmental quality standards and monitoring according to 
these standards, requirements to demonstrate the implemen	tation of clean production 	
processes and best available techniques in applications for industr	ial permits, fiscal 	
instruments	 and actions to raise public awareness. Part of the legislation targets the risk 	
management of chemicals as such (production, handling, disposal etc.), whereas other 
legislation focus	es	 on the environmental quality in order to ensure that pollution does 	
no	t lead to adverse effects on humans and environment	. 	
The policies and legislation, of which we have provided examples, 	shows how EU has 	
managed to reduce the exposure to hazardous pollutants to reduce 	environmental 	risk.	 	
A core lesson f	or China from the 	EU experience	 is the usefulness of long	-term programs 	
to monitor the burden of hazardous pollutants in the various environmental 
compartments and in biota.	 Reliable data on emissions enables design of science	-based 	
policies and realistic targets.	 Interplay	 with the public is 	also 	crucial	: In many cases, 	EU

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citizens, e.g. through NGOs, have pushed governments to implement stricter rules	. 	
Media, often made aware of critical issues by NGOs, may also play an important role to 
alert the public and thereby push p	olicy makers	. 	
EU legislation within the field of hazardous pollutants is in many ways a patchwork of 
legislative and other instruments, which over the years has been gradually integrated 
and streamlined	. As China is building up its own tools and mechanis	ms for abating 	
hazardous and often trans	-boundary long	-range pollution, 	it should strive to avoid 	
geographical overlap and duplication of responsibility, while allowing for input and 
suggestions from all relevant stakeholders.	 While the primary focus in th	e near	-term in 	
China is likely to be the well	-known environmental threats, emerging issues should be 	
prevented from becoming future traditional environmental threats. 	Endocrine 	
disruption is a challenge that must be addressed in ways that take into account	 the rapid 	
advances in knowledge about this type of environmental risk	. Overuse and misuse of 	
pesticides have become a major problem globally, especially in developing countries like 
China, which increase environmental and health risks.

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1 	Introduction	引言	 	
In this chapter we present an introduction to how the EU countries and the US have 
approached environmental risks in order to reduce the potential damage on human 
health and ecology. The chapter contains definitions of environmental risk, and presents 
an introduction to the principles behind the policy frameworks in the EU and the US. The 
chapter is meant to be both an introduction to the examples (case studies) in the 
following chapters and a summary of the main issues in the examples. 	 	
本章我们介绍欧盟国家及美国是	如何应对环境风险以减少对人类健康和生态的潜	
在损害的。本章包含环境风险的定义，介绍了欧盟和美国政策框架背后的原则。本章
同时简要介绍后面几章中的范例（案例研究），对范例中的相关问题进行总结。	 	
1.1	 	Three categories of environmental risks	环境风险的三个类别	 	
In this report we divide the environmental risks into the following three categories, in 
line with the 	primary 	ch	allenges China faces when tackling its environmental problems:	 	
在本报告中，我们按照中国在应对环境问题时所面临的主要挑战把环境风险分为	
以下三个类别：	 	
4. Acute	 environmental risks and emergency response, 	i.e. damages and response 	
related to emissions/releases caused by sudden, large emissions sometimes 
caused by accidents	 	
突发	性	环境风险和应急响应	，是由突发环境事故所导致的大量排放引起的排放	
与泄漏有关的损害和响应。	 	
5. Accumulated	 environmental risks	, i.e. damages resulting from long	-term 	
emissions/exposures to a pollutant, also referred toas chronic risk, 	and 	 	
累积性	环境风险，	是因	长期排放	/接触	某种	污染物	而造成的损害，又称为	慢性风	
险，以及	 	
6. Spatially concentrated	 (regional) environmental risks 	in 	specificareas	 (small or 	
large), which could be	 of	 both acute and accumulative 	type	. 	
特定区域（小区域或大区域）内的	空间	布局	Ä	jÅ)ß³NþL™È0ªL$3pW)ß	
³NþL™
7-_0±
)ß³»&,´	0±
		 	
Whereas the two first categories refer to the temp	oral distribution of the risks, the third 	
refers to the spatial distribution. 	 	
前两种是指风险的时间分布，第三种则是指空间分布。	 	
The differences between acute and accumulated environmental risks are not always 
distinct. For instance, if the accumulated concentration of a pollutant	 in an area is very 	
high on a more permanent basis, rather small increases in the emissions could cause 
acute risk. Also, if an acute emission or release continues over a longer period, it may 
become an accumulated risk. Often, the three types of risk of a	n emission or release are 	
correlated. Still, it is useful to distinguish between them. Below these risks are further 
described.

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突发	性环境风险与累积性环境风险的区别并不总是很明显。例如，如果某一地区	
某种污染物的累积浓度长期高居不下，那么即使排放量	非常小幅地	增大也会导致	突发	
性风险。同时，如果	突发	性排放或泄漏持续时间较长，则可能会演变成累积性风险。	
这三类排放或泄漏风险常常是相互关联的。尽管如此，对它们进行分类仍然是有用的。
下面进一步描述这三类风险。	 	
1.1.1	 Acute environmental risks	突发	性环境风险	 	
Acute environmental risks are risks to human health and/or ecology (i.e. plants, wildlife 
etc.) from sudden and often unexpected increases in emi	ssions to air or release to water 	
or soil of harmful substances. These could for instance be emissions to air of PM and 
other traditional pollutants, and releases of various toxic substances to air and water. 
There are numerous examples of acute emission e	pisodes to air, both in China and 	
elsewhere, where sudden and large increases in traditional pollutions and/or toxic 
substances cause high and immediate harm to human health, and premature death. 
Similarly, releases of toxic substances to water may poison 	the water, which cannot be 	
used as a drinking water source for months and years, and which cause great damage to 
aquatic life	 and	/or	 other marine life. 	 	
突发性	环境风险就是因排放到空气或泄漏到水或土壤中的有害物质突然意外增加	
而对人类健康和	/或生态（即植物、野生生物等）造成的风险。例如，这些排放可能是	
颗粒物（	PM	）和其他传统污染物向空气的排放，以及各种有毒物	质向空气和水中的释	
放。中国和其他地方都有很多	突发性	排放的突发环境事件案例。在这些案例中，传统	
污染物和	/或有毒物质突然大量增加，对人类健康造成巨大的直接危害，并导致过早死	
亡。同理，有毒物质释放到水中也会污染水体，以致被污染水体几个月甚或几年都不
能被用作饮用水源，并且对水生生物和	/或海洋生物造成巨大损害。	 	
Normally, to cause significant harm these emissions or releases will have to be of a 
certain magnitude. 	Relatively small acute emissions or releases, how unexpected they 	
might be, are not necessarily damaging to health and ecology. The damage caused by an 
acute emission/release will sometimes depend on the background concentration of the 
pollutant in the rec	ipient (i.e. the local area). For instance, the damage done by 	
outbreaks of extreme air pollution depends on the background concentration level and 
the long	-term, accumulated exposure it entails. For many highly toxic substances the 	
background concentrati	ons are not that important for the damage, since the release 	
could anyway cause great damage. 	 	
通常情况下，污染物排放或泄漏量达到一定的数量才会造成巨大危害。较小量的	
突发性	排放或释放无论有多么意外也不一定会损害健康和生态。	突发性	排放	/泄漏所造	
成的损害有时会取决于受体（即局部区域）中污染物的背景浓度。例如，极端空气污
染爆发所造成的损害取决于背景浓度水平及其所导致的长期累积暴露量。对于很多剧
毒物质来说，背景浓度对于损害并不重要，因为这种物质的微量泄漏也会造成巨大损
害。	 	
1.1.2	 Accumulated environmental risk 	累积性环境风险	 	
Accumulated environmental risk is a risk to human health and/or ecology from long 
term exposure 	to enhanced levels of pollutants in air, water or soil. Exposure to 	
accumulated pollution is not an accumulated risk by definition. It is the long	-term nature

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of exposure that defines the risk. Generally, pollutants that cause acute risk at a high 
emission	/release level will cause accumulated risk at a low emission/release level. 	
However, some pollutants which are not very damaging in low concentrations (e.g. SO2) 
may need very high acute emissions to cause significant damages. For such substances 
accumulat	ed risks are usually most important. By contrast, toxic substances are often 	
both acutely risky when emitted over short term and chronically risky when emitted 
over long term. 	 	
累积性环境风险是因长期暴露于空气、水或土壤中不断提高的污染物水平而对人	
类健康和	/或生态造成的风险。按照定义，暴露于累积性污染并不构成累积性风险。风	
险	是按暴露的长期性而来定义的。一般而言，带来高排放	/泄漏水平	突发性	风险的污染	
物会带来低排放	/泄漏水平的累积性风险。然而，有些污染物在低浓度时危害并不很大	
（例如二氧化硫），只有很高的	突发性	排放才会造成巨大损害。对于这种物质，累积	
性风险通常是最重要的。相比之下，有毒物质常常是短期排放造成	突发性	风险，长期	
排放造成慢性风险。	 	
1.1.3	 Environmental risks 	in 	particular	 regions (areas)	 	
特殊	区域	（	地区	）的环境风险	 	
In areas with several emission 	sources (i.e. different industries)	, multiple habitats, 	
substances and endpoints present	 and generally high concentrations of pollutants	, the 	
aggregate level of environmental risk may be higher than can be deemed from 
inspection of each source in isolation	. The different sources	 could	 reinforce each other 	
and the whole risk 	could be 	larger than the sum of the parts. In this case the concept of 	
regional environmental risk is useful. 	 	
在有多个排放源（即不同产业）	，	多种	栖息地	、物质和端点，以及	污染物	浓度通	
常比较高	的地区，环境风险总水平可能比孤立地审视每一个排放源而得出的风险水平	
高。不	同的排放源	可能	彼此互相强化，总体风险	可能	大于各个排放源的总和。这种情	
况下，区域环境风险的概念就很有用。	 	
Regional environmental risk is also a useful concept for addressing policies and concrete 
measures towards outbreaks of pollution, and emergency response where many 
pollution sources are spatially concent	rated, implying a higher risk that pollutants 	
exceed threshold levels for effects on human health and the environment.	 Regional 	
environmental risk assessment can be defined as risk assessment which deal with a 
spatial scale that contains multiple habitats with multiple sources of stressors affecting 
multiple endpoints (Xu & Liu 2009). 	 	
In this report examples of handling 	of regional environmental risk are presented in 	
chapter 2.2 EU’s Water Framework Directive, chapter 2.3.1 Ospar Convention and 
chapter 3.3 Integrated River Basin Management in the Transnational Rhine River Basin, 
see boxes focusing on this in each chapter.	 	
区域环境风险对于以下情况也是一个很有用的概念：很多污染源在空间上呈集聚	
状态，	这表明	污染物很可能会超过阈值	水平	而对人类健康和环境造成影响，这时需要	
针对突发污染和应急响应制定相应的政策和具体措施。	区域环境风险评估可被定义为	
对	包含多种	栖息地	的空间规模进行的风险评估	，在这些	栖息地	中压力源影响多个端点	
（	(Xu & Liu 2009	）	。

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本报告	2.2	《	欧盟水框架指令	》	、	2.3.1	《	OSPAR	公约》（	奥斯陆	-巴黎公约	）	和	
3.3	《	跨国莱茵河流域综合流域管理	》	介绍了应对区域环境风险的范例	，详见各章关于	
此内容的文本框	。	 	
1.2	 	Fundamental p	rinciples and 	approaches	 in 	environmental risk 	policy 	
development	制定环境风险政策时的基本原则和方法	 	
In this part we give a brief overview of what principles lie behind the framework 
towards 	the 	environmental risk	 reduction	, such as environmental policies and 	
environmental regulation, developed in Western countries since the 1970s. 	 	
这部分我们简要介绍环境风险防治框架背后的基本原则，比如	20	世纪	70	年代以	
来西方国家制定的环境政策和环境法规。	 	
1.2.1	 How do you know that something is a problem for health and/or ecology	 	
如何	知道	某种物质	对于健康和	/或生态	来说	是个问题	 	
The environmental problems addressed the 1970s and 1980s were mostly caused by 
high concentrations 	accumulated	 over several years. Some 	acute	 emissions caused by 	
accidents in some plants also contributed to raising awareness. The problems of the 
time were 	visible and there was little need for (advanced) monitoring and analyses to 	
verify the challenges. Besides, tools for monitoring and analyses were not as advanced 
as today, and they were costly and not generally available. Later on, it has become more 
comm	on to monitor and analyze potential environmental challenges, both because of 	
more advanced and available tools, but also because it is sometimes not immediately 
clear to what extent a challenge or an emission really poses a threat to human health 
and/or e	cology. 	 	
Several risk assessment tools and standards have been developed, to assess both 
accumulate and regional risks. See for instance Li et.al. (2014), Hunsaker et. 	al. (2008) 	
and WB (1996).	These tools would be helpful	in the identi	fication of priority 	
environmental contaminants, as well as priorityareas, to be further assessed.	 	
20	世纪	70	年代和	80	年代面对的环境问题主要是由多年来	累积的	高污染物浓度引	
起的，一些企业发生的突发环境事故造成的	突发性	排放，也促进了公众意识的提高。	
当时的问题是显而易见的，很少需要通过（先进的）监测和分析来验证挑战。另外，
监测和分析工具也不像现在这样先进，而且价格昂贵，也并非随处可得。后来，监测
和分析潜在的环境挑战变得比较普遍了，因为监测和分析工具更加先进	，更易获得，	
而且还因为有时人们对于环境挑战或污染物排放达到何种程度会对人类健康和	/或生态	
真正造成的威胁并不十分清楚。	 	
为评估累积性和区域风险，一些风险评估工具和标准被制定出来。详见	Li	等人	
（	2014	）、	汉萨克	（	Hunsaker	）等人（	2008	）及	WB	（	1996	）的范例。这些工具在鉴	
定需进一步评估的重点环境污染物和重点地区方面十分有用。	 	
A main driver for the development of the environmental policy in the 1970s and 80s was 
public awareness	. People both saw and felt the impacts from bad air and water quality, 	
and urged politicians to take actions to improve these. 	This was followed up by the EU 	
through the Public Access to Environmental Information Directive (2003/4/EC), whic	h

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follows up on the Aarhus Convention (1998) 	on public access to information. 	Publi 	
awareness is still an important driver today, even if the challenges are not so visible. 
Scientific approaches and analysis are now much more important for the development 
of new policies, and play a key role in cost benefit considerations behind new policy 
initiatives. 	 	
20	世纪	70	年代和	80	年代促成制定环境政策的一个主要因素是	公众意识	。人们看	
到并感受到了不良空气质量和水质带来的影响，并敦促政治家采取行动来改善空气质
量和水	质。欧盟通过	《关于公众获取环境信息的指令》	（	2003/4/EC	）跟进这项工作，	
该指令是继关于向公众开放信息的《	奥胡斯公约	》（	1998	）之后发布的。如今，公众	
意	识仍然是一个非常重要的驱动因素，即使挑战不是那么明显。如今科学方法和分析	
对于制定新政策更加重要，而且在新政策方案背后的成本效益考虑中起着关键作用。	 	
1.2.2	 How do you approach an environmental 	risk 	problem?	 	
如何	处理	环境风险问题？	 	
The 	polluter	 is usually responsible	 for the collection and submission of data to the 	
environmental control authorities. If emissions or conditions in a recipient that could 
indicate that there is an environmental problemare discovered, the authorities would 
normally require that the plant w	hich may have caused the damage make the necessary 	
investigation to see if actions are needed. The authorities would often design a 
monitoring and/or investigation program for the plant to carry out. This could contain 
how frequent and what kind of monitor	ing to carry out, what and how data samples 	
from the local recipient should be taken, how they should be analyzed etc. The plant 
would have to carry out and pay for all this (in accordance with the polluter pays 
principle, see below), and eventually hire c	onsultants to help them fulfill the task. If no 	
responsible emitter/company can be found, for instance because the plant that initially 
caused the damages is no longer in operation, the authorities will normally ensure that 
these tasks are carried out and 	eventually also pay for them (e.g. US Superfund).	 	
污染	者	通常负责收集数据，并提交环境主管部门。如果发现污染排放或受体的污	
染状况可以说明有环境问题，环境主管部门通常会要求	可能造成损害的企业进行必要	
的调查，查看企业是否需要采取行动。环境	主管部门通常会制定一项监测和	/或调查计	
划由企业执行。计划内容可能包括监测频率、监测内容、样品采集对象、样品采集方
法，以及样品检测分析方法等。这些工作应该由企业完成，费用由企业承担（根据污
染者付费原则，见下文）。最后，企业要聘请顾问	或咨询公司帮助其完成任务。如果	
找不到责任排放者	/企业，例如	最初	造成损害的企业不再营业，就由环境主管部	门负责	
实施，并且最终还得付费（例如美国超级基金	。	 	
When the results are ready they are submitted to the authorities for consideration and 
eventually follow up through actions to improve the situation. 	 	
当结果准备就绪之后，提交给环境主管部门考虑，并采取行动来具体	落实，以改	
善局面。	 	
In chapter 2.1 an overview of how the process of granting emission permits should be 
carried out in the EU countries is presented.

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2.1	节概述了欧盟国家如何执行排放许可证颁发程序。	 	
1.2.3	 Underlying principles	基本原则	 	
The first policy attempts were a reaction to existing damage to health and ecology, and 
focus was on cleaning up these by reducing emissions and releases. In recent years the 
precautionary principle	 has played an increasingly important role in environmenta	l 	
policy. Much resources are now directed towards reducing the risk for potential 
damages from new releases, e.g. of toxic substances. The resources are directed both at 
accumulated/chronic damage from long term release, and on acute damage from short 
term	 release. The damage potential from these may be unknown, but should be assessed 	
scientifically 	before	 for instance a product that could cause serious damage is placed on 	
the market. When there is uncertainty about the impacts of a new product, the 
uncerta	inty should benefit nature. 	This means that actions are taken to limit (eventually 	
ban) the use of the new product, even if the potential damage is not fully assessed or 
known, to be sure that no damage occur.	 The REACH regulation (see chapter 2) is an 	
exa	mple of the implementation of the precautionary principle. 	 	
最初的政策尝试是对现有的健康和生态损害做出的反应，重点是通过减少排放和	
泄漏来清除损害。近年来，	风险预防原则	
X)ß³o1†]C§-p,úGý?±,´Œ+XÄ-}$

*6K¯OGúnV•,´3_0	/慢性损害，也用于治理短期释放带来的	突发性	损害。污染排放	
或泄漏带来的潜在损害可能是未知的，但应当	提前	进行科学评估，比如在某个可能造	
成严重损害的产品投放市	场之前。如果某个新产品的影响不可确定，这种不确定性应	
是对自然有好处的。	尽管该新产品的潜在损害还未完全评估确定，为了确保它不会带	
来任何损害，需要采取行动限制（最终禁止）该新产品的使用。	REACH	法规（见第	2	
章）是一个实施风险预防原则的范例。	 	
Whether directed at acute, accumulated 	(chronic)	 or regional risk c	ost 	
benefit	considerations	 lie behind most of the policy implementation, although formal 	
cost benefit analysis has not always been explicitly used. 	Costs for plants and industries 	
have 	almost always 	been considered, and generally it seems 	to us 	that one has not 	
wanted to destroy in	dustries’ competiveness or cause unemployment when emission 	
limits or standards have been set.	 Cost benefit analysis has developed considerably over 	
the years, and is today routinely used in many countries when new policies and tools are 
designed. 	 	
不论是针对	突发性	风险	、累积（慢性）风险还是区域风险，成本效益考虑	是多数	
政策实施的	依据	，	虽然并不一定总是使用	正式的成本效益分析。	工厂和企业的成本几	
乎总是会被纳入考虑，而且一般在我们看来，在设定了排放限值或标准后，人们不希
望破坏企业的竞争力或者造成失业。多年以来，成本效益分析取得了长足发展。如今，
很多国家在进行新政策和工具的设计时通常都会进行成本效益分析。	 	
The 	substitution principle	 lies behind much of environmental policy, even though th	is 	
may not always be explicitly stated. The idea behind the principle is that a harmful 
production input or consumer product should be substituted with a less harmful one if 
such exist. “Harmful” in this case refers both to acute, accumulated and regional 	risk. For 	
instance, by taxing the use of a harmful substance one gives the user an incentive to use 
a less harmful substance instead. The REACH regulation is an example of the explicit use

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of the substitution principle, where the regulations state that a h	armful product or 	
substance should be replaced with a less harmful one if such exist, and the costs are not 
too high. The substitution principle is mostly applied towards hazardous (toxic) or 
unknown chemical substances, rather than to more traditional pol	lutants. 	 	
替代原则	是很多环境政策制定的依据，虽然这一原则可能并不总能得到明确表述。	
替代原则背后的理念是，有害的生产原料或消费品应当用危害较小的产品取代，如果
有这样的产品的话。这种情况下，“有害”包括	突发性	风险、累积性风险和区域风险，	
三者兼有。例如，对使用有害物质征税就是鼓励使用者改为使用危害较小的物质。
REACH	法规是明确采用替代原则的范例。该法规规定，有害产品或物质应当用危害较	
小的产品或物质取代，如果存在这类物质，而且成本不太高。替代原则主要适用于危
险（有毒）或未知的化学物质，而不适用于较传统的污染物。	 	
Right to information	 is a key to public participation in shaping environmental policy. 	
Today most information on emissions, local air quality (including curr	ent concentration 	
levels of main pollutants), local water quality, contaminated sites etc. is publicly 
available. Previously there has been some reluctance from industry to publish emission 
data from individual plants. But for instance in EU today key emis	sion data for each 	
plant can be found on the 	E-PRTR	 website, together with other information.	 	
知情权	对于公众参与制定环境政策是一个关键因素。目前，关于污染物排放、地	
方空气质量（包括主要污染物当前的浓度水平）、地方水质、污染场地等方面的信息
是公开提供的。以前企业不愿公布个别工厂的排放数据。但目前，例如在欧盟，每个
工厂的主要排放数据及其他信息均可在	E-PRTR	网站上找到。	 	
The 	subsidiarity princi	ple	 has become a key principle for all policies in the EU. It 	
ensures that decisions are taken as closely as possible to the citizen	s and that constant 	
checks are made to verify that action is justified in light of the possibilities available at 
national, 	regional or local level.	 It is defined in Article 5 of the Treaty on 	the 	European 	
Union	, and has become very important when defining whether actions at EU level are 	
justified or not	. Specifically, it is the principle whereby the 	EU	 does not take action 	
(ex	cept in the areas that fall within its exclusive competence), unless 	an action at the EU 	
level	 is more effective than action taken at national, regional or local level. It is closely 	
bound up with the 	principle of proportionality	, which 	requires that any E	U-level	 	
action must be limited to what is necessary to achieve the stated objectives. In other 
words, the content and form of the action must be in keeping with the aim pursued.	 	
基层化	原则	已成为欧盟所有政策中的一项关键原则。该原则确保做出的决定尽可	
能贴近市民，并且经常进行检查，以验证哪种行动在国家、区域或地方层面的可操作
性方面是合理的。《欧洲联盟条约》第	5	条有基层化原则的定义。基层化原则在确定	
欧盟层面的行动是否合理时已变得非常重要。具体而言，如果欧盟层面的行动不比国
家、区域或地方层面的行动更有效，欧盟即根据该原则不采取行动（除了在属于其专
属权力之内的地区之外）。该原则与	比例	原则	密切相关，该原则要求欧盟层面的行动	
必须限于为实现规定的目标所必需采取的行动。换而言之，行动的内容和形式必须与
所追求的	目的一致。	 	
Fairness and equity	 are important to ensure broad acceptance for the environmental 	
regulations of acute, accumulated (	chronic	) and regional environmental risks. This

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	27	 	
comprises both emission sources and areas, i.e. all sources should be treated equally 
when regulations are implemented. This is often difficult in practice, and it is not always 
agreed on what fairness and equity means. In the early days of environmental p	olicy it 	
was common to treat old, existing emission sources more lax than new ones 
(“grandfathering”). Grandfathering is not a cost effective approach, and 	the use of 	
grandfathering 	has been 	reduced 	over the years so that today existing and new sources 	
ar	e treated more equally than before. A cost effective approach also implies that more 	
lax emission standards could be applied for instance in rural areas were relatively few 
people are affected compared with more populous urban areas. This difference in 
sta	ndards is not considered fair by all, and has sometimes been disputed. 	 	
公平	公正	对于确保防范	突发性	、累积性（慢性）和区域环境风险的环境法规得到	
广泛接受是很重要的。这既包括排放源也包括排放区域，也就是在执行法规时，对所
有的排放源应一视同仁。但在实践中这通常很难，而且人们对于公平公正的含义并不
总能达成一致。在早期的环境政策中，通常采用“老源老办法、新源新办法”的原则，
即对既有排放源更为宽松（“溯往原则”）。溯往原则不是一项成本有效的原则，近
年来该原则已	较少使用了	，使得如今现有的新的排放源得到比以前平等的对待。成本	
有效的原则还意味着在农村地区可执行比较宽松的排放标准，因为与人口众多的城市
地区相比，农村地区受影响的人数较少。这种标准上的差别被大家认为是不公平的，
而受到诟病。	 	
What is an 	acceptable risk level	 could in principle be decided on the basis of cost 	
benefit considerations, based on current knowledge abo	ut expected short and long term 	
damages from long term exposure (	accumulated risk	) and probabilities for unexpected 	
incidents to happen (	acute risk	) and short term damages	. But some people are risk 	
averse, and want to apply the precautionary principle to a large degree to avoid 
potential, unknown damages from happening. Others may be more risk neutral, 
accepting some risk for instance if the cost of risk reduction is high. 	Generally, there is a 	
tendency that the richer the people/country gets, the higher the valuation of 	(i.e. desire 	
for) 	environmental risk reduction. 	 	
什么是	可接受的风险水平	È	ÏI:
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1.2.4	 What	 kind of institution	al arrangements	are	 needed?	需要什么样的制度安排？	 	
Environmental policy in Western countries (and in China), whether it is economic 
instruments like taxes and emissions trading, direct regulations of emissions or other 
instruments, is 	based in law	, to ensure a solid and lasting foundation of the policy. Th	is 	
is the case for 	all 	the three 	kinds of environmental risks	, and 	the legislation 	
generally does not make any distinction between for instance acute and 
accumulat	ed	 risks	. However, there are in all countries special rules on how to 	control	 	
damages from ac	ute 	accidents 	if they occur. Since policy instruments are based in law, 	
it is possible for those affected to take the regulator or polluter to court to solve 
disputes, and thus ensure an independent, impartial judgment of the case.

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	28	 	
西方国家（以及中国）的环境政策是以法	律为基础的，包括税收和排放交易这样	
的环境经济措施、直接的排放法规以及其他措施，以便确保政策基础稳固且持久。	所	
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Efficient	 institutions	 to handle the environmental policy are needed. They need 	
personnel with some skills on (technical) issues like damages on health and ecology 
from various releases to air and water, abatement options, cost benefit analysis, legal 
issues etc. Over the years	 environmental protection ministries and agencies in the EU 	
and the US have built considerable competence in various fields necessary to ensure the 
implementation and administration of environmental policy based on sound and fair 
principles. 	The o	ne 	and sa	me 	institution is usually responsible for 	handling 	all 	the 	
three 	kinds of environmental risks	. However, 	there might be special institutions 	
handling the rescue and cleaning up from acute emissions to water and soil	. 	 	
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1.2.5	 How have the 	abatement	 actions been funded? 	如何筹集减排行动的资金？	 	
Most policies are based on 	the polluter	-pays principle (PPP)	, defined as the polluter is 	
responsible to pay for the emissions reductions from their own activities. The extended 
definition of the PPP, which also gives the polluter a responsibility to pay f	or the 	
damages of the remaining emissions, has to a very little or no extent been applied. 	The 	
Environmental Liability Directive (“Directive on environmental liability with regard to 
the prevention and remedying of environmental damage”, 2004/35/EC), aim	s at giving 	
effect to the 	PPP	 by imposing liability on businesses for the prevention and remediation 	
of environmental damage. 	This applies particularly to damages and risk from 	acute	 	
emissions. 	Over the years a lot of research has been carried out to assess	 and valuate in 	
economic terms the damages caused by various pollutants, which to some extent is used 
as a basis for taxation of remaining emissions causing 	accumulated risks	. 	
很多政策是基于	污染者付费原则	Ä	PPP	）制定的，其定义是：由污染者负责支付其	
自身活动产生的减排费用。根据	PPP	的延伸定义，污染者还要负责为残留排放物造成	
的损害支	付费用。但 这种延伸定义应用得 很少或者未得到应用 。《环境责任指令》	
（“关于预防和修复环境损害的环境责任指令”，	2004/35/EC	）旨在通过让企业承担	
预防和修复环境损害的责任来执行	PPP	。该指令特别适用于	突发性	排放引起的损害和	
风险。近年来开展了大量研究，以从经济角度对各种污染造成的损害进行评估，在一
定程度上可以作为对引起	累积	性	风险	的残留排放物征税的依据。	 	
Government funding	 has been applied for the cleaning up of old, abandoned indu	stry 	
sites in several countries, e.g. the US Superfund (see chapter 2).

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	29	 	
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1.2.6	 What kind of 	policy	 instruments has been used?	采用了何种政策工具？	 	
At the start of the modern environmental policy era most of the policy instruments 
applied in Western countries were based on 	command and control	. Generally, 	the 	
same policy instruments 	have been	 used for all	 the three	 kinds of environmental 	
risks	, but as 	we will see from the 	examples in the following chapters	 there are some 	
examples 	of how policy instruments could be 	particularly 	targeted towards 	one or two 	
types of risk. In the early days the idea of using other instruments was less developed, 
and it was 	perceived that direct regulations could ensure swift and efficient reductions 	
of emissions. When more experience with these tools was gained, one realized that they 
were giving industry too little flexibility to curb emissions in cost effective ways. Thus,	 	
more 	flexible regulations	, giving plants some more choice on how to reduce emissions, 	
have been introduced. Gradually some 	economic instruments	 like taxes on emissions 	
and harmful production inputs, emissions trading etc. have also been introduced. 
Howeve	r, command and control approaches have remained the core policy instruments 	
in the EU towards emissions from industry and most other sources, 	regulating all 	the 	
three 	kinds of environmental risks	. In the EU, the use of Framework Directives 	
specifying both 	emissions standards and how they should be achieved through for 	
instance using Best Available Technology shows that there is still too much inflexibility 
in emissions regulations in many countries. 	 	
在现代环境政策兴起之初，西方国家所采用的多数政策工具都是以	行政指令	j*	
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Standards	 have been set more or less through cost benefit considerations, although 	
formal cost 	benefit analysis have seldom been applied. H	ealth and safety considerations 	
have played a 	crucial role	, based on scientific knowledge about dose response relations 	
etc	. On the other hand, t	he use of Best Available Technology, which was launched by EU	 	
in the 1990s	, has also been an important principle behind the environmental standard 	
setting to	wards industry	. 	
标准	是或多或少通过成本效益考虑制定的，虽然正式的成本效益分析应用得很少。	
根据剂量反应关系等方面的科学知识，健	康和安全考虑起到了关键作用。另一方面，	
采用	20	世纪	90	年代欧盟推出的最佳可行技术也是制定针对工业的环境标准时所依据	
的一项重要原则。

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	30	 	
1.2.7	 How have the 	regulations	 been enforced?	法规是如何执行的？	 	
All 	companies are responsible	 for ensuring compliance with emissions re	ductions and 	
other requirements from the authorities. The ultimate responsible is the CEO of the 
company. Normally, the companies are required to report at least annually to the 
environmental authorities on the development in emissions, concentrations and 	other 	
issues required by their emission permits. Also, the authorities carry out random 
inspections at sites to see if the actual situation is as reported and in compliance with 
the regulations. Serious violations of the regulations could be punished by a 	fine, jail or 	
even temporary closing down of the plant activities if the damages caused are very 
serious. See chapter 2 for an overview of how EU countries are handling control and 
enforcement of regulations. 	 	
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,´	CEO	。企业通常要	每年至少向环境部门报告一次排放进展情况、浓度以及企业排放	
许可证上所要求的其他问题。同时，有关部门到现场进行随机检查，查看实际情况是
否与所报告的一致，以及是否遵守法规。严重违规可能会被处以罚款、牢狱之刑，如
果所造成的损害非常严重的话，甚至还会被处以暂时停产。关于欧盟国家是如何管理
和执行法规的，见第	2	章的概述。	 	
1.3	 	About the examples (“case studies”)	关于范例（“案例研究”）	 	
The main idea with this report is to show how the EU and the 	US	 through practical 	
policies have approached the environmental risks caused by various pollutants and 
sources that China could be inspired of and learn from when improving its policies to 
reduce environmental risk. However, there are in Western countries 	no	 sharp 	
distinctions between the various environmental risks	 when policies are designed 	
and implemented. Thus, most experiences from environmental policies in the EU and the 
US are 	related to reducing accumulat	ed,	 acute and regional 	environmental risks	. 	
Mos	t of the examples from the EU and the US presented in the next chapters are focused 	
on such risk reductions. 	For instance, 	integrated river basin management (	which is 	
described in chapters 2.2.1 and 3.3) is a 	sort	 of	 regional environmental risk assessment 	
and management, as it deals with a spatial scale that includes multiple habitats with 
multiple sources of many stressors affecting multiple endpoints.	 There are 	also 	some 	
policy approaches (e.g. the EU Seveso Directive) that are mainly directed towards one	 	
type of risk (in this case acute risk). 	 	
本报告的主题思想是说明欧盟和美国如何通过实际政策来应对各种污染物引起的	
环境风险，并指出对于中国在改进政策以降低环境风险时有哪些启发和可借鉴之处。
然而，西方国家在制定和实施政策时，	并没有显著区分各种环境风险	Ä
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3.3	小节会介绍）就是一种区域环境风险评估和管理，	它	是	对包含多种栖息地的空间规	
模进行的风险评估和管理，在这些栖息地	中众多压力源影响多个端点。	也有一些政策	
方法（例如欧盟的	Seveso	指令）主要针对一种类型的风险，即	突发性	风险。	 	
The departure for choosing the examples has been some of the main environmental risk 
challenges China in general and the pilot areas in particular are facing. The project	 team

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	31	 	
has put great emphasis in finding relevant examples representing “best international 
practice” that are relevant for China in its current situation. 	 	
实例选择主要从中国国家以及试点地区特别面临的一些主要环境风险挑战出发，	
着重于找出适合中国国情、代表“国际最佳实践”的适当例子。	 	
The presentation of the examples	 is divided into two chapters. In chapter 2 we present 	
the overall policy approach towards important environmental risks, mostly in the form 
of EU directives and international agreements. The chapter is divided into five sub	-	
chapters. Chapter 2.1 shows how	 pollution from industrial sources is approached in the 	
EU, while chapter 2.2 shows examples on how discharges to water have been handled in 
the EU. Chapter 2.3 presents examples on how releases of heavy metals and other 
hazardous substances have been appr	oached through some EU directives and an 	
international agreement. and chapter 2.4 shows how nature and soil have been 
protected. Finally, chapter 2.5 shows how emissions to air have been approached in the 
EU and the US. 	 	
范例介绍分为两章。在第	2	章我们介绍重大环境风险方面的总体政策方法，	大多	
为欧盟指令和国际协议。第	2	章包括五节，	2.1	节说明欧盟如何处理工业源污染，	2.2	
节通过实例说明欧盟如何处理水体的污染物	排放	，	2.3	节	通过实例	说明如何通过一些欧	
盟指令和国际协议来处理重金属和其他有害物质的	排放，	2.4	节说明如何保护自然和土	
壤。最后，	2.5	节说明欧盟和美国如何处理	污染物	向空气	的	排放。	 	
In chapter 3 examples on how the policies have been implemented “on the ground” in 
various areas and towa	rds various environmental risks are presented. 	 	
第	3	章通过	实例	说明	不同	地区如何针对各种环境风险将政策“落到实处”。	 	
The following examples are presented: 	 	
提供了以下范例：	 	
 	Regulating industry pollution: the 	EU 	Industrial Emissions Directive (IED) (chapter 	
2.1):	 shows how EU applies 	an 	integrated	 approach	 to prevention and control of 	
emissions into air, water and soil, to waste management, to energy efficiency and 
to accident prevention.	 This example shows the basic approach to regulations of 	
environmental risks	 caused by industrial sources in the	 EU. 	 	
工业污染监管：欧盟《工业排放指令》（	IED	）（第	2.1	节）	：说明欧盟如何采	
用一体化的方法实现空气、水和土壤排放防治、废弃物管理、能源效率和事故
预防。该范例说明了欧盟对工业引起的	环境风险	的基本监管方法。	 	
 	EU’s Water Framework Directive (chapter 	2.2.1): an example on how aquatic 	
ecology and water resources are protected from 	environmental and 	
ecological	risk	, within a framework of	 regional environmental risk	 assessment 	
and management	. 	
欧盟的《水框架指令》（第	2.2.1	节）	：	在区域环境风险评估和管理框架内	关于	
如何保护水生生态和水资源免受	环境	风险	的一个范例。	 	
 	The OSPAR Convention (chapter 	2.3.1	): shows how 	regional risk (	mostly 	
accumulated, but also 	acute)	 caused by release to water from several countries 	
is handled through an agreement between the countries.

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	32	 	
《	OSPAR	公约》（第	2.3.1	节）	：说明如果通过国家之间的协议应对多个国家	向	
水	体	排放	污染	而引	起的	区 域 风 险 （ 主要	针对	累积	性	风险 ， 但 也	涉及	突发性	风	
险）	。	 	
 	EU REACH Directive (chapter 	2.3.2	): 	an example of how 	accumulated and 	
regi	onal risk	 from the production, use and disposal of chemicals and of products 	
containing hazardous substances are handled by imposing common rules for this 
in all countries. 	 	
欧盟《	REACH	指令》（第	2.3.2	节）	：如何通过在所有国家推行通用规则来应对	
化学品和含有害物质产品的生产、使用和处置引发的	累积	性风险	和区域风险	的	
一个范例。	 	
 	EU:	The Seveso Directives	 (chapter 2.3.3	): an example on how 	acute risks 	(and to 	
some extent regional risks) 	from accidents	 in industry plants are reduced by 	
requiring them to have safety management systems and internal emergency 
plans etc. 	 	
欧盟：《	Seveso	指令》（第	2.3.3	节）	：关于如何通过要求工业企业建立安全管	
理体系和内部应急预案等措施降低突发事故引起的	突发性	风险（一定程度上	也	
是区域风险）	的一个范例。	 	
 	The EU Habitats Directive (chapter 	2.4.1	): shows how imposing an ecological red 	
line for preserving biodiversity in the EU contributes to reducing 	ecological	 risk	 	
for a decline in biodiversity and loss of species	, based on 	regional risk 	
assessment and management	. 	
《欧盟栖息地指令》（第	2.4.1	节）	：	根据区域风险评估和管理，	说明欧盟为保	
护生物多样性设置生态红线如何有利于降低生物多样性衰减和物种消失的生态
风险	。	 	
 	EU Soil Thematic Strategy (chapter 2.4.2)	: shows how the EU attempts to reduce	 	
accumulated and regional risks	 caused by release of harmful substances. 	 	
《欧盟土壤保护专题战略》（第	2.4.2	节）	：说明欧盟如何尝试降低有害物质释	
放引起的	累积	性风险	和区域风险	。	 	
 	US Superfund (chapter 2.	4.3	): shows how 	risk (mostly accumulated and 	
regional)	 have been handled when caused wholly or partly by releases from 	
abandoned industry sites.	 	
美国超级基金（第	2.4.3	节）	：说明如何应对全部或部分由废弃工业场地引起的	
环境	风险	（	主要	为	累积	性风险	和区域风险	）。	 	
 	Preparations for climate	-friendly air quality management	 in the EU and US 	
(chapter 	2.5.1	): about how 	accumu	lated and regional risk	s related to air 	
pollution and climate change may be handled more cost	-effectively by targeting 	
the emission sources in an integrated way.	 	
欧盟和美国为气候友好型空气质量管理做好准备	（第	2.5.1	节）：关于如何通过	
把各排放源作为一个整体目标以更经济有效的方式应对与空气污染和气候变化
有关的	累积	性风险	和区域风险	。	 	
 	Summary of 	air pollution cases from 	phase I(chapter 2.5.2)	: Examples on how the 	
EU and the US have designed their policies to improve air quality and at the same 
time reduce greenhouse gas emissions. These are mostly examples of reducing 
accumulate	d and re	gional	 risk	. 	
期空气污染案例总结（第	2.5.2	节）	：举例说明欧盟和美国如何制定政策	
来改善空气质量同时减少温室气体排放。这些大多为降低	累积	性风险	和区域风	
险	的案例。

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 	APELL 	– Awareness and preparedness for emergencies at local level (chapter 3.1	): 	
an example of a programme enabling governments, in co	-operation with 	
industry, to work 	with local leaders to identify the potential hazards in their 	
communities and to prepare measures to respond and control emergencies to 
reduce 	acute and regional risk	. 	 	
APELL	-地区级	突发	事故意识和准备（第	3.1	节）	：一个计划范例，该计划使政	
府能够在企业的配合下与地方领导联手确定社区的潜在危险，并准备应对和控
制突发事件的措施，以	降低	突发性	和区域风险	。	 	
 	Chemical 	industrial parks (chapter 3.2)	: an example on how internal systems and 	
guidelines in parks could contribute to reducing	 acute	 and 	to some extent 	
regional risks	. 	
化工	园	区	（第	3.2	节）	：关于园区内部制度和导则如何有利于降低	突发性	风险	
并一定程度上	降低	区域风险	的一个	范例	。	 	
 	Integrated River Basin	 Management in the transnational Rhine River Basin 	
(chapter 3	.3)	: shows how a management plan among several countries contribute 	
to 	manage and reduce 	regional	risk	 from release of harmful substances into the 	
river. 	 	
《跨国莱茵河流域综合流域管理》（第	3.3	节）	：说明多个国家通过联合性的管	
理规划，有	效	管理并	降低因有害物质向河体排放而引起的	区域	风险	。	 	
 	Decreased exposure to hazardous pollutants in the EU	: how did it happen? 	(chapter 	
3.4)	: shows 	how EU has managed to reduce the exposure to hazardous pollutants 	
to reduce	environmental	risk	. 	
欧盟减少危险污染物暴露：如何实现的？（第	3.4	节）	：说明欧盟如何设法减少	
暴露于危险污染物从而降低	环境	风	险	。

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2 	Part 2: Policies handling environmental risks to public health and 
ecology	 	
第2章：应对	公众健康和生	态所受	环境风险的政策	 	
In this chapter we 	present some 	examples (	cases	) from 	the 	EU and the US on how 	
industry pollution in the EU are regulated today	 (section 2.1), 	discharges	 to water 	
(section 2.2), release of heavy metals and other haz	ardous substances (section 2.3), 	
protection of nature and soil (section 2.4) 	and emissions to air (section 2.5) 	have been 	
handled. Emphasis is put on principles and ove	rall regulations (like the use of EU 	
Directives). Examples on how 	these principles and regulations have been appl	ied are 	
presented in chapter 3.	 	
本章我们介绍欧盟和美国一些关于	欧盟	目前	如何监管	工业污染（第	2.1	节）、	如	
何处理	污染物	向水排放（第	2.2	节）、重金属和其他	有害物质	释放	（第	2.3	节）、自然	
和土壤保护（第	2.4	节）和	污染物	向空气排放（第	2.5	节）的	范例	（案例）。以	原则和	
总体	法规	（比如采用欧盟指令）	为重点	。第	3	章介绍了这些原则和法规的应用案例。	 	
2.1	 	Regulating industry pollution: the EU Industrial Emissions Directive (IED)
工业污染	监管	：欧盟工业排放指令（	IED	）	 	
2.1.1	 Introduction	综述	 	
The Directive on Industrial E	missions 2010/75/EU (IED)	 aims to prevent, reduce and as 	
far as	 possible eliminate pollution from industrial activities by establishing a general 	
framework for the control of the main industrial activities.	 	
《工业排放指令	2010/75/EU	》（	IED	）旨在通过建立一个用于控制主要工业活动	
的框架，防止、减少并尽可能消除工业活动产生的污染。	 	
The IED Directive 	was adopted on 24 November 2010 and had to be 	included in	 national 	
legislation by Member States by 7 January 2013. The IED replaces the 	Directive on 	
Industry Pollution Prevention and Control (	IPPC Directive	) and 	various	 sectoral 	
directives as of 7 January 	2014, with the exemption of the 	Large Combustion Plant (	LCP	) 	
Directive, which will be repealed w	ith effect from 1 January 2016.	 	
IED	指令于	2010	年	11	月	24	日获得通过，到	2013	年	1	月	7	日成员国必须将其	
纳入国家立法。自	2014	年	1	月	7	日起，	IED	取代《工业污染预防与控制指令》	
（《	IPPC	指令》）及各种行业指令，	2016	年	1	月	1	日起将废止的《大型燃烧装置	
（	LCP	）指令》除外。	 	
The IED Directive stresses that d	ifferent approaches to controlling emissions into air, 	
water or soil separately may encourage the shifting of pollution from one environmental 
medium to another rather than protecting the environment as a whole. 	Therefore, a	n 	
integrated approach	 to prevention and control of emissions into air, water and soil, to 	
waste management, to energy efficiency and to accident prevention	 should be 	
applied	.The importance of preventing accidents and incidents, and limit their 	
consequences	, are highlighted	. Liability regarding the environmental consequences of

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accidents and incidents is a matter for 	each member state, and the directive has no 	
particular requirements on this. However, if an EU member state fails to implement the 
requirements	 of the directive, it can be taken to the EU Court of Justice.	 	
IED	指令强调，	在	控制	污染物	向空气、水或土壤排放	各方面单独采取不同方法	可	
能会促使污染从一个环境介质转移到另一个环境介质，而不能保护整体环境。因此，
应当将	一体化	方法	应用于预防和控制	污染物	向空气、水或土壤排放、废弃物管理、能	
源效率和事故预防。	强调了预防事故	和事件及其	后果的重要性	。事故和事件所产生的	
环境	后果由每一个成员国自行承担，尽管该指令并没有对此提出特别要求，但是，欧	
盟成员国不履行该指令	要求	的，可被诉至欧盟法院。	 	
The emission permit requirements in the IED	 are 	directed at tackling both acute and 	
accumulated environmental risks	, and few of the requirements are directed to one or 	
another. However, some requir	ements are directed towards how to prevent accidents 	
and how to handle and limit the damages when accidents causing high acute emissions 
occur. The permitting process 	does not explicitly take into account regional 	
environmental risk	. However, the IED Direc	tive imposes 	minimum	 standards, and it 	
does not 	prevent 	member 	states from maintaining or introducing more stringent 	
protective 	standards or 	measures	 if this is regarded necessary. 	 	
IED	中的排放许可证要求旨在应对	突发性	环境风险	和累积	性	环境风险	两者	，这些	
要求很少是只针对其中一种风险的。然而，也有一些要求是针对如何预防事故以及当
发生引起高度	突发性	排放的事故时如何处理和限制损害的。许可审批程序	并未明确把	
区域环境风险纳入考虑	。然而，	IED	指令设定了	最低	标准，而且允许成员国在其认为	
必要的情况下建立或出台更加严格的保护性标准或措施。	 	
2.1.2	 Principles	 	
 	
Emission permits should be based on 	best available techniques	 (BAT)	 排放	许可证应当	建	
立在	最佳可行	技术	（术可行证	的	基础之上	 	
The permit	s should include emission limit values for polluting substances, or equivalent 	
parameters or technical measures, appropriate requirements to protect the soil and 
groundwater and monitoring requirements. Permit conditions should be set on the basis 
of best a	vailable techniques	 (BAT)	. Annex III of the Directive present some criteria on 	
how to define BAT. 	 	
污染物质的排放限值、同等参数、技术措施、保护土壤与地下水的适当要求，以	
及监测要求应列入许可证。许可证条件应根据最佳可行技术设定。《指令》附录	III	列	
出了一些确定	BAT	的标准。	 	
‘Best available techniques’ 	are defined by the Directive as“	the most 	effective and 	
advanced stage in the development of activities and their methods of operation which 
indicates the practical suitability of particular techniques for providing the basis for 
emission limit values and other permit conditions designed to preven	t and, where that is 	
not practicable, to reduce emissions and the impac	t on the environment as a whole”. 	
‘Techniques’ includes both the technology used and the way in which the installation is 
designed, built, maintain	ed, operated and decommissioned.

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《指令》对	‘最佳可行技术’的定义是：	“活动及其	运作	方法	是在	发展中最有效	
最先进的阶段，该阶段表明，特别技术在实践中	能	为排放限值和其他许可证条件提供	
依据，	防止或	在	不可行的情况下减少排放以及对整体环境的影响。‘技术’既包括所	
采用的技术，也包括	设备	的设计、建造、维护、运行和停运方式。	 	
‘Available techniques’ 	are defined as	 those 	“developed on a scale which allows 	
implementation in the relevant industrial s	ector, under economically and technically 	
viable conditions, taking into consideration the costs and advantages, whether or not the 
techniques are used or produced inside the Member State in question, as long as they 
are reasonably accessible to th	e operat	or.” 	‘Best’ means most effective in achieving a 	
high general level of protectio	n of the environment as a whole.	 	 	
‘可行技术’的定义是：“在一定规模上开发的技术，考虑了成本和优势，	在	经	
济技术可行的条件下在相关工业行业实施。该技术不论是否在所议成员国内使用或产
生的，只要经营者可以合理得到这些技术”。‘最佳’是指能最有效达到很高的整体
环境保护综合水平。	 	
In order to determine BAT and to limit imbalances in the EU as regards the level of 
emissions from similar industrial activities, BAT 	reference documents 	should be 	
drawn up,reviewed and	 where necessary, updated through an exchange of information 	
with stakeholders. 	BAT reference document should be a document resulting from 	
the exchange of information, drawn up for defined activities and describing, in 
particular, applied techniques, prese	nt emissions and consumption levels, 	
techniques considered for the determination of best available techniques as well 
as BAT conclusions and any emerging techniques	. 	
为了确定	BAT	并限制欧盟在类似工业活动排放水平方面的不平衡，在起草、审核	
并在必要时更新	BAT	参考文件	等行为都	应与利益相关者进行交流。	BAT	参考文件应当	
是通过信息	交流	产生的、为规定的	活动起草的文件，特别描述了所应用的技术、当前	
的排放和消耗水平、确定最佳可行技术时所考虑的技术以及	BAT	结论和任何新兴技术	。	 	
The key elements of BAT reference documents (	BAT	conclusions	) should be adopted 	
through a committee procedure. 	Since this is to be done at the EU level, t	he EU 	
Commission should establish guidanc	e on the collection of data, on the elaboration of 	
BAT reference documents and on their quality assurance.	 BAT conclusions should be 	
the reference for setting permit conditions	. They can be supplemented by other 	
sources. The 	EU 	Commission should aim to upd	ate BAT reference documents not later 	
than 8 years after the publication of the previous version.	 	
BAT	参考文件的关键要素（	BAT	结论	）应通过委员会程序来选定。由于这项工作	
要在欧盟层面完成，因此欧盟委员会应提供数据收集、	BAT	参考文件的阐述及其质量	
保证方面的指导。	BAT	结论应作为	设置	许可证条件的参考	，可以由其他资料来源做补	
充。欧盟委员会应不晚于上一版出版	8	年后对	BAT	参考文件进行更新。	 	
The	 update 	of 	BAT reference documents	 for the various industries should be done 	
through	 an exchange of information between Member States, the industries concerned, 	
non	-governmental organi	zations promoting environmental	 	protection and the 	
Commission. 	The exchange of i	nformation shall, in par	ticular, address the following:

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各行业	BAT	参考文件的更新应通过欧盟成员国、有关行业、促进环保的非政府组	
织以及欧盟委员会之间的信息交流来完成。信息交流应特别论及以下信息：	 	
a. the performance of installations and techniques in terms of emissions, expressed 
as short	- and long	-term averages, where appropria	te, and the associated 	
reference conditions, consumption and nature of raw materials, water 
consumption, use of energy and generation of waste;	 	 	
以长期和短期平均水平表示的设备性能和排放方面的技术，适当时还有相关的
基准条件、原材料的消耗和性质、水消耗、能源利用和废弃物的产生；	 	
b. the techniques used, associated monitoring, c	ross	-media effects, economic and 	
technical viability and developments;	 	
所用的技术、相关监测、跨媒介影响、经济技术可行性和发展动态；	 	 	
c. 	best available techniques and emerging techniques identified after considering 
the issues mentioned in points (a) and (b).	 	
在考虑（	a）和（	b）两点涉及的问题之后所确定的最佳可行技术和	新兴技术。	
 	 	
‘Emerging technique’ means a 	new	 technique for an industrial activity that, if 	
commercially developed, could provide either a higher general level of protection of the 
environment or at least the same level of protection of the environment and higher cost 
savings than exi	sting best avail	able techniques. 	 	
‘新兴技术’是指某种工业活动的新技术，该技术若得到商业开发，相较现有最	
佳可行技术而言，它可以带来较高或者至少相同的综合环保水平，且节省的成本更多。	 	
2.1.3	 Approach	 	
 
A large number of BREFs	1 have been developed	编制了大量的	BREF	文件	 	
BAT was defined also in the IPPC Directive, and over the years several 	Best Available 	
Techniques Reference Document (BREFs)	 have been developed for various industries. 	
As of April 2014 there are BREFs either being prepared or adopted for the following 
indu	stries or activities:	 	
《	IPPC	指令》也对	BAT	做了定义，并且近年来编制了各行业的最佳可行技术参考	
文件（	BREF	）。截止	2014	年	4	月，编制或通过了以下行业或活动的	BREF	文件。	 	
 	Ceramic manufacturing industry	 	
陶瓷制造业	 	
 	Common Waste Water and Waste Gas Treatment/Management System in the 
Chemical Sector	 	
化工行业中常见的废水和废气处理	/管理系统	 	
 	 	 	
1 BREFs can be found at 	http://eippcb.jrc.ec.europa.eu/reference/	 	
BREF	文件可在	http://eippcb.jrc.ec.europa.eu/reference/	上找到。

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 	Emissions from Storage 	and the transfer/handling of liquids, liquefied gases and 	
solids, regardless of the sector or industry	 	
仓储的排放以及液体、液化气和固体的转移	/处理，无论什么行业或产业	 	
 	Energy Efficiency	 	
能源效率	 	
 	Ferrous Metals Processing Industry	 	
黑金属	加工行业	 	
 	Food, Drink and Milk Industries	 	
食品、饮料和牛奶行业	 	
 	Industrial Cooling Systems	 	
工业冷却系统	 	
 	Intensive rearing of Poultry and Pigs	 	
家禽和猪的集约饲养	 	
 	Iron and Steel Production	 	
钢铁生产	 	
 	Large Combustion Plants	 	
大型燃烧装置	 	
 	Large Volume Inorganic Chemicals 	– AFF and FI	 	
大规模无机化学品工业	-AFF	和	FI	 	
 	Large Volume Inorganic Chemicals 	- Solids and other Industries	 	
大规模无机化学品工业	-固体和其他	 	
 	Large Volume Organic Chemical Industry	大规模有机化学品工业	 	
 	Management of Tailings and Waste	-rock in Mining Activities	 	
采矿中尾矿和废岩的管理	 	
 	Manufacture of Glass	 	
玻璃制造	 	
 	Manufacture of Organic Fine Chemicals	 	
有机精细化工品制造	 	
 	Non	-ferrous Metals	 Industries	 	
有色金属行业	 	
 	Cement, Lime and Magnesium Oxide Manufacturing Industries	 	
水泥、石灰和氧化镁制造业	 	
 	Production of Chlor	-alkali	 	
氯碱制造业	 	
 	Production of Polymers	 	
聚合物的生产	 	
 	Pulp and Paper Industry	 	
纸浆和造纸业	 	
 	Production of Speciality Inorganic Chemicals	 	
特种无机化学品的生产	 	
 	Refining of 	Mineral Oil and Gas	 	
矿物油和天然气精炼	 	
 	Slaughterhouses and Animals By	-products Industries	 	
屠宰场和动物副产品工业	 	
 	Smitheries and Foundries Industry	 	
锻造和铸造业

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 	Surface Treatment of Metals and Plastics	 	
金属和塑料表面处理	 	
 	Surface Treatment Using Organic Solvents	 	
使用有机溶剂的表面处理	 	
 	Tanning of Hides a	nd Skins	 	
制革业	 	
 	Textiles Industry	 	
纺织业	 	
 	Waste Incineration	 	
垃圾焚烧	 	
 	Waste Treatment	 	
废物处理行业	 	
 	Wood	-based Panels Production	 	
人造板生产	 	
 	Wood and Wood Products Preservation with Chemicals	 	
使用化学品保存的木材和木材制品	 	
The permit granting process is comprehensive	许可证审批程序	综合	全面	 	
The process of 	granting permits to installations is the responsibility of each EU Member 	
State. Operators of an installation should submit permit applications containing the 
information necessary for the socalled “	competent authority	” (i.e. the national 	
responsible insti	tution) to decide permit conditions. An application for a permit should 	
include a description of the following:	 	 	
设备许可证审批是欧盟每个成员国的责任。设备经营者应提交许可证申请书，申	
请书应包含“	主管部门	Ä	£
-æCOCSj´Å.žÊAè
Añ‘&põM0,´ŸÈAè
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+cB'–Ä	5;éM’,´ÿF Ö	 	
 	a description of the installation and its activities;	设备及	其功能的描述；	 	
 	an overview of the raw and auxiliary materials, other substances and the energy 
used in or generated by the installation;	 设备所用或产生的原材料和辅助材料、	
其他物质和能源的概述；	 	
 	the sources of emissions from the installation;	 	设备的排放源；	 	
 	the conditions of the site of the install	ation;	设备场地状况；	 	
 	where applicable, a baseline report	 describing the state of soil and groundwater 	
contamination	;适用情况下，土壤和地下水污染状况的基线报告；	 	
 	the nature and quantities of foreseeable emissions from the installation into each 
medium	, as well as identification of sign	ificant effects of the emissions on the 	
environment;	 设备向每种介质的可预见排放的性质和数量，以及排放对环境的	
重大影响的确定；	 	
 	the proposed technology and other techniques for preventing or, where this is 
not possible, reducing emissions from the installation;	 所推荐的技术以及其他技	
术，这些技术用于预防或无法预防情况下减少设	备的排放；	 	
 	measures for the prevention, preparation for re	-use, recycling and recovery of 	
waste generated by the installation;	设备所产生废物的预防、准备再利用、循环	
使用和回收措施；

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	40	 	
 	further measures planned to comply with the general principles of the basic 
obligations of the operator;	 遵守	一般原则所采取的进一步计划措施是经营者的基	
本义务；	 	
 	measures planned to monitor emissions into the environment;	监测	污染物	向环境	
排放的计划措施；	 	
 	the main alternatives to the proposed technology, techniques and measures 
studied by the applicant in outline.	所推荐技术、申请人所研究的技术和措施的主	
要替代方案的概括。	 	
The Directive 	defines ‘	emission limit value	’ as the mass, expressed in terms of certain 	
specific parameters, concentration and/or level of an emission, which may not be 
exceeded dur	ing one or more periods of time (e.g. hour, day and/or year).	 	
《指令》对“	排放限值	,´Êy_ÖÂn(™
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或年）内不可被超过的质量（以某种特定参数表示）、浓度和	/或水平。	 	
The 	competent authority	 may set less strict emission limit values than required 	
from BAT considerations only where an assessment shows that the achievement 
of emission levels associated with BAT would lead to dispr	oportionately higher 	
costs compared to the environmental benefits	 due to:	 	 	
只有当评估发现达到与	BAT	相关的排放水平会因以下原因而导致成本与环境效益	
相比不成比例地升高时，主管部门方可设定比	BAT	考虑所要求的较为宽松的排放限值：	 	
 	the geographical location or the local environmental conditions of the installation 
concerned; or	有关设备的地理位	置或当地环境状况；或者	 	
 	the technical characteristics of the installation concerned.	有关设备的技术特征。	 	
In order to enable operators to 	test emerging techniques	 which could provide for a 	
higher general level of environmental protection, or at least the same level of 
environmental protection and higher cost savings than existing 	BAT	, the 	competent 	
authority	 should be able to grant temporary derogations from emissi	on levels associated 	
with 	BAT	. 	
为了让经营者能够	检验新兴技术	
V•	")à9	BAT	较高的	综合环保水平或者至	
少相同的环保水平和更多的节约成本，主管部门应准许临时背离与	BAT	有关的排放水	
平。	 	
In order to 	provide existing installations with sufficient time to adapt technically to 	
the new requirements	 of 	the IED	, some of the new requirement	s should apply to those 	
installations after a fixed period from the date of application of this Directive.	 	
为现有设备提供充足的时间	，使其	在技术上适应	IED	的新要求	，一些新要求应在该	
指令实施之日起，在宽限期后适用于那些设备。	 	
In accordance with the Århus Convention on access to information, public participation 
in decision	-making and access to justice 	during the permit application process is 	
necessary	. 	Members of the public concerned should be heard during the 	
application proce	ss	, and their views taken into account when the permits are set	.

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	41	 	
根据关于信息获取的《奥胡斯公约》，公众参与决策和司法救济在许可证申请过	
程中是必要的。	申请过程中应听取有关公众人士的意见		
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2.1.4	 Tools	 	
The permit conditions are usually detailed	许可证条件通常很详细	 	
BAT	 conclusions shall be the reference for setting the permit conditions.	 Emission levels 	
associated with 	BAT	 means 	“..the range of emission levels obtained under normal 	
operating conditions using a best available technique or a combination of best available 
techniques, as described in BAT conclusions, expressed as an average over a given 
period of time, under spec	ified reference conditions.” The conditions	 shall 	include at 	
least the following	, aiming at reducing both acute and accumulated risks	: 	 	
BAT	结论应作为设置许可	证条件的参考。与	BAT	有关的排放水平是指“	……	正常	
操作条件下用一种最佳可行技术或组合最佳可行技术获得的排放水平范围，如	BAT	结	
论中所描述的，以给定时期内规定基准条件下的平均水平来表示。”	为了	降低	突发性	
风险和累积风险	，	许可证条件应	至少包括以下内容	：	 	
 	emission limit values for polluting substances listed in 	the Directive	, and for 	
other polluting substances, which are likely to be 	emitted from the installation in 	
significant quantities;	 	 	
指令中所列污染物质以及设备可能会大量排放的其他污染物质的排放限值；	 	
 	appropriate requirements ensuring protection of the soil and groundwater and 
measures concerning the monitoring and management of waste generated by the 
installation;	 	
确保保护土壤和地下水的适当要求，以及关于设备所产生废物的监测与管理措
施；	 	
 	suitable emission mon	itoring requirements specifying 	measurement 	
methodology, frequency and evaluation procedure; 	 	 	
适宜的排放监测要求，规定了测量方法、频率和评估程序；	 	
 	an obligation to supply the competent authority regular	ly, an	d at least annually, 	
with 	information on the basis of results of emission monitoring and other 	
required data that enables the authority to verify compliance with the permit 
conditions;	 	 	
根据排放监测结果定期（至少每年）向主管部门报告信息，并提供主管部门可
以验证许可证条件符合性的其他必要数据；	 	
 	appropriate 	requirements for the regular maintenance and surveillance of 	
measures taken to prevent emissions to soil and groundwater	, and appropriate 	
requirements concerning the periodic monitoring of soil and groundwater in 
relation to relevant hazardous substances l	ikely to be found;	 	
定期维护和监督为防止向土壤和地下水排放而采取的措施的适当要求，以及关
于定期监测与可能发现的相关有害物质有关的土壤和地下水的适当要求；	 	
 	measures relating to conditions other than normal operating conditions such as 
start	-up and shut	-down operations, leaks, malfunctions, momentary stoppages 	
and definitive	 cessation of operations;

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	42	 	
非正常操作条件的有关措施，比如启动和停机操作、泄漏、故障、短暂停机和
永久性停止运转；	 	
 	provisions on the minimi	zation of long	-dist	ance or transboundary pollution	 	
关于最大程度减少远距离或跨境污染的规定；	 	
 	conditions for assessing compliance with the emission limit values or ato the 
applicable r	equirements specified elsewhere.	 	
评价排放限值遵从情况的条件，或者另行规定的适用要求。	 	
Whe	n an activity or a type of production process carried out within an installation is not 	
covered by any of the BAT conclusions	, or where those conclusions do not address all 	
the potential enviro	nmental effects of the activity or process, the 	competent authority 	
shall, after prior consultations with the operator, set the permit conditions on the basis 
of the best available techniques that it has determined for the activities or processes 
concerned.	 	
如果任何	BAT	结论未涉及设备执行的某项活动或某类生产流程，或者那些结论没	
有论及活动或生产流程对环境造成的全部潜在影响，主管部门应事先与经营者协商，
根据其已确定的有关活动或流程的最佳可行技术来设置许可证条件。	 	
Regular monitoring is required 	要求定期监测	 	
It is necessary to ensure that the operation of an installation 	comply with the permit 	
requirements	. Therefore, 	permit conditions should include regular surveillance to 	
avoid leaks, spills, incidents or accidents occurring during the use of equipment 
and during storage	. In order to detect possible soil and groundwater p	ollution at an 	
early stage and 	to tak	e appropriate corrective measures before the pollution spreads, 	
the monitoring of soil and groundwater for relevant hazardous substances is also 
necessary. When determining the frequency of monitoring, the type of prevention 
measures and the extent and occ	urrence of their surveillance may be considered.	 	
应当确保设备的运转符合许可证要求。因此，	许可证条件应包括	为了	避免在设备	
使用和存放期间发生泄漏、溢出、事故	而进行的定期监督	Äj¶O
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Periodic monitoring shall be carried out at least once e	very 5 years for groundwater and 	
every 	10 years for soil, unless such monitoring is based on a systematic appraisal of the 	
risk of contamination.	The	n the monitoring should be made more frequent. 	 	
地下水的定期监测至少每	5	年进行一次，土壤的定期监测至少每	10	年一次，除非	
这种监测以污染风险的系统性评估为基础。	监测应更频繁些。	 	
Compliance control and inspections are required	要求进行合规控制和检查	 	
In order to ensure the effective implementation and enforcement of 	the permit 	
requirements,	operators should regularly report to the competent authority on 	
compliance with permit conditions	. Member States should ensure that the operator 	
and the competent authority each take necessary measures in the event of non	-	
compliance with this Directive and 	provide for a system of environmental

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	43	 	
inspections	. The national responsible authority for compli	ance and controlshould have 	
sufficient staff available with the skills and qualifications needed to carry out those 
inspections effectively.	 	
为了确保有效实施和执行许可证要求，	经营者应定期向	主管部门	报告	遵守	许可证	
条件的情况	Ä@
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Member States 	must	set up a system of environmental inspections of installations 	
addressing the examination of the full range of relevant environmental effects 
from the installations concerned	. O	perators 	shall offer the control	 authoritie	s all 	
necessary assistance to enable 	them	 to carry out any site visits, to take samples and to 	
gather any information necessary for the performance of their duties for 	the purposes of 	
this Directive.	 	
成员国必须	针对有关设备造成的各种相关环境影响	进行	检查，建立环境检查制度	Ä	
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All installations should be covered by an environmental inspection plan at 
national, regional or local level	. Each environmental inspection plan shall include the	 	
following:	 	 	
所有设备应全部	纳入	国家、区域或地方层面的环境检查	计划	。每一项环境检查计	
划应包括以下内容：	 	
 	a general assessment of relevant significant environmental issues;	 	 	
对相关重大环境问题的综合评价；	 	
 	the geographical area covered by the inspection plan;	 	
检查计划所涉及的地理区域；	 	
 	a register of the installations covered by the plan;	 	
计划所涉及设备的登记簿；	 	
 	procedures for 	drawing up programmes for routine environmental inspections;	 	
例行环境检查计划的起草程序；	 	
 	procedures for non	-routine environmental inspections;	 	
非例行环境检查的程序；	 	
 	where necessary, provisions on the cooperation between different inspection 
authorities.	 	
根据需要确定不同检查机构之间合作的规定。	 	
The	 period between two site visits shall be based on a systematic appraisal of the 	
environmental risks of the installations concerned	,and shall not exceed 	1 year for 	
installations posing the highest risks and 	3 years for installations posing the 	
lowest risks	.If an inspection has identified an important case of non	-compliance with 	
the permit conditions, an additional site visit shall be carried out within 6 months of that 
inspection.

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	44	 	
两次实地视察之间的间隔时间应根据对有关设备的环境风险的系统性评估来确定，	
造成最高风险的设备不超过	1	年，造成最低风险的设备不超过	3	年	。如果某一次检查	
发现不符合	许可证条件的重大情况，要在那次检查	6	个月内再进行一次实地复查。	 	
The systematic appraisal of the environmental risks shall be based on at leas	t the 	
following criteria:	 	 	
环境风险的系统性评估应至少基于以下标准：	 	
 	the potential and actual impacts of the installations concerned on human health 
and the environment taking into account the levels and types of emissions, the 
sensitivity of the local environment and the 	risk of accidents	; 	
有关设备考虑了排放水平和类型对人体健康和环境的潜在与实际影响、考虑	了	
当地环境的敏感性和	事故风险	×	 	
 	the record of compliance with permit conditions;	许可证条件符合性记录；	 	
 	the participation of the operator in the 	EU’s	 eco	-man	agement and audit scheme 	
(EMAS	2). 	
经营者参加欧盟的生态管理和审核计划（	EMAS	）。	 	
Non	-routine environmental inspections shall be carried out to inves	tigate serious 	
environmental complaints, serious environmental accidents, incidents and occurrences 
of non	-compliance as soon as possible and, where appropriate, before the granting, 	
reconsideration or update of a permit.	 	
应及时，合适的话应在许可证颁发、复议或更新之前，	进行非例行环境检查，	以	
调查重大的环境投诉、严重的环境事故和有没有违规情况。	 	
Following each site visit, the 	control	 authority shall prepare a report describing the 	
relevant findings regarding compliance of the installation with the permit conditions 
and conclusions on whether a	ny further action is necess	ary. 	The report shall be notified 	
to the operator concerned within 2 months 	after	 the site visit taking place	, and	 made 	
publicly available by the 	control	 authority within 4 months 	after	 the site visit.	 The 	
control	 authority shall ensure that the operator t	akes all the necessary actions identified 	
in the report within a reasonable period.	 	
每次实地视察之后，主管部门应编制报告，描述设备许可证条件符合性方面的相	
关调查结果	以及是否有必要采取进一步行动的结论	。报告应在实地视察后	2	个月内向	
经营者通报。主管部门应确保经营者在合理期限内采取报告中所确定的一切必要行动。	 	
Member States should lay down rules on penalties applicable 	to operators in the case of 	
non	-compliance with the permit requirements	. The penalties should be effective, 	
 	 	 	
2 The EU Eco	-Management and Audit Scheme (EMAS) is a management instrument developed by the 	
European Commission for companies and other organisations to evaluate, report, and improve their 
environmental performance.	 	
欧盟生态管理与审核计划（	EMAS	）是欧盟委员会为企业和其他组织制定的一个管理文件，	用来评价、	
报告和改进其环境绩效。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	45	 	
proportionate and dissuasive	.In the event of a breach of the permit conditions, 	the 	
operator 	should immediately inform	 the 	control authority and imme	diately take	 the 	
measures necessary to ensure that compliance is restored wi	thin the shortest possible 	
time. T	he 	control	 authority 	should require that	 the operator take any appropriate 	
complementary measures that the 	control	 authority considers necessary t	o restore 	
compliance.	 	
针对经营者有不符合许可证要求的情况，成员国应制定适用于经营者的处罚的规	
则。	处罚应当是有效的、相称的和劝诫性的	Ä²ÌF
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If the breach of the permit conditions poses an immediate danger to human health or 	
threatens to cause an immediate significant adver	se effect upon the environment 	until 	
compliance is restored, the	 operation of the installation 	shall be suspended.	 	
如果违反许可证条件的	情况对人类健康造成直接危险，或者可能会对环境造成直	
接的重大不利影响，应暂停设备运转。	 	
Incidents and accidents should be prevented and damages limited	 	
防止意外	事故	，	限制危害	 	
In the event of any incident or accident significantly affecting the environment, 	the 	
competent authority	 shall take the necessary measur	es to ensure that:	 	
若发生严重影响环境的事故，主管部门应采取必要措施，以确保：	 	
 	the operator informs the 	authorities	 immediately;	经营者立即通知有关主管部门；	 	
 	the operator immediately takes the measures to limit the environmental 
consequences and to prevent further possible incidents or accidents;	 	
经营者立即采取措施，以限制环境后果，并防止进一步的可能事故；	 	
 	requires the operator to take any appropriate complementary measures that the 
competent authority considers necessary to limit the environmental 
consequences and to prevent further possible incidents or accidents.	 	
要求经营者采取主管部门	认为限制环境后果和防止进一步可能事故所必需的补	
充措施。	 	
Reconsideration and updating of permit conditions should be done regularly	 	
定期进行	许可证条件的复议和更新	 	
Thenational 	authorit	iesshould periodically reconsider	 all permit conditions and, where 	
necessar	y to ensure compliance with the IED, updat	e those conditions. 	At the request of 	
the 	competent authority 	the operator shall submit all the information necessary for 	
the purpose of reconsidering the permit conditions, including results of emission 
monitoring and other data,	 that enables a comparison	 of the operation of the 	
installation with the 	BAT 	described in the applicable BAT conclusions and with the 	
emission levels associated with the best available techniques.When reconsidering 
permit conditions, the authorit	ies	 shall use any information resulting from monitoring 	
or inspections.

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	46	 	
国家有关部门应定期复查各项许可证条件，并在需要确保符合	IED	时，更新许可	
证条件。应主管部门的要求，	经营者应提交许可证条件	复议所	必需的全部资料，包括	
排放监测结果和其他资料	，使设备运行可以和适用	BAT	结论中所描述的	BAT	进行比	
较，并且和与最佳可行技术相关的排放水平进行比较。在复议许可证条件时，有关部
门应利用监测或检查所产生的任何资料。	 	
Operators should not	ify the competent authority of any planned change to an 	
installation which might affect the environment. Substantial changes to installations 
which may have significant negative effects on human health or the environment should 
not be made without a permit	 granted in accordance with this Directive. 	 	
设备的计划改造可能会影响环境的，经营者应将改造情况通知主管部门。设备的	
重大改造可能对人体健康或环境有重大负面影响的，未取得本指令颁发的许可证不可
进行。	 	
In order to take account of developments in best available techniques or other changes 
to an installation, 	permit conditions should be 	reconsidered regularly and, where 	
necessary, updated, in particular where new or updated BAT conclusions are 
adopted	.Within 4 years of publication of decisions on BAT conclusions relating to the 	
main activity of an installation, the authorit	ies shall ensur	e that 	all the permit conditions 	
for the installation concerned are reconsidered and, if necessar	y, updated to ensure 	
compliance. 	The reconsideration shall take into account all the new or updated BAT 	
conclusions applicable to the installation since the pe	rmit was granted or last 	
reconsidered.	 	
为了充分考虑最佳可行技术的发展动态或者对设备的其他改造，	应定期复议、必	
要时更新许可证条件，特别是	在通过了	新的或更新后的	BAT	结论	时	。在公布与某设备	
主要活动有关的	BAT	结论的决定	4	年内，有关部门应确保对该设备的全部许可条件进	
行复查、必要时进行更新，以确保许可证条件得到遵守。复议应考虑自许可证颁发或
上次复议以来适用于该设备的全部新的或更新后的	BAT	结论。	 	
The permit conditions shall be reconside	red and, where necessary, updated a	t least in 	
the following cases:	 	
以下情况应对许可证条件进行	复查	，必要时进行更新：	 	
 	when 	the pollution caused by the installation is of such significance that the 	
existing emission limit values of the permit need to be revised or new such values 
need to be included in the permit;	 	
设备引起的污染非常严重，以致于许可证的现有排放限值需要修改，或者新的
排放限值需要列入许可证时；	 	
 	when 	the operational safety requires other techniques to be used;	 	 	
操作安全性需要采用其他技术时；	 	
 	where it is necessary to comply with a new or revised environmental quality 
standard.	必	须	遵守新	的或修订后的环境质量标准时。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	47	 	
2.1.5	 Results	 	
Facilities are required to report their emissions to E	-PRTR	 	
企业	要向	E-PRTR	报告	排放情况	 	
The European Pollutant Release and Transfer Register (E	-PRTR)	3 is the Europe	-wide 	
register that 	provides easily accessible key environmental data from 	industrial facilities	 	
in 	EU	 Member States and in Iceland, Liechtenstein, Norway, Serbia and Switzerland. The 	
register contributes to transparency and public participation in environmental decision	-	
making. 	 	
《欧洲污染物排放与转移登记》（	E-PRTR	）要求在欧洲范围内进行登记，便于人	
们获取欧盟成员国以及冰岛	、列支敦士登、挪威、塞尔维亚和瑞士工业企业的关键环	
境数据。登记有利于透明度和公众参与环境决策。	 	
The register contains data reported annually by more than 30,000 industrial 
facilities covering 65 economic activities across Europe within the following 9 
industrial sectors	: 	
登记内容包括每年	3	万多家工业企业	报告	的	数据	，涉及全欧洲以下	9	个工	业门类	
内	的	者	类经济活动：	 	
 	energy 	能源	 	
 	production and processing of metals 	金属生产和加工	 	
 	mineral industry 	矿产业	 	
 	chemical industry 	化工	 	
 	waste and waste water management 	废弃物与废水管理	 	
 	paper and wood production and processing 	纸和纸浆生产与加工	 	
 	intensive livestock production and aquaculture 	集约畜牧业和水产业	 	
 	animal and vegetable products from the food and beverage sector, and 	 	
食品和饮料业的动物和蔬菜产品，以及	 	
 	other activities. 	其他活动。	 	
For each facility, information is provided concerning the amounts of pollutant releases 
to air, water and land as well as off	-site tra	nsfers of waste and of pollutants in waste 	
water from a list of 	91 key pollutants	4 falling under the following 7 groups:	 	
每个企业要提供向空气、水和土地排放污染物的排放量信息，以及废物在厂区外	
转移和废水中污染物的厂区外转移信息，这些污染物属于以下	7	个组别的	91	项关键	
污染物	清单	所列项目：	 	
 	Greenhouse gases	温室气体	 	
 	Other gases	其他气体	 	
 	 	 	
3 http://prtr.ec.europa.eu/	 	
4 For a list of the pollutants, see 	http://prtr.ec.europa.eu/	污染物清单见	http://prtr.ec.europa.eu/

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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Vista Analyse AS	 	48	 	
 	Heavy metals	重金属	 	
 	Pesticides	杀虫剂	 	
 	Chlorinated organic substances	有机氯化物	 	
 	Other organic substances	其他有机物质	 	
 	Inorganic substances.	无机物质。	 	
Data are provided 	from	 the 	year 2007. Some information on releases from diffuse 	
sources is also available and will be gradually enhanced.The 	reported releases include 	
any introduction of any of the listed pollutants into the environment as a result of any 
human activity, whether deliberate, accidental, routine or non	-routine, at the site of the 	
facility.	 	
提供	2007	年及以后的数据。一些关于分散污染源的排放信息也可供使用，并且会	
逐渐得	到强化。所报告的排放包括清单上所列的任何污染物因企业场址上蓄意、意外、	
例行或非例行的人类活动而传入环境	的情况	。	 	
Data are reported by each facility	 to the relevant 	national	 authorities 	on an 	
annualbasis	. The 	competent authorities	 in the countries compile and check the quality 	
of the reported data. The data are t	hen provided to the European Commission and the 	
European Environment Agency for compilation and dissemination on this E	-PRTR 	
website	5. 	
企业	每年向各成员国有关部门	上报数据	Ä
4@
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 žCXGÿÄ'f
>È ž>Û�Ë5	!W-
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¼!W#b)ß³5¢F>|"w5FÈ¦œ3
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PRTR	网站上。	 	
2.1.6	 Lessons and suggestions for China	对中国的启示和建议	 	
The requirements regarding emission levels and other conditions in the emission 
permits specified in the IED are based on the experiences in the EU countries since the 
1970s on how to regulate pollution from industry sources. There has been some 	“trial 	
and error” over the years on how to do this in a most cost effective way. Thus, the 
requirements in the IED Directive should in many ways represent current “best 
practice” in the EU on how to grant emission permit, what they should contain and how 
the regulations should be monitored and enforced. It should therefore be a lot to learn 
from the IED for Chinese environmental authorities. 	 	
《工业排放指令》中规定的排放许可证中有关排放水平的要求和其他条件以欧洲	
国家	20	世纪	70	年代以来如何监管工业所致污染方面的经验为基础。多年来在如何以	
最大的成本效益进行监管方面有	一些“经验和教训”	。因此，《工业排放指令》中的	
要求在	很多方面代表着欧盟当前在如何发放排放许可证、许可证应包括哪些内容以及	
如何监控和执行法规方面的“最佳实践”。所以《工业排放指令》有很多值得中国环
保部门学习的东西。	 	
 	 	 	
5 http://prtr.ec.europa.eu/

Tackling environmental risks with environmental planning: international experiences	 	
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Vista Analys	is AS	 	49	 	
An approach for China could be to start out with the BREFs for the various industries 
when deciding what level of emission reductions to impose on industries. The Best 
Availab	le Techniques specified in the BREFs could eventually be adjusted to local 	
Chinese conditions, taking into account issues like what technologies could be available 
and most suitable, what it would cost to replace existing technologies with BAT applying 
som	e cost benefit considerations etc. In this respect it should also be considered if some 	
simpler, perhaps cheaper “en	-of pipe” solutions (i.e. installing cleaning devises) could be 	
more cost effective and yield environmental improvements quicker instead of 	changing 	
(larger parts of) the production processes. 	 	
中国可采用的方法是，在确定对企业设定减排	水平	时，可以从各种行业的	BREF	
文件着手。	BREF	文件中规定的最佳可行技术最终可按中国国情进行调整，将以下问题	
考虑在内：有哪些可用的最合适的技术，从成本效益角度考虑用	BAT	取代现有技术	需	
要	多少费用等。在这方面还应考虑的问题是：是否有更简单、或许更廉价的“末端”	
解决方案（即安装清洁装置）比改变（大部分）生产流程更	具经济效益	，并且能更快	
地带来环境改善效益。	 	
Othe	r conditions regarding the permitting granting process, monitoring and 	
enforcement etc. should be considered carefully and eventually adjusted to local Chinese 
conditions and legal traditions. 	 	
其他关于许可程序、监测和执行等的条件应予以仔细考虑，并最终结合中国国情	
和法律传统进行调整。	 	
Also, regional 	risks should be considered when setting the individual permits, since this 	
could be far more important in China than in the EU	 since there are many areas/regions 	
in China with several different pollution sources which contribute to the regional risk	. 	
另外，在设置个别许可证时，还要考虑区域风险，	因为	相比欧盟而言，	中国的很	
多地区或区域有多种不同的污染源，易造成区域风险，所以	中国更需要考虑这一情况。

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
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2.2	 	Discharges to water	:EU’s Water Framework Directive	污染物	向水中	排	
放	：	欧盟水框架指令	 	
In this section we present the EU Water Framework Directive	 as ex	amples on how to 	
approach releases to water. 	 	
本节我们以《欧盟水框架指令》为例，说明如何处理	污染物	向水	中	排放	的	问题	。	 	
2.2.1	 Introduction	引言	 	
The EU Water Framework Directive (WFD) came into force in 2000 and is a directive 
providing the legal framework for all water management in the EU.	 The WFD 	
contributes to reduce regional environmental risk	 related to water bymonitoring and 	
imposing environmental standards and integrated management at river basin level	. It 	
commits	 EU	 member states to achieve good qualitative and 	quantitative status of 	
all	 water bodies	 (including marine waters up to one nautical mile from shore) by 2015. 	
The goal of the directive is to prevent further d	eterioration of aqu	atic ecology	, as well as 	
terrestr	ial ecosystems and wetlands that depend on aquatic ecology, to improve their 	
status as close to natural conditions as possible, and to promote sustainable water use	 	
based on a long	-term protection of available water 	resources. It is a framework in the 	
sense that it prescribes steps to reach the common goal rather than adopting the more 
traditional limit value approach.	 	
《欧盟水框架指令》（	WFD	）于	2000	年生效，是一个为欧盟全部水管理提供法	
律框架的指令。	《欧盟水框架指令》通过实施流域环境标准和综合管理及监督这些标	
准和管理措施的执行情况，有利于减少与水相关的区域环境	风险。	它规定	欧盟成员国	
要使	全部水体	（包括离海岸一海里	以内	的海域）达到良好的质量和数量状态。指令的	
目的是防止水生生态以及依赖水生生态的陆地生态系统和湿地	的	进一步恶化，将其状	
态改善到尽可能接近自然状况，并在长期保护可用水资源的基础之上促进可持续用水。
它是一个框架，其意义在于	规定达到共同目标的步骤	，而非采用	更为	传统的限值方法。	 	
Sustainable and economically optimal water use is a great challenge in Europe, following 
more 	than a century of over	-use and exploitation. Europe	ans have for centuries altered 	
European surface waters (straightening and canalization, disconnection of flood plains, 
land reclamations, dams, weirs, bank reinforcements, etc.) to 	facilitate 	
agriculture,i	ndustrial development and 	urbanization, 	to 	produce energy and protect 	
against flooding. The activities have resulted in damage to the morphology and 
hydrology of the water bodies. Such activities have resulted in altered habitats and have 
severe and signif	icant impacts on the status of aquatic ecosystems. There are several 	
hundred thousand barriers and transverse structures in European rivers. In many river 
basins, the continuity of the rivers is interrupted every second kilometer. Many 
watercourses have th	eir seasonal or daily flow regimes changed for various purposes, 	
including damming for hydropower production and storage of irrigation water. 
Transitional and coastal habitats have also been altered in many ways; by dredging, land 
reclamation and hard infr	astructure for coastal protection and erosion management.	 A 	
recent poll among citizens of the EU	-25 showed	 that nearly half of the respondents are 	
worried about “water pollution” (47%), with figures for individual countries going up as 
far as 71%	 (EC, 2014	a)	.

Tackling environmental risks with environmental planning: international experiences	 	
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经过	一百多年的过度使用和开发	之后，	实现水的	可持续、经济上最优的	使用	已成	
为	欧洲	的	一	项	巨大挑战	。	几百年来，	欧洲人对欧洲地表水体进行改造（调直和开掘运	
河、截断洪泛区、土地开垦、水坝、溢流堰、河岸加固	等	），	以便	促进	工农业	发展、	
加快	城镇化	进程和促进	发电并防范洪水泛滥。	以上	活动对水体的形态和水文造成了损	
害。	这些	活动导致栖息地改变，对水生生态系统的	状况	产生了重大	而严重	影响。	欧洲	
河流里有几十万个栅栏和横截构筑物。在许多流域，河流的连续性每隔	两	公里就被打	
断。很多河道的季节流	态	和每日流态	出于	各种目的被	改变	，	如：	为水	力	发电筑坝和贮	
存灌溉用水	等	。	过渡性	栖息地和海岸栖息地也	遭到了	很多	方式的	改变。如：	疏浚、土	
地开垦	和用于海岸保护及侵蚀管理的	硬基础设施	建设	。	最近对欧盟	25	国市民进行的一	
项民意调查显示，	近	半数	受访者	对	“水污染”	表示担忧	（	47%	），个别国家的这	一比	
例	高达	71%	（	EC, 2014a	）。	 	
W	ater is in Europe still a limited resource at severe risk of over	-exploit	ation and 	
pollution (EC,	 2010):	 	
在欧洲，	水仍是一种有限的资源，面临过度开发和污染的严重风险（	EC,	 2010	）：	 	
 	75% of groundwater and 70% of surface water in Europe is considered to be at 
serious risk from pollution and other challenges.	 	
欧洲	75%	的地下水和	70%	的地表水被认为面临污染和其他挑战的严重	风	险	。	 	
 	60% of European cities over	-exploit their groundwater re	sources.	 	
60%	的欧洲城市过度开发	其	地下水资源。	 	
 	50% of wetlands are endangered due to over	-exploitation of groundwater.	 	
50%	的湿地因地下水的过度开发而濒临消失。	 	
Unsustainable use of water leads to many risks. 	Water is a crucial resource: As drinking 	
water; for hygienic and sanitation purposes;	 as a core element in natural ecosystems and 	
climate regulation; to generate and sustain economic growth and prosperity through 
activities such as farming, commercial fishing, energy production, manufacturing, 
transport and tourism; and for recreational ac	tivities such as bathing, fishing or just for 	
enjoying the beauty of coasts, rivers and lakes. Water pollution and water scarcity 	thus 	
pose threats to human health and quality of life, to ecosystems that uphold biological 
diversity and provide natural regu	lating and other services of importance to man, and to 	
the ability of society to generate and sustain economic growth and prosperity	. 	
不可持续的用水	会	带来很多风险。	水是一种至关重要的资源	，主要体现在	用作	饮	
用水；	用于	清洁和	卫生；	是	自然生态系统和气候调节中	的	核心要素；可以通过耕作、	
商业捕鱼、发电、制造、运输和旅游等活动实现和维持经济增长和繁荣；	用于游憩活	
动，比如海水浴、捕鱼或仅仅是享受美丽的海岸、江河与湖泊	风光	。因而，水污染和	
水短缺	会威胁	人类健康和生活质量、	支撑生物多样性并提供自然调节服务和其他对人	
类重要的服务的生态系统	，	以及社会实现和维持经济增长和繁荣的能力。	 	
In Europe, many European countries have had water policies in place for decades and 
also at the EU level Member countries have agreed on common water policies in certain 
areas (such as standards for drinking water) from the 1980s and onwards. During the 
last 25 years, significant progress has been made in numerous European waters in 
reducing pollution. This progress includes improved wastewater treatment (reducing 
point charges of nutrients and organic pollution to freshwater bodies) leading to

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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Vista Analyse AS	 	52	 	
significant 	improvements in water quality, reduced volumes of industrial effluents, 	
reduced use of fertilizers, reduced or banned phosphate content in detergents, as well as 
reduced atmospheric emissions. 	 	
在欧洲，很多国家	几十年来	制定了	有关	水	的	政策	。	而在	欧盟层面，成员国	从	20	世	
纪	80	年代	开始	就	某些	领域	有关水的	共同政策	达成了一致（如饮用水标准）	。最近	25	
年，众多欧洲水体在减少污染方面取得了巨大进步。这种进步包括	：	废水处理	水平的	
提高	（减少营养物和有机污染向淡水水体的	点源	排放）使得水质大幅提高	、	工业废水	
减少	、	化肥	使用减少	、	洗涤剂中磷含量减少或	受禁，	以及	大气	污染物	排放减少。	 	
Figure 	2.1	The hierarchy of water legislation in the EU	 	
图	2.1 	欧盟水立法	的	层次结构

Tackling environmental risks with environmental planning: international experiences	 	
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Source: 	Vista Analysis	来源：	Vista Analysis	 	
 
The challenge to ensure a sustainable use and management of water resources 	in 	
Europe 	has still not been fully solved. Moreover, ensuring sustainable water 	
management is often complicated by the fact that water basins often	 extend over 	
different regional or national borders, thereby making a coordinated policy response 
difficult as it involves many different parties. In 1995 it was widely recognized by 
politicians in the EU that there was a need for higher standards for wate	r management, 	
as a consequence of the over	-exploitation and pollution threats and in line with 	
increasing awareness and demand from citizens. Unsustainable water use and 
management posed a risk to human society and nature, and the then current water 
polici	es in the EU countries and in the EU were too weak and too fragmented	 (see the 	
green box in figure 2.1 above)	. In order to reduce the multiple risks arising from 	
unsustainable use of water, the next step was to ensure higher and common standards 
for water 	management across the EU that could be	 implemented in a common manner 	
while adapting to local circumstances. The instrument to do this was to be the Water 
Framework Directive (WFD). 	 	
欧洲	确保水资源的可持续	利	用和管理	的问题	尚未完全解决。	而且，确保可持续的水	
管理	常常因以下事实而变得复杂：河流常常穿过不同的区域边界或国家边界，	流域管	
理涉及	很多不同当事方，	很难做出协调的政策响应。	由于	过度	开发和污染	造成的	威胁	
以及公民意识和需求	的	日益	提高	，	1995	年开始	欧盟国家普遍认为	有必要提高水管理标	
准	。	不可持续的水	利用	和管理	对人类社会和自然造成了	威胁	，	而且	欧盟	国家	当时	执行	
的水政策	太薄弱、太	分散	（见	上面	图	2.1	中的绿色文本框）。	为了降低不可持续用水	
引起的多重风险，接下来要做的就是确保欧盟	提高	共同的水管理标准，因地制宜地	共	
同	实施。	做到这一点要使用的	工具就是	《	水框架指令	》	（	WFD	）。	 	
Box 2.1 	The purpose of the Water 	Framework Directive	, according to Article 1	 	
框	2.1 	《水框架指令》的目的，根据第	1	条

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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Article 1	第	1条	 	
Purpose	目的	 	
The purpose of this Directive is to establish a framework for the protection of inland 
surface waters, transitional waters, coastal waters and groundwater which:	 	
本指令的目的是	建立一个	保护内陆地表水、过渡水体、海岸水体和地下水	的	框架	，	它

Ö	 	
(a) prevents further deterioration and protects and enhances the status of aquatic 
ecosystems and, with regard to their water needs, terrestrial ecosystems and wetlands 
directly depending on the aquatic ecosystems;	 	
保护并改善水生生态系统	、	及	直接依赖水生生态系统的陆地生态系统和湿地	，防止其	
F0!•¦	F×	 	
(b) promotes sustainable water use based on a long	-term protection of available water 	
resources;	 	
在长期保护可用水资源的基础之上，促进	水的	可持续	利用	；	 	
(c) aims at enhanced protection and improvement of the aquatic environment, inter alia, 
through specific measures for the progressive reduction of discharges, emissions and losses 
of priority substances and the cessation or phasing	-out of discharges, emissions and losses 	
of the priority hazardous substances;	 	
旨在加强保护并改善水生环境，	具体措施是	逐渐减少重点	控制	物质的排放和流失	以及	
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¼#qa	1y	Ä	 	
(d) ensures the progressive reduction of pollution of groundwater and prevents its further 
pollution, and	 	
确保地下水污染逐渐减少，并防止进一步污染，并且	 	
(e) contributes to mitigating the effects of floods and droughts	 	
有利于缓解旱涝灾害的影响	 	
and thereby 	contributes to:	进而有利于：	 	
- the provision of the sufficient supply of good quality surface water and groundwater as 
needed for sustainable, balanced and equitable water use,	 	
提供充足的优质地表水和地下水，确保水资源的可持续、均衡和平等利用，	- a 	
significant reduction in pollution of groundwater	,显著减少地下水污染；	 	
- the protection of territorial and marine waters, and	保护领海和海域，并且	 	
- achieving the objectives of relevant international agreements, including those which aim 
to prevent and eliminate pollution of the marine environment, by Community action under 
Article 16(3) to cease or phase out discharges, emissions and losses of priority hazardous 
substances, with the ultimate aim of achieving concentrations in the marine environment 
near background values for naturally occurring substances and close to zero f	or man	-made 	
synthetic substances.	 	
实现相关国际协议的目标，包括为了停止或逐步消除重点控制危险物质的排放和流
aÈ6<+a	!W¡ƒiž1\	16	（	3）条	开展	的	旨在防止并消除海洋环境污染的那些协议，

Tackling environmental risks with environmental planning: international experiences	 	
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最终目的是实现海洋环境中天然物质的浓度接近背景值，人工合成物质的浓度接近
M&Ä	 	
There is a large literature about how to implement the WF	D, which is publicly available 	
but	 may not always be easy to find	.6 The most important are the 29 Guidance Documents 	
published by different expert work groups in order to ensure common, consistent and 
high quality implementation of the different aspects of the directive. Tog	ether with the 	
WFD itself, the guidance d	ocuments constitute the foundation for the Common 	
Implementation Strategy for the directive. The common strategy 	(WD, 2001)	7pulls the 	
responsible water management institutions across the EU together in a joint process, 
which contr	ibutes to mainstreaming of efforts and coordination between the countries. 	
The 29 guidance d	ocuments covers all kind of issues in detail; Organizational and 	
management issues, 	how to set ecological targets for different types of water bodies, 	
technical gui	dance on methodologies to be applied for environmental monitoring, 	
economic assessments, river basin planning etc., as well as guidelines on public 
participation. 	 	
有大量关于如何实施	WFD	的文献可公开	获取	，但不一定容易找到。最重要的是由	
不同专家工作组	为了确保	指令的不同内容得到一致和	高质量	的	共同	实施而	发表的	29	套	
指导文件	。指导文件与	WFD	本身一起构成该指令	共同	实施战略的基础。	共同	战略	
（	WD, 2001	）使得整个欧盟	范围内	的水管理负责机构	通力配合	，	这有利于各项工作的	
整合	以及	各国之间的协调。	这	29	套指导文件详细探讨了各种各样的问题：组织和管理	
问题，如何设定不同类型水体的生态目标，关于环境监测、经济评估、流域规划等要
采用的方法的技术指导，以及关于公众参与的导则。	 	
We have in the following chosen to go into some detail with regards to issues we believe 
may 	be of particular interest in a Chinese context: 	 	
下面我们	选择	了	我们认为在中国背景下特别受关注的问题	进行深入探讨：	 	
 	The fundamental principles of the directive	指令的	基本原则	 	
 	The approaches of the directive	指令的方法	 	
o 	Types and standards of the environmental goals	环境目标的类型和标准	 	
o 	River basin management and 	cyclical implementation	 	
流域管理和周期性实施	 	
o 	Public participation	公众参与	 	
 	The tools of the directive	指令的工具	 	
o 	How to set targets for different types of water bodies	 (inter	-calibration)	 	
 	 	 	
6 To access more information about WFD, a good starting point is 	获取更多关于	WFD	的信息可访问	
http://ec	.europa.eu/environment/water/water	-framework/	，The 29 WFD guidance documents are 	
listed at 	获取	29	套	WFD	指导文件可访问	http://ec.europa.eu/environment/water/water	-	
framework/facts_figures/guidance_docs_en.htm	 	
7 The Common Implementation Strategy for the Water Framework Directive (2001), is available here: 	获	
取更多关于《水框架指令共同实施战略（	2001	）》的信息可访问：	
http://ec.europa.eu/environment/water/water	-framework/objectives/pdf/strategy.pdf

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如何设定	不同类型水体的目标（相互校	准	）	 	
o 	Monitoring requirements	监测要求	 	
o 	Co	-ordination of measures in a river 	basin management plan	 	
一项流域管理	规划	中各种措施的协调	 	
 	
We will describe more specifically how the WFD has been used to reduce various forms 
of environmental risk 	within a framework of regional environmental risk assessment 	
and management 	in a specific river basin (the Rh	ine) in chapter 3.	 	
在第	3	章我们会	更加	具体地描述	如何用	WFD	来降低	一个区域环境风险评估和管理	
框架下某	特定流域（莱茵河）各种形式的环境风险。	 	
Bo	x 2.	2: Integrated R	iver Basin Management and Regional Risk Assessment 	
and management	 	
框	2.2	：综合流域管理和区域风险评估和管理	 	
 
2.2.2	 Principles	指令的原	则 	
The text in the WFD (EC	, 2000)begins with a preamble, stating a number of principles 	
and other considerations that serve as a foundation for the directive. Fundamental 
principles are:	 	
WFD	（	EC	，	2000	）的	文本	开头是一篇	序文，	叙述了很多作为该指令基础的原则和	
其他	注意事项	。	基本	原则	有	：	 	
 	Water is not a commercial product like any other but, rather, a heritage which 
must be protected, defended and treated as such. 	 	
水	和其他东西不一样，	不	是一种商品	，而是一种遗产，必须像保护、捍卫和	
对待遗产一样保护、捍卫和对待它。	 	
Integrated River Basin Management 	– a form of Regional Risk Assessment and 	
Management	 	
Integrated river basin management is 	a form of	 regional environmental risk assessment 	
and management, as it involves monitoring of environmental status and risks, 
application of common environmental standards, and deals with a spatial scale 	(river 	
basin and sub	-river basins) 	that includes multiple hab	itats with	 multiple sources of 	
stressors 	that 	affect	 multiple endpoints.	 	
综合流域管理	—	区域风险评估和管理的一种形式	 	
综合流域管理是区域环境风险评估和管理的一种形式，包括监测环境状况和风险、使
用通用的环境标准，它对包含多种栖息地的空间规模（流域和分流域）进行风	险评	
估，	在这些栖息地中压力源影响多个端点。

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 	The WFD and EU environmental policy is based on the precautionary 
principle a	nd on the principles that preventive action should be taken, 	
environmental damage should, as a priority, be rectified at source and that 
the polluter should pay. 	 	
WFD	和欧盟环境政策	以	风险预防原则	和以下原则为基础：	采取预防	措施	，	
优先从源头上治理	环境损害	，	以及	污染者付费	。	 	
 	When developing environmental policy, 	the EU is to take account of available 	
scientific and technical data, environmental conditions in the various regions, 
and the economic and social development of the EU as a whole and the 
balanced development of its regions as well as the potential benefit	s and costs 	
of action or lack of action.	 	
在制定环境政策时，欧盟要考虑可用的科学技术数据、各地区的环境状况、
欧盟整体的社会经济发展、欧盟各地区的均衡发展以及行动或缺乏	行动	的	潜	
在	效益	和成本。	 	
 	There are diverse conditions and needs in the EU which require different 
specific solutions. This diversity should be taken into account in t	he planning 	
and execution of measures to ensure protection and sustainable use of water 
in the framework of the river basin. With reference to the principle of 
subsidiarity, decisions should be taken as close as possible to the locations 
where water is aff	ected or used and priority should be given to action at 	
regional and local levels in accordance with regional and local conditions.	 	
欧盟有各种不同的情况和需求，需要不同的具体解决对策。	在制定和执行措	
施时应考虑	差异	性，以确保	流域范围内的水得到	保护和可持续	的	利	用。	关于	
辅助性原则，	应	尽可能	按照	水资源	受影响	之地	或	用水	之地的情况做出决定，	
并且优先考虑根据区域和地方情况采取区域和地方层面的行动。	 	
 	Water policy at the EU level requires a transparent, effective and coherent 
legislative framework, with overall common principles and an overall 
framework for action. The WFD shall provide such a framework and further 
develop o	verall principles and structures for protection and sustainable use 	
of water in the EU, leaving specific decisions and measures to the national and 
local levels to the extent possible.	 	
欧盟层面的水政策需要一个透明、有效和统一的立法框架，	使	行动有总体共	
同原则和一个总体框架。	WFD	应提供这样一个框架，并进一步为欧盟的水	
资源保护和	可持续	利	用制定总体原则和结构，尽可能把具体决策和措施留给	
国家和地方层面来制定。	 	
 	Further integration of protection and sustainable management of water into 
other EU policy areas such as energy, transport, agriculture, fisheries, regional 
policy and tourism is necessary. This Directive shall provi	de a basis for a 	
continued dialogue and for the development of strategies towards a further 
integration of policy areas. 	 	
必须	进一步把水资源保护和可持续管理	融入到	欧盟其他政策领域，比如能源、	
运输、农业、渔业	、区域政策和旅游业。本指令应为持续对话	和制定战略，	
实现政策方面的进一步整合	提供依据。	 	
 	The principle of recovery of the costs of water s	ervices, including 	
environmental and resource costs associated with damage or negative impact 
on the aquatic environment should be taken into account in accordance with, 
in particular, the polluter	-pays principle. For this purpose, an economic

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analysis of 	water services based on long	-term forecasts of supply and demand 	
for water in the river basin district is necessary.	 	
特别根据	污染者付费原则	，应考虑供水服务成本	的	收回	，包括与水生环境受	
到的损害或负面影响有关的环境成本和资源成本	。为此，必须根据对流域地	
区水资源供需情况的长期预测对供水服务进行经济分析。	 	
 	The success of this Directive relies on close 	cooperation and coherent action 	
at EU, Member State and local level as well as on information, consultation 
and involvement of the public, including users.	 	
本指令的成功有赖于欧盟、成员国和地方层面的紧密合作与统一行动，也有
赖于信息、	协商	和包括	用户	在内的公众参与。	 	
 	Full implementation and enforcement of 	environmental legislation for the 	
protection of waters should be ensured. It is necessary to ensure the proper 
application of such legislation throughout the EU by appropriate penalties 
provided for in Member States' legislation. Such penalties should be e	ffective, 	
proportionate and dissuasive.	 	
应确保充分实施和执行适用于水体保护的环境立法。必须通过成员国立法中
规定的	适当处罚措施	确保该等立法在整个欧盟	范围内	妥善实施。	处罚措施应	
当	是	有效	的、相称的和	劝诫性	的	。	 	
2.2.3	 Approaches 	 	
The environmental goals: Types and standards	环境目标	：	类型和标准	 	
The WFD sets forth 	qualitative 	goals	 for water bodies and the Member States are 	
required to carry out the necessary measures to reach these qualitative goals.	8 A 	water 	
bod	y is a water area within a	 river basin with common and distinct characteristics	. Each 	
river basin will have many water bodies. There are different types of water bodies 
(surface water bodies and groundwater bodies) and the directive therefore operates 
with 	different qualitative goals that apply for the different types of water bodies	. 	
WFD 	设定了水体质量目标，成员国必须执行必要的措施来达到这些质量目标。水	
体就是一个	河流	流域内具有共同和	鲜明	特征的	一块	水域。	每个	河流	流域都会有很多水	
体。	水体	有不同	的	类型	（地表水水体和地下水水体）	，因此本指令	按照	适用于不同类	
型水体的不同质量目标	来	设施	。	 	
WFD provides a general requirement for ecological protection and a general minimum 
chemical standard for all 	surface waters	 in the EU. These requirements are referred to 	
 	 	 	
8 This approach differs from the more common environmental policy approach of 	setting requirements 	
for reduction of certain pollutants or pressures (which are used in different thematic EU water directives, 
ref. figure x above). By focusing on the actual status in surface and ground waters, the WFD ensures that 
necessary measures ar	e taken in addition to those triggered by the requirements of the different thematic 	
directives such as the Urban Wastewater Management Directive and the Nitrates Directive.	这种方法不同	
于较常见的设定某些污染物或压力减少要求的环境政策方法（用于不同主题的欧盟水指令，参阅上面图
x）。	WFD	注重地表水域和地下水域中的实际状况，确保除了按照《城	市废水管理指令》和《硝酸盐指	
令》等不同主题指令的要求采取的措施外，还采取其他必要的措施。

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as "	Good Ecological Status" and, for so	-called	modified water bodies	, “	Maximum 	
Ecological Potential	”.9 Good Ecological Status	 is reached for a water body when there is 	
only a slight departure from the biologica	l community that would be expected in 	
conditions of minimal anthropogenic impact. 	Good Ecological Status	 is defined in terms 	
of the quality of the biological community, the hydrological characteristics and the 
chemical characteristics. Due to ecological va	riability, absolute standards for biological 	
quality cannot be set which apply across the EU. Therefore 	the goal is specified as 	
allowing only a slight departure from the natural condition.	 A set of procedures for 	
identifying that condition for a given bod	y of water is provided	 in the guidance 	
documents, together with a system for ensuring that each Member State interprets the 
procedure in 	the same way (see more on this in chapter 	2.2.	1.4 below)	. The system is 	
somewhat 	complicated, due to the extent of ecol	ogical variability and the large number 	
of parameters that are dealt with.	 Good Ecological Status	 also 	requires 	Good Chemical 	
Status	, which is reached for a water body when it complies with the environmental 	
quality standards for the 33 Priority Substances	 and 8 Other Pollutants, as defined in the 	
directive and the daughter directive for Environmental Quality Standards (	Directive 	
2008/105/EC).	10 The list includes substances such as cadmium, lead, mercury, nickel 	
and its compounds, benzene, poly	-aromatic hydr	ocarbons and DDT.	Th	e WFD goal of 	
good chemical status is backed up byother EU legislation such as the REACH regulation 
on chemicals 	(see chapter 	2.3.2	), the	 Directive for Integrated Pollution and Prevention 	
Control (IPPC) for industrial installations	 and its recent successor the Industrial 	
Emissions Directive	. 	
 	 	 	
9 Maximum Ecological Potential is sometimes referred to as “Good Ecological Potential”. In the context of 
the WFD Maximum Ecological Potential and Good Ecological Potential this refer to the same ecological 
goa	l applying to heavily modified water bodies.	最大生态潜力有时又称为“良好生态潜力”。在	WFD	最	
大生态潜力和良好生态潜力背景下，指适用于被严重干扰水体的相同的生态目标。	 	
10The Directive on environmental quality standards in the field of water policy, including the s	tandards 	
for 33 priority substa	nces and 8 other 	pollutants, can be downloaded here	: http://eur	-	
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:348:0084:01:EN:HTML	 Note that t	he EU 	
Commission has prop	osed a new directive (COM (2011) 876) amending the current list of priority 	
substances and other pollutants. The proposal includes a revised list of priority substances and provisions 
to improve the functioning of the legislation. The main features are: 15	 additional priority substances (6 of 	
them priority hazardous substances), stricter environmental quality standards for four existing priority 
substances, designation of two existing priority substances and priority hazardous substances, 
introduction of bi	ota standards for several substances and provisions to improve the efficiency of 	
monitoring. 	The proposal as well as background reports can be downloaded here: 	
http://ec.europa.eu/environment/water/water	-dangersub/lib_pri_substances.htm#prop_2011_docs	 	
关于水政策领域环境质量标准的指令，包括	33	种重点控制物质和	8种其他污染物的标准，可在以下网	
址下载：	http://eur	-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:348:0084:01:EN:HTML	。注	
意，欧盟委员会提出了新的指令（	COM(2011)876	）修改目前的重点控制物质和其他污染物清单。提案	
包括修订后的重点控制物质清单和改进立法作用的规定。	主要特点是：增加了	15	种重点控制物质（其	
中	6种为重点控制危险物质），四项现有重点控制物质的环境质量标准更加严格，认定两项现有重点控	
制物质和重点控制危险物质，引入几种物质的生物群标准，规定	提高检测效率。提案及背景报告在以下	
万只下载：	http://ec.europa.eu/environment/water/water	-	
dangersub/lib_pri_substances.htm#prop_2011_docs

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WFD	规定了生态保护	的	一般要求，并规定了欧盟所有	地表水域	的一般	最低	化学标	
准。这些要求	被称为	“	良好生态状况	”，对于所谓的	被干扰水体	则称为“最大生态潜	
力”	。	当在最小人为影响的情况下仅会出现轻微背离生物群落的情况时，水体即	达到	
了	良好生态状况	。“良好生态状况”用生物群落质量、水文特征和化学特征来定义。	
由于生态	状况的差异性	，	导致	无法制定适用于整个欧盟的生物质量绝对标准	。因此，	
目标被规定为	仅允许轻微背离自然	状况	。	指导文件中提供了一套识别	一个给定水体的	
良好生态状况	的程序，	同时还提供了	一个用于确保每个成员国	对	这种	程序的	解释均相	
同的	体系	（	具体	见下文第	2.2.1.4	节）。	由于生态	差异性	很大，	需要	处理的参数很多，	
因而该	体系	有点复杂。	良好生态状况还	需要	良好化学状况	。	当	一个	水体达到	水框架指	
令以及《环境质量标准》子指令（指令	2008/105/EC	）中规定的	33	种	重点控制	物质	
和	8	种其他污染物的	环境质量标准时，	它就	达到了良好化学状况。	该清单包括镉、铅、	
汞、镍及其合成物、苯、	多环芳烃	和	DDT	等物质。	WFD	的良好化学状况目标有其他	
欧盟立法作支持，比如关于化学品的	REACH 	法规（见第	2.3.2	节）、用于工业	生产	设	
备的《综合污染预防与控制指令	》	（	IPPC	）以及最近出台的	其改进版	的《工业排放指	
令》。	 	
There are 	more specific requirements and goals for surface water in specific areas	, 	
in addition to the general requirements of “	Good Ecological Status	” and “go	od chemical 	
status”. Examples may be aquatic biodiversity that is protected under EU nature 
protection	 legislation(such as the Habitats Directive, see below), drinking water sources 	
for which there are special requirements (in accordance with the European 	Drinking 	
Water Directive), or requirements for bathing water quality in certain areas used for 
such purposes (regulated in detail in the Bathing Water Quality Directive). The maybe 
simplest way to incorporate such specific requirements is to designate spec	ific 	
protection zones within the river basin, in which such more specific objectives must be 
met. The overall plan of objectives for the river basin will then require ecological and 
chemical protection everywhere as a minimum, but where more stringent requ	irements 	
are needed for particular uses, zones will be established and higher objectives set within 
them	 in order to address high local risk levels (accumulated and/or acute)	. 	 	
除了“良好生态状况”和“良好化学状况”一般要求之外，还有	特定领域更具体	
的地表水要求和目标	ÄF	ËN¶	5
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或	突发	性风险	。	 	
In certain cases there ar	e exceptions with regards to reaching the environmental 	
requirements. Certain water uses may compromise the natural condition of a water 
body but be considered	 essential to uphold in spite of the negative ecological impact	.

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Typical examples being flood pro	tection and essential drinking water supply.	11 In such 	
cases, the water bodies in question may be exempt from the normal goal of 	Good 	
Ecological Status	. For such 	heavily modified water bodies	, an alternative 	
environmental goal referred to as 	Maximum 	Ecological Potential	 applies, referring to a 	
state in which all 	the 	appropriate ecological mitigation measures have been taken.	12 	
某些情况下，	环境要求的满足也	存在例外。	某些用水可能会危害某个水体的自然	
状况，	尽管有负面生态影响，	但却被认为是必须维持	的	，	典型例子有防洪和基本饮水	
供	应	。	这种情况下，	该	水体可免于达到正常的良好生态状况目标。对于该等	严重被干	
扰水体	ÈF2+X
0/ý>Û0 j	0W+O1%ŒË	,´)ß³-7	Ä0W+O1%ŒË	_7G÷
¶07	
F2ƒ,´+O15C
¼Úí{
>pEî`,´(æ1Ä	 	
The WFD 	thus 	recognizes two types of 	surface 	water bodies 	- normal water bodies and 	
heavily modified water bodies 	-, which we have described above. 	In each case, 	water 	
bodies are classified in accordance with a 5	-tier 	scale	: 	
因而，	WFD	确认了两类地表水体	——	正常水体和严重	被	干扰水体，我们已在上文	
描述了这些水体。	这两类水体	分别	按	5	级	进行划分	：	 	
 	High status: Practically no deviation from the natural state	 	
优	等	状况：几乎未背离自然状态	 	
 	Good status: Slight deviation from the natural state	 	
良好状况：轻微背离自然状态	 	
 	 	 	
11 Less clear	-cut cases than flood protection and drinking water supply, are navigation and power 	
generation where the activity is open to alternative approaches (transport can be switched to land, other 
means of power generation can be used). Derogations ma	y be provided for those cases also, but subject to 	
three tests: that the alternatives are technically impossible, that they are prohibitively expensive, or that 
they produce a worse overall environmental result. 	 	
与防洪和饮水供应相比不太明确的情况有灌溉和发电，这种活动可以有备选方法（运输可以改	到陆上，	
可采用其他发电手段）。对这些情况降低要求，但须经三项检验：备选方案在技术上是不可能的，花费
太大，产生的总体环境结果较差。	 	
 
12 For more information about the classification of ecological status and ecological potential, see ECOSTAT 	
(2003): 	Overall Approach to the Classification of Ecological Status and Ecological 	Potential	. The reference 	
condition when assessing Good Ecological Potential is here referred to as 	Maximum Ecological Potential, 	
and defined as the state where "the values of the relevant biological quality elements reflect, as far as 
possible, those assoc	iated with the closest comparable surface water body type, given the physical 	
conditions which result from the artificial or heavily modified characteristics of the water body.” 	The 	
document is available here: 	https://www.uni	-	
due.de/kobio/docs/Ecological%20Classification%20Guidance.pdf	 	
更多关于	生态状况和生态潜力	分等的信息见	ECOSTAT	（	2003	）：《生态状况和生态潜力分等总体方法》。	
评定良好生态潜力时的参考状况在此指的是最大生态潜力，定义为“考虑到水体的人造或严重被干扰特
征引起的物理状况，相关生态质量要素的价值尽可能地反映与最靠近的可比地表水体类型有关的价值”
是的状态。获取该文件的网址是：	https://www.uni	-	
due.de/kobio/docs/Ecol	ogical%20Classification%20Guidance.pdf

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 	Moderate status: Moderate deviation from the 	natural state	 	
中等状况：适度背离自然状态	 	
 	Poor status: Significant deviation from the natural state	 	
较差	状况：显著背离自然状态	 	
 	Bad status: Major deviation from the natural state.	 	
很差	状况：严重背离自然状态	 	
 
The exact standards and thresholds between the different tiers, are set in the inter	-	
cali	bration process 	for each type of water body	 (see more about this in chapter 2.2.	1.4 	
below). 	In order to meet the WFD goals, awater body should have “high status” or “good 	
status”	 (the criteria of which will differ for different types of water bodies)	. For 	all the 	
water bodies with “moderate status” or below, EU Member States are obliged by the 
directive to ensure that the condition of these water bodies is improved so that the 
criteria for “good status” or “high status” is achieved. 	 	
每类水体	的相互校	准过程	中	设定了区分不同层级的确切标准和	阈值	（具体见下文	
第	2.2.1.4	节）。	为了实现	WFD	目标，水体应达到“优	等	状况”或“良好状况”（	其	
标准因不同类型的水体而各异	）。对于“中等状况”或以下的所有水体，	水框架	指令	
要求欧盟成员国确保这些水体的状况得到改善，以便达到“良好状况”或“优	等	状况”	
标准	。	 	
The case of 	groundwater	 is somewhat different than for surface water, as the 	
presumption in relation to groundwat	er should broadly be that it should not be polluted 	
at all. Groundwater bodies are classified in two categories only: Natural or polluted.For 
the general protection of groundwater, EU takes a 	precautionary approach	. This takes 	
the form of a prohibition on 	direct discharges to groundwater. In addition, water 	
authorities in the river basins are required to monitor groundwater bodies so as to 
detect changes in chemical composition (which may arise from indirect discharges), and 
to reverse a	ny	 upward pollution 	trend	 that is caused by human activity	. Taken together, 	
these measures should ensure the protection of groundwater from all contamination, 
according to the principle of minimum anthropogenic impact. Quantity is also a major 
issue for groundwater. There is 	only a certain amount of recharge into a groundwater 	
each year, and of this recharge, some is needed to support connected ecosystems. A 
sustainable use of groundwater thus entails that the 	quantitative status	 of the 	
groundwater should be upheld by not abst	racting more than the portion of the overall 	
recharge not needed by the ecological systems. The WFD limits the abstraction of	 	
groundwater to this quantity. 	 	
地下水	的情况与地表水略有不同，因为	广义上对	地下水的假定	是：应当	丝毫不	被	
污染。地下水体仅分为两类：	天然	的	和	被污染的。	对于地下水的一般保护，欧盟采用	
风险预防方法	Ä	§ƒŒ#a_	/±!’
A
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FÈ#qµ,´"dÑGL>Û?±

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ý	ÏIÈ	ÄB
	
.ž

`;"d		
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6<È	?±#	
15	
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`;"dÈ
`;"d,´	Gÿ		F	(æå	a	Ä5$1
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Gÿ=J¾>•5	kGÿ]+O13+	
5=M0?±,´G6Ä	WFD	按照量化状况限制	地下水抽取。

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Integrated river 	basin management and cyclic implementation	 	
综合	流域管理和周期性实施	 	
The directive builds on the view that the best model for a single system of water 
management is 	management by river basin	 – which is the natural geographical and 	
hydrological unit 	– instead of accordi	ng to administrative or political boundaries. 	The 	
river basin approach means that the WFD in practice functions as a tool for regional 
environmental risk assessment and management related to water. 	As can be seen in the 	
map below (figure 	2.2), most river basins in the EU does not conform to administrative 	
and political boundaries at local or national levels. For instance, the Rhine river basin 
(see chapter 	3.3) is mainly situated in four different provinces of Germany, but the 	
upper part of t	he watershed includes areas in Switzerland and Aust	ria, the middle part 	
includes areas in France, Belgium and Luxembourg, and the lower parts are entirely in 
the Netherlands. 	 	
水框架指令建立在这样的观点之上：单一水管理体系的最佳模式是	按流域管理	È	
6<=_9>|oEé+|Fo"ëEé+|•1Ñ*6Ä#q_8'f
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£	
-p	WFD	作为水体区域环境风险评估和管理的工具。	从下图（图	2.2	）可以看出，欧盟	
多数流域	在地方或国家层面上与行政边界并不	一致	。例如，莱茵河流域（见第	3.3	节）	
主要位于德国四个不同的省，但	流域上游却包含瑞士和奥地利的	区域	，中游包含法国、	
比利时和卢森堡的	区域	，下游则全部位于荷兰。	 	
Figure 	2.2 Map of national and international river basin districts in the EU (2012)	 	
图	2.2 	欧盟国家和国际流域	图（	2012	年）

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Vista Analyse AS	 	64	 
 	
Source: 	European Commission (EC 2014b)	.来源：	欧盟委员会	（EC 2014b	）	 	
For each river basin district a river basin management plan shall be established and 
updated every six years, constituting the platform for implementing measures to reach 
the WFD goals for ecological and ch	emical status. This means that the relevant 	
administrative and political bodies in each river basin district 	- whether on local, 	
regional, national, and trans	-national levels 	- must cooperate in planning and 	
implementation.	 	
制定	每个流域区	的	流域管理	规划	，	并且	每六年更新一次，作为	实施达到	W	FD	生态状况	
和化学状况目标的措施的	平台。	这意味着每个流域区的相关行政部门和政治部门	，	无	
论是地方级、国家级还是跨国级的，	都	必须合作进行	规划与实施	。	 	
The main framework of implementation is the 	river basin management plan	. Each 	
river basin is broken down into “water bodies”, which are water areas within the river 
basin with common and distinct characteristics and for which different measures will be 
applied. For each river basin district a river basin management plan will 	be established 	
and updated every six years, constituting the platform for implementing measures to 
reach the WFD goals in the river basin as a whole. In other words, the river basin 
management plan is a detailed account on how the objectives for the river 	basin are to 	
be reached in the coming 6	-year period (this is described in more detail below). The

Tackling environmental risks with environmental planning: international experiences	 	
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WFD opens for three “rounds of implementation” whereby the relevant authorities for 
each river basin district can gradually move towards full realization of t	he objectives of 	
the directive. The first implementation period is 2009	-2015, the second 2016	-2021, and 	
the third 2022	-2027. The timeline for the implementation of the WFD is presented in 	
table 	2.1	 below. 	 	
主要实施框架为	流域管理	规划	Ä	!ÿZ#q>Û6@jJZ�"dƒÄ"dƒa_#q	
µ§9¡
<
¼RÌ>(©±ÃF2+X=	
<Úí,´"dÄ	fÊ	!ÿZ#q	j	,´	#q1Ñ*6	?ôB	È¦	
	WFD	目标的措施的平台。换而言之，流域	
管理	规划	就是详细说明在未来	6	年时间里如何达到流域的目标（详细描述见下文）。	
WFD 	设置了	三	“	轮实施	”	。通过这三轮实施，	每个流域区的有关部门可以	向着	完全实	
现指令的目标	逐渐前进。	第一个实施期为	2009	-2015	年，第二个实施期为	2016	-2021	
年，第三个实施期为	2022	-2027	年。下面表	2.1	提供了	WFD	的实施时间表。	 	
Table 2.1 Timeline for the 	implementation of the Water Framework Directive	 	
表	2.1 	水框架	指令	实施时间表	 	
Timeline for implementation of the Water Framework Directive	 	
水框架指令实施时间表	 	
2000	 	Water Framework Directive (WFD) comes into legal force at EU level	 	
水框架指令在欧盟开始生效。	 	
2003	 	Deadline for Member States 	to adapt national legislation to WFD requirements	 	
成员国	将	WFD	要求转换为	国家立法	的限期	 	
2004	 	Deadline for Member Status to describe status for their water bodies in accordance with WFD criteria	 	
成员国按照	WFD	标准描述	各自	水体状况	的期限	 	
2006	 	Monitoring programs at river basin level ready for 	implementation	 	
制定	可实施的流域监测计划	 	
2009	 	The first 6	-year river basin management plan (2009	-2015) with programs of measures to be in place. 	
(The measures are activities aiming to bridge the gap between current status and goals.) 	 	
The first 6	-year river basin 	management plan period begins.	 	
制定	第一个	6年流域管理规划（	2009	-2015	）	及措施计划	。	 	
（措施就是旨在缩小现状与目标之间差距的活动	）。	 	
第一个	6年流域管理规划期开始。	 	
2012	 	Implementation of relevant measures for the first period has taken place	 during the first half of the 	
period (2009	-2012) and in the second half of the period (2012	-2015) they effect aquatic ecology. 	 	
上半期（	2009	-2012	）落实	第一个周期的相关措施	，下半期（	2012	-2015	）对	这些相关措施对	水生	
生态	产生影响	。	 	
2015	 	Results of the first period have been assessed and the second 6	-year river basin management plan 	
(2016	-2021) with program of measures to be in place. 	 	
The second 6	-year river basin management plan begins.	 	
评估	第一个周期的结果，	制定	第二个	6年流域管理规划（	2016	-2021	）及措施计划。	 	
第二个	6年流域管理	规划开始。	 	
2018	 	Implementation of relevant measures for the second period has taken place.	 	
落实	第二个周期的相关措施。	 	
2021	 	Results of the second period have been assessed and the third 6	-year river basin management plan 	
(2021	-2027) with program of measures to be in place.	 	
The third 6	-year river basin management plan begins.	 	
评估	第二个周期的结果，	制定	第三个	6年流域管理规划（	2021	-2027	）及措施计划。	 	
第三个	6年流域管理规划开始。	 	
2024	 	Implementation of relevant measures for the third period have taken place	 	
落实第三个周期的相关措施。	 	
2027	 	Final deadline for the achievement of WFD 	objectives

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实现	WFD	目标的最后期限。	 	
Source: Vista Analysis, based on WFD guidance documents.	 	
来源：	Vista Analysis	，根据	WFD	指	导文件。	 	
Public participation	公众参与	 	
Implementation of the WFD requires a complex process involving a large number of 
stakeholders at various levels in 6	-year cycles of implementation towards 2027. There 	
are two main reasons why the WFD explicitly requires and encourages 	public 	
participation	(EC, 2003a)	13. The first is that the decisions on the most appropriate 	
measures to achieve the objectives in the river basin management plan will involve 
balancing the interests of various groups. It is therefore important that the process is 
open to the scr	utiny of those who will be affected. The second reason concerns 	
enforceability. The greater the transparency in the establishment of objectives, the 
imposition of measures, and the reporting of standards, the greater the care EU Member 
States will take to 	implement the legislation in good faith	. 	
WFD	的实施需要一个复杂过程	，	需要	各个层面的众多	利益	相关者	参与到结束于	
2027	年的	6	年实施周期中	。	WFD	之所以明确要求并鼓励	公众参与	有两个原因	（	EC, 	
2003a	）	：	第一是因为	在确定	实现流域管理规划目标	的最	恰当	措施时，需要平衡各种团	
体的利益	，	因此	这个	决策过程	要接受受影响者的监查	；	第二个原因涉及到可执行性	，	
制定目标、推出措施和汇报标准的过程越透明，欧盟成员国就会越	注意	真诚执行立法。	 	
Transparency is also a	 prerequisite for empowering	 the citizens to influence the 	
direction of environmental protection, whether through consultation or, if disagreement 
persists, through the complaints procedures and the courts.	 The rights of the European 	
public (individuals an	d associations) with regard to the environment, is secured by the 	
Aarhus 	Convention on Access to Information, Public Participation, in Decision	-Making and 	
Access to Justice in Environmental Matters	 (1998) of the UN Economic Commission for 	
Europe.	 	
透明还是一个	使	公民	有权	通过协商、协商不一致的话通过投诉程序或法院	来	影响	
环境保护方向的	前提	条件。欧洲公众（个人和	社团	）	在环境方面的权利	通过联合国欧	
洲经济委员会的奥胡斯《在环境问题上获得信息、公众参与决策和诉诸法律的公约》
（	1998	年）得到保障。	 	
2.2.4	 Tools 	 	
2.2.4 	水框架指令的工具	 	
How to set environmental targets for different types of water bodies(inter	-calibration)	 	
如何设定不同类型水体的环境目标（相互校准）	 	
 	 	 	
13 Guidance document No 8: Public Participation in relation to the Water Framework Directive, is available 	
here: 	以下网址可获取第	8号指导文件：涉及水框架指令的公众参与：	
http://www.waterframeworkdirective.wdd.moa.gov.cy/docs/GuidanceDocuments/Guidancedoc8Publicp
articipation.pdf

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In order to ensure a common ecological scale across Europe, an 	inter	-calibration 	
exercise	 had to be carried out before defining the 	precise 	ecological objectives	 for each 	
type of water body	. The species of fish, invertebrates and plants in Baltic rivers differ 	
from those in Alpine rivers, which in turn differ from those found in Mediterranean 
rivers. 	Since aquatic ecosystems vary widely across Europe, defining the ecological 	
condition that c	orresponds with “high” or “good” status had to be done for different 	
biogeographic regions. 	 	
为了保证整个欧洲达到共同的生态规模，在确定每一类水体的确切生态目标之前	
必须开	展	相互校准运动		
	¡	"ã#qGü,´	ø
¼
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4
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+O+O13+5	s7[È	
!”
X.žÊ+O1‘&Eî`�H	1y	F�8Ÿ(æå	&	È	?±	J¸)	
=
<	,´	+O(™
`*6	j	F>|Ä	 	
The	 inter	-calibration exercise 	took place between 2003 and 2007 and involved 	
hundreds of experts across Europe. The European Commission's Joint Research Centre 
in Ispra,Italy, coordinated the technical work. 14 different Geographical Inter	-calibration 	
Groups 	(GIGs)	 were set up	. For example, experts from Italy, France, Germany, Austria 	
and Slovenia collaborate in the GIG for Alpine lakes. Waters also differ within each inter	-	
calibration group. Experts in the Alpine group identified two types of Alpine lakes with 
distinct ecologi	cal characteristics, one at lower and one athigher altitude. Eleven 	
countries participate	d in theinter	-calibration group for North	-East Atlantic coastal and 	
transitional waters, comparing the ecosystems of seven different types of waters, from 
shallow coas	tlines to deep northern fjords	. The experts first identified and studied 	
almost 1500 sites in rivers, lakes and coastal and transitional waters across Europe, in 
order to mainstream the understanding of 	Good Ecological Status	 for different water 	
body types	. This network of 1500 sites was laterexpanded, and the inter	-calibration 	
exercise has used data from many thousands of sites and water bodies across Europe.	14 	
相互校准运动	是在	2003	和	2007	年之间进行的，欧洲	各地	数百位专家参与其中。	
位于意大利伊斯普拉的	欧盟委员会	联合研究中心	负责	技术	协调	工作。成立了	14	个不同	
的地理相互校准组	（	GIG	）	。	例如，来自意大利、法国、德国、奥地利和斯洛文尼亚的	
专家	在阿尔卑斯山湖群	GIG	里合作	。	每个相互校准组内的水域也各不相同。阿尔卑斯	
山	组的专家确定了两类具有	鲜明	生态特征的阿尔卑斯	山湖	，一类海拔高度较低，一类	
海拔高度较高。	11	个国家参加了大西洋东北沿岸和过渡性水域相互校准组，比较了从	
浅海岸到北部深峡湾七	种	不同类型水域的生态系统。专家们首先确定和研究了	整个欧	
洲河流、湖泊及	沿海	水域和过渡性水域里	的	将近	1500	个	站	点，	以便对不同水体类型的	
 	 	 	
14 More than	 300 ecological assessment metho	ds have been developed in Europe. The WISER 	database 	
contains information about the national assessment methods used to classify the ecological status of 
rivers, lakes, coastal and transitional waters. Member States of the European Union apply these methods 
in their monitoring programmes according to the EU 	Water Framework Directive. The database is 	
available here	: http://www.wiser.eu/results/method	-database/	 	
欧洲开	发	了	300	多种生	态评	估方法。	WISER	数据	库里有关于用来	对河流、湖泊、沿海水域和	过渡性水	
域	进行分等的国家	评估方法的信息。欧盟成	员国根据欧盟水框架指令将	这些方法用于	监测	其各	项计	划。	
获取	数据	库	的网址	是：	http://www.wiser.eu/results/method	-database/

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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良好生态状况达成	共识	。	后来，这个有	 1500	个站点的网络扩大了，相互校准运动使用	
了来自欧洲	各地	数千个站点和水体的数据。	 	
Methodologies for assessing ecological status and classification	 	
生态状况评	估	和	分级	方法	 	
The WFD and the guiding documents provide 	quality elements	 that are to be used 	
when 	assessing ecological status	 in different types of water b	odies (rivers, lakes, coastal 	
waters etc.). This includes 	biological elements, hydro	-morphological elements 	
supporting the biological elements, and 	also 	chemical and physiochemical elements 	
supporting the biological elements	. A list of the quality elements	 for rivers, lakes, 	
transitional waters and coastal waters is provided below. 	 	
WFD	和指导文件提供	了	在评	估	不同类型水体（河流、湖泊、沿海水域等）的生态	
状况时要使用的质量要素。这些要素包括生物	学	要素、支持生物	学	要素的水形态	学	要	
素，还有支持生物	学	要素的化学	要素	和理	化	要素。下面提供了河流、湖泊、过渡性水	
域和沿海水域质量要素的清单。	 	
Good Ecological Status 	requires 	Good Chemical 	Status,	 which is reached for a water body 	
when it complies with the environmental quality standards for the 33 Priority 
Substances and 8 Other Pollutants	. For these substances, two types of concentration 	
standards are used: 	 The average value or concentrat	ion of the substance concerned 	
calculated over a one	-year period. The purpose of this standard is to ensure the long	-	
term qua	lity of the aquatic environment.	 The purpose of the second standard is to limit 	
short	-term pollution peaks. The quality standards a	re differentiated for inland surface 	
waters (rivers and lakes) and other surface waters (transitional, coastal and territorial 
waters). Specific standards are also set for metals and certain other substances. Member 
States must ensure compliance with these	 standards. They must also verify that the 	
concentration of substances concerned does not increase significantly in sediments 
and/or the relevant biota.	15 	
良好生态状况需要良好化学状况	。	当	一个	水体达到	33	种	重点控制	物质和	8	种其他	
污染物的环境质量标准时，它就达到了良好化学状况。对于这些物质，采用两类浓度
标准：平均值，或者有关物质在一年期间的浓度。第一个标准的目的是保证水生环境
的长期质量。第二个标准的目的是限制短期污染峰值。内陆地表水（河流与湖泊）和
其他地表水（过渡性水域、沿海水域和领海）有不同的质量标准。同时还为金属和其
他某些物质设立了特殊标准。成员国必须保证遵守这些标准，同时还必须	核实沉积物	
和	/或相关生物	群	有关物质的	浓度没有大幅增大。	 	
 	 	 	
15 The following guidance documents describe chem	ical monitoring requirements in more detail: 	No 15: 	
Groundwater monitoring	, No 16 Groundwater in Drinking Water Protected Areas	, No 19: Surface Water 	
Chemical Monitoring	, No 28: Preparation of Priority Substances Emissions Inventory	. These documents can 	
be	 found on the internet if one searches by name.	以下指导文件更详细地描述了监测要求：第	15	号文件：	
地下水监测，第	16	号文件：饮用水保护区里的地下水，第	19	号文件：地表水化学监测，第	28	号文件：	
编制重点控制物质排放清单。按名称搜索可在互联网上找到这些文件。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	69	 	
Table 2.2 Quality elements used for 	assessment of ecological status/ecological 	
potential in different types of surface water bodies	 	
表	2.2 	用于评	估	不同类型地表水水体生态状况	/生态潜力的质量要素	 	
 	
Source: 	ECOSTAT (2003)	 	
附	录	V 1.1.1	 	
河流	 	
附	录	V 1.1.2	 	
湖泊	 	
附	录	V 1.1.3	 	
过	渡性水域	 	
附	录	V 1.1.4	 	
沿海水域	 	
生物学要素	 	
 	水生植物群的
构成和丰度	 	
 	浮游植物群落
的构成	和	丰度	
 	浮游植物群落
的构成	和	丰度	
 	浮游植物群落
的构成	和	丰度

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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Vista Analyse AS	 	70	 	
 	底栖无脊椎	动	
物群的构成和
丰度	 	
 	鱼类	构成、丰	
度和	鱼龄结	构	 	
 	
和生物量	 	
 	其他水生植物
群的构成和丰
度	 	
 	底栖无脊椎	动	
物群的构成和
丰度	 	
 	鱼类	构成、丰	
度和	鱼龄结	构	 	
和生物量	 	
 	其他水生植物
群的构成和丰
度	 	
 	底栖无脊椎	动	
物群的构成和
丰度	 	
 	鱼类	构成、丰	
度和	鱼龄结	构	 	
和生物量	 	
 	其他水生植物
群的构成和丰
度	 	
 	底栖无脊椎	动	
物群的构成和
丰度	 	
 	
 	
支持生物学要素的水形	态	学要素	 	
 	水文状况	 	
￫水流量和	动态	 	
￫与地下水水体的
连	接	 	
 	河流	连续	性	 	
 	形	态	学状况	 	
￫河流深度和	宽	度	
变	化	 	
￫河床构成和基	质	 	
￫河岸区的	结	构	 	
 	水文状况	 	
￫水流量和	动态	 	
￫逗留	时间	 	
￫与地下水水体的
连	接	 	
 
 	形	态	学状况	 	
￫湖泊	深度	变	化	 	
￫湖	床	的量、	结	构	
和	基	质	 	
￫湖	岸	结	构	 	
 	潮汐状况	 	
￫淡水	流	 	
￫波浪冲	击	 	
 
 	形	态	学状况	 	
￫深度	变	化	 	
￫海床	的量、	结	构	
和基	质	 	
￫潮	间带	的	结	构	 	
 	潮汐状况	 	
￫方向和主	导	洋流	 	
￫波浪冲	击	 	
 
 	形	态	学状况	 	
￫深度	变	化	 	
￫沿岸海床	的	结	构	
和基	质	 	
￫潮	间带	的	结	构	 	
支持生物学要素的化学和理化要素	 	
 	一般情况	 	
￫热	状况	 	
￫氧化状况	 	
￫盐	度	 	
￫酸化状况	 	
￫营	养物状况	 	
 	特定	污	染物	 	
￫被确定排入水体
的	重点控制	物	质	
污	染	 	
￫被确定大量排入
水体的其他物	质	
污	染	 	
 	一般情况	 	
￫透明度	 	
￫热	状况	 	
￫氧化状况	 	
￫盐	度	 	
￫酸化状况	 	
￫营	养物状况	 	
 	特定	污	染物	 	
￫被确定排入水体
的	重点控制	物	质	
污	染	 	
￫被确定大量排入
水体的其他物	质	
 	一般情况	 	
￫透明度	 	
￫热	状况	 	
￫氧化状况	 	
￫盐	度	 	
￫营	养物状况	 	
 	特定	污	染物	 	
￫被确定排入水体
的	重点控制	物	质	
污	染	 	
￫被确定大量排入
水体的其他物	质	
污	染	 	
 	一般情况	 	
￫透明度	 	
￫热	状况	 	
￫氧化状况	 	
￫盐	度	 	
￫营	养物状况	 	
 	特定	污	染物	 	
￫被确定排入水体
的	重点控制	物	质	
污	染	 	
￫被确定大量排入
水体的其他物	质	
污	染

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	71	 	
污	染	 	
来源	：	ECOSTAT 	（	2003	年	）	 	
 
When classifying water bodies in accordance with the 5	-tier system of the WFD (water 	
bodies either have high, good, moderate, poor, or bad status), a stepwise approach is 
applied. 	By asking basic questions in a certain order, positive 	answers lead to the result 	
“high status” while negative answers means that the water body in question slips down 
on the ranking. This is shown in figure 2.	3 and 2.	4 below. As different environmental 	
goals pertain to normal surface water bodies and the heav	ily modified water bodies, the 	
steps are different for the two types of surface water bodies. 	 	
根据	WED	的	5	级制对水体进行分	级（水体状况是优等、良好、中等、较差还是	
很差）	时，采用	分	步法。按一定顺序提出基本问题，	给出肯定答案的就得出“优	等	状	
况”结果，给出否定答案的就说明所议水体	的	等级在	下降	，如下面图	2.3	和图	2.4	所示。	
由于对正常地表水水体和严重	被	干扰水体设定了不同的环境目标，因此这两类地表水	
水体遵循的步骤也不同。	 	
Figure 2.	3 Steps when classifying normal water bodies	 	
 	
Source: ECOSTAT (2003)

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	72	 	
 
图	2.3 	对正常水体进行分	级	时的步骤	 	
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
来源：	ECOSTAT 	（2003	年）	 	
 
Figure 2.	4 Steps when classifying heavily modified water bodies	 	
 	
生物学质量要素的估
计值是否	达到	基准状	
况？	 	
理化状况	是否	达到优	
等状况	？ 	
水形态学状况	是否	达	
到优等状况	？ 	
分级为	 	
优等状况	 	
是 	是 	是 	
生物学质量要素的估
计值是否	轻微背离	基	
准状况	值？ 	
理化状况是否（	a）	
可以保证生态系统的
功能（	b）符合特定	
污染物的环境质量标	
准？ 	
分级为	 	
良好状况	 	
是 	是 	
否 	否 	否 	
根据	生物学	与基准状	
况值的偏差分等	 	
偏差是否
为中度？	 	分级为	 	
中等状况	 	
是 	
偏差是否很大？	 	
分级为	 	
很差状况	 	
分级为	 	
较差	状况	 	
较大	 
较大	 	
否 	
是

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	73	 
 	
 
Source: ECOSTAT (2003)	来源：	ECOSTAT 	（2003	年）	 	
 
 
 
 
 
 
 
 
 
 
 
 
 	
MEP = Maximum Ecological Potential.	 	
WQS = Environmental Quality Standard

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	74	 	
图	2.4	对	严重	被	干扰的水体进行分	级	时的步骤	 	
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Monitoring	监测	 	
The quality elements are applied for monitoring. 	In order to ensure that the necessary 	
data is available and in a form that can be compared between river basins, the WFD sets 
out the requirements for the 	monitoring	 of surface water status, groundwater status 	
and protected areas in each river basin distri	ct. The monitoring is the tool to provide an 	
overview of the situation in each river basin district and the monitoring programs shall 
include classification of all surface water bodies (into one of five categories) and all 
groundwater bodies (into one of t	wo categories). 	 	
质量要素用于	进行	监测。为了确保可获得流域之间可比的必要数据，	WFD 	提出	了	
对每个流域区的地表水体状况、地下水状况和保护区进行	监测	的要求。监测是简要了	
解流域区情况的手段，监测计划应包括对所有地表水体（分为五类）和所有地水水体
（	分为	两	类）	的分	级	。	 	
水形态学状况	是否	达	
到最大生态潜力	？ 	
理化状况	是否	达	
到最大生态潜
力？ 	
是 	是 	是 	
生物学质量要素的估
计值是否	轻微背离最	
大生态潜力	？ 	
理化状况是否（	a）	
可以保证生态系统的
功能（	b）符合特定	
污染物的环境质量标	
准？ 	
分级为	 	
良好和良好以上	 	
潜力	 	
是 	是 	
否 	否 	
根据	生物学	要素与最	
大生态潜力的偏差分	
等 	
偏差是否为中度？	 	分级为	 	
中等	潜力	 	
是 	
偏差是否很大？	 	
分级为	 	
很差	潜力	 	
分级为	 	
较差潜力	 	
较大	 
较大	 	
否 	
是 	
生物学质量要素的
估计值是否	达到最	
大生态潜力	？ 	
达到最大生态潜
力，分级为良好和
良好以上潜力
（*） 	
否 	
否 	
是 	
MEP=	最大生态潜力	 	
WQS=	环境质量标准

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	75	 	
The monitoring progra	ms shall also provide information that is crucial to enable 	
regional cooperation and reducing 	risks to the environment, such as estimates of the 	
direction and rate of flow in groundwater bodies that cross EU Member State 
boundaries, estimates of pollutant loads transferred across international boundaries or 
discharged into seas, assessments of chan	ges in water bodies, the magnitude and 	
impacts of accidental pollution, compliance assessments with the standards and 
objectives of Protected Areas, and quantification of reference conditions for different 
types of surface water bodies.	16 	
监测计划还应提供对于	实现	区域合作和降	低环境风险至关重要的信息，	比如穿越	
欧盟成员国	边	界的地下水体水流方向和流速的估计值，穿越国际	边	界转移的或者排入	
大海的污染物负荷量的估计值，水体变化评价，意外污染的程度和影响，	保护区	标准	
和目标	的	符合性评价	，以及	不同类型地表水体基准状况的量化等。	 	
Co	-ordination of measures and the river basin management plan	 	
措施协调与流域	管理规划	 	
The WFD provides the framework for a 	co	-ordination of measure	s at a river basin 	
level	, thereby addressing and reducing regional environmental risk	. 	
WFD	提供流域层面的	措施协调	框架	，用于处理和减少区域环境风险。	 	
There are a number of measures taken at EU level to tackle particular pollution 
problems, as exemplified by various directives (e.g. Urban Waste Water Treatment 
Directive and the Nitrates Directive). The WFD ensures 	co	-ordination of measures by 	
requiring t	he followin	g step	-wise process: 	 	
欧盟采取很多措施来解决特殊污染问题，	有	各种指令	为	证	（例如《城市废水处理	
指令》和《硝酸盐指令》）。	WFD 	通过要求执行以下分步过程，确保各种措施的协调：	 	
 	First, the precise environmental objectives for the different types of water 
bodies in a river basin are established, as described earlier. 	 	
第一，制定流域内不同类型水体的确切环境目标，如前	面	所描述的。	 	
 	Second, an analysis of human impact is conducted so as to determine how far 
from the objective each water body within the river basin is. At this point, the 
effect of the existing (non	-WFD) legislation is considered. If it ha	s ensured 	
fulfillment of WFD standards, then the objective of the WFD may be 
considered attained without further measures. 	 	
 	 	 	
16 A detailed guidance to monitoring under the WFD can be found in 	Guidance Document No 7, Monitoring 	
under the Water Framework Directive	 (EC	 2003	b), as well as in the WFD, annex V	 (EC 2000)	. 	
根据	WFD	进行监测的详细指导可在	7号指导文件：根据水框架指令进行监测（	EC 2003b	）和	WFD	附	
录	V（EC 2000	）中找到。

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	76	 	
第二，分析人为影响，以确定流域内每个水体离目标有多远。在这一点上，
要	考虑现有立法（非	WFD	）的影响。如果确定	WFD	标准	已满足，即可认为	
WFD	目标已实现，无需采取进一步措施。	 	
 	Third, when the WFD standards have not been attained for a water body, the 
Member State must identify exactly why, and design whatever additional 
measures are needed to satisfy the WFD objectives. These might include 
stricter controls on polluting emission	s from industry and agriculture, on 	
urban wastewater sources and/or other measures. 	 	
第三，如果某水体未达到	WFD	标准，成员国必须找出原因，并制定其他必	
要措施，以实现	WFD	目标。这些措施可能包括严格控制工农业污染排放、	
严格控制废水源和	/或其他措施。	 	
 
This approach ensures co	-ordination of relevant measures and that necessary additional 	
measures are identified. 	 	
这种方法确保相关措施的协调及找出必要	的额外	措施。	 	
The main framework of WFD implementation is the	 river basin management plan	. The 	
river basin management plan is a detailed account of how the objectives set for the river 
basin (ecological status, quantit	ative status, chemical status and protected area 	
objectives) are to be reached within the timescale required. The plan will include all the 
results of the above analysis: the river basin's characteristics, a review of the impact of 
human activity on the st	atus of waters in the basin, estimation of the effect of existing 	
legislation and the remaining gap to meeting these objectives, and a set of measures 
designed to fill the gap. One additional component is that an 	economic analysis of 	
water use	 within the r	iver basin must be carried out. This is to provide a foundation for 	
a discussion of the cost	-effectiveness of the various possible measures. It is considered 	
essential that all interested parties are fully involved in this discussion, and indeed in 
the pre	paration of the river basin management plan as a whole.	17 	
WFD	的主要实施框架是流域管理规划。流域管理规划详细介绍如何在要求的时段	
内达到为流域设定的目标（生态状况、量化状况。化学状况和保护区目标）。规划将
包括以上分析的全部结果：	流域	特征	、评论	人类活动对流域内水体的影响	、预估现有	
立法的影响以及实现这些目标还有多大差距、以及旨在弥补差距的一系列措施。还有
一项内容是必须对流域的	用水情况进行经济分析	，其目的是为讨论各种可能措施的成	
本效益提供基础。	至关重要的是，	所有	利益相关者	都	充分参与这种讨论，	并充分参与	
总体	流域管理规划	的编制。	 	
 
 	 	 	
17 Guidance document No 1: 	Economics and the Environment	 (EC 2003c) describes in more detail the rol	e 	
of economic in the implementation of the WFD and describes methodologies in more details. It is available 	 	
here: 	1号指导文件：经济学与环境（	EC 2003c	）较详细的描述了经济在	WED	实施中的作用，并详细描	
述了各种方法。获取该文件的网址是：
http://www.enorasis.eu/uploads/files/Water%20Governance/9.Guidancedoc01_Economics_WATECO_W
G2	-6.pdf

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	77	 	
Table 	2.3	 The content of a river basin management plan	 	
表	2.3 	流域管理规划	的	内容	 	
A River Basin Management Plans includes	流域管理规划的内容应包括	 	
- A general description of the characteristics of the river basin district and a summary of 	significant 	
anthropogenic pressures and their impact on the status of surface water and groundwater bodies	 	
流域区特征	综合描述	，重大人为压力及其对地表水和地下水水体状况的影响	概述	 	
- A list of the environmental objectives for the water bodies in the river basin district	 	
流域区内水体的环境目标清单	 	
- A map	 of the relevant monitoring networks that are in place	 	
已设立的相关监测网的示意图	 	
- A presentation in map form of the results of the monitoring programmes	 	
示意图形式	的监测计划	成果展示	 	
- A summary of the programmes of measures, including the ways in which the mandated objectives 	are 	
thereby to be achieved	 	
措施	规划概述，	包括通过措施	规划实现强制目标的方式	 	
Source: Vista Analysis, based on WFD guidance documents.	 	
来源：	Vista Analysis	，根据	WFD	指	导文件。	 	
 
The following is an example of how 	measures	 provided for in the Directive might be 	
implemented in practice	18: 	
下面	举例	说明在实践中如何实施指令中规定的措施：	 	
A river water body is badly degraded due to nutrient enrichment from a number of 
different sources: (i) urban 	wastewater	 (ii) industrial 	wastewater	 and (iii) intensive 	
agriculture. The minimum obligation under the Directive is thatmeasu	res are 	
implemented within the river basin as set out in 	relevant EU legislation such as 	the 	
Urban WasteWater Treatment Regulations, 	as well as 	National Regulations that apply to 	
industrial discharges 	including those from agriculture. 	 	
河流水体因众多不同来源造成的营养物富集而	严重降级：	(i)	城市废水	 (ii)	工业废水	
(iii)	集约农业。	指令下的最低义务是在流域内实施相关欧盟立法中规定的措施，比如	
《城市废水处理条例》，以及适用于工业排放、包括农业	造成	的	排放	的	国家	法规	。	 	
 
If it is considered	 that these measures alone will not be enough to restore the river 	
water bodies	 to ‘good status’ by 2015, then additional measures will have to be 	
identified and considered. These might include, for example, setting morestringent 
emission controls than is required by the 	above	-mentioned	 legislation for point source 	
discharges, or req	uire (e.g. by way of local bye	-law) strictercontrols on agricultural 	
activities within the catchment. Other measures that could be considered might include 
the re	-creation and restoration of wetland areas, educational projects, etc. It is likely that 	
the f	inal approach adopted will consist of a combination of some, if not all of these 	
 	 	 	
18 The example is taken from the report by ES	B International (2008): 	Draft River Basin Management Plans. 	
National Summary of National Summary of Programme of Measures	. The report provides a detailed list of 	
measures applied in Ireland, which may be a useful reference. It is available here: 
http://www.wfdireland.ie/docs/National%20Summary%20Programme%20of%20Measures.pdf	 	
本例取自	ESB	国际（	2008	）的报告：编制流域管理规划，国家措施计划汇总。该报告详细列出了爱尔	
兰采用的措施，可作为有益参考。获取该报告的网址是：

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supplementary measures; the finalcombination chosen will most likely be the most cost	-	
effective combination of 	the 	technically feasible measures identified. 	 	
如果认为	光是	这些措施	不足以使水体	到	2015	年恢复到“良好状况”，还要	发现	并	
考虑其他措施。举例来说，这些措施可能包括：	对点源排放设置比上	述立法	所要求的	
更严格的排放控制，或者要求（例如通过地方法则的方式）对流域内的农业活动进行
更严格的控制。其他可考虑的措施	还	包括重建和恢复湿地地区	、	教育项目等。最后采	
用的方法可能会由这些补充措施中的一部分	（	即使不是全部	）	组合而成	；所选用的最	
后组合也许是已确定的技术上可行措施的最具成本效益的组合。	 	
 
Basic principles of water pricing and the polluter pays principle are applied when 
working out how to 	share the burden	 of implementing the measures necessary. A 	
transparent process with sharing of data and public consultations often make sit clear 
where ma	in responsibilities for the situation lie, and makes it difficult for parties 	
responsible for pollution to “hide” from their responsibility. In cases where reduction of 
pollution is difficult to achieve, as responsible parties lack means to reduce pollutio	n 	
and/or it will collide with other concerns such as economic development or 
employment, a negotiated solution must be worked out between the politicians and the 
involved parties. This may include government support for necessary adaptations, a 
delay in im	plementation of measures due to special considerations, to the extent this is 	
reasonable. In Europe, experience since the 1970s has shown that transparency about 
the basic facts of the situation and public pressure in many cases have made industry 
take ste	ps to reduce pollution, which they previously considered “impossible”. 	 	
在确定如何	分担	Îíõ?±Úí,´	COõ	&ÈG÷+X"dÊ'*\	ÏI
¼	"‘65Ci	ÏI	Ä	
 ž¡Û
¼	±B"A?	,´F?>E÷0;
>.ž	"‘õå,´	k?±CS+p
XÈ¦D¯Ç"‘CS	
+é¸LîF3F¯¦CS+Ä	
jCS+é5jÿ"‘{!åÈ¦D	/或者减污会与经济发展或就业	
等其他问题发生冲突，因此	减污难以实现，则	此时	必须制定	政客	和	责任方	之间的协商	
方案。	协商方案可包括：政府支持必要的适应过程，在合理情况下出于特别考虑而推	
迟实施。欧洲	20	世纪	70	年代以来的经验表明，	很多情况下	，污染情况的基本事实	透	
明	，再加上公众的压力，使得企业采取措施来	减少污染	，而以前他们认为	减少污染	是	
“不可能的”。	 	
 
2.2.5	 Results	结果	 	
The WFD 	has enabled the EU to address 	regional environmental risk, 	especially 	
accumulated risk to aquatic ecology and drinking water sources in a consistent and 
ambitious manner. Environmental standards have been raised and tailored more 
directly to different types of water bodies. 	 	
WFD	使得欧盟以	一致	和雄心勃勃的方式特别解决了	对	水生生态和饮用水水源	造成	
的累	积	性	风险。	环境标准提高了，而且	更加直接地	为	不同类型	的	水体	量身而定	。	 	
Compared with the situation before the WFD, there has been a significant improvement 
of the knowledge base and increased transparency by bringing together information on 
characteristics, ecological status, pressures and im	pacts on European water bodies at 	
basin level. Altog	ether, 23 Member States 	reported information from more than 13,000 	
ground water bodies and 127,000 surface water bodies (82% rivers, 15% lakes, 3% 
coastal and transitional waters)	 in 2009	. The data is col	lected in the Water Information 	
System for Europe (WISE) database.	 The data makes detailed and differentiated analysis

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of status and pressures related to the environmental status of water bodies across the 
EU, showing the distribution of problems and press	ures allowing for targeted and 	
effective action.	19 	
与	WFD	之前的情况相比，通过整合特征、生态状况、对流域层面的欧洲水体的压	
力和影响方面的信息，知识库	得到了显著改善，透明度得以增强。	2009	年，共有	23	
个成员国报告了	13000	多个地下水体和	127000	个地表水体（河流占	82%	，湖泊占	
15%	，沿海和过渡性水域占	3%	）的信息。数据收集在欧洲水信息系统数据库里。	数据	
对整个欧盟	范围内	的水体状况以及水体环境状况方面的压力进行了详细而差异化的分	
析，	说明了	问题和压力的分布	情况允许采取	有针对性的有效行动。	 	
The 2009 WFD reporting on surface water bodies showed that	 (EEA, 2012)	: 	
2009	年	WFD	地表水水体报告表明（	EEA	，	2012	）：	 	
 	42% of all surface water bodies held good or high ecological status, meaning 
that 58% of all surface water bodies need mitigation and/or r	estoration 	
measures. 	 	
在全部地表水水体中，	42%	处于良好或优等生态状况，	意味着	在全部地表水	
水体中，	58%	需要缓解和	/或恢复措施。	 	
 	River water bodies and transitional waters have worse ecological status or 
potential and more pressures and impacts, than water bodies in lakes and 
coastal waters.	 	
与湖泊和沿海水域中的水体相比，河	流水体和过渡性水体的生态状况或潜力	
较差，承受的压力和影响较大。	 	
 	The most common pressures are pollution from diffuse sources (in particular 
from agriculture) causing nutrient enrichment, and hydromorphological 
pressures (hydropower, flood protection, urban development etc.) resulting 
in 	altered habitats. 	 	
最常见的压力是	造成营养物富集	、	来自	分散源（特别是来自农业）的污染，	
以及造成栖息地改变的水形态学压力（水力发电、防洪、城市发展等）。	 	
 	Diffuse pollution from agriculture is a significant pressure in more than 40% 
of Europe’s water bodies in rivers and coastal waters, and in 33% of the water 
bodies in 	lakes and transitional waters. Discharges from wastewater 	
treatment plants, industries and the overflow of wastewater from sewage 
systems still cause pollution: 22% of surface water bodies still have point 
sources as a significant pressure.	 	
在欧洲河流和沿海水域	40%	的	水	体中，以及湖泊和过渡性水域	33%	的水体中，	
来自农业的分散污染是巨大压力。	废水处理厂、工业企业的排放以及下水道	
系统溢出的污水仍造成污染：	22%	的地表水水体仍承受着点源	污染的	巨大压	
力。	 	
 	 	 	
19 The Water In	formation System for Europe (WISE) database is available at: 	http://water.europa.eu/	 	
获取欧洲水信息系统（	WISE	）数据库的网址是：	http://water.europa.eu/

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While the data from the WFD reporting does not contain time series before the second 
reporting in 2015, more fragmented data indicates a clear trend of improvement 	in 	
many European surface water bodies since the 1980s. This exemplified by the 
developments in the Rhine river basin (see chapter 3)	. 	
虽然	WFD	报告的数据	不包含	2015	年第二次报告之前的	时间序列	，但较分散的数	
据显示，	 20	世纪	80	年代以来，欧洲地表水体有了明显改善。莱茵河流域的发展动态	
证明了这一点	（见第	3章）。	 	
Figure 	2.5 Percentage of groundwater bodies with poor	 chemical status	 	
图	2.5 	化学状况	较差	的地下水体比例	 	
 	
Source: EEA (2012)	 	
The reporting on chemical status and groundwater bodies showed that monitoring was 
still not 	extensive and/or detailed enough, as a large number of water bodies had no 	
chemical monitoring and/or not proper monitoring of all the priority substances in the 
directive. Still, the numbers provided an indication of chemical status for European 
water bod	ies per 2009:	 	
化学状况和地下水水体报告表明，监测还不够广泛和	/或详细，因为很多水体没有	
进行指令中全部	重点控制	物质的化学监测和	/或适当监测。尽管如此，数字仍显示了	
2009	年欧洲水体的化学状况。	 	
分级为较差化学状况的地下水体比例	 
没有数据	 	
创建了	RBD	，地下水	体面积不明（采用	了	计数，而非面积）

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 	For groundwater, 80% of water bodies across Europe were reported to have 
good chemical status (usually due to excessive levels of nitrate) and 87% held 
good quantitative status. In four Member States, more than 50% of 
groundwater bodies had poor chemical s	tatus. 	 	
对于地下水，整个欧洲	80%	的水体为良好化学状况（通常由于硝酸盐水平过	
高），	87%	为良好量化状况。在四个成员国，	50%	以上的地下水体为较差化	
学状况。	 	
 	For surface water, more than 90% of water bodies were reported to have 
poor chemical status. In five Member States, above 40% of surface waters had 
poor chemical status.	 	
对于地表水，	90%	以上的水体为较差化学状况。在五个成员国，	40%	以上的	
地表水体为较差化学状况。	 	
 	
 	Six Member States reported poor chemical status for a majority of the 
transitional water bodies (>50%) and/or coastal water bodies (>90%) for 
which they have data. PAHs, the antifouling biocide tributyltin (	TBT) and 	
heavy metals are among the most common culprits.	 	
六个成员国报告称他们有数据的大多数过渡性水体（	>50%	）和	/或沿海水体	
（	>90%	）为较差化学状况。	PAH	（多环芳氢）、驱虫杀虫剂三丁基锡（	TBT	）	
和重金属是最常见的罪魁祸首。	 	
 
The status assessment of the European Commission of 2012 also showed that 
transboundary cooperation at river 	basin level is well under way in most of the river 	
basins. In the most advanced river basins (marked with green in the map in figure 2.	6 	
below) have a bilateral cooperation agreement, an institutional framework in the form 
of a cooperation body is in place	 (such as the international river basin commissions in 	
the Rhine river basin or the Danube river basin, see 	chapter 	3.3	 below), and an 	
international river basin management plan. 	 	
欧盟委员会	2012	年的状况评定也表明，流域层面的	跨境	合作正在多数流域顺利	推	
进。	在多数发达的流域（下面图	2.6	中标为绿色的）都有双边合作协议、合作	团体形	
式	的	机构	框架（比如莱茵河流域或多瑙河流域的国际流域委员会，见下文第	3.3	节）	
和国际流域管理规划。	 	
Figure 	2.6 EU River Basin Districts with transboundary cooperation, per 2012.	 	
图	2.6 2012	年实行	跨境	合作的欧盟流域区

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Source: European Commission (2014	b)来源：欧盟委员会（	2014b	）	 	
Assessing the 2009 reporting of measures, the European Environment Agency estimates 
that the status for European water bodies by 2015 (end of 	the 	first cycle of 	
implementation) will have improved somewhat: The percentage of surface water bodies 
with good o	r high ecological status is expected to go up from 42% in 2009 to 52% in 	
2015, the percentage of groundwater bodies with good chemical status is expected to go 
up from 80% in 2009 to 89%	 in 2015	, and the percentage of groundwater bodies with 	
good quantitat	ive status is expected to go up from 87% in 2009 to 96% in 2015. With 	
regards to chemical status for surface water bodies, the data from 2009 was not 
adequate enough to serve as a baseline. 	 	
通过评价	2009 	年的措施报告，欧洲环境署估计到	2015	年（第一实施周期末）欧	
洲水体的状况会有	所	改善：	良好或优等生态状况的地表水	体的比例预计会从	2009	的	
42% 	上升到	2015	年的	52%	，良好化学状况的地下水体的比例预计会从	2009	年的	80%	
欧盟实行跨境合作的流域区	 	1类：有合作协议、合作团体及国际	RBMP	 	2类：有	合作协议和合作团体，但没有国际	RBMP	 	3类：	有合作协议但没有合作团体或国际	RBMP	 	2/3	类：	是否有合作协议和合作团体均不清楚	 	4类：	未形成合作	 	未分类	 	
国家流域区	（欧盟内）	 	国际流域区（欧盟外）	 	沿海水域	 	国界	 	欧盟	27国范围	 	 WRc	公司代表欧盟委员会制图	© DG Environment, 2012

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上升到	2015	年的	89%	，良好量化状况的地下水体比例会从	2009	年	87%	上升到	2015	
年的	96%	。	至于地表水体的化学状况，	2009	年的数据不足以	作为基线。	 	
There is still a long way to go to fully reach the goals of the WFD in all European water 
bodies 	and reduce regional envi	ronmental risks to	 desired levels, 	and it seems unlikely 	
that the goals can be fully met by the deadline 2027 (Hering et al.	, 2010). This is not 	
surprising. It would seem overly optimistic to expect European aquatic ecosystems to 
fully recover in 15	-20 yea	rs from more than a century of degradation. Recovery of biotic 	
communities requires the implementation of measures and the response of the 
ecosystem, and both steps need many years, sometimes decades. Where restoration 
measures and land use changes can be 	implemented rapidly there will in many cases be 	
improvements in ecological status by 2027, although not necessarily all the way to 
ecological good status. The WFD framework and methodology with revolving six	-year 	
implementation cycles is a dynamic system, 	which it should be feasible to extend beyond 	
2027 in accordance with a future assessment of a realistic timescale for fully reaching 
the objectives of the directive. 	 	
所有的欧洲水体要完全达到	WFD	的目标	以及将区域环境风险降至所期望的水平	仍	
有很长的路要走，而且到	截止时间	2027	年完全实现目标似乎是不可能的	，	欧盟	水生生	
态系统在	15	-20	年内从一百年的退化中完全恢复过来	这一想法过于乐观	。	生物群落的	
恢复需要措施的落实和生态系统的响应，	这两步	都需要很多年，有时需要几十年。	很	
多情况下，	如果	恢复措施和土地	利用方式变更	能够快速落实，生态系统	到	2027	年	就会	
改善，	但未必会达到良好生态状况。	WFD	框架和方法	有循环的	六年实施周期	，	是一个	
动态系统，	根据对	未来	完全实现指令目标的现实时间表的评估，	延长到	2027	年以后	应	
该是可行的	。	 	
2.2.6	 Lessons and s	uggestions for China 	对中国的建议	 	
It is difficult to provide precise suggestions for China without first having studied the 
current system for protection of aquatic ecology and water management in China. At a 
general level, however, the WFD would seem to contain a number of features that a	re 	
relevant in China. 	 	
如果不首先研究中国	当前	的水生生态保护和水管理体系，就很难为中国提供准确	
的建议。但一般来说，	WFD	似乎有很多	可以在	中国	发挥作用的特点	。	 	
Since the beginning of the 11	th Five	-Year Plan (2006	-2010) the Chinese Government has 	
greatly increased its efforts to improve water management and reduce water pollu	tion, 	
but the situation is still very serious in much of the country	 (Economist 2013)	.20 Water is 	
a limited and unevenly distributed resource in China. Four	-fifths of China’s water is in 	
the south (notably in the Yangzi river basin), while half the people a	nd two	-thirds of the 	
farmland is in the north, including the Yellow River basin. Due to over	-use, the water 	
table under Beijing has dropped by 300 meters since the 1970s. Overuse of water leads 
 	 	 	
20 The data in this paragraph are mainly taken from a recent overview article in the Economist (Economist 	
2013), if other sources are not referred to. 	如果未提及其他资料来源，本段中的数据主要摘自《经济学家》	
（Economist 2013	）最近一篇综述文章。

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to rivers disappearing and the number of rivers with significa	nt catchment areas has 	
fallen from more than 50,000 in the 1950s to 23,000 in 2013. The surface water that is 
left is often heavily polluted. In 2007 the Yellow River Conservancy Commission, a 
government agency, surveyed 13,000 kilometers of the river and 	its tributaries and 	
concluded that a third of the water was unfit even for agriculture. Agricultural and 
industrial pollution are among the main sources of water pollution. In 2007, the Yellow 
River Conservancy Commission registered 4,000 petrochemical pla	nts along the river 	
stretch surveyed. Also groundwater resources are heavily polluted. In 2012, statistics 
from the Ministry of Environmental Protection showed that underground water in 57% 
of monitoring sites across Chinese cities were polluted or extreme	ly polluted. The 	
numbers suggest that almost 300 million rural residents in China do not have access to 
safe drinking water (Xinhua	, 2012	; Gong & Liu	, 2013). In 2009, the World Bank put the 	
overall cost of China’s water crisis at 2.3% of GDP	 (Xie	, 2009)	, mostly reflecting damage 	
to health. Modifications of water bodies due to development of hydropower and ur	ban 	
developments also have	 large	-scale negative impacts on freshwater environments	 in 	
China	. 	
自“十一五”以来，中国政府加大了	改善水管理和减少水污染的	力度	，	但	全国	许	
多	地方的情况仍十分严重	（经济学家，	2013	）	。	在中国，水是一种有限的、分布不均	
衡的资源。中国五分之四的水集中在南方（尤其是长江流域），而一半的人口和三分
之二的农田分布在北方，包括黄河流域。	由于过度使用，北京的地下水位自	20	世纪	
70	年代以来下降了	300	米。	过度用水导致河流消失，有	重要	蓄水区的河流数量从	20	
世纪	50	年代的	5	万多条减少到	2013	年的	23000	条。	遗留下来的地表水常常受到严	
重污染。	2007	年，黄河水利委员会	调查了	13000	公里的黄河及其支流。调查结论是，	
约	三分之一的黄河水	已	不	适	用	于农业	生产	。农业和工业污染	是	主要	的	水污染	来	源。	
2007	年，	被调查河段沿岸有	4000	家	石油化工	厂在	黄河水利委员会	注册	。	地下水资源	
污染也很严重。	2012	年，环保部的统计资料表明，	57%	的	中国城市	地下水	监测	点	的	地	
下水受到了污染或者严重污染。	数字表明，中国近	3	亿农村居民	无法获得	安全的饮用	
水（	Xinhua	, 2012	; Gong & Liu	, 2013	）。	2009	年，世界银行	估计中国的水危机总成本	
占	GDP	的	2.3%	（	Xie	，	2009	）	，	主要反映健康损害。	水电站开发和城市发展	对	水体	造	
成	的干扰也对中国的淡水环境产生了大范围的负面影响。	 	
China’s challenges 	related to sustainable use and management	 of water resources are 	
huge	. Similar to in the EU, the first steps are to put in place necessary sector regulation 	
and investments to address specific issues such as nitrates and other pollution from 
agriculture, i	ndustrial pollution, urban wastewater treatment and other measures to 	
reduce obvious pollution pressure. This is happening, one example being the Ministry of 
Housing and Urban Rural Development’s announcement 	in 2013, 	that they will be 	
spending RMB	 410 bil	lion on improving water quality in urban areas by 2016 	(Gong & 	
Liu 2013). Another type of first steps is the measures to protect water bodies and 
aquatic ecology, under the Ministry of Environment, and the use of environmental 
impact assessments. 	 	
在水资源的可持续	利	用和管理方面，中国面临巨大挑战。和欧盟的情况相似，	中	
国的	基本	措施	是	：	制定行业法规，	投入资金来	解决特定问题，	比如农业带来的硝酸盐	
和其他污染、工业污染、城市废水处理，并采取其他措施来减轻明显的污染压力。	这	
些工作正在开展，例如	2013	年住房和城乡建设部发布公告，宣布将投入	4100	亿元人

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民币，到	2016	年改善城市地区的水质（	Gong & Liu 2013	）。另一类基本措施是环保	
部保护水体和水生生态的措施，以及开展环境影响评价。	 	
One could argue that until such instruments	 and measures are fully implemented, there 	
is no use for framework legislation such as the framework directive. We would disagree. 
While these instruments and measures are extremely important and fundamental, the	 	
experience from Europe is that they 	when 	im	plemen	ted in a fragmented man	ner will	 not 	
ensure sufficient protection	 and a sustainable and	 economically optimal use of water 	
resources. A holistic and river basin management approach to water management 	and 	
reduction of regional environmental risk	is cruc	ial to ensure coordination of efforts and 	
that the benefits of different types of use are balanced within the scope of pressure that 
is compatible with upholding the natural capital and ecosystem services of the river 
basin.	 This has been documented also o	utside of the EU (Mostert, 2003).	21 	
诸如框架指令之类的框架性立法是	各项	措施	充分发挥作用的基础和保障	。	虽然这	
些工具和措施是极为重要和基本的，但欧洲的经验	表明	，	分散	地	实施	各项	工具和	措施	
无法保证水资源得到充分的保护和可持续的、最经济划算的使用。	采取整体的流域管	
理方法	进行水管理	并降低区域环境风险	对于确保各项努力的协调	以及不同类型	利用方	
式的	效益在适	于	支撑流域的	自然	资本和生态系统服务的压力范围内达到平衡是至关重	
要的。	这一点在欧盟以外	的一些地方	也得到了证明（	Mostert, 2003	）。	 	
The 	approaches (ref. 2.2.3) 	and 	tools (ref. 2.2.4) 	of the WFD 	would need to be	 used and 	
applied by China in accordance with local 	circumstances, institutional capacities and 	
other factors. 	While the WFD generally speaking is a success, it has also been 	criticized 	
for being unnecessarily complicated and to set in motion administrative and scientific 
coordination processes that are time	-consuming and where the outcome is uncertain. A 	
general point of advice would be to learn from the best practices exempli	fied by the 	
WFD, but try to at the same time keep	 tings 	as simple and practical as possible to reduce 	
transaction costs. 	 	
中国需要根据	自己的国情	、	机构能力	和其他因素来	借鉴	WFD	的方法和工具（	ref. 	
2.2.4	）	。虽然一般来说	WFD	是成功的，但它也因以下问题而受到指责：过于复杂，而	
且需要启动非常耗时的行政和科学协调过程，但未必	有成效	。 一般	的	建议是，学习	
WFD	给出的	最佳实践	经验	，但同时又要	努力尽可能地把	事情	简单化、实用化，以降低	
交易成本。	 	
The following more specific points should merely be seen as suggestions and ideas, that 
would require more study and detail for potential follow	-up. We also refer to the on	-	
going Ch	ina	-Europe Water Platform (CEWP)	 project, which promotes European and 	
Chinese cooperation on water issues. The China	-Europe Water Platform project (CEWP	, 	
 	 	 	
21 A global review of conflict and co	-operation in 35 i	nternational river basins, concluded that the old 	
water management paradigm (national resources water development) is gradually being replaced by a 
new paradigm: integrated river basin management across all levels, national, international and sub	-	
national 	(Mostert 2003).	 	
一项对	35	个国际流域的冲突与合作的全球回顾得出的结论是：旧的水管理范式（国家资源水开发）正	
逐渐被新的范式取代：国家、国际和地方所有层面的一体化流域管理（	Moster 2003	）。

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2014) facilitates cooperation and is also a dynamic resource hub for relevant 
information about EU experiences, the outcome of EU	-Chin	ese joint fact	-finding 	
assessments and missions, as well as relevant events and news	.22 	
以下比较具体的看法只可当做建议和	观点	，	落实起来则	需要	更多的研究和细节。	
我们还要谈到	正在	实施	的中国	-欧洲	水资源交流	平台项目	（	CEWP	）。该项目	促进欧洲	
和中国在水问题上的合作	，	同时也是一个关于欧盟经验	的相关信息	、欧盟	-中国联合实	
地调查评估和任务成果以及相关事件和新闻的动态资源枢纽。	 	
The Communist Party of China 	has in 2013 stressed the need for an “ecological red line” 	
to ensure basic ecological protection necessary. With the goals of 	Good Ecological Status	 	
and 	Maximum Ecological Potential	, the WFD shows how ecology can be put at the base 	
of management decisions 	related to water management 	and the directive provides a 	
methodology for how ecological red lines may be established for different types of water 
bodies	 (in co	-operation with the Habitats Directive, see 	chapter 	2.4.1	 below)	. 	
2013	年，中国共产党强调需要用一条“生态红线”来确保必要的	基本生态保护。	
WFD	用	良好生态状况和最大生态潜力目标说明了	如何将生态作为	与水管理有关的管理	
决策	的基础，该指令还提供了为不同类型的水体建立生态红线的方法（结合《栖息地	
指令》，见下文第	2.4.1	节	。	 	
In the WFD, the inventory and river basin management plan provides the opportunity to 
assess the extent to which measures triggered by other legislation are i	n fact enough to 	
preserve aquatic ecology and drinking water sources from accumulated and acute risk. If 
it is shown that that is not the case, the directive obligates the country and river basin 
authority to close this gap with additional measures. 	 By su	ch an 	approach 	it is checked 	
whether	 the accumulated effect of environmental legislation related to water actually 	
delivers the desired 	environmental state 	in the water bodies, 	The WFD requirements 	
thereby supplement other	environmental and sector legislati	on	and ensure that gaps are 	
filled. Such an assessment of the combined effects of environmental and sector 
legislation related to water in China,	 would likely also 	reveal gaps and be helpful in work 	
to improve the environmental quality of water	. 	
在	WFD	中	，借助	清单和流域管理规划	可以	评价其他立法	规定	的措施	对于	保护水生	
生态和饮用水源	免遭	累积	性	和	突发性	风险	威胁的	程度	。	如果事实表明情况并非如此，	
指令	就	会	强制	要求国家和流域管理局用其他措施来缩小这一差距。	这种方法	可以检验	
与水有关的	环境立法	的累积效果是否	可以	实现	预期的	水体环境状况目标。因此，	WFD	
的要求	是对其他环境立法和行业立法的一个有益补充	，是为了确保上述差距的消除。	
在中国，此类对与水有关的环境立法和行业立法的综合效果的评估还能揭示差距，有
利于开展水的环境质量改善工作。	 	
Baseline data and monitori	ng is essential when trying to ensure more sustainable and 	
effective water management. 	The monitoring and reporting requirements of the	 WFD 	
 	 	 	
22 The CEWP website including resources and news is available here: 	www.cewp.org	 	
收录资源和新闻的	CEWP	网址是：	www.cewp.org

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shows the depth, scope and institutional arrangement necessary to be able to establish a 
baseline and 	to monitor	 effects of measure	s, when striving to attain a mor	e sustainable 	
use of water resources. 	It also shows how such a mainstreamed system provides the 	
possibility for detailed and differentiated analysis of status and pressures across 
provinces, showing the di	stribution of problems and pressures allowing for targeted and 	
effective action.	 	
在试图确保更加持续有效的水管理时，基线数据和监测是必不可少的。	WFD	的监	
测和报告要求说明了在努力实现更加可持续的水资源	利用	时，建立基线和监测措施效	
果所必需的深度、范围和制度安排。	还说明了一个如此主流化的	系统	是如何为详细而	
差异化地分析	各省情形和压力	提供可能的	，说明了问题和压力的分布情况允许采取有	
针对性的有效行动	。	 	
It has been noted 	(Mateo	-Sagasta et al., 2013) that w	ater pollution in China tends to be 	
more narrowly defined than in other countries, and the main targets for water pollution 
control continue to be chemical oxygen demand (COD) and ammonia (NH	3 – a form of 	
nitrogen) . 	Limi	t values for other pollutants are, however, also used in different contexts. 	
With its list of 33 Priority Substances and 8 Certain Other Pollutants, the WFD shows a 
more 	extensive and 	refined system for 	the mandatory assessment of 	chemical status of 	
all 	wa	ter bodies. 	 	
有人曾指出（	Mateo	-Sagasta et al., 2013	），相比其他国家，中国的水污染定义更	
加侠义，	中国	水污染控制的主要对象	一直	是化学需氧量（	COD	）和	氨氮	（	NH	3 —	一种	
氮	）	。	其他污染物的限值却用于不同的环境中。	WFD	利用	33	种	重点控制	物质和	8	种	
其他污染物清单，	展示	了一个比较	广泛而	精确的用于	强制	评定	所有	水体化学状况的系	
统。	 	
In China responsibilities for dealing with water is split between several 	agencies within 	
government: Water pollution and aquatic ecology is the responsibility of the Ministry of 
Environmental Protection, water supply is the responsibility of the Ministry of Water 
Resources, sewage treatment is under the Ministry of Construction	, and groundwater 	
management is under the Ministry of Land and resources. The framework of integrated 
river basin management plans provides a platform for coordination of efforts between 
different agencies at central and provincial levels, as well as betwe	en provinces sharing 	
river b	asins. The strategy of 	Integrated River Basin Management 	(IRBM) is not new to 	
China. It was incorporated into China’s 2002 Water Law and development cooperation 
programs, such as the EU	-China river basin management programme (20	06	-2012) and 	
CEWP, have also supported application of IRBM in China. As the application of IRBM is 
not mainstreamed, however, there is likely still substantial room for learning from EU 
experiences	with regards to assessment and management of regional envir	onmental 	
risks related to water	. 	
在中国，	水管理职责由	几个不同	的政府	机构分担：水污染和水生生态由环境保护	
部负责，供水由水利部负责，污水处理由建设部负责，地下水管理由国土资源部负责。
综合	流域管理规划框架为中央和省级不同机构之间以及流域共享各省之间的工作协调	
提供了平台。	综合	流域管理（	IRBM	）战略对于中国来说不是	件	新鲜事。它被纳入中国	
2002	年	的	《水法》，而且诸如欧盟	-中国流域管理计划（	2006	-2012	）和	CEWP	（中国	
-欧洲水资源交流平台）	之类的发展合作计划也支持了	IRBM	在中国的实施。	然而，	由

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于	IRBM	的	应用	并非主流化的，因此	中国	可能还有很大的空间可以吸取欧盟	在与水有	
关的区域环境风险评估和管理方面的	经验。

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2.3	 	Release	 of heavy metals and other hazardous substances	 	
重金属和其他	危险	物质	的	排放	 	
In this 	section	 we present 	the OSPAR Convention, E	U 	REACHDirective	 and the EU Seveso 	
Directive as examples on howrelease of heavy metals and other hazardous substances 
have been regulated in Europe.	 	
本节我们以《	OSPAR	公约	》	（	奥斯陆	-巴黎公约	）	、《欧盟	REACH	指令》和《欧	
盟	Seveso	指令》为例，说明欧洲如何	监管	重金属和其他	危险	物质	的释放。	 	
2.3.1	 OSPAR Convention 	OSPAR	公约	（	奥斯陆	-巴黎公约	）	 	
2.3.1.1	 Introduction	引言	 	
The North Sea is an area of intense human activity.	 Approximately 184 million people 	
live within thecatchment area 	and t	he populationdensity puts great pressure on the 	
marine environment	.Land	-based discharges (river input and direct discharge), ocean	-	
ba	sed discharges (dumping andincineration at sea) and atmospheric 	deposition	 have 	
been among the major sources of contaminantinputs to the North Sea. The intense 
human activity on	- and off	-shore is the result of increasingeconomic activity following 	
the Seco	nd World War, which led to a rapid growth in wasteproduction. As a 	response	, a 	
set of international regulations directed at waste dumping at sea and land based 
sources have been put in place in order to combat marine pollution risk	 (long	-term 	
accumulative pollution as well as acute incidences, including both types in specific 
Marine Protected Areas) 	in the North Sea and the	 wider North	-East Atlantic, most 	
notably being the 	Convention for the Protection of the marine Environment of th	e 	
North	-East Atlantic (the ‘OSPAR Convention')	 (Skjærseth, 2000).	 	
北海是一个人类活动密集的地方。大约	1.84	亿人住在排水区内，人口密度给海洋	
环境造成了巨大压力。陆源排放（河流输入和直接排放）、海上排放（海上倾倒和焚
烧）和大气沉降是其中输入北海的污染物的主要来源。陆上和海上密集的人类活动是
第二次世界大战之后日益增加的经济活动带来的结果，导致垃圾排放量快速增长。为
应对这些	环境	问题，	针对海上和陆源垃圾倾倒出台了一系列国际法规，以	降低	北海及	
更广泛的东北大西洋海洋污染	带来	的环境	风险	（包括特定海洋保护区中长期累积污染	
以及突发环境事件）。其中最有效的当属《	保护东北大西洋海洋环境公约	》（简称	
‘	OSPAR	公约’）（	Skjærseth, 2000	）。	 	
The OSPAR Convention was 	adopted 	at the Ministerial Meeting of the 	Os	lo and 	Par	is 	
Commissions in Paris 	in 1992	, merging the previous Oslo Convention 	(1972) and the 	
Paris Convention (1974) which, respectively, addressed dumping and incineration of 
waste and land	-based pollution the North East Atlantic region	. The Convention has been 	
signed and ratified by all the Contracting Parties to the original Oslo	 or Paris 	
Conventions	, which it 	replaces	 (Belgium, Denmark, the European Union, Finland, France, 	
Germany, Iceland, Ireland, the Netherlands, Norway, Portugal, Spain, Sweden and the 
United Kingdom of Great Britain and Northern Ireland) and by Luxembourg and	 	
Switzerland	. The Convention 	entered into force on 25 March 1998	. 	
《	OSPAR	公约》是	1992	年在巴黎的	奥斯陆	-巴黎	部长级会议上通过的，将以前的	
《奥斯陆公约》（	1972	年）和《巴黎公约》（	1974	年）合并在一起，它们分别论及

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东北大西洋地区的垃圾倾倒和焚烧以及陆源污染。该公约由它所取代的《奥斯陆公约》
或《巴黎公约》的所有原缔约各方签署和批准（比利时、丹麦、欧盟、芬兰、法国、
德国、冰岛、爱尔兰、荷兰、挪威、葡萄牙、西班牙、瑞典及大不列颠联合和北	爱尔	
兰联合王国），也经过了卢森堡和瑞士的签署和批准。该公约于	1998	年	3	月	25	日生	
效。	 	
OSPAR	's sister convention 	HELCOM (Helsinki convention) 	for protection of the Baltic 	
Sea	 targets much of the same problems as the OSPAR Convention, and there is 	
considerable overlap in guidelines, target setting, 	monitoring, etc. 	The contracting 	
parties of HELCOM are also overlapping with OSPAR (HELCOM partners: 	Denmark	, 	
Estonia	, European Union	, Finland	, Germany	, Latvia	, Lithuania	, Poland	, Russi	a and 	
Sweden	). 	
OSPAR	的姊妹公约	HELCOM	（赫尔辛基公约）是保护波罗的海的，所涉及的问题	
大多与	OSPAR	相同 ，并且 在指导 原则、 目标设 定和监 测等方 面有很	多	重叠 部分。	
HELCOM	的缔约各方与	OSPAR	也有重叠（	HELCOM	缔约各方	：丹麦、欧盟、芬兰、德	
国、拉脱维亚、立陶宛、波兰、俄罗斯和瑞典	。	 	
OSPAR maintain close collaboration with other international bodies dealing with 
protection of the marine environment, as for instance the 	Internation	al Maritime 	
Organization (IMO) and the EU through EU’s 	Marine Strategy Framework Directive	 	
(MSFD, 	Directive 2008/56/EC)	. For instance, OSPAR	 Parties aim to ensure that their 	
marine monitoring and assessment work result indual use for OSPAR and for MSFD 
requirements	 (OS	PAR Commission, 2013)	. 	
OSPAR	与其他从事海洋环境保护的国际机构保持紧密协作，例如国际海事组织	
（	IMO	） 和 欧 盟 。 它 是 通 过 欧 盟 的 《 海 洋 战 略 框 架 指 令 》 （ 简 称	MSFD	，指令	 	
2008/56/EC	）与欧盟协作的。例如，	OSPAR	缔约各方的目的是保证其海洋监测和评估	
工作能够	服务于	OSPAR	和	MSFD	。	 	
The significance of OSPAR lay in decisions that are binding under international 
law.	 	However, 	like all international conventions OSPAR lacks enforcement 	
mechanisms	23. The overlap of member countries in OSPAR and the EU is of vital 	
importance to enforcement of OSPAR decisions and regulations since EU Directives are 
directly binding to member states. 	Thus, the EU has more powerful tools to ensure 	
compliance and also has its own court which can issue penalties in the case of non	-	
compliance (Skjærseth 2012). Whereas there are many overlaps between the OSPAR 
and EU regimes on marine pollution, including o	n environmental quality objectives, on 	
some matters (e.g. hazardous substances and eutrophication) OSPAR measures appear 
to be stronger. 	Due to the lack of enforcement power, however, the role of OSPAR is 	
more to obtain the information, identify the proble	ms and the possible solutions 	
 	 	 	
23 Because there is no overarching authority to enforce international law, some contend that international 
law is not really law at all. Others maintain that the sources of enforcement simply reside elsewhere 	– in 	
domestic institutions, reputation, reciprocity etc. See a 	discussion of these matters 	in von Stein (2010). 	 	
由于没有一个总管机构来执行国际法律，有人认为国际法律根本就算不上是法律。其他人则认为执法源
就在别处	——	国内机构、声誉、互惠等。这些问题的讨论见	von Stein 	（2010	）。

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and then ask the EU Commission to take legislative action	. As in other matters, the 	
individual Member States are responsible for developing, implementing and enforcing 
the appropriate legislation. It has become common practice	 for the OSPAR Commission 	
to draft background documents and send them to the responsible European Commission 
Directorate	-General (DG). As EU already has its own legal instruments the DG may, 	
however, not always take the action recommended by OSPAR Commissi	on (Frank, 	
2007).	 
OSPAR	的意义在于	它是	国际法律下有约束力的	决议	。然而，像所有的国际公约一	
样，	OSPAR	也缺乏强制执行机制。	OSPAR	与欧盟成员国的重叠对于执行	OSPAR	决议	
和法规是至关重要的，因为欧盟指令对成员国具有直接约束力。因而，欧盟有更强大
的工具来确保公约	的遵守	，同时它也有自己的法庭，在出现违反公约的情况时可以做	
出处罚（	Skjærseth 2012	）。鉴于在海洋污染问题上、包括在环境质量目标上	，	OSPAR	
和欧盟制度有很多重叠的地方，在有些问题上（例如危险物质和富营养化）	OSPAR	的	
措施显得更有力。	然而由于缺乏	强制	执行力，	OSPAR	的作用更多的是获取信息、找出	
问题和可能的解决方案然后让欧盟委员会采取立法行动	。	和在其他问题上一样，欧盟	
各成员国负责制定、实施和执行适当的立法。	OSPAR	委员会起草背景文件，然后发送	
给欧盟委员会负责总司（简称	DG	），这已成为惯例。欧盟有自己的法律文件，但总司	
并不总会采取	 OSPAR	委员会所建议的行动（	Frank, 2007	。	 	
The OSPAR Convention covers most of the North	-East Atlantic and its adjacent seas. This 	
is a vast area of about 13.5 million 	square 	km which includes a diverse range of 	
environmental conditions and different ecosystems	. The marine waters are divided into 	
five biogeographic regions, which are subject to separate priority actions, monitoring, 
reporting etc. 	(see figure 2.7):	 	
《	OSPAR	公约》涉及东北大西洋及其邻海大部分地区。这是一片辽阔的区域，约	
有	1350	万平方公里，区域内有各种各样的环境条件和不同的生态系统。海洋水域分为	
五个生物地理区，可开展单独的重点行动、监测报告等（见图	2.7	）。	 	
 	Region I Arctic Waters	一区北极水	域	 	
 	Region II Greater North Sea	二区大北海	 	
 	Region III Celtic Seas	三区凯尔特海	 	
 	Region IV Bay of Biscay and Iberian Coast	四区比斯开湾和伊比利亚海岸	 	
 	Region V Wider Atlantic	五区广泛大西洋	 	
Figure 	2.7 Marine areas and countries covered by OSPAR.	 	
图	2.7 OSPAR	所涉及的海域和国家

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Source	:来源：	 	
The ecology of the OSPAR 	regions	 includes a wide range of species and habitats, from 	
the ice	-bound and fjord coastlines of Region I, to the estuaries, sea lochs, 	are	as and open 	
bays of Regions II, III and IV, and to the deep	-ocean ecosystems of Region V.	 Long	-range 	
air transport of persistent organic pollutants (POPs) to the vulnerable arctic waters are 
of particular concern.	 	
OSPAR	区域的生态有各种各样的物种和栖息地，从一区的冰封峡湾海岸到二区、	
三区和四区的入海口、海湾、地区和外湾，到五区的深海生态系统。远距离航空运输
将持久性有机污染物（	POP	）运到脆弱的北极水域，这值得人们特别关注。	 	
Contained within the OSP	AR Convention are a series of Annexes which deal with the 	
following specific areas	 and state the means for reaching the targets for each area	: 	
《	OSPAR	公约》包含一系列针对以下特定领域的附录，并规定了达到每个领域的	
目标的手段：	 	
 	Annex I: Prevention and elimination of pollution from land	-based sou	rces. States, 	
inter alia, 	that	 point source discharges to the maritime area, and releases into 	
water or air which reach and may affect the maritime area, shall be strictly 
subject to authori	zation or regulation by the competent authorities of the 	
Contracti	ng Parties.	 	
附录	I：防止并消除陆源的污染。尤其规定了向海域的点源排放以及向到达并且	
可能影响海域的水或空气的排放须严格接受缔约各方主管部门的授权和监管。	 	
 	Annex II: Prevention and elimination of pollution by dumping or incineration. 
States, inter alia, that dumping of all wastes or other matter is prohibited, except 
for those w	astes or other matter listed in separate paragraphs	. 	
附录	II：防止并消除倾倒和焚烧造成的污染。尤其规定了禁止倾倒一切废弃物	
或其他物质，单独条款里列出的废弃物或其他物质除外。	 	
 	Annex III: Prevention and elimination of pollution from offshore sources. States, 
inter alia, that any dumping of wastes or other matter from 	offshore installations 	
is prohibited.	 	
附录	III	：防止并消除海上来源的污染。尤其规定了禁止从海上设备倾倒废弃物	
或其他物质。

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 	Annex IV: Assessment of the quality of the marine environment. States, inter alia, 
that the Contracting Parties shall cooperate in carrying out monitoring 
programmes and submi	t the resulting data to the Commission	 	
附录	IV	：评估海洋环境质量。尤其规定了缔约各方应合作执行监测计划，并向	
委员会提交监测产生的数据。	 	
In addition, 	Annex V	 cover	s all human activities 	in general 	that might adversely affect 	
the marine environment of the North	-East Atlantic. 	 In spite of this Annex, the OSPAR 	
Convention	 explicitly does not cover 	questions relating to fisheries management	. Also 	
there is a preference for issues related to shipping to be dealt with by the International 
Maritime Organisation	 (IMO)	. Annex V states,	 inter alia, that Contracting Parties shall 	
take the necessary measures to protect and conserve the ecosystems and the biological 
diversity of the maritime area, and to restore, where practicable, marine areas which 
have been adversely affected; andcoopera	te in adopting programmes and measures for 	
those purposes	. 	
另外，附录	V	涉及可能对东北大西洋海洋环境有不良影响的绝大多数人类活动。	
虽然有本附录的规定，但《	OSPAR	公约》明确不涉及与渔业管理有关的问题。同时与	
航运业有关的问题优先由国际海事组织（	IMO	）处理。附录	V	尤其规定了缔约各方应	
采取必要措施来保护该海域的生态系统和生物多样性，并在可行情况下修复受到不良
影响的海域；并为了这些目的合作执行计划和措施。	 	
Box 	2.3	 The OSPAR and HE	LCOM Conventions and Regional Risk Assessment and 	
Management	 	
The sister Conventions OSPAR and HELCOM deals with the protection of marine 	
environment in the North East Atlantic region and the Baltic Sea, respectively. Intense 
economic activity in these 	regions has led to a multitude of long	-term accumulative and 	
acute environmental risks to marine habitats caused by sources at sea as well as by 
land	-based activities. The Conventions take an ecosystem approach, which implies that 	
comprehensive regional mo	nitoring of status and management of risks are carried out to 	
identify and mitigate environmental risks. So	-called Marine Protected Areas are 	
identified and are subject to special attention for the purpose of protecting and 
conserving sensitive species, ha	bitats, ecosystems or ecological processes of the marine 	
environment.	 	
Long	-term monitoring is carried out by the Parties of the Conventions. Monitoring 	
includes atmospheric inputs, riverine inputs and direct discharges and dumping, as well 
as effects in a	 broad range of biogeochemical end	-points in the marine environment. 	
Periodic assessment of progress towards targets is carried out and potential knowledge 
gaps identified.	 	
框	2.3	 OSPAR	公约和	HELCOM	公约以及区域风险评估和管理	 	
姊妹公约	OSPAR	和	HELCOM	分别负责东北大西洋区域和波罗的海的海洋环境保	
护。这些区域密集的经济活	动	，比如海上和陆地活动，	已为海洋栖息地带来多种长期	
的累积性和突发性环境风险	。这两个公约从生态系统的角度出发，这就意味着要开展	
对风险现状和管理的全面的区域监测，以发现并减缓环境风险。为了保护	和保存海洋

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环境中的敏感类物种、栖息地、生态系统或生态过程，确定了	所谓的海洋	保护	区	，使	
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2.3.1.2	 Principles	原则	 	
The following 	are the main pri	nciples	 guiding the OSPAR Convention (OSPAR, 2014):	 	
下面是指导	OSPAR	公约的主要原则（	OSPAR	，	2014	）	: 	
Precautionary Principle:	 By virtue of the precautionary principle, preventive measures 	
are to be taken when there are reasonable grounds for concern that hum	an activities 	
may bring about hazards to human health, harm living resources and marine 
ecosystems, damage amenities or interfere with other legitimate uses of the sea, even 
when there is no conclusive evidence of a causal relationship. A lack of full scie	ntific 	
evidence must not postpone action to protect the marine environment. The principle 
anticipates that delaying action would in the longer term prove more costly to society 
and nature and would compromise the needs of future generations.	 	
风险预防原则	：借助风险预防原则，在有合理的理由担心人类活动会给人类健康	
带来危害、危害生物资源和海洋生态系统、损坏康乐设施或者妨碍海洋的其他合法用
途时，要采取预防措施，即使没有证明因果关系的决定性证据。不得因缺乏充分的科
学证据而推迟保护海洋环境的行动。该原则预示着，从长期来看，延迟海洋环境	保护	
的	行动势必会让社会和自然付出更大的代价，并且会危害子孙后代的需求。	 	
Polluter Pays Principle:	 The polluter pays principle requires that the costs of po	llution 	
prevention, control and reduction measures must be borne by the polluter. The polluter 
pays principle is mainly implemented by means of command	-and	-control approaches 	
but also via market	-based mechanisms, e.g. for the development and introduction o	f 	
environmentally sound technologies and products.	 	
污染者付费原则	：污染者付费原则要求污染防治措施和减污措施的费用须由污染	
者承担。污染者付费原则主要通过指挥控制方法来执行，但也通过市场机制来执行，
例如开发和引入环保型技术和产品。	 	
Best Available Techniques (BAT) and Best Environmental Practices (BEP):	 The OSPAR 	
Convention requires Contracting Parties to apply Best Available Techniques (BAT) and 
Best Environmental Practice (BEP) including, where appropriate, clean technology, in 
their efforts to prevent and eliminate marine pollution. OSPAR has pioneered	 this 	
concept internationally and adopted a large number of Recommendations and Decisions 
on BAT and BEP for various industrial technologies and sources of land	-based pollution. 	 	
In	 OSPAR BAT 	means 	“the latest stage of development (state of the art) of pro	cesses, of 	
facilities or of methods of operation which indicate the practical suitability of a 
particular measure for limiting discharges, emissions and waste”. BEP is defined as “the 
application of the most appropriate combination of environmental control	 measures and 	
strategies”. It follows that BAT and BEP for a particular source will change with time in 
the light of technological advances, economic and social factors, as well as changes in

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scientific knowledge and understanding.	 Discharges from point so	urces, such as 	
manufacturing plants, are regulated mainly by means of requiring the use of BAT and by 
setting emission standards. Discharges from diffuse sources, such a cultivated land, are 
controlled by means of BEP, marketing and use of products.	 	
最佳可行技术	（	BAT	）和最佳环境实践（	BEP	）	：《	OSPAR	公约》要求缔约各方	
在其防止并消除海洋污染的工作中采用最佳可行技术和最佳环境实践，适当情况下包
括清洁技术。	OSPAR	在国际上开创了这一概念，对各种工业技术和陆地污染源通过了	
大量	BAT	和	BEP	建议和决议。在	OSPAR	里，	BAT	是指“最新发展阶段（最新水平）	
的工艺、设施或操作方法，其表明限制排放和废物的特殊措施具有实际适用性”。	BEP 	
被定义为“应用最恰当的环境治理措施和战略组合”。结果是，由于技术进步、经济
社会因素以及科学知识和认识的变化，特殊来源的	BAT	和	BEP	会随着时间而变。对制	
造工厂等点源排放的监管手段是：要求采用	 BAT	，并制定排放标准。对耕地等分散源	
的排放则是通过	BEP	、产品销售和使用来控制。	 	
Regarding hazardous substances, 	the 	substitutionprinciple	, i.e. the substitution of 	
hazardous substances by less hazardoussubstances or preferably non	-hazardous 	
substances where such 	alternatives are available	 applies.	 	
至于危险物质，则适用	替代原则	，即：如果有该等替代品的话，用危害较小的物	
质或者最好用无害物质代替危险物质。	 	
2.3.1.3	 Approach 	方法	 	
OSPAR 	is implementing	 five thematic strategies to address the main threats that 	are 	
identified: 1) The	 Biodiversity and Ecosystem Strategy, 	2) 	the Eutrophi	cation Strategy, 	
3) 	the Hazardous Substances Strategy,	 4)	 the Offshore Industry Strategy	, and 	5) 	the 	
Radioactive Substances Strategy	. A sixth strategy is the overarching 	Strategy for the 	
Joint Assessment and Monitoring Programme, which assesses the status 	of the marine 	
environment and follows up implementation of the strategies. These six strategies fit 
together to underpin the ecosystem approach	 (see above)	. Although not a separate 	
Strategy, the OSPAR Commission also considere	s climate change issues.	 	
OSPAR	实施五项专题战略来应对已确定的主要威胁：	1）生物多样性和生态系统	
战略，	2）富营养化战略，	3）危险物质战略，	4）海上工业战略，和	5）放射性物质战	
略。第六项战略是统筹全局的联合评估与监测计划战略，评估海洋环境的状况并跟踪
战 略 的 实 施 情 况 。 这 六 项 战 略 组 合 在 一 起 ， 共 同 支 撑 生 态 系 统 方 法 （ 见 上 文 ） 。
OSPAR	委员还考虑气候变化问题，虽然不把它作为一项独立的战略。	 	
The overarching approach in OSPAR is theecosystem approach	 which	 enables	 the 	
OSPAR Commission to work coherently towards a holistic approach to the problems 
addressed by the different OSPAR Strategies.	An ecosystem is a dynamic complex	 of 	
plant, animal and micro	-organism communities and their non	-living environment 	
interacting 	as a functional unit at different spatial scales. 	For the purpose of the OSPAR 	
Convention, the ecosystem approach is defined as “the comprehensive integrated 
management of human activities based on the best available scientific knowledge 
about the ecosyste	m and its dynamics, in order to identify and take action on 	
influences which are critical to the health of marine ecosystems, thereby 
achieving sustainable use of ecosystem goods and services and maintenance of

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ecosystem integrity”.	 The application of the 	ecosystem approach 	integrates 	
conservation and management approaches, such as marine protected areas or 
measures targeted on single species and habitats. 	 	
OSPAR	中统筹全局的方法是生态系统法，	它可以使	OSPAR	委员会始终致力于用	
全盘方法来解决	OSPAR	不同	战略所涉及的问题。	生态系统就是植物、动物和微生物群	
落的一个动态综合体，它们	的非生物环境	作为不同空间	范围的功能单位相互影响。	就	
《	OSPAR	公约》而言，生态系统法被定义为“根据生态系统及其动力学系统方面的最	
佳可用科学知识对人类活动进行	全面	综合管理，以便	确定	对海洋生态系统的健康至关	
重要的影响并采取行动，进而实现	生态系统商品和服务	的	可持续	利	用	并	维持	生态系统	
的	完整性。	”生态系统法的应用	综	合了保护法和管理法，比如海洋保护区或者针对单	
一物种和栖息地的措施。	 	
The OSPAR Commission promotes the implementation of the ecosystem approach in the	 	
North	-East Atlantic within the framework of the Convention on Biological Biodiversity 	
by means of programmes and measures developed under its Strategies, such as the 
Ecological Quality Objectives (EcoQOs). OSPAR’s work focusses on four elements in 
particu	lar	24: 	
OSPAR 	委 员 会 促 进 生 态 系 统 方 法 在 《 生 物 多 样 性 公 约 》 的 框 架 内 、 通 过 根 据	
OSPAR	战略制定的计划和措施、比如生态质量目标（	EcoQO	），在东北大西洋实施。	
OSPAR	的工作以下面四个元素为重点：	 	
1. Promoting understanding and acceptance by all stakeholders of the ecosystem 
approach to the management of human activities, and collaboration among the 
various management authorities in the North	-East Atlantic in implementing that 	
approach;	 	
促进所有的利益相关者了解和接受管理人类活动的生态系统法，并促进东北大
西洋各管理机构合作实施该方法；	 	
2. Monitoring the ecosystems of the marine environment in order to understand 
and assess the interactions between and am	ong the different species and 	
populations of biota, the non	-living environment and humans; 	 	
监测海洋环境的生态系统，以便了解并评估不同物种和生物群种群、非生	物	环	
境和人类之间的相互影响。	 	
3. Setting objectives for environmental quality, underpinned by monitoring, in 
support both of the formulation of policy and of assessments; 	 	
设定环境质量目标，通过监测来巩固，以便支持政策的制定，并支持评估。	 	
4. Assessing the impact of human activities upon biota and humans, both directly 
and in	directly through impacts on the non	-living environment, together with the 	
effects on the non	-living environment itself.	 	
 	 	 	
24http://www.ospar.org/content/content.asp?menu=00430109150000_000000_000000

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评估	人类活动通过对非生	物	环境的影响直接和间接对生物群和人类造成的影响，	
以及对非生活环境本身的影响。	 	
2.3.1.4	 Tools	工具	 	
Work to implement the OSPAR Convention and its strategies is taken forward through 
the adoption of 	decisions	, which are legally binding 	to	 the Contracting Parties, 	
recommendations	 and other 	agreements	. Decisions and recommendations set out 	
actions to be ta	ken by the Contracting Parties	, for instance there are several 	
Decisions on programmes and measures on limit values and quality objectives for 
pollutants such as cadmium, mercury, and c	hlorinated 	organic 	substances	, as well as 	
Decisions on the establishmen	t of marine protected areas	. As of 2013 there were 158 	
Decisions and Recommendations.	 	Agreements include, inter alia, issues of 	
importance; programmes of monitoring, information collection or other work 
which the Contracting Parties commit to carry out; 	guidelines or guidance 	
clarifying how programmes and measures should be implemented; and other 
actions to be taken by the OSPAR Commission on behalf of the Contracting 
Parties	25. Although the Parties to the Convention are empowered to withhold assent, 	
that 	is not always the case, and 	several countries have made reservations	. While the 	
reservation right promotes decision	-making effectiveness because one avoids having 	
individual countries impeding progress, it is on the other hand the countries with the 
highes	t activity in a particular area that tend to make reservations, making it difficult to 	
achieve an effective solution to the problem. More recently, the EU is playing an 
increasingly more important role in the North Sea cooperation. Following the change in 
EU decision making procedures in the environmental sphere 	– from unanimity to 	
qualified majority 	– a more comprehensive, ambitious regulatory regime to combat 	
marine pollution has been developed (Skjærseth, 2012). 	 	
《	OSPAR 	公约》及其战略的实施工作通过采用对缔约各方有法律约束力的	决议	、	
建议	和	其他协议	来推进。	决议和建议提出缔约各方应采取的行动，	例如	，	有几项关于	
镉、汞和有机氯化物等污染物限值和质量目标的计划和措施的决议，以及关于建立海
洋保护区的决议。截止	到	2013	，	已有	158	项决议和建议。	协议	内容	包括	：具有重要意	
义的问题；监测计划、信息收集计划、以及缔约各方要开展的其他工作的计划；澄清
如何落实计划和措施的导则或指导；以及	OSPAR 	委员会要代表缔约各方采取的其他行	
动。	虽然公约的缔约各方有权拒绝，但情况并非总是如此，	有几个国家已提出了保留	。	
虽然保留权可促进决策的有效性，因为一方面可以避免个别国家妨碍进展，另一方面
提出保留的往往是在某个特殊区域最活跃的国家，给有效解决问题带来困难。最近，
欧盟正在北海合作中扮演着日益重要的角色。欧盟在环境领域的决议程序发生了改变，
一项决议获得通过的表决由全体一致同意改为有效多数同意。这种改变之后，出台了
一项更加综合宏大的治理海洋污染的监管制度（	Skjærseth, 2012	。	 	
One of the tools 	applied 	to ensure the sustainable use and protection	 and conservation 	
of marine biological diversity and its ecosystems 	is the implementation of Marine 	
 	 	 	
25 See list of Decisions, Recommendations and Other Agreements Applicable within the Framew	ork of the 	
OSPAR Convention (last updated 28/10/13): 	见	OSPAR	公约框架内适用决议、建议和其他协议的清单：	
http://www.ospar.org/html_documents/ospar/html/ospar_decrecs_2013.pdf

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Protected Areas (MPAs)	. The use of protected zones is a long established practice for 	
the protecti	on of resources and livelihoods	. Within OSPAR, 	MPAs are un	derstood as 	
areas for which protective, conservation, restorative or precautionary measures 
have been instituted for the purpose of protecting and conserving species, 
habitats, ecosystems or ecological processes of the marine environment	. The 	
OSPAR Guideli	nes for the Identification and Selection of Marine Protected 	
Areas	26provide lists of ecological and practical criteria for selection of MPAs, as, e.g., for 	
the first type the area’s importance for threatened or declining species and habitats or 
high proport	ion of sensitive species and habitats, and for the second type, e.g., the size of 	
the area should be suitable for the particular aim of designating the area and a high level 
of support from stakeholders and political acceptability. The Guidelines 	state 	tha	t th	e 	
OSPAR network should take into account the linkages between marine ecosystems and 
the dependence of some species and habitats on processes that occur outside the MPA 
concerned	, and that t	he OSPAR network should form an ecologically coherent network 	
of well	-managed MPAs. 	This is particularly important for highly mobile species, 	
such as certain birds, mammals and fish, to safeguard the critical stages and areas 
of their life cycle (such as breeding, nursery and feeding areas).	 By 31 December 	
2012, the 	OSPAR Network of MPAs comprised a total of 333 MPAs	, covering 5.2% of the 	
OSPAR maritime area in the North	-East Atlantic	. The distribution of MPAs across the five 	
OSPAR regions is, however, imbalanced. Especially, 	only 1.6% of the Arctic Waters is 	
protecte	d by OSPAR MPAs	. Also, 	it was in 2012 not possible to conclude whether 	
MPAs were well	-managed, as no evidence on their effectiveness in achieving 	
established goals had been provided and management plans and measures for 
many sites were still being prepared	 (OSPAR Commission, 2013c)	. 	
用来确保可持续利用和保护海洋生物多样性及其生态系统的手段之一就是	设立	海	
洋保护区（	MP	A。设立保护区是一种确立已久的保护资源和生计的作法。	在	OSPAR	
里，海洋保护区被理解为为了保护海洋环境的物种、栖息地、生态系统或生态过程而
制定了保护性、恢复性或预防性措施的区域	。《	OSPAR	海洋保护区识别与选择导则》	
列出了选择海洋保护区的生态标准和实用标准。第一类保护区的标准包括：区域对于
濒危或衰退物种或	大部分敏感物种的	栖息地具有重要性等。第二类保护区的标准包括：	
区域的大小应适合将该区域指定为保护区，并且利益相关者高度支持，获得政界认可
等。《导则》提出，在处理发生在所涉保护区以外的问题时，	OSPAR	网络应考虑海洋	
生态系统与有些物种和栖息地之间的联系，并且提出	OSPAR	网络应形成一个管理良好	
的海洋保护区的生态协调的网络。	这对于流动性很强的物种、比如某些鸟类、哺乳动	
物和鱼类	保护	其生命期的关键阶段和区域（比如繁殖、哺育和摄食区）是特别重要的	。	
截止	2012	年	12	月	31	日，	OSPAR	海洋保护区网共有	333	个海洋保护区，覆盖东北大	
西洋	5.2%	的	OSPAR	海域。然而，海洋保护区在五个	OSPAR	区的分布是不均衡的。	特	
别值得一提的是，仅	1.6%	的北极水域在	OSPAR	海洋保护区的保护之下。还有，在	
2012	年是无法对海洋保护区是否管理良好得出结论的，因为没有人提供证据证明海	
洋保护区对于实现既定目标是有效的	，并且很多地方的管理规划和措施仍在编制之中	
（	OSPAR	委员会，	 2013c	。	 	
 	 	 	
26 http://jncc.defra.	gov.uk/pdf/OSPAR_03	-17e_GuidelinesIdentificationMPA.pdf

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Targets and objectives	for the various environmental contaminants and threats are 	
def	ined within each strategy. 	The	 Biodiversity and Ecosystem Strategy	 seeks to 	halt and	 	
prevent by 2020 further loss of biodiversity in the OSPAR maritime area, to protect and 
conserve	 ecosystems and to restore, where practicable, marine areas which have 	been 	
adversely affected	. Management of marine litter 	also	 takes place under the	 objective of 	
the Biodiversity and Ecosystems Strategy.	 Ecological Quality Objectives in the North 	
Sea (EcoQO) are being developed to help assess the progress within various fie	lds.	 	
For instance, the burden of plastic particles in the stomachs of northern fulmar is 
established as an indicator for the abundance of litter encountered at sea, and an EcoQO 
of OSPAR is that t	here should be less than 10% of northern fulmars having more	 than 	
0,1g plastic particles in the stomach samples of 50 to 100 beach	-washed fulmars found 	
from each of the 4 to 5 areas of the North Sea over a period of at least five years.	 	
每项战略里都确定了各种环境污染物和风险的	目标	。《生物多样性和生态系统战	
略》以期到	2020	年停止和防止	 OSPAR	海域生物多样性的进一步丧失，保护和恢复	已	
被	影响	的	生态系统。海洋垃圾管理也在《生物多样性和生态系统战略》的目标下进行。	
北海生态质量目标（	EcoQO	）正在制定之中，以	帮助	评价	各	领域的进展情况	。例如，	
暴雪鹱	胃里的塑料颗粒的量被确定为在海上垃圾量的指标。	OSPAR	的	EcoQO	目标就是，	
在至少五年时间里，在北海	4	到	5	个地区分别采集的	50	到	100	只经过海滩冲刷的	暴	
雪鹱	样本里，胃里塑料颗粒量	超过	0.1	克的	暴雪鹱	应占样品	总量的	10%	以下。	 	
The Eutrophication Strategy	 sets the objective to combat eutrophication in the OSPAR 	
maritime area, in order to achieve and maintain by 2010 a healthy marine environment 
where eutrophication does not occur. 	The Strategy seeks to achieve a substantial 	
reduction at source, in the orde	r of 50% compared to 1985, in inputs of 	
phosphorus and nitrogen into areas where these inputs are likely to cause 
pollution	. 	
富营养化战略设定了消除	OSPAR	海域富营养化的目标，以便到	2010	年实现并保	
持不发生富营养化的健康海洋环境。	该战略	将从	源头上削减	可能造成污染的	氮磷等营	
养物质	向	污染海域的排放，营养物质的排放量将在	1985	年的	基础上大幅削减	50	%	。	 	
With respect to	 the 	Hazardous Substances Strategy	, its targets are to 1) 	achieve 	
concentrations of contaminants at levels not giving rise to pollution effects, 
andcontaminants in fish and other seafood for human consumption not exceeding levels	 	
established by EU legislation or other relevant standards, and 	2) to move towards	 the 	
targets of the cessation of discharges, emissions and losses of hazardous	 substances by 	
the year 2020.	 	
危险物质战略的目标是：	1）污染物浓度达到不引起污染的水平，鱼类和其他供人	
食用的海产品中的污染物不超过欧盟立法和其他相关标准规定的水平，	以及	2）到	
2020	年，实现停止危险物质排放和流失的目标。	 	
The targets of th	e Offshore Oil and Gas Industry Strategy 	are 1) 	to achieve, by 2020, a 	
reduction of oil in produced water discharged into the sea to a level	 which will 	
adequately ensure that each of those discharges will prese	nt no harm to the marine	 	
environment;	 and 2) 	to have phased out, by 1 January 2017, the discharge of offshore 	
chemicals that are, or which	 contain substances, identified as candidates for

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substitution, except for those chemicals where,despite considerable 	efforts, it can be 	
demonstrated that this is not feasible due to technical or	 safety reasons	. 	
海上石油和天然气工业战略的目标是：	1）到	2020	年，排放到海里的废水中的石	
油减少到每次排放不会对海洋环境造成危害的水平；以及	2）到	2017	年	1	月	1	日，	
逐步消除那些已有可替代物质	的	海上化学品的排放，由于技术原因或安全原因而无法	
消除的化学品除外。	 	
Finally, the 	the Radioactive Substances 	Strategy	 seeks	 to preventpollution of the OSPAR 	
maritime area from ionising radiation through reductions	 of discharges, emissions and 	
losses of radioactive substances, with the ultimate aim of concentrations in the	 	
environment near background values for 	na	turally occurring radioactive substances 	
naturally occurring radioactive substances and close to zero forartificial radioactive 
substances.	 	
最后，放射性物质战略寻求通过减少放射性物质的排放和流失，防止电离辐射污	
染	OSPAR	海域，最终目的是：自然存在的放射性物质在环境中的浓度接近背景值，人	
造放射性物质在环境中的浓度接近零。	 	
The OSPAR Convention con	tains a general obligation to collaborate in 	regular 	
monitoring and assessment 	of the state of the marine environment in the maritime 	
area. 	Annex IV	 to the Convention provides for cooperation in monitoring programmes, 	
joint quality assurance arrangements, the development of scientific assessment tools, 
such as modelling, remote sensing and risk assessment strategies, and the preparation 
of assessments	. Environmental assessment and monitoring related work is implemented 	
by each of OSPAR’s thematic committees	. 	
《	OSPAR	公约》规定了一项一般义务：合作开展对公约海域海洋环境状况的	定期	
监测和	评	估	。公约附录	IV	规定就监测计划、联合质量保证安排、开发诸如建模、遥感	
和风险评估战略之类的科学评	估	工具、	评估	准备开展合作。环境评	估	和监测相关工作	
由	OSPAR	每个专题委员会实施。	 	
Assessment of th	e progress is carried out on a regular basis in OSPAR. 	OSPAR collects a 	
number of data streams annually (such as offshore discharges, dumping, 
radioactive discharges). The data are made available on the website as 
publications. With regular intervals (ever	y 2 or 3 years) these data are assessed 	
for trends and the assessments are published.	The holistic and thematic assessments 	
undertaken over several decades 	are based upon 	the 	monitoring 	data collected. The 	
assessment practice is an essential part of the fee	dback loop that connects monitoring 	
with marine environmental management and back again. This periodic practice is also 
the time to take stock of the quality of the data and the gaps in knowledge that affect the 
information outcomes. 	Monitoring and assessm	ent are thus inextricably linked, and 	
the quality of the assessment is strongly determined by the quality of the 
underlying monitoring data. 	Long	-term monitoring is carried out for atmospheric 	
inputs, riverine inputs and direct discharges, as well as conce	ntrations and effects in the 	
marine environment. Data are made available and published together with a broader set

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of marine monitoring programs (see UNEP’s GRAMED page	27). OSPAR also collaborate 	
with the non	-governmental organization WWF regarding a media	 outreach website	28. 	
The principles of OSPAR Data Release Arrangements are as follows (OSPAR data 
policy	29): 	
《	OSPAR	公约	》	定期进行进展情况的评	估	。	OSPAR 	每年收集大量的数据流（比如	
海上排放、倾倒、放射性物品排放等）。	数据在网站上公开。定期（每	2	年或	3	年）	
评	估	这些数据的趋势，并公布评	估	结果	。	几十年来进行的整体评	估	和专题评	估	是以所	
收集的监测数据为基础的。	评	估	工作是反馈环	节	的一个基本组成部分，	它把监测与环	
境管理连接在一起，然后又回到原点。这种定期工作也是衡量数据质量以及影响信息
成果的知识缺口的过程。	这样，监测与评	估	紧密连在一起，而评	估	质量很大程度上由	
基本监测数据的质量决定。	对大气输入、河流输入和直接排放以及其	对	海洋环境质量	
的影响进行长期监测。	提供并公布	监测数据与一系列海洋监测计划（见联合国环境规	
划署的	 GRAMED 	网页）。	OSPAR	还就一个媒体宣传网站与非政府组织	WWF	合作。	
《	OSPAR	数据发布安排》的原则如下（	OSPAR	数据政策	：	 	
1. OSPAR is committed to making as much information as possible publicly 
available, consistent with achieving other similarly important goals of public 
policy. 	 	
OSPAR	致力于公开尽可能多的信息，	与实现其他同样重要的公共政策目标相一	
致。	 	
 	
2. OSPAR and its Contracting Parties wish to collaborate to t	he greatest possible 	
extent with other agencies working in the field of monitoring and observing the 
marine environment. Such agencies include the International Council for the 
Exploration of the Sea, the European Environment Agency, the Barcelona, 
Helsink	i and Black Sea Commissions, the Arctic Monitoring and Assessment 	
Programme and the European Air Pollution Monitoring Programme.	 	
OSPAR	及其缔约各方希望最大程度地与从事海洋环境监测与观察领域工作的其	
他机构合作。该等机构包括	国际海洋考察理事会	、欧洲环境署、巴塞罗那、赫	
尔辛基与黑海委员会、北极监测与评估计划署和欧洲空气污染监测计划署。	 	
 	
3. Data	-handling arrangem	ents should ensure that properly documented, quality	-	
controlled and comparable data sets are available for use both by those who need 
them for their work and by the public, safeguard the interests of the scientists 
who collect and interpret data, encourage	 scientific research, and assist the 	
maintenance of sound, comprehensive, high	-quality, accessible data banks, which 	
can be relied on for their accuracy and integrity.	 	
数据处理安排应保证得到妥善记录、质量控制和可比的数据集	，	供那些其工作	
需要这些数据集的人使用及公众使用，保障收集和解释数据的科学家的利益，
鼓励科学研究，并帮助维护合理、综合、优质、易使用的数据库，该等数据库
因其	准确性和完整性	而值得信	赖。	 	
 	 	 	
27 http://www.unep	-wcmc	-apps.org/GRAMED/DataPortalLinks.cfm	 	
28 http://www.charlie	-gibbs.org/	 	
29 http://www.ospar.org/content/content.asp?menu=01511400000000_000000_000000

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4. Data	-handling arrangements should also make efficient use of resources and be 	
clear and transparent, while protecting the privacy and confidentiality of 
individuals 	and commercial interests.	 	
数据处理安排还应有效利用资源，并且清晰透明，同时保护个人的隐私和机密
及商业利益。	 	
2.3.1.5	 Results	结果	 	
The OSPAR Convention is one of many regimes aiming at protecting the North Sea 
environment. For instance, dumping at sea and land	-based discharges of nutrients and 	
hazardous subst	ances are regulated by three international institutions, i.e., the North 	
Sea Conferences, the EU, and OSPAR. 	Instead of resulting in duplication and 	
inefficiency, the three institutions have acted to complement each other by 
fulfilling different function, 	facilitating overall effectiveness	 (Skjærseth, 2012). 	
Thus, so far, synergy rather than conflict has characterized the work of the different 
international institutions, 	resulting in significant reductions of the input of 	
hazardous pollutants such as pestic	ides and heavy metals, and nutrients	. Dumping 	
and incineration at sea of toxic waste are now things of the past	. Eutrophication is 	
still a problem in many areas of the North Sea, however, and only one third of 
OSPAR’s 26 priority (groups of) chemicals whic	h pose a risk to the marine 	
environment are expected to have been phased out by 2020 if current efforts 
continue	. For the remaining two thirds, additional action is needed to progress 	
toward the OSPAR 2020 target of cessation of their releases to the envir	onment	 	
(OSPAR Commission, 2013d)	. Time trends	 based on 	monitoring undertaken by OSPAR 	
Contracting Parties for theComprehensive Atmospheric M	onitoring Programme (CAMP) 	
show 	decrease in nitrogen, heavy metals and selected POPs	 in accordance to the 	
general e	mission	 reductions done in Europe the last decades	 (OSPAR Commission, 	
2009)	. Environmental concentrations of some radionuclides from the nuclear 	
sector have decreased and there is some evidence to suggest that the effect of 
discharges and concentrations of	 radioactive substances on the overall quality 	
status of the OSPAR maritime area is low.	 There are, however, limitations in the data 	
basis impeding robust conclusions	. Some monitoring areas in Region I and II still have 	
elevated concentrations of radionucl	ides due to out	-flowing Baltic Sea water 	
contaminated with radionuclides from the 1986 Chernobyl accident. Regarding marine 
litter, the EcoQO related to northern fulmars are far from being achieved. In monitored 
regions about 60	-90% of fulmars exceeded the	 objective.	 	
《	OSPAR	公约》是众多旨在保护北海环境的政体之一。例如，海上倾倒及营养物	
和有害物质的陆上排放由三家国际机构监管，即北海会议、欧盟和	OSPAR	。	这三家机	
构通过履行不同的职能、促进总体效能，实现了彼此互补，而没有造成工作重复和低
效	（	Skjærseth, 2012	）。因而迄今为止，不同国际机构的工作产生了协同效应，而不	
是互相冲突，	结果是农药和重金属等危险污染物以及营养物的	海洋	输入大幅减少。	海	
上倾倒和焚烧有毒废物现已成为过去式。然而，富营养化在北海很多地方仍是一个问
题，而且如果目前的工作持续开展下去，预计到	2020	年，	在	OSPAR	的	26	种（组）	
对海洋环境造成风险的重点控制化学品中，仅三分之一会被逐步消除。对于剩下的三
分之二，需要采取其他行动来实现	OSPAR	设定的到	2020	年停止其向环境排放的目标	
（	OSPAR 	委员会，	2013d	）。在	OSPAR 	缔约各方开展的监测基础上，《综合大气监测	
计划》（	CAMP	）的时间趋势表明，由于最近几十年欧洲开展的综合减排工作，	氮、重

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金属和选定	的	POP	（持久性有机污染	物）减少了	（	OSPAR	委员会，	2009	）。	来自核电	
站的一些放射性核素的环境浓度下降了，并且有证据表明，放射性物质的排放和浓度
对	OSPAR	海域总体质量的影响较小	。然而，数据库也存在着局限性，有碍于得出有力	
的结论。	1986 	年切尔诺贝利核电站事故释放的放射性核素污染了波罗的海海水，海水	
流出导致一区和二区的一些监测区出现了放射性核素浓度升高的情况。至于海洋垃圾，
保护	暴雪鹱	的	EcoQO	目标远未实现。监测区约	60	-90%	的	暴雪鹱	超标。	 	
2.3.1.6	 Lessons and suggestions for China	对中国的启示和建议	 	
China is a coastal State with long coastlines. Bordering on the mainland of	 China are the 	
Bohai Sea, the Yellow Sea, the East China Sea and the South China Sea, all marginal seas 
in the west Pacific	. China’s coastal waters are experiencing severe	 pollution, with the 	
pollution	 of the worst affected areas up 50% 	from 2011 to 2012	 according to The State 	
Oceanic Administration (SOA).	 In 	Bohai Bay, 	for instance, 	factories and construction 	
projects take up more than 80 percent of the shoreline	30. The 	Sta	te Oceanic 	
Administration	 (SOA) 	is the leading agency responsible for China's ocean policymaking 	
andoverall management of ocean and coastal affairs. 	SOA found that 68,000 s	quare 	
kilometers	 had the worst official pollution rating, up 2	4,000 square kilometer	s on 	
2011	.Affected waters are deemed unsuitable for swimming, fish	-farming, port use and 	
are not even fit for some industrial purposes under this classification	31. 	
中国是一个沿海国家，有很长的海岸线。中国大陆的陆缘海有渤海、黄海、东海	
和南海，全部为太平洋西部的边缘海。中国的沿海水域正遭受严重污染。根据国家海
洋局（	SOA	）的数据，	2012	年受影响最严	重区域的污染物比	2011	年增加了	50%	。例	
如，在渤海湾，工厂和建设项目占据了	80%	的海岸线。国家海洋局（	SOA	）是负责中	
国海洋政策制定及海洋和沿海事务总体管理的主要机构。	SOA	发现，	68,000	平方公里	
得到了最差的官方污染评级，比	2011	年增加了	24,000	平方公里。在这种级别下，受	
影响水域被认为不适于游泳、养鱼、港口用途，甚至不适于一些工业用途。	 	
An eight year survey of Chinas marine resources (2004	-2012), also by 	the Chinese	 	
SOA	,showed that t	he past decade has seen a continuous rise in pollution discharged into 	
estuaries, and 	that 	three	-quarters of those discharges failed to meet regulatory limits. 	
Some 48 estuaries are contaminated with heavy metals, the insecticide 
dichlorodiphenyltrichloroethane (DDT) and petroleum hydrocarbons.	 These pollutants, 	
together with run	-off of chemical fertilizers and animal manure from farmland, have 	
resulted in the build	-up of excessive nutrients and harmful algal blooms in coastal 	
wate	rs	. The survey show	ed	 that over the past 20 years, China’s coastal waters have seen 	
an average of 83 ‘red tides’ a year 	—	 harmful algal blooms characteri	zed by the red 	
pigment of the dominant phytoplankton species 	—	 mostly in the East China Sea. ‘Green 	
tid	es’, dominated by green plankton, occur mostly in the Yellow Sea and hit the economy 	
harder. In 2008, the direct economic loss was 1.3 billion Chinese yuan (US	D 	208 	
million). In 2009, China was hit by ‘brown tides’, which kill shellfish	 (Qiu 2012)	32. In a 	
 	 	 	
30 http://www.chinadaily.com.cn/cndy/2013	-04/12/content_16394921.htm	 	
31 http://rt.com/news/china	-coastal	-water	-pollution	-614/	 	
32 See Also Cao and Wong (2007) for a review of coastal zone status and management in China.	 	
中国海岸带状况和管理回顾见	Cao	和 Wong (2007)	。

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review of heavy metal pollution in coastal areas in South China, Wang et al (2013) report 
that	 Hong Kong and the Pearl River Estuary were severely contaminatedby heavy 	
metals.	 Human health risk assessments suggested that levels of heavy metals in some 	
seafo	od 	(particularly mollusks and shellfish) 	exceeded the safety limit	. According to the 	
Ministry of Environmental Protection, in	 2011, 	“the overall quality of coastal marine 	
waters of China was not bad”	 (SOE, 2011).	 	
中国国家海洋局开展的一项为期	8	年（	2004	-2012	年）的中国海洋资源调查表明，	
过去十	年，排入河口的污染物持续增加，而且四分之三的污染物不符合排放	标准	。大	
约	48	个河口被重金属、杀虫剂	二氯二苯三氯乙烷	（	DDT	）和石油	烃	污染。这些污染物、	
再加上农田流失的化肥和畜肥，共同导致沿海水域氮磷	等营养物质浓度高，	易	发生赤	
潮	。调查表明，过去	20	年来，中国的沿海水域平均每年有	83	次‘赤潮’，	由于藻华	
爆发后	红色	附有植物快速生长，海面呈现红色，因此命名为赤潮，赤潮主要发生在东	
海海域	。	以绿色浮游生物为主的‘绿潮’主要发生在黄海，对经济的冲击更大。	2008	
年，直接经济损失为人民币	13	亿元（合	2.08	亿美元）。	2009	年，中国遭‘褐潮’袭	
击，导致贝类死亡（	Qiu 2012	）。在对华南沿海地区重金属污染的回顾中，	Wang 	等人	
（	2013	）报告香港和珠江口受到了严重的重金属污染。人类健康风险评估表明，某些	
海产品（特别是软体动物和贝类）中的重金属水平超过了安全限值。根据环保部的数
据，	2011	年“	中国沿海水域的总体质量不错	”（	SOE	，	2011	。	 	
China is Party to t	he Convention on the Prevention of Marine Pollution by Dumping of 	
Wastes a	nd Other Matter 1972, commonly called the "London Convention"	. The 	
Convention	 is an agreement to control pollution of the sea by dumping and to encourage 	
regional agreements supplementary to the Convention. 	In 2006, “Guideline for marine 	
debris monitoring 	and	 assessment” was drafted and since 2007 the 	Marine Debris 	
Monitoring and Assessment	 Program 	has been carried out in China	. In	 March 2010	 the 	
Regulation of the People’s Republic of China on the Preventionand Control of Marine 
Pollution from Ships (the Re	gulation) was	 implemented. 	The Regulation	 is considered to 	
be the cornerstone ofthe Chinese marine pollution law system	. The Regulation is 	
constituted pursuant to the	 Marine Environment Protection Law of thePeople’s Republic 	
of China (MEPL) and sets outthe	 principles and outline of the Chinese marine	 pollution 	
legal system	. The Regulation	 imposes a series of requirements on ships. It 	covers any 	
ship	-sourced pollution	 and any ship	-related operation that may	 cause pollution damage 	
in 	waters	 and 	sea areas 	under the jurisdiction	 of China	 (Huang, 2010)	. 	
中国是	《	1972	防止因	倾	倒	废	弃物及其他物	质	而引起海洋	污	染的公	约	》	、即	“	伦敦	
公约	”	的缔约国。该公约是一项控制倾倒所致海洋污染的协议，并鼓励签署区域协议	
来补充该公约。	2006	年起草了“海洋垃圾监测与评	估	导则”，并且《海洋垃圾监测与	
评	估	计划》自	2007	年起在中国实施。	2010	年	3	月，《中华人民共和国	防治船舶污染	
海洋环境管理条例	》（简称“条例”）开始施行。《条例》被认为是中国海洋污染法	
律体系的基石。《条例》是根据《中华人民	共和国海洋环境保护法》（	MEPL	）制定的，	
阐明了中国海洋污染法律体系的原则和大纲。《条例》对船舶运输提出了一系列要求。
它涉及可能在中国管辖水域和海域引起污染损害的任何船舶来源的污染和任何船舶相
关的作业	（	Huang, 2010	。	 	
In a review study, Cao and Wong (2007) conclude that 	the Chinese government has 	
made a significant effort in developing legislation for the co	astal zone, including 	
establishment of jurisdictional and zoning boundaries, and allocating use rights

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for coastal and marine resources.	 A demonstrated project for integrated coastal 	
management in Xiamen has been implemented	. Marine protected areas are als	o 	
established over the last years, e.g. in Liaoning province, adjacent to North Korea, 
however the coverage is still low, 1.3% in 2009 (World Bank, 2014).	 	
在一项回顾研究中，	Cao 	和	 Wong 	（	2007	）得出结论：	中国政府在制定海岸带法	
律方面做出了巨大努力，包括建立管辖权	边界	和	区域边界	，以及分配沿海和海洋资源	
使用权	。厦门实施了一项海岸带综合管理示范项目。近年来还建立了海洋保护区，例	
如在毗邻朝鲜的辽宁省，但覆盖率仍很低，	2009	年为	1.3%	（世界银行，	2014	。	 	
Whereas China itself is a major contributor to pollution in its marine waters, some areas 
are affected by other nations as well. 	China and the two Koreas have massive 	
populations li	ving in the Yellow Sea drainage basin. Many environmental problems 	in 	
this shallow sea 	(the	 average depth 	is 44m	) are of a transboundary nature: industrial 	
wastewater containing major pollutants from port cities; non	-point source contaminants 	
of agricultur	al origin (pesticides); oil discharged from vessels and ports; and oil and oil	y 	
mixtures from oil exploration. Various initiatives have been taken to enhance 
collaboration in the region. For instance, a	s part of the 	UNEP/	GEF Strategic Action Plan 	
for the Y	ellow Sea 	Large Marine Ecosystem (	LME	), China and Korea will be augmenting 	
pollution assessment and control activities in coastal waters around the margins of the 
LME	 (UNEP/GEF, 2009)	. 	
虽然中国本身是其海域污染的主要“元凶”，但有些地方也受到了其他国家的影	
响。中国与朝鲜和韩国有大量人口居住在黄海流域。	黄海是	一	个	浅海（平均深度	44	
米）	，它的很	多环境问题具有	跨境	性：	来自港口城市含有主要污染物的工业废水；来	
自农业的非点源污染物（农药）；来自船舶与港口的石油；石油勘探带来的石油和油
性配制品。	采取了各种举措来加强这一地区的协作。例如，	作为联合国环境规划署	/全	
球环境基金（	UNEP/GEF	）《黄海大海洋生态系统（	LME	）战略行动计划》的一部分，	
中国和韩国	将扩大	在	LME	边缘周围沿海水域的污染评	估	和控制活动	（	UNEP/GEF	，	
2009	。	 	
China is member of the 	Partnerships in Environmental Management for the Seas of East 	
Asia 	(PEMSEA	), 	a regional partnership programme implemented by the United Nations 	
Development Programme (UNDP)	. PEMSEA Network of Local Government (PNLG) 	
serve	s as anetwork of local governments 	in the region, which, along with their	 	
stakeholders, shall be committed to promote the application of	 Integrated Coastal 	
Management (	ICM	) as 	a management framework to achieve sustainable coastal 	
development.	 China has established ICM programs along substan	tive parts of some 	
coastal areas, especially in the Bohai Sea (EAS, 2010). 	Together with other countries 	
in the region, China identified the main challenges to sustainable coastal and 
ocean management. The top 2 constraints identified were lack of enforcem	ent of 	
existing laws and regulations, and disparate views and priorities among 
government agencies. The next 3 challenges identified concerned functional 
institutional mechanisms and human resource capacity as the main challenges. 
Thus, while there has bee	n significant progress among countries in developing 	
policy and legislation, the feedback suggests that the focus needs to shift from 
developing such instruments to improving competencies and capacities in 
enforcement and implementation	 (EAS, 2010)	.

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中国是	东亚海	洋环境管理伙伴	关系	（	PEMSE	A）计划的成员。这是联合国开发计划	
署（	UNDP	）实施的一项区域合作计划。	PEMSEA	地区政府网络（	PNLG	）作为一个东亚	
地区政府网，应和利益相关者共同致力于促进海岸带综合管理（	ICM	）的实施。	ICM	是	
一个实现沿海可持续发展的管理框架。中国制定了大部分沿海地区、特别是渤海的
ICM	计划（	EAS, 2010	）。	和东亚其他国家一起，中国确定了沿海和海洋可持续管理面	
临的主要挑战。	已	确定的前两大制约因素是：现行法律法规执行	不	力，以及各政府部	
门的观点和工作重点不同。	其余	三项挑战主要是有关职能机制和制度机制以及人力资	
源。因而，虽然各国在制定政策和立法方面取得了巨大进展，但反馈表明，工作重点
需要从	管理	研究	转移到提高执行	能力	和实施能力上	（	EAS, 2010	。	 	
In summary, 	it appears that legislation to prevent marine pollution has been 	
established in China and that China is taking part in international regional efforts 
within the field. Moreover, a range of programmes and projects are carried out, 
including monitoring programs and ecosystem oriented integrated coastal 
management initiatives. Due to intense economic activities along the coastline and 
lack of pollution con	trol at the entity level and of enforcement of current 	
environmental regulations, the situation is however still severe 	and seems to be 	
worsening	in many coastal and marine waters.	 	
In line with the diagnosis by PEMSEA, a main priority for China should be to	 enhance 	
enforcement of current regulations, particularly for land	-based activities	. The 	
finding by the Chinese SOA for 2004	-2012 that three	-quarters of pollution discharges 	
failed to meet regulatory standards, clearly shows a need for a massive upgrade of 
control and enforcement mechanisms. 	Technical measures to reduce run	-off from 	
agri	culatural land, as well as avoiding over	-use of fertilizer	s, is needed to stop 	
pollution from agricultural sector reaching marine waters. Such measures align with 
measures to reduce pollution of freshwater (surface wate and groundwater) in the 
country, and	 collaboration between relevant authorities is needed. 	 	
Implementation of Marine protected areas (MPA)	 has been an effective tool in the 	
protection of marine waters in the North Sea region, and should be further developed in 
China as the current coverage 	seems to be fairly low (1.3% in 2009). While the coverage 	
of MPA is still low in the arctic regions within the OSPAR domain, the coverage in the 
other regions is 3	-11%, while there is a coverage of 22% within territorial waters of the 	
OSPAR countries 	33. A	 broader coverage of MPAs with appropriate monitoring and 	
management systems, together with nationally coordinated actions against land	-based 	
polluters, may contribute to turning the negative trend with respect to pollution of the 
Chinese marine waters.	 	
 	
总之，	中国已制定了防止海洋污染的立法，并且中国正在参与国际上在这一领域	
的区域努力。此外还实施了包括监测计划和面向生态系统的综合	海岸	管理计划	等	一系	
 	 	 	
33http://www.ospar.org/html_documents/ospar/html/data/assessment_fact_sheets/ospar_assessment_sheet_mpa_
status_in_2012	.pdf

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列计划和项目。由于沿海地区经济活动密集、缺乏企业层面的污染控制、现行环境法
规执行不力，很多沿海水域和海	洋	水域的形势仍十分严峻	，甚至可能变得更糟	。	 	
根据	PEMSEA	的诊断，中国的首要任务应是	加强现行法规的执行力度，尤其是加强与	
陆源活动相关的法规的执行力度。	中国	SOA	发现，在	2004	至	2012	年间，	3/4	的污	
染排放未能达到监管标准，这清楚地表明控制和执行机制需要大规模提	升。需要采取	
技术措施降低农田中化肥和畜肥的流失，还要避免化肥的过度使用	，	以便	防止农田领	
域的污染影响海洋水域。需要采取这样的措施，连同减少中国淡水（地表水和地下水）
污染的措施及相关部门间的协作。	 	
海洋保护区（	MPA	）的开展是保护北海区域海洋水域的一个有效手段，中国应将其进	
一步发展，因为目前它涵盖的范围还比较有限（在	2009	年是	1.3%	）。	虽然	MPA	在	
OSPAR	领域的北极地区涵盖范围比较有限，但是它在其他区域的涵盖范围达到	3%	至	
11%	，而在	OSPAR	国家的领海中，其涵盖范围达	22%	。更广泛的	MPA	范围	以其恰当	
的监测和管理系统，以及针对陆源污染者的全国范围的协作行动，可能有利于转变中
国海洋水域污染的消极局势。

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2.3.2	 EU REACH Directive	欧盟	REACH 	指令	 	
2.3.2.1	 Introduction	引言	 	
The production, use and disposal of chemicals and o	f products containing hazardous 	
substances were up till the early 2000s regulated through a wide range of different 
legislation in the EU countries, 	introducing a considerable nu	mber of risk reduction 	
measures providing 	extensive control over the classific	ation, labelling, marketing and 	
use of substances and preparations	(EC, 2003). 	 	
欧盟各国直到	21	世纪初才通过各种不同的立法来监管化学品以及含有危险物质的	
产品的生产、使用和处置，出台了一系列的风险降低措施，对物质和	配制品	的分类、	
标签、销售和使用实行广泛控制（	EC, 2003	。	 	
The need for a new strategy arose from wide acceptance that the existing leg	islation was 	
not	 capable of responding adequately to public concern in Europe about the potential 	
impact of	 chemicals on health and the environment, and would be increasingly unable to 	
meet	 expectations in the future.	 The existing legislation, for certain 	dangerous 	
substances, was seen as unsuited to the requirements of the new century	 for the 	
following reasons:	 	
现有立法无法充分应对欧洲公众对化学品健康和环境的潜在不良影响的担心，并	
且公众	已经意识到目前的监管	将会与期望相差	越来越远	，由此需要	制定	新的化学品风	
险	防控	战略。出于以下原因，某些危险物质的现有立法被认为不适合新时代的要求：	 	
 	it did not make sufficient informatio	n available about the properties of "existing" 	
chemicals (first marketed before 1981), which dominate the 	EU	 market, 	 	
无法提供关于欧盟市场广泛	使用	的“现存”化学品（最早于	1981	年以前销售的）	
特性的充分信息，	 	
 	it was failing to deliver risk assessments within a reasonable timeframe, 	 	
不能使风险评估在合理时间段内完成，	 	
 	it placed too much 	burden	 on public authori	ties to provide proof of risk,	 	
使公共机构承担了太多提供风险证据的举证责任，	 	
 	the requirements for putting new chemicals on the market were much stricter 
than those applied to "existing" chemicals	. 	
对新化学品投放市场的要求比对“现存”化学品的要求严格。	 	
 
This resulted in the establishing of 	REACH (Regulation on Registration, Evaluation, 	
Authorization and Restriction of Chemicals) 	that 	entered into force on 1. June 2007. It 	
replaces 40 then existing Directives,	 and streamlines and improves the former 	
legislative framework on chemicals of the EU. 	It was 	adopted to improve the protection 	
of human health and the environment from the risks that can be posed by chemicals, 
while enhancing the competitiveness of the EU	 chemicals industry.	 	
这促生了	REACH	法规（《	化学品注册、	评	估、	许可	和限制	法	规	》	）。该法规于	
2007	年	6	月	1	日生效，取代了当时已有的	40	项指令，简化并完善了欧盟原先关于化	
学品的立法框架。它旨在加强对人类健康和环境的保护，使其免遭化学品造成的风险，
并提高欧盟化学工业的竞争力。

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The EU 	worked over seven years to agree 	on the principles and legislation behind 	
REACH. 	It is considered by	 the EU itself as the most groundbreaking piece of 	
legislation on safer chemicals in the world, and the most complex legislation in the 
Union’s history	 (www.wikipedia.com)	. 	
欧盟用了七年时间努力就	REACH	法规背后的原则和立法达成一致。	欧盟自认为	
REACH	法规是一部全球最具开创性的关于安全化学品的立法，并且是欧盟历史上最复	
杂的立法	。	 	
2.3.2.2	 Principles	原则	 	
REACH 	places the responsibility for the safe management of the risks of chemical 	
substances on the industry	, and 	ensures that 	appropriate safety information 	is 	
provided 	to their users. 	This 	should 	encourage enterprises to apply risk reduction 	
measures from an early point in the life cycle of the substance concerned, and 
thereby to avoid any negative impact on downstream users and customers	. It will 	
also 	permit EU Member State competent authorities to re	-orient their resources 	
towards evaluating	 the quality of the information submitted by industry rather 	
than doing risk assessments themselves	. Furthermore,	 the 	EU	 can take additional 	
measures on highly dangerous substances, where there is a need for c	omplementing 	
action at EU level (	www.ec.europa.eu	). 	
REACH 	规定由企业承担化学物质的安全管理责任	，还保证向化学品使用者提供适	
当的安全信息。这会	促使企业从有关物质的生命周期的早期开始采取风险降低措施，	
从而避免对下游	用户	和客户造成负面影响	。该法规还	允许欧盟成员国	主管部门调整	资	
源	使用方向，将其用于	评价企业所提交信息的质量	，	而不是自己进行风险评估	。此外，	
在 欧 盟 层 面 需 要 补 充 行 动 时 ， 欧 盟 还 可 以 采 取 其 他 关 于 高 危 物 质 的 措 施
（	www.ec.europa.eu	。	 	
REACH places the burden of proof on companies.	 This is in accordance with the 	
polluter pays principle. 	To comply with the regulation, 	companies must identify and 	
manage the risks linked to the substan	ces they manufacture and market in the EU	. 	
They have to demonstrate to 	EUs chemical body 	ECHA	(see below) 	how the substance 	
can be safely used, and they must communicate the risk management measures to the 
users.	 
根据污染者付费原则，	REACH 	规定由企业承担举证责任。为了遵守该法规，	企业	
必须识别并管	理	在欧盟	生产	和	销售	化学品的健康	和环境	风险	。他们要向欧盟化学品机	
构	ECHA	（欧洲化学品管理局）（见下文）演示如何安全使用物质，而且必须将风险管	
理措施传达给用户。	 	
In principle	, REACH applies to all chemical substances	, not only those used in 	
industrial processes but also in 	the	 day	-to	-day lives, for example in cleaning products, 	
paints as well as in articles such as clothes, furniture and electrical appliances. 
Therefore, the regulation has an impact on most 	products and 	companies across the EU.	 	
原则上，	REACH	适用于所有的化学物质	，不仅适用于工业过程中使用的	化学物质，	
而且适用于日常生活中使用的化学物质，例如清洁用品、涂料以及衣服、家具和电器
之类的物品。因此，该法规对整个欧盟范围内的多数产品和企业都有影响。

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Another crucial principle behind REACH is the substitution principle. This requires that 
a dangerous substance is 	replaced by less dangerous 	substance	 or technolog	y where 	
technical	ly and economically feasible alternatives are available. If no safer alternative 	
exists, the company must work to find one.	 	
REACH	背后的另一个关键原则是替代原则。该原则要求，在有技术和经济上可行	
的替代品的情况下，用危险较小的物质或技术代替危险物质。如果没有较安全的替代
品，企业必须努力找到一个。	 	
Companies throughout the EU who make, import	 or use chemicals in their products and 	
manufacturing processes 	have since 2007 been 	working to comply with this challenging 	
legislation.	 REACH is contributing to	: 	
自	2007	年以来，整个欧盟范围内制造、进口或在其产品和生产过程中使用化学品	
的企业一直在努力遵守这部具有挑战性的立法。	REACH	有助于：	 	
 	Making companies who 	manufacture or import chemicals explain clearly and 	
give information on the properties of their chemicals	 	
让制造或进口化学品的企业清楚地解释其化学品的特性，并提供关于其化学品
特性的信息	 	
 	Making those same companies explain how that substance is used (it may be 
used in many different products or 	industrial processes) and who is likely to be 	
exposed to it	 	
让那些生产	相同物质的	企业解释如何	使用	该物质（可能会被用于很多不同的产	
品或工业生产过程中）以及谁会接触该物质	 	
 	Controlling the risks presented to human beings and the environment by the 
most hazardous chemicals	, by reducing the amount that 	they	 are expo	sed to 	 	
通过减少其暴露量，控制危险（易燃易爆	剧毒）	化学品给人类和环境带来的风	
险	 	
 	Making sure that hazardous substances are classified and included in a public 
inventory, and that any product containing them is labelled and packaged so that 
consumers and workers are well informed and can use	 them safely	 	
确保对危险物质进行分类并将其列入公开清单，并且确保给任何含有危险物质
的产品贴上标签并进行包装，以使消费者和工人充分知情并安全使用	 	
 	Ensuring that, over time, the most dangerous of these chemicals are phased out.	 	
确保最危险（易燃易爆	剧毒）	的化学品会随着时间的推移被逐步淘汰。	 	
2.3.2.3	 Approach	方法	 	
REACH establishes procedures for collecting and assessi	ng information on the 	
properties and hazards of substance	s. 	Companies need to register their substances and 	
to do this they need to work together with other companies who are registering the 
same substance.	 	
REACH	建立了收集并评估物质特性和危害信息的程序。企业需要注册其物质，为	
此需要与其他注册了相同物质的企业合作。	 	
ECHA receives and evaluates individual registrations for their compliance, and the EU 
Member States evaluate selected substances to clarify initial concerns for human health

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or for the environment. 	In thi	s respect REACH	 promotes alternative methods for the 	
hazard assessment of substances in order to reduce the number of tests on animals. 
Authorities and ECHA's scientific committees assess whether the risk	s of substances can 	
be managed.	 	
欧洲化学品管理局接收注册，并评价其是否符	合规定，然后由欧盟成员国评估选	
定的物质，以说明该物质对人类健康或环境的影响	，并消除	公众	对该物质造成健康或	
环境影响的担心	。在这方面，	REACH	促进用其他方法代替对物质危害进行评估，以减	
少动物试验次数。由有关部门和欧洲化学品管理局的科学委员会评估物质的风险是否
可管理。	 	
If the risks cannot be managed properly, authorities can restrict the use of 
substances in different ways	. Authorities can 	ban	 hazardous substances if their risks 	
are unmanageable. They can also 	decide to restrict a use or make it subject to a prior 	
authorisation	.In the long run, the most hazardous substances should be 	
substituted with less dangerous ones	. 	
如果风险不能	被	妥善管理，有关部门可通过不	同方式限制使用物质	。如果危险物	
质的风险难以管理，有关部门可	禁止	生产	、销售、使用		
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As shown above, 	REACH impacts on a wide range of companies across many sectors, 	
even those who may not think of themselves as being involved 	with chemicals.	 In	 	
general, under REACH 	companies	 may have one of these roles:	 	
如以上所示，	REACH 	对很多行业的各种不同企业有影响，包括那些认为自己与化	
学品无关的企业。一般而言，企业在	REACH 	下可能扮演以下角色之一：	 	
 	Manufacturer	: Makers of	 chemicals, either to use 	within the company or to supply 	
to others 	(even if it is for export), 	will probably have some important 	
responsibilities under REACH.	 	
制造商	：	在企业内部使用或供应给他人（即使是用于出口的）的化学品的制造	
者可能负有	REACH	下的某些重大责任。	 	
 	Importer	: Buyers of chemicals	 from out	side the EU/EEA 	are likely to have some 	
responsibilities under REACH. It may be 	for 	individual chemi	cals, mixtures for 	
onwards sale or finished products, like clothes, furniture or plastic goods. 	 	
进口商	：	从欧盟	/欧洲经济区外面购买化学品的买主可能要负有	REACH	下的某	
些责任。进口的	商品包括	个别化学品、对外销售的混合物或者像衣服、家具或	
塑料商品这样的成品。	 	
 	Downstream users	: Most companies use chemicals, sometimes even without 	
reali	zing it, therefore 	they	 need to check 	their 	obligations if 	they	 handle any 	
chemicals in 	their	 industrial or professional activity. 	Such companies	 might have 	
some responsibilities under REACH.	 	
下游用户	：	多数企业都使用化学品，有时甚至没有意识到这一点，该等公司可	
能负有	REACH	下的某些责任。因此，如果他们在其工业活动或专业	活动中处理	
任何化学品，则需要检查自己	在	REACH	法案下的	的义务。

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 	Companies established outside the EU	: Such companies	 are 	not bound by the 	
obligations of REACH, even if 	exporting 	products into the customs territory of the 	
EU	. The responsibility for fulfilling the requirements of REACH, such as pre	-	
registration or registration lies with the importers established in the 	EU	, or with 	
the only representative of a non	-EU manufacturer established in the 	EU	. 	
在欧盟以外成立的企业	：	该等企业不受	REACH	义务的	约束，即使它们将产品出	
口到欧盟的关税领土。满足	REACH	要求、比如预注册或注册的责任由成立于欧	
盟的进口商承担，或者由这些欧盟以外的	制造商	成立在欧盟的唯一代表承担。	 	
For substances manufactured or imported in quantities of 1 ton or more per year 
per company, manufacturers and importers need to demonstrate that they have 
appropriately done	 so by means of a 	registration	 dossier, which must be 	
submitted to the European Chemicals Agency (ECHA)	. ECHA is an agency established 	
to manage the technical, scientific and administrative aspects of the REACH system. 
ECHA helps companies to comply with t	he legislation, advances the safe use of 	
chemicals, provides information on chemicals and addresses chemicals of concern.	 	
对于	年	产量或进口量在	1	吨	或以上	的化学物质，	制造商	和进口商需要用注册档案	
来	证明	他们	在 化 学 品 管 理	方面	做 得 很 好 。 注 册 档 案 须	提交	给 欧 洲 化 学 品 管 理 局	
（	ECHA	）	。	ECHA	是为了管理	REACH 	系统的技术、科学和行政方面工作而成立的机	
构。	ECHA	帮助企业 遵守立法， 促使	其	安 全使用化学 品，提供 化学品信息 ，并处理	
REACH	重点关注	化学品的问题。	 	
ECHA may then check that the registration dossier complies with the regulation 
and must 	evaluate	 testing proposals	 to ensure that the assessment of the chemical 	
substances will not result in unnecessary testing, especial	ly on animals, but also that 	
adequate information is provided (more about this below). Where appropriate, ECHA 
may also select substances for a broader evaluation to further investigate substances of 
concern.	 	
欧洲化学品管理局可检查注册档案是否符合法规，而且必须评估试验建议，以确	
保化学物质的评估不会重复	做不必要的试验，尤其是动物试验，而且还应确保注册	档	
案	提供充分的信息（详见下文）。适当情况下，欧洲化学品管理局还可选出一些物质	
进行更广泛的评估，以进一步调查关注物质。	 	
REACH also foresees an 	authorization	 system aiming to ensure that the risks from 	
Substances of Very High Concern (SVHC) are properly controlled, and that those 
substances ar	e progressively replaced by suitable, less harmful alternative 	
substances or technologies 	where these are economically and technically viable	. 	
Where risks cannot be adequately controlled, the use of SVHC may only be authorized 
where there is an overall ben	efit for society of using the substance and there are no 	
suitable alternatives (see more about the authorization system below).	 	
REACH	还规定了授权系统，旨在确保高度关注物质（	SVHC	）带来的风险得到妥	
善控制，并且那些物质会逐渐被合适的、危害较小的	、	在经济和技术上可行的	替代物	
质取代	。如果风险不能被适当控制，仅当使用物质对全社会有益并且没有合适	的替代	
品时，高度关注物质的使用才会得到	授权（详见下文的许可系统	。

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In addition, EU authorities may impose 	restrictions	 on the manufacture, use or placing 	
on the market of substances causing an unacceptable risk to human health or the 
environment. The Member States authorities are responsible for 	enforcing	 REACH 	
through inspections as well as penalties in case of non	-compliance.	 	
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2.3.2.4	 Tools	工具	 	
As described above, the REACH approach is based on the tools Registration, Evaluation, 
Authorization, Rest	riction and Enforcing. Below is a description on how these work. 	 	
如上所述，	REACH 	方法建立在注册、评估、授权、限制和执行的基础之上。下面	
说明这些方式是实现对化学品监管	的	。	 	
Registration 	注册	 	
Manufacturers and importers of substances have a general obligation 	to submit a 	
registration to ECHA 	for each substanc	e manufactured or i	mported in quantities of 1 ton	 	
or more per year per company (legal entity). This obligation applies to substances as 
such and in mixtures. A special registration regime applies for substances in articles (e.g. 
manufactured goods such as 	cars, textiles, electronic chips). However, certain 	
substances are exempted from registration under REACH. 	Failure to register means 	
that the substance cannot be manufactured or imported	. 	
物质制造商和进口商有义务向欧洲化学品管理局注册每一种生产量或进口量在	1	
吨	/年（法人实体）或以上的物质。对于	生产或进口这种物质或者包含这种物质的	混合	
物都需要	注册	。专项注册制度适用于制成品中的物质（例如汽车、纺织品和电子芯片	
之类的制成品）。然而，某些物质由于欧盟	规定不可以生产或进口	，在	REACH	下禁止	
注册。	 	
Registration applies to substances on their own, substances in mixtures and certain 
cases of substances in articles. Chemical substances that are already re	gulated by other 	
legislations	, such as medicines	 or radioactive substances	, are partially or completely 	
exempted from REACH requirements.	 	
注册适用于物质本身、混合物中的物质以及一定情况下制成品中的物质。已由其	
他立法监管的化学物质，比如药品或放射性物质，部分或完全豁免于	REACH	要求。	 	
Manufacturers and importers of the same substance have the obligation to submit their 
registration jointly. The analytical and spectral information provided should be 
consistent and sufficient to 	confirm the substance identity.	 	
相同物质的制造商和进口商必须共同提交注册。所提供的分析信息	和光谱信息应	
当是一致的，并且足以确认物质的特性。	 	
For substance registration a fee is usually charged.	 	
物质注册一般是收费的。

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Evaluation 	评估	 	
There are three types of evaluation under REACH:	 	
在	REACH	下有三种类型的评估：	 	
 	Dossier evaluation performed by 	ECHA	 	
由欧洲化学品管理局开展的档案评估	 	
 	Substance evaluation performed by a Member State: to clarify any grounds for 
considering that a substance constitutes a risk to 	human health or the 	
environment	 	
由成员国开展的物质评估：以说明某物质	的	人体健康或环境风险	 	
 	Member States can also evaluate registered intermediates.	 	
成员国还可以评估已	注册的中间体。	 	
ECHA and the Member States evaluate the information submitted by companies to 
examine the quality of the registration dossiers and the testing proposals, and to 
clarify if a given substance constitutes a risk to human health or the environment	. 	
Eva	luation under REACH focuses on three different areas:	 	
欧洲化学品管理局和欧盟成员国评估企业所提交的信息，以检查注册档案的质量	
并提出	试验建议，并	说明特定	物质是否	存在	人	体	健康或环境风险	。	REACH	下的评估侧	
重于三个不同方面：	 	
 	Examination of testing proposals submitted by registrants	 	
审查注册人提交的试验建议	 	
 	Compliance check of the dossiers submitted by 	registrants	 	
检查注册人提交的档案是否符合规定	 	
 	Substance evaluation	 	
物质评估	 	
Once the evaluation is done, registrants may be required to submit further information 
on the substance.	 	
一旦进行评估，注册人可能会被要求提交	更多	的	物质信息。	 	
ECHA has to publish a report each year on the progress it has made 	over the previous 	
calendar year on its obligations in relation to evaluation. ECHA is in these reports 
specifically required to include recommendations to potential registrants to foster 
improvement in the quality of future registrations.	 	
欧洲化学品管理局每年要公布一份报告	，说明与上一年相比其在评估工作方面取	
得的进展。欧洲化学品管理局需要	将	潜在注册人的建议列入这些报告，以促进提高今	
后的注册质量。	 	
Authorization	授权	 	
The authori	zation procedure aims to assure that the risks from SVHCs are properly 	
controlled 	and replaced by less dangerous substances or technologies where technically

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and 	economically feasible alternatives are available. If no safer alternative exists, the 	
company must work to find one.	 These substances cannot be placed on the market or 	
used after a given date, unless an authori	zation is granted for their specific use, or t	he 	
use is exempted from authori	zation.	 Interested parties have 45 days from the date of 	
publication to provide comments to the Agency on the identification of the substance as 
SVHC as well as further information related to use, exposure, alternatives and r	isks.	 	
授权程序旨在确保高度关注物质引起的风险得到适当控制，并且如果有技术上和	
经济上可行的替代品，用危险性较小的物质或技术代替高度关注物质。如果没有较安
全的替代品，企业必须努力找到一个。这些物质在其特定用途得到授权之后，方可在
某个给定日期以后投放市场或使用，否则不准予使用。自授权公布之日起	45	天内，有	
关各方可以向欧洲化学品管理局提供该高度关注物质的意见，并提供物质使用、暴露、
替代品和风险有关的进一步信息。	 	
The authori	zation process involves three steps: i	) identification of	 SVHC	; ii) 	
recommendation for inclusion in the Authori	zation List; and iii) applications for 	
authori	zation. ECHA consults the public during all three steps and encourages all 	
interested parties to get involved and give their views.	 	
授权程序包	含三个步骤：	i）	确认	高度关注物质；	ii）建议列入授权清单；	iii	）申请	
授权。欧洲化学品管理局在三个步骤中都要征询公众意见，并鼓励所有有关各方参与
并提出自己的看法。	 	
i) 	Substances with the following hazard properties may be identified as 	SVHCs	: 	
具有以下危害特性的物质可被认定为高度关注物质：	 	
 	Substances meeting the criteria for classification as carcinogenic, mut	agenic or 	
toxic for reproduction category 1A or 1B in accordance with 	other EU regulations 	
of CMR substances	 	
按照欧盟其他	CMR	物质法规被分类为	1A	或	1B	类的	致癌物质、致畸变物质和生	
殖毒性物质	 	
 	
 	Substances which are persis	tent, bioaccumulative and toxic	 or very persistent 	
and very bioaccumulative according to REACH 	 	
按照	REACH	法规确定的持久	性	、生物累积	性、	有毒物质（	PBT	）和强持久强生物	
累积物质（	vPvB	）	 	
 	Substances identified on a case	-by	-case basis, for which there is scientific 	
evidence of probable serious effects that cause an equivalent lev	el of concern as 	
with 	those mentioned above	 	
按	实际案例	确定的物质，并且有科学证据表明这些物质有可能	造成	与上述物质	
同等风险	水平的	 	
 	
ii) 	ECHA regularly assesses the substances from 	a Candidate List to determine which 	
ones should be included in the Authori	zation List as a priority. The prioriti	zation 	is 	
primarily based on information in the registration dossiers on uses and volumes of the 
substances on the EU market that fall within the scope of the authori	zation requirement.

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Any information submitted during the previous step (	i.e. the identification o	f SVHC	) will 	
also be taken into consideration.	 	
欧洲化学品管理局定期评估候选清单上的物质，以确定哪些物质应被优先列入授	
权清单。根据欧盟	范围内这些物质的使用量及	用途	来确定	物质	在授权	清单	中的优先次	
序	。在优先序	确定过程中，	认定高度关注物质时递交的信息也会被纳入考虑。	 	
During the public consultation on the draft recommen	dation for including	 substances in 	
the Authori	zati	on List, information on the complexity of the supply chain is particularly 	
welcome. ECHA also welcomes comments on the review periods, the transitional 
arrangements and on those uses which could possibly be exempted from the 
authori	zation requirement. 	When	 proposing such exemptions it should be considered if 	
specific EU (not only national) legislation is in place that ensures the risk resulting from 
the specific use of the substance for human health or the environment is properly 
controlled and 	if 	this legi	slation imposes minimum requirements relating to the 	
protection of human health or the environment for the use of the substance.	 	
在就将物质列入授权清单的建议草案征询民意期间，公众	和相关部门高度关注物	
质供应链	复杂性	方面的信息	。欧洲化学品管理局还欢迎对审核期、过渡期以及对豁免	
于授权要求的用途发布意见。提出这种豁免时，应考虑是否有特别的欧盟立法可保证
物质的特定使用方式能够	控制物质的	人体	健康或环境风险，以及该立法是否为	保护人	
体健康和环境	对物质提出	了使用建议	。	 	
ECHA takes the comments received into account when updating the draft 
recommendation. 	This updated draft recommendation will help the Member State 	
Committee t	o draft its opinion. Taking this 	opinion into account, ECHA 	will finali	ze its 	
recommendation which is then submitted to the 	EU	 Commission who makes the final 	
decision on which substances to include in the Authori	zation List.	 	
在更新物质	授权的	初步建议时，欧洲化学品管理局将收到的公众意见纳入考虑。	
更新后的初步建议会帮助成员国委员会提出初步意见。在充分考虑成员国委员会的意
见之后，欧洲化学品管理局将确定最终建议，然后提交给欧盟委员会，由欧盟委员会
最终决定将哪些物质列入授权清单。	 	
SVHCs	 will be gradually identified in the 'Candidate 	List' and eventually included in 	
Annex XIV of the REACH Regulation. Once included in 	that Annex, they cannot be placed 	
on the market or used after a date to be set (the so	-called "sunset date") unless the 	
company is granted an authori	zation.	 	
高度关注物质会逐渐在‘候选清单’中	确认	，并最终列入	REACH	法规附录	XIV	。	
一旦被列入该附录，在某个设定日期（所谓的“日落之日”）之后就不能投放市场或
者使用，除非企业得到授权。	 	
For substa	nces placed on the Authori	zation List; manufacturers, importers and 	
downstream users of the substance need to submit an application to ECHA if they wish 
to continue their use after the sunset date. The application for authori	zation step 	
includes an eight	-week public consultation on alternative substances or technologies 	
forthe uses of the substances subject to authori	zation for which an authori	zation 	
application has been submitted.

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对于被列入授权清单的物质，如果想要在“设定日期”以后继续使用，物质的生	
产商、进口商和下游用户需要向欧洲化学品管理局递交申请。申请授权步骤包括	8	周	
的征询民	意期，就已递交授权申请、须经授权的物质使用的替代物质或技术向公众征	
求意见。	 	
iii) 	Manufacturers, importers or downstream users of a substance on the Authori	zation 	
List can apply for authori	zation.	 Annex XIV 	of the REACH Regulation 	sets the list of 	
substances subject to authori	zation obligations	. Taking into account the first 	
recommendation of priority substances for inclusion in 	Annex XIV adopted by ECHA on 	
1.June 2009, 	the Commission adopted on 17 February 2011 a Commission 	
Regulation including the first six substances of very high concern in t	he list of 	
substances subject to authorization	. 	
授权清单上的某物质的生产商、进口商和下游用户可申请授权。	REACH	法规附录	
十四列出了须履行授权义务的物质清单。在考虑欧洲化学品管理局	2009	年	6	月	1	日	
通过的列入附录	XIV	的优先物质初步建议之后，	欧盟委员会于	2011	年	2	月	17	日通	
过了委员会条例，将首批六种物质列入需授权的高度关注物质清单	。	 	
The authorization process	授权过程	 	
From 1 June 2011	 ECHA	 must be notified of the presence of SVHCs in 	products	 if the 	
total quan	tity used is more than one ton	 per year and the SVHC is present at more than 	
0.1% of the mass of the object. Some uses of SVHCs may be subject to prior authori	zation 	
from 	ECHA	, and app	licants for authori	zation will have to include plans to replace the use 	
of the SVHC with a safer alternative. 	 	
自	2011	年	6	月	1	日起，若产品中所用高度关注物质总量每年超过	1	吨，并且高	
度关注物质含量超过	0.1%	，则必须	告知	欧洲化学品管理局	，	该	产品中	含	有高度关注物	
质。有些高度关注物质用户需事先获得欧洲首批管理局的授权，授权申请人要提出用
较安全的替代品取代使用高度关注物质的计划。	 	
Restrictions 	限制	 	
Restrictions are a tool to protect human health and the environment from unacceptable 
risks posed by chemicals. Restrictions may limit or ban the manufacture, placing on the 
market or use of a substance.A restriction applies to any substan	ce on its own, in a 	
mixture or in an article, including those that do not require registration. It can also apply 
to imports.	 	
限制是一种手段，用来保护人体健康和环境免受化学品引起的不可接受的风险。	
限制措施可限制或禁止某物质的生产、投放市场或使用。限制措施适用于任何物质本
身、混合物中的物质或物品中的物质，包括不需要注册的物质，还适用于进口商品。	 	
A Member State	 or EC	HA on req	uest of the European Commission	 can propose 	
restrictions if they find that the risks need to be addressed on a Community wide 
basis.Anyone can comment on a proposal to restrict a substance. Those most likely to be 
interested are companies, organi	zations representing industry or civil society, individual 	
citizens, as well as public authorities. Comments are welcomed from the EU or beyond.

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应欧盟委员会的要求，欧盟成员国或欧洲化学品管理局如果认为需要在整个欧共	
体范围内应对该物质的	健康和	环境风险，可以建议实行限制。任何人都可以评议限制	
某物质的建议。最有可能	参与	“	限制	”	评议的是公司、代表业界或民间团体的组织、	
个人公	民以及公共机构。欢迎欧盟或欧盟以外其他国家和地区提出意见。	 	
ECHA works with e	xperts from the Member States to provide scientific opinions on any 	
proposed restriction that will help the European Commission, together with the Member 
States, to take the final decision.	 	
欧洲化学品管理局与欧盟成员国专家合作，共同对所提议的限制提出科学意见，	
帮助欧盟委员会以及欧盟成员国做出最后决定。	 	
Enforcing	执行	 	
The Member States authorities are responsible for enforcing REACH through 
inspections as well as penalties in case of non	-compliance	. In this framework, 	
several issues are of interest:	 	
欧盟	成员国当局通过检查以及违规处罚等方式执行	REACH	。	在此框架内，几个问	
题值得关注：	 	
 	REACH enforcement authorities	. Member States authorities are responsible for 	
enforcing REACH. Thus, each Member State has already designated a competent 
authority dealing with REACH enforcement.	 	
REACH	执行部门	。欧盟成员国当局负责执行	REACH	。因此，每个成员国都指定	
了负责执行	REACH	的主管部门。	 	
 	
 	Forum for the Exchange of Information on Enforcement ("the Forum")	. REACH 	
creates a Forum within ECHA which brings together Member States enforcement 
authorities in a formal framework. The Forum coordinates en	forcement activities 	
and is required to establish a good cooperation, coordination and exchange of 
information between the Member States, ECHA and the Co	mmission regarding 	
enforcement. 	Among other activities, the Forum develops coordinated 	
enforcement proj	ects and reports the results of them. The first of these 	
enforcement projects was finalized in May 2010. 	 	
执行信息交流论坛（简称“论坛”）	。	REACH	在欧洲化学品管理局内创建了论	
坛，	建立	了成员国执行部门的	交流	框架	。论坛协调执行活动，并且需要建立成	
员国、欧洲化学品管理局和	欧盟委员会	之间在执行方面的良好合作、协调和交	
流	机制	。论坛	主要	负责	开展协调的执行项目	交流	、项目结果报告、	其他	活动	沟	
通	等。	2010	年	5	月确	定了第一批执行项目。	 	
 	
 	Penalties applicable for infringement of the provisions of REACH	. Under REACH 	
Regulation each Member State must determine inter alia the penalties that would 
apply to the infringement of REACH provisions	, and must take all measures 	
necessary to ensure that they are implemented. The penalties must be "effective, 
proportionate and dissuasive". The Member States have to notify their provisions 
to the European Commission and must also notify any subsequent ame	ndment.

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处罚适用于违反	REACH	规定的情况。	根据	REACH	法规，每个成员国均必须确	
定适用于	REACH	违规的处罚措施，而且必须采取必要措施	来	保证处罚得到执行。	
处罚必须是“有效的、相称的和劝诫性的”。成员国须将其处罚规定通知	欧盟	
委员会	，	今后	若对处罚进行修订也	需向	欧盟委员会报备。	 	
Other tools under REACH	 	REACH 	下的其他工具	 	
Communication of Information	信息交流	 	
One of the major elements of the REACH regulation is the requirement to 	communicate 	
informationon chemicals up and down the supply chain	. This ensures that 	
manufacturers, importers and also their customers are aware of information relating to 
health and sa	fety of the products supplied. 	For many retailers the obligation to provide 	
information about substances in their products within 45 days of receipt of a request 
from a consumer is particularly challenging. Having detailed information on the 
substances pre	sent in their products will allow retailers to work with the manufacturing 	
base to substitute or remove potentially harmful substances from products. The list of 
harmful substances is continuously growing and requires organizations to constantly 
monitor an	y announcements and additions to the REACH scope. This can be done on 	
ECHA's website.	 	
REACH	法规的主要内容之一就是要求	交流供应链各个环节的化学品信息	。这可以	
确保生产商、进口商及其客户了解产品健康安全方面的信息。对于许多零售商来说，
在收到客户请求	45	天内提供关于其产品中所含物质的信息是一项很有挑战性的义务。	
提供	其产品中所含物质的详细信息使零售商可以与生产商合作，共同替换或消除产品	
中有潜在危害的物质。有害物质名单不断更新，	因此各组织要时常留意任何欧洲	化学	
品	管理局	网站	的	公告，	以知晓	REACH	范围的有害物质	名单的	更改。	 	
Substance Information Exchange Forums (SIEFs)	物质信息交流论坛	 	
To somewhat simplify the registration 	and to limit vertebrate animal testing	 as far as 	
possible, 	socalled 	Substance Information Exchange Forums (SIEFs) 	are formed amongst 	
legal entities (s	uch as manufacturers, importers	 and data holders) who are dealing with 	
the same substanc	e. This allows them to join forces and finances to create just one 	
registration dossier	. However, this creates a series of new probl	ems as a SIEF is the 	
cooperation between sometimes a thousand legal entities, which did not know each 
other at all before	. But 	in order to complete a several thousand end points dossier in a 	
limited time	, they	 must:	 	
为了简化注册并尽可能限制脊椎动物试验，在注册同一种物质的法人实体（比如	
生产商、进	口商和数据持有人等）当中成立物质信息交流论坛（	SIEF	）。	这可以让他	
们汇合力量和资金，	针对	某一种物质	只	建立一个注册档案	。然而，这也产生了一系列	
新的问题，因为一个	SEIF	有时是上千个法人实体的合作，他们以前彼此毫不认识。但	
为了在规定时间内完成一个有几千个终点的档案，他们必须：	 	
 	find each other and start communicating openly and honestly	 	
找到对方并开始坦率真诚地沟通	 	
 	start sharing data

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开始共享数据	 	
 	start sharing cos	ts in a fair and transparent way	 	
开始公平透明地分担费用	 	
 	democratically and in full consensus take the most complex decisions	 	
民主并且完全一致地做出最复杂的决定	 	
The 	EU	 Commission supports businesses affected by REACH by handing out 	(free of 	
charge)	 a software application (IUCLID), which simplifies capturing, managing and 	
submitting of data on chemical properties and effects. Such submission is a mandatory 
part of the registration process. 	Under certain circumstances the performance of a 	
Chemical Saf	ety Assessment (CSA) is mandatory and a Chemical Safety Report (CSR) 	
assuring the safe use of the substance has to be submitted with the dossier.	 Dossier 	
submission is done using the web	-based software REACH	-IT.	 	
欧盟委员会向	REACH	相关企业	免费分发一款软件应用（	IUCLID	，该应用的	功能是	
简化收集、管理和提交关于化学特性和效用的数据。提交这种数据是物质注册过程的
强制要求。	在	某些情况下，必须进行化学安全评估（	CSA	），并随档案一起提交化学安	
全报告（	CSR	），	档案的提交可以在	网站上利用软件	REACH	-IT	完成	。	 	
Harmoni	zed classification and labelling 	统一分类与标签	 	
The classification and labelling of certain hazardous chemicals must be harmoni	zed to 	
ensure ade	quate risk management throughout the 	EU	. 	EU 	Member States, 	
manufacturers, importers and downstream users may propose a harmoni	zed 	
classification and labelling of a substance. 	EU 	Member States can also propose a revision 	
of an existing harmoni	zation.	 	
必须统一某些有害物质的分类与标签，以确保整个欧盟范围内开展	针对性的	风险	
管理。欧盟成员国、生产商、进口商和下游用户可提出对某物质进行统一分类和标签
的要求。欧盟成员国还可以就	统一分类和标签	提出修订意见。	 	
Harmoni	zed classifications and labelling are mandatory for the suppliers of respective 	
substances so that users are better informed about their potential ha	zardous effects and 	
how best to make use of them safely.	 	
各物质的供应商必须进行统一分类和标签，这样	能够帮助	使用者更好地了解物质	
的潜在有害影响，	更	安全	地	使用这类物质。	 	
Registry of Intentions 	意向注册	 	
EU 	Member States Competent A	uthorities (MSCAs)/	ECHA on request by the 	EU 	
Commission may prepare 	socalled 	Annex XV do	ssiers for identification of 	SVHC	, Annex 	
XV dossiers for proposing a harmoni	zed Classification and Labelling 	(C&L) 	or Annex XV 	
dossiers proposing restrictions.	 These are placed in a public Registry of Intentions. 	The 	
aim of 	this registry	 is to allow interested parties to be aware of the substances for which 	
the authorities intend to submit Annex XV dossiers and therefore facilitates timely 
preparation of the interested parties for commenting later in the process.

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应欧盟委员会的要求，	成员国	主管部门	（	MSDCAs	）	/ 欧洲	化学品管理	局	（	ECHA	）	
可	准备	附录	XV 	SVHC	申请	、附录	XV	统一分类标签提议	（	C&l	）或者附录	XV	限制物质	
提议（附件	XV	）。	这些	附录的	草案	放在一个公开的意向栏里。	将	附录草案公开的	目的	
在于让利益相关	者	知道	主管	部门	即将提交	附录	XV	的物质有哪些，从而促进利益相关	者	
及时准备	在这	一	过程中进行	评议	。	 	
 
It is also to avoid duplication of work and encourage co	-operation between	 EU	 Member 	
States when preparin	g Annex XV dossiers. 	The registry allows 	MSCAs	/ECHA to check if 	
another Authority has in the past worked on an Annex XV dossier for a specific 
substance or is currently preparing an Annex XV dossier on the substance. It should be 
noted that for the restrictions process there is a legal requirement for	 the Member State 	
to notify to the ECHA its intention to prepare an Annex XV restriction dossier.	 	
此栏目还能够避免重复工作，并鼓励各成员国在准备	附录	XV	时通力合作。该栏目	
能够帮助各成员国	主管部门	（	MSCAs	）	/ 	欧洲化学品管理	局	（	ECHA	）了解哪些特殊物	
质已经由另一个机构提交了	附录	XV	或正在准备	附录	XV	。需要指出的是，法律要求	在	
限制程序中，	如果成员国准备提交	附录	XV	限制，必须先通知	欧洲	化学品管理	局	。	 	
The r	egistry of intentions is divid	ed into three separate sections:	 i) a section listing the 	
current, active intentions of 	EU 	Member States	, ii) the Annex XV dossiers submitted that 	
are still under one of the three decision	-making processes (identification as S	VHC, 	
Harmoni	zed 	C&L	, restrictions	) and iii)	 a list of the intentions that have been withdrawn 	
after evaluation by a Member State or ECHA is provided.	 	
意向注册栏目分为三个	独立的	部分：	i）展示欧盟成员国	当前	的主动	意向	，	ii）	已	
提交但仍处于决策	阶段的附录	XV	（	三个	决策	步骤为：确定	高度关注物质、统一分类标	
签、限制）	，	iii	）	展示经过成员国或	欧洲	化学品管理	局	评估后被撤销的	高关注度	物	质	
意向；	 	
 
Socio	-economic analysis in REACH	 	
REACH	中的社会经济分析	 	
Socio	-economic analysis plays a vital role in the restrictions and authori	zation processes 	
under REACH. Restrictions proposals need to contain a description of the risks as well as 
informatio	n on the health and environmental benefits, the associated costs and other 	
socio	-economic impacts. Companies that apply for an authori	zation to use substances in 	
the Authori	zation List may include a socio	-economic analysis as part of their application.	 	
社会经济分析在	REACH	法规下的限制和授权程序中起着关键作用。限制提议里需	
要包含对风险的描述以及根据	REACH	实施后带来的	健康和环境效益、相关费用和其他	
社会经济影响的信息。申请授权使用授权清单中的物质的公司可将社会经济效益分析
列入申请书。	 	
ECHA is active in developing and promoting the application of socio	-economic analysis 	
in the field of regulating chemicals.	 It organi	zes	 workshops, seminars and other events 	
to build the capacity of Member States and stakeholders to perform socio	-economic

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analysis	 to	 increas	e the understanding of the role of socio	-economic analysis as part of 	
chemicals risk management,	 	
欧洲化学品管理局积极开展并促进开展化学品	监管领域的社会经济分析	，	组织专	
题讨论会、研讨会和其他活动，以培养成员国和利益相关者开展社会经济分析的能力，
从而使得相关	方	了解社会经济分析在化学品风险管理中的作用。	 	
ECHA is working to examine the economic value of benefits of avoiding selected adverse 
human health outcomes due to exposure to chemicals. This information can be used as a 
part of the socio	-economic analysis in the evaluation of health and environmental 	
impacts of chemicals.	 ECHA 	also 	maintains a website with a number of sources of 	
information that may be of use to those preparing a socio	-economic analysis under 	
REACH.	 	
欧洲化学品管	理局致力于分析通过	减少化学品接触	降低化学品	对人体某方面	健康	
风险	所实现效益的经济价值。在评价化学品的健康和环境影响时，这种信息可作为社	
会经济分析的一部分。欧洲化学品管理局还建立了一个网站，大量信息可服务于按照
REACH	规定开展	的	社会经济分析。	 	
2.3.2.5	 Results	结果	 	
Since the implementation of REACH is at an early stage, there are few experiences to 
draw lessons from. 	 	
由于	REACH	的实施处于初	级	阶段，	可借鉴的	经验还不多。	 	
ECHA	 has set three major deadlines for registration of chemicals. In general these are 	
determined by tonnage manufactur	ed or imported, with 1000 ton	/year	 being required 	
to be registered by 1 December 2010, 100 to	n/year	 by 1 June 2013 and 1 ton/	year	 by 1 	
June 2018. In addition, chemicals of higher concern or toxicity also have to meet the 
2010 deadline.	 	
欧洲化学品管理局为化学品注册设定了三个重要的限期。这些限期通常根据生产	
量或进口量确定，年产量或进口量	为	1000	吨的化学品需要在	2010	年	12	月	1	日前完	
成注册，年产量或进口量	为	100	吨的在	2013	年	6	月	1	日前完成注册，年产量或进口	
量	为	1	吨的在	2018	年	6	月	1	日前完成注册。另外，高	度	关注化学品或	高	毒性化学品	
要在	2010	年	以前完成注册。	 	
As of 20 June 2013, there were 144 SVHCs on the candidate list for authorization.	 	
截止	到	2013	年	6	月	20	日，授权候选清单上共有	 144	项高度关注物质。	 	
About 143,000 chemical substances marketed in the EU were pre	-registered by the 1 	
December 2008 deadline for such reg	istration. Although pre	-registering was not 	
mandatory, it allows potential registrants much more time before they have to fully 
register. Supply of substances to the European market which have not been pre	-	
registered or registered is illegal (known in REAC	H as "no data, no market").	 	
到	2008	年	12	月	1	日，欧盟市场上销售的约	143,000	种化学物质	都	完成了预注册。	
虽然预注册并非强制性的，但它让潜在注册人在进行正式注册之前有更多准备时间	。

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向欧盟市场供应未经预注册或注册的物质是违法的（在	REACH	中称为“没有数据就没	
有市场”）。	 	
2.3.2.6	 Lessons 	and suggestions 	for China	对中国的启示和建议	 	
China is perhaps the world’s largest producer and user of chemical substances. There 
are also considerable environmental problems caused by the use and release of such 
substances. There are several regulations in place in China to handle this problem. 	 	
中国或	许是世界最大的化学物质生产国和使用国，同时也存在很多由化学物质的	
使用和排放引起的环境问题。中国颁布了若干项法规处理这一问题。	 	
Ministry of Environmental Protection (MEP) 	in 2010	 released the revised version (the 	
Order No. 7) of the Provisions on Environmental Administration of New Chemical 
Substances. The new regulatio	n replaced the old regulation issued in 2003. This 	
regulation is 	according to 	CIRS (2013)	similar to EU REACH and is also known as "China 	
REACH".	 	
2010	年，中国环保部（	MEP	）	发布	了修订版的	《新化学物质环境管理办法》	（	环	
保部	7	号令	）	。这部新法规取代了	2003	年发布的旧法规。根据	CIRS	（	2013	），	此法	
规类似于欧盟	REACH	法规，	因此又被称为“	中国	REACH	法规	”	。	 	
Under this regulation, companies shall submit new chemical substance notification to 
the Chemical Registration Centre (CRC) of 	MEP	 for the new chemicals irrespective of 	
annual tonnage, i	.e. chemicals other than the approximately 45,000 substances currently 	
listed 	in the Inventory of Existing Chemical Substances Produced or Imported in China 	
(IECSC). The notification not only applies to new substance on its own, in preparation or 
articles int	ended to be released, but also applies to new substances used as ingredients 	
or intermediates for pharmaceuticals, pesticides, veterinary drugs, cosmetics, food 
additives and feed additives, etc.	 	
根据此法规，	所有	涉及	《中国现有化学物质名录》的	45	,000	种	物质	之外的化学品	
的生产	、使用及	销售	的	企业	应当	向环境保护部化学	品登记中心（	CRC	）提交新化学物质	
申报报告	（对	新化学	物质	的生产、使用及销售量没有限制，不论数量多少均需要	提交	
申报报告）	。申报不仅适用于新化学物质本身、配置品中的化学物质或在物品中挥发	
释放的化学物质，而且适用于用作药物、农药、兽药、化妆品、食品添加剂和饲料添
加剂等的配料的新化学物质。	 	
A 	revised version of Regulations on Safe Management of Hazardous Chemicals in China 	
(Decree 591)	 was published by 	the State Council in 2011	 came into force on 1	. Dec	ember	 	
2013, 	replac	ing	 an	 old version issued in 2002.	 The regulation has clauses for the 	
production, storage, import, use, sales and transporting of hazardous chemicals	. This 	
regulation isaccording to CIRS 	(2013) no 	doubt the most complex chemical legislation in 	
China. There are 102 articles, dozens of supporting measures and numerous national 
standards for this law. More than 8 government bodies are involved in the 
implementation of this law. It is the main	 law regulating existing chemicals in China. 	 	
2011	年，国务院公布了	修订版的《危险化学品安全管理条例》	，自	2013	年	12	
月	1	日	起施行	，取代了	2002	年发布的旧版条例。条例对危险化学品的生产、储存、

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进口、使用、销售和运输做出	了	规定。根据	CIRS 	（	2013	），该条例无疑是中国最复杂	
的化学品立法。这部法律有	102	条条款、几十项辅助措施和大量国家标准予以	支持	。	8	
个以上	的	政府机构参与了本法律的实施。它是中国监管现有化学品的主要法律。	 	
There are also 	restrictions on some toxic chemicals to be imported or exported. By 	
January 2014 some 162 chemicals are on the import/export prohibition list. There are 
also several other regulations imposed towards chemical substances. According to CIRS 
(2013) c	ompliance	 with chemical 	regulations	 in China is not easy because information 	is 	
not always 	transparent and a	vailable, and sometimes	 the regulatio	ns	 could be 	
ambiguous.	 	
中国	政府	对进口或出口有毒化学品也有限制。到	2014	年	1	月，进出口禁止清单	
上有	约	162	项化学品。同时还有几部针对化学物质的其他法规。根据	CIRS 	（	2013	），	
因为化学品	信息并不是	完全	透明和可获得的，	加之	一些法律	法规	的规定并不十分明确，	
因此，	化学品	法规	也	存在着	操作性	不强，落实	不到位	等问题。	 	
The REACH framework is very comprehensive and requires a lot of knowledge, 
analytical capacity etc. from the industry side. We see from Europe that 
implementing REACH takes a lot of time and efforts, an	d it will take many years 	
before it is fully implemented. Accordingly, the benefits from the framework will 
not be fully seen before long into the future	. 	
REACH	框架非常	综合	全面，而且要求企业有大量的知识和分析能力等。	我们	从	欧	
盟	经验	可以	看出，实施	REACH	需要耗费大量时间和精力，而且要得到	充分	实施会需	
要很多年。因此，框架带来的好处要在未来很久以后才能显现	。	 	
Thus, 	it would eventually be demanding for Chinese authorities and companies to 	
fully implement a scheme similar to REACH	. If interested, 	China should consider 	
carefully if and how the authorities are or could eventually be	 prepared for such 	
an introduction as a supplement to existing Chinese regulations	. 	
由于全球	都	非常	重视化学品管理，由此看来	，	中国也将	开展	严格的化学品监管。	
这就	要求	中国有关部门和企业充分实施一项与	REACH	类似的计划。如果有兴趣的话，	
中国应仔细考虑有关部门是否及如何准备出台这样的计划作为对中国现有法规的补充	。	 	
However, 	Chinese companies exporting goods into the EU 	are already affected by 	
REACH requirements	, and will eventually alone or together with companies in other 	
countries have to follow the procedures and comply with the requirements if they have 
products that contain potentially harmful substances that have previously not been 
assessed or authorized 	by the REACH bodies. Thus, 	many Chinese companies could 	
over time gain experience with the REACH framework, which could eventually 
make it easier for China to implement a similar domestic scheme	. 	
然而，	向欧盟出口货物的中国公司已经受到了	REACH	法规要求的影响	。如果他	
们的产品含有以前未经过	REACH	机构评估或授权	的潜在有害物质，他们最终必须单独	
或者与其他国家的公司一起履行程序并遵守要求。这样，	许多中国公司	就	可以逐渐积	
累	REACH	框架	的	经验，最终使中国更容易实施一项类似的国内计划	。

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An option for China could be to adopt the outcome from the REACH processes in 
the EU	. This would mean that Chinese authorities would allow the use of all substances 	
that 	are authorized through the REACH process. This should in the long run ensure high 	
environmental standards in the chemicals policy, but would on the other hand make 
China rely fully on REACH considerations and make it unable to consider the damages 
from a l	ocal Chinese perspective. 	 	
建议当前	中国可以	充分	学习和完全借鉴	欧盟	REACH	法案提出	的清单物质、	操作	
程序	。这意味着中国当局会允许使用所有通过	REACH	程序获得授权的物质。从长远来	
看，这可以确保化学品政策中的高环境标准，控制	和减少化学品带来的健康和环境风	
险，	但另一方面也会让中国完全依赖	REACH	的考虑事项，而无法	根据	中国本国特点来	
考虑控制	使用的化学品	及	产品	。

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2.3.3	 EU: Seveso Directives: reducing risks of major accidents	 	
欧盟：	Seveso	指令：降低重大事故风险	 	
2.3.3.1	 Introduction	引言	 	
Industrial accidents involving dangerous substances often have very serious 
consequences. Some well	-known major accidents like Seveso, Bhopal, 	Schweizerhalle, 	
Enschede, Toulouse and Buncefield have taken many lives and/o	r damaged the 	
environment and cost up to billions of euro. In the wake of these 	accidents, political 	
awareness has sharpened towards recognising the risks and taking 	appropriate 	
precautionary action to protect citizens and communiti	es.	 	
涉及危险物质的工业事故常常有非常严重的后果。一些重大事故，比如	塞韦索	、	
博帕尔、	史威查豪尔	、	恩斯赫德	、图卢兹和邦斯菲尔德，	夺走了很多生命，破坏了环	
境，财产损失达数十亿欧元。这些事故带来的结果是：认识、	了解风险	并采取适当防	
范行动控制	风险并	保护公民和社区的	环境安全	的政治意识显著增强。	 	
The 1976 Seveso accident in Italy spurred EU legislation aimed at prevention and 
control of the risks of major accid	ents in chemical industry. The resulting “Seveso” 	
directives now apply to around 10	 000 industrial establishments. These establishments 	
have in common that they use or store dangerous substances in large quantities and are 
mainly a part of the chemicals, p	etrochemicals, storage and metal refining industries. 	
The Seveso directives aim 	to reduce the risks of major accidents and also 	limitthe	 	
consequences if such accidents happen	. More specificallythe legislation seeks to 	
minimize 	consequences fo	r the environm	ent and at the same time regulates the 	
protection of employees of a company	 as well as people in close proximity to	, for 	
example, a chemical plant.	 	
意大利	1976	年发生的	塞韦索	事故促使欧盟制定了防止和控制化学工业重大事故风	
险的立法。事故之后制定的“	Seveso	”指令目前适用于约	10,000	家工业企业。这些企	
业的共同之处在于，他们都大量使用或储存危险物质，而且主要	属于化学品、石油化	
学品、仓储和金属精炼行业。塞维索指令的目的是	降低重大事故风险，并且	限制	事故	
的影响后果	。更具体地说，该立法寻求把事故对环境造成的后果减至最小，同时保护	
公司员工以及靠近化工厂的人员的	人身	健康	和安全	。	 	
The directives 	oblige member states to facilitate that industry operators have 	
policies in place to prevent major accidents	. Operators that handle dangerous 	
substances above certain thresholds are obliged to regularly inform the public likely to 
be affected by an accident. The 	operators should provide safety reports, a safety 	
management system and an internal emergency plan	. M	ember states must ensure 	
that 	emergency plans are established for the surrounding areas and that 	
mitigation actions are planned	. These objectives should also be taken into account in 	
land	-use planning. The legislation constitutes a tiered approach to the l	evel of controls. 	
The larger the quantities of dangerous substances present within an 
establishment, the stricter the rules	. The socalled upper	-tier establishments have

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larger quantities than lower	-tier establishm	ents and are therefore subject	 to more 	
cont	rol.	34 	
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The legislation on prevention and 	limitation of major accidents is threefold and consists 	
of the Seveso I, II and III directives. The Seveso I directive on the major	-accident hazards 	
of certain industrial activities was adopted in 1982. In 1996 it was replaced by the 
Seveso II directive on	 the control of risk of major	-accidents hazards involving dangerous 	
substances. The second directive is a revision of the first directive. The revision was 
prompted by a change in focus to more general management systems (Versluis, 2004). 
The new focus st	emmed from “the recognition that approximately 8	5% of ove	r 300 	
accidents reported under 	Seveso I have shown some defici	encies in the management 	
system”	 (Porter and Wettig, 1999: 3).	 To account for this, 	Seveso II introduced a 	
change from focusing on indivi	dual technical installations to focusing on entire 	
establishments	. 	
这部关于重大事故预防与限制的立法由	SevesoI	指令、	SevesoII 	指令和	SevesoIII 	指	
令	三个部分	组成。	1982	年通过的	SevesoI	指令是关于某些工业活动的重大事故灾害的。	
1996	年，它被	Seveso II 	指令取代，后者是关于涉及危险物质的重大事故灾害风险控	
制的。修订塞维索指令	I	的原因是欧盟将工业活动风险管理的重点转移到了更加综合	
的管理制度（	Versluis	, 2004	）。这一管理重点的	改变	是由于“认识到了	Seveso I	报告	
的	300	多次事故中，约	85%	表明管理体系存在缺陷”（	Porter and Wettig, 1999: 3	）。	
因此，	Seveso II 	做了修改，	将	管理	主体	从	个别技术	设备	改为整个企业	。	 	
The Seveso III directive was adopted in 2012 and presents further adaptation of the 
provisions related to the risks of major acci	dents as well as harmonizing this legislation 	
with other recently adopted EU policies. In particular, 	the directive broadens the 	
scope for citizen protection and information in relation to risks resulting from 
activities of nearby companies	. The member sta	tes are obliged to transpose and 	
implement this directive within 1	st June 2015. A broad overview of the three Seveso 	
directives is presented in table 2.4. 	 	
Seveso III 	指令于	2012	年通过，对重大事故风险有关的规定做了进一步调整，并	
使这部立法与最近通过的其他欧盟政策相协调。特别是，	该指令	拓宽	了与附近	企业	活	
 	 	 	
34 For the detailed classification system with regard to lower	- and upper	-tier establishments see Annex 1, 	
Part 1 in the official legislation: 	http://e	ur-	
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:197:0001:0037:EN:PDF	 	
关于下层企业和上层企业的详细分类系统，见正式立法第一部分附录	1：http://eur	-	
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:197:0001:0037:EN:PDF

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动	所致	风险有关的	市民	保护和	信息公开	范围	。成员国必须在	2015	年	6	月	1	日之前转	
换并实施本指令。表	2.4	提供了对	Seveso	系列指令的概述。	 	
Table 2.	4 	The Seveso directives: A brief summary 	 	
表	2.4 Seveso 	指令：小结	 	
 	Specifics	 	
全称	 	
Date of adoption	 	
通过日期	 	
Content/change from previous legislation	 	
内容	/与上一部立法的不同	 	
Seveso I	 	Directive 82/501/EEC on the 
major	-accident hazards of 	
certain industrial activities	 	
关于某些工业活动引起的重
大事故灾害的指令
82/501/EEC	 	
June 24	th, 1982. 	
Ame	nded twice, in 	
1987 and 1988	 	
1982	年	6	月	24	
日。	1987	年和	
1988	年两次修改	 	
 	Main objective: To prevent major 
accidents and to limit their 
consequences for man and the 
environment	 	
主要目的：预防重大事故并降低	事故	
的健康和环境影响	 	
 	Member states must assure that 
operators have a policyin place to 
prevent major accidents	 and that this 	
policy is reported to and monitored by 
competent authorities within each 
member state	 	
成员国必须确保经营者制定预防重大
事故的政策，该政策须报告给每个成
员国内的主管部门，并由主管部门监
控。	 	
Seveso II	 	Directive 96/82/EC on the 
control of major	-accident 	
hazards	 involving dangerous 	
substances	 	
关于控制涉及危险物质的重
大事故灾害的指令	96/82/EC	 	
December 9	th, 	
1996. Amended	 in 	
2003	 	
1996	年	12	月	9	
日。	2003	年修改	 	
 	Introduction of new	 requirements 	
relating to safety management 
planning, emergency planning and 
land	-use planning	 	
执行关于安全管理规划、应急预案和
土地使用规划的新要求	 	
 	Reinforcement of the provisions on 
inspections to be carried out by the 
member states	 	
强化关于由成员国进行检查的规定	 	
Seveso III	 	Directive 2012/18/EU	 on the 	
control of major	-accident 	
hazards involving dangerous 
substances, amending and 
subsequently repealing 
Council Directive 96/82/EC 	 	
关于控制涉及危险物质的重
大事故灾害的指令
2012/18/EU	， 修 改 并 随 后 取	
代 了 欧 盟 委 员 会 指 令
96/82/EC	 	
July 4th 2012	 	
2012	年	7月	4日 	
 	Technical updates to take account of	 	
changes in EU chemicals classification	 	
技术更新，将欧盟化学品分类的调整
考虑在内	 	
 	Better access for citizens to information 
about risks and more effective rules on 
public participation in land	-use 	
planning projects related to Seveso 
plants. Access to justice for citizens 
who h	ave not been granted access to 	
information and participation

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让市民更好地获取关于风险的信息，
强调了公众参与和	Seveso	工厂有关	
的土地使用规划，	使得相关规定更具	
操作性和有效性	。由于	企业和政府原	
因致使	信 息 公 开 和 公 众 参 与	不到位	
的，公众可以	诉诸司法。	 	
 	Stricter standards for inspections of 
establishments to ensure more 
effective enforcement of safety ru	les	 	
企业排查标准更加严格，以保证更有
效地执行安全规程。	 	
Source: The European Commission	来源	：欧盟委员会	 	
2.3.3.2	 Principles	原则	 	
The Seveso directives are 	concerned with the prevention of major accidents, which 	
may result from certain industrial activities, and with the limitation of their 
consequences for both the environment and the public	. It is the responsibility of 	
each member state to facilitate the manufacturer to undertake all measures necessary to 
prevent major	-accidents and to limit conseq	uences if any accident happens.	 The 	
member 	states are also obliged to ensure that competent authorities are set up	, 	
and that the manufacturers report back to these authorities. 	 	
Seveso	指令旨在预防某些工业活动引起的重大事故，以及	减轻	事故	对	环境和公众	
造成的后果。每个成员国都有责任帮助生产商采取一切必要措施预防重大事故，并在
发生重大事故时降低其健康	、	环境	影响	。	 	
The underlying principle of the legislation is 	precautious action	 (in line with the 	
precautionary principle	). The desire is to reduce the risk of major accidents and to 	
limit their consequences. In order to accomplish these objectives 	information	 serves as	 	
a key instrument	 to achieve the main objectives of these directives. First, 	staff 	
working at the different plants (establishments) needs sufficient and correct 
information to be able to prevent and limit accidents.	 Second, 	people living nearby 	
plants have	 a right to information of the possible hazards and how to behave in an 	
emergency situation	. 	
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The Seveso legislation was updated (by Seveso II and III) to ensure high levels of 
protection throughout the EU in a consistent and efficient manner. This is equivalent to 
fairness and equity	 in the sense that existing and new establishments are subj	ected to 	
the same rules and approaches across the member states. Since the consequences of 
major	-hazard accidents can travel across member state 	borders	, the directive objectives 	
can, in some circumstances, be better achieved at the EU level. The legislati	on thus

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allows the EU to adopt measures in accordance to the 	principle of subsidiarity	 and the 	
principle of proportionality	 (see chapter 1 for definitions). 	 	
Seveso	立法根据	风险	形势	的变化在不断	更新（通过	Seveso II	和	III	），以便一致	
有效地确保整个欧盟范围内对于	工业	风险	的	高水平保护。现有企业和新企业须遵守所	
有成员国内相同的管理	规定	和方法，这	也就是	公平公正原则	。由于重大灾害事故可能	
造成跨界影响	，因此某些情况下，指令	在整个欧盟层面实施将有助于立法目标的实现	。	
因此，该立法允许欧盟根据	替代原则和相称性原则	（定义见第	1	章）采取风险	防范	措	
施。	 	
2.3.3.3	 Approach	方法	 	
The Seveso directives apply to establishments where dangerous substances are present 
in large quantities.	35 The Seveso directives establish 	how a policy regime to prevent 	
and limit major accidents should be set up within the 	EU 	member states	. This 	
implies that each operator is inclined to draw up a 	major	-accident prevention 	
policy	.36	 Furthermore 	each establishment is required to notify competen	t 	
authorities within each member state of its dangerous substances	. The operators 	
are also required (by the member states) to 	produce safety reports and emergency 	
plans	. In the event of 	an accident, the operator should supply information to the 	
competent a	uthorities, which again should adopt appropriate measures	. 	
Seveso	指令适用于存在大量危险物质的企业及机构。	Seveso	指令规定了	如何在欧	
盟成员国内建立预防和	规避	重大事故的政策制度	。这意味着，每个经营者都要制定	重	
大事故预防政策	。此外，	每家企业	机构	都要向成员国的主管部门通报危险物质	的	相关	
信息	。经营者还被（成员国）要求	编制安全报告和应急预案	。发生	事故时，经营者应	
向主管部门提供信息，主管部门	还	应再采取适当措施	。	 	
The member states are responsible for overseeing that 	the public likely to be affected 	
by an accident are informed on safety measures and how to behave in the event of 
an accident	. The 	safety reports from the different establishments should also be 	
public	ly available	. However, the operator may ask the competent authorities to not 	
disclose certain parts of the report to the public (for reasons of public security, national 
defense or industrial, commercial or personal confidentiality). Member states should 
also provide information to nearby member states on potential issues that can have 
transboundary effects.	 	
成员国负责监督可能受事故影响的	公众是否被告知了安全措施	以及	在	事故	发生	时	
的	应对措施	。企业的安全报告也应	向	公众	公开	Ä'f6<È4ÿ:U65
?±"rk1ÑGL6	#¹	ú	
 	 	 	
35 See 	http://ipsc.jrc.ec.europa.eu/?id=491	 for the substances covered by the legislation and for the 	
classification a	nd thresholds of these substances.	 	
该立法所涉及的物质以及这些物质的分类和临界量见	http://ipsc.jrc.ec.europa.eu/?id=491	。	 	
36 An operator is defined as any individual or corporate body that holds an establishment or installation 
(within an establishment) or an individual who has been given decisive economic power.	 	
经营者被定义为持有一个企业机构或（企业机构内）设备的个人或法人团体，或者被赋予了决定性经济
权的个人。

Tackling environmental risks with environmental planning: international experiences	 	
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Vista Analys	is AS	 	131	 	
公共安全、国防或工业机密、商业机密	或	个人机密等内容	保密。成员国还应向相邻的	
成员国提供关于可产生跨境影响的潜在问题的信息。	 	
In the event of an	 accident	 the Commission should receive the details on these as well 	
as the emergency measures taken and the immediate precautions necessary to prevent 
such an accident from happening again. A standardized report on the accident should 
also be provided by 	the member states based on the information from the operator and 	
the competent authorities. The Commission is in charge of a register and information 
system containing the details of the major accidents which have occurred. The main 
purpose of this system 	is 	to provide relevant actors with information on preventive 	
measures and the lessons learned from major accidents	. 	
发生	事故	&È!W-
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?±-,´_	
A-(£	CS+ê	�Ë	»u	N´LbÚíŸ	úþGýW»u]	Ç`	,´‰AÝ	Ä	 	
With respect to enforcement of establishment compliance, 	establishments can face a 	
prohibition order	. However an operator may appeal to an appropriate body 	
(determined by national law) against such an order. The directives specify that:	 	
在企业执行情况	的检查	方面	，	企业	可能	由于存在某些问题而	被	要求禁止生产	Ä'f	
6<È4ÿ:U65
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 	Member states shall prohibit the use of 	any establishment, installation or storage 	
facility	 if measures taken by the operator for the prevention and mitigation of 	
major accidents have serious flaws	 	
如果经营者所采取的重大事故预防和减轻措施有严重缺陷，成员国应禁止任何
企业机构、设备或储存设施的	生产和使用活动	。	 	
 	Member states may prohibit the use if the operator has not submitted the 
notification, reports or other information required within the specified time 
period 	 	
如果经营者未在规定时间内提交申报书、报告或者所要求的其它信息，成员国
可颁布禁令。	 	
Member state authorities also enforce compliance with the Seveso directives through 
inspections and penalties	. The Seveso legislation 	(Seveso I and II) 	has 	traditionally	 	
not	 applied to the following types of establishments	: 	
成员国还通过检查和处罚强制企业遵守	Seveso	指令。	Seveso	立法不适用于以下类	
型的企业机构：	 	
 	Military establishments, installations or storage facilities	 	
军事机构、设备或储存设施	 	
 	Hazards created by ionizing radiation	 	
电离辐射造成的危害

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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 	The transport of dangerous substances and intermediate temporary storage by 
road, rail, internal waterways, sea	 or air, outside the establishments covered by 	
this legislation	37 	
在不受本立法约束的企业机构厂界	外	，通过公路、轨道、国内水道、海洋或空	
中运输危险物质以及临时储存仓库	 	
 	The transport of dangerous substances in pipelines	 	
通过管道运输危险物质	 	
 	The activities of the extractive industries concerned with exploration for, and	 the 	
exploitation of, minerals in mines and quarries or by means of boreholes	 	
采掘行业与勘探和开采矿井或采石场中的矿产品或者以钻井方式进行勘探和开
采有关的活动	 	
 	Waste land	-fill sites	垃圾填埋场	 	
However, in Seveso III exclusions from the legislation are to be assessed on a case to 
case basis by the Commi	ssion.	 	
然而，欧盟	委员会	可	根据实际	情况实施	Seveso III	指令。	 	
2.3.3.4	 Tools	工具	 	
As outlined above, the Seveso approach is based on several tools.	 The main tools are 	
Notification, Major	-accident prevention policy (MAPP), Safety reports, Emergency 	
plans, Land	-use planning, Information to the	 public, Public consultation and 	
participation in decision	-making (introduced by Seveso III) and Inspections	. Below 	
is a description of how these work. If changes occur at an establishment which could 
result in a lower	-tier (i.e. low risk) establishment be	coming an upper	-tier (i.e. high risk) 	
establishment (or vice versa), the Notification, the MAPP and the Safety report should be 
updated accordingly. Figure 2.8 shows how the different tools apply to the two types of 
establishments. Lower	-tier establishment	s have fewer obligations than upper	-tier 	
establishments.	 	
如上所述，	Seveso	指令以	几个	工具	和手段	为	基础。	主要工具	和	手段	有：	申报	、重	
大事故预防政策（	MAPP	）、安全报告、应急预案、土地使用规划、	信息公开	、征询	
民意和公众参与决策（	Seveso III	引入的）以及检查	。下面描述这些工具是如何	实施	的。	
如果某企业机构发生变化，导致下层（即低风险）企业机构变为上层（即高风险）企
业机构（或反之亦然），申报、	MAPP	和安全报告应相应进行更新。图	2.8	显示了不同	
工具如何适用于两种类型的企业机构。由于	上层企业环境风险高，因此其开展的工作	
和提交	的	材料与报告要多于	下层企业机构。	 	
Figure 2.	8 	Reporting	 and monitoring requirements for upper	-tier and lower	-	
tier Seveso establishments	 	
图	2.8 	上层和下层	Seveso	企业	机构的	报告和	监测	要求	 	
 	 	 	
37 See 	http://eur	-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:260:0013:0059:EN:PDF	 	
for legislation on the carriage of dangerous goods by road, rail and inland wa	terway	 	
关 于 通 过 供 公 路 、 轨 道 和 内 陆 水 道 运 输 危 险 货 物 的 立 法 见	http://eur	-	
lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2008:260:0013:0059:EN:PDF

Tackling environmental risks with environmental planning: international experiences	 	
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Vista Analys	is AS	 	133	 	
 	
 
Notification	申报	 	
The operator 	of a new or old establishment is 	obliged to send a notification to 	
member state authorities with contact details and information on dangerous 
substances which are present or likely to be present at the establishment	. This 	
notification should contain name a	nd full address, the registered place of business and 	
the name of the person in charge of the establishment (if not the same person as the 
operator). Furthermore, 	information sufficient to identify the dangerous substances 	
and categories of substances invo	lved or likely to be present should be provided	. 	
The quantities and physical form of the substances and the activity or proposed activity 
of the installation/storage facility are also to be accounted for in the notification. 	 	
新企业或老企业的经营者	必须向成员国当局提交申报书，注明详细联	系方式以及	
关于企业存在或可能存在的危险物质的信息	Ä+cÕ–GüÄ#>1J,´
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¼	(æ1		úAî7	/存储设施的	工业生产	活动	。	 	
Lastly, the notification must include a 	report of the nearby environment of the 	
establishment and factors that ma	y cause a major accident or may increase the 	
consequences of possible accidents	. This includes details of neighbouring 	
establishments and of sites that fall outside the scope of the Seveso legislation. 
Developments that could be 	the source of or increase the risk of a major accident 	or 	
domino effects (i.e. an accident in one plant starting a chain of accidents in 
neighboring plants)	 are also to be specified. The same holds for 	developments that 	
could increase the possible conseque	nces of accidents or domino effects	. If the 	
risks of domino effects are high, the concerned establishments are obliged to cooperate 
and exchange information. This is particularly relevant for industrial parks, see chapter 
3. If any changes in the informati	on provided occurs (i.e. an increase or decrease in the 	
quantity of the dangerous substances or permanent closure), the operator of the 
establishment should make the responsible national authorities aware of these changes. 	 	
•Notification 	申报	 	•Safety report and safety management system (including MAPP) 	安全报告与安全管理系统（包括	MAPP	） 	•Internal and external emergency plan 	内部和外部应急预案	 	•Information to the public 	信息公开	 	•Inspections 	检查	 	
Upper	-tier 	
establishments	 	
上层企业机构	 	
•Notification 	申报	 	•MAPP 	安全报告和安全管理系统	 	•Inspections 	检查	 	Lower	-tier 	
establishments	 	
下层企业机构

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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最后，申报书必须包括	一份企业附近环境的报告以及可能引起重大事故或	者可能	
扩大潜在事故的后果分析。	F		5-(Fë1J	ú	Seveso	立法适用范围以外场地的详细	
信息。此外还应详细说明企业	成为重大事故或多米诺	骨牌	效应（即一个工厂的一例事	
故引发附近工厂的一连串事故）	的	风险	及	事故后果	情况。	如果多米诺效应风险较高，	
有关各企业必须开展合作并交流信息。在工业	园区层面，	企业	间开展风险交流是非常	
必要的	，见第	3	章。如果提交的信息有变动（即危险物质的数量增减或者停止生产），	
企业经营者应将这种变动告知成员国负责部门。	 	
Major	-accident 	risk 	prevention policy	重大事故风	险预防政策	 	
The operator is required to outline the major	-accident 	risk 	prevention policy 	
(MAPP) in a written document	 which is to be sent, if national law stipulates it, to the 	
responsible national authorities.	38 The MAPP is to be designed to ensure a high level of 	
protection of human health and the environment, and should be proportionate to the 
risk of major	-accidents. This 	includes the operator’s main goals and principles of 	
action and the role and responsibil	ity of management	. The MAPP should also signal 	
the commitment towards continuously improving the control of major	-accident hazards 	
and ensuring high protection levels. The MAPP should be subject to review by the 
operator at least every five years.	 	
经营者需要按照法	律规定以	书面文件的形式	向国家负责部门发送	重大事故预防政	
策（	MAPP	）	概要	。	MAPP	旨在监督	健康和环境风险管理措施	能够	高度落实	，并且应当	
与重大事故的风险水平	和后果相匹配	。报告	包括经营者行动的主要目标和原则以及管	
理人员的职责	等	内容	。	MAPP	还应体现出对不断改进重大事故灾害控制和确保	风险	防	
控水平	的承诺	。	MAPP	还需由经营者每五年审核一次。	 	
The operator is responsible for the proper implementation of the MAPP at the 
establishme	nt. 	The MAPP is to be implemented by appropriate means and 	
structures, and by a safety management system	. The implementation should be 	
proportionate to the major	-accident hazards, the complexity of the organization 	
or the activities of the establishment	. T	here is granted more discretion in the 	
implementation for lower	-tier establishments than for upper	-tier establishments.	 	
经营者负责	MAPP	在企业的落实。	MAPP	要以适当的手段和组织方式、通过安全	
管理体系来实施	。实施应	与重大事故灾害、组织的复杂度或者企业的	高风险	活动相称	。	
在实施中，下层企业可以依据塞维索	指令的要求，自行	编写	某些章节的内容，与上层	
企业项目	相比	，其	MAPP	的要求更为宽松。	 	
Safety report (for upper	-tier establishments only)	安全报告（仅适用于上层企业）	 	
The operator of an upper	-tier establishment is required to produce a safety report in 	
line with these purposes:	 	
上层企业的经营者需按照以下目的编制安全报告：	 	
 	 	 	
38 For an example of a Major Accident Prevention Policy (MAPP) see the MAPP of Lansdowne Chemicals: 
http://www.lansdownechemicals.com/assets/pdfs/MAPP.pdf	 	
重大事故预防政策（	MAPP	）范例见兰斯顿化工有限公司的	MAPP

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 	To show that a MAPP and a safety management system for i	mplementing it have 	
been established	 	
说明已制定了	MAPP	并建立了实施	MAPP	的安全管理系统	 	
 	To show that major	-accident hazards and possible major	-accident scenarios have 	
been identified and that the necessary measures have been implemented to 
prevent accidents and to limit their co	nsequences	 	
说明已确定了重大事故灾害及可能的重大事故场景，并且采取了必要措施来预
防事故及限制事故的后果	 	
 	To show that adequate safety and reliability have been accounted for in design, 
construction, operation and maintenance of for instance equipment, 
infrastructure and storage facilities	 	
说明在设备、基础设施和存储设施的设计、建造、操作和维护中已经考虑了安
全性和可靠性。	 	
 	To show that internal emergency plans are in place and that information to 
facilitate an external emergency plan is provided	 	
说明已制定了内部应急预案并且已提供了便于制定外部应急预案的信息	 	
 	To provide sufficient information to the national authori	ty to enable decisions to 	
be taken with regard to the siting of new activities or development around 
existing establishments	 	
向国家有关部门提供充分信息，使其能够就现有企业周围新活动或开发项目的
选址做出决策	 	
The safety report is to be sent to the responsible national authorities. The report is 
sub	ject to periodical review by the operator. If there are any new evolvements, the 	
safety report should be updated accordingly. This is also standard procedure following a 
major accident at the establishment. 	 	
安全报告要发送给成员国负责部门。该报告需由经营者定期审核。如有新情况，	
安全报告应进行相应更新。这	也是企业发生重大事故之后应遵循的标准程序。	 	
Emergency plans (for upper	-tier establishments only)	 	
应急预案（仅适用于上层企业）	 	
In the event of an accident it is important to have high	-quality emergency plans to rely 	
on. 	Emergency plans can contribute to limiting damage and minimizing the 	effects 	
of an accident	. Such a plan is 	also a necessary tool to provide information to the 	
public, authorities and services concerned in an efficient manner	. The emergency 	
plan 	also outlines the restoration and clean	-up following a major accident	.39 	
 	 	 	
39 See 	http://www.galwaycity.ie/AllServices/RoadsandTraffic/Publications/FileEnglish,5116,en.pdf	 for 	
an example of an external emergency plan (Galway H	arbour Enterprise Park) and 	
http://www.mem.ie/guidancedocuments/a%20guide%20to%20seveso%20obligations.pdf	 	
for EU guidance on emergency plans.	外部应急预案范例（	Galway	港企业园区）	见	
http://www.galwaycity.ie/AllServices/RoadsandTraffic/Publications/FileEnglish,5116,en.pdf	，欧盟应急	
预案指导见	http://www.mem.ie/guidancedocuments/a%20guide%20to%20seveso%20obligations.pdf

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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发生事故时，可操作性强、	实施性强的	应急预案很重要。	应急预案有助于限制事	
故的损害并	将	事故影响	减至最小	ÄN´x	F_	Ÿ	œ0
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In order to accomplish the objectives of an emergency plans, the following steps need to 
be taken:	 	
为了实现应急预案的目标，需要执行以下步骤：	 	
1. An internal emergency plan of the measures 	to be taken inside the establishment 	
drawn up by the operator	 	
由经营者拟订企业内部应对	措施	的内部应急预案	 	
2. Necessary information to draw up an external emergency plan has to be provided 
to the responsible authority by the operator	 	
经营者必须向负责部门提供拟订外部应急预案的必要信息	 	
3. An external emergency	 plan for the measures to be taken outside of the 	
establishment drawn up by the authority	 	
有关部门拟订企业外部应对措施的外部应急预案	 	
Personnel working inside the establishment are to be consulted on step 1 while the 
public concerned should have the possibility to give its opin	ion regarding step 3. Both 	
the internal and external emergency plan should be reviewed, tested and where 
necessary also updated. 	 	
编制外部	应急预案时	要征询企业内部工作人员的意见，公众应当就	外部应急预案	
提出意见	。内部和外部应急预案均应进行审核、检验，必要时进行更新。	 	
Land	-use planning	土地使用规划	 	
Article 12 of the Seveso II Directive requires Member States to ensure that the objectives 
of preventing major accidents and limiting the consequences of such accidents are taken 
into consideration in their land	-use planning policies. The 	essential necessi	ty here is 	
to maintain appropriate distances between establishments covered by the 
directives and residential areas, areas of public use and areas of particular 
national interest	. However, 	the legislation itself does not contain any detailed 	
suggestion on 	how this should be done	. In order to address this issue, a Technical 	
Working Group (TWG 5) was set up in 1996, with the participation of representatives 
from the Member States nominated by their Competent Authorities, representatives 
from the relevant Fede	rations of Industry and from the local authorities (e.g. 	
associations of mayors). 	 	
《	Seveso	 II 	指令》第	12	条要求成员国确保在其他土地使用规划中考虑预防重大事	
故和限制该等事故后果的目标。在	这一点上的基本要求是保持受指令约束的企业与居	
住区、公共使用区和	国家划定	的特殊	区域之间	保持	的适当距离	。然而，	该立法本身并	
没有就如何做到这一点提出详细建议	。为了解决这一问题，	1996	年成立了技术工作组	
（	TWG 5	），工作组的	成员有	成员国	主管部门提名的代表、相关工业联合会的代表以	
及地方当局（例如市长协会）的代表。

Tackling environmental risks with environmental planning: international experiences	 	
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Box 2.	4 Safety zones in the SEVESO Directive	 	
框	 2.4 Seveso	指令中的安全地带	 	
The Seveso Directive 	addresses the issue of safety zoning through itsArticle 12(1) on 	
land	-use planning, which requires the following:	 	
“Member States 	shall ensure that the objectives of preventing major accidents and 	
limiting the consequences of such accidents are taken into account in their land	-use 	
policies and/or other relevant policies. They shall pursue those objectives through 
controls on:	 	
(a) the	 siting of new establishments,	 	
(b) modifications to existing establishments covered by Article 10,	 	
(c) new developments such as transport links, locations frequented by the public and 
residential areas in the vicinity of existing establishments, where the 	siting or 	
developments are such as to increase the risk or consequences of a major accident.	 	
Member States shall ensure that their land	-use and/or other relevant policies and the 	
procedures for implementing those policies take account of the need, in the l	ong term, to 	
maintain appropriate distances between establishments covered by this Directive and 
residential areas, areas of public use and areas of particular natural sensitivity or 
interest, and, in the case of existing establishments, of the need for ad	ditional technical 	
measures in accordance with Article 5 so as not to increase the risks to people.”	 	
The Seveso Directive thus requires Member States to ensure that the objectives of 
preventing major accidents and limiting the consequences of such accident	s are taken 	
into consideration in land	-use planning policies. The Directive does not contain any 	
detailed suggestion on how this should be done. In order to address this issue, a 
Technical Working Group (TWG 5) was set up in 1996, with the participation of	 	
representatives from the Member States nominated by their Competent Authorities, 
representatives from the relevant Federations of Industry and from local authorities. In 
1999 TWG 5 issued a Guidance document in support to the implementation of Article 12.	 	
The Conference on "Major Industrial Hazards in Land	-use Planning", held in 2002 	
showed a need for enhanced convergence, in particular in the field of risk assessment. 
The conference emphasized that the variety of approaches was substantial. According to 
EU’s Joint research Center	40, the practices and methodologies are so varied that it is 	
difficult to compare land	-use policies throughout the European Union or to defend 	
against claims that they do not support a minimum standard across the Member States. 
Arti	cle 12 in the Directive was amended in 2003 to establish a database for risk data and 	
to develop guidance to local planners with respect to risk assessment in land	-use 	
planning.	 	
 	 	 	
40http://ipsc.jrc.ec.europa.eu/index.php/Land	-use	-planning	/694/0/	).

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	138	 	
Seveso	指令通过第	12	（	1）	条关于土地的使用规划解决安全区域划分的问题	，	该	12	
（	1）	条要求	：	 	
“	成员国应确保在制定土地使用政策和	（	或	）	其他相关政策时考虑到防止重大	事故和	
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（	a）新企业的选址，	 	
（	b）对受第	10	条约束的现有企业的修改，	 	
（	c）	公众常去的新建设项目，例如交通枢纽、地点和现有企业附近的居住区，这些地	
方的选址或项目很重要，有可能会增加某重大事故的风险或影响，	 	
成员国应确保其土地使用和（或）其他相关政策	以及执行这些政策的	程序	从长期考虑	
	§(©!º8'fOÖF(©!ºY,ú	
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/ë		5	条采取其他技术措	
施，避免增加对人的风险。”	 	
《	Seveso	指令》因此要求成员国确保在土地使用规划中考虑预防重大事故和限制该等	
事故后果的目标	，	但 指令未针对如何做到 这一点给出详细建议 。为解决这一问题，	
1996	年成立了技术工作组（	TWG 5	），工作组的成员有成员国主管部门提名的代表、	
相关工业联合会的代表以及地方当局的代表。	1999	年，	TWG 5 	发布了一份指导文件，	
以支持第	12	条的实施。	2002	年举行的“土地使用规划中的重大工业危害”会议表明	
需要加强一致性，尤其是风险评估领域的一致性。会议强调，方法的多样性是重要
的。根据欧盟联合研究中心，采取的做法和方法非常多样化，以致于很难比较欧盟的
所有土地使用政策或针对它们不符合成员国最低标准的指控进行辩护。指令中的第	12	
条于	2003	年进行了修改，以建立风险数据库，并为地方规划者提供土地使用规划风险	
评估的指导。	 	
In 1999, after three years of work, TWG 5 issued a Guidance document in 	support to the 	
implementation of Article 12.	41 The document presents some general guidelines on how 	
to assess the risks for accidents and how this could be reduced for new establishments, 
modifications to existing establishments and developments in the vici	nity of existing 	
establishments. 	The matters suggested as possibly relevant for consideration include the 	
results of risk analysis and evaluation, including an evaluation of the physical 
characteristics of the area in which the hazardous activity is being 	planned, including 	
where relevant:	 	
1999	年，这项工作	启动	三年之后，	TWG 5 	发布了一份指导文件，以支持第	12	条	
的实施。文件就如何评估事故风险以及如何降低新建企业、现有企业改扩建项目和现
有企业附近开发项目的事故风险提供了一些一般导则。建议可结合风险分析评估的结
果、高风险活动所在区域特征对导则	进行适当修订	，应当考虑	的因素	包括：	 	
 	 	 	
41 土地利用规划指导见	See 	
http://ipsc.jrc.ec.europa.eu/fileadmin/repository/sta/mahb/docs/LandUsePlanning/EUR18695EN_Land
UsePlanningGuidance.pdf	 for the guidance on land	-use planning	.

Tackling environmental risks with environmental planning: international experiences	 	
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Vista Analys	is AS	 	139	 	
 	The quantities and properties of hazardous substances on the site;	 	
现场危险物质	的数量和特性；	 	
 	Brief descriptive scenarios of a representative sample of industrial accidents 
possibly arising from the hazardous activity, including anindication of the 
likelihood of each;	 	
简要描述可能由危险活动引起的最大	可信事故	情景，包括指出每种情景的可能	
性；	 	
 	For each scenario:	对于每一种情景：	 	
• 	The 	approximate quantity of a release;	大约释放量	 	
• 	The extent and severity of the resulting consequences both for people and 
for the non	-human environment in favourable and unfavourable 	
conditions, including the extent of resulting hazard zones;	 	
在有利和不利条件下，对人以及对非人类环境所	致后果的范围和严重程	
度，包括所致危害区的范围；	 	
• 	The time	-scale within which the industrial accident could develop from 	
the initiating event;	 	
从事件的	发生到演化为重大	事件的经历时间	 	
• 	Any action which could be taken to minimize the likelihood of escalation.	 	
为了将事故风险	（	发生	可能性	和	事故影响）	减至最小而可以采取的行动	 	
 	
 	The size and	 distribution of the population in the vicinity, including any large 	
concentrations of people potentially in the hazard zone;	 	
周边人口规模和分布，包括危害区可能出现的人口聚集情况；	 	
 	The age, mobility and susceptibility of that population.	 	
周边人口的年龄、流动性和敏感性；	 	
 	The severity of the harm inf	licted on people and the environment, depending on 	
the nature or circumstances of the release;	 	
人和环境的受害程度，视释放	物质的	性质	和事故情况	而定；	 	
 	The distance from the location of the hazardous activity at which harmful effects 
on people and the environment may reasonably occurin	 the event of an industrial 	
accident;	 	
与危险装置	设施及生产	活动所在地的距离，发生工业事故时可能会对周边人和	
环境产生适度的有害影响；	 	
 	The same information not only for the present situation but also for planned or 
reasonably foreseeable future developments.	 	
预测工业	企业未来发展的情况及风险的水平、	环境影响情况	等	；	 	
 	The results of con	sultations and public participation processes;	 	
信息公开及公众参与过程的结果；	 	
 	The evaluation of the environmental risks, including any transboundary effects;	 	
环境风险评估，包括跨境（跨界	）	影响；	 	
The guidance document also presents some examples on how this has been followed up 
in some EU 	countries. The essential issue in land use planning is to have enough space 	
between the industry activity and residential areas. The Government in one EU country 
has issued guidelines for 	housing developments close to existing industry and to the 	
considera	tion of proposals to modify industrial establishments as well as the location of 	
new industry. The Government also prescribes that measures should be taken at the

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	140	 	
source to reduce industrial discharges and noise, but in addition to such restrictions on 
dis	charges, etc. it is recogni	zed that there is also a need for planning measures to protect 	
the immediate surroundings and people.	 	
指导文件还通过一些案例说明了一些欧盟国家的实施情况。土地利用规划中的基	
本问题是工业活动与住宅区之间要有足够的	安全距离	。一个欧盟成员国的政府发布了	
现有工业企业附近住房开发导则，并发布了改造工业设施及新工业企业选址的提案供
审议。该政府还规定，应从源头上采取措	施，以减少工业排放和噪音，但除了这些排	
放限制之外，公众认为还需要通过规划措施来保护周边环境和居民。	 	
Safety distances are listed for 32 different activities, for example	 (Christou & Porter, 	
1999)	: 	
该	成员国	列出了	32	项不同活动的安全距离，例如：	 	
• 	Plastic industry	: 200 meters	 	
塑料工业：	200	米	 	
• 	Paper mill	: 500 meters	 	
造纸厂：	500	米	 	
• 	Non	-organic 	chemical industry	: 1,000 meters	 	
非有机化工：	1000	米	 	
• 	Oil refinery	: 1,500 meters	 	
炼油厂：	1500	米	 	
The guideline values presented are the typical initial values, more detailed assessment 
should be 	undertaken as necessary. The latter involves considerationof “reasonable” 	
sce	narios that can occur. Examples of such scenarios are: discharges, fire, smoke from 	
fires, contaminated extinguishing water,explosions and subsequent damage.	 The list of 	
distances is based on experience and studies of the permit	-granting authorities as wel	l 	
as the findings of environment researchers. Theguidelines for safety distances therefore 
contain the joint assessment of risks to the environment, health and safety.	 The 	
recommendations can be used in overall assessments of location, safety distances, et	c. in 	
comprehensive plans as well as for the design of detaileddevelopment plans and their 
regulations concerning demands for safety distances and demands on the design of land 
and buildings.	 	
所提供的指导值是经验判断的初始值，必要时应进行详细评估并	对安全距离予以	
调整	。后者需要考虑可出现的“合理”情景。这种情景有：泄露、火灾、火灾烟气、	
被污染的消防水、爆炸及后续损害。所列的距离基于经验和排污许可证颁发部门的研
究以及环境研究人员的调查结果。因此，安全距离导则包含环境、健康和安全风险的
综合评估。这些建议值可用于综合规划中选址、安全距离等的总体评估，也可用于详
细开发方案的设计以及开发方案中关于安全距离需求和土地与建筑物设计需求的规定。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	141	 	
Information to the public and public consultation and participation in 	decision	-	
making	 	
信息公开以及公众协商和公众参与决策	 	
Later versions of the Seveso directives have 	particularly emphasized the importance 	
of public awareness regarding major	-accidents hazard	. One tool to accomplish this 	
goal is to 	make the information of these hazards availab	le to the public	. Another 	
tool is to 	grant the public consultative rights in the decision	-making process	. 	
最新的	Seveso	指令特别	强调了公众对重大事故灾害的	认知	非常重要	。实现这一目	
标的一个手段就是	向公众提供这些	危害	的信息	（信息	公开）	。另一个手段是	赋予决策	
过程中	的	公众	商议	权	（公众参与	）	。	 	
With regard to the first tool, sufficient communication to the public is necessary to limit 
the consequences of a major accident. All persons likely to be affected by a major 
accident should thus 	regularly receive information on safety measures and how to 	
behave in the event of a major accident in an upper	-tier establishment	. The public 	
can also request information contained in, for instance, the safety report. Potentially 
affected neighboring member states should also receive information on possible 
transb	oundary effects.	 	
关于第一种手段，充分向公众传达信息对于限制重大事故的后果是必要的。因而，	
所有可能受重大事故影响的人员都应定期得到关于安全措施以及上层企业发生重大事
故时	的应对	信息	ÄœGF
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With regard to the second tool, the public concerned should be given an early 
opportunity to give its opinion on	 planned new establishments or possible evolvements 	
of existing establishments. The consultations with the public should then be taken into 
account in the decision	-making. Information on the decision	-making related to new 	
projects and evolvements should a	lso be provided publicly. 	 	
关于第二种手段，有关公众应尽早	参与	区域规划中的新企业或现有企业的可能变	
动的	决策并	发表意见。在决策过程中应考虑与公众协商。同时还应公开提供与新项目	
和变动项目有关的决策方面的信息。	 	
Inspections	检查	 	
A system of inspections is organized within each member state	 to ensure 	
compliance with the legislation. The purpose of inspec	tions is to verify that: 	 	
每个成员国境内均组建了一个检查系统，以确保遵守立法。检查的目的在于查证：	 	
1. The operator has taken the appropriate measures to prevent major accidents	 	
经营者已采取了适当措施来预防重大事故	 	
2. The operator has provided the appropriate means for limiting the consequences 
of major accidents, 	both on	-site and off	-site	 	
经营者提供了限制现场和场外重大事故后果的适当手段	 	
3. The data and information provided in the reports submitted accurately reflect 
the establishment

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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Vista Analyse AS	 	142	 	
提交的报告中所提供的数据和信息准确反映企业情况	 	
4. Information has been supplied to the public	 	
向公众提供信息（检查	结果也是信息公开的内容之一）	。	 	
All establishme	nts are covered by an inspection plan at the national, regional or local 	
level. While 	inspections at upper	-tier establishments occur at least on an annual 	
basis, the period between site visits can be three years for lower	-tier 	
establishments	. If the inspec	tions reveal shortcomings, the operators need to 	
implement the proposed actions. 	Non	-routine inspections are carried out to 	
investigate serious complaints, serious accidents and “near misses” incidents	. 	
所有的企业都参加一项国家、区域或地方级的检查计划。	上层企业的检查至少每	
年进行一次，但下层企业的	现场检查	时	间间隔可以是三年	Ä²Ìð
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How are EU Member States and enterprises implementing the Seveso Directive?	 	
欧盟成员国和企业是如何实施	Seveso	指令的？	 	
Member States are free to internally organize the responsibility 	for the implementation 	
and follow up of the Seveso Directive. In most EU countries this responsibility seems to 
be placed within a different government institution than for instance the responsible for 
pollution control. In Norway for instance, the respons	ible institution for the Seveso 	
Directive is the Norwegian Directorate for Civil Protection, which is responsible for 
national, regional and local civil protection, fire and explosion protection, electrical 
safety, safe handling of hazardous substances (in	cluding transportation) etc. On the 	
other hand, the responsible institution for preventing pollution of air, water and soil is 
the Norwegian Directorate for Pollution Prevention. In smaller EU countries with 
relatively few Seveso enterprises risk managemen	t issues and pollution prevention can 	
be handled by one public institution only.	 	
成员国可以自由安排本国该如何安排《	Seveso	指令》的实施与具体落实责任。在	
多数欧盟国家，这种职责安排给了	除	污染控制机构以外的其他	政府机构。例如，挪威	
的《	Seveso	指令》责任机构是挪威民防局，它负责全国、地区和地方民防、防火防爆、	
用电安全、危险物质的安全搬运（包括运输）等。另一方面，预防空气、水和土壤污
染的责任机构是挪威污染预防局。在较小的欧盟国	家，由于受	Seveso	指令约束的企业	
数量较少，风险管理问题和污染预防工作只能由一家公共机构处理。	 	
The responsibility for following up requirements from Seveso and other regulations 
regarding environment, health and safety (EHS) is usually an integrated part of the 
production chain in most companies, and 	a part of everyday operations of a plant. Thus, 	
it is usually the responsibility for all employees, from the top manager to the “operator 
on the floor” to ensure that the various EHS regulations and company procedures are 
fulfilled. This is considered the 	best way to ensure that EHS risks are minimized. Usually 	
there are also internal systems in place to follow up and monitor this, with some 
personnel (EHS executive officer) dedicated to these tasks. 	These systems are 	often 	
based on international standards,	 such as ISO 14000 (environmental protection) and 	
OHSAS 18001 (safety). Regular internal EHS audits ensure the effectiveness of these 
management systems.

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	143	 	
落实	Seveso	和其他环境、健康和安全（	EHS	）方面法规的要求通常是很多企业生	
产链中不可分割的一部分，也是一个工厂日常运转的一部分。因而，确保落实各种
EHS	法规和公司规程通常是从总经理到“地面操作工”全	体员工的责任。这被认为是	
确保	EHS	风险最小化的最佳方式。通常还有内部制度来落实和监控这项责任，指定专	
人（	EHS	执行官）负责这些工作。这些制度常常以国际标准为基础，比如	ISO 14000	
（环境保护）和	OHSAS 18001	（安全）。定期的	EHS	内部稽核可确保这些管理制度的	
有效性。	 	
Modern companies also usually have their own EHS goals, strategies, standards, short 
run and long run targets etc. f	or EHS in the form of zero visions when it comes to 	
accidents and deaths, emissions well below permits etc. There is also regular training of 
personnel where procedures related to emergency management, evacuation etc. are 
drilled. Risks in the various area	s are usually assessed regularly, and improvements in 	
operations and procedures are continuously sought to reduce the various risks the plant 
is facing. See also chapter 3.2 for a more comprehensive overview of how these issues 
are handled in chemical indu	stry parks. 	 	
现代企业通常还有自己的	EHS	目标、策略、标准、短期和长远	EHS	目标等，也就	
是压根	不希望发生	事故和死亡、超标排放等事件。同时定期开展员工培训，在培训中	
演练应急管理、疏散等方面的程序。通常定期对各方面的风险进行评估，并不断寻求
改进操作和程序，以降低工厂面临的各种风险。第	3.2	节概述了化工园区是如何处理	
这项问题的。	 	
2.3.3.5	 Resu	lts 	结果	 	
The Seveso legis	lation has been reviewed and evaluated frequently since it was first 	
introduced in 1982. The original directive established The Major Accident Reporting 
System (MARS and later renamed eMARS). The purpose of eMARS is to facilitate the 
exchange of lessons le	arned from accidents and near misses involving dangerous 	
substances to improve 	chemical accident prevention and mitigation of potential 	
consequences.	 	
Seveso	立法自从	1982	年初次出台以来进行了频繁的评审。最初的指令建立了	
《重大事故报告系统》（简称	MARS	，后来改名为	eMARS	）。	eMARS	的目的是促进交	
流从涉及危险物质的事故和险情中吸取的经验教训，以加强	化学事故的预防和后果的	
减缓	。	 	
eMARS contains reports of chemical accidents and near misses provided to the Major 
Accident and Hazards Bureau (MAHB) of the European Commission’s Joint Research 
Centre from EU, OECD and UNECE countries	.42Reporting an event into eMARS is 	
comp	ulsory for EU Member States	 when a Seveso establishment is involved and the 	
event meets the criteria of a “major accident” as defined by Annex VI of the Seveso III 
Directive (2012/18/EU). The information of the reported event is entered into eMARS 
directly	 by the official reporting authority of the country in which the accident occurred.	 	
 	 	 	
42 See 	https://emars.jrc.ec.europa.eu/	 	
见	https://emars.jrc.ec.europa.eu/

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eMARS	收录来自欧盟、世界经济与合作组织（	OECD	）和联合国欧洲经济委员会	
（	UNECE	）国家、提供给欧盟委员会联合研究中心重大事故灾害管理局（	MAHB	）的化	
学事故与险情报告。当某个事件涉及受	Seveso	约束的企业，并且该事件符合《	Seveso 	
III	指令》附录	VI	定义的“重大事故”标准时，	欧盟成员国必须向	eMARS	报告该事件	
（	2012/18	/EU	）	。 所 报 告 事 件 的 信 息 由 发 生 事 故 国 家 的 官 方 报 告 部 门 直 接 输 入	
eMARS	。	 	
The eMARS statistics show that 	the number of major accidents reported has 	
remained quite stable since the introduction of the original directive in 1982	. 	
While eMARS 	lists 355 accidents for the time frame between 1982 	and 1998, it lists 302 	
accidents for the time frame between 1999 and 2013	. However, the number of Seveso 	
establishments has increased over the 	years	. For instance, in early 2009 the 	
Commission listed 8500 establishments as part of the Seveso regime.	43 Curre	ntly, 	
around 10	 000 establishments are covered by the legislation. These numbers combined, 	
i.e. the stability in accident rates despite an increase in applicable establishments and 
the number of member states, indicate that 	the Seveso legislation has contr	ibuted to 	
preventing major accidents	. Figure 2.9 presents the sectors with more than 10 	
accidents over the time frame 1979	-2011. 	 	
eMARS	统计资料显示，自	1982	年原始指令颁布以来，	已报告重大事故次数保持	
很稳定	。虽然	eMARS	显示	1982	和	1998	年之间有	355	次事故，但	1999	年和	2013	
年之间有	302	次事故。	然而，	这是	由于	这些年受	Seveso	约束的企业数量增多了	。例	
如，	20	09	年初，欧盟委员会将	8500	家企业列入	Sevoso	体系。目前，大约	1	万家企	
业受该立法的约束。虽然适用企业和成员国的数量增加了，但事故率却比较稳定，这
些数字结合在一起表明，	Seveso	立法对预防重大事故做出了贡献	。图	2.9 	显示了在	
1979	-2011	年期间发生	10	次以上重大事故的行业。	 	
Figure 2.	9 	Most involved sectors 1979	-2011 (total accidents >10)	 	
图	2.9 1979	-2011	年最相关行业（事故总次数	>10	）	 	
 	 	 	
43 In December 2008, 4528 upper tier establishments were reported. This was an increase of 14 per cent 
(up from 3949) since 2005. The frequency of accidents, which for many years had been 	higher than 3 per 	
1000 establishments per year, thus shows a tendency of falling to under three on average.	 	
2008	年	12	月，报告显示有	4528	上层企业，比	2005	年（	3949	家）增加了	14%	。多年来事故频率高于每	
年每千家企业	3%	，有望下降到平均	3%	以下。

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Source: European Commission/eMars (	www.jrc.ec.europa.eu	) 	
来源：欧盟委员会	/eMars (	www.jrc.ec.europa.eu	) 	
 
Sectors like general chemicals manufacture and petrochemical/oil refineries have been 
especially prone to accidents. Figure 2.10 shows the frequency of each accident type. 
Release, fire and	 explosion are the most common accident types. Note that the low 	
number of accidents linked to transport can be due to the Seveso directives not applying 
to certain transport activities.	 	
一般化学品生产和石化	/石油炼油厂行业特别容易发生重大事故。图	2.10	显示了	
每种事故类型的频率。排放、火灾和爆炸是最常见的事故类型。注意，与	运输有关的	
事故次数少，这是因为	Seveso	指令不适用于某些运输活动。	 	
 	
重大事故	 	
险兆事故	 	
其他事件	 	
一般化学品	生产	 	石化	/石油炼油厂	 	批发零售仓储和配送	 	金属加工	 	农药、杀虫剂、杀菌剂生产和储存	 	其他活动	 	塑料和橡胶生产	 	食品和饮料生产	 	垃圾处理处置	 	供水配水	 	造纸

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Figure 2.	10	 Accident type (1979	-2011) 	 	
图	2.10	事故类型（	1979	-2011	年）	 	
 	
Source: European Commission	来源：欧盟委员会	 	
Several studies, workshops and reports have been conducted to exchange experiences 
and information 	throughout the time period in question. In June 2012 the Commission 	
started to publish the Lessons Learned Bulletin.	44 This bulletin is published each 	
semester and highlights lessons learned from major accidents. It also highlights 
accidents reported in eMA	RS and what could be potentially learned from these. 	 	
在以上时间	范围内	，欧盟开展了多次研究、专题讨论会和报告，以交流经验和信	
息。	2012	年	6	月，欧盟委员会开始公布《经验教训公告》。该公告每半年公布一次，	
重点展示从重大事故中吸取的经验教训。同时还重点展示	eMARS	中报告的事故以及可	
能从这些事故中吸取的经验教训。	 	
The evaluation by the Commission conducted in relation with the Seveso II	I draft 	
proposal, reckons that the Seveso II legislation has been instrumental in reducing the 
risks and consequences of major accidents. One of the reasons for this is the 
strengthening of the management systems within the establishments.	 	
欧盟委员会就	Seveso II	I 初步建议开展的评估表明，	Seveso II	立法帮助减少了重大	
事故引起的风险和后果。其原因之一就是企业内管理系统得到了加强。	 	
A study of the effectiveness of the Seveso II directive conducted a survey across 8 
member states covering 83 percent of the Seveso establishments and representing 86 
percent of the accidents 	reported during 1994	-2004 (EU	-VRi, 2008). The survey 	
indicates that the 	targeted groups consider 	that 	the Seveso II directive have 	
achieved substantially higher levels of safety in comparison to non	-Seveso 	
 	 	 	
44 See 	http://ipsc.jrc.ec.europa.eu/?id=817	 for the bulletins and other useful European Commission 	
publications on guidance and inspections.	 	
公告以及欧盟委员会其他关于指导和检查的有用刊物见	http://ipsc.jrc.ec.europa.eu/?id=817	。	 	
排放	 	
火灾	 	
爆炸	 	
运输	 	
其他

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establishments	. They acknowledge that 	the requirem	ents of the directive 	
contribute to creating awareness of the hazards as well as developing measures to 
control risks	. However, the majority of the respondents also state that 	the 	
implementation of the Seveso II directive is not uniform within Europe or 	within a 	
given country	. 	
Seveso II 	指令效能研究项目在	8	个成员国开展了一项调查。该调查覆盖	83%	的	
Seveso	监管企业，阐述了	1994	-2004	年期间	86%	的报告事故（	EU	-VRi, 2008	）。调查	
表明，	目标群体认为	实施	Seveso II 	指令	的	企业	安全水平大大高于非	Seveso 	监管企业	。	
他们承认，	该指令的要求有助于树立危险意识以及制定控制风险的措施	。然而，大多	
数被调查者还表示，	Seveso II 	指令在欧洲或者在某个特定国家境内的实施	并	不统一	。	 	
2.3.3.6	 Lessons and 	suggestions for China	 	
对中国的	启示	和建议	 	
The Seveso legislation seeks to ensure high levels of protection throughout the EU in a 
consistent and efficient manner. The existing and new establishments are subject to the 
same rules and approaches across the Member States. 	Although the implementation 	
of the regime is not considered to be uniform across the union, the establishments 
claim that the levels of safety, knowledge and awareness are substantially higher 
than before	. The EU and its Member States have several similarities to China and its 	
provin	ces in terms of organization. Hence, the reporting system (see Figure 2.6) of 	
establishments containing dangerous substances set out by the Seveso directives can 
also be applicable to China and its provinces.	 	
Seveso 	立法寻求一致有效地确保整个欧盟范围内的高水平保护。现有企业和新企	
业须遵守所有成员国内相同的规则和方法。	虽然	Seveso	的实施被认为在整个欧盟范围	
内是不统一的，但各企业声称安全、认识和意识水平比以前大大提高了	。欧盟及其成	
员国在组织上与中国和中国各省有几个相似之处。因此，包含	Seveso	指令规定危险物	
质的企业报告系统（见图	2.6	）也适用于中国及中国各省。	 	
If China was to implement similar policies as laid out by the Seveso directives	, it can be 	
useful to take note of some lessons learnt from the EU. 	For instance, the detailed 	
guidelines for land	-use planning from an EU Member Country referred to above could be 	
implemented, including the requirements for safety distances. However, the 	latter 	
should be adjusted to local Chinese conditions. These guidelines could be applied when 
new industry plants are considered, but could eventually also be useful in cases when 
existing 	industries are (too) close to residential areas and the moving opf 	either the 	
industry plant or the residents is considered. 	 	
Sentral authorities (for instance MEP) should establish the overall guidelines for this 
land	-use safetly planning and emergency preparedness. The implementation of these 	
guidelines should most like	ly be left to local authorities. They should have the best 	
knowledge of local conditions to ensure a smooth implementation and follow up of these 
important issues. 	 	
Also, the 	evaluation and revisions of the Seveso directives have in particular revealed 	
the	 need for:

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如果中国实施与	Seveso	指令所提出的类似的政策，那么从欧盟实施	Seveso	吸取	的经	
验教训非常有	用	。	例如，上文提及的欧盟某成员国土地使用规划详细导则可被实施，	
包括对安全距离的要求。然而，后者应根据中国地方情况进行调整。这些导则在考虑
建立新工厂时可被使用，在现有工业与居住区距离（过）近，考虑移动工厂或居住区
的情况下也十分有用。	 	
中央机构（例如	MEP	）应为土地使用安全规划和应急准备	建立总体导则。这些导则的	
实施应尽可能留给当地部门负责。它们应对当地情况有最深的了解，以确保导则的顺
利实施和这些	重要事宜的后续跟进。	 	
此外，	 《	Seveso	指令》的审核和修订尤其反映了对以下方面的需要：	 	
 	Focusing on safety 	management systems for whole establishments instead 	
of technical units within an establishment	. Such a switch in focus by Seveso II 	
contributed to improved management and better safety	 	
重视整个企业的安全管理系统，而非企业内的技术单元	。	Seveso II	这种侧重点	
的转变对加强管理和提高安全性做出了贡献。	 	
 	Fixed time limits for most of the actions required by the legislation as well 
as penalties in the event of noncompliance	 to ensure compliance across the 	
Member States	 	
对立法所要求的多数行动规定限期，出现违规情况时给予处罚	，确	保所有成员	
国守法。	 	
 	Exchange of information across member state boarders (i.e. provinces) to 
avoid and minimize domino effects in the event of a major accident	. 	
在欧盟	层面开展信息沟通与	交流，这样	能够在	发生重大事故时避免和尽量减小	
多米诺链发事件。

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2.4	 	Protection of nature and soil	自然和土壤的保护	 	
In this sub	-chapter we	 present	 the EU	 Habitats Directive	 and some considerations in the 	
EU on the development of a soil strategy. 	 	
本节我们介绍《欧盟栖息地指令》和欧盟在土壤战略制定方面的一些思路。	 	
2.4.1	 The 	EU 	Habitats Directive: An ecological red line for preserving biodiversity in 	
EU	《欧盟栖息地指令》：欧盟保护生物多样性的生态红线	 	
2.4.1.1	 Introduction	介绍	 	
In the EU, the Habitats Directive is a key policy tool to reduce and manage regional 
risk to ecology. 	The Habitats Directive is the EU’s main tool for preserving biodiversity 	
and follow	-up of its international commitments under the Conventio	n on Biological 	
Diversity. 	The goal of the directive is to protect and ensure long	-term viability for 	
threatened species and nature types in Europe	, which are defined as approximately 	
1,000 species and 	some 220 habitats that are listed in the directive's annexes. 	The 	
directive sets a 	common minimum standardfor protection of the most important 	
European species and habitats.	 It includes a legal obligation for all EU Member States to 	
ensure their survival t	hrough a network of protected areas (called Natura 2000) and 	
relevant measures throughout EU territory. The Habitats Directive only concerns 
species and habitats of common European interest. Member States are free to have 
additional goals, priorities and n	ature conservation sites according to national or local 	
conditions. 	 	
在欧盟，《栖息地指令》是减少和管理区域生态风险的关键政策手段。	《栖息地	
指令》是欧盟保护生物多样性及履行其在《生物多样性公约》下的承诺的主要工具。
该指令的目标是保护欧洲	濒危	物种和自然类型	，	并保证其长期生存力	。	7Lt…G*	
¶W4Ö	1000	个物种和大约	220	个栖息地。指令规定了保护欧洲最重要物种和栖息地	
的通用最低标准。它规定所有的欧盟成员国都有法律义务借助欧盟的保护区网络（称
为	Natura 2000	）和相关措施保证这些物种和栖息地的生存。《栖息地指令》只涉及关	
乎欧洲共同利益的物种和栖息地。成员国可以根据国家和地方情况自由添加目标、重
点物种和栖息地及自然保护区。	 	
Box 2.	5. 	The Habitats Directive and regional Risk Assessment and 	
Management 	 	
框	2.5. 	栖息地指令和区域风险评估和管理	 	
The Habitats Directive	 and Regional Risk Assessment and Management.	 	
EU	 Habitats Directive 	to safeguard the most threatened and unique species and 	
nature types 	in Europe	 constitute	s a form of regional environmental risk 	
assessment and management, as it involves monitoring of environmental status 
and risks, application of common environmental standards, and deals with a spatial 
scale 	(biogeographical regions) 	that	 includes multiple habitats with multiple 	
sources of stressors that affect multiple endpoints.

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The preservation of biodiversity is fundamental to human well	-being and 	
sustainable provisioning of natural resources.	 Biodiversity protection is also closely 	
intertwined with other environmental issues, such as adaption to climate change and 
protecting human health. Europeans depend heavily on the stocks of natural capital and 
flows of ecosystem services that lie within 	and 	also 	beyond Europe's borders (EEA 	
2010)	.45 Over	-exploitation of natural capital entails a multitude of risks, such as risks of 	
species extinction, risks of collapse of commercial fish stocks th	rough over	-fishing, 	
decline of pollinators (important for fo	od production) due to intensive agriculture, and 	
reduced water retention and increased flooding risks due to the destruction of 
moorland. Ecosystems and biodiversity also serves crucial functi	ons for recreation	, 	
sense of belonging and other cultural purpos	es. Loss of biodiversity 	affects such 	cultural 	
ecosystem services negatively, with impacts on health and well	-being. 	 	
保	护	生物多	样	性	对	于人	类	福祉和	自然资源	可持	续	供	应	是必要的	。生物多	样	性保	护	
还	与其他	环	境	问题	相互	交织	在一起，比如气候	变	化	适应	和人	类	健康	保护	。欧洲人	非常	
依赖欧洲境内外的	自然	资	本存量和生	态	系	统	服	务	流量	（	EEA	，	2010	）。过度开发自然	
资本带来了众多风险，比如物种灭绝风险、过渡捕鱼造成的	商业鱼类衰竭风险、集约	
农业所致的传粉昆虫（对粮食生产很重要）减少以及由于沼泽地遭到破坏而造成的保
水力下降和洪水风险增大	等风险	。生态系统和生物多样性对于休闲娱乐、归属感和其	
他文化活动也起着重要作用。生物多样性丧失对生态系统这种文化服务功能产生不利
影响，对人类健康和福祉造成影响。	 	
Europe’s biodiversity is 	in decline	. Quantitative data on the status and trends of 	
European biodiversity are sparse, 	although the reporting under the Habitats Directive 	
has recently increased the evidence based for selected species	 (see further below)	. For 	
instance (EEA 2010), p	opulation of forest birds have declined around 15% since 1990. 	
Farmland bird populations decli	ned dramatically in the 1980s, mainly due to 	
agricultural intensification, and have remained stable at a low level since the mid 1990s. 
Grassland butterfly populations, on the other hand,	 have declined by a further 50% since 	
1990. As the reporting under th	e Habitats Directive shows (see 	further 	below), the 	
conservation status of the most threatened species and habitats 	in the EU 	remains 	
worrying in spite of efforts. 	 	
 	 	 	
45 The i	ntroduction is largely based on the European Environment Agency’s report 	The European 	
Environment. State and outlook 2010	 (EEA 2010).	 	
本段介绍主要基于欧洲环境署的报告《	2010	欧洲环境现状与展望》（	EEA 2010	）。	 	
栖息地指令和区域风险评估和管理	 	
欧盟栖息地指令旨在保护欧洲受威胁最严重和独特的物种和自然类型，构成一种
区域环境风险评	估和管理，因为该指令包括环境状况和风险监测、通用环境标准	
应用，并对	包含多种栖息地的空间规模进行风险评估，在这些栖息地中压力源影	
响多个端点。

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欧洲的生物多样性在衰退	。关于欧洲生物多样性现状和趋势的定量数据很稀少，	
然而《栖息地指令》下的报告最近增加了选定物种的证据数据（见下文）。例如（	EEA	，	
2010	），	1990	年以来，森林	鸟类种群数量下降了	15%	左右。	20	世纪	80	年代，由于	
农业集约化，农田鸟类种群数量急剧下降，并在	20	世纪	90	年代中期以来一直保持在	
低水平。另一方面，草原蝴蝶种群数量	1990	年以来又下降了	50%	。正如《栖息地指	
令》下的报告所显示的（见下文），虽已付出努力，但欧盟受威胁最严重的物种和栖
息地的保护现状仍令人担忧。	 	
Land conversion drives biodiversity loss and degradation of soil functions.	 The 	
main land	-cover types 	in Europe are forests (35%), arable land (25%), pasture (17%), 	
semi	-natural vegetation (8%), water bodies (3%), wetlands (2%), and artificial/built	-up 	
areas (4%). The trend in the last decades has been that urban areas expand further at 
the expense of all 	other land	-cover categories except forests and water bodies	 (EEA 	
2010)	. During the last decade, an additional 5% of EU territory was covered with 	
concrete or otherwise converted into artificial areas (EC 2013a). 	Urbanisation and 	
expanding transport network	s are increasingly	 	fragmenting	 	habitats, making 	
populations of animals and plants more vulnerable to local extinction due to hampered 
migration and dispersal. These land	-cover changes also affect ecosystem services 	
negatively, for instance leading to negat	ive effects on water, nutrient and carbon cycles, 	
compromising soil organic matter’s role as a carbon sink, and reducing water retention 
capacity leading to increased risks for flooding and erosion as well as reduced 
attractiveness for outdoor recreation.	 	
土地流转	推动	了	生物多样性丧失	和土壤功能退化	。欧洲主要的土地覆盖类型有森	
林（	35%	）、耕地（	25%	）、草地（	17%	）、半天然植被（	8%	）、水体（	3%	）、湿	
地（	2%	）和人工	/建成区（	4%	）。最近十年的趋势是，城市地区以除了森林和水体之	
外其他所有土地覆被种类为代价进一步扩张（	EEA 2010	）。最近十年间，又有	5%	的	
欧盟领土被混凝土覆盖或者以其他方式转变成了人工区（	EC 2013a	）。城市化和不断	
扩张的交通网使栖息地越来越破碎化，使动植物种群因迁徙和传播受阻而面临局部灭
绝的危险。土地覆被这些变化对生态系统服务功能也产生了不利影响，例如对水、营
养物和碳循环造成了不利影响，破坏了土壤有机物的碳汇作用，降低了土壤的保水能
力，导致洪水和水土流失风险增大，户外游憩吸引力下降。	 	
A recent Eurobarometer survey (EC	, 2013b) covering EU	’s 	28 	Member States (EU28) 	
found 	that 90% of Europeans se	e the decline of natural habitats and the endangering 	
and disappearance of certain animals and plants as serious problems	. 75% of 	
respondent	s considered it important to protect 	nature	because Europe will get poorer 	
economically as a consequence of loss of b	iodiversity. 	65% 	of Europeans fully agreed 	
with the statement that the EU should increase the areas where nature is protected in 
Europe.	 	
最近一项覆盖欧盟	28	个成员国（	EU28	）的欧洲晴雨表调查（	EC	，	2013b	）发现，	
90%	的欧洲人认为自然栖息地衰退以及某些动植物的濒危和消失是严重问题。	75%	的被	
调查者认为保护自然很重要，因为欧洲会因生物多样性丧失而在经济上变穷。	65%	的欧	
洲人完全同意欧盟应增加欧洲自然保护区数量这种说法。	 	
The challenge for the EU in terms of nature and biodiversity (EEA, 2010), is	:

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欧盟在自然与生物多样性方面面临的挑战（	EEA	，	2010	）是：	 	
 	to preserve biodiversity in line with international commitments, 	 	
按照国际承诺保护生物多样性	 	
 	to maintain ecosystems and biodiversit	y at a level where sustainable use of 	
natural resources and human well	-being is ensured, and	 	
生态系统和生物多样性维持在一个自然资源可持续使用且保证人类福祉的水平	 	
 	to reduce the negative impact through trade on natural capital globally. 	 	
降低全球自然资本交易带来的不利影响。	 	
EU’s key policy instruments to prot	ect biodiversity is the Habitats Directive, defining 	
targets and measures for protecting the most threatened species and habitats, and the 
Wild 	Birds Directive	 (79/409/EEC)	, which provides a protection scheme for all wild 	
birds occurring in the union.	 	
欧盟保护生物多样性的主要政策工具是《栖息地指令》，它确定了保护受威胁最	
严重物种和栖息地的目标和措施；	此外	还有《	欧盟野鸟保护	指令》	（	79/409/EEC	）	，	
为欧盟境内出现的所有野生鸟类提供了一项保护方案。	 	
2.4.1.2	 Principles	原则	 	
The preamble to the Habitats Directive (	92/43/EEC	)46 notes a number of principles 	
underpinning the directive, and we summarize main points her	e: 	
《栖息地指令》序文（	92/43/EEC	）提到了支撑该指令的很多原则，这里我们总	
结以下几点：	 	
 	The preservation, protection and improvement of the quality of the environment, 
including the conservation of natural habitats and of wild fauna and flora, is an 
essential objective of general interest 	pursued by the European Community, as 	
stated in Article 130r of the European Treaty.	 	
根据《欧洲条约》第	130r	条规定，保护环境并改善环境质量、包括保护野生动	
植物的自然栖息地是欧洲共同体所追求的关乎一般利益的基本目标。	 	
 	The main aim of the Directive is to promote the maintenance of biodiversity, 
taking account of economic,	 social, cultural and regional requirements, thereby 	
making a contribution to the general objective of sustainable development.	 	
《栖息地指令》的主要目的是促进保持生物多样性，将经济、社会、文化和区
域需求纳入考虑，从而对可持续发展总目标做出贡献。	 	
 	Since natural habitats are continuing to deteriorate and an increasin	g number of 	
wild species are threatened, and since the threatened habitats and species form 	
 	 	 	
46 EEC (1992): 	Council Directive 92/43/EEC of 21 May 1992 on the conservation of	 natural habitats and of 	
wild fauna and flora	. European Economic Community. Available at: 	http://eur	-	
lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31992L0043:EN:	HTML	 	
EEC	（1992	）1992	年	5月	21	日理事会关于自然栖息地和野生动物和植物保护的指令	 92/43/EEC	。欧洲	
经济共同体。获取网址：

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part of the EU's natural heritage and the threats to them are often of a trans	-	
boundary nature, it is necessary to take conservation measures at EU level.	 	
由于自然栖息地在不	断恶化，而且越来越多的野生物种受到威胁，并且由于受	
威胁栖息地和物种构成欧盟自然遗产的一部分，对它们的威胁常常是跨境性的，
因此欧盟必须采取保护措施。	 	
 	In view of the crucial threats to certain types of natural habitat and certain 
species, it is necessary to prioritize in order to favour early implementation of 
conservation measures	 (ref. the listed habitats and species in the annexes to the 	
directive).	 	
鉴于某些类型的自然栖息地和某些物种受到了事关生存的威胁，必须确定优先
次序，以有利于保护措施的早期实施（参阅指令附录里列出的栖息地和物种）。	 	
 	In order to ensure the restoration or maintenance of prioritized natural habitats 
and species, it is necessary to	 designate special areas of conservation in order to 	
create a coherent European ecological network according to a specified 
timetable. In each area, necessary measures shall be implemented to reach 
conservation objectives.	 	
为了确保优先级自然栖息地和物种的修复和维护，必须指定专门的保护区，	以	
按照规定的时间表创建一个连贯一致的欧洲生态网络。每个区均应实施必要措
施，以实现保护目标。	 	
 	The Habitats Directive shall be mainstreamed with other EU legislation for 
designation of special ecological protection areas, such as the Wild Birds 
Directive of 1979 (79/409/EEC).	 	
《栖息地指令》应与欧盟指定特别生态保护区的其他立法相融合	，比如《	1979	
年野鸟	保护	指令》（	79/409/EEC	）。	 	
 	Member States shall propose sites for areas of conservation, but in exceptional 
cases the EU level may designate additional sites that are considered essential for 
the maintenance or survival of a priority natural habitat type	 or a priority 	
species.	 	
由成员国提出保护区的地点，但特殊情况下欧盟可指定可能对优先保护自然栖
息地类型或优先保护物种的维持或生存至关重要的其他地点。	 	
 	Any plan or programme that is likely to have a significant effect on the 
conservation objectives of a site, shall be assessed so that such an effect is made 
clear and can	 be taken into consideration.	 	
评估可能对某地点的保护目标有重大影响的任何计划，使这种影响清晰化并且
被纳入考虑。	 	
 	Conservation of priority natural habitats and priority species of European 
interest is a common responsibility of all Member States, but may impose an 
excessive financial burden on 	certain Member States given, on the one hand, the 	
uneven distribution of such habitats and species throughout the EU and, on the 
other hand, the fact that the "polluter pays" principle can have only limited 
application in the special case of nature conserv	ation. It is therefore agreed that, 	
in certain cases a contribution by means of EU co	-financing shall be provided for.	 	
关乎欧洲利益的优先自然栖息地和优先物种的保护是所有欧盟成员国的共同责
任，但一方面考虑到这种栖息地和物种在整个欧盟范围内的分布不均匀，可能
给某些成员国带来了过大的财政负担，另一方面，“污染者付费”原则在自然
保护这个特殊情况下只能得到有限应用。因此人们一致认为，应规定某些情况
下	以欧盟联合融资方式出资。

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 	Land	-use planning and development policies should encourage the management 	
of features of the landscape, which are of major importance for wild fauna and 
flora.	 	
土地	使	用规划与开发政策应鼓励管理对野生动植物具有重大意义的景观功能。	 	
 	A system should be set up for surveillance of t	he conservation status of the 	
natural habitats and species covered by this Directive.	 	
建立一个系统，用于监督受本指令约束的自然栖息地和物种的保护状况。	 	
 	With the aim of ensuring that the implementation of this Directive is monitored, 
the European Commission will periodically prepare a comp	osite report based, 	
inter alia, on the information sent to it by the Member States, about the national 
efforts and status for prioritized habitats and species.	 	
为了确保本指令的实施得到监控，欧盟委员会将根据成员国发给它的信息以及
其他信息，定期编制各国相关	工作	和优先级栖息地及物种状况的综合报告。	 	
 	Improvement of scientific an	d technical knowledge is essential for the 	
implementation and Member States shall encourage the necessary research and 
scientific work.	 	
提高科技知识水平对于实施本指令至关重要，成员国应鼓励开展必要的科研工
作。	 	
 	Technical and scientific progress brings new knowledge about the situation for 
habi	tats and species and it shall possible to adapt the priority lists accordingly.	 	
科技进步带来了关于栖息地和物种情况的新知识，因此可以相应地调整优先名
单。	 	
 	Education and general information relating to the objectives of the Habitats 
Directive are essential for ensuring its effective 	implementation.	 	
与《栖息地指令》有关的教育和一般信息对于指令的有效实施至关重要。	 	
It should also be noted that t	he Habitats Directive constitutes the EU’s follow	-up of its 	
international commitments in the Bern Convention of 1979 (	Bern 	Convention on the 	
Conservation of European Wildlife 	and Natural Habitats)	 and the Convention on 	
Biological Diversity of 1992	. 	
还应指出的是，《栖息地指令》是欧盟履行其在《	1979	年伯恩公约》（《	欧洲野	
生	生物	及自然	栖息地	保育公约	）以及《	1992	年生物多样性公约》中的国际承诺的体现。	 	
2.4.1.3	 Approaches	方法	 	
In the EU, the Habitats Directive plays a key role in a wider strategy aiming at 
securing 	an environmentally sustainable and at the same time a competitive 	
economy. 	The EU has set itself the target of halting loss of biodiversity in Europe by 	
2020. The EU strategy Europe 2020: A strategy for smart, sustainable and inclusive 
growth (EC 2010) not	es that protection of natural capital and giving a proper value to 	
ecosystem services should be part of the drive towards smart, sustainable and inclusive 
growth by 2020. As part of the follow	-up of this strategy, the EU Commission has also 	
adopted a Green	 Infrastructure Strategy (EC	, 2013), to promote the deployment of green 	
infrastructure in urban and rural areas and ensure an efficient use of resources. 
The	Green Infrastructure Strategy	 aims to ensure optimal management and use of 	
natural capital in the E	U, by upholding and restoring ecosystems with an aim to 	
maximize the flow of ecosystem services to the benefit of nature and human well	-being. 	
The Natura 2000 sites constitute crucial “biodiversity hubs” in the wider Green

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Infrastructure Strategy. Reaching	 EU’s biodiversity goals is dependent on integration of 	
biodiversity concerns into sector policies for transport, energy, agriculture, forestry and 
fisheries	47, as well as crosscutting policy frameworks such as the Water Framework 	
Directive (WFD), the Marin	e Strategy Framework Directive and the Thematic Strategy 	
for Soil Protection. 	In the chapter on the WFD we have described how such a directive 	
coordinates its requirements with those of the Habitats Directive.	 	
在欧盟，《栖息地指令》在一项更为广泛、旨在确保环境上可持续同时保证经济	
竞争力的战略中起着关键作用。	欧盟自己设定了到	2020	年停止欧洲生物多样性丧失	
的目标。欧盟“欧洲	2020	”战略是	一项能促进智能、可持续和包容性增长的战略	（	EC 	
2010	）。该战略指出，保护自然资本并赋予生态系统服务适当价值应当作为推动到	
2020	年实现	智能、可持续和包容性增长	工作的一部分。在具体落实这项战略时，欧盟	
委员会还通过了“绿色基础设施战略”（	EC	，	2013	），旨在促进城乡地区绿色基础设	
施发展，并确保高效利用资源。	“	绿色基础设施战略	”的	目的是通过维护和修复生态	
系统，以提供最大的、有利于自然和人类福祉的生态系统服务流，从而确保欧盟自然
资本的最优管理和使用。	Natura 2000	网络站点构成绿色基础设施战略中的关键“生物	
多样性枢纽”。实现欧盟的多样性目标有赖于把生物多样性问题与运输、能源、农业、
林业和渔业行业政策融为一体，以及与《水框架指令》（	WFD	）、《海洋战略框架指	
令》和《土壤保护专题战略指令》等政策框架横向交叉。在《水框架指令》一章，我
们描述了该指令是如何将其要求与《栖息地指令》要求协调一致的。	 	
The Habitats Directi	ve is built around two pillars: A network of protected sites 	
and a strict system of species protection.	 The directive aims to protect a 	
representative set of viable populations of the most threatened	 species and habitats in 	
the EU 	in a network of protected	 areas called 	Natura 2000	. The network of protected 	
area is the central tool to reduce regional risk to ecology in the EU. 	The annexes to the 	
directive list about 1,	150	 species 	(459 animal and 696 plant species) 	and 220 habitat 	
types (special types of f	ore	sts, meadows, wetlands etc.)	48, which are considered to be of 	
European interest (“	Community Interest	”) and 	are 	to be 	protected under the directive	. 	
《栖息地指令》围绕两个支柱构建而成：一个保护区网络和一个严格的物种保护	
系统	。该指令的目的是在一个被称为	Natura 2000	的保护区网络框架内保护欧盟一系	
 	 	 	
47 In the EU, the Common Agricultural Policy and the Common Fisheries Policy have high degree of 
influence on biodiversity, as also the directives setting pollution thresholds (such as the Air Quality 
Directive, the National Emissions Ceilings 	Directive, and	 the Nitrates Directive). The responsibility for 	
forest policy (as large portion of threatened species lives in forests) lies primarily with member states 
under the subsidiarity principle.	 	
在欧盟，共同农业政策和共同渔业政策对生物多样性有高度影响，各项指令同样也设定了污染临界量
（比如《空气指令指令》、《国家排放上限指令》和《硝酸盐指令》）。制定森林政策的工作主要由成
员国根据辅助性原则开展（因为大部分受威胁物种都生活在森林里）。	 	48 There are 9 groups of habitats: Coastal and halophytic habitats, Coastal sand dunes and inland dunes, 
Freshwater habitats, Temperate 	Heath and Scrub, Schelrophyllous scrub (mattoral), Natural and semi	-	
natural grass formations, Raised bogs and mires and fens, Rocky habitats and caves, Forests. These groups 
are further divided into sub	-groups.	 	
有	9	组栖息地：海岸	和盐土栖息地、海岸沙丘和内陆沙丘、淡水栖息地、温带荒地和灌丛、	
Schel	rophyllous 	灌丛（	mattoral	）、自然和半自然草地、高位沼泽及泥沼和沼池、岩石栖息地和洞穴、	
森林。这些组进一步分成亚组。

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列有代表性的受威胁最严重物种和栖息地的存活种群。	保护区网络是减少欧盟区域生	
态风险的核心手段。	指令附录列出了大约	1,150	个物种（	459	种动物和	696	种植物）	
和	220	个栖息地类型（森林、草地、湿地等的特殊类型），它们被认	为是关乎欧洲利	
益（“共同体利益”）的物种和栖息地，要受到该指	令的保护。	 	
The habitat types of European interest are 	listed in annex 1 of the H	abitats Directive, 	
and are those that 	are in danger ofdisappearing	 in their natural range, have a small 	
natural range	, or present outstanding examples of	 typical characteristics of a	 	
biogeografica	l region. There are seven biogeographical regions in the EU: the Alpine, the 	
Atlantic, the Boreal, the Continental, the Macaro	nesian, the Mediterranean and the 	
Pannonian (ref. 	figure 2.	11 below). Species of European importance are 	listed in	 annex 2 	
and 4,and 	are 	those that are 	endangered, vulnerabl	e, rare or endemic and require	 	
particular	 attention. H	abitat ty	pes and species that	 are in 	real 	danger ofdisappearing 	
and where the 	EU	 has a particular responsibility to uphold the conservationdue to the 	
proportion of their natural range within the 	territory of the EU, are especially 	
prioritized	. 	
欧洲关切栖息地类型列于《栖息地指令》附录	1，它们是指	那些	在其自然分布范	
围内面临消失风险	的	、自然分布范围较小的、或者突出代表生物地理区典型特征的类	
型。欧盟有七个生物地理区：阿尔卑斯山、大西洋、博雷亚尔、大陆、	麦克罗尼西亚	、	
地中海和潘诺尼亚（参阅下面的图	2.11	）。欧洲重视之物种列于附录	2	和附录	4，它	
们属于濒危、易危、稀有或地方性物种，需要特别关注。真正濒临消失的栖息地类型
和物种特别受到优先保护，欧盟有特殊责任支持其保育，因为它们在欧盟领土内的自
然分布区比例较大。	 	
The 	Birds Directive	 was adopted already in 1979 and	 constitutes the oldest piece of EU 	
nature legislation. The Birds Directive requires the establishment of Special Protection 
Areas (SPAs) for birds. The Habitats Directive similarly requires Special Areas of 
Conservation (SACs) to be designated for the spe	cies and habitats listed in the directive. 	
Together, the SPAs and SACs constitute the Natura 2000 network of protected 
areas.	 
《	野鸟保护	指令》	早在	1979	就通过了，是欧盟最古老的自然立法。	《	野鸟保护	指	
令》要求建立鸟类特别保护区（	SPA	）。《栖息地指令》同样要求为指令中列出的物种	
和栖息地指定特别保育区（	SAC	）。	特别保护区和特别保育区一起，共同	组	成	Natura 	
2000	自然保护区网络。

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Figure 	2.11	The biogeographic regions of the EU, referred to in the Habitats 
Directive	 	
图	 2.11 	《栖息地指令》中提到的欧盟生物地理区	 	
 	
Sou	rce: 	来源：	 	
When the Habitats Directive was adopted, the EU consisted of 12 Member States and 
today it has 28. The expan	sion has taken place in rounds; 1995 (Austria, Finland, 	
Sweden), 2004 (Cyprus, Czech Republic, Estonia, Hungary, Malta, Latvia, Lithuania, 
Poland, Slovakia, Slovenia), 2007 (Bulgaria, Romania), 2013 (Croatia). In each round, the 
annexes to the Habitats Dir	ective was adapted to include threatened species and 	
habitats in the new countries and the Member States were required to propose sites for 
protection of their habitats and species of European interest. As a consequence, different 
country groups in the EU 	are in different stages of implementing the directive in 	
accordance with when they joined the EU. In spite of the process being complicated, 	the 	
system outlined by the directive has shown itself to be dynamic and be able to 
accommodate integration of new M	ember States	 (Evans, 2012). 	 	
《栖息地指令》通过时，欧盟有	12	个成员国，现在有	28	个。欧盟的扩大是分几	
轮进行的：	1995	年（奥地利、芬兰、瑞典）、	2004	年（塞浦路斯、捷克共和国、爱	
沙尼亚、匈牙利、马耳他、拉脱维亚、立陶宛、波兰、斯洛伐克、斯洛文尼亚）、
2007	年（保加利亚、罗马尼亚）、	2013	年（克罗地亚）。每一轮都对《栖息地指令》	
欧盟	27+1	国 	生物地理区示意图	 	Doc. Hab. 11	-05/04	 	阿尔卑斯山	 	大西洋	 	黑海	 	博雷亚尔	 	大陆	 	麦克罗尼西亚	 	地中海	 	潘诺尼亚	 	斯特匹克

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附录进行了调整，把新增国家的受威胁物种和栖息地列入其中，成员国被要求提出保
护关乎欧洲利益的栖息地和物种的地点。因此，欧盟不同的国家团体根据其加入欧	盟	
的时间而处于不同的指令实施阶段。虽然过程很复杂，	但指令提出的系统	表明它很有	
活力，并且能够适应新	增	成员国的融入	Ä	Evans, 2012	）。	 	
2.4.1.4	 Tools	工具	 	
When implementing the Habitats Directive, the first step for Member States was to 
identify 	Sites of Community Interest	 (SCI), i.e. the sites in each country that would 	
need to be	 protected in order to ensure the protection of the species and habitats listed 	
in the directive. 	In a risk perspective, these are the sites that need to be protected in 	
order to reduce the risk of species extinction to an acceptable level. 	The directive was 	
adopted in 1992 and the Member States had until 	1998	 to submit their lists of SCIs to 	
the European Commission.	49 The sites are selected according to the criteria of annex 3 of 	
the directive, entailing an assessment of the ecological qualit	y, the representativity and 	
the area of each habitat type on the site. Furthermore, the density and degree of 
isolation of each species as well as the quality of the site for the particular species should 
be assessed. 	The Commission reviewed the list, sele	cted the SCIs to become part of the 	
Natura 2000 network, and notified 	the Member States which sites that should	 become 	
Special Areas of Conservation (SACs)	 and become part of Natura 2000	. (In some cases, 	
the Commission did not consider the suggested list o	f SCIs to be sufficient to reach the 	
goals of the directive and required Member States to expand their list	, ref. below)	. For 	
each Natura 2000 site, nationa	l authorities have submitted a Standard Data F	orm (SDF) 	
that contains an extensive description of th	e site and its ecology. The 	European Topic 	
Centre for Biological Diversity	, based in Paris, is responsible for validating this data 	
and creating an EU wide descriptive database.	50 This data is subject to a regular 	
validation and updating process. 	 	
在实施《 栖息地 指令	》时，成 员国要 做的 第一步是 确定	关乎	共同体	利 益 的地 点	
（	SCI	），	也就是	每个国家需要得到保护、以确保保护指令中列出的物种和栖息地的地	
点	/区域。	从风险角度来说，需要保护这些地点以将物种灭绝风险降至可接受水平。	
《栖息地指令》是	1992	年通过的，成员国要在	1998	年之前向欧盟委员会递交	SCI	名	
单。这些保护区要按照栖息地指令附录	3	的标准选出，并需要评估生态质量、代表性	
以及保护区每种栖息地类型的面积。此外，还应评估每个物种的密度和孤立程度以及
保护区针对特殊物种的质量情况。欧盟委员会审核名单，选出可纳入	Natura 2000 	网	
络的	SCI	， 并 通知 成员 国 哪 些 地点 会 成为特 别 保 护 区（	SAC	） 、哪 些 会 纳 入	Natura 	
2000	。（有些情况下，欧盟委员会认为成员国提出的	SCI	名单不足以实现栖息地指令	
的目标，要求成员国扩大名单，参阅下文）。对于每个	Natura 2000 	保护区，国家有	
 	 	 	
49 At the EU level the European Commission is supported by the Habitats Committee (with members from 
all member states as well as the EU Commission), which also includes the Habitats Scient	ific Working 	
Group. 	 	
在欧盟层面，欧盟委员会受栖息地委员会（成员来自所有的欧盟成员国以及欧盟委员会）的支持，该委
员会包括栖息地科学工作组。	 	
50 The European Topic Centre for Biodiversity webpage is available here: 	http://bd.eionet.europa.eu/	 	
欧洲生物多样性课题中心网页地址：	http://bd.eionet.europa.eu/

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关部门都提交了标准数据表（	SDF	），对每个保护区及其生态状况进行详尽描述。总部	
设在巴黎的	欧洲生物多样性课题中心	负责审核上报的数据，并建立一个整个欧盟范围	
的描述性数据库。这种数据需定期审核与更新。	 	
Many of the EU count	ries share the same natural characteristics and the protection of a 	
sufficient amount of habitats for a certain species thus requires coordination of efforts. 
The directive addresses this by applying the concept of 	biogeographical regions	; 	
geographical are	as where animal and plant distribution have similar or shared 	
characteristics throughout 	– 	and which often go across country borders. 	
Representatives of countries sharing the same biogeographical regions would thus meet 
to discuss common challenges and ens	ure that the SCI	-lists of the countries together 	
would constitute a sufficient set of protected areas to reach the goals of the directive.	 	
很多欧盟国家具有相同的自然特征，因此保护特定物种的大量栖息地需要各国通	
力合作。为此，指令采用了	生物地理区	,´²%ÖØ(™
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The main requirement of the Habitats Directive is to ensure a 	favorable conservation 	
status	 of habitat types and species. The requirement is thus for the member states not 	
only to protect 	Natura 2000 sites,	 but also to reach a 	certain qualitative state for the 	
biodiversity within the sites. It is not enough that the Member States stop further 
deterioration of the 	biodiversity within the site	, they must actively establish measures 	
that conserve, improve or even restore a favorabl	e conservation status.	 This is often 	
done through 	site	-specific management plans	 and by adapting other development 	
plans that may affect the site. 	 	
《栖息地指令》的主要要求是确保栖息地类型和物种的良好保护状况。这就要求	
成员国不仅要保护	Natura 2000	保护区，而且保护区内的生物多样性要达到特定的质	
量状态。成员国停止保护区内的生物多样性进一步恶化还不够，还必须积极制定保护、
改善甚或恢复健全保护状况的措施。这常常通过	保护	区	特定管理计划	、或调整其他可	
能对保护区有影响的发展计划来进行。	 	
It is important to note that 	Natura 2000 is not a system of strict nature reserves where 	
human activities are systematically excluded, but 	adopts a different approach. The 	
directive fully recognises that man is an integral part of nature and the two work best in 
partnership with one another. Indeed, many sites in the Natura 2000 Network are 
valuable precisely because of the way they have been	 managed up to now. Experience 	
has shown that management of Natura 2000 sites is best done by working closely with 
the landowners and stakeholder groups in or around individual Natura 2000 sites.	 Much 	
effort has been made to develop and/or identify good pr	actice examples of management 	
of Natura 2000 sites, where conservation of 	the species and habitats 	is ensured 	whilst 	
respecting the local socio	-economic and cultural context	.51 	
 	 	 	
51 The EU Commission has launched a mini website which offers 25 examples of successful management 	
of Natura 2000 sites in the following sectors: Farming, Forestry, Rivers, Marine 	environment and

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需要注意的是，	Natura 2000	并不完全禁止自然保护区内的人类活动，而是采用不	
同的方法。指令充分认可，人是自然不可分割的一部分，两者彼此搭档效果最好。实
际上，由于截止目前的管理方式，	Natura 2000	网络里很多保护区都是可以精确估价的。	
经验表明，	Natura 2000	保护区的管理最好通过与每个保护区内或周围的土地所有者和	
利益相关者团体密切合作来完成。在制定和	/或确定	Natura 2000	保护区管理良好实践	
案例方面做了大量努力。在这些努力中，在尊重当地社会经济和文化环境的同时，物
种和栖息地保护亦有保证。	 	
For habitats a f	avorable	 conservation status is consider	ed to occur when the area it 	
covers is stable and increasing, the functions and structure necessary for its long	-term 	
maintenance exist and will do so for a 	foreseeable future and the conservation status for 	
its typi	cal species is favorable. For species a favorable conservation status occurs when 	
the population data show that the species is maintaining itself on a long	-term basis, the 	
natural range of the species is stable and that there on a long	-term basis will be a	 	
sufficiently large habitat to maintain the population. As for the ecological requirements, 
they can vary from habitat to habitat and from species to species. In other words 
appropriate measures or management plans must be made for each individual habitat 
and each individual species building on scientific knowledge. 	 	
对于栖息地，当其覆盖的面积稳中有升，其长期维护所必需的功能和结构目前存	
在并且在可预见的将来也会存在，并且其典型物种的保护现状为良好时，即认为达到
了良好保护现状。对于物种，当种群数据表明物种在长期维持自身、物种的自然分布
区稳定、并且从长期来看会有一个足够大的栖息地维持种群时，即认为达到了良好保
护现状。至于生态要求，因不同的栖息地和不同的物种而各异。换而言之，必需根据
科学知识对每一个个体	栖息地和每一个个体物种制定适当的措施或管理计划。	 	
The obligation to prevent any deterioration of a designated site includes terminating 
ongoing activities that may previously have been allowed, for example agricultural 
activities, if necessary. Precautionary measures shall be take	n if there is a risk that 	
ongoing activity within and around the site have a negative effect; it is not considered 
acceptable to wait and see if deterioration occurs. The obligation to secure favorable 
conservation status in the Natura 2000 areas	, thus als	o effect activities and planning 	
around the Natura 2000 areas. 	 	
防止指定保护区退化的义务包括：根据需要终止正在进行的、可能以前被允许的	
活动，例如农业活动。若保护区内或周围正在进行的活动有产生不良影响的风险，应
采取风险预防措施；不可坐观退化是否发生。因而，确保	Natura 2000	保护区内良好	
保护状况还会影响	Natura 2000	保护区周围的活动与规划。	 	
 	 	 	 	 	 	
Wetlands.	 It is available here: 	
http://ec.europa.eu/environment/nature/natura2000/management/best_practice_en.htm	 	
欧盟委员会开通了一个微型网站，提供以下五个行业的	25	个	Natura 2000	保护地成功管理案例：农业、	
林业、河流、海洋环境和湿地。网址：
http://ec.europa.eu/environment/nature/natura2000/management/best_practice_en.htm

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Figure 	2.12	 The Natura 2000 network across biogeographical regions (status by 
2008)	 	
图	2.12 	各生物地理区的	Natura 2稀0	网络（到	2008	年的现状）	 	
 	
 	
Source: European Environment 	Agency	来源：欧洲环境署	 	
Any plans or projects that may have an effect on the Natura 2000 area shall 
undergo an assessment to estimate the environmental impact	, which may also 	
include obtaining a public opinion. Plans or project	s, which have a negative effect on the	 	
conservation status of the site, can only be approved if there are imperative reasons of 
public interests. If the site in question is a priority habitat type or hosts a priority species 
only overriding interests concerning human health, public safety or a	n activity that has a 	
beneficial consequence of primary importance to the environment may be approved. In 
all cases the Member State is obliged to take compensatory measures ensuring the 
overall coherence of the Natura 2000 network. Furthermore the Europea	n Commission 	
must be informed of the measures taken.	 	
任何可能对	Natura 2000 	保护区有影响的计划或项目都要进行评估，以预估环境影	
响，这还可以包括获取公众意见。对保护区保护现状有负面影响的计划或项目只有具
备迫切的公众利益理由才可以得到批准。如果所议保护区属于优先保护栖息地类型或
者寄住着优先保护物种，只有事关人类健康、公共安全的最高利益或者对环境有重大
有益后果的活动才可以得到批准。在所有情况下，成员国都必须采取补救措施确保
Natura 2000 	网络	的总体连贯性。此外，成员国还必须知会欧盟委员会所采取的措施。	 	
各生物地理区	的	Natura 2000	网络，	2008	年7月状况	 	Natura 2000 	保护地	 	 生物地理区	 	阿尔卑斯山	 	大西洋	 	黑海	 	博雷亚尔	 	大陆	 	麦克罗尼西亚	 	地中海	 	潘诺尼亚	 	斯特匹克	 	数据覆盖范围	以外

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The directive also contains a series of provisions related to the direct influence on the 
species	 on the list as such, which is considered the second pillar in the protection given 	
by the Habitats Directive. This part of the 	directive (article 12	-16) obligate the Member 	
States to take the requisite measures to establish a system of strict protection for the 
animal and plant species in need of strict protection (listed in annex 4).	52 These 	
obligations for species protection appl	y to the whole of a Member State’s territory 	
and not only to the Natura 2000 sites.	 Member States are obligated to set up a 	
surveillance system in order to ensure a favorable conservation status of the species and 
take appropriate measures in due time. Mem	ber States and the European Commission 	
are also obliged to encourage the needed research and scientific work. Moreover, it is 
the obligation of the Member State to promote general knowledge concerning the need 
to protect wild flora and fauna nationally.	 	
指令	还包含一系列与名录上的	物种	所受	-$Õ¡
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7Êp�Ë
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采取必要措施为需要严格保护的动植物物种（附录	4	所列）建立一个严格的保护体系。	
这些物种保护义务适用于成员国的整个领土，而不仅仅适用于	Natura 2000	保护	区	。	
成员国必须建立监督系统，以确保物种的良好保护现状，并适时采取措施。成员国和
欧盟委员会还必须鼓励开展必要的科研工作。此外，成员国还有义务在全国宣传关于
保护野生动植物群必要性的一般知识。	 	
In order to 	ensure biodiversity the Habitats Directive furthermore states that the	 	
national land	-use planning and development strategies ought to encourage 	
features of the landscape which supports the migration and dispersal of wild 
fauna and flora and hence are of ma	jor importance to the species addressed in the 	
directive.	 During the implementation of the directive Member States shall also 	
investigate the desirability of reintroducing species which are native to the area and can 
contribute to the conservation of the s	ites in question. This requires that the public 	
concerned have been properly consulted on the matter, as some cases (such as the 
reintroduction of large carnivores) may be controversial. The directive also obliges 
member states to improve the ecological co	herence of the network by ensuring that land 	
management practices and planning procedures in linked areas, or corridors, or buffer 
zones, are compatible with the conservation management schemes that must be 
established for each site. This process has led t	o formation of	 biodiversity action plans	 	
in a number of member states.	 	
为了确保生物多样性，《栖息地指令》进一步规定，国家土地	利用	规划和发展战	
略应鼓励有利于野生动植物群迁徙和传播、因而对指令所提及的物种具有重大意义的
景观功能	。在实施指令的过程中，成员国还应调查对当地原产并且有助于保护所议保	
 	 	 	
52 Annex 2 contains a list of ”Animal	 and plant species of community interest whose conservation requires 	
the designation of special areas of conservation”. Annex 4 contains a list of ”Animal and plant species of 
community interest in need of strict protection”. Note that the two lists overla	p. For instance, of the 447 	
animal references, 45% occur in both lists (EC 2007).	附录	2包含一个“关乎共同体利益、需要指定特别	
保育区予以保育的动物和植物物种”名单。附录	4包含一个“关乎共同体利益需要严格保护的动物和植	
物物种”名单。注意，两个名单有重叠部分。例如，在所提到的	447	种动物里，	45%	在两个名单里都出	
现了。

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护区的物种进行野放是否可取。这要求就此问题征询有关公众的意见，因为有些情况
（比如大型食肉动物的野放）会引起争议。指令要求成员国必须为每一个保护区制定
保护	管理方案，确保相连区、廊道或缓冲区的土地管理实践和规划程序与保护管理方	
案相匹配，以加强网络的生态连贯性。这一过程促进很多成员国制定了	生物多样性行	
动计划	Ä	 	
The Habitats Directive contains a timeline.	 It was adopted in 1992, by June 1994 all 	
Member Countries should adapt national legislation to the requirements of the directive, 
by 	June 1995 all Member States should submit a list of proposed sites (SCI) for 	
protection to the EU Commission (this was later pushed to 1998), and by June 2004 the 
whole network of Natura 2000 sites should be in place. After the approval of suggested 
sites,	 Member States have six years to define conservation objectives and the 	
management framework for their Natura 2000 sites. Member States are also obliged to 
repor	t to the EU Commission on the implementation of the d	irective every six years, 	
including 	an 	ass	essment of the conservation status of species and habitats listed on the 	
Annexes to the Directive.	 	
《栖息地指令》	有	一个时间表	。	1992	年通过，到	1994	年所有成员国都应按指令	
要求调整国家立法，到	1995	年	6	月所有成员国都应向欧盟委员会提交建议保护地	
（	SCI	）名单（后来推到了	1998	年），到	2004	年	6	月整个	Natura 2000	保护地网络	
应到位。建议保护地获得批准后，成员国用六年时间确定其	Natura 200	0	保护地的保	
护目标和管理框架。成员国还必须每六年向欧盟委员会报告一次指令实施情况，包括
对《指令》附录所列物种和栖息地的保护现状的评估。	 	
2.4.1.5	 Results	结果	 	
The Habitats Directive has had a number of important effects on nature 
management in the EU countries	 and contributed to reducing regional risks to 	
ecology	. Maybe one of the most	 important effects is that the focus on ecological status 	
has forced Member States to take the ecological status (and the accumulated and acute 
risks) for the most threatened species and habitats into account in a systematic manner 
in overall land	-use plan	ning and development. Earlier, nature conservation concerns 	
and efforts often developed in a fragmented and organic manner according to 
opportunities presenting themselves. The introduction of the directive revealed that this 
approach in most cases had led	 to a situation where the national systems did not 	
properly cover and safeguard the most threatened species and habitats in Europe. As a 
consequence, the introduction of the directive led to a more 	science	-based, systematic 	
and common minimum standard for 	nature protection.	 This was a significant step 	
forward in European nature protection. The Habitats Directive also led to 	increased 	
efforts 	throughout the EU 	to register threatened species and habitats and 	
understand the causes for their decline	. A huge imp	rovement of the knowledge base 	
and 	increased transnational cooperation	to address regional risk	 are other 	
important effects. 	 	
《栖息地指令》对欧盟国家的自然管理产生了很多重要影响	，有利于减少区域生	
态风险	。	也许最重要的影响	之一	就是	对生态状况的重视迫使成员国在总体土地使用规	
划与发展中将受威胁最严重物种和栖息地的生态状况（以及累积风险和	突发性	风险）	
纳入系统性考虑。早些时候，对自然保护的关注和努力往往是零零散散地视机会而为。
栖息地指令的颁布表明这种方法在多数情况下导致国家系统未能恰当地保护和护卫欧

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洲受威胁最严重的物种和栖息地。因此，栖息地指令的颁布引出了一项更加	以科学为	
基础、系统的、共同的自然保护最低标准	ÄF	_!W#b8'f
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Today, Natura 2000 is the lar	gest coordinated network of high biodiversity areas 	
in the world.	 By 2013, the network of Natura 2000 sites spans 28 EU countries and 	
consists of more than 27,000 sites covering approximately 18% of EU land territory as 
well as important marine areas. 	Acco	rding to European Commission studies (EC 2012), 	
the 	economic benefits	 that flow from Natura 2000 	in the form of ecosystem services 	
are estimated to be in the order of 	€200	-300 billion/year. It is estimated that there are 	
between 1.2	-2.2 billion visitor 	days to Natura 2000 sites each year, generating 	
recreational benefits worth between €5 and €9	 billion per annum. A	 total of around 4.4 	
million jobs and €405 billion in annual turnover are 	estimated to be 	directly dependent 	
on the maintenance of healthy eco	systems, a significant proportion of which are situated 	
within Natura 2000. 	The cost of managing and protecting the Natura 2000 sites are 	
estimated at 	€5	.8 billion/year.	 	
如今，	Natura 2000	是全球最大的高度生物多样性区域协调网络。	到	2013	年，	
Natura 2000	保护地网络跨越	28	个欧盟国家，有	27,000	多个保护地，涉及	18	%	的	欧	
盟领土以及重要海洋区域。根据欧盟委员会的研究（	EC 2012	），	Natura 2000	以生态	
系统服务形式产生的	经济效益	估计大约为	200	0-300	0	亿欧元	/年。	Natura 2000 	保护地	
每年接待的游客估计为	12	-22	亿人次，每年产生	50	亿到	90	亿欧元之间的游憩效益。	
估计共有大约	440	万个工作岗位和	4050	亿欧元的年营业额直接依赖于健康生态系统	
的维护，而健康生态系统很大一部分位于	Natura 2000	内。	Natura 2000 	保护区的管理	
与保护成本估计为	58	亿欧元	/年。	 	
The 	implementation of the Habitats Directive has been delayed and faced with a 	
number of practical problems.	 Nature conservation had developed gradually at the 	
national level and the current systems at the time of the introduction of the directive 
were often a	 blend of historically determined priorities, scientific approaches and local 	
traditions for nature use and management. Most countries with developed nature 
protection schemes, such as for instance Sweden, expected that the existing national 
systems would 	suffice to meet the requirements of the directive. The top	-down and 	
strictly science	-based approach of the directive, however, quickly revealed that 	all 	
Member States needed to strengthen efforts significantly in order to meet requirements. 
In many cases, 	adaptations of the national systems were more difficult and complicated 	
for the countries that already had elaborate systems (typically the Northern and 
Western EU countries), while it was easier in countries with less elaborated systems 
(typically the Sou	thern and Eastern EU countries) (van Keulen, 2007). No member states 	
met the revised deadline to suggest necessary sites for protection by 1998, and in 1997 
the EU Commission started legal proceedings towards a number of Member States for 
failing to meet t	heir obligations under the directive. This led to increased efforts and by 	
1999 most countries had proposed enough sites to allow for an assessment at 
biogeographical level of the sufficiency of sites proposed. In the coming years	, the EU 	
Commission severa	l times took legal steps to ensure that Member States 	
designated enough sites to meet the requirement of the directive.	 For instance, in 	
September 2001, the EU Court of Justice ruled that France had not put forth enough sites

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for the protection of species 	and habitats mentioned in the directive and France 	
subsequently had to put forth additional sites to the EU Commission. The last 
biogeographical seminars for the EU15 were held in 2003, by which all the then 15 
Member States had made substantial proposals 	so that the Natura 2000 network could 	
materialize. 	 	
《栖息地指令》的实施已延迟，而且面临很多实际问题。	自然保护	已逐渐在国家	
层面开展，指令颁布时通行的系统往往是把自然使用和管理方面历史上确定的优先次
序、科学方法和地方传统混合在一起。有成熟自然保护方案的国家、比如瑞典，多数
都以为现有的国家系统足以满足指令的要求。但指令自上而下、严格以科学为基础的
方法很快就表明，	所有	成员国都需要极大加强努力，以满足指令要求。多数情况下，	
国家系统的转化对于已经有详尽系统的国家（通常为欧盟北部和西北国家）来说比较
困难和复杂，而在系统不太详尽的国家（通常为欧盟南部和东部国家）则比较容易
（	van Keulen, 2007	）。没有一个成员国按照修订后的截止期限在	1998	年之前提出必	
需的保护地，于是	1997	年欧盟委员会对很多未能履行指令下义务的国家启动了法律程	
序。各国加强了努力，到	1999	年多数国家提出了足量的保护地，以便可以在生物地理	
层面评估所提议保护地是否足量	。后来几年，	欧盟委员会多次采取法律	措施，以确保	
成员国指定足够的保护地以满足指令要求。	例如，	2001	年	9	月，	欧盟法院判定法国没	
有提出足够用于保护指令中所提及物种和栖息地的地点，随后法国要向欧盟委员会提
出更多的保护地。在	2003	年举行的上一届欧盟	15	国生物地理研讨会上，当时的	15	
个成员国全部提出了大量的保护地，以使	Natura 2000	网络成形。	 	
Natura 2000 is mostly but not fully finalized, as additional efforts are considered 
necessary to ful	ly cover the sites needed (more sites are especially needed in marine 	
areas). Implementing the Habitats Directive is an on	-going process, and the latest EU	-	
member Croatia (2013) is currently working on setting up their sites to be part of the 
Natura 2000 n	etwork. A survey by a European NGO network (EEA 2011) showed 	that 	
the	 “depth of implementation” 	varies significantly between countries	. In 2010, only 	
about 40% of Member States had set precise conservation objectives at site level. Most 
Member States have 	decided to use the tool of site management plans, but the degree to 	
which such plans have actually been developed for sites varies greatly between 
countries. Some old Member States such as France, Austria and Sweden, had by 2010 
completed management planni	ng for a large number of sites and were firmly on the way 	
to finalize the process for all sites. On the other hand, a number of countries deciding to 
have such management plans had by 2010 only developed such plans for less than 10% 
of their sites. 	 	
Natura	 2000 	已具雏形，但尚未完全定型，因为要完全覆盖需要保护的地点还需再	
努力（特别需要增加海洋地区的保护地）。实施《栖息地指令》是一个持续过程，最
新的欧盟成员克罗地亚（	2013	年加入欧盟）目前正在设立要纳入	Natura 2000 	网络的	
保护区。由欧洲一个非政府组织网络开展的一项调查（	EEA 2011	）显示，	“实施深度”	
在不同国家之间差异很大。	2010	年，仅	40%	的成员国确立了精确的保护区保护目标。	
多数成员国尚未决定采用保护区管理计划这一手段，但各国之间实际制定保护区管理
计划的程度差异很大。有的老成员国，比如	法国、奥地利和瑞典到	2010	就完成了大量	
保护区的管理计划编制，并且正在编制所有保护区的管理计划。另一方面，很多决定
制定这种管理计划的国家到	2010	年仅编制了国内保护区不到	10%	的管理计划。

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The Habitats Directive has enabled a first 	EU	-wide monitoring of the status for the 	
most threatened species and habitats	. The reporting on conservation status do	ne in 	
2008 (the next is due in 2014), showed that there still is a significant way to go to ensure 
the protection of the most threatened species and habitats.	53 In 2008, 17% of the target 	
species under the directive had favorable conservation status, 52% unfavorable 
conservation status and the status of 31% was unknown (EEA, 2010). Of the target 
habitats, only about 10	-20% had	 favorable status (see figure 	below).	 The situation 	
appears worst for aquatic habitats, coastal zones and nutrient	-poor terrestrial habitats. 	
Of the marine regions, the situation is particularly bad in the Baltic Sea. Of the terrestrial 
biogeoraphical regions, the situation was best in the Al	pine (incl. Austria) and Boreal 	
region (Inc. Finland and Sweden) and worst in the Atlantic region (incl. Belgium, France, 
the Netherlands, UK). 	 	
《栖息地指令》 促成 了首次	欧 盟 范 围 对多数 受 威胁 物 种和 栖息地 状 况的 监 测	Ä	
2008	年进行的保护现状报告（下一次将于	2014	年进行）表明，要确保多数受威胁物	
种和栖息地的保护仍任重道远。	2008	年，	17%	受指令保护的物种呈良	好保护现状，	52%	
呈不良保护现状，	31%	的物种现状不明（	EEA, 2010	）。在目标栖息地中，大约仅	10	-	
20% 	呈良好保护现状（见下面图	x 	）。水上栖息地、海岸区和营养物贫乏的陆地栖息	
地情况显得最糟糕。在海洋地区中，波罗的海的情况特别差。在陆地生物地理区，阿
尔卑斯山地区（包括奥地利）和博雷亚尔地区（包括芬兰和瑞典）的情况最好，大西
洋地区（包括比利时、法国、荷兰、英国）的情况最糟糕。	 	
The aggregated data of conservation status by 2008 do not allo	w for conclusions about 	
the effectiveness of the protection regime of the Habitats Directive, as time series are not 
yet available and habitat restoration and species recovery generally requires more time 
than a few years. For the Birds Directive, which ha	s been in force for a longer time, 	
studies indicate that the bird conservation measures in Natura 2000 areas have been 
effective (EEA 2010). The reporting in 2014 will provide new and more comprehensive 
data that will allow for a preliminary assessment of 	the effect of the measures taken 	
under the directive and related EU initiatives to protect biodiversity and green 
infrastructure. 	 	
截止到	2008	年的汇总数据无法使我们就《栖息地指令》保护体系的效能得出结论，	
因为没有时间序列，而且栖息地修复和物种恢复通常需要很多年时间。对于已生效较
长时间的《	野鸟保护	指令》，研究表明	Natura 2000	保护区的鸟类保护措施是有效的	
（	EEA 201	0）。	2014	年的报告将提供新的更加全面的数据，可用于初步评估根据该指	
令和欧盟保护生物多样性和绿色基础设施的有关计划所采取措施的成效。	 	
 	 	
 	 	 	
53 Note that since the 2008 reporting was the first report	ing under the directive, time series does not exist 	
and for a significant percentage of habitats and species data was not available in the first round (ref. figure 
2.13 and 2.14).	注意，由于	2008	年的报告是首次根据指令做的报告，因此没有时间序列，大部分栖息地	
和物种的数据在第一轮都没有（参阅图	2.13	和	2.14	）。

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Figure 2.1	3 and 	2.14	 Conservation status for	 Habitats Directive speciesand 	
habitats 	(2008)	 	
图	2.13	和	2.14 	《栖息地指令》	相关	物种和栖息地的保护现状	 	
 	
 	
保护现状	- 按地区	区分的物种	 	 不良	-差 	
不良	-不够好	 	
不明	 	
未评估	 	
良好	 	
生物地理区	 	
阿尔卑斯山	 	
大西洋	 	
黑海	 	
博雷亚尔	 	
大陆	 	
麦克罗尼西亚	 	
地中海	 	
潘诺尼亚	 	
斯特匹克

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Source: EEA (2010)	来源：	EEA 	（2010	）	 	
2.4.1.6	 Lessons and suggestions 	for China	 	
2.4.1.6 	对中国的建议	 	
The Habitats Directive would seem to contain a number of features that are highly 
relevant 	for	 China. 	China is among the 12 	mega	-biodiverse countries in the world (CBD 	
2014).	54 In 2008, an overall inventories report indicated the presence of more than 	
35,000 species of higher plants (of which 17,300 are endemic, ranking China third in the 
world after Brazil and Colombia), 6,445 	species of vertebrates (667 being endemic) and 	
10% of the world’s invertebrates throughout the country. Among them are 1,371 species 
of birds (placing China first in the world) and 3,862 fish species (which account for 
20.3% of the world’s total). China is	 also one of the eight centers of origin for crops, with 	
nearly 10,000 species of crops, including their wild relatives. 	China is clearly one of the 	
most important countries globally for conservation of biodiversity	 and China is a 	
signatory to the internat	ional Convention on Biological Diversity (1992), like the EU. 	 	
《栖息地指令》似乎有很多对中国很有意义的特点。	中国是全球	12	个生物多样性	
特 别 丰 富 的 国 家	之 一 （	CBD 2014	）。	2008	年 ， 一 份 总 体 清 查 报 告 显 示 ，	全国有	
35,000	万多种	高等植物（其中中国特有植物	17,300	种，使中国继巴西和哥伦比亚之	
 	 	 	
54 The da	ta about biodiversity in China is taken from the Convention on Biological Diversity’s (CBD 2014) 	
country profile of China	. 	
中国生物多样性数据摘自《生物多样性公约》（	CBD 2014	）中国国家概况。	 
两栖动物（	152	） 	
节肢动物（	336	） 	
鱼类（	242	） 	
哺乳动物（	381	） 	
软体动物（	81） 	
无维管植物（	92） 	
爬行动物（	149	） 	
维管植物（	799	） 	
其他（	8） 	
 
 
 	
良好	 	不明	 	 
 	
不良	-不够好	 	不良	-糟糕	 	 
 
不良	-不够好	 	不良	-糟糕	 	 
 	
良好	 	不明	 	 
 	
沼泽（	56） 	
海岸栖息地（	84） 	
沙丘栖息地（	62） 	
森林（	181	） 	
淡水栖息地（	84） 	
草原（	102	） 	
荒野和灌丛（	36） 	
岩石栖息地（	64） 	
Sderophyllous	灌丛（	32）

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后排名第三），	脊椎动物	6445	种	（	667	种为中国特有）	，	无脊椎动物	占世界总数的	
10%	。其中鸟类有	1,371	种（中国名列世界第一），鱼类	3,862	种（占世界总数的	
20.3%	）。中国还是八个农作物原产地中心之一，有近	10,000	种农作物，包括其野生	
近缘种。	在生物多样性保护方面，中国显然是全球最重要的国家之一，	而且中国和欧	
盟一样，也是国际《生物多样性公约》	（	1992	）	签约国。	 	
Despite some positive trends (such as growth in forest cover)	55, many natural areas, 	
habitats and species in China are threatened (CBD, 2014).	 About 90% of grasslands are 	
experiencing different degrees of degradation and desertification, and 40% of China’s 
major wetlands are facing threats of severe degradation 	- especially mudflats and 	
mangroves. Species loss is also serious. It is estimated th	at 15% to 20% of wild higher 	
plants in China are endangered, 233 vertebrate species face extinction and about 44% of 
wild animals are in decline. The main pressures and drivers of the changes to 
biodiversity are accelerated urbanization and industrializati	on leading to habitat 	
fragmentation and increasing pollution levels. Environmental pollution has greatly 
impacted aquatic and river coastal biodiversity and habitats. Overexploitation and 
disorderly development of biological resources have also aggravated 	the negative 	
impacts on biodiversity. 	 	
虽然有一些积极趋势（比如森林覆盖率的增长），但中国很多自然区域、栖息地	
和物种仍旧受到威胁（	CBD, 2014	）。大约	90% 	的草地正经历着不同程度的退化和沙	
漠化，中国	40% 	的重要湿地正面临严重退化的威胁	——	特别是滩涂和红树林。物种灭	
绝也很严重。据估计，中国	野生高等植物濒危比例达	15%	-20%	，	233	种脊椎动物面临	
灭绝	，	约	44%	的野生动物呈数量下降趋势	。	致使生物多样性发生变化的主要压力和驱	
动因素是城市化和工业化加速，导致栖息地破碎	化，污染日益严重。环境污染极大影	
响了水生和河流沿岸生物多样性与栖息地。生物资源的过度开采和无序开发也加重了
对生物多样性的负面影响。	 	
China’s challenges related to preserving natural capital and sustainable use of 
ecosystems services are huge.	Faced with severe biodiversity loss, the Chinese 	
government notes in its last rep	ort to the Convention of Biological Diversity	56, that it is 	
striving to address the root causes, improve related legislation and management 
systems, and integrate biodiversity into national economic and social 
development plans and sectorial development 	plans.	 The Communist Party of China 	
(Xinhua, 2013) has recently stressed the need for an “ecological red line” to ensure the 
basic ecological protection necessary. 	 	
中国在保护自然资本和可持续使用生态系统服务方面面临巨大挑战	。面对生物多	
样性严重丧失，中国政府在上一次提交给《生物多样性公约》的报告中指出，中国政
 	 	 	
55 China’s forest resources have witnessed continuous growth and forest cover has increased from	 8.6% in 	
1949 to 20.36% at present.	 	
中国的森林资源持续增长，森林覆盖率由	1949	年的	8.6%	增长到了目前的	20.36%	。 	
56 MEP (2008): 	China’s Fourth National Report on Implementation of the Convention on Biological Diversity	. 	
Ministry of Environmental Protection, 2008.	 	
MEP	（2008	：	中国履行《生物多样性公约》第四次国家	报告	。环境保护部，	2008	。

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府正在	努力	“治本”	，改进有关的立法和管	理	系统	，把生物多样性纳入国家经济社会	
发展计划及行业发展计划	Ä]
-¡×ŠÄà	~/nÈ	2013	）最近强调需要用一条“生态	
红线”来确保必要的基本生态保护。	 	
The following suggestions are not based in a detailed assessment of the current system 
and practices for nature protection in China, and should be seen as preliminary 
suggestions. It	 is, moreover, clear that any application of international experience as 	
represented by the Habitats Directive, will need to be adapted to Chinese management 
traditions and unique circumstances. 	 	
以下建议并非基于对中国当前自然保护体系和实践的详细评估，应被视为初步建	
议。此外，显然需要根据中国的管理传统和独特情况运用	《栖息地指令》中所描写的	
国际经验。	 	
The Habitats Directive can be seen to represent EU’s ecological red line 	and a tool 	
for regional risk assessment and management related to ecology, 	and 	is an example 	
of how such a standard	 can be established and implemented. The Habitats 	Directive 	
provides an example of a 	strictly scientific approach and a process of trans	-national 	
or regional cooperation	 that likely is relevant in China. The approach is rooted in a 	
scientific assessment of which species and habitats must be maintained in 	order to 	
preserve biodiversity and provides a legal obligation to ensure the necessary protection. 
Such a basis has not yet been established in China in a similar and overall manner	, and 	
would likely be useful in order to focus and mainstream conservation 	efforts. 	 	
《栖息地指令》堪称欧盟的生态红线，	是如何建立并执行生态红线的一个范例。	
《栖息地指令》提供了一个	完全科学的方法和跨国及区域合作过程	,´93»È
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The Habitats Directive provides a 	methodology for assessing the necessary	 scale of 	
protection of species and habitats at biogeographical level	 and a process in which 	
the “burden of protection” can be shared between the states sharing a certain 
biogeographical region. Such an approach is likely also useful in a Chinese context w	here 	
several provinces often share biogeographical regions.	 	
《栖息地指令》提供了	一种用于评估生物地理区物种和栖息地必要保护规模的方	
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One of the deliveries of the Habitats Directive is 	a system for monitoring and regular 	
repor	ting on status for the most threatened species and habitatsat a continental 	
level	, which allows for precise knowledge of status, trends and effects of measures. Such 	
a system has not yet been established in China in a similar manner and would likely be 
use	ful as it is a prerequisite for targeted measures to preserve biodiversity. 	 	
《栖息地指令》交付的成果之一是	一个用于监测并定期报告欧洲受威胁最严重物	
种和栖息地现状的系统	ÈB3+5
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系统尚未在中国以类似全面的方式建立，因此可能会有用，因为它是保护生物多样性
的目标措施的一个先决条件。	 	
Concern is currently being expressed in China about how 	an ecological red line should 	
be introduced in China (Caixin, 2013; China Dialogue, 2014). There is concern that the 
concept may lead to creation of a new protection category that will exist parallel to the 
existing system with ecological protection zones,	 biodiversity conservation areas, forest 	
parks and geological parks (which all have their own protection requirements), leading 
to overlap, extra work with unclear added benefit and unclear mandates. There is also 
concern that such a concept will be imposs	ible to follow	-up, as it will require 	
coordination with developments in all sectors influencing the ecology. 	The Ministry of 	
Environment (MEP 2013) has begun work on operationalizing the ecological red line 
concept, publishing a draft Technical Guideline o	n Determination of Ecological Red Line 	
and conducting pilot work in four regions. The pilot work in Inner Mongolia, Jiangxi, 
Guangxi and Hubei provinces is aimed at determining the spatial implications of an 
ecological red line, focusing on “key national e	co function zones”, ecological sensitive 	
areas and fragile areas. According to the scheme, the estimated area defined by 
ecological red line will make up about 20% of the area in each province. The pilot work 
and related technical work is estimated to be f	inalized by the end of 2014. 	 	
对于如何在中国引入一条生态红线，中国目前表示出担心（	Caixin, 2013; China 	
Dialogue, 2014	）。人们担心，此概念可能导致创建一个新的保护类别，它与现有由生	
态保护区、生物多样性保育区、森林公园和地质公园（全部都有自己的保护要求）组
成的系统并存，带来重叠额外的工作，而额外效益不确定，职责不明确。同时还有一
种担心是，这样一个概念是不可能落实的，因为它需要与影响生态的所有行业的发展
协调一致。环保部（	MEP 2013	）已开始将生态	红线概念付诸实施、发布确定生态红线	
的技术导则草案和实施四个区域的试点工作等方面的工作。内蒙古、江西、广西和湖
北等省的试点工作旨在决定某生态红线的空间涵义、侧重“主要国家生态功能区”、
生态敏感区和脆弱生态区。根据方案，由生态红线定义的评估区域将约占据各省区域
的	20%	。据估计，试点工作和相关技术工作将于	2014	年年底最后敲定。	 	
The Habitats Directive shows how an ecological red line can be set at a continental 
level and	 implemented as a common minimum requirement to be mainstreamed 	
across states incl. guidelines for cross	-sector integration	. A similar system in China 	
would provide a framework in which existing protection zones etc. could be integrated 
and supplemented to	 the extent necessary.	 This would focus and reinforce the 	
protection in existing protect areas and not compete with current efforts. 	The ecological 	
red line concept appears to have a similar approach and the suggested spatial extent 
(approximately 20% of 	land) would also be similar to the impact of the Natura 2000 	
network of protected sites under the Habitats Directive.	 	
《栖息地指令》说明了如何在大陆层面划定和实施一条生态红线，	并在	各州	形成	
主流	的	通用	最低要求，	同时	包括用于跨行业整合的导则	。中国的一个类似系统可提供	
一个框架，在这个框架下可在必要范围内对现有保护区进行整合与补充。这会专注于	，	
并且加强现有保护区内的保护，而且不会与目前的工作产生竞争	。	该生态红线概念	似	
乎	采取	类似的方法，建议的空间范围（约占陆地的	20%	）将类似于《栖息地指令》保	
护区	Natura 2000	网络的效果。

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Vista Analyse AS	 	172	 	
Similar to in the EU, it would likely also be valuable to consider the ecological sites of 
“Chinese interest” in such a system (to paraphrase the EU terminology of “Community 
Interest”) as 	crucial hubs in the wider ecological system in China, upholding natural 	
capital and providing a flow of ecosystem services to the benefit of Chinese society. 
Estimations of economic benefits	 from protection of a network of prioritized species 	
and habitats,	 such as those that have been carried out in the EU, may also 	help 	
prioritize efforts and integrate them with sector strategies for economic 
development 	- instead of these being seen as antagonistic to each other.	 	
与	欧盟	情况类似，把这样一个系统里的	关乎	“	中国利益	”（套用欧盟的“共同体	
利益	”术语）	的	生态保护地视为中国	广泛	生态系统里的关键枢纽，支撑自然资本并提	
供造福中国社会的生态系统服务流，	这种看法可能也是很有价值的。估算优先级物种	
和栖息地网络保护带来的经济效益，比如欧盟已进行的估算，可能也	有助于厘清各项	
工作的轻重缓急，并把他们与经济发展	的行业	战略融合在一起	——	而不是把这些视为	
彼此	互不相容	Ä	 	
Finally, in the EU, it has been important to have the EU Commission as a watchdog 
ensuring that Member 	States fulfill their obligations. In a similar manner, the central 	
level in China would probably need to take on a watchdog role ensuring that necessary 
scientific quality and political action is taken to protect prioritized species and habitats 
at the reg	ional level.	 	
最后，在欧盟，让欧盟委员会作为确保成员国履行其义务的监督部门，已显得十分重
要。同样，中国中央层面可能也需要扮演监督部门的角色，确保必要的科学质量和采
取区域层面的政治行动来保护优先级物种和栖息地。

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2.4.2	 EU Soil Thematic Strategy	欧盟土壤保护主题战略	 	
 
Box 2.	6 Soil contamination in Europe	 	
框	2.6 欧洲的土壤污染	 	
Soil contamination 	is a problem of varying intensity and significance 	across	 Europe. 	In 	
most cases, c	leaning up all historically	-contaminated sites, commonly of industrial 	
origin, to background concentrations or levels suitable to all uses is not viewed as 
technically or econo	mically feasible. As a result, clean	-up strategies are designed to 	
employ sustainable, long	-term solutions, often using a risk	-based approach to land 	
management aimed at achieving "fitness for use" appropriate to the location. In the 
absence of specific EU	 legislation to address the clean up of contaminated soil, Member 	
States apply the "polluter pays" principle to varying degrees in clean	-up programs. 	
Public 	fundingis also	 used in a number of Member States to finance remediation costs 	
when necessary	 (US	-EP	A, 2013)	. 	
土壤污染问题在欧洲各地具有不同的强度和意义。多数情况下，把全部历史遗留	
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2013	）。	 	
The European En	vironment Agency (EEA) collects data 	on soil contamination and clean	-	
up. 	The distribution of soil pollution sources across economic sectors differs from 	
country to country,	however, 	industrial activities are	 estimated to be 	responsible for 	
over 60% of Europ	e's soil pollution (the oil sector accounts for 14% of this total). Among 	
the most common harmful contaminants are heavy metals (37%) and mineral oils 
(33%). 	It has been estimated that about 3 million 	soil contamination 	sites need 	
remediation (EEA, 2010). 	The figure is, however, uncertain due to limited data. M	ore 	
than 80,000 sites have been cleaned up during the last 30 years in EU countries where 
data on remediation are available	 (Figure 2.15)	. 	
欧洲环境署（	EEA	）收集土壤污染和清理数据。土壤污染源在各经济部门的分布因	
国家而异，但工业活动估计是	60% 	的欧洲土壤污染	的原因（石油业占总数的	14%	）。	
最常见的有害污染物包括重金属（	37%	）和矿物油（	33%	）。估计约有	300	万个土壤	
污染场地需要修复（	EEA, 2010	）。然而，由于数据有限，这个数字并不准确。最近	30	
年，在有修复数据的欧盟国家已清理了	8	万多个场地（图	2.15	）。	 	
Different EU policies for water, waste, chemicals,industrial pollution prevention, nature 
protection, pesticides and agricult	ure are contributing to soilprotection. 	Of most 	
relevance are The Waste Framework Directive; the Water Framework Directive, the 
Groundwater Directive, the Directive on Nitrates from agricultural sources, and the 
Integrated Pollution Prevention and Control 	Directive. 	However, as these policies have 	
other aims andother scopes of action, they are not sufficient to ensurean adequate level 
of protection for all soil in Europe.	 The prevention of soil degradation is also limited by

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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the	 scarcity of data. In this co	ntext, the European Commission	 in 2006 	adopted a Soil 	
Thematic Strategy	 in 	2006 and aproposal for a Soil Framewor	k Directive 	with the 	
objective to protect soilsacross the EU.	 The EU Soil Thematic Strategy recogni	zes eight 	
major threats: soil erosion, 	decline of soil organic matter, soil contamination, loss of soil 	
biodiversity, salini	zation, compaction, soil sealing and landslides.	 The proposed Soil 	
Framework Directive is 	still being debated in the Council and the European Parliament	 	
and its adoption h	as so far been blocked by a minority of Member States 	(Germany, 	
France, United Kingdom, The Netherlands and Austria	; these countries 	question its 	
added	-value in relation to existing 	regulations	 and 	the Directive’s	 compliance with the 	
subsidiarity principle	, while also being 	concerned about cost	-effectiveness of measures 	
proposed	) (EC	-JRC, 2013).	 	
欧盟针对水、废弃物、化学品、工业污染预防、自然保护、杀虫剂和农业的不同	
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《土壤保护主题战略》，并提出了一项《土壤框架指令》提案，旨在保护整个欧盟范
围的土壤。《欧盟土壤保护主题战略》指出了八大威胁：水土流失、土壤有机质下
降、土壤污染、土壤生物多样性丧失、盐碱化、土壤压实、板结和山体滑坡。《土壤
框架指令》提案仍在由欧洲理事会和欧洲议会讨论，到目前为止大多数成员国（德
国、法国、英国、荷兰与奥地利；这些国家怀疑该指令对现有法规的增加值以及该指
令是否符合辅助性原则，同时还担心提议措施的成本效益）都反对通过该提案	 (EC	-	
JRC, 2013)	。	 	
In preparation for action at EU level, the Commission has been working to support soil 
awareness initiatives, research and monitoring projects, such as LUCAS, a survey on land 
cover, land use and agro	-environmental indicators run by Eurostat. The Commissio	n has 	
also continued to integrate the objective of soil protection into other EU policies, 
including agriculture and rural development. Around €3.1 billion has been allocated to 
the rehabilitation of industrial sites and contaminated land as part of the Co	hesion 	
Policy for the period 2007	-2013. Hungary, the Czech Republic and Germany have 	
allocated the most funding (€475, 371, and 332 million respectively).	 	
在欧盟层面的行动准备中，欧盟委员会一直致力于支持土壤意识计划、研究和监	
#{N©-È"²	LUCAS	，这是由欧盟统计局开展的一项关于土地覆被、土地使用和农业	
环境指标的调查。欧盟委员会还继续把土壤保护目标融入到欧	盟其他政策里，包括农	
业和农村发展政策。	2007	-2013	期间，已为工业场地和污染土地的修复工作拨款	31	亿	
欧元左右，作为“凝聚政策”的一部分。匈牙利、捷克共和国和德国拨款数额最大
（分别为	4.75	、	3.71	和	3.32	亿欧元）。	 	
A number of other government and non	-government resources exist in Europe to 	
support work on the remediation of contaminated lands	, including 	 	
欧	洲有很多其他政府和非政府组织支持污染土地的修复工作，包括：

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EUGRIS, a web portal for information and services on topics related to soil and water 
(http://www.eugris.info/	 ) 	
EUGRIS	，	一个门户网站，提供土壤和水专题信息与服务	（	http://www.eugris.info/	）	 	
 	NICOLE (The Network for Industrially Contaminated Lands in Europe), a leading 
independent forum on contaminated land management in Europe, supporting the 
development and application of sustainable technologies (	http://www.nicole.org/	 ) 	
 	NICOLE	（欧洲工业污染土地网），欧洲领先的关于污染土地管理的独立论坛，支	
持可持续技术的开发与应用	(http://www.nicole.org/	) 	
 	EURODEMO (European Coordination Action for Demonstration of Efficient Soil and	 	
Groundwater Remediation, which promotes sustainable, cost	-effective soil and 	
groundwater remediation technologies (	http://www.eurodemo.info/	) 	
 	EURODEMO	（欧洲高效土壤和地下水修复协调行动，推广可持续、具有成本效益	
的土壤和地下水修复技术）	（	http://www.eurodemo.info/	）	 	
Figure 2.	15	 Contaminates sites (1000) in Europe 2006.	 	
图	2.15 2006	年欧洲污染场地（	10稀	处）	 	
 	
Source EEA and JRC (2010).	来源：	 EEA	和	JRC	（2010	）	 	
 
Lessons and s	uggestions 	for China	对中国的建议	 	
In China, pollution of urban and agricultural soils has increased with the rapid 
industrialization and urbanization during the last two decades. Cheng (2003) reported 
that the geological background levels of heavy metals are low in China, while a range of 
case studies show that soils and plants are contaminated and may affect human health 
through the food chain. Huang et al (2007) examined the distribution of heavy metal 
contents in topsoils and subsoils of the Yangzhong district, Jiangsu Province, China. 
Compared to subsoils, topsoils were enriched in Cd, Hg, Pb, Cu, Zn, and As. High levels of 
Cd and Hg are observed in most of the sampled agricultural soils. The spatial 	
 
修复场地	 	
 
 
污染场地（估计）	 	
 
 
 
潜在污染场地（	已识别	） 	
 
 
潜在污染活动场地（估计）

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distribution of high Cu, Pb, and Zn concentrations corresponded well to the locations of	 	
urban areas. Compared to data obtained in 1990, Cd and Hg show increased 
concentrations in 2005, which the authors attributed to the long	-term use of agro	-	
chemicals. Wei and Yang (2010) found in a review study on heavy metal contamination 
in urban soils a	nd agricultural soils in Chinese cities that the concentrations of Cr, Ni, Cu, 	
Pb, Zn, As, Hg and Cd were generally higher than the background values of soil in China. 
Agricultural soils were found to be significantly influenced by Cd, Hg and Pb derived 
from anthropogenic activities. 	 	
在中国，最近二十年城市土壤和农业土壤污染随着工业化和城市化的快速推进而	
日益加剧。	Cheng 	（	2003	）报告称，中国的重金属地质学背景水平较低，而一系列案	
例研究却表明土壤和植物受到了污染，并且可能会通过食物链影响人类健康。	Huang 	
等人（	2007	）研究了重金属含量在中国江苏省扬中开发区表层土和深层土中的分布情	
况。与深层土相比，表层土富含	镉	、汞、铅、铜、锌和砷。在多数农业土壤样本中观	
察到了高浓度的镉和汞。铜铅锌高浓度的空间分布与城市地区的坐落位置十	分一致。	
与	1990	年获取的数据相比，	2005	年镉和汞的浓度增加了，研究者将其归因于长期使	
用农药。	Wei 	和	Yang 	（	2010	）通过一项在中国城市开展的城市土壤和农业土壤中的重	
金属浓度回顾研究发现，中国的	铬	、镍、铜、铅、锌、砷、汞和镉浓度普遍高于土壤	
的背景值。研究发现，农业土壤受到了源于人类活动的镉、汞和铅的极大影响。	 	
In addition to research studies as exemplified above, the Ministry of Environmental 
Protection 	recently carried out a comprehensive survey of soil pollution in China. A 	
report issued jointly by the Ministry of Environmental Protection and the Ministry of 
Land and Resources found that 	nearly one	-fifth of the farming land is polluted	57. The 	
report was 	based on a survey conducted from 2005 to 2013 on about 630 square km of 	
land across the country. The main pollution source is human industrial and agricultural 
activities, particularly irrigation by polluted water, the improper use of fertilizers and 
pesti	cides and the development of livestock breeding cause pollution to farming land. 	
The top three pollutants are 	Cr	, Ni	 and 	As	 according to the report. 	 	
除了以上列举的研究之外，环境保护部最近还开展了一项中国土壤污染综合调查。	
环境保护部和国土资源部联合发布的一份报告指出，	近五分之一的农用地受到了污染	Ä	
BÕ
z*¾	2005	到	2013	年对全国各地约	630	平方公里土地开展的一项调查。主要污	
染源是人类的工农业活动，特别是用污染水进行灌溉、肥料和农药使用不当以及畜牧
业发展对农用地造成了污染。根据该报告显示，前三名污染物为铬、镍和砷。	 	
Given the severe situation 	for	 soil pollution in China, especially regarding agricultural 	
soils, 	there is a strong need to strengthen mitigation policies	. In 	the 	EU on	e so far 	
has relied on the different EU policies for water, waste, chemicals, industrial pollution 
prevention, nature protection, pesticides and agriculture when it comes to protecting 
soils. These policies are, however, not effective in cases where there 	is a need to 	
remediate already contaminated land. 	Substantive resources have therefore been 	
allocated to rehabilitation of polluted soil. 	Due to the potentially very large costs of 	
cleaning up heavily polluted sites, China may look into the ‘fitness for us	e’-	
 	 	 	
57 http://news.xinhuanet.com/english/indepth/2014	-04/17/c_133270984.htm

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approach applied in the EU, as a first step to protect human health and 
environment from the effects of soil pollution.	 This would imply, inter alia, that 	food 	
production should not take place on polluted soils	. 	
考虑到中国严峻的土壤污染形势，特别是农业土壤的污染形势，	中国迫切	需要加	
强灌溉政策		
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法作为保护人类健康和环境免受土壤污染影响的第一步。这特别意味着不应在污染土
壤上进行粮食生产。

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2.4.3	 US Superfund	美国超级基金	 	
2.4.3.1	 Introduction	引言	 	
In most countries one has discovered heavy polluted areas both on land and in 
sediments in the sea where there were previously some industrial or similar activities. 
Since the polluter is sometimes no longer around to be faced with these damages, or for 
so	me reason is not able to pay for the cleaning	-up of the area, some arrangement have to 	
be found to deal with this. In this chapter we present how the US has dealt with this 
through their Superfund. Other countries have similar arrangements. 	 	
在多数国家，人们发现在曾经	有过工业活动或类似活动的陆地上和海中沉积物里，	
都有重度污染区。由于有时应承担这些损害赔偿的污染者已不存在，或者因故无法支
付此地区的清理费用，就要通过某种安排来解决这个问题。本节我们介绍美国是如何
通过超级基金解决这个问题的。其他国家有类似的安排。	 	
Hazardous waste regulations began in the United States in 1976 with the Resource 
Conservation and Recovery Act to govern hazardous wa	ste from its initial generation to 	
final disposition (cradle	-to	-grave regulation) and the Toxic Substances Control Act to 	
anticipate possible hazards from chemicals. 	Following the events at Love Canal	and 	
Times Beach in the 1970s	, the Comprehensive Environm	ental Response, Compensation, 	
and Liability Act (CERCLA, or Superfund) was enacted in 1980 to assist in the cleanup of 
abandoned hazardous waste disposal sites. In the mid	-1980s, the Hazardous and Solid 	
Waste Amendments (1984) and the Superfund Amendments 	and Reauthorization Act 	
(1986) were passed.	 	
美国对危险废物的监管始于	1976	年，用《资源保护与回收法》对危险废物实行从	
初始产生到最终处置的管制（从“摇篮”到“坟墓”的全程监管），用《有毒物质控
制法》来预计化学品带来的可能危害。	20	世纪	70	年代拉夫运河与时代海滩事件发生	
后，	1980	年 颁 布 了 《 环 境 响 应 、 补 偿 与 责 任 综 合 法 》 （	CERCLA	， 又 称 “ 超 级 基	
金”），以帮助清理废弃的有毒废物处置场。	20	世纪	80	年代中期，通过了《危险固	
体废物修正案》（	1984	年）和《超级基金修正和	再授权法案》（	1986	年）。	 	
The aim of hazardous waste regulation is to prevent harm from occurring due to 
hazardous waste and to pass the burdens of cleanup of hazardous waste on to the 
original producers of the waste. Some of the problems of hazardous waste regulatio	n are 	
that the negative effects of hazardous w	aste can be difficult to detect, and	 due to the 	
large amount of waste that is generated, regulation can be difficult and costly.	 	
危险废物监管的目的是预防因危险废物而发生的危害，并把危险废物的清理重担	
转移给废物的原始制造人。危险废物监管的一些问题是，危险废物的负面影响难以发
现，而且由于废物的	产生量很大，监管难度大，花费高。	 	
2.4.3.2	 Principles	原则	 	
Superfund is 	an	 environmental program 	established to address cleaning of abandoned 	
sites	 contaminated with hazardous substances, as well as "pollutants or 	
contaminants"	 which are defined more broadly	. It allows the 	Environmental Protection 	
Agency (	EPA	) to 	identify parties responsible for the hazardous substances releases 	
and compel those parties to clean up the sites, or EPA may clean up itself using the

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Superfund (a trust fund) and eventually claim cost recover from	 responsible 	
parties	. Superfund also envisages a process called 	Natural Resources Damage 	
Assessment	 (NRDA)	 conducted by the US Department of the Interior (DOI) and other 	
ministries (see below). Here we put most emphasis on the processes carried out by EPA,	 	
since these are likely more relevant for China to learn from. 	 	
超级基金是为了解决	被危险物质以及定义更广泛的“污染物”污染的	Ï3
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放的责任方并	强制要求	责任方清理场地，环保局也可以	先	用超级基金（一种信托基金）	
自行	清理，最后再向责任方索回清理费用	。超级基金还提出了一种叫做自然资源损害	
评估（	NRDA	）的程序，由美国内政部和其他部（见下文）开展这种评估。这里我们着	
重	介绍美国环保局执行的程序，	因为可能有更多值得中国借鉴之处。	 	
A 	Potentially 	Responsible 	Party (PRP) is a possible polluter who may eventually be held 	
liable under CERCLA for the contamination or misuse of a particular property or 
resource. Four 	types	 of PRPs may be liable for contamination at a Superfund site:	 	
潜在责任方（	PRP	）就是最终可能根据	CERCLA	为污染或者某种特定财产或资源的	
滥用承担责任的污染者。四类	PRP	可能要对超级基金场地的污染承担责任：	 	
 	the current o	wner or operator of the site	 	
场地当前的所有人或营运人；	 	
 	the owner or operator of a site a	t the time that disposal of 	haz	ardous substances 	
occurred	 	
危险物质处理时，场地的所有人或营运人；	 	
 	a person who arranged for the disposal of 	haz	ardous substances at a site, 	and	 	
安排在某场地处理危险物质的人；	 	
 	a person who transported 	haz	ardous substances 	to a site, who also has selected 	
that site for the disposal	. 	
将危险物质运送到	某场地、并且选择该场地进行处理的人。	 	
The Superfund cleanup process is complex. It involves the steps taken to assess 
sites, place them on a National Priorities List (NPL), and establish and implement 
appropriate cleanup plans	. 	The NPL 	primarily serves as an information and 	
management tool for the EPA. The NPL is updated periodically by federal 
rulemaking.The identification of a site for the NPL is intended primarily to guide EPA in:	 	
超级基金的清理程序很复杂，要采取的步骤是：对场地进行评估，将其列入“国	
家优先名单（	NPL	）”，然后制定并实施适当的清理计划	。	NPL 	主要是美国环保局的	
信息和管理工具。	NPL	根据联邦规则进	行定期更新。一旦确定某场地要列入	NPL	，美	
国环保局应当开展以下	工作	：	 	
 	determining which sites warrant further investigation to assess the nature and 
extent of the risks to t	he human health and environment	 	
确定哪些场地有必要进行进一步调查，以评估人类健康和环境所承受风险的性
质和程度	 	
 	identifying what CERCLA	-financed reme	dial 	actions may be appropriate	 	
确定哪些由	CERCLA	资助的修复行动是恰当的

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 	notifying the public of sites which EPA believes 	warrant further investigation	 and	 	
将美国环保局认为有必要进行进一步调查的场地告知公众	 	
 	notifying PRPs that EPA may initiate CERCLA	-financed remedial action.	 	
告知潜在责任方美国环保局可能发起由	CERCLA	提供资金	的修复行动。	 	
Inclusion of a site on the NPL does not itself require PRPs to initiate action to clean up 
the site, nor does it assign liability to any person. The NPL serves primarily 
informational purposes, notifying the government and the public of those sites 	or 	
releases that appear to warrant remedial actions.	 Whether action to reduce 	
environmental risks should be taken is based on health and ecological risk assessments, 
see below.	 	
将场地列入“国家优先名单”本身并不要求潜在责任方发起行动来清理场地，也	
不认定任何人的责任。“国家优先名单”的主要作用是提供信息，将看起来有必要采
取修复行动的那	些场地和泄漏场所告知政府和公众。	是否采取降低环境风险的行动	是	
基于健康和生态风险评估，见下文。	 	
2.4.3.3	 Approaches	方法	 	
Response actions	响应行动	 	
CERCLA authorizes two kinds of response actions	 for the EPA	: 	
CERCLA	授权美国环保局采取两类响应行动：	 	
 	Removal actions	. These are typically short	-term response actions, where actions 	
may be taken to address releases or threatened releases requiring prompt 
response. Removal responses are generally used to address localized risks such 
as abandoned drums containing hazardous	 substances and contaminated surface 	
soils posing 	acute risks	 to hum	an health or the environment.	 	
清除行动。	这些	通常	是短期响应行动，	可针对需要迅速响应的泄漏或者潜在泄	
漏采取行动。清除响应一般用来应对本地化风险，比如装有对人类健康或环境
造成	突发性	风险的危险物质的废弃容器或者被污染的表层土。	 	
 	Remedial actions	. These are usually long	-term response actions	. Remedial actions 	
seek to permanently and significantly reduce the risks associated with releases or 
threats of releases of hazardous substances	 (accumulated risks	), and are 	
generally larger 	and 	more expensive actions which may include such measures as 	
preventing the migration of pollutants with containment, or preferably removing 
and/or treating or neutralizing toxic substances. 	 	
修复行动。这些通常是长期响应行动。修复行动寻求永久及显著降低与危险物
质的泄漏或潜在泄漏有关的风险，而且一般是规模较大、花费较高的行动，	可	
能包括围堵设施防止污染物迁移、或者最好是清除和	/或处理或中和有毒物质之	
类的措施。	 	
 	
Superfund Cleanup Process	超级基金清理程序	 	
This process is used to decide whether or what remedial actions to take. 	The Superfund 	
cleanup process begins with site discovery or notification to EPA of possible releases of

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ha	zardous substances. Sites are discovered by various parties, including citizens, 	state 	
agencies, and EPA 	regional offices. Once discovered, sites are entered into the 	
Comprehensive Environmental Response, Compensation, and Liability Information 
System (CER	CLIS), EPA's inventory of potential hazardous substance release sites. Some 	
sites may be cleaned up under other authorities	 as mentioned above	. EPA then evaluates 	
the potential for a release of hazardous substa	nces from the site through the	 steps in the 	
Su	perfund Cleanup Process.	 Com	munity involvement, enforcement	 and emergency 	
response can occur at any time in the process. 	Below is an overview of the various steps.	 	
这一程序用来确定要不要采取或者要采取哪些修复行动。超级基金清理程序的第	
一步是发现可能有危险物质释放的场地，并通知美国环保局。场地可以被各种当事方
发现，包括市民、州机构和美国环保局的地方	办公机构。一旦被发现，这些场地即被	
输入“综合环境响应、补偿与责任信息系统”（	CERCLIS	），这是美国环保局的潜在危	
险物质释放地点目录。有些场地可以由上述其他机构清理。然后美国环保局通过超级
基金清理程序中的步骤评估场地释放危险物质的可能性。公众参与、执行和应急响应
可以在这一过程的任何时间发生。下面是各种步骤的概述。	 	
Preliminary Assessment/Site Inspection 	初步评估	/场地	检查	 	
The Preliminary Assessment (PA) and Site 	Inspection (SI) are used by EPA to evaluate 	
the potential for a release of haz	ardous substances from a site. 	 	
初步评估（	PA	）和场地	检查	（	SI）被	EPA	用来评估某个场地释放危险物质的可能	
性。	 	
Preliminary Assessment	初步评估	 	
This is a	n assessment of readily available information about a site and its su	rrounding 	
area. A 	PA	 is desig	ned to determine, based on limited data, whether a site	 poses little or 	
no threat to human health and the environment or if it does pose a threat, whether the 
threat requires further investigation. The PA also identifies sites 	re	quiring assessment 	
for possible	 response actions. If the PA results in a recommendation for further 	
investigation, a Site Inspection is performed. 	 	
这是对关于一个场地及其周围区域的现成信息的评估。初步评估的目的是根据有	
限数据确定一个场地对人类健康或环境	是	构成	极	小的威胁或是不构成威胁，还是	如果	
它确实构成	威胁	，这种	威胁	是否需要进一步调查。初步评估还确定需要对响应行动进	
行评估的场地。如果初步评估建议进行进一步调查，则进行场地	检查	。	 	
SiteInspection	场地	检查	 	
This	 identifies sites that enter the NPL Site Listing Process and provides the data needed 	
for Hazard Ranking System (HRS) scoring and documentation	 (see below)	. SI 	
investigators t	ypically collect environmental and waste samples to determine what 	
hazardous substances are present at a site. They determine if these substances are being 
released to the environment and assess if they have reached nearby targets. The SI can 
be conducted 	in one or two	 stages	. The first stage, or focused SI, tests hypotheses 	
developed during the PA and can yield information sufficient to prepare an HRS scoring

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package. If further informa	tion is necessary to document an	 HRS score, an expanded SI is 	
conducted	. 	
这一步骤可以确定进入	NPL	场地排列过程的场地，并提供危险排序系统（	HRS	）	
评分与记录（见下文）所需的数据。场地	检查	人员通常采集环境样本和废物样本，以	
确定场地存在的危险物质。他们确定这些物质是否被释放到环境中，并评估它们是否
到达了附近目标。场地	检查	可以分一个或两个阶段进行。第一阶段又叫有明确目标的	
场地	检查	，检验初步评估期间做出的假设，并且可以产生足以编制一个	HRS	评分包的	
信息。如果需要进一步的信息来记录	HRS	分数，则进行扩大场地	检查	。	 	
National Priorities List (NPL) Sit	e Listing Process	 	
国家优先名单（	NPL	）场地	列入	过程	 	
The NPL is the list of national priorities among the known releases or threatened 
releases of hazardous substances, pollutants, or contaminants throughout the United 
States. The NPL is intended primarily to guide the EPA	 in determining which sites 	
warrant further investigation.	 	
NPL	是美国各地危险物质、污染物或致污物的已知释放或潜在释放的国家优先治	
理名单。	NPL	的目的主要是指导美国环保局确定哪些场地需要进一步调查。	 	
Sites are first proposed to the 	NPL	. EPA then 	receives	 public comments on the sites, 	
responds to the comments, and places on t	he NPL those sites that continue to meet the 	
requirements for listing. 	 	
首先向	NPL	提议场地。然后美国环保局收到公众对场地的评议，对公众评议做出	
回应，把继续满足列入要求的那些场地列入	NPL	。	 	
There are 	three mechanisms for placing sites on the NPL: 	 	
把场地列入	NPL	有三种机制：	 	
1. Applying 	EPA's Hazard Ranking System (HRS). 	应用	美国环保局	的危害排序系统	
（	HRS	）	 	
The 	HRS	 is the principal mechanism EPA uses to place uncontrolled waste sites on the 	
National Priorities List (NPL). It is a numerically based screening system that uses 
information from initial, limited investigations 	- the preliminary assess	ment and the site 	
inspection 	- to assess the relative potential of sites to pose a threat to human health or 	
the environment. Any person or organization can petition EPA to conduct a preliminary 
assessment.	 	
HRS	是美国环保局用来把非管制废弃物场地列入国家优先名单（	NPL	）的基本机	
制。它是一个按数字进行筛选的系统，利用来自初始有限调查	——	初步评估和场地	检	
查	的信息来评估场地威胁人类健康或环境的相对可能性。任何人或组织都可以请求美	
国环保局开展初步评估。

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2. States or Territories 	can	 designate one top	-priority site regardless of score.	 	
州或地区可以选定一个最优先列入	NPL	的场地，不管其得分是多少。	 	
There are no particular requirements for this. 	 	
对这一点没有特殊要求。	 	
3. Allows listing a site if it meets all three of these requirements: 	 	
满足以下全部三个条件的场地可被列入	NPL	：	 	
 	the Agency for Toxic Substances and Disease Registry (ATSDR) of the U.S. Public 
Health Service has issued a health advisory that recommend	s removing peopl	e 	
from the site	 	
美国公共卫生部有毒物质与疾病登记署已发出健康通知，建议人们迁出相关场
地	 	
 	EPA determines 	that 	the site poses a sign	ificant threat to public health,	 and 	 	
美国环保局确定该场地严重威胁公众健康，而且	 	
 	EPA anticipates it will be more cost	-effective to use its remedial authority 	
(available only at NPL sit	es) than to use its emergency removal authority to 	
respond to the site.	 	
美国环保局预计对该场地行使修复权（仅可对	NPL	场地行使）比行使紧急清除	
权更经济。	 	
Remedial Investigation/Feasibility Study (RI/FS) 	修复调查	/可行性研究（	RI/FS	）	 	
After a site is listed on the NPL, a remedial investigation/feasibility study (RI/FS) is 
performed at the site. 	This 	determines the nature and extent of contamination, and 	
assesses the treatability of site contamination and evaluates the potential performa	nce 	
and cost of treatment technologies.	 	
场地被列入	NPL	后，即在该场地开展修复调查	/可行性研究（	RI/FS	）。这一步骤	
可以确定污染性质和程度，评估场地污染是否可处理，评价处理技术的潜在性能和成
本。	 	
Records of Decision (ROD) 	决策记录	（	ROD	）	 	
The Record of Decision (ROD) is a public document that explains which cleanup 
alternatives will be us	ed to clean up a Superfund site. 	The ROD for sites listed on the 	
NPL (NPL Site Listing Process) is created from information generated during the 
Remedial Investigation/Feasibil	ity Study (RI/FS). 	 	
决策记录（	ROD	）是一种公共文件，说明要采取哪些清理方案来清理超级基金场	
地。列入	NPL	场地（	NPL	场地列入过程）的决策记录是根据修复调查	/可行性研究过	
程中产生的信息创建的。	 	
A ROD contains site history, site description, site characteristics, community 
participation, enforcement activities, past and present activities, contaminated media, 
the contaminants present, scope and role of respons	e action and the remedy selected for 	
cleanup.

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决策记录的内容包括场地历史、场地描述、场地特征、公众参与、执行活动、过	
去和当前的活动、被污染的介质、存在的污染物、响应行动的范围和职责以及为清理
行动选定的修复措施。	 	
Remedial Design/Remedial Action (RD/RA) 	修复方案设计	/修复行动（	RD/RA	）	 	
Remedial Design (RD) is the phase in Superfund site cleanup where th	e technical 	
specifications for cleanup remedies and technologies are designed. Remedial Action 
(RA) follows the remedial design phase and involves the actual construction or 
implementation phase of Superfund site cleanup. The RD/RA is based on the 
specific	ations described in the record of decision (ROD).	The bulk of the cleanup usually 	
occurs during this phase.	 	
修复方案设计（	RD	）是超级基金场地清理中制定清理修复措施和清理技术的技术	
规范阶段。修复行动（	RA	）发生在修复方案设计阶段之后，包含超级基金场地清理的	
实际建设或实施阶段。修复方案设计	/修复行动建立在决策记录（	ROD	）中所描述的规	
范基础之上。大多数清理活动通常在这一阶段开展。	 	
Construction Completion 	施工完成	 	
EPA has developed the construction completion milestone to better communicate the 
successful completion of cleanup 	activities. 	Sites qualify when:	 	
EPA	建立了施工完成时间表，以更好地宣传清理活动的成功完成。符合以下条件	
时，场地即合格：	 	
 	any necessary physical construction is complete, whether or not final cleanup 
levels or other 	requirements have been achieved,	 or 	 	
场地所需的物理构筑已完成，不论最后的清理水平或其它要求是否已达到，或
者	 	
 	EPA has determined that the response action should be limited to measures t	hat 	
do not inv	olve construction,	 or	 	
美国环保局已确认响应行动仅限于不涉及施工的措施。或者	 	
 	the site qualifies ford	eletion from the NPL.	 	
场地符合从	NPL	上删除的条件。	 	
Post Construction Completion 	施工完成后	 	
The goal of Post Construction Completion activities is to ensure that Superfund response 
actions provide for th	e long	-term protection of human health and the environment. 	
EPA's Post Construction Completion activities also involve optimizing remedies to 
increase effectiveness and/or reduce cost without sacrificing long	-term protection of 	
human health and the environ	ment.	 	
施工完成后活动的目标是确保超级基金响应行动对人类健康和环境提供长期保护。	
美国环保局的施工完成后活动还包括在不牺牲对人类健康和环境的长期保护的情况下，
优化修复方案，以提高效能和	/或降低成本。	 	
National Priorities List Deletion 	从国家优先名单上删除

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EPA may delete a 	site from the	 NPL if it determines that no further response is required 	
to protect human health or the environment. 	A site may be deleted 	from 	NPL once all 	
response actions are complete and all cleanup goals have been achieved.	 	
如果美国环保局确认不需要采取进一步的响应来保护人类健康或环境，则可将场	
地从	NPL	上	删除。一旦所有的响应行动都完成并且所有的清理目标都已达到，即可将	
场地从	NPL	上删除。	 	
Sites that have been deleted from the NPL remain eligible for further Superfund	-	
financed remedial action in the 	(unlikely	) event that conditions in the future warrant 	
such action. Partial deletions can also be con	ducted at NPL sites.	 	
如果未来（	极少数）	情况下需要采取由超级基金提供资金的修复行动，那么已从	
NPL	上删除的场地仍可以进一步开展这样的行动。场地达到要求的部分还可以部分删	
除。	 	
Site Reuse/Redevelopment 	场地再利用	/再开发	 	
EPA's goal is to make sure that at every cleanup site, 	EPA	 and its partners have an 	
effective process and the necessary tool	s and information needed to fully explore future 	
uses, before the cleanup remedy is implemented. This gives 	EPA	 the best chance of 	
making its remedies consistent with the likely future use of a site. In turn, EPA gives 
communities the best opportunity to p	roductively use sites following cleanup.	 	
美国环保局的目标是确保在清理修复措施实施之前，美国环保局及其合作伙伴在	
每一处清理场地都拥有充分开发未来用途所需的有效程序及必要手段和信息。这为美
国环保局提供了使其修复措施符合场地未来可能用途的最佳机会。反过来，美国环保
局则为社区提供了在清理之后高效使用场地的最佳机会。	 	
Natural Resources Damage Assessment	 (NRDA)	自然资源损害评估（	NRDA	）	 	
Natural Resource Trustees 	(i.e. persons or institutions authorized to act on behalf of the 	
public) 	conduct NRDAs to calculate the monetary cost of restoring injuries to natural 	
resources that result from releases of hazardous substances or discharges of oi	l. 	
Damages to natural resources are evaluated by identifying the functions or 'services' 
provided by the resources, determining the baseline level of the services provided by the 
injured resource(s), and quantifying the reduction in service levels as a res	ult of the 	
contamination. 	 	
自然资源损害受托人（即被授权代表公众行事的人或机构）开展自然资源损害评	
估，以计算修复由危险物质释放或者石油排放对自然资源造成的损伤的货币成本。通
过确定资源所提供的功能或‘服务’、确定受损伤资源所提供服务的基准水平、对污
染所致的服务水平降低进行量化，评估对自然资源造成的损害。	 	
A framework and standards 	are developed 	for the NRDA process in coastal and marine 	
environments (Type A) and other environments (Type B). The Type A process involves 
the use of a computer model to assess damages, in a standard and simplified manner, 
that result from chemical or oil discharges in	 coastal and marine environments. The 	
Type B process is used in situations that require an individual approach. Both Type A

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Vista Analyse AS	 	186	 	
and Type B regulations call for the following four sequential phases in the assessment of 
damages: 	 	
为沿海及海洋环境（	A	型）和其他环境（	B	型）下的	NRDA	程序制定了	框架和标	
准。	A	型程序需要使用计算机模型以标准和简化方式对沿海和海洋环境下化学品或石	
油排放引起的损害进行评估。	B	型程序用于需要个别方法的情况。在损害评估中，	A	
型和	B	型规程都	需要	以下四个连续的阶段：	 	
 	Phase 1: Pre	-assessment Screen	. A pre	-assessment screen is conducted to 	
determine if additional action is warranted. Trustees must determine whether an 
injury	 has occurred and a pathway of exposure exists. The pre	-assessment screen 	
is a prerequisite to conducting a formal NRDA. 	 	
第	1	阶段：预评估筛选	。进行预评估筛选，以确定是否有必要采取额外行动。	
受托人必须确定损伤是否已发生以及暴露途径是否存在。预评估筛选是开展正
式	NRDA	的前提。	 	
 	Phase 2: Assessment Plan	. Trustee	s must confirm the expo	sure of 	Trust 	
Resources and develop an Assessment Plan to identify how the potential 
damages will be evaluated. Draft Assessment Plans under both Type A and Type 
B procedures must be available 	for public review and comment.	 	
第	2	阶段	：	评估计划	。受托人必须确认受托资源的风险，并制定评估计划，以	
确定如何评估潜在损害。	A	型和	B	型程序下的评估计划草案必须提供给公众审	
议。	 	
 	Phase 3: Assessment Implementation	. The purpose of the Assessment 	
Implementation phase is to gather the data necessary to quantify the injuries and 
determine damages. The work consists of three 	steps: (1) injury determination; 	
(2) quantification; and (3) damage determination. Under Type A, these steps are 
performed through a computer model. Under Type B, the steps are performed 
through laboratory and field studies. 	 	
第	3	阶段	：	评估实施	。评估实施阶段的目的是收集量化和确定损害所	必需的数	
据。这项工作有三个步骤：（	1）确定损伤；（	2）量化；和（	3）确定损害。在	
A	型程序下，这些步骤是通过一个计算机模型执行的。	B	型程序下，这些步骤	
是通过实验室研究和实地研究执行的。	 	
 	Phase 4: Post	-Assessment	. A Report of Assessment detailing the results of the 	
Assessment Implementation phase	 is prepared	. A reasonable number of 	
restoration altern	atives including natural attenuation are usually proposed. A 	
preferred alternative is selected based on several factors, including technical 
feasibility, relationship of costs to benefits, and consistency with response 
actions. 	 	
第	4	阶段	：	后	评估	。编制一份详细描述评估实施阶段结果的评估报告。通常提	
出合理数量的修复备选方案，包括自然衰减。根据几个因素选出首选方案，包
括技术可行性、成本效益关系以及与响应行动的一致性。	 	
2.4.3.4	 Tools	工具	 	
There are many guidelines, manuals and tools under the Superfund regime. Below we 
present an example of an assessment tool that could be useful for China to learn	 from.

Tackling environmental risks with environmental planning: international experiences	 	
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Vista Analys	is AS	 	187	 	
超级基金制度下有很多导则、手册和工具。下面我们举例说明值得中国借鉴的评	
估工具。	 	
Superfund Ecological Risk Assessment 8	-Step Process 	 	
超级基金生态风险评价八步过程	 	
In the Superfund program, Ecological Risk Assessments 	(ERA) is	 done according	 to	 the 	
Ecological Risk Assessment Guidance for Superfund (ER	AGS). 	The steps in these 	
assessments are described below. 	 	
在超级基金计划中，根据《超级基金生态风险评价导则》（	ERAGS	）进行生态风	
险评价。下面描述评价步骤。

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	188	 	
Figure 2.16. Eight step Ecological Risk Assessment Process for Superfund.	 	
 	
Note: SMDP is the abbreviation for "Scientific Management Decision Po	int"; these are points in the 	
Ecological Risk Assessment process when the site project manager and scientific advisors decide upon 
what additional steps, if any, are necessary to take.	 	
注：	SMDP	是“科学管理决策点”的缩写；这些是生态风险评价过程中现场项目经理和科学顾问对必需	
采取的附加步骤做出决定时的节点。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	189	 	
Source: 	Superfund	来源：超级基金	 	
图	2.16 	超级基金生态风险	评价	八步过程	 	
 	 	
第	7步：风险表征	 	
第	1步：筛选	层面	： 	
·实地调研	 	
·问题的提出	 	
·毒性评价	 	
 	
风险评估员与	 	
风险管理协议	 	
第	2步：筛选	层面	： 	
·暴露估计	 	
·风险计算	 	
第	3步：	问题的提出	 	
 	
毒性评价	 	
评价	节点	 	概念模型	 	暴露途径	 	
问题	/假设	 	SMDP	 	
第	4步：	研究设计与	DQO	过程	 	
·多重证据	 	
·测量节点	 	
工作计划及取样和分析计划	 	
第	5步：	确认实地采样方案设计	 	
第	6步：	场地调查与数据分析	 	
第	8步：	风险管理	 	SMDP	 	
（	SMDP	）	 	
SMDP	 	
SMDP	 	
整
理
现
有
信
息
 
收
集
数
据
 	
SMDP

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	190	 	
1. Screening	-level problem formulation and toxicity evaluation 	 	
筛选层面问题	的	提出	与	毒性评价	 	
In this first step it is important to get a brief overview of the situation 	at the site through 	
the following activities:	 	
第一步重要的是要通过以下活动概括了解现场情况：	 	
 	Problem formulation: 	information is gathered about the site	 	
问题的提出：收集场地信息	 	
 	Site visit 	实地调研	 	
 	Ecological effects evaluation: 	review of scientific literature to determine at what 	
levels the ch	emicals present will have adverse effects	 (a	ny effect that causes 	
harm to the normal functioning of plants or animals due to expos	ure to a 	
substance (i.e.	 a chemical contaminant)	) 	
生态影响评价：查阅科学文献，确定化学品达到什么水平会有不良影响（因接
触某物质（即化学污染物）而对植物或动物的正常机能造成危害的任何影响）	 	
Problem	 Formulation 	问题的提出	 	
This	 includes the development of a conceptual model, which is a representation of how 	
the particular contaminants at a site are expected to behave in the environment. The 
conceptual model is based on fate (e.g., does a contaminant break down in the 
environment	 or is it persistent?) and transport (how does a contaminant move through 	
the environment and where does it end out?). The conceptual model is used to narrow 
attention to the animals and/or plants likely to be exposed to the contaminants at the 
site. In ri	sk assessment language, the species that may be exposed to contaminants are 	
called "receptors". 	 	
这包括构建一个概念模型，	它	是对某个场地上特殊污染物在环境中表现的描述。	
概念模型的基础是污染物的归趋（例如污染物会在环境中降解还是持久存在？）和运
移（污染物在环境中是如何移动的、又终止于何处？）。概念模型用来把注意力集中
到场地上可能接触污染物的动物和	/或植物。在风险评估语言中，可能接触污染物的物	
种被称为“受体”。	 	
It is 	often 	not possible to study every species that is potentially at risk at a site. The 	
purpose of the problem formulation is to focus attention on a few species or groups of 
species that are appropriate for answering the question of whether an ecological	 risk 	
exists at the site. For this step, the risk assessor gathers information about the site that 
can help determine the potential risk to plants and animals found at the site being 
studied. 	This part should included	escriptions of the past, current, and f	uture land	-uses 	
(i.e., indust	rial, residential, undeveloped), f	acilities that exist or existed at the site	,the 	
environmental characteristics/ecological types (wetlands, forests, grasslands, water	-	
bodies, human	-made/disturbed areas)	, a	reas that 	are potentia	lly, or known to be	 at risk 	
from chemical contamination	. It is also crucial to assess what c	ontaminants 	that are 	
known or suspected to be at the site	, and whether 	the contamination	 has	 moved off	-site 	
to impact 	other areas.

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	191	 	
要研究某个场地上每一个可能处于危险中的物种常常是不可能的。问题提	出的目	
的是把注意力集中到几个物种或几组物种上，它们适于回答场地上是否存在生态风险
这个问题。对于这一步，风险评估人员收集有助于确定所研究场地上发现的动植物所
受潜在风险的场地信息。这部分应包括描述过去、当前和未来的土地利用方式（即工
业用地、居住用地和未开发土地）、场地上目前或过去存在的设施、环境特征	/生态类	
型（湿地、森林、草地、水体、人工区	/受干扰区）、有潜在或已知化学污染风险的区	
域。同样重要的还有，要评估场地上已知或疑似存在哪些污染物，以及污染是否已转
移到场地外面，进而影响其他区域。	 	
Site Visit 	场地调研	 	
The site visit is part of the process by which the risk assessor attempts to determine the 
potential risk to the environment.	 	
场地调研是风险评估人员试图确定潜在环境风险的过程的一部分。	 	
Screening Level Ecological Effects Evaluation 	筛选层面的生态影响评价	 	
For this step, the risk assessor determines from a review of scientific literature at what 
level (concentration) various chemical contaminants will not cause adverse effects in the 
plants and animals that may come in contact with the contaminants at the si	te. These 	
levels are known as No	-Observed	-Adverse	-Effects	-Levels (NOAELs). The actual 	
concentrations of the contaminants found at the site will later be compared to the 
respective NOAELs during risk calculations. 	 	
对于这一步，风险评估人员通过查阅科学文献确定各种化学污染物处于什么水平	
不会在场地上	可能接触污染物的动植物中造成不利影响。这些水平又称为“无可测不	
利影响水平”（	NOAEL	）。随后在风险计算过程中会把在场地上发现的污染物的实际	
浓度与相应的	NOAEL	水平进行对比。	 	
The plants and animals that are most sensitive to chemical contamination are 
considered for further study. At this step, these concentrations (NOAELs) generally 
come f	rom a review of the scientific literature. There may be different sources of 	
information with differing concentrations. 	 	
考虑进一步研究对化学污染最敏感的动植物。在这一步，这些浓度（	NOAEL	）通	
常是通过查阅科学文献获得的。可能有不同的资料来源，浓度各不相同。	 	
2. Screening	-level exposure	 estimate and risk calculation	筛选层面的暴露估	算与风	
险计算	 	
This step consists of the following calculations: 	这一步包括以下计算：	 	
 	estimating exposures 	- calculating how much plants and animals are expo	sed to 	
chemicals at the site	 	
暴露估算	——	计算场地上有多少植物和动物暴露于化学品

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	192	 	
 	risk calculation 	- calculation of Hazard Quotients	58 i.e. 	the 	comparison of the 	
levels of chemical contamination at the site to levels that are known to cause 
harm	. 	
风险计算	——	计算危害商，即场地化学污染的水平与已知会造成危害的水平的	
对比。	 	
These calculations are done by 1) estimating to what level a plant or animal is exposed 
to a particular contaminan	t, and 2) comparing maximum contaminant concentrations to 	
screening numbers (these comparisons result in Hazard Quotients). These are the last 
two phases of the Screening Level Ecological Risk Assessment (SLERA). The process 
concludes with a 	decision i	f: 	
这	些计算是通过	1）估算植物或动物对某种特定污染物的暴露水平，以及	2）将最	
大污染物浓度与筛选数字对比（对比结果即危害商）进行的。这些是筛选层面生态风
险评估（	SLERA	）的最后两个阶段。整个程序结束时确定以下情况：	 	
1. ecological threats are almost, or entirely, absent and ther	efore no further work is 	
needed	生态风险几乎或完全不存在，因此不需要进一步的工作	 	
2. the ecological risk assessment shoul	d continue to determine whether risk exists	, 	
or 	 	
应继续进行生态风险评估以确定风险是否存在	 	
3. there is the possibility of adverse ecological effects, and a more detailed 
ecological risk assessment, with more information about the site, is needed. 	 	
可能有不利生态影响，需要更加详细的生态风险评估，需要更多关于场	地的信	
息。	 	
Estimating Exposure 	暴露估算	 	
Information from Step 1 (Problem Formulation	) is used to estimate exposures for the 	
screening	-level ecological risk calculations. The ways that plants and animals can be 	
exposed should be considered (these are called 	"exposure pathways"). For the exposure 	
pathways that are described for this site, the highest measured or estimated on	-site 	
contaminant concentration for each environ	mental medium (sediments, water	 or soil) 	
should be used to estimate exposure to contaminan	ts. This should help ensure that 	
potential threats to the environment are not missed. Averages should not be used in the 
SLERA because they can underestimate the level of risk. 	 	
来自第	1	步（问题的提出）的信息用来估算筛选层面生态风险计算的暴露水平。	
应考虑植物和动物的暴露途径（这些称为“暴露途径”）。对于该场地暴露途径，用
为每一种环	境介质（沉积物、水或土壤）测得的或估算的场地污染物最高浓度来估算	
 	 	 	
58 The ratio of an exposure level by a contaminant (e.g., maximum concentration) to a screening value 
selected for the risk assessment for that substance. If the exposure level is higher than the toxicity value, 
then there is the potential for risk to the re	ceptor 	 	
污染物接触水平（例如最大浓度）与为该物质的风险评估所选的筛选值之比。如果暴露水平高于毒性值，
就由可能对受体造成风险。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	193	 	
暴露于污染物的水平。这有助于确保对环境的潜在威胁不会被漏掉。	SLERA	中不应使	
用平均值，因为平均值会低估风险水平。	 	
Risk Calculation	风险计算	 	
Ecological risk can be estimated numerically using the Hazard Quotient (HQ) approach. 
The HQ is a ratio, which can be used to estimate if risk to	 harmful effects is likely or not 	
due to the contaminant in question. The HQ is calculated using o	ne of the following 	
Hazard Quotient Equations	: 	
采用危害商（	HQ	）方法可以对生态风险进行数字化估算。	HQ	是一个比值，可用	
来估计所议污染物是否存在导致有害影响的风险。用以下危害商公式之一计算	HQ	：	 	
HQ = Dose / Screening BenchmarkHQ =	剂	量	/筛选基准	 	
HQ = EEC / Screening BenchmarkHQ = 	 EEC/	筛选基准	 	
Dose = an estimated amount of how much contaminant is taken in by a plant or animal, 
in terms of the body weight of the plant or animal (e.g., mg contaminant/kg body	 weight 	
per day).	 	
剂量	 = 	按植物或动物摄入污染物（以植物或动物体重计	）	的估计量（例如	mg 	污染物	
/kg	体重	/日）。	 	
EEC = estimated (maximum) environmental contaminant concentration at the site; how 
much contaminant is in th	e soil, sediment, or water (e.g.	 mg contaminant/kg soil)	. 	
EEC=	场地污染物的估计（最大）环境浓度；土壤、沉积物或水中有多少污染物（例如	
mg	污染物	/kg	土壤）。	 	
Screening B	enchmark = generally a No	-Adverse Effects Level concentration; if the 	
contamination concentration is at or below this level, the contaminant is not li	kely to 	
cause adverse effects. 	 	
筛选基准	 = 	通常为无不利影响水平的浓度；如果污染浓度等于或低于这个水平，污染	
物就不可能引起不利影响。	 	
If:	 	 	Then:	 	
如果	：	 	那么	：	 	
HQ > 1.0	 	Harmful effects cannot be ruled out	有害影响不能被排除	 	
HQ = 1.0	 	Contaminant alone is not likely to cause ecological risk 	 	
仅污染物本身不大可能引起生态风险	 	
HQ < 1.0	 	Harmful effects are NOT likely	不大可能产生有害影响

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	194	 	
Final determination of risk from contami	nants in question is made in the Baseline 	
Ecological Risk Assessment (See Steps 3 	- 7). If a HQ is calculated to be equal or greater 	
than one for a particular contaminant, that contaminant is then referred to as a 
Contaminant (or Chemical) of Potential Eco	logical Concern.	 	
在基线生态风险评估中，对所议污染物带来的风险进行最后确定（见第	3-7	步）。	
如果计算得出的特定污染物的	HQ	大于等于	1，则该污染物即被称为潜在生态关注污染	
物（或化学品）。	 	
How large the HQ is (i.e., by how much it exceeds one) is not relevant to a Screening 
Ecological Risk Assessment. This is because EPA has not recognized an	y official means of 	
evaluating the size of the results of these calculations, only whet	her or not the HQ 	
exceeds one. 	 	
HQ	多大（即它超过某个值多少）与筛选生态风险评估无关。这是因为美国环保局	
尚未确认用来评价这些计算结果大小的官方手段，仅可判断	HQ	是否超过	1。	 	
If the 	HQ	 indicate	s the possibility of an ecological risk at a site, 	it should 	be 	decide	d 	
whether to proceed with further, in	-depth, studies of the site. In addition, for those cases 	
that proceed, information from the screening	-level calculations can indicate and justify 	
whi	ch contaminants and exposure pathways can be eliminated from further study 	
because they are unlikely to pose a significant risk. At this stage, the decision made 
should be documented.	 	
如果	HQ	表明场地有生态风险可能，应决定是否对该场地进行进一步的深入研究。	
另外，对于进行进一步深入研究的那些案例，筛选层面计算产生的资料可表明和说	明	
通过进一步研究可消除哪些污染物和暴露途径，因为它们不大可能造成重大风险。在
这一阶段，所做决策应予以记录。	 	
3. Baseline p	roblem formulation 	基线问题的提出	 	
In this phase	 the conservative assumptions used in the Screening Level Ecological Risk 	
Assessment (SLERA) 	in the previous steps 	should be replaced with more 	realistic 	
assumptions.Decisions about whether or not chemicals should be eliminated from 
further consideration should be made about contaminants for which their respective 
Hazard Quotients (HQs) are at or below one.	 The following issues should be considere	d: 	
在这一阶段，应当用更现实的假设代替前面几步筛选层面生态风险评估中所用的	
保守假设。对于危害商（	HQ	）小于等于	1	的污染物，应确定化学品是否免于进一步考	
虑。以下问题应当关注：	 	
 	Refining Contaminants of Potentia	l Ecological Concern (COPECs): 	deciding 	
whether or not chemicals found at the site should be considered further in 
determining potentia	l ecological risk	 	
潜在生态关注污染物（	COPEC	）的	明确	：确定	在场地所发现的化学品是否应当	
在判断潜在生态风险时进一步予以考虑	 	
 	Contaminant fate and transport: 	what happens to the chemicals, biologically, 	
chemically, physically and how they move among plants and animals

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	195	 	
污染物的归趋和运移：化学品在生物、化学、物理上发生了什么，以及它们如
何在植物和动物当中迁移	 	
 	Mechanisms of toxicity:	 what are the harmful effects on plants and animals	 	
毒性机制：对植物和动物有哪些有害影响	 	
 	Ecosystems potentially at risk: 	habitats and plants and animals present; 	
sensitivity by plants and animals to chemic	als; water bodies present	 	
生态系统面临潜在风险：存在的栖息地和动植物；动植物对化学品的敏感性；
存在的水体	 	
 	Exposure pathways	: how the chemicals pass through the food web from the 	
source of contamination	 	
暴露途径：化学品从污染源到食物网的分布	 	
 	Assessment endpoints:	 the characteristic(s) of a plant or animal that can 	be 	
measured in terms of harmful effects	 	
评估节点：可用有害影响计量的植物或动物的特征	 	
 	Conceptual s	ite model:	 collection of exposure pathways	 	
场地概念模型：收集暴露途径	 	
 	Risk questions:	 using various lines of evidence, answer the question "does 	
chemical X cause harmful effects in plant or anim	al Y?" 	 	
风险问题：用各种证据，回答“化学品	X	是否对	Y	种	植物或动物造成有害影	
响？”这个问题	 	
Comparisons to Background Concentrations/Reference Locations	 	
与背景浓度	/参照地	的	对比	 	
While comparisons of contaminant concentrations in the media at the site being 
investigated to concentrations of contaminants at reference or background locations 
may	 be done, there are several restrictions on the application of this line of evidence. 	 	
虽然可	以把被调查场地介质中的污染物浓度与参照地或背景地点的污染物浓度进	
行比较，但采用这种证据有几项限制。	 	
If the concentration of a contaminant at the site exceeds its respective screening 
benchmark, it MUST be further evaluated in the Baseline (Steps 3 to 8) portion of the 
Ecological Risk Assessment. This 	further evaluation must be done even if the 	
concentration of the contaminant at the site does not exceed background levels. This is 
because there is still the potential for risk due to direct to	xicity or bioaccumulation.	 	
如果该场地污染物浓度超过其相应的筛选基准，则必须在生态风险评估的基线部	
分（第	3	步到第	8	步）进行进一步评价，即使场地的污染物浓度没有超过背景水平。	
这是因为仍有直接毒性或生物累积所致的潜在风险。	 	
There are no established standards for determining the level of risk from a contaminant 
at a site from how much the contaminant concentration exceeds its respective screening 
benchmark. Thus, thi	s line of evidence is not typically used in Ecological Risk 	
Assessments, especially without other lines of evidence.

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没有既定标准用来以污染物浓度超过其相应筛选基准多少为依据来确定场地污染	
物所致的风险水平。因此在生态风险评估中一般不采用这条证据，特别是在没有其他
证据的情况下。	 	
Contaminant Fate & Transport	污染物的归趋和运移	 	
The environmental 	fate and transport of the contaminants is how contaminants are 	
taken up by plants and animals; how they are transferred among plants and animals (i.e., 
through animals eating plants or other animals); how the contaminant	s affect plants and 	
animals	; how the	 chemical contaminants might move through, or be transformed 	
physically, chemically, and biologically in the environment; and how the contaminants 
are eliminated from plants and animals.	 	
污染物的环境归趋和运移就是污染物如何被动植物吸收；如何在动植物中转移（即	
通过食用植物或其他动物的动物转移）；污染物如何影响动植物；化学污染	物如何在	
环境中运移或发生物理、化学和生物转化；以及污染物如何从动植物中消除。	 	
Mechanisms of Ecotoxicity	生态毒性机制	 	
A contaminant can cause adverse ecological effects in many ways. First, a 	COPEC	 might 	
affect a plant and animal after exposure for a short period of time (acute) or after a long 
period 	of time (chronic). Second, the effect of a COPEC might be lethal (killing the plant 	
or animal) or sublethal (causing harmful effects other than death, such as reduced 
growth, reproduction, or life	-span, behavioral changes, etc.). Third, a COPEC might act 	
directly (lethal or sublethal effects) or indirectly (through damaging food sources or 
habitat, or altering predator	-prey relationships or competition between species) on a 	
plant or animal. 	 	
污染物可以通过很多方式造成不利的生态影响。首先，在短期暴露（	突发性	）或	
者一段长期暴露（慢性）之后，	COPEC	（潜在生态关注污染物）	可能会影响某种植物	
和动物。其次，	COPEC	的影响可能是致命的（致使植物或动物死亡）也可能是亚致命	
的（造成死亡之外的有害影响，比如生长减缓、繁殖力下降或寿命缩短、行为变化
等）。再次，	COPEC	可能直接（致命影响或亚致命影响）或间接（通过破坏食物源或	
栖息地，或者改变捕食者与猎物之间的关系或者物种之间的竞争）作用于某种植物或
动物。	 	
Ecosystems at Risk	生态系统面临危险	 	
Because some groups of plants or animals can be more sensitive th	an others to a 	
particular contaminant, available information on ecological effects of contaminants can 
help focus the investigation on specific ecological resources (plants, animals, habitat 
types) that should be evaluated more thoroughly. The following qu	estions should be 	
answered: 	 	
由于某些族群的植物或动物可能比其他族群对特定污染物更敏感，可以	使用	污染	
物生态影响方面的	相关	资料把调查集中在需要较彻底评估的特定生态资源（植物、动	
物、栖息地类型）上。应回答下面的问题：	 	
 	what habitats are present?	存在哪些栖息地？	 	
 	what types of water bodies are present?	存在什么类型的水体？

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 	what species of plants and animals can be found 	at the site?	 	
场地上有哪些种类的植物和动物？	 	
 	how sensitive are the different species to chemical contamination? 	 	
不同物种对化学污染的敏感度如何？	 	
o 	some species are m	ore sensitive to some chemicals	 	
有些物种对有些化学品比较敏感	 	
o 	predators can become more highly exposed to 	COPECs	 through 	
biomagnification in the food chain or from feeding more often (or 
exclusively) on a specific type of prey that accumulates contaminants 
more easily than other prey types;	 	
捕食者通过食物链上的生物放大或者通过经常（或专门）捕食比其他物
种更容易累积污染物的特定类型的猎物更多地接触	COPEC	。	 	
o 	species may pref	er to feed in or be active in contaminated (or non	-	
contaminated) areas. 	 	
物种可能更喜欢在受污染（或非污染）区喂食或活动。	 	
All of these factors must be considered when refining exposure pathways.	 	
在细化暴露途径时，必须考虑以上全部因素。	 	
Exposure Pathways 	暴露途径	 	
This is	 how contaminants pass through an ecosystem from the sourc	e to the receptors. 	
For example,	 a contaminant might pass from sediment to surface water to a fish via the 	
fish's gills (complete pathway is sediment to surface water to gill to fish body). 	 	
暴露途径就是污	染物在生态系统里从污染源到受体的运移方式。例如，某种污染	
物可能从沉积物传递到地表水，经由鱼鳃到达鱼体（完整的途径是从地表水到鱼鳃到
鱼体）。	 	
For specific contaminants, it is frequently possible to reduce the number of exposure 
pathways that need to be evaluated to one or a few critical exposure pathways. These 
especially impo	rtant means of exposure (1) reflect very high levels of exposure of 	
contaminants to plants and animals, and (2) make up exposure pathways to plants and 
animals that are exceptionally sensitive to the contaminant(s). Multiple critical exposure 
pathways shou	ld all be evaluated because it is often difficult to predict which pathways 	
can be responsible for the greatest ecological risk. As a group, these exposure pathways 
make up the conceptual site model for the site under investigation.	 	
对于特定污染物，常常可以把需要评估的暴露途径的	数量减少到一个或几个关键	
暴露途径。这些特别重要的暴露手段（	1）反映了污染物对动植物很高的暴露水平，并	
且（	2）组成了对特别敏感动植物的暴露途径。如果有多个暴露途径，应全部评估，因	
为往往难以预计最大的生态风险是由哪些暴露途径引起的。作为整体，这些暴露途径
组成被调查场地的场地概念模型。	 	
Selection of Assessment Endpoints 	评估节点的选择

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This refers to characteristics about a population, species, or group of 	species that can be 	
measured and can be affected by an ecological stressor. The species or groups of species 
usually have some common characteristics, such as a specific exposure route or 
sensitivity to particular contaminants. Endpoints can be limited to 	single species. 	 	
节点是指人群、物种、种群的特征，可用生态压力因素测量，并且受生态压力因	
素影响。物种或种群通常有一些共同的特征，比如接触特殊污染物的特定途径或者对
特殊污染物的敏感性。节点可限于单一物种。	 	
In any case, selection of the endpoints should be based on the following criteria: 	 	
任何情况下均应根据以下标准选择评估节点：	 	
 	ecosystems, communities, and/or species 	potentially present at the site	 	
场地上存在的生态系统、群落和	/或物种	 	
 	contaminants p	resent and their concentrations	 	
存在的污染物及其浓度	 	
 	what are the harmful effects of the contaminants found at the site 	- th	is should 	
include the following:	 	
场地上发现的污染物有哪些有害影响	——	包括：	 	
o 	what plants and ani	mals could, or will, be at risk	 	
哪些动植物可能或者将会有危险	 	
o 	how the plants and animals might be affected by the contaminants (i.e., 
what form of damage might the contaminants cause: lowered 
reproductive rates, tumo	rs, slower gro	wth, death, etc.)	 	
动植物可能受到污染物怎样的影响（即污染物会造成什么形式的损害：
繁殖率下降、肿瘤、生长减缓、死亡等）	 	
o 	the chemical and physical form of the contaminants' influence;	 	
污染物影响的化学和物理方式	 	
o 	bioavailability	生物利用度	 	
o 	and the type and scale of any adverse responses by the plants and animals 
that are potenti	ally affected by the contam	inants at the site	 	
受场地污染物潜在影响而导致动植物产生不良反应的类型和规模	 	
 	plants or animals that are potentially sensitive, or highly exposed, to the 
contaminants and attributes o	f those groups' natural history	 	
对污染物具有潜在敏感性或高度接触污染物的动植物以及其种群的自然历史属
性	 	
 	exposure	 pathways 	- including if the contaminants affect plants and animals via 	
direct contact/exposure with a particular medium (e.g., water or sediment) or 
indirect exposure through food chains, or both.	 	
暴露途径	——	包括污染物是否通过直接接触特定介质（例如水或沉积物）而影	
响动植物	；	还是通过食物链间接暴露；或是同时通过两	种途径暴露。	 	
Conclusion	结论	 	
At the conclusion of this step, 	it should be 	agree	d on four items: contaminants of 	
concern, assessment endpoints, exposure pathways, and risk questions. Those items can 
be summarized with the assistance of the Conceptual Site Model (CSM). Without

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agreement on the CSM to this point, measurement endpoints ca	nnot be selected, and a 	
site study cannot be developed effectively.	 	
在这一步骤结束时，应就四项内容达成一致：关注污染物、评估节点、暴露途径	
和风险问题。借助场地概念模型（	CSM	）可以总结这些内容。若不能就	CSM	达成这种	
一致，就无法选出测量节点，也无法有效开展场地研究。	 	
4. Study design and data quality objectives process	研究设计和数据质量目标程序	 	
Step 4 should result in the establishing of a Work Plan & Sampling and Analysis Plan, i.e. 
a 	description of how the investigation will proceed at the site	. It should contain the 	
following issues: 	 	
第	4	步应制定一项工作计划和采样分析计划，例如	，	描述场地调查的过程步骤。	
应包含以下问题：	 	
 	measurement end	points 	- what is measured (i.e., reproduction, mortality, growth, 	
etc.) in relationship to the assessment endpoints	 	
测量节点	——	应当	测量哪些与评估节点相关的指标	（如繁殖、死亡率、生长等）	 	
 	study design 	- what type of testing will be done to evaluate the potential 	
ecological risk at the site	 	
研	究设计	——	要做什么类型的测试来评估场地上的潜在生态风险	 	
 	data quality objectives and statistical considerations 	- a series of planning steps 	
to e	nsure the quality, type, and quantity of data will be adequate and defendable	 	
数据质量目标和统计应考虑一系列规划步骤，以确保数据的质量、类型和数量
是恰当和站得住脚的。	 	
There are three g	eneral types of studies that are done: 	 	
开展的研究有三个通用类型：	 	
 	bioaccumulation and tissue residue field studies, 	 	
生物累积和组织残留实地研究	 	
 	population/community evaluations, 	or biological field surveys	 	
人口	/社区评估，或生物实地调查	 	
 	toxicity testing	, which measure the effects of a particular	 contaminant on a 	
particular species	. 	
毒性试验，测量特定污染物对某个特定物种的影响。	 	
Samples should be taken from locations with contaminated media (soil, sediment, 
water) and from reference sites. Reference data might be data that had been collected 
from the site before the co	ntamination occurred or new data collected from a reference 	
site.	 
从有污染介质（土壤、沉积物、水）的地方以及参照地抽取样本。参照数据可以	
是在污染发生之前从场地收集的数据或者从参照地收集的新数据。

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5. Field sampling plan verification	实地采样计划的验证	 	
Step 5 should	 ensure that the samples specified by the Work 	Plan an	d Sampling Analysis 	
Plan (SAP) from 	Step 4 actually can be collected. This is necessary because conditions 	
may have changed between the time the sampling plan was developed and when the 
samples are supposed to be collected. Changes may include factors such	 as flooding, 	
drought, too much or too little snow and ice, and some of the species that were expected 
to be there are no longer present (or are in too small numbers to allow for collection). 	 	
第	5	步应确保第	4	步工作计划和采样分析计划（	SAP	）中规定的样本采集	实际可	
行性	。这十分必要，因为在制定取样计划至要采样之间，情况	可能已发生变化。变化	
可包括以下因素：洪水、干旱、冰雪太多或太少、一些应存在的物种已不再存在（或
者数量太少，无法取样）。	 	
Final decisions on reference areas should also be made in this step. Characteristics to be 
evaluated for deciding on reference areas should include slope of the land, habitat, 
species potentially 	present, soil and sediment characteristics, and for surface waters: 	
flow rates, water depth, temperature, turbidity (how cloudy the water is), oxygen levels, 
water hardness, and pH. Several reference sites might be necessary depending on the 
variables asso	ciated with the reference and contaminated sites.	 	
这一步还应对参照区做出最后决定。选定参照区时要评估的特征应包括土地的坡	
度、栖息地、潜在存在的物种、土壤和沉积物特征，对于地表水还应包括：流速、水
深、温度、浊度（水的浑浊程度）、氧气含量、水硬度和	pH	值。可能需要几个参照	
地，视与参照地和污染场地有关的变量而定。	 	
6. Site investigation and data analysis	场地调查和数据分析	 	
In this step the activities envisaged in 	the Work	 Plan (WP) and Sampling Analysis Plan 	
(SAP) 	created in the previous steps should be carried out.	 During the sampling process, 	
the data quality objectives should be strictly adhered to, as failure to do so ca	n 	
significantly alter the interpretation of the data.	 	
在这一步要开展前面几步制定的工作计划（	WP	）和采样分析计划（	SAP	）中提出	
的活动。在采样过程中，应严格遵守数据质量目标，因为如果达不到数据质量目标会
极大改变数据的释义。	 	
Even at this stage there might be unexpected complicating factors that have arisen since 
the Field Verification, such	 as the extent of contamination being different than expected 	
or new contaminants are discovered. If there are new issues to be considered, the 
WP/SAP might have to be modified to accommodate these new considerations. 
Otherwise, the sampling and analysis m	ay proceed with the WP/SAP as is.	 	
即使在这一阶段也可能有自从实地核查以来出现的意外复杂因素，比如污染程度	
与预计的不同或者发现了新的污染物。如果有新的问题要考虑，就可能需要修改工作
计划	/采样分析计划，以适应这些新的问题。如果没有新问题，取样和分析可按工作计	
划	/采样分析计划原计划继续进行。	 	
The results of this analysis describe the relationship between size, frequency, or 
duration of 	a chemical contaminant and the size of the response. The relationships

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between the assessment endpoints and their respective measures of effect are also 
described (see Step 3). This type of analysis can help to determine the tradeoff between 
the level of c	leanup and likely benefits of that cleanup. The balance of ecological and 	
financial costs versus benefits of different cleanup options	 can also be determined	. 	
这类分析结果描述化学污染物的大小、频率或持续时间与响应程度大小之间的关	
系。还描述评估节点与各自的效应度量标准之间的关系（见第	3	步）。这类分析	可以	
帮助确定清理水平和可能	产生	的	效益	之间的	权衡	关系	，	还可以确定生态和财务成本与	
不同清理方案的效益之间的平衡。	 	
7. Risk characterization	风险表征	 	
Risk characterization 	includes two major components: risk estimation and risk 	
description. Risk characterization should be well	-balanced, clear, reasonable, consistent, 	
easy to follow and understand	, with all assumptions, uncertainties, and professional 	
judgments clearly identified.	 	
风险表征包括两个主要组成部分：风险估测和风险描述。风险表征应均衡、清晰、	
合理、一致、易于理解，并明确确定所有的假设、不确定因素和专业判断。	 	
Risk estimation	 means	 combining exposure profiles with exposure	-effects information 	
and summarizing 	the associated uncertainties.	 Data interpretation methods should be 	
presented in the risk characterization documentation.In addition to developing point 
estimates of exposure concentrations, it might be possible to develop a distribution of 
exposure levels	 based on the potential variability in various exposure parameters. This 	
is called a dose	-response curve, where likely responses (i.e., harmful effects) can be 	
predicted from specific levels of contamination. Probabilities of exceeding a threshold 
for adve	rse effects might then be estimated.	 	
风险估测是指把暴露的整体描述与暴露	-效应信息结合在一起，总结相关的不确定	
因素。风险表征文件里应提出数据解释方法。除了算出暴露浓度的点估计值之外，还
可以根据各种暴露参数的潜在变异性获得暴露水平的分布图，这叫做剂量	-反应曲线，	
通过该曲线可根据具体污染水平预测可能的反应（即：有害影响）。然后可估计不利
影响超过某个阈值的概率。	 	
A key to 	risk description	 is the documentation of environm	ental contamination levels 	
that bound the threshold for adverse effects on the assessment endpoints. 	In addition to 	
identifying one or more thresholds for effects, the risk assessment team might develop 
estimates of the probability that exposure levels wou	ld exceed the ecotoxicity 	
thresholds given the distribution of values likely f	or various exposure parameters. T	he 	
estimates 	should also be put 	in context with a description of the extent, magnitude, and 	
potential ecological significance of those estimates.	 	Additional ecological risk 	
descriptors are as follows: 	 	
风险描述	的关键在于环境污染水平文件，这些环境污染水平限制评估节点所受不	
利影响的阈值。除了确定一两个效应阈值外，风险评估团队还可以根据各种暴露参数
可能的数值分布，估计暴露水平超过生态毒性阈值的概率。除了估计值以外	，	叙述	文	
本中	还应当包括那些估计值的范围、程度和潜在生态意义。描述生态风险的其他指标	
如下：

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 	the location and area	 extent of existing contamin	ation above a threshold for 	
harmful effects	超过有害影响阈值的现有污染地点和区域范围	 	
 	the degree to which the threshold for contamination is exceeded or is like	ly to be 	
exceeded in the future,	 particularly if exposure	-response functions are available	, 	
目前超过或者将来可能超过污染阈值的程度，特别是在有暴	露	-反应函数的情况	
下，	 	
 	how long it would take for the contaminants to disappear from the environment, 
either from decay, breakdown, or ph	ysically moving out of the site	 	
污染物通过腐烂、降解或者物理上移出场地而从环境中消失需要多长时间。	 	
 	the potential for natural recovery once the sources of 	contamination are 	
removed.	 	
污染源被清除之后的自然恢复潜力。	 	
8. Risk management 	风险管理	 	
This is the stage where decisions are made about what remedial (clean	-up) actions	, of 	
any,are to be under	taken. 	 	
这一阶段对要开展哪些修复（清理）行动做出决定。	 	
2.4.3.5	 Results 	结果	 	
Over the years, 	Superfund has	 located a	nd analyzed tens of thousands of hazardous 	
waste sites.	As of 	October 31th, 2013	 there 	were	 1,313	 sites listed on the National 	
Priority List	 (NPL),of which 1,156 sites construction have been completed. A	n additional 	
372	 have been delisted, 	of which 58 have 	been partially deleted. 54	 new sites have been 	
proposed waiting for an assessment. 	 	
多年来，超级基金探明并分析了成千上万个危险废物场地。截止	到	2013	年	10	月	
31	日，有	1,313	个场地列入国家优先名单（	NPL	），其中	1,156	个场地的修复施工已	
完成。又有	372	个场地被从名单上删除，其中	58	个场地被部分删除。	54	个新场地经	
提议等待评估。	 	
Approximately 70 percent of Superfund cleanup	 activities have historically been 	
paid for by parties responsible (PRPs) for the cleanup of contamination.	 The only 	
time cleanup costs are not borne by the responsible party is when that party either 
cannot be found or is unable to pay for the cleanup. 	Fo	r those sites, the Superfund law 	
originally paid for toxic waste cleanups through a tax on petroleum and chemical 
industries. The chemical and petroleum fees were intended to provide incentives to use 
less toxic substances. Over five years, $1.6 billion wa	s collected, and the tax went to a 	
trust fund for cleaning up abandoned or uncontrolled hazardous waste sites. The last full 
fiscal year (FY) in which the Department of the Treasury collected the tax was 1995. At 
the end of FY 1996 the invested trust fund 	balance was $6.0 billion. This fund was 	
exhausted by the end of FY 2003; since that time funding for superfund sites for which 
the potentially responsible party (PRP) could not be found has been appropriated by 
Congr	ess out of general revenues.	 	
历史上，	大约	70%	的超	级基金清理活动已经向污染清理责任方（	PRP	）追回了	清	
理	费用	。只有当找不到责任方或者责任方无力支付清理费用时，清理费用才不由责任	
方承担。对于那些场地，超级基金法通过对石油化工行业征税先行支付有毒废物清理

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费用。征收石化税费的目的是奖励使用毒性较小的物质。五年来征收了	16	亿美元，税	
款转到用于清理废弃场地或者非管制危险废弃物场地的信托基金。美国财政部征收此
税的上一个完整财政年度（	FY	）是	1995	年。	1996	财年末，信托基金的余额为	60	亿	
美元。到	 2003	财年末该基金用尽；自那时起，找不到潜在责任方（	PRP	）的超级基	金	
场地的清理费用由美国国会从普通税收中拨款。	 	
Despite the name, Superfund lacks sufficient funds to clean up even a small 
number of the sites on the NPL	. As a result, EPA will typically negotiate consent orders 	
with PRPs to study sites and develop cleanup alternatives, subject t	o EPA oversight and 	
approval. EPA then issues a Proposed Plan for remedial action for a site on which it 
takes public comment, after which it makes a cleanup decision in a Record of Decision 
(ROD). RODs are typically implemented under consent decrees by PR	Ps or under 	
unilateral orders if consent cannot be reached. If a party fails to comply with such an 
order, it may be fined up to $37,500 for each day that non	-compliance continues. 	 	
超级基金名不副实，它	甚至	缺乏足够的资金来清理	NPL	上	的少部分	场地	。因此，	
美国环保局一般会与潜在责任方议定开展场地研究并制定备选清理方案的同意令，同
意令需由	EPA	监督和批准。然后美国环保局发布场地修复行动建议方案，听取公众意	
见，之后以决策记录（	ROD	）的方式做出清理决策。决策记录通常由潜在责任方根据	
同意判决书执行，如果无法达成同意，则根据单边判决执行。如果一方未能遵守该等
判令，不遵守行为每持续一天则被处以	37,500	美元的罚款。	 	
Implementation has been difficult	. By 1995, Superfund cleanup took an a	verage of 	
twelve years per site	. 	Superfund has been probably the most criticized of 	
environmental programs based on costs of remediation, implementation 
problems, and the questionable seriousness of the problems it addresses	 	
(www.wikipedia.com	). 	
实施难度大	。到	1995	年，超级基金平均用	12	年清理一个场地。	由于	修复费用	高、	
实施问题	多、其	所解决问题的严重	程度值得怀疑	，超级基金或许	已成为	最	受	人诟病的	
环境	计划	(www.wikipedia.com	)。	 	
Box 	2.7 Environmental 	remediation 	funding in 	Europe	. 	
框	2.7 	欧洲的环境修复资助	 	
The EU	: EU 	Directive 2004/35/EC establishes a comprehensive liability regime for 	
damage to the environment. The directive applies the "Polluter Pays Principle” (PPP). 
The liable party is an "operator," who carries out certain dangerous activities listed in 
the Direct	ive.	 	
欧盟	：欧盟指令	2004/35/EC	建立了一个全面的环境损害责任机制。该指令应用“污	
染者付费原则”（	PPP	）。责任方是“经营者”，即做出了指令中列出的特定危险行动	
的人。	 	
Potentially	-polluting entities are not required by the EU to carry insurance or establish 	
other financial security mechanisms to protect them against the cost of poten	tial clean 	
up. 	About 35% on average of remediation expenditure	 of polluted sitescome	 from publ	ic 	
budgets in EU countries 	when legally responsible polluters no longer exist, cannot be

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identified, or are insolvent. The rehabilitation of industrial sites rece	ives funding 	
through EU Structural Funds; the total budget for this purpose was 2 250 billion 	Euro 	
for the 	period 	2005	-2013.	 	
欧盟不要求潜在污染实体	利用保险或建立其他财政	安全机制以逃脱	可能的清理成本。	
)!W-
-æ6<@0Èƒ#»:ÄCOCS+,´"‘65=ˆ
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£
w	4Ö	35%	的污染场地修复经费来自公共预算	。工业场地的复原得到欧盟	结构基金的	
资助；	2005	至	2013	期间，	用于此目的的	预算为	2.25	万亿欧元。	 	
Germany	: The authorities choose among owner, polluter or occupier of a contaminated 	
site to pay for the remediation of the site. 	The Federal (i.e. local) States are responsible 	
for cleaning of abandoned industrial (and similar) sites, an	d apply the 	PPP	 wherever the 	
polluter can be identified. If the polluter is insolvent or funding of the clean	-up would 	
make him go bankrupt, special support may be available in some Federal States.	 	
德国	：当局在污染场地所有人、污染者或占有者之间选择一方为场地修复付费。联邦	
Ä
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4COCSÏ3JÄ	ú2«lÅ
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PPP	。如果污染者无偿还能力或清理费用足够使他破产，那么在一些州中他可能得到特	
殊帮助。	 	
Since 1999 when the “	Federal Soil Protection and Contaminated Sites Ordinance” 	
entered into force, more than 22 large	-scale remediation projects whereby the financing 	
of the remediation has been s	hared by the Federal Government (75%) and the local 	
states (25%). The total costs were more than 3	 billion	 Euros. About 500 million Euros of 	
public money are spent each year on this. Also, several millions are spent on various 
research programmes on how to	 assess a	nd clean up contaminated sites 	(Frauenstein, 	
2007).	 	
自	1999	年《联邦土壤保护和污染场地条例》	生效以来，超过	22	个大型修复工程的修	
复资金是由联邦政府（	75%	）和地方各州（	25%	）一起承担的。总花费超过	30	亿欧	
元。每年用于修复的公款约为	5	亿欧元。此外，还有几百万用于各种各样的关于如何	
评估和清理污染场地的研究方案（	Frauenstein, 2007	）。	 	
The Netherlands	: The current land owner is responsible for remediation of 	
contaminated land, including financing. If he is not the polluter he must eventually try 
and get compensation from the polluter, applying private law. A public program for 
financial support to clea	n up contaminated sites has been in place. Usually the 	
government subsidizes 50% of the remediation costs. For the period 2000 	– 2014 the 	
total remediation costs for historical contamination are 5.13 billion Euro, of which half 
have been funded by the gove	rnment. Some 15	 000 sites have been remediated. 	 	
荷兰	：污染场地的当前所有人负责场地的修复，包括	提供	资金。如果他并非污染者，	
FÓx0
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j
`,´œ¡éx
"¹ÂÕƒÄFJhõå;ÈoÌCtÙ	50%	的修复费用。对于	2000	至	2014	这一期间，	
历史	遗留	污染的总修复费用	为	51.3	亿欧元，其中一半来自政府资助。约	15000	个污染	
场地已被修复。	 	
UK	: The financial responsibility for remedi	ation is usually with the polluter of the land. 	
Where the polluter cannot be found, landowners or occupiers can be liable for the costs.

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Buyers of land can be held responsible for remediation payment. 	There is no specific 	
government grant for remediation o	f contaminated land, but some loan arrangements 	
have been applied (Prokop et.al., 2000). 	 	
英国：	通常情况下，	修复的经济责任在于土地污染者。在无法找到污染者的情况下，

"‘
O
`=,´§ƒoÌCtÙÈv90ËCg!n	AÞÄ	Prokop et.al., 2000	）。	 	
Tax relief is provided to companies who clean 	up land that has been contaminated by 	
industrial processes. Companies can claim a 150% corporation tax relief for costs 
involved in cleaning up contaminated land	. Companies with sufficient profits to cover 	
the expe	nditure will receive a corporate 	tax deduc	tion for 150% of the qualifying costs. 	
Companies not making profits can either carry the relief forward to be deducted against 
future profits or exchange all or some of the resulting loss for a tax credit. The payable 
tax credit is currently worth 16% of t	he losses.	 	
负责清理受工业程序污染的土地的公司可获得税款减免。关于污染土地清理的花费，
œ
(
?±"r	150%	的公司所得税减免。对于那些收益足以支付	清理费用的公司，它们	
将	获得清理费用	150%	的公司所得税减免。对于收益不足的公司，它们可要求以后针	
对将来的收益使用公司所得税减免，或将造成的所有或部分损失换做抵税额。可付的
抵税额当前为损失的	16%	。	 	
2.4.3.6	 Lessons and s	uggestions 	for China	对中国的启示和建议	 	
Contaminated sites, known 	as brownfields, are becoming increasingly common in major 	
Chinese cities as urban sprawl has overrun many polluting factories, pushing them to 
new locations and leaving health risks behind.	 Many brownfield 	and historical 	sites, if 	
not managed well, will po	se an environmental and health hazard in China's most densely 	
populated areas, as well as an obstacle to u	rban and economic development. M	onitoring 	
of contaminated sites is inadequate. Only a few big cities such as Beijing and Chongqing 
have thoroughly inv	estigated the scope of the pollution and its environmental risks 	 	
(China Daily, 2011	). 	
随着城市扩张，很多致污工厂被迫迁至新址，留下健康风险，污染场地（又称棕	
色地块）在中国主要城市越来越常见。如果管理不好，很多棕地和历史遗留场地会在
中国人口最密集的地区造成环境与健康危害，并阻碍城市和经济发展。污染场地监测
不力。只有少数像北京和重庆这样的大城市彻底调查了污染范围及环境风险（中国日
报，	2011	）。	 	
World Bank 	(2	010) 	shows that China's rapid urbanization has resulted in the need to 	
redevelop industrial land once occupied 	- and contaminated 	- by old industries that sat 	
on the cities' perimeters decades ago	. Such sites are often heavily contaminated because 	
pollutan	ts leaked into the soil during previous production processes and because 	
hazardous wastes weren't handled properly. In some cases, the concentration of 
pollutants in the soil can be hundreds of times higher than regulations pe	rmitted	. 	
世界银行（	2010	）指出，中国的快速城市化	使其	有必要对	几十年前坐落在城市周	
边的老工业企业占用并污染的工业用地进行再开发。这种场地常常受到严重污染，因

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为在以前的生产过程中污染物渗漏到土壤里，而且危险废弃物未得到妥善处理。有些
情况下，土壤中污染物的浓度	超	出法规允许的几百倍。	 	
A land pollution census conducted by the Ministry of Environmental Protection from 
2007 to 2010 found that the soil quality is degrading in 	many 	regions, such as the Pearl 	
River Delta, Yangtze Rive	r Delta and Pan	-Bohai Bay area (China Daily, 2011)	. Soil is 	
already heavily polluted in some industrial zones and mining areas with heavy metals 
including cadmium, mercury, lead, chromium and arsenic	, and with organic chemical 	
compounds, such as oil hydrocarbons. 	Experts estimate that contaminated industrial 	
sites in the country number 300,000 to 600,000	. 	
环境保护部从	2007	年到	2010	年开展的土地污染普查发现，很多地区的土壤质量	
在下降，比如珠江三角洲、长江三角洲和泛渤海湾地区（中国日报，	2011	）。在一些	
工业区和矿区，土壤已经受到了包括镉、汞	、铅、铬和砷在内的重金属以及	石油烃	之	
类的有机化合物的严重污染。	据专家估计，全国受污	染	工业场地有	30	万到	60	万处	。	 	
Remediation for 	contaminated	 sites has become an urgent need as the country's rapid 	
urbanization creates a huge demand for usable land, which in turn requires both funding 
and technical guidelines from the government.	 With more people moving from rural 	
areas into the cities, clean an	d safe land is essential.	 In China, the most commonly 	
used remediation practice is to remove the polluted soil, which is then deposited 
into a landfill or burned, and replace it with clean soil	 (China Daily, 2011)	. 	
污染场地迫切需要修复，因为中国的快速城市化带来了对可用土地的巨大需求，	
这反过来又需要政府提供资金和技术指导。随着更多的人从农村迁到城市，干净安全
的土地是必不可少的。	在中国，最常用的修复	实践	是清除受污	染	土壤，然后	在	填埋场	
填埋	或者焚烧，再换上干净土壤	Ä]
-ÕÈ	2011	）。	 	
Developers sometimes shy away from remediation because of the costs. Some 
developers argue that they should not pay all 	the costs of remediation because they 	
didn't cause the pollution. But there are examples of 	companies cleaning up a site, not 	
because there is any law mandating them to do so, but because cleaning up the site 
enhance their reputation and allowed them to fu	lly utilize the area	 (China Daily, 2011)	. 	
开发商有时会因为费用问题而逃避修复（中国日报，	2011	）。一些开发商辩称，	
他们不应当承担全部的修复费用，因为不是他们造成的污染。但也有公司清理场地的
例子，他们不是因为法律要求他们这么做，而是因为清理场地可以提高其知名度，并
且这让他们可以充分利用清理后的区域（中国日报，	2011	）。	 	
According to the World Bank (2010) 	China lacks sound regulations and laws	 as well 	
as technical frameworks to manage and remedy brownfields	. Moreover, different 	
government departments 	- the ministries of environmental protection, land and 	
resources, agriculture and others 	- are involved with the tasks of managing land 	
pollution.	 	
MEP 	in 2014	 released five official guidances on contaminated sites remediation, 	
including terminologies, investigation phase, monitoring, risk assessment and 
remediation technologies. 	These are built on	experiences learnt from the US	 Superfund 	
and Chinese practices. 	However, 	a higher level law regarding soil/sites remediation is

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still necessary as a basis for these guidances and a guide to the remediation market in 
China.	 
根据世界银行的报告（	2010	），	中国缺乏合理的法律法规以及技术框架来管理和	
修复棕地	。此外，不同政府部门	——	环境保护部、国土资源部、	农业部及其他	——	在	
参与治理土壤污染的工作。	 	
环境保护部于	2014	年发布了	5	份污染场地修复官方导则，包括术语、调查阶段、	
监测、风险评估和修复技术。这些导则的制定是基于对美国超级基金和中国实践经验
的借鉴。然而，作为这些导则的基础，以及中国修复市场的指引，高水平的土壤	/场地	
修复法律仍十分必要。	 	
According 	to Caldwell and Wang (20	11	) China has no national	-level law or 	
regulation to address the soil polluti	on crisis. However, there are some 	
regulations at province and city levels, among others in Jiangsu Province and 
Nanjing city	. Caldwell and Wang highlight the need for a national law or regulation to 	
control soil pollution. According to them, 	MEP in 2009 d	rafted the 	Provisional Rules for 	
the Environmental Management of Contaminated sites. 	This basically follows the same 	
basic site remediation process as CERCLA, but under the latter the government plays a 
more active role. 	Caldwell and Wang recommend that a 	modified version of the 	
Provisional rules is made into national Chinese law, considering China’s unique 
situation and not copying CERCLA too much	. 	 	
据	 Caldwell 	和	Wang 	（	20	11	）分析，	中国没有国家级的法律或法规来应对土壤污	
染危机。然而，江苏省和南京市有一些省级和市级法规	。	Caldwell 	和	Wang 	强调需要	
用国家法律或法规来控制土壤污染。根据他们的建议，环保部于	2009	年起草了	《污染	
场地土壤环境管理暂行办法	》	�	B�	�>|	�#�*\:	F���	
�	5�
-	CERCLA	（《环境	
响应、补偿与责任综合法》）	相同的场地修复	基本	程序	，但后者下的政府扮演着更加	
积极的角色。	Caldwell 	和	 Wang	建议将修订后的《暂行办法》纳入中国国家法律，考	
虑中国的国情，而不要照搬美国的	CERCLA	。	 	
World Bank (2010) recommended using economic measures such as loans, 
dedicated subsidies and environment taxes to support clean	-ups of toxic sites. 	
Another possibility is setting up a superfund, where stakeholders put in money 
every year to support remediation.	 	
世界银行（	2010	）建议采用经济措施来支持有毒场地的清理，比如贷款、专项补	
贴和环境税。还有一种可能是设立超级基金，每年由利益相	关方向基金里注资来支持	
修复。	 	
There could 	in our view 	be several lessons for 	China from the US Superfund scheme:	 	
我们认为中国可从美国超级基金计划得到以下几个启示：	 	
 	Get an overview of the (number of) abandoned 	sites causing severe 	
environmental problems	. This should be a first attempt at getting an overview, 	
without applying any comprehensive investigations or analysis. The work could 
eventually be organized on provincial level, based on some broad selection

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criteria established at national level. 	Constru	ct a NPL	-like system to evaluate the 	
priority of contaminated site control.	 	
掌握引起严重环境问题的废弃场地（的数目）的概况。	这应当是初步尝试了解	
概况，不	进行任何综合调查或分析	。这项工作最终可根据国家层面制定的一些	
广泛选择标准在省级层面组织开展。建立一个像	NPL	一样的系统来评价污染场	
地治理优先次序。	 	
 	Build an integrated and cooperative management way	 	for different 	
gov	ernment sections	. 	
为不同政府部门建立一种一体化的合作管理方式	。	 	
 	Apply a	 stepwise approach	 when assessing 	the listed 	sites for damages from 	
various releases and emissions to the environment. It could 	perhaps 	be useful to 	
start with a screening process to make a preliminary 	assessment of the potential 	
problem	s, to see if 	they are	 “large enough	” to warrant further investigation and 	
eventually a clean	-up or other actions to curb the problem. This could both be 	
cost effective and time saving, resulting in finding the sites in mo	st need of 	
actions to reduce damages to health and/or ecology. 	 	
在评估入选场地因各种向环境的释放和排放所致损害时	采用分步法。	9+X,´Œ	
#_þ1‹F9E÷0;0ûÈ)%Œ
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#~	ø-1&È04ø

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¼	/或生态损害的场地。	 	
 	Assess ways of financing the clean	-up actions	. Financin	g has been a major 	
challenge in most countries, resulting in that most actions have had to be 
financed through public budgets. This has been a major hindrance for the clean	-	
up process. Thus, finding new and innovative ways of financing could be crucial 
for	 the success. 	 	
评估清理行动的融资方式。	融资已成为多数国家的一大挑战，导致多数行动必	
须通过公共预算获得资金。这已成为清理程序的一大障碍。因此，找到创新的
融资方法对于成功很关键。	 	
 	Keep it simple	. Superfund has over the years developed rather comprehensive 	
schemes for analyzing and prioritizing between sites. This requires a lot of skills 
and analyzing capacity, and is perhaps not necessary to assess whether the 
damages are unacceptable or to prior	itize between sites. 	 	
保持简单。	多年来，	超级基金形成了相当综合全面的框架，用于分析场地并区	
分场地的优先次序。这需要很多技能和分析能力，或许这对于评估损害是否不
可接受或者区分场地的优先次序来说是没有必要的。	 	
 	Keep an eye on lessons learned fromUS and EU experiences	. This could, f	or 	
example	, be related to 	mega	-site management strategies, complex 	groundwater 	
contamination control.	 	
留意由美国和欧盟经验得到的启示。	例如，	注意学习在巨	型场地管理	战略	、复	
杂的地下水污染控制	方面的经验。

Tackling environmental risks with environmental planning: international experiences	 	
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Vista Analys	is AS	 	209	 	
2.5	 	Emissions to air	空气污染物排放	 	
2.5.1	 Preparations for climate	-friendly air quality management in the EU and USA	 	
欧盟和美国对气候友好型空气质量管理的准备	工作	 	
2.5.1.1	 Introduction	引言	 	
Climate change and air 	pollution are c	losely interconnected problems. Air pollutants and 	
greenhouse gases (GHG) to a large extent have the same emission sources. It has become 
clear that air pollutants in themselves, 	especially particles and tropospheric ozone	, play 	
an important	 role in the climate system	. Depending on their physicochemical 	
properties,they may contribute to warming or cooling. There is also a link via 
atmospheric c	hemistry	 processes as s	ome air pollutants affect the lifetimes of GHGs	. 	
Finally, global warming may 	enhance air pollution problems in an area and make it more 	
difficult to reach targets. For instance, in the US a study showed 	a strong correlation 	
between the number of days the ambient temperature exceeds 37° Celsius and the days 
in which ozone concentrat	ions exceed 	air quality standards	. As g	lobal warming is 	
forecast to increase the number of such days, future progress in meeting the ozone 
standard	 may be impeded (Aunan et al, 2006; James and Schultz, 2011)	. 	
气候变 化与 空气 污染 是密切 关联 的问 题。 很多情 况下 ，空 气污 染物和 温室 气体	
（	GHG	）排放源相同。而且	，空气污染物本身、特别是颗粒物和对流层臭氧在气候系	
统中扮演着重要角色。受颗粒物和臭氧的理化特性影响，它们可导致气候变暖或变凉。
同时，有些空气污染物通过大气化学过程影响温室气体的寿命，使它们之间产生关联。
最后，全球变暖可加剧地区的空气污染问题，并加大实现目标的难度。例如，美国的
一项研究表明，环境温度超过	37	摄氏度的天数与臭氧浓度超过空气质量标准的天数之	
间存在密切关联。由于预计全球变暖会导致这样的天数增多，因此臭氧标准的达标进
展会受到阻碍（	Aunan et al, 2006; James and Schultz	, 2011	）。	 	
In spite of the close links,	policies to mitigate climate change and air pollution are 	
often considered in isolation	 and executed and enforced by separate government 	
agencies, under different legal frameworks. In attempts to increase the understanding 
and highlight the link between the two spheres, 	the terms ‘co	-benefits’ or ‘ancillary 	
benefits’ have been used for the n	on	-climate benefits of GHG mitigation policies 	
that are either explicitly incorporated into the development of mitigation policies 
or arise as a result of the implementation of GHG mitigation policies	. These include 	
reductions in local and regional air pol	lution associated with the reduction of fossil fuels. 	
From the perspective of policies to abate local air pollution, GHG mitigation may be seen 
as an ancillary benefit.	 	
尽管联系紧密，但	减缓	气候变化和空气污染	的	政策	hh	
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Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	210	 	
Figure 	2.17	 illustrates the generation of ancillary benefits to GHG emission reduction 	
policies. 	These policies often lead to 	reductions in both GHGs as well as changes in 	
other pollutants, and mitigation costs	. Changes in GHG emissions in turn lead to 	
changes in air and water pollution, which ultimately extend throughout the 
environment and feed back into the economy	. Then, depe	nding on baseline 	
conditions, technologies,	 and institutions, such as labo	r markets, tax systems, and 	
existing environmental and other types of regulations (represented by “institutions” in 
the economic system b	ox), these feedbacks may become 	environmental	 impacts (such as 	
the value of changes in conventional air or water pollution);	 non	-environmental impacts 	
(such as the value of employment effects); and, direct climate change impacts	 (IPCC, 	
2007)	. 
图	2.17	显示了温室气体减排政策伴生效益的产生流程。	这些政策往往带来温室气	
体的减少和其他污染物的变化，以及减排成本的	降低。反过来，温室气体排放变化又	
带来空气污染和水污染的变化，这些变化最终延伸到整个环境，并反馈到经济中。	然	
后，根据基准状况、技术和制度，比如劳动力市场、税制和现有的环境法规和其他类
型的法规（在经济系统表示为“制度”），这些反馈可变成环境影响（比如常规空气
污染或水污染变化的价值）；非环境影响（比如就业效应的价值）；和直接的气候变
化影响（	IPCC, 2007	）。	 	
Figure	 2.17 Mechanism	 for the 	generation of 	ancill	ary 	impacts.	 From co	-benefits 	
to co	-control	 	
 	
Source IPCC (2007)	 	
图	2.17 	伴生影响的产生机制。从	协同	效益到	协同	控制	 	
 
 
 
 
 
 
 
来源	 IPCC	（2007	）	 	
气候缓解政策	 	
伴生：	 	非环境	 	影响（	+/-） 	
伴生：	 	环境影响（	+/-） 	
直接：	 	气候变化	 	影响（	+/-） 	
净环境效益	 	
 	经济系统	 	 制度	 	
效果	 	
温室气体	 	和其他	 	污染物	 	
 生态	 	系统	 	
减排成本

Tackling environmental risks with environmental planning: international experiences	 	
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As a consequence of the focus on co	-benefits/ancillary benefits of policies targeting 	
either air quality or GHGs, 	there is an increasing interest in the development of 	
holistic policies that at the outset take into consideration both issues	. In the 	EU 	thi	s 	
has led to, for instance, 	initiatives to develop a more climate	-friendly air quality 	
management.	bClimate	-friendly air quality management	 refers to techniques, policies, 	
and regulations that promote concurrent reductions	 (‘co	-control’)	 of 	harmfulair 	
pollu	tants and greenhouse gas (GHG) emissions	, i.e. 	a multi	-pollutant approach	. The 	
principal idea is that this may lead to cost savings and potentially to more 
ambitious targets and policies in both fields	. The opportunity for co	-control lies in 	
the fact that 	the sources of air pollutants and GHGs often are the same	. Thus, 	the 	
structural shifts in the electricity, industrial, and transportation sectors that GHG 
reduction policies drive will also reduce emissions of harmful air pollutants	. 	
随着对空气质量和温室气体政策的协同效益	/伴生	效益的重视，	对制定把两个问题	
都纳入考虑的全盘政策有了越来越浓厚的兴趣	。欧盟已经	开展	了	气候友好型空气质量	
管理的	举措	。气候友好型空气质量管理是指促进有害空气污染物和温室气体同时减排	
（‘协同控制’）的技术、政策和法规，即	多污染物方法	。其	基本思路是这可以带来	
两个领域的成本	节约	以及带来潜在	的	更加宏伟的目标和政策	。协同控制的关键点在于，	
空气污染源和温室气体源往往是相同的	。因而，	温室气体减排政策推动的电力、工业	
和运输行业的结构性变化还会减少有害空气污染物的排放	。	 	
Shifting to regulation 	through a multi	-pollutant approach will require 	
institutional, policy and technical changes	. In many ways, 	China and other 	
developing countries that are in the process of establishing environmental 
regulatory systems may have an advantage over the veteran 	agencies in the 	
United States and the EU	. China is not bound by long	-standing institutional history and 	
practice. It can consider environmental and energy problems together through an 
economic lens to comprehensively and holistically reduce 	criterion 	and G	HG emissions.	 	
转向通过多污染物方法进行监管需要制度变化、政策变化和技术变化。中国以及	
正在建立环境监管体系的其他发展中国家	在很多方面都比	美国和欧盟资深机构更有优	
势		
LNÈÈ˜M’˜-ÿA7ö"‘(™
¼$YÔ"Dƒ,´ÂnÄ	 	
Recent studies have shown that 	significant benefits can be achieved through 	
integrating climate change mitiga	tion and air quality improvement efforts	. 	
According to one study, 	the 	benefits may amount to additional CO	2 reductions of 15% in 	
Western Europe	 (Bollen et al 2009). van Vuuren et al (2004) 	examined the local 	
airpollution benefits to Europe fromimplementing	 the Kyoto Protocol.	 Modeling of 	
existing EU national emissionsdirectives coupled with GHG reductions	 needed to meet 	
Kyoto targets showed 	a strong correlation between reductions in CO	2 and SO	2, with 	
additional high benefits for PM	. 	This linkage was related	 	to decreased 	
coalcombustion	. For Mexico City the cost saving from integrating air quality and GHG 	
policies was addressed in a study by West et al (2004). They	 analyze	d least	-cost 	
strategies for meeting co	-control targets for multiple pollutants	, and found	 that 	
implementation of the air quality plan for the city as it was formulated originally would 
reduce the 	CO	2emissions in 2010 by about 3%. By adjusting the plan towards including 	
cost	-saving GHG mitigation measures the authors find that this would lower 	the net 	
costs of the plan.	 Thus, 	surprisingly, the costs of combining efforts to reduce air

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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pollution and GHG may be lower than the costs of a strategy focused on reducing 
air pollution alone	. 	
最近的研究表明，	通过	整合	气候变化减缓与空气质量改善工作可以实现巨大效益	Ä	
iž0N©.D0¦ÈF	/ýx,ú-(ƒ¾?¯!W¼"W	F.ãÂnNÍFÿA	15%	（	Bollen et al 2009	）。	 	
van Vuuren et al 	（	2004	）研究分析了通过实施《京都议定书》给欧洲带来的局地空气	
污染效益。对欧盟现有的国家排放指令以及为了满足《京都议定书》目标所需的温室
气体减排量进行建模表明，	二氧化碳减少和二氧化硫减少之间有很强的关联，	并且附	
带产生	巨大的	PM	（颗粒物）效益	。这种关联与煤炭燃烧量减少有关。对于墨西哥城，	
在	West 	等人（	2004	）开展的一项研究中提出了通过统合空气质量政策与温室气体政	
策来节省成本。他们分析了实现多污染物协同控制目标的最低成本策略。他们发现，
实施最初制定的墨西哥城空气质量计划会使得	2010	年的二氧化碳排放减少约	3%	。研	
究者发现，对该计划进行调整，把节省成本的温室气体减排措施列入其中，可以降低
该计划的净成本。	这样	产生	产生的结果是，	减少空气污染	与	温室气体的	联合努力的	成	
本可能低于仅注重减少空气污染的策略的成本	。	 	
Models that analyze combinations of policies and the tra	jectories of their 	
implementation 	have	 enabled agencies to consider the potential effects of new 	
requirements before they are implemented. This prevents adoption of policies that are 
more costly or that may impose constraints on electricity 	supply 	reliabil	ity, and it 	
facilitates the creation of complementary programs to cover multiple	 pollutants. 	The 	
number of modeling platforms continues to expand, but among the most	 commonly used 	
today, especially in Europe, are 	IIASA’s GAINS model (Greenhouse gas 	– Air p	ollution 	
Interactions and Synergies)	 and MARKAL (	MARKet Allocationmodel	) (James and 	
Schultz, 2011). 	 	
用来分析政策组合及政策实施轨迹的模型使各级政府得以在实施政策之前考虑新	
要求的潜在效果。这样可以防止采用花费较高或者可能对供电可靠性造成约束的政策，
并促进制定涵盖多种污染物的补充计划。建模平台的数量不断扩大，但现今最常用的、
特别是欧洲最常用的是	国际应用系统分析研究所	（	IIASA	）开发	的	GAINS	模型（温室气	
体	-空气污染相互作用	与	协同效应）	和	MARKAL	（市场配置模型）（	James 	和	Schultz, 	
2011	）。	 	
2.5.1.2	 Co	-control in the EU 	欧盟的协同控制	 	
There are several initiatives and studies that support an integration of EU policies 
within climate change and air pollution. One example is work related to EU’s 2005 
Themat	ic Strategy on Air Pollution. This Strategy 	is one of the seven thematic strategies 	
provided for in the Sixth Environmental Action Programme. It is based on research 
carried 	out in	 the Clean Air For Europe (CAFE) programme and the 	subsequent	 research 	
frame	work programmes, and was adopted following a lengthy consultation process 	
involving the European Parliament, Non	-Governmental Organi	zations 	as well as	 	
industry and private individuals.	 	
有几项举措和研究支持欧盟气候变化与空气污染政策的整合。一个例子是与欧盟	
《	2005	年空气污染主题战略》有关的工作。该战略是《第六个环境行动计划》	中规定	
的七个主题战略之一。它基于在《欧洲清洁空气》（	CAFE	）计划中开展的研究以及后

Tackling environmental risks with environmental planning: international experiences	 	
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续研究框架计划，并在经过了由欧洲议会、非政府组织以及企业和个人参与的漫长协
商过程之后获得通过。	 	
The 2005 	Thematic Strategy	on Air Pollution	 supplements the current legislation	, 	
establishes objectives for air pollution and proposes meas	ures for achieving them by 	
2020	. The Strategy sets health and environmental objectives and emission reduction 	
targets for the main pollutants.	 Compared with the situation in 2000, the Strategy sets 	
specific 	long	-term objectives (for 2020):	 	
《	2005	年空气污染主题战略》补充了现行立法，制定了空气污染目标，并提出了	
到	2020	年实	现这些目标的措施。该战略确立了健康和环境目标以及主要污染物减排目	
标。该战略确立了具体的长期目标（	2020	年），与	2000	年的情况相比：	 	
 	47% reduction in loss of life expectancy as a result of exposure to particulate 
matter;	 	
因暴露于颗粒物污染所致平均预期寿命减损程度降低	47%	；	 	
 	10 % reduction in acute 	mortalit	yfrom exposure to ozone;	 	
因暴露于臭氧污染所致	突发性	死亡减少	10%	；	 	
 	reduction in excess acid deposition of 74% and 39% in forest areas and surface 
freshwater areas respectively;	 	
林区和地表淡水区的过度酸沉降分别减少	74%	和	39%	；	 	
 	43% reduction in areas or ecosystems exposed to eutrophication.	 	
遭受富营养化的区域或生态系统减少	43%	。	 	
To achieve these 	objectives, SO	2 emissions will need to decrease by 82%, NO	x emissions 	
by 60%, volatile organic compounds (VOCs) by 51%, ammonia by 27%, and primary 
PM	2.5 	(particles emitted directly into the air) by 59% compared with the year 2000.	 	
要实现这些目标，与	2000	年相比，二氧化硫排放	需要减少	82%	，氮氧化物排放	
减少	60%	，挥发性有机化合物（	VOC	）减少	51%	，氨减少	27%	，原生	PM	2.5	（直接排	
放到空气中的微粒）减少	59%	。	 	
In connection with the comprehensive review of the 	Thematic Strategy	on Air 	
Pollutionaround 2010 the issue of potential co	-control of air pollutants and GHGs was 	
highlighted. 	IIASA’s G	AINS model	 is specially designed to investigate opportunities for 	
co	-control of air pollution	, and GHGs	 and was	 employed for	 estimating such 	
opportunities in relation to thereview process (IIASA, 2012). The model has also been 
employed for the 	Commission’s proposal on the Climate and Energy package	. 	
在全面审查	2010	年左右的《空气污染主题战略》时，空气污染物和温室气体的潜	
在协同控制问题受到了特别关注。	IIASA	的	GAINS	模型是专门为找寻协同控制空气污	
染和温室气体的机会而设计的，在审查过程中被用于判断这种可能性（	IIASA, 2012	）。	
该模型还被用于欧盟委员会的《气候与能源一揽子计划》提议。	 	
Taking into account the most recent set of air 	pollution legislation in the EU, the	 cost 	of 	
meeting the long	-term objectives in the 	Thematic Strategy	on Air Pollution was 	
estimated	 to amount to 	around 	EUR 	80 	billion per annum 	in2020 and around 90	 billion

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per annum 20	50 (Amann 2012)	. To illustrate the po	tential benefits of a co	-control 	
approach to air pollution abatement, as opposed to an approach primarily based on the 
application of end	-of-pipe technologies, the effect of a decarbonization scenario 	aiming 	
at an 80% GHG reduction in the EU in 2050	59 was i	nvestigated by IIASA (2012). 	To	 reach 	
the 	target	 for GHG mitigation in the 	decarboni	zation scenario carbon values 	would need 	
to be	 applied to all	 sectors 	and all	 greenhouse gas emissions	 (E	C, 2011	). 	The 	
decarboni	zation scenario 	assumes that lower 	emissions 	are achieved 	through 	a range of 	
policies, including 	enhanced energy	 efficiency improvements and the electrification 	
ofthe transport sector	 (see 	Box 2.	3)	. According to the modelling exercise, the 	
decarboni	zation scenario offer	s similar reductions 	of SO	2, NO	x and 	PM	2.5 emissions as 	
would 	result	 from a full	 implementation of all remaining air pollution	 control 	
technologies	 (i.e. those not part of current air pollution measures)	. In	 a decarboni	zing 	
world, additional air pollution	 control costs that ar	e required to comply with	 current air 	
quality legislation are up to 20% lower	 than in the baseline case	. This is	 due to the lower 	
levels of	 polluting activities resulting from the policies included in the decarbonizing 	
scenario (Amann 2012)	. In other words	, co control offers the promise of cutting the 	
90 billion abatement costs by 20 percent, saving around EUR 18 billion per 
annum	. 	
通过考虑欧盟最近出台的一系列空气污染法规，实现《空气污染主题战略》中的	
长期目标的成本，到	2020	年，估计每年	为	80	0	亿欧元左右，到	2050	年，每年	为	90	0	
亿欧元左右（	Amann 2012	）。为了说明与基于末端技术方法对照之下空气污染治理协	
同控制法的潜在效益，	IIASA	（	2012	）开展了欧盟温室气体于	2050	年减少	80%	的脱碳	
情景的研究。为了达到脱碳情景中温室气体减排目标，需要为所有行业和所有的温室
气体排放设定碳值（	EC, 2011	）。脱碳情景假设通过一系列政策实现减排，包括提高能	
源效率和运输部门电气化（见框	2.3	）。根据模型结果，脱碳情景实现的二氧化硫、氮	
氧化物和	PM	2.5减排量	与充分实施全部现存空气污染控制技术（即不在当前空气污染措	
施之列的那些技术）带来的减排量相差无几。在脱碳情景中，为	了遵守现行空气污染	
法律而需要的空气污染控制额外成本比基线情况下低	20% 	。这是因为脱碳情景中所包	
含的政策使得污染活动水平降低（	Amann 2012	）。	换而言之，碳控制可以保证将	900	
亿欧元的	治理	成本削减	20%	，每年节省	180	亿欧元左右	。	 	
Box 2.	8 A decarboni	zation scenario for the EU	 	
框	2.8 欧盟脱	碳	情景	 	
 	 	 	
59 In March 2011, the European Commission published its Roadmap for moving to a low carbon economy 
in 2050, the so	-called ‘Commission Roadmap for the EU’. In this Roadmap, the Commission lay	s down the 	
ambition to reduce domestic greenhouse gas emissions by 80% in 2050 (compared to 1990), in the 
context that also other developed and developing countries reduce their emissions such that global 
emission are reduced by 50% by 2050 (Colette et al 	2012).	 	
2011	年	3月，欧盟委员会发布了迈向	2050	年低碳经济的路线图，即所谓的‘	欧盟	委员会路线图’。在此路线图	
中，欧盟委员会提出到	2050	年将欧盟温室气体	减排	80%	的雄伟	目标（与	1990	年相比），在其他发达国家和发展	
中国家	同时	减排的背景下，到	2050	年全球	减排	50% 	（Colette et al 2012	）。

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The decarboni	zation scenario employs the ‘Global Action with Effective and Widely 	
Accepted Technology’ scenario that has been developed with the PRIMES model for the 
communication 	of the European Commission on 	‘A roadmap for moving to a competitive 	
low carbon economy in	 2050’ (CEC, 2011a). It assumes a policy environment that 	
enables all ma	jor low carbon technologies, and is reflected by the following additional 	
but realistic assumptions compared to current policies:	 	
脱碳情景利用通过	 PRIMES	模型开发的‘用有效和得到广泛认可的技术开展全球	
行动’情景，为欧盟委员会宣传‘迈向	2050	年有竞争力的低碳经济路线图’（	CEC, 	
2011a	）。它假设了一种允许采用所有主要的低碳技术的政策环境，并通过以下与现行	
政策相比增多但合理的假设来体现：	 	
1. All renewable technologies are facilitated to a larger extent (e.g., by planning and 	
infrastructures, expressed in higher renewable 	values). The extent of cost saving 	
technological progress in solar technologies is assumed to be larger.	 	
所有的可再生能源技术都得到更大程度的利用（例如通过规划和基础设施，以较	
Q,´
½+O7-$À'l>˜/jÅÄwAîZLc7-°_F!•,´@\8²-10;ÖÐWÄ	 	
2. 	Energy intensity improvements are brought about in the context of high ETS 	(EU’s	 	
GHG allowance trading system) 	prices and demand side policies mirrored through high 	
carbon values; in addition greater renewables penetration increases conversion 
efficiency and hence improves energy intensity. 	 	
在以高碳值反映的高	ETS	（欧盟的温室气体排放权交易体系）价格和需求面政策背景	
下实现能源	强度的提高；另外，可再生能源渗透率增大，提高了转换效率，进而提高	
了能源强度。	 	
3. 	It is assumed that carbon capture and storage (CCS) is successfully demonstrated and 	
is commercially available after 2020, benefiting from cost improvements driven by 
carbon prices; it also assumed that there is 	public acceptance for the technology	. 	
假设碳	捕获和封存	（	CCS	）得到成功论证，并且	2020	年以后可在市场上买到，这	
得益于碳价格拉动的成本改善；还假设公众接受这项技术。	 	
4. 	It is assumed that current national nuclear policies are implemented as planned. 	
Nuclear energy is assumed to be enabled by increased public acceptan	ce and higher 	
safety of nuclear waste operations. However, no new nuclear 	power plants 	will be built 	
in countries which continue to exclude this.	 	
假设目前的国家核政策按计划实施。假设通过提高公众接受度和提高核废料处理	
,´¹˜WÈ¯h7-Ç`Y+XÄ'f6<È
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-æ=J*Aîà,´h+e1	Ä	 	
5. 	Electrification of transport is ena	bled by research and development and other policies 	
promoting progress in battery‐driven vehicles. A decrease of battery costs (per kWh) by 
a factor of four in 30 years as well as lighter batteries, faster charging and higher power 
densities are assumed. A	n infrastructure enabling full electrification including smart 	
grids is built up so that from 2030 a transition to electric cars can take place. Constraints

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to electrification only remain in certain parts of non‐urban long‐distance road travelling, 
especia	lly for trucks and buses.	 	
通过研 发和 其他 促进 发展电 池驱 动车 辆的 政策实 现运 输电 气化 。假设 电池 成本	
Ä!ÿ	s+&Å
X	30	年里下降四倍，电池更轻，充电更快，功率密度更高。构建一种可	
实现完全电气化的基础设施，包括智能电网，以使从	2030	年开始可以过渡到电动汽	
车。电气化限制仅存在于某些部分的非城市长途道路行车，特别是卡车和公共汽车。	 	
Whereas most model exercises focus on co	-control of GHG and classical air pollutan	ts, 	
there are also studies showing a potential for co	-control of GHG and mercury	 (a 	
hazardous/toxic pollutant). For instance, s	cenarios that simulate a substantial expansion 	
of renewable energies within the power sector	 show potentially 	extensive 	co	-benefi	ts 	
for mercury abatement due to the restructuring of the energy system and changes 
in the fuel mix	 (Rafaj et al	, 2014)	. The potential for mercury reductions in Europe 	
depends on the rate of fuel switches and renewable technology deployment, but is also 
inf	luenced by the stringency and timing of the air quality measures. The overall scope 	
for co	-benefits is therefore higher in regions relying on coal combustion as a major 	
energy source	 (Rafaj et al	, 2014).	 	
鉴于多数模型模拟都侧重于温室气体和传统空气污染物的协同控制，	也	有几项研	
究证明了温室气体和汞（一种有害	/有毒污染物）的协同控制潜力。	例如，	模拟可再生	
能源在电力行业内大量增加的情景表明，由于能源系统的结构调整和燃料组合的变化，
汞减排的协同效益可能较好	（	Rafaj et al 2014	）。欧洲的汞减排潜力取决于燃料转换的	
速度和可再生能源技术的部署，但也受空气质量措施的严格性和时间安排的影响。因
此，协同效益的作用在以煤炭为主要能源的地区比较大（	Rafaj et al 2014	）。	 	
2.5.1.3	 Co	-control in the US	美国的协同控制	 	
Together with selected state and local e	nvironmental management agencies, 	the US	-EPA 	
is exploring the development of 	so	-called 	comprehensive Air Quality Management Plans 	
(AQMPs). These plans will address the control of multiple pollutants and air related 
considerations such as land	-use, transp	ortation, energy	 and climate change	 (US	-EPA 	
2012a	). US	-EPA is currently working with three pilot areas in order to develop a 	
template for co	-control for US states	: New York, North Carolina and St. Louis	 	
(Missouri and Illinois). 	The areas have each agreed t	o develop a multi	-pollutant focused 	
AQMP that will involve appropriate stakeholders and will outline how the participating 
agency plans to address air pollutants in an integrated manner. Each area may include 
considerations of ecosystem impacts and air qua	lity linkages to energy, land	-use, 	
transportation and other non	-traditional policies. Each AQMP will include a set of 	
pollution reduction strategies that demonstrate one or more of the following:	 	
与选定的州和地方环境管理机构一起，美国环保局正在探索制定所谓的综合空气	
质量管理计划（	AQMP	）。这些计划将论及对多种污染	物以及诸如土地利用、交通、能	
源和气候变化之类的空气相关问题的控制（美国环保局	 2012a	）。	美国环保局目前正	
在做三个试点区，以便为美国	以下	这几个州开发一个协同控制模板：纽约州、北卡罗	
来纳和圣路易斯（密苏里州和伊利诺伊州）	。每个试点区均同意制定以多污染物为重	
点的	AQMP	，该计划将由利益相关者参与，并概述参与机构打算如何以综合方式处理	
空气污染物。每个试点区均考虑了生态系统影响和空气质量与能源、土地利用、交通

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和其他非传统政策的联系。每个	AQMP	均包括一套证明以下一个或多个问题的污染减	
少策略：	 	
 	attainment/maintenance of the National Ambient Air Quality Standards	 	
达到	/维持国家环境空气质量标准	 	
 	risk reductions from Hazardous Air Pollutants,	 	
危险空气污染物所致风险降低	 	
 	improvements in visibility and ecosystem health, and 	 	
能见度和生态系统健康改善，	 	
 	integration with land use, transportation,	 energy and climate. 	 	
与土地利用、交通、能源和气候融为一体。	 	
Examples of programsthat are currently in effect 	in the US 	include Massachusetts’ Multi	-	
Pollutant Regulation, North Carolina’s Clean Smokestack Act, and New Hampshire’s 
Multi	-Pollutant legislation	. Energy efficienc	y in fossil	-fueled power plants is an 	
important element in the plans, which aim at reducing classical air pollutants such 
as PM, 	SO	2, and NOx, as well as mercury and 	CO	2. For instance, combined heat and 	
power (CHP) 	installations 	have been shown to be	 one of the most cost	-effective policies 	
to reduce GHG and emissions	 of local pollutants (McKinsey & Company 2009). 	In 	
addition to programs that have been in effect for 	several	 years, numerous US state and 	
local air quality agencies 	are 	engaged in comprehe	nsive planning processes	 with a 	
multi	-pollutant/co	-control approach	. For instance, 	New York’s Air Quality Management 	
Plan (AQMP) 	will be	 using a multi	-pollutant approach, including GHGs, which 	
emphasizes emissions reductions from the state’senergy efficien	cy and renewable 	
energy programs	. This is following up on several previous initiatives taken by the city. 	
For instance, in 	2007 a comprehensivesustainability plan for New York City	’s future was 	
released, with	 a strategy to reducethe City’s greenhouse gas f	ootprint, while also 	
accommodating a population growth ofnearly one million, and improving its 
infrastructure and environment	 (NYSEPB, 2009)	. 	
美国现行的计划包括马萨诸塞州的多污染物法规、北卡罗来纳州的清洁烟囱法案	
和新罕布什尔州的多污染物立法。	在以减少	颗粒物、二氧化硫、氮	氧化物	以及汞和二	
氧化碳	等	传统空气污染物为目的的计划中，化石燃料发电厂的能源效率是一个重要元	
素	Ä»²È	'+e6„×Aî7">ÛAñ>_04ÿ#~B1Ç,´ÿA$YÔ"Dƒ
¼p
`"‘(™Ân,´	
o1†{0Ä	McKinsey & Company 2009	）。除了已施行若干年的计划之外，美国很多州	
和地方空气质量机构也在用多污染物	/协同控制方法开展综合规划。例如，纽约州的空	
气质量管理计划（	AQMP	）将采用将温室气体纳入的多污染物方法，这种方法强调通过	
纽约州的能源效率和可再生能源计划实现减排。这是对纽约市以往采用的几项计划的
跟进。例如，	2007	年发布了纽约市未来可持续发展综合计划，提出了一项减少纽约市	
温室气体足迹、同时也容纳近	100	万人口增长并	改善纽约市基础设施和环境的战略	
（	NYSEPB, 2009	）。	 	
The US	-EPA 	is providing policy and technical assistance to the pilot areas. This include	s 	
program coordination, legal and policy consultation, information about emission 
inventories, information on multi	-pollutant control mea	sures and costs, 	and 	support for 	
air quality modeling and exposure/benefits assessment.	 A broad range of tools and 	
resources, including emission modelling tools, a 	Greenhouse Gas Equivalencies

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Calculator	, air quality models (like the Community Multi	-scale Air Quality (CMAQ) 	
model), the 	Benefits Mapping and Analysis Program (BenMAP) 	(a tool for estimating the 	
health impacts and associated economic values	), and the 	Hazardous Air 	Pollutant 	
Exposure Model(	a s	creening	-level exposure model appropriate for assessing average	 	
long	-term inhalation exposures) can be downloaded from US	-EPAs web page (US	-EPA 	
2012b).	 	
美国环保局为试点区提供政策和技术帮助。这包括计划协调、法律和政策协商、	
关于排放清单的信息、关于多污染物控制措施和成本的信息以及为空气质量建模和暴
露	/效益评估提供的支持。从美国环保局网页上可下载各种工具和资源，	包括排放建模	
工具、温室气体	当量计算器	、空气质量模型（像公共多尺度空气质量（	CMAQ	）模型）、	
环境效益描述和分析程序	（	BenMAP	）（一个估算健康影响及相关经济价值的工具）和	
危险空气污染物暴露模型（一个筛选层面的暴露模型，适用于评价平均长期吸入暴露
量）（美国环保局	 2012b	）。	 	
Although not 	one	 of US	-EPA’s multi	-pollutant planning pilot 	areas	, the California Bay 	
Area (San Francisco and 	surrou	ndings	) has been engaged in a similar process and, in 	
September 2010, 	adopted the first comprehensive multi	-pollutant clean air plan of 	
its kind in the US.	 The Bay Area Air Quality Management District (BAAQMD) Board, the 	
authorizing agency, is the regulato	ry body that develops and implements air quality 	
plans for the San Francisco Bay Area of California, a seven	-county jurisdiction with a 	
population of approximately seven million.	 The Plan applies to all pollutants, including 	
criteria, toxic, and GHG emissi	ons. It includes 55 control measures across stationary 	
sources, mobile sources, transportation, land	-use, and energy/climate sectors, many of 	
which are designed to address root causes of emissions, not just end	-of-pipe emissions. 	
Such measures include, for	 example	, GHG emissions incorpor	ated into air quality 	
permits; s	everal transportation control measures, such as zero emissions vehicles, plug	-	
in hybrid vehicles, improved transportation of commercial goods, public bus services, 
and integration of bicycling	; energy efficiency, renewable energy, and urban heat island 	
mitigation; and,	 indirect source review to set emissions standards for construction, 	
operations, and vehicle traffic related to land	-use and residential, commercial, and 	
industrial property 	development	. The Plan monetizes the benefits of control measures 	
in terms of public health, climate mitigation, and compliance costs, to produce a value 
for each ton of pollution reduced. 	In the Plan, a 1% reduction in pollutants is 	
estimated to provide US	D 158 million in health benefits from PM	2.5 	(diesel, wood 	
burning, secondary nitrates, and sulfates); USD 14 million in health benefits from 
reducing ozone; and USD 29 million in health benefits from reducing GHG	. 	
虽然不属于美国环保局的多污染物计划试点区，但加州湾区（旧金山及周边	城市	)	
已进入类似的	进程，于	2010	年	9	月	通过了美国第一个多污染物清洁空气综合计划。	
授权机构	湾区空气质量管理区（	BAAQMD	）委员会是监管机构，制定并实施加州旧金	
山湾区的空气质量计划。湾区有	7	个县，人口约	700	万。	该	计划适用于所有的污染物，	
包括	标准	污染物、有毒污染物和温室气体排放。它包括	55	项	固定污染源、流动污染源、	
运输、土地利用和能源	/气候行业的控制措施，其中很多措施旨在解决排放的根本原因，	
而不只是末端排放。这种措施包括将温室气体排放纳入空气质量许可证；多项运输控
制措施，比如零排放车辆、插电式混合动力车、改善商用物资的运输、	公交车服务以	
及鼓励骑自行车；能源效率、可再生能源及缓解城市热岛效应；以及审查间接污染源，
设定与土地利用以及居住地产、商业地产和工业地产开发有关的建设、运营和车辆通

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行排放标准。该计划对控制措施的效益按公众健康、气候缓解及合规成本进行货币计
算，得出每吨污染减少量的价值。	在该	计划	中	，污染物减少	1% 	估计会带来	1.58	亿美	
元因控制	PM	2.5	而产生	的健康效益（柴油、木材燃烧、次生硝酸盐和硫酸盐）；	1400	
万美元因减少臭氧而产生的健康效益；	29稀	万美元因减少温室气体而产生的健康效	
益。	 	
2.5.1.4	 Lessons 	and suggestions 	for China	对中国的启示	 	
There are several studies addressing air quality co	-benefits of GHG mitigation in China 	
and potential cost savings of a multi	-pollutant/co	-control approach (e.g., Amann et al 	
2008, Aunan et al 2006, 2007; Bollen et al 2012, 	UNDP 2010,Vennemo et al 2009	60). The 	
UNDP (2012) study finds that a	combined policy scenario for China in which GHG 	
mitigation measures, such as energy efficiency, cogeneration, and renewable 
electricity generation, are used to meet air quality objectives ma	y achieve these 	
objectives at an estimated 60% of the cost of using end	-of	-pipe air quality 	
measures exclusively, while also reducing CO	2 emissions by 9%	. An air quality 	
action plan that is designed to simultaneously achieve significant reductions in 
GHGs 	and contribute to meeting China’s own 40 to 45% carbon intensity 	
reduction target, can offer more benefits to the broader society, and may get 
support across government agencies and sectors	. Development of a 	multi	-pollutant 	
regulatory framework 	would	 provide certainty to businesses and industries, so that they 	
at the outset 	can optimize capital investments and improve operating processes to meet 	
current and future	 climate and air quality targets and standards	. Businesses can 	thereby 	
make investments w	ith long	-term planning horizons and avoid having to retrofit 	
emissions control equipment into constrained spaces	 (James and Schultz 2011)	. 	
中国有多项研究探讨了温室气体减排带来的空气质量协同效益以及多污染物	/协同	
控制方法的潜在成本节省量（例如	 Amann et al 2008, Aunan et al 2006, 2007; Bollen et 	
al 2012, UNDP	 2010,Vennemo et al 2009	）。联合国开发计划署（	UNDP	）（	2012	）研	
究发现，	在中国的联合政策情景中，采用能源效率、热电联产和可再生能源发电等温	
室气体减排措施来实现空气质量目标。这种联合政策情景可以以仅仅采用末端质量措
施约	60%	的成本实现这些目标，同时还减少	二氧化碳排放	90%	。一项旨在既极大减	
少温室气体，又有助于实现中国自己碳强度降低	40	-45%	的目标的空气质量行动，	可	
以	更多	更广泛	地造福社会	，并且可得到各政府部门和各行各业的支持。	制定一个多污	
染物监管框架	会给工商企业带来确定性，这样他	们在一开始就可以优化资本投资并改	
进运营流程，以达到当前和未来的气候与空气质量目标和标准。由此，企业可以从长
期规划视角进行投资，而不必将排放控制设备改装到受限空间（	James and Schultz 	
2011	）。	 	
 	 	 	
60 In addition, recently the US Lawrence Berkeley National Lab has also used the LEAP model, developed 
by the Stockholm Environmental Institute (SEI), to evaluate climate	-friendly air quality management 	
strategies, specifically analyzing optimized co	-control	 strategies for meeting China’s dual goals of reducing 	
carbon intensity and SO	2 emissions. This report is forthcoming.	 	
另外，美国劳伦斯伯克莱国家实验室最近还利用斯德哥尔摩环境研究所（	SEI	）开发的	LEAP	模型评价了	
气候友好型空气质量管理策略，特别分析了用于满足中国减少碳强度和二氧化硫排放双重目标的优化协
同控制策略。该报告即将问世。

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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Vista Analyse AS	 	220	 	
Amann et al (2008), using the GAINS model, 	demonstrate that low carbon strategies 	
result in lower emissions of SO	2, NO	x and PM at no additional costs. GAINS estimates that 	
each percent of 	CO2 reduction will typically reduce health impacts from fine particulate 	
air pollution by 1%	. By selecting a smart mix of measures to simultaneously cut air 	
pollution and greenhouse gas e	missions, China can almost halve air pollution 	
control costs as well as lower greenhouse gas emissions by 8%.	 The low carbon 	
measures that simultaneously cut air pollutants in the scenario are as follows:	 	
Amann 	等人（	2008	）利用	GAINS	模型论证了低碳战略可以在不增加成本的情况下	
减少二氧化氯、氧化	氮和颗粒物的排放。按	GAINS	模型估算，二氧化碳每减少	1%	，	
一般可使细颗粒物带来的健康影响降低	1%	。	通过选择一个聪明的同时减少空气污染和	
温室气体排放的措施组合，中国可以将空气污染成本削减近一半，并且可以将温室气
体排放减少	8%	。	设想情景中可以同时削减空气污染物的低碳措施如下：	 	
1)	 Reduced consumption of coal and oil, through 	通过以下方式减少煤和石油消耗	 	
a. energy efficiency improvements, e.g., 	提高能源效率，例如，	 	
i. increased combustion efficiencies, 	提高燃烧效率，	 	
ii. improved insulation, 	改进保温，	 	
iii.	 co	-generation of electricity and heat, etc.;	热电联产等；	 	
b. fuel substitution. 	燃料置换。	 	
2)	 Behavioural changes leading to lower demand for fossil fuels.	 	
可减少化石燃料需求的行为变化。	 	
3)	 Integrated gasification combined	 cycle (IGCC) plants	 	
整体煤气化联合循环（	IGCC	）厂。	 	
Figure 2.	18 illustrates the cost reductions that can be obtained from implementation of 	
the suggested package of measures.	 	
图	2.18	显示了通过实施所建议的一揽子措施可实现的成本降低。	 	
Figure 	2.18	 Costs for reducing health 	impacts of PM in China 2030 by 50%	 	
图	2.18 2030	年中国将	PM	健康影响	降低	 50%	的成本	 	
 	
温室气体措施：	 	
能源效率，家庭	 	
能源效率，工业	 	
热电联产	 	
节电，可再生能源	 	
空气污染控制：	 	
家庭，颗粒物控制	 	
大工厂，颗粒物控制	 	
大工厂，氧化氮控制	 	
大工厂，二氧化氯控制	 	
空
气
污
染
所
致
健
康
影
响
降
低
50%
的
成
本
 	
（2030
年
十
亿
欧
元
）
 	
GAINS 	优化	 	仅采用空气污染	 	末端措施	 	
相同的健康影响	 	GAINS 	优化	 	包括温室气体减排措施	 	末端措施	 0
5
10
15
20
25
30
35	
GAINS optimization with
air pollution end-of-pipe	
measures only	
Same health impacts,
GAINS optimization	
including greenhouse gas	
mitigation measures	Costs for reducing health impacts from air pollution by 50% 	
(bn € in 2030)	
GHG measures:
Energy efficiency, households
Energy efficiency, industry
Co-generation of heat and
power
Electricity savings, renewable
energy
Air pollution controls:
Households, PM control
Large Plants, PM controls
Large Plants, NOx controls 
Large Plants, SO2 controls

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	221	 	
Source: Amann et al (2008).	来源	：Amann 	等人	（	2008	） 	
Fei Liu et al (2013) 	identif	ied	 strong synergies between air q	uality and climate relevant 	
mea	sures that would allow improving cost	-efficiency of air pollution policies. In order to 	
help local policymakers to identify viable and efficient solutions, 	they	 developed a city	-	
scale emission model (GAINS	-City)based on the GAINS model. The GAINS	-City mode	l 	
relies on a	 technology	-based approach to evaluat	ing	 the co	-benefits of various policies. 	
This approach allows for	 estimation of emission reductions of several pollutants 	
(including SO	2,NO	X, PM) and 	CO	2for individual	 policies and support evaluation of co	-	
benefits. In addition, a reduction index, an integrated rank of the	 individual reductions 	
potential, was defined to recommend the priority of policies implementation. 	A case 	
study in Beijing demonstrate	d the model features. 	According to the authors, t	he	 	
ap	proach will have great potential to be applied in many large cities with local input 	
data and/or minor	 structure modifications.	 Based	 on the technology	-based evaluation 	
approach, policy packages were designed and implemented in policy	 scenarios. The 	
emissi	ons under three scenarios (Baseline, Air Quality, and Strict Air Quality) in 	the 	base 	
year	 (2005) and future years (2020 and 2030) were estimated. The results indicate	d a 	
significant reduction	 potential. 	In 2030, implementation of the Air Quality and Stric	t 	
Air Quality scenarios could result in reductions of 39	-48% of SO	2 emissions, 38	-	
42% of NO	X emissions, 37	-55% of PM	2.5 	emissions and 5	-22% of 	CO	2 emissions 	
respectively, compared with the Baseline scenario	. The resul	ts demonstrated that 	
air quality pol	icies and measures could also have 	CO	2 emissions 	reductions as a co	-	
benefit	. However, there i	s no signif	icant difference of reductions between the two policy 	
scenarios, which indicates the limited further	 reduction potential in the stricter air 	
quality cas	e. 	According to the authors, t	his calls for a wider	 application of cleaner 	
technol	ogies, such as 	integrated gasification combined cycle (	IGCC	) and 	carbon capture 	
and storage (	CCS	), and more aggressive air quality 	control 	measures by neighboring 	
provinces t	ocontrol regional air pollution.	 	
Fei Liu 	等人（	2013	）研究得出空气质量与气候变化相关政策之间有强烈的协同效	
应，这种协同有助于提高空气污染政策的成本效益。为了帮助地方政策制定者确定可
行有效的解决方案，他们根据	GAINS	模型开发了一个城市尺度的排放模型（	GAINS	-	
City	）。	GAINS	-City	模型利用以技术为本的方法来评价各种政策的协同效益。这种方法	
可以估算个别政策带来的几种污染物（包括二氧化硫、氮氧化物、颗粒物）和二氧化
碳的减排量，并且支持协同效益评估。另外，确	定了用减排指数、也就是个别减排潜	
力的综合排名来推荐政策实施的优先次序。北京的一项案例研究演示了该模型的特点。
据研究者分析，通过地方输入数据，或较小的结构修改，该方法具有在很多大城市应
用的巨大潜力。根据以技术为本的评价方法，在政策情景中设计并实施了一揽子政策。
估算了基年（	2005	年）和未来年度（	2020	和	2030	年）三种情景（基线、空气质量	
和严格空气质量）下的排放量。结果显示减排潜力巨大。	2030	年，空气质量和严格空	
气质量情景的实施可使得与基线情景相比二氧化硫减排	39	-48%	；氮氧化物减排	38	-	
42%	，	PM	2.5 	减排	37	-55% 	，二氧化碳减排	5-22%	。	结果证明了空气质量政策可以产	
生二氧化碳减排的协同效益。然而，这两种政策情景之间并没有显著的减排差异，表
明较严格的空气质量情况下进一步减排的潜力有限。据研究者分析，这需要周边省份
更广泛地采用清洁技术，比如整体煤气化联合循环（	IGCC	）和碳捕捉与封存（	CCS	）技	
术以及更加积极的空气质量控制措施，以控制区域空气污染。

Tackling envi	ronmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	222	 	
In summary, 	current studies show that in a country like China, where the 	economy 	
and industries are developing rapidly and large investments are geared towards 
curbing air pollution, it may prove costly to disregard the opportunity for co	-	
control of air pollutants and GHGs, as China likely will need to tighten its 	climate	 	
polic	ies in the near future	. As mentioned above, 	because China is at a relatively 	
early stage of building its environmental regulatory systems, it may in some ways 
be easier to establish co	-control mechanisms compared to countries where 	
different governmental i	nstitutions have long	-term regulatory systems and 	
practices	. Based on international experience, James and Schultz (2011) conclude	d that 	
the most important lessons for China are as follows: 	 	
总之，	当前的研究表明，在一个像中国这样的国家，经济和各产业快速发展，巨	
额投资用于遏制空气污染，如果不抓住协同控制空气污染物和温室气体	的机遇，代价	
会很大，因为在不久的将来中国可能需要收紧气候政策。	²:pF 	È+a¾]
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- Lu 4ÿ P¼ È	James 	和	Schultz 	
（	2011	）认为对中国最重要的启示如下	: 	
Institutional	: Although it is important for air and utility regulators to coordinate their 	
respective long	-term plans, even more critical is 	the need for air regulators to 	
develop power sector expertise that goes beyond their traditional knowledge of 
boiler design and op	eration.	 As utility regulators discuss the next steps in power 	
sector structure and topics such as regional transmission plans, the participation of air 
regulators in these exercises will 	show	 how 	closely	 linked environmental and energy 	
policies are	. It wi	ll show, for example, 	to what extent	 energy policies such as renewable 	
portfolio standards and energy efficiency resource standards are also environmental 
policies, and will help air regulators consider a variety of policy measures that could be 
more cost	-effective than solely relying on end	-of-pipe technologies to reduce emissions. 	
Government institutions should be designed to create stronger and more effective 
regimes for clean air and low carbon growth.	 	
机构方面：	虽然空气监管部门和公用事业监管部门协调各自的长期计划很重要	, 但	
更加关键的是	空气监管部门	有必	要培养超出其锅炉设计与操作传统知识的电力行业专	
业知识。	当公用事业监管部门讨论电力行业结构方面的下一步行动以及区域输电计划	
之类的话题时，空气监管部门参与讨论这些专业知识会说明环境政策与能源政策之间
联系得多么紧密。还会说明可再生能源配额标准以及能效资源标准等能源政策要到什
么程度也是环境政策，并且会帮助空气监管部门考虑比仅仅采用末端技术更经济划算
的种种政策措施来减排。	政府机构	的目的应当是	为清洁空气和低碳增长建立更强大更	
有效的体制。	 	
Policy	: The most effective policies are 	those that affect the root causes of emissions 	
rather than deal with them solely through control efforts at the smokestack	. 	
Affecting the root causes of emissions pushes the point of regulation farther upstream 
away from the smokestack, to 	influence how en	ergy is made and how it is consumed.	 	
Incorporating energy efficiency, renewables, and less polluting coal	-fired 	
generation technologies into air regulatory practices is a good starting point	. 	
Equally important, 	the price of coal and coal based electricity 	should increase to 	
reflect its pollution and to let the polluter pay	. Innovative financing instruments have

Tackling environmental risks with environmental planning: international experiences	 	
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Vista Analys	is AS	 	223	 	
been developed, such as the “recycling” of pollution permit revenues into energy 
efficiency and renewable energy programs. 	These can be combined wit	h higher prices 	
on polluting energy. 	There are all kinds of policy solutions across an array of sectors that 	
demonstrate reducing local air pollution and global climate change emissions can be 
done simultaneously and cost	-effectively. 	 	
政策	方面	：	最有效的政策	是那些触动排放的根	本原因而不是仅仅通过烟囱上的控	
制工作来处理排放的政策。触动排放的根本原因把监管点推向离烟囱更远的上游领域，
去影响能源的制造和消耗。把能源效率、可再生能源和污染较小的燃煤发电技术融入
到空气监管实践中是一个好的起点。	
<gGý?±,´_È	Ä�Q'”&Ý'l	ú'”&ÝŒ'ó	
É,´+e,´'l	, 以反映其污染，并且让污染者付费	。开发了创新的融资工具，比如污染	
许可证收入“再循环”到能源效率和可再生能源计划里。这些融资工具可以和污染性
能源提价相结合。各行各业有各种各样的政策解决方案。这些解决方案表明，减少局
地空气污染排放和减少全球气候变化	排放可以经济划算地同步进行。	 	
Technical	: More recently, the 	US	 and Europe have adopted integrated multi	-pollutant 	
approaches that address pollutants that the authorities want to control now and expect 
to control in the future. Such programs target, for example, particulate matter (PM), NO	X, 	
SO	2, mercury, and, increas	ingly, CO	2. By setting goals for a broad range of pollutants, 	
these approaches encourage industry to develop long	-term financial and 	
environmental plans to optimize investment in and configuration of pollution 
control equipment	. This is a primary objective	 of multi	-pollutant strategies. 	Such an 	
approach offers better planning, greater certainty, lower costs, and more 
environmental benefits per dollar invested	. Such 	an 	approach also require	s technical 	
knowledge about how reductions of one pollutant will affe	ct other pollutants, both from 	
the perspective of government planning and that of enterprises.	 	
技术方面	：最近，美国和欧洲采用了针对有关部门目前想控制而且将来期望控制	
的污染物的一体化多污染物方法。这种计划要控制的对象是颗粒物（	PM	）、氧化氮、	
二氧化硫、汞等，而且越来越多地指向二氧化碳。	通过设定多种污染物的目标	, 这些方	
法鼓励企业制定长期的财务计划和环境计划，优化污染治理设备的投资和配置。	这是	
多污染物战略的主要目标。	这种方法	带来的好处是：更好的规划，更大的确定性，更	
低的成本，更大的环境效益。	这种方法还需要政府规划者和企业掌握关于一种污染物	
减少对其他污染物有何影响的相关技术知识。

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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2.5.2	 Summaries of case studies from Phase I	 	
一期案例研究总结	 	
Below are some short summaries of air pollution case studies from Phase I of the 
project. See Econ Poyry et.al. (2011) and 	Econ Poyry (2010) for a more detailed 	
overview of the various cases.	 	
下面是本项目一期空气污染案例研究的一些简	要	总结。各种案例较详细的综述见	
Econ Poyry 	等人（	2011	）和	 Econ Poyry 	（	2010	）。	 	
Box 	2.9 US Clean Air Act (CAA)	 	
框	2.9	美国《清洁空气法》（	CAA	）	 	
Phase I of the project provided experiences from the CAA 	in 	the US	 and 	below we	 	
summarize the main points. 	 	
本项目一期提供了来自美国《清洁空气法》的经验，下面我们总结要点。	 	
The main legal instrument to implement air pollution policies in the US is the CAA. The 
purpose of the Clean Air Act is to establish, implement and maintain standards for the 
nation’s air quality. It requires the	 Environmental Protection Agency	 (EPA) to develop 	
and enforce	 regulations	 to protect the public from	 airborne contaminants	 known to be 	
hazardous to human health. The U	S Congress established much of the basic structure of 	
the Clean Air Act in 1970, and made major revisions in 1977 and 1990. The revisions 
were 	designed to improve effectiveness and tackle new problems like acid rain and the 	
depletion of the ozone layer. Th	e following tools have been applied: 	 	
美国实施空气污染政策的主要法律文件是《清洁空气法》。《清洁空气法》的宗	
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pÄ	EPA	）制定并执行法	
规，以保护公众，使其免受已知对人类健康有害的空气中悬浮污染物的危害。美国国
会于	1970	年建立了《清洁空气法》的大部分基本结构，并于	1977	年和	1990	年进行	
了两次重大修正。修正案旨在提高有效性，并处理像酸雨和臭氧层变薄这样的新问
题。利用了以下手段：	 	
Setting standards	. In order to reduce pollution from both stationary (industry) and 	
mobile sources, the 	EPA has set air quality standards for six common "	criteria 	
pollutants	": 	particulate matter (PM), ozone, sulfur dioxide, nitrogen dioxide, carbon 	
monoxide and lead. 	 	
设置标准	。为了减少来自固定污染源（工业）和流动污染源的污染，美国环保局	
设置了六种常见“标准污染物”的空气质量标准：颗粒物（	PM	）、臭氧、二氧化硫、	
二氧化氮、一氧化碳和铅。

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Figure 	2.19	 Comparison of growth areas and emissions. 	 	
图	2.19 	增长领域和排放量对比	 	
 	
Source: 	www.epa.gov/caa/air	来源：	 	
As we can see from 	Figure 2.	19	, the Clean Air Act has been largely successful in reducing 	
air pollution. In the period since the law was passed (1970	-2012), the emissions of the 6 	
common pollutants has been reduced by 72 percent. In the same period GDP has 
increased by 219 percent and 	energy consumption has increased by 47 percent. Thus, we 	
can see the same pattern in growth in 	GCP	/capita and emissions reductions as in Norway.	 	
从图	2.19	我们可以看出，《清洁空气法》在很大程度上成功地减少了空气污染。	
在这部法律获得通过以来的时期（	1970	-2012	年），	6	种常见污染物的排放减少了	
72%	。同期，	GDP	增长了	219%	，能源消耗量增长了	47%	。因此，我	们可以看出与挪	
威相同的人均	GCP	增长	和减排模式。	 	
Evaluating impacts.	 The EPA has to carry out a cost	-benefit analysis of the CAA 	
program. This goes to show that 	CBA	 is not only valid for engineering projects, but also 	
for policies/regulations/laws. The 	CBA	 takes into account impact on the public health, 	
economy and environment. The EPA also does an Economic Impact Analysis that focuses 
on the size and distribution of economic impacts among specific groups in society.	 	
评价影响	。美国环保局进行了《清洁空气法》计划的成本效益分析。这说明成本	
x,ú6À	Ä	CBA	）不仅对工程项目有效，而且对政策	/法规	/法律也有效。	CBA	将	对公	
众健康、经济和环境的影响纳入考虑。美国环保局还进行经济影响分析，主要分析经
济影响的规模已经在社会特定群体中的分布情况。	 	
国内生产总值	 	
车辆行驶里程	 	
人口	 	
能源消耗量	 	
二氧化碳排放量	 	
总排放量	 	
（六种常见污染物）

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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The 	CBA 	follows what we can call the traditional impact pathway approach, i.e. changes 	
in emissions from the different sectors are derived from scenarios, and ai	r quality 	
mode	lling is used to estimate the population exposure and health effects, which are then 	
subject to economic valuation. 	The first stages of the cost	-benefit analysis develop 	
projections of what would happen with action versus non	-actions. The ne	xt stages deal 	
with estimating physical and economic impacts of policies and measures. Finally, the 
benefits and costs are compared.	 	
《清洁空气法》的成本效益分析采用传统影响路径方法，也就是由设想情景得出	
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Clean air act and climate change.	 In the absence of federal legislation, much of the 	
federal activity on climate change is taking place under the existing authority of the 
CAA.	 The EPA is using its CAA authority to regulate mobile sources as well as major new 	
or modified stationary source	s of GHGs. 	 	
清洁空气法与气候变化	。在缺乏联邦立法时，联邦政府在气候方面的活动大多根	
据《清洁空气法》授予的职权开展。美国环保局利用《清洁空气法》授予的职权对温
室气体的流动源以及新的或者经过改造的主要固定源进行监管。	 	
There is a growing amount of research on the topic of the CAA and emissions of GHG. 
According to the EPA they are taking a common	-sense approa	ch to developing standards 	
for greenhouse gas emissions from mobile and stationary sources under the Clean Air 
Act. Including efforts to cut GHG emissions and fuel use from new cars, ensure that a 
minimum of transportation fuel sold in the US is renewable,	 reduce carbon pollution 	
from power plants amongst other things. 	 	
关于《清洁空气法》和温室气体排放话题的研究越来越多。据美国环保局表示，	
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Box 	2.10	 The European Unions’ National Emission Ceilings (NEC) Directive 	 	
框	2.10	 欧盟的《国家排放上限（	NEC	）指令》	 	
Phase I of the project provided experiences 	from the EUs NEC Directive and below we 	
summarize the main points. 	 	
本项目一期提供了来自欧盟《国家排放上限指令》的经验，下面我们总结要点。	 	
Since air pollution travels across borders, there is a need for EU policy to limit individual 
sources but also national totals of atmospheric emissions. The NEC Directive, adopted in 
2001, sets a ceiling for total emissions from each member state by 2010 a	nd 2020 for

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the four air pollutants sulfur dioxide (SO2), nitrogen oxides (NOx), volatile organic 
compounds (VOCs) and ammonia (NH3). The directive to a large degree leaves it to the 
nations to decide how to cut their emissions. The aim of the NEC is prote	ction of human 	
health and environment through stepwise reduction of the four pollutants. 	 	
由于空气污染会跨越边境，因此欧盟政策有必要在限制个别污染源的同时还要限	
fW"DÂn,´
-ækGÿÄ	2001	年通过的《国家排放上限指令》设置了每个成员国到	
2010	年和	2020	年二氧化硫（	SO2	）、氮氧化物（	NOx	）、挥发性有机化合物（	VOC	）	
和氨（	NH3	）四种空气污染物的排放总量上限。该指令在很大程度上让成员国来决定	
如何减排。《国家排放上	限》的目的是通过逐步减少四种污染物来保护人类健康和环	
境。	 	
The EU is acting at many levels to reduce air pollution: through EU 	Directives	, through 	
work at the international level to reduce cross	-border pollution (e.g., through 	protocols 	
like 	the 	Convention on Long	-Range Transboundary 	Air Pollution (	CRLTAP	) protocol	), 	
through co	-operation with sectors responsible for pollution, through national and 	
regional authorities, through NGOs, and through research. 	The NEC is overlapping with 	
the 	CLRTAP	, but involves stronger legal responsibiliti	es. 	 	
欧盟正在从很多层面上采取行动来减少空气污染：通过欧盟指令、通过国际层面	
ÿAD³"‘,´ŒÄ²FJE÷É	FD
/ë	D	³	0ª"D	"‘œ4Ö	ÊÄ	CRL	TAP	）协议）、通过	
与污染责任行业的合作、通过国家和区域有关部门、通过非政府组织和通过研究。
《国家排放上限》与《	远距离	跨	境	空气	污染公约	》有重叠部分，但它规定的法律责任	
较强。	 	
The GAINS computer model 	was used in the process of developing the emission ceilings 	
in the NEC Dir	ective. Experts from member states, as well as from other stakeholders 	
(including industry and environmental NGOs) were consulted in the process.	The 	GAINS 	
model includes indicators that are used to calculate emissions and environmental risks. 
It also inclu	des cost data for abatement options in each country. The model calculates 	
the least	-cost solutions based on the indicators and data. The bottom	-up estimates have 	
been subject to scientific debate and political negotiations, until agreement is reached 
about	 emissions ceilings. It is a cost effective approach and an alternative to using cost 	
benefit analysis. This is because of uncertainties in the relationship between deposition 
and effects. 	 	
在制定《国家排放上限指令》排放上限的过程中，采用了	GAINS	计算机模型。在	
此过程中咨询了来自成员国以及其他利益相关方（包括工业和环境非政府组织）的专
家。	GAINS	模型包括用来计算排放量和环境风险的指标，还包括每个国家减排方案的	
成本数据。该模型根据指标和数据计算成本最少的解决方案。自下而上的估算经过了
科学辩论和政治协商，直到排放上限达成一致。这是一种成本效益方法，并且是成本
效益分析法的一个替代方法。这是因为沉降与影响之间的关系具有不确定性。	 	
Member states shall each year report their national emission inv	entories and their 	
emission projections.	 	
成员国应每年报告其国家排放清单和排放预测。

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Figure 	2.20 	Progress of the EU	-27 in meeting the emission ceilings defined in 	
NECD Annexes I and II	 	
图	2.20 	欧盟	27	国满足《国家排放上限指令》附录	I和	II	中规定的排放上限的进展情	
况	 	
 	
Source: 	EEA	 (2013)	来源：	EEA	（2013	）	 	
Figure 2.	20 shows that the member countries have been able to cut their emissions and 	
stay under the ceiling, except for NOx emissions that are not meeting the stricter Annex 
II requirements. 	The majority of the EU Member States report considerable emission 	
reducti	ons of the four NECD 	pollutants since 1990.	 	
图	2.20 	表明，成员国减少了排放，并且排放量在规定的上限以下，除了氮氧化物	
（	NOx	）排放量未满足附录	II	较严格的要求之外。大多数欧盟成员国报告，自	1990	
年以来《国家排放上限指令》规定的四种污染物的排放量大幅减少。	 	
 
Box 2.	11	 European experiences 	- UNECE CLRTAP and air pollution legislation in 	
the EU	 	
框	2.11	 欧洲经验：联合国欧洲经	济委员会	《	远距离	跨	境	空气	污染公约	》（	CLRTAP	）	
和欧盟的空气污染立法	 	
排放（	Gg	）	 	
2010	年最终排放数据	 	
2011	年暂定排放数据	 	
2010	年排放上限（附录	I）	 	
2010	年排放上限（附录	II）

Tackling environmental risks with environmental planning: international experiences	 	
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Phase I of the project provided experiences 	from 	European air pollution control, 	
including UNECE CLRTAP and air pollution legislation in the EU,	 and below we 	
summarize the main points.	 	
本项目一期提供了来自欧洲空气污染治理的经验，包括联合国欧洲经济委员会	
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Air pollution was considered a local problem in Europe for a long time, but the 
realization that it was a regional concern lead to the establishment of the The 	United 	
Nations Economic Comm	ission for Europe (UNECE) 	Convention on Long	-Range 	
Transboundary Air Pollution (CLRTAP).The aims of the CLRTAP is to set a limit and 
gradually reduce and prevent air pollution, including long range transboundary air 
pollution, 	through scientific collaborat	ion and policy negotiation.	 The Convention 	
entered into force in 1983. It currently has 51 parties including most European 
countries, USA, Canada, and the Central Asian countries Kazakhstan and Kyrgyzstan. 
Parties develop policies and strategies to combat 	the discharge of air pollutants through 	
exchanges of information, consultation, research and monitoring.	 	
空气污染长期以来被认为是欧洲的局地问题，但认识到它是一个区域问题之后，	
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ˆJÄ	UNECE	） 《 远 距 离 跨 境 空 气 污 染 公 约 》	
（	CLRTAP	）。	CLRTAP	的目的是设置一个限值，并通过科学合作与政策协商逐渐减少	
并防止空气污染，包括远距离跨境空气污染。《公约》于	1983	年开始生效，目前有	
51	个缔约国，包括多数欧洲国家、美国、加拿大和中亚国家哈萨克斯坦和吉尔吉斯斯	
坦。缔约国制定政策和策略，通过信息交换、协商、研究和监测治理空气污染物的排
放。	 	
The Gothenburg Protocol (of the CLRTAP) sets emission ceilings for 2010 for four 
pollutants: sulphur, NOx, VOCs and ammonia.These ceilings were negotiated on the basis 
of scientifi	c assessments of pollution impacts and abatement options and costs. Thus, a 	
bottom	-up assessment was the starting point for negotiating targets, in which both 	
emissions, the pollution load, the sensitivity of ecosystems, and the abatement costs in 
each cou	ntry were taken into consideration. 	 	
（	CLRTAP	的）《哥德堡协议》设置了四种污染物	2010	年的排放上限：硫、氮氧	
化物、挥发性有机化合物和氨。这些上限是在科学评估污染影响及减排方案和成本的
基础上议定的。因此，自下而上的评估是谈判目标的起点，在评估过程中考虑了每个
国家的排放量、污染量、生态系统的敏感性和减排成本。	 	
The 	RAINS (and it successor GAINS)	 model has been the main tool in the 	CRLTAP 	
assessments and the concept of Critical Loads and Critical Levels were the main effect 
indicators. Basically, 	RAINS/GAINS	 assists in estimating national emissions, their 	
dispersion including chemical reactions, and the harm they cause to the environment 
an	d human health. The model includes cost data for abatement options at a country 	
level. More about the 	RAINS/GAINS	 model can be found in Econ Poyry (2010).	 	
RAINS	（及其后续	GAINS	）模型是	CRLTAP	评估中的主要工具，“临界负荷与临界	
水平”概念是主要的效应指标。	RAINS/GAINS	模型主要用于帮助估算国家的污染物排	
放量、污染物扩散，污染物化学反应，	及其对环境和人类健康造成的危害。该模型包

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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括国家层面减排方案的成本数据。更多关于	RAINS/GAINS	模型的信息可在	Econ Poyry	
（	2010	)里	找到。	 	
However, the convention is only part of the picture. 	The EU is acting at many levels to 	
reduce exposure to pollution: through EU legislation (the Directives), through work at 
the	 international level to reduce cross	-border pollution (e.g., through the CRLTAP 	
protocols), through co	-operation with sectors responsible for pollution, through 	
national, regional authorities and NGOs, and through research.	 	
然而，该公约只是事实的一个方面。欧盟正在从很多层面上采取行动来降	低污染	
NþL™ÖFJE÷!W-0û#Ä!W-7ÅÃFJE÷
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D	³	0ª"D	"‘œ4Ö	ÊÄ	CLRTAP	）协议）、通过与污染责任行业的合作、通过国家和区	
域有关部门和非政府组织以及通过研究。	 	
Air pollution policies and instruments in Europe target air pollution by means of three 
main approaches: 	 	
欧洲空气污染政策和文件用三种主要方法规定空气污染指标：	 	
1)	 Total emission control (via CLRTAP for all of Europe and the NEC (National 
Emissions Ceiling) Directive for EU member countries); 	排放总量控制（对整个欧洲	
用	CLRTAP	来控制，对欧盟成员国用《	NEC	（国家排放上限）指令》来控制）	 	
2)	 Emission control and standards for specific sources, including industry and 	vehicles 	
(via EU Directives related to point sources and vehicles); and 	特定污染源的排放控制	
和标准，包括工业和车辆（对点源和车辆用欧盟指令）；和	 	
3)	 Air quality standards and targets (via the EU Air Quality Directives).	空气指令标准与	
目标（用《欧盟空气质量指令》）。	 	
The member countries’ governments are responsible for	 implementing the EU 	
Directives, monitoring of environmental quality and health surveillance. In addition to 
the national environmental agencies, research institutions etc. involved in these 
activities, the European Environment Agency (EEA) of the European	 Union and other 	
environmental bodies funded by EU are also involved.	 	
成员国政府负责实施欧盟指令、监测环境质量和监护健康。除了国家环境部门、	
.D0¦j´1y	ò>F	Ë#kØ{FÈ!W-,´!W#b)ß³5¢Ä	EEA	）和欧盟投资的其他环境机构	
也参与这些活动。	 	
The Air Quality Directive sets targets and time	-tables for the air quality objectives. 	
Regarding limit 	values for ambient air pollution concentrations, EU’s Air Quality 	
Directive sets limit values that are 1) long	-term objectives equivalent to the World 	
Health Organisation’s guidelines, and 2) interim target values which are established in 
accordance with t	he targets and time tables of the National Emissions Ceiling Directive. 	
The emission ceilings in the NEC Directive as well as in the 	CRLTAP 	Protocol are 	
negotiated using results from the RAINS/GAINS model mentioned above.

Tackling environmental risks with environmental planning: international experiences	 	
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《空气质量指令》设定目标和空气质量目标的时间表。关于环境空气污染浓	度的	
L€fÈ!W-,´É0ª"DCXGÿ7ÊAîÊ,´L€l_Ö	1）相当于世界卫生组织导则的长期目	
标，	2）根据《国家排放上限指令》的目标和时间表确立的暂定目标值。《国家排放上	
限质量》以及《	CRL	TAP	协议》中的排放上限是利用上述	RAINS/GAINS	模型得出的结	
果议定的。	 	
The Air Quality Directive also set so	-called ‘information thresholds’ and ‘alert 	
�–�Š�”�‡�•�Š�‘�Ž�†�•ï� �ˆ�‘�”� 	In case these thresholds are exceeded the Directive 	
requires Member States' authorities to, respectively, disseminate information to the 
public on the risks of exposure and to take urgent short	-term action to reduce exposure. 	
Notwithstanding the time	-table	s set, the Directive opens up of postponing the deadline 	
for complying for zones and agglomerations where conditions are particularly difficult. 
Any postponement for a given zone or agglomeration should be accompanied by a 
comprehensive plan to be assesse	d by the Commission to ensure compliance by the 	
revised deadline.	 	
《空气质量指令》还为有些成分设置了所谓的‘信息阈值’和‘警示阈值’。超	
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A range of m	odels and tools, including GAINS,	 are currently used for analyzing air 	
pollution policies in the EU. Models are used to simulate the future evolution of 
emission	-generating activities as a function of economic development, to estimate the 	
resulting emissio	ns, and to assess the physical and economic impacts and benefits of 	
emission control measures on a wide range of environmental and health endpoints.	 	
欧盟目前采用一系列包括	GAINS	在内的模型和工具来分析空气污染政策。模型被	
用来模拟产生排放活动的未来演进对经济发展的作用，估算所产生的排放量，评价物
质影响和经济影响以及各种排放控制措施在不同环境端点和健康端点上的效	益。	 	
The Impact Pathway Approach (also denoted damage function approach) is a general 
term for a bottom	-up quantitative method used to quantify the marginal external costs 	
of air pollution.The Clean Air for Europe (CAFE) programme provides an example of 
how 	the impact pathway approach has been applied to support air quality policies in the 	
EU.	 
影响途径分析法（又称损害函数法）是自下而上量化方法的一个通用术语，用来	
Gÿ	F0ª"D"‘,´FGEéLu@\Ä!W#b$5#10ª"DÄ	CAFE	）计划提供了一个例子，说明了	
影响途径分析法在欧盟是如何被用来支持空气质量政策的。	 	
The single most important model tool applied in development of 	European air pollution 	
policies is the RAINS model and its successor the GAINS model (Greenhouse Gas and Air 
Pollution Interactions and Synergies). Environmental Impact Assessment (EIA) and 
Strategic Environmental Assessment (SEA) are also used in Europe b	oth enforced 	
through their respective directives, in order to evaluate projects, plans and programs.	 In 	
addition to the systems and requirements for EIA and SEA, the European Commission’s

Tackling envi	ronmental risks with environmental planning: international experiences	 	
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Impact Assessment (IA) system was introduced in 2003, integrating al	l sector 	
assessments of direct and indirect impacts of proposed measures into one global 
instrument. 	 	
在制定欧洲空气污染政策过程中采用的最重要的工具是	RAINS	模型及改进后的	
GAINS 	模型（温室气体和空气污染相互作用与协同效应）。环境影响评价（	EIA	）和战	
略环境评价（	SEA	）也通过各自的指令在欧洲强制执行，以评价项目、规划和计划。除	
了	EIA	和	SEA	系统和要求之外，	2003	年还引入了欧盟委员会的影响评价（	IA	）系	
统，将所有对建议措施的直接和间接影响的部门评价全部纳入一个全球文件里。	 	
Figure 2.	21 Historical development of SO	2 emissions in Europe (Unit: Tg SO	2)图	
2.21 	欧洲二氧化硫排放历史发展（单位：	Tg 	SO	2）	 	
 	
 Source: Econ Poyry (2010)	来源：	Econ Poyry 	（2010	）	 	
Figure 2.	21 shows that SO	2 emissions in Europe have fallen 	sharply since 1990. (The 	
same pattern is illustrated for Norway in chapter 1). The reduced emissions of air 
pollutants is a result of the combined merits of international treaties on air pollution 
(e.g. the multi	-component Gothenburg Protocol under the ECE	 Convention on Long	-	
range Transboundary Air Pollution, CLRTAP), EU legislation (e.g. the Framework 
Directive on Air Quality and the national emission ceilings (NECs) Directive, emission 
limits and fuel quality standards, national implementation schemes for	 complying with 	
EU and international treaties, and a range of local measures, e.g. in CAFE context, 
addressing pollution peaks and permanent hot	-spots.	 	
图	2.21	表明自	1990	年以来欧洲的二氧化硫排放急剧下降。（第	1	章显示了挪威	
的同样模式）。空气污染物排放减少是国际空气污染条约（例如欧洲经济委员会《远

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analys	is AS	 	233	 	
距离跨境空气污染公约》（	CLRTAP	）下的多组分《哥德堡协	议》）、欧盟立法（例如	
《空气质量框架指令》和国家排放上限（	NEC	）指令、排放限值和燃料质量标准、为	
了遵守欧盟和国际条约的国家实施计划）和一系列地方措施（例如在	CAFE	背景下，	
解决污染高峰和永久热点问题）联合作用的结果。	 	
The CLRTAP Protocols include statements about policy, e.g. they call for using emission 
standards, promoting energy efficiency measures and renewa	ble energy, and typically 	
recommend the use of BAT (Best Available Technology). 	 	
CLRTAP	协议包括政策声明，例如他们呼吁采用排放标准、推广节能措施和可再	
生能源，并且通常建议采用	BAT	（最佳可行技术）。	 	
In case of 	non	-compliance	 with EU law, e.g. breach of an EU Directive, the European 	
Commission may initially sen	d final written warnings to the member country not 	
complying. Unsatisfactory responses to these warnings could lead the Commission to 
use its power to ask the European Court of Justice to impose fines on the country.	 	
若	不遵守	欧盟法律，例如违反某项欧盟指令，欧盟委员会可向违规成员国发出最	
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Box 	2.12	 How Air Quality Guidelines and Standards are set	 	
框	2.12	 空气质量准则值和标准是如何制定的	 	
In 2006, The World Health Organisation (WHO) released a set of guidelines that would 
“address all regions of the world and provide uniform targets for air quality.” Known as 
the Air Quality Guidelines (AQG), these suggested limits served to direct national	 	
policymakers to create acceptable air quality standards. To aid in the attainment of the 
WHO AQG, WHO also created the WHO	-Interim Targets (WHO	-IT 1, WHO	-IT 2, and 	
WHO	-IT 3) to provide flexibility for developing countries to move towards more 	
stringent st	andards at their own 	place	. 	
2006	年，世界卫生组织（	WHO	）发布了一系列“针对世界所有地区并提供统一空	
气质量标准”的准则值。这些建议限值又称为空气质量准则值（	AQG	），用来指导国	
家政策制定者制定可接受的空气质量标准。为了帮助达到世界卫生组织的	AOG	，世界	
卫生组织还制定了	WHO	-过渡时期目标值（	(WHO	-IT 1	、	WHO	-IT 2	和	WHO	-IT 3	)，使	
发展中国家可以灵活地以自己的步伐迈向较严格的标准。	 	
Based on the WHO guidelines and inter	im targets, individual governments develop their 	
own standards. These are usually created in collaboration of the international 
organizations, scientific communities and government authorities taking into 
consideration the country’s current pollutant level	s, meteorological and topographical 	
conditions, technological and managerial capabilities, and their people’s socio	-economic 	
status. 	 	
各国政府根据世界卫生组织准则值和过渡时期目标值制定自己的标准。这些标准

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Standards vary between regions, but the main pollutants (also called criteria air 
pollutants) are generally the same (Particulate Matter: 	PM	10 and 	PM	2.5	; oxides of 	
Nitrogen (NOx); oxides of Sulfur (SOx); ozone (O3), carbon monoxide (CO), and lead 
(Pb). The	se pollutants have significant effects on health and environment as determined 	
by the extent of distribution and the length of exposure. 	 	
空气质量标准因地区而异，但主要污染物一般是相同的（颗粒物：	PM	10	和	
PM	2.5	； 氮氧 化 物（	NOx	） ； 硫氧 化 物（	SOx	）	; 	臭氧（	O3	） 、一氧 化 碳（	CO	）和铅	
（	Pb	）。这些污染物对健康和环境有重大影响，由分布范围和暴露时间决定。	 	
Guid	elines and standards are defined in terms of concentration and averaging time. The 	
basis for the WHO Guidelines are relative risk estimates from epidemiological, clinical 
and toxicological studies, i.e. knowledge about how the frequency of various effects 
increases in a population, subpopulation or in a laboratory setting, as pollution exposure 
increases. For some pollutants, relative risk estimates and corresponding guidelines and 
standards are established for both short	-term exposures (e.g., hourly or dai	ly) and long	-	
term exposures (e.g. annual or longer). The short	-term standards are designed to 	
protect against acute, or short	-term, health effects, while the long	-term standards are 	
established to protect against chronic health effects. Most countries in A	sia base their 	
standards on the WHO AQG (WHO, 2005), United States Environment Protection Agency 
(US EPA) National Ambient Air Quality Standards (NAAQS) (US EPA Website, 2010), and 
the European Union (EU) Air Quality Standards (AQS) (see 
http://ec.europa.e	u/environment/air/quality/standards.htm ).	 	
准则值和标准以浓度和平均时间来规定。	WHO	准则值的依据是来自流行病学、临	
床和毒理学研究的相对风险估计值，也就是对以下问题的了解：随着污染暴露的增
加，各种影响的频率在人口、分组人口或在实验室环境中是如何增大的。对于有些污
染物，制定短期暴露（例如每小时或每天）和长期暴露（例如每年或更长时间）的相
对风险估计值和相应的准则值与标准。	短期标准旨在防范	突发性	或短期健康影响，而	
长期标准则旨在防范慢性健康影响。	亚洲	多 数 国 家 的 标 准 以 世 界 卫 生 组 织	AQG 	
（	WHO, 2005	）、美国环保局（	US EPA	）《国家环境空气质量标准》（	NAAQS	）（	US 	
EPA 	网站，	2010	）和欧盟（	EU	） 《 空 气 质 量 标 准 》 （	AQS)	（见	 	
http://ec.europa.eu/environment/air/quality/standards.htm 	）为基础。	 	
Air quality standards may distinguish between protection of different types of 
recipients. 	For instance, the US EPA NAAQS established two types of air quality 	
standards. The Primary standards set limits to protect public health, including the health 
of sensitive populations such as asthmatics, children, and the elderly. The Secondary 
standards s	et limits to protect public welfare, including protection against decreased 	
visibility, damage to animals, crops, vegetation, and buildings. 	 	
不同的空气质量标准可以保护不同类型的受体。例如，美国环保局	NAAQS	（《国	
家环境空气质量标准》）制定了两类空气质量标准。初级标准设定了保护公众健康的
限值，包括气喘患者、儿童和老年人等敏感人群的健康。次级标准设定了保护公共福
利的限	值，包括防止能见度下降，防止动物、农作物、植被和建筑物受到损害。	 	
http://cleanairinitiative.org/portal/airqualitystandards

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Box 2.	13	 Haze and air pollution 	– wu mai	 	
框	2.13	 霾与空气污染	——	雾霾	 	
In China, the level of 	particulate air pollution has been exceptionally high during winter 	
episodes in recent years. As a consequence there has been an increasing attention to the 
phenomenon and the term wu mai	霧霾	is now frequently seen as the term for air 	
pollution causing low vi	sibility in China. The term is composed of two characters:	 	
在中国，近年来冬季期间的微粒空气污染水平异常高。因此，这种现象越来越受	
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wu 	霧	: fog, mist	 	
mai 	霾	: haze, dust in the air, covered by dust, buried	 	
雾：尘雾，薄雾	 	
霾：阴霾，空气中的灰尘，“被灰尘覆盖”，“埋”	 	
Wu mai is not found in common dictionaries and encyclopedias (it was, however, used 
as a scientific term for ‘haze’ in a technical dictionary from 1985). The two characters re	-	
enter the Chinese discourse in 2004, but is not yet a stable term for particulat	e air 	
pollution. Wu mai appeared as a term for ’smog’ or ‘haze’ in 2006, more frequent from 
2010, and became very frequent in 2013 (Svarverud, 2014, pers.comm.). Although 
photochemical oxidants may contribute to the phenomenon, the main constituents of wu 
mai are primary and secondary 	PM	2.5. 	
“雾霾”在普通字典和百科全书里找不到（但在一本	1985	版的技术字典里，它被	
用作‘霾’的科学术语。）	2004	年这两个字重新进入中国话，但还不是微粒空气污染	
的固定术语。	2006	年，“雾霾”作为‘雾’或‘霾’的术语出现，从	2006	年开始出	
现得比较频繁，	2013	年变得非常频繁（	Svarverud, 2014, pers.comm	）。虽然光化学氧	
化剂可能是雾霾现象的促因，但雾霾的主要成分是原生和次生	PM	2.5。

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3 	Part 3: Examples of balancing the economic development 
and	environmental protection	第�部分	：平衡	经济发展与环境保护的例子	 	
In this chapter we present examples of 	site	s, areas and countries that successfully have 	
applied some of the policies and 	principles outlines in Part 1 and 2. T	his covers the risk 	
management tool Apell, how environmental, health and safety issues are handled in 
chemical industrial parks in the EU, the environmental and water management of the 
river Rhine and surrounding river	s in Central Europe, and how EU has managed to 	
redu	ce the exposure to hazardous pollutants. 	 	
 	本章我	们	介	绍	成功	应	用第	1	部分与第	2	部分中所概述的个	别	政策、原	则	的所有	
场	地	、区域及国家的成功案例。其中包	括	风险	管理工具	Apell	，相关欧盟化学	产业	园	处	
理	环	境、健康、安全	问题	所采取的措施，	莱茵河	及中欧周	边	河流的	环	境与水	资	源管理，	
以及欧盟	设	法减少接触危	险污	染物所采取的措施。	 	
3.1	 	APELL 	– Awareness and prep	aredness for emergencies at local level	 	
APELL 	- 地区级紧急事故意识和准备	 	
3.1.1	 Introduction	引言	 	
In late 1986, following various chemical accidents	61, United Nations Environmental 	
Program 	(UNEP	) suggested a series of measures to help governments, particularly in 	
developing countries, to reduce the occurrence 	risk 	and harmful effects of technological 	
accidents and emergencies	 caused for instance by fire, explosions, spills or release of 	
hazardous 	substances	. One of these	 measure	s was to 	institute a programme enabling 	
governments, in co	-operation with industry, to work with local leaders to identif	y 	
the potential hazard risks	 in their communities and to prepare measures to 	
respond and control emerge	ncies which might threaten public health, safety and 	
the environment	. At UNEP's 14th Governing Council in June 1987, the secretariat was 	
requested to continue these efforts with governments, the United Nations system and 
world industry and trade, taking in	to account work already undertaken in this area by 	
 	 	 	
61 Examples were the dioxin	-containing release in Seveso in 1976, the propane explosion in Mexico City in 	
1984, the release of methylisocyanate at Bhopal in 1984, and the fire and discharge of contaminated 
waters in the Rhine in 1986 from a warehouse in 
Base	l.例如，	1976	年在	塞韦索	发生的	二氧芑气体泄漏	；1984	年在墨西哥城	发生的	丙烷爆炸	事件	； 	
1984	年在印度博帕	尔发生的异氰酸甲酯毒气泄漏事故	； 1986	年巴塞	尔一	个仓库发生	的火灾事故	致使	受污染水排入莱茵河	。

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other international organizations, and 	in close co	-operation with them (UNEP, 2014). 	
APELL 	is part of a broad cleaner and safer production programme that UNEP has 	
launched with the objective of promoting w	orldwide sustainable production and 	
consumption patterns	 (UNEP, 2014)	62. 	
 	1986	年末，	针对	各	类	化学事故，	联	合国	环	境	规	划署	（	UNEP	）提出了一系列措	
施，旨在帮助相关国家，特	别	是一些	发	展中国家，降低由火灾、爆炸、有害物	质	的泄	
露或	释	放而	导	致的技	术	事故、突	发	事件的	发	生可能及潜在不良影响。其中一	项	措施是	
制定	Mm�L>*Q;�+	够	~�	业	$�4��WZ��	领导联	m%�
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1987	年	6	月，第	14	届	联	合国	环	境	规	划署理事会	要求其秘	书处	将其他国	际组织	在	该领	
域已开展的相关工作考	虑	在内并与	这	些	组织	密切合作，同	时	在此基	础	上，与相关政府、	
联	合(�	统	以及世界工	贸	行	业继续	合作	（	UNEP	，	2014	）。	APELL	是	UNEP	所	发	起的	
一个涵盖面广且	更清	洁	、	更安全的生	产	项目	的一部分，	该计	划旨在促	进	全球可持	续	生	
产	和消	费	模式的	发	展（	UNEP	，	2014	）。	 	
Industries all over the world, particularly the International Council of 	Chemical 	
Associations (ICCA)	 and International Council on Mining and Metals (ICMM)	, have co	-	
operated with UNEP in supporting the application of APELL	63. Major inter	-governmental 	
APELL partners are:	 	
 	全球企	业	，尤其是	国	际	化工	协	会	联	合会	（	ICCA	）、	国	际	采	矿	及金属	协	会	(ICMM)	，	
通	过	与	UNEP	进	行合作，共同支持	AP	ELL	的	应	用。主要政府	间	APELL	缔约	方包括：	 	
 	 	 	
62 The two programmes in addition to APELL are the 	Flexible Framework Initiative for Chemical 	
Accident Prevention and Preparedness	 and the 	Responsible 	Production approach for chemical 	
Hazards Management	. The first operates at a national level and provides guidance for governments 	
wishing to develop their chemical accident prevention and preparedness programmes, whereas the latter 
operates at a sector lev	el particularly focusing small and medium sized enterprises (SMEs) providing 	
guidance and tool for SMEs aimed at engaging all stakeholders along the supply	-chain in improved safer 	
production, risk communication and emergency preparedness 
practices.	除APELL	外的	两个	计划分别是	化学事故	h,e�橡!n(�@<�7�7^[I!�	与化学危	险管理责任生产方法	S*…Ý~\	层面为希望制定化学事故预防	
与准	备计划的相关政府提供指导，后者则针对行业领域，特别是中小型企业（	SME	），	为致力于使供应链上所有利益相关方参与改善安全生产、风险沟通及	
应急准备实践的中小型企业提供指导与工具。	 	
63 For an overview of APELL initiatives, see 'APELL Worldwide. Examples of APELL application around the 
world' Available 
http://www.unep.org/resourceefficiency/Portals/24147/scp/sp/publications/brochures/pdf/APELL	-	
Worldwide.pdf	有关	APELL	计划的概述，见	“APELL	全球。	APELL	全球	应用示例	”网址：	http://www.unep.org/resourceeffici	
ency/Portals/24147/scp/sp/publications/brochures/pdf/APELL	-Worldwide.pdf

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• 	EC 	– European Commission	 EC	——	欧洲委	员	会	 	
• 	ECE 	– Economic Commission for Europe	 ECE	——	联	合国	欧洲	经济	委	员	会	 	
• 	IAEA 	– International Atomic Energy Agency	 IAEA	 ——	国	际	原子能机构	 	
• 	ISDR 	– International Strategy for Disaster Reduction	 ISDR	 ——	联	合国国	
际	减灾	战	略	 	
• 	IMO 	– International Maritime Organization	 IMO	——	国	际	海事	组织	 	
• 	OCHA 	– Office for the Coordination of Humanitarian Affairs	 OCHA	——	联	
合国人道主	义	事	务协调办	公室	 	
• 	OECD 	– Organization for the Economic Cooperation and Development	 	
OECD	——	经济	合作与	发	展	组织	 	
• 	PAHO 	– WHO 	– Pan American and World Health Orga	nizations	 PAHO 	– 	
WHO	——	泛美	卫	生	组织	与	世界	卫	生	组织	 	
In addition, there are 	governmental partners, in the case of China the Ministry of 	
Environmental Protection (MEP), as well as a range of institutions involved in 
APELL activities	. The APELL concept has been introduced in	 more than 30 	
countries and in over 80 industrialized communities worldwide	: in Latin America 	
(i.e., Brazil, Colombia, Chile, Argentina), in Asia (i.e., China, India, Thailand, Indonesia, 
and Korea) and in the Middle East. The guiding principles of the APE	LL process for 	
emergency planning are also practiced in the United States and Canada, through 
programmes of 	the American Chemistry Council	. In Europe, a	 mechanism has been 	
established for cross	-border emergency coordinationin the arctic region based on 	
AP	ELL. 	Following disastrous floods in 2002, the Czech 	republic	requested	 UNEP to help 	
establish an APELL demonstration at on	e of the major	 refineries	 in the country	, and use 	
this also as a way of implementing the publiccommunication provisions of the S	eveso 	II 	
Directive of the EU. 	Croatia has incorporated the APELL process into its national 	
disasterlegislation	. There are also various local processes applying the APELL approach, 	
or APELL	-like processes, in the EU.	 	
 	此外，	还	包括	一些政府合作伙伴，	中国	的环境保护部	�lM喂gZ	APELL	活	动	
的机构	组织	。	APELL	这	一理念目前已	经传	播至全球	30	多个国家及	80	多个工	业	园区	：	
拉丁美洲（	如巴西、哥	伦	比	亚	、智利、阿根廷	）	、	亚	洲（如中国、印度、泰国、印度	
尼西	亚	、	韩	国）、中	东	。通	过	美国化学理事会	（	ACC	），	APELL	应	急	预	案流程指	导	原	
则	在美国、加拿大同	样	得到了	应	用。就欧洲而言，其基于	APELL	在北极地区建立了一	
种	跨境	应	急	协调	机制	。	继	2002	年特大洪灾之后，捷克共和国	请	求	UNEP	帮助其在国	
内一家主要	炼	油厂建立	APELL	示范基地，并将此作	为	欧盟塞	维	索二号指令	（	Seveso II 	
Directive	）	中	公众	传	播	规	定的一种	执行方式	。	克	罗	地	亚	也将	APELL	流程	纳	入了其	国家	
级	灾	难	立法。此外，欧盟内部也存在各种采用	APELL	或	类	似	APELL	的	局部	流程。

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APELL tools are provided directly from UNEP webpage	64 but a mor	e updated a	nd 	
comprehensive overview of relevant tools and resources are provided through the 
UNEP/	OCHA Environmental Emergency Ce	ntre	65 (OCHA: Office for the Coordination of 	
Humanitarian Affairs). 	The 	Environmental Emergencies Centre	 (EEC) is an online 	
preparedness 	information resource 	designed to enable an effective response to 	
environmental emergencies. The EEC, founded in 2012, is an initiative of the Joint 
UNEP/OCHA Environment Unit, developed in close coordination with the Advisory 
Group on Environmental Emergencies. The EEC is a to	ol for everyone, communities and 	
governments alike, seeking assistance through training, knowledge, experience and 
good practice sharing to increase their preparedness to be able to effectively respond 
when disasters strike. 	 	
 	APELL	工具直接来自于	UNEP	网	页	，而有关相关工具与	资	源	的最新全	面概述	则	
是	由	UNEP	或	OCHA	（	联	合国人道主	义	事	务协调办	公室	）	进	行提供。	环	境	应	急中心	
（	EEC	）	是一个	在线提供防范信息	资源	的	机构，旨在	对	于	环	境突	发	事件做出有效响	应	。	
EEC	创	立于	2012	年，	为	UNEP/OCHA	环境事务	联合机构	同	环	境	紧	急事故咨	询	小	组	
（	AGEE	）通	过	密切	协	作所提出的一	项计	划。与此同	时	，	EEC	也为	所有寻求培训、	知识、	
体验和经验分享的个人、群体和政府提供帮助，提高	其灾难	应急	能力	。	 	
3.1.2	 Principles 	APELL	原则与策略	 	
The 	strategy of the APELL approach is to identify and create awareness of risks in 	
an industrialized community, to initiate measures for risk reduction and 
mitigation, and to develop coordinated preparedness between the industry, the 
local authorities and the 	local population	. Because the risks, capabilities, 	
stakeholders and regulatory situation of a community will vary from place to place, the 
process is designed to be adaptable to local conditions. The basic approach to meeting 
APELLs goal of preventing loss	 of life and property is 	to increase knowledge in the 	
community about the possible risks and hazards in the area and, on the basis of 
this information, to develop coordinated emergency response plans	. While most 	
industrial accidents can be contained within	 the boundaries of the industrial plant, there 	
will be cases where impacts extend beyond and affects the plant neighborhood, which 
can have adverse short	- and long	-term consequences for the community. In the worst 	
case, cascade (domino) effects, where an a	ccident in one facility damages an adjacent 	
facility, causing a loss of containment and additional accidents, can have devastating 
impacts in a broader area (	Mudavanhu	 et al., 2013). Also, events may occur where a 	
natural hazard triggers or worsens an indu	strial accident. Often, the actions of the first 	
responders to the emergency are of crucial importance for the final extent and severity 
 	 	 	
64http://www.unep.org/resourceefficiency/Business/CleanerSaferProduction/SaferProduction/APELL/APELLPr
ocess/WhatisAPELL/tabid/78884/Default.aspx	 	
65 http://www.eecentre.org/Abou	t-EEC.aspx/lan/en	-US

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of the emergency (UNEP	, 1988). 	APELL is a tool for bringing people together to allow 	
effective communication about risk	s and emergency response	. The process of 	
dialogue should help to reduce risk, improve effectiveness of response in the case 
of an accident happening, and allow ordinary people to react appropriately during 
emergencies.	 	
 	APELL	方法策略在于	识别	并提高	工业园区	内的	风险	意	识	，启	动风险	降低、	缓	解	
措施，同	时	提升行	业	、地方政府与当地居民	间	的	协调应	急准	备	能力。	由于	不同区域的	
风险	、能力、利益相关者及	监	管情况存在差异，因此	该	流程适	应	于地方	情况	。	APELL	
实现	避免	生命	财产损	失	这	一目	标	的根本方法在于	增加	区域	
�w
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 �~	风险	Z4	
�8$�%�	识	>*�~H�	础	V>*D%&	应	$�	应	�$	应计	/	~'�	绝	大多数工	业	事故	发	生	
在工	业	厂房内，但是事故所	产	生的影响仍有可能蔓延至工厂附近区域，	进	而	在短期和	
长	期内	对	区域	产	生不良后果。	最糟糕的情况可能是	发	生	连锁	反	应	，即一种	设	施所引	发	
的事故	对	周	边设	施造成	损	害，由此失	去控制，引	发	新的事故。	这	可能会在更广泛的区	
域内	产	生破坏性的影响（	Mudavanhu	et al.	，	2013	）。同	样	地，自然灾害可能会引	发	工	
业	事故或者使情况	变	得更	为	糟糕。通常来	说	，突	发	事件的第一批响	应	者所采取的措施	
对	于事件的最	终	影响范	围	及	严	重性起着至关重要的作用（	UNEP	，	1988	）。	作	为	M&�d

�>*	APELL	使得人	们联	合起来，就	风险	及	应	急响	应进	行有效沟通。沟通	过	程	应	有助于	
降低	风险	，提升	应	急响	应	效率，同	时	使得普通人在	突发	事件期	间	做出适当	反应	。	 	
Although APELL targets preparedness	 and response at the local level, local action in 	
isolation may not be sufficient for avoiding disasters. On the contrary, state and federal 
governments are fundamental in setting national goals, priorities and regulatory 
measures, and providing any suppor	t and resources the local communities need.	 The 	
APELL process is designed to build on 	possibly 	existing emerg	ency plans to create a 	
single co	ordinated local plan. 	For instance, th	ere may be national government 	
emergency plans in place but 	still 	there is th	e need for an effective structure at the local 	
level. Industrial facilities 	may	 have on	-site emergency plans	, and l	ocal authorities and 	
rescue services 	may	 have plans to deal with the consequences of major emergencies. 	
Moreover, l	ocal hospitals 	may	 have th	eir own "major accident plans" for dealing with 	
large numbers of seriously injured people. 	The core idea of the APELL process is that 	
all existing plans contribute to the overall integrated, co	-operative plan, and if 	
non	-existent, coordinated emergency pla	ns are developed.	 	
 	尽管	APELL	的	对	象是地方	层	面的	应	急准	备	及响	应	，但是独立的地方措施可能	还	
不足以避免灾	难	。相反，州政府与	联	邦政府	对	于	设	定国家目	标	、	优	先等	级	、	监	管措施	
以及提供地方社区所需的支持、	资	源方面起着至关重要的作用。	APELL	流程的目的在	
于基于可能存在的	应	急	计	划制定	单	一	协调	性地方	计	划。例如，可能已	经	制定了	国家政	
府的	应	急	计	划	，但是	还	需要制定地方	层	面的相关有效	内容	。工	业	企	业	可能已	经	制定了	
现场应	急	计	划，地方政府与	救助服	务	机构	可能也制	订	了相关	计	划，用于	应对	重大突	发	
事件所造成的后果。此外，地方医院可能	拥	有内部“重大事故	应	急	计	划”，以期救助	
大批	重	伤	人	员	。	APELL	流程的核心理念在于所有	现	有	应	急	计	划均	应	为整体综合合作计	
划	的	实	现做出贡献	；如果不存在此	类计	划，	则应	制定	协调	性	应	急	计	划	。

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3.1.3	 Approach	 方法	 	
Content of APELL	：	APELL	内容	 	
APELL is a modular, flexible methodological tool for preventing accidents and, failing 
this, to minimize their impacts.	 This is achieved by 	assisting decision	-makers and 	
technical personnel to increase community awareness and to prepare 
coordinated response plans involving industry, government, and the local 
community, in the event that unex	pected events should endanger life, property or 	
the environment	 (UNEP, 2014)	. APELL sets out a structured process for the 	
development of an emergency response plan involving local communities, 
governments, emergency responders and others.	 Communication is 	often between 	
the three main groups of stakeholders 	- company, community, and local authorities	. 	
Discussion on hazards usually leads to the 	identification of risk reduction measures	. 	
Structured communication between emergency response bodies (public and co	mpany) 	
is meant to result	 in a better	-organized overall emergency response effort.	 The 	
programme provides a common	-sense approach to accident prevention and response	 	
and 	can apply to any risk situation, whether industrial or natural	. It can be initiated 	
by	 any party, although companies can be expected to take the lead. It can be facilitated 	
by governments, or by industry associations. APELL can be applied in developed and 
developing countries and in remote or urban areas.	 	
 	APELL	系一种模式化且灵活的方法工具，旨在	预	防事故	发	生，如若不能，	则	最	
大限度地减少其影响。	这	主要是通	过	，	在突	发	���+4l#��
	财产	H	环	C$�_
�	
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�'�*�l�	术	�	员	f9�	群体	�	识	�D�ld	业	
;�Z��&k
$�	协调应	
�	计	/	�	实现	的	（	UNEP,	，	2014	）。	APELL	为	制定涉及地方社区、政府、	应	急响	应	机	
构及其他相关方的	应	急响	应计	划	设	定	结	构化流程。	通常情况下，沟通主要在	企	业	
&k

l��;�	这	三大主要利益相关者群体之	间进	行。	应	急响	应	主体（公众与企	业	）	间	
有	组织	的沟通有助于更好地	实现综	合	应	急响	应	。	该计	划	为	事故	预	防	及	响	应	提供了一种	
常	识	性方法	，	能	够应	#���1d	业	H+�!�	风险		该计	划可以由任何相关方	发	起，相关	
企	业	有望率先	发	起。政府或行	业协	会均可促	进	其	发	展。	APELL	可	应	用于	发	达国家与	发	
展中国家以及	城市	与	偏	远	地区。	 	
The 	establishment of a multi	-stakeholder Coordinating Group is the core of the 	
APELL process and crucial to increasing community preparedness	. Relevant 	
stakeholdersinclude industry 	representatives; government agencies	responsible for 	
emergency services, public health, andenvironmental protection; local residents and 
businesses;and technical specialists such as engineers, geologists, andscientists.	 While 	
being inclusive 	it is also impo	rtant thatmembers of	 the Co	ordinating Group	 and the 	
leadershipof the group are	 able to 	commit to the group and 	have the authority and 	
legitimacy to represent their constituency.

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 	建立多方参与的	协调	小	组	是	APELL	流程的核心所在，	对	提升社区	应	急准	备	能力	
起着至关重要的作用。	利益相关者包括行	业	代表，	负责应	急服	务	、公共健康及	环	境保	
护	的政府	机构，当地居民和企	业	，以及包括工程	师	、地	质	学家、科学家在内的技	术专	
家。与此同	时	，	协调	小	组	成	员	与小	组领导层应对	小	组	做出承	诺	，	并	拥	有合法	权	力代表	
其	选	民	。	 	
The ten	-step process outlined in APELL is as follows:	 	
 	APELL	规	定的“十步法”具体如下：	 	
1. Identify the emergency response participants and establish their roles, resources, 
and concerns. 	确定	应	急响	应	参与者及其任	务	、可用	资	源与所关注	问题	 	
2. Evaluate the hazards and risks that may result in emergency situations in the 
community.	针对	可能	导	致社区突	发	情况的危害、	风险进	行	评	估	 	
3. Have participants review their own emergency response plans to ensure a co	-	
ordinated response.	要求参与者	审	核自身	应	急响	应计	划，确保	做出	协调	响	应	 	
4. Identify the required response tasks not covered by existing plans.	识别现	有	计	划	
中未涵盖的必要响	应	任	务	 	
5. Match these tasks to the resources of the identified participants.	将上述任	务	与已	
知参与者的可用	资	源	进	行	组	合	 	
6. Make the changes necessary to improve existing plans, integrate them into an 
overall	 community plan, and gain agreement.	进	行必要	调	整，完善	现	有	计	划，将	
相关	调	整内容	纳	入社区	综	合	计	划，并达成一致	 	
7. Commit the integrated community plan to writing and obtain approval from local 
governments.	编	制	书	面社区	综	合	计	划并	获	得地方政府批准	 	
8. Educate participating groups about the integrated plan and ensure that al	l 	
emergency responders are trained.	就	综	合	计	划	对	参与群体	进	行教育，确保所有	
应	急响	应	机构	接受培	训	 	
9. Establish procedures for periodic testing, review, and updating of the plan.	针对计	
划的定期	测试	、	审	核及	更新	建立	规程	 	
10.	 Educate the community about the integrated plan.	就	综	合	计	划	对	大众	进	行培	训	 	
While building on the common strat	egy and process, separate APELL guidelines have 	
been developed for emergencies in industry (fixed installations, port areas and mining), 
dangerous goods transport, and for natural disasters. Recently a so	-called Training Kit 	
addressing comprehensive emerge	ncy planning from a multi	-hazard viewpoint was 	
published. 	The Training Kit	 provide	s a summary of the most important principles and 	
steps in improving emergency preparedness, as well assome of the most common 
hazards found worldwide	 (UNEP, 2010)	. A brief in	troduction to some APELL Guidelines 	
considered particularly relevant to China is given in the following.

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 	尽管	APELL	独立指	导	方	针	基于常用策略及方法而建立，但其目的在于	应对	行	业	
（固定装置、港口区域及采	矿业	）突	发	事件、	危	险	品	运	输	以及自然灾害。近期出版了	
一本“	培	训	教程	”，	该	教程从	多危	险	角度	提出了相关	综	合	应	急	计	划。教程中就提升	应	
急准	备	能力最	为	重 要 的 原	则	与步	骤	以 及 世 界 各 地 最	为	常	见	的 一 些 危 害	进	行 了 概 述	
（	UNEP	，	2010	）。	APELL	指	导	方	针	中有一些特	别	符合中国的	现	状，	以下章	节	中	对这	
些指	导	方	针进	行了	简	短介	绍	。	 	
3.1.4	 Tools	 	
APELL Handbook for Industries	 	APELL	行	业	手册	 	
This is a training	 package conceived principally to	 help trainers prepare a 	seminar	, 	
workshop	, or extended course. It is not a	 course per se.	 The package contains	 	
suggestions and hints for effective training;	 a short background to the subject, drawn 	
from	 other existing publications;	 material	 to introduce and	 illustrate the main ideas;	 	
case studies and situation reports and 	scenarios drawn from 	actual experience	; 	
supplementary technical information to supportsome 	work exercises	; work exercises	 	
and questions;	 appendices with further information about	 UNEP and its programmes.	 	
Trainers are encouraged to extend the packageby adding their own case stu	dies and 	
exercises	, and expanding the subject coverage into new	 topics. For example, trainers in 	
environmental	 health may wish to add some modules on	 occupational safety and 	
ecotoxicity by building on	 the chemica	l information already presented (UNEP, 1996)	. 	
 	本手册	是一个教学包	，主要用于帮助培	训师为	研	讨	班、	讲习	班	或	深度培训	课	程	
进	行准	备	，与	课	程本身无关。	该	教学包	涵盖了有关有效培	训	的相关建	议	；摘自其他	现	
有出版物的	简	短背景介	绍	；介	绍	、	说	明主要	观	点的相关材料；案例研究、情况	报	告以	
及从	实际	情景介绍	；用以支持一些	工作	实	践	的	补	充技	术	信息；	工作	实	践	与存在	问题	；	
以及有关更多	UNEP	及其相关	计	划信息的所有附	录	。培	训师	可以通	过	添加自身案例研	
究与	实	践并在原主	题	基	础	上	创	建新主	题对该	培	训计	划	进	行拓展。例如，	环	境	卫	生培	训	
师	可能希望在已有化学信息基	础	上	补	充一些涉及	职业	安全与生	态	毒性	的模	块	（	UNEP	，	
1996	）。	 	
APELL Handbook for Mining	 	APELL	采	矿	手册	 	
Several major mining companies have upgraded their emergency	 preparedness 	
procedures after the publication of APELL for Mining. The	 International Council on 	
Mining and Metals (ICMM) has included	 APELL 	as a high priority in its forward work 	
programme for member	 companies. 	 	
 	一些主要采	矿	公司在《	APELL	采	矿	手册	》出版之后，	对	其	应	急准	备	程序	进	行了	
升	级	。	国	际矿业	与金属理事会	（	ICMM	）将	APELL	作	为优	先考	虑	事	项	，	纳	入了其会	员	
公司的未来工作	计	划。	 	
The	 APELL for Mining Handbook provides a framework for the preparation of an 	
Emergency Response Plan that can be used by mine 	risk 	management, emergency

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response agencies, government officials and local communities. It introduces the generic 
objectives and or	ganizational framework of 	the 	APELL programme, covers risk factors 	
specific to the mining industry, and describes how APELL can be applied to the mining 
industry. Case studies illustrating the consequences of mining accidents are also 
presented, underscori	ng the vital nature of sound preparedness for emergencies. The 	
Handbook 	is meant to	 be of assistance to mining companies and communities in two 	
ways. Firstly, 	based on previous	 accidents and	 known 	risks in the mining industry, it 	
intends	 to raise awarenes	s of the importance of preparedness for emergencies at local 	
level, within both companies and communities. Secondly, it 	seeks to	 help companies, 	
communities and emergency response providers to become thoroughly prepared for the 
work required.	 	
 	《	APELL	采	矿	手册	》	为	应	急响	应计	划的	编	制	提供了一个框架	，	该计	划可供	矿	山	
风险	管理	、	应	急响	应	机构	，政府官	员	及地方社区	进	行使用。手册中	对	APELL	计	划的	一	
般目	标	与	组织结	构	进	行了介	绍	，其中涵盖了采	矿业	的特定	风险	因素并就如何将	APELL	
应	用于采	矿业进	行了描述。此外，	该	手册中	还	涉及一些案例研究，	对	采	矿	事故	的后果	
进	行了	说	明，	强	调	了充分准	备对	于突	发	事件的重要性。	该	手册	对	于采	矿	公司及社区的	
辅	助作用主要体	现	在两方面。第一，在采	矿业	以往事故及已知	风险	的基	础	上，其目的	
在于在企	业	及社区内提高地方	层	面	对	于突	发	事件中准	备	能力之重要性的意	识	。第二，	
力	图	帮助企	业	、社区及	应	急响	应	供	应	商	为	所需工作做好充分准	备	。	 	
APELL for Dangerous Goods Transport	 	APELL 	危	险	品运	输	 	
The 	Guidance for	 Dangerous Goods Transport	 Emergency Planning	In a Local 	
Community 	(TransAPELL) 	takes APELL guidance beyond the	 risks associated with fixed 	
facilities to include those	 arising from the shipping, distribution and transport	 of 	
dangerous goods. TransAPELL is	 thus	 applicable to all landtransport of danger	ous goods 	
by road, rail and	 pipeline, as well as to the handling of such goods at	 interfaces with 	
other modes of transport, e.g. ports	 and airports. 	TransAPELL	 is intended to supplement	 	
the provisions of national and international law and	 regulations, not 	to replace or 	
interfere with them. 	 	
 	《地方社区	危	险	品运	输	应	急	计	划	导则	》（	TransAPELL	）采用	APELL	指	导	固定	设	
施以外的	风险	，将危	险	品装运、分配、运	输	中存在的	风险纳	入其中。因此，	
TransAPELL	适用于危	险	品运	输	的所有	陆	路运	输	方式，包括公路运	输	、	铁	路运	输	及	管道	
运	输	，同	时	也 适 用 于 与 其 他	运输	方 式 相 配 合 的 运	输	，如	港 口 运	输	、	空 中 运	输	。	
TransAPELL	的目的在于	对	国家及国	际	法律法	规进	行	补	充，而并非取代或干	预	此	类	法律	
法	规	。	 	
Planning for risks 	arising from	 the transport of dangerous goods is 	regarded 	even more 	
complex as for fixed facilities but, for the	 following reasons:	 Transport routes	 normally 	
have a considerable	 geographical extension. As an emergency can	 occur anywhere along 	
the route, em	ergency	 risk 	planning must be very flexible.	 For historical or practical 	
reasons, many routes	 pass through densely populated areas, along river	 valleys or along

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the shores of inland lakes, etc.	 There may, therefore, be many threatened objects	 	
(people, prop	erty or the natural environment) in	 the vicinity of possible accident 	
locations.	 Hazard identification is more complex	 as m	any hazardous	 materials are 	
transported several times	 during their product lives. This means that, in	 most cases, 	
planning has to 	cover a greater variety	 of hazardous materials than is the case for a fixed	 	
facility. When a transport emergency arises, there	 may well be delay in ascertaining 	
what substances	 are involved.	 The number of stakeholders is generally greater	 than for 	
fixed in	stallations. Transport industries,	 particularly the road haulage industry, typically	 	
involve a large number of small and medium	 siz	ed	 enterprises (SMEs). Many of these or 	
other	 stakeholders may not have offices or other representation	 in communities 	
concer	ned.	 An accident involving dangerous goods may	 happen in transit through a 	
community that does	 not have any fixed chemical installations. Its	 emergency services 	
are, therefore, unlikely to be	 equipped or trained to tackle emergencies	 involving 	
unfamiliar a	nd possibly unidentified	 chemicals.	 Finally, t	he population at large is likely 	
to be more	 ignorant of the hazards and of how to act in anemergency. Nearby residents, 	
people in private	 cars or passengers in halted trains could all be	 affected. It will be mo	re 	
difficult to produce and	 disseminate adequate public information.	 	
 	基于如下原因，	对	由危	险	品运	输	所	产	生的	风险进	行	规	划	比	固定设施	更	为	复	杂	。	
运	输	路	线	一般存在相当大的地域	扩	展可能性。由于突	发	事件可能	发	生在运	输	途中的任	
何地方，因此	风险应	急	计	划必	须	具	备	一定的灵活性。由于	历	史或	实际	原因，一些运	输	
路	线	途径	人口稠密区	、河流峡谷区或是	内	陆	湖泊	海岸	，	因此，在潜在的事故地点附近	
可能存在一些易于受到威	胁	的	对	象，例如人、	财产	或是自然	环	境。一些危	险	物品在其	
生命周期	内可能会被运	输	若干次，	这	就使得危	险识别变	得更	为	复	杂	。同	时	，	这	也意味	
着	绝	大多数情况下	应	急	规	划	应	涵盖固定	设	施以外更多种	类	的危	险	物品。交通运	输	突	发	
事件	发	生	时	，往往会延	迟	确定相关物	质	。此外，利益相关方的数量通常也多于固定	设	
备	的数量。运	输业	，特	别	是	公路运	输	行	业	，通常涉及大量中小型企	业	。一些此	类	企	业	
或是其他利益相关方可能未在	风险区域	设	立	办	公	场	所或其他	办	事	处	。运	输过	程中途径	
未	设	立任何固定化工装置的社区	时	，	同样	可能会	发	生由危	险	品所引	发	的事故。	在此情	
况下	，	对于	未知的或尚未识别的化学品，	不	太	可能及	时	提供相关	应	急服	务	或	进	行相关	
培	训	，	大多数人	对	于危	险	因素或是如何	应对	突	发	事件可能都一无所知。附近居民、乘	
坐私家	车	的人群或是停运的列	车	上的乘客均有可能因此受到影响。	这	些都使得	为	公众	
提供	、宣传	相关公共信息	变	得异常困	难	。	 	
APELL	 Multi	-Hazard Training Kit	 	 APELL	多危	险	培	训	教程	 	
It also provides a 	Multi	-Hazard Risk Matrix system 	which	 is a simple tool that	 can be 	
used for initial community self	-assessment of existing risks. The approach proposed in 	
the Multi	-Hazard Matrix is a simplified version of the methodology used in the 	more 	
advanced 	Co	mmunity Risk Profile (CRP) Tool 	developed for UNEP	 (UNEP 2008) 	and 	
visually presents information on various risks within the community.	 Each hazard 	
source identified	 in the area 	is assessed using ten different risk criteria, and assigneda 	
number between 1 and 5 for each risk criterion. A 1 is	 assigned fo	r a favourable

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situation (such as a low hazard, low level of vulnerability, or a sufficie	nt level of risk 	
control),	 and 	A 5 is assigned for an unfavourable situation (such as a	 frequently 	
occurring hazard, or lack of protective measures).	 The risk criteria are	 presence o	f risk, 	
knowledge about the hazard source, intensity (possible extent of damage and area 
impacted), frequency/probability of event, exposed assets (human, economic. 
environmental), vulnerability of population/other assets, preventive measures in place, 
phy	sical protection in place, emergency plans in place, and resilience (capacity to 	
recover after an accident). 	 	
 	该	教程中同	时还	提供了一种	多危	险风险	矩	阵	系	统	。	这	是一种	简单	的工具，可供	
社区	进	行有关	现风险	的初始自我	评	估。多 危	险	矩	阵	中所提出的 方法	为	社区	风险预测	
（	CRP	）工具中所用研究方法的	简	化版。社区	风险预测	（	CRP	）工具系一种更	为	高	级	的	
工具，	专门针对	UNEP	（	UNEP 2008	）而研	发	，可直	观	地呈	现	各	类	区	域	风险	信息。区域	
内所	识别	的每种危	险	源均采用十种不同的	风险标	准	进	行	评	估，同	时针对	每一种	风险标	
准，	为	每一种危	险	源指定	1-5	之	间	的	1	个数字。数字	1	代表	有利条件（如低	危害、低	
水平易	损	性或	足	够	的	风险	控制水平	），而数字	5	则	代表不利条件（如危	险频发	或	缺乏	
保	护	措施	）。上述	风险标	准涉及存在的	风险	、有关危	险	源的相关知	识	、	强	度（可能	损	
坏的程度及可能受影响的区域范	围	）、事故	频发	性或	发	生的可能性、外露	资产	（人力	
资产	、	经济资产	、	环	境	资产	）、人本身或其他	资产	的易	损	性、	现	有	预	防措施、	现	有人	
身保	护	措施、	现	有	应	急	计	划及恢复力（事故后的恢复能力	）	。	 	
After completing the multi	-hazard matrix, a graph can be	 prepared for each hazard 	
source that visual	ly represents the	 	level of risk criteria	 	(Feil! Fant ikke 	
referansekilden.	3.1	). The graph is prepared using the numbers	 assigned during 	
completion of the multi	-hazard matrix, and	 the larger the surface area of the graph, the 	
higher the risk	 and necessity to take pre	vention and mitigation measures.	 The graph is 	
divided into three areas. The upper right part of	 the graph corresponds to the 	
characteristics of the hazard	 (the presence, intensity, and probability/frequency). The	 	
lower part of the graph corresponds to the 	vulnerability of	 the community, including the 	
assets exposed to the risk and	 the community’s ability to resist or survive the hazard. 	
The	 left hand side of the graph represents the risk reduction and	 control measures that a 	
community can undertake.	 Assessm	ent of the graphs for various hazards can help	 	
decision makers identify and prioritize risk prevention or	 mitigation measures.	 	
 	多危	险	矩	阵	完成后，可	针对	每种危	险	源	绘	制多	危	险	矩	阵图	，直	观显	示	风险标	准	
的不同等	级	（	图	3.1）。	多	危	险	矩	阵图	采用	多	危	险	矩	阵	完成期	间	所	使用	的数据	进	行	绘	制，	
图	中表面区域越大，	则风险	等	级	越高，越有必要采取	风险预	防和减	缓	措施	。	该图	共分	
三个部分。右上方	对应	的是危	险	特征（存在性、	强	度及	事故	频发	性或	发	生的可能性	）。	
图	表下部	对应	的是社区	易	损	性，包括易受	风险	影响的	资产	以及社区抵御危	险	或免受危	
险	影响的能力。	图	表左	边显	示的是社区可采取的	风险	降低措施、	风险	控制措施。	针对	
各	类	危	险对该图进	行	评	估有助于决策者确定	风险	预	防或	缓	解措施	并决定其	优	先等	级	。

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Figure 	3.1	 Multi	-Hazard Matrix graph 	图	3.1 	多危	险	矩	阵图	 	
 	
Source:	UNEP(	2010).	 	
 	
来源：	UNEP	（	2010	） 	
3.1.5	 Lessons and suggestions for China	 	
APELL in China	 	APELL	在中国的	应用	 	
In China, the frequency of sudden environmental pollution accidents has increased with 
the	 increasing social and economic 	development as well as regional industrialization 	
and urbanization.	 In the past decade, 	there have been a series of	 environmental	 	
accidents, and about 80% of the 	chemical accidents o	ccur at SMEs. 	According to a 	
national environmental risk survey conducted 	by the Ministry of Environmental	 	
Protection of China, the environmental safety situation in the country 	is serious	 and 	
developing an 	enforcing environmental emergency management 	has become an urgent 	
task	 (Shao et al, 2013)	. 	
 	随着社会	经济	以及区域工	业	化	、城	镇	化的	不断	发	展，中国面	临	着	环	境	污	染突	发	
事故不断	频发	的	严	峻形	势	。	过	去十年中	发	生了一系列	环	境事故，其中	80%	的化学事故	
均	发	生在	中小型企	业	。一	项	由国家	环	保部开展的全国	环	境	风险调查显	示，中国目前面	
临	着	严	峻的	环	境安全挑	战	，开展	强	化	环	境	应	急管理因此	变	得尤	为	迫切	(Shao et al	，	
2013)	。	 	
风险	知识 	
适应力 	存在	 	
应急规划 	强度 	
保护 	
资产	 	预防措施	 	
易损性 	
可能性	/频率

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Recognizing the need for 	improvement, the Chinese govern	ment is introducing new	 	
environmental management tools	, and 	Chinese indu	strial	 estates are exploring 	various	 	
tools as a means to mitigate environmental factors. 	Policy directives	 in China 	now 	
encourage companies to individually tackle environmental management by 
implementing	 systems such as ISO 14001 Environmental Management 	Systems	 and 	
pro	cedures for cleaner production. At the enterprise level, 	there are	 currently several	 	
projects attempting to retrofit their industrial parks as eco	-industrial parks	. Eco	-	
industrial parks	 are supposed to	 offer	 strategies that achieve greater e	fficiency through 	
‘‘economies of	 systems integration’’, where partnerships between businesses	 meet 	
common service, transportation, and infrastructure needs	. ISO 14001 is becoming more 	
attractive asan advanced tool for environmental management in industria	l parks across 	
China	, and 	several industrial parks across China	 have	 already	 been	 certified	 (Geng and 	
Hengxin, 2009).	 	
 	认识	到	调	整的必要性后，中国政府目前正在引入新型	环	境管理工具，与此同	时	，	
国内	产业	园区也开始研	发	各	类	减轻	环境影响的	工具。此外，国家	颁	布的各	类	政策性指	
令也鼓励企	业	通	过执	行	ISO 14001	环	境管理体系，清	洁	生	产	的相关程序，独立	进	行	环	
境管理。	在	企	业层	面，目前有一些	项	目正在	尝试	将其	工	业	园区升	级为	生	态	工	业	园区	。	
生	态	工	业	园	应	通	过	“	经济	系	统	集成	”提供可大幅提高效率的相关策略。“	经济	系	统	集	
成	”有利于企	业	通	过	合作	实现	其共同的服	务	、运	输	及基	础设	施需求。作	为	一种高	级环	
境管理工具，	ISO 14001	环	境管理体系在国内	工	业	园区中日益得到广泛	应	用。目前中国	
的一些	工	业	园区已通	过	相关	认证	（	Geng 	and	 Hengxin	，	2009	）。	 	
Starting in 2006, Dow C	hemical (Zhangjiagang) Company Ltd. 	took the initiative to form 	
a partnership between UNEP, the Chinese Ministry of Environmental Protection (MEP) 
and th	e Company, 	under the APELL 	programme. 	The 	focus	 was	 on safer production and 	
emergency preparedness for the chemical sector in China. The program officially ran 
from 200	8-2010. 	A pilot project was implemented in 	Yangtze River International 	
Chemical Industry Park in Zhangjiagang City, Jiangsu 	province, containing more than 80 	
companies. 	In addition to a coordinated effort to outreach to local companies in the 	
Park, the Ste	ering Committee	 of the pilot project also organized an international s	eminar 	
in Beijing 	in	 2009	, and 	hosted a study visit to Houston in 2010	 to 	learn from US safety 	
management and emergency preparedness systems in place at Dow Chemical’s site in 
Freeport, 	Texas.	 The first training workshop took place in Zhangijiagang in 2010, 	
attended by approximately 80 participants from across the region. Panelists provided 
presentations on current capacities in China, including examples of best practices. The 
workshop pr	ovided in depth sessions on drill planning and preparation	. The project is 	
regarded as a success 	and	 UNEP is replicating it in other locations in 	Asia, Latin America

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and Africa	66. Researchers from 	Tsinghua University Responsible Production and APELL 	
Center 	(UNEP) Department of Chemical Engineering	, Tsinghua University	 were involved 	
in the pilot project, as well as researchers from Renmin University.	 	
 	自	2006	年开始，	陶氏 化 学	（	张	家港	）	有限 公 司	率先在	APELL	计	划之下与	
UNEP	及中国	环	保部建立了合作关系。其核心在于确保中国化工行	业	的安全生	产	与	应	急	
准	备	能力。	该项	目自	2008	年正式启	动	，	2010	年	顺	利完成。	试	点	项	目在位于江	苏	省	张	
家港市	的	扬	子江国	际	化工园	区	进	行，	总	共涉及	80	多家企	业	。除	协	助相关企	业	与园区内	
当地企	业	建立	联	系外，	试	点	项	目工作委	员	会	还	于	2009	年在北京	组织	了一	场	国	际	研	讨	会，	
并于	2010	年	举办	了一次前往	休斯	顿	的考察	访问	，向位于	德克	萨	斯州弗里波特	市的	陶氏	
化学	学	习	美国	现	有的安全管理及	应	急准	备	体系。首届培	训	研	讨	会于	2010	年在	张	家港市	
举	行，整个地区	约	有	80	人参加了此次会	议	。与会	专	家	针对	中国目前所具	备	的相关能力	
进	行了介	绍	，包括一些最佳	实	践案例。此外，研	讨	会	还	就	应	急演	习计	划及其准	备进	行	
了深入	讨论	。作	为	一个成功案例，	该项	目被	UNEP	复制到	亚	洲、拉丁美洲及非洲的相	
关地区。参与	该试	点	项	目的人	员还	包括来自清	华	大学	化学工程系	，	清	华	大学	负责	生	产	
与	APELL 	中心（	UNEP	）	以及人民大学的相关研究人	员	。	 	
 	 	
 	 	 	
66 Dow Private Sector & Aid for Trade Case Study: Promoting Safer Operations & Emergency Preparedness 
in the Value Chain of the Chemical Sector 
http://www.oecd.org/aidfortrade	/48367173.pdf	陶氏私	营企业与贸易援助案例研究	：促	进化工行	业价值链安全运营与应急准备	http:/	
/www.oecd.org/aidfortrade/48367173.pdf

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3.2	 	Industrial parks: Risk management in European chemical parks	工	业	
园：欧洲化工园区	的	风险管理	 	
In this case we see how European chemical parks have been organized and handle the 
issue of risk management, and what the challenges are compared to a traditional 
industry site operated by a single company. The text is based on EPSC (2004). 	 	
 	在	这	个案例中	我	们	将了解	欧洲化工园区的	组织	模式、	风险	管理方式以及其与	单	
一企	业	运	营	之下的	传统	工	业	基地相比所面	临	的挑	战	。	该	文本的内容基于	EPSC	（	2004	）	
而	编	制。	 	
A 	chemical park	 could be defined as a	 site	 accommodating several chemical 	companies 	
which are legally separate ent	ities. The infrastructure and a 	variable range of services 	
are p	rovided b	y the largest chemical 	company on the site (the major user) 	or by one (or 	
more) independent 	infrastructure companies. A	 chemical park is similar to an industry 	
park, but an industry park also consists of companies from other industry sectors. 	 	
 	化工园区	可以被定	义为	一	个可容	纳	若干独立的化工企	业	法律	实	体的	场	所。由	该	
场	所内	规	模最大的化工企	业	（	主要使用者	）或	由	一个或多个独立的	基	础设	施企	业	负责	
提供相关基	础设	施及一系列相关服	务	。化工园区	类	似于园区，但是	工	业	园区同	时还	包	
括来自其他行	业领	域的相关企	业	。	 	
3.2.1	 Introduction	引言	 	
3.2.1.1	 From traditional chemical sites to chemical parks	从传统化工场地至化工园区	 	
From their beginnings in the mid	-19th centu	ry through to the middle of the 	20th 	
century, the development of chemic	al sites has been characterized 	by a tendency 	
towards increasing size. This is because larger sites offer:	 	
 	从	19	世	纪	中期开始一直到	20	世	纪	中叶，	化工	场	地	发	展中最	为显	著的一个特点	
在于其	规	模一直在不断地	扩	大。	这	是因	为规	模	较	大的	场	所可以确保：	 	
 	Economies o	f scale	规	模	经济	 	
 	The abilit	y to make optimal	 use of energy by bringing several production 	
facilities together	通	过联	合若干生	产	企	业实现	能源	最	优	利用	 	
 	The opportunity 	to share materials, make optimal	 use of the byproducts of 	
chemical reactions, and set up shared treatment and disposa	l facilities for 	waste 	
gases, waste water and 	solid 	waste	资	源	共享	，	实现	化学反	应	副	产	品最	优	利用，	
以及	针对废	气、	废	水、固体肥料建立	集中	处	理	设	施的可能性	 	
 	Reduced land use and optimal transport connections. 	减少土	地利用并	优	化运	输	
连	接

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For these reasons, numerous large ch	emical sites grew up around the 	world. Generally, 	
they were each owned	 by a single company. They were 	self	-sufficient in terms of the 	
services r	equired for their core chemical 	production activities. 	 	
 	基于上述原因，世界各地建立起了	大量的	大型	化工	产业	基地。通常来	说	，	这	些	
产业	基地分	别归单	一企	业	所有。其核心化工生	产	活	动	所需的相关服	务	均	为	自	给	自足。	 	
The concept of a site run by a si	ngle co	mpany was largely retained when 	chemical 	
companies began to adopt a mor	e decentralized strategy in the 	1970s and 1980s. 	There 	
was a trend t	owards the formation o	f largely independent business units. This trend 	
became more pronounced as globalization	 took hold	 du	ring the 1990s. In many 	
instances, service functions were outsourced or handed over to independent companies. 
Sites which had previously been owned by one company and operated under a single 
management structure became chemical parks. In some 	cases, this progression was 	
actively driven. In others, it was accepted as a side effect of outsourcing, and sometime	s 	
it went completely unnoticed	 (EPSC, 2004)	. 	
 	当化工企	业	自	20	世	纪	70	年代至	80	年代开始采用更	为	分散的策略之后，由	单	
一企	业	运	营	化工	场	地的	这	一理念在很大程度上保留了下来。	当	时	很大程度上独立的	业	
务	单	位正在形成。	20	世	纪	90	年代全球化占主	导	地位，由此使得	这	一	趋势变	得尤	为	凸	
显	。	在	许	多情况下	，相关服	务	功能外包或移交	给	独立的企	业	。以往由	单	一企	业	所有，	
处	于	单	一管理	结	构运	营	之下的化工	场	地	转变为	化工园区。在一些案例中，	这	一演	变	是	
积	极推	动	的	产	物。而在其他一些案例中，	这	被看作是	外包所	产	生的	负	面影响	，有	时	未	
被注意到	（	EPSC	，	2004	）。	 	
3.2.1.2	 Many benefits from gathering chemical companies in 
parks	联合园区内化工企业的优势所在	 	
The benefits of chemical parks ar	e particularly relevan	t when it comes to 	matters of 	
safety, security and eme	rgency management. However, the transition from one 	owner	 	
who is responsible	 for the entire site to several 	companies which are legally 	
independent	 but closely linked in terms of 	their use of premises, materials and energ	y 	
can be challenging	. 	
 	化工园区的	优势	与	安全	与	应急管理问题尤其相关	。然而，从	负责	整个基地的唯	
一	业	主	转型为	法律上独立但	实际	上在	办	公	场	所、	资	源及能源使用方面存在密切	联	系的	
若干企	业	本身面	临	着	严	峻的挑	战	。	 	
The environmental planning strategy of relocating plants and/or gathering them in 
industrial parks can have large beneficial effects. By organizing an industrial park more 
like an ecosystem, where materials are reused or recycled for other purposes, the pa	rk 	
reduces its environmental impact further. This is the idea behind 	socalled 	eco	-industrial 	
parks	 (e.g. Kalundborg in Denmark)	. What makes this environmental strategy especially 	
interesting is the fact that it can also be economically profitable. This is 	one of the most

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important requisites for detangling economic growth from environmental damage	 	
(sustainable development	). 	
 	厂房迁移	与	将其	统	一安置于	产业	园区内	这	一	环	境	规	划策略	可以	产	生巨大效益。	
通	过	将	工	业	园区作	为	生	态	系	统进	行	规	划，	对资	源	进	行重复利用或回收利用，用于其他	
目的，园区	进	一步降低了其	对环	境的影响。	这	就是所	谓	的生	态	工业园区	（如丹麦的	凯	
隆堡	）	所	蕴	藏着的深	层	理念。	使得	这	一	环	境策略	变	得如此	耐人	寻	味的原因即在于其潜	
在的	经济	效益。	这	是从	环	境	损	害中	识别经济	增	长趋势	（可持	续发	展）最	为	重要的	必需	
品	。	 	
A wide range of different chemical parks has	 been developed as a result of their 	differing 	
histories and the different entr	epreneurial concepts applied by 	operators. Today, 	
chemical parks 	in Europe 	cover 	the entire spectrum between (but 	not including) sites 	
operated by a single	 owner and public industrial or 	trading complexes. This makes it 	
difficult to come up with a good	 definition of 	a chemical park. 	One thing common to all 	
chemical parks is the fact th	at th	ey accommodate several chemical 	facilities in close 	
proximity to one another. 	These facilities have different 	owners but share infrastructure 	
which is us	ually provided 	by a third pa	rty, and they are usually fenced in	. 	
 	基于各自不同的	历	史以及运	营	者所采用的不同的	创业	理念，	各种	不同的化工园	
区建立了起来。目前，欧洲化工园区覆盖了（但不包括）	单	一	拥	有者与公共工	业	、	贸	
易中心运	营	之下的园区之	间	的整个区域。	这	就使得	对	化工园区的准确定	义变	得尤	为	困	
难	。	对	所有化工园区而言，其共同特征在于	-企业	之间能够适应彼此需要的	化工设备	。	
这	些企	业	从属于不同的所有者但共享着通常由第三方提供的基	础设	施，	通常	用围栏围	
起来	。	 	
More generally, a	n industrial park is an area that is zoned and planned for the purpose 	
of indust	rial development. Moving plants and gathering them in industrial parks can 	
have several beneficial effects. By gathering plants in a designated area, it is possible to 
concentrate the necessary infrastructure. This reduces business expenses and attracts 
ne	w firms. Industrial parks are often located at a distance from residential areas in 	
order to limit the environmental and social impact from the industry. By concentrating 
plants in one area it might also be easier to limit the environmental damages from th	e 	
industry. 	 	
 	一般来	讲	，	工	业	园区是	为	促	进	某一	产业发	展	而	分区、	规划	的特殊区位	环	境	。将	
厂房	统	一迁移至工	业	园内可	带	来一些	积	极影响。将厂房	统	一迁移至一个指定区域有利	
于	实现	必要基	础设	施的集中管理。由此不	仅	可以减少企	业	开支	还	可吸引更多新的企	业	。	
工	业	园通常会与居民区保持一定的距离，以此限制其	对环	境、社会所造成的影响。此	
外，将所有厂房	统	一集中到一个区域也更易于	实现	相关	环	境	损	失的最小化。	 	
There are also organizational benefits from gathering firms together. 	The clustering of 	
firms can have a synergetic effect. This means that the firms will improve their 
performance because they learn from each other, cooperate and find solutions they

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would	 not have if they were operating separately. The short “mental distance” between 	
the firms is one of the reasons they are able to cooperate and continue to develop 
linkages between the firms.	 	
 	除此之外，将企	业	集中起来	对	于	组织层	面也有一定的	积	极影响。企	业	集群	这	一	
模式有助于	实现协	同效	应	。	这	意味着企	业	可以通	过	互相学	习	，相互	协	作，并	寻	求解决	
方案而不断提升自身	业绩	。而	这	些解决方案是其独立运	营	所无法	实现	的。企	业间	不断	
缩	短的“心理距离”是确保他	们进	行合作并不断建立	联	系的原因之一。	 	
By collaborating in an industrial park companies can co	-organize their efforts. This shift 	
in focus can be very fruitful because the emphasis is placed on the combined 
effectiveness of all the processes involved, instead of the effectiveness of a single 
pr	ocess. 	This focus at the system level is part of what makes industrial parks effective	. 	
The companies have 	developed large and stable waste streams	 between industrial 	
processes, 	and in that way minimized transaction costs of discarding and supplying 	
produc	ts in another manner.	 	
 	通	过	在工	业	园内	进	行	协	作，各企	业	能	够	更好地	发挥	各自的作用。	这	一重心	转	移	
具有特	别	重要的意	义	，原因在于其	强	调	的是所有流程的整体效率而非某个	单	一流程的	
效率。	将重点放在系	统层	面，是促	进	工	业	园有效运	营	的部分原因	。企	业	在两种工	业	流	
程之	间	建立了大	规	模且	稳	定的	废	物流，并在此基	础	上降低	产	品	报废	与	产	品供	应	所	产	生	
的交易成本。	 	
The move to make industrial parks more environmentally friendly will give the 
bus	inesses a better reputation. 	There is a lot of literature on the effects of branding	. 	
Promoting and building a brand f	or the company is an important part of a successful 	
business. By joining an eco	-industrial park, the companies gain a better reputation. B	y 	
improving their environmental practice they also improve their 	standing	 in the public 	
eye.	 	
 	建立	环	境友好型工	业	园	这	一	举	措将	为	企	业赢	得更好的声誉	。	市场上有大量的关	
于品牌化影响的著作。	推广并建立品牌是成功企	业	的一个重要	组	成部分。加入生	态	工	
业	园，企	业	将有机会	获	得更好的声誉	。同	时	，通	过	完善其	环	境	实	践，企	业	也可提升自	
身在公众心目中的地位。	 	
3.2.1.3	 Various types of parks	各类园区	 	
It can be 	distinguish	ed	 between four types of 	chemical 	park	s:化工园区可分	为	以下四	类	：	 	
 	Major user parks	主要使用者园区	 	
 	Closed parks	封	闭	式园区	 	
 	Open parks	开放	园区	 	
 	Regional clusters	区域集群	 	
Major user parks	主要使用者园区

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Parks of this type have a single compa	ny operating large parts of the 	production 	
faciliti	es and the infrastructure.	 This company is often also the 	owner of the land. The 	
“major user” plays a	 dominant role, particularly in 	matters relating to 	environment, 	
health and safety (	EHS	), and sets most o	f the rules on the basis of its 	economic strength.	 	
The other user(s) has/have to follow th	ese rules as a 	condition f	or using the site.	 	
 	此	类	园区中，由一个	单	一企	业负责	管理	绝	大多数生	产设	施及基	础设	施。	该	企	业	
通常	为	土地所有者。 “	主要使用者	”起主	导	作用，尤其是在涉及	环	境、健康与安全	
（	EHS	）的	问题	上，同	时负责	基于其	经济实	力制定	绝	大部分	规则	。其他使用者必	须	依据	
这	些	规则对场	地	进	行利用。	 	
In terms of EHS management, this park model	 is very similar to that of the 	traditional 	
site, although there are some cle	ar legal differences because of 	the presence of at least 2 	
different operators. 	This model 	is often also the 	first step when a traditional site is 	
opened up to become a chemical p	ark.	 	
 	就	EHS	管理而言，	该	园区模式	非常	类	似于	传统	化工	场	地的管理模式	——	尽管由	
于涉及至少	2	个不同的运	营	方，使得两者之	间	存在一些明	显	的法律差异。通常来	说	，	
这	一模式也是建立	传统	化工	场	地，将其	转变为	化工园区的首要步	骤	。	 	
Closed parks	封	闭	式	园区	 	
Closed parks are manag	ed by an infrastructure company 	which is legally independent of 	
the users of the chemical	 park. 	What 	distinguishes a clos	ed park from a major user park	 	
is the fact that none of the compan	ies operating in the park exert 	a dominant	 influence 	
on the i	nfrastructure company or on the 	management and deve	lopment of the park as a 	
whole. 	The infrastructure company	 usually coor	dinates cooperation between the 	
companies operating in the park, and this coo	peration is particularly strong 	in the area 	
of EHS. There is a share	d risk management strategy, the 	perimeter of the park is fenced, 	
and access by third parties is co	ntrolled.	 	
 	封	闭	式	园区	由一个基	础设	施企	业负责	管理。	该	企	业	与化工园区使用者在法律上	
是独立的。	非公开园区	与	主要使用者园区	的区	别	在于园区内的企	业	均不会	对	上述基	础	
设	施企	业	或是园区整体的管理与	发	展	产	生	显	著影响。上述基	础设	施企	业	通常	负责协调	
园区内企	业间	的合作关系，此	类	合作在	EHS	领	域尤	为	密切。	非公开园区	确立了一种共	
享	风险	管理策略，	对	园区覆盖范	围进	行了划分，不允	许	任何第三方擅自	进	入。	 	
The infrastructure company performs its	 services in a more compe	titive 	environment 	
than in the major user 	park 	model. However, some of the services	 provided by the 	
infrastructure company 	have to be taken up by all park 	users. This applies in particular 	
to 	emergency management, security, 	waste water treatment (including	 the	 sewage 	
system), pipe networks, 	power supplies, and the like. 	The infrastructure company 	
therefore has a rel	atively strong 	position and sometimes takes on the 	role of site 	
manage	r in relations with the	 outside world.

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 	与	主要使用者园区	模式相比，上述基	础设	施企	业	在	非公开园区	内履行其	职	能更	
具有挑	战	性。由	该	企	业	所提供的一些服	务	必	须	由园区内所有使用者共同分享。	这	主要	
涉及	应	急管理、安全、	废	水	处	理（包括	污	水系	统	）、管道系	统	、供	电	等等。因此，	该	
企	业拥	有相	对	重	要的地位	，有	时	作	为	园区管理者	负责	与外界	进	行	联	系。	 	
Open parks	开放式	园区	 	
Open parks are characterized by the fact that cooperation between the	 various 	
companies operating in the park an	d the infrastructure company is 	com	paratively loose.	 	
There are relatively fe	w rules applying to the park as 	a whole. As a result, the individual 	
ope	rators have greater freedom but 	also greater responsibility. In contrast to a p	ublic 	
industrial complex, the	re 	is a private infrastructure company (som	etimes several). 	
However, these 	companies see themselves as ser	vice providers rather than site 	
managers. In this type of park,	 major elements of EHS, such as emergency response and 	
security, are no longer managed 	centrally but ar	e instead handled 	by 	the individua	l 	
companies. 	 	
 	开放式园区的特征在于，园区内各	类	企	业	与基	础设	施企	业间	的合作相	对	松散。	
园区整体上所采用的	规则	相	对较	少。因此，个体	经营	者在	拥	有更多自由的同	时	也肩	负	
着更大的	责	任。与公共工	业	中心相反，开放式园区包括一家私	营	基	础设	施企	业	（有	时	
为	若干家）。但是，	这	些企	业	将自身	视为	服	务	提供商而非园区管理者。在此	类	园区中，	
诸	如	应	急响	应	与安全一	类	的关	键	EHS	元素不再集中管理，而是由私	营	企	业负责	管理。	 	
Clusters	集群	 	
In some regions (e.g. Rotterdam), favorab	le framework conditions such as transport 	
routes, 	water and power sup	plies have led to the formation 	of clusters o	f chemical sites,	 	
some of them more closely integrated than others	. These clusters are 	not	 chemical parks 	
in the strict sense of the term	. However, some 	sites within the cluster 	may well qualify as 	
chemical parks. The more closely infrastructures are shared,	 the more these clusters 	
resemble 	chemical parks. They are an option for i	nfrastructure 	companies to make 	
specific use of the economy of scale. H	owever, they are even more akin 	to 	public 	
industrial complexes	 than are the “open” parks.	 	
 	对	一些地区（如	鹿特丹港市	）而言，良好的框架条件如运	输	路	线	及水	电	供	应	有	
利于	形成化工	场	地集	群，	其中一些集群的	联	系要更	为紧	密	。	严	格意	义	上	讲	，	这	些集群	
并不是化工园区。但是，集群内的一些基地	足以被称之	为	化工园区。基	础设	施共享	越	
紧密	，	则这	些集群同化工园区	间	的差异就越小。	对	基	础设	施企	业	而言，	这	些集群	为规	
模	经济	的充分利用提供了可能。同公开园区相比，集群更	类	似于	公共工	业	中心	。	 	
3.2.2	 Principles	原则 	
Large chemical sites with many potentially ha	zardous facilities operating in 	close 	
proximity to one another and 	interconnected by pipe networks 	constitute an overall 	
risk which may be greater than the sum of the hazards presented by the individual

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facilities	 (EPSC, 2004). Thus, this contains an element of 	regional risk	, see chapter 1. 	In 	
chemical parks, there is nobody with direct responsibility f	or this overall ris	k. The 	
responsibility lies with all the companies operating in the chemical park. They ha	ve to 	
find ways of replacing the single management structure of the traditional site with 
appropriate cooperation arrangements between themselves	. T	he 	decisive issue at 	
stake here is not whether the overall risk presented by a chemical park	 can be managed, 	
but how the 	necessary cooperation should be	 organized. The legal framework 	conditions 	
are a particularly important consideration here, since statut	ory	 EHS legislation in 	
Europe does not recognize chemical parks as such.	 	
一些彼此	邻	近且存在潜在危	险	的	设	施，通	过	管道系	统	相互	连	接，	拥	有此	类设	施	
的大型化工	场	地，其所	构 成 的	综	�	风险	� + � �	各 个 单 独 设 施 的	�	类	4	险	$�	总	�	
>&	EPSC	，	2004	）。因此，	这	里涉及一种	区域	风险	
�(�>*	见	第	1	章。	在化工园区内，	不	
存在	对	H	类综	�	风险	%$K	负责	$��	员	R

�$�dw�	业	共	同	对	此	进	行	负责	。他	们	必	
须	寻	求相关解决方案，彼此	e�K&[J	合理的合作	"�[V	，从而代	替	水N�	化工	&�	地	的	"�	一管	
理	N{	构	。	关	键	的决定性	问题	不在于能否	对	化工园区内存在的	综	合	风险进	行管理，而在	
于如何	实现	必要的合作。由于欧洲法定	EHS	立法中未将化工园区	纳	入此	类	情况，因此	
法律框架条件	在	这	里构成了一个极	为	重要的因素。	 	
The main difference between 	the traditional site and the chemical park is the fact that 	
the site has a single operator, while the chemical park always has	 several (and often 	
many) operators. 	It is to these operators legislation in both Europe and the US is 	
addressed. Responsibility for the individual risks posed by the facilities on the site and 
for the overall risk now lies with several companies rather th	an just one. 	 	
 	传统	化工	场	地与化	工园区	间	的主要区	别	在于前者涉及一家	经营	者，而后者往往	
涉及多家（通常	较	多）。欧洲及美国的相关立法就是	针对	上述	经营	者而制定的。由此，	
由	现场设	施所	产	生的	个体	风险	以及	综	合	风险	均由几家企	业	共同	负责	而非一家企	业	独立	
负责	。	 	
In some chemical parks	 installation	s owned and managed by separate 	companies may 	
have a common control room etc. and might be 	run by	 operators from only one of the 	
companies 	(possibly only during the night 	and weekend). 	Both for legal as for 	
organizational matters such situations have to be recognized under national law	. It must 	
be absolutely clear for the authorities and the ope	rators who is responsible for 	
the safe operation	. 	
 	一些由几家企	业	共同	所有并管理的	化工园区	建立了	共同	的	控制室，	这	些装置可	
能由上述企	业	中一家企	业	的	经营	者	负责	管理（可能	仅	在夜	间	、周末运行）。由于	组织	
问题	必	须	合法，因此	这类	情况必	须	依据国家法律	进	行确	认	。	必	须	�	负责	�
�3�	营	$�w

�4�	门	l	经营	*�	uH	进	/��%�	 	
The common	-sense principle whereby the	 party with actual control of a 	facility is the 	
responsible operator 	generally allows 	responsibility to be clearly divided between the

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companies pre	sent in the 	parks. However, individual cases 	must be assessed with 	
reference to 	national law to 	examine the extent to which responsibility i	s carried 	
through to the relevant parent companies	. The clear assignment of all 	legal obligations 	
to the individual operators 	means that their cooperation is 	particularly important, 	
especially when i	t comes to managing the overall 	risk posed by the park. T	he 	EU 	Seveso 	
II 	Directive 	offers some guidance on this matter	, see below.	 	
 	相关方在常	识	性原	则	的基	础	上	对设	施	进	行	实际	控制，	这	一原	则为	：	责	任	经营	者	
通常	应	允	许	在园区内企	业	中明确划分	责	任。	但是	必	须	依据相关国家法律	对	个	别	案例	进	
行	评	估，	考核相关母公司的	职责	范	围	。	对	个体	经营	者法律	义务	的明确分配	意味着	合作	
的重要性，	这	一重要性尤其体	现	在管理园区内	综	合	风险	的	过	程中。欧盟	Seveso 	二号指	
令就此提供了一些指	导	性建	议	，具体	见	下文。	 	
Operators 	of hazardous facilities may entrust 	an	 infrastructure company withobligations 	
which they themselves have 	with regard to the overall risk 	posed by the site. A prime 	
example of thi	s is cooperation on 	emergency management. 	 	
 	危	险设	施	经营	者可将其涉及园区	综	合	风险	的相关	义务	委托	给	基	础设	施企	业	。其	
中一个典型范例就是	针对应	急管理	进	行合作。	 	
In spite of this fragmentation of responsib	ilities in a chemical park, the 	individual 	
operators do have some cle	ar obligations when it comes to 	managing the overall risk 	
posed by the site.	 The key resp	onsibilities of an operator include evaluating the 	
risks which his facility may pose to its neighbors and the risks which neighboring 
facilities may pose to his own.	 For both aspects the operator has to rely on 	
information 	about or 	given by his neighbors. 	This makes co	operation between the 	
companies 	operating in the chemical park unavoidable	. Thus, 	considerable account is 	
taken of the close proximity of chemical facilities	, as is typical of chemical 	parks. The 	
European Seveso II Directive sp	ecifically regul	ates this issue 	for facilities considered to 	
be at higher risk (	socalled 	“Domino	-effect”	, see below).	 	
 	尽管化工园区存在	职责	的分散分配	问题	，但当需要	对	园区	综	合	风险进	行管理	时	，	
个体	经营	者仍	对	此	负	有明确	说	明的	义务	。	经营	*�$�z0[	职责	��	对	
��	业	�+
	给	
�	
邻	3�	�	业带	�$�	风险	�l	邻	3�	�	业	�+	给经营	*��	业	�3	带	�$�	风险进	/�	评		uV	
3�i�8*�0�>*	经营	者均必	须	基于	邻	近企	业	自身的相关信息或	邻	近企	业	所提供的相关	
信息	进	行确定。	这	促使化工园区内的企	业	不可避免地	进	行合作。因此，	必	须	高度重	视	
化工	设	施	间	的	邻	近关系	，	这	是化工园区的典型特征。欧盟	Seveso 	二号指令中	针对	存在	
高	风险	的相关企	业	就	这	一	问题	做出了	专门规	定（“	多米	诺	效	应	”，	见	下文）。	 	
3.2.3	 Approach	方法	 	
3.2.3.1	 The Seveso Directive and chemical parks 	 Seveso	指令与化工园区	 	
The Seveso II Directive (see chapte	r 2) introduced 	the notion of the “establishment”. 	
This is defined as “	the whole area under the control of an operator where dangerous

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substances are present 	in Ac	cording to article 8, “the competent authority … identifies 	
establishments or groups of estab	lishments where the likelihood and the possibility or 	
consequences of a major accident may be increased because of the location and the 
proximity of such establishments, and their inventories of dangerous substances”.	 If this is	 	
the case, the operators of 	these establishments are obliged to inform eachother and 	
cooperate with one another.	 	
 	Seveso	二号指令（	见	第	2	章）	对	“企	业	”	这	一概念	进	行了	说	明。指令中将	这	一	
概念定	义为	“	经营	者控制之下的存在危	险	物	质	的整个区域。依据第	8	条，‘主管部	
门	……	识别	企	业	或企	业	群体，由于此	类	企	业	所在的位置	、	与	邻	近位置关系	及	临近企业	的	
危	险	物	质	的	详细	目	录	，其	发	生重大事故的可能性可能会增加，事故后果的	风险	也可能	
会增加’”	。在	这	种情况下，	这	些企	业	的	经营	者有	义务	相互通知并相互合作。	 	
Seveso II especially addresses	 the 	domino effects (i.e. an accident in one plant 	
starting a chain of accidents in neighboring pl	ants)	, and requires that such risks, 	
which are particularly important in industry parks, should be	 specified. The same holds 	
for 	developments that could increase the possible consequences of accidents or 	
domino effects	. If the risks of domino effects are high, the concerned establishments are 	
obliged to cooperate and exchange information. If any change	s in the information 	
provided occurs (i.e. an increase or decrease in the quantity of the dangerous substances 
or permanent closure), the operator of the establishment should make the responsible 
national authorities aware of these changes. 	 	
 	Seveso	二号指令	专门	用于	处	理	连锁	o	应	>&�	发	#�~MdA$��>,	发临	3�d	
A$�M(�4���>>'	>*�0[�	对	工	业	园区内尤	为	重要的此	类风险进	行	说	明。	这	同	样	
适用于	可能增加事故或	连锁	o	应	 �~��	严	5�$�	发	
	��	连锁	反	应风险	等	级较	
高，	则	相关开	发	区有	义务进	行合作并	交流 相关信息	。如果所提 供信息	发	生任何改	变	
（如危	险	物	质	数量增加或减少，或信息永久失效），企	业经营	者	应	就相关	调	整内容通	
知有关	国家	监	管部	门	。	 	
The Seveso II Directive 	does not specify exactly how the required c	ooperation 	
between the companies operating in a chemical park is to be organized	. Companies 	
should be strongly encouraged to 	conclude clear contracts between themsel	ves, 	
particularly when it comes 	to cooperation in the field of EHS. 	 	
 	Seveso	二号指令	未明确	说	��1	实现	�dR

��	业间	$�	�0[	�8		应	大力鼓	
励企	业	相互	订	立条款明确的合同，特	别	是涉及	EHS	领	域的相关合作	时	。	 	
3.2.3.2	 Other 	regulatory approaches	其他	监管方法	 	
Provisions governing emissions control are in place 	in all chemical parks 	to protect 	
neighbors	 outside the site. The protection of workers within the site from 	emissions	 of 	
noise, odors and hazardous substances is separately regulated in	 occupational safety & 	
health legislation. 	While emissions protection of third parties begins outside the fence of 	
a traditional site, 	neighboring companies in a chemical park may	 also qualify as

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third parties in the legal sense of the term	. Extending the protective provisions which 	
apply to “external neighbors” to“internal neighbors” would not be practicable in many 
chemical parks. 	Ideally	, there should be	 a system whereby limit v	alues for	 emissions of 	
noise, pollutants and the like make a distinction between the	 employees of a company 	
and its (external) neighbors. The assumption	 behind this system is that employees of a 	
company are better able to deal	 with these hazards than exter	nal neighbors because 	
they have personal	 protective equipment, are part of the emergency management 	
system and	 have been given appropriate training. This situation can be replicated 	
inchemical parks by making the appropriate protective equipment available	 to 	
employees who need it, involving people in the emergency	 management system and 	
training staff, including those from “nonhazardous”	companies.	 	
 	目前所有化工园区均已	颁	布了	排放控制	监	管方面的	规	定，以此保	护	园区以外的	
邻	近企	业	。	为	使区域内	员	工免受噪音、气味及危	险	物	质	排放的影响，	单	独制定了	职业	
安全与健康	法。尽管	对	第三方的排放保	护	首先	针对	的是	传统	化工	场	地	围栏	外的企	业	，	
但是	从	法律意	义	V	讲	>*�dR

�$�	邻	3��	业	���/�%38�'�U�	!�*�>*WV3�	
�	护	性	规	定从“外部	邻	近企	业	”	扩	展至“内部	邻	近企	业	”可能不适用于一些	化工园区	。	
理想情况下	，	应该	建立一种体系，使噪音、	污	染物排放等限	值	在企	业员	工与（外部）	
邻	近企	业间	区	别	开来。在	这	一体系之下，与外部	邻	近企	业	相比，企	业员	工能	够	更好地	
应对这	些危	险	，原因在于他	们拥	有	个人防	护	设	备	，是	应	急管理体系的一部分，同	时还	
接受了相	应	的培	训	。化工园区可以复制	这	一模式，	为	相关	员	工配	备	一定的	防	护	设	备	，	
将	员	工	纳	入	应	急管理体系并	对	其	进	行培	训	，包括来自“非危	险	”企	业	的	员	工。	 	
As is the case with solid waste, one of the main advantages of both	 traditional sites and 	
chemical parks is the fact that waste water from	 production processes can be treated in 	
shared facilities. On a chemical	 site, the same company usually generates and 	processes 	
the wastewater. In a chemical park, on the other hand, the waste water is usually	 	
generated by a different company than the one which treats it. Since the	 input of the 	
various companies into the shared waste water treatment	 facility has a major i	nfluence 	
on the performance of this facility and thus	 on the quality of the treated waste water, it 	
is 	very important to check that the correct licenses have been obtained from the 	
authorities and that the contractual relationships between the companies 
ge	nerating the waste water and those treating it are appropriate	. 	
 	同固体	废	物一	样	，	传统	化工	场	地与化工园区共同的主要	优势	之一在于生	产过	程	
中	产	生的	废	水可以通	过	共享	设	施得到	处	理。就化工	场	地而言，同一企	业	通常在制造	废	
水的同	时	又	对	其	进	行	处	理。另一方面，	对	化工园区而言，制造	和	处	理	废	水的企	业	通常	
不是同一家。由于各	类	企	业对	共享	废	水	处	理	设	施的投入极大地影响着	该设	施性能的	优	
劣，因此，	应	%��	已处理	的废水	l3�	过	w
�4�	门	$�%&
�	认证	，	唯	废	传D4��	业	Z	废	传	
处	历�	业间	'g�%&	应	$���
�(�	这	M!l8��50[		 	
Intrusion into chemical plants by unauthorized persons 	constitutes a 	po	tential 	
major accident scenario	. In Europe, somecountries have regulated this area 	
specifically when transposing the	 Seveso II Directive into thei	r na	tional legislation. 	The

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new 	shape of the threat of terrorism highlights the importance of dealing with the issue.	 	
Responsibility for preventing unauthorized access lies with the individual	 company. In 	
closed chemical parks, this responsibility can be deleg	ated tothe company responsible 	
for the security of the park.	 	
 	未	经	允	许进	入 化 工 园 区 的 所 有 人	员	可能引	发	重大事故	。 一 些 欧 洲 国 家 在 将	
Seveso	二号指令	纳	入其国家立法中	时	，均	对这	一	领	域做出了具体	规	定。新	形式	的恐怖	
主	义	威	胁强调	了	应对	此	类问题	的重要性。由	单独	企	业负责	阻止外来人	员	未	经许	可	进	入	
园区。就封	闭	式化工园区而言，可以委托	负责	园区安全工作的企	业	履行	这	一	职责	。	 	
When different chemical companies are networked in close proximity toone another on 
the same site, 	it can be difficult to ascertain who is responsible if any 	
contamination of the soil or groundwater is detected	. This fact must be borne in 	
mind in any envir	onmental assessment prior to moving into a chemical park and when 	
concluding	 contracts between the individual companies, the infrastructure company	 and 	
the owner of the land.	 	
 	当同一园区内不同化工企	业	的	办	公	场	所呈网状分布	时	，	在	检测	?u�H�W传	
4<w	污		时	>*�	难	%�%&
�	责	��	IH>*3�
��dR
S	，私人	企	业	、基	础设	施企	
业	与土地所有者在	签	订	合同	时	所做的任何	环	境	评	估必	须	将	这	一内容考	虑进	去。	 	
Some regulations make use of safety distances to mitigate the	 consequences of proce	ss 	
safety incidents, especially	 fire and explosion	 (see chapter 2 on the Seveso Directive)	. 	
Usually	, these distances have been determined to protec	t “external neighbors”.	 They 	
may only partly or not at all	 be	 applicable inside the site, where other	 means to protect 	
the workers are possible. As 	shown above	 these 	safety distances may now be 	
applicable to the “internal neighbors”, which may cause great 	problems in existing 	
chemical parks	. 	
 	一些法	规	中	设	定了安全距离，以此减	轻	工	艺	安全事故的后果，尤其是火灾、爆	
炸所造成的后果（	见	Seveso	指令第	2	章）。通常来	说	，安全距离的主要目的在于保	护	
“外部	邻	近企	业	”。	这	种距离	规	定可能部分适用于化工园区或完全不适用，化工园区	
可通	过	其他方式	对	其	员	工	进	行保	护	。如上所述，此	类	安 全距 离	Yl	定	目 前可能 适用于	
“内部	`c	近企	�	”，	_�	些企	�	可能会	+�CX	有	化工园区	造成极大的	\�	面影响。	 	
When traditional sites become 	chemical parks, many services which were in the past 	
performed internally are now	 provided by third parties. In legal terms, the service 	
company is	 considered to be a third party company. This has consequences in terms	 of 	
liability law, and may also have l	abor law implications. It must also	 be borne in mind 	
that, unlike the various departments of one company on	 a traditional site, 	the different 	
companies operating in a chemical park can all be held fully liable for any 
consequences of major accidents and th	e like to other chemical park tenants	. It 	
may be possible to limit this	 liability through 	private law arrangements	, but the issue 	
should in any case	 be discussed with the relevant 	authorities	.

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 	传统	化工	场	地升	级为	化工园区后，以往的一些内部服	务	开始由第三方	负责	提供。	
在法律条款中，服	务	型公司被定	义为	第三方企	业	。就	责	任法而	言，	这	一	举	措可能会	产	
生一定的后果	，同	时	也有可能触及	劳动	法。必	须	明确的是，不同于	传统	化工	场	地内企	
业	的各部	门	，	化工园区内的不同企	业	��+7�0[uI5��>l
��':	发	��*�	对	R

�$�
���&��d	产	#�$��1����
�4�	责	�	��3�	过	私法安排	对	此	类责	任	进	
行限制，但是	这	一	问题	必	须	与相关部	门进	行	协	商	讨论	。	 	
3.2.4	 Tools 	工具	 	
Many years of experience with chemicalsites	 in Europe 	ha	s shown that 	such sites 	can 	
be operated 	safely, in spite of the close proximity of and links between many 	
potentially hazardous chemic	al facilities	 (EPSC, 2004)	. The important issue is to pay	 	
careful attention to the legal framework conditions and in particular to	 conclude clear 	
and robust agree	ments governing the required level of	 close cooperation between the 	
partners in a chemical park.	 	
 	尽管一些存在潜在危	险	的化工企	业	极其	邻	近或彼此	间	存在一定	联	系	，	但是欧洲	
化工	场	地	的多年管理	经验	表明	此	类	��	��
�3�/�	>&	EPSC	，	2004	）	。关	键	在于	时时	关	
注	法律框架条件	，特	别	要	签订	明确且	强	有力的	协议	，	对	化工园区内企	业间	密切合作	应	
达到的水平	进	行管理。	 	
3.2.4.1	 Safety management	安全管理	 	
For safety 	management systems	 there 	could bea 	conflict between the interests of 	
global companies in particular and those of the site	. Global players, for whom EHS 	
issues 	today often 	are very important, 	often put great emphasis on	 having a uniform 	
global safety manage	ment syste	m. They will normally only accept limitations to this if 	
national legislation forces them to do so. However, 	they usually try to design their 	
global systems so that they comply with	 virtually all national requirements and 	
rather attain higher sta	ndards than national laws demand	 (EPSC, 2004)	. 	
 	就安全管理体系而言，	跨国公司与园区内企	业	�	间	�+	�~M	的利益冲突		
\�$�2�\�	业	通常都非常关注	EHS	相关	问题	，也十分重	视	全球性	统	一安全管理体系	
的建立。他	们	通常只在国家立法	强	制要求	时	，才会接受此	类	限制。但是，	他	们	3��
	
设	2'g%&
�
�#+/(�>*�	实	V>*	这	�/(�'��
�dw%&
�\	规	>*~	满	2�\2	
�0[�$��	时	3�?�f9�$�	标	
�	>&	EPSC	，	2004	）	。	 	
The operators of a chemical park an	d the companies operating in it, on	 the other hand, 	
are very keen that 	the safety management systems of the chemical park partners 	
should be as similar as possible	, and should at thevery least be compatible. This is 	
particularly the case in closed parks	. T	hese conflicting objectives	 are often solved by 	an 	
analysis to determine which elements of the safety management system aremore heavily 
company	-related and which are more heavily site	-related.	 	
 	另一方面，化工园区	经营	者及园区内所有企	业	都	认为	园区内各合作伙伴所建立	
的安全管理体系	.<	尽可能地相似	，至少	应该	具	备	一定的兼容性。	对	封	闭	式园区而言，

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尤	应	如此。	这类	目	标	冲突通常是通	过	分析来解决的，	分析	安全管理体系的哪些元素与	
企	业	的关系	较为	密切，哪些元素又与园区本身存在着密切	联	系。	 	
3.2.4.2	 Process safety	流程安全	 	
Process safety is 	today 	strongly rooted in the culture of 	most companies	 and	 depends 	
heavily on the technology it uses	 (EPSC, 2004)	. In many cases, global compani	es 	
organize process safety at central rather than local level. 	Different process safety 	
management systems	 are therefore often	 in place in chemical parks where various 	
companies operate. Such differences 	mostly cause no problems that cannot be dealt 	
with	. 	
 	目前，流程安全在很大程度上取决于多数企	业	的文化以及	这	一	过	程中所采用的	
相关技	术	（	EPSC	，	2004	）。多数情况下，跨国公司	选择	在中央	层	面而非	地方	层	面	确保	
流程安全。因此，通常会	针对	各	类	企	业	所集中的化工园区制定	不同的流程安全管理体	
系	。	这类	差异	所引	发	$�	问题	3���	说	4��+	够	�?	处	历$�		 	
A problem would arise if there were differences in safety standards.	 Chemical park users 	
with (apparently) lower 	safety standards would becalle	d upon by the public 	and the 	
authorities to achieve the (apparently)	 higher standard of other users. An incident 	
caused by one chemical park	 company would bring all the chemical park users into 	
difficulties, either directly be	cause of the consequences of the incident on neighboring 	
facilities, or indirectly because the public often fails to distinguish between “good” and 
“bad” chemical park partners in such cases. Although avoiding adverse reactions by the 
media is not the prim	e focus of process safety, it should be considered that an incident 	
could therefore also deal a hefty blow to the image of the “good” companies (EPSC, 
2004). 	 	
 	安全	标	准方面的差异有可能	导	致一些	问题	的	产	生。公众及相关部	门	会要求安全	
标	准	级别	（明	显	）	较	低的化工园区使用者达到其他使用者所	设	定的	级别	（明	显	）	较	高	
的相关	标	准。由一家园区企	业	所引	发	的安全事件会使得所	有园区使用者陷入困境，	这	
可能涉及由事件波及	邻	近企	业	而	产	生的直接影响，或由于公众无法	判别所有	园区使用	
者的好坏	而	产	生的	间	接影响。尽管流程安全的重点不在于极力避免因媒体所	带	来的不	
良影响，但是	还应	考	虑	到此	类	安全事件可能使得企	业	的良好形象遭受沉重打	击	（	EPSC	，	
2004	）。	 	
This shows that 	there are no uniform safety standards imposed in the chemical 	
industry, but rather a “best practice” that 	is being developed and implemented 	
over time through daily practice	. It also shows the 	importance of public awareness 	
and inspections by the authorities	 to push safety standards towards best practice. 	 	
 	这	表明	化工行	业	Y�~	强	D�	统	M�
�	标	
�>*��~3�	过	��	实	2��	积	v(�*�	
gB$�FqF	实	2�G	�	时	也体	现	了	公	众意	识	l	权	>	监	'�4�	门	$�50[�	>*��	们	促使	
安全	标	准不断	发	展成	为	最佳	实	践。

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This again demonstrates that chemical park partners need to have intensive contact in	 	
the area of process safety. In addition to the information exchange	 requirements 	
regarding process risks and safety measures laid down	 for	 e.g. “	domino establishments	”, 	
such contact also promotes an exchange of	 experience and ultimately should bring 	
overall process safety	 management up to a higher level. Companies which operate in 	
several	 chemical parks would be well 	positioned	 to evalua	te this additional input on a	 	
cross	-site level.	 	
 	此外也表明化工园区内合作伙伴有必要就流程安全事宜	进	行密切合作。除已确	
立的有关流程	风险	与安全措施的信息交流要求外（如	多米诺	设施	），	这类	合作也有利	
于	促	进经验	交流	，最	终	将使	综	合流程安全管理达到更高水平。而且，	这	也有助于同	时	
在	多个	化工园区	进	行运	营	的企	业实现	正确定位，从跨园区角度	对这	一	额	外投入	进	行	评	
估。	 	
3.2.4.3	 Emergency management	应急管理	 	
Contrary to process safety, 	emergency management is heavily site related	. In 	
principle, 	responsibility for minimizing the effects of major accidents lies with 	
individual operators	. Thus, in the first	 instance, all operators of facilities in a chemical 	
park need to create an	 appropria	te emergency management system for themselves. 	If 	
the domino effect provisions apply to them, they have to coordinate their risk 
prevention measures together	. If these provisions do not apply and	/or	 the	 operators 	
do not cooperate on a voluntary basis, the 	obligation to ensure	 coordination in the event 	
of major incidents affecting more than one	 operator lies with the public emergency 	
response body. 	This creates numerous interfaces between different organizations which 	
are difficult to manage in an emergency 	(EPSC, 2004).	 	
 	与流程安全相反，	应	�'�历z0[v
��R
�3	N	则	上，	由个体	经营	*�	负责	
~�+�
�a5��>$�s$	IH>*93
�>*�dR

�dw	设	施	运营者	需要各自建	
立合理的	应	急管理体系。	如果	连锁	o	应规		对	
�3�#�>*	则	�	们	�	须	相互协调	风险预	75	
P�	��V3�	规	定	对	其不适用或	经营	者不愿	进	行合作，	则	当重大事故	发	生且影响到	
一个以上的	经营	者	时	，由公共事件	应	急响	应	机构	负责进	行	协调	。	这	使得不同	组织间	的	
联	系日益	紧	密，在突	发	事件	发	生	时难	以	进	行管理	（	EPSC	，	2004	）。	 	
The majority of chemical 	parks with a hazard potential above a certain level have 	
therefore developed a shared emergency services	. This is 	often drawn up by the 	
infrastructure company	. 	At the heart of this system lies a site fire brigade 	
responsible for the entire chemical park	. A	s well as 	eliminating many interfaces	, a 	
shared emergency service for a chemical park is considerably more efficient and cost 
effective than having several emergency services paid for by different companies. The 
emergency response is improved because of fa	r shorter response times and 	
emergency services which know the premises perfectly	. There is also observed a	 fall 	
in the cost of fire protection equipment and insurance premiums	 because of a shared 	
emergency service.

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	264	 	
 
 	为	此，	绝	大多数存在潜在危	险	（超	过	一定等	级	）的化工园区开	发	出了相	应	的共	
享	应	急服	务	。	这	些服	务	通常由基	础设	施企	业负责	提供。	这	M/(�$�>�~�
�	纳	
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�75	队这	M+�>*R
�75	队负责	Zm�dR
$�!F!P75M	Z��	业	共同	为	
一些	应	急服	务	项目买单	相比，	化工园区	内的共享	应	急服	务	除了能降低沟通成本外，还	
会	更	为	高效且	更具成本效益	。	通	过	��	缩	%�	应	�$	应时间	�%��	应	�y	务	f��3�#�>*	
应	�$	应	水平得到	了提高	ZH�	时	，共享	应	急服	务	也使得	消防器材	与保	险费	的成本	
降低。	 	
For h	igher risk (“upper	-tier”) establishments 	as defined u	nder 	the EU 	Seveso II	 	
Directiveshared emergency services is	 useful	 to handle the	 coordination work required 	
to avoid	 domino 	effects	. Smaller or less hazardous chemical parks may rely partly 	
or completely on the emergency services of a nearby municipality	. In this case	 it is	 	
important to clearly define the 	interfaces	 between public emergency	 services and the 	
chemical park. The preferred option is to maintain a joint	 emergency management for all 	
chemical park partners.	 	
 	对	欧盟	Seveso	二号指令中定	义	的	较	高	风险	（	较	高	级	）企	业	而言，共享	应	急服	务	
有助于其	处	理必要的	协调	工作，	避免	发	生	连锁	反	应	。	小型化工园区或是危	险	'�	级较	*	
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	dfj	$�	应	�y	务	~	这	
种情况下，	则	很有必要明确定	义	公共	应	急服	务	与	化工园区	之	间	的	接口	。其中一个首	选	
措施就是保持园区内合作伙伴	间	的	联	合	应	急管理。	 	
All in all, it can be concluded that 	the overall risk posed by a chemical park can be 	
managed by a shared emergency service in more or 	less the same way as it can in 	
a traditional site.	 Deviations from these best 	practice 	earrangements may be legally 	
permissible.	 	
 	总	而言之，可以得出	这样	的	结论	：	化工园区所构成的	综	�	风险	��3�	过	
��	应	
�y	务	$��'	进	/�'�历	，这种方式	战�战aZ	传统	�d	场	�	%&�	ZV3�qF	实	践之	
间	所存在的偏差是法律上所允	许	的。	 	
3.2.4.4	 Security	安全	 	
Hazardous chemical faciliti	es 	regulated by 	the	 EU 	Seveso II Directive need to be 	
provided with 	reasonable protection against unauthorized access	. Anyhow, 	it is in 	
the interests of every company to protect itself against criminal attack	 such as 	
theft, vandalism and illegal demonstrat	ions. A	 chemical park with its various facilities, 	
pipe networks and numerous	 transport operations is in any case a dangerous place for 	
anyone presenton the site without proper training. 	The various companies and	 activities 	
in a chemical park will pose 	varying degrees of risk. In addition t	 ochemical facilities, the 	
site will usually feature administrative buildings,	 mechanical workshops, warehouses, 	
canteens and the like.	 	
 	对于	欧盟	Seveso	二号指令中所	规	定的危	险	化工	设	施，	应	确保其	在未	经	5	权	$�_

�W	>*	严	&�Q#�		无论如何	，	保	护	+�3
�	w	%'<
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8�2&g>q	动	等	犯罪行

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
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为	的影响符合所	有企	业	的利益	。	总	之，	对	园区内未	经	培	训	的任何人	员	而言，一个配	备	
各种	设	施、管道系	统	且涉及众多运	输业务	的化工园区就是一	个充	满	危	险	的	场	所。园区	
内的各	类	企	业	及其相关活	动	均可能构成各	类	不同等	级	的	风险	。除化工	设	施之外，园区	
内通常	还	建有行政大楼、	机修	车间	、	仓库	、餐	厅	等建筑。	 	
The security objectives could very well be achieved through decentralized	 measures 	
such as fencing off the individual hazardou	s chemical plants,	 protecting workshops 	and 	
office buildings from access by unauthorized	 persons and otherwise allowing access to 	
the rest of the site. However,	 this solution, 	which is typica	l of public industrial estates,	 	
does not deal	 with the hazards 	posed by the pipe networks and road/rail transport	 	
operations usually found in a chemical park.	 Moreover, in many cases,	 such a system 	
would considerably increase the security outlay.	 	
 	通	过	采取分散式措施能	够	更好地	实现	相关安全目	标	，	这	些措施包括隔离存在危	
险隐	患的化工厂，禁止未	经	授	权	的人	员进	入	车间	与	办	公大楼，允	许进	入园区内其他区	
域。但是，由于	这	一解决方案适用于公共工	业	园区，无法	应对	化工园区内由管道系	统	
及公路	、	铁	路运	输业务	所构成的危	险	。此外，在	许	多情况下，	这	一体系将使得安全	经	
费	大幅增加。	 	
A better solution is perimeter fencing of the site and controlled access through 
gates. Once a park is protected in this way, internal security measures need only 
be applied t	o a few particularly hazardous or sensitive areas	, such as safety	-critical 	
control	 rooms, areas where hazardous biological materials are used	 etc	. A park sealed 	
off in this	 way will be at least partially exempt from the strict legal provisions	 applying 	
to 	the transportation of hazardous goods on the public roads.	 	
 	较	好的一个解决方案是在园区内修筑	围栏	并	通	过	园区大	门	限制人	员	出	入。通	过	
采用	这	一方法	对	园区	进	行保	护	，就可以将内部安全措施	专门应	用于一些特	别	危	险	或敏	
感的区域	，如关	键	安全控制室，涉及危	险	生物材料的区域等。通	过这	一方式封	闭	起来	
的园区将至少在一定程度上免受	严	格的公共道路危	险	品运	输	的相关法律条款的	约	束。	 	
Moreover, companies which pose only a small potent	ial	 hazard may not readily agree to 	
apply heavy restrictions to their outside	 contacts. One solution may be to operate less	 	
strict external controls and to compensate for this by applying additional	 security 	
measures to the most hazardous or vulnerable areas. 	When chemical parks are 	
planned it is a good idea to separate areas with different hazard leve	ls. Some of the 	
chemical parks which have grown up over time do attempt to achieve this (EPS	C, 2004)	. 	
 	此外，	仅仅	构成	较	低潜在危	险	等	级	的企	业	可能很	难	在	严	格限制其外部	联	系	方面	
达成一致。其中一个解决方案可能就是放松外部控制并通	过	将其他安全措施	应	用于最	
为	危	险	或	最	为	脆弱区域	对	此	进	行弥	补	。	对	�lD%&
��L$��dR
*�0�>*W�
	
��Y�$�4	险	'�	级进	/�/(Y�	为	Mm�	办	2	M�Y	发	展起来的化工园区都	在	
努力	实现这	一目	标	（	EPSC	，	2004	）。

Tackling environmental risks with environmental planning: international experiences	 	
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3.2.4.5	 The problem of “internal neighbors”	“内部	邻近企业	�问题	 	
The 	European regulations (e.g. the Sev	eso 	Directive) treat neighboring companies 	
in a chemical park generally in the same way as neighbors outside the fence	. This 	
means that 	safety buffer zones which have to be maintained for the protection of 	
external neighbors under various legal provisions must	 in principle als	o be 	
observed inside the chemical park.	 This applies in particular to operations 	
invo	lvingsub	stances which present a risk of 	explosion, and also to emission limits	 for 	
noise and hazardous chemicals.	 	
 	欧洲法	规	（如	Seveso	指令）中，	对	待化工园区内	邻	近企	业	的方式基本上与	对	待	
园区	外	邻	近企	业	的方式如出一	辙	。	这	意味着	保	护	�4�	邻	3��	业	$��
�	缓	
�
	必须被	保	
留	>*N	则	V��	须	在园区	内部	加以体现		这	尤其适用于存在爆炸	风险	的相关物	质	的操	
作以及噪音、危	险	化学品的	排放	控制。	 	
Safety buffer zones may be necessary to comply with noise emissions	 limits. They are 	
also required to control exposure to hazardous chemicals	 when the effects of 	operating 	
malfunctions cannot otherwise be contained	 with sufficient certainty. In these cases, the 	
traditional site is at an	 advantage, since it can be safely assumed that all the employees 	
of a	 chemical company, even if they work in offices or worksho	ps,	 are subject to a	 single 	
hearing protection and emergency management system andare therefore better able to 
cope with noise and emergencies than their	 neighbors on the other side of the fence. 	
These conditions are also met by	 many chemical p	arks, 	which cer	tainly undermine the 	
reasoning for applying safety buffer zones in the same way as for external neighbors.	 	
 	安全	缓	冲区	有必要同噪音排放控制保持一致。当故障影响无法充分确定	时	，	安	
全	缓	冲区	应	避免接触危	险	化学品。在	这	种情况下，	传统	化工	场	地具有一定的	优势	，原	
因在于其能	够	有把握地假定	化工企	业	的所有	员	工（即使是在	办	公室或	车间	工作的	员	工）	
均配	备	了	听力保	护	装	备	与	应	急管理体系	，因此能	够	比	围栏	另一	边	的	邻	近企	业	更好地	应	
对	噪音影响与突	发	事件。一些化工园区也	满	足	这	些条件，	这	必定	不利于	外部	邻	近企	业	
以相同方式申	请	安全	缓	冲区。	 	
In chemical parks with a more “open” organizational structure and a	 greater mix of 	
industrial sectors, it is more difficult to defend “normal” insite	 safety buffer zones. In the 	
majority of chemical parks which developedout of earlier traditional 	industry 	sites, the 	
distances between the individual	 companies are usually fixed and any changes would 	
involve considerable	 and	 usually prohibitive expense. In	 such cases, 	there is a need to 	
work with the competent authorities to identify measures (such as a shared 
emergency management system) which can be implemented to compensate for 
non	-compliant safety buffer zones	. 	
 	对	于	组织结	构	较为	开放且涉及更多	工	业门类	的化工园区而言，很	难维	持区域内	
安全	缓	冲区	的正	常运行。	对	于多数在早期	传统	工	业场	地上	发	展起来的化工园区而言，	
私	营	企	业间	的距离通常是固定的，任何改	变	都将	导	致大量的、通常令人望而却步的	巨

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
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额	开支。在此情况下，	需要与相关部	门进	/��8>*%�%&
�P�	>&�
��	应	�'�历/	
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	进	/�	补偿		 	
3.2.4.6	 Inspecti	ons/Audits	检查	/审计	 	
The inspections of hazardous facilities which the authorities are requiredto carry out 
(for example 	under Article 16 of the EU Seveso II Directive)	 are primarily aimed at the 	
individual operator	. However, 	operators may transfer a large proportion of their legal 	
obligations to contractors,	 whom	 they must carefu	lly select and monitor. In such cases	 	
the aut	horities will	 check that the operator’s selection and monitoring of the contractors 	
is acceptable and that the contractors fulfill the legal obligations with which	 they have 	
been entrusted.	 	
 	有关部	门	需要	对	危	险设	施	进	行	检查	（如欧盟	Seveso	二号指令第	16	条下相关条	
款），	检查	的	主要	对	户	为	m/	经营	*�	!�*�>*H	类经营	者往往将	其法定	义务	的	绝	大部	
分	转	移	给	相关承包商，	经营	者必	须	慎重	选择	承包商并	对	其	进	行	监	管。在此情况下，相	
关部	门	将确	认经营	者	对	承包商的	选择	及	监	管是否符合	规	定，承包商是否履行了相关法	
律	义务	。	 	
In chemical parks 	operators normally transfer a large number of tasks to the 	
infrastructure company. It is therefore wise for the authorities and any other 
auditors to 	perform careful checks of the services carried out by the 	
infrastructure company	, even if this company would not usuallyfall under the 	
inspection rules. Checks on the operators (who are theactual subject of the inspection 
regime) would then be limited to e	nsuring	 that the various tasks given to the 	
infrastructure company are properly	 regulated by contract, that the relevant interfaces 	
are properly managed	 and that the operators are appropriately monitoring the services 	
provided	by the infrastructure company	 (EPSC, 2004)	. 	
 	化工园区内的	相关	经营	*�3��
W�5d8�	务转	&�+��	础设	��	业		IH>*	
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�4�	门	l�1
��	审计师	q�+	够对	�	础设	��	业	dfj$�%&
�y	务进	/�	谨	�>	查	>*	
6Q	该	企	业	通常不在	检查	范	围	之内	。	随后	对	于	经营	者（	检查	制度下的	实际对	象）的	检	
查	将局限于以下几个方面：确保移交	给	基	础设	施企	业	的	所有工作任	务	均在合同中做出	
了明确	规	定；相关	联	系均得到了妥善	处	理；	经营	者	对	基	础设	施企	业	所提供的服	务进	行	
了有效	监	管（	EPSC	，	2004	）。	 	
3.2.4.7	 Cooperation and decision	-making 	structures in chemical 	
parks	化工园区内的合作与决策	结构	 	
Cooperation and coordination between chemical park users and the	 infrastructure 	
company in managing overall risk and in ensuring the	 smooth day	-to	-day running of the 	
park calls for coordination and 	rules for decisi	on making	. It is not possible to run the 	
chemical park properly without a minimum of common rules	. Such regulations are 	
a fundamental	 condition for operating in a chemical park. 	They should cover issues

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such as safety and emergency management	, and should 	specify the services	 which 	
have to be bought in from the infrastructure company.	 	
 	只有有效的	协调	和	决策	规则	方能确保化工园区使用者与基	础设	施企	业	就	综	合	风	
险	管理及确保园区正常、平	稳	运行	进	行	协调	合作。	最低限度的通用	规则	*�>*	则	�d	
R
u�2G�3�/�		这类	法	规	是运	营	化工园区	的基本条件，	其中	应	��	�
�
	应	�	
'�历'��	项	>*	�	时还应	该	对	必	须	向基	础设	施企	业购买	的相关服	务进	行	详细说	明。	 	
Coordination and decision	-maki	ng bodies are also required to deal with	 day	-to	-day 	
issues and the ongoing development of the chemical park. The	 decision	-making powers 	
which these bodies have and the way that they	 arrive at decisions differ from park to 	
park. 	Such bodies can 	als	o be a va	luable forum fo	r the exchange of experience in	the area 	
of EHS.	 	
 	负责协调	与决策的相关机构也需要	处	理	化工园区	内的日常事	务	以及与园区目前	
发	展有关的相关事宜。	这	些机构所	拥	有的决策	权	及其决策的方式因园区而异。	这类	机	
构也可以被看作是一个	重要的平台，	用于提供	EHS	领	域的	经验	交流。	 	
3.2.5	 Lessons and suggestions for China 	对中国的启示和建议	 	
China 	has for many years been	 embracing the idea of industrial parks	 in general and 	
chemical parks in particular, and a growing number of new chemical parks are being set 
up	. As the 	evidences from such	 park	s in 	Europe prove	, they can balance both economic 	
development and environmental	 protection. 	 	
 	多年来，中国一直支持建立一般意	义	上的工	业	园以及具有特殊意	义	的化工园区，	
目前，中国正在建	设	越来越越多的新型化工园区。来自欧洲园区的	证	据表明，化工园	
区能	够	确保	经济发	展与	环	境保	护	之	间	的平衡。	 	
However, as have been illustrated above, there might be some 	challenges when 	
organizing these parks when it comes to taking care of environment, hea	lth and 	
safety issues.	 A special challenge in Europe has been that the regulations are focusing 	
on traditional industry sites, and are generally not targeted at regulating industry parks. 
Even if the regulatory approach in China may be different, there sho	uld be some lessons 	
to learn from the European experiences. 	Some lessons could be:	 	
 	但是，如上所述，	当涉及	环	C
��Z�
�	问题时	>*	这类	R
$�'g	�+
8	
临诸	多的	挑	战	"jd8	临	的一个特殊挑	战	是：相关法	规	的重点不在于	传统	工	业场	地，	
其目的通常也不是	为	了	对	工	业	园	进	行	监	管。尽管中国的	监	管方法可能有所不同，但是	
仍然需要从欧洲的	实际经验	中吸取一些教	训	。	这	些教	训	可能包括：	 	
 	Ensure that comprehensive risk as	sessments are carried out	. This is an 	
important basis for considering what actions to take to reduce environmental

Tackling environmental risks with environmental planning:	 international experiences	 	
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(and health & safety) risks (mostly acute risks), both for new and existing 
parks.	 	
 	确保	进	行	综	合	风险评	估	。无	论对	于已有园区	还	是新型园区而言，	这	都是采取相	
应	措施降低	环	境（以及健康与安全）	风险	（主要	为	严	重	风险	）的重要依据。	 	
 	Ensure clear rules and responsibilities for safety and emergency 
management	. This is utterly important for efficient handling of an incident or 	
accidents like fire or explosion, and 	thus to reduce the damage risk.	 	
 	确保安全与	应	急管理	规则	清晰，	职责	明确	。	这对	于有效	应对	火灾或爆	炸等突	
发	事件	、从而降低	损	坏	风险	而言至关重要。	 	
 	Ensure sufficient internal emergency preparedness to mitigate damages 
from accidents. 	This will dependon the size and type of the park, the distance 	
to residential areas, possibilities of cooperation with local, outside emergency 
sys	tems like fire brigades etc.	 	
 	确保做好充分的内部	应	急准	备	以减	轻	事故	危害	。	这	取决于园区的	规	模与	类	型，	
与居民区之	间	的距离，与地方、外部	应	急系	统	（如消防	队	）	进	行合作的可能性	
等。	 	
 	Ensure safety distances to residential areas	. When developing new 	
industrial parks these should be located in areas with a sufficient distance to 
residentia	l and similar areas where people live and work, to minimize the 	
damage risk if accidents should occur. 	 	
 	确保与居民区之	间	的安全距离	。建立新的工	业	园	时	，园区	应	位于与居民区或	
类	似区域（	人	们	生活和工作	的区域）保持足	够	距离的相关区域，以便在事故	发	
生	时	尽可能地降低	损	害	风险	。	 	
The details 	in the organization and management of the industry park, including how to 	
organize and run the EHS operations, should be left to the local management to decide. 
The authorities should ensure that systems and functions are properly taken care of. 
See also t	he Lessons and suggestions in chapter 2 under the sub	-chapter on the EU 	
Seveso Directive. 	 	
 	有关工	业	园	组织	与管理的	细节	，包括如何管理、运	营	相关	EHS	业务	的相关事宜	
均	应	由地方管理部	门负责	决定。相关部	门应	确保	对	相关体系及功能	进	行有效管理。	另	
请	参	阅	欧盟	Seveso	指 令 分 章 下 第	2	章 中 所 涉 及 的	经验	教	训	和建	议	。

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3.3	 	Integrated River Basin Management in the transnational Rhine River 
Basin 	– regional risk management and 	follow	-up of the EU Water 	
Framework Directive 	《跨国莱茵河流域综合流域管理》	—	 区域风险	
管理和	《欧盟水框架指令》	后续行动	 	
3.3.1	 Introduction	引言	 	
The Rhine is one of Europe’s longest rivers at about 	1,233 km	2 and the Rhine river basin 	
covers nine European countries. It is one of Europe’s busiest and economically most 
important waterways. The Rhine begins in the Swiss Alps and flows north	-northwest 	
until it empties into the North Sea in the Netherlands (ref. map in 	figure 	3.2), with an 	
average annual discharge of more than 2,000 m	3. The river catchment area covers about 	
200,000 km	2 in nine countries, with a population of 58 million. The Rhine mostly f	lows 	
through Germany (it is the longest river in Germany), and parts of th	e central stretch of	 	
the river basin also cover France, Belgium and Luxembourg. In the upper part of the 
river basin, mountain rivers in Austria, Liechtenstein and Italy also feed in	to the river 	
basin.	 	
 	莱茵河是欧洲最	长	的河流之一，面	积约	为	1233	平方公里	。莱茵河流域横跨欧洲	
九个国家，是欧洲	航运	最繁忙且	经济	上最	为	重要	的水路之一。莱茵河	发	源于瑞士境内	
的阿	尔	卑斯山	脉，流向西北	，	最后在	荷	兰	附近注入北海	（参考	图	3.2	中的地	图	）	。	多	
年平均流量	达	2000	立方米以上。	莱茵	河下游区域	面	积约为	20	万平方公里，覆盖九个	
国家，人口	总	数达	5800	万。	莱茵	河	主要流	经	德国（是	德国最	长	的河流	），流域中央河	
段同	时还	流	经	法国、比利	时	、	卢	森堡	。在流域上游，流	经	奥地利、列支敦士登	及意大	
利的	山区河流	也同	样	流入了	莱茵河流域。	 	
The Rhine is one of the most important rivers in Europe, having been a vital and 
navigable waterway carrying 	trade and goods	 from the North Sea and deep into the 	
centre of the European continent for the last two thousand years. Many castles an	d 	
fortifications along the Rhine testify to its importance as a historic waterway. In the 
Middle Rhine, the Rhine Gorge is 	a stretch o	f the river known for more than 40 castles 	
from the Middle Ages, vineyards and many quaint country villages. The Rhine 	Gorge 	
became a UNESCO World Heritage Site in 2002. In the lower part of the river basin, the 
Rhine turns west and enters the Netherlands, where it mergers with the rivers Meuse 
and Scheldt and forms the extensive Rhine	-Meuse	-Scheldt delta, one of the large	st river 	
deltas in Western Europe.

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 	莱茵河是欧洲最	为	重要的河流之一。	两千年来，	一直作	为	重要的	通航水道	，将	
贸易和	货物从北海	一直	输	送到欧洲大	陆	中部。莱茵河沿岸的一些城堡及	防御工事	体	现	
了它作	为	一条	具有	历	史意	义	的航道	的重要性。位于	莱茵河中游	的	莱茵河谷	段	是	莱茵河	
的一个河段，	莱茵河	以	40	多座中世	纪	城堡、葡萄庄园以及众多古朴的村庄而	闻	名。	莱	
茵河谷	于	2002	年被列入	联	合国教科文	组织	（	UNESCO	）	世	界	遗产	。在流域下流，莱茵	
河向西一拐，最	终进	入荷	兰	，与默	兹	河和斯	凯尔	特河	汇	合，形成泛莱茵河	-默	兹	河	-斯	凯	
尔	特河三角洲	——	西欧最大的河流三角洲之一。	 	
The Rhine 	is used for	 navigation (with a navigable stretch of 825 km), hydropower 	
production, industry 	(abstraction and discharge)	, municipal water management 	
(wastewater treatment and rainwater), agriculture, drinking	-water supply, flood 	
protection and for leisure. The interventions of humans over the last 150 years to adapt 
the water and river systems to different user functions ha	ve had serious consequences 	
for the 	ecological and 	hydro	-morphological resilience	 of the river system. In the Upper 	
Rhine alone (the stretch between Basel in Switzerland and Bingen in Germany), the loss 
of 88% of the floodplains between 1817 and 1970 signi	ficantly increased flood risk and 	
the 	potential for related damage downstream	 (Huitema & Meijerink, 2009). 	 	
 	莱茵河的	服	务领	域涉及航海（通航里程达	825	公里）、水力	发电	、工	业	（	采掘	
与排放）、城市水	资	源管理	（	废	水	处	理和雨水	）、	农业	、	饮	用水供	应	、	防洪	以及休	闲	。	
过	去	150	年	间	，人	类	通	过	人	为	干	预	使供水系	统	与河川系	统	适	应	于不同的用	户	功能，由	
此	对	河川系	统	的	生	态	、	水形	态	恢复	力	造成	严	重后果。	仅	就莱茵河上游（瑞士巴塞	尔	与	
德国	宾	根	间	的	河段	）而言，	1817	年至	1970	年	间损	失了	88%	的	洪泛	平原	，由此使得洪	
水	风险	以及	下游相关潜在危害	均	显	著增加（	Huitema & Meijerink	，	2009	）。	 	
One of the world’s highest densities of plants and factories can be found along the Rhine, 
where we find six main industrial centres with c	hemical i	ndustry, petrochemical 	
industry, refineries, cellulose industry, rubber industry, food industry, textile industry, 
electrical industry, metal	- and car production, and shipyards.	 Industry has been a major 	
source of water pollution in the Rhine since industr	ialization began. Most plants and 	
factories are concentrated along the lower Rhine (North Rhine	-Westphalia), where the 	
river passes the major German cities of Cologne, Düsseldorf and Duisburg. This is the 
most important chemicals industry region in Germany	, with more than 400 chemical 	
plants (NRW, 2013). Duisburg is the home of Europe’s largest inland part and functions 
as a hub to the Dutch seaports of Rotterdam, Antwerp and Amsterdam. The Ruhr River 
joins the Rhine at Duisburg. The Ruhr region is the larg	est urban area in Germany with a 	
population of about 8.5 million and the third largest urban area in the EU. The Ruhr 
region was Germany’s main industrial zone during the early 1900s, with heavy industry 
based on coal and steel leading to massive pollution	 to water and air until the mid	-	
1980s. The Rhine was at that time known as “	the open sewer of Europe	” (ICPR, 2004).	 	
 	莱茵河沿岸	分布着	世界上	密集度最高	的厂房和工厂，同	时还	有	6	个主要工	业	中	
心，覆盖化工、	石油化工	、	精	炼	厂	、	纤维	工	业	、	橡胶工	业	、食品工	业	、	纺织	工	业	、	电	
气工	业	、金属制造与汽	车	制造以及造船厂等	领	域。工	业	化以来，工	业	成	为	了莱茵河水

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污	染的主要来源。	绝	大多数厂房与工厂都集中在莱茵河下游（	北莱因	-威斯特伐利	亚	），	
此	处	莱茵河流	经	德国的主要城市	科隆	、	杜塞	尔	多夫	、	杜伊斯堡	，	是德国最	为	重要的化	
学工	业	区，	有	400	多个化工厂（	NRW	，	2013	）。	杜伊斯堡	拥有	欧洲最大的内陆港口	，	
是	连	接荷	兰	海港鹿特丹、	安特	卫	普	、	阿姆斯特丹	的枢	纽	。	鲁尔	河	在	杜伊斯堡	汇入	莱茵	
河	，	鲁尔	河地区	系德国最大的城区，人口	约为	850	万，同	时	也是欧盟第三大城区。	20	
世	纪	初期，	该	地区	为	德国主要工	业	区，以	煤炭和	钢铁	为	基	础	的重工	业	导	致大	规	模的水	
污	染和空气	污	染，	这	一状况一直持	续	至	20	世	纪	80	年中期。莱茵河在当	时	被	称	为	“	欧	
洲开放	的下	水道	”（	ICPR	，	2004	）。	 	
The Sandoz chemical spill in Switzerland in 1986 became a wake	-up call and raised 	
awareness of severe environmental risks. A fire burnt down 	the Sandoz	 agrochemical 	
storehouse in Schweizerhalle, releasing toxic agrochemicals into the air and 10	-30 tons 	
of pesticides into the Rhine, turning it red and killing most of the aquatic life 
downstream. Within two weeks after the spill, the Rhine countries unanimously adopted 
the Rhine Action Programme (1987	-2000) to save the ecosystems of the Rhine River. 	
The pr	ogramme led to reduction of water pollution from industrial and 	municipal point 	
sources	 and “resulted in an improvement of Rhine water quality nobody [had] imagined 	
[to be possible]” (ICPR, 2001). In the Ruhr area a combination of stricter environmental 
co	ntrols, technological and process innovation in polluting industries, restructuring of 	
industry towards service industries and high technology, and clean up measures (such 
as reforestation of brownfields) cleaned up the environment. The once heavily pollut	ed 	
Ruhr River today provides the region with drinking water. Smaller rivers in the Ruhr	-	
area, such as the Emscher, are however still marked by the high	-pollution industrial 	
legacy of the region. In the Rhine river basin as a whole, the river today provides	 	
drinking water to about 30 million people (ICPR, 2009). 	 	
 	1986	年，瑞士	山德士化学品	泄漏	事件	敲响了警	钟	，提高了人	们对	于	严	重	环	境	风	
险	的意	识	。一	场	大火	烧毁	了位于	史威	查	豪	尔	的	Sandoz	农	用化学品	仓库	，使得	有毒	农药	
释	放到空气中，	10	-30	吨	农药	流	进	莱茵河，使河水	颜	色	变红	，	毒死	了河流下游的大部	
分水生生物。	泄漏	事件	发	生后两	周内，莱茵河沿岸国家一致通	过	了《	莱茵河行	动计	划》	
（	1987	-2000	）》，以此拯救莱茵河内的生	态	系	统	。	该计	划的	实	施降低了来自工	业	与	市	
政	的水	污	染，“使得莱茵河水	质	提高到令人	难	以想象的程度”（	ICPR	，	2001	）。	鲁尔	
河地区	通	过	采取一	系列	措施，将	较为严	格的	环	境控制与工	业污	染、涉及服	务	行	业	与高	
科技的行	业	重	组	方面的技	术	与流程	创	新以及清理措施（如	棕	地	的	绿	化）相	结	合，	对环	
境	进	行清	洁	。往日	污	染	严	重的	鲁尔	河	如今可以为这一地区提供	洁净	的	饮	用水。	鲁尔	河	
地区	较	小的河流如	埃姆舍河	现	在仍然遭受着	该	地区高	污	染	这	一工	业遗产	所	带	来的	严	重	
影响。	总	体而言，莱茵河目前可	为	大	约	3000	万人口提供	饮	用水（	ICPR	，	2009	）。	 	
International cooperation 	goes far back in the Rhine river basin. Already in 1815 an 	
international agreement was made between the river basin countries to ensure free 
shipping, and a central committee with members from the different countries was 
established. As a response to incre	asingly unsustainable pollution, the International 	
Commission for the Protection for the Rhine (ICPR) was established in 1950. Increasing

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problems related to flooding, led to the creation in 1968 of the 	International 	
Commission for Research on Floods on 	the River Rhine	. In the following decades 	
transnational cooperation was developed further under the framework of the European 
Union (with directives addressing different aspects of river basin management, ref. 
figure 	2.1) an	d continued efforts at the river	 basin level. Insp	ired by the success of the 	
Rhine Action Program, the Rhine countries in 2001 launched the “	Rhine 2020”	 program 	
with concrete targets for further improvement of ecosystems, flood prevention, water 
quality and groundwater. The program also 	included a list of measures to be 	
implemented before 2005. 	 	
 	莱茵河流域	的	国	际	合作	可以	追溯到	很久以前	。早在	1815	年，流域沿岸国家就	为	
确保	免	费	船	务	而相互	间签订	了一份国	际协议	，与此同	时还	成立了一个中央委	员	会，其	
成	员	来自不同国家。	为应对	日益不	稳	定的	污	染形	势	，	1950	年成立了	保	护	莱茵河国	际	委	
员	会	（	ICPR	）。	为	解决日益	严	重的	与洪水相关的	问题	，	1968	年成立了	莱茵河洪水研究	
国	际	委	员	会	。随后几十年，跨国合作在	欧洲	联	盟	框架	下	进	一步	发	展（有关	流域管理不	
同方面的指令，参考	图	2.1	）	，并在流域	层	面做	出了不懈努力。在《	莱茵河行	动计	划》	
成功的启示下，莱茵河沿岸国家于	2001	年启	动	了《	莱茵河	2020	行	动计	划》，提出了	
需要	进	一步完善的具体目	标	，其中涉及生	态	系	统	、防洪、水	质	与地下水。与此同	时	，	
项	目	还	包含了一系列措施，	计	划于	2005	年前	实	施。	 	
The Rhine ministers noted that the goal and scope of th	e “Rhine 2020”	 and the WFD 	
requirements overlap and tha	t the measures proposed will serve both targets at the 	
same time. Since 2000, EU’s Water Framework Directive (WFD, ref. chapter 2 above) 
with mandatory environmental targets and a timeline and methodology of 
implementation, has provided the framework for i	ntegrated river basin management in 	
the Rhine.	 	
 	沿岸国家	负责	管理莱茵河的部	长们	注意到，《	莱茵河	2020	行	动计	划》的目	标	及	
范	围	与	WFD	要求存在重复部分，而且所提出的措施可同	时	达到二者所	设	定的目	标	。自	
2000	年起，	《欧盟水框架指令》（	WFD	，参考前述第	2	章	）就制定了	莱茵河	流域	综	合	
管理框架。	该	指令包括一些	强	制性	环	保目	标	以及	实	施期限、	实	施	办	法。	 	
 
Box 3.1 	Learning from Sandoz: Prevention of Accidents and 	Security of Industrial 	
Plants

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框	3.1 	从	Sandoz	化学品泄漏事件吸取经验：事故预防和工业工厂安全	 	
The fire and chemical spill near Basel in Switzerland in 1986 for several days immobilised 
drinking water production plants and fishery along the Rhine right downstream to the 
Netherlands, a distance of more than 1 000 kilo	metres. The incident triggered the Rhine Action 	
Programme and one of the first priorities was the handling of dangerous substances which, due 
to an accident, might get into water bodies, as well as the security of industrial plants (the cause 
of the fire w	as never established and there have been speculations about sabotage). 	 	
To begin with, the ICPR inventoried warehouses and production plants in the Rhine catchment 
and issued recommendations concerning the ”Prevention of accidents and the security of 
indus	trial plants”. This included 	fire safety regulations	, designed to avoid fires, to prevent them 	
from spreading by taking adequate measures of construction and to avoid resulting damage by 
providing storage facilities for fire extinction water. Concerning t	he 	licensing process for plants 	
in which accidents are liable to occur	, the ICPR recommended close cooperation between the 	
authorities, applicants (industry), citizens concerned and associations, with a view to improving 
the prevention of accidents. 	 	
The r	ecommendations included a number of requirements: 	 	
- 	All recipients receiving dangerous substances must be equipped with 	overflow safety 	
devices	 which automatically interrupt the filling process or which trigger off an audible 	
alarm. 	 	
- 	Pipelines	 receiving sub	stances dangerous for the water environment must be 	
impermeable and resistant and must be unmistakenly identified. 	 	
- 	Industrial plants must construct 	retention systems	 including collection tanks etc. in case 	
of leakage and accidents.	 	
- 	Substances, a mixture of which can be dangerous (for example explosive), may 	not be 	
stored together	. Large amounts of burnable materials must be stored apart.	 	
- 	Waste water split flows	 isolating industrial waste water, rain water and cooling water 	
are recomm	ended. Waste water should be avoided or minimized, e.g. with the help of 	
closed circuits.	 	
- 	During the 	transfer of goods	 from ships, lorries or railway carriages to warehouses or 	
vice versa, dangerous substances must not be allowed to flow into water bodies.	 	
- 	On site, the 	surveillance of industrial sites	 must alow timely detection if dangerous 	
sunbstances are accidentally released.	 	
- 	On site plans of alert	 must contain a precise list of safety measures in case of accidental 	
spills. 	 	
Links to the guidelines and t	he Warning and Alert Plan for the Rhine are provided in chapter 	
3.3.4. below.

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1986	年瑞士巴塞尔附近的火灾和化学品溢漏事件造成莱茵河沿岸及下游至瑞士超过	
1000	公里范围内的饮用水生产工厂和渔场停止运营数日。该事件引起《莱茵河行动计	
划》的通过，使得危险物质的处理成为一项重中之重的工作。危险物质由于事故可能
污染水体并危害工业工厂安全（未确定火灾起因，有怀疑认为是人为破坏）。	 	
首先，	ICPR	盘点了莱茵河流域的仓库和生产工厂并发布“事故预防和工业工厂安全”	
的相关建议。这包括	消防安全法规	，旨在预防火灾，通过在建筑方面采取适当措施阻	
止火灾蔓延，以及通过提供灭火用水贮藏设备避免造成损害。对于事故易发的工厂的
执照核发程序，	ICPR	建议核发机构、申请人（工业）、有关市民和协会采取紧	密合作，	
着眼于增强事故的预防。	 	
建议包括一些要求：	 	
- 	所有受危险物质影响的人须配以	溢流安全装置	，以自动阻断拡散过程或引起音	
响报警。	 	
- 	受水环境危险物质影响的管道须牢固且不可渗透，不能出现辨认错误。	 	
- 	工业工厂须建	助流系统	，	包括收集槽等，以防事故和泄漏	 	
- 	对于混合起来可能造成危险	（	比如爆炸	）	的物质	，	不能将它们储存在一起	。大	
量可燃材料须分开储存。	 	
- 	建议使用将工业废水、雨水和冷却水隔离开的	废水	分流。	废水应	避免或减少	，	
例如	：	通过封闭式水流。	 	
- 	在将船、卡车或火车车厢的货物转移到仓库或将仓库中的货物转移到船、卡车
或火车车厢时	，	不能允许危险物质流入水体。	 	
- 	在现场，工业场地监督须允许	及时检查	以发现是否有危险物质意外释放。	 	
- 	在现场，	 警报计划	须包含一旦意外泄漏发生采取的安全措施的精确清单。	 	
关于莱茵河的导则链接和《提醒和报警规划》在以下第	3.3.4	节会有介绍。	 	
 
3.3.2	 Principles	原则 	
Over time the management of the Rhine River has gradually come to represent the 
principle of Integrated River Basin Management (also referred to as integrated water 
resource management). 	Integrated river basin management	 	including	 	
environmental targets	 is a form of 	regional environmental risk assessment and 	
management, as it deals with a spatial scale that includes multiple habitats with	 	
multiple sources of 	stressors affecting multiple endpoints. 	The 	Global Water 	
Partnership (founded in 1996 by the World Ba	nk	, UNDP and SIDA) defines IRMB as	 “the 	
process of coordinating conservation, management and development of water, land and 
related resources across sectors within a given river basin, in order to maximize the 
economic and social benefits derived from wate	r resources in an equitable manner 	
while preserving and, where necessary, restoring freshwater ecosystems."

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 	经过	一段	时间	后，莱茵河的管理重心逐	渐过	渡到“	流域	综	合管理	”（也称作	水	
资	源	综	合管理	）	这	一原	则	。	包括环境目标在内的综合流域管理是一种区域环境风险评	
估和管理，因为它	对包含多种栖息地的空间规模进行风险评估，在这些栖息地中压力	
源影响多个端点。	全球水伙伴	组织	（	1996	年由世界	银	行、	UNDP	、	SIDA	共同	创	立）将	
IRMB	定	义为	“在指定流域内跨行	业协调	水	资	源、土地及相关	资	源的保	护	、管理与	发	展	
的	过	程，在保	护	、恢复（必要	时	）淡水生	态	系	统	的同	时	，	实现	由水	资	源所	带	来的	经济	
社会效益的最大化”。	 	
Since 2000, the WFD has provided the framework for the coordinated effort of the Rhine 
countries, setting environmental targets and establishing a stepwise process	 to reach 	
these targets. The principles of the WFD are described in detail in chapter 2 above.	 	
 	自	2000	年以来，	WFD	已制定了莱茵河沿岸国家	协调	努力框架，	设	定了相关	环	
境目	标	并建立了	实现这	些目	标	的分段步	骤	。有关	WFD	原	则	的	详细	内容，	请	参	阅	前述第	
2	章相关内容。

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	277	 	
 
Figure 	3.2	 Map of the 9 river basin districts within the Rhine river basin	 	
图	3.2 	莱茵河流域内	9	大流域地区区域	图	 	
 	
Source: ICPR (2009)	来源：	ICPR	（	2009	） 	
莱茵河流域国	际地区 	
报告A部分 	
K 1.2 	运营区域

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	278	 	
 
3.3.3	 Approach	方法	 	
Implementing the WFD i	n a river basin of the scale of the Rhine river basin	 provided 	
significant challenges related to coordination and distribution of work. On the positive 
side, international cooperation about river basin management already existed in the 
area and 	trust and shared successes	 (ref. the Rhine Action Programme) had	 already 	
been established. In order to ensure a coordinated and consistent implementation of the 
WFD between the nine counties in the river basin, a 	Rhine Coordination Committee	 with 	
representatives of the nine states was established to take the overall de	cisions required. 	
The committee draws on The International Commission for the Protection of the Rhine 
(ICPR), which coordinates the practical work between the Rhine countries to ensure 
integrated and sustainable management of the Rhine river basin.	67 	
 	在莱茵河流	域	这样	一条	颇	具	规	模的流域	实	施	WFD	，	对	相关	协调	分配工作提出了	
重大挑	战	。从	积	极	方面	看	，	这	一区域早就有了有关流域管理国	际	合作的先例，同	时	也	
早已在	这	方面取得了可靠且可分享的相关成就（参考《莱茵河行	动计	划》）。	为	了确	
保	WFD	在	该	流域内九个国家	间	的	协调	、	统	一	实	施，成立了	莱茵河	协调	委	员	会	，	该	委	员	
会	由来自上述九个国家的代表共同	组	成，旨在就	相关	问题	做出整体决策。	同	时	，通	过	
与	保	护	莱茵河国	际	委	员	会	（	ICPR	）合作，履行其相	应职责	。	ICPR	主要	负责协调	莱茵河	
沿岸国家	间	的	实际	工作，以确保莱茵河流域的	综	合、可持	续	管理。	 	
Due to	 the size and complexity of the river basin district, the 	Rhine Coordination 	
Committee	 decided in one of its first meetings to split the management plan for the 	
Rhine river basin into 	two levels	: An 	Overriding Part A	 covering the whole river basin, 	
and 	subordinate B parts	 with detailed plans for nine sub	-basins of the Rhine river. The 	
Overriding Part A	 of the management plan covers the main network of water bodies in 	
the Rhine, 	defined as those with a catchment area of >2,500 km2.	 It is concerned 	
primari	ly with the major water management issues that affect the entire river basin 	
district, such as 	biological river continuit	y, reduction of pollution, and harmonisation of 	
water uses (navigation, energy production, flood protection, regional land use planning	) 	
with environmental objectives. The 	Rhine Coordination Committee	 and representatives 	
of all th	e states concerned draft this part jointly. 	 	
 	由于流域地区覆盖范	围过	大且存在一定的复	杂	性，因此	莱茵河	协调	委	员	会	在	其	
首届委	员	会第	一次	会	议	中决定将莱茵河流域管理	规	划分	为	两个部分	：	A	最重要部分	覆	
盖整个流域；	B	从属部分	详细	列出了涉及莱茵河九大次流域的相关	规	划。管理	规	划	A	
 	 	 	
67 The ICPR website is available here: 	http://www.iksr.org/index.php?id=192&L=3	 Note that it also contains 	
a video presentation of the Rhine and international cooperation with Chinese subtitles: 
http://www.iksr.org/index.php?id=376&L=3	 	
ICPR	网址：	http://www.iksr.org/index.php?id=192&L=3	需要	说明的是以下网站中还包含了一个有关莱茵河与国际合作的视频	
演示（配中文字幕）：	http://www.iksr.org/index.php?id=376&L=3

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	279	 	
 
最重要	部分	涵盖了	集水区	>2,500 km2	的	莱茵河主要水体网	络	。主要集中	解决	与水	资	源	
管理相关且可能	对	整个流域地区造成影响的重大	问题	，包括	生物河流	连续	性	、减少	污	
染以及水	资	源利用（航海、能源生	产	、防洪、	区域土地利用	规	划	）与相关	环	境目	标间	
的和	谐	。	莱茵河	协调	委	员	会	及其所有相关国家的代表共同起草了	这	一部分。	 	
The B Parts of the management plan consists of nine plans, covering nine areas defined 
by natural features and in most cases covering territories of several countries. 	The nine 	
areas are the Delta Rhine, the Lower Rhine, Moselle/Saar, Middle Rhine, Main, N	eckar, 	
Upper Rhine, High Rhine, and Alpine Rhine (ref. map in fig. 3.2). Each of the nine 
regional management plans are developed by representatives of the countries and 
institutions involved. Four of the regions are upstream regions (Moselle/Saar, Neckar,	 	
Main, Alpine Rhine), an	d management plans	 for these regions can thus largely be 	
developed independently. For the downstream regions the situation is more complex as 
they need to take into account the influence from the upstream regions. Coordination at 
a detailed level is therefore often necessary between different regions and is facilitated 
by ICPR. In addition, the cooperation of all state parties in developing the overall 
management plan (the 	Overriding Part A	 management plan) also contributes to ensure	 	
coordination on overall issues. Different countries also have national management 
plans.	68 	
 	管理	规	划	B	部分中共包含九大方案，涉及按自然地物定	义	的九个区域，多数情	
况下覆盖若干国家的	领	土。上述九个区域包括：	莱茵河三角洲、	下	莱茵	河、	摩	泽尔	河	/	
萨尔	河	、中	莱茵河	、	美因河、内卡河	、	上莱茵河	、	高莱茵	河以及	阿	尔	卑斯莱茵河	（参	
考	图	3.2	中地	图	）。上述九大区	域管理	规	划均由相关国家及机构的相关代表	负责编	制。	
由于其中四个地区	为	上游区	（	摩	泽尔	河	/萨尔	河	、	内卡河	、	美因河	、	阿	尔	卑斯莱茵河	），	
因此有关	这	些地区的	管理	规	划在	很大程度上可独立	进	行	编	制。然而，下游区的情况就	
较为	复	杂	，因	为这	些地区	还	需要将来自上游区的影响考	虑	在内。	这	就往往使得不同地	
区	间	有必要	进	行具体	协调	，	ICPR	主要	负责	促	进	相关	协调	工作的开展。此外，所有	缔约	
国就	综	合管理	规	划（	A	最重要部分	，	管理	规	划	）	进	行合作也有利于确保就	整体	问题	进	
行	协调	。不同国家也相	应	制	订	了各自的国家管理	规	划	。	 	
3.3.4	 Tools	工具	 	
The first requirement of the WFD was to make an	 inventory	 of the Rhine river basin 	
(ICPR, 2004), in order to establish a baseline. The WFD sets the targets of Good 
 	 	 	
68 The 	overridin	g management plan, the nine regional management plans and the national management 	
plans are all available here: 	http://www.iksr.org/index.php?id=171&L=3	 Note that with the exception of the 	
overriding	 management plan, most of the management plans are only available in local languages such as 	
German, French or Dutch	. 	
有关	最重要	管理	规划、九大区域管理规划以及国家管理规划的详细内容，请登录网址	http://www.iksr.org/index.php?id=171&	
L=3	需要	说明的是，除	最重要	管理	规划外，多数管理规划只提供当地语言的版本，如德语、法语或荷兰语。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	280	 	
 
Ecological Status (for natural water bodies) or Maximum Ecological Potential (for 
artificial or 	heavily modified	 water bodies), which means that only a slight deviation 	
from what may be considered a 	natural reference condition	 is allowed. In order to 	
establish the 	natural reference conditions	, the 	typology	 of the main stream of the Rhine 	
was identified and e	xtensive	ly presented in a separate repor	t (ICPR, 2005). Based on the 	
inventory and the establishment of environmental targets, the 	management plans	 	
(ICPR 2009) were developed, with the aim to improve the status of water bodies in line 
with the goals of the directi	ve. 	 	
 	WFD	的	首要要求	为	列出有关莱茵河流域相关事	项	的	详细	清单	>&	ICPR	，	2004	），	
以此	建立基准	线	。	WFD	针对	“	良好的生	态	状	态	”（	针对	天然水体）或“	最大生	态	潜力	”	
（	针对	人工或	大幅度改造	的	水体）	设	定了相	应	目	标	，	仅	允	许	同	自然参考条件	存在	轻	微	
偏差	。	为	了	创	立相关	自然参考条件	，	对	莱茵河干流	类	型	进	行了确定并将	其完整地写入	
了另一份	报	告	（	ICPR	，	2005	）。由此，	管理	规	/	>&	ICPR	，	2009	）	在上述	详细	目	录	及	环	
境目	标设	定的基	础	上	编	制完成，目的在于依据相关指令目	标	改善水体状况。	 	
In accordance with the requirements of the WFD, 	the management plan provides a	 	
general description of the characteristics of the river basin district in question, a 
summary of significant 	anthropogenic pressures, maps over relevant areas of 	
special protect	ion in the river basin (drinking water areas and Natura 2000 	
areas), a list 	of the environmental objectives for the different types of water 	
bodies in the river basin district, a map of the relevant monitoring networks that 
are in place, and summary of the	 programmes of measures, including the ways in 	
which the mandated objectives	 are thereby to be achieved. 	This constitutes an 	
example of regional environmental risk assessment. 	We can only here provide examples 	
of the analyses made and have chosen aspects 	we believe are of particular interest in the 	
Chinese context.	 	
 	依照	WFD	相关	要求，管理	规	划中	对	有	e�h@	流域地区的区域特征	_�	行了整体	描述	，	
+�	相关重大	人	L#	活	"P	#3	力	_�	行了	/�N{	，	d0+�	流域内受到特殊保	2L	的相关区域（	i	用水	
区及	Natura 2000	自然保	护	区）	绘	制了地	图	与此同	时还	涵盖了流域内地区内不同	类	型	
水体的	环	境目	标	清	单	，	现	有	监测	网	络	地	图	，以及有关措施	计	划的	总结	，包括	实现规	定	
目	标	的途径。	这包括一个区域环境风险评估的范例。	在此，我	们仅	提供相关分析示例，	
选	取了一些我	们认为	可能会	对	中国	产	生影响的方面	进	行	阐	述。	 	
The invent	ory pointed at the need to still focus on reducing the influence of 	pollution	 	
agents and to address and reverse the “unnatural” character of large parts of the river. 	 	
 	依据上述	详细	目	录	，仍然需要将重点放在减少	污		I�$�s$>*0�
���	转	河	
流大部分区域当前的“非自然”状况。

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	281	 	
 
Figure 	3.3	 Emission pathways for determining the pollution pathways of surface 	
water bodies	图	3.3 	决定表面水体	污	染方式的排放途径	 	
 	
 	
 	
Source: ICPR (2009)	来源	：	ICPR	（	2009	） 	
 	
 
 
大
气	 	
主要来源	 	
农业	 	
运输基	
础设施 	施工材
料 生活	 	
工贸 	
直接投
入 环境 	
污染 	
地下水	 	
土壤	 	
密封表面	 	独立
缝 	
排水系	统 	
废水处	
理 	合流下水道	 	
 
 
莱
茵
河
流
域
地
区	 	
1 大气沉降	 	
2 地下水	 	
3农场污	水与漂流物	 	
4侵蚀 	
5地表径流	 	
6排水	 	
7雨水明沟	 	
8城市	废水处理厂的排放	 	
9合流下水道溢流	 	
10来自含流制排水系	统的未	经处	理的废水 	
11未连接 	
12工业 	
13直接	输入 	
14自然	环境污染

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	282	 	
 
 
Nitrogen pollution was not considered a limiting factor on a local scale, but plays an 
important role at the overall level as it is a significant source of coastal water pollution 
and thus affects the ability to reach environmental targets there. 	Only some	 of the 33 	
Priority Pollutants and 8 Other Pollutants	69 explicitly referred to in the WFD were found 	
to be problematic in the Rhine: Phtalates, phenols, brominated diphenylethers, diuron, 
isoproturon, hexachlorobenzene, polycyclic aromatic hydrocarbons and 	tributyltin. 	
These were considered to be largely remnant of 	former inputs	 or of 	diffuse origin	. 	
 	就局部范	围	而言，	氮	污	染	不构成限制因素，但由于它是	沿海水	污	染	的一个重要	
来源，因此	总	体而言	发挥	着重要的作用，同	时	也	对实现环	境目	标	的能力	产	生一定的影	
响。就莱茵河而言，	仅发现	WFD	中明确指出的	33	种	优	先控制	污	染物	与	8	种其他	污	染	
物中的一些	污	染物存在	问题	，包括：	邻苯二甲酸酯	、	酚类化合物	、	溴化二苯醚	、	敌草	
隆	、	异丙隆	、	六氯苯	、	多环	芳香烃	及	三丁基锡	。	这	些	污	染物主要是	以往	输	入	或	面	源	的	
残余物。	 	
The inventory noted that 88% of the water bodies of the Rhine River were 	heavily 	
modified	 or artificial with the character of the river	 banks and its bottom, the interaction 	
between the river and its alluvial area and free fish migration being “seriously affected”. 
Re	-establishing more 	natural conditions	 and free fish migration, for instance with the 	
help of fish ladders were considered cr	ucial to improve the ecological state. The 	
inventory also points to the loss of natural flood retention areas from straightening and 
diking the river (see figure 3.4 below), as increasing flood risks. In the inventory it is 
estimated that an extreme flood 	along the Rhine may cause damages of up to Euros 165 	
billion.	 	
 	上述	详细	清单	显	示，莱茵河	88%	的水体	为	大幅度改造	或具	备	河提及其河底特性	
的人工水体，河流自身与其	冲	积	区	间	的互 相作用以及不受	约	束的	鱼类	回游	均受到了	
“	严	重影响”。重新	创	造更	为	自然的	CW	境	并	恢复	鱼类	回游（如	采用	鱼	梯	）	对	于改善生	
态	状况起着至关重要的作用。此外，目	录	中也指出了由	矫	直河流	、	河流筑堤	而	导	致的	
自然	蓄滞洪区	消失（	见	下	图	3.4	），将其看作是一种与日俱增的洪水	风险	。据估	计	，莱	
茵河沿岸的特大洪水可能造成的	损	失可达	1650	亿	欧元。	 	
 	 	 	
69 The full list is available here: 	http://ec.europa.eu/environment/water/water	-	
framework/priority_substances.htm	完整清	单见网址	http://ec.europa.eu/environment/water/water	-	
framework/priority_substances.htm

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	283	 	
 
Figure 	3.4	The Rhine at Breisach, in 1838 	(natural) 	and 1980	 (modified)	 	
图	3.4 	1838	年（	天然	）与	1980	年（	改造	后）	的	Breisach	段	莱茵河	 	
 
 	
Source	: ICPR (2004). 	In 1838	 the Rhine River 	still 	freely moved through the floodplain at 	Breisach	, where 	
it topped the banks and changed its river bed dynamically. Today it is forced into a fixed bed and deprived 
of its natural dynamics.	 	
来源：	ICPR	（	2004	）。	1838	年，莱茵河仍可自由地穿	过	位于	布莱	萨	赫	的泛	滥	平原	，当	时	，在	布莱	萨赫	，	
莱茵河	地	势	高出河流两岸，使其河床	发	生了巨大的改	变	。而今，	莱茵河被迫形成了固定的河床，也	丧	失	
了其往日自然的流	动活力	。 	
The management plan provided a 	register of protection areas	 in the river basin, with 	
high resolution maps for the distribution of protected drinking water sources (ref. figure 
3.5), as well as 	Natura 2000 areas	 for the protection of flora, fauna and birds (ref. 	
chapter 2 about the Habitats Directive). This is especially important to address locally 
concentrated environmental risk. The total surface area of 	Natura 2000 site	s in the 	
Rhine river basin that are depe	ndent on water was estimated to approximately 19,000 	
km	2 (about 10% of the total river basin). 	 	
 	管理	规	划提供了一份有关流域内	各保	护	
$�	记录	>*
�p���lw�	护饮	用水	
源分布（参考	图	3.5	）以及	Natura2000	动	植物、	鸟类	自然保	护	区	分布（参考第	2	章中

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	284	 	
 
《欧盟栖息地指令》	相关内容）的	高分辨率	图	。	这对	于	应对	局部地区	较为	集中的	环	境	
风险	非常重要。据估	计	，莱茵河流域内依靠水源存在的	Natura 2000	自然保	护	区	的	总	
表面	积	大	约	达到	19000	平方公里（	约为	流域	总	面	积	的	10%	）。	 	
Figure 	3.5	 Water supply zones in the Rhine river 	basin	 	
图	3.5 	莱茵河流域供水区	 	
 	
Source: ICPR (2009)	来源：	ICPR	（	2009	） 	
The management plan i	ncorporates the requirements to fulfil EU’s 	Drinking Water	 	
Directive	 	(98/83/EC	), concerning	 	the quality of water intended for human 	
莱茵河流域国	际地区	 	
报告A部分	 	
K G	人类饮	用水取用

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	285	 	
 
consumption	. The 	Drinking Water Directive	 protect	s human health by laying down 	
heal	thiness and purity requirements. 	Member States have the obligation to establish 	
water supply zones	 and adequate	 monitoring programmes in accordance with the 	
minimum requirements set in the 	directive (Article 7 and Annexes II and III).	70 The 	
directive 	lies	 down the essential quality standards at EU level	: A total of 48 	
microbiological, chemical and 	indicator paramete	rs must be monitored and tested 	
regularly. In general, World Health Organization's guidelines for drinking water and the 
opinion of the Commission's Scientific Advisory Committee are used as the scientific 
basis for the quality standards in the drinking wa	ter.	 The d	irective also requires 	
providing regular information to consumers	 and in addition	 drinking water quality has 	
to be reported to the European Commission every three years. The Commission assesses 
the results of water quality monitoring against the 	standards in the Drinking Water 	
Directive and after each reporting cycle produces a synthesis report, which 	is made 	
public.	 	
 	此	外，管理	规	划中	还	包含了履行	欧盟	《	饮	#�传��		>&	98/83/EC	）的相关要求，	
主要涉及人	类饮	用水的水	质问题	。	《	饮	用水指令》通	过	制定有关	健康与	水	质纯净	度	方	
面的要求	对	人	类	健康	进	行保	护	。各成	员	国有	义务	依据指令中提出的最低要求（第	7	条	
以及附	录	II、附	录	III）建立	供水区	以及完整的	监测	程序	。除此之外，指令中也列出了	
一些基本的符合欧盟	规	定的	质	量	标	准：必	须	定期	对	48	种微生物、化学及	指	标	参数	进	行	
监测	、	检验	。一般来	说	，世界	卫	生	组织	有关	饮	用水的指	导	方	针	以及欧盟委	员	会	科学咨	
询	委	员	会	所提供的相关建	议	均被	看作	是制定	饮	用水	质	量	标	准的科学依据。同	时	，指令	
还	要求定期	为	消	费	者提供相关信息，必	须	每三年就	饮	用水水	质	向	欧盟委	员	会	汇报	一次。	
欧盟委	员	会	依照	《	饮	用水指令》	相关	标	准	对	水	质监测结	果	进	行	评	估	，每个	报	告周期	过	
后	编	写一份	综	合	报	告，并	对	外公布	。	 	
The management plan for the 	Rhine river basin (	Overriding Part A	) contains a program 	
of measures for solving the major problems at the international level. (The nine river 
basin dist	rict plans a	nd national managemen	t plans	 will address issues of more local 	
importance.) The 	programme 	of measures	 at the river basin level	 (level A) focuses on 	
restoration of 	biological river continuity	 with increase of habitat diversity and on 	
further reduction of pollution from diffuse sources. 	 	
 	莱茵河流域管理	规	划（	最主要	A	部分	）包含了一个	措施	计	划	，主要用于解决国	
际	重大	问题	（九大流域地区	规	划	及国家管	理	规	划主	要用	于解决一些地方	问题	）。流域	
 	 	 	
70 For more information about the Drinking Water Directive and drinking water managem	ent in the EU, 	
see the European Commission web portal ”Drinking Water”: 	http://ec.europa.eu/environment/water/water	-	
drink/index_en.html	有关《水框架指令》与欧盟	饮用水管理的更多信息，见欧盟委员会门户网站	“饮用水	”：http://ec.europa.eu/environme	
nt/water/water	-drink/index_en.html

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层	面（	A	级	）的	措施	计	/	$�>�~�3�	过	增加	栖地多	样	性	恢复	生物河流	连续	性	并	进	一	
步减少来	自	面	源的	污	染。	 	
Figure 3.6 and 	3.7	 Present ecological status 	(2009) 	and expected status at end of 	
first implementation period	 (2015	) 	
图	3.6	、	3.7 	当前生	态	状况（	2009	）与首个	实	施期末（	2015	）	预	期状况	 	
 	
 	
 	 	
Source : ICPR (2009).	来源	：ICPR	（	2009	） 	
The measures for restoring biological river continuity are based on a number of 
technical reports (ICPR 2006, 2009b) and separate plans, such as the Master Plan 
Migratory Fish Rhine (ICPR 2009c), eel management plans, and the programme for re	-	
naturalisatio	n of the river under the Rhine 2020 programme. 	The following serves as 	
representative examples of the measures to reduce accumulated and acute and locally 
concentrated environmental risk. 	 	
 	恢复	生物河流	连续	性	所采取的措施是在大量技	术报	告（	ICPR 2006	，	2009b	）以	
及一些独立	规	划（如	《莱茵河洄游	鱼类总	体	规	划》	（	ICPR 2009c	），	鳗鱼	管理	规	划以	
不适
用 	未作	说明 	
差 	
适中	 	
2015	年水体	预期生	态状况与生	态潜力	 	
非常好	 	
良好	 	
 	
良好	 	
 	
适中	 	
差 	
当前生	态状况或水体潜力	 	
非常好	 	不适
用 	
未作	说明 	
严重

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及《莱茵河	2020	行	动计	划》下的河流	重新自然化	计	划	）的基	础	上制定出来的。下面列	
出了有关	这	些措施的	典型	实	例	，	这	些措施的目的在于降低累	积环	境	风险	、	突	发	性	环	境	
风险	以及局部集中	环	境	风险	。	 	
The	 Master Plan Migratory Fish Rhine	 outlines 	how self	-sustaining, stable populations 	
of migratory fish can again be settled in the Rhine catchment	 are	a as far up as Basel (o	n 	
the border of the Upper Rhine and the High Rhine), 	within reasonable time and at 	
reasonable cost.	 The main activities are removing of transverse constructions where 	
possible and constructing fish passages where infrastructure, 	such as sluices or 	
hydropower stations, disrupts connectivity. The Rhine facilitates a large	-scale fishery on 	
yellow eel and silver eel, but eel (	Anguilla anguilla	) is a vulnerable species, has shown a 	
strong decline all over Europe in the last decades and	 is considered critically 	
endangered (IUCN, 2013). To protect the endangered eel populations the EU issued a 
regulation (EC No. 1100/2007) focussing on a reduction of eel mortality of 
anthropogenic origin, with the goal to secure 40% survival 	compared to t	he natural 	
stock. By means of sepa	rate 	eel management plans	, which are to be included in the 	
river basin management plans, all EU Member States with 	natural eel stocks	 must 	
ensure that when this survival rate of eels migrating downstream is not achieved, the eel 
stock is re	plenished. Measures to protect eels include restricting fishery, improving river 	
continuity and stocking. Th	e species diversity of a river mainly dep	ends on the diversity 	
of its morphological structures. 	 	
 	《莱茵河洄游	鱼类总	体	规	划》	简	要概述了	为	何	自我	维	持且	稳	定的	洄游	鱼类	种群	
能	够	在合理的期限内以合理的成本	再次在莱茵河集水区栖息下	来	，一直延伸至	巴塞	尔	
（	接近上莱茵河与	高莱茵	河）。主要活	动	包括移走	横断工事	（可能的	话	）并在	水	闸	或	
水	电	站等基	础设	施破坏	连	接性的地方构建	鱼	群通道	。莱茵河使得	黄	鳗	与	银鳗	等	渔业	大	
规	模	发	展，然而由于	欧洲	鳗鲡	属于	易危物种	，因此	过	去几十年	间	欧洲的	鳗鱼	数量急	剧	
下降，一度	濒临	灭绝	的境地	（	IUCN	，	2013	）。	为	保	护濒临灭绝	的	鳗鱼	群，欧盟	颁	布了	
一	项	法	规	（	EC No.	 1100/2007	），力	图	降低由人	为	原因	导	致的	鳗鱼	死亡率，与自然存	
量相比，确保	40%	的存活率。通	过	制定独立的	鳗鱼	'�历	规	/	>&	计	划	纳	入流域管理	规	
划	）	，所有	拥	有	自然界	鳗鱼	存量	的欧盟成	员	国必	须	确保当迁移至下游，未达到	这	一	鳗	
鱼	存活率	时	，必	须对鳗鱼	放养	进	行	补	充。保	护鳗鱼	的措施包括限制	渔业	、提高河流	连	
续	性以及	放养	。河流生物多	样	性主要取决于其形	态结	构的多	样	性。	 	
An important point of the management plan is t	herefore to 	increase and restore 	
structural diversity 	in the riverbed and along its banks. This will contribute to opening 	
up further habit	ats to the flora and fauna living in the river, on its banks and on the 	
floodplains. Within the Rhine 2020 programme 	(ICPR, 2001), 100 oxbow lakes will be 	
reconnected with the 	dynamics	 of the Rhine by 2020, and former hydraulic and 	
biologically effective connections between the river and its floodplains will be restored. 
Along suitable sections of the Rhine, the structur	al diversity will be increased along 800 	
km at a minimum, taking into account aspects of security for navigation and people.

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 	因此，管理	规	划的重点之一就是	增加并恢复	河床及两岸的	结	��	样	�		这	将有	
利于	进	一步	为	栖息于河流中、河流两岸以及	泛	滥	平原	的	动	植物提供新的栖息地。依据	
《莱茵河	2020	行	动计	划》（	ICPR	，	2001	），到	2020	年，将	实现	100	个	牛	轭	湖	与	充	
满	活力的	莱茵河的重新	连	接，与此同	时	，	还	将恢复以往莱茵河与其	泛	滥	平原	间	的水力、	
生物有效性	连	接。就莱茵河特定区段而言，其	结	构多	样	性将至少沿	80	0	公里的河	岸	进	
行增加，同	时	将考	虑	航海安全与人	员	安全等方面的因素。	 	
The measures to reduce pollution take into account OSPAR recommendations for 
reducing pollution levels in the North Sea (ref. 	chapter 2.3.1)	 and relevant EU d	irectives 	
addressing pollution, such as the Nitrates directive, the urban wastewater directive and 
the IPCC directive (ref. 	chapter 	2.2.1 about the WFD). The Nitrates directive, for 	
instance, requires Member States of the Rhine river basin to develop 	nitra	te action 	
programmes	. At the time of writing the management plan (2009), 96% of the people 	
living in the Rhine river basin were connected to a wastewater treatment plant and 
many big industrial plants or chemical parks had their own state	-of-the	-art wastewater 	
treatment plant	s. The wastewater treatment situation was thus more or less under 	
control, but further incremental improvements are expected as a consequence of the 
requirements of the urban wastewater directive. The IPCC directive set a deadline of 
2007 for adapting exis	ting industrial plants to the requirements of reducing 	
environmental impacts by applying the best available techniques. (The IPCC has recently 
been incorporated into the new Industrial Emissions Directive, see 	chapter 1.)	 No 	
further significant improvement	s of the Rhine water quality is expected from measures 	
aimed at further reduction of direct inputs from industry. Table 3.1 below presents the 
inputs from agricultural acreage, wastewater treatment plants and industry in the state 
of the Rhine catchment ar	ea in 2000, in 2009 and the prognosis for 2015 (ICPR, 2009).	 	
 	降低	污	染的相关措施	还	将参考	OSPAR	有关降低北海	污	染等	级	的建	议	（参考第	
2.3.1	章	节	）以及涉及	污	染的相关欧盟指令，例如《	硝酸	盐	指令	》、《城市	废	水指令》	
以及《	IPCC	指令》（参考第	2.2.1	章	节	中有关	WFD	的相关内容）。例如，《	硝酸	盐	指	
令	》要求莱茵河流域各成	员	国制定	《硝酸	盐	/�	动计	/		\	时编	制管理	规	划（	2009	）	
时	，莱茵河流域	96%	的居民都与	废	水	处	理厂，	许	多大工厂或是	拥	有	顶	尖	废	水	处	理厂的	
化工园区有着一定的	联	系。	废	水	处	理状况因此而或或多或少地得到了控制，但是依照	
《城市	废	水指令》的相关要求，	还	需要	对	其	进	行	进	一步完善。	IPCC	指令	预	定到	2007	
年通	过	采用最佳可行技	术	，使	现	有工厂达到减少	环	境影响的相关要求。（	IPCC	近期已	
纳	入最新	《欧盟工	业	排放指令》	，	见	第	1	章）	进	一步减少工	业	直接投入的相关措施	预	
计	无法使莱茵河水	质	得到	显	著改善。表	3.1	（	见	下文）列出了莱茵河集水区	2000	年、	
2009	年在耕地面	积	、	废	水	处	理厂与工	业	等方面的投入以及	对	2015	年的	预测	（	ICPR	，	
2009	）。

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Table 3.1	 Nitrogen emissions from agriculture, wastewater treatment plants and 	
industry in Rhine river basin and prognosis for 2015 (kilotons/year).
莱茵河流域	农业	、	废	水	处	理厂与工	业	氮排放量以及	2015	年	预测	（千吨	/	
年）	 	
 	
国家	 	2000	年排放量（千吨）	 	目前排放量（千吨）	 	2015	年	预测	值（千吨）	 	
农业	* 	
奥地利	 	2 	2 	2 	
瑞士	** 	12	（	2001	）	 	11	（	2005	）	 	11	 	
德国	 	113	 	113	 	99	 	
法国	 	23	 	14	（	2006	）	 	10	 	
卢	森堡	 	3.7	 	3.1	 	未作	说明 	
比利	时	/瓦隆	 	未作	说明 	1.18	 	未作	说明 	
荷	兰	** 	42	 	34	（	2006	）	 	31

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莱茵河集水区	 	＞	196	 	＞	178	 	＞	153	 	
废	水	处	理厂（	包括分散在城市的	处理	厂	） 	
奥地利	 	0.8	 	0.6	 	0.5	 	
瑞士	** 	13	（	12+1	）	 	12	（	11+1	）（	2005	） 	＜	11	（	10+1	）	1 	
德国	 	72	（	63+9	）	 	60	 	57	 	
法国	 	18	（	15+3	）	 	4（	2006	） 	3 	
卢	森堡	 	1.8	 	1.7	 	未作	说明 	
比利	时	/瓦隆	 	未作	说明 	0.06	 	未作	说明 	
荷	兰 	22	（	20+2	）	 	15	（	2006	）	 	13	 	
莱茵河集水区	 	＞	128	 	＞	93	 	＞	85	 	
工	业 	
奥地利	 	未作	说明 	0 	0 	
瑞士	** 	1 	1（	2005	） 	＜	1 	
德国	 	15	 	15	 	14	 	
法国	 	5 	5（	2005	） 	5 	
卢	森堡	 	0.007	 	0.003	 	未作	说明 	
比利	时	/瓦隆	 	未作	说明 	0.06	 	未作	说明 	
荷	兰 	3 	2（	2006	） 	2 	
莱茵河集水区	 	＞	24	 	＞	23	 	＞	22	 	
莱茵河流域国	际地区共	计 	＞	348	**** 	＞	294	 	＞	260	 	
 
Source: ICPR (2009)	来源：	ICPR	（	2009	） 	
The EU Floods Directive (2007/60/EC) was adopted in 2007 and aims to reduce and 
manage the risks that floods pose to human health, the environment, cultural heritage 
and economic activity. The directive requires Member States to first carry out a 
prelimina	ry assessment by 2011 to identify the river basins and associated coastal areas 	
at risk of flooding. (The assessment shall be updated every 6 years.) The assessment 
includes a delimitation of the relevant 	catchme	nts and sub	-basins in the river basin, a 	
des	cription of flood events in the past and the probability of future floods, as well as an 	
estimation of the potential negative consequences taking into account longer	-term

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developments such as the effect of climate change on floods. For the zones identified	 to 	
be at risk, the directive requites Member States to draw up flood risk maps by 2013 and 
establish 	flood risk management plans	 focused on prevention, protection and 	
preparedness by 2015. Implementation of the Floods Directive	71 shall be carried out in 	
co	ordination with the Water Framework Directive, 	notably by flood risk management 	
plans and river basin management plans being coordinated and through coordination of 
the public participation procedures in the preparation of these plans	. The preliminary 	
asse	ssment for the Rhine (ICPR, 2013) showed ‘significant flood risk’ for most river 	
sections along the main stream of the Rhine and its main tributaries. The measures in 
the management plan aimed to increased and restore structural diversity (ref. above), 
sha	ll contribute to reducing the flood risks. 	Relocation of dikes and the deepening of 	
river forelands regained 55 km2 of former floodplains along the Rhine in the period	 	
1997	-2012 (ICPR, 2012).	 	
 	《	欧盟	洪水指令》（	2007/60/EC	）于	2007	年通	过	，旨在降低洪水	对	人	类	健康、	
环	境、文化	遗产	以及	经济	活	动	所构成的	风险	并	对	其	进	行管理。	该	指令首先要求各成	员	
国到	2011	年	进	行一次初步	评	估，确定可能存在泛	滥风险	的相关流域及其相关沿海区域	
（上述	评	估每	6	年更新一次）。	评	估包括	对	流域内相关集水区以及次流域	进	行限定，	
对	以往洪水事件的描述，未来洪水	发	生的可能性，以及基于	长	期	发	展	对	潜在	负	面影响	
的	预	估，如气候	变	化	对	洪水的影响。	对	于已确定存在	风险	的区域，指令要求成	员	国	绘	
制	2013	年洪水	风险图	并制定	2015	年	洪水	风险	'�历	规	/	>*
���e传	预	防、洪水控	
制以及	应	急准	备	。	特别是通过	协调洪水风险管理规划与流域管理规划以及协调上述规	
划制定过程中的公众参与程序，	来协调实施	《欧盟洪水指令》	应该	与《水框架指令》。	
莱茵河初步评估（	ICPR	，	2013	）表明莱茵河干流的多数区段及其主要支流均存在着	
“重大的洪水风险”。管理规划中用于增加、恢复结构多样性（参考上文内容）的相
关措施应有利于降低洪水风险。	1997	-2012	（	ICPR	，	2012	）年间，由于迁移堤坝并加	
深河	前陆	，莱茵河沿岸	恢复	了	55	平方公里的泛滥平原。	 	
In order to 	prevent accidents and ensure security of industrial plants	 a document 	
with recommendations was issued by ICPR after 	the major pollution incident in 1986	72 	
(see text box in chapter 3.3.1 above)	, and national regulations in the Rhine countries 	
were adapted to correspond to these recommendations. ICPR in 1986 introdu	ced a 	
Warning and Alarm Plan	 (ICPR, 2014) to tackle acute risk due to water pollution and to 	
detect	 and prosecute	 the originators of pollution incidents (discharges, accidents in 	
 	 	 	
71 For more information about the Floods Directive, see the European Commission web portal ”A new EU 
Floods Directi	ve”: 	
http://ec.europa.eu/environment/water/flood_risk/index.htm	有关《洪水指令》的更多信息，	见欧盟委员会门户网站	“最新欧盟洪水指	
令”：http://e	c.europa.eu/environment/water/flood_risk/index.htm	 	
72 A summary of the main content is available here: 
http://www.iksr.org/index.php?id=87&L=3	主要内容的	总结见网址：	http://www.iksr.org/index.php?id=87&L=3

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industry or navigation). The 	plan involves seven international main warning c	entres in 	
main cities along the main river collect and distribute the messages. When assessing an	 	
alarm, the international main warning centres and the	 competent authorities have a 	
flow time model, a set of	 guidance values for “alarm	-relevant” 	concentrations and	 loads, 	
lists of experts, substance data banks and further	 means at their disposal.	 According to 	
the Warning and Alarm Plan, the messages are passed onupstream	 (search messages) 	
and downstream (information	 or warning) with standardised fo	rms in three languages 	
(German, French, Dutch).	73 	
 	为	预	防事故	#y	生并确保工厂安全	，	ICPR	在	1986	年重大	污	染事件	发	生之后	颁	布	
了一份文件，文件中	还	提供了一些建	议	（参照上文第	3.3.1	节文本框）	，此外莱茵河沿	
岸国家也通	过	了各自的国家法	规	，以期同上述相关建	议	保持一致。	ICPR	早在	1986	年	
就已制定了	《提醒和	报	警	规	划》	（	ICPR	，	2014	），目的在于	应对	由水	污	染	导	致的	突	发	
性	风险	，并	对污	染事件（排放物、工	业	或航海事故）的	发	起人	进	行	核	查	、	检	举	。	该规	
划涉及主要河流沿岸主要城市的七个	负责	收集并	发	布信息的主要国	际预	警中心	。	对	相	
关	预	警	进	行	评	估	时	，	主要国	际预	警中心	及有关部	门	所使用的工具主要包括：流	量	时间	
模型，一系列与主要	预	警	领	域及	负	荷	有关的指	导	性价	值标	准，	专	家名	单	，物	质	数据	库	
以及	进	一步的	处	理方式。根据	《提醒和	报	警	规	划》	，信息用三种	语	言（德	语	、法	语	、	
荷	兰语	）以	标	准形式通	过	上游（搜索信息）与下游（信息或警告）。	 	
At the sub	-basin and national levels basic (level B) principles of water pr	icing and the 	
polluter pays principle were applied when working out 	program of measures	 and how 	
to share the burden of implementation. A transparent and open process with all baseline 
data available to the public helped keeping up the pressure to act and h	old the agents 	
responsible for pollution accountability. Experience showed that 	the process	 of making 	
an inventory of the baseline, setting local targets according to typologies, identifying 
emission pathways and identifying remaining problems and sources 	in an open manner 	
was extremely important. It led to a better and 	shared understanding	 of the situation 	
between all stakeholders, making stakeholders such as industry, agriculture and water 
transport companies aware of their role and stimulating them to ad	dress pollution 	
issues in a constructive and pro	-active manner, rather than merely reactively. Education, 	
raising awareness programs and government support for difficult 	transition processes	, 	
are examples of 	soft measures	 used to enable a common effort. Th	is model with 	
transparency, developing a shared understanding and addressing accumulated and 
acute risk in a c	ommon and differentiat	ed manner, is one of the main reasons for the 	
success of efforts in the Rhine river basin. It has also contributed to the de	velopment of 	
 	 	 	
73 The plan is available here: 
http://www.iksr.org/fileadmin/user_upload/Dokumente_de/Rheinkarten/WARNING	-	
_AND_ALARM_PLAN_RHINE_State_01.01.pdf	规划的详细内容见网址	http://www.iksr.org/fileadmin/user_upload/	
Dokumente_de/Rheinkarten/WARNING	-_AND_ALARM_PLAN_RHINE_State_01.01.pdf

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high environmental standards in for instance German chemicals industr	y, which has 	
contributed to bolster competitiveness and global technological leadership in the 
industry. The example of the German chemicals industry along the Rhine R	iver sh	ows 	
that besides the environmental benefits, the investment of industry to reduce 
environmental risks also may have long	-term positive effects for the industry itself.	 	
 	制定	措施	计	/	�%��1	
��(�	实	施	压	力的	过	程中，	就次流域与国家	层	面采	
用了有关水价的基本（	B	级	）原	则	以及	污	染者	负	担原	则	。通	过	采用透明公开的流程，	
向公众提供所有基	线	数据，有助于	继续	施	压	确保	顺	利	实	施，使相关主体承担	污	染	责	任。	
经验	表明，公开	编	制基	线	数据目	录	，依据	类	型学	设	定地方目	标	，确定排放途径以及	遗	
留	问题	与来源	这	M	过	&�	w%T�
�50[$�8#�	这	有助于所有利益相关方更好地	了解	当	
前状况并达成	共	识	>*+	够	使得	包括	实业	公司、	农产	品公司以及水	资	源运	输	公司在内的	
利益相关方更好地了解自身的	职责	，同	时	也能促使他	们积	极有效地解决相关	污	染	问题	，	
而不是	仅仅	机械地解决	这类问题	。	实现	共同努力	这	一目	标	的	“	软	�GP�	��>8M*�>*	
f9��	识项	目	以及	针对	转变	过	程	存在的困	难	所	给	予的政府支持。	这	一透明模式确保了	
利益相关方	间	的共同意	识	，以一种	共同但有区	别	的方式	应对	累	积风险	与	突	发	性	风险	，	
是莱茵河流域成功案例的主要因素之一。与此同	时	，	这	也有利于高	环	保	标	准的制定，	
如德国化学品工	业	的相关	标	准，	有利于增	强	竞	争力，全球技	术领	先地位。德国化学	品	
工	业	区位于莱茵河沿岸，	这	一案例表明，除	环	境效益之外，通	过	工	业	投	资	降低	环	境	风	
险	的	这	一做法	对	工	业	本身可能也会	产	生	长	期的	积	极影响	。	 	
Figure 	3.8	 Photo of city and nature in harmony, in the Rhine delta	. 	
图	3.8	莱茵河三角洲	——	城市与自然和	谐	共	处	（	图	片）	 	
 	
Source: Ministry of Transport, Public Works and Water Management of the Netherlands (2009) 	 	
来源：	荷	兰交通、公共工程及水管理部	（	2009	）

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Public participation	 is ensured by making all data on river quality publicly available on 	
communication platforms such as the internet (	www.iksr.org	), by the soft measures 	
mentioned above and by staging open expert symposiums on different a	spects of river 	
basin management. Since 1998, non	-governmental organisations (NGOs) have had an 	
observer status with the ICPR with an opportunity for merit	-based participation in 	
working and expert groups. By participating in the work of the ICPR, represen	tatives of 	
environmental organizations, industrial federations, drinking water works and scientific 
associations contribute crucial information to the development of a 	common knowledge 	
base	 and also develop a common understanding of challenges and a sense of ownership 	
to decisions that are made	. 	
 	确保	公共参与	的措施包括：在交流平台如互	联	网（	www.iksr.org	）上公开	发	布所	
有水	质	数据，前文所述的	“	软	”措施	，以及就流域管理的不同方面	举	行公开的	专	家研	
讨	会。自	1998	年以来，非政府	组织	（	NGO	）凭借各自	业绩	，以	ICP	R	观	察	员	身份加入	
了相关工作小	组	及	专	家	组	。通	过	参与	ICPR	的相关工作，各	环	境	组织	、行	业协	会、	饮	用	
水工厂及科学	协	会的相关代表	为	共同知	识库	的	发	展提供了一些关	键	信息，同	时还	就相	
关挑	战	达成了共	识	，	针对	已做出的决定	形成了一定的主人翁意	识	。	 	
3.3.5	 Results	结果	 	
International cooperation and coordinated river management has developed 
dynamically in the Rhine river basin since 1950 and with 	increased efforts since the 	
mid	-1980s, the Rhine river has gone from being the “	open sewer of Europe	” to becoming 	
a living river and a model example internationally of integrated river basin management. 
A comprehensive and science	-based system of policies,	 regulations and institutions (incl. 	
emergency centres) is in place for integrated river basin management across the river 
basin a	nd at different administrative levels w	ith ambitious environmental goals (ref. the 	
Water Framework Directive) ensuring continu	ed efforts to further improve sustainable 	
an	d economically optimal use of	 the Rhine river basin. The story of the Rhine river basin 	
is a success story in many ways representing best practice for river management on a 
large scale, where environmental, socia	l and industrial economic activity is balanced.	 	
 	自	1950	年以来，莱茵河流域国	际	合作与河流	协调	管理蓬勃	发	展。	20	世	纪	80	
年代中期起，通	过	不 断加	强	合作与管理， 莱茵河已不再是曾	经	的“	欧洲开放的下水	
道	”，而成	为	了一条“生命之河”，成	为	了	流域	综	合管理	领	域的一个全球	模型范例。	
目前，已建立了一个	针对	相关政策、法	规	、制度（包括	应	急中心）的科学性	综	合体系，	
确保整个流域以及不	同管理	级别	的	流	域	综	合管理，同	时设	定了宏大的	环	境目	标	（参考	
《水框架指令》），确保通	过	持	续	努力，	进	一步完善	莱茵河流域的可持	续经济	最	优	利	
用。	就	许	多方面来	说	，莱茵河流域的	发	展是	一个成功的例子，体	现	了河流	规	模管理的	
最佳	实	践，	实现	了	环	境、社会、工	业经济	活	动	的均衡	发	展。	 	
The salmon is back in the Rhine River, a symbol of the positive development the last 
decades. But many challenges still remain in the Rhine river basin. As shown in figure 
3.6 an	d 3.7 above, the percentage of water bodies with ‘good’ or ‘moderate’ status was

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41% in 2009 and is expected to increase to 66% in 2015. There is still a significant way 
until the aquatic ecology of the Rhine river basin as a whole is restored to something	 	
akin to natural conditions. In some cases the ecological elements in the “restored” Rhine 
river are not the same as the original endemic ones, leading some biologists (NYT, 2006) 
to note that the Rhine is no longer a 	biologically German river	 but a 	biologically 	
international river	 (the new salmon, for instance, being from Ireland, France or 	
Scandinavia). 	 	
 	鲑鱼	们	又重新回到了莱茵河，	这	是	过	去数十年良性	发	展的	结	果。但是未来莱茵	
河流域仍然面	临	着	许	多的挑	战	。如上文中	图	3.6	、	3.7	所示，	2009	处	于“良好”或“适	
度”状	态	的水体百分比	为	41%	，	预计	2015	年将上升至	66%	。莱茵河流域的水生生	态	
要从整体上恢复到接近自然条件的状	态	仍然有很	长	的路要走。在某些	情况下，“恢复	
后的”莱茵河，其生	态	要素与固有特征存在一定的差	别	，一些生物学家（	NYT	，	2006	）	
由此意	识	到：莱茵河已不再是一条	生物德国河流	，而成	为	了一条	生物国	际	河流	（如，	
鲑鱼	新品种	产	自	爱尔兰	、法国或	斯堪的	纳维亚	）。	 	
Pollution continues to be a significant problem in the Rhine River, but today it is mainly 
from diffuse sources (ref. figure 3.3 above, showing emis	sion pathways). In the river 	
basin management plan of 2009, only 12% of the water bodies in the Rhine live up to the 
chemical quality criteria of the WFD. In most cases, the cause is that the polycyclic 
aromatic hydrocarbons (PAHs) exceed the environmental	 quality standards. As the 	PAH	 	
substance group	 mainly originates from combustion processes and constitutes a diffuse 	
input into waters via the atmosphere, it is difficult to reduce and no improvement is 
expected by 2015. The legacy of the post	-war era of h	eavy industry with few 	
environmental restrictions is still felt in many places. The Emscher river, a smaller 
tributary to the Rhine in the Ruhr area is for instance still biologically dead as it was 
used a	s a open waste water canal for industry si	nce the l	ate 19	th century. A sewage plant 	
at the mouth of the Emscher today ensures that the river water enters the Rhine in an 
acceptable quality. A multi	-billion Euro project to bring the Emscher back to a more or 	
less natural condition has been progressing since the ear	ly 1990s and is to be finished 	
by the year 2020.	 	
 	污	染 仍 然 是 莱茵 河 所面	临	的 一 个 重大	问题	， 但 是 ， 目 前的	污	染主 要 来	自	面	源	
（参考上文涉及排放途径的	图	3.3	）。	2009	年流域管理	规	划中，	仅	有	12%	的莱茵河水	
体符合	WFD	化学制品	质	量	标	准。多数情况下，	这	是因	为	多	环	芳	烃	（	PAH	）含量超出	环	
境	质	量	标	准要求。由于	多	环	芳	烃	（	PAH	）物	质	群	主要来源于燃	烧过	程，促使	扩	散源通	
过	大气	进	入水域，因此很	难	降低	PAH	含量，而且	这	一状况到	2015	年也不会出	现	任何	
改善。	战	后重工	业	由于极少涉及	环	保	限制而	遗	留的	问题	目前仍然反映在一些	领	域。例	
如，	埃姆舍河	为	鲁	尔	地区莱茵河的一条	较	小支流，目前仍然不适于生物生存，原因在	
于自	19	世	纪	末起，	这	条河就	成	为	了一条开放式	工	业	废	水排放通道	。	目前，	埃姆舍河	入	
口	处	建立了一座	污	水	处	理厂，能	够	确保流入莱茵河的河水水	质	符合相关	标	准。自	20	世	
纪	90	年代初期以来，启	动	了一	项	耗	资	数十	亿	欧元的	项	目，目的在于使	埃姆舍河	在一定	
程度上恢复到一定的自然条件	，	该项	目	预计	将于	2020	年竣工。

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3.3.6	 Suggestions 	and recommendations 	for China	对中国的启示和建议	 	
As noted in description of the Water Framework Directive (chapter 2.2 above), there are 
many potential learning points for China from the directive’s principles, standards and 
structure for integrated river basin management with environmental goals. 	The WF	D 	
provides a framework and methodology for carrying out regional environmental risk 
assessments. 	We shall here comment more specifically on issues at the river basin level.	 	
根据有关《水框架指令》（前文第	2.2	章	节	）的介	绍	，中国可以从	该	指令的相关	
原	则	、	标	准及其	结	构中	借鉴	很多涉及	环	境目	标	的流域	综	合管理	经验	。	WFD	提供了一个	
施行区域环境风险评	估的框架和方法论。	在此，我	们	将	对	流域	层	面的相关	问题进	行更	
为详细	的介	绍	。	 	
As a natural effect of the intense industrialization process in China, the environmental 
status of Chinese rivers does not currently meet the requirements for sustainable socio	-	
economic development and the situation 	resembles the situation in European rivers in 	
the 1970s and 1980s (RBMP, 2011a). When looking at lessons to learn from the Rhine 
river basin, it thus seems that the experiences from 1985 until today are relevant. This 
includes experiences from three cycles	 of efforts:	 	
 	伴随快速的	工	业	化	进	程，中国河流的	环	境状况目前尚未达到社会	经济	可持	续发	
展的相关要求，	这	与欧洲河流	20	世	纪	70	年代至	80	年代的状况（	RBMP	，	2011a	）极	
为	相似。因此，有关莱茵河流域的	经验	教	训	，可以参考	该	流域自	1985	年至今的相关	经	
验	。	主要包括三个方面	：	 	
 	The Rhine Action Program (1987	-2000), with a strong focus on reducing 	
pollution from point sources. 	《	莱茵河行	动计	划	》（	1987	-2000	）：	重点解决点	
源污染	；	 	
 	The “Rhine 2020” program,	 which included a 	program of measures fo	r the period 	
2001	-2005, and increasingly focused on restoring aquatic ecology.	《莱茵河	 2020	
行	动计	划	》	：涵盖一	项	具体的	措施	计	划	（	2001	-2005	），越来越多地关注水生生	
态	的恢复	问题	；	 	
 	Implementation of 	the Water Framework 	Directive, addressing ecological as well 	
as chemical status within the framework of joint manag	ement plans	and regional 	
environmental risk assessment	.实	施《水框架指令》	，解决	联	合管理	规	划框架	内	
和区域环境风险评估	的	相关	生	态	与化学状况	问题	。	 	
 	
It should be noted that river basin management plans in the EU	 can be viewed as 	
Strategic Environmental Assessments (SEA) as they involve most of the steps in 
developing a SEA: scoping and establishing context, establishing baseline and reference 
scenario, identifying and assessing impacts, environmental reporting, m	onitoring and an 	
process of consultation and participation (Vennemo et al., 2012). 	Regional 	
environmental risk assessment and SEA also share many features. 	Experience with SEA

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in China can thus be employed when developing river basin management plans	 and 	
conducting regional environmental risk assessments	. Cost	-benefit analysis of alternative 	
measures to be employed to reach environmental goals is also part of river basin 
management plan development, a methodology where experience from other sectors 
may be u	tilized (ref. 	Vennemo et al, 2012). 	 	
 	需要指出的是，由于欧盟流	域管理	规	划涉及与	战	略	环	境影响	评	价（	SEA	）相关的	
诸	多步	骤	，	包括	：确定范	围	并	设	置背景	、	建	立基	线	与	参考情景	、	确定并	评	估影响	、	环	
境	报	告	、	监测	、	咨	询	与参与（	Vennemo et al.	，	2012	）。	区域环境风险评估和	SEA	也有	
很多共同特征。	由此，中国可以在制定流域管理	规	划	和施行区域环境风险评估	时	参考	
SEA	的相关	经验	。此外，	对	相关替代措施	进	行	成本效益分析	，从而	实现	既定	环	境目	标	，	
也同	样	是流域管理	规	划	发	展的一部分。流域管理	规	划是一种允	许	参考其他行	业经验	的	
方法（参考	Vennemo et al	，	2012	）。	 	
In China, water policy, enforcement and management are developing rapidly but 
challenges are huge 	and much work remains	 to attain environmentally, socially and 	
economically sustaina	ble water use. Traditionally, water management in China has 	
focused on th	e use of water as a resource and flood prevention,	 which has led to over	-	
extraction of water in many places, the use of rivers as a sewer, and physical 
modifications that impede the n	atural functioning and ecosystem services provided by 	
the river (Boekhorst et al., 2010). 	Environmental risk management at a regional level, in 	
the form of i	ntegrated river basin management involves a shift in mindset (Atkins 2010), 	
from focusing on 	using	 water locally to 	managing	 water resources at a river basin level 	
to ensure optimal functioning across environmental, social and economic dimensions. 
Since 2002, the principle of integrated water management has been recognized in 
China’s water law, but to 	realize such management on the ground takes time. 	Since the 	
10	th five year period	 2001	-2005)	, MEP 	also 	began to formulate and implement 	pollution	 	
control plans for key basins.	74 	
 	对	于中国来	说	，水	资	源政策、	执	行及管理持	续	快速	发	展，但是同	时	也面	临	着巨	
大的挑	战	，需要付出更多的努力	，	实	现	水	资	源的	环	境、社会及	经济	可持	续	性利用。通	
常来	讲	，中国的	水	资	源管理重点在于水	资	源的利用以及防洪，由此	导	致多	处	水	资	源的	
过	量	开采，将河流当做下水道使用，以及物理	变	性，阻止自然生	态	系	统	的正常运行以	
及水	资	源提供的生	态	系	统	服	务	（	Boekhorst et al.	，	2010	）。	以	流域	综	合管理	作为形式	
的区域级环境风险管理	涉及思	维	方式的	转变	（	Atkins	 2010	），从局部利用水	资	源	转变	
为	从流域	层	面管理水	资	源，以确保	环	保、社会及	经济领	域的最佳功能	发挥	。自	2002	年	
以来，水	资	源	综	合管理原	则	已	纳	入了中国法律，但是	有效实施	此	类	管理仍然需要一定	
的	时间	。	自第十个五年计划实施期间（	2001	至	2005	年）以来，	MEP	也开始制定和施	
行重点流域污染控制计划	。	 	
 	 	 	
74 References 	for pollution control plans for river basins 	can be found 	(in Chinese) 	
athttp://wfs.mep.gov.cn/swrkz/zhdly/lygh/index.htm

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Based on the experience from the Rhine river basin, a generic set of recommendations 
can be provided for 	regional environmental risk assessments related to water	: 	
 	基于莱茵河流域的成功	经验	，	对	与水相关的区域环境风险评估	方面的建	议	如下：	 	
 	Make sure a legal framework is in place committing relevant authorities and 
stakeholders to reduce environmental risk and reach environmental quality 
targets, with sanction mechanisms. 	确保法	规	框架的制定，促使有关部	门	及利	
益相关方降低	环	境	风险	，	实现环	境	质	量目	标	，同	时	建立制裁机制	；	 	
 	Make an inventory mappi	ng the baseline situation for environmental risks, 	
including emission pathways and current water uses, at sub	-	
regional/provincial level and river basin level.	编	制	详细	清单	，反映	环	境	风险	
的	基	线	状况	，包括	分区	/省	级	及流域	层	面的	排放途径及目前水利用状况	；	 	
 	Make a register of priority areas, such as environme	ntal protection areas and 	
drinking water sources, at sub	-basin/provincial level and river basin level.	记	
录优	先区域，如分区	/省	级	及流域	层	面的	环	境保	护	区与	饮	用	水来源	；	 	
 	Set environmental targets for water bodies based on the typologies of water 
bodies, aiming to reach a close to natural 	condition and a healthy 	
environment.	基于水体	类	型学	为	不同水体	设	定	环	境目	标	，	创	造接近自然的条	
件以及健康的	环	境	；	 	
 	Assess the effect of current legislation and measures, and identify gaps 
between current measures and environmental targets.	了解	现	有立法与相关措	
施的影响，确定	现	有措施与	环	境目	标间	的差距	；	 	
 	Identify measures that need	 to be carried out a river basin level to tackle 	
accumulated as well as acute risk, design a cost	-effective 	program of 	
measures	 in dialogue with major stakeholders, and set up coordination 	
mechanisms.	确定流域	层	面的相关措施以	应对	累	积风险	、	突	发	性	风险	，同主	
要利益相关方	协	商制定具有成本效益的	措施	计	划	，并建立相关	协调	机制	；	 	
 	Identify measures that should be carried out at sub	-river basin/provincial 	
level to tackle accumulated as well as acute risk, design a cost	-effective 	
program of measures in	 dialogue with major stakeholders, and set up 	
coordination mechanisms.	确定次流域	/省	级层	面	的相关措施以	应对	累	积风险	、	
突	发	性	风险	，同主要利益相关方	协	商制定具有成本效益的	措施	计	划，并建立	
相关	协调	机制	；	 	
 	Keep the process open and transparent, with all data made available to the 
public on public platforms such as the internet, and carry out a 	program of 	
soft measures at all levels to develop common under	standing and awareness.	
确保流程公开、透明，将所有相关数据在公共平台如互	联	网上	进	行公布，	在	
不同层面	实	施“	软	”措施以	达成共	识	。	 	
In China, integrated river basin management is encouraged through the creation of river 
basin authorities under the Ministry 	of Water Resources, such as the Changjiang Water 	
Resources Commission for the Yangtze (	which was re	-established in 1950) and the

Tackling environmental risks with environmental planning:	 international experiences	 	
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Vista Analyse AS	 	 	299	 	
 
Yellow River Conservancy Commission.	75 The scale of Chinese river basins is often huge. 	
The Yangtze river basin catchment area is 1,800,000 km	2, and the Yellow River 	
catchment a	rea is 742,000 km	2. Developing river basin management plans is challenging 	
on such scales. The example of the Rhine river basin management plan, in which an 
overall river basin management plan covering the most important issues of common 
interest (level A)	 is supplemented by regional management plans (level B) and local 	
management plans, may be a model that can be copied in the huge river basins in China. 	 	
 	就流域	综	合管理而言，中国政府	很早就在	在	水利部	下	设	立	了	流域管理机构，如	
长	江	水利委	员	会	（	1950	年重新建立）	和	黄河水利委	员	会	。	但	中国河流流域的	规	模通常	
都很大	，长江	流域集水区面	积	达	180	万平方公里，黄河集水区	面	积	达	74.2	万平方公里	，	
对	于	规	模如此之大的流域来	说	，	编	制流域管理	规	划是一	项颇	具挑	战	性的工作。莱茵河	
流域	综	合管理	规	划涵盖了	许	多利益相关方共同关心的最重要的	问题	（	A	级	），同	时	又	
通	过	区域管理	规	划（	B	级	）及地方管理	规	划	进	行	补	充，因此，可以将莱茵河流域管理	
规	划作	为	一个成功范例，复制到中国的流域管理	规	划	编	制中。	 	
EU	-China expert missions h	as identified a number of river basin management issues 	
where there is 	potential for	 cooperation and experience sharing. T	he 	fact	-finding	mission 	
to the Yangtze river basin in 2011 (RBMP, 2011a), 	reveal	ed 	that there is a Chinese 	
interest in gaining a deeper understanding of the EU and EU Member State e	xperiences 	
with common wa	ter legislation, policies and implementation practices. The Vice	-	
Commissioner of the Changjiang Water Resources Commission noted the following 
prioritized issues for future cooperation: Capacity building, monitoring and modeling of 
aquatic ecology and chem	ical status, protection of aquatic ecology, ecosystem 	
restoration and monitoring, mechanisms for payment for ecosystem services, water 
allocation methodologies, flood risk management and mapping, forecasting and 
mitigating flash floods in mountain regions,	 as well as research on 	the regional 	river 	
basin management policy development and institutional arrangements.	 The Rhine river 	
basin is relevant for transfer of experience related to practically all these issues. 	 	
 	欧盟	-中国	专	家	团	确定了一系列流域管理	事项	，	为	两国	间	的合作与	经验	分享提供	
了可能性。	2011	年	专	家	团	对	长	江流域	进行实情调查	（	RBMP	，	2011	a），	揭示了	对	欧	
盟及其成	员	国在共同水	资	源立法、政策及	实	施	实	践方面的	经验进	行深入了解，在一定	
 	 	 	
75 Developments in the Yellow River river basin show, for instance, that integrated management is 
increasingly taking place and showing results (Atkins, 2010). At the beginning of the century, the Yel	low 	
River would run dry every year due to overuse. The Yellow River Conservancy Commission studied and 
improved the understanding of the river’s hydrology and worked out a system for allocating set amounts 
of water to each user in different provinces and r	egions, so that now the river runs all year long. 	
例如，黄河流域的	发展表明，综合管理不断地普及，而且取得了良好的效果（	Atkins	，2010	）。本世	纪之初，由于过度使用，黄河每一年都在变得干涸	
。为此，	黄河水利委	员会研究并完善了河流水纹协议，并建立了一个体系，将一定数量的水资源分配至不同省份的所有使用者，使得	
黄河水目前	终年流淌不息。

Tackling environmental risks with environmental planning: international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
Vista Analyse AS	 	 	300	 	
 
程度上是符合中国利益的。	长	江水利委	员	会副主任	指出，未来合作中	应优	先考	虑	以下	
事	项	：能力建	设	，水生生	态	与化学状	态	的	检测	及建模，水生生	态	的保	护	，生	态	系	统	恢	
复及	监测	，生	态	系	统	服	务	支付机制，水	资	源分配方法，洪水	风险	管理及山区	骤发	洪水	
风险图	的	绘	制、洪水	风险	的	预测	与降低，以及	区域	流域管理政策制定与制度安排方面	
的研究。莱茵河流域的成功	经验	几乎适用于上述所有	问题	。	 	
In 	China, there has been increasing focus on international cooperation related to 	
integrated river basin management (IRBM) over the last decade. This is exemplified by 
the +	€100 million EU	-China River Basin Management Programme (2006	-2012) focusing 	
on the sha	ring of EU experience and best practices, IRMB programs run by non	-	
governmental organizations such as the WWF	-HSBC Yangtze Programme (Boekhorst et 	
al., 2010), as well as the on	-going China	-Europe Water Platform (CEWP) which 	
promotes European and Chinese co	operation on water issues (and follows up on the EU	-	
China River Basin Management Programme). The Ministry of Water Resources of the PR 
of China is the responsible institution on the Chinese side, in the cooperation with the 
EU. The Chine	-Europe Water Platf	orm (see 	www.cewp.org	) facilitates cooperation and is 	
also a dynamic resource hub for relevant information about EU experiences, the 
outcome of 	EU	-Chinese joint fact	-finding missions to Chinese river basins	 such as the 	
Yangtze and the Yellow River, as well as relevant events and news. 	 	
 	过	去十年，中国不断致力于流域	综	合管理（	IRBM	）	领	域的国	际	合作。	这	主要体	
现	在耗	资	1	亿	欧元以上的欧盟	-中国流域管理	计	划（	2006	-2012	），	该计	划的重点在于	
分享欧盟	经验	及其相关最佳	实	践，非政府	组织	运	营	之下的	IRBM	项	目，如	世界自然基	
金会	—	汇	丰	银	行	长	江	项	目	（	Boekhorst et al.,	，	2010	）以及正在	实	施的中国	-欧洲水	资	源	
交流平台	项	目（	CEWP	），后者有利于促	进	欧洲与中国就相关水	资	源	问题进	行合作（参	
考	欧盟	-中国流域管理	计	划	）。	中	华	人民共和国水利部	作	为	中国方面的主管部	门	，	负责	
与欧盟的相关合作事宜。中国	-欧洲水	资	源交流平台	项	目（	见	www.cewp.org	）在促	进	
合作的同	时	，也是一个取之不竭的	资	源中心，	负责	提供有关欧盟	经验	的相关信息，欧	
盟	-中国	联	合	调查	所取得的成就	归	功于相关中国流域（如	长	江与黄河）以及相关事件及	
其新	闻	。	 	
Box 	3.2 	Reducing 	regional 	envir	onmental risk in the Danube river	: Context and 	
tools	 	
框	3.2	降低多瑙河	区域	环	境	风险	：背景与工具	 	
Phase I of the project provided experiences from water management in the Danube river 
basin in the EU (ref. Econ Pöyry 2010, 2011), and below we summarise the main points.	 	
项	目一期提供了欧盟多瑙河流域水	资	源管理（参考	Econ Pöyry 2010	，	2011	）方	
面的相关	经验	，以下	对	相关要点	进	行了	总结	：	 	
The Danube river basin is the “most international” river basin in the world, covering 
territories of 19 countries (ref map below). 14 of these countries (the ones with at least 
2,000 km	2 of t	erritory within the river basin) cooperate in the International Commission

Tackling environmental risks with environmental planning:	 international experiences	 	
通	过环	境	规	划解决	环	境	风险	：国	际经验	 	
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for the Protection of the Danube River (ICPDR), which was established in 1998. Since 
2000, the cooperation has followed the principles an	d timeline o	f the Water Framework 	
directive 	(see chapter 2). 	 	
 	多瑙河流域	是世界上“最具国	际	化”的流域，覆盖全球	19	个国家（参考下文地	
图	）的	领	土。其中	14	个国家（	该	流域覆盖	这	些国家至少	2000	平方公里的	领	土）通	过	
多瑙河保	护	国	际	委	员	会	（	ICPDR	）	进	行合作。	ICPDR	于	1998	年	创	立。自	2000	年以	
来，	这类	合作一直遵循着《水框架指令》中所	规	定的相关原	则	以及	时间	表要求（	见	第	
2	章）。	 	
Figure 3.9 The Danube River Basin, with chemical status for surface waters 	(2009)	
图	3.9 	多瑙河流域	——	地表水化学	成分	状况	（	2009	）

Tackling environmental risks with environmental planning: international experiences	 	
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Source: ICPDR (2013)	来源：	ICPDR 	（	2013	） 	
Due to the size and the complexity of the basin, the Danube countries and ICPDR decided 
to work at different geographic scales and in particular via sub	-basins 	of the overall 	
Danube basin. Cooperation on overall issues takes place through ICPDR and is 
represented in an overall management plan for the Danube river basin, addressing 
issues of common concern. In addition, there are regional management plans often 
in	volving several countries, as well as national plans that deal with local issues. This is 	
similar to in the Rhine.	 	
 	受流域	规	模及复	杂	性的限制，多瑙河沿岸国家及	ICPDR	决定基于不同	地理尺	
度	，尤其是通	过	整个多瑙河流域	次流域开展相关工作。有关整体	问题	的合作主要通	过	
ICPDR	进	行，	这	主要体	现	在了多瑙河流域	综	合管理	规	划中，以此解决相关利益方共同	
关心的	问题	。此外，也存在通常涉及几个国家的区域管理	规	划以及	专门处	理地方	问题	
的国家	规	划。	这	与莱茵河的情况很相似。	 	
In the following we highlight some tools used that we have not described in the Rhine 
case.	 	
 	下文中，我	们	列出了莱茵河案例中未作介	绍	的一些工具。	 	
 	Issue papers	: ICPDR used ‘issue papers’ to put focus on	issues that need special 	
attention in the Danube river 	basin, that require harmonisation of methods to ensure 	
comparability of results and that need to be dealt with in the overall management 
plan for the river basin. The issue papers were developed by small drafting groups or 	
多瑙河流域地区	 	
地表水水体化学状况

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expert bodies of the ICPDR, and u	sed when developing the inventory for the river 	
basin and in the public participation process.	 	
 	议题	：过去，	ICPDR	通常会通	过“议题	”将重心放在多瑙河流域内需要特	别注意的问题上，需要借助协调方法确保结果可比	
性的	问题上，以及需要通过流域综合管理规划进行解决的问题上。	议题由小型起草小组或	ICPDR	内的	专家机构负责编制，	
在编制流域详细目录以及公共参与过程中进行使用。	 	
 	Questionnaires and templates: 	Questionnaires were used to achieve a 	consistent 	
overview	 of special issues that require detailed technical knowledge. E.g. for the 	
establishment of a Danube GIS it was necessary to collect detailed information on the 
GI syste	ms in use in the different Danube countries and on the availability of the 	
data, i.e. it included legal aspects such as ownership of data. Templates were used for 
the preparation of the reports to be used in the development of the overall 
management plan. 	Templates were used to collect data from the Danube countries in 	
a unique format to allow analysis of these data at the basin	-wide level. Templates 	
were prepared e.g. for the delineation of water bodies and the assessment of the risk 
of failure or for the 	identification and characterization of groundwater bodies. Also 	
the inventory of protected areas for species and habitat protection was prepared in 
this way.	 	
 	问	卷	调查	与模板	：	问	卷	调查	的作用在于	对	涉及	专门	技	术	知	识	的特殊	问题进	行	持	续	跟	
踪	。例如，就多瑙河	GIS	的建立而言，需要搜集有关多瑙河沿岸国家	现	有	GI	体系	
以及数据有效性（即，数据中包括数据所有者等法律范畴的信息）的	详细	信息。模	
板主要用于撰写	综	合管理	规	划	编	制	过	程中需要用到的相关	报	告。在模板基	础	上，可	
采用特殊格式搜集多瑙河沿岸国家的相关信息，	进	而在整个流域范	围	内	对这	些数据	
进	行分析。此外，模板也可用于其他一些方面，如，	对	水体	进	行描述，	对	失	败风险	
进	行	评	估，或	对	地下水体	进	行	识别	与描述。同	样	，物种保	护	区与栖息地保	护	区	详细	
目	录	也可利用模板	进	行	编	制。	 	
 	Significant Water Management Issues	: In order to focus effor	ts on the overall level 	
four Significant Water Management Issues were identified: i) Pollution by organic 
substances, ii) Pollution by nutrients (	modelled	 using the MONERIS model), iii) 	
Pollution by hazardous substances, and iv) Hydromorphological alterati	ons. These 	
issues became the focus of measures in the overriding management plan. 	 	
 	重大水	资	源管理	问题	：	为	集中精力确保整体	发	展，确定了四个	重大水	资	源管理	问	
题	：	1）有机物	质污	染；	2）	营	养	物	污	染（采用	MONERIS	模式	进	行模	拟	）；	3）危	
险	物	质污	染；	4）水生改建。	这	些	问题	成	为	了最主要的管理	规	划中的重点措施。	 	
 	The MONERIS (	Modelling Nutrient Emission in River Systems	) 	model	: The 	
MONERIS model is a semi	-static emission model for point and diffuse sources of 	
nutrients, but it can also be adapted in order to deal with heavy metals and some 
priority substances. MONERIS has been applied to river basins in several European 
pr	ojects 	and for several river basins	, including Danube. The model is 	based on	: i) 	
data of river flow (from gauging stations), ii) water quality (nutrient concentrations 
from monitoring stations), iii) statistical data about nutrient inputs into the 
catchmen	t, and iv) geographical data (stored and analyzed in GIS). The model is 	
composed of a series of equations that allow the estimation of point sources and

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diffuse sources into the stream. For the catchment defined for a particular 
application of the model, M	ONERIS will estimate 	the loads e	mitted from each of the 	
point sources 	(direct discharges, waste water treatment plant effluents), and through 	
a series of 	diffuse pathways 	including atmospheric deposition, erosion, surface 	
runoff, groundwater, tile drainage	, and paved urban areas. M	ONERIS produces 	
estimates of annual load through each of the defined point and diffuse pathways. It 
estimates nutrient retention and loss within the river system itself. The 	final output 	
is an estimate of annual nutrient load in t	he river at the outlet of the study 	
catchment, which is equal to the emissions into the river via point and diffuse 
sources 	minus 	the estimated nutrient retention and loss within the river system. 	
MONERIS can help managers identify pathways that contribute	 significantly to 	
nutrient loads and should be targeted for 	management 	practices aimed at nutrient 	
emission reduction. Combined with geographic information in a GIS, it can help 
identify 	hot spots 	within the catchment, i.e. particular areas that, due to a 	
combination of high potential emission and a susceptibility to efficient transport, 
contribute nutrients significantly more that other areas. Once MONERIS has been 
calibrated for a particular catchment, it can be used to develop management 
scenarios	. 	
 	MONE	RIS	（	模	拟	河流系	统	营	养物	排放	）模式：	MONERIS	模式是一种	针对	营	养物	点	
源与	面	源的半静	态	排放模型，但是也可以	对	其	进	行	调	整，	处	理重金属及一些重点控	
制物	质	。	MONERIS	已	应	用到了一些欧洲	项	目的相关流域	以及其他一些流域	，包括	
多瑙河	。	这	一 模 式 是 基 于 以 下 方 面 建 立 的 ：	1） 河 流 流 量 数 据 （ 水 文	测	量站提	
供）；	2）水	质	（来自	监测	站	的	营	养物	浓	度数据）；	3）集水区	营	养物	统计	数据；	
4）地理数据（由	GIS	负责	存	储	、分析）。	该	模式由一系列	方程式	组	成，允	许对进	
入水流的点源以及	面	源	进	行	预	估。就涉及	该	模式特殊	应	用的集水区而言，	MONERIS	
将	对	来自每	一点源	（直接排放、	废	水	处	理厂流出物），通	过	一系列	扩	散途径（包	
括：大气沉降、侵	蚀	、	地表径流	、地下水、瓦管排水以及已	铺	筑城区）排放出的	负	
荷	进	行	评	估。	MONERIS	可通	过	已确定的点途径、	扩	散途径	计	算 出年	度	负	荷	估	计	
值	。可估算出河流系	统	自身的	营	养物	保留与	损	失。最后可得出特定集水区出口河流	
年度	营	养	负	荷	的估	计值	，	这	一数	值	等于通	过	点源、	面源	源	进	入河流的排放量减去河	
流系	统	内	营	养物	保留与	损	失估	计值	。	MONERIS	有助于管理者确定	产	生	营	养	负	荷的	
主要途径，	应	该	用于	旨在	减少	营	养物排放的	管理	实	践。通	过	与	GIS	所提供的地	质	信	
息相	结	合，有助于确定集水区内的	热	点区域，例如，由于	潜在高排放量	的集中以及	
快捷运	输	的敏感性，	产	生的	营	养物	远	多于其他区域的特定区域。一旦	MONERIS	专	
门应	用于特定的集水区，	则	其可用于制定特定的管理方案。	 	
 	Trans National Monitoring Network (TNMN)	: The TNMN network in the Danube 	
contains 78 sampling points. Each monitoring location can have up to three 	sampling 	
points, located on the left side, right side or in the middle of a river. The procedure of 
TNMN data collection is organized at a national level. The National Data Managers 
are responsible for data acquisition from TNMN laboratories as well as for	 data 	
checking, conversion into an agreed data exchange file format (DEFF) and sending it 
to the TNMN data management centre, located in the Slovak Hydrometeorological 
Institute in Bratislava. This centre performs a secondary check of the data and

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uploads 	them into the central TNMN database. In cooperation with the ICPDR 	
Secretariat, the TNMN data are uploaded into the ICPDR website (	www.icpdr.org	). A 	
total of 52 determinants for water is being monitored, with a minimum 	sampling 	
frequency of 12 times per year for water and twice a year for bio	-monitoring. Types 	
of determinants include data on flow (m3/s), temperature, pH, conductivity, 
alkalinity, heavy metals, toxic substances, BOD, COD and bacteria (for instance 
salmone	lla). The TNMN laboratories are free to choose any analytical method, 	
provided they are able to demonstrate that the method in use meets the required 
performance criteria. Therefore, the minimum concentrations expected and the 
tolerance required of actual 	measurements, have been defined for each determinant, 	
so that method compliance can be checked. In addition, a basin	-wide analytical 	
quality control programme (AQC) is organized regularly by the ICPDR.	 	
 	跨国	监测	网	络	（	TNMN	）	：多瑙河	TNMN	网	络	涉及	78	个采	样	点。每一	监测	点	拥	有	
三个采	样	点，分	别	位于河流左	侧	、河流右	侧	或河流中心。	TNMN	数据采集程序是在	
国家	层	面上	进	行	规	划的。	National Data Manager	s负责	从	TNMN	实验	室采集数据，	
进	行数据校	验	，将数据	转换为规	定的数据交	换	文件格式（	DEFF	），并将其	发	送至	
位于	伯拉第斯拉瓦斯洛伐克水文气象局	的	TNMN	数据管理中心。	该	中心	负责对	数	
据	进	行二次校	验	，并将其上	传	至	TNMN	中央数据	库	。通	过	与	ICPDR	秘	书处进	行合	
作，	TNMN	数据随后又上	传	至	ICPDR	网站（	www.icpdr.org	）。目前正在	对	52	个	
水	资	源决定因素	进	行	监测	，其中水	资	源年最低	采	样频	率	达	12	次，生物	监测	最低	采	
样频	率	为	每年	2	次。上述决定因素的	类	型主要包括：	流量数据	（立方米	/秒）、温	
度、	pH	值	、	导电	性、碱度、重金属、有毒物	质	、	生化需氧量	（	BOD	）、	化学需氧	
量	（	COD	）以及	细	菌（如	沙	门	氏菌	）。	TNMN	实验	室可任意	选	用任何分析方法，前	
提是能	够证	明所用方法符合相关性能	标	准。因此，	针对	每种因素，	对实际测	量中的	
预	期最低	浓	度以及	规	定公差	进	行了定	义	，以此确保可	对	方法合	规	性	进	行	检验	。此	
外，	ICPDR	还	定期	组织	面向整个流域的分析	质	量控制	项	目（	AQC	）。

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3.4	 	Decreased exposure to hazardous pollutants in the EU: how did it 
happen?	 	
欧盟减少接触危	险污染物	：如何	实现的	？ 	
3.4.1	 Introduction	 and principles	引言	 	
The first early warnings of the environmental impacts of production and use of 
industrial and man	-m	ade chemicals, including persistent organic pollutants (POPs), 	
came from observations from aquatic ecosystems in the 1950s and 1960s. The effects, 
for example, of methyl mercury, organochlorines and pesticides such as DDT on seabirds 
and marine mammals are	 well 	documented (Hario et al., 2004; 	Sørmo et al., 2005). The 	
early studies identified chemical properties which were particularly important with 
respect to environmental effects and which later became important criteria for 
classification and labelling i	n chemical legislation. Examples of these are lipid solubility 	
(lipophilicity, hydrophobicity), persistence, and bioaccumulation potential. The 
mechanism of biomagnification has been discovered, i.e. that 	chemicals are enriched 	
higher up in the food chain,	 resulting in the highest levels in top preda	tors like tuna or 	
salmon, fish	-eating birds, marine mammals (seals, dolphins) and eventually humans 	
(EEA, 2011). Whereas food is a main source of exposure to many hazardous pollutants 
in humans, exposure through	 other media, as drinking water and inhaled air, may also 	
be important (WHO, 2007).	 	
 	有关由工	业	化学品与	人造化学品	的生	产	与使用而	产	生的	环	境影响的第一批	预	警	
中包括了	持久性有机	污	染物	（	POP	），	POP	是在	20	世	纪	50	年代与	60	年代	对	水生生	
态	系	统	的	观	察中	发现	的。	例如，	甲基汞	、	有机	氯杀	虫	剂	及	农药	（如	二	氯	二苯三	氯	乙	烷	，	
DDT	）	对	海	鸟	以及	海洋哺乳	动	物	的影响均有据可	查	（	(Hario et al.	，	2004	；	Sørmo et al.	，	
200	5）。早期研究中确定	了化学品中影响环境的关键特性	，	这	些化学特性随后成	为	了	
化学品立法中用于分	类	、加	标	的重要	标	准。	这	些特性包括	类	脂溶解度	（	亲	油性	、	疏水	
性	）、持久性以及	生物蓄	积	潜力	。目前已	发现	了生物放大机制，即	化学毒素转移并累	
积到高层食物链	，由此使得	顶	端食肉	动	物	包括金	枪鱼	或	鲑鱼	、食	鱼鸟	、海洋哺乳	动	物	
（海豹、海豚）以及人	类	（	EEA	，	2011	）所吸收的化学物	质	达到最高水平。尽管食物	
是接触一些危	险污	染物的主要途径，但是也可能通	过	其他媒介，如	饮	用水、吸入的气	
体，接触到危	险污	染物。	这	一点也	应	引起重	视	（	WHO	，	2007	）。	 	
One of the first major responses to the concern about the impacts of chemicals in the 
environment was the development of the Helsinki Convention signed in 1974, which 
focused on the prevention and elimination of pollution by hazardous chemicals to the 
Balt	ic Sea Area. 	The 1970s was also the time when serious environmental problems,

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including collapses of seal and sea eagle populations caused by PCBs and DDTs, became 
obvious to the larger public (HELCOM, 2010	76). An early action was also the 	
implementation (i	n 1976) of the EU Dangerous Substances Directive (now integrated 	
into the EU Water Framework Directive) which aimed to eliminate pollution by a select 
list of substances and reduce the level of certain others. Since then, a range of legislation 
and policie	s have been put in place to address the 	use 	of hazardous substances, their 	
release	 to Europe's environment, their 	levels	 within aquatic and terrestrial 	
environments, and to 	mitigate	 the adverse impacts of these pollutants.	 	
 	化学物	质对环	境影响的	研究在	1974	年	签订	的《	赫	尔	辛基公	约	》	的	编	制	中首次公	
开	，	该	公	约	的主要目的在于	预	防并减少排入	波	罗	的海区域	的危	险	物	质	所造成的	污	染。	
20	世	纪	70	年代	公众越发认识到	环	境	问题	的	严	峻，	如：	PCB	、	DDT	导	致	了	海豹、海	鹰	
数量急	剧	下降（	HELCOM	，	2010	）。早期所采取的一	项	措施同	样	是	实	施《	欧盟危	险	物	
质	指令	》（	1976	年	，	现	已	纳	入《欧盟水框架指令》），	早期的实施	旨在	利用选定	物	质	
减少	污	染并降低其他一些物	质	的	污	染等	级	。自此之后，系列相关	的	立法与政策解决	了	
危	险	物	质	的	利用	问题	及其在	环	境中的	排放	问题	>*%�
�~	传#��	陆	生	环	境	中的	含量	，	
并	缓	0�	这	些	污	染物所造成的	负	面影响。	 	
The	 sources of hazardous pollutants to surface and underground water bodies in Europe 	
are diverse, including household, municipal, and industrial wastewater, agricultural run	-	
off, mining, landfills, exploitation of shale gas, s	hipping, harbour and 	portactivities, 	
offshore oil exploration and aquaculture	. Long	-range transboundary transport of 	
contaminated air can result in wet and dry deposition of, e.g., mercury far away from the 
emission source itself. Moreover, deposited river 	bed sediments and th	eir 	
associatedcontaminants can be re	-suspended into the water	 column 	during periods of 	
higher river	 flow	 and transported downstream 	to new areas (EC, 2011). 	 	
 	在欧洲，	地表和地下水体	危	险污	染物的来源多种多	样	，包括生活、市政与工	业	
废	水，	农	田径流	，采	矿	、填埋、	页	岩天然气的	开采、海运、港口活	动	、	近海石油开	发	
以及	水	产	养殖	。	污浊	空气的	远	距离跨界运	输	可	导	致	干湿沉	降	，如与排放源自身相距	较	
远	的	汞	。此外，堆	积	的河床沉	积	物及其相关的	污	染物在河流流量	较	大	时	可能会重新	悬	
浮在水体中	并	迁移至下游其他区域（	EC	，	2011	）。	 	
EU legislation has led to documented reductions in the emissions of and and exposure to 
many well	-known hazardous substances to air and water in Europe. 	However, the 	
 	 	 	
76 Already in 1962, however, the book Silent Spring by Rachel Carson was published. The book 
documented detrimental effects of pesticides on the environment, particularly on birds. The book 
facilitated the ban of the pesticide DDT for agricultural use in 197	2 in the United 	
States.	早在	1962	年，	雷切	尔·卡逊所著的	书籍	《寂静的春天》	就已	经出版了。书中就农药对于环境，特别是鸟类的有害作用进行了介绍。该书促使美国	
在1972	年加速了	对农业用	DDT	农药的严禁使用。

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persistence and	 ubiquity, particularly in sediment and biota, of these substances mean 	
that they continue to pose a risk to aquatic environments even when emissions are 
reduced and at sites far from human activity as in the Arctic. Moreover, a number of 
emerging pollutan	ts, including chemicals with endocrine disrupting properties, for 	
which the awareness of potential effects has developed only recently, are causing rising 
concern. These substances are, however, not yet included in routine monitoring 
programs. Lack of moni	toring data implies that it is difficult to robustly assess their 	
impacts on human health and environment. Furthermore, there i	s emerging evidence 	of 	
so	-called cocktail effects,	 implying that the current 	chemical	-by	-chemical approach	 to 	
risk assessment may	 lead to underestimation of risks (EEA, 2011	). Finally, there are a 	
number of ways in which climate change may affect hazardous pollutants in water 
bodies. In this chapter we present 	an overview of the developments with regards to 	
reducing emissions and im	pacts of hazardous pollutants in Europe, challenges 	
ahead, and legal and other instruments applied in the 	work. 	 	
 	有	资	料	证	明，通	过实	施欧盟立法，一些众所周知的危	险	物	质	排入空气或水中的	
数量有所下降，与空气或水	资	源接触的	频	率也有所减少。然而，由于	这	些物	质	，尤其	
是	在	沉	积	物与	生物群	中	具有持久性且无	处	不在，因此，即使其排放量下降或排放到像	
北极一	样远	离人	类	活	动	的地方，仍然会	对	水生	环	境构成一定威	胁	。同	时	，大量	新	兴污	
染物	的出	现	也使得人	类	的担	忧	与日俱增。	这	些	污	染物包括具有内分泌干	扰	特性的化学	
药	品，人	类	不久前才	认识	到	这类	化学	药	品的潜在影响。但是	这	些物	质还	尚未包括在常	
规监测项	目中。此	类监测	数据的缺失表明，有效	评	价其	对	人	类	健康及	环	境的影响存在	
一定的困	难	。此外，所	谓	“	鸡	尾酒效	应	”的	证	据不断出	现	，意味着目前	风险评	价所采	
用的“	逐个化学品	检查	法（	chemical	-by	-chemical approach	）	”有可能	导	致	对风险	的低	
估（	EEA	，	2011	）。另外，气候	变	化也可能会通	过	一系列途径	对	水体中的危	险污	染物	
施加影响。本章将	对	所取得	的相关成就	_�	行	概括	，	内容涵盖欧洲危	险	"@	质	<:5	的减	
少	ls$$�7F*	情况	>*��8	临	$��	战	�l	d8p	d5#�$�
��	措施		 	
Box 3.	3 What is a hazardous substance? 	 	
框	3.2	何	为	危	险	物	质	？	 	
A variety 	of chemicals are present in products and environments encountered in 	
everyday life. In addition, nearly every industrial company uses chemicals in its 
production. Some of these chemicals can severely damage health and the environment if 
not handled proper	ly. Emissions to air and water as well as disposal of hazardous 	
substances may all be important sources of pollution. The definition of hazardous 
substances may, however, differ across various legislative frameworks. In principle, 
being “hazardous” is a co	nsequence of one or more intrinsic properties of a substance. It 	
may derive from physicochemical properties, toxicity to human health or toxicity to the 
environment (flora, fauna, microorganisms, deplete ozone layer, etc.). Some water 
pollutants which are 	actually needed in trace amounts may become extremely toxic 	
when occurring in high concentrations. Copper, zinc, manganese, boron and phosphorus, 
for example, can be toxic or may otherwise adversely affect aquatic life when present

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above certain concentrat	ions, although their presence in low amounts is essential to 	
support and maintain functions in aquatic ecosystems. The same is true for certain 
elements with respect to drinking water. Selenium, for example, is essential for humans 
but becomes harmful or e	ven toxic when its concentration exceeds a certain level. The 	
legal frameworks dealing with hazardous substances in Europe may have different 
understandings and use different criteria to select the substances they aim to regulate. 
While this may be unfortu	nate, the reason why the criteria differ is often related to the 	
goals and priorities towards the environmental media to be protected from the 
hazardous substances (HS, 2009).	 	
 	日常生活中所用的	产	品以及	环	境中存在着各种各	样	的化学物	质	。几乎每一家工	
业	企业	都会在其生	产过	程中使用化学	物品	。如果得不到妥善	处	理，	则	一些化学物	质	就	
会	对	健康与生	态环	境造成	严	重危害。空气中或	水中的排放物以及危	险	物	质	的	处	理均有	
可能成	为	污	染的重要来源	。然而，有关危	险	物	质	的定	义	可能会因法律框架的不同而有	
所区	别	。原	则	上，“危	险	”	这	一特征是一种物	质	所具有的一种或多种内在特性共同作	
用的	产	物。可能来自于	物化特性	，	对	人	类	健康的毒性	或者是	对环	境的毒性（植物群、	
动	物群、微生物、	臭氧	层	消耗	等）。一些	实际	中使用极少的水	污	染物，如果以高	浓	度	
形式出	现	，	则	可能会	变	成	剧	毒物	质	。例如	：	铜	、	锌	、	锰	、	硼	、	磷	在达到一定	浓	度以上	
时	，会	变	成有毒物	质	或	给	水生	生物	带	来不利影响	——	尽管少量的	这	些物	质	是支持、	维	
持	水生生	态	系	统	功能的必要条件	，	这	同	样	也适用于有关	饮	用水的某些元素	。例如，	硒	
是人体所必需的一种物	质	，但是当其	浓	度超	过	一定水平	时	，	则	会	变	成有害物	质	，甚至	
是有毒物	质	。在欧洲，有关危	险	物	质	的法律框架可能会有不同的理解，可能会基于不	
同	标	准	选择	需要	进	行控制的相关物	质	。	尽管	这	可能令人有些	遗	憾，但	采用不同	标	准的	
原因通常与需要	对	其	进	行保	护	及	使其免受危	险	物	质	影响的	环	境介	质	的目	标	、	优	先等	级	
有关（	HS	，	2009	）。	 	
Hazardous substances include a wide range of synthetic chemicals as well as naturally 
occurring chemicals (for instance metals such as Cd, Hg, Pb and As) and various by	-	
products of natural and human	-induced processes. 	Regarding impacts on humans, 	
exposure 	to toxic chemicals can occur via inhalation, ingestion and direct contact with 	
skin, and the variety of hazardous substances in use brings with them a range of well	-	
documented health effects. Health effect may be categorized along two axes, acute 
versus ch	ronic and local versus systemic. Acute effects refer to the case when hazardous 	
substances produce toxic effects in humans or the environment after 	a single, episodic 	
release	. Acute effects include, for instance, skin or eye irritation, headache, nausea, 	
difficulty in breathing, and burns. Other hazardous substances produce toxic effects in 
humans or the environment after prolonged exposure to the substance, which is called 
chronic toxicity. Chronic effects include liver and kidney disease, nerve and brain 
disorders, and reproductive damage. Local effects occur when the substance causes 
damage at the point of original contact, e.g. resulting from skin, eye, or respiratory tract 
exposure. System effect arise when the toxic substance affect the organs of the b	ody, 	
such as the liver, heart, nervous system, and muscles. Other important examples of 
systemic effects are carcinogen and reproductive effects and various endocrine

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disrupting effects. Regarding reproductive effects, a so	-called teratogen affects the 	
dev	eloping fetus, implying that even though the mother may not suffer from exposure, 	
the fetus may be damaged because it is more sensitive. Some chemicals cause more than 
one of these types of effect. Whereas acute effects are often reversible when the 
exposu	re stops, chronic effects can often not be reversed even if the exposure is stopped 	
(USEPA 2013).	 	
 	危	险	物	质	包括各种不同的合成化学品、	天然化学物	质	（如	镉	、	汞	、	铅	、	砷	等金	
属）以及自然或人	为	活	动	所	产	生的各	类	副	产	品。就	人体	影响而言，	人体	可能会通	过	吸	
入	药剂	、	摄	食及直接接触皮肤等途径接触到有毒化学物	质	。有	资	料	证	明，除种	类	繁多	
之外，	现	有危	险	物	质	本身也	带	有一系列的健康影响。健康影响可以分	为	两	类	：	突	发	性	
与慢性影响、局部与整体影	响。	突	发	性	效	应	指的是危	险	物	质	在	单	独的、偶	发	性	释	放	后	
对	人	类	或	环	境	产	生毒性作用。	突	发	性	效	应	包括皮肤或眼部刺激、	头	痛、	恶	心、呼吸困	
难	以及	烧伤	。就其他危	险	物	质	而言，会在	长时间	接触	该	物	质	之后，	对	人	类	或	环	境	产	生	
一定的毒性作用。	这	种	现	象称之	为	慢性中毒	。慢性效	应	包括	肝	脏	和	肾脏	疾病	、	神	经	和	
大	脑	疾病	以及	生殖健康危害	。当危	险	物	质对	最初接触点造成	损	害	时	，就构成了局部效	
应	，例如，皮肤、眼睛或呼吸道接触所造成的	伤	害。当有毒物	质对	身体器官，如肝	
脏	、心	脏	、神	经	系	统	与肌肉	产	生影响	时	，就形成了系	统	效	应	。系	统	效	应	的重要例子	还	
包括致癌物	质	和生殖影响以及各	类	内分泌干	扰	作用	。就生殖影响而言，所	谓	的	畸胎原	
会	对发	育中的胎儿	产	生影响，	这	意味着，尽管母	亲	可能	在污染暴露中未受影响	，但由	
于胎儿要更	为	敏感一些，因此可能会受到一定的影响。有些化学物	质	可能会	产	生一种	
以上的	这类	影响。然而，停止接触后，	突	发	性	效	应	通常是可以消除的，而慢性效	应	即	
使是停止接触后，通常	来	说	也无法消除（	USEPA 2013	）。	 	
Impacts on the environment are as diverse as the impact on human health. Hazardous 
substances can kill living organisms in a lake or river, destroy wildlife and vegetation in 
a contaminated area, cause major reproductive complications 	in wildlife, or otherwise 	
limit the ability of an ecosystem to survive. Certain hazardous substances also have the 
potential to explode or cause a fire, threatening both wildlife and human populations. 
When talking about environmentally hazardous substance	s, the properties of most 	
importance are those which impair the functioning of ecosystems. This means those 
adverse properties which threaten the stability of the entire population of micro	-	
organisms, plants or animals, e.g., by weakening the immune system	, disturbing 	
reproduction, or inhibiting photosynthesis (Kislenko et al., 2009). 	 	
 	同人	类	健康一	样	，危	险	物	质对环	境所	产	生的影响也是多种多	样	的。危	险	物	质	可	
杀	死湖泊或河流中的生物体，破坏	污	染区的	野	生	动	物和	植被，	对	野生生物造成	重大生	
殖并	发	症	，或限制生	态	系	统	的生存能力。特定的危	险	物	质	可能会爆炸或引	发	火灾，	对	
野生生物及人	类	构成一定的威	胁	。就	危害	环	境物	质	而言，其最重要的特性在于能	够	影	
响生	态	系	统	的功能	。	这	意味着	这	些	不良特性	将通	过	削弱免疫系	统	、干	扰	繁殖或	抑制光	
合作用	而	对	整 个 微 生 物 群 、 植 物 群 或	动	物 群 的	稳	定 构 成 威	胁	（	Kislenko et al.	，	
2009	）。

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3.4.2	 Tools	 	
Legal tools and frameworks applied in Europe	欧洲所采用的法律手段	和	框架	 	
As of today a range of policies and measures are working together to reduce the 
emission of hazardous substances to water bodies in the EU. These policies and 
measures encompass 	product substitution, restrictions on marketing and use, the 	
setting of emissi	ons and environmental quality standards and monitoring 	
according to these standards, requirements to demonstrate the implementation of 
clean production 	processes and best available techniques in applications for 	
industrial permits, fiscal instruments, and 	actions to raise public awareness	. Part 	
of the legislation targets the risk management of chemicals as such (production, 
handling, disposal etc.), whereas another legislation focus on the environmental quality 
in order to ensure that pollution does not lea	d to adverse effects on humans and 	
environment 	– sometimes in specific geographic regions (see details below).Public 	
consultation is an important element of communication and several directives 
specifically require Member States to make information availab	le to the public and 	
consult them on certain issues. 	 	
 	迄今	为	止，欧盟已制定了一系列政策并采取了一系列措施，力	图	降低水体中危	
险	物	质	的排放量。	这	些政策与措施包括：	产	p�>*7HD	销	N�Q#�>*D<:Z	环	
C	质	5	标	
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G~#�	请	d	业许	�	证	$�q	
F�/��	术	$�%&
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��	识	d5v$�P�		4�('g2$�	
实	施	对	象	为	此	类	化学物	质	的	风险	管理（生	产	、操作、	处	理），而另一些立法的重点在	
于	环	境	质	量，确保	污	染不	对	人体	与	环	境（有	时为	特定	地理区域	，	详细	信息	见	下文）	产	
生	负	面影响。公共	协	商是沟通的一个重要	组	成部分，一些指令中特	别	要求其成	员	国将	
相关信息公之于众，并就相关	问题	向公众咨	询	。	 	
Whereas there were early efforts to target hazardous pollution in the 1970s and several 
regulations and directives were developed during the 1990s, 	much of the legislation 	
ta	rgeting hazardous pollutants has in fact been implemented relatively recently, 	
including REACH and the Water Framework Directive	. In order to simplify 	
Community legislation	 and 	remove obsolete provisions	, earlier legislation is often 	
integrated into newer 	legislation. 	 	
 	尽管早在	20	世	纪	70	年代就采取了相关措施解决危	险	物	质污	染	问题	，	20	世	纪	
90	年代又制	订	了一系列相关法	规	与指令，但是	多数有关危	险	"@	质污	$�'g2	实际	V~	
Y�So	实	�>*	这	
�p��	REACH	与	《水框架指令》	。	为	了	简	化	共同体立法	并	
删	除一些	过时规	定，早期的立法通常会	纳	入新的立法中。	 	
Laws and regulations (‘command	-and	-control’ tools) have been the dominating 	
instruments to abate 	hazardous pollutants in the EU over the last decades, 	
although economic incentives and information	-based instruments are also in use	. 	
Long	-term monitoring programs on chemical status in water bodies	, in vitro assays, 	
in vivo markers and bioassays, and vari	ous 	population	 and community indices 	have

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been instrumental to understanding the problem, enable prioritizing policies, and 
to evaluate their success.	 	
 	过	去数十年中，尽管也采用了	经济	激励与信息化工具，但法律法	规	（“	指	挥	控	
制”工具）一直是欧盟减少危	险污	染物的主要手段	。	有关水体	、体外	实验	、	体内	标	记	
与	生物	测	定	中	化学状况	以及各	类	种群	与群落指数的	长	�	监测项	% 	对	�历0�	这	M	问题	�	
w��>*+	够	%��	优	
�;'�$�	实	��	对	%&
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From the perspective of 	hazardous pollutants in 	the aquatic environment	 in Europe and 	
their impacts on human health and environment a large number of 	frameworks 	and 	
regulations 	are 	relevant, several of them	 contain	ing	 their own 	definition of hazardous	 	
substances	 and criteria for prioritizing them. Some of the most important of these are 	
(see Box below for a brief overview of the legislative systemin EU)	: 	
 	就欧洲水生	环	境中危	险污	染物及其	对	人	类	健康、	环	境的影响而言，有一系列法	
律框架及法	规	可以参考，其中一些框架与法	规	中包含框架或法	规	自身	对	危	险	物	质	的定	
义	以及确定其	优	先	顺	序的相关	标	准。其中一些最	为	重要的框架与法	规	包括（有关欧盟	
立	法体系的概述，	见	下文框中所列内容）：	 	
 	Regulation No	 1272/2008 on classification, labelling and packaging of chemical 	
substances and mixtures (	CLP	) No	 1272/2008	《化学物	质	及其混合物的分	类	、	
标记	与包装	法	规	》	（	CLP	）	 	
 	Regulation No 1907/2006 on registration, eva	luation, authorisation and 	
restriction of chemicals (	REACH	) No 1907/2006	《化学品注册、	评	估、授	权	和限	
制法	规	》（	REACH	）	 	
 	Regulation (EC) No 850/2004 on persistent organic pollutants.	 No 850/2004	
（	EC	）《持久性有机	污	染物法	规	》	 	
 	Directive 2002/95/EC, 	RoHS	 on the Restriction of Hazardous Substances (short 	
for Directive on the restriction of the use of certain hazardous substances in 
electrical and electronic equipment)	 2002/95/EC	《危害	物	质	限用指令	》（	RoHS	）	
（	全称是《关于限制在	电	子	电	器	设备	中使用某些有害成分的指令》	）	 	
 	Directive 2008/1/EC on Integrate	d pollution prevention and control (	IPPC	) 	
2008/1/EC	《	综	合	污	染防治	指令》	（	IPPC	）	 	
 	Directive 2008/98/EC on waste (Waste Framework Directive). Integrates (i.e. 
repeals) previous legislation, e.g. the Hazardous Waste Directive and the Waste 
Oils Directive.	 2008/98/EC	《	废	物指令》	（	《	废	弃物框架指令》	），将以往立法，	
如《	危	险废	物指令	》与《	废	弃油脂指令	》	进	行合并（即	废	除）	 	
 	The Waste Electrical and Electronic Equipment Directive (	WEEE	) 2002/96/EC 	
which sets collection, recycling and recovery targets for electrical goods.	《	报废电

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子	电	气	设备	指令	》（	WEEE	）	2002/96/EC	，	设	定了	电	子	产	品的收集、回收及	废	
物利用目	标	 	
 	Directive 	96/59/EC on the disposal of polychlorinated biphenyls and 	
polychlorinated terphenyls (	PCB/PCT	) 96/59/EC	《多	氯联	苯与	多	氯	三	联	苯	处	理	
指令》（	PCB/PCT	）	 	
 	Directive 1999/31/EC on the landfill of waste ( Landfill Directive) 	1999/31/EC	
《垃圾填埋	场	指令	》	（垃圾掩埋法令）	 	
 	Water Framework Directive 2000/	60/EC (	WFD	) and linked Directive 	
2008/105/EC on environmental quality standards (	EQS	) in the field of water 	
policy (as of 2008 33 substances	77 or groups of substances are on the list of 	
priority substances for which EQS are set)	《水框架指令》	2000/60/EC	（	WFD	）	
以及与其关	联	的	2008/105/EC	《水	资	源政策	领	域	环	境	质	量	标	准指令》（	EQS	）	
（截止	2008	年，	33	种物	质	或物	质	群列入了	EQS	所	设	定的	重点控制物	质	）	 	
 	Directive 91/676/EEC concerning the protection of waters against pollution 
caused by nitrates from agricultural sources, or Nitrate Directive.	 91/676/EEC	
《保	护	水	资	源免受来自	农业	源硝酸	盐污	染指令》，或《硝酸	盐	指令》	 	
 	Di	rective 2008/56/EC on community action in the field of marine environmental 	
policy, o	r Marine Strategy Framework Directive (	MSFD	) 2008/56/EC	《海洋	环	境	
政策	领	域社区行	动	指令》，或	《海洋	战	略框架指令》	（	MSFD	）	 	
 	Helsinki Convention	 on the Protection of the Marine Environment of the Baltic 	
Sea	 Area	《保	护	波	罗	的海区域海洋	环	境的	赫	尔	3��
�	约		 	
 	OSPAR Convention	 for the Protection of the Marine Environment of the North	-	
East Atlantic 	《	保	护东	北大西洋海洋	环	境公	约	》	（	OSPAR	）	 	
 	The Protocol to the regional UNECE Convention on Long	-Range Transboundary 	
Air Pollution (CLRTAP) on POPs (	POPs 	Protocol	, under the global Stockholm 	
Convention on POPs (	POPs Convention	)关于	POPs	（	POP	议	定	书	，	《关于持久	
性有机	污	染物的斯德哥	尔	摩公	约	》）	的	区域	UNECE	《	关于长距离越界空气污染	
物公约	》	（	CLRTAP	）的	议	定	书	（	POPs	公	约	）	 	
 	Basel Convention	 on the Control of Transboundary Movements of Hazardous 	
Wastes and their Disposal 	《	关于控制危	险	物	质	越境	转	移	及其	处	理的	巴塞	尔	
�	约		 	
 	 	 	
77List: 	http://ec.europa.eu/environment/water/wate	r-	
framework/priority_substances.htm	清单内容见网址	http://ec.europa.eu/environment/water/water	-	
framework/priority_substances.htm

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 	The 	Rotterdam Convention	 on the Prior Informed Consent Procedure for 	
certain hazardous Chemicals and Pesticides in international trade 	《关于国	际贸	
易中特定危	险	化学品与	农药	事先知情的同意程序	的	鹿特丹公	约		 	
 	International Code of Conduct on the Distribution and Use of P	esticides	《国	际农	
药	供	销	与使用行	为	守	则	》	 	
 	The 	Minamata Convention	 on Mercury	《	关于汞的	水俣公	约		 	
Box 3.	4 Legal acts	 in the EU	 	
框	3.3	欧盟	的相关	立法	 	
The aims set out in the EU treaties are achieved by several type	s of legal acts. So	me are 	
binding, others are not. 	Some apply to all EU 	countries, others to just a few.	 	
 	欧盟条	约	中所	设	定 的目	标	可通	过	不同	类	型的	立法	来	实现	。 其 中一 些 具 有	约	束	
力，其他一些	则	不具有	约	束力。一些适用于所有欧盟国家，其他一些	则	只	仅	用于个	别	
欧盟国家。	 	
Regulations: 	a directly applicable and binding legislative act that does not require any 	
national implementation measures. It must be applied in i	ts entirety across the EU.	 	
 	法	规	：一种直接适用且具有	约	束力的立法，不涉及任何国家履	约	措施。必	须	全	
部	应	用于欧洲地区。	 	
Directives: 	a binding legislative act that sets out goals that all EU countries must achieve. 	
Each country needs to specifically implement a directive and by that also incorporate it 
into national laws. However, 	directives normally leave some level of discretion in 	
im	plementation to the member states.	 	
 	指令	：一种具有	约	束力的立法，可	设	定所有欧盟国家必	须	达到的相关目	标	。每	
个国家需要	专门实	施一种立法，并基于此将其	纳	入国家法律。但是，指令	在	成	员	国	的	
实	施通常	具有一定的灵活性	。	 	
Decisions: 	a "decision" is binding on those to whom it is addressed (e.g. an EU country or 	
an individual company) and is directly appli	cable. 	 	
 	决定	：“决定”	对	相关	对	象具有	约	束 力 （ 如 ， 一 个 欧 盟 国 家 或 一 家 私	营	企	
业	），可直接适用。	 	
Recommendations: 	a "recommendation" is not binding and does not have any legal 	
consequences. A recommendation allows the institutions to make their views known 
and to suggest 	a line of action	 without impos	ing any legal obligation on those to whom it 	
is addressed.

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 	建	议	：“建	议	”不具有	约	束力，不会	产	生任何法律	后果	。“建	议	”允	许	相关机	
构	发	表自身	观	点，	提出一系列行动方案	，而不	会	对	相关	对	象施加任何具有法律	约	束力	
的	义务	。	 	
Opinions: 	an instrument that allows the institutions to make a statement in a non	-	
binding fashion, in other words 	without imposing any legal obligation on those to whom 	
it is addressed. An opinion is not binding. It can be issued by the main EU institutions 
(Commission, Council, Parliament), the Committee of the Regions and the European 
Economic and Social Committee. 	While laws are being made, the committees give 	
opinions from their specific regional or economic and social viewpoint.	 	
 	意	见	：一种允	许	相关机构自由	陈	述	观	点的	方式	，	换	句	话说	，不	对	发布	对	象施加	
任何具有法律	约	束力的	义务	。	一个	观	点是不具有	约	束力	的。可以由欧盟主要机构（委	
员	会、理事会、	议	会），	地区委	员	会	以及	经济	和社会委	员	会	负责发	表意	见	。制定法律	
的同	时	，各委	员	会可从自身区域	观	点或	经济	社会	观	点	发	表相关意	见	。	 	
In addition to policies aimed at reducing risk of contamination of the environment from 
hazardous pollutants, there are a number of policies aimed at reducing the exposure, 
inter alia via food (food safety regulations). Examples are the 	Regulation	 (EC) 	
1881/2006 setting maximum levels of cadmi